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Mediator Resume
Hon. Carol E Heckman (Ret.)
Professional Summary
Following a successful career on federal court bench and as trial lawyer, has developed an active practice as an arbitrator with the AAA, and has conducted over 250 arbitrations throughout the United States with a particular focus on NYC.
Known as efficient, open-minded and fair, well prepared and neutral.
Since 2008, AAA panels include workplace, commercial, health care, judicial, process arbitration and appellate. Disputes range from $1 to $500 million in value. Member of AAA mediation panel, with 800 mediations in federal court and AAA cases.
Extensive experience in discovery issues and as process arbitrator.
Industries include health care, pharmaceuticals, insurance, manufacturing, gaming, finance and many others.
Current Employer-Title
Lippes Mathias LLP - Partner
Pleased to travel throughout the United States for hearings or mediations or to conduct them by remote technology such as Zoom.
Profession
Arbitrator, Former Judge, Litigator, Mediator
Work History
Partner, Lippes Mathias LLP, 2017 - Present; Partner, Harter Secrest & Emery LLP, 2000 - 2016; U.S. Magistrate Judge, U.S. District Court, Western District of New York, 1992 - 2000; Partner, Lippes Silverstein Mattias & Wexler, 1989 - 1992; Partner, Albrecht McGuire Heffern & Gregg, 1985 - 1989; Assistant U.S. Attorney, Western District of New York, 1981 - 1985; Trial Attorney, U.S. Department of Justice, 1979 - 1981; Law Clerk to Hon. John Curtin, then Chief Judge of the Western District of New York, 1977 - 1979.
Experience
Served as a magistrate judge in federal court in Buffalo from 1992 to 2000. Presided over dozens of consent trials, hundreds of dispositive motions and hearings, and several hundred mediations. Published dozens of judicial opinions. Frequent lecturer for the Federal Judicial Center (FJC), a member of the FJC's Education Committee for Magistrate judges, an officer in the Federal Magistrate Judges Association and a trainer for three of FJC's intensive mediation programs.
In 2000, returned to private practice as a litigation partner at Harter Secrest & Emery and later at Lippes Mathias.
Since 2008, has served on the AAA panels for workplace disputes, commercial litigation, mediation, the judicial panel, and more recently the health care panel and as a process arbitrator in mass claims. Also serves as a court-appointed or private mediator and arbitrator. At least 80% of time is spent on ADR and the remaining on commercial litigation in private practice. Has sat on many 3-arbitrator panels and served often as Chair.
Has handled over 250 arbitrations and hundreds of mediations. Industries include pharmaceuticals, insurance, manufacturing, gaming, health care, technology, hospitality, digital content, finance, banking, and environmental.
Mediator Experience
Served as a mediator in more than 800 cases since 1995, including at least 75 in the last five years. Selected by peers as Best Lawyers' “Mediator of the Year” in Buffalo, New York in 2014. Cases include private mediations, AAA mediations and mediations for the Western District of New York and other courts.
Mediations range from employment-related claims to intellectual property cases, ERISA, complex commercial litigation, products liability, and environmental claims, including multi-party cases with coverage issues and mass claims in the wage and hour area. More details are set forth in the Representative Issues section of this Resume.
Mediation skills were well recognized on the federal bench: in 1999, began training other magistrate judges throughout the federal court system in the skills needed to conduct successful mediations; in private practice, has continued to earn high praise from her peers as thorough, prepared, sophisticated and practical. More detail set forth in Representative Cases as a Mediator.
Representative Issues Handled as a Mediator
1. Workplace mediations: executive disputes including compensation, stock appreciation rights, stock options, severance, termination, classification and non-compete issues; ERISA, Title VII, ADA, ADEA, 42 U.S.C. 1983, FLSA, FMLA, and related state law claims; issues include jurisdictional prerequisites, time limitations, constructive discharge, discrimination based on suspect class, race, hostile work environment, sexual harassment, back pay, tangible job detriment, reasonable accommodation, mitigation of damages, emotional distress, wage and hour (including mass claims and state law claims), retaliation, COVID related claims and EEOC enforcement actions.
2. Complex commercial mediations: acquisitions, bank fraud, shareholder disputes, dissolution proceedings, distributor agreements, asset purchase agreements, supply agreements, management contracts, outsourcing contracts, customer service agreements, unfair competition, common law fraud, franchise agreements and contract disputes; issues include contract interpretation, insurance, statutory construction, damage valuations, valuations of businesses, financial analysis, EBITDA, evidentiary issues, witness issues, jurisdictional issues , ancillary insurance and subrogation issues; exposure, causation, OSHA standards, contributory negligence, expert testimony, damage calculations, structured settlements, class claims, third party claims, waivers and release; False Claims Act, Securities Act and RICO.
3. Mediations of mass claims, including cases in the following three areas: (1) wage and hour claims (industries include cleaning, driving, delivery, maintenance, temporary staffing agencies); (2) consumer claims, including toxicity testing, bank charges, consumer finance, digital content, online order fulfillment; and (3) ERISA claims.
Mediator Style & Process Preferences
Offers a neutral forum for the parties to fashion a resolution of their dispute based on their own unique objectives and interests. Committed to extensive pre-mediation preparation, so that she can “hit the ground running” and act efficiently and expeditiously. Typically requires decision makers to be present, so that there is a stronger likelihood of reaching a final resolution during a mediation session itself. Through active listening and joint and single party sessions, assists the parties in identifying common objectives, narrowing areas of disagreement and in exploring settlement options. Encourages parties to evaluate their own positions realistically, and draws upon extensive experience as a judge to comment on evidentiary issues, witness problems and other trial problems as they arise. Available to follow-up by telephone following mediation sessions. Expects the parties and their attorneys to be thoroughly prepared on all issues in the case and to conduct themselves in a professional and efficient manner.
Technology Proficiency
Well versed in Zoom technology, uses electronic filing exclusively, and handles hearing exhibits electronically. Regularly attends educational sessions on technology advances for arbitrators and practitioners.
Successfully completed Clearbrief Academy, May 2025. Using other approved and closed system AI tools such as Harvey AI.
Education
Cornell Law School JD, 1977 (Order of the Coif, Second in Graduating Class, Cornell Law Review Editor, Fraser Prize for Outstanding Scholarship and Character); Lawrence University BA 1974 (Philosophy, Phi Beta Kappa, Farley Prize, Distinction in Senior Comprehensives).
Professional Licenses
Admitted to the Bar: New York (1978).
Professional Associations
Member, College of Commercial Arbitrators since 2020; Member of Board of
Directors; Active in Educational Offerings, Annual Meeting Planning, Long Range Planning, Best Practices and many other activities. Frequent Speaker and Panel Chair.
New York State Bar Association (Commercial and Federal Litigation and Dispute Resolution Sections).
Erie County Bar Association (Dispute Resolution Committee).
Recent Publications & Speaking Engagements
Has had many publications in areas of e-discovery, data preservation, protective orders, attorney client privilege, ethics in ADR and several hundred judicial opinions.
Publications include co-author of Chapter on Class and Mass Arbitrations, College of Commercial Arbitrators Guide to Best Practices in Commercial Arbitration, Fifth Edition, 2025.
Speaking engagements in last five years include the following:
"Consumer Arbitration Clauses in the Mass Filing Era," New York State Bar Association, Dispute Resolution Section, October 2025;
"Trends in Employment Arbitration: What NY Attorneys and Neutrals Need to Know," New York State Bar Association, Labor & Employment Law Section, October 2025;
AAA Panel, "Managing Self-Represented Parties," Spring 2025;
AAA Panel "Process Arbitrator Appointments", Spring 2025;
ABA, Dispute Resolution Section and Indian Gaming Association Annual Meeting, 2023, "Barriers Faced by Tribal Governments in Arbitrations";
"Drafting Arbitration Awards." ABA Panel Discussion for ABA Arbitration Training, 2023
"Summoning Third Party Witnesses in Arbitration," College of Commercial Arbitrators Annual Meeting, 2022;
"The Floodgates Open: Managing Mass Arbitrations in the Wake of Epic Systems and Lamps Plus," College of Commercial Arbitrators Webinar, 2022;
"Summoning Non-Party Witnesses in Arbitration," College of Commercial Arbitrators Webinar July 2021;
"Zoom Hearings: Are They Here to Stay?" ABA Webinar April 2021.
Locations Where Parties Will Not be Charged for Travel Expenses
All Counties included in the Western District of New York.
Compensation
Hourly Rate: $725.00
Daily Rate: Not provided
Study Rate: $725.00/hr
Cancellation: $2,000.00/Day
Cancellation Period: 2 Days
Comment: The travel rate applies to all mediations in major metropolitan areas including NYC, Boston, Washington, D.C., Philadelphia, Pittsburg, Miami and Atlanta; will charge reasonable travel expenses. Travel time will be charged at less than 50% of hearing rate. No travel charges will be incurred in the counties within the Western District of New York or in southern Florida, including Dade, Broward and Palm Beach Counties.
Languages
English
Citizenship
United States of America
Locale
Buffalo, New York
