Mediator Resume

Highly experienced attorney with a focus on securities arbitration and litigation, commercial litigation and consumer issues. Managing partner of a national law firm, adjunct professor, and president of a national bar association.

Gana Weinstein LLP - Managing Partner

Attorney

Managing Partner, Gana Weinstein LLP, 2013-Present; Adjunct Professor, New York Law School, 2021-Present; President, Public Investor Advocate Bar Association, 2024-2025; Senior Counsel, Napoli Bern Ripka Shkolnik, LLP, 2008-2013; Law Clerk to Alan C. Kay, United States District Court for the District of Hawaii, 2008; Associate/Summer Associate, Sidley Austin, LLP, 2005-2008; Summer 2004.

Over 20 years of experience in securities arbitration, commercial litigation, class actions and alternative dispute resolution. Represented investors, broker-dealers and investment advisors in over 1,000 arbitrations administered by FINRA, AAA, and other arbitral institutions. Served as an adjunct Professor at New York Law School and the President of the Public Investor Advocate Bar Association (PIABA), advocating for investor protection and fair arbitration practices. Argued precedent-setting cases and published widely on securities law and arbitration matters. Expertise spans litigation, policy advocacy, and legal education. Named Super Lawyers in 2024 and Rising Stars® for eight straight years (an honor given to the top 5% of attorneys), ranked AV® Preeminent™ by Martindale - Hubbell™ (the highest honor offered), ranked by the National Trial Lawyers as one of the Top 100 attorneys and Investment News Hot List 2024 - the only attorney awarded this title for influence in financial service industry.

Served as a party representative or mediator in over 500 mediations principally in complex securities arbitration and litigation. Some cases involved class actions and commercial litigation.

My mediation style is direct, pragmatic, and focused on resolution. I work efficiently to understand the underlying interests of each party and move quickly toward productive negotiation. I am not a passive presence; I actively manage the process, test the strength of arguments, and help parties assess risk to guide them toward a realistic, mutually acceptable outcome. Trust is essential to effective mediation. I work hard to gain the confidence of both sides early in the process by being well-prepared, respectful, and balanced. Once I’ve earned that trust, I can more effectively carry messages between parties, reframe positions, and reality-test settlement options in a way that each side can hear and absorb.

Willing to conduct arbitration hearings and mediations using on-line platforms such as Zoom. In addition, willing to conduct hybrid arbitration hearings and mediations. Willing to receive all submissions and evidence in electronic format (paper submissions are neither required or desired).

New York Law School (J.D., magna cum laude-2005); University of Vermont (B.A., Philosophy-2002).

Admitted to the Bar: Illinois, New York, Michigan; U.S. District Court: Southern and Eastern Districts of New York; U.S. Court of Appeals: Fourth, Sixth, Ninth, Eleventh, and Seventh Circuits.

Public Investor Arbitration Bar Association, President; American Bar Association, Alternative/Securities Dispute Resolution Committee, Member; American Arbitration Association, Financial Advisory Services Committee, Member; FINRA Arbitrator.

Publications Arbitration of Investment Adviser Disputes is Unfair, *Accepted for publication in the Case Western Law Review (March 2025). The Insurance Solution For Financial Advice Failures, *Accepted for publication in the University of Michigan Business & Entrepreneurial Law Review, (October 2024). Broker-Dealer Responsibilities for Supervising the Outside Investment Advisory Services of Dually Registered Brokers, 22 UC Davis Bus. Law Journal 231 (2022) Should Non-Attorneys Represent Parties in FINRA Arbitration for Compensation?, New York State Bar Journal, January 2015. Blue Skies for America in the Securities Industry... Except for New York, 19 Fordham J. Corp. & Fin. L. 587 (2014) The Inconsistent Dispute Resolution Process for Investment Advisers, ABA Newsletter, March 2013 Broker-Dealer Licensing: Understanding the Role and Limitations of the Series 6 License, Westlaw Journal, Securities Litigation and Regulation, Volume 17, Issue 7 (August 9, 2011), also available in the PIABA Law Journal. The Tax Consequences of Investment Recommendations and Communications- Do Brokers Have a Duty?, Practicing Law Institute, Securities Arbitration, 2011 Quoted regularly in various publications, including Thompson Reuters, the Wall Street Journal, Investment News, and the New York Times. Regular blogger for InvestmentWatchDog and Seekingalpha websites. Speaking Engagements Mandatory Investment Advisory Arbitration, Testimony to the Investment Advisory Committee to the Securities Exchange Commission (2024) Fraud Facilitation Scams, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2024) Updates in RIA Arbitration, Securities Industry Conference on Arbitration (2023-2024) Investor Rights Clinic & Seminar, University of Miami, Guest Lecturer (2024) Dealing with Rogue Arbitrations, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2023) The Effect of Court and Regulatory Decisions on Broker-Dealers, Speaker, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2020) From the Defense Perspective: Analyzing the Defense Strategies in FINRA Cases, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2019) Trial Techniques in Registered Investment Advisory Cases, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2018) Regulation Best Interest and Its Effect on FINRA Arbitrations, Speaker, New York State Bar Association, Annual Meeting (2018) How to Plead Damages in a FINRA Arbitration, Speaker, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2017) Annuity Seminar, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2015) Securities Arbitration: An Overview, Sole Speaker for the Deal School Transactional Lunch Workshop, (2015) Securities Round Table, American Bar Association - Commercial Litigation and Arbitration Section, Arbitrating FINRA Product Cases, (2015) American Bar Association, Commercial Litigation and Arbitration Section, Securities Round Table, Speaker, Arbitrating FINRA Product Cases, (2015) Securities Law Seminar, Speaker, 2013 Public Investors Arbitration Bar Association (PIABA) Meeting (2013) How to Arbitrate a Product Specific Suitability Case, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2011) Subprime Mortgage Crisis, New York Law School (2010) Running a Successful Practice in New York, New York Law School (2010 & 2011) Investor Rights Clinic & Seminar, New York Law School, Guest Lecturer (2012-2020) Investor Rights Clinic & Seminar, Pace Law School, Guest Lecturer (2011 & 2012)

Chicago, Illinois

Hourly Rate: Not provided Daily Rate: Not provided Study Rate: Not provided Cancellation: Not provided Cancellation Period: Not provided Comment: Compensation rates, established by the AAA, are set forth in the applicable Consumer Mediation Procedures.

English

United States of America

Chicago, Illinois