Mediator Resume

Thirty years of experience as a regulatory agency leader, large law firm partner and head of litigation for a Fortune 500 company. Worked on or managed consequential legal disputes in multiple industries, particularly financial services matters regarding securities and investment litigation and arbitrations involving broker-dealers, investment advisors and their customers, regarding product and sales practice claims, as well as employment, transition and recruiting matters. Additional work included commercial claims related to real estate development, insurance coverage, healthcare, intellectual property, landlord-tenant disputes, and joint ventures. Also represented several Plaintiffs in investment-related claims to successful settlements.

Apex Resolutions - Founder and Principal

Mediator, Arbitrator, Attorney

Founder/ Principal, Apex Resolutions, 2026 - Present; Senior Vice President/ Head of Litigation and Arbitration, LPL Financial, 2019 - 2026; Partner, Wyrick Robbins Yates & Ponton LLP, 2012 - 2019; Partner (2007-2012)/Associate (2002-2007), K&L Gates LLP, 2002 - 2012; Associate, Wyrick Robbins Yates and Ponton LLP, 2001 - 2002; Deputy Attorney General/ Securities Commissioner, Office of the Attorney General of South Carolina, 1997 - 2000.

SVP & Head of Litigation — Fortune 500 Co. (LPL Financial) Led a nationwide litigation and arbitration team for the largest independent broker-dealer in U.S. Managed hundreds of matters with aggregate risk in the hundreds of millions of dollars. Counseled C-Suite executives; collaborated with finance, risk management, regulatory, compliance, and M&A teams. Interim leader of Government Relations and chaired company Political Action Committee. Law Firm Partner (K&L Gates LLP and Wyrick Robbins Yates and Ponton LLP) Partner at international and regional firms representing broker-dealers, investment advisors, and financial institutions in litigation, arbitration, and regulatory defense matters. Represented several Plaintiffs in variety of investment-related claims to reach successful resolutions before trials. State Securities Commission (South Carolina Attorney General's Office) Deputy Attorney General: Served as Director of State Securities Division; managed attorneys and staff in enforcement, investigations, and regulatory policy. Advised Attorney General and state legislative committees on securities law issues. Peer-Elected to NASAA Board of Directors and Investor Protection Trust.

As advocate or as in-house head of litigation responsible for dozens of mediated matters: Financial services industry disputes regarding investor and securities claims against brokerage firms, investment advisors, registered representatives and insurance agents in alleged damages amounts ranging from $500,000 to over $75,000,000. Work included intra-industry disputes involving allegations of employees violating terms of recruiting, non-competition and non-solicitation agreements when moving to new firms. As Mediator: Commercial and business matters involving the financial services industry, banking, real property development and renovation projects, scope of advertising and marketing service contracts, employer-employee issues, elder law issues, landlord-tenant obligations, credit reporting, professional services payment and value disputes, partnership disputes, family office issues, collector car valuation and restoration matters, trust and estate disputes and investor claims against securities brokerage and investment advisory firms.

Commercial and business matters involving the financial services industry, banking, real property development and renovation projects, advertising and marketing service contracts, employer-employee issues, landlord-tenant obligations, credit reporting, aviation matters, professional services payment and value disputes, partnership disputes, family office issues, collector car valuation and restoration matters, trust and estate disputes and investor claims against securities brokerage and investment advisory firms.

My evaluative approach to mediation is based on and informed by thirty years of experience as a regulator, litigator, and in-house litigation leader. Over a career of evaluating both sides of complex financial services and investment-related disputes, whether as a state securities division director, a law firm partner, or the head of litigation at a Fortune 500 financial services company, I am an enthusiastic proponent of the mediation process as the most cost-effective way to control results. I thoroughly prepare with the materials provided in advance by the parties' counsel, and approach each mediation with a neutral's mindset, and a well-informed sense of the strengths, weaknesses, risks and realistic settlement value of the claims presented. As a mediator, I enjoy directly engaging the parties and their counsel by encouraging their ability to control the outcome of their dispute and I candidly share my perspective and evaluation of the merits and challenges faced by their respective positions. When, however, the matter or personality dynamics call for a more creative and flexible method to help motivate the parties toward a pragmatic resolution, I can readily adjust to a more facilitative mode by actively listening, using more of an interest-based dialogue, and creating an environment in which all parties can express themselves and feel authentically heard. Whether the situation calls for a frank, candid assessment of financial and reputational risks, or a more patient exploration of what each side needs to state and listen to in order to walk away satisfied, I tailor my style to what the dispute and personalities may require. My goal in every mediation is to help the parties achieve a durable resolution that they can accept with confidence rather than regret. In conjunction with promoting the benefits of mediation, I respect the parties' decision to agree to the process and strongly encourage them to provide me with their best assessments in advance of the mediation so that we can have a most productive session. Having managed and been responsible for achieving favorable outcomes over a career in which hundreds of millions of dollars in aggregate litigation exposure were at stake, and having counseled clients and corporate executives through many high-stakes decisions, I can relate to the range of emotions and stress that the parties and their counsel are experiencing. My experience and the judgment developed from it facilitate my ability to motivate the parties to reach a resolution.

Very experienced in conducting virtual hearings and meetings with multiple parties via Zoom, Microsoft Teams, Webex, and GoToMeeting.

University of South Carolina School of Law (J.D. - 1997); Washington & Lee University (B.A., cum laude - 1985).

Admitted to the Bar: North Carolina (2001), South Carolina (1997); California Registered In-House Counsel (2019 - 2025).

Financial Industry Regulatory Authority (FINRA), North Carolina State Bar, South Carolina State Bar.

Multiple panel appearances over the past several decades include SIFMA and PIABA national conferences, investor protection and enforcement speeches to civic organizations, and presentations of mock arbitrations and regulatory familiarity training for attorneys. Most recent presentations: Speaking Engagements: Public Investors Arbitration Bar Association (PIABA) 2025 Annual Meeting, Motions Practice Panel, Amelia Island, FL; Securities Industry and Financial Markets Association (SIFMA) 2024 Annual Conference, Litigation Panel, "Modern Negotiations: Embracing Change and Best Practices for Success," Orlando, FL; SIFMA 2022 Western Regional Seminar, "Current Developments in Litigation and Arbitration," San Francisco, CA; SIFMA 2019 Western Regional Seminar, Litigation and Arbitration Panel, San Francisco, CA. Publications: Most recent publication: LinkedIn Article, "Why Mediation Will Always Need a Human Pilot" (April 7, 2026).

Hourly Rate: $600.00 Daily Rate: Not provided Study Rate: $600.00/hr Cancellation: $5,000.00/Day Cancellation Period: 7 Days Comment: Travel, Accommodations and Meal Expenses - Paid by the Parties to Reimburse the Mediator: When traveling, airfare will be based on the normal coach class fare used. Ground transportation costs will be based on the reasonable amount used for either ridesharing services or rental vehicles. The per diem rate for meal expenses is $150. Hotel expenses will be limited to $450 per night, unless the parties choose accommodations in excess of such amount, in which case the limit will be increased to cover such costs. Cancellation Policy: If Mediator receives notice of cancellation within 14 days of the hearing date, 50% of the reserved time will be due and payable. If the cancellation notice is received within 7 days of the hearing date, 100% of reserved time will be due and payable. Mediator will make reasonable efforts to mitigate lost time if rescheduling permits.

English

United States of America

La Jolla, California