Annual Meeting Sponsors

Meeting Bag Sponsor
Drawing on nearly 20 years of experience in the securities industry, Kathy’s nationwide mediation practice focuses on securities matters, with an eye toward settling cases by collaborating with parties to evaluate and value factual and strategic strengths and weaknesses. She brings a working knowledge of issues involving customer‐initiated actions, member disputes, clearing, employment, promissory notes and other related matters. Her experience extends from basic securities to highly complex products, margin and options strategies, suitability and supervision, termination/discharge, U‐4/U‐5 reformation, loans, operational issues and more. Kathy brings a flexible approach to mediation, using negotiation strategies designed to fit the needs of each individual case. Having lived and appeared before panels and courts in several geographic location across the country, Kathy can often add a local perspective to dispute resolution.

Large Notepad Sponsor
The Tilkin group represents the convergence of securities expert witness, arbitration consulting, testimony and forensic analysis. 

We provide arbitration consulting, expert witness, litigation support, strategy, forensics and hearing testimony to private practice attorneys litigating securities related claims and in-house and private counsel protecting their clients against litigation.

Testimony has been provided in the following venues; FINRA, AAA, JAMS and the Securities and Exchange Commission.

App Sponsor
Mr. Campbell has a broad and deep background in various dimensions of financial services, portfolio construction, investment management and risk management. He has worked as a Managing Director in investment research and portfolio construction for a multi-billion dollar asset manager, as a Managing Director in risk management for a major investment bank, as a commissioned registered representative, a funding officer and as a credit analyst and loan officer.  Mr. Campbell is an Approved FINRA Dispute Resolution Arbitrator, a Chartered Financial Analyst®, a CERTIFIED FINANCIAL PLANNER™ and a Securities Experts Roundtable Member.  Mr. Campbell has served as a financial expert witness on behalf of defendants and plaintiffs in both onshore and offshore jurisdictions. He has been retained by institutional investors, high net worth investors and large global diversified financial institutions.

App Sponsor
Michael Pysno has a unique understanding of how broker/dealers analyze risk and settle disputes.  Michael has practiced law and been involved in dispute resolution for over 34 years.  He began practicing as a mediator, and attorney after leaving RBC Wealth Management, where he was the managing litigation attorney for nearly ten years. Michael has deep knowledge and broad experience in financial services—Broker/dealer, securities regulation, insurance, banking and trust—as well as employment.  Michael brings strong interpersonal and case evaluation skills to every case, along with a great sense of fairness, equity and understanding of what drives disputes and the parties engaged in them.

 

Note Pad Sponsor
Expert testimony and Consulting for cases involving investment loss resulting from misconduct or negligence of Broker, Financial Advisor, or Firm.

App Sponsor
Securities Claims Management provides affordable damage analysis, expert witness testimony, consultation and litigation support services to individual investors and the attorneys who represent them in customer-broker disputes.

SCM excels in case review and evaluation, detailed damage reports, trade-by-trade analyses, account audits, model portfolio comparison, market adjusted damage calculations, creative exhibit design, discovery and document management.

Robert N. Jones is a securities litigation consultant, damages analyst, expert witness, Chartered Financial Consultant®, Certified Fraud Examiner® and FINRA Arbitrator.

Sticky Note Sponsor
Aragon Mediation is a financial disputes mediation practice dedicated to helping you effectively, efficiently and creatively resolve your financial and FINRA-related conflicts.