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FINRA® Securities Mediator & Minnesota Rule 114 Qualified Neutral Expert
In the high-stakes world of securities and broker disputes, an effective mediator brings more than neutral facilitation—they bring deep, practical understanding of the industry itself. With more than 40 years in financial services—beginning in insurance in 1982 and securities in 1983—I offer mediation and service as a Qualified Neutral under Minnesota Rule 114.
My approach centers on empowering parties through mediation: a process that delivers greater control, substantially lower costs, faster resolutions, and far less emotional toll than prolonged adversarial litigation or arbitration.
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Founder, President, and Chief Compliance Officer – Barrington Capital Management, Inc.
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President – Barrington Financial Consulting Group, Inc.
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Certificate programs in Securities Law and Securities Registration – Cornell Law School
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Former Branch Manager, Registered Representative, Investment Adviser Representative, and Registered Securities Principal
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Former FINRA® Registered Securities Principal
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Former FINRA® Registered Options Principal (ROP)
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Securities expert witness since 2012, offering insider perspective on case evaluation in arbitration and court settings
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Professional designations: CSCP®, AIF®, CFE®, MRFC®, LUTCF®, and Certified Financial Fiduciary®
This breadth of experience—combined with over 15 years as a FINRA Arbitrator—allows me to quickly assess strengths, weaknesses, risks, and likely outcomes, helping parties move efficiently toward durable resolutions.
My Mediation Philosophy: Flexible Dual-Track Expertise. I tailor the process to the unique needs and preferences of the parties, blending facilitative and evaluative elements for maximum effectiveness.
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Facilitative Core - My primary approach guides respectful, structured dialogue that fosters open sharing of information, perspectives, and underlying interests.
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Evaluative Reality Testing - Upon unanimous request, I provide impartial, evidence-based feedback on how a FINRA® arbitration panel (or court) might likely view key facts, legal positions, risks, or damages—drawing directly from my extensive arbitrator experience.
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Party Self-Determination - Any evaluative input serves only as a tool; the ultimate decision and terms remain fully in the parties' hands.
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Creative, Collaborative Solutions - I actively support innovative problem-solving to craft agreements that address substantive issues, procedural fairness, and practical realities for lasting satisfaction.
The Mediation Process: Structured for Success
I follow a clear, professional five-step framework designed to promote efficiency, confidentiality, and balanced participation:
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Preparation & Pre-Mediation Exchange – Parties submit and share concise position statements in advance to clarify core issues and streamline the session.
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Joint Opening Session – All participants convene to set goals, agree on ground rules, and establish a foundation of respectful communication.
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Private Caucuses – Confidential individual meetings allow candid exploration of interests, concerns, and potential settlement options.
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Negotiation & Reality Testing – Through shuttle diplomacy and—when requested—targeted evaluative insights, we bridge gaps and rigorously test proposed resolutions for viability.
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Agreement & Documentation – If terms are reached, I assist in finalizing and documenting a clear, enforceable voluntary settlement.
Flexible Delivery Options Sessions are available in-person, fully virtual, or hybrid—using secure, user-friendly platforms that support private breakout rooms, real-time document sharing, and the same high standards of confidentiality and engagement.
Contact me today to discuss your specific dispute, confirm availability, or request my current fee schedule and additional details. I look forward to helping parties achieve efficient, equitable resolutions that preserve relationships and resources.