Browse: Home / Background

Background

Travel: My love of negotiation came to me at an early age. My parents believed there was no better education than seeing the world. They saved enough by hard work and a frugal lifestyle to take our entire family of six on two year-long trips around the globe before I entered high school. By the time I was 14 I had visited nearly 100 countries, a list to which I continue to add whenever possible. We learned to negotiate with the locals for souvenirs, from South America to Africa and the Far East. My father, older brother and I crossed equatorial Africa in Land Rovers where we bargained with Pygmies and Tuareg tribesmen for daggers and carvings. I became a student of the art of cross-cultural negotiation from a very early age. That experience now serves me well as a mediator, as I am often called upon to negotiate with people of many different nationalities and backgrounds.

Formal Education: I graduated from Santa Clara University in 1980 with a Bachelor’s of Science degree as well as the all-time scoring records from 4 years of Varsity soccer. After a brief stint as a preseason professional soccer player with the San Jose Earthquakes, I attended the University of San Diego School of Law, where I was Comments Editor of the Law Review and recipient of numerous Moot Court awards. After graduating in 1983 I served a one-year judicial clerkship with Sr. Judge and Chief Judge Emeritus A. Andrew Hauk in the US District Court, Central District.

Law Career: At the conclusion of my term with the Federal Court, I joined the Long Beach office of Keesal, Young & Logan, where I focused on securities, insurance, maritime and general business litigation. I passed the Hawaii Bar Exam in 1985.

During my 13 year tenure at KYL, I tried numerous cases in state and federal courts, as well as arbitrations before the NASD, NYSE, Pacific Stock Exchange, and AAA. I became a shareholder of the firm in 1990.

Mediation: In early 1997 I left the firm to start my own mediation practice.  While I have also served as an arbitrator and chaired panels for the NASD, NYSE and Pacific Stock Exchange, I have during the last 20 years or so chosen to focus exclusively on mediation. Since 1997 I have mediated over 4000 cases, from Hawaii to New York and most states between.  I am highly committed to the process and take great pride in assisting parties in achieving a resolution of the most difficult of legal problems.

Panels: I have been a FINRA mediator since 1998, when it was the NASD and NYSE. I have also been a Settlement Officer for the U.S. District Court, Central District, for over twenty years.  From 2006 to 2008 I served a 3-year term as Chairman of the Mediation Subcommittee of the NAMC (National Arbitration and Mediation Committee), responsible for making recommendations to the SEC regarding arbitration and mediation.

Personal Interests: When I am not mediating or preparing for hearings, I enjoy traveling with my wife and two children, surfing, skiing, biking and taking long walks with my COVID dog Otis.

  • “We mediated a FINRA claim with Scott Douglas in December 2020.  The Zoom format was easy, effective, and efficient; and Scott was adept at managing the session.  Our client was the claimant and the respondent was a major brokerage.  We were impressed with Scott’s professionalism and experience.  He was able to settle a case that, at one point, looked unresolvable.  We recommend Scott as a FINRA mediator.” Mark Van Wagoner, Tom Barton, Salt Lake City UT
  • “Scott is the best securities mediator I know of, and that is because he gets cases settled. He uses smarts, persistence and creativity, and no one understands FINRA issues better.  Scott has also done a remarkable job in adapting to the restrictions of the pandemic, developing a mastery of Zoom that makes remote mediations just as effective as in-person ones.  I wouldn’t be surprised if these Zoom mediations continue long after the pandemic is over.” Jeffrey Feldman, San Francisco, CA
  • “I have been fortunate to be able to use Scott many times over the past 15 years as a mediator.  He is very knowledgeable about the securities industry, and is quick to identify and address issues that could become impediments to settlement.  He is compassionate, insightful, and one of the best in the business.  I recommend him to anyone looking for a thoughtful, experienced problem solver.”  David Liebrader, Las Vegas NV
  • “Scott, thank you for the time you spent recently helping our clients resolve their disputes with [Respondent]. Your mediation style was professional, respectful, and ultimately effective. Thank you again. I wish you the best.” Trent Latta,  Seattle WA
  • “Our firm’s practice is focused on FINRA Securities Arbitrations.  Over the years, mediation of these cases has entered the equation in a major way. For the past 15 years, we have utilized Scott’s services, much to our client’s satisfaction.  Scott is fair, even tempered, personable with the knack of connecting with a variety of our clients, and is resourceful in drawing upon a reservoir of mediation “tools” for breaking difficult impasses between previously intransigent litigants.  I genuinely appreciate Scott’s obvious preparation and knowledge of the issues, which he brings to the mediation sessions.”  Jonathan W. Evans, Studio City CA
  • “Scott is one of the most knowledgeable and effective mediators in the business. He has settled cases that I never thought would settle.”Eric Woosley, Law Offices of  Woosley & Porter, Santa Barbara, CA.
  • “I have worked with Scott numerous times. Although many of the cases involved difficult clients on both sides, Scott was able to resolve all of the cases. Scott has always been well prepared and very knowledgeable on all the legal and factual issues. I highly recommend him.” Tom Bradley, Reno NV
  • “Scott has limitless patience, and will work long hours (or even days) to get a deal done. He has developed many techniques to keep the parties talking and help them find common grounds. Based on his many years as a practicing lawyer and mediator, I also appreciate and respect his evaluations of my cases.” Neal Robb, Keesal, Young & Logan, Long Beach CA
  • “Scott is the consummate professional neutral who is always well prepared. He works hard to forge a good relationship with the litigants which he then employs to good effect as negotiations proceed. He seems to thrive in mediations involving especially difficult cases.” Jay Simpson, Lewis & Roca, Phoenix AZ
  • “Dear Scott – I want to thank you for redeeming my faith in the legal system. How blessed we were to have a man of your caliber in charge of our mediation on March 10. You did a great service, and we are deeply thankful. Sincerely, Terry H.“  Pacific Palisades, CA (disability claim plaintiff).
  • “I represented a plaintiff in a FINRA arbitration in Portland, Oregon. When Defense counsel suggested Scott Douglas as a mediator, my initial reaction was that they thought he would be helpful to the defense. In fact my underlying paranoia did not turn out to be justified. Scott was in all regards competent and professional. First, he was knowledgeable about the area of the law, which is important. Second, he is quite smart and understood the facts, and their implications, without having to have nuances explained to him. Third, he was very easy to communicate with. And fourth, he stayed engaged and completed the mediation by telephone after an initial face-to-face session. The result was quite satisfactory.  Scott handled the entire matter without siding or appearing to side with any of the parties, and ably assisted in letting the parties get to where they needed to go.” John Berman, Portland OR
  • “Dear Scott: Allow me once again to thank you and praise you for your efforts. I was particularly impressed by your ability to keep the balls in the air during the lengthy time the parties were so far apart that resolution appeared highly unlikely. Very truly yours, Richard D.” (in-house counsel for major bank).
  • “Scott Douglas is a highly effective mediator.  He is very knowledgeable in securities arbitration, highly ethical, hard working, and respected by both the Claimants and Respondents’ bars.” Marc Zussman, Los Angeles CA
  • “In the realm of securities arbitration it is important to work with someone who specializes in the field.  This is especially true when it comes to mediators.  Scott has handled more securities mediations than most.  It’s his specialty and he knows it inside out.  There is nothing worse than having to explain the case to a mediator.  You never have to do that with Scott. That precious time can then be devoted to resolving the case.”  Kirk Smith, Shepherd Smith Edwards & Kantas LLP
  • “Dear Scott: My client and I want to thank you so much for settling the above matter.  To be honest, I did not think there was a chance in hell that the case could settle.  But you were able to bring the parties together through your exceptional thoroughness, persistence and professionalism.  We never could have settled the case without you.  Thank you again.”  Leonard Steiner, Beverly Hills, CA
  • “Dear Scott, I would like to say how grateful we are for all that you did to resolve our differences with the brokerage. It is my view that you conducted yourself in the most professional and kind manner. I greatly appreciate your patience and willingness to work with us and inform us of what was seen as a realistic and achievable conclusion …  Again we are deeply grateful for your service in bringing the issue to a conclusion.”  M. Kempton, Gilbert AZ
  • “I wanted to reach out personally to thank you for all of your extraordinary efforts to settle the *** case. You are a class-act and extraordinary mediator. All the best,” Omar H. Bengali, Girard/Bengali  Los Angeles