Browse: Home / Mediation Process

Mediation Process

Setting the Mediation

Parties typically contact me with all parties having already agreed to use my mediation services.  I am also happy to reach out to opposing parties to determine if they are open to mediation of a particular matter.  When you contact my office, please be prepared to provide the case name, names of all other parties, as well as preferred dates and location of the mediation. Please advise us if the parties have agreed in advance to something other than an equal split of the mediation fees. We will take it from there.

Confirming the Mediation

My office will email out a confirmation of date, time and location, as well as a retainer invoice. This will also be the final invoice unless the case runs over the scheduled time and the parties authorize any additional paid services.

Pre-Mediation Submissions

Briefs and/or detailed pleadings are extremely useful for me to be as prepared as possible for the mediation.  The parties may choose to exchange briefs or keep them confidential.  You may also choose to provide a confidential email or bried in addition to a shared brief.  I have adopted a paperless process so please email me your materials in .PDF format so I can load them to my IPad. If you prefer to use printed materials, please 3-hole punch and mail anything over 15 pages and send to the address on my home page. If you send it overnight mail, please mark it “no signature required.” While I ask for materials to be provided 5 days in advance of the mediation, I will take them later if you just can’t get them to me earlier.  I pride myself on being extremely prepared going into every mediation, so I will read what you send me.

I strongly encourage advance exchange of damage calculations such as Profit & Loss or other analyses so that parties can see if they are on the same page and we can avoid substantial wasted time at the mediation.

Attendance of Decision-Makers

Having the right people present at the mediation can be critical to our success. This is usually an issue that arises with corporate respondents/defendants rather than claimants/plaintiffs. With remote access and current communications, there is little excuse not to have people with full settlement authority reachable throughout the duration of the mediation hearing.

At the Mediation Hearing

Joint Sessions: My joint sessions typically consist of introductions followed by my brief opening remarks, after which I separate the parties into their respective breakout rooms. Rarely do parties make opening presentations anymore. If the parties have jointly decided to make opening presentations, we proceed to that phase of the mediation. Otherwise we adjourn to separate rooms to get started with the separate caucuses.

Comment regarding opening presentations: Because the current default is to avoid opening presentations by the parties, if you wish to make a presentation please notify me and all other parties in advance so no one is surprised or unprepared to respond.

Initial Caucus Meetings: My first and typically longest meeting with each party is usually geared toward filling in any knowledge gaps in my understanding of the case, hearing out the parties, ascertaining underlying interests and objectives, and gaining trust. Often lay people are not familiar with litigation and appreciate being educated on arbitration, the legal system, and the practicalities of being in what is to them a foreign and hostile environment. Sometimes they just need to vent.

After the initial meetings with each party, I am prepared to circle back and begin the process of providing evaluation and problem solving. I have always relied heavily on my instincts as to what style or method will be most effective given the particular nuances of each case. Sometimes a more facilitative approach is appropriate, while in others the parties require more evaluation.  Often blending the two is called for. The fascinating thing about mediation is there is no fixed path, as every case presents a different puzzle to be solved.

The Negotiations:  Some parties prefer to keep the cards face down and negotiate their own way with their objectives a secret.  In other cases, the parties may want my opinion on how to assist them in making an opening offer or demand, or achieving a certain ultimate objective or target zone.  I am fine with either approach, although I think I can add more value being  pro-active and less of a messenger of offers and demands.

Documenting the Settlement or Following up to Conclusion

Once the parties have reached agreement, we document it.  If the parties have not brought their own draft release agreement I will provide a “plain vanilla” form that can be filled out (see forms).  After all that work the last thing anyone wants is for the settlement to fall apart because of someone’s “buyer’s remorse.”

If the case falls into the relatively small percentage of cases we cannot settle in one day, I ask the parties to allow me to follow up until we can get it done.  For what I call “reasonable follow up” (up to an hour) there is no additional charge.  If the follow up is extensive I will ask permission to invoice the parties if I have contributed to the case settling. Otherwise I write it off.

  • “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