Securities Dispute Resolution Experience

Ms. Warren has extensive experience in the resolution of securities disputes, both through arbitration and mediation. Before becoming a full time dispute resolution professional, Ms. Warren represented a number of clients in disputes arising out of securities transactions. Many of her cases were successfully resolved through mediation.

While at JAMS, Ms. Warren has handled a number of matters involving issues surrounding the trading of securities. Ms. Warren was selected as an arbitrator on one of several cases administered by JAMS pursuant to the Non-SRO Pilot Program. The claim, which exceeded $5 million and was brought by a well known film director against a national brokerage firm, involved claims for failure to supervise, churning, and unauthorized trading (including trading on margin).

Ms. Warren's familiarity with the substantive law applicable to securities industry disputes, coupled with her strong mediation and consensus building skills make her an excellent choice as a mediator or arbitrator.

Ms. Warren is available to mediate or arbitrate securities disputes on a nationwide basis.

Representative Matters
  • Breach of fiduciary duty
  • Churning/switching
  • Failure to supervise
  • Margin trading
  • Misrepresentation/fraud
  • Selling away
  • Unauthorized trading
  • Unauthorized transactions
  • Unauthorized use of customer lists
  • Unsuitability
  • Warren's experience in the securities area also includes employment disputes between licensed representatives and their broker-dealer employer. She has handled and resolved a number of issues including:

    • Defamation
    • Discrimination (sex, race, age, sexual orientation)
    • Sexual harassment
    • Termination in violation of public policy
    • U5 issues
    • Unauthorized use of customer lists
    • Violation of trade secrets
    • Wrongful termination/breach of contract

Honors, Memberships, and Professional Activities
  • Bar Associations of Los Angeles, San Luis Obispo, Santa Barbara, and Ventura Counties (Employment, Real Estate, and ADR section member).
  • Mediation Panels: NASD panel member, Santa Barbara CADRE program, Ventura County Superior Court Mediation Panel
Background and Education
  • Vice President and Senior Litigation Counsel, Great Western Bank (subsequently acquired by Washington Mutual) handling local and national cases in employment, securities, banking, real estate, personal injury, and class actions, 1985-1997
  • Litigation Counsel, Bank of America, 1980-1985
  • J.D., cum laude , Loyola Law School, Los Angeles, 1980
  • B.S., Miami University, Oxford, Ohio, 1973

References
Email Ms. Warren to request a list of recent references at n.warren@verizon.net

JAMS Website:  http://jamsadr.com/


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