Practice: Financial Markets

Uniquely Qualified Neutrals

The experienced neutrals of the JAMS Financial Markets Group are uniquely qualified to resolve complex securities and financial markets disputes. The panel includes some of our most prominent Resolution Experts from across the United States, including retired federal, state trial and appellate judges and former litigators. They have years of dispute resolution experience and relevant industry expertise and receive ongoing training in financial markets litigation and ADR. JAMS neutrals are particularly skilled at evaluating litigation risk and facilitating resolution at a time when the actions of financial institutions are the subject of unprecedented public and regulatory scrutiny.

These distinguished mediators and arbitrators have handled thousands of high profile matters involving the world’s largest investment banks, securities firms, commercial banks, institutional investors, hedge funds and private equity firms. They frequently resolve disputes involving financial fraud, market manipulation, collateralized debt obligations, investor class actions, breaches of contract and fiduciary duties as well as securities, bankruptcy and antitrust litigation.

Cost-Effective Resolution

The world’s largest private ADR provider, JAMS has delivered cost-effective dispute resolution services to a broad range of clients for more than 30 years. We offer mediation, arbitration, e-discovery special masters and other custom ADR processes tailored to resolve credit crisis and financial matters. JAMS neutrals are chosen for their proven ability to resolve difficult disputes quickly, providing significant savings of time and expense for all parties.

Our efficient case management system and network of local JAMS Resolution Centers in major cities throughout the United States and the European Union make us well-equipped to handle the logistics related to resolving both individual and large, multi-party class disputes.

Sample Cases

• The underwriting of securities and the purchase and sale of securities in the public financial markets as well as in privately negotiated transactions;
• Claims brought by and against sophisticated financial institutions involving large borrowers, guarantors, and other providers of credit support such as insurance companies;
• The relative rights and obligations of secured and unsecured creditors, bondholders and shareholders in companies that have filed bankruptcy and claims seeking to void transfers as preferences or fraudulent conveyances;
• The sale and marketing of complex financial products such as swaps and other forms of derivatives to institutional investors, municipalities and individuals;
• Alleged false and misleading statements in a financial institution’s own public filings;
• Class action lawsuits challenging the manner in which financial institutions market and service financial products, as well as lawsuits involving retail bank deposit and collection procedures, mortgage lending and foreclosure practices and securitizations; and
• Claims arising under the antitrust laws involving the sale and marketing of various investment banking products and retail products such as credit cards.