My role is to guide the parties through the mediation process and help them exchange perspectives and information and support them in meeting their mediation goals.
I help parties reach solutions collaboratively and respectively, without going to court. I listen to the facts very carefully and I provide the participants an opportunity to be fully heard, then ask the tough questions. My goal is to provide an affordable, less stressful alternative to litigation that will keep the parties in control of their own future. My approach ensures that everyone involved feels satisfied about every outcome. I advance respectful communication, self-determination and creative solutions to problems.
I act as a facilitator of the process and allow the parties to develop their own solutions based upon common needs or interests. I tend to avoid suggesting outcomes, believing that the best agreements are those crafted by the parties themselves. Such collaborative agreements are more likely to meet the parties’ substantive, procedural and psychological interests.
I am recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Mediator and Arbitrator and a Certified Mediator by Mediate.com.
I am a highly effective and skilled Mediator and passionate about helping the parties settle their disputes and committed to getting their issues resolved in generally one session.
I serve as President Barrington Financial Consulting, Inc., where we provide ADR and litigation consulting services on a national basis. I am also the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Minnesota Registered Investment Adviser that I established in 1988. I have 35 years of experience in all sectors of the financial services industry ranging from: Financial Adviser, Registered Securities & Option Principal, Chief Compliance Officer, and Executive Management.
I am on the Board of Directors for the Securities Experts Roundtable and the Master Registered Financial Consultants organization, (MRFC), which is a part of the International Association of Registered Financial Consultants (IARFC), a world-wide organization with chapters across the globe.
I proudly serve as FINRA Mediator and Dispute Resolution Chair for FINRA and the National Futures Association (NFA). I am an unbiased and impartial Arbitrator rendering binding decisions between disputing parties in securities and insurance matters.
I serve as the Membership Chair for the Minnesota State Bar Association (MSBA) Alternative Dispute Resolution Section and have also been a guest speaker and panelist to our section on FINRA Arbitration.
I am one of the most active Mediators for the Better Business Bureau (BBB) of Minnesota where I facilitate a wide-range type of case and volunteer for the Community Mediation and Restorative Services, Inc. (CMRS) in Minneapolis, MN.
My objective as a Mediator is to fully understand both sides of a dispute and build trust with both parties in order to establish a sound foundation to build upon. I have the interpersonal skills to connect early in the process with the parties to make them feel comfortable. My approach to a successful mediation combines traditional and innovative techniques which foster a positive environment. As an effective listener, I ensure the participants fully express their views and objectives while carefully and respectfully advancing productive communication. Initially, I use a facilitative approach with a caucus method to discuss the case privately with each side. If requested by all parties, I offer an impartial opinion on how the dispute may be interpreted by an arbitration panel and provide possible solutions for the parties to consider.
As a skilled mediator with broad financial services experience, I remain objective and impartial to assist the parties to evaluate their case from multiple perspectives. I promote a productive and respectful environment to aid in the resolution of the dispute. My extensive knowledge and experience of industry rules, regulations, and the FINRA Code of Mediation facilitates the process with a high degree of success. I am fully committed and engaged with both sides until the underlying matter is resolved. As a strong advocate of mediation, I believe parties will benefit from the process with the assistance of a skilled mediator who clearly understands FINRA arbitration process and the securities industry.
* Mitchell-Hamline Law School – St. Paul, MN Mediation Certificate
* Mitchell-Hamline Law School – St. Paul, MN Arbitration Certificate
* Qualified through the National Arbitration and Mediation Committee
* Certified Fraud Examiner, CFE® Association of Certified Fraud Examiners
* Accredited Investment Fiduciary AIF®
* Master Registered Financial Consultant MRFC
* Life Underwriters Training Council Fellow (LUTCF) The American College
* Completed 8 FINRA Arbitration Courses – though FINRA
* Completed FINRA Arbitrator’s Chairperson examination
* FINRA Registered Options Principal – Series 4
* FINRA General Securities Principal – Series 24
* FINRA Investment Adviser Combination Examination – Series 66
* NFA – Series 3 Examination – Futures and Commodities
My fees are based on the time and complexity and topic of the dispute and are fully disclosed. I also provide pro bono mediation in certain situations, where time permits.