Professional Details

Carole H. Aragon, JD, LLM in Dispute Resolution
Senior MediatorSenior MediatorSenior Mediator

Aragon Mediation

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38 Sea Colony Drive
Santa Monica, CA 90405


Description of Practice

This Mediator is Certified
A Member of the FINRA Roster of Mediators, and the FINRA Panel of Arbitrators, Aragon Mediation handles all forms of financial disputes and securities law mediations including customer disputes and employment disputes. Holding an LL.M. in Dispute Resolution, with a Specialty in Mediation, from the Straus Institute for Dispute Resolution (Pepperdine School of Law), and as an active member of the CA State Bar, I have handled over 250 mediations with a 97% success rate, and over 50 securities law mediations with a 92% success rate. I am an Expert Member of PIABA, and a member of the Dispute Resolution Section of the American Bar Association.

Professional Background

Member of the FINRA Roster of Mediators;
Member of the FINRA Arbitrator Panel;
Member of the SCMA (Southern CA Mediation Association);
Member of the ABA, Section of Dispute Resolution, Mediation Committee;
Member of PIABA, Expert Member;
Member of SIFMA, Special Member; Member of AAMS, Mediator, Speaker & Trainer, CA Lawyers for the Arts; Member of the State Bar of California;

Past association with Morgan Stanley as a Retirement Planning Specialist, holding Series 7, 61, 63, annuities, and insurance licenses, utilizing Balanced Portfolio Theories of Asset Allocation with a focus on Fixed Income investments.


Having handled hundreds of mediation cases in a wide variety of litigation matters in the areas of family law, entertainment law, landlord-tenant disputes, personal injury matters, civil harassment cases, and business litigation disputes, my primary focus is on all forms of financial disputes mediation, and securities law cases involving customer disputes and employment matters through FINRA.


LL.M. in Dispute Resolution, Specialty in Mediation, Straus Institute for Dispute Resolution, Pepperdine U. School of Law;
J.D., Southwestern School of Law, Los Angeles, CA;
B.A., Indiana University, Bloomington, IN


Dates    Trainer(s)    Title   
2011 - 2015    Various    LL.M. in Dispute Resolution, Straus Institute, 850
2012    Various    Mediating the Litigated Case, Straus Institute, 40
2013    Various    Professional Skills Program, Straus Institute, 28
2013    Various    Office of the City Attorney, Los Angeles, 40
2015, 2018    Ken Cloke    Center for Dispute Resolution, 80
2011 - 2016    Lee Jay Berman & Others    Southern CA Mediation Association, 48
2015 - 2016    Various    American Bar Association, Dispute Resolution Section, 15
2014-2018    Various    Public Investors Arbitration Bar Association, 30
2010 - 2018    Various    Financial Industry Regulatory Authority, 56
2017 - 2018    Various    Securities Industry & Financial Markets Association, 16
2014    Various    California Lawyers for the Arts, AAMS, 8


Evaluative using Facilitative Techniques to achieve a fair and durable result for all parties


$4,000, flat fee, West Coast, per 8-hour day, with no charge for an extra 2 hours, if necessary, and additional telephonic sessions to achieve a final resolution. I provide free parking, snacks and lunch if the parties choose to work through. $5,000, flat fee, East Coast & Mid-West (no charge for travel and accommodations), all else is the same as the West Coast fees.

Other Information

I was recently profiled as a Neutral in the Dec. 15, 2017 issue of "The Los Angeles Daily Journal". I've been trained by the top mediators in our field including Ken Cloke, Max Factor III, Robert Logan, Zena Zumeta, Peter Robinson, Tom Stipanowich, Ken Feinberg, Lee Jay Berman, Joan Goldsmith, Josh Stulberg, Lela Love, Jeff Paquin and David Talbot. I have successfully resolved hundreds of mediations with a success rate of over 95%. "No one wakes up happy to be in the midst of a financial dispute"; my goal is to help parties move past these difficult and emotionally-draining life experiences.

Areas of Practice

  • Animal (12 mediated)
  • Business (15 mediated)
  • Civil (general) (20 mediated)
  • Community (6 mediated)
  • Contracts (22 mediated)
  • Divorce (all issues) (8 mediated)
  • Elder
  • Employment (6 mediated)
  • Entertainment (15 mediated)
  • Estate Planning (7 mediated)
  • Family (8 mediated)
  • General
  • Health Care (2 mediated)
  • Landlord - Tenant (30 mediated)
  • Pet Mediation (12 mediated)
  • Prenuptial (5 mediated)
  • Probate (6 mediated)
  • Professional Fees
  • Real Estate (8 mediated)
  • Restorative (Juvenile) (4 mediated)
  • Securities (30 mediated)
  • Sexual Harrassment (5 mediated)
  • Trust Management (4 mediated)

Professional Services

  • Mediator
  • Systems Designer
  • Estate Planner
  • Mediator-Arbitrator
  • Mediation Consultant
  • Mediation Trainer
  • Mediating Lawyer
  • Arbitrator
  • Collaborative Professional
  • Facilitator
  • Advanced Mediation Trainer
  • Strategic Planning

References available upon request.

This dispute resolution professional keeps professional liability insurance.


      2017-12-15 C Aragon Profile.pdf 2017-12-15 C Aragon Profile.pdf
      Aragon Carole 2017 PIABA Expert DirectoryFINALa.pdf Aragon Carole 2017 PIABA Expert DirectoryFINALa.pdf
      AragonCaroleBio2016.pdf AragonCaroleBio2016.pdf
      Carole Helfert AragonCVJune2017.pdf Carole Helfert AragonCVJune2017.pdf