Professional Details

Richard Ponce
Associate Mediator

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1477 Colorado Boulevard
Suite 3
Los Angeles, CA 90041
USA
3234462780
Fax: 3234462789

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Description of Practice

Mediating securities disputes based on documentation. Review securities brokerage and advisory cases with the client's stated interests and objectives in mind. Mediating tax practitioner data to determine if client received services paid for and/or as requested.

Professional Background

1988 to 1991 - Examiner - National Association of Securities Dealers, Inc. - Financial & Operational Unit 1988 to 1989 - Cause Investigations Unit - 1989 to 1991. 1991 to 1999 - Staff Accountant & Securities Compliance Examiner - U.S. Securities & Exchange Commission 1999 to 2000 - Chief Compliance Officer - Providential Securities, Inc. 2000 to 2002 - Field Compliance Director - American Express Financial Advisors. 2002 to 2005 - Branch Manager and Financial Advisor - American Express Financial Advisors, Inc. 2005 to 2006 - Financial Advisor - Western International Securities, Inc. 2006 to 2008 - Compliance Sales Manager - Bisys Regulatory Services, Inc. 2008 to 2009 - President - Advisors & Brokers Regulatory Services, Inc. 2009 to 2010 - Credit Union Examiner - National Credit Union Administration. 2010 to 2017 - Vice President & Regional Compliance Officer - Centaurus Financial, Inc. 2017 to Present - Branch Manager & Financial Advisor - Crown Capital Securities, LP 2015 to Present - President - RCP Accounting & Tax Services, Inc.

Experience

From 1999 to 2017 I handled many customer complaints and investigations at the various firms I worked at. As such, I attempted to mediate and secure settlement agreements with parties so as to avoid litigation.

Degrees

Master of Business Administration - January 2001 - University of Phoenix Bachelor of Science in Business Administration - June 1987 - California State University, Los Angeles.

Training

Dates    Trainer(s)    Title   
1995    U.S. Securities & Exchange Commission    EEO Training - 40

Approach

The attempts I have made have always taken into account the idea that I do not believe in the "no-win" scenario and I try to get buy in from both parties.

Fees

Daily fees are $2,500 plus travel and meals.

Other Information

I have engagement letters and these will be used in all assignments. I will not consider any case if there are missing documents or either side appears to be elusive or contradictory in their response in relation to any documents reviewed.

Areas of Practice

  • Insurance
  • Securities

Professional Services

  • Mediator

References available upon request.

This dispute resolution professional keeps professional liability insurance.