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An extrajudicial means of resolving a dispute between a broker and a client in which the parties agree to make their cases before an impartial person or panel. Very often, mediation is conducted through FINRA. Mediation is less expensive than arbitration and is certainly cheaper than a lawsuit.


A process for settling a dispute between an investor and a broker. The two sides employ a third party who attempts to find common ground that will resolve the dispute. Mediation is a less lengthy and less expensive alternative to arbitration. Each side must agree to mediation and either side may walk away from the process at any time. Compare arbitration. See also NASD Dispute Resolution, Inc.


Mediation is an informal, voluntary method of resolving disputes, in which the parties in conflict meet with a trained, independent third party to come up with a solution that's satisfactory to everyone involved.

For example, if you have a problem with your broker that you can't resolve directly with the firm, you can file a request for mediation with NASD, which oversees brokerage firms and has over 900 trained mediators to help resolve disputes.

Mediation is considered less expensive, less formal, and less confrontational than arbitration or lawsuits. But both parties must agree to use the process.

While you may retain a legal adviser during mediation, any resolution will be crafted with your direct involvement, which is usually not the case with arbitration.

Also, unlike arbitration, mediation is nonbinding, which means that if you're not happy with the outcome, you can stop the process, and either drop the issue or move to more formal proceedings.


a method of resolving INDUSTRIAL DISPUTES in which a neutral third party acts as a go-between to the parties in dispute. Typically, the mediator introduces proposals of his or her own as an aid to continued NEGOTIATIONS. It is a useful form of intervention where disputes have become especially acrimonious and the disputants are entrenched in their bargaining positions. Conceptually it is midway between CONCILIATION and ARBITRATION. See ADVISORY, CONCILIATION AND ARBITRATION SERVICES (ACAS), COLLECTIVE BARGAINING.


a procedure for settling disputes, most notably INDUSTRIAL DISPUTES, in which a neutral third party meets with the disputants and endeavours to help them resolve their differences and reach agreement through continued negotiation. In some countries, ‘conciliation’ is distinguished from ‘mediation’ according to the degree of intervention exercised by the conciliator or mediator in the process of encouraging the parties to settle their differences, with a conciliator refraining from advancing, and the mediator expected to advance, proposals of his own for possible settlements. Both forms of intervention leave the bargaining process intact, with any resultant settlement being agreed upon by all disputing parties. In the UK, the ADVISORY, CONCILIATORY AND ARBITRATION SERVICE acts in this capacity See alsoARBITRATION, COLLECTIVE BARGAINING, INDUSTRIAL RELATIONS.


An alternative dispute resolution (ADR) process in which a trained person assists disputants in coming to a solution that will be the best one under the circumstances for all involved.It is not binding,but many courts are now imposing mandatory diversion to mediation and a requirement that the parties negotiate in good faith to reach a settlement. Failure to settle may subtly impact a judge's decision regarding the party most at fault in a dispute.The American Arbitration Association,which also offers mediation services,maintains a Web site at

References in periodicals archive ?
In the pulpit in London in the early 1850s and on the lecture platform in Birmingham near the end of his life, Kingsley occupied a mediatory stance: in the former, negotiating the discourses of Christianity and Socialism and attempting to reconcile the working classes and the church and in the latter, as the bearer of a dire warning about the risks of degeneration, and negotiating for women's acceptance in the medical profession.
The parties also agreed to an "early reopener" in May 1999, which requires them to seek mediatory assistance from the National Mediation Board if a settlement is not reached within 6 months.
More importantly, the US is eager to play a mediatory role between India and Pakistan over the Kashmir issue and so, to address the root cause of nuclear proliferation in the region.
His apparent fancy for cultural cross-dressing both acknowledges the difficulties of anyone in a mediatory position (lack of clear allegiance and motive) and indicates the dubious status of anyone who displays either guilt or empathy whilst in metaphorical drag.
But the Ukrainian market and its gas transportation system are potentially interesting objects both for corporations and mediatory organizations to manage and generate profits.
To a question, Liqat Baloch said Pakistan and Turkey could play a mediatory role between Saudi Arabia and Yemen.
Addressing a press conference after presiding over a special meeting of the JI leaders at central, provincial and district levels, at Mansoora on Saturday, he said that Turkey and Pakistan should play mediatory role in the Gulf crisis.
Turkey has confirmed its mediatory role in the KRG oil sales.
Aziz recommended that Pakistan should play a mediatory role between Iran and the GCC states that could lead to peace and stability in the region.
When they [local villagers] went again on Thursday, someone called my brother and informed him about the presence of a strong force at the protest venue," he said, adding that his brother rushed to the spot to be a mediatory between the forces and demonstrators.
But Aletraris refuted claims it was his mediatory proposal that led to the application being withdrawn.
met here Sunday a visiting Iraqi delegation on Baghdad's mediatory efforts to