Howard S. Eilen

Mediation Background:

Howard is nationally known for his thorough preparation and ability to help parties reach a settlement and closure that is fair and realistic, and in the range of what may be expected after trial or hearing, using his extensive professional and mediation experience.

Since 1992, I have successfully mediated over 3,000 cases and claims, including group claims, involving a multitude of diverse customer and employment matters filed against both national and regional brokerage firms, and financial institutions, with a documented settlement rate of over 90%.  My approach to mediation is principally evaluative and "hands on".  I am always FULLY prepared for every case and do read and study the materials submitted by counsel.

Matters Mediated: 

• Lack of Suitability
• Churning
• Senior Investors
• Fraud and Omissions
• Alternative Investments and REITS
• Annuities and Insurance Products
• Unauthorized Trading
• Options, Futures and Swaps
• Wrongful Termination
• U-5 Defamation
• Raiding and Unfair Competition
• Derivatives and Structured Products
• Margin and Portfolio Margin

Speaking Engagements:

• Contributing Author and Lecturer: Ponzi Schemes, How to Spot Them and What to do About It, Nassau County Bar Association, Academy of Law. 
• Panelist, Advanced Mediation Workshop-Special Topics: Group Cases and Retirees, Securities Industry and Financial Markets Association.
• Contributing Author and Lecturer, Securities Arbitration and Mediation: Breaking the Deadlock- Impasse Breaking Techniques, New York State Bar Association.
• Contributing Author and Lecturer: Securities Arbitration. Practicing Law Institute in New York.
• Contributing Author and Lecturer: Mutual Funds, Fee-Based Accounts and Other Suitability Land Mines, Financial Planning Association of Long Island.
• Contributing Author and Lecturer: Accountants as Registered Reps, Regulatory and Liability Issues, New York State Society of Certified Public Accountants, Foundation for Accounting Education.
• Contributing Author and Lecturer: Securities Mediation Advocacy: Prosecuting & Defending Customer Claims Against Stockbrokers, Pennsylvania Bar Institute.
• Contributing Author and Lecturer: Current Trends in Securities Arbitration and Mediation, Nassau Academy of Law.
• Contributing Author and Lecturer: Securities Arbitration, Winning Trial and Settlement Techniques in a Declining Market, Nassau Academy of Law.
• Contributing Author and Lecturer: Securities Arbitration,Summary Judgment Motions in Securities Arbitration, Nassau Academy of Law.
• Contributing Author and Lecturer: Securities Arbitration, Prosecuting and Defending a Securities Arbitration Case, Nassau Academy of Law.

Other Engagements:

I have served as a Special Master in the New York State Court System where I supervised discovery in a major securities fraud class action matter, and ultimately mediated a global settlement.

I was appointed by the Securities Commissioner of the Commonwealth of Massachusetts to administer and mediate an entire class of customer claims against a major brokerage firm pursuant to a Consent Order.

I was also appointed as a special arbitrator by the Securities Commissioner of the State of New Hampshire to determine and decide a sales practice issue with respect to a securities offering to its state residents.  

I have also been appointed by the U.S. Bankruptcy Court to mediate disputes pertaining to the forced liquidation of trading accounts and positions.

I also mediate court initiated commercial cases involving shareholder, corporate, partnership, and limited liability company disagreements and dissolutions, breach of contract, unfair competition, covenants not to compete, and employment and workplace issues.

I was voted by my peers as one of the top leading judges in America who reflect the very best of the public and private bench, as published by Lawdragon Magazine.

Professional Background:

I am a founding partner of the law firm Lehman & Eilen LLP in Uniondale, NY (www.lehmaneilen.com). I have over 45 years of extensive practical and legal experience in the commodities, securities and financial services arenas.  I have successfully prosecuted and defended claims filed in court and arbitration against brokers and other registrants arising under the federal securities and commodities laws, state Blue Sky laws, as well as the Racketeer Influenced and Corrupt Organizations Act. I have represented firms and individuals in enforcement proceedings and investigations conducted by the Securities and Exchange Commission, Commodity Futures Trading Commission, New York Stock Exchange, FINRA and state regulators.

• St. John's University School of Law, J.D. 
• City University of New York, B.A. summa cum laude.
• City University of New York, M.A. 

• American Bar Association: Section on Dispute Resolution.
• New York County Lawyers Association.
  • Committee on Securities and Exchanges.
  • Committee on Alternative Dispute Resolution.
• New York State Bar Association.  
  • Dispute Resolution Section.
• National Academy of Distinguished Neutrals, Charter Member

FINRA Dispute Resolution - Mediator. (1992 - Present).

Please e-mail heilen@lehmaneilen.com for details and up to date availability.