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Securities Mediation


Carlile Patchen and Murphy Partner, Dennis Concilla, is often asked to serve as a mediator in disputes related to the securities industry and other claims of professional misconduct and has been retained by litigants to conduct pre-mediation evaluations.

As the head of the firm’s Securities Practice Group which has received a top tier ranking from Best Lawyers in America, he has appeared before FINRA, the New York Stock Exchange, the Commodities and Futures Trading Commission, the Securities and Exchange Commission, and the Ohio Division of Securities as well as several other state securities regulators.

Dennis has served as an expert witness before NASD and FINRA arbitration panels, AAA arbitration panels, Common Pleas Courts, and State Securities regulators on topics related to the standards and practices within the securities industry. He has also been a speaker at NASD sponsored arbitrator training seminars throughout the Eastern United States.

This experience makes him ideally qualified to evaluate and resolve these types of disputes. Mr. Concilla has also received training in the process of facilitative mediation if that skill set is required to accomplish a settlement between the parties.

Mr. Concilla has been listed in Best Lawyers in America in the specialty of Litigation-Securities, Securities/Capital Markets, and Securities Regulation Law and has been chosen as an “Ohio Super Lawyer” in the securities law area. In 2013, Dennis was named "Lawyer of the Year" in the Securities/Capital Markets Law category by the Best Lawyers organization.

He has served as an instructor for Continuing Legal Education seminars sponsored by the Columbus, Cleveland, and Ohio Bar Associations on the subject of securities litigation and stock broker misconduct and served on a committee for The Ohio Judicial Conference to draft model jury instructions for securities litigation.

Dennis is a Member of the Securities Industry and Financial Markets Association, Law and Compliance Division; the American, Ohio State and Columbus Bar Associations and enjoys a Martindale-Hubbell rating of AV® Preeminent™*