About Kathy

My Philosophy

Tenacious is the word I hear most often when we resolve a case the parties thought couldn’t settle. I want your case to settle and work tirelessly to make that happen. It’s how I’ve built my business and how I run my practice. It’s why my clients call on me to help resolve cases Coast to Coast and Everywhere In Between.

My practice largely focuses on matters involving the financial services industry, its customers and its employees or independent contractors. With more than 20 years of experience in and around the industry, I have served as in-house counsel for a large broker-dealer, as a consultant for claimants’ counsel, as outside counsel representing financial services firms and brokers/advisors, as a FINRA arbitrator and as a mediator. I have working knowledge of a wide range of financial services products and procedures, the rules that govern the conduct of industry professionals and their firms, employment and recruitment protocols, partnership breakups, E&O, D&O and other coverage issues.

Sometimes everyone arrives at mediation with similar evaluations of the merits, the damage universe and how the case should resolve. Other times, the parties hold fundamentally different views of the operative facts and relevant time frames, advance divergent damage theories, and have dim outlooks for settlement. In those instances, we may need to examine key documents or take a deeper dive into the key facts and the damage analyses. We may need to consider more creative ways to bring the parties to agreement. The tough cases – the ones that require critical thinking and novel approaches -- are the ones I enjoy the most.

While working through facts and numbers is vital, I always remember the human element to mediation. Your clients who are company decision-makers can rest assured that I understand their business and speak that language. For clients who may be experiencing litigation for the first time, I guide the process in a way that is compassionate and understandable. Drawing on my background evaluating and valuing these matters, we will talk through the strengths and weaknesses of the case and how they translate into settlement values.

Most cases settle on the day of mediation. If we don’t settle on the mediation day, I continue to work with the parties to move the case toward resolution. My settlement rate is greater than 90%. On the rare occasion where a case must be tried despite everyone’s best efforts, you will go in with a clear understanding of which critical issues will be at play and with a solid grasp of the potential outcomes.

What can you expect from me?

I’ll always be prepared – when you send me something, I take the time to read it

I’ll be there for your full day of mediation -- you paid for it

I’ll give you my honest assessment of the case – that’s why you retained me

I’ll do everything I can to get your case resolved, on the mediation day or after if needed

Three Ways to Schedule Mediation

Call: 714.876.8797

Email: kathy@kathyadamsdrs.com