Lisa A. Catalano
Lisa A. Catalano is of counsel to Lax & Neville LLP. Lisa has more than 25 years of experience in the securities field and has practiced on both the defense and claimants’ sides and has been in academia. She is the Founder and Principal of Catalano Arbitration and Mediation Services. She provides divorce mediation and mediation and arbitration services in the securities field including cases involving sales practice disputes and employment disputes (i.e., promissory note cases, wrongful termination, defamation, discrimination, whistleblower and wage and hours claims.)
Before starting her own firm, Lisa was a Professor of Clinical Education at St. John’s University School of Law and the Director of the Securities Arbitration Clinic. The Securities Arbitration Clinic offers free student representation to investors in arbitration claims involving misrepresentation, unsuitability, unauthorized trading, excessive trading (“churning”), and failure to supervise, among other claims, against broker-dealers and registered representatives. The Clinic student interns handle all phases of the client representation under professor supervision.
Immediately prior to joining St. John’s in 2006, Lisa was a Senior Partner at the firm of Davidson & Grannum, LLP, a firm specializing in representing and counseling corporate and individual clients in four practice areas: broker-dealer arbitrations, mediations and litigations; employment law counseling, EEOC and state agency matters, mediations, arbitrations and litigations; securities regulatory matters; and commercial disputes. She spent seven years at Davidson & Grannum. Prior to that, Lisa spent five years at UBS Financial Services Inc. (f/k/a PaineWebber Incorporated). She was a Corporate Vice President and Assistant General Counsel in UBS’s Litigation Department where she handled securities arbitration claims brought by the firm’s customers against the firm and its registered representatives. She has also handled industry disputes involving raiding and recruiting matters and promissory note cases.
Lisa has extensive experience representing broker-dealers and brokers in customer disputes, regulatory investigations, and collection and employment matters, and has conducted numerous arbitration hearings, mediations, training sessions and seminars. She has been a FINRA arbitrator since 1999 and has also served on FINRA’s National Arbitration and Mediation Committee (NAMC) and the FINRA Investor Advocacy Clinic Grant Program Committee. She previously served on PIABA’s Board of Directors and was the Chair of PIABA’s Amicus Curiae and Arbitration Committees and served on its Legislation Advisory Board. She has published in law reviews and journals in the areas of securities arbitration and dispute resolution and investor protection. She received her J.D. cum laude from Benjamin N. Cardozo School of Law in New York City.
J.D., Benjamin N. Cardozo School of Law, New York, New York
U.S. District Court, District of New Jersey
U.S. District Court, Eastern District of New York
U.S. District Court, Southern District of New York
Bar of the State of New York
- Mediator, FINRA Dispute Resolution, Inc.
- Arbitrator, FINRA Dispute Resolution, Inc.
- 40 Hour Mediator Training