Alexander S. Polsky, FCIArb

T: 714-939-1300
F: 714-939-8710
Securities

Alexander S. Polsky, FCIArb/HKIACrb is considered a pioneer in the field of alternative dispute resolution. An AV-rated trial lawyer who began practicing in 1977, Mr. Polsky left litigation in 1991 and refocused his practice solely on ADR at a time when few attorney specialists were working in the field. Mr. Polsky’s practice spans disciplines and countries, as he conducts mediations, arbitrations, reference trials and training programs worldwide. He has presided over the resolution of more than 10,000 disputes and is well known for his ability to calm highly emotional parties and to simplify complex disputes.

Mr. Polsky has received nearly every independent award for excellence in the field of ADR. He has been recognized year after year as a top arbitrator and mediator by the Los Angeles Daily Journal, Super Lawyers and ALM Best Lawyers. Martindale Hubbell has given him an AV rating and he is among Lawdragon’s top 1,000 Lawyers in America. Mr. Polsky teaches negotiation and mediation at USC’s Gould School of Law. He also provides negotiation training to law firms, bar associations and corporations worldwide.

In 2010, Mr. Polsky was a featured speaker at the ABA Securities Litigation Section program in Minneapolis where he addressed the complex issue of mediation versus arbitration of securities disputes, as well as the subtopic of mediation techniques for securities claims and class actions.

Mr. Polsky has a deep understanding of securities-related issues, as well as insurance coverage issues as they apply to complex class action matters.

Representative Matters

  • Breach of Fiduciary Duty:
    • Arbitration of claims against money managers in connection with placement of millions of dollars of funds into a municipal bond hedge fund. Following years of stellar performance, the fund entered a forced liquidation. Plaintiff asserted manager failed in due diligence of fund’s risks and failed to inform clients of the risks.
  • Breach of Incentive Contract
    • Claim brought by broker alleging breach of contract involving performance-based incentives due following resignation or termination
  • Broker/Client Reporting
    • Matter of first impression, claim by clients against brokerage firm and individual broker arising out of manner in which clients’ gains and losses were reported
  • Broker/Fund Issues
    • Dispute involving issues surrounding the transfer of a disproportionate percentage of assets from one fund to another
  • Churning, 10b-5, RICO
    • Various matters involving alleged churning, unauthorized trading, insider RICO trading, RICO, 10b-5 and other Securities Act issues entered a forced liquidation. Plaintiff asserted manager failed in due diligence of fund’s risks and failed to inform clients of the risks.
  • FINRA
    • Dispute arising from broker failing to implement pre-death beneficiary designation amendment prior to account being frozen by litigation
  • Mismanagement of Assets
    • Claims by holders of defined benefit pension plan that manager improperly invested too high a percentage of assets into an inappropriate mutual fund, resulting in disproportionate losses

Honors, Memberships, and Professional Activities

  • Recognized as a Best Lawyer, Alternative Dispute Resolution category, Best Lawyers in America, 2008-2018
  • Recognized as a SuperLawyer, Alternative Dispute Resolution category, SuperLawyers, 2006-2016
  • Recognized as a Top Master, Daily Journal
  • Recognized with AV Preeminent Status as a Top Rated Lawyer in Alternative Dispute Resolution, Martindale-Hubbell
  • Recognized as a Top California Neutral, Daily Journal, 2006-2010, 2012
  • Speaker, "What Real Estate Attorneys Can Learn From Mediators—And Vice Versa," Tokyo Annual Conference of the International Bar Association, 2014
  • Panelist, U.S. District Court for the Central District of California Mediation Panel
  • Successfully completed "Accelerated Route to Fellowship International Arbitration Program with Award Writing Examination, Chartered Institute of Arbitrators, North American Branch, 2014
  • Fellow, International Academy of Mediators
  • Adjunct Professor of Law, University of Southern California School of Law and Straus Institute for Dispute Resolution at Pepperdine University School of Law
  • Lecturer (partial list): California Bar Association, American Bar Association, Association of Southern and Northern California Defense Counsel; Consumer Attorneys of California, Los Angeles and Orange County; Los Angeles, Orange County and San Francisco Bar Associations; Pepperdine University Law School; Building Industry Association
  • Past Director: Orange County Bar Association, Orange County Trial Lawyer's Association, Southern California Adjuster's Association
  • Past Chairperson, Orange County Bar Association Committee on ADR
  • Delegate, State Bar of California, Conference of Delegates
  • National Institute of Forensic Studies, Professional Advisory Board
  • Publications on ADR and Attorney Fee Disputes for State and Local Bar Associations, firms, trade associations, and newspapers. Author: "A System for Cost Effective Management of Construction Defect and Complex Litigation." Author: "ADR, Why Does it Work?" Author: "Use of the Special Master in Complex Litigation." Author: "Use of Risk Based Facilitative Dispute Resolution."
  • Mr. Polsky is a sought after negotiation skills trainer and has lectured throughout the United States. He is an adjunct Professor of Law at the University of Southern California, where he teaches a course he designed on ADR and negotiation, and at the Straus Institute for Dispute Resolution at Pepperdine University School of Law, where he teaches courses in the LLM program. He is available to provide training in negotiation and mediation skill development to corporations and professional organizations.
  • Pro bono activities include Dispute Resolution Services (DRS) Board of Directors; Los Angeles/Long Beach Legal Aid Grand Cru Board of Directors; Public Law Center of Orange County Board of Directors; Los Angeles County Bar Association volunteer mediation program volunteer

    Comprehensive Overview

     Please click here for a comprehensive overview of Mr. Polsky’s practice.

    Disclaimer

    This page is for general information purposes.  JAMS makes no representations or warranties regarding its accuracy or completeness.  Interested persons should conduct their own research regarding information on this website before deciding to use JAMS, including investigation and research of JAMS neutrals. See More

    Polsky_Alexander_Securities_302