Carol A. Wittenberg

T: 212-751-2700
F: 212-751-4099

Locations

Available nationwide
Securities
Carol Wittenberg has been a neutral for the past 30 years. She has successfully mediated and arbitrated cases involving the securities industry. She is a member of the Panel of Mediators for the National Association of Securities Dealers.

Representative Matters

  • Mediated a case alleging wrongful termination and defamation involving an executive and a national financial institution
  • Mediated a displacement case involving three institutional brokers employed by a multi-national investment bank
  • Mediated a severance agreement between a high level executive and a securities organization involving severance and bonus entitlements
  • Mediated case alleging malicious prosecution of senior executive of an international bank
  • Mediated breach of contract claim between Managing Director of investment banking for allegedly negotiating to bring his team and clients to a competing bank while still under contract
  • Mediated compensation claims involving allegations of a guaranteed bonus involving brokers and investment firms
  • Mediated defamation cases arising from the issuance of a Form U-5 between brokers and financial institutions
  • Mediated an allegation of sexual harassment against a CEO of an investment bank
  • Mediated multiple claims of gender discrimination involving both compensation, bonuses and failure to promote claims
  • Mediated numerous employment disputes by female brokers alleging gender discrimination in pay, promotion, and termination in conjunction with the class action, Cremin, et al. v. Merrill Lynch Pierce Fenner & Smith
  • Arbitrated bonus claims of managers at financial institutions
  • Arbitrated allegations of defamation in the filing of U-5 forms
  • Arbitrated a claim against an investment bank for alleged gender discrimination with respect to account distributions, partnerships and related matters
  • Arbitrated several cases involving allegations of gender discrimination in conjunction with the class action, Martens et al. v. Salomon Smith Barney under Title VII, state law, and the Equal Pay Act

Honors, Memberships, and Professional Activities

  • Member, New York City Board of Collective Bargaining, since 2002
  • Member, NASD Employment Mediation Panel, since 1997
  • Member, National Academy of Arbitrators, since 1987
  • Taught courses in mediation, arbitration, and conflict resolution, including "Thesis Alternative: ADR Practicum" for the Baruch College Masters of Industrial Relations Program
  • Co-author of several articles on mediation and arbitration, including:
    • "Employment Disputes," Mediating Legal Disputes: Effective Strategies For Lawyers and Mediators, Little Brown & Company, 1996
    • "Why Employment Disputes Mediation is on the Rise," Litigation and Technology Management Report Vol. 2. No. 1, February, 1996
    • "Internal Investigations: When To Use An Outside Neutral," 1998
    • "Resolving Employment Disputes Through ADR: Matching the Process To The Dispute," presented at Matthew Bender's 1999 New York Employment Law Update

Background and Education

  • Principal, ADR Associates, LLC, 2000-2004
  • Principal, Wittenberg & Shaw, LLC, 1995-2000
  • M.S., Hunter College 1974
  • B.S., Cornell University's New York State School of Industrial & Labor Relations, 1964

Disclaimer

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