Aragon Mediation
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Carole Helfert Aragon, J.D., LL.M.

Aragon Mediation


Mediation to Resolve Financial Disputes

If you, your family, your business or a client have a conflict involving money, then the solution may be to mediate your dispute.  Financial litigation is costly and time-consuming, and pre-litigation discussions may be nearly impossible to resolve.  A financial mediator is someone who is knowledgeable about the facts of your dispute, and is comfortable working with the “numbers” in evaluating the best outcome for you, your business and your client.

In some situations, such as conflicts with your financial advisor or brokerage firm (as a consumer or an employee), you have the benefits offered through the Financial Industry Regulatory Authority (FINRA) which has its own procedures designed to streamline litigation through arbitration and offers all parties an opportunity to be heard in a confidential environment.  Even though the FINRA procedures are economical and efficient in bringing a conflict under its jurisdiction to resolution, a FINRA-mediated settlement is effective by shortening the process and closing the matter, pre-arbitration, through discussions which you control.

There are other financial disputes such as those which arise from estate planning, probate, health-care, family or business disagreements where mediation is an excellent opportunity to resolve those conflicts in a uniquely safe and self-directed manner, whether or not litigation is initiated.

“Self-directed” is a critical element of mediation because you, as a party or participant involved in a financial dispute, have the opportunity to make decisions on your own, without a judge, jury or arbitrator telling you how your dispute will be resolved.  This is also referred to a “self-determination”.  Working with your attorney, or on your own, there are many reasons why mediation offers substantial benefits.  Some of them are mentioned here: 
The Benefits of a Mediated Settlement.

Today, many courts are mandating that the parties try to resolve their differences through mediation.  FINRA also is recommending mediation as a good alternative to resolution before participating in a three-panel arbitration hearing.

This means that when selecting your mediator, she should be someone who works exclusively with financial issues.  You will need a mediator who is honest, direct and responsible in her communications with you and your client, someone who is uniquely qualified to work with you during a decision-making process which is usually a sensitive and emotionally-taxing experience.

To select Carole as your mediator, learn more about Carole here:


Carole Helfert Aragon, J.D., LL.M.
Attorney At Law/Mediator/Arbitrator
Master of Laws in Dispute Resolution
FINRA Roster of Mediators
FINRA Panel of Arbitrators

Few people wake up in the morning happy to be involved in a financial dispute.
— Carole Helfert Aragon


Areas of Practice


  • Securities

  • — Probate

  • — Estate Planning

  • — Entertainment

  • — Business

  • — Landlord – Tenant

  • — Real Estate

  • — Health Care

  • — Employment

  • — Companion Animals/Service Animals/Pets

  • — Family

  • Homeowner Associations

  • — Contracts (General)

  • — Other (Please call or email to inquire)



Contact Carole

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38 Sea Colony Drive
Santa Monica, CA 90405

Main Office:  (310) 804-3443
Cell/Text:  (310) 345-2553
Office #2:  (310) 396-1296