Boat on Lake

Forging Ahead to success

ABOUT ELLEN

DSC07707_edited.jpg

Ellen Slipp was a Managing Director and Head of Litigation for the Citi Private Bank from 2005-2019. In that role, she managed litigation both domestically, and for a large portion of those years globally, including: securities litigation, employment law claims, trust litigation, internal investigations, ethics hotline inquiries, whistleblower claims, and customer complaints.

Prior to that, she spent 11 years principally supporting Citi’s wealth management division – Smith Barney. She tried numerous sales practice and employment arbitrations, represented the company and individual employees in regulatory inquiries, and was responsible for civil litigation. Ellen has broad industry knowledge in all aspects of financial services, including, but not limited to: retail sales distribution, capital markets, investment banking, lending, trust matters, and specific complex product issues. She worked closely with the Claimants’ bar to develop a list of permissively discoverable documents for the large number of arbitration claims that had been filed after the 2008 credit crisis saving both parties significant time and expense.

 

Ellen is a frequent public speaker on a range of securities-related topics. She has presented at SIFMA, NYS Bar, NYC Bar, and PLI seminars, and made client presentations on behalf of law firms. Between 2016 and 2019, she served as a member of the National Arbitration and Mediation Committee of FINRA (NAMC) which includes representatives from the securities industry, PIABA, and law school clinics. In that role, she worked on specific rule changes with Claimants’ counsel and she currently serves on the Discovery Subcommittee of the NAMC.

As a member of NAMC, finding common ground and effective negotiating were high-value skills to work to build consensus with counsel representing claimants' and defendants’ interests. She is an arbitrator at FINRA and was a member of the NYSE hearing board for disciplinary matters. She also collaborated with senior PIABA counsel to guest lecture at Pace University School of Law's Investor Rights Clinic for many years.

 

Before joining Citigroup, she was an Assistant District Attorney both at the Kings County District Attorney’s Office and at the Office of the Special Narcotics Prosecutor in Manhattan. While an Assistant, she tried numerous felony cases and effectively negotiated with defense counsel on hundreds of felony indictments.

 

Ellen has extensive experience in mediations having participated in more than 100 during her career. Additionally, she has completed the EAC Network Dispute Resolution Center Basic Mediation Training. She is greatly respected by both Claimants' and Respondents’ attorneys and is eager to assist parties to resolve their disputes​.​

DSC07565.JPG

Practical tips and techniques to succeed in virtual mediation: Zooming ahead!: To read the full article, click here.

Practical tips and techniques to succeed in virtual mediation: Zooming ahead! Featured in SAA: To read the full article, click here.

E-mail: ellen.slipp.mediation@gmail.com

Phone: 914-497-7173

EXPERIENCE

FINRA Mediator

FINRA Arbitrator


SIFMA member (frequent speaker)


FINRA, National Arbitration and Mediation Committee (past representative)


New York Stock Exchange Disciplinary Hearing Board (before NYSE merged with NASDAQ to create FINRA)


New York State Bar Committee


New York City Bar