Profile

MEDIATOR – ARBITRATOR

Lowell Haky, Esq. is a skilled mediator with extensive experience in the financial services industry (investment management, broker recruiting, employment, and trust & estate matters), employment cases (wrongful termination, discrimination, harassment, and retaliation) and real estate matters (landlord/tenant, construction defect, ownership disputes). Mr. Haky builds strong relationships with counsel and parties, which is key to his effectiveness as a mediator.

  • Experience: In addition to being a full-time mediator with ADR Services, Inc. Mr. Haky is a Judge Pro Tem and  Settlement Conference Officer. He has conducted hundreds of mediations and settlement conferences in the San Francisco and Contra Costa Superior Courts, and for the California Department of Fair Employment and Housing. Mr. Haky is also an approved FINRA Dispute Resolution Services Mediator.
  • Mediation Style: Mr. Haky uses an evaluative approach to help parties assess liability and estimate potential damages, while considering the subjective value of early case resolution.
  • Practical Insights: Mr. Haky managed the litigation department of a fortune 500 company working with top-tier plaintiff and defense firms on case valuation and settlement strategy.
  • High-Stakes Litigation: Mr. Haky has litigated dozens of high-stakes cases on both the plaintiff and defense sides. He has defended multibillion-dollar claims and recovered hundreds of millions of dollars in affirmative recovery cases.

MEDIATION EXPERIENCE

ADR SERVICES, INC.
Mediator 2024-Present
Conducts mediations in the areas of financial services, employment, and real estate.

SAN FRANCISCO SUPERIOR COURT
Judge Pro Tem, Settlement Conference Officer 2018-Present
Conducts mandatory settlement conferences in San Francisco Superior Court as a Temporary Judge and Settlement Conference Officer.

CONTRA COSTA COUNTY SUPERIOR COURT
Mediator, Discovery Facilitator 2018-2021
Conducted mediations and resolved discovery disputes in Contra Costa County Superior Court.

CALIFORNIA DEPARTMENT OF FAIR EMPLOYMENT AND HOUSING
Mediator 2018-2022
Mediated employment disputes for the California Department of Fair Employment and Housing.

FINANCIAL INDUSTRY REGULATORY AUTHORITY
Arbitrator and Mediator

PROFESSIONAL EXPERIENCE

ROBBINS GELLER RUDMAN & DOWD LLP, San Diego, CA
Special Counsel 2025-Present
Pursues investment loss recovery claims for institutional asset management firms.

CHARLES SCHWAB & CO., INC., San Francisco, CA
Managing Director – Litigation and Regulatory Enforcement 2000-2024
Managed a team of in-house and outside counsel responsible for resolving complex, high-stakes disputes.

  • Lead counsel representing Schwab in complex litigation, including class actions, antitrust cases and regulatory enforcement matters.
  • Managed Schwab’s Affirmative Recovery Practice, pursuing investment loss-recovery for Schwab Mutual Funds and ETFs.
  • Managed Schwab’s Broker Recruiting Practice, focusing on breach of restrictive covenants in employment agreements, customer solicitation, and theft of trade secrets and intellectual property.
  • Represented Schwab and associated persons in hundreds of FINRA arbitration cases.

ZELLE & LARSON, LLP, San Francisco, CA
Litigation Associate 1995-2000
Represented broker-dealers, investment advisors and commercial finance companies in litigation, arbitration, and regulatory enforcement cases.

SPEAKING ENGAGEMENTS

Frequent speaker at the Practicing Law Institute (PLI), Chief Litigation Counsel Forums, Securities Industry Conferences, PIABA, and Judicial Conferences on various topics including Negotiating Techniques, Mediation Tips, and Litigation Trends.

EDUCATION

  • J.D., Golden Gate University School of Law, San Francisco, CA
  • B.S. in Business Administration & Finance, San Diego State University, San Diego, CA

PERSONAL INTERESTS

Mr. Haky is an avid pickleball player, and enjoys skiing, diving and wake surfing.

Representative Cases

Financial Services/Securities

  • Mediated claim that Broker Dealer failed to protect client from third-party fraud.
  • Mediated claim relating to the private purchase of stock and warrants of publicly traded technology company.
  • Mediated claim alleging Autocallable notes were unsuitable for custodial accounts.
  • Mediated claim that the Broker Dealer failed to obtain best execution of customer orders during a system outage.
  • Mediated claim alleging that certain risks of Principal Protected Notes were misrepresented and were unsuitable for conservative investors.
  • Mediated claim by institutional asset management company alleging securities fraud by publicly traded company executives resulting in stock price declines.
  • Mediated case against corporate 401k plan alleging excessive fees for use of proprietary mutual funds as exclusive participant investment options.
  • Mediated claim alleging that independent RIA engaged in unsuitable trading and that custodial Broker Dealer failed to catch red flags of the IA’s activity.
  • Mediated claim that certain risks associated with alternative investments were not disclosed and that investment performance was inaccurately reported on account statements.
  • Mediated case by plaintiff Broker Dealer against underwriters of asset-backed securities for securities fraud.
  • Mediated numerous margin liquidation claims.
  • Mediated numerous churning and suitability cases.

view all

Employee Recruiting/Raiding

  • Mr. Haky managed Charles Schwab & Co., Inc.’s Broker Recruiting practice for more than 20 years, covering both Retail Brokers and RIA’s affiliated with Schwab’s Advisor Services’ custodial platform.
  • Mediated claim by RIA firm against former IAR for breach of contract, theft of trade secrets, and various statutory and tort claims.
  • Mediated claim by Broker Dealer against 5 former FA’s for allegedly conspiring to “raid” an office and for soliciting each other in violation of their employment agreements.
  • Mediated claim by RIA against his former employer for defamation and intentional interference with prospective business advantage.
  • Mediated claim against departing broker team for breach of confidentiality and non-solicitation agreements.
  • Mediated claim against former Registered Rep for theft of trade secrets for allegedly taking customer lists and account statements.
  • Mediated claim for breach of the Protocol for Broker Recruiting.
  • Mediated indemnification claim by custodial Broker Dealer against independent RIA firm.
  • Mediated numerous promissory note claims by Broker Dealers against former Registered Reps for repayment of up-front bonuses.

view all

Trust and Estate

  • Mr. Haky is a member of the Trust and Estate Mediation Panels of the San Francisco, Contra Costa and Santa Clara County Superior Courts. He has litigated dozens of trust and estate claims over the past three decades and has served as a trustee for several complex trusts. He is also proficient in asset management and tax issues that are often important components of settlement.
  • Mediated three interrelated cases among beneficiaries and trustees of decedent TV producer’s successive trusts alleging breach of fiduciary duty, and improper sales of real property and distribution of proceeds.
  • Mediated claim against family-member trustee for alleged mismanagement of trust assets, self-dealing and improper distributions.
  • Mediated claim by trustee against independent investment advisor for allegedly unsuitable investment advice and resulting loss of trust assets.
  • Mediated competing trust claims by decedent’s son and his long-term live-in companion.

    Employment

    • Mediated claim for alleged sexual harassment and wrongful termination against publicly-traded beverage company.
    • Mediated claim by co-founder of Silicon Valley technology company for breach of oral partnership agreement and wrongful termination. The firm brought counterclaims for theft of intellectual property.
    • Mediated wrongful termination case brought by a doctor against San Francisco cosmetic surgery practice for pregnancy discrimination and breach of contract.
    • Mediated disability discrimination / constructive discharge claim against public entity.
    • Mediated claim by registered nurse against East Bay medical facility for wrongful termination.
    • Mediated claim against employer and temp agency for discrimination based on sexual orientation, and failure to provide reasonable accommodation for Monkey Pox outbreak.
    • Mediated claim of alleged sexual harassment by non-supervising coworker and failure of employer to prevent subsequent incidents.
    • Mediated claim of alleged disability discrimination and failure to provide reasonable accommodation following a serious industrial accident.
    • Mediated claim of alleged harassment for taking protected leave to care for an ill family member.
    • Mediated claim of alleged sexual harassment and discrimination in advancement in retaliation for reporting harassment incident.

    view all

    Real Estate

    • Mediated partition sale lawsuit between two sisters to relating to San Francisco home inherited from their mother.
    • Mediated claim by contractor against homeowner for failure to pay balance owed on home remodel contract.
    • Mediated claim by apartment building owner against real estate broker relating to failed purchase/sale transaction due to onsite manager’s refusal to vacate their unit upon sale.
    • Mediated lease claim by historic San Francisco Flower Mart restaurant relating to redevelopment of the complex and placement of alternative restaurant location.
    • Mediated real estate ownership dispute among family members of long-held commercial properties in San Francisco.
    • Mediated case brought by the City of San Francisco against the developer of the prominent San Francisco music venue in the Filmore Historic District for repayment of personal loan guarantees after default.
    • Mediated claim by contractor against San Francisco building owner for failure to pay for work performed. Building owner counter-sued for failure to comply with building plans and property damage.

    view all

    Landlord/Tenant

    • Mediated dozens of unlawful detainer and constructive eviction cases in San Francisco Superior Court as a Settlement Conference Judge.
    • Mediated numerous cases alleging various habitability and constructive eviction claims under the San Francisco Rent Stabilization Ordinance.
    • Mediated multi-tenant habitability claims alleging rat infestation and mold in San Francisco apartment building.
    • Mediated habitability and constructive eviction claim related to mold which the landlord alleged was caused by tenant’s indoor cannabis cultivation.
    • Mediated constructive eviction claim by paraplegic plaintiff asserting that building elevator was out of service over 30 times in a two-year period, requiring plaintiff to crawl up to his 5th floor apartment.
    • Mediated claim of roaches and other pests in non-permitted unit.
    • Mediated water intrusion and mold claim related to leaking drain pipes.

    view all

    Construction Defect

    • Mediated claim by property owner against contractor for construction defect and failing to maintain Worker’s Compensation coverage, causing his license to lapse and resulting in a statutory disgorgement claim.
    • Mediated claim by contractor against building owner for failure to pay for remodel work performed under change orders.
    • Mediated claim by homeowner again contractor for defective construction of foundation, and counterclaim for failure to pay for work performed.
    • Mediated claim by contractor against San Francisco building owner for failure to pay for work performed. Building owner counterclaimed for failure to comply with building plans and resulting property damage.
    • Mediated claim by homeowners’ association against a construction company for construction defects in earthquake retrofit project.

      Testimonials

      “I give Lowell the highest possible commendation. He did a terrific job and we settled this case. Lowell brought calmness, focus, and direction to the matter which helped immensely in resolving this LL/T habitability case. Both our claims department and I for our legal department will be recommending Lowell for future mediation work.”


      “Lowell Haky approached the mediation with intelligence, creativity, and subtlety. Appreciated all his efforts.”


      “Lowell was great. He had a good understanding of the issues and helped us achieve a resolution, which, frankly, I didn’t think was going to happen.  I will use him again.”


      “We had a very good experience with Mr. Haky. He was a consummate professional, insightful, and had immediately relevant experience in matters similar to our case. He spoke to my client in a way that de-escalated his emotions and helped me focus him on the practicalities of settling the case. I credit his assistance to helping us reach a settlement of the dispute in a single afternoon.”


      “I had a good mediation with Mr. Haky yesterday. He has a calm demeanor and handled the intense emotions of the case well by listening to our client but still moving the case forward. He was candid with us regarding the strengths and weaknesses of the case and gave us helpful insight throughout the day to get us to a resolution.”


      “I thought Lowell was excellent. Great demeanor, and he got our case settled.”


      “…one of the best mediator’s I have ever worked with.”


      “I have worked with Lowell on 2 mediations now – one before he joined ADR, and one now – and he has been excellent on both (and both settled)”


      “We thought Lowell was great.  I asked him to provide an ear to my client so that he could feel like someone is listening to him, and that’s exactly what he did.”


      “I found Lowell to be an excellent mediator. He was well versed in the case background. His demeanor, presentation, and experience contributed to a productive mediation. I would use his services again.”


      “I endorse Mr. Haky for mediator services. In one of my trust and estate litigation cases Mr. Haky was instrumental as a mandatory settlement conference judge in helping the parties reach a settlement after over three years of very contentious litigation. In addition to probing, prodding, and pushing a bit, Mr. Haky also provided the parties with some creative settlement options. The MSC was scheduled for four hours during an afternoon session; however, settlement was only reached because Mr. Haky stayed with us until settlement was reached at 9:30 p.m. I can and do highly recommend Mr. Haky for mediator services.”


      “Lowell was an excellent mediator, and handled the case both before and at the session with calmness and consummate, empathic focus to help the parties resolve their dispute. I look forward to working again with him in the future.”


      “Lowell possesses the tools of an exceptional mediator combined with deep substantive legal knowledge, especially in financial cases. Lowell’s demeanor fosters trust and open communications, affording parties the best chance for resolving contentious disputes. Highly recommended.”


      “Mr. Haky brings compassion and dedication to mediations.  He cares about the litigants and works to achieve a resolution that’s in everyone’s’ best interests.  Mr. Haky has an affable personality and is approachable – a breath of fresh air to clients who may be intimidated by the mediation process.”


      “A practical-minded mediator who helped us achieve a creative and workable settlement. He listened to my client’s concerns and provided valuable guidance throughout the process. Most importantly, he got the case settled and we avoided an impending trial.”


      “Mr. Haky worked tirelessly to resolve our case, including conducting multiple pre-mediation sessions and working into the evening. I was impressed with his tenacity and skill.”


      “Very patient and persistent with difficult personalities.  Two thumbs up!”


      Mr. Haky was awesome. He was very fair and understood the issues well and had a great approach. We only didn’t come to an agreement because we were dealing with an unreasonable pro se Plaintiff with unreasonable expectations.”