Ms. Gupta is a neutral who:
Has twenty years of commercial and legal experience, and has managed and resolved high-profile and high-stakes complex commercial litigation;
As in-house counsel for nearly a decade, learned firsthand the external and internal pressures that influence businesses in making decisions and that must be addressed before reaching a resolution;
Has the patience and requisite interpersonal skills to manage contentious relationships and move the parties from impasse to problem-solving;
As a mediator, provides an impartial reality check for the parties to gain a better understanding of their likely litigation outcome and uncovers areas of common ground to develop potential solutions to address the parties’ unique circumstances; and
As an arbitrator, employs a judicious temperament and an innovative process to address each case’s unique facts and circumstances.
Throughout her extensive career, Ms. Gupta has worked with private and public companies across multiple industries. She has gained an in-depth understanding of, and helped to resolve, a wide range of commercial and legal issues, including securities, insurance, structured finance, corporate governance, tort, and employment. This professional experience, complemented by her perceptive, trustworthy and solution-oriented disposition, enables her to effectively resolve multifaceted disputes and challenging dynamics.
Areas of Practice
Breach of Contract
Cryptocurrency
Derivatives
Employment
Financial Services
Fraud
General Commercial
Insurance
Partnership
Public Finance
Real Estate
Securities
Small Business
Structured Finance
Workplace Disputes
“Great mediators help the parties reach a deal even when it seems impossible.”
Representative Matters
Commercial and Securities:
Mediated pre-litigation dispute between government agency and technology company relating to contract for the installation of international fiber optic network across 29 international sites.
Mediated litigation relating to breach of contract and diversion of corporate opportunities relating to proposed project to digitally monetize gold mines and gold mine reserves.
Mediated breach of contract and fraud relating to purchase of data centers for cryptocurrency mining.
Mediated breach of contract relating to litigation expert consulting agreement.
Mediated federal litigation relating to breach of data licensing agreement.
Mediated pre-litigation claims and counterclaims concerning Master Services Agreement relating to warehousing and fulfillment services.
Arbitrated dispute seeking damages arising out of point of sale services and products for restaurant and music venue.
Co-mediated litigation asserting claims for breaches of fiduciary duties in connection with real-estate management company and counterclaims for business dissolution.
Mediated federal litigation alleging securities fraud against pharmaceutical companies.
Mediated federal litigation alleging claims for RICO and fraudulent conveyance.
Mediated and arbitrated multiple matters relating to allegations of breach of Receivables Purchase Agreement.
Mediated federal litigation alleging breach of letter of direction, unjust enrichment and fraud against bank in connection with a loan funding Miami music festival.
Arbitrated dispute alleging breach of loan agreement.
Arbitrated breach of contract relating to revenue purchase agreement and personal guarantee.
Arbitrated dispute relating to alleged breach of senior secured loan facility.
Co-mediated litigation involving a dispute between business partners of a real-estate management firm relating to claims for breaches of fiduciary duties and counterclaims for business dissolution.
Co-mediated litigation alleging breach of contract in connection with PIPE agreement.
Co-mediated dispute between business partners relating to ownership of start-up beverage company.
Sole arbitrator presiding over multiple arbitrations filed against financial institutions relating to the unauthorized transfer of funds.
Sole arbitrator presiding over multiple arbitrations alleging negligence, fraud, and/or violations of consumer fraud statutes and banking regulations relating to unauthorized transfer of digital assets.
Tribunal secretary for arbitration between European shipping company and shareholder concerning controlling interests in company and including claims for breaches of LLC agreement and tortious interference.
Employment:
Mediated executive compensation litigation filed by former president and general manager of public corporation alleging claims for breach of contract, unjust enrichment and New York labor law violations.
Mediated multiple federal litigations alleging employee wage and labor claims under Fair Labor Standards Act and New York Labor Law, including claims of discrimination and retaliation.
Mediated federal litigations alleging discrimination relating to disability, age, gender and race.
Mediated federal litigations alleging sexual harassment and retaliation claims.
Mediated pre-litigation dispute alleging age discrimination brought by former employee against law firm.
Mediated litigation alleging religious discrimination and wrongful termination against art museum for failing to grant religious exemption to COVID vaccine mandate.
Panel arbitrator presiding over arbitration against insurance company relating to nonpayment of commissions.
Tribunal secretary for arbitration filed by former employees against private equity firm seeking unpaid carried interest and deferred compensation.
Real Estate:
Mediated state court litigation seeking termination of commercial sublease due to COVID-19-related business interruption.
Mediated state court litigation alleging breach of contract in connection with sale of residential building in NYC.
Mediated state court litigation alleging breach of fiduciary duties in connection with condominium association bylaws and seeking equitable accounting.
Mediated breach of contract case relating to commercial construction contract concerning project for renovations at sixteen buildings in NYC.
Insurance:
Tribunal chair for AAA arbitration seeking declaratory judgment interpreting insurance policy in connection with construction project.
Mediated litigation relating to insurance coverage for property damage and business interruption in connection with the fire and collapse of turbine tower on wind farm.
Mediated state court litigation relating to failure to pay premiums under state worker’s compensation policy.
Mediated litigation seeking subrogation for claims paid pursuant to insurance policy in connection with fire.
Mediated litigation relating to insurance coverage under professional liability policy.
Mediated federal litigation seeking recovery under insurance policy relating to maritime accident.
Intellectual Property:
Federal litigation alleging trademark violation and breach of partnership agreement.
Federal litigation alleging violations of copyright law.
Legal Representations
Managed multi-billion dollar bet-the-company litigation alleging breaches of representations and warranties made in connection with the issuance and insurance of residential mortgaged-backed securities. (Lawyer)
Managed putative class action filed against public company and its officers and directors alleging securities fraud relating to the company’s statements regarding its risk management and credit rating policies and procedures, credit mitigation strategies, internal financial reporting controls, and loss exposures on its public finance bond portfolio. (Lawyer)
Litigation filed by California municipal entities alleging conspiracy to influence credit rating agencies’ rating methodologies.
Federal litigation alleging claims for civil RICO, breaches of fiduciary duty, fraudulent misrepresentation and conspiracy filed by corporate developers of various military housing projects.
Trust instructional proceedings in Minnesota seeking instructions to have trustee commence litigation on behalf of the Trust, and for the benefit of certificateholders, against sponsors of residential mortgage-backed securities for breaches of representations and warranties and other breaches of contract.
Federal class action filed against securities retail broker alleging securities fraud under Section 10(b) and 20(a) of Securities Exchange Act of 1934 relating to auction-rate securities.
Multiple litigations involving multinational financial institution, including litigations asserting breach of contract claims relating to ISDA agreement and a contract for the sale of promissory notes.
Negotiations relating to cryptocurrency customer custody agreements.
Federal class action alleging violations of insurance law, NY General Business Law and breaches of contract relating to alleged deceptive practices with respect to insurance renewal billing.
Represented clients in litigations relating to the interpretation of D&O and EPLI policies.
Professional Background and Affiliations
Prior to becoming a mediator and arbitrator, Ms. Gupta was an attorney in New York City, where she focused her practice on complex commercial matters. She spent almost a decade as in-house counsel, first as Assistant General Counsel for a public corporation, Ambac Assurance Corporation, and then as Senior Counsel and Chief Compliance Officer of a privately-owned investment management firm. As in-house counsel, Ms. Gupta had the opportunity to gain invaluable insight into the operations and business decisions of both companies, where she, among other responsibilities, developed strategy for, and managed the day-to-day affairs of, a wide variety of litigation, including multi-billion-dollar, bet-the-company disputes relating to residential mortgaged-backed securities, securities fraud, RICO, breaches of fiduciary duty, and employment matters. Prior to her time as in-house counsel, Ms. Gupta worked on complex commercial litigation as a lawyer in the New York offices of DLA Piper LLP and Seward & Kissel LLP.
After graduating The George Washington University with a degree in Psychology, Ms. Gupta began her professional career working as a business analyst for Price Waterhouse Coopers and later as a finance associate for Prudential Financial and Morgan Stanley Associates. She received her Juris Doctor from Fordham University School of Law.
Ms. Gupta’s credentials include:
Honors and Awards:
Associate, College of Commercial Arbitrators, Class of 2023-2025, https://www.law.com/legalnewswire/post-detail/college-of-commercial-arbitrators-announces-2023-associates-selected-for-prestigious-mentorship-program/
2021 Recipient of JAMS Diversity Fellowship
Arbitration:
American Arbitration Association, Commercial and Employment Panels
CPR Institute Panels of Distinguished Neutrals for: New York City ADR and Hedge Funds
FINRA Roster of Arbitrators
Mediation:
American Arbitration Association, Commercial and Employment Panels
CPR Institute Panels of Distinguished Neutrals for: New York City ADR
United States District Court, Southern District of New York Mediator
United States District Court, Eastern District of New York Mediator
New York Supreme Court Commercial Division ADR Panel
New York Supreme Court, Bronx County ADR Panel
Bar Associations and Professional Memberships:
ADR-Inclusion Network, Board of Directors and Secretary, 2021-2023
New York City Bar Association Alternative Dispute Resolution Committee and co-chair of Diversity Subcommittee (2021-2023)
New York State Bar Association, Dispute Resolution Section and Mediation Committee
New York State Bar Association, Commercial and Federal Litigation Section
American Bar Association, Dispute Resolution Section
Admitted to practice in New York, New Jersey, The United States District Court for the Southern District of New York, and The United States District Court for the Eastern District of New York
I’ve experienced firsthand the toll that unresolved disputes have on companies. Business suffers as resources drain. Relationships deteriorate. Parties get stuck in expensive litigation that they would rather resolve than continue to fight. And parties worry about the outcome of the litigation being in the hands of a judge or jury.
That’s why I am committed to working with you to help end your conflict, save time and money, and get you back to business.
There are unspoken interests and hidden agendas behind every offer and counteroffer that must be addressed before reaching a negotiated agreement. Whether it’s a public company guided by its stock price or a small business owner worried about their continued livelihood, I understand what influences companies in their decision making process. My educational background, professional experience, and interpersonal acumen uniquely position me to help parties overcome difficult dynamics to tackle those unspoken interests.
My mission is to work with you until you find practical business solutions that meet your specific circumstances.
Rachel Gupta
Principal, Gupta Dispute Resolutions LLC