Previous Dispute Resolution Workshop Audio Files

February 17, 2012—Embracing 2012


The February 17 Neutral Workshop provides an update on ongoing and emerging topics that affect neutrals. Workshop faculty, Linda Fienberg, President; George Friedman, Executive Vice President and Director of Arbitration; and Barbara Brady, Vice President and Director of Neutral Management, discuss:

  • case filings, the Customer Option Rule and expanded arbitrator selection lists;
  • revisions to the Discovery Guide;
  • enhancements to Dispute Resolution’s technology and Internet applications;
  • appointment of chair-qualified public arbitrators in promissory note disputes;
  • changes to the Arbitrator Disclosure Checklist and the Arbitrator Application;
  • arbitrator training; and
  • expungement in re procedures.

 

The following links are referenced during the workshop:

 

Please send any questions or comments to FINRA DR Call-in Workshop mailbox.

 

Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.

 

MP3 format (37 MB)

 


 

October 31, 2011—Disclosure


The October 31 Neutral Workshop provides an overview of disclosure, one of the foundations of the arbitration process. Workshop faculty Kenneth Andrichik, Senior Vice President, Chief Counsel and Director of Mediation and Strategy, and Barbara Brady, Vice President and Director of Neutral Management, discuss:

  • when disclosure is required;
  • examples of the information and circumstances to disclose; and
  • ramifications of not disclosing information.

 

The following links are referenced during the workshop:

 

Please send any questions or comments to FINRA DR Call-in Workshop mailbox.

Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.

 

MP3 format (28 MB)

 


 

May 16, 2011—FINRA Discovery Guide Revisions
This neutral workshop provides an overview of the revisions to the FINRA Discovery Guide, which become effective May 16, 2011. The Discovery Guide, first created in 1999, offers direction on the documents parties should exchange without arbitrator or FINRA staff intervention. Workshop faculty Margo Hassan, assistant chief counsel, discusses:

  • how the revised Guide gives parties and arbitrators more guidance on the discovery process; and
  • how arbitrators should apply the guide in arbitration cases.

 

Linda Fienberg, president of Dispute Resolution, also gives an overview of the Optional All Public Panel Rule.

Links referenced during the workshop:

 

Please send any questions or comments to FINRA DR Call-in Workshop mailbox.

Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.

MP3 format (13 MB)

 


 

December 20, 2010 – Arbitrator Feedback Review: The Top 10

This neutral workshop discusses how peer, party and staff evaluations help FINRA determine areas where arbitrators are performing well and where they may need to improve. We also look back at key rule filings in 2010 and discuss legislative developments.

 

Workshop faculty:

  • George Friedman, Executive Vice President and Director of Arbitration
  • Richard Berry, Senior Vice President and Director of Case Administration and Regional Office Services
  • Katherine Bayer, Regional Director, Northeast Region

 

Links to reference materials discussed in the workshop:

 

 

Please send any questions or comments to FINRA DR Call-in Workshop mailbox.

Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.
 
MP3 format (50 MB)

 


 

July 21, 2010 – FINRA’s Information Security Policy
FINRA Dispute Resolution’s July 21, 2010, neutral workshop introduces neutrals to FINRA's Information Security policy. The workshop faculty reviews the details of the Information Security Policy and explains compliance obligations. They also discuss the roles of FINRA arbitrators and mediators in safeguarding confidential and personal information, and outline steps to take if there is a breach of the Information Security Policy.

 

Workshop faculty:

 

  • Richard Berry, Senior Vice President and Director of Case Administration and Regional Office Services
  • Laurie Dzien, Chief Privacy Counsel and Associate General Counsel

 

Links to reference materials discussed in the workshop:

 

 

Please send any questions or comments to FINRA DR Call-in Workshop mailbox.

 

Note: FINRA's neutral workshops are now pre-recorded, which allows neutrals to pause and playback the audio file.

 

MP3 format (18 MB)

 


 

January 19, 2010 - Year End Wrap-up, Arbitration Legislation, Interplay between FINRA DR and FINRA's Regulatory Units
FINRA Dispute Resolution's January 19, 2010, neutral workshop takes a look back at the highlights of 2009, examines legislation relating to arbitration pending in the House and Senate, explores the interplay between FINRA DR and FINRA's regulatory units and takes a look at what's ahead for 2010.

Workshop faculty:

 

  • Linda Fienberg, President
  • George Friedman, Executive Vice President and Director of Arbitration
  • Richard Berry, Vice President and Director of Case Administration and Regional Office Services

 

Links to reference materials discussed in the workshop:

 

 

Note: FINRA's neutral workshops are now pre-recorded, which allows neutrals to pause and playback the audio file.

 

MP3 format (17 MB)

 


 

July 10, 2009 - FINRA Mediation Redesign 2009 

FINRA Dispute Resolution's July 10, 2009, neutral workshop reviews new rules governing the increased single arbitrator threshold, explained decisions, panel composition in industry disputes and expedited administration of promissory note cases.

 

The workshop also concerns enhancements to FINRA's mediation program and the advantages of mediating securities cases through FINRA. Senior FINRA mediation staff discusses the process for becoming a FINRA mediator, the new mediator fee structure, and FINRA's mediation incentive program. George H. Friedman, Executive Vice President and Director of Dispute Resolution, moderates the workshop.

 

Workshop faculty:

 

  • Kenneth L. Andrichik, Senior Vice President, Chief Counsel and Director of Mediation and Strategy
  • Julie Crotty, Assistant Director of Mediation
  • Leon de Leon, National Mediation Administrator
  • Rosari Domenick, Senior Mediation Administrator
  • Ed Sihaga, Senior Mediation Administrator

 

Links to reference materials discussed in the workshop:

 

 

Note: FINRA's neutral workshops are now pre-recorded, which allows neutrals to pause and playback the audio file.

 

MP3 format (9.4 MB)

 


 

February 24, 2009

FINRA has adopted new rules to govern motions to dismiss. The rules significantly limit motions to dismiss filed prior to the conclusion of a party’s case-in-chief, and impose stringent sanctions against parties for engaging in abusive practices under the rules. In this neutral workshop, senior FINRA staff discuss the new rules and address various case scenarios.

Workshop faculty:

 

  • Linda D. Fienberg, President, FINRA Dispute Resolution
  • Rose M. Schindler, Vice President and Regional Director, Southeast Region
  • Scott Carfello, Associate Vice President and Regional Director, Midwest Region

 

Links to workshop reference materials:

 

 

Note: FINRA’s neutral workshops are now pre-recorded, which allows individuals to pause and playback the audio file.

 

MP3 format (9 MB)

 


 

December 10, 2008

FINRA Dispute Resolution's December 10, 2008, call-in workshop reviewed this year's accomplishments and previewed FINRA Dispute Resolution's planned activities for 2009. The workshop speakers also reviewed new rules and procedures going into effect in late January that arbitrators must follow when considering requests for expungement relief. Listening to the audio file below will satisfy the training requirement for the new rules.

 

Katherine Bayer, Deputy Regional Director of FINRA Dispute Resolution's New York office, moderated the workshop and posed questions to a panel of three FINRA professionals:   

 

  • George H. Friedman, Executive Vice President and Director of Dispute Resolution 
  • Richard W. Berry, Vice President and Director of Case Administration   
  • Barbara L. Brady, Vice President and Director of Neutral Management

 

After arbitrators have listened to this call-in program, they may certify that they have satisfied the expungement training requirement by completing the FINRA Dispute Resolution: Expungement Certification.

 

MP3 format (8 MB)

 


 

September 23, 2008

FINRA Dispute Resolution's September 23, 2008 call-in workshop provided an overview of FINRA's investor education initiatives and emerging regulatory issues that arbitrators may encounter on future cases.

 

John M. Gannon, Senior Vice President, FINRA Office of Investor Education, discussed FINRA's investor education initiatives. Laura Gansler, Associate Vice President, FINRA Emerging Regulatory Issues, discussed new issues and products that arbitrators may encounter on future cases. Linda D. Fienberg, President, FINRA Dispute Resolution, hosted the workshop and updated arbitrators on current events.

 

MP3 format (6.5 MB)

 


 

June 19, 2008
FINRA arbitrators requested that the June 19, 2008 call-in workshop address their questions about how to handle the most difficult arbitration situations. In this workshop, neutrals presented difficult scenarios to arbitration experts Professor Constantine "Gus" Katsoris and David E. Robbins, Esq.

Using the questions received from neutrals, the workshop covered three major themes:

 

  1. Using the pre-hearing conference to move cases along
  2. Discovery
  3. Managing the hearing

 

Professor Katsoris is Chairman of the Securities Industry Conference on Arbitration (SICA) and a Professor of Law at Fordham University Law School. Mr. Robbins is a partner in the law firm of Kaufmann, Feiner, Yamin, Gildin & Robbins LLP and author of the Securities Arbitration Procedure Manual. George H. Friedman, Executive Vice President and Director of Arbitration, hosted the workshop.

 

MP3 format (9 MB)

 



 

March 13, 2008

On March 13, 2008, FINRA hosted a call-in workshop for arbitrators and mediators. This call-in workshop covered:

 

  • Recent rule filings that affect neutrals;
  • Dispute Resolution trends; and
  • Panel discussion on electronic discovery, avoiding being named and what FINRA can do for you.

 

MP3 format (6.5 MB)

 

Workshop Speakers

  • Linda Fienberg, President, FINRA Dispute Resolution
  • George Friedman, Executive Vice President and Director of Dispute Resolution
  • John J. Flood, Vice President and Associate General Counsel
  • Sarah Gill, Senior Attorney

 

Presentation Document


 

November 6, 2007

On November 6, 2007, FINRA hosted a call-in workshop for arbitrators and mediators to discuss the consolidation of the NASD and NYSE Regulation dispute resolution programs and what it will mean for neutrals. Linda D. Fienberg, President of FINRA Dispute Resolution, and George Friedman, Executive Vice President and Director of Arbitration, conducted the workshop. Topics on the agenda included: dispositive motions, requests for expungement, Discovery Arbitrator Pilot, unsigned Uniform Submission Agreements and the new party representation rule.

 

MP3 format (3.1 MB)

 



March 1, 2007

On March 1, 2007, Linda Fienberg, President of NASD Dispute Resolution, and Richard Berry, Vice President and Director of Case Administration, hosted phone-in arbitrator workshop titled, "NASD Dispute Resolution: The New, Improved Code of Arbitration Procedure and the Impact of the New Subpoena Rules". 

 

MP3 format (5.7 MB)

 



February 14, 2006
On February 14, 2006, Linda Fienberg, President of NASD Dispute Resolution, hosted a phone-in arbitrator workshop titled, “NASD Dispute Resolution: New Rules Important to Arbitrators and Refresher on Expungement Rule 2130.” Topics discussed during the workshop included NASD DR’s 2005 highlights and accomplishments, recently approved rules, and a look ahead to the updated Code of Arbitration Procedure. In addition, George Friedman, Executive Vice President and Director of Arbitration, provided a brief review of NASD Rule 2130 on expungement. The program concluded with a question-and-answer segment.

 

* On May 27, 2009, the SEC approved a FINRA proposal to adopt, without material change, NASD Rule 2130 (Expungement Rule) as FINRA Rule 2080.

 

MP3 format (5.8 MB)

 



June 28, 2005
On June 28, 2005, NASD hosted a phone-in workshop for arbitrators and mediators to discuss the issue of service as an NASD Arbitrator. Linda Fienberg, President of NASD Dispute Resolution, conducted the workshop. Topics on the agenda included: 2005 "Year-in-Review"; Eligibility; Arbitrator Classification; "Explained Decision Proposal"; Arbitrator Disclosure; and, a "Question & Answer" session.

 

MP3 format (6.5 MB)

 



January 11, 2005

On January 11, 2005, NASD hosted a phone-in workshop for arbitrators and mediators to discuss the issue of mediation. Linda Fienberg, President of NASD Dispute Resolution, and Kenneth Andrichik, Senior Vice President of NASD Dispute Resolution, conducted the workshop. Topics on the agenda included: qualifications to become a mediator; an update on the revised Model Standards of Conduct for Mediators; disclosure requirements for mediators; tips on updating mediator's background disclosure statements; and, the intersections of arbitration and mediation.

 

MP3 format (8.2 MB)

 



October 6, 2004

On October 6, 2004, NASD hosted a phone-in workshop for arbitrators to discuss the issue of expungement in arbitration. Linda Fienberg, President of NASD Dispute Resolution, conducted the workshop. The purpose of the workshop was to assist arbitrators in fulfilling their obligation to complete NASD's mandatory training in expungement.  At the conclusion of the workshop, arbitrators were given an option to take a test and submit it to NASD for grading.  Upon successful completion of the test, arbitrators were credited for having taken the expungement training course.

 

MP3 format (11 MB)

 



March 17, 2004

On March 17, 2004, NASD hosted a phone-in workshop for arbitrators to discuss the issue of discovery in arbitration. Linda Fienberg, President of NASD Dispute Resolution, conducted the workshop. Topics on the agenda included use of the Discovery Guide, abuse of the discovery process, and sanctions available to arbitrators in response to discovery abuse by parties in arbitration. Reference was made to the Notice to Members 03-70 and the Notice to Parties recently issued by NASD to address this subject.

 

MP3 format (6 MB)