Previous Volumes of the Neutral Corner

 

Volume 1—2014 (PDF 247 KB)

 

Mission Statement

Additional Procedures to Ensure Proper Disclosure by Kristine Antoja, Case Administrator II, FINRA Case Administration
 

Dispute Resolution News

  • Case Filings and Trends
  • FINRA Annual Conference
  • California State Bar Rules for Arbitrators and Mediators

 

SEC Rule Filings

  • Defining the Arbitrators' Authority to Make Regulatory Referrals During an Arbitration Proceeding
  • Protecting Personal Confidential Information

 

Rulemaking Items Approved at the February 2014 FINRA Board of Governors Meeting

  • Prohibiting Conditioning Settlements of Customer Disputes on a Customer's Agreement Not to Oppose Expungement
  • Definitions of Public and Non-Public Arbitrators


Mediation Update


Questions and Answers

  • Issuing Subpoenas and Orders
  • Expungement Requests After Settlement

 

Education and Training

  • Updated Online Arbitrator Training: Expungement
     

 

Volume 4—2013 (PDF 311 KB)

 

Mission Statement

 

Message From the Editor

 

Year-End Message

 

A Closer Look at Expungement: Asking the Right Questions by Jisook Lee, Associate Director, FINRA Neutral Management

 

Limitations on the Types of Disclosure Events That May Be Expunged from the Central Registration Depository Through Arbitration by John Nachmann, Deputy Chief Counsel, FINRA Registration and Disclosure

 

Notice to Arbitrators and Parties on Expanded Expungement Guidance

 

Dispute Resolution News

  • Case Filings and Trends
  • DR Portal
  • Results of the Fifth Annual Securities Dispute Resolution Triathlon


SEC Rule Approval

  • Discovery Guide to include  General Guidance on Electronic Discovery and Product Cases


Rulemaking Items Discussed at the FINRA Board of Governors December 2013 Meeting

  • Proposal to Raise Arbitrator Honoraria
  • Proposal to Require Parties to Redact Specified Personal Confidential Information From Pleadings


Mediation and Business Strategies Update

 

Education and Training

  • Neutral Workshop: Expungement
  • Updated Online Arbitrator Training: Discovery, Abuses and Sanctions


In Memoriam: Thomas F. Wynn

 


 

Volume 3—2013 (PDF 223KB)

 

Mission Statement

 

Dispute Resolution and FINRA News

 

  • Case Filings and Trends
  • Recent New Jersey State Court Ruling on Mediation Agreements
  • DR Portal: Register Now
  • Fifth Annual Securities Dispute Resolution Triathlon
  • Securities Arbitration and Mediation Hot Topics 2013
  • PLI Securities Arbitration 2013

 

SEC Rule Approvals

 

  • One Panel Composition Method
  • Discovery Guide to include  General Guidance on Electronic Discovery and Product Cases

 

Questions and Answers

 

  • Dissenting Opinions

 

Mediation Update
 

  • Mediation Settlement Month
  • Small Claims Mediation Program

 

Education and Training

 

  • Summary of Available Trainings

 

Arbitrator Tip

 

  • Keeping FINRA Apprised of Issues That May Affect Your Service 

 


 

Volume 2—2013 (PDF 257KB)

 

Mission Statement

 

Arbitrator Best Practices for the Prehearing Phase by Scott Carfello, Associate Vice President and Regional Director for the Midwest Region, FINRA Dispute Resolution

 

Are You Forgetting to Make Necessary Disclosures? by Barbara Brady, Vice President and Director of FINRA Neutral Management

 

Dispute Resolution and FINRA News

 

  • Case Filings and Trends
  • Resources for Investors Representing Themselves in FINRA Arbitrations and Mediations
  • Financial Capability Survey
  • PLI Securities Arbitration 2013
  • Securities Arbitration & Mediation Hot Topics 2013
  • American Bar Association

 

SEC Rule Filing

  • One Panel Composition Method
  • Discovery Guide to Include General Guidance on Electronic Discovery and Product Cases

 

SEC Rule Approval

  • Amendment to FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
  • Public Arbitrator Survey

 

Questions and Answers

  • FINRA DR Portal
  • 407 Letters
  • Expungement in Intra-Industry Disputes

 

Mediation Update

 

Education and Training

  • Neutral Workshop—Tips for Conducting Efficient Hearings

 

Arbitrator Tip

  • Serving in Secondary Hearing Locations

 


 

Volume 1—2013 (PDF 945 KB)

 

Mission Statement

 

FINRA DR Portal—Getting Started

 

Arbitration Awards: The Offset Option

 

Dispute Resolution News

 

  • Case Filings and Trends
  • Arbitrator Reimbursement Policy
  • Telephonic Mediation Pilot
  • Updated Scripts and Forms
  • FINRA Annual Conference

 

SEC Rule Filing

  • Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition

 

SEC Rule Approval

  • Subpoenas for the Appearance of Witnesses and the Production of Documents

 

Questions and Answers

  • State Regulator Inquiries
  • Time Limits

 

Mediation Update

 

Arbitrator Tip

  • Surreptitious Recording

 


 

Volume 4—2012 (PDF 718 KB)

 

Mission Statement

 

Year End Message

 

Removal of Arbitrators from FINRA's Neutral Roster by Linda Fienberg, President, FINRA Dispute Resolution, and Barbara Brady, Vice President and Director of Neutral Management, FINRA Dispute Resolution

 

What Happens After Arbitrators Submit a Disciplinary Referral by Jeffrey Smith, Office of Fraud Detection and Market Intelligence

 

Dispute Resolution News

  • Case Filings and Trends
  • FINRA Dispute Resolution to Administer Arbitration Claims Between Investors and Non-Member Investment Advisers
  • California State Bar Rules for Arbitrators and Mediators
  • Electronic Prehearing Conference Order
  • Results of the Fourth Annual Securities Dispute Resolution Triathlon

 

SEC Rule Approval

  • Proposal to Amend Dispute Resolution's By-Laws to Facilitate Re-classification of Mediators
     

Log On and Log In: The FINRA Dispute Resolution Portal by Kristina Zvetkov, FINRA Corporate Intern

 

Question and Answer

  • Non-attorney representation

 

Mediation and Business Strategies Update

 


 

Volume 3—2012 (PDF 631 KB)

 

Mission Statement

 

Guidance to Pro Se Parties During the Initial Prehearing Conference by Paul Weinberg

 

Sexual Harassment Notice by Gary Lipkin, Associate Vice President and Associate General Counsel, FINRA Office of General Counsel
 

  • Dispute Resolution News

    • Case Filings and Trends
    • FINRA DR Portal
    • Fourth Annual Securities Dispute Resolution Triathlon
    • FINRA Launches Pilot Program for Large Arbitration Claims
    • Practising Law Institute (PLI) Arbitration Securities Program
       
  • SEC Rule Filing

    • Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
       
  • SEC Rule Approvals

    • Simplified Arbitration
    • Mediator Selection
       
  • Suitability Rule
     
  • Questions and Answers

    • Arbitrator Honorarium for Motions Decided Without a Hearing
    • Arbitrator Performance
    • Disclosure of Continuing Benefits
       
  • Mediation and Business Strategies Update
     
  • Arbitrator Training

    • September 17th Neutral Workshop: FINRA DR Portal
    • September 12th Neutral Workshop: Current Events 
       
  • Arbitrator Tip

    • Information Security

 


 

Volume 2—2012 (PDF 496 KB)

 

  • Message From the Editor
     
  • Properly Recording the Arbitration Hearing by Jeremy Zeliger, Case Administrator, FINRA Dispute Resolution
     
  • Dispute Resolution News

    • Case Filings and Trends
    • New: Arbitrator Experience Survey
    • Regulatory Notice: FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
       
  • SEC Rule Approval

    • Whistleblower Claims in Arbitration  
    • Proposed Rule Change to Amend the Industry Code to Preclude Collective Action Claims From Arbitration 
    • Mediator Selection 
    • Simplified Arbitration
       
  • Questions and Answers

    • Arbitrator Withdrawals
    • Allocating Member Fees 
    • Discovery in Arbitration 
    • Court Reporters
       
  • Mediation Update
     
  • Arbitrator Training
    • FINRA Dispute Resolution Arbitrator Trainings
       
  • Arbitrator Tip
    • Returning Exhibits to FINRA After an Offsite Hearing

 


 

Volume 1—2012 (PDF 733 KB)

 

  • Message From the Editor
     
  • Voluntary Program to Reduce Extended List Arbitrator Appointments by Anna Lyons
     
  • Dispute Resolution and FINRA News

    • Case Filings and Trends
    • FINRA Revises Its Arbitration and Mediation Web Pages
    • Increase in Meal Allowance for Arbitrators
    • FINRA Annual Conference
       
  • SEC Rule Filings

    • Proposed Rule Change to Amend the Industry Code to Preclude Collective Action Claims From Arbitration
    • Mediator Selection
    • Simplified Arbitration
       
  • SEC Rule Approval

    • Whistleblower Claims in Arbitration
       
  • Arbitrator Electronic Expense Reimbursement Pilot Program by Paul Milligan

  • Questions and Answers

    • Expungement
    • Motions in Limine
       
  • Mediation Update
     
  • Arbitrator Training
    • Neutral Workshop—Embracing 2012
    • Updated Arbitrator's Guide
    • Written Materials for Arbitrator Training Courses

 


 

Volume 6—2011 (PDF 628 KB)

 

  • Year-End Message to Neutrals
     
  • Message From the Editor
     
  • Curveballs: Unexpected Situations that Arise During a Hearing by Julie Jason
     
  • Dispute Resolution and FINRA News

    • Case Filings and Trends
    • Update on the Optional All Public Panel Rule
    • Updated Hearing Scripts with Additional Disclosure Guidance
    • Increase in Meal Allowance for Arbitrators
    • Updated: New Account Application Template
       
  • SEC Rule Filing

    • Whistleblower Claims in Arbitration
       
  • Questions and Answers

    • Procedures for Promissory Note Cases
    • Arbitrator Immunity From Liability
       
  • Mediation Update
     
  • Arbitrator Training
    • Arbitrator Disclosure
      • Neutral Workshop: Arbitrator Disclosure
      • Updated Arbitrator Disclosure Checklist
      • New and Improved Online Arbitrator Training: Your Duty to Disclose

 


 

Volume 5—2011 (PDF 545 KB)

 

  • Message from the Editor
     
  • Practice Tips for Successful Mediations by Philip J. Glick

  • Arbitrator Recruitment Survey Results by Erroll E. Angara

  • Dispute Resolution and FINRA News
    • Case Filings and Trends
    • Third Annual Securities Dispute Resolution Triathlon
    • Social Media Regulatory Notice
  • Use of Social Media Sites by Barbara L. Brady

  • SEC Rule Filing
    • Amendments to the Proposed Rule Change Relating to Disciplinary Referrals Made During an Arbitration Proceeding
  • Questions and Answers
    • Evaluate Before Accepting an Arbitration Assignment
    • Arbitrator Withdrawals Prior to Scheduled Hearing Dates
    • Disposal of Case Material
  • Mediation Update

  • Arbitrator Training
    • FINRA Podcasts

 


 

Volume 4—2011 (PDF 519 KB)

 

  • Message from the Editor
     
  • Disclosure: The Cornerstone of Integrity and Fairness in Arbitration by Ruth V. Glick
     
  • Recent Award Vacaturs Resulting From Arbitrators’ Failure to Disclose
     
  • Dispute Resolution and FINRA News
    • Case Filings and Trends
    • Annotated Code of Ethics
    • Reimbursement Mileage Rate Increase
    • PLI Program
    • Third Annual Securities Dispute Resolution Triathlon
  • SEC Rule Filing
    • Amendments to the Proposed Rule Change Relating to Disciplinary Referrals Made During an Arbitration Proceeding
  • Questions and Answers
    • Arbitrator Disclosure of Banking Relationships
    • Arbitrator Disclosure of Investment Disputes
    • Arbitrator Disclosure of Pending Actions
    • Arbitrator Disclosure of Immediate Family Members Working in the Securities Industry
    • Arbitrator Disclosure of Blogs
  • Mediation Update

  • Arbitrator Training
    • Online Arbitrator Training on Anti-Money Laundering Requirements and Suspicious Activity Reporting
    • Podcast: Arbitrator Panel Composition

 


 

Volume 3—2011 (PDF 464 KB)

 

  • Arbitration Parties Are People Too—Help Them Feel That Way By Andrew Gerber 
     
  • Dispute Resolution and FINRA News
    • Case Filings and Trends
    • California State Bar Rules for Arbitrators and Mediators
    • Updated Statistics to Optional All Public Panel Rule
    • Electronic Arbitration Orders
    • Online Arbitration Claim Filing System Enhancement
  • SEC Rule Filing
    • Disciplinary Referrals Made During an Arbitration Proceeding
  • SEC Rule Approvals
    • Discovery Guide
    • Panel Composition for Promissory Note Cases
    • Replying to Responses to Motions
  • Question and Answer
    • Default Procedures
  • Mediation Update

  • Arbitrator Training
    • Neutral Workshop: FINRA Discovery Guide Revisions
    • Updated Discovery Training
  • Arbitrator Tip
    • Arbitrator Conduct

 

Volume 2—2011 (PDF 465 KB)

 

  • Electronic Discovery By Irene C. Warshauer

  • FINRA's Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings By Margo Hassan

  • Dispute Resolution and FINRA News
    • Case Filings and Trends
    • New Arbitrator's Guide
    • Contingency Plans Due to Severe Weather
    • Update to Online Claim Filing: Payment by ACH Bank Transfer
  • SEC Rule Filings
    • Disciplinary Referrals Made During an Arbitration Proceeding
    • Replying to Responses to Motions
  • SEC Rule Approval
    • Discovery Guide
  • Questions and Answers
    • Arbitrator Classification
    • Scheduling Hearing Dates
  • Mediation and Business Strategy Update

  • Arbitrator Training
    • Completing the Arbitrator Expense Report
    • Basic Arbitrator Training
  • Arbitrator Tip
    • FINRA Encourages Arbitrators to Answer Parties' Requests for Additional Information

 

Volume 1—2011 (PDF 445 KB)

 

  • Message from the Editor  
    • Enhancements to The Neutral Corner
    • Rule Change to Provide Customers With the Option to Choose an All-Public Arbitration Panel By Avi Badash
  • Dispute Resolution and FINRA News:
    • Case Filings and Trends
    • Updated Hearing Script
    • New Trainings for Industry Professionals
    • FINRA Annual Conference
  • SEC Rule Filings
    • Panel Composition for Promissory Note Proceedings
    • Replying to Responses to Motions
    • Update to Proposed Rule Change to the Discovery Guide
    • Update to the Proposed Rule Change Relating to Disciplinary Referrals Made During an Arbitration Proceeding
  • SEC Rule Approval
    • Option to Choose an All Public Arbitration Panel in All Cases
    • FINRA Dispute Resolution Arbitrator Recruitment Program By Erroll Angara
  • Questions and Answers
    • Using the Direct Communication Rule to Ensure Prompt Notice of Last Minute Cancellations
    • Calculating Hearing Sessions and Fees
  • Mediation and Business Strategy Update
  • Arbitrator Training
    • December 20, 2010 Neutral Workshop
    • Digital Recorder Instructional Video

 

Volume 5—2010 (PDF 278 KB)

 

  • Telephonic Mediation: An Overview By Joan Stearns Johnsen
  • Dispute Resolution and FINRA News
    • Case Filings and Trends
    • Second Annual Securities Dispute Resolution Triathlon
    • Notable Decisions
    • Updated Hearing Scripts
  • SEC Rule Filings
    • Discovery Guide
    • All-Public Arbitration Panel
  • SEC Rule Approval
    • Changes to FINRA's Online Arbitration Claim Filing System
  • Tips for a Successful Arbitration Hearing
  • Questions and Answers
    • Information Security
    • Out-of-State Attorney Appearing in an Arbitration in Florida
  • Mediation and Business Strategies
  • Arbitrator Recruitment Update
  • Arbitrator Tip
    • Postponement Fee Waiver

 

Volume 4—2010 (PDF 245 KB)

 

  • Reintroducing the Direct Communication Rule By David E. Robbins
  • Dispute Resolution News
    • Case Filings and Trends
    • SEC Investor Advisory Committee
    • Neutral Workshop: FINRA's Information Security Policy
    • Practising Law Institute (PLI) Program
    • Expanding Arbitrator Rosters in Underserved Hearing Locations
    • Update: Guidelines for Arbitrator Reimbursement
    • Enhancements to the Online Filing System
    • Legislative Update
  • SEC Rule Filings
    • Disciplinary Referrals Made During an Arbitration Proceeding
    • Discovery Guide
    • All-Public Arbitration Panel
  • SEC Rule Approvals
    • Expanded Arbitrator Lists
    • Attorney Representation of Non-Party Witnesses in Arbitration
  • Question and Answer
    • Background Verification Project
  • Mediation and Business Strategy Update
  • Arbitrator Training
    • New Online Training: Motions to Dismiss
    • Live Video and Onsite Classroom Training
  • Arbitrator Tip
    • Verify Case Numbers and Case Captions
       

 

Volume 3—2010 (PDF 165 KB)

 

  • Thank You to Arbitrators and Mediators for Completing Background Verification Forms
  • FINRA Revises Online Basic Arbitrator Training Materials, By Robert S. Banks, Jr.
  • Dispute Resolution News
    • Case Filings and Trends
    • FINRA Annual Conference
    • Update to Arbitration Award Online Web Page
    • FINRA’s Online Learning Courses for Industry Professionals
  • SEC Rule Filing
    • Attorney Representation of Non-Party Witnesses in Arbitration
  • SEC Rule Approval
    • Expanded Arbitrator Lists
  • Changes to the Arbitrator Disclosure Report, By Leslie N. Leutwiler, Associate Director, FINRA Neutral Management
  • Discovery Orders and Deadlines for Document Production, By Michele D. Collins, Associate Director, FINRA Case Administration
  • Allocation of Forum Fees
  • Question and Answer:
    • Properly Handling Case Materials
  • Mediation and Business Strategies Update
  • Arbitrator Training and Regional Updates
  • Arbitrator Tip:
    • Confirm Damage Requests at the Close of the Hearing

 


 

Volume 2—2010 (PDF 153 KB)

 

  • Expungement of Information from the Central Registration Depository in Intra- Industry Disputes, By John Nachmann, Assistant Chief Counsel, FINRA Registration and Disclosure
  • Dispute Resolution and FINRA News
    • Case Filings and Trends
    • Morgan Keegan Notice to Parties
    • Reminder: FINRA Arbitrators Are Independent Contractors
    • Update to Hearing Scripts
    • Digital Recording of Hearings
    • FINRA Support for Expanding Law School Securities Advocacy Clinics
    • FINRA Proposes Expansion of Broker Information Publicly Available Through BrokerCheck
  • SEC Rule Filing
    • Attorney Representation of Non-Party Witnesses in Arbitration
  • SEC Rule Approvals
    • Criteria for Selecting a Hearing Location
    • Amendments to Postponement Fee Rule and Hearing Session Fee Rule
  • Use of Social Networking Sites
  • Scheduling Hearing Dates Within Nine Months From the Initial Pre-Hearing Conference, By David Carey, Associate Director, FINRA Case Administration
  • Questions and Answers
    • Expungement Hearings
    • Reactivating Lapsed FINRA Mediator Status
  • Mediation and Business Strategies Update
  • National Update
  • Arbitrator Training
  • Arbitrator Tip: Revised Online Arbitrator Information Update Form

 


 

Volume 1—2010 (PDF 170 KB)

 

  • Message to Neutrals and Mandatory Arbitrator Background Verification Project
  • Evidentiary Objections in Securities Arbitration By Seth E. Lipner
  • Dispute Resolution News
    • Case Filings
    • Neutral Workshop
    • Online Disciplinary Referral Form
    • Pace Law School’s Guide to Securities Industry Disputes
    • Public Arbitrator Pilot Program
    • Evaluating the Effect of the Dispositive Motions Rule
  • SEC Rule Filings
    • Criteria for Selecting a Hearing Location
    • Amendments to the Postponement Fee Rule and Hearing Session Fee Rule
  • SEC Rule Approval
    • Clarification of the Date of Filing of an Arbitration Claim
  • FINRA’s Arbitrator Selection Process By Suzanne E. Green, Associate Director, FINRA Neutral Management
  • Question and Answer
    • Hearing Postponements by Arbitrators
  • Mediation and Business Strategies Update
  • National Update
  • Arbitrator Training
  • Arbitrator Tip: Arbitrator Reimbursement Guidelines By Jesse J. Terry, Accounting Associate, FINRA Finance

 


 

Volume 4—2009 (PDF 184 KB)

  • Robbins to Bader to Lipner: A Securities Arbitration Triple Play By James D. Yellen
  • Litigation Issues for Arbitrators By Avi Rosenfeld, Case Administrator, FINRA Northeast Regional Office
  • Dispute Resolution News
    • Case Filings
    • Updates to the Arbitrator Application
    • Public Arbitrator Pilot Program
    • Neutral Workshop
    • The Discovery Guide
  • SEC Rule Approval
    • Procedures to Expedite the Administration of Promissory Note Cases
  • Arbitrator Training
    • Update to Basic Arbitrator Training
  • Question and Answer
    • Discoverable and Admissible Evidence—What is the Difference?
  • Mediation and Business Strategies Update
    • New Mediator Payment Structure
    • Securities Dispute Resolution Triathlon

 


 

Volume 3—2009 (PDF 200 KB)

  • Expedited Procedures for Senior or Seriously Ill Parties By Michele Collins, Associate Director, FINRA Case Administration
  • Dispute Resolution News
    • Case Filings
    • FINRA's Arbitration Hearing Locations
    • FINRA Investor Education Foundation
    • Public Arbitrator Pilot Program
    • Neutral Workshop
    • Continuing Legal Education Available for Mini-Courses
  • SEC Rule Filing
    • Amendment to Definition of "Associated Person," Streamlining a Case Administration Procedure, and Clarifying that Customers Could Be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
  • SEC Rule Approvals
    • Tolling Provisions
    • Panel Composition for Claims Involving an Associated Person in Industry Disputes
    • Expedited Procedures for Promissory Note Cases
  • FINRA's Revised Expungement Rules By Michele Collins, Associate Director, FINRA Case Administration
  • Questions and Answers
    • Explained Decisions in Arbitration Awards
    • Proper Disposal of Case Materials
  • Mediation and Business Strategies Update
    • New Mediator Payment Structure
  • Arbitrator Tips
    • FINRA Updates Arbitrator Reimbursement Guidelines
    • Direct Deposit Available for Arbitrators and Mediators

 


 

Volume 2—2009 (PDF 164 KB)

  • How Well Do Attorneys and Litigants Evaluate Settlement Offers During Negotiations? By Richard Fincher, FINRA Arbitrator and Mediator
  • Dispute Resolution News
    • Case Filings
    • Auction Rate Securities Settlements—Special Arbitration Procedures
    • Neutral Workshops
    • 2009 FINRA Annual Conference
  • SEC Rule Filings
    • Panel Composition for Claims Involving an Associated Person in Industry Disputes
    • Expedited Procedures for Promissory Note Cases
  • SEC Rule Approvals
    • Single Arbitrator Threshold
    • Explained Decisions
    • Tolling Provisions
    • Amendments to Form U4, Form U5 and FINRA Rule 8312
  • Arbitrator Training
    • Motion to Dismiss and Eligibility Rules
  • Question and Answer
    • Arbitrators Should Promptly Assess Postponement Fees
  • FINRA News Updates
    • Richard G. Ketchum Named as FINRA’s Chief Executive Officer
    • Office of the Whistleblower

 


Volume 1—2009 (PDF 186 KB)

  • Message to the Arbitrators, By Barbara L. Brady, Vice President and Director of Neutral Management
  • Arbitrator Training
    • New Expungement Rules
  • New Motion to Dismiss Rule, By Avi Badash, Arbitration Administrator, FINRA Case Administration
  • Dispute Resolution News
    • Case Filings
    • Public Arbitrator Pilot Program
    • Auction Rate Securities Settlements—Special Arbitration Procedures
    • Neutral Call-In Workshop: FINRA Arbitration 2009—the Year in Review and the Road Ahead
  • SEC Approvals
    • Arbitration Submission Agreements
    • Motion to Dismiss and Eligibility Rules
    • Single-Arbitrator Threshold
  • FINRA Takes Steps to Enhance Finality in Arbitration—New Rules Limit Submissions on Closed Cases, By David L. Carey, Associate Director, FINRA Case Administration
  • Question and Answer
    • Arbitrators Negotiating Additional Fees from the Parties to Supplement Their Honoraria
  • Arbitrator Tip
    • FINRA Encourages Arbitrators to Answer Parties’ Questions about Specific Investment Products
       

 

Volume 6—2008

  • Dispute Resolution News
    • Case Filings
    • Panel Composition in Auction Rate Securities Cases
    • Auction Rate Securities Settlements
    • Public Arbitrator Pilot Program
    • 2008 Fall Securities Conference
  • SEC Rule Filing
    • Proposed Rule Change to Raise the Amount in Controversy Heard by a Single, Chair-Qualified Arbitrator
  • SEC Rule Approvals
    • Adoption of NASD Rules in the New Consolidated FINRA Rulebook
    • Submissions to Arbitrators after a Case Has Closed under Limited Circumstances
  • Update on Proposed Rules to Address Expungement Relief Requests
  • Arbitrator Call-in Workshops
  • New Arbitrator Training Course: “Civility in Arbitration”
  • Question and Answer
    • Monetary Sanctions Made Payable to FINRA
    • New Mediator Payment Process
  • Arbitrator Tip
    • Discard Outdated Training Materials

       

Volume 5—2008

  • Curveballs: Unexpected Situations that Arise During a Hearing, By Julie Jason
  • Dispute Resolution News
    • Case Filings
    • September 23, 2008, Neutral Roster Call-In Workshop: Investor Education and Emerging Regulatory Issues
  • SEC Rule Filings
    • Proposed Rule Change to Adopt NASD Rules in the New Consolidated FINRA Rule Book
    • Proposed Rule Change to Amend the Discovery Guide
    • Proposed Rule Change to Amend the Uniform Submission Agreement
  • SEC Rule Approvals
    • Amendment to the Definition of Public Arbitrator
    • Amendment to the Chairperson Eligibility Requirements
  • Discovery Arbitrator Pilot
  • Did You Know…?
  • Question and Answer
    • Confidentiality After a Settlement or Award

 


Volume 4—2008

  • Writing a Disciplinary Referral, By Jeffrey Bloom
  • Dispute Resolution news
    • June 19, 2008 Call-in Workshop: Experienced Neutrals Present: Best Practices for Handling Difficult Situations
    • 2008 FINRA Spring Securities Conference
  • SEC Rule Filing
    • Amendment to the Discovery Guide to Update the Document Production Lists
  • SEC Rule Approval
    • Amendment to the Definition of Public Arbitrator
  • Arbitration Awards: The Offset Option, By Avi Badash, Arbitration Administrator, FINRA Case Administration
  • Question and Answer
    • Non-Party Subpoenas
  • Arbitrator Tip
    • Witnesses Testifying Out of Order

 


Volume 3—2008

  • Introduction: Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information; By Judith R. Starr, Introduction by Alma Angotti
  • Dispute Resolution News 
    • March 13, 2008: What Neutrals Should Know
    • June 19, 2008: Experienced Neutrals Present: Best Practices for Handling Difficult Situations
  • SEC Rule Filing
    • Amendments to the Chairperson Eligibility Rule
    • Proposing Rules to Address Expungement Relief Requests
  • SEC Approval
    • Amendment to the Definition of Public Arbitrator
  • Changes to FINRA's Hearing Scripts
    • Damage Requests
    • Closing the Hearing
  • Question and Answer
    • A Party's Failure to Appear at a Hearing

 

Volume 2—2008

  • Regular Arbitrator Disclosure Instills Confidence in the Arbitration Process; By David Carey, Associate Director, FINRA Case Administration
  • SEC Rule Filing 
    • Removal of the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System
    • Submissions to Arbitrators after a Case Has Closed under Limited Circumstances
    • Proposed Rules Amendments to Address Motions to Dismiss and the Provision of the Eligibility Rule Related to Dismissals
  • Role of Arbitrators in Discovery
  • Question and Answer
    • FINRA's Authority to Enforce Non-Party Subpoenas
    • Sanctions against Counsel
  • Arbitrator Tip
    • Subpoenas, Discovery Motions and Orders of Appearance or Production

 

Volume 1—2008

  • Arbitrability of Sarbanes-Oxley Whistleblower Claims; By Laurence S. Moy, Pearl Zuchlewski, Linda A. Neilan and Katherine Blostein
  • Dispute Resolution News
    • Regulatory Notice: Deferred Variable Annuities
  • Electronic Discovery; By Rachel Glasgow, Case Administrator Manager of the Northeast Region
  • Question and Answer
    • Respondent's Failure to Submit a Uniform Submission Agreement
  • Arbitrator Tip
    • Scheduling Arbitration Hearings

 

October 2007

  • Permanent Removal of Arbitrators from the Roster
  • Employment Arbitration Task Force
  • The Role of Arbitrators in the Expungement Process
  • Notice to Parties on Motions to Dismiss Claims Prior to Award (Dispositive Motions)
  • Question and Answer
    • Recording Prehearing Conferences
    • Mediator Profile Update Form Online
  • SEC Approval
    • Representation of Parties
  • Arbitrator Tip
    • Peer Evaluation Forms

 

August 2007

  • We Are FINRA - the Financial Industry Regulatory Authority
  • Arbitrator Responsibility in Assessing Forum and Postponement Fees; By Zeb Barnhardt, Jr.
  • Subpoenas Served on FINRA: Production Turnaround Times; By Megan Herman
  • SEC Approval
    • Guidance Regarding Arbitration Claims in Light of the Consolidation
    • Jurisdiction Over Members of Other Self-Regulatory Organizations
  • SEC Rule Filing
    • Amendment to the Definition of Public Arbitrator
  • Question and Answer
    • Postponement of Scheduled Hearing
    • The Chairperson Roster
    • The New Subpoena Process

 

April 2007 

  • Maintaining Arbitrator Confidentiality; By Terri L. Reicher
  • Benefits of Being an NASD Mediator; By Julie Crotty, Assistant Director of Mediation
  • SEC Approval
    • Amended Rule - Issuance of Subpoenas
    • Amended Rule - Payment of $200 honorarium per case for each arbitrator regarding contested motions for the issuance of subpoenas

 

 

  • Arbitrator Tip
    • Identify the Hearing Participants
    • Ensuring that Arbitration Hearings are Properly Recorded and Hearing Tapes are Properly Marked
  • Question and Answer
    • Deciding a Motion for Sanctions
    • Arbitrator Classification and a Family Member's Internship

 

February 2007

  • Consolidation of NASD and NYSE Regulation
  • SEC Approval
    • NASD's Codes of Arbitration Procedure for Customer and Industry Disputes
  • Question and Answer
    • Timing of Motion Deadlines

 

October 2006

  • A Breath of Fresh Air: Discovery Arbitrator Pilot Program; By Leslie L. Cooney
  • NASD Dispute Resolution's New Business Model Has Been Deployed in All Regional Offices
  • The Model Standards of Conduct for Mediators; Revised By Julie Crotty, Assistant Director of Mediation
  • SEC Approval
    • Digital Recording of Arbitration Hearings
    • Classification of Arbitrators
  • SEC Rule Filing
    • Contested Subpoenas
    • Representation of Parties in Arbitration and Mediation

 

August 2006

  • The Importance of Avoiding Ex Parte Communications; By John E. Ohashi, Esq.
  • Question & Answer
    • Arbitrators Who Participate in Speaking Engagements
  • SEC Rule Filing
    • Revision of Rule 10322 of NASD's Code of Arbitration Procedure Relating to Subpoenas and the Power to Direct Appearances
    • Proposed Rule Changes
      • Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes
      • Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes to Address Motions to Decide Claims Before a Hearing on the Merits.
  • Arbitrator Tip
    • Temporary Injunctive Orders and Arbitration Panels

 

June 2006

  • Study of Arbitration Recovery Statistics; By Seth E. Lipner
  • Question and Answer
    • Understanding and Applying the Law in a Case
  • SEC Rule Filing
    • Revision of Rule 10322 of NASD's Code of Arbitration Procedure Relating to Subpoenas and the Power to Direct Appearances
  • Arbitrator Tip
    • Reviewing Witness Lists and Reporting Additional Disclosures

 

April 2006

  • When in Doubt, Disclose; By Rina Spiewak, Staff Attorney, NASD Dispute Resolution West Regional Office
  • Clarification of The Neutral Corner February 2006 "Question & Answer" on Joint and Several Liability
  • Arbitrator Tip
    • Disclosure and Acting as an Expert

 

February 2006

  • Arbitrator Training: Expungement; By Barbara Brady, Director of Neutral Management
  • SEC Rule Approval
    • Reorganization and Revision of NASD Mediation Rules (SR-NASD-2004-013)
  • Question and Answer
    • Joint and Several Liability

 

December 2005

  • Arbitrator Tip
    • Policy on Disciplinary Referrals
  • SEC Approval
    • Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
    • Reorganization and Revision of NASD Mediation Rules
  • Question and Answer
    • Non-Lawyer Representation in Florida

 

October 2005

  • Disciplinary Referrals; By Jisook Lee, Associate Director of Neutral Management
  • SEC Rule Filing
    • Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators
  • Question and Answer
    • Procedures after the Death of a Claimant

 

August 2005

  • NASD Dispute Resolution Launches Voluntary Discovery Arbitrator Pilot Program; By Rachel D. Glasgow, Case Administration Manager, NASD Dispute Resolution, Northeast Region
  • How to Conduct a Deliberation; By Jisook Lee, Associate Director of Neutral Management
  • SEC Approval
    • Rescission of the California Waiver Standards
    • Honorarium for Arbitrators Deciding Discovery-Related Motions
  • SEC Rule Filing
    • Reorganization and Revision of NASD Rules Relating to Customer Disputes, Industry Disputes, and Mediation
    • Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
  • Question and Answer
    • Respondent's Failure to Appear at a Hearing

 

June 2005

  • Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information; By Judith R. Starr
  • Arbitrator Tip
    • Arbitrators' Obligation to Update their Disclosure Report
  • Question and Answer
    • Arbitrator Service in Multiple Hearing Locations

 

April 2005

  • Handling Motions Filed Before the IPHC; By Valerie Bailey Johnston, Associate Director of Case Administration, NASD Dispute Resolution
  • Arbitrator Disclosure Tip
    • Update Arbitrator Profile

 

February 2005

  • Practice Tips for Arbitrator Disclosure; By Ruth V. Glick
  • Mediation and Arbitration: A Neutral's Perspective; By Robert D. Herschman
  • SEC Approval
    • Amendments to Eligibility Rule
  • Question and Answer
    • Introduction into Evidence of a "No-Action Letter"

 

December 2004

  • Injunctions; By Rose Schindler - Southeast Regional Director
  • Ex Parte Communications; By Marya M. Santor - Staff Attorney
  • Question & Answer
    • Serving on Multiple Cases with the Same Party

 

October 2004

  • Keep the Arbitration Moving: Enforcing Discovery Deadlines and Legitimate Information Requests; By Brian N. Smiley and Theodore A. Krebsbach
  • Voluntary Direct Communication between Parties and Arbitrators
  • Sanctions and the NASD Arbitration Process; By Todd Saltzman-Associate Director of Case Administration
  • Question & Answer
    • Arbitrator's Duty to Disclose

 

August 2004

  • Post-Sawtelle Tremors: Arbitration Faces New Questions about the Sustainability of Punitive Awards; By Constantine N. Katsoris
  • Arbitrator Classification Changes; By Barbara L. Brady - Associate Vice President and Director of Neutral Management
  • New Expungement Rule - Rule 2130 of the NASD Code of Arbitration Procedure
  • SEC Approval
    • Arbitrators to Be Compensated for "Last-Minute" Postponements
    • Suspension for Failing to Pay Arbitration Awards
    • Voluntary Direct Communication Between Parties and Arbitrators
  • Question & Answer
    • Parties' Use of the NASD's Discovery Guide

 

June 2004

  • What the New Customer Arbitration Code Will Mean to Arbitrators; By David E. Robbins
  • Expedited Proceedings for Elderly or Seriously Ill Parties; By Todd Saltzman
  • Arbitrator Removal from the NASD Roster
  • SEC Approval
    • Arbitrator Classification Changes
  • Question and Answer
    • Expediting Hearings

 

April 2004

  • Arbitrators and Orders of Confidentiality

 

February 2004

  • NASD Initiative to Curb Discovery Abuse
  • SEC Approval
    • Rule 2130 of the NASD Code of Arbitration Procedure
  • Thoughts on Managing a Multiparty Mediation; By Philip S. Cottone

 

December 2003

  • NASD Launches Initiative to Curb Discovery Abuse
  • Public Customer Arbitration Code
  • Arbitrator Compensation for Last Minute Adjournments
  • Asserting Jurisdiction Over Non-Parties; By Tom Wynn, Editor-In-Chief
  • Questions & Answer
    • Arbitrators' Jurisdiction and Authority over Non-Party Firms/Customers
  • Direct Communications Between Parties & Arbitrators
  • NASD Pilot California Waiver Rule

 

October 2003

  • Proactive Arbitrators Keep the Case Moving; By Robert D. Herschman
  • We Need Your Peer Evaluations; By Valerie Bailey Johnston

 

August 2003

  • NASD Proposes Perino Report Amendments
  • Global Settlement & Investor Options at NASD Dispute Resolution
  • Proposal to Amend NASD Rule 10304 - the Eligibility Rule
  • Question & Answer
    • Scheduling Evidentiary Hearings

 

June 2003

  • NASD Implements Online Chairperson Training
  • Question & Answer
    • Arbitrators' Duty to Decide Important Procedural Issues

 

April 2003

  • SEC Publishes NASD Expungement Rule
  • Question & Answer
    • Keeping a Record of Arbitration Proceedings
    • NASD Arbitration Confidentiality

 

February 2003

  • U.S. Supreme Court: Arbitrators Decide Six-Year Eligibility Requirement
  • Question & Answer
    • Referrals for Regulatory Review
  • Amendments to NASD By-Laws
  • Refund of Member Surcharges - NASD Rule 10333(a)

 

December 2002

  • NASD to Provide Online Chairperson Training
  • Direct Communications Pilot Program Survey; By John C. Barlow, Associate Vice President & Regional Director, Midwest Region, NASD Dispute Resolution
  • Question & Answer
    • Arbitrator Honoraria

 

October 2002

  • Sensitivity to Parties - National Arbitration and Mediation Committee (NAMC) Recommendation
  • NASD Promotes Settlement Month; By Patrick Kenny
  • Making A Better Award -- An Essential Arbitrator Function; By Richard P. Ryder
  • Questions & Answers
    • NASD Arbitrator Classification

 

August 2002

  • NASD Seeks Exemption from California Arbitration Rules
  • Decorum; By Tom Wynn, Editor-In-Chief
  • Finality - Arbitrator's Reference Guide
  • Question & Answer
    • Arbitrator Travel Reimbursement
  • Director's Expanded Power to Remove Sitting Arbitrators; By Rachel D. Glasgow

 

June 2002

  • National Adjudicatory Council Affirms Sanctions
  • Explaining the Neutral List Selection System
  • Replacing Presiding Arbitrators - Amended NASD Rule 10313
  • Question & Answer
    • Arbitrator Removal from The NASD Roster
  • Pleading Standards - Minimum Claim Requirements of NASD Rule 10314
  • NASD Institute for Professional Development

 

March 2002

  • Injunctions - NASD Rule 10335 Temporary Injunctive Orders; Requests for Permanent Injunctive Relief
  • Amendments to NASD Rule 10335 and the Conforming Changes to NASD Rule 10205(h)
  • NASD Customer Survey

 

December 2001

  • SEC Approval
    • Amendments to NASD Rules 10306, 10319, and 10328
  • NASD Discovery Guide Survey
  • Expungements - NASD Regulation

 

June 2001

  • Keep Arbitration on Track - The Code of Ethics for Arbitrators in Commercial Disputes

 

January 2001 (PDF 87 KB)

  • Advocacy With Civility: A Prescription For Success; By Constantine N. Katsoris
  • Rule Updates
    • Arbitrator Disqualification - NASD Rules 10308 and 10312
    • Injunctions - NASD Rule 10335
    • Large and Complex Cases - NASD Rule 10334 and Amendments to NASD Rules 10332 and 10205

 

November 2000 (PDF 959 KB)

  • NASD Dispute Resolution, Inc
    • Goals
    • Initiatives
  • New Mediation Rules
    • New Fee Schedule
    • New Adjournment Rules
  • Facilitating Arbitrator Disclosure-Promoting Fair Arbitrator Selection
  • IRS Form 1099-MISC

 

July 2000 (PDF 296 KB)

  • NASD Dispute Resolution Launches Single Arbitrator Pilot Program
  • NASD Mediation Works
    • The Mediators
    • Case Administration
    • Services
    • Costs
  • NASD Mediation Adopts New Mediator Fees And Introduces Reduced-Fee Mediations
  • Tools To Conduct An Effective Prehearing Conference; By Judge Sharon T. Nelson
  • NASD Arbitrator's Duty to Disclose
  • Study Praises NASD Arbitrators

 

November 1999 (PDF 115 KB)

  • Dispute Resolution Briefs
  • Task Force Initiatives Approved
  • Duty To Disclose
  • Expungements

 

January 1999 (PDF 119 KB)

  • Confronting Chaos In The Arbitration Universe: Dealing With The Under-Represented Party; By Francis O. Spalding

 

September 1998 (PDF 126 KB)

  • Confronting Chaos In The Arbitration Universe: Dealing With The Under-Represented Party; By Francis O. Spalding
  • Initiatives Move Forward Under New Director Of Neutral Training And Development

 

February 1998 (PDF 133 KB)

  • Mediation Continues Dynamic Growth
  • NASD Regulation To Test Arbitrators 

 

September 1997 (PDF 87 KB)

  • Uniform Law Commissioners Tackle The Uniform Arbitration Act; By Thomas J. Stipanowich
  • Mediation: Doing It By Phone...Successfully; By Sterling N. Frost
  • Mediation Survey Yields Favorable Results