The Neutral Corner

 

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 Race 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