Notices to Parties

FINRA’s Public Arbitrator Pilot Program
FINRA’s two-year Public Arbitrator Pilot Program allows some investors filing arbitration claims to choose a panel made up of three public arbitrators instead of two public arbitrators and one non-public arbitrator, as is currently the norm. The pilot will be available to certain claims received on or after October 6, 2008. View Frequently Asked Questions.

 

Notice to Parties on Motions to Dismiss Claims Prior to Award (Dispositive Motions)
FINRA is aware that parties increasingly are filing motions to decide claims before a hearing (commonly referred to as dispositive motions) in arbitration cases. This notice informs parties of the policy concerning dispositive motions and reminds them that filing dispositive motions in bad faith may result in sanctions imposed by the panel. View Notice for more information.

Notice to Attorneys and Parties Represented by Out-of-State Attorneys

In some jurisdictions, an out-of-state attorney cannot represent a client in arbitration. In these jurisdictions, it is considered the unauthorized practice of law to provide such legal representation without being admitted to the appropriate Bar. View more information.

 

Arbitration Evaluation Form

Once your arbitration case has concluded, please remember to complete an online evaluation of FINRA’s Dispute Resolution services and processes, and the arbitrator(s) assigned to your case. The evaluation takes less than 5 minutes to complete.

 

Expedited Proceedings for Senior or Seriously Ill Parties (6/10/04)

FINRA Dispute Resolution recognizes that various state statutes provide for speedy trials in civil actions involving senior or seriously ill parties. FINRA Dispute Resolution appreciates the need for expedited hearings in arbitrations involving such parties. FINRA Dispute Resolution conducted a 10-month pilot program in its Southeast Regional Office to expedite arbitration proceedings in matters involving senior or seriously ill parties. Due to the success of the pilot, FINRA Dispute Resolution launched the program on a national basis effective June 7, 2004.

FINRA's Discovery Rules and Procedures (1/12/04)

The timely exchange of relevant documents and information between parties to FINRA arbitrations is vital to the efficient, cost-effective resolution of disputes. Recently, complaints from parties regarding possible abuses of the discovery process in FINRA arbitrations have been on the rise. This trend suggests that some parties believe that noncompliance with the discovery process is a routine and acceptable part of arbitration strategy. It is not.