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Printer-Friendly Dispute Resolution Phone-In Workshop Audio Files

Below is a listing of past FINRA phone-in workshops relating to Dispute Resolution.

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)¹

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)¹

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

• What FINRA Arbitrators and Mediators Should Know: Litigation Issues (PDF 5.8 MB)

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)¹

WMA format (3.3 MB)²

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)¹

WMA format (3 MB)²

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.

MP3 format (5.8 MB)¹

WMA format (3.1 MB)²

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)¹

WMA format (3.5 MB)²

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)¹

WMA format (4 MB)²

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)¹

WMA format (3 MB)²

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)¹
WMA format (4 MB)²

 

¹ Requires MP3 compatible audio player.

² Requires Windows Media Player.