The Neutral Corner - Volume 4—2018

The Neutral Corner—Volume 4, 2018

Mission Statement

Year End Message

Ken Andrichik Retirement

Ten Tips for Effective Securities Mediation (by James Yellen and Edward Larkin)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • DR Portal Enhancements
  • FINRA Arbitrator Travel Policy
  • New Director of Mediation: Manly Ray
  • Closing the Miami Hearing Location
  • Results of the Tenth Annual Securities Dispute Resolution Triathlon
  • Neutral Roster Demographic Survey Thank You
  • Diversity Symposium at New York Law School (January 31, 2019)
  • NYCLA Program: 20th Annual FINRA Listens…and Speaks (February 11, 2019)
  • Rulemaking Items Discussed at the FINRA Board of Governors September 2018 Meeting
    • Expand Time for Non-Parties to Respond in Arbitration
  • SEC Rule Approval
    • Provide Arbitrators a $200 Honorarium to Decide a Contested Request for a Subpoena or Order

Mediation Update

  • Mediation Statistics
  • Mediation Settlement Month
  • Mediation Settlement Day
  • Mediation Program for Small Arbitration Claims
  • Keep It Current
  • Mediator Training Opportunities
  • Become a FINRA Mediator 

Questions and Answers

  • Securities Arbitration Clinics
  • Postponement Fee Waivers

Quarterly Arbitrator Disclosure Reminder