Neutral Workshop Audio and Video Files

The Neutral Audio/Video Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program, such as the latest proposed rule changes, procedures, recent Regulatory Notices. The workshops are pre-recorded by senior Dispute Resolution staff several times each year, and posted here for neutrals to access at anytime.

The most recent Neutral Workshop follows:

Spring 2016—Practical Tips For Arbitrators From Arbitrators (video 28:04)

Anna Lyons, Associate Director of the Office of Dispute Resolution's Southeast Regional Office, discusses best practice tips with FINRA arbitrators: Nancy Cliff, Steve Goerke and B.J. Krintzman. Based on their years of experience conducting FINRA arbitrations, the panelists provide guidance on how to conduct efficient initial prehearing conferences and successful hearings, discuss tips for working with co-panelists and share their experiences using the Dispute Resolution Portal.


November 11, 2015 – Best Practice Tips for Arbitrators (video 23:14)

Rick Berry, Executive Vice President of Dispute Resolution, discusses tips for arbitrators with Case Administrators Kwame Dowe and Joanna Lam, and Stefanie Herrera from our Neutral Management Department. The panelists review best practices for arbitrator disclosure, using the Dispute Resolution Portal, and conducting a successful hearing.


February 12, 2015 – Rule Amendments; 2015 Vision; Expungement Refresher (video 33:47)

Rick Berry, Executive Vice President of Dispute Resolution, assisted by key FINRA staff members, discuss recent rule amendments and the forum's initiatives for 2015. The video also consists of an expungement refresher training in the form of a "Question and Answer session" with guest speaker Richard Pullano, Vice President and Chief Counsel of FINRA’s Registration and Disclosure Department. Joining Mr. Berry and Mr. Pullano are Katherine Bayer, Regional Director of Dispute Resolution's Northeast office, and Barbara Brady, Vice President and Director of Neutral Management.


Please send any questions or comments to FINRA DR Call-in Workshop.

Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.