Neutral Workshop Audio and Video Files

The Neutral Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program. They provide information about the latest proposed rule changes, procedures, recent Regulatory Notices as well as best practice tips. The workshops are pre-recorded by FINRA staff and guest arbitrators and mediators several times each year and posted here to access at any time.

The most recent Neutral Workshop follows:

Spring 2017 Neutral Workshop—Promissory Notes and Requests to Amend a Broker’s Employment Information in CRD (video 24:41)

Mignon McLemore, Assistant Chief Counsel for the Office of Dispute Resolution, moderates a panel that discusses best practice tips for serving on cases involving promissory notes and considering requests to amend a broker’s employment information in CRD. Mignon guides the discussion of these timely issues with FINRA arbitrators, Nancy Watters and Diane Ciccone, and Counsel for FINRA’s Registration and Disclosure Department, John Nachmann.


Fall 2016 Neutral Workshop—Best Practice Tips for Chairpersons (video 19:44)

Christina Gates, Case Administrator in the Office of Dispute Resolution’s West Regional Office, discusses best practice tips for chairpersons with FINRA arbitrators: Jill Gross, Karimu Hill-Harvey and Philip Tymon. They use their years of experience conducting FINRA arbitrations to provide practical guidance on addressing motions, handling expedited cases and managing efficient and fair hearings.


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. Relying 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 providing 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, discusses 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 Neutral Management.

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