The Neutral Corner - Vol 4- 2014

We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.

Volume 4—2014 (PDF 329 KB)

Mission Statement

New Director of Dispute Resolution: Richard W. Berry

Considering Attorneys' Fees Using FINRA's Award Information Sheet by Chrystal Loyer, Case Administrator, FINRA Case Administration

Attorneys' Fees in Florida by Jessica Hathaway, FINRA Corporate Intern, and Steeve Encaoua, Case Administrator, FINRA Dispute Resolution Southeast Region
DR Portal Update

Dispute Resolution and FINRA News

  • Case Filings and Trends
  • Update: FINRA Dispute Resolution Task Force
  • Sixth Annual Securities Dispute Resolution Triathlon
  • Ohio Securities Conference

SEC Rule Approvals

  • Defining the Arbitrators' Authority to Make Regulatory Referrals During an Arbitration Proceeding
  • Increase to Arbitrator Honoraria

SEC Rule Filing

  • Revisions to Arbitrator Definitions

FINRA Board of Governors December 2014 Meeting

  • Arbitration Hearing Cancellation Fees

Motions to Consolidate or Sever Claims by William Cassidy, Case Administrator, FINRA Dispute Resolution Southeast Region

Mediation Update

  • Mediation Statistics
  • Annual Mediator Fee Reminder
  • Mediation Settlement Month
  • Mediation Program for Small Arbitration Claims

Question and Answer: Mid-Case Referral

Arbitrator Tip: Stay on Schedule