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The Neutral Corner - Volume 1—2021

The Neutral Corner—Volume 1, 2021

Mission Statement

Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)

Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)

FINRA Dispute Resolution Services and FINRA News

  • COVID-19 Vaccine information for Hearing Purposes
  • COVID-19 Hearing Postponements and Virtual Hearings
  • Virtual Arbitration Hearing Statistics
  • FINRA Arbitrators Lead the Way with COVID-19 Era In-Person Hearing
  • Arbitration Case Filings and Trends
  • Now Available: 2020 Arbitrator and Mediator Diversity Statistics
  • FINRA Dispute Resolution Services Headquarters and Northeast Regional Office Have Moved
  • FINRA Opens Jersey City Hearing Location and Closes Newark Hearing Location
  • Register for the DR Portal Today
  • American Bar Association 2021 Dispute Resolution Spring Conference
  • 2021 FINRA Annual Conference
  • 2021 Dispute Resolution Arbitration Training Institute
  • Regulatory Notice 21-04
    • FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
  • SEC Rule Filing
    • Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests

Mediation Update

  • Expansion of FINRA’s Mediation Program for Small Arbitration Claims
  • Mediation Case Filings and Trends
  • Keep It Current
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Questions and Answers

  • 20-Day Exchange in Special Proceedings
  • Social Media Disclosures
  • Virtual Arbitration Hearings
  • Virtual Mediations

Education and Training

  • Fall 2020 Neutral Workshop: Tips for Virtual Hearings
  • Arbitrator Training Videos for Virtual Hearings
  • FINRA Virtual Conference Panels: COVID-19’s Impact on Arbitration—Practical Tips & What’s New in Arbitration Procedures

Quarterly Arbitrator Disclosure Reminder


FINRA Offices