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The Neutral Corner - Volume 3—2021

The Neutral Corner—Volume 3, 2021

Mission Statement

Avoiding Confusion and Delays When Resolving Motions to Dismiss (by Matthew Kipnis, FINRA Extern)

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

Using Arbitration Hearing Scripts (by Narielle Robinson, Senior Case Administrator, FINRA Mediation)

FINRA Dispute Resolution Services and FINRA News

  • COVID-19 Impact to Arbitration and Mediation Hearings
  • Vaccination Requirement for In-Person Participants
  • Safety Protocols for In-Person Hearings
  • Virtual Arbitration Hearing Statistics
  • Arbitration Case Filings and Trends
  • FINRA Dispute Resolution Services Headquarters and Northeast Regional Office Have Moved
  • DR Portal
  • 2021 Demographic Survey
  • Practising Law Institute Securities Arbitration 2021 (recorded webcast)
  • American Bar Association 2021 Dispute Resolution Mediation Week
  • American Bar Association 2021 Dispute Resolution Mediation & Advocacy Skills Institute

  • Regulatory Notices
    • FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
    • FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts

  • SEC Rule Approval
    • FINRA Adopts Rules to Address Firms With a Significant History of Misconduct

Mediation Update

  • October is FINRA Mediation Settlement Month
  • Mediation Case Filings and Trends
  • Keep It Current
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Questions and Answers

  • Disposing of Case Documents
  • Calculating Hearing Sessions
  • Secondary Hearing Locations

Education and Training

  • Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
  • Arbitrator Training Videos for Virtual Hearings

Quarterly Arbitrator Disclosure Reminder


FINRA Offices