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The Neutral Corner - Volume 3—2022

The Neutral Corner—Volume 3, 2022

Mission Statement

Discovery Abuse in Customer Cases (by Nicole Iannarone and Darlene Pasieczny) 

DRS and FINRA News

  • Arbitration Case Filings and Trends
  • Results of Independent Counsel’s Report on Arbitrator Selection Process
  • Recent Court of Appeals of Georgia Decision
  • Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
  • Regulatory Notice 22-15: Arbitration of Sexual Assault and Sexual Harassment Claims 
  • COVID-19 Impact to Arbitration and Mediation Hearings 
  • Vaccination Requirement for In-Person Participants (Except in Florida Hearings Locations)
  • Testing Requirement for In-Person Participants (Florida Hearing Locations Only)
  • Safety Protocol for In-Person Hearings
  • Virtual Arbitration Hearing Statistics
  • Pilot Program for Prehearing Conferences by Zoom
  • DR Portal
  • DR Portal Fee Enhancements
  • 2022 Demographic Survey
  • Updated Initial Prehearing Conference Script
  • Arbitrator Travel Policy and Business Mileage Rate

Mediation Update

  • October is Mediation Settlement Month
  • Mediation List Pilot Program 
  • DRS’ Mediation Program for Small Arbitration Claims
  • Mediation Case Filings and Trends 
  • Keep It Current
  • Mediator Training Opportunities
  • Become a DRS Mediator

Questions and Answers

  • Prehearing Conferences by Zoom
  • Receiving Exhibits for Hearings by Zoom
  • Forms Available in the DR Portal

Education and Training 

  • Practising Law Institute Securities Arbitration 2022
  • American Bar Association 2022 Dispute Resolution Mediation Week: October 19 – 23  
  • American Bar Association 2022 Dispute Resolution Mediation & Advocacy Skills Institute: December 1 – 3 

Quarterly Arbitrator Disclosure Reminder 
FINRA Offices