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The Neutral Corner - Volume 4—2019

The Neutral Corner—Volume 4, 2019

Mission Statement

Year End Message

Anatomy of a Securities Mediation: What to Expect, How to Prepare and How to Win (by Jeff Abrams, FINRA Arbitrator and Mediator)

Introducing Previously Undisclosed Documents or Witnesses Under FINRA Rule 12514 (by Danielle Williams and Steeve Encaoua, FINRA Office of Dispute Resolution, Southeast Region)

Maintaining Arbitrator Confidentiality (by Terri Reicher, FINRA Office of General Counsel)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • DR Portal News
  • Removal of Prehearing Conference Order from FINRA's Website
  • Results of the Eleventh Annual Securities Dispute Resolution Triathlon
  • 2019 Demographic Survey Thank You
  • SEC Rule Filings
    • Expanding Options Available to Customers if a Firm or Associated Person is or Becomes Inactive
    • Proposed Amendment to the Membership Application Program (MAP) Rules to Help Further Address the Issue of Pending Arbitration Claims, as well as Arbitration Awards and Settlement Agreements Related to Arbitrations That Have Not Been Paid in Full in Accordance with Their Terms

Mediation Update

  • Mediation Statistics
  • Mediation Program for Small Arbitration Claims
  • Keep It Current
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Questions and Answers

  • Closing FINRA Investigations Without Further Action
  • Post-hearing Inquiries
  • Avoid Double-booking

Quarterly Arbitrator Disclosure Reminder


FINRA Offices

NOTE: Table of contents is for internal use only. Not intended to be published “as is” on the website.