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The Neutral Corner - Volume 4—2021

The Neutral Corner—Volume 4, 2021

Mission Statement

Year End Message

Ten Best Practices for FINRA Chairpersons (by Anthony Sabino, FINRA Arbitrator)

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

The Importance of Arbitrator Disclosure (by Victoria Bonadies, Contractor Analyst, FINRA Neutral Management and Stephen Fletcher, Associate Principal Analyst, FINRA Neutral Management)

FINRA Dispute Resolution Services and FINRA News

  • COVID-19 Impact on 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 Protocols for In-Person Hearings
  • Virtual Arbitration Hearing Statistics
  • Arbitration Case Filings and Trends
  • DR Portal
  • Update to Arbitrator Disqualification Criteria
  • Results of the 12th Annual Securities Dispute Resolution Triathlon 
  • 2021 Demographic Survey Thank You
  • Regulatory Notices
    • Regulatory Notice 21-09: FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
    • Regulatory Notice 21-34 Adopts Rules to Address Firms With a Significant History of Misconduct

Mediation Update

  • FINRA Mediation Settlement Month
  • Mediation Case Filings and Trends
  • Keep It Current
  • Mediator Survey: List Process and Disclosure Updates
  • Mediator Training Opportunities
  • Become a FINRA Mediator

Questions and Answers

  • Etiquette for Virtual Arbitration and Mediation Hearings

Education and Training

  • Fall 2021 Neutral Workshop: Getting Back to In-Person Hearings and More
  • 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