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The Neutral Corner - Volume 2—2016

We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.

Mission Statement

The 20-Day Exchange: Identification of Expert Witnesses (Ryan Bakhtiari and Greg Curley)

Expedited Proceedings for Seniors and Seriously Ill Parties (By Kelly Unger, Regional Manager, FINRA Office of Dispute Resolution’s Northeast Regional Office)

All in the Details: Award Information Sheet (By Narielle Robinson, Case Assistant, Analyst, FINRA Securities Helpline for Seniors)

Office of Dispute Resolution News

  • Case Filings and Trends
  • Updates to ODR’s Monthly Statistics
  • Practising Law Institute Securities Arbitration 2016
  • DR Portal News
  • SEC Rule Filing
    • Award Offsets in Arbitration
  • Rulemaking Items Approved at the May 2016 FINRA Board of Governors Meeting
    • Broadening Chairperson Eligibility in Arbitration
    • Motions to Dismiss in Arbitration
    • Panel Selection in Customer Cases with Three Arbitrators

Question and Answer

  • Electronic Signatures

Mediation Update

  • Meditation Statistics
  • FINRA Small Claims Mediation Program
  • Mediator Tip: Keep it Current

Education and Training

  • Spring 2016 Neutral Workshop
  • FINRA Regulatory Trainings

Quarterly Arbitrator Disclosure Reminder

Arbitrator Tips

  • Managing the Deliberation
  • Turn the Recorder Off During Executive Sessions and Deliberations


FINRA Offices