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The Neutral Corner - Volume 3—2016

Mission Statement

Bates Numbering: A Best Practice by Gregory Curley and Glenn S. Gitomer

Attorneys Serving as Arbitrators: A Cautionary Tale About Disclosure by Rushelle Bailey, FINRA Corporate Intern

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • Robert W.  Cook Named FINRA’s President and CEO
  • John J. Brennan Elected Chairman of FINRA Board of Governors
  • Financial Capability Survey
  • Practising Law Institute Securities Arbitration 2016
  • Eighth Annual Securities Disputes Resolution Triathlon
  • DR Portal News
  • SEC Rule Filings
    • RSS Feed for Office of Dispute Resolution (ODR) Rule Filings
    • Filing Comments to Proposed Rule Changes
    • Use of the Dispute Resolution Party Portal
    • Motions to Dismiss in Arbitration
    • Broadening Chairperson Eligibility in Arbitration
  • SEC Rule Approvals
    • Award Offsets in Arbitration
    • Panel Selection in Customer Cases with Three Arbitrators
  • Regulatory Notice
    • Forum Selection Provisions Involving Customer Associated Persons and Member Firms

Mediation Update

  • Mediation Statistics
  • Discontinuation of Mediator Annual Fee
  • Mediation Settlement Month

Questions and Answers

  • Panel Composition
  • Last Minute Motions
  • Security at Hearing Locations

Education and Training

  • FINRA Regulatory Trainings

Quarterly Arbitrator Disclosure Reminder

Arbitrator Tip

  • Modifying Hearing Procedures