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The Neutral Corner - Volume 4—2018

Mission Statement

Year End Message

Ken Andrichik Retirement

Ten Tips for Effective Securities Mediation (by James Yellen and Edward Larkin)

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • DR Portal Enhancements
  • FINRA Arbitrator Travel Policy
  • New Director of Mediation: Manly Ray
  • Closing the Miami Hearing Location
  • Results of the Tenth Annual Securities Dispute Resolution Triathlon
  • Neutral Roster Demographic Survey Thank You
  • Diversity Symposium at New York Law School (January 31, 2019)
  • NYCLA Program: 20th Annual FINRA Listens…and Speaks (February 11, 2019)
  • Rulemaking Items Discussed at the FINRA Board of Governors September 2018 Meeting
    • Expand Time for Non-Parties to Respond in Arbitration
  • SEC Rule Approval
    • Provide Arbitrators a $200 Honorarium to Decide a Contested Request for a Subpoena or Order

Mediation Update

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

Questions and Answers

  • Securities Arbitration Clinics
  • Postponement Fee Waivers

Quarterly Arbitrator Disclosure Reminder