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Neutral Workshop Audio and Video Files

The Neutral Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program. They provide information about the latest proposed rule changes, procedures, recent Regulatory Notices as well as best practice tips. The workshops are pre-recorded by FINRA staff and guest arbitrators and mediators several times each year and posted here to access at any time.

The most recent Neutral Workshop follows:

Recorded on June 25, 2019
Spring 2019 Neutral Workshop: Expungement of Customer Dispute Information (video 23:47)

This workshop focuses on the particular challenges of expungement hearings and provides practical tips for arbitrators when considering requests for expungement of customer dispute information. Requests can be part of an evidentiary hearing, after a case has settled or in a case filed for the sole purpose of expungement. Associate Regional Directors Karinya Verghese and William Cassidy, Associate General Counsel John Nachmann and arbitrator Mary Woytek delve into expungement and provide guidance to arbitrators as they navigate expungement hearings.

View topic specific portions of the June 25 Neutral Workshop below.

Expungement, CRD and RAD

Rules and Procedures

Notice and Service

No Opposition

Deceased Customer

Documentary Evidence Settlement Agreements

Aged Claims

Award Language