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 recorded by FINRA staff and guest arbitrators and mediators and posted here to access at any time.
Note that information and guidance may change after a workshop has been recorded. For the most current information, please look to the applicable webpages.
The most recent Neutral Workshop follows:
2023 Neutral Workshop: General Expungement Training
This workshop provides an overview of the amended rules modifying the process relating to the expungement of customer dispute information. OGC Principal Counsel, Bria Adams and Carissa Laughlin, and DRS Associate Director, Lisa Lasher, discuss the requirements for issuing an award containing expungement relief under the Customer Code, including the distinctions between expungement requests for non-simplified and simplified cases, and provide a brief overview of expungement under the Industry Code. The rule amendments became effective October 16, 2023.
NOTE: For a comprehensive discussion of the revised expungement rules, including information on straight-in expungement requests and the Special Arbitrator Roster, please take the Enhanced Expungement Training available on the DRS learning system.
The workshop is available as one continuous video as well as individual section videos. If you would like to add this training to your arbitrator disclosure report, please submit a DR Portal update form with this information.
General Expungement Training Section 1: Background
General Expungement Training Section 2: Expungement Under the Customer Code
General Expungement Training Section 3: Requirements that Apply to Expungement Hearings Under the Customer Code
General Expungement Training Section 4: Expungement Hearings Under the Industry Code
General Expungement Training Section 5: Recap
2022 Neutral Workshop: DR Portal and Tips for Efficient Hearings
In this workshop, DRS Principal Analyst Stephen Fletcher moderates a discussion on using the DR Portal effectively with arbitrator Kim Kirn and DRS Case Administrator Janae Monroe. They also discuss safety protocols for in-person hearings and share best practices on attending prehearing conferences by Zoom and ruling on motions.
DR Neutral Workshop Chapter 1: Virtual Hearings and Resources
DR Neutral Workshop Chapter 2: Safety Protocols for In-Person Hearings
DR Neutral Workshop Chapter 3: Prehearing Conferences By Zoom
DR Neutral Workshop Chapter 4: DR Portal
DR Neutral Workshop Chapter 5: Ruling on Motions
Fall 2021 Neutral Workshop: Getting Back to In-Person Hearings and More
Video recorded on December 1, 2021| 21:43
In this workshop, FINRA Principal Analyst Carissa Laughlin moderates a discussion on getting back to in-person hearings with arbitrator Monica Salis and FINRA Senior Case Administrator Lisa Lasher. They discuss vaccination requirements and safety protocols. Additionally, they share best practices on navigating issues related to independent research and arbitrator disclosure.
View topic specific portions of the December 1 Neutral Workshop below.
Getting Back to In-Person Hearings
Fall 2020 Neutral Workshop: Tips for Virtual Hearings
Video recorded on December 15, 2020| 34:44
In this workshop, FINRA Principal Analyst, Stefanie Kendall, moderates a discussion on conducting virtual hearings with arbitrator Tracy Allen and forum practitioners Beverly Jo Slaughter and Sam Edwards. They share best practices for effectively using exhibits and examining witnesses during a virtual hearing. The workshop also features a mock arbitration segment that demonstrates the hearing tips in practice and gives viewers a peek inside a virtual hearing, as guided by FINRA Case Administrator, Nora Sassounian.
Spring 2019 Neutral Workshop: Expungement of Customer Dispute Information
Video recorded on June 25, 2019 | 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
Documentary Evidence Settlement Agreements
Fall 2018 Video—Special Proceeding for Simplified Arbitration
Video recorded on July 30, 2018 | 10:10
FINRA created an additional hearing option for parties with claims of $50,000 or less, excluding interest and expenses: Special Proceeding. A Special Proceeding is an abbreviated telephonic hearing that incorporates many aspects of a standard arbitration hearing. Stefanie Herrera, a principal analyst in Case Administration, Kelly Unger, regional manager in the Northeast Regional Office and Jisook Lee, associate director in Neutral Management, discuss Special Proceedings and go over questions arbitration participants might have about this new hearing format.
Spring 2018 Neutral Workshop—Tips From Practitioners
Video recorded on June 19, 2018 | 16:17
What are common issues that come up in arbitration? Dan Zailskas, a case administrator in FINRA Office of Dispute Resolution’s Southeast Regional Office, moderates a discussion with practitioners, Darya Geetter and Sam Edwards. They provide tips to alleviate common issues related to ex parte communications, discovery, scheduling hearings, last minute arbitrator withdrawals and managing the hearing.
Fall 2017 Neutral Workshop—Motions to Vacate
Video | 19:44
What is a motion to vacate? How can arbitrators minimize the likelihood of a motion to vacate after issuing an award? Find out more about this important topic by watching the latest neutral workshop hosted by Mara Weinstein, ODR Neutral Recruiter and Trainer. Mara moderates a panel with FINRA arbitrators, Olivia Farrar and Jeff Jury, and FINRA Associate General Counsel, Terri Reicher, to provide tips on what you can do as an arbitrator to help avoid motions to vacate and bring finality to the award.
Spring 2017 Neutral Workshop—Promissory Notes and Requests to Amend a Broker’s Employment Information in CRD
Video | 24:41
Mignon McLemore, Assistant Chief Counsel for the Office of Dispute Resolution, moderates a panel that discusses best practice tips for serving on cases involving promissory notes and considering requests to amend a broker’s employment information in CRD. Mignon guides the discussion of these timely issues with FINRA arbitrators, Nancy Watters and Diane Ciccone, and Counsel for FINRA’s Registration and Disclosure Department, John Nachmann.
Fall 2016 Neutral Workshop—Best Practice Tips for Chairpersons
Video | 19:44
Christina Gates, Case Administrator in the Office of Dispute Resolution’s West Regional Office, discusses best practice tips for chairpersons with FINRA arbitrators: Jill Gross, Karimu Hill-Harvey and Philip Tymon. They use their years of experience conducting FINRA arbitrations to provide practical guidance on addressing motions, handling expedited cases and managing efficient and fair hearings.
Spring 2016—Practical Tips For Arbitrators From Arbitrators
Video | 28:04
Anna Lyons, Associate Director of the Office of Dispute Resolution's Southeast Regional Office, discusses best practice tips with FINRA arbitrators: Nancy Cliff, Steve Goerke and B.J. Krintzman. Relying on their years of experience conducting FINRA arbitrations, the panelists provide guidance on how to conduct efficient initial prehearing conferences and successful hearings, discuss tips for working with co-panelists and share their experiences using the Dispute Resolution Portal.
Best Practice Tips for Arbitrators
Video from November 11, 2015 | 23:14
Rick Berry, Executive Vice President of Dispute Resolution, discusses tips for arbitrators with Case Administrators Kwame Dowe and Joanna Lam, and Stefanie Herrera from our Neutral Management Department. The panelists review best practices for providing arbitrator disclosure, using the Dispute Resolution Portal, and conducting a successful hearing.
Rule Amendments; 2015 Vision; Expungement Refresher
Video from February 12, 2015 | 33:47
Rick Berry, Executive Vice President of Dispute Resolution, assisted by key FINRA staff members, discusses recent rule amendments and the forum's initiatives for 2015. The video also consists of an expungement refresher training in the form of a "Question and Answer session" with guest speaker Richard Pullano, Vice President and Chief Counsel of FINRA’s Registration and Disclosure Department. Joining Mr. Berry and Mr. Pullano are Katherine Bayer, Regional Director of Dispute Resolution's Northeast office, and Barbara Brady, Vice President and Director of Neutral Management.
Please send any questions or comments to FINRA Neutral Management.