(a) Filing Claim with the Director

To initiate an arbitration, a claimant must file the following with the Director:

The claimant may include any additional documents supporting the statement of claim.

(a) The Director will serve the Claim Notification Letter on an associated person directly at the person's residential address or usual place of abode.

(a) Party Portal

(a) Except as provided in paragraph (b) of this Rule and in Rule 12800, FINRA will pay the panel an honorarium, as follows:

(a) U.S. Hearing Location

(a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel.

Unless prohibited by applicable law, sanctions may include, but are not limited to:

(a) This rule provides procedures under which parties and arbitrators may communicate directly.

(b) Only parties that are represented by counsel may use direct communication under this rule.

(a) Except as provided in Rule 12211, no party, or anyone acting on behalf of a party, may communicate with any arbitrator outside of a scheduled hearing or conference regarding an arbitration unless all parties or their representatives are present.

(b) No party, or anyone acting on behalf of a party, may send or give any written motion, request, submission or other materials directly to any arbitrator, unless the arbitrators and the parties agree, or the Code prov

During an arbitration, no party may bring any suit, legal action, or proceeding against any other party that concerns or that would resolve any of the matters raised in the arbitration.