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13314. Combining Claims

Before ranked arbitrator lists are due to the Director under Rule 13404(d), the Director may combine separate but related claims into one arbitration. Once a panel has been appointed, the panel may reconsider the Director's decision upon motion of a party.
Amended by SR-FINRA-2009-003 eff. Jan. 8, 2009.

13313. Multiple Respondents

(a) One or more parties may name one or more respondents in the same arbitration if the claims contain any questions of law or fact common to all respondents and:
•  The claims are asserted against the respondents jointly and severally; or
•  The claims arise out of the same transaction or occurrence, or series of transactions or occurrences.
(b) After all responsive pleadings have been served, claims joined together unde

13312. Multiple Claimants

(a) One or more parties may join multiple claims together in the same arbitration if the claims contain common questions of law or fact and:
•  The claims assert any right to relief jointly and severally; or
•  The claims arise out of the same transaction or occurrence, or series of transactions or occurrences.
(b) After all responsive pleadings have been served, claims joined together under paragraph (a) of this rule may