12309. Amending Pleadings or Filing Third Party Claims

(1) Amending Statement of Claim Not Yet Served

To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended claim with the Director. The Director will then serve the Claim Notification Letter or amended statement of claim in accordance with Rules 12300 and 12301.

(2) Amending Any Other Pleading

To amend any other pleading, a party must serve the amended pleading on each party and file the amended pleading with the Director.

(3) Amendments to Add a Party or to File a Third Party Claim; Service on New Party

If a pleading is amended to add a party to the arbitration or to file a third party claim before ranked arbitrator lists are due to the Director, the party amending the pleading or filing a third party claim must serve the new party with the amended pleading or third party claim and all documents previously served by any party, or sent to the parties by the Director, by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile, and must file proof of service with the Director through the Party Portal except as provided in Rule 12300(a)(2). Service by first-class mail or overnight mail service is accomplished on the date of mailing. Service by any other means is accomplished on the date of delivery. The party amending the pleading or filing a third party claim must file the amended pleading or third party claim with the Director through the Party Portal except as provided in Rule 12300(a)(2).

(1) Panel Grants Motion to Amend a Pleading or File a Third Party Claim

A party may amend a pleading or file a third party claim if the panel grants a motion to amend a pleading or file a third party claim in accordance with Rule 12503. Motions to amend a pleading or file a third party claim must include the proposed amended pleading or third party claim. If the panel grants the motion to amend the pleading or file the third party claim, the amended pleading or third party claim does not need to be re-served on the other parties, the Director, or the panel, unless the panel determines otherwise.

(2) Member or Associated Person Becomes Inactive

A customer may amend a pleading or file a third party claim if FINRA notifies a customer that a member or an associated person has become inactive as set forth in Rule 12202. The customer may amend a pleading or file a third party claim within 60 days of receiving notice. The customer must serve the amended pleading or third party claim on each party and file the amended pleading or third party claim with the Director.

(1) Motion to Add a Party or File a Third Party Claim

Once the ranked arbitrator lists are due to the Director under Rule 12402 (d) or Rule 12403 (c), no party may amend a pleading to add a new party to the arbitration or file a third party claim until a panel has been appointed and the panel grants a motion to add the party or file the third party claim. Motions to add a party or file a third party claim after panel appointment must be served on all parties, including the party to be added. The party seeking to amend the pleading or file the third party claim may serve the party to be added by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile. Service by first-class mail or overnight mail service is accomplished on the date of mailing. Service by any other means is accomplished on the date of delivery. The party to be added may respond to the motion in accordance with Rule 12503 without waiving any rights or objections under the Code. The response may be filed with the Director and served on all other parties by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile.

(2) Member or Associated Person Becomes Inactive

Once the ranked arbitrator lists are due to the Director under Rule 12402(d) or Rule 12403(c), a customer may amend a pleading to add a new party to the arbitration or file a third party claim if FINRA notifies a customer that a member or an associated person has become inactive as set forth in Rule 12202. The customer may amend a pleading to add a new party to the arbitration or file a third party claim within 60 days of receiving notice. The customer may serve the party to be added by first-class mail, overnight mail service, overnight delivery service, hand delivery, email or facsimile. Service by first-class mail or overnight mail service is accomplished on the date of mailing. Service by any other means is accomplished on the date of delivery. The customer must serve the amended pleading or third party claim on each other party and file the amended pleading or third party claim with the Director.