Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

12409. Arbitrator Recusal

This rule is no longer applicable. NASD Rule 12409 has been superseded by FINRA Rule 12409. Please consult the appropriate FINRA Rule.

The Customer Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Customer Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new Code.

Any party may ask an arbitrator to recuse himself or herself from the panel for good cause. Requests for arbitrator recusal are decided by the arbitrator who is the subject of the request.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.

Selected Notices: 07-07

No Results Found

No Results Found

No Results Found

No Results Found