The Neutral Corner - Volume 1—2019

Mission Statement

Discovery Abuses Can Be Costly (By David Carey, Associate Director, FINRA Case Administration)

Parties May Request Additional Information from Arbitrators Participating in Mock Arbitrations

Office of Dispute Resolution and FINRA News

  • Case Filings and Trends
  • DR Portal Enhancement
  • Arbitrator and Mediator Demographic Survey Results
  • CFA and FINRA Foundation Study—Uncertain Futures: 7 Myths About Millennials and Investing
  • FINRA Annual Conference (May 15 – 17, 2019)
  • American Bar Association 12th Annual Arbitration Training Institute (May 16 – 17, 2019)
  • New York City Bar Association Securities Arbitration & Mediation: Hot Topics 2019 (May 21, 2019)
  • SEC Rule Filing
    • Proposed Amendments to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders
  • Report from FINRA Board of Governors Meeting—December 2018
    • Proposal to Prohibit Compensated Non-Attorney Representatives in Arbitration and Mediation 
    • Proposed Changes to the Codes of Arbitration Procedure Relating to Codification of Expungement Guidance 

Mediation Update

  • Mediation Statistics
  • Mediation Program for Small Arbitration Claims Starts Its Sixth Year
  • Keep it Current
  • Become a FINRA Mediator

Questions and Answers

  • Media Inquiries
  • Payment Information in the DR Portal

Quarterly Arbitrator Disclosure Reminder