The Neutral Corner – Volume 4—2024

The Neutral Corner – Volume 4—2024

Mission Statement

Year End Message

No Time to Sit Back: The Active Role of the Chairperson as Team Leader by Annamaria Boccia Smith, Esq., Former FINRA Arbitrator

FINRA Dispute Resolution Services (DRS) and FINRA News

  • Arbitration Case Filings and Trends
  • FINRA Adopts Amendments to the Codes of Arbitration Procedure to Provide Non-Party Customers With a Copy of the Official Record of an Expungement Hearing
  • Approved Rule to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists
  • Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process
  • Proposed Rule Change to Amend FINRA Rule 13606 to Provide Non-Party Customers With a Copy of the Official Record of an Expungement Hearing
  • 2024 Annual Arbitrator Survey Thank You
  • Updated Hearing Scripts
  • Register for the DR Portal Today
  • DR Portal: Did You Know?
  • Arbitrator Disclosure Report: Inactive Firms

Mediation Update

  • Mediation Case Filings and Trends
  • FINRA Mediation Settlement Month
  • FINRA Mediator Summit
  • Mediator Disclosure Updates
  • Become a FINRA Mediator
  • Call for Experienced Mediators Who Are New York Licensed Attorneys

Questions and Answers

  • Deliberations
  • Drafting Awards
  • Secure Disposal of Case-Related Materials

Education and Training

  • NEW! DRS Videos: “What to Expect During the Arbitration Process” and “What to Expect at a FINRA Arbitration Hearing”

Quarterly Arbitrator Disclosure Reminder 
Directory 
FINRA Offices