The Neutral Corner - Volume 2—2015

We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.

(PDF 306 KB)

Mission Statement

Discovery in FINRA Arbitration by Steven Caruso and Ellen Slipp

Dispute Resolution News

  • Case Filings and Trends
  • SEC Approval: Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
  • DR Portal News
  • FINRA Dispute Resolution Task Force
  • Securities Arbitration and Mediation Hot Topics 2015
  • Practising Law Institute: Securities Arbitration 2015

Revisions to FINRA Arbitrator Definitions by Stefanie Herrera, Neutral Coordinator, FINRA Neutral Management

Mediation Update

  • Mediation Statistics
  • Mediation Program for Small Arbitration Claims
  • Mediator Tip: Keep it Current
  • Annual Mediator Fee Due September 1, 2015

Questions and Answers

  • Legal Authority to Award Attorneys’ Fees and/or Punitive Damages
  • Related Conflicts on Arbitrator Disclosure Reports

Education and Training

  • Arbitrator Training Updated to Include Information on Mid-Case Referrals

Arbitrator Tip

  • Remain Focused During the Hearing