Tag: securities

  • The Role of a Commercial Mediator

    The Role of a Commercial Mediator

    In today’s business world, disputes and conflicts are a common occurrence. When parties in a commercial dispute cannot find a resolution on their own, they often turn to a commercial mediator for assistance such Ken Strongman. As a commercial mediator he is a neutral third party who facilitates communication and negotiation between the parties to…

  • Unveiling Conflict Resolution: Understanding Essential Needs

    Unveiling Conflict Resolution: Understanding Essential Needs

    In the realm of conflicts, one crucial element reigns supreme: needs. Picture conflicts as intricate recipes—needs, perceptions, power dynamics, values, and emotions form the quintessential ingredients. Yet, amidst this complex concoction, needs stand as the foundational component, driving the essence of every conflict scenario. Needs are fundamental physical requisites that underpin our well-being. When these…

  • FINRA Arbitration Motion in Limine

    Arbitration has often been compared to the traditional courts.  The major difference is that the parties are able to proceed in a much more deliberate matter.  The final motion is a motion in Limine. Motion in Limine A motion in limine is a request for the arbitrators to rule on the admissibility of evidence in…

  • FINRA Arbitration Motions to Compel

    Arbitration has often been compared to the traditional courts.  The major difference is that the parties are able to proceed in a much more deliberate matter.  Although arbitration is an informal process, a variety of matters may be subject to motion practice. Motion to Compel Discovery FINRA Rule 12509 provides that a party may make…

  • A FINRA Arbitration: bar the defenses

    A FINRA Arbitration provides an opportunity to bar the defenses of the defendant based upon untimely or incomplete Answers. Motion to Bar Defenses Due to Untimely or Incomplete Answers FINRA Rule 12308 provides that the panel may, upon motion by a party, bar a party from presenting any defenses or facts at the hearing if…

  • FINRA Arbitration Motions to Dismiss the case

    A FINRA Arbitration provides several motions to dismiss.  The following are motions to dismiss before or after the case-in-chief. FINRA Rule 12504(a) Motions to Dismiss Before a Party Concludes its Case-in-Chief FINRA believes that parties have the right to a hearing in arbitration. Therefore, motions to dismiss filed prior to the conclusion of a party’s…

  • FINRA Arbitration Eligibility Motions

    A FINRA Arbitration provides several motions to dismiss.  A motion to dismiss based on eligibility grounds is a request made to the panel by a party.  It is made prior to or after the conclusion of the case-in-chief.  It can eliminate some or all claims raised by the party filing a claim. FINRA Rule 12206(b)…

  • FINRA Arbitration motions: Hearing Timing & Location

    Examples of FINRA Arbitration motions that can be made regarding timing and location. The following motions can be made within a FINRA Arbitration.  These particular motions involve modifying the original claim.  The following concern the location of the hearing and its timing.  As an Arbitrator, I will be mindful that one of the goals of…

  • FINRA Arbitration motions: Sever, Consolidate, & Amend

    FINRA Arbitration motions: Sever, Consolidate, & Amend The following motions can be made within a FINRA Arbitration.  These particular motions involve modifying the original claim. Motion to Amend a Claim FINRA Rule 12309 provides that parties may amend their pleadings, including adjustments to their damage requests, up until the time FINRA staff appoints a panel.…

  • Examples of FINRA Arbitration motions

    Examples of FINRA Arbitration motions Arbitration has often been compared to the traditional courts.  The major difference is that the parties are able to proceed in a much more deliberate matter.  Although arbitration is an informal process, a variety of matters may be subject to motion practice.  The following is a non-exhaustive list of common…