Category: Arbritration

  • Ethical Obligations Regarding Information Security

    Ethical Obligations Regarding Information Security To provide security for participants, documents and information in an arbitration case file are confidential. Arbitrators have an ethical duty to keep confidential all information obtained in connection with an arbitration or mediation. Information that needs to be protected includes, but is not limited to: Social Security numbers; Individual taxpayer…

  • Ethical Reasons Not to Accept Appointment as an Arbitrator

    Ethical Reasons Not to Accept Appointment as an Arbitrator There are ethical reasons not to accept appointment as an Arbitrator It is important to know when to say no.  If an arbitrator has any doubt about whether they can be fair or impartial, the arbitrator should decline the appointment. For example, an arbitrator should refuse…

  • Arbitrator’s Duty to Avoid Potential Conflicts

    Arbitrator’s Duty to Avoid Potential Conflicts Upon accepting an appointment, arbitrators should always avoid entering into any financial, business or other relationship that is likely to affect impartiality or might reasonably create an appearance of partiality or bias. For example, an arbitrator should not accept any engagement involving a party while an arbitration case is…

  • Arbitrator’s Duty to Neutrality

    Arbitrator’s Duty to Neutrality It is the Arbitrator’s duty to be impartial and neutral throughout a proceeding. Impartiality extends to parties, counsel, agents, witnesses, co-panelists and even the type of case involved. Arbitrators must be impartial in both appearance and in fact. Arbitrators are viewed by parties in an arbitration case much as a judge…

  • The Arbitrator’s Role: Ethical Considerations

    The Arbitrator’s Role: Ethical Considerations FINRA encourages arbitrators to periodically review the Code of Ethics for Arbitrators in Commercial Disputes (Code of Ethics) to refresh themselves about their duties and ethical responsibilities. The information contained in this guide is a brief reminder of the arbitrators’ ethical duties.  The guide is neither an exhaustive list nor…

  • Taming Your Bear of a Case: ADR Solutions For Complex Cases From Contract to Final Resolution

    Taming Your Bear of a Case: ADR Solutions For Complex Cases From Contract to Final Resolution Taming Your Bear of a Case: ADR Solutions For Complex Cases From Contract to Final Resolution. This is the title of the program we will be presenting November 16, 2012 at the 2012 MCLE Spectacular by on by the…

  • What type of training does a FINRA Arbitrator candidate receive?

    What type of training does a FINRA Arbitrator receive? What type of training does a FINRA Arbitrator candidate receive? After the initial application process, an arbitrator candidate must successfully complete FINRA’s Basic Arbitrator Training Program before becoming eligible to serve on arbitration cases. FINRA’s Basic Arbitrator Training Program consists of several parts: an Online Basic…

  • About FINRA Roster of Arbitrators

    About FINRA Roster of Arbitrators FINRA recruits, trains and manages a roster of arbitrators. FINRA selects arbitrators from a diverse cross-section of professionals. I am privileged to have been one of those selected.  FINRA’s arbitrators are available to arbitrate cases in over 70 hearing locations in the US, including one in Puerto Rico and one…

  • How does FINRA’s Administrative Staff handle a case?

    How does FINRA’s Administrative Staff handle a case How does FINRA’s Administrative Staff handle a case?  FINRA’s procedure is to assign a case administrator to every case. Case administrators are responsible for managing individual cases.  They ensure that each aspect of the case is administered properly.  Other staff are available to answer procedural and case-specific…

  • FINRA facilitates the resolution of disputes.

    FINRA facilitates the resolution of disputes. What does FINRA facilitate? FINRA Dispute Resolution (FINRA) is the largest dispute resolution forum in the securities industry, handling most securities arbitrations in the USA.  FINRA facilitates the efficient resolution of monetary, business and employment disputes among investors, securities firms and employees of securities firms. FINRA is subject to…