The Role of the Arbitrator: Duty to Disclose

Role of the Arbitrator: duty to disclose Arbitrators must be impartial in both appearance and in fact. Therefore, they have a duty to disclose. Arbitrators submit detailed biographical information at the time they join FINRA’s arbitrator roster. The information collected from the application is compiled to create an Arbitrator Disclosure Report (Disclosure Report). During the… Continue reading The Role of the Arbitrator: Duty to Disclose

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… Continue reading Ethical Obligations Regarding Information Security

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… Continue reading Ethical Reasons Not to Accept Appointment as an Arbitrator

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… Continue reading Arbitrator’s Duty to Avoid Potential Conflicts

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… Continue reading Arbitrator’s Duty to Neutrality

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… Continue reading The Arbitrator’s Role: Ethical Considerations

Lawyers Behaving Badly: The case of the Stinky Bentleys and Manure Evidence

Lawyers Behaving Badly: The case of the Stinky Bentleys and Manure Evidence Lawyers Behaving Badly: The case of the Stinky Bentleys and Manure EvidenceMy colleague, Matthew Talbot, wrote about a recent presentation of mine at the Inns of Court.  Access his compete article HERE. Here are some highlights of his article: Nothing interests a group… Continue reading Lawyers Behaving Badly: The case of the Stinky Bentleys and Manure Evidence