Ethical Obligations Regarding Information Security

Focus on security of Information

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 identification numbers;
  • Driver’s license numbers;
  • Party and arbitrator addresses;
  • Brokerage, bank or other financial account numbers;
  • Criminal history information;
  • Fingerprint cards;
  • Expunged records;
  • Attorney-client communications; and
  • Medical records.

Arbitrators must exercise caution when using, transporting, storing and ultimately disposing of case materials. These actions must be handled in a manner that preserves the confidentiality of the information.

Ken StrongmanAbout the Author: Ken Strongman ( has years of experience and a growing national reputation as a mediator and arbitrator.  He has successfully resolved more than a thousand disputes in the fields of construction defects, real estate, intellectual property, and employment.  He is also a Mediator and Arbitrator for FINRA.

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