Tag: adr

  • 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…

  • Task #8: How will you know you have developed an agreement at the end of the mediation?

    Task #8: How will you know you have developed an agreement at the end of the mediation? The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these…

  • FINRA touches?

    FINRA Touches This is what FINRA touches – From the FINRA’s Arbitrators’ Guide 2012: “The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration operations of…

  • About the Arbitration Process at FINRA

    About the Arbitration Process at FINRA What is the Arbitration process at FINRA. Arbitration is a method of resolving a dispute between two or more parties. Parties must agree to abide by the decision of an arbitrators, such as myself, who as a group are impartial persons committed to rendering a fair and impartial decision…

  • Task #7: What do you truly disagree upon with your mediation opponents?

    Task #7: What do you truly disagree upon with your mediation opponents? The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these are a collection of tasks…

  • Task #6: Do you agree on anything?

    Task #6: Do you agree on anything? The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these are a collection of tasks each participant needs to complete…

  • Task #5: Do you really want to settle this dispute through mediation?

    Task #5: Do you really want to settle this dispute through mediation? The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these are a collection of tasks…

  • Task #4: How are you going to deal with them after the dispute?

    Task #4: How are you going to deal with them after the dispute? The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these are a collection of…

  • Task #3: Visualize the future beyond the dispute.

    Task #3: Visualize the future beyond the dispute. The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these are a collection of tasks each participant needs to…

  • Task #2: What do they want out of the mediation?

    Task #2: What do they want out of the mediation? The resolution of a dispute does not just occur on the day of the mediation.   Each participant to mediation needs to prepare their own strategy for negotiation in the settlement.  Based on my experience as a mediator, these are a collection of tasks each participant…