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 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 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
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… Continue reading Taming Your Bear of a Case: ADR Solutions For Complex Cases From Contract to Final Resolution
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… Continue reading What type of training does a FINRA Arbitrator candidate receive?
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… Continue reading About FINRA Roster of Arbitrators
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… Continue reading How does FINRA’s Administrative Staff handle a case?
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… Continue reading FINRA facilitates the resolution of disputes.
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… Continue reading FINRA touches?
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… Continue reading About the Arbitration Process at FINRA