Tag: FINRA
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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…
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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…
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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…
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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…
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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…
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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…
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FAQ: What is the Comprehensive Mediation Agreement?
FAQ: What is the Comprehensive Mediation Agreement? In order to ensure all parties understand the status and implications involved, a comprehensive Mediation Agreement dealing with issues such as confidentiality, admissibility and privilege in relation to documentation and information exchanged must be agreed in advance. The Mediation Agreement will also deal with the costs of the…