FINRA’s Initial Prehearing Conference

To maximize the efficient administration of a case by the panel, FINRA schedules an Initial Prehearing Conference (IPHC). The IPHC will normally be held by telephone. FINRA will notify the parties and arbitrators of the date and time of the IPHC at least 20-days prior to the phone conference.  At the conference, the panel will… Continue reading FINRA’s Initial Prehearing Conference

Teaching youth how to resolve conflicts.

Teaching youth how to resolve conflicts. I’m privileged to be an adult staff member for a National Youth Leadership Training (NYLT) course.  It is a very satisfying experience and a lot of fun.  One key topic on the course is how to resolve conflicts as a leader.  This blog is adapted from this course. Leading… Continue reading Teaching youth how to resolve conflicts.

Arbitration, then Mediation, a way to blend them both.

 Arbitration, then Mediation, a way to blend them both. Many view mediation as a one-way street.  You conduct a mediation to settle a law suite.   Nothing could be further from the truth.  There are many ways to blend mediation with the legal system or blending it with other alternative dispute resolution processes to reduce or… Continue reading Arbitration, then Mediation, a way to blend them both.

Task #16: At what point did you first have any realization of betrayal, bad faith, or loss of confidence?

Task #16: At what point did you first have any realization of betrayal, bad faith, or loss of confidence? 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… Continue reading Task #16: At what point did you first have any realization of betrayal, bad faith, or loss of confidence?

I want to resolve the dispute, but the other party’s demands are unreasonable. What should I do?

I want to resolve the dispute, but the other party’s demands are unreasonable. What should I do? I want to resolve the dispute, but the other party’s demands are unreasonable. What should I do?  Don’t let yourself get stuck refusing to make what you believe is a reasonable settlement offer or demand based on your… Continue reading I want to resolve the dispute, but the other party’s demands are unreasonable. What should I do?

Challenging the Arbitrator: Challenge for Cause

Challenging the Arbitrator: Challenge for Cause In a FINRA Arbitration, parties are permitted to challenge the appointment of an arbitrator to their case. Parties may challenge the arbitrator directly by filing a Motion to Recuse. Alternatively, a party’s challenge may be made directly to FINRA in the form of a Challenge for Cause or by… Continue reading Challenging the Arbitrator: Challenge for Cause

Evaluate the trust and goodwill that supported your original agreements.

Task #15: How did you evaluate the trust and goodwill that supported your original agreements? 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… Continue reading Evaluate the trust and goodwill that supported your original agreements.

I’ve been in mediation and there was so much conflict that nothing got done. Wouldn’t I be better off just going to court?

I’ve been in mediation and there was so much conflict that nothing got done. Wouldn’t I be better off just going to court? This is an option, but you may not resolve your dispute. Mediation is not about coming to the table as friends to avoid conflict and confrontation, as many professionals would have you… Continue reading I’ve been in mediation and there was so much conflict that nothing got done. Wouldn’t I be better off just going to court?

Challenging the Arbitrator: Motions to Recuse

Challenging the Arbitrator: Motions to Recuse In a FINRA Arbitration, parties are permitted to challenge the appointment of an arbitrator to their case. Parties may challenge the arbitrator directly by filing a Motion to Recuse. Alternatively, a party’s challenge may be made directly to FINRA in the form of a Challenge for Cause or by… Continue reading Challenging the Arbitrator: Motions to Recuse

Starlings v Blueberries – Last Friday’s ABA Representation in Mediation Competition

Starlings v Blueberries – Last Friday’s ABA Representation in Mediation Competition Last Friday I participated in the ABA Representation in Mediation Competition.  I was one of the judges of the competition.  It was a two day event held at Berkeley Law in Boalt Hall at the University of California, Berkeley Campus. As Alternative Dispute Resolution… Continue reading Starlings v Blueberries – Last Friday’s ABA Representation in Mediation Competition