Ken Strongman, Esq. – Mediator

Tag: securities

  • Arbitrator’s Duty to Avoid Potential Conflicts

    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…

  • Arbitrator’s Duty to Neutrality

    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…

  • The Arbitrator’s Role: Ethical Considerations

    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…

  • 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…