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Latest Neutral Corner from FINRA’s Office of Dispute Resolution Hits the Electronic Newsstand. Its Lead Article Discusses the NAMC, But It Also Features Tips on Scheduling Hearings
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FINRA’s Office of Dispute Resolution (“ODR”) has once again posted the latest issue of its newsletter for arbitrators and mediators, The Neutral Corner (“TNC”) and,

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Thirty (30) Ways or More for Party Counsel to Change the FINRA Code
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With the statutory emphasis placed on specific procedures for SRO rulemaking — and with FINRA’s seemingly continuous flow of rule changes, amendments, and interpretations,

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Hearing Locations: Completing Our Analysis of the FINRA Stats at Year-End 2017
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In this piece, we analyze some of the uses one can make of FINRA’s Hearing Locations table.

Click a link called “table format” above the map of the United States that appears in FINRA-DR’s monthly statistical report on its operations and a “Hearing Locations” table appears on the computer screen.

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Securities Arbitration 2017 Seminar Offers a Bevy of Tips for FINRA Arbitration Practitioners
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The seminar, held at the Practising Law Institute in Manhattan on Wednesday, Sept. 27, from 9 a.m. to 5 p.m., included six segments,

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FINRA Broker William Garbarino Disbarred for Perjury in an Arbitration Proceeding
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While FINRA frowns on brokers who fail to pay arbitration awards and fees, a worse offense is testifying falsely during the proceeding; it can bring a permanent end to one’s career in the industry,

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FINRA-DR Ramps Up Its Aggressive Efforts To Recruit More Diverse Neutrals with a Press Release, a New Outreach and Greater Transparency
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After reporting on the appearance of FINRA CEO Robert Cook before a House Subcommittee last week, we thought we’d take a more intensive look at FINRA’s diversity efforts.

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