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discovery guide (2013) - finra
This Discovery Guide and Document Production Lists supplement the discovery rules contained in the FINRA Code of Arbitration Procedure for Customer ...

FINRA Office of Dispute Resolution Arbitrator's Guide
Director's Authority to Remove an Arbitrator After the First Hearing Session. Begins . ..... Factors to Consider When Resolving E-Discovery Disputes .

FINRA Discovery, Abuses & Sanctions Training and Exam
The "FINRA Dispute Resolution Discovery, Abuses & Sanctions" training is ... When parties comply with this duty, the role of arbitrators in the discovery process  ...

What to Expect: FINRA's Dispute Resolution Process
It is typically less costly and faster to use arbitration or mediation as a way to settle .... Once the parties complete the Discovery phase of the case, it is time for the ...

Regulatory Notice 11-17 - FINRA Rules
Apr 11, 2011 ... FINRA Rule 12506. ▷ FINRA Rule 12508. ▷ NTM 99-90. Arbitration. Revised Discovery Guide and Document Production. Lists for Customer ...

Regulatory Notice 13-40 - FINRA Rules
Nov 3, 2013 ... guidance on resolving electronic discovery (e-discovery) disputes relating ... the discovery rules contained in the FINRA Code of Arbitration.

Regulatory Notice 13-04 - FINRA Rules
Jan 4, 2013 ... Code of Arbitration Procedure. ▷ Discovery. ▷ Orders to Appear or Produce. Documents. ▷ Subpoenas. Referenced Rules & Notices.

Recent and Potential FINRA Rule Changes - Bressler Amery Ross
Recent and Potential FINRA Rule Changes: Summarizing Developments as to Arbitrator. Issues, Discovery Updates, Privacy Rule and More. Joshua D. Jones ...

Triggering and Tolling: Application Of The FINRA - Malecki Law
This article will explore the grounds upon which FINRA arbitration panels (over the protestation of ... tolling, discovery and the like. The resolution by the ...

FINRA Dispute Resolution Essentials -
Any party involved in an unresolved dispute can initiate FINRA arbitration ... Following the initial and subsequent discovery periods, an arbitration hearing is.
FINRA Dispute Resolution- (4).pdf

Financial Services Employment Arbitration Q&A - Seyfarth Shaw LLP
Jan 14, 2015 ... Disclosure, Discovery and Qualifying as an Expert. In FINRA arbitration, there are no required early disclosures and no required reports. Expert ...

Comment Letter on File No. SR-FINRA-2010-035 -
Aug 24, 2010 ... I have been a seldom used NASD/FINRA arbitrator since 1990. ... issues in the arbitration which limit most member discovery obligations, and ...

Notice of Filing of a Proposed Rule Change Amending -
Aug 11, 2016 ... produced in response to discovery requests through the Party Portal. FINRA is also ... 6. See FINRA, Arbitration Online Claim Filing, available at.

David B. Tysk -
Mar 1, 2017 ... FINRA's second cause of action alleged that Tysk violated just and equitable principles of trade by violating arbitration discovery rules, but ...

Nonparty Discovery Under the Federal Arbitration - Novack and Macey
In arbitration, as in litigation, subpoenas are used to obtain informa- documents or ... tions or document discovery from non- ... for the AAA, FINRA and other.

Discovery of Regulatory Documents - Aidikoff, Uhl & Bakhtiari
litigants to seek discovery of documents broker-dealers and/or issuers produce to .... Thus, FINRA guidelines governing securities arbitration support settled.

The Uncertain State of FINRA Arbitration - Kelley Drye & Warren LLP
disciplinary actions by FINRA for expressly avoiding its arbitration mandate. .... Discovery in FINRA arbitration is generally limited to document production, with ...

Litigating Employment Disputes in FINRA Arbitration -
Jun 20, 2012 ... Arbitration required for all disputes among or between ... May seek TRO in court but then everything else goes to. FINRA ... No discovery.

The Inconsistent Dispute Resolution Process for Investment Advisers
FINRA arbitration clause, which require broker-dealers to arbitrate their ... process through the Discovery Guide; limit onerous and costly discovery practices like.

Managing Depositions in Arbitration to Minimize Cost - K&L Gates
have increased the cost and duration of arbitration cases, broad discovery and motion practice are most often cited. This article will not address the full range of  ...