Conducting a FINRA Arbitration: The Arbitrator's Perspective | Practical Law
A Practice Note explaining how the arbitrator conducts an arbitration proceeding under the rules of the Financial Industry Regulatory Authority (FINRA). This Note describes the conduct of a FINRA arbitration from the perspective of a solo arbitrator or member of a three-person panel and explains the procedural decisions the arbitrator makes before, during, and at the end of the hearing to help ensure an efficient arbitration proceeding.