1 FINRA s Dispute Resolution Process 1 What to Expect: FINRA s Dispute Resolution Process It is rare for most firms to find themselves in a dispute with a customer, an employee, or another firm that escalates to a point where FINRA s dispute resolution services are needed. However, this can occur, so it is important that you know what to expect in the event that you are involved in one. It is typically less costly and faster to use arbitration or mediation as a way to settle a dispute than to take a case to court. In arbitration, a single arbitrator or panel of three arbitrators depending on the amount of money in controversy hears all sides of the issues, studies the evidence, and then decides how the matter should be resolved. In mediation, a mediator facilitates negotiations between disputing parties to help them develop and agree upon a resolution. FINRA operates the largest securities dispute resolution forum in the world, and has extensive experience in providing a fair, efficient and effective place to handle claims. Broker-dealers, registered representatives, other associated persons, and investors can resolve disputes by arbitrating or mediating through FINRA s dispute resolution program. Roughly one-third of FINRA s cases are industry disputes, meaning they do not involve customer claims. And the forum is neutral. Staff members who coordinate the process are FINRA employees, but they are not involved in rendering judgments, and are separate from FINRA s Examination and Enforcement departments. FINRA cannot offer legal advice or legal representation to anyone. FINRA s dispute resolution forum is neutral. While FINRA staff members coordinate the dispute resolution process, they are not involved in rendering judgments. Parties can file an arbitration claim or request mediation when there is a dispute involving the business activities of a brokerage firm or an associated person, including claims by investors and disputes involving employee compensation or termination. Generally, the claim must be about an incident that took place within the last six years.
2 FINRA s Dispute Resolution Process 2 Arbitration Arbitration is similar to the courts, but is usually faster, cheaper and less complex. Parties present the issues through the use of witness testimony and documentary evidence much as they would in court. Instead of a judge, there is either a single arbitrator or a panel of three arbitrators. The arbitrator or panel studies the evidence and decides how to resolve the matter much as a judge makes a ruling in a court case, but the legal rules of evidence do not strictly apply. Arbitrators are guided by the underlying policies of the law but can interpret legal concepts with more flexibility than judges. The arbitration process differs depending on the claim size. Larger claims involve an in-person hearing decided by a panel of three arbitrators, with one serving as the chair. Smaller claims are decided by one arbitrator. The smallest claims may be decided through what is called a Simplified Arbitration Process. This is when the arbitrator decides the case by reading all of the materials provided by the parties without an in-person hearing. The first step for parties who want to file an arbitration is to submit the request to FINRA along with the required paperwork. One required document is called a Statement of Claim. This is submitted by the person filing the claim and includes a description of the dispute, the parties involved and the monetary size of the claim. Another required document is the FINRA Submission Agreement, previously known as the Uniform Submission Agreement. This lists the parties in the arbitration case and confirms that FINRA will administer it. It also establishes that, if the case ends with a hearing, the parties all agree to abide by the arbitrators decisions. FINRA also requires that the claimant submit the appropriate filing fees to begin the case. Requirements for Filing an Arbitration Statement of Claim FINRA Submission Agreement Filing Fees When FINRA receives the required documents and fees, it analyzes the claim, looking for things like the claim s size to decide how many arbitrators will be needed, the nature of the dispute and the type of securities involved. Then, FINRA assigns a case number and informs the parties how to contact FINRA staff about the case. Firms often ask if FINRA staff can dismiss frivolous claims. Because FINRA staff serves as the impartial provider of the arbitration forum, staff members have no authority to evaluate the strengths and weaknesses of claims or defenses. That job is reserved for the arbitrators.
3 FINRA s Dispute Resolution Process 3 If your firm is named in a claim as a respondent, FINRA notifies your firm s representative by mail. You will receive a case packet that has a copy of the Statement of Claim. The packet will also include a detailed letter highlighting important rules and response deadlines outlined in FINRA s Code of Arbitration Procedure. And it also contains a blank FINRA Submission Agreement that your firm must fill out, sign and return. The cover letter will contain the city in which the hearings for the case will take place and how to contact FINRA if you have questions. Usually, the hearing will take place in the FINRA hearing location nearest to where the claimant lived at the time of the original dispute. If the parties agree on a different hearing location, FINRA will try to accommodate the request. There is at least one, and as many as three, hearing locations in every state, plus the District of Columbia, Puerto Rico and London over 70 in total. Each respondent is given 45 days to research the claim and to prepare and serve a response. In it, the respondent can outline the defenses the firm or broker plans to argue and any exhibits that support this position. FINRA will analyze this information to see if there are counterclaims (which are claims by the respondent against the claimant) or cross claims (which are claims by the respondent against another respondent). If so, FINRA checks to make sure the parties submitted the right fees, and looks for any newly named parties. FINRA also checks to see whether the respondent completed the FINRA Submission Agreement properly. Then, the parties select their arbitrators. FINRA provides identical lists of possible arbitrators for the case to both sides of the dispute. A computer generates the names randomly. FINRA also provides both sides with a detailed report on each arbitrator s background, called a disclosure report. The disclosure report resembles a résumé, and includes the arbitrator s employment background, education and training. FINRA also provides a list of cases in which each of the arbitrators has issued a final decision, called an award. You can view awards for free on FINRA s website or obtain them from FINRA in hard copy. Both sides are allowed to remove, or strike, some of the arbitrators on the list from consideration and to rank the remaining names in order of their preference. This process gives both parties a say in who the arbitrators will be. Arbitrators are not FINRA employees but work on a case-by-case basis as contractors. They must apply to be arbitrators, and FINRA evaluates their education, professional licenses and employment. They also must take required training to arbitrate in FINRA s forum. FINRA divides arbitrators into two categories: those who have a connection to the securities industry and those who do not. FINRA refers to the arbitrators who have a connection as non-public arbitrators and all others as public arbitrators. FINRA strives to include people who represent different professions and backgrounds for both categories of arbitrators. For people who chair arbitration panels, FINRA requires special training and experience with previous arbitrations. A public arbitrator serves as the sole arbitrator on smaller claims involving customers. A threearbitrator panel hears the larger customer claims. Customers in cases that proceed with three arbitrators have the option to have an all-public arbitration panel or a majority-public panel decide their claim.
4 FINRA s Dispute Resolution Process 4 Disputes between firms are decided exclusively by non-public arbitrators. Smaller disputes between firms and their employees are decided by a single public arbitrator. Larger disputes between firms and their employees are decided by a three-arbitrator panel comprised of two public arbitrators and one non-public arbitrator. Disputes involving statutory discrimination claims use all public panels with specially qualified chairs. In all cases, arbitrators are required to make decisions based on the facts and merits of the cases they hear, and they take an oath to remain neutral. FINRA constantly monitors arbitrators to ensure that they meet necessary standards and, if they fail to meet them, FINRA removes them from the pool of arbitrators. Once the parties select their arbitrators, the arbitration panel has an initial pre-hearing conference with the party representatives typically over the telephone. During the call, the arbitrators and party representatives usually lawyers discuss procedural issues, the mediation alternative and the scheduling of the in-person hearing. So, at this conference, FINRA recommends that the representatives have their calendars available. And they should also raise any issues that they think the arbitrators will need to address at this time. The next stage is Discovery. This is when parties exchange documents and identify their witnesses. FINRA s website contains detailed rules for parties and their representatives to follow during the discovery process. Also, all parties in a customer case should be familiar and comply with a document called the Discovery Guide. It lists the documents that should be produced by both the claimant and respondent in all customer arbitrations. Once the parties complete the Discovery phase of the case, it is time for the in-person hearings. This is when each party presents its case to the arbitrators. Arbitration Hearing Process After all the parties arrive, the arbitrators invite the parties, their counsel and witnesses into the hearing room. If either side has fact witnesses, they may be asked to wait in a waiting room until they are called in to testify. Expert witnesses are generally permitted to remain in the hearing room, while fact witnesses will be called in when it is their turn to testify. The arbitrators sit at the head of the table, and respondents and claimants sit with their groups on opposite sides. Usually, the arbitrators reserve seats near them for witnesses. It will take a little while for everyone to bring in all of their materials and to get them set up. While everyone gets settled, the parties should not have conversations with the arbitrators. Once everyone is ready, the chairperson will call the hearing to order. The arbitrators will identify themselves, and then so will all those in attendance. The chair will then swear in all of the parties and witnesses in attendance who will testify. The claimant s side is given the opportunity to make an opening statement, followed by a statement from the respondent s side. These statements provide a brief outline of the issues and what the party will try to prove. This is not the appropriate time to present evidence.
5 FINRA s Dispute Resolution Process 5 After the opening statement, the claimants present the details of their case. For example, they present witnesses and introduce any relevant documents. If the arbitrators did not swear a witness in at the beginning of a hearing, they will administer the oath before that person testifies. The other side can cross-examine any witness who testifies, that is, ask questions of the witness. The arbitrators may also ask the witnesses questions. After the claimant s side has completed presenting its case, then it is the respondent s turn to present its case. Each party can object to any evidence being presented before the arbitrators receive it. Following an objection, the arbitrators will decide if they will accept the evidence. You should also know that hearings are digitally-recorded, usually on a device operated by the arbitrators. And, sometimes a party will arrange for a court reporter to be present at the hearing. Once the parties have offered all witnesses and evidence, they present closing arguments. This allows them the opportunity to summarize what they believe they have proven. Either side can rebut the other side s closing arguments if they choose. Post Hearing After the hearing, the arbitrators consider the evidence and make a decision on the case also called rendering an award typically within 30 days. All of the arbitrators have an equal vote, with the majority deciding the outcome. But, most awards in the FINRA forum are unanimous. The decision is put in writing and signed by the arbitrators. This decision is called the arbitration award, and is sent to the parties. In the award, the arbitrators decide the claims and counterclaims presented by the parties, and will also decide how to allocate FINRA forum fees. If the decision requires your firm to take any action, like making a payment to the other side, then your firm must comply with it, or move in court to vacate the award (which means to ask the court to set the award aside as void) within 30 days after you receive the award. Firms that do not comply in a timely manner risk FINRA suspension. You can find all of the arbitration decisions from our forum on FINRA s website. Once the panel renders an award, it is legally binding and final, except in very limited situations in which a party can challenge it in court. Also, there is no internal appeals process at FINRA. Arbitration cases that settle are typically resolved in a little over a year. When an arbitration case goes to hearing, it typically takes 16 months. In either case, arbitration is usually faster than most court cases. Since arbitration cases are resolved more quickly, and there is only limited court review of arbitration decisions, the related costs, such as attorney fees and other expenses, are typically lower in arbitration than in cases that go to court.
6 FINRA s Dispute Resolution Process 6 Arbitration Case Flow Claim Submitted and Analyzed Claim Served on Respondent Answer Submitted and Analyzed Select Arbitrators Initial Pre-hearing Conference Schedule Hearings Discovery Hearings Arbitrators Deliberate Award Written and Served
7 FINRA s Dispute Resolution Process 7 Mediation While arbitration is a fast, economical and fair way to resolve disputes, it is not the only way. Mediation is another way that you can resolve a dispute. If you are involved in an arbitration, you may request or agree to mediation at any time before the arbitrators issue an award. Or, you may agree to mediation from the beginning of the dispute as the way to resolve your conflict. A mediator does not act like a judge or an arbitrator. Instead, the mediator is a facilitator who helps the parties negotiate an agreed-upon solution. It is a voluntary process, so either party may decide to stop at any time. However, over 80 percent of mediations end up with a settlement. A mediator is a facilitator who helps parties of a dispute negotiate an agreed-upon solution. To mediate through FINRA s program, one or both parties will first tell FINRA staff that they are interested in mediation. FINRA will then contact the other side to see if they agree to mediate the dispute. However, if you do not want FINRA to tell the other side that you expressed interest in mediation, FINRA staff will see if they are interested in mediation without revealing any interest by the opposing party. FINRA staff members also contact parties in some cases from the arbitration docket to elicit interest in mediation. If both parties agree to mediation, FINRA s mediation administrators can assist in the selection of a mediator. FINRA provides a list of mediators to choose from along with a disclosure report for each mediator. The parties have full say in who their mediator is, and select a mediator who they all agree to work with. Like arbitrators, mediators are not FINRA employees. They are carefully screened and represent a cross-section of diverse people. Many have extensive knowledge of the securities laws and industry practices. And, like arbitrators, they are required to follow ethical standards. Once the parties agree on a mediator, FINRA staff sends a Mediation Submission Agreement to the parties that indicates the terms for the mediation. All parties, their representatives and the mediator must sign this document before the mediation can take place. The purpose of the Mediation Submission Agreement is to protect the parties involved and prevent any misunderstandings about the process. It includes the requirement that everything that takes place in mediation remain confidential. It also shows the mediator s fees and how the parties will divide those fees. FINRA s mediation administrators can work with both parties to find mutually agreeable conditions for the mediation.
8 FINRA s Dispute Resolution Process 8 Before mediation starts, most mediators will ask the parties to provide a written statement with their side of the story. Mediators indicate up front whether they will share this statement with the other side or keep it confidential. The mediator may ask your firm to indicate what it hopes to get out of the process. It is important for you to think about what you want to achieve and what your firm is willing to offer to resolve the case before you go to the mediation. If you think about a range of possible solutions and know your bottom line, it will help you prepare for mediation. Your attorney can represent and help you with this process. FINRA s staff will help you schedule the mediation date and coordinate the location. Then the actual mediation session for the parties to work toward a possible settlement occurs. The location of these sessions is selected in the same way as arbitration hearing locations are selected. Mediation Session Process The mediator begins the mediation session with introductions. After that, the mediator will make some opening remarks and set the ground rules. Next, the claimant s attorney explains their position and interests. Then, the respondent s attorney does the same. The parties continue to discuss the issues with the mediator s guidance. At some point, the mediator may meet with each side privately. Sometimes, parties are more open in these separate sessions and the mediator will maintain confidences when asked. Four out of five times, this process helps the parties reach a settlement. If the parties agree to settle, their representatives draft enforceable agreement, which both parties sign. The parties only sign the settlement agreement if they agree with its terms. You can stop the mediation process at any time. If settlement is not reached, then the claimant can file an arbitration case, or, if one was previously filed, request that it continue.
9 FINRA s Dispute Resolution Process 9 Mediation Case Flow Parties Show Interest Parties Agree to Mediate Select Mediator Schedule Mediation Mediation Session Parties Settle Parties Impasse Case Closed Case May Go to Arbitration
10 FINRA s Dispute Resolution Process 10 Choosing Between Arbitration and Mediation You might want to pursue mediation if your firm wants to quickly resolve a claim. Arbitrations usually take a bit longer than a year to resolve, but most mediations take a little over three months to complete. Arbitration hearings last about four days, but mediations are typically resolved in one session that lasts about eight hours. As a result, mediations usually are less costly. Mediation can also be less adversarial and is something to consider if your firm prefers a less formal setting to resolve disputes. However, choosing to mediate is entirely your decision, and you always have the right to go through the full arbitration process. Simply put, you can think of arbitration as presenting your case and having someone else decide it, versus mediation, where someone assists you with negotiating a solution to your case. Working with an Attorney Most parties are represented by a lawyer when they are involved in an arbitration or a mediation. But, we realize that some firms may not have relationships with legal counsel or know counsel with securities arbitration or mediation experience. As we mentioned earlier, FINRA staff does not give legal advice, and we cannot recommend any specific lawyers. But they can suggest ways to find an attorney. You can also ask contacts at other firms for suggestions, or locate and work with legal referral services offered by bar associations to find lawyers who specialize in securities issues. FINRA s website has a link to a nationwide network of legal referral services.
11 FINRA s Dispute Resolution Process 11 Additional Resources FINRA Dispute Resolution What Disputes Are Eligible for Arbitration? Statement of Claim (part of pdf document: Uniform Forms Guide ) FINRA Submission Agreement Filing Fee Calculator apps.finra.org/arbitrationmediation/arbfeecalc/1/ Dispute Resolution Regional Offices & Hearing Locations Awards Database Online finraawardsonline.finra.org Notice to Parties Discovery Rules and Procedures Discovery Guide Mediation Submission Agreement How to Find an Attorney FINRA. All rights reserved. 12_ /12
COMBUSTION ENGINEERING 524(g) ASBESTOS PI TRUST ALTERNATIVE DISPUTE RESOLUTION (ADR) PROCEDURES Pursuant to Section 5.10 of the Combustion Engineering 524(g) Asbestos PI Trust Distribution Procedures (
EMPLOYEES GUIDE TO APPEALING A WORKERS COMPENSATION CLAIM DENIAL Appeals of workers compensation claim denials are handled by the Labor Commission s Adjudication Division. If you disagree with the claim
Representing Yourself In Employment Arbitration: An Employee s Guide What is the American Arbitration Association? The American Arbitration Association (AAA ) is a not-for-profit, private, public service
SMALL CLAIMS COURT What Is Small Claims Court? Nebraska law requires that every county court in the state have a division known as Small Claims Court (Nebraska Revised Statute 25-2801). Small Claims Court
What to Expect In Your Lawsuit A lawsuit is a marathon not a sprint. Stewart R. Albertson. There is a saying that the wheels of justice move slowly. That is as true today as when it was initially stated.
Community Alliance of Tenants Tenant Education Information is for general information purposes only, and is not a substitute for the advice of an attorney Small Claims Court Information provided by Oregon
ADR PREFERENCE AND USAGE In Collaboration with General Practice Solo and Small Firm Division of the American Bar Association CONTENTS GP SOLO ADR Survey Overview 1 Executive Summary of Key Findings 2 Detailed
General Information on Representing Yourself in a Workers Compensation Case Idaho Industrial Commission PO Box 83720 Boise, ID 83720-0041 Telephone: (208) 334-6000 Fax: (208) 332-7558 www.iic.idaho.gov
Sample Arbitration Clauses with Comments BRIEF DESCRIPTION Arbitrations are creatures of contract. Thus, the parties can shape an arbitration proceeding to a great extent in their arbitration agreements.
Milwaukee Bar Association Fee Arbitration Attached are the Rules for the arbitration of fee disputes on behalf of the Milwaukee Bar Association. In consideration of the arbitration services to be rendered,
WHAT YOU NEED TO KNOW ABOUT EEO Publication 133 October 2012 WHAT YOU NEED TO KNOW ABOUT EEO Publication 133 October 2012 Contents Introduction 3 EEO Laws 4 Administrative Process for Complaints of Illegal
R epresenting P roducers and D i str i b utors w orldwide Guide to IFTA Arbitration IFTA Arbitration Independent Film & Television Alliance 10850 Wilshire Boulevard / 9th Floor Los Angeles, CA 90024-4321
INTRODUCTION TO SMALL CLAIMS COURT TABLE OF CONTENTS INTRODUCTION TO SUE OR NOT TO SUE? HOW TO FILE A SMALL CLAIMS CASE WHERE TO FILE FILING FEE NOTICE TO THE DEFENDANT COUNTERCLAIMS PREPARING FOR TRIAL
This information has been prepared for persons who wish to make or have made a complaint to The Lawyer Disciplinary Board about a lawyer. Please read it carefully. It explains the disciplinary procedures
RIGHTS OF MASSACHUSETTS YOUTH REGARDING SPECIAL EDUCATION DISPUTES Prepared by the Mental Health Legal Advisors Committee June 2012 How can parents and schools resolve disputes regarding anything other
GENERAL INFORMATION FOR UNREPRESENTED INJURED WORKERS ABOUT THE WORKERS COMPENSATION HEARING PROCESS FREQUENTLY ASKED QUESTIONS 1. Where can I get information about the hearing process?... 2 2. Where else
USAF ACADEMY LEGAL OFFICE 2304 Cadet Drive, Suite 2100 USAFA, CO 80840 (719) 333-3940 HOW TO CHOOSE AND USE A LAWYER 1. HOW TO CHOOSE AND USE A LAWYER The legal system can be intimidating, but it doesn
Dispute Resolution Service Rules of Procedure for Arbitration These rules apply to cases received on or after April 7, 2014. B AHLA Dispute Resolution Service Table of Contents TOC Introduction... 1 Section
PLEASE NOTE: THIS POLICY WILL END EFFECTIVE NOVEMBER 10, 2013 AND WILL BE REPLACED BY THE INTERACTIVE RESOLUTION POLICY ON NOVEMBER 11, 2013. TOYOTA ASSOCIATE DISPUTE RESOLUTION ( T-ADR ): Summary Description
Boulder Municipal Court Boulder County Justice Center P.O. Box 8015 1777 6 th Street Boulder, CO 80306-8015 www.bouldercolorado.gov/court JURY READINESS CONFERENCE INSTRUCTIONS You have set your case for
The Non-Lawyers Guide to Hearings before the State Engineer The information provided here contains general information about how to represent yourself in a hearing. This information is to help you prepare
SUPERIOR COURT OF CALIFORNIA COUNTY OF ORANGE CIVIL MEDIATION PROGRAM GUIDELINES 1. Description. The Superior Court of California, County of Orange (Court), offers a voluntary civil mediation program for
Accounting and Related Services Arbitration Rules and Mediation Procedures Rules Amended and Effective February 1, 2015 Available online at adr.org/accounting Table of Contents Introduction.... 6 Standard
Approved: by the General Meeting of Georgian Securities Central Depository October 25, 1999 RULES OF THE GEORGIAN SECURITIES CENTRAL SECURITIES DEPOSITORY ON SETTLEMENT OF DISPUTES TBILISI 1999 Introduction
SIXTH JUDICIAL DISTRICT ATTORNEY-CLIENT FEE DISPUTE RESOLUTION PROGRAM LOCAL PROGRAM RULES AND PROCEDURES SECTION 1 - POLICY It is the policy of the Sixth Judicial District ( district ) to encourage out-of-court
Construction Industry Arbitration Rules and Mediation Procedures (Including Procedures for Large, Complex Construction Disputes) Rules Amended and Effective October 1, 2009 Fee Schedule Amended and Effective
If you have been sued as a defendant in a civil case...keep reading. Court procedures can be complex. This brochure was developed to help Ohioans who are considering representing themselves in court. It
JUROR S MANUAL (Prepared by the State Bar of Michigan) Your Role as a Juror You ve heard the term jury of one s peers. In our country the job of determining the facts and reaching a just decision rests,
Case:-cv-00-CRB Document Filed0// Page of UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION 0 IN RE HP SECURITIES LITIGATION, This Document Relates To: All Actions MASTER
Clark County District Court SMALL CLAIMS COURT INFORMATION INTRODUCTION The Small Claims Department of District Court allows a person or business with a legal dispute to sue without hiring an attorney.
INSTRUCTIONS FOR FILING A SMALL CLAIMS CASE These standard instructions are for informational purposes only and do not constitute legal advice about your case. GENERAL INFORMATION The Small Claims Court
SELLER BUYER INFORMATION PACKET DISPUTE RESOLUTION SYSTEM Mediation Program A Fast, Easy and Inexpensive Alternative to Litigation This mediation concerns property located at: Street Address: City: State:
Office of Administrative Courts [http://www.colorado.gov/cs/satellite?blobcol=urldata&blobheader=application%2fpdf&b lobkey=id&blobtable=mungoblobs&blobwhere=1251601651820&ssbinary=true] [Abridged to omit
IRS Administrative Appeals Process Procedures Charles P. Rettig Avoiding litigation is often the best choice for a client. The Administrative Appeals process can make it happen. Charles P. Rettig, a partner
CHAPTER 6 ARBITRATION JURISDICTION 600. DISPUTES SUBJECT TO CME ARBITRATION 600.A. Disputes Among Members 600.B. Disputes Between Members and Certain Non-Member Employees 600.C. Claims Against the Exchange
June 24, 2010 THE MERIT SYSTEMS PROTECTION BOARD ROCKET DOCKET By: Attorney Josh Bowers Navigating the Administrative Process of the MSPB 1 The U.S. Merit Systems Protection Board (MSPB) is an independent
Family Law Dispute Resolution Options If you are presented with a divorce or other family law matter which requires a resolution, there are a number of procedural models which may be used. The most commonly
STATE OF CONNECTICUT INSURANCE DEPARTMENT Consumer Affairs Division Arbitration Unit 860.297.3889 or 860.297.3973 Fax: 860.297.3872 INFORMATIONAL PAMPHLET REGARDING ARBITRATION PROCEDURES FOR CERTAIN AUTO
CEDR Rules for the Facilitation of Settlement in International Arbitration CEDR Rules for the Facilitation of Settlement in International Arbitration Introduction These CEDR Settlement Rules are designed
Foundations in Law Unit 4: Lawsuits and Liability: The Civil Justice System Unit Overview How does the civil justice system hold people and corporations accountable for their actions? How does civil law
PROCEDURAL FAIRNESS BEST PRACTICE GUIDELINES FOR INDEPENDENT SCHOOLS DEVELOPED BY THE FEDERATION OF INDEPENDENT SCHOOL ASSOCIATIONS IN CONSULTATION WITH THE INSPECTOR OF INDEPENDENT SCHOOLS I. PREAMBLE
SERVICES AGREEMENT THIS AGREEMENT is between, with offices at (hereinafter referred to as COMPANY ), and the University of Delaware, a nonprofit institution of postsecondary education chartered under the
BOARD OF PROFESSIONAL CONDUCT OF THE SUPREME COURT OF OHIO PREHEARING INSTRUCTIONS For the purpose of facilitating disciplinary hearings and related proceedings that are conducted pursuant to Rule V of
International Association of Tax Judges Fifth Assembly, Washington, D.C. October 23 and 24, 2014 Panel on Protection of Taxpayer in Court Special Trial Judge Lewis R. Carluzzo United States Tax Court I.
Storm Damage Arbitration Agreement ADR Systems File # Insurance Claim # x I. Parties A. xxxxx B. xxxxx II., Time and Location of the Arbitration : Time: Location: III. Rules Governing the Arbitration Each
Getting Ready for Court Small Claims Court Guide #5 If your small claims court case is going to court - whether it's for a settlement conference or a trial - you probably have a lot of questions to ask.
THE PACIFIC STOCK EXCHANGE INCORPORATED Dr. Maurice Mann Chairman and Chief Executive Officer Via Facsimile/U.S. Mail October 17, 1988 The Honorable David S. Ruder Chairman Securities and Exchange Commission
September 12, 2014 Edition FINRA Dispute Resolution Party s Reference Guide Table of Contents This booklet contains important information about FINRA Dispute Resolution services, policies, and procedures.
TAXI and TLC-Licensee CASES A Guide to Your Hearing at the OATH Tribunal 40 Rector Street, 6th Floor New York, NY TABLE OF CONTENTS Taxi and TLC-Licensee Cases Heard at OATH.......3 Should I Get a Lawyer?.
UNIFORM COLLABORATIVE LAW ACT S.B. 714: ANALYSIS AS ENACTED Senate Bill 714 (as enacted) PUBLIC ACT 159 of 2014 Sponsor: Senator Tonya Schuitmaker Senate Committee: Judiciary House Committee: Judiciary
NOTICE OF CLASS ACTION SETTLEMENT California Superior Court, County of Los Angeles IF FIRE INSURANCE EXCHANGE APPLIED DEPRECIATION WHEN CALCULATING A PAYMENT MADE TO YOU ON A PROPERTY LOSS INSURANCE CLAIM,
How to Prepare for Your Civil Trial* IMPORTANT! Remember that the law is always changing. This brochure is not a substitute for talking to an attorney. Civil cases can be complicated, and the judge will
CONSTRUCTION DISPUTE RESOLUTION - A COMPARISON OF RULES AND FEES FROM U.S. ARBITRATION ORGANIZATIONS By: Larry R. Leiby, Esq. Domestic arbitration organizations such as AAA, 1 JAMS, 2 and CPR 3 publish
American Health Lawyers Association Rules of Procedure for Arbitration American Health Lawyers Association Alternative Dispute Resolution Service 1620 Eye Street, N.W., 6 TH Floor Washington, D.C. 20006-4010
Practices and Procedures for Appeals under Section 11.1 of the School Act 1 Table of Contents Introduction... 4 PART 1 GENERAL... 5 1. Definitions... 5 2. Communication through Registrar... 5 3. Filing
White Paper Dispute Resolution This document on Dispute Resolution outlines the four main approaches to resolving contractual disputes. CIPS members can record one CPD hour for reading a CIPS Knowledge
LITIGANTS MANUAL FOR USE IN THE MARION COUNTY SMALL CLAIMS COURTS The Indiana General Assembly created the Marion County Small Claims Courts and provided that litigants may try their cases in such courts
NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own
PRINCIPAL FAMILY COURT JUDGE S CHAMBERS FAMILY COURT PRACTICE NOTE LAWYER FOR THE CHILD: SELECTION, APPOINTMENT AND OTHER MATTERS 1 BACKGROUND 1.1 The terms of this Practice Note have been settled in consultation
Information for registrants What happens if a concern is raised about me? Contents About this brochure 1 What is fitness to practise? 1 What can I expect from you? 3 How are fitness to practise concerns
The International Association of Lemon Law Administrators includes in its membership government agencies and other organizations that administer various types of alternative dispute resolution programs.
ATLANTA METROPOLITAN COLLEGE Consolidated Alternative Dispute Resolution Policies and Processes Contents Policy and Purpose.....2 Process for Resolving Disputes..2 Informal Process.....3 Mediation Process...4
GUIDANCE REGARDING EEO PROCEDURES (1/25/2000) This provides overall guidance to Foreign Service employees on the procedural requirements for filing a complaint or grievance under the Equal Employment Opportunity
Missouri Small Claims Court Handbook The Missouri Bar Young Lawyers' Section TABLE OF CONTENTS I. INTRODUCTION TO THE SMALL CLAIMS COURT...1 Page II. THINGS TO CONSIDER BEFORE BRINGING A CLAIM...1 A. WHO
BBB Rules of Non-Binding Arbitration for Extended Service Plans/Extended Service Coverage Naming BBB as Administrator BBB ARBITRATION Your Better Business Bureau (BBB) is a nonprofit organization supported
National Center for Dispute Settlement 888.832.4792 Residential Real Property Arbitration: FAQ s How Do I File for Arbitration? Complete either a NCDS Demand for Arbitration OR Submission to Arbitration
A Practical Guide to Hiring a LAWYER A PRACTIAL GUIDE TO HIRING A LAWYER I. Introduction 3 II. When do you Need a Lawyer? 3 III. How to Find a Lawyer 4 A. Referrals 4 B. Lawyer Referral Service 5 C. Unauthorized
CLIENT INFORMATION: GUIDELINES ON ADMINISTRATION & BILLING As updated from time-to-time for billing rates and responsible attorney and, following actual notice to the client. This agreement forms the basis
Selecting Arbitrators in Construction & Surety Cases Practical Considerations in the Selection of Arbitrators in Construction and Surety Cases "Industry Insight" articles like this one below are submitted
S u m m a ry Judgment and S u m m a ry Trials in Supreme Court This guidebook provides general information about civil, non-family claims in the Supreme Court of B.C. It does not explain the law. Court
STEPS TO AN EFFECTIVE SETTLEMENT CONFERENCE: AT THE TABLE BY: U.S. MAGISTRATE JUDGE MORTON DENLOW NORTHERN DISTRICT OF ILLINOIS I. INTRODUCTION. In my last article, I discussed steps the court and counsel
BRINGING AN EVALUATIVE COMPONENT TO YOUR AGENCY S DISPUTE RESOLUTION EFFORTS EEOC EXCEL CONFERENCE 2014 SAN DIEGO, CA Julie Procopiow Todd Administrative Judge/EASE Coordinator EEOC Philadelphia District