Initial Pre-hearing Conference Scheduling Order in the Matter of:

Transcription

1 Initial Pre-Hearing Conference Scheduling Order Updated June 28, 2016 FINRA Dispute Resolution Initial Pre-hearing Conference Scheduling Order in the Matter of: Case #: Claimant(s): Respondent(s): An initial Pre-hearing telephonic conference was held in the above captioned matter on (month/date/year). Participating in the hearing were: [list the attending individuals] Chairperson: Panelist: Panelist: Claimant s Representative: #1 Respondent s Representative: #2 Respondent s Representative: 1

2 FINRA Dispute Resolution Staff: The following was agreed upon during the conference and is now entered as the Initial Pre-hearing Conference Scheduling Order: Confirmation of the Panel: 1. The parties accepted the panel's composition. (If not, please explain.) Pleadings: 2. F cases in which a respondent has failed to submit an answer (an unresponsive party), the panel has reviewed the service histy f that respondent and finds that: Service is complete and sufficient upon the unresponsive party. Service is not sufficient upon the unresponsive party and the claimant is directed to personally serve the unresponsive party with a copy of the statement of claim and notice of the hearing, and file a copy of the affidavit of service with FINRA by (month/date/year) the Panel directs the claimant to complete service by taking the following action: by (month/date/year). The following pleadings are deficient (list pleading and deficiency) The filing party has until to crect the above deficiencies. If the deficiencies are not crected by this deadline, the Panel will proceed with the arbitration as though the deficient document had not been filed. 2

3 Direct Party and Arbitrat Communication: 3. Communication between parties and arbitrats. (Check one). All named parties and all arbitrats have agreed to proceed under the voluntary direct communication provisions of the Codes of Arbitration Procedure (Codes). All parties agree that their counsel will alert all other parties, all arbitrats, and the FINRA Dispute Resolution case administrat of any changes in representation. If counsel no longer represents a party, this Paragraph will become inoperative and all parties shall cease direct communication with the arbitrats and direct all communication to the assigned FINRA Dispute Resolution case administrat, with the appropriate number of copies f distribution to the arbitrats. a) All parties shall send only the following crespondence directly to the arbitrats (e.g., motions, responses, replies, sur-replies, briefs, etc.): b) Parties shall use the following method of transmission when communicating directly with the arbitrats (e.g., electronic mail, facsimile, overnight courier, U.S. mail): c) Below is a list of the electronic mail addresses, fax numbers, mailing addresses of all named parties, arbitrats, and the FINRA case administrat assigned to this matter: If the parties and arbitrats agree to direct communication, but the der does not specify a means f transmission of documents to the Panel, FINRA will provide the parties with the arbitrats electronic mail addresses f this purpose. Late Cancellations Party and Arbitrat Communications: All named parties and all arbitrats have agreed to direct party and arbitrat communication solely to alert the panel that the parties have settled the case, that the claimant has withdrawn the claim, that the parties jointly agreed to 3

4 postpone the hearings. This arrangement prevents arbitrats from unnecessarily traveling to a cancelled hearing. Below is a list of the electronic mail addresses, fax numbers mailing addresses of all named parties, arbitrats and the FINRA case administrat assigned to this matter. If the parties and arbitrats agree to communicate by fax, parties must transmit documents that exceed 15 pages to FINRA Dispute Resolution by overnight courier U.S. mail. All faxes and electronic mail messages should include the confidentiality language previously provided to the parties by FINRA Dispute Resolution. Parties and arbitrats do not agree to voluntary direct communication between the parties and arbitrats. Parties should not communicate with any member of the panel except in the presence of all parties representatives. All crespondence and pleadings must be sent to the FINRA Dispute Resolution staff f distribution to the panel, and such crespondence pleadings should be sent to all parties in the same manner and at the same time it is sent to FINRA Dispute Resolution. Arbitration Hearing Dates: 4. The first scheduled hearing session in this matter will begin on (month/date/year) at (time). The following dates have also been reserved f this hearing: If the parties agreed upon dates beyond the period anticipated by FINRA in expedited cases, did Claimant(s) acknowledge on the recd that the parties agreement to these dates constitutes a waiver of Claimant s request f expedited proceedings? Yes No Postponement Fee FINRA charges a postponement fee f all postponed hearings equal to the applicable hearing session fee. The arbitrats may allocate the fee to the party 4

5 among the parties that agreed to requested the postponement. FINRA will not charge this fee if the parties advise FINRA that they have reached a final settlement and the case can be closed. Payments to Arbitrats - Postponements Cancellations within 10 Days of a Hearing Separate from the above postponement fee, if a party requests and the arbitrats grant, a postponement within ten days befe a scheduled hearing session, the party making the request shall pay an additional fee of $600 per arbitrat (a total of $1,800 f cases with three arbitrats). This fee also applies if a hearing is cancelled because the parties have settled the case. The parties should understand that they have 10 days befe the first scheduled hearing date by (insert date that is 10 days befe the first scheduled hearing) to advise FINRA of the postponement settlement of the case to avoid the $600 per arbitrat late cancellation fee. The above paragraph applies to cases filed on after July 6, Discovery Cutoff Date: 5. Discovery cutoff date (last day to serve discovery requests): Discovery Response Date: 6. The parties have agreed to the following discovery response date: Responses to discovery requests are due within 60 days from the date the discovery request is received in accdance with Rules and of the Code of Arbitration Procedure; The parties have agreed that responses to discovery requests are due: 5

6 Date f Pre-hearing on Discovery: 7. The Chairperson and parties have reserved (month/day/year) at (time) f a Pre-hearing date to resolve discovery matters. (The hearing is calendared at the time this der is served. All parties should reserve these dates in their calendars, and reminders will not be fthcoming. Parties should contact FINRA at least 48 hours pri to the scheduled hearing session if the call is no longer needed.) Discovery Motions Dates to File Opposition and Reply: Discovery Motions due (please specify date): Opposition due (please check the applicable box): Opposition to Discovery Motions due within ten (10) days of receipt of the Motion, in accdance with the applicable Code of Arbitration Procedure f Customer Industry Disputes; Opposition to Discovery Motions due (please specify date and type of Motion [if known]): Reply Brief due (please check the applicable box): Reply brief to Opposition to Discovery Motions due within five (5) days of receipt of the Opposition; Reply brief to Opposition to Discovery Motions due (please specify date and type of Motion [if known]): 6

7 (Please allow FINRA at least one week to fward the pleadings to the Panel pri to any conference call) Method of Delivery f cases involving Direct Communication (e.g., electronic mail, facsimile, overnight courier, U.S. mail): Motions: 8. The arbitrats and parties have tentatively reserved (month/day/year) at (time) f a pre-hearing date to resolve Motions due* (please specify date): Opposition due* (please check the applicable box): Opposition to Motions due within ten (10) days of receipt of the Motion, in accdance with the applicable Code of Arbitration Procedure f Customer Industry Disputes; Opposition to Motions due (please specify date and type of Motion [if known]): Reply Brief due (please check the applicable box): Reply brief to Opposition to Motions due within five (5) days of receipt of the Opposition; Reply brief to Opposition to Motions due (please specify date and type of Motion [if known]): (Please allow FINRA at least one week to fward the pleadings to the Panel pri to any conference call) 7

8 Method of Delivery f cases involving Direct Communication (e.g., electronic mail, facsimile, overnight courier, U.S. mail): *Note on Dispositive Motions: Code of Arbitration Procedure Rules and f Customer Disputes and Rules and f Industry Disputes govern motions to dismiss. The rules set fth specific timeframes f submitting and responding to motions to dismiss. Legal Issues and Pre-Hearing Briefs: 9. If pre-hearing briefs are filed, they must be filed by (please specify date): Witness Lists: 10. The Codes of Arbitration Procedure outline the parties obligation to exchange witness lists at least twenty (20) calendar days pri to the first scheduled hearing date. The panel requests that, concurrently with the parties timely exchange of the witness lists, the parties send copies of the witness lists to FINRA f fwarding to the panel. The panel s timely receipt of the witness list will enable the arbitrats to review the witness list in advance of the hearing to determine if the appearance of a witness identified in the witness list may create a potential conflict with an arbitrat otherwise trigger additional disclosures by an arbitrat. To assist the arbitrats in making these conflict checks, the parties should list the business affiliation of each witness, other descriptive infmation. Witness lists due (please specify date): Other matters: 11. Other rulings (e.g., extra fees to be deposited): 8

9 Assessment of Fees: 12. If the parties settle this matter with no further hearings: a) The cost of this IPHC will be bne as follows: % to Claimant(s), jointly and severally % to Respondent(s), jointly and severally % assessed to % assessed to % assessed to NOTE: Outstanding fum fees that have not yet been resolved assessed by the panel, the parties, another Rule will be divided equally among the parties. This Order will remain in effect unless amended by the arbitration panel. However, paragraph 8 may be canceled by a party, an arbitrat, as provided in the paragraph. Dated: Chairperson On behalf of the arbitration panel Sign your name by entering "/s/", followed by your first name, middle initial, and last name (e.g., /s/ Jane Q. Public) 9