Originally from Securities Arbitration: Practice and Forms - Third Edition

SYNOPSIS

§ 7.01 Selection of Arbitrators
[1] FINRA Neutral List Selection System
[2] FINRA Selection Process
[3] AAA and JAMS Selection Processes
[4] Deciding Whether to Strike an Arbitrator
[5] Disqualification Due to Conflict of Interest or Bias
[6] Replacement Procedure for Disqualification or Other Disability of Arbitrators
[7] FINRA Claims Where Both Parties Are Members
[8] FINRA Employment Claims

§ 7.02 Discovery
[1] Relative Informality of Discovery in Arbitration
[2] Document Production 
[3] Information Requests
[4] Depositions
[5] Subpoena Process
[6] Admissibility
[7] Non-Compliance and Sanctions

§ 7.03 The Importance of the FINRA Discovery Guide Documents and Additional Documents
[1] Documents Helpful to Claimants
[a] New Account Forms/Customer Agreements
[b] Account Statements
[c] Confirmations
[d] Order Tickets
[e] Time, Sales Volume, and Concentration Reports
[f] Commission/Wage Runs
[g] Exception Reports/Activity Runs
[h] Contra-Side Transaction Reports
[i] Discretionary Forms/Powers of Attorney
[j] Option Agreements/Risk Disclosure Statements
[k] Prospectuses
[l] Documents Regarding the Associated Person
[m] Disciplinary Records
[n] Compliance/Administrative Manuals
[o] Correspondence and Telephone Records
[p] Account Analyses
[q] Electronic Holding/Posting Pages
[r] Supervisory Reports
[s] Calendar/Appointment Records
[t] Margin Records
[u] Witnesses
[2] Documents Helpful to Respondents
[a] Other Brokerage Accounts
[b] Tax Returns
[c] Financial Statements
[d] Diaries, Notes, and Correspondence
[e] Telephone Records
[f] Other Litigations/Arbitrations
[g] Other Investments/Documents
[h] Financial/Business Periodicals
[i] Resume
[3] Documents with Respect to Experts
[4] Other Sources of Information: The Internet

§ 7.04 Pre-Hearing Conferences
[1] FINRA Initial Pre-Hearing Conference
[2] AAA and JAMS Preliminary Hearings

§ 7.05 FINRA Pre-Hearing Motions
[1] Motion to Dismiss
[2] Motion for More Definite Statement
[3] Motion to Join, Consolidate or Sever
[4] Motion for Change of Venue
[5] Motion to Compel Discovery

§ 7.06 Pre-Hearing Motions in AAA and JAMS Arbitrations