January 4, 2017

Arbitrator Disclosures and “The Importance of Being Earnest”: Former Name Disclosures

By Sandra Dawn Grannum

Florham Park partner Sandy Grannum authored “Arbitrator Disclosures and ‘The Importance of Being Earnest’: Former Name Disclosures” for FINRA’s The Neutral Corner.

Sandy examines the process by which parties rank arbitrators for FINRA matters, including the kinds of information provided by FINRA and what information parties must research independently.

One particular sticking point that may arise, however, is if an arbitrator has been known by other names since, out of respect for privacy concerns, FINRA does not require that information to be disclosed. The article details potential issues related to the name disclosure problem, and how parties can best conduct sufficiently thorough research.

Read “Arbitrator Disclosures and “The Importance of Being Earnest”: Former Name Disclosures.”

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