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Page 14 of 19 |
Who will serve as the arbitrators? |
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The arbitrators will be impartial persons who are knowledgeable in the areas in controversy. The Director of Arbitration will provide the parties with a list of possible arbitrators. All will have some professional qualifications and experience to qualify them for service as arbitrators, and you will be given their names and backgrounds that disclose any financial or personal interest in the outcome of the arbitration as well as any existing or past financial, business, professional, family, or social relationships that are likely to affect impartiality.
You can object to any one person serving as an arbitrator for any reason you like. You can object to any others on the list for direct and definite "cause" or "bias" such as when an arbitrator has a firm opinion or belief as to the subject of an action for which s/he will be an arbitrator, or is related by blood or marriage to any party, its attorneys, or witnesses, or has a financial interest in a party or in the subject matter in controversy.
Generally two members of each panel will be individuals referred to as "public arbitrators" who are neither associated with nor employed by a broker/dealer or securities industry organization, and the third will be from the securities industry. |
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