Securities dispute resolution: Pre-hearing

Pre-hearing conferences

Originally prepared by Lucia Benabentos of the Cornell Law School Securities Law Clinic.

After the panel is appointed, an Initial Pre-hearing Conference will be scheduled. During this pre-hearing meeting, the panel shall set discovery proceedings and deal with any discovery disputes, briefing, and motions deadlines, witness lists and subpoenas, stipulation of fact, schedule subsequent hearing sessions, and address other preliminary matters that will simplify or expedite the arbitration. This meeting will usually be held over the telephone unless the parties object.

The parties may agree not to hold the Initial Pre-hearing Conference. However, they must provide the following information, in writing:

  1. A statement that the parties accept the panel;  
  2. Whether any other pre-hearing conferences will be held, and if so, for each pre-hearing conference, a minimum of four mutually agreeable dates and times, and whether the chairperson or the full panel will preside;  
  3. A minimum of four sets of mutually agreeable hearing dates;  
  4. A discovery schedule;  
  5. A list of all anticipated motions, with filing and response due dates; and  
  6. A determination regarding whether briefs will be submitted, and, if so, the due date for the briefs and any reply briefs.  
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