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Self-Paced Online

Mediating and Arbitrating FINRA Claims

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Date Published

March 25, 2021


San Diego County Bar Association


Alternative Dispute Resolution


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Presented by: 
The Alternative Dispute Resolution Section of the San Diego County Bar Association

This program is worth 1.5 MCLE Credit

Philip M. Aidikoff, Esq., Partner at Aidikoff, Uhl & Bakhtiari,
Robert Logan, Logan Mediation

Moderated by:
James J. Astuno Jr., Esq., Vice Chair, Alternative Dispute Resolution Section, SDCBA

Interested in learning about Alternative Dispute Resolution in the Securities Law Industry? Come learn from an expert panel of experienced FINRA practitioners, Philip M. Aidikoff and Robert Logan as they guide discussions on mediating and arbitrating FINRA cases. A fascinating area of ADR, this program will focus on the ADR process as it pertains to FINRA claims including:


  • Background of a typical FINRA Arbitration claim
  • Securities Arbitration and FINRA process
  • ADR alternatives to litigation
  • When to mediate FINRA claims
  • Confidentiality rules in FINRA mediations
  • Discovery in FINRA dispute resolution
  • Virtual FINRA mediations
  • The Mediation process of resolving FINRA claims
  • Mediation tools
  • The Settlement Agreement

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Philip M. Aidikoff

Phil Aidikoff is a partner at Aidikoff, Uhl & Bakhtiari, an AV rated firm which has exclusively represented customers,... Read More

Robert Logan

Bob enjoys helping parties resolve their disputes, using the knowledge and experience gained from extensive ADR training and... Read More

James J. Astuno Jr., Esq.

Prior to practicing law, Mr. Astuno served as an officer in the United States Marine Corps including overseas tours to Iraq... Read More

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Program Titles and Supporting Materials

This program contains the following components:

Mediating and Arbitrating FINRA Claims - Video
Mediating and Arbitrating FINRA Claims Handout - Paper
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If applicable, you may obtain credit in multiple jurisdictions simultaneously for this program (see pending/approved list below). If electing credit for this program, registrants in jurisdictions not listed below will receive a Certificate of Completion that may or may not meet credit requirements in other jurisdictions. Where applicable, credit will be only awarded to a paid registrant completing all the requirements of the program as determined by the selected accreditation authority.

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How to Attend

Join the self-paced program from your office, home, or hotel room using a computer and high speed internet connection. You may start and stop the program at your convenience, continue where you left off, and review supporting materials as often as you like. Please note: Internet Explorer is no longer a supported browser. We recommend using Google Chrome, Mozilla Firefox or Safari for best results.

Technical Requirements
You may access this course on a computer or mobile device with high speed internet (iPhones require iOS 10 or higher). Recommended browsers are Google Chrome or Mozilla Firefox.

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