The final episode will go through presenting your case and claims to the arbitrator or panel, including how to handle discovery demands and discovery disputes. When to decide if you really should make a motion and what motions are viable or make sense. Whether objections during the hearing are appropriate, various methods of testimony and the use of expert witnesses. How to prepare pre-trial statements, exhibit lists and witnesses for the arbitration. We will also cover the post-arbitration submissions and awards. Part of the webinar series: ALTERNATE DISPUTE RESOLUTION - 101 2022 See more at https://www.financialpoise.com/webinars/

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attorneys, accountants, business owners and
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4. Disclaimer
The material in this webinar is for informational purposes only. It should not be considered
legal, financial or other professional advice. You should consult with an attorney or other
appropriate professional to determine what may be best for your individual needs. While
Financial Poise™ takes reasonable steps to ensure that information it publishes is accurate,
Financial Poise™ makes no guaranty in this regard.
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5. Meet the Faculty
MODERATOR:
Ingeuneal C. Gray– American Arbitration Association
PANELISTS:
Leslie A. Berkoff – Moritt Hock & Hamroff LLP
Byeongsook Seo– Snell & Wilmer LLP
Elizabeth J. Shampnoi– Shampnoi Dispute Resolution & Management Services, Inc.
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6. About This Webinar –
Handling an Arbitration
The final episode will go through presenting your case and claims to the arbitrator or panel,
including how to handle discovery demands and discovery disputes. When to decide if you
really should make a motion and what motions are viable or make sense. Whether objections
during the hearing are appropriate, various methods of testimony and the use of expert
witnesses. How to prepare pre-trial statements, exhibit lists and witnesses for the arbitration.
We will also cover the post-arbitration submissions and awards.
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7. About This Series – Alternative Dispute Resolution
2022
Disputes arise in various business contexts, including contracts, torts, M&A and/or within a business divorce or
separation. Understanding the ability to secure a more expeditious and potential private result is driving many
companies to consider utilizing alternative means to dispute resolution. This Series will review in detail both traditional
forms of alternative Dispute Resolution- Mediation and Arbitration. The Series will take participants through the
preliminary steps in preparing for a mediation, including mediator selection, preparing your case, pre-mediation
submissions and risk analysis. This will be followed by an in-depth discussion on the mediation process, presenting your
case, understanding the process and how to work with the mediator, how to work through impasse and how to achieve a
creative resolution. The series will next review the arbitration process beginning with how to prepare and file claims,
picking an arbitrator (or arbitrators), preparing for the preliminary conference and the process. The final episode will go
through presenting your case and claims to the arbitrator or panel, including the early stage discovery options and
motions through to pre-trial statements, the arbitration hearing and post arbitration submissions and awards.
Each Financial Poise Webinar is delivered in Plain English, understandable to investors, business owners, and
executives without much background in these areas, yet is of primary value to attorneys, accountants, and other
seasoned professionals. Each episode brings you into engaging, sometimes humorous, conversations designed to
entertain as it teaches. Each episode in the series is designed to be viewed independently of the other episodes so that
participants will enhance their knowledge of this area whether they attend one, some, or all episodes.
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8. Episodes in this Series
#1: Preparing for Mediation: From Selection to Presentation of Claims
Premiere date: March 10, 2022
#2: Conducting the Mediation
Premiere date: April 7, 2022
#3: Preparing for an Arbitration
Premiere date: May 5, 2022
#4: Handling the Arbitration
Premiere date: June 2, 2022
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9. Episode #4
Handling an Arbitration
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10. Timeline
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11. Case Specific Rules and Procedures
• Commercial
• Construction
• Labor and Employment
• Consumer
• Regular
• Large Complex
• Expedited / Fast Track
• Documents Only
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12. Information Exchange and Preparation
• Leading up to the hearing, the parties work within the time frames set forth at the
Preliminary Hearing to exchange information and prepare their presentations. The
arbitrator addresses any issues or objections related to information sharing.
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13. Hearings
• Parties present evidence and testimony to the arbitrator in a format that is similar to, but
less formal than, a court proceeding.
• Rules covering witness selection, retention of experts exist.
• Strict adherence to the rules of evidence however will be up to the arbitrator – often a
tendency to let information in and allow the arbitrator or tribunal to weight or value of same.
• Unlike traditional litigation an arbitrator may ask questions.
• The hearings conclude when the arbitrator determines that each side has had a full
opportunity to present its evidence.
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14. Postponement of Hearing
• The arbitrator may postpone any hearing upon agreement of the parties, upon request of a
party for good cause shown, or upon the arbitrator’s own initiative.
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15. Ex Parte Hearing
• Arbitration may proceed in the absence of a party who, after due notice, does not show up
for hearing.
• Award may not be based solely on default of absent party.
• Present party required to submit evidence
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16. Waiver of Oral Hearing
• Parties may agree to waive the oral hearing and proceed via documents only method of
providing evidence to the arbitrator.
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17. Objection to Arbitrator
• Timing of Objections
• Disclosures
• Conduct
• Objections Raised at Hearing
• Who determines
• Administrative Handling of Objections
• Ad Hoc
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18. Settlement Negotiations at Hearing
• Parties May Settle their dispute partially or in full anytime before arbitrator renders final
award.
• Arbitrator should not participate or act as mediator during settlement discussions
• Potential challenges to impartiality if the settlement fails and parties proceed with
hearing
• Consent award – terms of the settlement
• Signed by the parties, executed by the arbitrator
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19. Post-Hearing Submissions
• The arbitrator may keep the record open at the end of the hearing for a number of reasons,
including:
• to accept additional documentary evidence that was unavailable at the hearing
• to allow the parties a final opportunity to argue their positions in writing; or
• to receive briefs on a specific issue that may have come up during the hearing.
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20. Post-Hearing Submissions (cont’d)
• If post-hearing submissions are necessary, parties typically file them within 30 days
although this timeframe can be adjusted to meet the parties’ needs.
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21. Declaring the Hearings Closed
• Once the hearings are declared closed, the arbitrator has a specific number of days to
render the award, pursuant to the applicable rules.
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22. Reopening of Hearings
• Reasons for Reopening of Hearings
• Arbitrator Request for Additional Information
• Party Request – Additional Evidence Obtained
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23. The Award
• The award should address all claims and counterclaims presented during the arbitration,
ability to award costs and fees.
• Arbitrators must be careful to render their awards within the specified time period.
• The award may direct one or more parties to pay another party a monetary amount or it
may direct parties to take specific actions based on how the arbitrator decided the matters
in the case.
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24. The Award (cont’d)
• Different types of award
• Simple
• Brief Reasoned
• Fully Reasoned – if there is need to confirm award, it will be filed with court so may raise
privacy concerns.
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25. The Award (cont’d)
• Decision to use one versus other
• Rules
• Agreement
• Party Agreement
• Appeal concerns
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26. Challenging/Appealing the Award
• The grounds on which an award can be challenged or appealed vary depending on factors
such as the terms of the arbitration agreement, the arbitral ‘seat’ and the tribunal's rules.
• A tribunal’s findings of fact can rarely be challenged.
• If the tribunal has not conducted itself properly, has answered questions it should not have
answered or, in some cases, made an error of law, a party can go to court to ask for the
award to be set aside or sent back to the tribunal to make its decision properly.
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27. Enforcement
One of the main attractions of arbitration is that awards can typically be enforced in most
countries worldwide without a rehearing of the issues and after following a relatively short
process. The realities of enforcement vary depending on such factors as:
• The jurisdiction in which enforcement is likely to be sought.
• The status of the party against whom enforcement is sought e.g. certain assets may
be immune from execution if the award is against a State.
• Whether it is possible to take steps to ensure the other side does not get rid of its
assets to frustrate enforcement.
• If cash in the bank is important, the prospects of enforcement should be considered
at the outset of any dispute.
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28. Key Takeaways
Keys to Keeping the Arbitration Efficient and Effective:
• Proper drafting of the ADR Clause
• Know when to mediate
• Proper Preparation for arbitral process
• Select appropriate neutral for the case
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29. Key Takeaways (cont’d)
Keys to Keeping the Arbitration Efficient and Effective:
• Single arbitrator when possible
• Streamline three arbitrator panel
• Tame discovery
• Carefully consider motions
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30. Key Takeaways (cont’d)
• Always review rules, your ADR clause and recent trends in the law.
• The parties should work together and with the arbitrator or panel to keep the process as fair,
efficient and cost effective as possible.
• Remember this arbitration not litigation.
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31. About the Faculty
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32. About The Faculty
Leslie A. Berkoff– lberkoff@moritthock.com
LESLIE A. BERKOFF is a Partner with the firm where she serves as Chair of the firm's Dispute Resolution Practice Group and is the former Co-Chair of the firm's
Creditors' Rights and Restructuring Department. Ms. Berkoff splits her practice between these two Practice Groups. In the restructuring space, she
concentrates her practice in chapter 11 cases, bankruptcy litigation and corporate workouts, where she represents a variety of corporate debtors, trustees,
creditors and creditor committees both nationally and locally. Ms. Berkoff is an experienced commercial litigator. Ms. Berkoff's Dispute Resolution practice
has her frequently serving as an ad hoc and panel mediator; she is on the Mediation Panel for the Eastern and Southern Districts of the United States
Bankruptcy Courts in New York, the United States Bankruptcy Courts in Delaware and the Eastern District of Pennsylvania, as well as the Commercial
Mediation Panel for Nassau County. Ms. Berkoff is a trained arbitrator and serves on the American Arbitration Association’s National Roster of Commercial
Arbitrators and Mediators, the AAA-ICDR International Panel and is a member of the AAA-ICDR Council. Ms. Berkoff also serves as a member of the Second
Circuit United States Court of Appeals Pro Bono Appellate Mediation Panel and as a Special Master in the Supreme Court of the State of New York, Appellate
Division, Second Judicial Department Mediation Program.
Ms. Berkoff is the past Co-Chair of the American Bankruptcy Institute's (ABI) Mediation Committee and is a contributing editor of the quarterly column
Mediation Matters. She has also served as Co-Editor and contributing author of the ABI's Bankruptcy Mediation Manual. Ms. Berkoff also serves as the
American Bar Association ("ABA") Business Law Section's representative on the Dispute Resolution Advisory Council, and is the Chair of the Dispute Resolution
Committee, the Vice Chair of Programming for the Business Bankruptcy Committee of the Business Law Section and the Vice Chair of the Bankruptcy Study &
Policy Committee. She is a contributing editor for the ABA publication Business Law Today on Dispute Resolution. Ms. Berkoff speaks and writes frequently
on topics concerning both Dispute Resolution and Bankruptcy.
Prior to joining Moritt Hock & Hamroff LLP, Ms. Berkoff served as a law clerk to the Honorable Jerome Feller, United States Bankruptcy Judge in the Eastern
District of New York, from 1991 to 1993 and to the Honorable Allyne R. Ross, Federal Magistrate Judge in the Eastern District of New York, from 1990 to 1991.
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33. About The Faculty
Ingeuneal C. Gray– GrayI@adr.org
Ingeuneal C. Gray is the Vice President of the Houston regional office for the American Arbitration Association (AAA). In that
role, she interacts with the AAA’s clients who file commercial cases and the panelists who serve as arbitrators and mediators
in the city of Houston and the states of Louisiana and Mississippi.
Ms. Gray is an Attorney-Arbitrator-Mediator with over 20 years of legal experience. Before joining the AAA she ran ICG Law
Firm, PLLC from 2007 to 2015, which focused on business development, transactions and compliance as well as conflict
prevention and alternative dispute resolution in the areas of government contracts, commercial, construction, and
employment-law related matters.
Ms. Gray received her JD degree from Southern Methodist University School of Law and her BA degree from the University
of Houston.
Ms. Gray proudly serves as Co-Chair of the AAA’s Diversity and Inclusion Committee. She is a member of the distinguished
College of the State Bar of Texas as well as an active member on multiple committees with the American Bar Association,
the Texas Bar Association and the Houston Bar Association.
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34. About The Faculty
Byeongsook Seo – bseo@swlaw.com
Byeongsook Seo is business litigator. He represents clients in complex intellectual property and commercial matters.
Byeongsook's clients have sought his guidance in disputes related to failed business ventures and disputes among
business partners, shareholders and directors. He has defended many officers and directors from lawsuits arising out of
their business dealings.
He also represents investors in disputes arising out of their private investments. Many of his cases have involved
hearings regarding extraordinary remedies such as injunctions and receiverships. Byeongsook is experienced in all
aspects of litigation, including trials and appeals, injunction hearings, receivership hearings and arbitrations. He has been
recognized by the Best Lawyers in America, Commercial Litigation, Colorado Super Lawyers, and 5280 Denver’s Top
Lawyers.
Byeongsook is active in the community, serving as board member and past president of the APABA Foundation and as a
member of the Judicial Nominating Commission for the 2nd Judicial District. He earned his J.D. from the University of
Denver Sturm College of Law and his B.S. in Engineering Mechanics from the United States Air Force Academy.
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35. About The Faculty
Elizabeth J. Shampnoi – elizabeth@shampnoiadr.com
Elizabeth J. Shampnoi is an attorney, consulting expert, independent mediator, arbitrator and trainer based in New York City with 20 years of experience in
the field of alternative dispute resolution.
Ms. Shampnoi’s focus on alternative dispute resolution began early in her career when she served as the District Vice President of the New York region of
the American Arbitration Association. In that role, Ms. Shampnoi was responsible for overseeing case management; mediator and arbitrator recruitment,
training and development; and working with in-counsel counsel and law firms to develop and implement dispute avoidance and dispute resolution programs,
including internal employment dispute resolution plans.
Following her tenure at the American Arbitration Association, Ms. Shampnoi joined a litigation boutique where she represented a diverse range of
organizations and individuals before state and federal courts, administrative agencies, and arbitration forums. Ms. Shampnoi also served as settlement
counsel. Ms. Shampnoi has also served as in-house counsel providing legal advice surrounding employment disputes and commercial matters with an
emphasis on early, internal dispute resolution and cost-effective and strategic dispute management.
In her consulting practice, Ms. Shampnoi serves as an arbitration and mediation consulting expert working with advocates to help guide them through the
dispute resolution process using strategies for successes.
In her dispute resolution practice, she has successfully mediated over 500 commercial and employment disputes involving all areas of discrimination, sexual
harassment, wage and hour, contract, real estate and partnership matters. She has also served as a sole arbitrator and as part of a tribunal in similar
matters. Mr. Shampnoi’s success as a neutral is rooted in the breadth of her experience, ability to build rapport and temperament. Her balanced perspective,
broad experience and insight gained from serving as a business executive, advocate, in-house counsel in a wide variety of settings has been the catalyst for
her success.
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36. Questions or Comments?
If you have any questions about this webinar that you did not get to ask during the live
premiere, or if you are watching this webinar On Demand, please do not hesitate to email us
at info@financialpoise.com with any questions or comments you may have. Please include
the name of the webinar in your email and we will do our best to provide a timely response.
IMPORTANT NOTE: The material in this presentation is for general educational purposes
only. It has been prepared primarily for attorneys and accountants for use in the pursuit of
their continuing legal education and continuing professional education.
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37. The not-for-profit American Arbitration Association® (AAA®)-International Centre for Dispute Resolution®
(ICDR®) is the largest private global provider of alternative dispute resolution (ADR) services in the world.
With that comes enormous responsibility, which the AAA-ICDR® embraces. Its work lessens the load of a
tremendously overburdened court system. Its efforts ease the financial hardships of those shattered by
natural disasters. The foundation it established supports access to justice for all.
The AAA-ICDR has a core dedication to service and particularly to education. It would be gratifying to focus
on teaching people to stay out of disputes; however, since that is not a realistic objective in today’s world,
the AAA-ICDR provides fair, rational, faster, and less adversarial means to handle the disputes that
inevitably arise.
Contrary to a common misperception, arbitration is confidential—not secretive. Parties are free to talk
about their cases; it is the AAA-ICDR and the arbitrators who are bound to keeping parties’ confidences,
similar to a judge and jury.
To learn more about the AAA, please visit: https://www.adr.org/ 37

39. About Financial Poise
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