Author: J Kirkla Grant
Publisher: Praeger
ISBN: 0899306829
Category : Business & Economics
Languages : en
Pages : 0
Book Description
Contrasting arbitration of securities disputes with litigation in the courts, this book reviews the interaction of federal securities laws and arbitration in light of caselaw. This review culminates in the recent U.S. Supreme Court cases supporting the validity of predisputed arbitration agreements even when there are claims of fraud and violations of federal securities law. The common law view of arbitration and the Federal Arbitration Act of 1925 are discussed, as are the arbitration process and forums within the securities industry. Procedures (e.g. evaluating the merits of a claim, presenting a securities case to arbitration panels throughout the nation, and appealing an arbitration award) are also examined. It is the only book to date to discuss the new AAA Securities Arbitration Rules. Ideal for lawyers and securities industry professionals, the book discusses the theories for brokerage firm liability such as securities fraud, churning, the Know Your Customer rule, suitability, problems with trades (e.g. failure of execution or orders), and improper record keeping. It also discusses the use of arbitration to resolve disputes between those working in the industry and reviews the requirements for statements of claims in an arbitration process. Methods of evaluation, statutes, and forms are provided, which will be helpful to both the individual and the lawyer contemplating prosecuting a securities claim in arbitration versus litigation.
Securities Arbitration for Brokers, Attorneys, and Investors
Author: J Kirkla Grant
Publisher: Praeger
ISBN: 0899306829
Category : Business & Economics
Languages : en
Pages : 0
Book Description
Contrasting arbitration of securities disputes with litigation in the courts, this book reviews the interaction of federal securities laws and arbitration in light of caselaw. This review culminates in the recent U.S. Supreme Court cases supporting the validity of predisputed arbitration agreements even when there are claims of fraud and violations of federal securities law. The common law view of arbitration and the Federal Arbitration Act of 1925 are discussed, as are the arbitration process and forums within the securities industry. Procedures (e.g. evaluating the merits of a claim, presenting a securities case to arbitration panels throughout the nation, and appealing an arbitration award) are also examined. It is the only book to date to discuss the new AAA Securities Arbitration Rules. Ideal for lawyers and securities industry professionals, the book discusses the theories for brokerage firm liability such as securities fraud, churning, the Know Your Customer rule, suitability, problems with trades (e.g. failure of execution or orders), and improper record keeping. It also discusses the use of arbitration to resolve disputes between those working in the industry and reviews the requirements for statements of claims in an arbitration process. Methods of evaluation, statutes, and forms are provided, which will be helpful to both the individual and the lawyer contemplating prosecuting a securities claim in arbitration versus litigation.
Publisher: Praeger
ISBN: 0899306829
Category : Business & Economics
Languages : en
Pages : 0
Book Description
Contrasting arbitration of securities disputes with litigation in the courts, this book reviews the interaction of federal securities laws and arbitration in light of caselaw. This review culminates in the recent U.S. Supreme Court cases supporting the validity of predisputed arbitration agreements even when there are claims of fraud and violations of federal securities law. The common law view of arbitration and the Federal Arbitration Act of 1925 are discussed, as are the arbitration process and forums within the securities industry. Procedures (e.g. evaluating the merits of a claim, presenting a securities case to arbitration panels throughout the nation, and appealing an arbitration award) are also examined. It is the only book to date to discuss the new AAA Securities Arbitration Rules. Ideal for lawyers and securities industry professionals, the book discusses the theories for brokerage firm liability such as securities fraud, churning, the Know Your Customer rule, suitability, problems with trades (e.g. failure of execution or orders), and improper record keeping. It also discusses the use of arbitration to resolve disputes between those working in the industry and reviews the requirements for statements of claims in an arbitration process. Methods of evaluation, statutes, and forms are provided, which will be helpful to both the individual and the lawyer contemplating prosecuting a securities claim in arbitration versus litigation.
Securities Arbitration Procedure Manual
Author: David E. Robbins
Publisher: MICHIE
ISBN:
Category : Business & Economics
Languages : en
Pages : 1078
Book Description
This manual is acknowledged to be the essential reference in the field of securities arbitration. It systematically describes the issues that arise in a dispute, how to evaluate the merits of a case, & how to prepare & present cases to arbitration panels anywhere in the country. In the Third Edition, David Robbins updates his work to reflect the important new issues governing discovery on the Internet, NASD's new eligibility rule, & its rule on punitive damages.
Publisher: MICHIE
ISBN:
Category : Business & Economics
Languages : en
Pages : 1078
Book Description
This manual is acknowledged to be the essential reference in the field of securities arbitration. It systematically describes the issues that arise in a dispute, how to evaluate the merits of a case, & how to prepare & present cases to arbitration panels anywhere in the country. In the Third Edition, David Robbins updates his work to reflect the important new issues governing discovery on the Internet, NASD's new eligibility rule, & its rule on punitive damages.
A Primer on Securities Arbitration Law for Investors, Brokers and Attorneys
Author: Franklin D. Ormsten
Publisher:
ISBN: 9780967398204
Category : Arbitration and award
Languages : en
Pages : 115
Book Description
Publisher:
ISBN: 9780967398204
Category : Arbitration and award
Languages : en
Pages : 115
Book Description
The Practitioner's Guide to Securities Arbitration
Author: Jason R. Doss
Publisher:
ISBN: 9781614387602
Category : Arbitration and award
Languages : en
Pages :
Book Description
Publisher:
ISBN: 9781614387602
Category : Arbitration and award
Languages : en
Pages :
Book Description
Securities Arbitration
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Arbitration and award
Languages : en
Pages : 120
Book Description
Publisher:
ISBN:
Category : Arbitration and award
Languages : en
Pages : 120
Book Description
Securities Arbitration
Author:
Publisher:
ISBN:
Category : Arbitration and award
Languages : en
Pages : 298
Book Description
Publisher:
ISBN:
Category : Arbitration and award
Languages : en
Pages : 298
Book Description
The Failure of Securities Arbitrations
Author: Errold F Moody Jr
Publisher: Booktango
ISBN: 1468921525
Category : Business & Economics
Languages : en
Pages : 175
Book Description
A real life examination of claims brought before FINRA regarding suitability and the knowledge of all entities in trying such cases.
Publisher: Booktango
ISBN: 1468921525
Category : Business & Economics
Languages : en
Pages : 175
Book Description
A real life examination of claims brought before FINRA regarding suitability and the knowledge of all entities in trying such cases.
Securities Arbitration: Practice and Forms
Author: W. Reece Bader
Publisher: Juris Publishing, Inc.
ISBN: 1929446314
Category : Law
Languages : en
Pages : 1162
Book Description
Securities Arbitration: Practice and Forms is the leading start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of brokerage firms and other financial institutions (including inside counsel, outside counsel, and compliance directors and their staffs), members of the staffs of sponsoring organizations, and arbitrators themselves. This publication is an efficient tool that can be readily used by all participants at every stage in the arbitration process to deal with the various issues, questions and problems that arise in such proceedings. It has been written as a comprehensive text with special emphasis on practice and procedure. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from the author, found throughout the text and on the accompanying CD-ROM. Securities Arbitration: Practice and Forms is a required reference and guide for all those involved, or potentially involved, in the Securities Arbitration process All of the accompanying sample pleadings and forms are included on a CD-ROM in PDF
Publisher: Juris Publishing, Inc.
ISBN: 1929446314
Category : Law
Languages : en
Pages : 1162
Book Description
Securities Arbitration: Practice and Forms is the leading start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of brokerage firms and other financial institutions (including inside counsel, outside counsel, and compliance directors and their staffs), members of the staffs of sponsoring organizations, and arbitrators themselves. This publication is an efficient tool that can be readily used by all participants at every stage in the arbitration process to deal with the various issues, questions and problems that arise in such proceedings. It has been written as a comprehensive text with special emphasis on practice and procedure. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from the author, found throughout the text and on the accompanying CD-ROM. Securities Arbitration: Practice and Forms is a required reference and guide for all those involved, or potentially involved, in the Securities Arbitration process All of the accompanying sample pleadings and forms are included on a CD-ROM in PDF
Securities Arbitration
Author:
Publisher: DIANE Publishing
ISBN: 9781568069685
Category : Business & Economics
Languages : en
Pages : 118
Book Description
Publisher: DIANE Publishing
ISBN: 9781568069685
Category : Business & Economics
Languages : en
Pages : 118
Book Description
Investor's Guide to Loss Recovery
Author: Louis L. Straney
Publisher: John Wiley & Sons
ISBN: 1118142934
Category : Business & Economics
Languages : en
Pages : 249
Book Description
Essential guidance for recovery of lost assets through arbitration, mediation and other forms of conflict resolution Since the discovery of the Madoff fraud and investment scandals associated with the global credit crisis, investors have become aware that they can fight back and demand both justice and monetary recovery. To date, the only reliable resources on securities arbitration have been either sensationalized accounts of how to sue Wall Street or legal references, which provide no practical application. Filled with expert guidance showing investors how arbitration works, Investor's Guide to Loss Recovery fills that gap by providing a focus on all of the investor's options when a conflict arises. Includes charts showing the major areas of litigation as well as empirical evidence of enhanced awareness of investment misconduct Proprietary research by the author, demonstrating arbitration results Analysis on how newly enacted regulatory reforms will impact the process and options for financial fraud victims Personal interviews with securities attorneys, experts and investors Detailed scripts of initial attorney interviews, mediation and arbitration New financial regulations are impacting the options available to investors looking to recover assets. Investor's Guide to Loss Recovery is must-have reading for every investor, financial advisor, and attorney.
Publisher: John Wiley & Sons
ISBN: 1118142934
Category : Business & Economics
Languages : en
Pages : 249
Book Description
Essential guidance for recovery of lost assets through arbitration, mediation and other forms of conflict resolution Since the discovery of the Madoff fraud and investment scandals associated with the global credit crisis, investors have become aware that they can fight back and demand both justice and monetary recovery. To date, the only reliable resources on securities arbitration have been either sensationalized accounts of how to sue Wall Street or legal references, which provide no practical application. Filled with expert guidance showing investors how arbitration works, Investor's Guide to Loss Recovery fills that gap by providing a focus on all of the investor's options when a conflict arises. Includes charts showing the major areas of litigation as well as empirical evidence of enhanced awareness of investment misconduct Proprietary research by the author, demonstrating arbitration results Analysis on how newly enacted regulatory reforms will impact the process and options for financial fraud victims Personal interviews with securities attorneys, experts and investors Detailed scripts of initial attorney interviews, mediation and arbitration New financial regulations are impacting the options available to investors looking to recover assets. Investor's Guide to Loss Recovery is must-have reading for every investor, financial advisor, and attorney.