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Securities Arbitration 2007: Winning Arbitrators-Hearts and Minds
David E. Robbins
Corporate & Securities, Litigation
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Table of Contents
Table of Contents
Chapter 1. Introduction
Chapter 2. The Application of Equity in Securities Arbitration: The Process is Fair, But Is It Equitable? Should Equitable Rules Apply?
Chapter 3. Update on NASD Dispute Resolution Activities
Chapter 4. Essential Principles for Honorable Arbitrators
Chapter 5. Getting It Right: The Seven Habits of Effective Arbitrators
Chapter 6. Here’s How You Resonate With Us: Suggestions from an Arbitrator to Practitioners
Chapter 7. Hearing Strategy Suggestions for Attorneys in Customer Cases
Chapter 8. Thoughts on Improving the Arbitration Process
Chapter 9. Winning Over the Arbitrators: A Dozen Helpful Hints for a Successful Award
Chapter 10. Reaching the Non-Attorney Panelist
Chapter 11. Want to Make Your Point With Me as Arbitrator? Here’s How
Chapter 12. Resonance with Arbitrators and Mediators: Touching Their Heart Strings with Professionalism
Chapter 13. Problematic Hearing Issues in Securities Arbitration: Some Possible Approaches, Strategies and Solutions
Chapter 14. Evidence in Securities Arbitration
Chapter 15. Stacking the Deck in Arbitrator List Selection: A Study in Regulatory Failure and A Practical Look at the Consequences
Chapter 16. Breaking the Nest Egg Using Traditional Theories to Handle New Cases
Chapter 17. The Tort of Giving Negligent Information Important Investor Protection Under New York Law
Chapter 18. Arguments and Authorities Supporting the Viability of Holder Claims
Chapter 19. Is There a Problem? Private Annuity Trusts Unwrapped
Chapter 20. Three Tips for Arbitrators (and Another Three for Counsel) to Disabuse Parties of Discovery Abuses
Chapter 21. Dispositive Motions in Securities Arbitration Proceedings
Chapter 22. Motions to Dismiss: Procedural & Substantive Approaches for Expediting Arbitrations
Chapter 23. The Case for Dismissing the Case: Why Dispositive Prehearing Motions Should Remain an Integral Part of the Arbitral Process
Chapter 24. Hypothetically Speaking: An Introduction to Well-Managed Account Analysis
Chapter 25. The Unauthorized Practice of Law: Don’t Leave Home at All?
Chapter 26. Hedge Funds and Funds of Funds: An Update on Regulations Governing Hedge Funds, and the Duties of Registered Representatives and Investment Advisers in Recommending Hedge Funds and Funds of Funds
Chapter 27. The Challenges of Hedge Fund Regulation After the Pequot Investigation and Goldstein v. SEC
Chapter 28. Hedge Fund Fraud—The Future of Securities Arbitration?
Chapter 29. Are Equity-Linked Structured Products Suitable for Retail Investors?
Chapter 30. Caveat Consiliator—Let the Adviser Beware: Imposing Fiduciary Duties on Fee-Based Financial Professionals
Chapter 31. Pay Me. But Don’t Blame Me: The Merrill Rule
Chapter 32. Suitability and The Investment Policy Statement
Chapter 33. Securities Industry Acronym Dictionary
Chapter 34. What’s with 72T?
Chapter 35. Analyzing Covered Call Writing Claims
Chapter 36. Clearing Firm Liability Update 2006–2007
Chapter 37. Form U-5 Defamation Claims: The End of the Line? Not So Fast
Chapter 38. Hearts and Minds Will Follow: An Essay on Mediation
Chapter 39. Mediation Advocacy—How to Win the Heart and Mind of Your Mediator (Preferring a Slow Yes to a Quick No)
Chapter 40. Recent Developments in the Law of Vacatur and the Standard of Manifest Disregard of the Law
Chapter 41. What Happens in Arbitration, Stays in Arbitration
All Contents Copyright © 1996-2020 Practising Law Institute.
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