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Securities Arbitration 2002: Taking Control of the Process
Chair(s):
David E. Robbins
Practice Area:
Corporate & Securities, Litigation
Published:
Aug 2002
ISBN:
1402401876
PLI Item #:
282
CHB Spine #:
B1326, B1327
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. INTRODUCTION
Chapter 2. THE ROLE OF ARBITRATION WHEN REGULATION LAGS 1950: "INVESTIGATE BEFORE YOU INVEST" 1990: "SELL THEM TO THE DUMB ONES"
Chapter 3. RAFTR HOW TO BETTER SERVE YOUR CLIENT: READ AND FOLLOW THE RULES!
Chapter 4. SELECTED DEVELOPMENTS AT NASD DISPUTE RESOLUTION, INC.
Chapter 5. STANDARDS FOR PLEADINGS: DRAFTING CLAIMS, ANSWERS, AND DISPOSITIVE MOTIONS IN ARBITRATION
Chapter 6. CASE EVALUATION
Chapter 7. HOW TO WRITE A STATEMENT OF CLAIM
Chapter 8. DRAFTING A SECURITIES ARBITRATION CLAIM: THE PEN IS MIGHTIER THAN THE MARKET
Chapter 9. CIVILITY - A LOST ART FORM?
Chapter 10. EXPERT WITNESSES: THE USER'S GUIDE
Chapter 11. SELECTING AND WORKING WITH AN EXPERT
Chapter 12. EXPERT TESTIMONY?
Chapter 13. ARBITRATION: CAN IT BE WAIVED?
Chapter 14. ARBITRATING WITH THE NON-SIGNATORY
Chapter 15. THERE MAY BE SOME WAY OUT OF HERE: RECENT DEVELOPMENTS IN DEFENSES TO THE ENFORCEMENT OF SECURITIES INDUSTRY ARBITRATION AGREEMENTS
Chapter 16. NON-CUSTOMER "CUSTOMERS" AND COMPULSORY NASD ARBITRATION
Chapter 17. THE ARBITRATION OF TRADING AWAY CLAIMS AGAINST NON-TRADITIONAL BROKER-DEALERS
Chapter 18. STANDARDS FOR RESOLVING DISCOVERY DISPUTES IN ARBITRATION
Chapter 19. INSTANT MESSAGING - ITS REGULATION AS A "BOOK AND RECORD" UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE COMMODITY EXCHANGE ACT
Chapter 20. NEW AUTHORITIES IN CUSTOMER AND EMPLOYMENT DISPUTES
Chapter 21. ARBITRATOR SELECTION UNDER LIST SELECTION METHOD
Chapter 22. STANDARDS FOR ARBITRATOR RECUSAL
Chapter 23. THE SUITABILITY OF EXERCISE AND HOLD
Chapter 24. WHEN IS A STOCKBROKER AN ERISA FIDUCIARY?
Chapter 25. ANALYZING THE EFFECTS OF TRANSACTION COST, LEVERAGE AND SECTOR CONCENTRATION ON PORTFOLIO PERFORMANCE, PORTFOLIO RISK, AND CLIENT SUITABILITY
Chapter 26. MUTUAL FUND SHARE CLASSES: USES AND ABUSES
Chapter 27. APPLICATION OF STANDARDS IN RESTRICTIVE COVENANT AND UNFAIR COMPETITION CASES IN COURT AND SECURITIES ARBITRATION
Chapter 28. THE WALL STREET ANALYST: RISE AND FALL OF A ROCK STAR
Chapter 29. CHINESE WALLS - PROCEDURES AND REMEDIES FOR DEALING WITH CONFLICTS OF INTEREST AND OTHER ABUSES BY BROKER-DEALERS IN CONNECTION WITH CONDUCT BY THEIR SECURITIES ANALYSTS
Chapter 30. DUE PROCESS IN SECURITIES ARBITRATION
Chapter 31. THE FIRST FOUR YEARS: THE SECURITIES ARBITRATION CLINIC AT BROOKLYN LAW SCHOOL
Chapter 32. OVERVIEW OF CLEARING BROKER LIABILITY
Chapter 33. CLEARING FIRM LIABILITY: 2001 - 2002
Chapter 34. SELECTED ISSUES IN BROKER/CUSTOMER LITIGATION
Chapter 35. THE LAW OF SECURITIES ARBITRATION
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