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Securities Arbitration 2003: Simplifying Complexity
David E. Robbins
Corporate & Securities, Litigation
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Table of Contents
Table of Contents
Chapter 1. Introduction
Chapter 2. Developments of Interest in U.S. Arbitration
Chapter 3. NASD Dispute Resolution
Chapter 4. A Primer on the Liability and Damage Provisions of Securities Acts: Rule 10b-(5) and the Uniform Securities Act
Chapter 5. A Summary of the Rules of Evidence: Essential Tools for Survival in Court and Arbitration
Chapter 6. Two Hypothetical Statements of Claim: Too Long, Just Right
Chapter 7. SICA Fitzpatrick/Beckley Workshop - Arbitrator Training
Chapter 8. Statutes of Limitation and Eligibility Issues in Securities Arbitration
Chapter 9. A Gateway - And Not a Dead End: The Six-Year Eligibility Rule and Howsam
Chapter 10. This Stuff Used to be Easier - A View From the in House Trenches Complaints / Arbitrations / Mediations
Chapter 11. The Duty of Frequent Flyers
Chapter 12. Second Report of the Shadow Task Force on Securities Arbitration Reform: The Shadow Returns
Chapter 13. Choosing Experts: Success Or Mediocrity
Chapter 14. The Suitability Obligations of Brokers and Investment Advisors
Chapter 15. "Pay or Play" Offers of Judgment: Are They Applicable to Arbitration Proceedings?
Chapter 16. Should I Sue My Stockbroker? Pitfalls a Practitioner Faces When Naming the Individual Broker in an Arbitration
Chapter 17. Economic Suicide: A Primer for Securities Arbitration Lawyers
Chapter 18. Broker Liability Insurance from the Claimant's Perspective
Chapter 19. How to Conduct Arbitration - An Arbitrator's Perspective
Chapter 20. Nondischargeable in Bankruptcy: Investors' Claims Against Brokers After the Sarbanes-Oxley Act of 2002
Chapter 21. Analyze This: Drafting a Persuasive Statement of Claim in an Analyst Case
Chapter 22. Wrap-Fees, Managed Accounts, Financial Plans - A Trinity of Abuses for the 21st Century
Chapter 23. Variable Annuities: A Primer
Chapter 24. Variable Annuities: Has the Arbitration Floodgate Opened?
Chapter 25. An Internet Primer for Securities Arbitration Practitioners: Where to Search for Information on the World Wide Web
Chapter 26. The Measurement of Excessive Trading in a Securities Account
Chapter 27. Churning Revisted: Trading Costs and Control
Chapter 28. Having Their Cake and Eating it Too: Motion Practice and the Mongrelization of SRO Arbitration
Chapter 29. Self-Administration: An Attractive Arbitration Alternative
Chapter 30. Attorney Disqualification: Legal, Procedural and Tactical Considerations
Chapter 31. Strengthening Your Arbitrators' Resolve - And Your Own
Chapter 32. Kwiatkowski: A Clarion Call - Reaffirming a Customer's Responsibility for His Securities Transaction Decisions
Chapter 33. Representing Both Firm and Broker in Securities Arbitration - The Importance of Informed Consent
Chapter 34. Ethics and Their Perception in Securities Arbitration
Chapter 35. Clearing Firms and the 2002 Uniform Securities Act: What You Didn't Know Could Have Hurt You
Chapter 36. Clearing Firm Liability Update - 2002-2003 Thumbs in the Dam?
Chapter 37. Adding Power to Your Summations
Chapter 38. Closing Argument: Convincing the Arbitrators That Your Client Should Win
Chapter 39. Securities Arbitration Mediator Model SA-1(m)(f) - User's Manual
Chapter 40. "Come Now, Let Us Reason Together": Mediating Investment-Related Disputes
Chapter 41. Mediation - Getting to the Negotiation Table and Leaving Satisfied
Chapter 42. Effective Securities Mediation Advocacy
Chapter 43. Mediation: A Road Map to Success
Chapter 44. Improving the Prospect of Settlement in Mediation
Chapter 45. Between a Rock and a Hard Place: Parallel Proceedings in the Post-Enron Era
All Contents Copyright © 1996-2020 Practising Law Institute.
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