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Securities Arbitration 2014
Sandra D. Grannum
Corporate & Securities, Litigation
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Table of Contents
Table of Contents
Chapter 1. Arbitration Parties Are People Too—Help Them Feel That Way
Chapter 2. Study of Cost Assessments in FINRA Customer Arbitrations
Chapter 3. Expungement Update 2014
Chapter 4. Recent and Potential FINRA Rule Changes: Summarizing Developments as to Arbitrator Issues, Discovery Updates, Privacy Rule and More
Chapter 5. The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised May 12, 2014)
Chapter 6. Should Mid-Case Referrals Be Permitted in FINRA Arbitrations?
Chapter 7. Arbitration Practicum on Product Cases (Revised May 2014)
Chapter 8. SEC Release No. 34–72196 (May 20, 2014)
Chapter 9. Guilty Until Proven Innocent
Chapter 10. Due Diligence, Due Diligence, Due Diligence: The Practitioner Mantra in Member/Associated Persons Cases
Chapter 11. The Uniform Trade Secrets Act & the Scope of Displacement of Common Law Tort Claims Based on Misappropriation: Recent Case Law from Arizona as a Primer
Chapter 12. Arbitration Award Vacatur—Manifest Disregard in 2014
Chapter 13. Unfairness: A Forgotten Basis for Vacatur: Does the Record and Not the Facts End Up Determining if an Event is Actionable?
Chapter 14. FINRA Expungements: Practice and Procedure
Chapter 15. Model Standards of Conduct for Mediators
Chapter 16. The Ethics of Settling a FINRA Dispute: Can You Lie?
Chapter 17. Fourteen Things to Consider in Mediating a Securities Case
Chapter 18. FINRA Mediation: A Close to “No Lose” Situation
Chapter 19. Conflicts Between the Ethical Principles That Are Critical to Preserving Trust in the Mediation Process—A Need for Increased Understanding and Concern
Chapter 20. Arbitration Case Law Update 2014
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