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Securities Arbitration 2005: Telling Your Story
Chair(s):
David E. Robbins
Practice Area:
Corporate & Securities, Litigation
Published:
Aug 2005
i
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ISBN:
140240638X
PLI Item #:
6855
CHB Spine #:
B1502, B1503
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Table of Contents
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Front Matter
Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1. Introduction
Chapter 2. Plain English in Securities Arbitration Pleadings
Chapter 3. Best Practices for Retained Defense Counsel Some “Painless” Guidelines
Chapter 4. NASD Dispute Resolution
Chapter 5. Arbitration at the NYSE
Chapter 6. Rouge Flags of the Rogue Broker: Hallmarks of Misappropriation and Conversion
Chapter 7. The Importance of Documentary Evidence in Securities Arbitration
Chapter 8. Demonstrating Professionalism: A Step Above Ethics
Chapter 9. Fighting Motions to Sever Claimants in Group Cases
Chapter 10. Selling Away Cases and the Supervisory Obligations of the Brokerage Firm Strategy and Discovery Tactics for Making a Case Against the Brokerage Firm
Chapter 11. Selling Away in a Supervised Environment
Chapter 12. Boring Theories, Big Bucks
Chapter 13. Statutes of Limitations Don’t Apply in Arbitration
Chapter 14. Suitability and ‘Financial Informed Consent’ Brokers’ Minimal Obligation to Inform Investors of Material Risks Prior to Generating Risk Tolerance and Investment Objective Forms
Chapter 15. Voir Dire: The Silver Bullet to Neutralize “Hired Gun” Testimony of “Expert” Witnesses in Securities Arbitration
Chapter 16. The “Sophisticated Investor” Dichotomy a Legitimate Defense to Suitability Claims?
Chapter 17. The Roles and Responsibilities of the Branch Office Manager
Chapter 18. Enforcement Actions for the Failure to Supervise
Chapter 19. Group Arbitrations—Techniques for Success
Chapter 20. What Percentage of Your Securities Cases Involves Fixed Income or “Debt”?
Chapter 21. Variable Annuity Cases
Chapter 22. Annuities
Chapter 23. Researching Professional Responsibility Issues
Chapter 24. Confidentiality and Compliance Manuals: The Fight for Unfettered Access
Chapter 25. Brokerage Firm Liability for Recommending Money Managers
Chapter 26. Third Party Money Managers: Brokerage Firms’ Duty to Monitor and Resulting Liability
Chapter 27. Liability of “Financial Advisers” and Their Sponsors
Chapter 28. Fee-Based Accounts: The Broker’s Role Determines the Rule
Chapter 29. The Importance of Stock Selection
Chapter 30. A Hedge Fund Primer
Chapter 31. A Case Study of Two Hedge Funds: A Regulatory Framework and Its Lessons for the Broker-Dealer Litigator
Chapter 32. Optimal Exercise of Employee Stock Options and Securities Arbitrations
Chapter 33. Why Arbitration Recovery Statistics Are Meaningless
Chapter 34. Foreign Broker-Dealers and Rule 15a-6: When to Register, When Not
Chapter 35. Has the Securities Arbitration Train Jumped the “Rules-Track”?
Chapter 36. A “Reasoned” Arbitration Decision?: Be Careful What You Wish For
Chapter 37. Explain Yourself: How to Obtain, Explain and Retain Arbitration Awards
Chapter 38. Ethical Obligations for the Securities Arbitration Lawyer
Chapter 39. Reclaim Control of the Arbitration Process — The Courts Let You
Chapter 40. So You Want to Go to Mediation?: It’s Not About Showing Your Hand First
Chapter 41. Top Ten Specious Reasons Why Securities Lawyers Won’t Mediate
Chapter 42. Why Certain Cases May Impasse at Mediation
Chapter 43. A Message to Mediators
Chapter 44. Misrepresentation by Omission in Settlement Negotiations: Should There Be a Silent Safe Harbor?
Chapter 45. Professionalism Standards: Twenty Standards That Will Increase Professionalism Among Attorneys
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