Download or read book A Primer on Securities Arbitration Law for Investors Brokers and Attorneys written by Franklin D. Ormsten and published by . This book was released on 1999-08 with total page 115 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Arbitration for Brokers Attorneys and Investors written by J Kirkla Grant and published by Praeger. This book was released on 1994-11-30 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Contrasting arbitration of securities disputes with litigation in the courts, this book reviews the interaction of federal securities laws and arbitration in light of caselaw. This review culminates in the recent U.S. Supreme Court cases supporting the validity of predisputed arbitration agreements even when there are claims of fraud and violations of federal securities law. The common law view of arbitration and the Federal Arbitration Act of 1925 are discussed, as are the arbitration process and forums within the securities industry. Procedures (e.g. evaluating the merits of a claim, presenting a securities case to arbitration panels throughout the nation, and appealing an arbitration award) are also examined. It is the only book to date to discuss the new AAA Securities Arbitration Rules. Ideal for lawyers and securities industry professionals, the book discusses the theories for brokerage firm liability such as securities fraud, churning, the Know Your Customer rule, suitability, problems with trades (e.g. failure of execution or orders), and improper record keeping. It also discusses the use of arbitration to resolve disputes between those working in the industry and reviews the requirements for statements of claims in an arbitration process. Methods of evaluation, statutes, and forms are provided, which will be helpful to both the individual and the lawyer contemplating prosecuting a securities claim in arbitration versus litigation.
Download or read book Securities Arbitration written by and published by . This book was released on 2010 with total page 298 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Arbitration Practice and Forms written by W. Reece Bader and published by Juris Publishing, Inc.. This book was released on 2013-12-01 with total page 1162 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities Arbitration: Practice and Forms is the leading start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of brokerage firms and other financial institutions (including inside counsel, outside counsel, and compliance directors and their staffs), members of the staffs of sponsoring organizations, and arbitrators themselves. This publication is an efficient tool that can be readily used by all participants at every stage in the arbitration process to deal with the various issues, questions and problems that arise in such proceedings. It has been written as a comprehensive text with special emphasis on practice and procedure. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from the author, found throughout the text and on the accompanying CD-ROM. Securities Arbitration: Practice and Forms is a required reference and guide for all those involved, or potentially involved, in the Securities Arbitration process All of the accompanying sample pleadings and forms are included on a CD-ROM in PDF
Download or read book The Failure of Securities Arbitrations written by Errold F Moody Jr and published by Booktango. This book was released on 2013-02-07 with total page 175 pages. Available in PDF, EPUB and Kindle. Book excerpt: A real life examination of claims brought before FINRA regarding suitability and the knowledge of all entities in trying such cases.
Download or read book Securities Arbitration Procedure Manual written by David E. Robbins and published by MICHIE. This book was released on 1995 with total page 1078 pages. Available in PDF, EPUB and Kindle. Book excerpt: This manual is acknowledged to be the essential reference in the field of securities arbitration. It systematically describes the issues that arise in a dispute, how to evaluate the merits of a case, & how to prepare & present cases to arbitration panels anywhere in the country. In the Third Edition, David Robbins updates his work to reflect the important new issues governing discovery on the Internet, NASD's new eligibility rule, & its rule on punitive damages.
Download or read book Broker dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1997 with total page 966 pages. Available in PDF, EPUB and Kindle. Book excerpt: From duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, An employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as 'Churning' customers' accounts Unsuitable recommendations Unauthorized trading Market manipulation Vicarious liability Defenses that may be asserted against broker-dealers Compensatory and punitive damages Liability of controlling persons Rules of self-regulatory organizations Securities arbitration Mediation of securities disputes Conflicts of interest Appendices containing both the Federal Arbitration Act And The NASD Code of Arbitration Procedure BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
Download or read book Securities Arbitration Special Report written by Anthony D. De Toro and published by John Wiley & Sons. This book was released on 1989 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities arbitration written by Marilyn Blumberg Cane and published by Bna Books. This book was released on 1991-09-01 with total page 557 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Practitioner s Guide to Securities Arbitration written by Jason R. Doss and published by . This book was released on 2013 with total page 226 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Making it Up as They Go Along written by Barbara Black and published by . This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article addresses an issue of securities arbitration that has largely gone unexamined: whether arbitrators have to apply the law in deciding customers' disputes with their brokers. Because of the Supreme Court's 1987 opinion in Shearson/American Express v. McMahon, most customers' disputes with their broker-dealers are resolved today in an arbitration proceeding before a securities industry-sponsored forum. While the Supreme Court assumed that arbitrators would apply the law, there is considerable evidence that they do not. This article assesses what has happened to securities arbitration since the privatization of the law. While the regulators have focused on efforts to make the procedure more like litigation, very little effort has gone into ensuring that the arbitrators are trained to apply the law. However, given the difficulties investors would encounter in pleading and proving their claims in court, they may well be better off in a system where less attention is paid to the law and more to the equities of the actual dispute before the arbitration panel. While this is not a system where accountability and predictability of results can be achieved, investors may, in fact, fare better than they might expect.
Download or read book Securities Arbitration written by and published by . This book was released on 2008 with total page 570 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Download or read book Books In Print 2004 2005 written by Ed Bowker Staff and published by R. R. Bowker. This book was released on 2004 with total page 3274 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Dispute Resolution Journal written by and published by . This book was released on 2000 with total page 818 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Searching the Law The States written by Francis R Doyle and published by Martinus Nijhoff Publishers. This book was released on 2022-11-14 with total page 695 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide to Bank Underwriting Dealing and Brokerage Activities written by Robert L. Tortoriello and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
