Securities Arbitration Procedure Manual

This two-volume manual is acknowledged to be the essential reference in the field of securities arbitration.
Publisher: Matthew Bender

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This is the 34th year of SAPM’s publication, and each year the author has added and edited over 150 pages of new text. In December 2023, he added and replaced over 1,300 pages. It continues to present comprehensive, balanced and pragmatic examinations of the issues that practitioners encounter when representing customers, brokers and firms in the resolution of securities disputes through arbitration and mediation. In each of the 16 chapters, the author does not just tell practitioners what the cases say, he provides ways practitioners can use the holdings of those cases as standards for their cases. Throughout this two-volume book that numbers approximately 4,500 pages, Mr. Robbins also continues to provide standards for practitioners to present to arbitrators, mediators and their adversaries to judge the conduct of their clients.

The most recent Release 27 published in 2023 updates and expands analyses of federal and state court decisions that impact securities arbitrations and mediations. Approximately 550 pages of text are added and revised, including comprehensive sections on over 30 years of petitions to vacate and confirm arbitration Awards (over 400 decisions), FINRA’s new Expungement Rules, the precedential value of arbitration Awards, the impact of the bankruptcy law on securities arbitration Awards, the SEC’s analysis of Registered Investment Adviser arbitrations, bond cases and proven techniques to best present your case to the arbitrators.

The subjects covered in this new Release are:

Chapter 1 – Completely Updated and Revised Chapter – Arbitration v. Litigation, plus § 1-25 FINRA Arbitration Statistics (updated through July 2023)

Chapter 4 – Completely Updated and Revised Chapter, and § 4-7 Waiver of Right to Arbitration
• When is it Too Late to Move to Compel Arbitration? A Balancing of Interests
• Waiver Following the Supreme Court in Robyn Morgan v. Sundance, Inc.

Chapter 5
§ 5-5 10b-5 Cases - “Detecting Ponzi Schemes and Dodging Professional and Investor Liability”
§ 5-6 - Proving a Regulation Best Interest Case and Damages
• The SEC’s “Observations from Broker-Dealer Examinations Related to Regulation Best Interest”
• Online Trading Firm Sanctions and Obligations
• Selling Away Cases at their Core are Failures to Supervise Claims
1. What relevant FINRA rules set the standard of care for brokerage firms in these cases?
2. What should a customer’s attorney seek in discovery and how tenacious should that exercise be?
3. What should the customer’s attorney focus on at the evidentiary hearing?
§ 5-10 Should Discovery of the Alleged Misconduct Toll the Arbitrability Rule?
§5-30 - Bankruptcy Law and Successful FINRA Claimants and Fraudulent Conveyance
§ 5-31 Investment Adviser Cases
• SEC Report on RIA-Forced Arbitration
• RIA Disclosures
• RIA Supervision
• RIA Supervisory Rules, Duties and Examples of Potential Misconduc
• SEC – RIA Risk Alerts
§ 5-32 Bond Cases
• What Investors are Led to Believe – 100% Safety of Principal
• What are Firm Sales Practice Obligations?
• How is Reasonable Basis Suitability Accomplished?
• How is Customer Specific Suitability Determined?
• Presenting a Fair and Balanced Picture
• What is the Ineffective “Prospectus Defense”?
• What is the Training and Supervision Mandate?
• What is the MSRB and What Rules Are of Relevance?
• About The Municipal Securities Rulemaking Board (MSRB)
• A Bond Expert’s Insights Into Bond Arbitration
• How do Stocks and Bonds Differ With Regard to Risk and Reward?
• What are Recent Trends in Bond Cases?
• How Do You Measure Alleged Damages in Bond Cases?
• What are Potential Defenses in Bond Cases?

Chapter 6
§ 6-3 Cross-Examining Experts

Chapter 7
§ 7-2 New York’s Limited Time Frame to Stay Arbitrations

Chapter 8
§ 8-9 Insurance Issues in Securities Arbitration

Chapter 9
§ 9-8 Discovery Abuse in Customer Cases
§ 9-10 Injunction in Aid of Arbitration

Chapter 10
§ 10-11 Composition of FINRA Arbitrator Roster
§ 10-12 Role of the Chairperson
§ 10-13 FINRA’s “Arbitrator Tips”

Chapter 12
§ 12-2 Maintaining Civility in FINRA Arbitration
• Death of the Client – Customers and Brokers
§ 12-21 Case Presentation Strategy From a Political Commentator
• Grab Their Attention.
• Connect With Them and Make Eye Contact
• Facts Are Stubborn Things
• Persuade With Your Ears
• The Rule of Three – Beginning, Middle, End
• Confidence Is Everything Use A Pile Driver – Summations
§ 12-22 Perjury in Arbitration
§ 12-23 Evidentiary Issues in Arbitration

Chapter 13
§ 13-19 Can Parties Agree to Extend the Three Month Time Period for Filing Petitions to Vacate?
• Decisions on Equitable Tolling of Deadlines to File Petition to Vacate Awards
§ 13-20 Modification of Awards
§ 13-21 and § 13-22 Robust Reformatting, Revisions and Updates of Over 30 Years of Statutory Grounds for Vacating an Award and Judicially Created Grounds for Vacating an Award [over 400 decisions and 1,370 footnotes]
§ 13-23 The Afterlife of an Arbitration Award.
• What is the Central Registration Depository and FINRA’s Gateway System?
• More About FINRA Gateway and Registration System Changes
• The New Expungement Rules

Chapter 14
§ 14-10 “Recovery of Attorney’s Fees For Securities Violations - A Statutory Analysis”
§ 14-11 Precedential Value of Arbitration Awards?

Chapter 16
§ 16-8 The American Bar Association’s Tips for an Effective Mediation Statement

The observations and opinions in this book are based on Mr. Robbins' experiences as a Special Deputy Attorney General in the Securities Bureau of the New York Department of Law; American Stock Exchange Arbitration Director; arbitrator and mediator; as an attorney to customers, brokers and firms in arbitrations and mediations; member of the Board of Editors of Securities Arbitration Commentator and the PIABA Law Journal; Practice Commentator to McKinney’s Consolidated Laws of New York (Article 23-A General Business Law); chair of over 20 Practising Law Institute (PLI) programs on securities arbitration and mediation; and, co-chair of New York Bar Association programs on securities arbitration and mediation.

Deliberate effort has continued to be made throughout this book to present countervailing viewpoints, opinions and approaches on the many areas covered. In all instances where the author's opinion is given, it is done so to improve the process for all participants.

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Review

ROBBINS’ SAPM GETS NEW SUPPLEMENT. RELEASE 27 BRINGS FRESH UPDATES AND NEW MATERIAL. We just finished paging through the new supplement to David E. Robbins’ Securities Arbitration Procedures Manual (“SAPM”). The SAPM – a true tour de force – is now well over three decades in the making, starting publication in 1990 and continually updated by the author and practitioner over the years, as the practice evolves and new rules and procedures adjust to an ever-changing landscape. Author Robbins, a long-time member of the SAA Board of Editors, has chronicled securities arbitration’s modern history and participated at the center of events and developments that have shaped it. This latest supplement is published by Lexis Nexis/Matthew Bender as “Release 27” and according to the author: “This new 2023 Release—for the 34th year of this book—updates and expands analyses of federal and state court decisions that impact securities arbitrations and mediations. Approximately 550 pages of text are added and revised, including comprehensive sections on over 30 years of petitions to vacate and confirm arbitration Awards (over 400 decisions), FINRA’s new Expungement Rules, the precedential value of arbitration Awards, the impact of the bankruptcy law on securities arbitration Awards, the SEC’s analysis of Registered Investment Adviser arbitrations, bond cases and proven techniques to best present your case to the arbitrators.”

(ed: *What has set SAPM apart and has made it the enduring leader in its field has been the dedicated efforts of its author to update and revise the book every year without fail and to inform those updates and revisions with the practical knowledge and observations of a versatile and respected practitioner. To us, David Robbins occupies a special place of honor in the field of securities arbitration. **The two-volume SAPM, which is approximately 4,000 pages long, is available in both print form and as an e-book (Library of Congress Card Number: 2004615234; ISBNs: 978-0-327-16188-2 (print); 978-0-327-16800-3 (eBook)). For more information, go to the Lexis/Nexis Store. ***Cite as: [Vol. no.] David E. Robbins, Securities Arbitration Procedure Manual § [sec. no.] (Matthew Bender 2023).)
Securities Arbitration Alert 2024-01 (1/4/2024), George H. Friedman, Editor-in-Chief

 

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Table of contents

Introduction
Chapter 1 Arbitrations Versus Litigation
Chapter 2 The Arbitration Agreement
Chapter 3 A Review of the Law
Chapter 4 Arbitrability of Securities Disputes
Chapter 5 Case Evaluation
Chapter 6 Attorneys, Experts, and Pre-Filing Issues
Chapter 7 Commencing Arbitration
Chapter 8 Responsive Pleadings and Motions
Chapter 9 Discovery
Chapter 10 Arbitrators
Chapter 11 Hearing Rules Explained
Chapter 12 Hearing Presentation Techniques
Chapter 13 Deliberation and Award
Chapter 14 Available Relief and Effect of Awards
Chapter 15 Industry Arbitrations
Chapter 16 Securities Mediation and Settlements
Appendices including FINRA Dispute Resolution Arbitrator's Guide and SAC's Award Database and Case Preparation
Index