Securities Arbitration Procedure Manual
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Securities Arbitration Procedure Manual, now in a completely updated 28th year release, is a two-volume manual that is widely acknowledged as the essential reference in the field of securities arbitration. It systematically describes the issues that arise in a customer-broker or broker-brokerage firm dispute, how to evaluate the merits of a case (from both sides of the dispute), and how to prepare and present cases to arbitration panels anywhere in the country. In the 28th year of publication, practitioner David E. Robbins updates his work to reflect current developments, such as: cases that win and cases that lose, what to ask for in discovery, how to select arbitrators, what arbitrators want to see in claims and answers, how to prepare your client to testify and how to cross examine opposing witnesses in an arbitration setting. There is also an updated chapter on how to successfully mediate your case and a complete revision of the lengthy appendix.
In particular, the latest update of this book includes the following subjects:
• Pre-Dispute Arbitration Agreements for Fee Based Accounts,
• The now-mandatory FINRA Portal,
• Challenging Expungements After Settlements,
• An explanation of Statutes of Limitation versus Statutes of Repose,
• Cross-Examination Based on Body Language,
• New Motion to Vacate Decisions and
• Updated Arbitration Statistics.
At the heart of securities cases is the establishment of a trust relationship between a broker and a client and the alleged breach of that trust, whether through negligence, recklessness, or fraud. Most customer cases of merit involve a broker's failure to appreciate the inherent risks of a recommended security or strategy. Most cases that lack merit are those in which customers do not take responsibility for their investment decisions or the losses were due solely to market conditions. In securities arbitrations, both sides must meet burdens of proof. Getting arbitrators to empathize with your clients—whether they are customers, brokers, or brokerage firms—is your primary aim. This book provides you with the tools to accomplish that goal and examines arguments that your adversaries are likely to make.
The observations and opinions in this book are based on Mr. Robbins' experiences as a former Special Deputy Attorney General in the Securities Bureau of the New York Department of Law; as a former American Stock Exchange Arbitration Director; as an arbitrator and mediator; as an attorney to customers, brokers and firms in arbitrations and mediations; as a former member of FINRA's National Arbitration and Mediation Committee; as a member of the Board of Editors of Securities Arbitration Commentator and the PIABA Law Journal; as a Practice Commentator to McKinney’s Consolidated Laws of New York (Article 23-A General Business Law); as former chair of over 20 Practising Law Institute (PLI) programs on securities arbitration and mediation; and, as the co-chair of New York Bar Association programs on securities arbitration and mediation.
A deliberate effort has been 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 to improve the process for all participants.
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Table of Contents
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