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 30th year of SAPM’s publication, and the author has added and edited over 150 pages of new text. 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 4,000 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.

In its review of the December 2020 edition, Securities Arbitration Commentator wrote: “The SAPM is now 30 years in the making, starting publication in 1990 and continually updating 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 … has chronicled securities arbitration’s modern history and participated at the center of events and developments that have shaped it…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 latest update of this book includes the following subjects, among many more:

•  Trust Established/Trust Breached - Why customers trust brokers
•  SEC’s Regulation Best Interest
•  Primer on Secondary Liability of Brokerage Firms for Misconduct of Employees and Independent Contractors
•  Who is a Customer? A Survey of the Circuits
•  Dealing with Defense Counsel in FINRA Arbitrations
•  SRO Rule Violations and Breach of Contract
•  Bankruptcy and Securities Arbitration
•  Experts in Hearing Preparation and Presentation and Techniques for Cross-Examining Expert Witness
•  Vetting Cases and Drafting Statements of Claim
•  Conflict Issues in Investor Group Claims
•  Suggestions on Arbitrator Selection
•  Update of Court Decisions Concerning Refusal to Postpone, Arbitrator Fraud, Failure to Adjourn, Failure to Disclose and Partiality, Refusal to Allow Evidence, Arbitrator Misconduct Corruption/Fraud, Exceeding Authority and the Power of Equitable Set-Off
•  Update of Court Decisions Concerning Manifest Disregard of the Law, Public Policy and Due Process
•  Attorney’s Fees in Arbitration
•  Restrictive Covenants - TROs and Solicitation of Former Clients
•  Wrongful Termination Claims

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 MANUAL GETS NEW SUPPLEMENT: RELEASE 24 BRINGS FRESH UPDATES AND NEW MATERIAL, WITH AN EMPHASIS ON COVID- INDUCED CHANGES. We just finished paging through the new supplement to David E. Robbins’ Securities Arbitration Procedure Manual (“SAPM”). The SAPM – a true tour de force – is now 30 years in the making, starting publication in 1990 and continually updating 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 our 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 24" and according to the "Highlights" explanation on the top page of the thick set of looseleaf pages, it aims primarily to "update and expand analyses of federal and state court decisions that impact securities arbitrations and mediations." Author Robbins adds, in this regard, "I don't just tell you what the cases say, I suggest ways you can use the holdings of those cases as standards for your cases." He stresses, though, in his Introduction to the Release: “I have added and supplemented many subjects, adding and editing over 150 pages of text, despite working remotely most of the year due to the COVID-19 virus, which also had a significant impact on FINRA in-person arbitrations; they were suspended nationwide most of the year…. Nevertheless, while restrictions were placed on the practice of securities arbitration, important court decisions were issued that are presented in this edition….” Indeed, much of the update is devoted to the unprecedented impact on securities arbitration caused by the pandemic. An entire new chapter, FINRA in the Time of the Coronavirus, leads with: “Practitioners, arbitrators and mediators have learned to respect the administration of FINRA’s nationwide arbitration and mediation program. Based on its desire to safeguard the health of all those who participate in its dispute resolution programs, FINRA suspended most 2020 in-person hearings and encouraged parties to take part in FINRA’s Zoom platform. FINRA set forth guidance for virtual hearings. While most practitioners still prefer in-person arbitration hearings, many are pleased with Zoom mediations. FINRA published the following notices to its constituents on its virtual hearing programs….” (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) and 978-0-327-16800-3 (eBook). For more information, go to the Lexis/Nexis Store.) - SECURITIES ARBITRATION ALERT 2020-48 (12/24/20)
Editorial Advisory Board George H. Friedman Editor-in-Chief

Authors / Contributors

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