Securities arbitration: law and procedure

Front Cover
Bureau of National Affairs, Sep 1, 1991 - Business & Economics - 557 pages
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Contents

AAA and SRO Procedures
20
Forum Selection
43
The Arbitrators Manual
55
Presentation of Data by Experts
71
Class Actions Consolidations and Complex Cases
106
Parallels to Legal Procedures
113
Statutory and Regulatory Bases for Claims
119
The Shingle Theory and Breach of Fiduciary Duty
132
Inappropriate Party or Issue
277
Forgery and Unsigned Agreements
285
Disclosure of the Arbitration Agreement
294
Waiver of the Right to Arbitrate
302
Introducing Brokers and Clearing Brokers
313
Appealing a Judicial Order Staying or Compelling
320
Preclusive Effects of the Award
340
Immunity of Arbitrators and Arbitral Forums From
353

Churning
140
Unsuitability
150
Unauthorized Trading
157
RICO Claims in Arbitration
175
ERISA Claims in Arbitration
183
State Law Claims Not Preempted
189
Punitive Damages and AttorneysFees
191
Margin Accounts
205
Options Trading
212
Penny Stocks
224
IntraIndustry Disputes
232
Partnerships and Mutual Funds
246
Judicial Acceptance of Securities Arbitration
255
Contractual Defenses
268
Prospects for a Unified Forum
365
Appendix A List of Securities Arbitration Forums
383
Uniform Arbitration Act
391
Securities Arbitration Rules
397
Appendix E Securities Industry Conference on Arbitration
404
Appendix F The Arbitrators Manual
418
Appendix G Securities and Exchange Commission Release
437
Appendix H New York Civil Practice Law and Rules
461
Sample Statement of Claim by Broker
468
Appendix K Sample Request for Document Production
474
A Guide for Commercial Arbitrators
489
Table of Cases
529
Index
547
Copyright

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