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INTRODUCTION 37 David E Robbins
THE MADOFF DISTRACTION
THE FAITH AND FACE OF SECURITIES
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account statements alleged amendments and/or arbitration award Arbitration Bar Association arbitration panel arbitration proceedings associated person auction rate securities Bar Association 2415 beneﬁt broker broker-dealer brokerage ﬁrms Citigroup claimant clients Cohen conceming conﬁdentiality court Current List customer's account disclosure Discovery Guide dispositive motion E.F. Hutton faimess ﬁduciary duty ﬁle ﬁled ﬁling ﬁnancial ﬁnn FINRA arbitration FINRA proposes ﬁrm/associated ﬁrst transaction ﬁve FlNRA's Form U-5 Hall Street identiﬁed industry arbitrator investment Investors Arbitration Bar Item limited litigation loan ltem manifest disregard matter in controversy mediation member ﬁrms Morgan Stanley NASD object overly broad parties PIABA plaintiff Ponzi scheme presumptively discoverable documents produce proposed rule change public arbitrator Public Investors Arbitration reﬂecting regulatory relating relevant reports request requires the production respondent risk securities arbitration securities industry SIFMA speciﬁc Statement of Claim statute of limitations tax retums trading transaction at issue unduly burdensome