The Failure of Securities Arbitrations: Mandatory Understanding of the Lack of Investment and Product Knowledge and Application by Plaintiffs, Defendants, Experts, Arbitrators and Attorneys and the Implications to Arbitration and Litigation

Front Cover
A real life examination of claims brought before FINRA regarding suitability and the knowledge of all entities in trying such cases.
 

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Contents

Inverted Yield Curve
1971
Index versus Active Management
1973
Fair Practice
1975
Standard Industry Fare
1977
Industry legality ethics and fiduciary duty
1982
The Stock Market Game
1984
Private Organizations
1989
Arbitration Process
1993

Industry knowledgean almost complete failure Consumer knowledgean utter failure
1930
Financial Literacy
1932
Sophistication
1939
Risk and the Consumer Questionnaire
1942
The players
1945
Securities Licenses and Registration Life Insurance and Annuities Licensing
1953
Broker Continuing Education
1955
Life Insurance and Annuities
1956
Fundamentals of Investing
1959
Asset Allocation
1968
Decision Awards
1995
Real Life Cases and Analysis
1998
Communication
2006
Arbitrator training
Arbitration reality
Conclusion
SECTION 2
Conclusion
Curriculum Vitae
Copyright

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