Securities Arbitration for Brokers, Attorneys, and Investors

Portada
Greenwood Publishing Group, 1994 - 425 páginas


Contrasting arbitration of securities disputes with litigation in the courts, this book reviews the interaction of federal securities laws and arbitration in light of caselaw. This review culminates in the recent U.S. Supreme Court cases supporting the validity of predisputed arbitration agreements even when there are claims of fraud and violations of federal securities law. The common law view of arbitration and the Federal Arbitration Act of 1925 are discussed, as are the arbitration process and forums within the securities industry. Procedures (e.g. evaluating the merits of a claim, presenting a securities case to arbitration panels throughout the nation, and appealing an arbitration award) are also examined. It is the only book to date to discuss the new AAA Securities Arbitration Rules.

Ideal for lawyers and securities industry professionals, the book discusses the theories for brokerage firm liability such as securities fraud, churning, the Know Your Customer rule, suitability, problems with trades (e.g. failure of execution or orders), and improper record keeping. It also discusses the use of arbitration to resolve disputes between those working in the industry and reviews the requirements for statements of claims in an arbitration process. Methods of evaluation, statutes, and forms are provided, which will be helpful to both the individual and the lawyer contemplating prosecuting a securities claim in arbitration versus litigation.

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Contenido

CHAPTER 1 DISPUTE RESOLUTION METHODS
1
CHAPTER 2 THE HISTORY OF ARBITRATION
11
CHAPTER 3 THE LAW OF ARBITRATION GENERALLY
27
CHAPTER 4 STATUTORY ARBITRATION
45
CHAPTER 5 FINALITY OF ARBITRATION
51
CHAPTER 6 AGREEMENT TO ARBITRATE SECURITIES DISPUTES
75
CHAPTER 7 THE PROBLEM OF ARBITRATION AND THE SECURITIES LAWS
93
CHAPTER 8 INTERPRETATIONS OF FEDERAL ARBITRATION ACT IN SECURITIES CASES
111
CHAPTER 14 THE HEARING
263
CHAPTER 15 THE AWARD
283
CHAPTER 16 POSTAWARD MATTERS AND APPEAL OF ARBITRATION AWARD
301
CHAPTER 17 THE FUTURE OF SECURITIES ARBITRATION
313
APPENDIXES
325
APPENDIX A FEDERAL ARBITRATION ACT
327
APPENDIX B NEW YORK ARBITRATION STATUTE
335
APPENDIX C SICA ARBITRATION PROCEDURES
343

CHAPTER 9 FORUMS FOR SECURITIES ARBITRATION
135
CHAPTER 10 LITIGATION OR ARBITRATION? SECURITIES INDUSTRY ARBITRATION PANELS
159
CHAPTER 11 TYPES OF CLAIMS IN SECURITIES CASES
177
CHAPTER 12 PROCEDURES TO ARBITRATE A CLAIM IN SECURITIES ARBITRATION
219
CHAPTER 13 DISCOVERY AND OTHER PREHEARING MATTERS
241
APPENDIX D NYSE ARBITRATION RULES
359
APPENDIX E AMERICAN ARBITRATION ASSOCIATION SECURITIES ARBITRATION RULES
385
INDEX
407
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Acerca del autor (1994)

J. KIRKLAND GRANT, Professor of Law, Touro College of Law, Huntington, New York, has taught securities and business law courses at many universities, and was dean at the Delaware Law School. He received his law and business degrees from the University of Michigan and is a member of the Bars of Michigan, New York, South Carolina and federal courts, including the U.S. Supreme Court. Grant was in general corporate and securities practice with the Wall Street firm of Sullivan & Cromwell and the Boston firm of Bingham, Dana & Gould. He is a member of the American Law Institute, American Bar Association, Scribes and other legal societies. He serves on the arbitration panels of the American Arbitration Association, New York Stock Exchange, N.A.S.D. and other groups. He authored New York Corporation Law Handbook (1993), and other books and articles in periodicals and law reviews.

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