Title: The practitioner's guide to securities arbitration /
Authors: Doss, Jason R.; Frankowski, Richard Stanislaw, 1970-; American Bar Association.
Year: 2013
Subjects: Securities industry Law and legislation United States.; Arbitration and award United States
Contents: Who are the players? -- Financial Industry Regulatory Authority (FINRA) and mandatory arbitration -- Arbitration eligibility -- Statute of limitations -- Unsuitability -- Breach of fiduciary duty -- Failure to supervise -- Churning and unauthorized trading -- Selling away -- Federal claims brought in securities arbitration actions -- State blue sky claims -- Damages -- Initiating finra arbitrations -- Responding to statement of claim -- Appointment, disqualification and authority of arbitrator -- Motion practice -- Limitations of discovery tools -- Confidentiality of documents and information -- Pre-hearing conferences -- Required hearings -- Hearing presentation -- Closing statements and arbitration conclusion.