Source: https://arbitrationlaw.com/books/securities-arbitration-practice-and-forms-second-edition
Timestamp: 2019-11-12 19:16:19
Document Index: 341702848

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Securities Arbitration: Practice and Forms - Second Edition | ArbitrationLaw.com
978-1-937518-34-9
Securities Arbitration: Practice and Forms - Second Edition is the leading start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of brokerage firms and other financial institutions (including inside counsel, outside counsel, and compliance directors and their staffs), members of the staffs of sponsoring organizations, and arbitrators themselves. This publication is an efficient tool that can be readily used by all participants at every stage in the arbitration process to deal with the various issues, questions and problems that arise in such proceedings. It has been written as a comprehensive text with special emphasis on practice and procedure. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from the author, found throughout the text and on the accompanying CD-ROM.
Securities Arbitration: Practice and Forms - Second Edition is a required reference and guide for all those involved, or potentially involved, in the Securities Arbitration process.
§ 1.01 Introduction: A History of Securities Arbitration
§ 1.02 Background: SEC Oversight of the SRO Arbitration Programs
§ 1.03 Relationship of SRO Arbitration Programs and SRO Disciplinary Departments
§ 1.04 The History of the Arbitration Rules Reform
§ 1.05 The Dispute Resolution Task Force: Recommendations and Results
§ 1.06 Other Projects to Improve Securities Arbitration
§ 1.07 Use of Predispute Arbitration Clauses by the Securities Industry in Customer Agreements
§ 1.08 Federal and State Legislative Attention to Securities Industry Arbitration
§ 2.02 The Appropriate Arbitral Forum
§ 2.03 Statute of Limitations
§ 3.02 Existence of the Arbitration Agreement
§ 3.03 Scope of the Arbitration Agreement
§ 3.04 Waiver
§ 4.02 Availability of the Arbitration Alternative
§ 4.03 The Choice Between Arbitration and Litigation: Applicable Rules of Decision
§ 4.04 The Choice Between Arbitration and Litigation: The Decision Makers
§ 4.05 America Arbitration Association Rules: A Brief Summary
§ 4.06 JAMS: A Brief Summary
§ 4.07 The Choice Between Arbitration and Litigation: Procedural Differences
§ 4.08 The Choice Between Arbitration and Litigation: Miscellaneous Decisions
§ 5.02 Substantive and Procedural Law Governing Arbitrability
§ 5.03 Federal Arbitration Act
§ 5.04 Procedure to Compel Arbitration
§ 5.05 Jurisdictional Issues in Obtaining an Order to Compel Arbitration
§ 5.06 Elements of Petitioner's Case
§ 5.07 Elements of Respondent's Case
§ 5.08 Is the Dispute Rendered Non-Arbitrable for Public Policy Reasons?
§ 5.09 Stay of Litigation Under Section 3 Where Civil Action Is Already Pending in State or Federal Court
§ 5.10 Interaction of Sections 3 and 4
§ 5.11 When a Lawsuit Presents Arbitrable and Non-Arbitrable Claims; The Intertwining Doctrine
§ 5.12 Sanctions Against Losing Party on Motion to Compel Arbitration or Stay Judicial Proceeding
§ 5.13 Appealability of Grant or Denial of Order Compelling Arbitration
§ 5.14 Discovery in Aid of Proceeding to Compel Arbitration
§ 5.15 Provisional Judicial Relief Pending and in Aid of Arbitration
§ 6.03 Rules for Commencing an Arbitration
§ 6.04 Selecting the Arbitration Forum
§ 6.05 Location of the Arbitration
§ 6.06 Initiating the Arbitration
§ 6.07 Answering the Complaint
§ 6.08 Counterclaims, Cross-Claims and Third Party Claims
§ 6.09 Joinder, Consolidation and Severance
§ 7.02 Discovery
§ 7.03 The Importance of the FINRA Discovery Guide Documents and Additional Documents
§ 7.04 Pre-Hearing Conferences
§ 7.05 FINRA Pre-Hearing Motions
§ 7.06 Pre-Hearing Motions in AAA and JAMS Arbitrations
§ 8.02 When Hearings Are Not Required
§ 8.03 Failure of a Party to Appear
§ 8.04 Who May Attend the Hearing
§ 8.05 The Creation of a Record
§ 8.06 Burden of Proof
§ 8.07 Order of Proceedings
§ 8.08 Reopening Hearings
§ 8.09 Motion for Reconsideration
§ 8.10 Rules of Evidence
§ 8.11 Testimony
§ 8.12 Documentary Evidence
§ 8.13 Adjournments
§ 8.14 The Arbitrators as Judges
§ 9.03 Equitable Relief
§ 9.04 Expungement
§ 9.05 Disciplinary Referrals
§ 10.01 The Deliberative Process
§ 10.02 Form of Award and Contents
§ 10.03 Public Availability of Awards
§ 10.04 Res Judicata and Collateral Estoppel
§ 10.05 Stare Decisis
§ 10.06 Post-Award Contact with Arbitrators
§ 11.03 Enforcing the Award
§ 11.04 Challenging the Award
§ 12.02 History of Mediation in the Securities Industry
§ 12.03 The Benefits of Mediation
§ 12.04 The Mediation Process
§ 12.05 The Future of Mediation
SOURCES: LAW AND RULES
(Available on CD Rom)
Source 1 Arbitration and Mediation Forums
Source 2 Federal Arbitration Act
Source 3 FINRA Code of Arbitration Procedure for Customer Disputes
Source 4 FINRA Code of Arbitration Procedure for Industry Disputes
Source 5 FINRA Code of Mediation Procedure
Source 6 FINRA Dispute Resolution Party&rsquo;s Reference Guide- National Edition
Source 7 FINRA Dispute Resolution Party&rsquo;s Reference Guide- Simplified Cases
Source 8A FINRA Discovery Guide 2011
Source 8B FINRA Discovery Guide 2013
Source 9 FINRA Uniform Forms Guide
Source 10 FINRA Arbitrator&rsquo;s Guide 2014
Source 11 FINRA Hearing Procedure Script - 3 Member Panel
Source 12 Chicago Board Options Exchange Arbitration Rules
Source 13 NFA Code of Arbitration
Source 14 American Arbitration Association Commercial Dispute Resolution Procedures
Source 15A American Arbitration Association Securities Arbitration Supplementary Procedures
Source 15B American Arbitration Association Consumer Arbitration Rules
Source 16 JAMS Comprehensive Arbitration Rules and Procedure
Source 17 FINRA Uniform Submission Agreement - Claimant & Respondent Forms
APPENDICES: PLEADINGS AND FORMS
Appendix 1A Arbitration Provisions from Clearing Agreement
Appendix 1B Excerpt from Form U-4 with Arbitration Provision Highlighted
Appendix 2A Letter Demanding Arbitration and Requesting that Civil Action Be Withdrawn
Appendix 2B Defendant&rsquo;s Motion to Compel Arbitration and Stay Action
APPENDIX 3: COMMENCING THE ARBITRATION PROCEEDING: SUBMISSION AGREEMENTS/STATEMENTS OF CLAIM
Appendix 3A Claim Information Sheet
Appendix 3B Financial Industry Regulatory Authority Office of Dispute Resolution
Appendix 3C Letter to FINRA Requesting Consolidation of Claims
Appendix 3D FINRA Request for Response to Letter Requesting Consolidation of Claims
Appendix 4A Respondent Statement of Answer and Affirmative Defenses
Appendix 4B Counterclaim and Third Party Claim
Appendix 5A FINRA Pre-Hearing Conference Scheduling Order
Appendix 5B FINRA Dispute Resolution Case Information Sheet
Appendix 5C Claimant&rsquo;s First Request for Production of Documents and Information to Respondent
Appendix 5D Respondent's First Request for Production of Documents and Information to Claimant
Appendix 5E Claimant's Response to Respondent's Request for Documents
Appendix 5F Respondent's Response to Claimant's Request for Documents
Appendix 5G Motion to Compel Production
Appendix 5H Motion to Dismiss
Appendix 5I Subpoena for Attendance at Arbitration Hearing
Appendix 5J Order Directing Appearance at Arbitration Hearing
Appendix 5K Respondents Witness and Exhibit List
Appendix 5L Confidentiality Agreement
APPENDIX 6: SETTLEMENT AND MEDIATION PROCEDURES
Appendix 6A Settlement Agreement and Release
Appendix 6B Mediation Submission Agreement
Appendix 6C FINRA Mediator Selection Letter
Appendix 6D Submission to Dispute Resolution
Appendix 6E JAMS Mediation Agreement
Mr. Bader regularly represents broker-dealers and individuals in both SEC and SRO enforcement actions. These representations have involved a wide variety of issues including insider trading, net capital rules, political contributions, just and equitable trade practices, failure to supervise, books and records, and practices affecting options, futures and Rule 144. As part of his practice he appears in arbitrations conducted by self-regulatory organizations. As a complement to this practice, he assists the firm's Public Finance Department in litigation concerning municipal securities.
Recently, Mr. Wiand has been appointed as receiver in SEC enforcement actions, FTC cases and in similar capacities at the request of state regulators. He is a frequent speaker to financial services and regulatory groups, including the North American Securities Administrators Association&rsquo;s Annual Conference. He provides CLE both directly and through industry and bar groups. He also serves as a contributing editor to the Securities Litigation Commentator. He is a member of the American Bar Association, the Legal & Compliance Division of SIFMA. He serves as a FINRA and NFA arbitrator. In 2014, he formed WDK-ADR as an adjunct mediation practice at his law firm and invited co-author W. Reece Bader and Donald Cox to become principals of the dispute resolution business with him. He is a mediator certified by the Supreme Court of Florida.