The practitioner's guide to securities arbitration
By: Jason Ryan Doss, Richard Stanislaw Frankowski
Contributors: Frankowski, Richard Stanislaw, 1970-; American Bar Association. General Practice, Solo & Small Firm Division
Edition: First edition.
Publisher: American Bar Association, Solo, Small Firm and General Practice Division
Published: 2013
Place of publication: Chicago, Illinois
Language: eng
Number of pages: 226
ISBN-13: 9781614387596
Subjects: Arbitration and award; Law and legislation; Securities industry
Notes: Includes bibliographical references and index.
Table of contents: title: Introduction; title: Who are the players?; title: Financial Industry Regulatory Authority (FINRA) and mandatory arbitration; title: Arbitration eligibility; title: Statute of limitations; title: Unsuitability; title: Breach of fiduciary duty; title: Failure to supervise; title: Churning and unauthorized trading; title: Selling away; title: Federal claims brought in securities arbitration actions; title: State blue sky claims; title: Damages; title: Initiating finra arbitrations; title: Responding to statement of claim; title: Appointment, disqualification and authority of arbitrator; title: Motion practice; title: Limitations of discovery tools; title: Confidentiality of documents and information; title: Pre-hearing conferences; title: Required hearings; title: Hearing presentation; title: Closing statements and arbitration conclusion.