J. Kirkland Grant

Securities Arbitration for Brokers, Attorneys, and Investors

• Gebundenes Buch

Produktbeschreibung

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.

---

Hinweis: Dieser Artikel kann nur an eine deutsche Lieferadresse ausgeliefert werden.

Produktdetails

• Verlag: Praeger
• Seitenzahl: 458
• Erscheinungstermin: 30. November 1994
• Englisch
• Abmessung: 240mm x 161mm x 29mm
• Gewicht: 850g
• ISBN-13: 9780899306827
• ISBN-10: 0899306829
• Artikelnr.: 21640369

Autorenporträt

J Kirkla Grant

Inhaltsangabe

Preface Dispute Resolution Methods The History of Arbitration The Law of
Arbitration Generally Statutory Arbitration Finality of Arbitration
Agreement to Arbitrate Securities Disputes The Problem of Arbitration and
The Securities Law Interpretations of Federal Arbitration Act in Securities
Cases Forums for Securities Arbitration Litigation or Arbitration?
Securities Industry Arbitration Panels Types of Claims in Securities Cases
Procedures To Arbitrate a Claim in Securities Arbitration Discovery and
Other Pre-Hearing Matters The Hearing The Award Post Award Matters and
Appeal of the Arbitration Award The Future of Securities Arbitration Index