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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About the Author
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.
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6 of 6 people found the following review helpful:
2.0 out of 5 stars
Useful but outdated,
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This review is from: Securities Arbitration for Brokers, Attorneys, and Investors (Hardcover)
As any book written by an individual in acadamia,this treatise slants heavily towards "case analysis" and philosophical thought, I would not recommend this book for the practioner..David Robbin's text published by Michie is the better read.
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Inside This Book
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First Sentence:
Conflict resolution is the underlying issue in arbitration, but it can occur using many different processes. Read the first page Key Phrases - Statistically Improbable Phrases (SIPs): (learn more)
securities arbitration rules, first hearing session, predispute arbitration clause, securities law claims, arbitration staff, predispute arbitration agreements, session deposit, forum fees, state arbitration statutes, prehearing conference, arbitration facilities, one peremptory challenge, arbitrator bias, predispute agreement, selfregulatory organizations, submission agreement, subpoena process, year time limitation, arbitration act, hearing deposit, arbitrator deems, securities disputes, manifest disregard, replacement arbitrator, securities arbitrations Key Phrases - Capitalized Phrases (CAPs): (learn more)
Federal Arbitration Act, New York, Exchange Act, Uniform Code, Merrill Lynch, Supreme Court, United States, American Express, Dean Witter Reynolds, Rodriguez de Quijas, Shearson Lehman, Uniform Arbitration Act, Paine Webber, Securities Act, Code of Arbitration Procedure, Second Circuit, American Arbitration Association, Board of Governors, Uniform Act, Federal Rules of Civil Procedure, Los Angeles, Securities Industry Association, American Stock Exchange, Drexel Burnham Lambert, National Association of Securities Dealers New!
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Front Cover | Table of Contents | First Pages | Index | Back Cover | Surprise Me!
Conflict resolution is the underlying issue in arbitration, but it can occur using many different processes. Read the first page Key Phrases - Statistically Improbable Phrases (SIPs): (learn more)
securities arbitration rules, first hearing session, predispute arbitration clause, securities law claims, arbitration staff, predispute arbitration agreements, session deposit, forum fees, state arbitration statutes, prehearing conference, arbitration facilities, one peremptory challenge, arbitrator bias, predispute agreement, selfregulatory organizations, submission agreement, subpoena process, year time limitation, arbitration act, hearing deposit, arbitrator deems, securities disputes, manifest disregard, replacement arbitrator, securities arbitrations Key Phrases - Capitalized Phrases (CAPs): (learn more)
Federal Arbitration Act, New York, Exchange Act, Uniform Code, Merrill Lynch, Supreme Court, United States, American Express, Dean Witter Reynolds, Rodriguez de Quijas, Shearson Lehman, Uniform Arbitration Act, Paine Webber, Securities Act, Code of Arbitration Procedure, Second Circuit, American Arbitration Association, Board of Governors, Uniform Act, Federal Rules of Civil Procedure, Los Angeles, Securities Industry Association, American Stock Exchange, Drexel Burnham Lambert, National Association of Securities Dealers New!
Books on Related Topics | Concordance | Text Stats Browse Sample Pages:
Front Cover | Table of Contents | First Pages | Index | Back Cover | Surprise Me!
Citations (learn more)
This book cites 18
books:
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- Securities Arbitration by David E. Robbins on 15 pages
- Civil Procedure by EZ Rules on 12 pages
- Smith Barney by Vault Reports on page 157, page 214, and page 216
- Justice without Law? (Galaxy Books) by Jerold S. Auerbach on page 24, and page 321
- Family Trust by Amanda Brownfield on page 42
See all 18 books this book cites
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