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book jacket
Author Doss, Jason R.

Title The practitioner's guide to securities arbitration / Jason Ryan Doss ; Richard Stansislaw Frankowski.

Published Chicago, Illinois : American Bar Association, 2013.
Edition First edition.
LOCATION CALL # STATUS
 Law Library - First Floor  KF1070.5 .D67 2013     AVAILABLE
Descript xii, 226 pages ; 23 cm.
Note "Solo, Small Firm and General Practice Division"--P. [4] of cover.
Bibliography Includes bibliographical references and index.
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.
Subject Securities industry -- Law and legislation -- United States.
Arbitration and award -- United States.
Other Author Frankowski, Richard Stansislaw, 1970-
American Bar Association.
American Bar Association. General Practice, Solo & Small Firm Division.
Other Title Guide to securities arbitration
Securities arbitration
ISBN 9781614387596 (pbk.)
1614387591 (pbk.)