Securities Arbitration for Brokers, Attorneys, and Investors pdf epub fb2

Securities Arbitration for Brokers, Attorneys, and Investors by J Kirkla Grant epub fb2 djvu

Author: J Kirkla Grant
Title: Securities Arbitration for Brokers, Attorneys, and Investors
ISBN: 0899306829
ISBN13: 978-0899306827
Other Formats: docx rtf lrf lit
Pages: 496 pages
Publisher: Praeger (November 30, 1994)
Language: English
Size EPUB version: 1566 kb
Size FB2 version: 1486 kb
Category: Law
Subcategory: Rules & Procedures

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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