Securities Arbitration: Practice and Forms
W. Reece Bader
Price: $175.00 750 pages. One Volume. Looseleaf. Appendices. One CD-ROM. Index. Updated Annually or When Needed.
ISBN-13: 978-1-929446-31-5 / ISBN-10: 1-929446-31-4
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PART I: SECURITIES ARBITRATION
Chapter 1 The Regulatory Framework of Securities Arbitration
1.01 Introduction: A History of Securities Arbitration
1.02 Background: SEC Oversight of the SRO Arbitration Programs
1.03 Relationship of SRO Arbitration Programs and SRO Disciplinary
Departments1.04 The Late 1980s Changes
1.05 The Arbitration Policy Task Force: Recommendations and Results
1.06 Other Projects To Improve Securities Arbitration
1.07 Use of Predispute Arbitration Clauses By the Securities
Industry in Agreements with its Customers1.08 Federal and State Legislative Attention to Securities
Industry Arbitration
Chapter 2 Jurisdiction
2.01 Introduction
2.02 The Appropriate Arbitral Forum
2.03 Statute of Limitations
Chapter 3 The Arbitration Agreement
3.01 Introduction
3.02 Existence of the Arbitration Agreement
3.03 Scope of the Arbitration Agreement
3.04 Waiver
3.05 Practitioner's Checklist
Chapter 4 Determining Whether To Arbitrate or Litigate
4.01 Introduction
4.02 Availability of the Arbitration Alternative
4.03 The Choice Between Arbitration and Litigation:
Applicable Rules of Decision4.04 The Choice Between Arbitration and Litigation: Decision Making "Style"
4.05 The Choice Between Arbitration and Litigation: Procedural Differences
4.06 The Decision To Arbitrate or Litigate: Miscellaneous Differences
Chapter 5 Compelling or Resisting Arbitration
5.01 Compelling and Resisting Arbitration
5.02 Substantive and Procedural Law Governing Arbitrability
5.03 Federal Arbitration Act
5.04 Procedure To Compel Arbitration
5.05 Jurisdictional Issues in Obtaining an Order To Compel Arbitration
5.06 Elements of Petitioner's Case
5.07 Elements of Respondent's Case
5.08 Is the Dispute Rendered Non-Arbitrable for Public Policy Reasons?
5.09 Stay of Litigation Under Section 3 Where Civil Action Is Already
Pending in State or Federal Court5.10 Interaction of Sections 3 and 4
5.11 When a Lawsuit Presents Arbitrable and Non-Arbitrable Claims;
The Intertwining Doctrine5.12 Sanctions Against Losing Party on Motion To Compel
Arbitration or Stay Judicial Proceeding5.13 Appealability of Grant or Denial of Order Compelling Arbitration
5.14 Discovery in Aid of Proceeding To Compel Arbitration
5.15 Judicial Relief Pending and in Aid of Arbitration
Chapter 6 Commencing an Arbitration Proceeding
6.01 Introduction
6.02 Representation Issues
6.03 Rules for Commencing an Arbitration
6.04 Selecting the Arbitration Forum
6.05 Location of the Arbitration
6.06 Initiating the Arbitration
6.07 Answering the Complaint
6.08 Counterclaims, Cross-Claims, and Third Party Claims
6.09 Joinder, Consolidation and Severance
Chapter 7 Pre-Hearing Matters
7.01 Selection of Arbitrators
7.02 Discovery
7.03 The Importance of the Discovery Guide Documents and Additional Documents
7.04 Initial Pre-hearing Conference
7.05 Pre-Hearing Motions
7.06 Location of Hearings
Chapter 8 The Conduct of the Hearing
8.01 Background
8.02 When Hearings Are Not Required
8.03 Failure of a Party To Appear
8.04 Who May Attend the Hearing
8.05 The Creation of a Record
8.06 Burden of Proof
8.07 Order of Proceedings
8.08 Reopening Hearings
8.09 Motion for Reconsideration
8.10 Rules of Evidence
8.11 Testimony
8.12 Documentary Evidence
8.13 Adjournments
8.14 The Arbitrators as Judges
Chapter 9 Remedies and Damages
9.01 Introduction
9.02 Damages
9.03 Equitable Relief
9.04 Expungement
9.05 Disciplinary Referrals
Chapter 10 The Award
10.01 The Deliberative Process
10.02 Form of Award and Contents
10.03 Public Availability of Awards
10.04 Res Judicata and Collateral Estoppel
10.05 Stare Decisis
10.06 Post-Award Contact with Arbitrators
Chapter 11 Enforcing or Appealing an Arbitral Award
11.01 Introduction
11.02 Forum and Venue Issues
11.03 Enforcing the Award
11.04 Challenging the Award
Chapter 12 Mediation: An Alternative to Arbitration
12.01 Introduction: What is Mediation?
12.02 History of Mediation in the Securities Industry
12.03 The Benefits of Mediation
12.04 The Mediation Process
12.05 The Future of Mediation
PART II: LAW AND RULES
Source 1-Arbitration and Mediation Forums
Source 2-Federal Arbitration Act
Source 3-NASD Code of Arbitration Procedure
Source 3A-Arbitration Procedure for Customer Disputes
Source 3B-Arbitration Procedure for Industry Disputes
Source 3C-Mediation Procedure
Source 3D-Comparison Chart of Old and New Arbitration Codes for Customer Disputes
Source 4A-FINRA Dispute Resolution Party's Reference Guide-National Edition
Source 4B-FINRA Dispute Resolution Party's Reference Guide-Simplified
Source 5-New York Stock Exchange Arbitration Rules
Source 6-Chicago Board Options Exchange Arbitration Rules
Source 7-Securities Industry Conference on Arbitration Uniform Code of Arbitration
Source 8-The Arbitrator's Manual
Source 9-Securities Arbitration Supplementary Procedures
Source 10-Commercial Arbitration Association Commercial Dispute Resolution Procedures
Source 11-JAMS Comprehensive Arbitratino Rules and Procedures
Source 11A-Procedures for Securities Arbitrations Administered by JAMS
under the Securities Industry Conference on Arbitration Non-SRO
Pilot Program
Source 12-Securities Industry Conference on Arbitration Proposal for a Pilot Program for Non-SRO- Sponsored arbitration Alternatives
Source 13-Uniform Submission Agreement-Claimant & Respondent Forms
PART III: PLEADINGS AND FORMS
Appendix 1: Arbitration Agreements
Appendix 1A: Sample Customer's Agreement
Appendix 1B: Arbitration Agreement from Clearing Agreement
Appendix 1C: Excerpt from Form U-4 with Arbitration Provision Highlighted
Appendix 2: Compelling and Resisting Arbitration
Appendix 2A: Letter Demanding Arbitration and Requesting that Civil
Action Be Withdrawn
Appendix 2B: Memorandum of Law in Support of Motion To Compel
Arbitration and To Stay Action
Appendix 2C: Memorandum of Law in Support of Motion To Compel Arbitration
and To Stay Civil Proceedings
Appendix 2D: Memorandum of Law Opposing Motion To Compel Arbitration and
To Stay Proceedings
Appendix 2E: Reply Memorandum of Law in Support of Motion to Compel
Arbitration and To Stay Proceedings
Appendix 2F: Court Order Granting Motion To Compel Arbitration
Appendix 2G: Court Decision and Order Granting Motion To Compel Arbitration
Appendix 3: Commencing the Arbitration Proceeding:
Submission Agreements/Statements of Claim
Appendix 3A: NASD Guidelines for Non-California Attorneys Representing
Parties in NASD Arbitrations in California (including NTM 99-10
and Forms)
Appendix 3B: Letter Submitting Dispute to Arbitration
Appendix 3C: Cover Sheet for Statement of Claim
Appendix 3D: Affidavit of NYSE Arbitration Director Regarding
Expedited Proceeding
Appendix 3E: Statement of Claim
Appendix 3F: NASD Uniform Submission Agreement
Appendix 3G: NASD Deficiency Letter Regarding Commencement
of Arbitration Proceeding
Appendix 3H: Letter to NASD Requesting Consolidation of Claims
Appendix 3I: NASD Request for Response to Letter Requesting
Consolidation of Claims
Appendix 3J: NASD Letter Informing Counsel Consolidation has been Granted
Appendix 3K: NYSE Letter Serving Statement of Claim
Appendix 3L: NASD Letter Serving Statement of Claim
Appendix 3M: NASD Letter Regarding List Selection Process
Appendix 3N: NYSE Memorandum Regarding Arbitrator Selection Process
Appendix 3O: NYSE Letters Regarding Arbitrator Selection Process
Appendix 3P: AAA Letter Serving Statement of Claim
Appendix 4: Answers, Counterclaims, and Third Party Claims
Appendix 4A: Respondent Counsel's Letter (Answer) to AAA Denying
Petitioner's Claims
Appendix 4B: Answer in Paragraph Pleading Form (Includes Affirmative Defenses)
Appendix 4C: Answer in Form of Letter
Appendix 4D: Answer in Narrative Form
Appendix 4E: NASD Deficiency Letter Regarding Answer
Appendix 4F: Counterclaim and Third Party Claim
Appendix 4G: NASD Memorandum that Pleadings Are Complete and Fixing Venue
Appendix 5: Pre-Hearing Discovery and Motion Practice
Appendix 5A: NASD Pre-Hearing Scheduling Letter
Appendix 5B: NASD Advance Sheet Announcing Date, Time and Location
of Hearing; and Names of Arbitrators, Parties and Representatives
Appendix 5C: AAA List Sheet for Selection of Arbitrators
Appendix 5D: AAA Letter Selecting Arbitrator
Appendix 5E: Arbitrator Disclosure Worksheet
Appendix 5F: AAA Preliminary Hearing Calendar Form
Appendix 5G: AAA Stipulation Regarding Direct Communication with Arbitrators
Appendix 5H: AAA Stipulation Regarding Arbitrator Compensation
Appendix 5I: AAA Letter and Notice of Preliminary Hearing
Appendix 5J: AAA Letter and Arbitrator Order Regarding Preliminary Hearing
Appendix 5K: AAA Notice of Arbitration Hearing
Appendix 5L: Counsel's Letter Requesting NASD to Direct Non-Part
NASD Member to Produce Documents
Appendix 5M: Motion to Compel Production of Documents
Appendix 5N: Motion to Dismiss (or, in the alternative, Answer)
Appendix 5O: Claimant's Information and Document Request: Customer Complaint
Appendix 5P: Respondent's Information and Document Request:
Customer Complaint
Appendix 5Q: Respondent's Document and Information Request:
Intra-Industry Dispute
Appendix 5R: Respondent's Response to Request for Information/Documents
Appendix 5S: Respondent's Response and Objection to Request for Production
of Documents
Appendix 5T: Counsel's Letter and NASD Third Party Subpoena for Production
of Documents
Appendix 5U: NASD Third Party Subpoena for Production of Documents
Appendix 5V: Counsel's Request for Appearance of Witnesses and Production
of Documents at Hearing
Appendix 5W: Counsel's Notice of Witnesses who will be Present at Hearing
Appendix 5X: Confidentiality Agreement Concerning Discovery
Appendix 6: Post-Hearing Briefs
Appendix 6A: AAA Request for Briefs
Appendix 6B: Claimant's Post-Hearing Statement
Appendix 6C: Respondent's Post-Hearing Brief
Appendix 7: Settlement Procedures
Appendix 7A: NASD Letter Acknowledging Settlement
Appendix 7B: AAA Letter Acknowledging Settlement
Appendix 7C: Mutual Release and Settlement Agreement
Appendix 8: Arbitrators' Awards
Appendix 8A: NASD Award Form
Appendix 8B: AAA Award Form
Appendix 8C: CBOE Arbitrators' Award Form
Appendix 8D: Petition to Confirm Arbitration Award
Appendix 8E: Alternate Petition to Confirm Arbitration Award
Appendix 8F: Motion to Vacate, Modify and/or Correct Arbitration Award
Appendix 9: Mediation
Appendix 9A: NASD Mediation Submission Agreement
Appendix 9B: NASD Mediator Selection Letter
Appendix 9C: NASD Confirmation Letter to Mediator
Appendix 9D: NASD Mediation Session Confirmation
Appendix 9E: NYSE Mediation Selection Letters
Appendix 9F: AAA Submission to Dispute Resolution
Appendix 9G: JAMS Securities-Related Disputes Mediation Submission Form
Appendix 9H: Standard JAMS Securities Mediation Agreement
Appendix 10: Comparison Chart of Old and New Arbitration Codes for Customer Disputes
Appendix 11: FINRA Dispute Resolution Party Reference Guide
Appendix 12: FINRA Uniform Submission Agreement