About
Enforcement from state AGs, the SEC and SROs are all fueling the growing threat of customer claims. Do you have the knowledge and practical strategies needed to prevail in your next proceeding?
Customer claims against broker-dealers continue to rise at an alarming rate, with no relief in sight. And as the six-year eligibility rule from the 2000 market crash closes in, the climate will get worse before it gets better. Moreover, with the ongoing litany of corporate scandal and the ensuing loss of investor confidence, an increased disciplinary focus by the SROs, and customers continually seeking the high water mark in awards, defending against these claims is increasingly daunting.
American Conference Institute has developed the Prevaling Against Customer Claims publication that will give you inside knowledge on:
Selecting an effective arbitration panel for your case
Arbitration hearing tactics and strategies for minimizing damages
Keeping discovery costs down while avoiding enforcement fines
Finding and utilizing the right expert witnesses for your defense
Limiting your liability for independent broker misconduct
Maintaining ethical standards while defending your client
Contents & Contributors
REGULATORY DEVELOPMENTS IN SECURITIES ENFORCEMENT: WHAT WILL DRIVE THE NEXT WAVE OF CUSTOMER CLAIMS
Robert Clemente, Liddle & Robinson LLP
MEDIATION EXPERIENCES – HINDSIGHT CAN BE EDUCATIONAL
David Robbins, Kaufmann, Feiner, Yamin, Gildin & Robbins LLP
THE ROLE OF INSURANCE IN SECURITIES ARBITRATION
David Benfield, Hartford Financial Products
David Jarvis, Wachovia Securities, LLC
Jonathan Weber, AIG Inc.
Luigi Spadafora, Winget, Spadafora & Schwartzberg LLP
DEFENDING CLAIMS OF ANALYST'S CONFLICTS IN A CHANGING SOCIETY
Jonathan Uretsky, Phillipson & Uretsky, LLP
SELECTING AN EFFECTIVE ARBITRATION PANEL FOR BROKER/DEALER CLAIMS
Robert Clemente, Liddle & Robinson LLP
AVOIDING LIABILITY ON CLEARING CLAIMS
Jonathan Kord Lagemann, Law Offices of Jonathan Lagemann
CLEARING ARRANGEMENTS
Henry Minnerop, Sidley Austin Brown & Wood LLP
KEY ISSUES RELATING TO ELECTRONIC DISCOVERY
Stephen Younger, Patterson, Belknap, Webb & Tyler LLP
"YOU REALLY LIKE ME!" – SOME STRATEGIES FOR WINNING OVER ARBITRATIONS
Pete Michaels, Michaels & Ward LLP
WINNING OVER THE ARBITRATORS: STRATEGIES FOR DEFENSE COUNSEL BEFORE AND DURING ARBITRATION HEARINGS; MINIMIZING THE IMPACT OF PRO-CLAIMANT DECISIONS ON THE BROKER-DEALER
Bill Singer, Gusrae, Kaplan, Bruno & Nusbaum, PLLC
(EXCERPT OF) NASDR PROPOSED RULE CHANGES TO PROVIDE WRITTEN EXPLANATIONS AND ARBITRATION AWARDS
Daniel Taub, Bear, Stearns & Co. Inc.
WHEN A BROKER GOES BAD, WHERE DOES THE BUCK REALLY STOP?
Ernie Badway, Saiber Schlesinger Satz & Goldstein LLC
CONDUCTING ARBITRATIONS IN THE MIDST OF LITIGATION OR GOVERNMENT INVESTIGATION
David Gourevitch, The Law Office of David U. Gourevitch, P.C.
"CAN'T GET NO SATISFACTION!" – HOW EXPLAINED DECISIONS WILL UNDERMINE THE ARBITRATION PROCESS
Aegis Frumento, Duane Morris LLP
MAINTAINING ETHICAL STANDARDS IN SECURITIES ARBITRATIONS
Faun Phillipson, Phillipson & Uretsky, LLP
SECURITIES MEDIATION: THE FIGHT TO SETTLE?
David Picon, Proskauer Rose LLP
HOW MUCH IS A CASE WORTH, AND HOW DI YOU KNOW? A SYSTEMATIC APPROACH TO SETTLEMENT VALUATIONS
Aegis Frumento, Duane Morris LLP
Publication Details