About
"The system is run by the industry and for the industry, and it is unfair."* Statements like this from state officials about broker-dealers reveal that
no matter what steps SROs take to combat misconduct, the
deck remains
stacked against respondents in customer claims. In reality, investors and the plaintiff's
bar have had a tremendous impact on the rules and regulations regarding the arbitration
process. For example, the most recent discovery rules (NASD 99-90), the proposed "explained
decision" rule, and the NYSE stance on not accepting motions to dismiss
all clearly swing the pendulum in favor of claimants and pose complex challenges
for respondents.
ACI's Resolving Customer Claims publication will
give you key information you need to overcome those challenges, with a focus
on strategic lines of defense and cutting edge techniques for quickly resolving
customer claims.
About
"The system is run by the industry and for the industry, and it is unfair."* Statements like this from state officials about broker-dealers reveal that
no matter what steps SROs take to combat misconduct, the
deck remains
stacked against respondents in customer claims. In reality, investors and the plaintiff's
bar have had a tremendous impact on the rules and regulations regarding the arbitration
process. For example, the most recent discovery rules (NASD 99-90), the proposed "explained
decision" rule, and the NYSE stance on not accepting motions to dismiss
all clearly swing the pendulum in favor of claimants and pose complex challenges
for respondents.
ACI's Resolving Customer Claims publication will
give you key information you need to overcome those challenges, with a focus
on strategic lines of defense and cutting edge techniques for quickly resolving
customer claims.
Contents & Contributors
BROKER DEALER FORM
Stephen G. Sneeringer, A.G. Edwards & Sons, Inc.
SECURITIES ARBITRATION VIS A VIS SECURITIES LITIGATION: TO BE OR NOT TO BE
Jonathan C. Uretsky, Phillipson & Uretsky, LLP
ARBITRATOR BY AGREEMENT
Theodore G. Eppenstein, Eppenstein & Eppenstein
Madelaine Eppenstein, Eppenstein & Eppenstein
MOTIONS TO DISMISS: WHEN, WHERE AND HOW TO ENSURE FRIVOLOUS CLAIMS ARE THROWN OUT
Wendy Robinson, Morgan Stanley
DOING BATTLE WITH DOCUMENT REQUESTS: HOW TO STEER CLEAR OF SANCTIONS AND ESTABLISH A STRONG DEFENSE
Richard Roth, The Roth Law Firm, PLLC
KEY THIRD-PARTY DISCOVERY ISSUES IN ARBITRATION
Stephen P. Younger, Patterson Belknap Webb & Tyler LLP
SELECTING ARBITRATORS: INSIGHTS FROM THE INSIDE
Robert S. Clemente
ARBITRATION LITIGATION AND GOVERNMENT INVESTIGATIONS: PREVENTING CLAIM CARRYOVER
Rodney Acker, Jenkens & Gilchrist, PC
Brian Amery, Bressler, Amery & Ross, PC
Michael Bachner, Bachner & Herskovitz, PC
USING THIRD-PARTY DISCOVERY OF CLAIMANT'S INVESTMENT PRACTICES OUTSIDE OF THE SECURITIES INDUSTRY TO DEFEND AGAINST CUSTOMER CLAIMS OF UNSUITABILITY
Michael B. Roche, Schuyler Roche & Zwirner, PC
VARIABLE ANNUITIES: AN OVERVIEW OF THE REGULATORY LANDSCAPE AND EXAMINATION OF RECENT LITIGATION
Pete S. Michaels, Michaels & Ward LLP
Derek C. Anderson, Michaels & Ward LLP
Publication Details