| Securities Arbitration 2013 Table of Contents |
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| Chapter 1: Preparing for Arbitration—Arbitration Before FINRA (May 28, 2013) |
Laurence S. Moy ~ Outten & Golden, LLP
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| Chapter 2: Arbitration Practicum on Product Cases |
Brian F. Amery ~ Bressler, Amery & Ross, P.C.
David J. Butler ~ Bressler, Amery & Ross, P.C.
Frank J. Cuccio ~ Bressler, Amery & Ross, P.C.
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| Chapter 3: FINRA Rule 2111 |
Robert L.D. Colby ~ FINRA
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| Chapter 4: Regulatory Notice 11-02: Know Your Customer and Suitability |
Robert L.D. Colby ~ FINRA
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| Chapter 5: Frequently Asked Questions FINRA Rule 2111 (Suitability) |
Robert L.D. Colby ~ FINRA
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| Chapter 6: Regulatory Notice 12–25 (May 2012) |
Robert L.D. Colby ~ FINRA
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| Chapter 7: Regulatory Notice 12–55 (December 2012) |
Robert L.D. Colby ~ FINRA
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| Chapter 8: Expungement of Customer Complaint CRD Information Following Settlement of a FINRA Arbitration |
Seth E. Lipner ~ Zicklin School of Business, Baruch College
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| Chapter 9: All Public Arbitrator Panels: A More Level Playing Field |
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
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| Chapter 10: The Financial Industry Regulatory Authority’s Dispute Resolution Activities (May 1, 2013) |
Barbara Brady ~ FINRA Dispute Resolution
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| Chapter 11: Conflicts of Interest Between Current and Former Clients in Securities Cases |
Joel E. Davidson ~ SureSettle, LLC
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| Chapter 12: Utilizing Managed Futures in Traditional Portfolios |
Henry R. Ferguson ~ HRFerguson Financial Consultants, LLC
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| Chapter 13: Arbitraton Case Law Update 2013 (May 20, 2013) |
Jill I. Gross ~ Professor of Law, Director of Legal SkillsDirector, Investor Rights Clinic, Pace Law School
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| Chapter 14: Arbitration Award Vacatur in 2013: You Say Tomahto, I Say Tomato—You Say Manifest Disregard, I Say Exceeds Powers |
Sandra D. Grannum ~ Davidson & Grannum, LLP
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| Chapter 15: Determining Whether an Individual is a Firm’s Customer for Purposes of Compelling Arbitration: Recent Court Cases and FINRA Rules Fashion a New Standard (May 14, 2013) |
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| Index to Securities Arbitration 2013 |
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