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Securities Arbitration: Practice and Forms, 3rd Edition

Securities Arbitration: Practice and Forms, 3rd Edition

Author: W. Reece Bader; Burton W. Wiand
Publisher: Juris Publishing
ISBN: 9781944825508
Published In: October 2020
Format: Paperback , 550 pages
Jurisdiction: International ? Disclaimer:
Countri(es) stated herein are used as reference only

HKD 1,750.00

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Securities Arbitration: Practice and Forms - Third Edition is the leading start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of brokerage firms and other financial institutions (including inside counsel, outside counsel, and compliance directors and their staffs), members of the staffs of sponsoring organizations, and arbitrators themselves. This publication is an efficient tool that can be readily used by all participants at every stage in the arbitration process to deal with the various issues, questions and problems that arise in such proceedings. It has been written as a comprehensive text with special emphasis on practice and procedure. This book is a required reference and guide for all those involved in the Securities Arbitration process.
Part I Securities Arbitration

Chapter 1 The Regulatory Framework of Securities Arbitration

Chapter 2 Jurisdiction

Chapter 3 The Arbitration Agreement

Chapter 4 Determining Whether to Arbitrate or Litigate

Chapter 5 Compelling or Resisting Arbitration

Chapter 6 Commencing an Arbitration Proceeding

Chapter 7 Pre-Hearing Matters

Chapter 8 The Conduct of the Hearing

Chapter 9 Remedies and Damages

Chapter 10 The Award

Chapter 11 Enforcing or Appealing an Arbitration Award

Chapter 12 Mediation: An Alternative to Arbitration

Part II: Law and Rules

Part III: Pleadings and Forms
W. Reece Bader received his B.A. in 1963 from Williams College, and his J.D. in 1966 from Duke University of Law, where he was an Editor, Duke Law Journal. After a clerkship with Warren E. Burger on the United States Court of Appeals, D.C. Circuit, he joined Orrick, Herrington & Suteliffe in 1968 and became a partner in January 1974. He is a former member of the National Arbitration and Mediation Committee of the NASDR, past Co-Chair of the Securities Litigation Committee, and past Co-Chair of the Alternative Dispute Resolution Committee of the ABA's Litigation Section, a member of the Securities Dispute Resolution Committee of the Center for Public Resources and member of its Distinguished Neutrals Panel.

Burton W. Wiand received his B.A. in 1968 from the University of the South and his J.D. from the University of Georgia in 1971. He began his legal career in 1971 by spending almost 14 years with the SEC's Division of Enforcement in Washington, D.C. In 1989 he joined Fowler White Boggs Banker in Tampa and built a nationally recognized financial services and complex litigation practice. In 2009, along with other members of that practice, he formed Wiand Guerra King. With more than 35 years of practice, Burt Wiand has become known as a lawyer that businesses and individuals involved in business turn to when dealing with the most difficult of legal circumstances. His practice includes white collar criminal defense, defense of regulatory matters involving governmental agencies and self regulatory organizations as well as complex litigation matters that threaten the business and reputation of his clients.

Mr. Wiand has been appointed as receiver in SEC enforcement actions, FTC cases and in similar capacities at the request of state regulators. He is a frequent speaker to financial services and regulatory groups, including the North American Securities Administrators Association's Annual Conference. He provides CLE both directly and through industry and bar groups. He also serves as a contributing editor to the Securities Litigation Commentator. He is a member of the American Bar Association, the Legal & Compliance Division of SIFMA. He serves as a FINRA and NFA arbitrator. He is a mediator certified by the Supreme Court of Florida.