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Securities Arbitration Desk Reference by Lipner, Seth E.This title includes: The Financial Industry Regulatory Authority (FINRA) Code of Arbitration Procedure, FINRA member conduct rules for brokers; relevant federal securities acts and the Uniform Securities Act. The complete text of each statute and rule is followed by expert commentary, practical suggestions, and references to interpretive materials and caselaw.
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Securities Arbitration Procedure Manual by Robbins, David E.Systematically describes the issues that arise in a dispute, how to evaluate the merits of a case, and how to prepare and present cases to arbitration panels anywhere in the country. It includes new FINRA rules and procedures, negligent misrepresentation and breach of fiduciary duty cases, meeting the burden of proof, schemes and reflects best practices before arbitrators.
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