Securities Arbitration: Practice and Forms

Overview

Bonus! All of the accompanying sample pleadings and forms are included on a CD-ROM in RTF (Rich Text Format). This format allows the user to open each document for editing in either Word or Wordperfect.

About The Book:
Securities Arbitration: Practice and Forms is intended to be a start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of...

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Overview

Bonus! All of the accompanying sample pleadings and forms are included on a CD-ROM in RTF (Rich Text Format). This format allows the user to open each document for editing in either Word or Wordperfect.

About The Book:
Securities Arbitration: Practice and Forms is intended to be a 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 designed to be 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. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from experienced securities lawyers. It is the intention of the author to update this publication as developments require with revised text, new forms, pleadings and practice aids, and, if necessary, new chapters covering additional subjects.

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Product Details

  • ISBN-13: 9781929446315
  • Publisher: JurisNet, LLC
  • Publication date: 1/1/1991

Meet the Author

W. Reece Bader is a Partner in the Paris office of Orrick and is a member of the Securities Litigation/Regulatory Group. He has concentrated his practice in the area of securities and futures litigation since 1970. He has extensive experience, including substantial jury and non-jury trial work in broker-dealer litigation including securities, commodities and public finance. He also handles appellate matters and has represented the Securities Industry Association as amicus curiae in broker-dealer litigation. He has acted as lead defense counsel in complex class actions involving initial public offerings and derivative suits, both on behalf of underwriters, companies and officers and directors. He also regularly represents broker-dealers and individuals in both SEC and SRO enforcement actions. These representations have involved a wide variety of issues including insider trading, net capital rules, political contributions, just and equitable trade practices, failure to supervise, books and records, and practices affecting options, futures and Rule 144. As part of his practice he also appears in arbitrations conducted by self-regulatory organizations. As a complement to this practice, he assists the firm's Public Finance Department in litigation concerning municipal securities.

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. Mr. Baderfrequently writes and lectures on issues pertinent to securities litigation arbitration and mediation.

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