Securities Arbitration Procedure Manual


Book Description

This manual is acknowledged to be the essential reference in the field of securities arbitration. It systematically describes the issues that arise in a dispute, how to evaluate the merits of a case, & how to prepare & present cases to arbitration panels anywhere in the country. In the Third Edition, David Robbins updates his work to reflect the important new issues governing discovery on the Internet, NASD's new eligibility rule, & its rule on punitive damages.




Securities Arbitration: Practice and Forms


Book Description

Securities Arbitration: Practice and Forms 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. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from the author, found throughout the text and on the accompanying CD-ROM. Securities Arbitration: Practice and Forms is a required reference and guide for all those involved, or potentially involved, in the Securities Arbitration process All of the accompanying sample pleadings and forms are included on a CD-ROM in PDF




Model Rules of Professional Conduct


Book Description

The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.




How to Master Commercial Mediation


Book Description

“Incontrovertibly the most important book on mediation published in English in recent years (possibly EVER?)” Hew Dundas, Former President of the Chartered Institute of Arbitrators “Great attention to detail, bringing together a life time experience! I will certainly be recommending it to people in Ireland who come on my training courses.” Geoffrey Corry, Mediator and Trainer “Put simply, it is a masterpiece.” John Sturrock, Core Solutions Group David Richbell is ranked fifth, internationally, in the top ten “Most Highly Regarded Commercial Mediators" by Who's Who Legal 2014 How to Master Commercial Mediation guides commercial mediators through every stage of their development, from novice to the aspirational standards of the master mediator. Moulding, maturing and mastering Split into three sections, this new title covers the essential skills and processes of effective commercial mediation for three levels of competence: Moulding for novices; Maturing for practising mediators and; Mastering for those who are at the top and wish to maintain their excellence. Section one covers basic skills and process. It includes a case study that covers each phase of a typical mediation, and also covers typical challenges that may be encountered. Section two builds on these basic skills and covers psychology in mediation, specialist sectors, ethics and intercultural mediation. Section three looks at the personal and external development needed for mediators to become experts in their field. It includes contributions from mediators in every European jurisdiction describing the state of mediation in a particular jurisdiction and its place within that respective legal system as well as discussing further intercultural skills. It also looks at skills beyond mediation that can be used to help in dispute resolution. Written by an experienced commercial mediator with specialist contributions from other renowned mediators How to Master Commercial Mediation is filled with expert, practical advice and tips. It also includes bullet point summaries, checklists, scripts of actual commercial mediations together with questions and answers.




New Developments in Civil and Commercial Mediation


Book Description

By means of the analysis of more than 20 national jurisdictions of different legal and geographical origin this book provides a general understanding of the developments that civil and commercial mediation is currently undertaking across the world. The book combines 25 national reports with a General Report analyzing the major trends in civil and commercial mediation worldwide. A number of the key variables that make mediation so effective are studied in depth in the book. The concept of mediation, that varies from country to country. Its legal framework and the branches of public and private law in which it is used. The legal condition of the mediation agreement and its relevant conditions of form and content, the responsibilities of the parties in the event that they violate this agreement and the effects of this agreement on potential recourse to the courts or to arbitration, as well as with regard to pending cases. As well as the role played by the mediator, his or her appointment or designation, legal and ethical responsibilities, and the role of institutions in mediation. As well as the mediation process, its applicable rules and principles and its costs are analyzed on comparative basis. The book also pays special attention to the outcome of mediation. The enforceability of the settlement reached both in domestic and cross-border mediations constitutes a basic element for the success of the institution and is thoroughly studied. This volume constitutes a unique instrument for those interested on mediation, either practitioners, judges or academics.




Civil and Commercial Mediation in Europe (set - Vols. 1&2)


Book Description

Originally available as two separate volumes, Intersentia's Civil and Commercial Mediation in Europe is now available as a two volume set. *** About Volume I on National Mediation Rules and Procedures: Mediation is becoming an increasingly important tool for resolving civil and commercial disputes. Although it has been long since recognized in many legal systems, in recent years it has received an important boost and is currently one of the most topical issues in the field of dispute resolution. The European Directive 2008/52/EC of the European Parliament and of the Council of 21.5.2008 on certain aspects of mediation in civil and commercial matters, prescribes a set of minimum common rules on mediation for all EU Member States, with the exception of Denmark. This book examines the current legal framework in every EU Member State regarding mediation in civil and commercial matters, as well as the way in which the Directive has been, or is expected to be, implemented in the near future. It is written by renowned specialists on mediation in Europe and provides an exhaustive account for both scholars and practitioners in Europe and beyond the continent. Every chapter on national law analyzes: both out-of-court and court-annexed mediation in the existing legal framework * the areas of law covered by mediation * the value and formal requirements of the agreement to submit any dispute to mediation * personal features and requirements for mediators * procedural requirements in the mediation procedure * the relationship between the mediator and public authorities * the outcome of the mediation procedure * in the scenario in which a mediation settlement is reached, its requirements and effects. *** About Volume II on Cross-Border Mediation: Mediation plays a leading role within the movement of Alternative Dispute Resolution after centuries in which for several reasons the State and State courts were regarded as the only available instrument to ensure access to justice to citizens. In the European Union the institution of mediation has received much support in the form of Directive 2008/52/EC which sets forth a minimum common legal framework for mediation in the Member States. The 2008 Directive has finally been implemented in the Member States and this book provides the much needed in-depth analysis of the status of the mediation regimes in the European Union. The analysis covers the legal regimes of the Member States set up for cross-border and national mediation. This volume includes national reports on cross-border mediation including in-depth information on all the relevant aspects of cross-border mediation: the notion of cross-border mediation, the law applicable to the mediation clause, the mediation proceedings and the content of the settlement reached by the parties. Special attention is of course given to the recognition and enforcement in the European Union of settlements reached in other Member States and outside Europe. In addition the role of mediators and requirements to become a mediator are examined. This book provides a unique picture of the legal situation in the European Union for cross-border mediation. It is an invaluable instrument for those who want to know more about this complex topic or want to become a mediator in Europe themselves.




SEC Docket


Book Description




Business Law I Essentials


Book Description

A less-expensive grayscale paperback version is available. Search for ISBN 9781680923018. Business Law I Essentials is a brief introductory textbook designed to meet the scope and sequence requirements of courses on Business Law or the Legal Environment of Business. The concepts are presented in a streamlined manner, and cover the key concepts necessary to establish a strong foundation in the subject. The textbook follows a traditional approach to the study of business law. Each chapter contains learning objectives, explanatory narrative and concepts, references for further reading, and end-of-chapter questions. Business Law I Essentials may need to be supplemented with additional content, cases, or related materials, and is offered as a foundational resource that focuses on the baseline concepts, issues, and approaches.




Enforcement of Corporate and Securities Law


Book Description

This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.




Online Resolution of E-commerce Disputes


Book Description

This book discusses how technological innovations have affected the resolution of disputes arising from electronic commerce in the European Union, UK and China. Online dispute resolution (ODR) is a form of alternative dispute resolution in which information technology is used to establish a process that is more effective and conducive to resolving the specific types of dispute for which it was created. This book focuses on out-of-court ODR and the resolution of disputes in the field of electronic commerce. It explores the potential of ODR in this specific e-commerce context and investigates whether the current use of ODR is in line with the principles of access to justice and procedural fairness. Moreover, it examines the major concerns surrounding the development of ODR, e.g. the extent to which electronic ADR agreements are recognized by national courts in cross-border e-commerce transactions, how procedural justice is ensured in ODR proceedings, and whether ODR outcomes can be effectively enforced. To this end, the book assesses the current and potential role of ODR in resolving e-commerce disputes, identifies the legal framework for and legal barriers to the development of ODR, and makes recommendations as to the direction in which practice and the current legal framework should evolve. In closing, the book draws on the latest legislation in the field of e-commerce law and dispute resolution in order to make recommendations for future ODR design, such as the EU Platform-to-Business Regulation on Promoting Fairness and Transparency for Business Users of Online Intermediation Services (2019) and the United Nations Convention on International Settlement Agreements Resulting from Mediation (2018), which provide the legal basis for ODR’s future development.