Investor's Guide to Loss Recovery : Rights, Mediation, Arbitration, and Other Strategies

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  • Edition: 1st
  • Format: Hardcover
  • Copyright: 2011-09-27
  • Publisher: Wiley
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Essential guidance for recovery of lost assets through arbitration, mediation and other forms of conflict resolution Since the discovery of the Madoff fraud and investment scandals associated with the global credit crisis, investors have become aware that they can fight back and demand both justice and monetary recovery. To date, the only reliable resources on securities arbitration have been either sensationalized accounts of how to sue Wall Street or legal references, which provide no practical application. Filled with expert guidance showing investors how arbitration works, Investors Guide to Loss Recovery fills that gap by providing a focus on all of the investors options when a conflict arises. Includes charts showing the major areas of litigation as well as empirical evidence of enhanced awareness of investment misconduct Proprietary research by the author, demonstrating arbitration results Analysis on how newly enacted regulatory reforms will impact the process and options for financial fraud victims Personal interviews with securities attorneys, experts and investors Detailed scripts of initial attorney interviews, mediation and arbitration New financial regulations are impacting the options available to investors looking to recover assets. Investors Guide to Loss Recovery is must-have reading for every investor, financial advisor, and attorney.

Author Biography

Louis L. Straney spent twenty-four years as a senior manager in the financial services industry, including a four-year tenure at the director level with Smith Barney. In 2007, he created Arbitration Insight, LLC, through which he currently provides expert witness and consulting services for securities- and commodities-related disputes. He has published articles in law journals and a self-study course on securities fraud for the Association of Certified Fraud Examiners (ACFE), where he provides training and is a regular speaker at U.S. and international conferences and events.

Table of Contents

Forewordp. xi
Prefacep. xiii
Acknowledgmentsp. xix
Introductionp. xxiii
Road to Recoveryp. 1
A Sharp Stickp. 1
Dodd-Frank: The Engine That Couldp. 2
Rejecting Acceptancep. 4
The Incalculable Thresholdp. 5
Dealing with the Demonsp. 6
What Went Wrong?p. 7
What Can Be Done?p. 7
Criminal Trialsp. 8
Civil Litigationp. 14
Class Action Litigationp. 17
Mediationp. 18
Arbitrationp. 20
Notesp. 21
Rock, Paper, Scissorsp. 25
Five, Cinq, Fünf, Cincop. 25
Member Firm versus Member Firmp. 27
Employee versus Member Firmp. 29
Member Firm versus Employeep. 31
Member Firm versus Private Investorp. 33
Investor versus Member Firmp. 34
Notesp. 38
Paperwork and Nostalgiap. 41
Equity, Epieikeia, or Myth?p. 41
Challenge of Solo Flightp. 44
A Trip to the Clinicp. 46
Paper versus Panelp. 47
The Perfect Counsel Is Imperfectp. 48
The Cone of (Near Total) Silencep. 50
Historical Revisionismp. 51
Strange Waysp. 52
Notesp. 53
Revolutionary Actsp. 55
Jewels Among the Stonesp. 55
Three Chords and the Truthp. 57
Your Story, Your Commitmentp. 57
The Edge of Couragep. 60
More Than a Suggestionp. 62
Customer Requirements, List 2p. 62
I See Something That You Don't Seep. 64
Respondent Requirements, List 1p. 65
Negligence/Breach of Fiduciary Duty, Lists 9 and 10p. 66
Churning, Lists 3 and 4p. 67
Failure to Supervise, Lists 5 and 6p. 69
Misrepresentation/Omissions, Lists 7 and 8p. 70
Unauthorized Trading, Lists 11 and 12p. 71
Unsuitability, Lists 13 and 14p. 72
Reform through Reduction?p. 73
A Venue for Intellect and Reasonp. 74
Notesp. 75
Expect the Unexpectedp. 77
Tracking an M-80p. 77
The Baker's Dozenp. 78
New Account Paperworkp. 79
Customer Monthly Statementsp. 81
Customer Federal Tax Returns and Schedulesp. 83
Communicationsp. 84
Presentations and Proposalsp. 85
Commissions and Feesp. 86
Compliance Manuals and Evidence of Supervisionp. 88
Business Unit Audit Resultsp. 90
Regulatory Central Data Recordsp. 91
Prospectuses and Offering Documentsp. 92
Phone Recordsp. 93
Marketing Materialsp. 93
Damage Calculationsp. 94
Notesp. 97
The Lean Compromisep. 99
In Other Words, Schiedsgerichtsvereinbarungp. 99
Augustinian Guidancep. 101
Getting to Know Youp. 106
We Are Gathered Togetherp. 108
I'm a Victimp. 109
Hold On, Not So Fastp. 111
Deal or No Deal?p. 113
Notesp. 115
Arbitration: People, Places, and Thingsp. 117
Arbitration (Third Century B.C.)p. 117
Peoplep. 119
Placesp. 121
Thingsp. 122
Arbitration Scriptp. 125
Notesp. 150
The Advocatesp. 151
Advocacy, Not Advicep. 151
Wisdom 2,317 Miles from Wall Streetp. 189
Notesp. 189
End of the Beginningp. 191
Twenty-Four Pointsp. 192
A Graphic Graphicp. 195
The Equationp. 198
We the Peoplep. 198
Notesp. 199
About the Authorp. 201
Indexp. 203
Table of Contents provided by Ingram. All Rights Reserved.

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