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Informationen zum Autor 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. Klappentext New financial regulations are impacting the options available to investors looking to recover assets. 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 really works-and how it can work in their favor, Investor's Guide to Loss Recovery presents a more approachable and effective process to exercising rights as a victim, with coverage of: Litigation resources and strategies you need to get familiar with How to effectively file a claim-and the results you can expect Detailed scripts of initial attorney interviews in mediation and arbitration How to organize the massive amount of documents exchanged between parties Personal interviews with securities attorneys, experts, and investors How newly enacted regulatory reforms will impact the process and options for financial fraud victims You can fight back, persist, and demand both justice and monetary recovery. Investor's Guide to Loss Recovery equips you-as well as investors, financial advisors, and attorneys-with the expert knowledge, insight, and preparation needed to recover from investment misconduct. Zusammenfassung 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. Inhaltsverzeichnis Foreword xi Preface xiii Acknowledgments xix Introduction xxiii CHAPTER 1: Road to Recovery 1 A Sharp Stick 1 Dodd-Frank: The Engine That Could 2 Rejecting Acceptance 4 The Incalculable Threshold 5 Dealing with the Demons 6 What Went Wrong? 7 What Can Be Done? 7 Criminal Trials 8 Civil Litigation 14 Class Action Litigation 17 Mediation 18 Arbitration 20 Notes 21 CHAPTER 2: Rock, Paper, Scissors 25 Five, Cinq, Fünf, Cinco 25 Category 1 ADR: Member Firm versus Member Firm 27 Category 2 ADR: Employee versus Member Firm 29 Category 3 ADR: Member Firm versus Employee 31 Category 4 ADR: Member Firm versus Private Investor 33 Category 5 ADR: Investor versus Member Firm 34 Notes 38 CHAPTER 3: Paperwork and Nostalgia 41 Equity, Epieikeia , or Myth? 41 Challenge of Solo Flight 44 A Trip to the Clinic 46 Paper versus Panel 47 The Perfect Counsel Is Imperfect 48 The Cone of (Near Total) Silence 50 Historical Revisionism 51 Strange Ways 52 Notes 53 CHAPTER 4: Revolutionary Acts 55 Jewels Among the Stones 55 Three Chords and the Truth 57 Your Story, Your Commitment 57 The Edge of Courage 60 More Than a Suggestion 62 Customer Requirements, List 2 62 I See Something That You Don't See 64 Respondent Requirements, List 1 65 Negligence/Breach of Fiduciary Duty, Lists 9 and 10 66 Churning, Lists 3 and 4 67 Failure to...
