At this highly acclaimed 17th annual program, a distinguished
faculty of arbitrators, administrators, experts, mediators,
practitioners and regulators will dymystify the arbitration
process. These experts will untangle for you the increasingly
complex isssues and processes, so that you can most effectively
represent your clients.
Welcome & Introduction to Program
In recent years, securities arbitration has acquired most of the
complexities of litigation, but few of the procedural and
substantive safeguards. Our faculty of leading experts will show
you how to understand and unravel these complexities so you can
best represent your clients. For each subject, they will contrast
the most complex and simplest ways to get your points across.
- Today's hypothetical case
- Good version - Bad version
- Central theme - Simplifying the process
Administrators on Administration: How to Use the Rules to
Simplify the Process
Directors of Arbitration of NASD Dispute Resolution and of the
New York Stock Exchange, Inc. (and selected members of their
staffs) will explain:
- The role of the administrator
- How to use the rules and online information
- How to avoid pitfalls and mistakes
- Best practices
- How to complain
- NASDs "plain English" rule revisions
- What happens to pleadings
- Update from the SROs
Arbitrators: How to Reach & Convince Them
In the end - and from the beginning - it is the arbitrators who
have to be convinced, not your client or adversary (unless the
arbitration is viewed as a settlement device). How can you
streamline your presentation to reach the arbitrator? When is too
little not enough? When do the details become information overload?
How do you get the arbitrators on your side? How do you get them to
see the big picture so clearly that they could give your
summation?
Our panel of experienced arbitrators will analyze: What works
and what doesn't
- How to plead - Case study
- What documents are important
- Discovery - Best practices
- Asserted privileges and resulting ethical issues
- Motions or not?
- How to win - From suitability cases to stock analyst cases
- NASDs new online training of chairpersons
Mediators on Mediation: How to Present Your Position So that
Settlement Makes the Most Sense
Securities mediation has become an accepted means to break
logjams and craft resolutions that are agreed to by all parties.
Practitioners no longer see mediation as a sign of weakness.
Remarkably, however, many parties agree to mediation, but fail to
prepare. The key to successful mediation is not just a willingness
to use the process in good faith and to hire a mediator whom both
parties respect, but also to thoroughly prepare yourself and your
client.
Our experienced panel of mediators will explore:
- When to hire a mediator
- How to identify issues and prepare
- Pitfalls to avoid
- Use of experts
- How mediators simplify the issues
- How they get the parties to settle
- Why cases havent settled - Lessons from examples
Practitioners & Experts Show Us How to Simplify the Law
of Arbitration & Damage Calculations
This panel of practitioners and experts will: (1) show you how
to identify the statutes and common law that are most important to
arbitrators and (2) explain the law so that even the non-attorneys
on the panel will appreciate its significance. These experts will
cut through the many different damage calculations and theories
presented to arbitrators and will tell you "what sells" (whether as
experts for customers or brokerage firms).
You will learn how to:
- Define classic theories
- Explore emerging theories
- Present theories to arbitrators
- Measure damage
Setting the Stage - A Case Study
Your Course Handbook includes two Statements of Claim for the
same hypothetical case. The first is taken from an actual Claim,
with names changed to protect the identity of the customers
attorney who drafted it. The second is a format often used by
experienced securities arbitration attorneys.
In this session, our panel of seasoned practitioners will
compare and contrast bad and good pleadings, discovery requests and
arbitrator preconditioning.
The panel will explore and debate:
- Good pleadings (examples)
- Bad pleadings (examples)
- Whom to name as respondents
- Whether to file counterclaims
- Practitioner tips
- Discovery
- Arbitrator preconditioning (how to make the panel receptive for
things to come)
Trying the Case as Expeditiously as Possible
It's two weeks before the hearing and you've organized your
documents, but you're not sure whether to introduce them all.
You're still grappling with endless theories of liability and
defenses and have too many witnesses on your 20-Day Exchange list.
You thought this was going to be a "simple" case - it is now a
complex nightmare.
A panel of experienced practitioners will show you how to
jettison the excess baggage of your case right before the hearing
and how to focus on the essentials at the hearing. They will
explore the following issues and help you tell your client's story
in a convincing and compelling manner.
- Theories and themes
- Order of proof - Calling the broker first
- Essential elements
- Ethical issues that arise in the middle of a case
- Making witnesses out of human beings
- Opening statements
- Importance of cross-examination
- Summing it all up in its simplest terms
This program is also available for purchase in segments on West
LegalEdcenter.
Administrators on Administration: How to Use the Rules to Simplify
the Process, and Arbitrators: How to Reach & Convince Them,
from Securities Arbitration 2003: Simplifying Complexity
Mediators on Mediation, from Securities Arbitration 2003:
Simplifying Complexity
Practitioners & Experts Show Us How to Simplify the Law, and
Setting the Stage - A Case Study, from Securities Arbitration 2003:
Simplifying Complexity
Trying the Case as Expeditiously as Possible, from Securities
Arbitration 2003: Simplifying Complexity
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
