The Resource FINRA arbitration and enforcement : a legal and practice guide, Mark S. Cohen, Lawrence T. Gresser, C. Evan Stewart, Daniel H. Tabak, Harvey B. Silikovitz (Cohen & Gresser LLP)

FINRA arbitration and enforcement : a legal and practice guide, Mark S. Cohen, Lawrence T. Gresser, C. Evan Stewart, Daniel H. Tabak, Harvey B. Silikovitz (Cohen & Gresser LLP)

Label
FINRA arbitration and enforcement : a legal and practice guide
Title
FINRA arbitration and enforcement
Title remainder
a legal and practice guide
Statement of responsibility
Mark S. Cohen, Lawrence T. Gresser, C. Evan Stewart, Daniel H. Tabak, Harvey B. Silikovitz (Cohen & Gresser LLP)
Title variation
Financial Industry Regulatory Authority arbitration and enforcement
Creator
Contributor
Author
Issuing body
Subject
Genre
Language
eng
Summary
"... examines proceedings involving the Financial Industry Regulatory Authority (FINRA) in its dual capacities as a forum for dispute resolution and as a securities industry regulator. The portfolio begins with a discussion of the FINRA arbitration process for the resolution of disputes between member firms, associated persons, and customers. Included is a review of the applicable arbitration codes, and an examination of prehearing matters, motion practice, hearings, and awards. This portion of the portfolio concludes with a discussion of the procedures for confirming, modifying and vacating arbitration awards. The portfolio then examines enforcement actions brought by FINRA against member firms and their associated persons. This chapter reviews FINRA investigations, the disciplinary proceeding process, and the procedures for appeals from or the review of decisions rendered in a FINRA disciplinary proceeding."
Member of
Cataloging source
BNA
Characteristic
updating web site
http://library.link/vocab/creatorName
Cohen, Mark S
Entry convention
integrated entry
LC call number
KF1434
LC item number
.S43 no. 289
Nature of contents
  • dictionaries
  • bibliography
Regularity
complete irregular
http://library.link/vocab/relatedWorkOrContributorDate
1952-
http://library.link/vocab/relatedWorkOrContributorName
  • Gresser, Lawrence
  • Stewart, Charles E.
  • Tabak, Daniel H.
  • Silikovitz, Harvey B.
  • Bloomberg BNA
Series statement
Securities practice portfolio series
Series volume
portfolio 289
http://library.link/vocab/subjectName
  • Financial Industry Regulatory Authority
  • Securities
  • Arbitration and award
  • Financial services industry
Label
FINRA arbitration and enforcement : a legal and practice guide, Mark S. Cohen, Lawrence T. Gresser, C. Evan Stewart, Daniel H. Tabak, Harvey B. Silikovitz (Cohen & Gresser LLP)
Instantiates
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Detailed analysis. FINRA arbitration proceedings -- Arbitrator selection and pre-hearing matters -- Motion practice -- Hearings and awards -- Judicial motions to confirm, vacate or modify the award, FINRA investigations and enforcement actions
Dimensions
unknown
Extent
1 online resource.
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
(OCoLC)910563807
Label
FINRA arbitration and enforcement : a legal and practice guide, Mark S. Cohen, Lawrence T. Gresser, C. Evan Stewart, Daniel H. Tabak, Harvey B. Silikovitz (Cohen & Gresser LLP)
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Detailed analysis. FINRA arbitration proceedings -- Arbitrator selection and pre-hearing matters -- Motion practice -- Hearings and awards -- Judicial motions to confirm, vacate or modify the award, FINRA investigations and enforcement actions
Dimensions
unknown
Extent
1 online resource.
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
(OCoLC)910563807
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