Investor′s Guide to Loss Recovery – Rights, Mediation, Arbitration and other Strategies

Foreword xi
<p>Preface xiii</p>
<p>Acknowledgments xix</p>
<p>Introduction xxiii</p>
<p>CHAPTER 1: Road to Recovery 1</p>
<p>A Sharp Stick 1</p>
<p>Dodd–Frank: The Engine That Could 2</p>
<p>Rejecting Acceptance 4</p>
<p>The Incalculable Threshold 5</p>
<p>Dealing with the Demons 6</p>
<p>What Went Wrong? 7</p>
<p>What Can Be Done? 7</p>
<p>Criminal Trials 8</p>
<p>Civil Litigation 14</p>
<p>Class Action Litigation 17</p>
<p>Mediation 18</p>
<p>Arbitration 20</p>
<p>Notes 21</p>
<p>CHAPTER 2: Rock, Paper, Scissors 25</p>
<p>Five, Cinq, Fu&uml;nf, Cinco 25</p>
<p>Category 1 ADR: Member Firm versus Member Firm 27</p>
<p>Category 2 ADR: Employee versus Member Firm 29</p>
<p>Category 3 ADR: Member Firm versus Employee 31</p>
<p>Category 4 ADR: Member Firm versus Private Investor 33</p>
<p>Category 5 ADR: Investor versus Member Firm 34</p>
<p>Notes 38</p>
<p>CHAPTER 3: Paperwork and Nostalgia 41</p>
<p>Equity, Epieikeia, or Myth? 41</p>
<p>Challenge of Solo Flight 44</p>
<p>A Trip to the Clinic 46</p>
<p>Paper versus Panel 47</p>
<p>The Perfect Counsel Is Imperfect 48</p>
<p>The Cone of (Near Total) Silence 50</p>
<p>Historical Revisionism 51</p>
<p>Strange Ways 52</p>
<p>Notes 53</p>
<p>CHAPTER 4: Revolutionary Acts 55</p>
<p>Jewels Among the Stones 55</p>
<p>Three Chords and the Truth 57</p>
<p>Your Story, Your Commitment 57</p>
<p>The Edge of Courage 60</p>
<p>More Than a Suggestion 62</p>
<p>Customer Requirements, List 2 62</p>
<p>I See Something That You Don′t See 64</p>
<p>Respondent Requirements, List 1 65</p>
<p>Negligence/Breach of Fiduciary Duty, Lists 9 and 10 66</p>
<p>Churning, Lists 3 and 4 67</p>
<p>Failure to Supervise, Lists 5 and 6 69</p>
<p>Misrepresentation/Omissions, Lists 7 and 8 70</p>
<p>Unauthorized Trading, Lists 11 and 12 71</p>
<p>Unsuitability, Lists 13 and 14 72</p>
<p>Reform through Reduction? 73</p>
<p>A Venue for Intellect and Reason 74</p>
<p>Notes 75</p>
<p>CHAPTER 5: Expect the Unexpected 77</p>
<p>Tracking an M–80 77</p>
<p>The Baker′s Dozen 78</p>
<p>New Account Paperwork 79</p>
<p>Customer Monthly Statements 81</p>
<p>Customer Federal Tax Returns and Schedules 83</p>
<p>Communications 84</p>
<p>Presentations and Proposals 85</p>
<p>Commissions and Fees 86</p>
<p>Compliance Manuals and Evidence of Supervision 88</p>
<p>Business Unit Audit Results 90</p>
<p>Regulatory Central Data Records 91</p>
<p>Prospectuses and Offering Documents 92</p>
<p>Phone Records 93</p>
<p>Marketing Materials 93</p>
<p>Damage Calculations 94</p>
<p>Notes 97</p>
<p>CHAPTER 6: The Lean Compromise 99</p>
<p>In Other Words, Schiedsgerichtsvereinbarung 99</p>
<p>Augustinian Guidance 101</p>
<p>Mediation, Act I: Getting to Know You 106</p>
<p>Mediation, Act II: We Are Gathered Together 108</p>
<p>Mediation, Act III: I′m a Victim 109</p>
<p>Mediation, Act IV: Hold On, Not So Fast 111</p>
<p>Mediation, Act V: Deal or No Deal? 113</p>
<p>Notes 115</p>
<p>CHAPTER 7: Arbitration: People, Places, and Things 117</p>
<p>Arbitration (Third Century B.C.) 117</p>
<p>People 119</p>
<p>Places 121</p>
<p>Things 122</p>
<p>Arbitration Script 125</p>
<p>Notes 150</p>
<p>CHAPTER 8: The Advocates 151</p>
<p>Advocacy, Not Advice 151</p>
<p>Margery S. Bronster 152</p>
<p>Louis F. Burke 156</p>
<p>G. Kent Edwards 163</p>
<p>Richard S. Frankowski 167</p>
<p>Jan Graham 173</p>
<p>Charles C. Mihalek 176</p>
<p>Tina Morin 180</p>
<p>William S. Shepherd 186</p>
<p>Wisdom 2,317 Miles from Wall Street 189</p>
<p>Notes 189</p>
<p>CHAPTER 9: End of the Beginning 191</p>
<p>Wabi–Sabi 191</p>
<p>Twenty–Four Points 192</p>
<p>A Graphic Graphic 195</p>
<p>The Equation 198</p>
<p>We the People 198</p>
<p>Notes 199</p>
<p>About the Author 201</p>
<p>Index 203</p>