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

Content: 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, Funf, 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 Supervise, Lists 5 and 6 69     Misrepresentation/Omissions, Lists 7 and 8 70     Unauthorized Trading, Lists 11 and 12 71     Unsuitability, Lists 13 and 14 72     Reform through Reduction? 73     A Venue for Intellect and Reason 74     Notes 75     CHAPTER 5: Expect the Unexpected 77     Tracking an M-80 77     The Baker\'s Dozen 78     New Account Paperwork 79     Customer Monthly Statements 81     Customer Federal Tax Returns and Schedules 83     Communications 84     Presentations and Proposals 85     Commissions and Fees 86     Compliance Manuals and Evidence of Supervision 88     Business Unit Audit Results 90     Regulatory Central Data Records 91     Prospectuses and Offering Documents 92     Phone Records 93     Marketing Materials 93     Damage Calculations 94     Notes 97     CHAPTER 6: The Lean Compromise 99     In Other Words, Schiedsgerichtsvereinbarung 99     Augustinian Guidance 101     Mediation, Act I: Getting to Know You 106     Mediation, Act II: We Are Gathered Together 108     Mediation, Act III: I\'m a Victim 109     Mediation, Act IV: Hold On, Not So Fast 111     Mediation, Act V: Deal or No Deal? 113     Notes 115     CHAPTER 7: Arbitration: People, Places, and Things 117     Arbitration (Third Century B.C.) 117     People 119     Places 121     Things 122     Arbitration Script 125     Notes 150     CHAPTER 8: The Advocates 151     Advocacy, Not Advice 151     Margery S. Bronster 152     Louis F. Burke 156     G. Kent Edwards 163     Richard S. Frankowski 167     Jan Graham 173     Charles C. Mihalek 176     Tina Morin 180     William S. Shepherd 186     Wisdom 2,317 Miles from Wall Street 189     Notes 189     CHAPTER 9: End of the Beginning 191     Wabi-Sabi 191     Twenty-Four Points 192     A Graphic Graphic 195     The Equation 198     We the People 198     Notes 199     About the Author 201     Index 203