Originally from Securities Arbitration: Practice and Forms - Third Edition

SYNOPSIS

§ 6.01 Introduction

§ 6.02 Representation Issues
[1] Introduction
[2] Non-Attorney Representation
[3] Unauthorized Practice of Law
[4] Dual Representation

§ 6.03 Rules for Commencing an Arbitration
[1] FINRA Rules
[2] The AAA’s Rules

§ 6.04 Selecting the Arbitration Forum
[1] Introduction: Strategic Issues in Selecting the Arbitration Forum
[2] Determining Which Arbitration Forums Are Available

§ 6.05 Location of the Arbitration
[1] Available Sites
[2] Venue Issues
[a] FINRA Practice
[b] AAA Practice
[c] Additional Venue Issues

§ 6.06 Initiating the Arbitration
[1] Introduction
[2] The Transmittal Letter
[3] The Filing Fee
[4] The Submission Agreement
[a] FINRA Practice
[b] AAA Practice
[c] The Submission Agreement as Modification of the Arbitration Agreement
[5] The Statement of Claim
[a] Introduction
[b] Pre-Filing Issues
[c] Format of the Statement of Claim
[d] Formal Requirements for the Statement of Claim
[e] Contents of the Statement of Claim Beyond the Minimum
[i] FINRA Practice
[ii] AAA Practice
[f] Pleading Legal and Factual Bases for the Claim: Strategic Choices
[g] Relief
[6] Determining Which Respondents To Name
[7] Serving the Statement of Claim
[8] Processing of Claims
[a] FINRA Practice
[b] AAA Practice

§ 6.07 Answering the Complaint
[1] Introduction
[2] Time and Extensions of Time To Answer; Service
[3] The Content of the Answer
[a] FINRA Practice
[b] AAA Practice
[4] Preparing the Answer

§ 6.08 Counterclaims, Cross-Claims and Third Party Claims 
[1] FINRA Practice 
[2] AAA Practice 
[3] Strategic Considerations for Filing a Cross-Claim or Third-Party Claim

§ 6.09 Joinder, Consolidation and Severance
[1] Introduction
[2] Judicial Decisions
[3] FINRA Practice
[4] AAA Practice