Open Access. Powered by Scholars. Published by Universities.®
Articles 1 - 2 of 2
Full-Text Articles in Law
Sica: The First Twenty Years, Constantine N. Katsoris
Sica: The First Twenty Years, Constantine N. Katsoris
Fordham Urban Law Journal
This Article provides a broad overview of the topic of securities arbitration. It expresses the views of litigants from both sides of the spectrum. It argues that the public must trust in the integrity of the SRO (self-regulatory organization) arbitration process for securities arbitration to remain the basically mandatory system that it is today. The Article traces the evolution of arbitration rules in effect at various SROs. It then examines the Uniform Code of Arbitration in detail, and the SRO Codes. It explores the role of the American Arbitration Association (AAA), the NYSE Symposium, the Ruder Report and the Role …
Report Of The Securities Industry Conference On Arbitration On Representation Of Parties In Arbitration By Non-Attorneys
Fordham Urban Law Journal
The following is a Report prepared by the Securities Industry Conference on Arbitration ("SICA" or "Conference") concerning non-attorney representation in arbitration. The report is the result of a study, conducted by SICA over the past two years, on the practices and activities of individuals and organizations ("Non-Attorney Representatives" or "NARs") that provide public customers an alternative to representation by attorneys in disputes between customers and broker/dealers. The study was prompted by complaints concerning the quality of such representation; and, raised questions as to whether the activities of NARs constituted the unauthorized practice of law, and whether the interests of investors …