Research Catalog

Title

Broker, dealer liability / David M. Brodsky, Arnold J. Weinberg, cochairmen.

Publication

[New York] : Practising Law Institute, c1978.

Items in the Library & Off-site

Holdings

Details

Additional Authors

• Brodsky, David M.
• Practising Law Institute.
• Weinberg, Arnold J.

Description

328 p. (p. 324-328 blank); 22 cm.

Series Statement

Corporate law and practice course handbook series ; no. 287

Uniform Title

Corporate law and practice course handbook series ; no. 287.

Subject

Stockbrokers > Malpractice > United States

Note

• "Prepared for distribution at the Broker-dealer liability program, September-October, 1978."
• "B4-5579."

Processing Action (note)

• committed to retain

Contents

Liabilities under the Securities Act of 1933 / Lewis B. Merrifield, Richard M. Phillips -- 2. Liabilities under the Securities Exchange Act of 1934 / David M. Brodsky, Arnold J. Weinberg -- 3. Implied right of action against broker-dealer for violation of exchange or NASD rules / John F.X. Peloso -- 4. Industry self regulation : the roles of the SEC, the self regulatory organizations and the courts in matters of compliance and broker-dealer liability / John F.X. Peloso -- 5. Administration of self-regulatory functions / Fred M. Stone -- 6. State blue sky and common law violations / James E. Beckley, Gerald A. Niederman -- 7. Derivative liability of broker-dealers / Peter H. Morrison -- 8. Discovery techniques / James E. Beckley -- 9. Counseling the broker-dealer client in SEC investigations, injunctive actions and administrative proceedings / Richard L. Jaeger -- 10. Securities industry arbitration / Fred M. Stone -- 11. Theories on which damages in broker-dealer cases are based and measured / David M. Brodsky.

LCCN

^^^78061976^//r893

Owning Institutions

Harvard Library