Investment Types | Claims | Expert Witnesses | Mediation | Expungement |
Stocks | Fraud | Selection of Expert | Negotiation | Expungement |
Bonds | Failure to Supervise | Expert Fees | Settlement | |
Mutual Funds | Negligence | Expert Testimony | Settlement Agreement | Other Terms |
Bond Funds | Churning | Qualification of Expert | Mediators | RIA |
Options | Reverse Churning | Challenging Expert | Mediation Statements | Broker-Dealer |
Structured Products | Blue Sky Act | Scope of Expertise | Opening Statements | Associated Person |
MLPs | Misrepresentation | Caucusing | 33 Act | |
TICs | Omission | Defenses | 34 Act | |
DSTs | Breach of Fiduciary Duty | Prospectus Defense | Damages | 40 Act |
LPs | Breach of Contract | Mitigation | Lost Opportunity | Accredited Investor |
REIT | Suitability | Ratification | Rescission | Brokercheck |
BDCs | Violation of FINRA Rules | Laches | Net-Out-of-Pocket | CRD |
Alternative Investments | Elder Abuse | Market-Went-Down | Compensatory Damages | Bankruptcy |
UITs | Conversion | Statutes of Limitation | Actual Damages | AML |
Private Placements | Unauthorized Trading | Loss Causation | Comparative Negligence | Gamification |
Promissory Notes | Discretionary Trading | Arbitration Eligibility | Contributory Negligence | Online Trading |
Unregistered Securities | Selling Away | Who is a customer | Offset | Notice to Members (NTM) |
Closed-End Funds | Breach of Trust | Sophisticated Investor | Attorney’s Fees | Regulatory Notice (RN) |
Hedge Funds | Margin | Unsolicited Orders – Self-Directed Trades | Punitive Damages | |
Ponzi Schemes | Financial Suicide | Costs | ||
Variable Annuities | Arbitrability | Benefit of the Bargain | ||
Fixed Index Annuities | Arbitration Process | Contract Formation | ||
ETFs | Statement of Claim | Pre-Dispute Arbitration Agreement | Internal Firm Documents | |
ETNs | Statement of Answer | Post-Dispute Arbitration Agreement | Exception Reports | |
Variable Universal Life | Arbitrator Selection | Forum Selection | Trade Blotters | |
Life Insurance | Arbitration Briefs | Forum Fees | Audit Reports | |
STOLI | Hearing | Venue | New Account Forms | |
Indexes | Opening Statement | Regulatory Examinations | ||
Closing Argument | Discovery | SARs | ||
Sales Practice | Pre-Hearing | Discovery Guide | Compliance Reports | |
Solicitation | Forum Fees | Privileges | Annual Attestation | |
Recommendation | Witness Direct Examination | Objections | Corrective Action Plan | |
Suitability | Witness Cross-Examination | Relevancy | Heightened Supervision | |
Reg BI | Motions | Motion to Compel | Employment Agreement | |
Best Interest | Motions to Dismiss | Rule 12505 | Performance Reviews | |
Fiduciary Duty | Eligibility | Rule 12506 | Forgivable Loans – Bonus | |
Sales Contests | Settlement | Rule 12507 | Due Diligence Reports | |
Cold Calls | Arbitration Award | Rule 12508 | Commission Runs | |
Recidivist Brokers | Confirmation of Award | Confidentiality Agreements | Enforcement Actions | |
High Risk Brokers | Vacatur of Award | E-Discovery | ||
Special Supervision | Credibility | Reasonable Use | Arbitrators | |
Investment Objectives | Exhibits | Subpoenas | Arbitrator Disclosure | |
Risk Tolerance | Orders to Produce | Motion to Recuse | ||
Forgery | Orders to Appear | Motion to Remove | ||
New Account Form | Non-Party Discovery | Public Arbitrator | ||
Hold Recommendation | Non-Public Arbitrator |