PIABA B.J., Vol 9, No 4 (2002)

PIABA BAR JOURNAL VOLUME 9, NO. 4 • 2002

WINTER PRESIDENT’S MESSAGE
J. Pat Sadler

FROM THE PROFESSOR: A PRIMER ON THE LIABILITY AND DAMAGES PROVISIONS OF SECURITIES ACTS – PART II, RULE 10b(5) AND THE UNIFORM SECURITIES ACT
Joseph C. Long

PROFLIPNER’S “I LOVE NEW YORK LAW” FRAUD IN THE INDUCEMENT: CLAIMS CAN BE MADE AGAINST BROKERS (AND LAWYERS)
Seth E. Lipner

EXPERT’S CORNER THE SALE OF VARIABLE INSURANCE PRODUCTS FOR BETTER OR FOR WORSE: CAUSES OF ABUSIVE SALES PRACTICES
Vincent Micciche

EXPERT’S CORNER WRITTEN SUPERVISORY PROCEDURES: A PLAINTIFF’S ROADMAP TO ACCOUNTABILITY
Thomas M. Driscoll, Jr.

PRACTITIONER’S CORNER BACKBONE SURGERY FOR DUMMIES: HOW TO STRENGTHEN THE RESOLVE OF YOUR ARBITRATORS (AND YOU)
David E. Robbins

VIEW FROM THE WEST THE CALIFORNIA SITUATION: MORE QUESTIONS THAN ANSWERS
Scot Bernstein

SALES CULTURE OF THE FINANCIAL SERVICES INDUSTRY: AN INTRODUCTION TO ISSUES SURROUNDING COMMISSION-BASE AND FEE-ONLY COMPENSATION STRUCTURES ADVISORS
A. Todd Black

JUDICIAL DEFERENCE TO SEC PRECEDENT
Richard G. Himelrick

HOWSAM V. DEAN WITTER REYNOLDS, INC. – PROGRESS TOWARD A GOAL OF “FAIR AND EXPEDITIOUS RESOLUTION” OF DISPUTES
Barbara Black

CRD EXPUNGEMENT: LAW, PROPOSED NASD RULES, AND LAWYER ETHICS
C. Thomas Mason III

CASES & MATERIALS
Charles W. Austin

a publication of Public Investors Arbitration Bar Association

2002 © PIABA