Articles

Article, Arbitration Pleadings: The Courage to Simplify, 24 PIABA Bar Journal 231 (2017)

¹Book Review, 25th Edition of the Securities Arbitration Procedure Manual, D. Robbins, Securities Arbitration Commentator (Spring, 2017)

Article, Plain English in Arbitration, NYSBA Securities Arbitration Coursebook (2016)

Article , Winning Over the Arbitrators – A Dozen Helpful Hints for a Successful Award, Securities Arbitration Commentator (Spring 2015)

²Article, Mediation Redux: Now More Than Ever, Securities Arbitration Commentator (Fall 2014)

³Article, Robbins to Bader to Lipner: A Securities Arbitration Triple Play, Securities Arbitration Commentator (Fall 2013)

Article, Arbitration of Customer Claims Before the New Financial Industry Regulatory Authority: A Practical Analysis, New York Law Journal (June 2008)

⁴Plain English in Securities Arbitration Pleadings, P.L.I. Securities Arbitration Coursebook (2005)

Book Review, Insider Trading: The Laws of Europe, The United States and Japan, 17 Fordham International Law Journal 1211 (1994)

Lead Article, Oil Pollution: The 1984 London Protocols and the Amoco Cadiz, 15 Journal of Maritime Law and Commerce 467 (1984)

Note, Forum Non Conveniens: Standards for the Dismissal of Actions from the United State Federal Courts to Foreign Tribunals, 5 Fordham International Law Journal 533 (1982)

Book Review

¹I am privileged to review here the 25th Edition of the Securities Arbitration Procedure Manual (“SAPM”), the preeminent work in the securities arbitration field. Authored by long-time practitioner David Robbins, the Manual updates and supplements two prior editions and the seminal work first published 25 years ago.

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Mediation Redux: Now More than Ever

² It has been ten years since the Securities Arbitration Commentator dedicated an entire issue to mediation: Tackling Obstacles to Mediation of Broker/Client Disputes was published in May 1994 and included the Defense Counsel’s Perspective by Ted Krebsbach and the Claimant’s Counsel’s Perspective by Roger Dietz. Both of these seasoned practitioners in securities mediation noted that, although mediation of securities disputes had gained some favor, efforts to increase the use of mediation had met with limited success.
Now a decade plus later, does the mediation landscape look much different?

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Robbins to Bader to Lipner: A Securities Arbitration Triple Play

³ROBBINS: Securities Arbitration Procedure Manual — David E. Robbins’s classic desk-side guide, Securities Arbitration Procedure Manual, aspires to be one-stop shopping for both the experienced and novice securities arbitrator. Most of the two-volume set is arranged like a hornbook, explaining rules, procedures, and important cases in the development of securities arbitration. But unlike a normal academic guide, the text is also interspersed with relevant techniques and tips that a more stodgy text might leave out.

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Plain English Pleadings

⁴A colleague tells the story of his first oral argument as an associate at a large New York law firm. The crusty senior partner whispered to him just before he stood to address the court: “Be good. If you can’t be good, be short.” “I’ll be both,” my colleague replied, with the confidence and aplomb of a future arbitration attorney.

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Securities Mediation

Having founded YAMS, Yellen Arbitration and Mediation Services, in 2006, Jim Yellen has completed over one thousand security and employment mediations. He is an evaluative mediator. At the end of the day, you will know where you stand. Jim Yellen has a 90 percent settlement rate.

Employment Mediation

In employment matters, Jim Yellen has represented both account executives and management. As a mediator, he has a finely-honed sensitivity to the issues debated in wrongful discharge, discrimination, retaliatory actions, promissory note claims and wage and hour cases.

Commercial Litigation

Jim Yellen’s experience with Commercial Litigation includes partnership disputes, attorneys’ fees dispute, business interruption and coverage disputes, insurance and coverage disputes.