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Nicholas J. Guiliano, Esquire of the Guiliano Law Firm will be featured as a Speaker at the 21st Annual Meeting of the Public Investors Arbitration Bar Association this year in Austin, Texas at the Barton Creek Resort and Spa.
Mr. Guiliano’s presentation will explore the discovery phase of an arbitration proceeding as viewed from the perspective of both the existing FINRA Discovery Guide and practical considerations that commonly arise in an arbitration proceeding.
As part of his presentation, Mr. Guiliano has compiled materials including an 84 page study guide concerning the FINRA securities arbitration process.
According to Mr. Guiliano, "cases are won and lost, or more accurately settled, as a result of discovery," and his paper explores Respondent’s two most traditional defenses in securities arbitration cases: The You Should Have Know Better than to Trust Us Defense; or The You Could Afford to Lose the Money Anyway Defense.
In his paper, Mr. Guiliano also provides incite as to the importance of instructions and definitions in document requests to defeat the ingenuity of defense counsel seeking to conceal highly relevant documents based upon undefined terms or parties, issues regarding the propriety and use of Confidentiality Agreements, the importance of obtaining Wall Street’s document preservation policies, and why an investor’s wealth or prior investment experience are generally irrelevant in investor securities arbitration claims.
Mr. Guiliano also explores the proper and improper use of Information requests versus contention interrogatories" are not permitted in FINRA securities arbitrations, and the existence of useful discovery sources outside of Respondents and the discovery process including in Class Action Pleadings, on social networks sites, and publicly available on the Internet in Civil and Criminal Dockets, and on line state and federal regulatory materials.
Mr. Guiliano also discusses the the efficacy of "Meet and Confer" letters, the importance of privilege logs, the certification of record keepers in the absence of documents which may be required to be maintained under the record keeping provisions of the federal securities laws and Respondent’s document retention policies.
In his paper, Mr. Guiliano also highlights the improper use of non-existent privileges frequently raised by Respondents including the investigatory privilege, and shows why these documents are not only discoverable but why they are admissible at the time of hearing.
Finally Mr. Guiliano discusses the proper use of Subpoenas under the FINRA Code of Arbitration Procedure, Motions to Compel, Sanctions and what to do with an ineffective arbitration panel.
The Guiliano Law Firm, P.C.’s practice is limited to the representation of investors in claims, typically FINRA securities arbitrations, for fraud in connection with the sale of securities, the sale of unsuitable securities, the sale of defective financial products, the failure to disclose risk, broker theft, breach of fiduciary duty, the sale of Ponzi schemes, and the failure to supervise. The firm accepts representation of defrauded investors on a contingent fee basis, meaning there is no cost to unless he makes a recovery, and there is never any charge for a consultation or an evaluation of your claim. For more information contact Mr. Guiliano at (877) SEC-ATTY.
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