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TABLE OF CONTENTS Chapter One: The Nature and Scope of Arbitration A. Introduction and Overview 1. The Place of Arbitration in Modern America 2. Overview of the Course and This Book 3. Subject Matter of This Chapter B. Definitions of Arbitration 1. Webster's New Collegiate Dictionary (1997) 2. Black's Law Dictionary (1990) 3. Ian R. Macneil, Federal Arbitration Law (1994) 4. Kenneth R. Davis, 45 Buff. L. Rev. 49, 51 (1997) 5. Stephen J. Ware, ALTERNATIVE DISPUTE RESOLUTION 19 (2001) 6. Carrie Menkel-Meadow, Ethics Issues in Arbitration and Related Dispute Resolution Processes: What's Happening and What's Not, 56 U. Miami L. Rev. 949, 949 (2002) 7. Carrie J. Menkel-Meadow, et. al., DISPUTE RESOLUTION: BEYOND THE ADVERSARIAL MODEL 448 (2005) C. Arbitration in Earlier America and England 1. Tobey v. County of Bristol, 23 Fed. Cas. 1313 (D.Mass. 1845) 2. Kulukundis Shipping v. Amtorg Trading, 126 F2d 978 (2d Cir. 1942) 3. Comments and Questions 4. Soia Mentschikoff, Commercial Arbitration, 61 Colum. L. Rev. 846 (1961) D. Arbitration Legislation 1. The Federal Arbitration Act 2. The Uniform Arbitration Acts 3. Labor-Management Arbitration E. Mapping the Outer Limits of Arbitration Under the FAA 1. Non-Binding Arbitration a. Wolsey v. Foodmaker, 144 F.3d 1205 (9th Cir. 1998) b. Dluhos v. Strasberg, 321 F.3d 365 (3d Cir. 2003) c. Comments and Questions 2. Appraisal, Valuation, and Similar Processes a.. Salt Lake Tribune v. MPI, 390 F.3d 684 (10th Cir. 2004) b. Katz v. Feinberg, 290 F.3d 959 (2d Cir. 2002) c. Fit Tech v. Bally Total Fitness, 374 F.3d 1 (1st Cir. 2004) d. Three Palms Pointe v. State Farm 362 F.3d 1317 (11th Cir. 2004) e.. Thomas H. Oehmke, COMMERCIAL ARBITRATION 1:3 (2004) f. Comments and Questions F. Fairness of Arbitral Proceedings 1. Marino v. Writers Guild, 992 F.2d 1480 (9th Cir. 1993) 2. Comments and Questions 3. Hooters of America, Inc. v. Phillips, 173 F.3d 933 (4th Cir. 1999) G. Remedial Powers of Arbitrators: Punitive Damages 1. Garrity v. Stuart, 353 N.E.2d 793 (1976) 2. Comments and Questions H. Arbitration of Statutory Claims: Securities Law and the Supreme Court 1. Comments and Questions 2. Wilko v. Swan, 107 F.Supp. 75 (S.D.N.Y. 1952) 3. Wilko v. Swan, 201 F.2d 439 (2d Cir. 1953) 4. Wilko v. Swan, 346 U.S. 427 (1953) 5. Shearson/American Express, Inc. v. McMahon, 482 U.S. 220 (1987) 6. Rodriguez de Quijas v. Shearson/American Express, Inc., 490 U.S. 477 (1989) Chapter Two: Disputes Subject to Arbitration A. Introduction B. Arbitrability and the Division of Authority Between Courts and Arbitrators 1. First Options of Chicago, Inc. v. Kaplan, 514 U.S. 938 (1995) 2. Howsam v. Dean Witter Reynolds, Inc., 537 U.S. 79 (2002) 3. Comments and Questions 4. "Arbitral" Issues: The Scope of Claims and Issues Referable to Arbitration C. Contract Formation: Arbitration Provisions 1. Hill v. Gateway 2000, Inc., 105 F.3d 1147 (7th Cir. 1997) 2. Klocek v. Gateway, Inc., 104 F.Supp.2d 1332 (D.Kan. 2000) 3. Specht v. Netscape Communications Corp., 306 F.3d 17 (2d Cir. 2002) 4. Comments and Questions 5. Rogers v. Dell Computer Corp., ___ P.3d ___, 2005 WL 1519233 (Okla. 2005) D. The Separability Doctrine: Prima Paint and Its Progeny 1. Prima Paint Corp. v. Flood & Conklin Mfg. Co., 388 U.S. 395 (1967) 2. Comments and Questions 3. Primerica Life Insurance Co. v. Brown, 304 F.3d 469 (5th Cir. 2002) 4. Spahr v. Secco, 330 F.3d 1266 (10th Cir. 2003) 5. Washington Mutual Finance Group, LLC v. Bailey, 364 F.3d 260 (5th Cir. 2004) 6. Glazer v. Lehman Brothers, Inc., 394 F.3d 444, (6th Cir. 2005) 7. Comments and Questions E. Unconscionability and Related Contract Defenses 1. Walker v. Ryan's Family Steak Houses, Inc., 400 F.3d 370 (6th Cir. 2005) 2. Comments and Questions 3. Sosa v. Paulos, 924 P.2d 357 (Utah 1996) 4. De Novo Trial Provisions in Arbitration Agreements F. Mutuality of Remedy: Must Arbitration be a Two-Way Street? 1. Fazio, et al., v. Lehman Brothers, Inc., 340 F.3d 386 (6th Cir. 2003) 2. Comments and Questions G. Avoiding Arbitration of Consumer Contracts: The Last Word (For Now) 1. Jenkins v. First American Cash Advance, 400 F.3d 868 (11th Cir. 2005) 2. Cardegma v. Buckeye Check Cashing, Inc., 984 So.2d 860 (Fla. 2005); cert. granted, 125 S.Ct. 2937 (2005) H. In Summary: Arbitrability, Gateway Issues and Defenses to Arbitration Chapter Three: Interaction of Federal and State Law A. Introduction B. The Role of State Arbitration Law 1. Revised Uniform Arbitration Act, Commentary (2000) 2. Notes and Comments. C. Commerce Clause Preemption of State Law by the FAA 1. Southland Corporation v. Keating, 465 U.S. 1 (1984) 2. Allied-Bruce Terminex Companies, Inc. v. Dobson, 513 U.S. 265 (1995) 3. Doctor's Associates, Inc. v. Casarotto, 517 U.S. 681 (1996) 4. Casarotto v. Lombardi, 886 P.2d 931 (Mont. 1994), rev'd 517 U.S. 681 (1996) 5. Comments and Questions D. Federal Court Jurisdiction and the FAA 1. Baltin v. Alaron Trading Corp., 128 F.3d 1466 (11th Cir. 1997) 2. Kasap v. Folger Nolan Fleming & Douglans, Inc. 166 F.3d 1243 (D.C. Cir. 1999) 3. PVI, Inc. v. Ratiopharm GmbH, 135 F.3d 1252 (8th Cir. 1998) E. Choice of Law Provisions 1. Volt Information Sciences, Inc. v. Leland Stanford Univ., 489 U.S. 468 (1989) 2. Mastrobuono v. Shearson Lehman Hutton, Inc., 514 U.S. 52 (1995) 3. Roadway Package System, Inc. v. Kayser, 7 F.3d 287 (3rd Cir. 2001) 4. Comments and Questions 5. Revised Uniform Arbitration Act, Commentary (2000) F. Choice of Forum Provisions 1. Carnival Cruise Lines, Inc. v. Shute, 499 U.S. 585 (1991) 2. Keystone, Inc. v. Triad Systems, Corp., 971 P.2d 1240 (Mont. 1998) 3. Comments and Questions Chapter Four: Getting to Arbitration A. Introduction B. Pitfalls in Getting to Arbitration and How to Overcome Them 1. Comments and Questions 2. Mark R. Kravitz & Edward Wood Dunham, Compelling Arbitration, Litigation, Fall 1996, at * 34. C. Losing the Right to Arbitrate: Waiver 1. Ivax Corp. v. B. Braun Corp., 286 F.3d 1309 (11th Cir. 2002) 2. S&R Co. Of Kingston v. Latonia Trucking, Inc. 159 F3d. 80 (2d Cir. 1998) 3. RUAA (2000) Commentary, Waiver 4. Comments and Questions D. Mediation as Condition Precedent to Arbitration 1. HIM Portland, LLC v. DeVito Builders, Inc., 317 F.3d 41 (2003) 2. Comments and Questions E. Pre-Arbitration (Interim) Relief: By the Courts 1. Comments and Questions 2. Bradford-Scoot Corp. v. Physical Computer, Inc., 128 F.3d 504 (7th Cir. 1997) 3. Peabody Coal Sales Co. v. Tampa Electric Co., 36 F.3d 46 (8th Cir. 1994) 4. Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Salvano, 999 F.2d 211 (7th Cir. 1993) 5. Blumenthal v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 910 F.3d 1049 (2d Cir. 1990) 6. MS Distributing Co., Inc. v. Huber & Suhner, A.G., 863 F.2d 639 (9th Cir. 1988) 7. American Express Financial Advisors, Inc. v. Thorley, 147 F.3d 229 (2nd Cir. 1998) F. Recommendations for Addressing Interim Relief Issues 1. Allison C. Wauk, Preliminary Injunctions in Arbitrable Disputes: The Case for Limited Court Jurisdiction, 44 UCLA L. Rev. 2061, 2063-64 (1997). 2. RUAA, 8. Provisional Remedies. (2000) 3. RUAA, Commentary to 8. [cross-ref w Chapter 7 on Remedies?] G. Pre-Arbitration (Interim) Relief and Pre-Hearing Orders: By Arbitrators 1. Comments and Questions 2. Interim Relief: The Handoff From Court to Arbitrator 3. Pre-Award Arbitral Orders 4. RUAA, Commentary: Judicial Review of Interim Rulings H. Pre-Hearing Conferences, Discovery and Other Preliminary Matters 1. Pre-Hearing Conferences 2. Depositions and Discovery 3. Discovery From Third Parties a. RUAA Commentary to Section 17: Non-Parties b. Hay Group, Inc. v. E.B.S. Acquisition Corp., 360 F.3d 404 (3d Cir. 2004) c. Lowell Pearson, The Case for Non-Party Discovery Under the FAA, Disp. Res. J., Aug.-Oct., 2004 at 46 I. Summary Disposition 1. Sheldon v. Vermonty, 269 F.3d 1202 (10th Cir. 2001) 2. Vento v. Quick & Reilly, Inc., 2005 WL 906585 (10th Cir. 2005) 3. RUAA 15(b). Arbitration Process (2000). 4. RUAA, Commentary to Section 15 Chapter Five: The Arbitration Process A. Introduction B. Drafting of Provisions Related to Arbitration Proceedings 1. Comments and Questions 2. American Arbitration Association, Drafting Dispute Resolution Clauses (2004) C. Pre-Hearing Proceedings or Activities D. The Arbitration Proceeding E. Modification and Correction of Arbitration Awards: Functus Officio F. Arbitration Role Play Problem [Maureen] Chapter Six: The Arbitrator Selection and Conduct A. Introduction B. The Selection and Role of the Arbitrator 1. Party Selection of Arbitrators 2. Provider/Administrative Agency Appointment Rules 3. Court Appointment of Arbitrator 4. Qualifications and Standards for Arbitrators C. Professional Responsibility: Ethical Standards for Arbitrators 1. AAA/ABA, Code of Ethics for Arbitrators in Commercial Disputes (2004) 2. Ethical Standards for (Canon X) Party-Appointed Arbitrators a. Comments and Questions b. RUAA Commentary, "Party Arbitrators" c. Neutrality of Party Appointed Arbitrators Outside America 3. Bruce Meyerson & John M. Townsend, Revised Code of Ethics for Commercial Arbitrators Explained, Disp. Resol. J. 10 (2004) 4. Disclosure of Interests and Relationships a. Comments and Questions 5. RUAA, Section 12, Disclosure by Arbitrators D. The California Experiment In Regulating Arbitrators and Provider Organizations 1. Maureen Weston, California's New Arbitrator Ethics Standards: A Primer for Compliance and Confusion? Disp. Resol. News (Dec. 2002) 2. Court Challenges to Arbitrator Ethics Standards a. Jevne v. Superior Court, 2005 Cal. Lexis 5610 (Cal. 2005) 3. Legislation Directed at Arbitration Provider Organizations E. Removal Prior to Arbitration Proceeding and Grounds for Disqualification 1. Aviall, Inc. v. Ryder System, Inc. 110 F.3d 892 (2nd Cir. 1997) 2. Comments and Questions F. Evident Partiality and Related Grounds for Disqualifying an Arbitrator 1. Comments and Questions 2. Commonwealth Coatings v. Continental Casualty, 393 U.S. 145 (1968) 3. Merit Insurance v. Leatherby Insurance, 714 F.2d 673 (7th Cir. 1983) 4. Burlington Northern v. TUCO, Inc., 960 S.W.2d 629 (Tex. 1997) 5. RUAA Commentary, Sections 12 and 14 (2000) G. Non-Neutral Neutrals: Structural Bias 1. Westinghouse Electric v. New York Transit Auth., 623 N.E.2d 531 (N.Y. 1993) 2. MCI Constructors, Inc. v. City of Greensboro, 125 Fed.Appx. 471 (4th Cir. 2005) 3. Comments and Questions 4. Harter v, Iowa Grain Co., 220 F.3d 544 (7th Cir. 2000) 5. The BDO Seidman Cases a.. BDO Seiman v. Miller, 949 S.W.2d 858 (Tex.App. 1997) b. Buhrer v. BDO Seidman, 16 Mass. L. Rep. 551 (Mass.Super. 2003) c. Hottle v. BDO Seidman, 864 A.2d 862 (Conn. 2004) d. Greenwald v. Weisbaum, 785 N.Y.S.2d 664 (2004) e. Comments and Questions H. Liability of Arbitrators and Arbitral Organizations 1. Comments and Questions 2. Corey v. New York Stock Exchange, 691 F.2d 1205 (6th Cir. 1982) 3. Barr v. Tigerman, 140 Cal. App.3d 979, 189 Cal. Rptr. 834 (1983) 4. Austern v. Chicago Board Options Exchange, Inc., 898 F.2d 882 (2d Cir. 1990) 5. Olson v. National Association of Securities Dealers, 85 F.3d 381 (8th Cir. 1996) 6. RUAA Commentary to Section 14 7. Maureen A. Weston, Reexamining Arbitral Immunity in an Age of Mandatory and Professional Arbitration, 88 Minn. L. Rev. 449 (2004) Chapter Eight: Judicial Review of Arbitration Awards A. Introduction B. Obtaining Review of an Arbitration Award in Federal Court 1. Federal Jurisdiction Over Disputes Governed by the FAA a. State or Federal Court? b. Theis Research, Inc. v. Brown & Bain, 400 F.3d 659 (9th Cir. 2005) 2. Venue: Cortez Byrd, Inc. v. Bill Harbert Construction Co., 529 U.S. 193 (2000) 3. Timely Motion to Vacate or Confirm an Arbitration Award a. Olson v. Wexford Clearing Services Corp., 397 F.3d 488 (7th Cir. 2005) b. RUAA (2000), Commentary on Jurisdictional Provisions c. Confirmation of Arbitration Awards: The One Year Statutory Standard 4. Partial Arbitration Awards C. Judicial Review of Arbitration Awards is Extremely Limited 1. Burchell v. Marsh, 58 U.S. 344 [17 How. 344] (1854) 2. Moncharsh v. Heily & Blase, 832 P.2d 899 (Cal. 1992) 3. Perini Corp. v. Greate Bay Hotel & Casino, Inc., 610 A.2d 364 (N.J. 1992) 4. Lawrence R. Mills, J. Lani Bader, Thomas J. Brewer, & Peggy J. Williams, Vacating Arbitration Awards, Disp. Res. J. Summer 2005, at 23. D. Statutory Grounds for Vacating Arbitration Award 1. Evidentiary Matters a. Karppinen v. Karl Kiefer Machine Co., 187 F.2d 32 (2d Cir. 1951) b. Tempo Shain Corp. v. Bertek, Inc., 120 F.3d 16 (2d Cir. 1997) c. Tempo Shain Corp. v. Bertek, Inc., 1997 WL 580775 (S.D.N.Y.) d. Comments and Questions 2. Arbitrator Exceeds Authority a. Metromedia Energy v. Ensearch Energy, 409 F.3d 574 (3d Cir. 2005) b. Stark v. Sandberg, Phoenix & von Gontard, 381 F.3d 793 (8th Cir. 2004) E. Non-Statutory Grounds For Vacating Arbitration Awards 1. Are Non-Statutory Grounds For Review Needed? 2. Public Policy a. Eastern Assoc. Coal Corp. v. United Mine Workers, 531 U.S. 57 (2000) b. Comments and Questions 3. Manifest Disregard of the Law (and Similar Theories) a. Duferco Trading v. T. Klavaness Shipping, 333 F.3d 383 (2d Cir. 2003) b. Brabham v. A.G. Edwards & Sons, Inc., 376 F.3d 377 (5th Cir. 2004) c. Jacada, Ltd. v. Int'l Marketing Strategies, 401 F.3d (6th Cir. 2005) d. George Watts & Son, Inc. v. Tiffany, 248 F.3d 577 (7th Cir. 2001) e. Comments and Questions F. Contract-Based Standards for Judicial Review 1. Kyocera Corp. v. Prudential-Bache Inc., 341 F.3d 987 (9th Cir. 2003) 2. Prescott v. Northlake Christian School, 369 F.3d 491 (5th Cir. 2004) 3. Comments and Questions Chapter Nine: Multiple Forums, Multiple Proceedings, Other Parties A. Introduction B. Divided Disputes: Arbitration and Litigation 1. Dean Witter Reynolds v. Byrd, 470 U.S. 213 (1985) 2. Comments and Questions C. Third Party Issues: Non-Parties Enforcement of and Subject to Arbitration Agreements 1. Comments and Questions 2. Zimmerman v. International Consulting, Inc., 107 F.3d 344 (5th Cir. 1997) 3. Nonparty Attempts at Intervention in Arbitration a. Comments and Questions b. Hayworth, Inc. v. Steelcase, Inc. 12 F.3d 1090 (Fed. Cir. 1994) D. Getting Multiple Proceedings and Parties into a Single Forum I: Consolidation 1. Comments and Questions 2. RUAA Section 10. Consolidation of Arbitration Proceedings (2000) 3. RUAA Commentary on Consolidation 4. Connecticut General Life Ins. Co. v. Sun Life Assur. Co. 210 F.3d 771 (2000) 5. United Kingdom v. Boeing Company, 998 F.2d 68 (2d Cir. 1993) E. Getting Multiple Proceedings and Parties into a Single Forum II: Class Arbitration 1. Comments and Questions 2. Green Tree Financial Corp. v. Bazzle, 539 U.S. 444 (2003) 3. Maureen Weston, Universes Colliding: The Constitutional Implications of Arbitral Class Actions,__ Wm. & Mary L. Rev. (2005) F. Preclusion: Res Judicata and Collateral Estoppel 1. Comments and Questions 2. Universal American Barge Corp. v. J-Chem, Inc., 946 F.2d 1131 (5th Cir. 1991) 3. Jacobson v. Fireman's Fund Insurance Company, 111 F.3d 261 (2d Cir. 1997) 4. Clark v. Bear Stearns, Inc., 966 F.2d 1318 (9th Cir. 1992) 5. Kelly v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 985 F.2d 1067 (11th Cir. 1993) Chapter Ten: Interaction of the FAA and Other Statutes A. Introduction B. Bankruptcy 1. Note, Jurisdiction in Bankruptcy Proceedings: A Test Case For Implied Repeal of the Federal Arbitration Act, 117 Harv. L. Rev. 2296 (2004) 2. In re: White Mountain Mining Company, Debtor, 2005 WL 736803 (4th Cir. 2005) 3. Comments and Questions C. Insurance: "Reverse Preemption" of the FAA 1. Stephens v. American Int'l Insurance Co., 66 F.3d 41 (2d Cir. 1995) 2. Davister Corp. v. United Republic Life, 152 F.3d 1277 (10th Cir. 1998) 3. McKnight v. Chicago Title Ins. Co., 358 F.3d 854 (11th Cir. 2004) D. Magnuson-Moss Warranty Act 1. Walton v. Rose Mobile Homes LLC, 298 F.3d 470 (5th Cir. 2002) 2. Comments and Questions E. Carriage of Goods by Sea (COGSA) 1, Vimar Seguros v. M/V Sky Reefer, 515 U.S. 528 (1995) 2. Comments and Questions F. Arbitration of Claims Arising Under Antitrust Statutes 1. Mitsubishi Motors Corp. v. Soler Chrysler-Plymouth, Inc., 473 U.S. 614 (1985) 2. Comments and Questions 3. Baxter International, Inc. v. Abbott Laboratories, 315 F.3d 829 (7th Cir. 2003) Chapter Eleven: Arbitration Without Assent Public Law A. Introduction B. Arbitration Meets the Administrative State 1. Harold H. Bruff, Public Programs, Private Deciders: The Constitutionality of Arbitration in Federal Programs, 67 Tex. L. Rev. 441 (1989) 2. Sarah B. Belter, The Use of Arbitration by Federal Agencies to Solve Environmental Disputes: All Wrapped Up in Red Tape, 56 U. Miami L. Rev. 1033 (2002) C. New Car Lemon Laws: The New York Statute 1. Motor Vehicle Manufacturers Ass'n v. New York, 550 N.Y. 919 (N,Y, 1990) 2. Lyeth v. Chrysler Corp., 929 F.2d 891 (2d Cir. 1991) D. Mandatory Fee Arbitration: Attorneys and Clients 1. Anderson v. Elliott, 555 A.2d 1042 (Me. 1989) 2. Comments and Questions E. Court Annexed Arbitration [CAA] 1. Comments and Questions 2. William P. Lynch, Problems With Court-Annexed Mandatory Arbitration: Illustration From The New Mexico Experience, 32 N. Mex. L. Rev. 181 (2002) F. Railway Labor Act 1. Hawaiian Airlines, Inc. v. Norris, 512 U.S. 246 (1994) 2. Air Line Pilots Ass'n v. Miller, 523 U.S. 866 (1998) Appendix: Statutes, Uniform Laws, and Documents A. Federal Arbitration Act (Current) B. Uniform Arbitration Act (1955) C. Uniform Arbitration Act (2000) D. Motor Vehicle Franchise Contract Arbitration Fairness Act (2001) E. Cardmember Agreement: JPMorgan Chase & Co. (2004) F. CPR Institute for Dispute Resolution, Rules for Non-Administered Arbitration (2000) G. American Arbitration Association, Commercial Arbitration Rules (2005) H. AAA, Due Process for Mediation and Arbitration of Consumer Disputes (1998) File Name = \CONTENTS-SKH
Library of Congress Subject Headings for this publication:
Mediation -- United States.
Dispute resolution (Law) -- United States.
Compromise (Law) -- United States.