Table of Principle Cases |
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xix | |
Preface to the Second Edition |
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xxiii | |
Preface to the First Edition |
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xxvii | |
Acknowledgments |
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xxix | |
Introduction and Overview |
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xxxi | |
Unit I Creating The Arbitration |
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Chapter 1 Why Study Arbitration? |
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3 | (36) |
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3 | (3) |
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6 | (1) |
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6 | (11) |
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AMF, Inc. v. Brunswick Corp. |
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7 | (3) |
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10 | (2) |
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Advanced Bodycare Solutions, LLC v. Thione Int'l, Inc. |
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12 | (4) |
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16 | (1) |
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IV Arbitration vs. Mediation |
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17 | (8) |
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Business Law Monographs, Vol. L4-Using Arbitration in Commercial Disputes (2015) |
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17 | (5) |
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22 | (2) |
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24 | (1) |
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V Drafting the Arbitration Clause |
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25 | (11) |
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26 | (10) |
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36 | (3) |
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Chapter 2 The Arbitration Presumption |
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39 | (58) |
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39 | (1) |
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II The FAA's Commandment to Enforce Arbitration Agreements |
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40 | (57) |
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A Moses Cone and the Foundation of Modern Arbitration Law |
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41 | (4) |
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Moses H. Cone Mem'l Hosp. v. Mercury Constr. Corp. |
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41 | (2) |
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43 | (1) |
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44 | (1) |
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B The "Saving Clause" in Section 2: How Far Does It Go? |
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45 | (7) |
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Epic Systems Corp. v. Lewis |
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46 | (5) |
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51 | (1) |
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C Moses Cone and Federalism |
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52 | (13) |
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Southland Corp. v. Keating |
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53 | (3) |
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56 | (1) |
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Volt Info. Scis. v. Board of Trs. |
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57 | (4) |
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61 | (1) |
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Marmet Health Care Ctr., Inc. v. Brown |
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62 | (2) |
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64 | (1) |
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D Arbitration, Sexual Harassment Cases, and Preemption |
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65 | (8) |
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Mahmoud Latif v. Morgan Stanley & Co. LLC |
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65 | (4) |
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Chamber of Commerce of the United States v. Becerra |
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69 | (4) |
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E Construction of Arbitration Agreements: How Heavy Is the Foot on the Scale? |
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73 | (16) |
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Nguyen v. Barnes & Noble Inc. |
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74 | (5) |
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79 | (1) |
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Atalese v. U.S. Legal Services Grp., L.P. |
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79 | (3) |
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82 | (2) |
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Lamps Plus, Inc. v. Varela |
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84 | (5) |
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89 | (1) |
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F The Scope of the Arbitration Clause |
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89 | (2) |
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90 | (1) |
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G Failure to Arbitrate: Specific Remedies |
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91 | (6) |
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1 The FAA's Remedies Sections |
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91 | (2) |
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2 The Process Question: What Relief to Ask for on a Motion to Compel Arbitration? |
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93 | (4) |
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Chapter 3 Arbitrability, Severability, and Delegation |
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97 | (56) |
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I Who Decides Arbitrability? |
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97 | (11) |
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Prima Paint Corp. v. Flood & Conklin Mfg. Co. |
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98 | (7) |
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105 | (3) |
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II Federalism and Severability: Buckeye |
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108 | (5) |
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Buckeye Check Cashing, Inc. v. Cardegna |
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108 | (4) |
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112 | (1) |
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III Delegation Clauses: Letting Arbitrators Decide Arbitrability |
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113 | (11) |
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First Options of Chi., Inc. v. Kaplan |
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113 | (4) |
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117 | (3) |
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120 | (3) |
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123 | (1) |
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123 | (1) |
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IV Recent Jurisprudence on Delegation Clauses |
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124 | (29) |
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New Prime Inc. v. Oliveira |
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124 | (4) |
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Henry Schein, Inc. v. Archer & White Sales, Inc. |
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128 | (3) |
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131 | (1) |
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A Delegation Clauses and the Class Action Controversy |
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132 | (25) |
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Green Tree Fin. Corp. v. Bazzle |
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132 | (6) |
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138 | (1) |
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Rent-A-Ctr., W, Inc. v. Jackson |
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139 | (11) |
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150 | (3) |
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Chapter 4 Arbitration and Class Actions |
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153 | (46) |
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I Overview of the Class Action Ban Debate |
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153 | (4) |
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II Concepcion and Its Progeny: The Supreme Court's Class Action Arbitration Jurisprudence |
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157 | (16) |
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AT&T Mobility LLC v. Concepcion |
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157 | (10) |
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167 | (2) |
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Comment: How Important Is Efficiency? |
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169 | (1) |
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Oxford Health Plans LLC v. Sutter |
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170 | (2) |
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172 | (1) |
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III Effective Vindication, Federalism, and Concepcion Rolling On |
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173 | (10) |
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Am. Express Co. v. Italian Colors Rest. |
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174 | (8) |
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182 | (1) |
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IV Federalism and Preemption After Concepcion |
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183 | (9) |
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DIRECTV, Inc. v. Imburgia |
|
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184 | (6) |
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190 | (2) |
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V Pro-Consumer, Extra-Judicial Reaction to Concepcion |
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192 | (3) |
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Comment: Consumer Arbitration Clauses in Institutional Arbitration |
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194 | (1) |
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VI The Life and Death of Administrative Agency Reform of Class Action Bans |
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195 | (4) |
Unit II Conducting The Arbitration |
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Chapter 5 Choosing an Arbitrator |
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199 | (22) |
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I The Selection Process: Various Options |
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199 | (4) |
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A The Parties Can Name the Arbitrator in the Arbitration Clause |
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199 | (1) |
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B The Parties Can Specify the Expertise of the Arbitrator |
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200 | (1) |
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201 | (1) |
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C The Party-Appointed Arbitrators Can Choose a Third Arbitrator |
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201 | (1) |
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202 | (1) |
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D The Parties Can Select Institutional Rules to Control the Appointment Process |
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202 | (1) |
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II Researching the Potential Arbitrator |
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203 | (2) |
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III Interviewing the Arbitrator Candidate |
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205 | (1) |
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206 | (1) |
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IV Diversity in Arbitrator Selection |
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206 | (15) |
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A Institutional Rules: Producing Results or Just Rhetoric? |
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206 | (1) |
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B Improve Intelligence, Improve Diversity: Two Suggestions |
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207 | (6) |
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Sarah R. Cole, Arbitrator Diversity: Can It Be Achieved? |
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208 | (2) |
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Catherine A. Rogers, The Key to Unlocking the Arbitrator Diversity Paradox? |
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210 | (3) |
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C The Jay-Z Case and Beyond |
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213 | (8) |
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Shawn C. Carter, et al. v. Iconix Brand Group, Inc., et al. |
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213 | (3) |
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216 | (1) |
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Rekha Rangachari, Can't Knock the Hustle...[ To Broaden Diversity in Arbitration] |
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217 | (2) |
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219 | (2) |
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Chapter 6 Challenging Arbitrator Selection |
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221 | (34) |
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I The Experience vs. Conflict Dichotomy |
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221 | (1) |
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221 | (1) |
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II The FAA's Treatment of Arbitrator Bias |
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222 | (1) |
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III Conflict Guidelines from Arbitrator Institutions |
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223 | (3) |
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226 | (1) |
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IV The Importance of Disclosure |
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226 | (19) |
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Commonwealth Coatings Corp. v. Continental Casualty Co. |
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228 | (4) |
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232 | (3) |
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Tenaska Energy, Inc. v. Ponderosa Pine Energy, LLC |
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235 | (6) |
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241 | (2) |
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Golden v. O'Melveny & Myers LLP |
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243 | (1) |
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Problem: Arbitrator Conflicts of Interest |
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244 | (1) |
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V Timing Arbitrator Challenges: Balancing Waiver vs. Prematurity |
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245 | (10) |
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Savers Prop. & Cas. Ins. Co. v. Nat'l Union Fire Ins. Co. |
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246 | (4) |
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Monster Energy Co. v. City Bevs., LLC |
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250 | (2) |
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252 | (1) |
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253 | (2) |
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Chapter 7 Discovery in Arbitration |
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255 | (36) |
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255 | (3) |
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256 | (1) |
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Comment: The Myths Exploded |
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257 | (1) |
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II Legal Bases of Discovery in Arbitration |
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258 | (26) |
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258 | (1) |
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259 | (6) |
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261 | (1) |
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262 | (1) |
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263 | (1) |
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263 | (1) |
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264 | (1) |
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265 | (19) |
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International Centre for Dispute Resolution |
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266 | (8) |
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John Wilkinson, Arbitration Discovery: Getting It Right |
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274 | (5) |
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Janice L. Sperow, Discovery in Arbitration: Agreement, Plans, and Fairness: One arbitrator's view of how you can structure the discovery process |
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279 | (4) |
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283 | (1) |
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III The Growing Importance of e-Discovery |
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284 | (4) |
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Richard Posell, E-Discovery in Arbitration |
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284 | (4) |
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IV Fairness and Efficiency |
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288 | (3) |
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Chapter 8 Third-Party Evidence |
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291 | (36) |
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I "When" Question: When Can Third Parties Be Compelled to Give Evidence in Arbitration? |
|
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292 | (21) |
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293 | (1) |
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Hay Grp., Inc. v. E.B.S. Acquisition Corp |
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294 | (5) |
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Sec. Life Ins. Co. of Am. v. Duncanson & Holt |
|
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299 | (4) |
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Stolt-Nielsen Transp. Grp., Inc. v. Celanese AG |
|
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303 | (6) |
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309 | (2) |
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311 | (2) |
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II Where Should a Section 7 Subpoena Be Enforced? |
|
|
313 | (11) |
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A The Changes to the Federal Rules Regarding Third-Party Subpoenas in Litigation |
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313 | (11) |
|
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314 | (1) |
|
Alliance Healthcare Servs. v. Argonaut Private Equity, LLC |
|
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315 | (5) |
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320 | (1) |
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In re Managed Care Litig. |
|
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320 | (2) |
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322 | (1) |
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323 | (1) |
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III Closing Note-An "Immodest Proposal" |
|
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324 | (3) |
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Benjamin Eichel & Matthew H. Adler, When, Where, and Whether: The Confusing Law of Third-Party Evidence |
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|
324 | (3) |
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Chapter 9 Third Parties and Arbitration |
|
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327 | (54) |
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Arthur Andersen LLP v. Carlisle |
|
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328 | (2) |
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330 | (1) |
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N.A. Rugby Union LLC v. United States Rugby Football Union |
|
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331 | (5) |
|
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336 | (3) |
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I Incorporation by Reference |
|
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339 | (3) |
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339 | (3) |
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342 | (1) |
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342 | (3) |
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Gvozdenovic v. United Air Lines, Inc. |
|
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342 | (3) |
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345 | (11) |
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Grand Wireless, Inc. v. Verizon Wireless, Inc. |
|
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345 | (6) |
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Ouadani v. TF Final Mile LLC |
|
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351 | (5) |
|
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356 | (1) |
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IV Veil-Piercing/Alter Ego |
|
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356 | (2) |
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Keystone Shipping Co. v. Textport Oil Co. |
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356 | (2) |
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V Third-Party Beneficiary |
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358 | (23) |
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Flexi Van Leasing, Inc. v. Through Transp. Mut. Ins. Ass'n |
|
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358 | (3) |
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N.A. Rugby Union LLC v. United States Rugby Football Union |
|
|
361 | (1) |
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A.D. v. Credit One Bank, N.A. |
|
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362 | (5) |
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Nicosia v. Amazon.com, Inc. |
|
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367 | (9) |
|
Ouadani v. TF Final Mile LLC |
|
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376 | (2) |
|
|
378 | (3) |
|
|
381 | (42) |
|
I Early Judicial Hostility to Court-Imposed Injunctions in an Arbitration |
|
|
382 | (9) |
|
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Hovey |
|
|
383 | (2) |
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385 | (1) |
|
Performance Unlimited v. Questar Publishers |
|
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385 | (6) |
|
II Arbitration Clauses and Injunctions |
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391 | (3) |
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American Express Fin. Advisors v. Thorley |
|
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391 | (3) |
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III Drafting and the Modern Approach to Injunction Carve-Out Clauses |
|
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394 | (27) |
|
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394 | (1) |
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A Going Overboard on "Equitable" Relief |
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395 | (5) |
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Benjamin J. Eichel & Matthew H. Adler, Injunction Carve-Outs in Arbitration: Emergency Only, or All Equity Claims? |
|
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395 | (5) |
|
B How Far Can a Court Go? Mandatory vs. Permissive Injunctions |
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400 | (2) |
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401 | (1) |
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C Injunction Orders by the Arbitrator |
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402 | (2) |
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D Is There a Conflict Between Arbitrator Injunctions and Court Injunctions? |
|
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404 | (9) |
|
Toyo Tire Holdings of Ams., Inc. v. Cont'l Tire N. Am., Inc. |
|
|
404 | (3) |
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Smart Techs v. Rapt Touch Ir. Ltd |
|
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407 | (1) |
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A & C Disc. Pharm., L.L.C. v. Caremark, L.L.C. |
|
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408 | (5) |
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E How Far Should the "Emergency Arbitrator" Go? |
|
|
413 | (6) |
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Yahoo! Inc. v. Microsoft Corp. |
|
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414 | (4) |
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418 | (1) |
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F Injunctions Limited to Specific Areas |
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419 | (4) |
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419 | (2) |
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IV Wrapping Up: The Drafting |
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421 | (2) |
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Chapter 11 Consolidation and Waiver |
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423 | (34) |
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423 | (22) |
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A Consolidation Scenarios |
|
|
425 | (2) |
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B Consolidation: A Battle Between Efficiency and Consensus? |
|
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427 | (4) |
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Specialty Bakeries v. RobHal, Inc. |
|
|
428 | (3) |
|
|
431 | (1) |
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C Consolidation and Arbitrability: Who Decides? |
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431 | (11) |
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Certain Underwriters at Lloyd's London v. Westchester Fire Ins. Co. |
|
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432 | (3) |
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435 | (1) |
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Champion Chrysler v. Dimension Serv. Corp. |
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436 | (3) |
|
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439 | (3) |
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D Institutional Arbitration and Consolidation |
|
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442 | (2) |
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E Consolidation and the Arbitration Clause |
|
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444 | (1) |
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445 | (12) |
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Solo v. United Parcel Service Company |
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446 | (4) |
|
Creative Solutions Group v. Pentzer Corp. |
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450 | (4) |
|
|
454 | (3) |
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Chapter 12 The Arbitration: Before, During, and After the Hearing |
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457 | (30) |
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457 | (2) |
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II BatPow v. GyScope: A Hypothetical Complex Arbitration |
|
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459 | (28) |
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459 | (3) |
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462 | (1) |
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462 | (1) |
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463 | (1) |
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D The Scheduling Conference |
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464 | (2) |
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466 | (3) |
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469 | (4) |
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471 | (1) |
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472 | (1) |
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472 | (1) |
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473 | (2) |
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475 | (3) |
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I Partial Final Award on Liability |
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478 | (1) |
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J Confirmation and Vacatur Proceedings Under FAA Section 10 |
|
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479 | (1) |
|
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480 | (1) |
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480 | (1) |
|
L The Quantum (Damages) Phase |
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481 | (3) |
|
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481 | (1) |
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482 | (1) |
|
3 The Motion to Strike Claimant's Expert |
|
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482 | (1) |
|
|
483 | (1) |
|
M The Partial Final Award on Damages |
|
|
484 | (3) |
Unit III Enforcing The Arbitration |
|
|
Chapter 13 Enforcing and Appealing Arbitration Awards |
|
|
487 | (58) |
|
I The Differences Between Review of Court Decisions and Arbitral Awards |
|
|
488 | (1) |
|
II The Mechanics of Arbitration Enforcement |
|
|
489 | (2) |
|
III The Grounds for Vacating an Arbitration Award |
|
|
491 | (44) |
|
Oxford Health Plans LLC v. Sutter |
|
|
492 | (3) |
|
Comment: The Deferential Standard |
|
|
495 | (1) |
|
A "Procured by Fraud, Corruption, or Other Means" (Section 10(a)(1)) |
|
|
496 | (10) |
|
Floridians for Solar Choice v. PCI Consultants, Inc. |
|
|
496 | (6) |
|
|
502 | (1) |
|
Envtl. Chem. Corp. v. Coastal Envtl. Grp., Inc. |
|
|
502 | (3) |
|
|
505 | (1) |
|
|
506 | (1) |
|
B Evident Partiality (Section 10(a)(2)) |
|
|
506 | (10) |
|
ErgoBilt, Inc. v. Neutral Posture Ergonomics, Inc. |
|
|
507 | (2) |
|
Savers Prop. & Cas. Ins. Co. v. Nat'l Union Fire Ins. Co. |
|
|
509 | (3) |
|
Morelite Constr. Corp. v. N.Y.C. Dist. Council Carpenters Ben. Funds |
|
|
512 | (4) |
|
|
516 | (1) |
|
C Failure to Allow Evidence (Section 10(a)(3)) |
|
|
516 | (7) |
|
White v. Valero Ref New Orleans, LLC |
|
|
516 | (3) |
|
|
519 | (1) |
|
Floridians for Solar Choice v. PCI Consultants, Inc. |
|
|
520 | (1) |
|
|
521 | (1) |
|
Hoteles Condado Beach, La Concha & Convention Ctr. v. Union de Tronquistas Local 901 |
|
|
521 | (2) |
|
D "Exceeded Powers" (Section 10(a)(4)) |
|
|
523 | (12) |
|
Barclays Capital Inc. v. Platt |
|
|
524 | (1) |
|
|
525 | (1) |
|
Soaring Wind Energy, LLC v. Catic United States, Inc. |
|
|
525 | (3) |
|
Hoteles Condado Beach, La Concha & Convention Ctr. v. Union de Tronquistas Local 901 |
|
|
528 | (2) |
|
Gherardi v. Citigroup Global Mkts., Inc. |
|
|
530 | (4) |
|
|
534 | (1) |
|
IV Section 10(a) and the COVID-19 Crisis: Will Virtual Hearings Be Subject to Challenge? |
|
|
535 | (6) |
|
Al-Haddad Commodities Corp. v. Toepfer Int'l Asia Pta, Ltd. |
|
|
536 | (4) |
|
|
540 | (1) |
|
V Next Steps During-and Following?-the COVID Era |
|
|
541 | (4) |
|
Neal Eiseman, Can a Commercial Arbitrator Demand a Virtual Hearing? |
|
|
543 | (2) |
|
Chapter 14 Special Issues in Arbitration Enforcement |
|
|
545 | (30) |
|
I Section 11-When Is a Mistake Just a Mistake? |
|
|
545 | (15) |
|
|
546 | (1) |
|
A Section 11 and the "Face of the Award" Test |
|
|
546 | (11) |
|
Mid Atl. Capital Corp. v. Bien |
|
|
546 | (10) |
|
|
556 | (1) |
|
B Section 11 and New Evidence |
|
|
557 | (3) |
|
Transnitro, Inc. v. M/V Wave |
|
|
557 | (2) |
|
|
559 | (1) |
|
II Functus Officio and Its Limits |
|
|
560 | (7) |
|
Gen. RE Life Corp. v. Lincoln Nat'l Life Ins. Co. |
|
|
561 | (2) |
|
|
563 | (1) |
|
Verizon Pa. LLC v. Communications Workers of Am., Local 1300 |
|
|
563 | (3) |
|
|
566 | (1) |
|
|
567 | (8) |
|
Century Indem. Co. v. AXA Belgium |
|
|
568 | (3) |
|
Contship Containerlines, Ltd. v. PPG Indus., Inc. |
|
|
571 | (4) |
|
Chapter 15 The Rise, Fall, and Uncertain Life of Manifest Disregard |
|
|
575 | (40) |
|
Hall St. Assocs., L.L.C. v. Mattel, Inc. |
|
|
576 | (6) |
|
|
582 | (1) |
|
I Should the Grounds for Arbitration Review Be Exclusive? |
|
|
582 | (33) |
|
|
582 | (1) |
|
A Hall Street and Manifest Disregard: "Maybe" |
|
|
583 | (1) |
|
B Manifest Disregard Is Dead |
|
|
584 | (6) |
|
Citigroup Global Mkts. Inc. v. Bacon |
|
|
584 | (4) |
|
Paisley Park Enters. v. Boxill |
|
|
588 | (1) |
|
|
589 | (1) |
|
C Manifest Disregard Is Alive |
|
|
590 | (14) |
|
ExxonMobil Oil Corp. v. TIG Ins., Co. |
|
|
590 | (2) |
|
|
592 | (5) |
|
|
597 | (1) |
|
Comedy Club, Inc. v. Improv West Assocs. |
|
|
598 | (4) |
|
|
602 | (1) |
|
Barzelatto v. Spire Sec., LLC |
|
|
603 | (1) |
|
D Some Courts Are Just Undecided |
|
|
604 | (2) |
|
Prospect CCMC, LLC v. CCNA/Pa. Ass'n of Staff Nurses er Allied Prods. |
|
|
604 | (1) |
|
|
605 | (1) |
|
E Daesang Corp. v. NutraSweet: Manifest Disregard Comes to Life-Briefly |
|
|
606 | (11) |
|
Matter of Daesang Corp. v. NutraSweet Co. |
|
|
607 | (6) |
|
|
613 | (2) |
|
Chapter 16 International Commercial Arbitration |
|
|
615 | (46) |
|
I The Trend Toward International Arbitration |
|
|
616 | (1) |
|
II Getting the Arbitration Started |
|
|
617 | (15) |
|
A The International Arbitration Clause |
|
|
617 | (1) |
|
B Institutions in International Arbitration |
|
|
618 | (1) |
|
|
619 | (6) |
|
|
620 | (1) |
|
William W. Park, The Lex Loci Arbitri and International Commercial Arbitration |
|
|
620 | (5) |
|
D Arbitrator Selection in International Arbitration |
|
|
625 | (7) |
|
|
626 | (1) |
|
|
629 | (1) |
|
2 Nationality of International Arbitrators |
|
|
629 | (1) |
|
|
629 | (1) |
|
3 Conflicts of Interest in International Arbitrator Selection |
|
|
630 | (1) |
|
|
631 | (1) |
|
|
631 | (1) |
|
4 Diversity in International Arbitration |
|
|
631 | (1) |
|
III Presenting the Case in International Arbitration |
|
|
632 | (9) |
|
A Pre-Hearing Discovery and Disclosure in International Arbitration |
|
|
632 | (2) |
|
|
633 | (1) |
|
|
634 | (1) |
|
C Due Process Paranoia and the Prague Rules |
|
|
634 | (3) |
|
|
637 | (1) |
|
D Investment Arbitration: The Special Case of Suing the Sovereign |
|
|
637 | (4) |
|
|
637 | (1) |
|
Rusoro Mining Ltd. v. Bolivarian Republic of Venezuela |
|
|
638 | (2) |
|
|
640 | (1) |
|
IV Enforcement of International Arbitration Awards |
|
|
641 | (20) |
|
A The New York Convention |
|
|
641 | (2) |
|
B The New York Convention in United States Courts |
|
|
643 | (18) |
|
Yusuf Ahmed Alghanim & Sons, W.L.L. v. Toys "R" Us, Inc. |
|
|
643 | (4) |
|
|
647 | (1) |
|
Iran Aircraft Industries v. Avco Corp. |
|
|
648 | (5) |
|
|
653 | (1) |
|
Aggarao v. MOL Ship Mgmt. Co. |
|
|
653 | (6) |
|
|
659 | (2) |
Index |
|
661 | |