Table of Principal Cases |
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xv | |
Table of Practice Problems |
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xvii | |
Preface |
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xix | |
Acknowledgments |
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xxi | |
Introduction and Overview |
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xxiii | |
Unit I: Creating The Arbitration |
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Chapter 1 Why Study Arbitration? |
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3 | (28) |
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3 | (2) |
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5 | (1) |
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6 | (9) |
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AMF, Inc. v. Brunswick Corp. |
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7 | (4) |
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Advanced Bodycare Solutions, LLC v. Thione Int'l, Inc. |
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11 | (4) |
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IV Arbitration vs. Mediation |
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15 | (7) |
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§1.01 Mediation and Arbitration-The Leading Alternative Dispute Resolution ("ADR") Modalities |
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16 | (6) |
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V Drafting the Arbitration Clause |
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22 | (7) |
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29 | (2) |
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Chapter 2 Formation and Federalism |
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31 | (70) |
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I Formation and Federalism |
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31 | (1) |
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II The FAA's Presumption in Favor of Arbitration |
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32 | (5) |
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Moses H. Cone Mem'l Hosp. v. Mercury Constr. Corp. |
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33 | (4) |
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III Formation of the Arbitration Agreement: Contract Principles at Work |
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37 | (23) |
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Nguyen v. Barnes & Noble Inc. |
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38 | (6) |
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Atalese v. U.S. Legal Services Grp., L.P. |
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44 | (12) |
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James v. McDonald's Corp. |
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56 | (4) |
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IV Moses Cone and Federalism |
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60 | (7) |
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Southland Corp. v. Keating |
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61 | (6) |
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V State Law v. Federal Presumption of Arbitrability |
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67 | (11) |
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Volt Info. Scis. v. Board of Trs. |
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67 | (5) |
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Marmet Health Care Ctr., Inc. v. Brown |
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72 | (3) |
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Caudle v. American Arbitration Ass'n |
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75 | (3) |
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VI The Scope of the Arbitration Clause |
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78 | (16) |
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Matthews v. Rollins Hudig Hall Co. |
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78 | (4) |
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Alford v. Dean Witter Reynolds, Inc. |
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82 | (3) |
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Securities Industry Ass'n v. Connolly |
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85 | (9) |
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VII Federalism After Moses Cone |
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94 | (1) |
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VIII Practice Exercises on Scope |
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94 | (2) |
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IX Failure to Arbitrate: Specific Remedies |
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96 | (5) |
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A The Threshold Question of Arbitrability |
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96 | (1) |
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B The Statutory Remedies for Failure to Arbitrate |
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96 | (1) |
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C Specific Remedies Applied |
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97 | (4) |
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101 | (60) |
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I Who Decides Arbitrability? |
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101 | (1) |
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101 | (60) |
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Prima Paint Corp. v. Flood & Conklin Mfg. Co. |
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102 | (10) |
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First Options of Chi., Inc. v. Kaplan |
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112 | (5) |
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Green Tree Fin. Corp. v. Bazzle |
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117 | (9) |
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Buckeye Check Cashing, Inc. v. Cardegna |
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126 | (5) |
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Rent-A-Ctr., W, Inc. v. Jackson |
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131 | (13) |
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Puleo v. Chase Bank USA, N.A. |
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144 | (17) |
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Chapter 4 Arbitration and Class Actions |
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161 | (52) |
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I Introduction to Arbitration and Class Actions |
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161 | (1) |
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II Examples of Class Action/Arbitration Clauses |
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162 | (3) |
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III Concepcion and Its Progeny: The Supreme Court's Class Action Arbitration Jurisprudence |
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165 | (40) |
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AT&T Mobility LLC v. Concepcion |
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165 | (14) |
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Oxford Health Plans LLC v. Sutter |
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179 | (3) |
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Am. Express Co. v. Italian Colors Rest. |
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182 | (11) |
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DIRECTV, Inc. v. Imburgia |
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193 | (12) |
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IV Pro-Consumer, Extra-Judicial Reaction to the Concepcion Line |
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205 | (1) |
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V The Dodd-Frank Act and the Consumer Financial Protection Bureau |
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205 | (8) |
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A The Consumer Financial Protection Bureau's Proposed Rulemaking |
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205 | (2) |
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B The Uncertain Future of Class Action Arbitration Reform |
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207 | (6) |
Unit II: Conducting The Arbitration |
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Chapter 5 Choosing an Arbitrator |
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213 | (34) |
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I Choosing an Arbitrator-Options for Party Participation in Arbitrator Selection |
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213 | (3) |
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A The Parties Can Simply Name a Particular Person as Arbitrator |
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213 | (1) |
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B The Parties Can Specify the Expertise of the Arbitrator |
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213 | (1) |
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C The Parties Can Specify a Three-Arbitrator Arbitration |
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214 | (1) |
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D The Parties Can Agree on Institutional Rules and the Institution Then Controls the Appointment Process |
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215 | (1) |
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II Researching the Potential Arbitrator |
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216 | (2) |
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III Challenging the Arbitrator |
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218 | (18) |
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Commonwealth Coatings Corp. v. Continental Casualty Co. |
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223 | (4) |
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Tenaska Energy, Inc. v. Ponderosa Pine Energy, LLC |
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227 | (9) |
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IV Timing in Arbitrator Challenges |
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236 | (11) |
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Savers Prop. & Cas. Ins. Co. v. Nat'l Union Fire Ins. Co. |
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237 | (10) |
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Chapter 6 Getting Started |
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247 | (12) |
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I Getting Started-The Claim |
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247 | (1) |
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II Responsive Allegations |
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248 | (1) |
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III Jurisdictional Allegations |
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248 | (1) |
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IV The Organizational Conference |
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249 | (5) |
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250 | (1) |
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250 | (1) |
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251 | (1) |
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252 | (1) |
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252 | (1) |
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F Testimony at the Hearing |
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252 | (1) |
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G Expert Witnesses and Reports |
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253 | (1) |
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H Motion Practice Generally |
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254 | (1) |
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254 | (5) |
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255 | (4) |
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Chapter 7 Discovery in Arbitration |
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259 | (26) |
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I The Old School: Is There Discovery in Arbitration? |
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260 | (2) |
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260 | (2) |
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II Legal Bases of Discovery in Arbitration |
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262 | (6) |
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262 | (1) |
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262 | (4) |
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C Electronically Stored Information ("ESI") |
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266 | (1) |
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267 | (1) |
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III Discovery in International Arbitration |
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268 | (7) |
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IV Section 1782: US Discovery in International Arbitration |
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275 | (1) |
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276 | (9) |
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Chapter 8 Third-Party Discovery |
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285 | (38) |
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285 | (17) |
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Hay Grp., Inc. v. E.B.S. Acquisition Corp. |
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286 | (7) |
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Sec. Life Ins. Co. of Am. v. Duncanson & Holt |
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293 | (6) |
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Am. Fed'n of Television & Radio Artists v. Storer Broad Co. |
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299 | (1) |
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Evidence and Discovery in American Arbitration: The Problem of "Third Parties" |
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300 | (2) |
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II Former Employees as Third Parties |
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302 | (21) |
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Alliance Healthcare Servs. v. Argonaut Private Equity, LLC |
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305 | (5) |
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Amgen Inc. v. Kidney Ctr. |
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310 | (5) |
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Dynegy Midstream Servs. v. Trammochem |
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315 | (8) |
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Chapter 9 Third Parties and Arbitration |
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323 | (48) |
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I Third Parties and Arbitration |
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323 | (5) |
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Arthur Andersen LLP v. Carlisle |
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323 | (5) |
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II Incorporation by Reference |
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328 | (5) |
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Logan & Kanawha Coal Co., LLC v. Detherage Coal Sales, LLC |
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328 | (5) |
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333 | (4) |
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Gvozdenovic v. United Air Lines, Inc. |
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333 | (4) |
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337 | (6) |
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Grand Wireless, Inc. v. Verizon Wireless, Inc. |
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337 | (6) |
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V Veil-Piercing/Alter Ego |
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343 | (3) |
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Keystone Shipping Co. v. Textport Oil Co. |
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343 | (3) |
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346 | (4) |
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Noble Drilling Servs. v. Certex USA, Inc. |
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347 | (3) |
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VII Third-Party Beneficiary |
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350 | (5) |
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Flexi-Van Leasing, Inc. v. Through Transp. Mut. Ins. Ass'n |
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350 | (5) |
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VIII Third-Party Arbitrations in the International Context |
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355 | (16) |
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355 | (14) |
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Non-Signatories and International Arbitration in the United States: The Quest for Consent |
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369 | (2) |
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371 | (32) |
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I The Judicial Dispute Concerning Arbitration and Injunctions |
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372 | (9) |
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Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Hovey |
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373 | (2) |
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Performance Unlimited v. Questar Publishers |
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375 | (6) |
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II Injunctions in Arbitration Clauses |
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381 | (3) |
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American Express Fin. Advisors v. Thorley |
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381 | (3) |
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III How Far Can a Court Go? Mandatory vs. Permissive Injunctions |
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384 | (2) |
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IV Injunction Orders by the Arbitrator |
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386 | (2) |
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V Is there a Conflict Between Arbitrator Injunctions and Court Injunctions? |
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388 | (3) |
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Toyo Tire Holdings of Ams., Inc. v. Cont'l Tire N. Am., Inc. |
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388 | (3) |
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VI Emergency Injunctions in the Arbitration: A New Phase? |
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391 | (7) |
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Yahoo! Inc. v. Microsoft Corp. |
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391 | (7) |
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VII Injunctions Limited to Specific Areas |
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398 | (3) |
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VIII Wrapping Up: The Drafting |
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401 | (2) |
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403 | (22) |
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I Consolidation Scenarios |
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403 | (1) |
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II Consolidation and Arbitrability: Who Decides |
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404 | (15) |
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Columbia Broadcasting System, Inc. v. American Recording & Broadcasting Ass'n |
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405 | (2) |
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Specialty Bakeries v. RobHal, Inc. |
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407 | (5) |
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Certain Underwriters at Lloyd's London v. Westchester Fire Ins. Co. |
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412 | (7) |
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III Which Arbitrator Consolidates? |
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419 | (1) |
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IV Consolidation and the Arbitration Clause |
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420 | (1) |
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V Institutional Arbitration and Consolidation |
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420 | (5) |
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Chapter 12 The Arbitration: Before, During, and After the Hearing |
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425 | (24) |
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425 | (3) |
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II Procedural Order No. 1 |
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428 | (8) |
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431 | (1) |
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431 | (1) |
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431 | (1) |
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D Written Discovery Disputes |
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432 | (1) |
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433 | (1) |
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433 | (1) |
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433 | (1) |
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434 | (2) |
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III Procedural Order No. 2 |
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436 | (4) |
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438 | (2) |
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IV Partial Final Award on Liability |
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440 | (9) |
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A Builder's Appeal (Motion for Vacature) |
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441 | (1) |
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442 | (2) |
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C The Request to Take Expert Depositions |
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444 | (1) |
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D The Motion to Strike Claimant's Expert |
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444 | (1) |
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444 | (1) |
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F The Partial Final Award on Damages |
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445 | (4) |
Unit III: Enforcing The Arbitration |
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Chapter 13 Enforcing and Appealing Arbitration Awards |
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449 | (66) |
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I The Mechanics of Arbitration Enforcement |
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450 | (2) |
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II The Grounds for Vacating an Arbitration Award |
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452 | (63) |
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Oxford Health Plans LLC v. Sutter |
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453 | (5) |
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A "Procured by Fraud" (subsection 10(a)(1)) |
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458 | (5) |
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Bonar v. Dean Witter Reynolds, Inc. |
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458 | (5) |
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B Evident Partiality (subsection 10(a)(2)) |
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463 | (20) |
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ErgoBilt, Inc. v. Neutral Posture Ergonomics, Inc. |
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464 | (1) |
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Morelite Constr. Corp. v. N.Y.C. Dist. Council Carpenters Ben. Funds |
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465 | (5) |
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Savers Prop. & Cas. Ins. Co. v. Nat'l Union Fire Ins. Co. |
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470 | (13) |
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C Misconduct/Evidence (subsection 10(a)(3)) |
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483 | (9) |
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White v. Valero Ref New Orleans, LLC |
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483 | (4) |
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Trademark Remodeling, Inc. v. Rhines |
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487 | (4) |
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Hoteles Condado Beach, La Concha & Convention Ctr. v. Union de Tronquistas Local 901 |
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491 | (1) |
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D "Exceeded Powers" (subsection 10(a)(4)) |
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492 | (23) |
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1 "Exceeded Powers" in General |
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492 | (1) |
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Stolt-Nielsen S.A. v. AnimalFeeds Int'l Corp. |
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493 | (6) |
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2 "Exceeded Powers" and the Essence Test |
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499 | (1) |
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ErgoBilt, Inc. v. Neutral Posture Ergonomics, Inc. |
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499 | (1) |
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Hoteles Condado Beach, La Concha er Convention Ctr. v. Union de Tronquistas Local 901 |
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500 | (1) |
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ErgoBilt, Inc. v. Neutral Posture Ergonomics, Inc. |
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501 | (2) |
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3 "Exceeded Powers" and Remedies |
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503 | (1) |
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Bonar v. Dean Witter Reynolds, Inc. |
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503 | (1) |
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2000 | (1) |
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PTE Ltd. v. Oceana Petrochemicals AG |
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506 | (5) |
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4 "Exceeded Powers" and Manifest Disregard |
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511 | (4) |
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Chapter 14 The Rise, Fall, and Uncertain Life of Manifest Disregard |
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515 | (48) |
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I What Is "Manifest Disregard"? |
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515 | (12) |
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Hall St. Assocs., L.L.C. v. Mattel, Inc. |
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516 | (9) |
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A Should the Grounds for Arbitration Review Be Exclusive? |
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525 | (1) |
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B SCOTUS Further Muddies the Waters: Animal Feeds |
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526 | (1) |
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II The Circuit Courts and Manifest Disregard After Hall Street and Animal Feeds |
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527 | (32) |
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A Manifest Disregard Lives |
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527 | (14) |
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527 | (8) |
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Comedy Club, Inc. v. Improv West Assocs. |
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535 | (6) |
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B Manifest Disregard Is Dead |
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541 | (8) |
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Citigroup Global Mkts. Inc. v. Bacon |
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541 | (8) |
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C Manifest Disregard Survives but Only as a "Gloss" |
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549 | (14) |
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Raymond James Fin. Servs. v. Fenyk |
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549 | (10) |
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559 | (4) |
Additional Perspectives |
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Chapter 15 International Commercial Arbitration |
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563 | (35) |
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I The Trend Toward International Arbitration |
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564 | (1) |
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II Getting the International Arbitration Started |
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565 | (13) |
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A The International Arbitration Clause |
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565 | (1) |
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B Institutions in International Arbitration |
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566 | (1) |
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1 LCIA Article 25: Interim and Conservatory Measures |
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567 | (1) |
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2 ICC Article 28: Conservatory and Interim Measures |
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568 | (1) |
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3 Arbitration Institute of the Stockholm Chamber of Commerce Article 37: Interim Measures |
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568 | (1) |
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569 | (9) |
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III Arbitrator Selection in International Arbitration |
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578 | (1) |
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1 LCIA Article 5: Formation of Arbitral Tribunal |
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578 | (1) |
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2 ICC Article 12: Number of Arbitrators |
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579 | (1) |
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3 ICC Article 13: Appointment and Confirmation of the Arbitrators |
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580 | (1) |
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4 Nationality of International Arbitrators |
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581 | (1) |
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IV Conflicts of Interest in International Arbitrator Selection |
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582 | (6) |
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A IBA Guidelines on Conflicts of Interest in International Arbitration |
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583 | (1) |
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583 | (1) |
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583 | (1) |
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585 | (1) |
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587 | (1) |
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V Presenting the Case in International Arbitration |
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588 | (4) |
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A Pre-Hearing Discovery and Disclosure in International Arbitration |
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589 | (1) |
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1 LCIA Article 15: Written Statements |
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589 | (1) |
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2 Arbitration Institute of the Stockholm Chamber of Commerce Article 29: Written Submissions |
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590 | (1) |
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B The Scope of Discovery in International Arbitration |
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591 | (1) |
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VI Evidence in International Arbitration Hearings |
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592 | (2) |
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VII Investment Arbitration: The Special Case of Suing the Sovereign |
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594 | (6) |
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A Bilateral Investment Treaty Example |
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595 | (3) |
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B Dispute Resolution in Investment Disputes: ICSID Arbitration |
|
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598 | (1) |
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Rusoro Mining Ltd. v. the Bolivarian Republic of Venezuela |
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598 | (3) |
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VIII Enforcement of International Arbitration Awards |
|
|
600 | (23) |
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A Enforcement of International Arbitral Awards |
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|
601 | (1) |
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Convention on the Recognition and Enforcement of Foreign Arbitral Awards [ the "New York Convention"], Articles I, II, and III |
|
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601 | (3) |
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Comtntion on the Recognition and Enforcement of Foreign Arbitral Awards [ the "New York Convention"), Article V |
|
|
604 | (1) |
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Yusuf Ahmed Alghanim er Sons, W.L.L. v. Toys "R" Us, Inc. |
|
|
605 | (12) |
|
Iran Aircraft Industries v. Avco Corp. |
|
|
617 | (8) |
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IX Final Practice Problem |
|
|
623 | (2) |
Index |
|
625 | |