Cases and Materials On The Law & Practice Of Arbitration: Revised Third Edition
Thomas E. Carbonneau
Price: $115.00 1250 pages. 1 Hardcover Volume. Table of Cases. Appendices.Published August 2002. (65 page Teaching Guide Available with Class Adoptions).
ISBN-13: 978-1-929446-26-1 / ISBN-10: 1-929446-26-8
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Chapter One: An Introduction to Arbitration
I. The Arbitral Process in General
1. A Definition of Arbitral Adjudication
2. Arbitration’s Appeal to the Commercial Community
3. The Remedial Reality of Arbitration
4. The Actual Operation of the Process
5. The Evolution of Arbitration
6. Arbitration and Lawyers
II. The Law of Arbitration: Basic Concepts and Principles
1. Party Autonomy
2. Arbitration Agreements
3. The Terms of Reference
4. Arbitrability
5. The Separability Doctrine and Kompetenz-Kompetenz
6. Adjudicatory Powers of the Arbitrators
7. Enforcement of Awards
8. Consolidation and Class Actions in Arbitration
9. Duty to Arbitrate in Good Faith
10. Selecting Arbitrators
11. Arbitral Institutions
12. A-National Arbitration: The lex loci arbitri and the lex mercatoria
13. Judicial Supervision of the Merits of Awards in Anglo-Saxon Laws
14. International Treaties and National Statutes on Arbitration
15. The Contributions of Practice: Fast-Track Arbitration
16. The “Modern” Arbitration Statute
III. Transitional Considerations Illustrative Problems
Problem 1
Problem 2
Problem 3
Problem 4
Chapter Two: U.S. Statutes on Arbitration: The FAA and the Uniform Law
1. The Period of “Hostility”
Notes and Questions
2. The United States Arbitration Act of 1925
Text of the FAA
The United States Arbitration Act
Commentary and Analysis
The Employment Contract Exclusion
Enforcement of Unfair Contracts
Minimum Requirements for Enforceability
The Effect of Arbitration Agreements on EEOC Jurisdiction
Notes and Questions
3. The FAA as a “Super-ADR” Statute
AMF Inc. v. Brunswick Corp.
Notes and Questions
4. The Waiver of the Right to Arbitrate
5. The Uniform Law for States
An Introduction
The Text of the Statute
A Critical Commentary on the Provisions
1. Arbitrability
2. Consolidation
3. Arbitrator Impartiality and Disclosure
4. Arbitrator Immunity
5. The Conduct of Arbitral Proceedings
6. Professional Representation in Arbitration
7. Arbitrator Powers to Conduct Proceedings
8. Other Issues
9. Omitted Issues
Conclusions
Chapter Three: Arbitration and U.S. Federalism
1. Introduction: Initial Steps Toward “Federalization”
Bernhardt v. Polygraphic Co. of America
Notes and Questions
Robert Lawrence Co. v. Devonshire Fabrics, Inc.
Notes and Questions
Prima Paint Corp. v. Flood & Conklin Mfg. Co.
Notes and Questions
2. The Federalism Trilogy
Moses H. Cone Memorial Hosp. v. Mercury Construction Co.
Notes and Questions
Southland Corp. v. Keating
Notes and Questions
Dean Witter Reynolds, Inc. v. Byrd
Notes and Questions
3. A Note of Dissonance
Volt Information Sciences, Inc. v. Stanford University
Notes and Questions
4. Affirming the Federalization Policy
Allied-Bruce Terminix Cos., Inc. v. Dobson
Notes and Questions
Doctor’s Associates, Inc. v. Casarotto
Notes and Questions
Chapter Four: Contract Principles and Statutory Rights in the U.S. Law of Arbitration
1. Introduction: A Decisional Edifice of Arbitration Law
2. Party Freedom of Contract: Arbitration and the Principles of Contract Law
i. Mastrobuono
Mastrobuono v. Shearson Lehman Hutton, Inc.
Notes and Questions
ii. Kaplan
First Options of Chicago, Inc. v. Kaplan
Notes and Questions
iii. The Gateway Case
Gateway Technologies, Inc. v. MCI Telecommunications Corp.
Notes and Questions
iv. Subsequent Developments
LaPine Tech. v. Kyocera
New England Utilities (NEU) v. Hydro-Québec
Other Recent Decisional Law
v. A Broad Arbitration Clause Presumes Arbitrability
vi. Arbitrators Decide Questions of Res Judicata
3. Beyond Contract: Arbitrating Statutory Rights
i. ERISA
Pritzker v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
Notes and Questions
ii. Bankruptcy
In re Statewide Realty Co.
Notes and Questions
iii. Antitrust Disputes
American Safety Equipment Corp. v. J.P. Maguire & Co.
Notes and Questions
iv. The Fair Labor Standards Act (FLSA)
a. Coughlin v. Shimizu-Am. Corp.
Notes and Questions
b. Albertson’s, Inc. v. United Food and Commercial Workers Union, AFL-CIO & CLC
Notes and Questions
c. Bernard v. IBP, Inc. of Nebraska
Notes and Questions
v. The Labor Management Relations Act (LMRA)
a. Price v. Goals Coal Co.
Notes and Questions
b. Interstate Brands Corp. v. Bakery Drivers & Bakery Goods Vending Machines, Local Union No. 550
Notes and Questions
vi. 42 U.S.C. §1981
Notes and Questions
vii. Title VII
a. Paladino v. Avnet Computer Technologies, Inc.
Notes and Questions
b. Coleman v. Houston Lighting and Power Co.
Notes and Questions
c. Nichols v. General Motors Co
Notes and Questions
d. Mouton v. Metropolitan Life Insurance Co.
Notes and Questions
e. Thomas v. Bear, Stearns & Co.
Notes and Questions
viii. Whistleblower Claims
Oldroyd v. Elmira Savings Bank, FSB
Notes and Questions
ix. Truth-in-Lending-Act Claims
Randolph v. Green Tree Financial Corp.
Notes and Questions
x. McCarran-Ferguson Act
a. Hamilton Life Ins. Co v. Republic Nat’l Life Ins. Co.
Bennett v. Liberty Nat’l Fire Ins. Co.
b. Munich American Reinsurance Co. v. Crawford
c. Davister Corp. v. United Republic Life Ins. Co. Notes and Questions
xi. Injunctive Relief Under the Consumer Legal Remedies Act Inarbitrable
xii. Magnuson-Moss Act Claims
xiii. Legal Malpractice Claims and Fee Disputes
xiv. Related Tort Claims Outside the Scope of the Employment Relationship
Hill v. Hilliard
Notes and Questions
Chapter Five: The Subject Matter Areas of Arbitration
1. Securities Arbitration
i. Wilko v. Swan
Notes and Questions
ii. Shearson/American Express v. McMahon
Notes and Questions
iii. Rodriguez v. Shearson/American Express, Inc.
Notes and Questions
2. Consumer Arbitration
i. An Arbitration Clause “In-The-Box” is a Valid Agreement to Arbitrate
ii. Requiring Arbitration Before ICC Held Unconscionable
iii. Better Business Bureaus Consumer Arbitration
iv. JAMS/ENDISPUTE Policy on Consumer Dispute Resolution
v. AAA Adopts Due Process Protocol for Consumer Dispute Resolution
Due Process Protocol for the Mediation and Arbitration of Consumer Disputes
Commentary
AAA Waves the Rules, and Consumer Arbitration May Never Be the Same
by Edward A. Dauer
vi. Customer Banking Transactions and Arbitration
Commentary
Badie v. Bank of America: Arbitration Loses, Arbitration Wins by Edward A. Dauer
vii. AT&T’s Consumer Services Agreement and Mandatory Arbitration
viii. Court Voids Arbitration Agreement in “Pay-Day” Loan Scheme
ix. Florida Court Holds Arbitration Clause Unconsicionable
x. State Usury Laws Trump the Reference to Arbitration
3. HMO Arbitration
Engalla v. Permanente Medical Group, Inc.
Questions and Comments
Commentary
Engalla’s Legacy to Arbitration: Why Independent Administration is Important
by Edward A. Dauer
4. Maritime Arbitration 377
Maritime Arbitration Rules
Notes and Questions
Chapter Six: Labor and Employment Arbitration
I. Labor Arbitration
A. Textile Workers Union of America v. Lincoln Mills of Alabama
Notes and Questions
B. United Steelworkers of America v. American Manufacturing Co.
Notes and Questions
United Steelworkers of America v. Warrior & Gulf Navigation Co.
Notes and Question
United Steelworkers of America v. Enterprise Wheel and Car Corp.
Notes and Questions
C. AT&T Technologies, Inc. v. Communications Workers of America
Notes and Questions
United Paperworkers Int’l Union, AFL-CIO v. Misco, Inc.
Notes and Questions
II. Employment Arbitration
1. Introduction
2. The Fountainhead Cases
Alexander v. Gardner-Denver
Notes and Questions
Gilmer v. Interstate/Johnson Lane Corp.
Notes and Questions
3. The Subsequent Caselaw
Austin v. Owens-Brockway Glass Container, Inc.
Notes and Questions
Cole v. Burns International Security Services
Notes and Questions
Pryner v. Tractor Supply Co. and Sobierajski v. Thoesen Tractor & Equipment Co.
Notes and Questions
Great Western Mortgage Corp. v. Peacock
Notes and Questions
Prudential Insurance Co. of America v. Lai
Notes and Questions
4. The Settlements in the Smith Barney and Merrill Lynch Class Action Lawsuits
A. Smith Barney
B. Merrill Lynch
Notes and Questions
5. The Decision in Rosenberg v. Merrill Lynch
Notes and Questions
6. The U.S. Supreme Court Decision in Wright
Notes and Questions
7. “Triangular” Arbitration Agreement Held Unenforceable
8. Elaborating an Agreement for and a Process of Employment Contract Arbitration
C. Basic Considerations
D. Provisions of a Model Agreement
1. The Agreement to Arbitrate
2. The Scope of Application of the Process
3. The Meaning of Arbitration
4. The Administration of the Arbitral Proceeding
5. Pre-Arbitration Dispute Resolution
6. The Arbitration Process
7. The Arbitrators’ Adjudicatory Duties and Powers
Chapter Seven: Enforcement of Arbitral Awards
1. Introduction
Notes and Questions
2. The General Policy and Standard of Review
Fine v. Bear, Stearns & Co., Inc.
Remmey v. PaineWebber, Inc.
Notes and Questions
Eljer Mfg., Inc. v. Kowin Development Corp.
Notes and Questions
Rodriguez v. Prudential-Bache Securities, Inc.
Notes and Questions
Brown v. Rauscher Pierce Refsnes, Inc.
Brown v. Rauscher Pierce Refsnes, Inc.
Notes and Questions
Nonstatutory Grounds
3. The Public Policy Exception to Enforcement
Brown v. Rauscher Pierce Refsnes, Inc.
Rodriguez v. Prudential-Bache Securities, Inc.
Notes and Questions
Exxon Shipping Co. v. Exxon Seamen’s Union
Notes and Questions
4. Arbitrary and Capricious or Irrational Awards
Brown v. Rauscher Pierce Refsnes, Inc.
Ainsworth v. Skurnick
Notes and Questions
Eljer Mfg., Inc. v. Kowin Development Corp.
Notes and Questions
Ainsworth v. Skurnick
5. Manifest Disregard of the Law
Rodriguez v. Prudential-Bache Securities, Inc.
Notes and Questions
Fine v. Bear, Stearns & Co., Inc.
Notes and Questions
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Bobker
Notes and Questions
Baravati v. Josephthal, Lyon & Ross, Inc.
Notes and Questions
Recent Developments
Notes and Questions
Statutory Grounds
6. Excess of Arbitral Authority
Agrawal v. Agrawal
Notes and Questions
Fahnestock & Co. v. Waltman
Notes and Questions
7. Arbitrator Misconduct
Agrawal v. Agrawal
Berlacher v. PaineWebber Inc.
Robbins v. Day
Hayne, Miller & Farni, Inc. v. Flume
Notes and Questions
8. Evident Partiality
Austin South 1, Ltd. v. Barton-Malow Co.
Hayne, Miller & Farni, Inc. v. Flume
Notes and Questions
Olson v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
Schmitz v. Zilveti
Subsequent Developments
9. Fraud
Bonar v. Dean Witter Reynolds, Inc.
10. Conclusion
Notes and Questions
Chapter Eight: Problems in Arbitral Doctrine and Practice
1. Introduction
2. Arbitrator Authority to Fashion Remedies
Rodriguez v. Prudential-Bache Securities, Inc.
Notes and Questions
Davis v. Prudential Securities, Inc.
Notes and Questions
Gingiss International, Inc. v. Bormet
Eljer Manufacturing, Inc. v. Kowin Development Corp.
Notes and Questions
Gateway Technologies, Inc. v. MCI Telecommunications Corp.
Lee v. Chica
Notes and Questions
Unigard v. CIGNA
3. Rule 11 and Other Sanctions
Padgett v. Dapelo
McMahon v. Shearson/American Express, Inc.
Notes and Questions
4. Judicial Extension of the Agreement to Arbitrate and of the Obligation to Arbitrate
Thomson-CSF, S.A. v. American Arbitration Ass’n
The Use of Equitable Estoppel to Compel Arbitration
Non-Signatory Can Compel Signatory to Arbitrate
Usina Costa Pinto, S.A. v. Louis Dreyfus Sugar Co.
United Int’l Holdings, Inc. v. Wharf (Holdings), Ltd.
Notes and Questions
T. Carbonneau, “A-Legality” and Arbitration: The German Supreme Court Joins the Fray
Notes and Questions
5. The Consolidation of Arbitral Proceedings
Compania Espanola de Petroleos, S.A. v. Nereus Shipping, S.A.
Weyerhaeuser Co. v. Western Seas Shipping Co.
Maxum Foundations, Inc. v. Salus Corp.
Government of the United Kingdom v. Boeing, Co.
Notes and Questions
6. Confidentiality in Arbitration
Galleon Syndicate Corp. v. Pan Atlantic Group, Inc.
Notes and Questions
T. Arnold & J. Jubinsky (excerpt)
N. Rawding (excerpt)
WIPO Rules
Notes and Questions
7. Interim Measures or Provisional Relief
Yasuda Fire & Marine Insurance Co. of Europe v. Continental Casualty Co.
Blumenthal v. Merrill Lynch, Pierce, Fenner & Smith Inc.
Southern Seas Navigation Ltd. of Monrovia v. Petroleos Mexicanos of Mexico City
McCreary Tire & Rubber Co. v. CEAT, S.p.A.
Carolina Power & Light Co. v. URANEX
E.A.S.T., Inc. of Stamford, Connecticut v. M/V ALAIA
Borden, Inc. v. MEIJI Milk Products Co., Ltd.
8. The “Judicialization” of Arbitration
T. Carbonneau, Darkness and Light in the Shadows of International Arbitral Adjudication
Notes and Questions
Litigious Conduct in Arbitration
9. Drafting Arbitration Agreements
Notes and Questions
i. Model Arbitration Clauses
ii. T. Carbonneau, Beyond Trilogies...
Notes and Questions
Chapter Nine: An Introduction to International Commercial Arbitration
1. Introduction
2. The U.S. Ratification of the 1958 New York Arbitration Convention
Convention on the Recognition and Enforcement of Foreign Arbitral Awards
Chapter 2 of the FAA: Convention on the Recognition and Enforcement of Foreign Arbitral Awards
Inter-American Convention on International Commercial Arbitration
Chapter 3 of the FAA: Inter-American Convention on International Commercial Arbitration
Notes and Questions
3. The Courts and the New York Arbitration Convention
Parsons & Whittemore Overseas Co. v. Société Générale de L’Industrie du Papier (RAKTA)
Notes and Questions
Fotochrome, Inc. v. Copal Co.
Notes and Questions
National Oil Corp. v. Libyan Sun Oil Co.
Notes and Questions
Tennessee Imports, Inc. v. Filippi
Notes and Questions
Subsequent Developments
A. In the Matter of Chromalloy Aeroservices
In the Matter of the Arbitration of Certain Controversies Between Chromalloy
Aeroservices and the Arab Republic of Egypt
B. A Comment on Alghanim & Sons v. Toys “R” Us, Inc.
C. Right of Removal
D. Enforcement of Arbitral Awards Against Sovereign States
E. FSIA Arbitration Exception Does Not Preclude Forum non Conveniens
Chapter Ten: The U.S. Supreme Court Decisional Law on International Commercial Arbitration
1. Introduction
2. The Enforcement of Forum Selection Clauses
The Bremen v. Zapata Off-Shore Co.
Notes and Questions
3. The Arbitrability of Claims Arising Under the 1934 Securities and Exchange Act
Scherk v. Alberto-Culver Co.
Notes and Questions
4. The Arbitrability of U.S. Antitrust Claims 806
Mitsubishi Motors Corp. v. Soler Chrysler-Plymouth, Inc. 806
Notes and Questions 819
Roby v. Corporation of Lloyd’s 824
5. A Conflict Between the FAA and COGSA? 834
Vimar Seguros y Reaseguros v. M/V Sky Reefer 834
Notes and Questions 845
6. The Impact of the Federal Decisional Law 847
T. Carbonneau (with Janson), Cartesian Logic and Frontier Politics: French and American Concepts of Arbitrability 847
Notes and Questions 849
Chapter Eleven: Transborder Laws and Regimes on Arbitration
1. ICSID Arbitration 851
Convention on the Settlement of Investment Disputes Between States and Nationals of Other States
Notes and Questions
2. The Uncitral Model Law
Uncitral Model Law on International Commercial Arbitration
Notes and Questions
3. The Uncitral Model Law on International Commercial Conciliation
4. The Lex Mercatoria Arbitralis
Notes and Questions
T. Carbonneau, Rendering Arbitral Awards with Reasons: The Elaboration of a Common Law of International Transactions
5. The IBA Rules on Evidence-Gathering in International Arbitration
The New IBA Rules of Evidence by David W. Rivkin
Notes and Questions
6. IBA Ethics for International Arbitrators
Commentary
Jan Paulsson, Ethics for International Arbitrators: How Have the 1987 IBA Guidelines Fared?
Notes and Questions
Chapter Twelve: Arbitration and Multilateral Treaties
1. Introduction
2. The Iran-U.S. Claims Tribunal
Declaration of the Government of the Democratic and Popular Republic of Algeria Concerning the Settlement of Claims by the Government of the United States of America and the Government of the Islamic Republic of Iran
Notes and Questions
3. Dispute Resolution Under the GATT and NAFTA
i. GATT
ii. NAFTA
Notes and Questions
4. The Iraqi War Claims Commission on Compensation
Congressional Record – House
Notes and Questions
Chapter Thirteen: National Laws on Arbitration
1. A Civil Law Approach to Arbitration: The Example of France
The Codified Law
Notes and Questions
2. The English Statutory Law on Arbitration
Text of the Statute Arbitration Act 1996
Commentary and Analysis
3. Arbitration in Other Legal Systems
i. Germany
ii. Sweden
iii. Venezuela
iv. Japan
v. China
vi. Taiwan
vii. India
viii. Miscellaneous Developments
Chapter Fourteen: Institutional Rules on Arbitration
1. Introduction
2. International Arbitration Rules of the American Arbitration Association
3. A Note on the New ICC ADR Rules
Chapter Fifteen: Concluding Observations
1. Introduction
2. The Arbitration Bar and Its Different Constituencies
3. Arbitration: A Veiled Mystery?
4. The Reality of Arbitration: “Serious Business” or “Pretend”?
5. The Accomplishments and the Modification of Arbitration
6. Lawyers, Adjudication, and Business Politics
7. A Summary of the Law and a Critique
T. Carbonneau, Arbitral Justice: The Demise of Due Process in American Law
Notes and Questions
8. Model Questions and Problems
Questions
Problems
Revised 3rd Edition