Arbitration Law Guide

Arbitration is a well-established and widely used means to end disputes. Because arbitration is less formal than litigation in court, it is faster and less expensive than traditional litigation. At the same time, there is no jury trial, limited discovery, and less protections from the rules of evidence.

Arbitration is only one of several types of alternative dispute resolution, which provide parties to a controversy with a choice other than litigation. Arbitration takes place out of court; the parties take an active role in selecting who the arbitrator, or arbitrators will be, and often can decide the procedural rules which will govern the hearing itself. Hearings are held, but instead of a courtroom, they are held in a conference room. Like court, both sides have the opportunity to obtain documents from the other side, and third parties, before the hearing, everyone has the right to present witnesses and documents, and to cross examine the other parties' witnesses. The arbitrators typically make a decision in a few weeks after the hearing.

The decisions by arbitrators are usually final, and while there can be an appeal to a court, courts rarely overturn an arbitrator's decision.

Today arbitration is extensively used to resolve disputes between stock brokers and their customers, and is extensively used in the areas of labor law. Our introductory materials will provide basic information regarding arbitration, our monthly columns deal with specific issues in greater detail. If that is not enough, or if you can't find the information you are looking for, ask a question in the discussion forum, or email our staff.

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Articles and Commentary

Filing a Customer Complaint              
The NASD's guide to filing a customer complaint. The NASD recommends that you first communicate your concerns to your broker, then to the manager of your broker's office, and ultimately to the NASDR if you do not receive a satisfactory response from the firm.

Representing Your Clients Successfully in Mediation: Guidelines for Litigators              
From JAMS, some suggestions for the practitioner

Second Circuit Decision Heralds Fundamental Changes to Arbitration              
The U.S. Court of Appeals for the Second Circuit held that an arbitration award may be overturned for manifest disregard of evidence. An examination of the case.

Overview of the Securities Arbitration Process              
Excerpts from an article written by Mark J. Astarita, Esq., this document gives the layman an overview of the process and what to expect during the course of an arbitration proceeding.

The Pros and Cons of Mediation              
An examination of the issues, from the Dispute Resolution Journal, by Judith P. Meyer.

Provisional Relief in Aid of Arbitration              
Court ordered attachments and injunctions may be easier to obtain in New York arbitrations than in traditional litigation matters. An examination of the rule and overview of the caselaw.

The Attorney-Client Privilege and Arbitration              
Does the privilege apply in arbitration? Before you say "of course", there is a different view. From ADR Currents

Enforcing Arbitration Awards              
From the Dispute Resolution Times, a detailed review of the process of collecting an unpaid award.

Subpoena Issues in Arbitration              
A discussion of the use of subpoenas under the Federal Arbitration Act, from ADR Currents.

Dispositive Motions in Arbitration              
Should motions to dismiss and for summary judgment be allowed in arbitration? Most arbitration codes do not explicitly permit the process, though some panels will consider and grant such a motion. Some believe that such motions unnecessarily delay and increase the cost of arbitration. From ADR Currents

Appealing Unappealable: Vacating Arbitration Awards              
From LawInfo, this article examines the appeal process, or lack thereof.

Arbitration Procedures for Investors              
The NASD's guide to the process.

Typical Customer Complaints in Securities Arbitrations              
When customers bring arbitration disputes against their stock brokers, their complaints fall into several broad categories. This article describes the types of complaints that are the most common.

Injunctions by Arbitrators?              
Injunctive relief was once reserved for the Courts, but two years ago, the NASD gave that power to its securities arbitrators. Results have been mixed, and there have been some abuses. Now NASD Regulation, Inc. is seeking comments on the procedures for obtaining injunctive relief and expedited proceedings under Rule 10335 of the Code of Arbitration Procedure. The text of the request is available online, and the comment period ends November 31, 1997.

Arbitration Procedures              
Important information on resolving disputes against stockbrokers.

Whether Arbitrators Have a Duty to Apply the Law              
From Law Journal Extra!. And yes, they do....sometimes.

Nolo's Legal Encyclopedia- Courts and Mediation              
Take control of your legal troubles: mediate disputes, deal with your lawyer, represent yourself in court & more.

Hearing Hearing              
Securities Arbitration was the original focus of this site, back in the dark ages of the Internet, and this month we return to our roots, with Hearing Hearing, an overview of the hearing process. For those who are not familiar with the process at all, we have an updated version of Overview of the Arbitration Process.

Fight Back              
Rogue Customers are the problem. The solution might be here.

Settling the Matter              
More brokers and firms are being forced to settle customer claims, particularly where the claim is less than the total arbitration expense. Is that good for the broker?

Mandatory Arbitration              
Mandatory arbitration of employment disputes is the current hot topic. The EEOC and members of Congress are looking to remove employment discrimination disputes from mandatory arbitration, and brokers are joining the cry. Is the removal of mandatory arbitration of employment disputes a good thing? You might want to watch what you wish for - since you just might get it. Check out this discussion for a side of the story you might not have considered.

Using Arbitration to Resolve Financial Disputes              
An overview of the process from JAMS

When an Arbitrator Withdraws              
From the New York Law Journal - "A party intent on thwarting the arbitral process may find many opportunities to do so. One delaying tactic for which a universally accepted response has yet to be developed concerns the unauthorized withdrawal of an arbitrator after the proceedings have begun."

ADR: A litigator's perspective              
An overview of the pluses and minuses of ADR.

Mediation is not a Four Letter Word              
Mediation services resolve 70-80% of the cases referred to them. So why does mediation have such a bad reputation?

Top General Counsels Support ADR              
Fortune 1000 lawyers comment on ADR's status and future

It's a new day for ADR              
Business lawyers generally have had little to do with alternative dispute resolution. But the one-sentence boilerplate ADR clause is no longer enough.What are a business lawyer's professional and ethical obligations to her/his client when it comes to arbitration agreements?

Courts Differ on Arbitrability of Time Limitations              
From ADR Currents, a review of court decisions and the issue of eligibility.

Arbitration and U.S. Courts Balancing Their Strengths              
Commentary by the Honorable Jos‚ A. Cabranes, from the U.S. Court of Appeals for the Second Circuit.

A Style Index for Mediators              
The Mediator Classification Index (MCI) is designed to assist in understanding the approach or style a mediator tends to use during the mediation process. The MCI is a valuable tool which you may ask prospective mediators to complete as part of the mediator selection process.

Aggressive ADR?              
The author talks about the marriage of zealous advocacy and aggressive alternative dispute resolution. There's a bundle of new techniques to deal with the question: Why does it sometimes take years to reach a settlement? It shouldn't.

Honoring and Enforcement of Arbitration Awards              
The rules are different for securities arbitration awards, and what you don't know, can hurt you..

Enforcement of Agreements to Arbitrate and New York Choice of Law Clauses: Proceed with Caution              

Preparing to Succeed in a Mediation         William A. Escobar     

Arbitration: Not Always the Answer         Steven P. Caley     

Tweaking Arbitration              
Should the Uniform Arbitration Act be revised? Can it correct some of the problems with the Federal Arbitration Act?

Settling Your Differences         Erica Lehrer Goldman     
An upcoming Supreme Court decision could prohibit employers from insisting on arbitration.The U.S. Supreme Court will be reviewing a California employment law case that will have serious ramifications nationwide for employers seeking to arbitrate rather than litigate work-related claims. The case, Circuit City Stores Inc. v. Saint Clair Adams, will examine the scope of the Federal Arbitration Act. In effect since 1925, the measure allows contracts with binding arbitration agreements to prevail over state law except in "contracts of employment of seamen, railroad employees or any other class of workers engaged in foreign or interstate commerce."

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