By Jill I. Gross An arbitrator’s ruling that an arbitration agreement permits class arbitration does not exceed his powers or manifestly disregard the law, because the law on that issue is in flux and the resolution of that issue is tethered to the idiosyncratic terms of the arbitration agreement. A Clause Construed to Allow Class […]

By James L. Komie While an employee’s silence in the face of an email from his employer purporting to impose an arbitration requirement may be deemed binding acceptance, the employees affirmative denial that he received the email during his employment creates a fact issue that requires a trial on the employer’s motion to compel arbitration. […]

By Christopher G. Lazarini Where non-arbitrable issues are intertwined with arbitrable issues, such as where the same operative facts and same claims exist in both proceedings, a Court may stay the litigation of the non-arbitrable issues pending the outcome of the arbitration. Lagrasso vs. The Prudential Ins. Co., of America, No. 18-11497 (E.D. Mich., 7/12/18). […]

By Christopher G. Lazarini *Class action waivers in employment agreements are enforceable. **FINRA Rule 13204’s prohibition against compelling a member of a certified or putative class to arbitrate may be contractually waived. Laver vs. Credit Suisse Securities (USA), LLC, No. 18-cv-00828 (N.D. Cal., 6/21/18). Of Dispute Resolution and Deferred Compensation Plaintiff is a former financial […]

By Jill I. Gross * When a party to a purported arbitration agreement claims that the container agreement as a whole was fraudulently induced, that claim is arbitrable. **A customer’s ability to trade in options is sufficient consideration to bind him to an account agreement. Curtis vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., No. […]

FINRA’s Rule 13204 restriction on enforcing arbitration against class action participants is not a “contrary congressional command” that might override the FAA mandate to enforce pre-dispute arbitration agreements (PDAAs), but it is a requirement incorporated into the agreement to arbitrate; as such, it conditions the scope of arbitrable issues. Zoller & Biegelman vs. UBS Securities, […]

By Jeremy Root * In Nebraska, the denial of a motion to compel arbitration is appealable when the moving party offers the arbitration agreement into evidence in the court below. **Evidence that a party is an “associated person” of an arbitration agreement signatory is insufficient to prove that he was the “Investment Custodian” or a […]

By Jill I. Gross A whistleblower claim brought pursuant to the Dodd-Frank Act is arbitrable where it is covered by a valid arbitration agreement. Daly vs. Citigroup Inc. & Citigroup Global Markets, Inc., No. 16-cv-9183 (S.D. N.Y., 2/6/18). Fired and Suing Plaintiff Erin Daly, a former Assistant Vice President in Citibank’s private banking division, claimed […]

By Jeremy Root *A forum selection clause in a compensation agreement incorporated by reference into an offering letter does not preclude or waive the applicability of an arbitration provision in the offering letter itself, where the forum selection clause merely requires the case to be filed in a particular court, not resolved there. **A merger […]

As we have the last two years, we take time during the first few months of this year to look back at the year ended. And, repeating the pattern we have set each time, we begin with the largest damage awards of 2017. The year began with a bang: the single largest award in the […]