Dispute Resolution and Arbitration Commons^™

Legal Scholarship In An Age Of Social Media, Miriam Cherry

Journal of Civil Rights and Economic Development

(Excerpt)

This symposium essay will offer insights into how legal scholarship—and the law—are changing in a time of social media. Platforms or their names may change, but the immediacy and connection that they offer, for better or worse, here to stay. The argument amounts to two sides of the same coin. Social media can raise the salience of an issue, story, or event, and in doing so, may provide information that helps to inform our work as legal scholars. The converse is also true: legal scholarship also needs to study social media. This essay takes each point in turn.

Securities Arbitration Case Law Update 2024–2025 (July 2025), Elissa Germaine, Anthony Rivera

Faculty Publications

(Excerpt)

This article summarizes recent cases regarding the constitutionality of FINRA and leading arbitration cases that are of particular relevance to securities arbitration practitioners.

A Simple Solution To An Infinite Problem: Curbing Arbitration Provisions That Exceed The Scope Of The Federal Arbitration Act, Michael Russo

St. John's Law Review

(Excerpt)

In 2012, Diana Mey opened a new cell phone line with AT&T Mobility LLC ("Mobility"), the AT&T, Inc. ("AT&T") subsidiary responsible for AT&T's mobile services business in the United States. This required Mey to enter into the AT&T Wireless Customer Agreement, which contained an arbitration clause covering "all disputes and claims" "arising out of or relating to any aspect of the relationship[.]" Further, it applied as between each party's respective "subsidiaries, affiliates, agents, employees, predecessors in interest, successors, and assigns, as well as all authorized or unauthorized users or beneficiaries of services or Devices under this or prior Agreements …

The Seven Elements Of Dispute Systems Design, Lisa K. Dicker, Neil Mcgaraghan

Faculty Publications

In this article, clinical instructors at the Harvard Law School Dispute Systems Design (“DSD”) Clinic propose adapting an old analytical framework — The Seven Elements of Interest-Based Negotiation — for a new context, dispute systems design (“DSD”). A relatively young field, DSD is the “applied art and science of designing the means to prevent, manage, and resolve streams of disputes or conflict.” DSD can feel broad and opaque to newcomers and thus is in need of a foundational framework, especially for beginners. The Seven Elements of DSD — alternatives, interests, options, criteria, communication, relationship, and commitment — can serve a …

Securities Arbitration Case Law Updates 2023-2024 (June 2024), Elissa Germaine, Nikki Junda

Faculty Publications

(Excerpt)

This article summarizes leading arbitration cases and related issues that are of particular relevance to the securities arbitration practitioner.

In Defense Of Moses, Tamar Meshel

St. John's Law Review

(Excerpt)

In 1925, Congress enacted a short statute to make arbitration agreements in maritime transactions and interstate commerce “valid, irrevocable, and enforceable.” Yet the Federal Arbitration Act’s (FAA) simple objective of facilitating the resolution of disputes outside of the courtroom has proven much easier to declare than to implement in practice. In the century since its enactment, the FAA has become a frequently litigated statute and the subject of 59 opinions of the Supreme Court, the majority of which have reversed lower courts’ interpretations of the Act. The Supreme Court’s FAA jurisprudence has not only been abundant but also controversial. …

Hats For Sale: Efficiency, Economics, And Process Integrity, Elayne E. Greenberg

Faculty Publications

(Excerpt)

What are the ethical considerations for a mediator when a neutral is asked to be both the mediator and arbitrator on the same case? Some parties and their lawyers opt to select one neutral to serve as both the mediator and arbitrator on the same case, believing it will be a more efficient and cost-effective way to resolve their dispute. After all, the mediator already knows the facts of the case. Why waste time and money getting another neutral up to speed? This design choice, however, may collide with the mediator ethical mandates of party self-determination, neutral impartiality, confidentiality, …

Ethical Considerations For Advocates And Neutrals Regarding The Use Of Al In The Finra Arbitration Forum (July 2023), Brent A. Burns, Elissa Germaine, Lisa Roth, Peter J. Tepley

Faculty Publications

(Excerpt)

News abounds about the impacts of AI on our personal lives and work-places. The legal profession and the securities industry are no exception. This article begins to explore the use of open source generative AI in legal advocacy and the securities industry, and the related ethical implications for advocates and neutrals in the FINRA Dispute Resolution Services forum.

The Ethics Of Artificial Intelligence In Legal Advocacy, Elissa Germaine

Faculty Publications

(Excerpt)

The use of AI in our personal and professional lives has entered the public consciousness over the past several months. The legal profession and the securities industry are no exception. This article begins to explore the use of open source generative AI in legal advocacy, and the related ethical implications for securities arbitration practitioners.

Studies have corroborated the impact of AI on the legal profession that many of us have been seeing in practice or hearing and reading about. A Goldman Sachs study predicted that the legal profession will be one of the most likely areas to be impacted …

Humanizing Virtual Dispute Resolution, Elayne E. Greenberg

Faculty Publications

(Excerpt)

How might neutrals and advocates foster interpersonal dynamics when conducting arbitrations and mediations virtually, consistent with the ethical obligations of each profession and the ethical underpinnings of each process?

Virtual dispute resolution for commercial dispute resolution has become the new normal. Yet, the dispute resolution listserves are still peppered with posts from mediators and arbitrators who, although publicly extolling their own commitments to their impartiality and neutrality, are also simultaneously voicing their strong preferences for conducting their dispute resolution processes in person. According to these neutrals, they are unable to attain the same results when the process is conducted …

High Anxiety: Racism, The Law, And Legal Education, Elayne E. Greenberg

Faculty Publications

Conspicuously absent from the United States’ ongoing discourse about its racist history is a more honest discussion about the individual and personal stressors that are evoked in people when they talk about racism. What if they got it wrong? The fear of being cancelled - the public shaming for remarks that are deemed racist - has had a chilling effect on having meaningful conversations about racism. What lost opportunities!

This paper moves this discussion into the law school context. How might law schools rethink their law school curricula to more accurately represent the role systemic racism has played in shaping …

The Dischargeability Of Money Judgements Versus Property Interests In Arbitration Awards For Domestic Contributions In The Context Of Unmarried Couples, Gabriella Hansen

Bankruptcy Research Library

(Excerpt)

A debt which arises prior to the filing of the petition for discharge in bankruptcy is dischargeable unless it can be categorized as one of the statutory exceptions to discharge listed in section 523(a) of title 11 of the United States Code (the “Bankruptcy Code”). Section 523(a)(5) of the Bankruptcy Code prohibits the discharge of awards of domestic support due to a debtor’s spouse, former spouse, or child. Accordingly, maintenance, alimony, and child support, often awarded in divorce proceedings, fall under the federal bankruptcy law statutory exceptions to discharge for domestic support obligations.

When an unmarried couple separates and …

Theorizing Responsibility In The Investor State Dispute Resolution System, Kristen Boon

St. John's Law Review

(Excerpt)

The Investor-State Dispute System (“ISDS”) permits investors to sue states when their investments are injured. The system was designed to protect investors and impose responsibilities on states; it is uncontroversial to say that the ISDS system is one-sided. But a chorus of voices is now asking: should investors have responsibilities too? The narrative is one of injustice, driven by the perception that states have signed on to a system that has left them with large financial exposure to investors. This viewpoint has been reinforced, in the eyes of some, by the influence of big business, and by state losses …

Confidential Settlements For Professional Malpractice, Sande L. Buhai

St. John's Law Review

(Excerpt)

A lawyer representing a plaintiff in a professional malpractice case advises her client not to file a complaint with the state regulatory body—the state bar, the medical board, or some other pertinent body—until later. The lawyer explains that she can offer to settle the case more favorably, more quickly, and at lower cost if they promise that, as part of the settlement, defendant’s malfeasance will never be reported to the state regulatory body responsible for ensuring professional competence in the area. This tactic may allow the client to negotiate a larger settlement because the defendant should be willing to …

Zooming In On Neutrals’ Implicit ‘Isms, Elayne E. Greenberg

Faculty Publications

(Excerpt)

Video conferencing, extolled for its economic and efficiency benefits, has now become an accepted option in the “new normal” of dispute resolution practice. Consequently, our professional discussions about video conferencing have advanced from sharing the mechanics of “how to” conduct an arbitration or mediation on Zoom to more nuanced explorations about the appropriate use of video conferencing. This column contributes to this exploration by questioning how dispute resolution processes conducted via video conferencing might trigger the implicit biases of arbitrators and mediators and compromise a neutral’s ethical obligation to be impartial. When a neutral conducts their dispute resolution processes …

Arbitration Case Law Updates 2021–2022 (June 2022), Sandra D. Grannum, Elissa Germaine

Faculty Publications

(Excerpt)

This article summarizes leading arbitration cases and related issues that are of particular relevance to the securities arbitration practitioner. There appears to be a move away from compelling arbitration and federal jurisdiction of motions to confirm or vacate. The courts have decided several cases specifically involving FINRA arbitrations, discussing who can bring them and what courts have jurisdiction over them.

In addition, the Federal Arbitration Act was amended by the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021, the title of which speaks for itself.

Blinding Justice And Video Conferencing?, Elayne E. Greenberg

Faculty Publications

(Excerpt)

How might dispute resolution processes for civil matters conducted on video conferencing be designed to reduce racial justice inequities and increase Black participants’ sense of procedural justice? In March 2020, responding to Covid-19 pandemic health concerns, all in-person, court-connected, and private dispute resolution processes shifted to video conferencing. Proponents of video conferencing have long touted how video conferencing would increase access to justice by providing an efficient, cost-effective, and time-saving alternative to in-person appearances. An unexplored question in March 2020 was how video conferencing would affect racial justice inequities. Black individuals and other marginalized groups were already disproportionately suffering …

The Unintended Consequence Of Settlement Fever And The Rule Of Law, Elayne E. Greenberg

Faculty Publications

(Excerpt)

Welcome to the final column of a three-part series about how settlement fever has influenced our justice system as it evolves into settlement-centric culture. This column will focus on how the rule of law, once touted as the primary benchmark of justice, has now taken a secondary role to private ordering when shaping some negotiated and mediated settlements.

Arbitrating Security Class Actions: The Limits Of Forum Selection Bylaws, Paul Schochet

St. John's Law Review

No abstract provided.

Settlement Fever: Lawyers, Have You Updated Your Philosophical Map?, Elayne E. Greenberg

Faculty Publications

(Excerpt)

This column is the second in my three-part series about settlement fever. The focus of this column is on how settlement fever is incentivizing you, an ethical lawyer, to expand your legal mindset when you engage with your clients to help resolve their disputes. Have you updated your philosophical map lately?

Ethical Compass: Three Different Judicial Treatments For Settlement Fever, Elayne E. Greenberg

Faculty Publications

(Excerpt)

This is the first of a three-part series that examines different aspects of the settlement fever that has stricken our justice system. What can we learn from judicial decisions about how individual judges assess the settlement means that lawyers, in consultation with their clients, have chosen to resolve their case?

Covid-19 And Conflicts: The Health Of Peace Processes During A Pandemic, Lisa K. Dicker, C. Danae Paterson

Faculty Publications

(Excerpt)

This Article reviews the status of selected contemporary peace processes in the early stages of the COVID-19 outbreak and explores some of the initial effects that the pandemic has had on those processes. The Article first provides an overview of the 20th and 21st century trend toward internationalized peace processes. Then, it introduces several contemporary mediation efforts that were ongoing at the onset of the pandemic and examines the early impacts of COVID-19 on those peace processes. In so doing, the Article identifies instances where actors have exploited the pandemic and peace processes where momentum has shrunk under COVID-19. …

Express Preclusion Of The Federal Arbitration Act For All Bankruptcy-Related Matters, John R. Hardison

St. John's Law Review

(Excerpt)

This Article sets forth a more solid justification for bankruptcy courts to refuse to order arbitration of any matter related to and affecting a bankruptcy case through express preclusion. First, this Article describes the historical development of the Supreme Court’s holdings on preclusion of the FAA in general and on the courts of appeals’ current formulation of a bankruptcy exception to the FAA. Next, this Article discusses the statutory, historical, and policy-based support for reading the bankruptcy jurisdictional provisions as creating an express exception to the FAA, or alternatively as supporting an implied exception to the FAA. As discussed, …

Ethical Compass: Celebration, Elayne E. Greenberg

Faculty Publications

(Excerpt)

Let’s raise our glasses to toast our esteemed Chief Judge, the Honorable Janet DiFiore, for making Presumptive ADR a central part of the New York Office of Court Administration’s civil case management. In her February 26, 2019 State of the Judiciary Address, Chief Judge Janet DiFiore announced that the New York Office of Court Administration is formally adopting Presumptive ADR. Although all ADR processes such as settlement conferences, negotiations, arbitration and early neutral evaluation may be used to help settle cases, a focus will be on mediation. Presumptive ADR will apply to almost all civil cases filed in New …

Arbitration Law Update: 2019–2020 (July 2020), Scott Eichorn, Elissa Germaine

Faculty Publications

(Excerpt)

This article summarizes leading arbitration cases during the last year that are of particular relevance to the securities arbitration practitioner, as well as cases on the horizon for the coming year. The decided cases focus on class arbitration, arbitrability, customer identification, discovery abuse, grounds to modify arbitration awards, enforceability of arbitration agreements, and challenges to Regulation Best Interest. The upcoming cases focus on class arbitration and arbitrability.

What Dinosaurs Can Teach Lawyers About How To Avoid Extinction In The Odr Evolution, Elayne E. Greenberg, Noam Ebner

Faculty Publications

This paper is a wake-up call for the legal profession: Heed the justice changes that are upon us or risk extinction. Online dispute resolution (hereinafter ODR) is currently being incorporated into U.S and international court systems, re-shaping and re-defining justice as we know it today. Courts and clients, two stakeholders in our justice system, are increasingly receptive to ODR as a viable option to help provide and access justice efficiently and affordably. The legal profession, the third stakeholder in our justice system, however, has been slower to react. As ODR plays an increasingly prominent role in the court system, it …

The Changed Batna, Elayne E. Greenberg

Faculty Publications

(Excerpt)

This column invites readers to consider whether the adjudicated outcome should be relied on as a realistic benchmark for advocates and mediators. In everyday dispute resolution practice, advocates and mediators regularly consider an adjudicated decision to be a realistic point of comparison to a negotiated or mediated outcome. For example, when assessing the merits of settlement, lawyers preparing for a legal negotiation and mediation frequently consider the likely adjudicated outcome as their best alternative to a negotiated agreement (hereinafter BATNA). In mediation, mediators often focus parties and their lawyers on the cost, time and likelihood of a favorable adjudicated …

Up Close And Personal: Whether Or Not You Decide To Report A Confidentiality Exception, Elayne E. Greenberg

Faculty Publications

(Excerpt)

In your role as lawyer or neutral, have you ever reported an otherwise confidential communication because it was one of these permissible confidentiality exceptions? Why? This column will discuss how our ethical and personal considerations shape our decisions as advocates and dispute resolution professionals about whether to report ethically permissible exceptions to confidentiality. Readers, you are invited to rethink your ethical reporting obligations and develop more self-awareness about your personal rationales for your reporting choices.

Hey, Big Spender: Ethical Guidelines For Dispute Resolution Professionals When Parties Are Backed By Third-Party Funders, Elayne E. Greenberg

Faculty Publications

This first-of-its-kind paper introduces ethical guidelines and suggested practices for dispute resolution providers and neutrals when third-party funders provide financial backing for parties in U.S. domestic arbitrations and mediations. Sophisticated third-party funders have realized that litigation and dispute resolution are fast-growing, unregulated investment opportunities. Seizing these opportunities, third-party funders are now making billions of dollars in profits through their strategic investments in domestic and global litigation and dispute resolution with few ethical rules or regulations to curtail their investment behavior.3 Preferring to be secretive about the terms of their funding contracts and invisible in their work, third- party funders are …

Arbitration Law Update: 2018-2019, Teresa J. Verges, Elissa Germaine

Faculty Publications

(Excerpt)

This article summarizes the leading federal and state arbitration cases during the last year that are of particular relevance to the securities arbitration practitioner. The Supreme Court decided three cases related to arbitration involving the “wholly groundless” exception, class arbitration, and arbitrability. Courts also addressed issues concerning arbitrability, vacating arbitration awards, a receiver action on behalf of defrauded investors, the limits of FINRA arbitration over member’s other business activities, and discovery in arbitration.