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Tag Archives: Arbitration

Contract – Arbitration – FINRA – Municipal Bond ‘Customer’ (access required)

UBS Financial Services Inc. v. Carilion Clinic A Virginia healthcare company is a “customer” of the financial services companies it hired to structure its municipal bond offering, and it is entitled to FINRA arbitration of its claims that it was fraudulently induced to issue over $234 million in auction-rate municipal bonds; the 4th Circuit upholds the order allowing arbitration to go forward.

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Arbitration – Civil Practice – Findings of Fact – Investment Contract (access required)

Cornelius v. Lipscomb The trial court’s order has no findings and no explanation for the basis of the court’s denial of defendants’ motion to compel arbitration. We must reverse and remand for findings of fact regarding whether the parties had a valid agreement to arbitrate and, if so, whether the parties’ dispute falls within the scope of that agreement.

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Arbitration – Motion to Vacate – Construction Contract – Upgrade Costs – Contractor’s License (access required)

E. Rick Miller Construction Co. v. Mugridge The arbitrator found that the defendant-owners relied on the plaintiff-contractor’s representations as to the costs of certain recommended upgrades to their “financial detriment”; however, the arbitrator also found that the owners didn’t typically ask the contractor questions about the cost of the upgrades. The arbitrator’s holding that the owners’ inattention “nullifie[d] any claim of deception” was not in manifest disregard of the law.

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Arbitration – Nursing Home – Separate Agreement – Power of Attorney (access required)

SSC Statesville Maple Leaf Operating Co. v. Morgan Pursuant to a power of attorney from his mother, defendant executed both an admission form and a separate dispute resolution agreement (DRA) when he admitted his mother to plaintiff’s facility. As defendant’s wrongful death claim arises out of his mother’s treatment at plaintiff’s facility, the claim is subject to the arbitration clause in the DRA.

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Attorneys – Tort/Negligence – Legal Malpractice Claim – Case Within a Case – Snowy Road Fishtail – Arbitration — Civil Practice – Service of Process (access required)

Tarrant v. Hudson (Lawyers Weekly No. 12-16-0847, 22 pp.) (Martha A. Geer, J.) Appealed from Wake County Superior Court. (Abraham Penn Jones & Paul G. Gessner, JJ.) N.C. App. Unpub. Holding: Even though the defendant-attorneys failed to file a personal injury action on behalf of plaintiff before the statute of limitations expired, and even though plaintiff later obtained a default judgment against the driver and owner of the other car involved in his accident, since plaintiff only showed that the other car fishtailed and spun out on an icy, snowy road, plaintiff failed to prove that the other driver was negligent. Therefore, he failed to prove the “case within a case” necessary to show the attorneys committed legal malpractice when they missed the filing deadline.

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Contract – Arbitration – Deposition — Waiver of Right to Compel Arbitration – Operating Agreement (access required)

HCW Retirement & Fnancial Services, LLC v. HCW Employee Benefit Services, LLC Several key claims in a thorny dispute were covered by an arbitration clause, contrary to the trial court’s ruling. However, the defendants waived their right to arbitration by deposing plaintiff at length and in detail about the claims in dispute in advance of arbitration.

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Arbitration – Motion to Compel – Nonsignatory – Equitable Estoppel – Securities Trading Contract (access required)

Erichsen v. RBC Capital Markets, LLC Even though neither defendant nor its predecessor signed the risk disclosure statement (RDS) that contains the arbitration clause at issue, since plaintiff signed the RDS, and since plaintiff’s claims are based on the RDS, defendant may enforce the arbitration clause. Defendant’s motion to compel arbitration is granted.

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