Arbitration & Alternative Dispute Resolution
Arbitration is a private alternative to the courts for the resolution of disputes and claims. In arbitration, one or more third-party neutrals are appointed to hear and make a binding decision regarding the parties’ disputed claims. It is common for parties to contract for the use of arbitration to resolve disputes arising from contracts or other commercial activities. Mediation, another alternative to the court system, is where the parties retain a third-party neutral to hear and facilitate resolution of a dispute or claim without issuing a binding decision. Arbitration and mediation procedures provide the parties with a confidential and private alternative to the court system, but may require the client to waive certain legal rights and can give rise to litigation in courts regarding the scope, content, and enforceability of arbitration contracts.
Our team is well-experienced with arbitration and mediation.
Our arbitration matters have included representing investors and investment companies in a broad range of disputes such as those related to investment misrepresentations, allegations of improper sales practices, breaches of fiduciary responsibility, and unauthorized trading.
Our firm has experience with international arbitration, which has unique procedures and can require additional steps for enforcement.
We have represented clients in actions to compel a recalcitrant party to arbitrate, parties who are seeking to avoid arbitration, parties defending an arbitration claim on the merits, and parties seeking to recover in arbitration. We have successfully confirmed domestic and international arbitration awards and represented clients in post-confirmation enforcement and recovery. We have also advised clients on drafting arbitration provisions.
Representative Matters
Represented a NY-based boutique investment bank to a successful outcome in an international arbitration, leading to a multimillion dollar arbitration award that was recently confirmed by the SDNY.
Represented a NY nonprofit to successfully oppose a motion to compel arbitration.
Represented NYC fashion show in connection with an international arbitration with a fashion label.
Represented law firm and attorney against claims arising under escrow agreement. Obtained order compelling arbitration.
Zhongzhi Hi-Tech Overseas Inv. Ltd. v. Shi, No. 22-CV-6977 (LAP), 2023 WL 4561812, at *1 (S.D.N.Y. July 17, 2023): Defended client against enforcement of an arbitral award in New York. Obtained judgment dismissing petition to confirm award in New York.
CKR L. LLP v. Anderson Invs. Int'l, LLC, 544 F. Supp. 3d 474 (S.D.N.Y. 2021): Represented escrow agent in action against escrowee for fraud and misappropriation.
Represented a retail investor in FINRA arbitration related to unauthorized trading and lack of supervision by broker-dealers.
Represented claimant a securities fraud action against a major financial institution for misleading statements in connection with investment products.
Defendant investment bank and broker-dealer in connection with dispute arising from failed acquisition.
Defended investment bank in arbitration claim arising from compensation dispute. Obtained favorable award dismissing claims and awarding compensation to investment bank.
