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Dispute Resolution Keyed to Carbonneau, 8th Ed.
Howsam v. Dean Witter Reynolds, Inc.
Citation:
537 U.S. 79, 123 S. Ct. 588, 154 L. Ed. 2d 491 (2002)Facts
Karen Howsam was a client of Dean Witter Reynolds, Inc., who received investment advice from the firm between 1986 and 1994 regarding four limited partnerships in which she invested. Howsam later alleged that Dean Witter had misrepresented the virtues of these partnerships. Their Client Service Agreement contained an arbitration clause stating that all controversies arising from any account, transaction, or agreement between them would be determined by arbitration before any self-regulatory organization of which Dean Witter was a member. The agreement allowed Howsam to select the arbitration forum, and she chose the NASD. To initiate NASD arbitration, Howsam signed the NASD’s Uniform Submission Agreement, which incorporated the NASD Code of Arbitration Procedure. The Code contained a provision stating that no dispute would be eligible for submission where six years had elapsed from the occurrence giving rise to the dispute. Dean Witter filed a lawsuit seeking to prevent arbitration, claiming the dispute was time-barred.
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