Howsam v. Dean Witter Reynolds, Inc.
October 9, 2002 (01-800)
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Case Summary
Dean Witter instituted this action in federal court seeking to enjoin a customer, Howsam, from arbitrating a dispute with the National Association of Securities Dealers (NASD). Dean Witter claimed that the dispute was time-barred under NASD rules stating "[n]o dispute, claim or controversy shall be eligible for submission to arbitration under this Code where six (6) years have elapsed from the occurrence or event giving rise to the act or dispute..." The Tenth Circuit held that because the parties' agreement did not "clearly and unmistakably" demonstrate the parties' intent to have issues of arbitratability decided by an arbitrator rather than by the courts, the courts may properly determine whether Howsam's arbitration claim is time-barred. The Tenth Circuit's opinion is found at 261 F.3d 956.

To see the opinion of the lower court, click here.


PREDICTED OUTCOME ACTUAL
OUTCOME
Forecasting
Model
Expert
One
Expert
Two
Expert
Three
5-4 to Reverse 6-3 to Reverse 9-0 to Reverse 6-2 to Reverse 8-0 to Reverse
VOTING TO REVERSE
Rehnquist
O'Connor
Scalia
Kennedy
Thomas
Stevens
O'Connor
Kennedy
Souter
Ginsburg
Breyer
Rehnquist
Stevens
O'Connor
Scalia
Kennedy
Souter
Thomas
Ginsburg
Breyer
Rehnquist
Stevens
Kennedy
Souter
Ginsburg
Breyer (Justice O'Connor is predicted to recuse herself from this case)
Rehnquist
Stevens
Scalia
Kennedy
Souter
Thomas
Ginsburg
Breyer (Justice O'Connor recused herself)
VOTING TO AFFIRM
Stevens
Souter
Ginsburg
Breyer
Rehnquist
Scalia
Thomas
Scalia
Thomas
 

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