Originally from Journal of American Arbitration (JAA)

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I. INTRODUCTION 

II. CALIFORNIA’S NEW ETHICS RULES 

III. NEW ETHICS RULES CASES 

A. Federal Securities Law Preemption Challenges 

1.  Backdrop 

2.  The NASD Case 

3.  The Mayo Case 

4.  The Jevne Case 

5.  The Grunwald Case 

6.  Conclusion 

B. Federal Arbitration Act Preemption Challenges 

1.  Background 

2.  The Mayo Case 

3.  The Jevne Case 

4.  The Ovitz Case 

5.  Conclusion 

C. Impossibility and Other Contract Defense Challenges 

1.  Background 

2.  The Alan Case 

3.  The Alan Case Progeny 

4.  Conclusion 

D. Enforcement and Application 

1.  Disclosure and Disqualification Generally 

2.  The Azteca Case 

3.  The Ovitz Case 

4.  Conclusion 

IV. CONTROVERSIES CREATED BY THE NEW ETHICS

RULES CASE 

A. Should Private Arbitrators Be Held to the Same Standards as Judges? 

B. Should the New Ethics Rules Be Invalidated under the Federal  Securities Law? 

C. Should the New Ethics Rules Be Invalidated

under the FAA? 

V. CONCLUSION