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"So LAURA ANN CALLOWAY "'-AlAlIA STATE BAR PO BOI 671 KONTCO"ERY ~ 36101-0671

CAR-RT lOT'I'-DOl

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THE UNIVERSITY OF AlABAMA SCHOOL OF LAW

&

ABICLE

2001 Sp ring Calendar Questions? Call ABICLE at 600-627-6514 or 205-346-6230

Video Replay Seminars

Birmingham

2

Probate Court for the Family Law Practitioner

Birmingham

9

Commercial Real Estate Transactions

Birmingham

15

Appellate Practice in Alabama

Birmingham

16

Nursing Home Litigation

Birmingham

2

Banking Law

Birmingham

16

Arbitration

Birmingham

20

Employment Law

Birmingham

26-26

38th Annual Southeastern Corporate Law Institute

Point Clear

27

Workers' Compensation

Birmingham

4

Intellectual Property Law

Birmingham

4路5

City & Coun ty Governments

Gulf Shores

11

Elder Law

Birmingham

24

Uniform Commercial Gode Update

Birmingham

31-June2

Tax Law Institute

Sandestin, FL

6-9

Bridge the Gap

Tuscaloosa

JANUARY

19

FEBRUARY

MARCH

APRIL

MAY

JUNE

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On the Cover

ALA B AMA LAIVYB N Vol. 62. No. I I Jnnunry 200 I

TIl#: QUI ~"D1e Choml»r, AIi' M,1ftJ Swt CtlpifOl- 7'M SeMI#: Cltt,mber Is rite malf IliJloric _ III 1M AkJbtJlfIO Cap/wi. " ~'(JS heft /" ,....bf'U(lty of 1861 ,!"Iegml's fron ,Iu

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- PhotOlf1lph by Paul enwrortl. JD

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The VlP and life Insurance 8y I'm/tSJ'or !'(III/till I/. lJuey

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2000 Pro Bono Honor Roll

40

ASS Fall 2000 Admittees

48

Alabama- The Arbitration Stale

By Thomas J. Me/hl'iI,

55 56

War Stories Arbitration Opponents Ba rking Up Wrong Branch C. McDonald fIIul Kirk/mltl Eo Reftl

By M allittll'

62

Arbitration In Alabama- Of Road Signs and Rea lity Uy 1-:111. Ilasttlll, fII

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Howell Heflin: First in a New Generation of State Bar leaders liy Pm 8 0yd IIlImore

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THE ALABAMA LAWYER

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Vol. 62. No. I Junu:\ry 200 1

seven !'meI 8 veil I!ho Juno luufl il 0 bill dirKiOfy ilditool by the Alabama Slall Bar, P.O.1IoJ: 4156,

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Alabama Bar Institute for Continuing

Legal Education Advancing the LCJ.f.l\ Profession through Education and Service

riminal defense lawyers arc liberty's last champions. The struggle ( 0 protect the constitutional guarantees of [he indiv idual is

It

never-end ing pursuit

and dcmrmdsconsrnnc vigiJn nce.

ABICLE hos always been decli cated ro providi ng lawyers with edllcflclonai prQg1'llt'O sciesigncd to ensure zenlOllS and competent

representation of those accused.

As President of the AI:,bnm3 rimiMI Defense Lawyers Associ(uio" and as a speaker at numerous ABICLE seminars over

the years, I have had and look forwurd to the continu ing plea.

su re of working with ABI C LE and it's staff in their pursuit of excellence (or our profession.

John Lentine Gorham & Waldrep PC

Birmingluun, Alabama THE UNIVERSITY OF

ALABAMA SCHOOL OF LAW

C,II ABICLE" 1路80Q.627路65 14 or 20;路348路6230 for program info rmalion. www.abiclc.org

hmllIl A. Homo.., Jr.

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Some Thoughts for the Beginning of 2001

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he Ronum deity Jnl\u~ In the nnmesake for the month of January. Old Junus is rcpre~nled lIS having two faces, onc looki ng bac k lind the other looking ahead. lie W{IJ the patron of begin nings and endings, Thllt is appropriate because in January we

T

l ake stock of the shortcomings in our ptl.St Knd make

resolutions for improvements in the future. I silMe some Ihoughl$ wi th you now as we begin the year 2001.

Over II ycnr

h U$

passed since the world was Slnlck

with "millennium I11 ndm:s~." TIle fenrs of Y2K computer problems huve come lind gone. We have now bcCOIIIC (accustomed 10 writing the year beginning with a 2 rmher than It I. 1'here will be mllny mon:: ehlngcs lIS we move through the 2 1M century. One of tho:oe changes that' hope will take pillet soon is II new con-

slitution for the suue of Alabama.

This ycar we «Iebrtlle the 1000h binhday or our constitution. Perhaps "celebmlc" Is nOl Ihe proper word to use. Alabama must "endu re" lhc 1000h anniversary or Ihill docume nllhm WIIS udopled in 190 1 but WItS bllsed on a previous constitul ion pllssed in 187j. II hns been untended more thun 6jO ti mes with 1j umend· ments being considered in the lust clcclion alonc, Aft cr looking back lit this fnagmented document that is 100 years old, we need to look forward to the next 100 years.

Creating a new conStitullon for Alabama witt rc<juire the hard work lind good will of many peoplc, Many mUIlCI"l will be dcbllted. A C()llslilUtion is Ihe bao;ic document thut governs uny democratic society. Thill is why I would like the Alnbama StlllC Bar to be involVed In the discussions. r hllve fiSked recelli ly retired federal Judge Sum I'olnter 10 choir u Slate bltf tusk force on a new Alnbama ConslittLIlon. Judge Poinler is a well-Itspcctcd jurist who is nmionllily known for his handli ng of com8

JANUA R Y 2001

11rf Humotr /llwtUJ," Somut/, Clilin. Som, Pul, rwd Tlteff!stl

plex litiglllion. l11Cre IH'Obubly i~ not a more complex issue in our slme than Ihe writing of a new oonslilulion.

The Mille bur hus the CJlpenisc within hs membership to conduct a studied. objeclive tUld impartial exmnina· lion of an)' proposcd eonsliUHion. I wall[ [his lIuk force to infoon the members of Ihe legnl profcssion lind the public at Incge of the eonlenlllnd lmpllci of proposals lllre:ady made and tho5e 10 he mudc in Lhe fUlure:.

Therefore:, Ihl$ tilSk rorce will: I. Stud), all constitutional proposals. dctermine what changes to the 190 1 Constitution have been included. altd evaluate their merit using the eXpcl1ise in Ci)IIslitutionalla ..... found in our Siale bitt.

2, Serve as 1\ resoUR:C for nll the groups involved in the effon LOdm.ft a new constitution.

3. Repon its findings to nssi~1 voters In milking 1111 inlclllgclIt and informed decision Dnd t(l possibly estab· lish 1\ spenkers bure:au for infomting Interested grou ps of ils fi ndings.

I hope Ihallhi5 eITort will 00l lake " century to complete. There is no doubl thnt it will be " IonS process. however the future citizens of our Slale will applaud our InyolYt:ment.

The nexl area 10 di scus~ i~ II LBwyers' Campaign for Legal Services thm will beain Ihis yenr. As we all know. lawyers haye an elhlcal dULY [0 promOle [he nd mlnimalioll of justice. Many cilizcns in Alabunm are poor and caanotalTord \0 hove lawyers ns~iSI them in basic liI'C:IS such Il~ housing, domestic Yiolence. con· sumer problcnls, henlth care nccds, and Ihe problems of the elderly. I know Ihm a number of lawyers Imist our dtizcn! for low or no fceil c()fICt!'Tling these problems. l1ul 111m 15 not the some as having nn orannized group to assist Ihose clients where Ihey will know where 10 go rillher Ihltn usi llS Ihe I)iec:mcnl effol1s of pub· lie.spirited professionnl$ who mayor mllY not be aeeesscd by the poor.

TILercfore. I will be Clillins on lawyers lind tocill bllt assocllltions to assist with II fund·raising drive (or Legltl Services.

COllgress hai cut rock funding fOr the

Legal Services COl'pOnltiOfi from past yCllrs. The StlUe of Alllbnmn hl1.~ nevcr IIpproprhued fUlKis for Legal Serviccs.

The good work done by Legal Services allomeys Dnd their anomey volunteers is tremendous, but all lawyers in the stale Imve II responsibility IQ hclp.

You will henr more nbout this cllm· pllign during the yeur. If every AlnblllllU Illwyer douulcd the equivnlent in money of only one bill~ble hour l>er yellr. Legpl Services would nO! be in consunll fcnr of closing its opcmtions for lack of funds.

The elTon for a lawyer campaign begiM this year. Perhaps it will continue for len years 01' Indefinitel y into the future until Ihe needs ure met. The Alabama Slute [Jar wiliussisl inthi.~ effon which flows from the l'ledge of AIlCiiance 10 OUf I1l11iolllll nllg whieh clru;es with the words: "With libcny ltndjustice for 1111."

Finolly, os I have mentioned u lOO·yeurold document fmd a possible tcn·ye:lr projcct. il is now lime to focus 011 one year, this year of 2001 . I encOUl'II8e nil members or the b.lor to become involved with their bar associlltioolhis year. The

For an Expert Business Appraisal, Knowledge and Experience Make the Difference ...

Rllucll l'illllndal ('(In'llicinll. 11K:. 1\ an lndcp!!ndenl ~~nll'lcd Jlr(lfc~.iQnlll flml ~pedaJlIJn!: In btl,utc" ~ppral\lItl_ Ik:-ndre Ruuell. owner. h~~ llIe cXI'C'riem.:c "lid 1tC ugni/C'd indu~u)' crt'\kmiat, Ihl11 I'm' Ide Ihe hi!1hc~1 Gunlil)·. CJlPC" Yoiliftuvn. for 11\"!1lc\"I'~ lind I'rvfe~5lonnl llrtlCtiCC\. Her nffitifttion wilh Ihe ArneriClli1 BII~incs<

qualifying dcudline for running for btu' commissiooer is the lasl Friday in April.

All one needs to qualify is a nomiaating petition signed by five lawyers In your circuit. Your board or bar commis.~ionCfli is a hard.working lmd dcdicnlCd group. I have been associmed with the bar com· miSsion since 1990. I can assure you Ihul the lime invested In wOl'king with the bar will be I'{:wnrded nmlly lintes over. Of course. thm is not the rellson to get involved. but it is II nmuml benefit from getling 10 know your fellow lawyers.

And. if the state bur seems beyond your n:uch right now. plel1.'ie make 2001 the year you gtt involved with yo~r local bar association. I have lraveled urourKi the ~tlllC w~ have spoken to II number of tIllr associ3tions and other Icgol groups. 'l'ho!>c local bars need you. Your lime. talent land.

YC$. treasure (ducs) kCCI) IheS( orgnniza· lions cnersizcd. TIlls Is oil yery Impor1l1nt UfId 0 plln of our dUlY ltS professionals. I encoum!>c 1111 of you to become inYQlved lawyel'l urKi I wish you all the besl In your elT(')I'ti to prumole the leBnl profc.~5iOll in Alabama in the year 2001 undbeyond . •

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1111

1/11111111111\111

9

K.lth 10H orm.~

2001

•

•

Our Profession's Odyssey

A

s we eJlter the 21s1 century, our

prufc.~~i on i~

ccnnin 10 wilness chllnge. We sec the punen!

of chnngc in llI(ll1Y IIrcas. Prom YCHUes in which lnw)'cl1i prnclicc and wilh whom they shliJ'C their fees, to Ihe munner in which Illwycrs practice, Ihe legal profcs~ion is ullcmptin g [Q denl wilh chnngcs lh~t are both fundumcnllli und IIccelerntcd.

Wist Summer, Ihe American Bar Association's House of Delegates resou ndin gly defeated n proposal to

,nllcnd the Model Rules of l'rofcssioJlul Conduct which wQuld hnvc removed the long-sln lldi ng prohibilioll preventing lawyers from shllfing fees Wilh non-Iuwycl'!\.

The proposal. known as Multidisciplinary Pmclicc (M DP). wn~ advocated liS Ii way or increasing lhe TlIllge of ~rvices Ihlillawyers could fllmish clieills by

,.

nllowing IlIwycr~ to partncr with non-Inwyer professionnls. such as llccOuntnnts.

MDP was studied nOI only by n Specillily nppointcd comulission by the A BA, but also by prnctic~l1y evcry state bnr in the country. inCluding ours. OUf MDI' tllsk force, headed by Imlllcdiatc J>nst l''Tesidenl Vic LOll of Mobile ond co-chairs John MOltn of l1 imllnghmn and Hob Meadows of Opelika. studied this issue Just spring und relcased "pro MDP" lind "con MDP" llnuly!cs.

AS B Pres idcm Wade Bnxley nppointed lliwyers ~s well a~ ~cco untnnts to serve on the tnsk force. ' I believe that the MOP meusure fulled in the A IM I-louse of Delcgntes lind before the bourd of bur commissions principillly bel:nusc the chnnge of nllowing nonlawyers to panner with Inwyers could not be rec!;lf1cilcd with our profession 's core vnl ues. nmong them dicnt confidentiAlity, lndepcndem::e of judgllll:nt nnd nvoidnnce of conflicts of interest. It is unlikely. however. thaI MDI' will go :\way enlirely, especially since SeverJANUARY 2001

III jurisdictions have modified their rules to penni! lawyers to SIUi rt: fees with non-Inwyers In November 1999. a conference !Opor1.~orcd by the: L.aw Pr:tctice Management Section of the ABA WitS held. The conference title was "Sei ~.e the Future," and its purpose was to provide an interacti\!\! forum for 1eadef~ of (he legal profession to ullderstand the future of the: profession. sort through the illl]ltel of CUl'l't-rlI developments rcJevu11l to trends affecting the profession lind develop the tools that will help them move their constituencies into II chunge procus that will meet the demands of the 2 I M celllury.

Not surprisingly, II number of [he spenker.; nnd topics discussed althe conference addressed tlie nccd for a pnrndiglll shift in how lawyers prucliee hlw in order to meet the changing needs and requirements of elien[~.

In this regard. It business model was suggested to replace: the traditional notions of practicing I ~w.'

The legal profession is now beset wilh Ihe issue of multi-juriSdictional pmetice (MJI'). A HA Presidelll Mnrthu Burnell hus appointed /I commission to develop recommendutions for A BA policy on how 10 govem Illu hl-jurlsdi l:lionnl prnttiees so thutthe regulntory sy~­ tem designed 10 protcCt the public cun accOl1unodnte: the changing llnture of the wlty Inwyers practice.

Recent s),mposia, as well as uni tieS In ~ num~r of professional publications. have discussed this issue. including: "One License for Life: A Paradigm for Multi-Jurisdictional Practice," in the spring issue of the l)rojel·.dfJllul ulwyer, "M\llti-JurisdictiOlHll Practice: A Chullenge for Bur Exuminers," in the November 2000 i~sl1e of The Bllr t:xlllllill er: and "State-Hopping- UPI. Case Tryln8 to C!ltth Up With Luwyers on the 00." in the December 2000 issue of the AIJA JaufIllIl. The:~e:

and other Ilrt lclcs reneclthc lcvcl of alleluion thut MJ1> Is gcnctaling within the profession.

ProponentS of MJP maintain thai UPL rules across the country are vague and this crcnte5 uncertainlYfor the counseling and tntnSllctionul pructices of lawyerll whose clicnts' mUlicrs nUty take them into other j llrisdictlons 10 ndvise or ncgotiate. Even If those hlwycrs do not ttl\vcl to other jurisdictions, they may IIdvisc clients or IlCgotiate (or them in those jurisdictions viII (Il)[. eomllil :md Olher technologic!!1 means 10 the CXlenl that a COtIrt could laler charucteriu: their activity as the virtual pmctice of law in those jurisdictions and umlutiM)rized. In this regard. the Supreme COl.lrt of ClIlifomia'$ ruli ng in the well.known CMe of BirorVl'l't:r, MOlllfil/xllllJ. Com/un J: Frwlk, PO C. II, SlIlHlrllJr COll rf oj S(IIIf(l CI(l l'(l COl/my, t 7

Cal. 4th 119. 949 P.2d I. 70 Cal . Rpn. 2d 304 ( 1998). is instructive, Hecnuse of the nature of their prncticc, transllctional luwycrlI cunnot avail them, seives of pro hac vice admission a,\ do litigators, Accord ingly. to most

observen. tl1lnSIIC\iona\ lnwycrlI are incrclL'lina1y prnctieina where they arc not admittcd, Indeed, tlUrtSltCtionul luwyenarguc th3t the u n\C nolions of public proleclion do n~ apply to titelt pmclice as they do 10 lawycn whose practice is locali7.cd within D single juri s, diction. Thi ~ is because, liS they contend. their clientS arc so phisticotcd lind involved with intcfSlnte or international 1tI1Ilsllctions. Consequc ntly, these clients do nOt need Ihe prOlCCll01\ of a stllte reaulatOl)' lIuthority that, in essence. is requiring them to teillin local counsel when dotng 50 adds vcry littic 10 tJ\C ImnS:lclion.

Plainly. the winds or chongc for tI\C leglll profc.~sion IlfC blowing. Whitt will be the ultimate outcome of Ihe current MJI' debllle or the li ngering MDI>issue Is hnrd to lell. Both call for chonge Ihlll 18 drflllllltic. '11c lleXt ft w yCIU'S or the new century will be lilt odyssey for the lellil profession. TIte legnl profession is te$i1ient nod I nm confident that our pr()fcssion will adapi as it has dooc now for more than 200 ye:ar$.

•

Endnotes

ThII ' Il!lI' n'_' ~_ crlgiNil1y IXIIIId onrhl*.. Wtb ... I _.ww~IIrt_.

1,-/ 11M bWr PO$Itd .... n QII bllIowft.

1oIded.1I.aw1w men'OIn DI.,. MCP Task rora RMiId: Malon OMs. ~e...to! a..,

8irrnitPm. [IIi w. Illy Minette; ~iI CIook.

Ma,npllly. MillCWl OMs. ~ &11 ""'1011. ./f.. ~ Sonny Homst:rr. TaIIe"". Hon. tIobon ~II. Mobile: HoII. Brwon Kinrell.

Thomas l.Io. B~ OIbbrIlong. ~ Han. ~ Mal1ongly, Illy MinottI: ASIi Pr~·tIoc1 t.nv Mmb, Ala Cit(,1Ild DInnII PIke. ~ ThII..,.."""I!IIIII'lIIIIIrD.drrd,OIIIIII Middol.

IloIhIII: Wr~ Pwce. ~ ~ Ywet1I SmriI.

MobI*

Moillgo"., 1 2. for U8n'IpiI. 1n III Miele IIIhtlld . .... ' ... rtorv "'-I: 2S TrendllU W.1dl1n 1h18.r~ ot 1'fII;I.... Ltw; b¥ ...... _ _ MImt,'n Alun ,.,.Irl)'l trill CH\II!IorId b¥ SI!IIOIl 0Iuttr. I lound • nun'IbII ot IN Irlftd:l identllld b¥ \!It "",t· lfIiI'Istruct.....: rhII glotlll plaWct. ci*,I-((IIIlrOIIid mlll~otp\lC8: corrOl"" ~11_ 011_ ~, 81 bu,irl&ls~o ,,,fIG< II\8rI momblill 01 tilt bM; paperll!!l. borliellw tornm\lIIle\IllCI'II, Hex IlmI, flo~ plllfAl. rM!! warmor, Ylrur.l1aw ,Irm; IIImbIe lew fit"."

Cln \111;, on 1tJ91 tomptI~\OI1,; ItId ~ of plittd monopoly

TIMELESS WISDOM Auop'J FalkJ wtI'"t

no(

fm childrtn -

wrilltn

The., wcre wrlu~n 10 help le;wle:1l Improve their livn and the lives of Ihe pc:uple tl>Ole le:.de", M'rvc:. Aesop:' fabln CQIIX Icadcll to make: choice. between weh th ln/l' ~ grttd and glvlnll. ~rrog~llec and humility, and IIClfI~h Indifferente: lind comll:I;,jlon.

P'ipanloolo', rlew rcle~. with (meword by flobl'lI F. K('nnetiy.

Jr., e:xplorn rhe dcndll: of the: ti mclCN wboom Idt by Aaop. lie Invita hrwycn 10 think ~bout dllin:.crcr qu.~litln Ih(.t we ~hOl,l ld both rcvere and rcvile In Ie:wn.

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1111

II 1/llltl

1,IIlili

"

nH~

Montgomery chapter of the Federul BlIr Associlllion hns elected officers (or 2000-2001. 111ey arc: .lefT DufTey, president: Lynn Mukril,Y. tirsl vicc- prcsidcru: l\llkc Kn nnrick. second vice-presl. dent : and I)Ofllll1U Wnlkcr, secretary/trtosurc r.

Jllck J nnet:ky wu recently ind ucted a~ pre.~idt n t " f the Alabama Defense Lawyers Assoc:iation. 1·1e is a aruduo te of the United States Air POI'Ce Acadt my and the University of Alabama School of Law rand practices with the liml of Janecky Newell. P.C, G regory S. Cushmlio WIIS recentl y awarded the Lifetime Achievernem Award by the AsSOl;;iulion or Trial Lnwyen of Americn. He was only the tifth rec ipient ofl hi ~ llward IlUd the tirst from Alabama.

The award was presented m the annual convention of ATLA in Chicago. lind is given \0 a member for their lifelong dcdicntion to the civil justice sy~l c m.

Cusimllno b a mcmhc:r of Ihe Gadsden liml of Cusimllno, Keener, Robens. Kimberley &: Miles, P.C. AlliballlR A.s.~lsl ll nl Allorney Cenernl Mill 8elcher hIlS been chosen 10 servc a three.year tcrnt as a member of the BOllrd of Directors fOf the Uni ve rsity of AlablUm, Law School Foulldmion. The fou~dlHion nteets annu ldJy to discuss and vote on busines; 111m· te TS of impol'lllnce to the lllw school. The OOllnl's members llct as adv bors to the luw sc hool' ~ denn.

Jo Allison 'Iilylor. director of Legal Counsel for the Elderly in Thscoloosa. r«entJy was awardcd ccnin· cation tiS an elde r law attOrney by the National Eldc:r Law Poundntlon. NELF I~ the only organization approvcd by the American Bar Association to oITcr the CEI.A designation. (LCE is a University of Alabama Law School ClinicaI IJrogr.un. funded in part b)' We~t AI:lbllmn 1)1:lIIning and Development Council through an Older Americnns Act gra nt,) Uel' bert Ii nroid West, .Ir" of the Birmingham firm of Cob alii55. Juhnston, Gardner, Dumas & O'Neal. recently wa~ named lIS a member of the Stille of

12

JANUARY 2001

Alabnnlil BO;Jrd of Oar Examiners in lhe area of OO5ine55 org;Jlli1.a1 ions.

'11C Alllhlllllll .ludiclniluflu iry Comm ls..~lon WIIS represented at the t7th National Collcge on Judicial Conduct and Ethic~ in Chiellgo in October by Commission Chainnan RandaJJ L Cole: Second ViccCh.liml.1l1 James M. White; CommiS.'lion members P. Hen Mcl.Auchlin, Jr., David Scott, J. Murk White and 1..« E. Penis: and Executive Director Matgllttl S. ChiJdel'l1. The Collcge is conducted evtry tWQ yeatII by the Amcricnn Judicmure Society'S Center for Judicial COIKluct Organil.11tions. It provides n forum for memo bel'l1 and staff of jud icinl cond uct commissions, judges, judicial educUlol'l1and othcrs intcI'C$le<l ill jlldicial ethics to lcarn uboutnew development:;. CltclUlllgC eltperienees IlIld discuss solulions to problems Alnhumll Sup reme Court Justice J. Corman Il1Iuslon, .Ir. became the eighth Thkabatchee Area Council Eagle Scout to receive the NmionuJ [)islinIlUi$hed Eagle SeOUl Award. The award.

IImnlcd by Ihe Nmional Eagle Scout AS$OCimion und the National hend· lIo"sIQII. It: quurtel"5 of the Boy ScOUtS of America. honoo; Eagle ScOllS who not ani), hllve uchieved succcu in thcir caret'f bul who a l ~ have an elliemplllC)' record of mlunlCCI service to the community over the years.

TIle aW;lrd has been grtJl1led since 196910 such formcr Eaglc Scouts as Pres ident Gerold Ford tlnd chief cxec\ui ve omce~ of FOl'lune 500 COml)onies.

The award WIIS presentecl lit II specitll banqnet In November m the Embassy Suites HOlel in Montllomcry.

•

ALABAMA STATE BAR ALABAMA STATE BAR MEMBERS TAKE NOTE OF Tms FIRST CLASS OFFER

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+ Co-pay prescription card with the $500 deductible plan +Deductible cho ices 0[$500 or $1,000 per calendar year +80/20 In-Network and 60140 Out-of-Network PPO Plan +$3,000,000 per person maximwn (some restrictions apply) +Matcmity covered as any other condition + Endorsed by the Alabama State Bar Association DON'T MISS OUT..... Call or fax your request for more information (including features, costs, eligibility, renewability, limitations and exclusions) TODAY to: INSURANC拢 SPECIALISTS. INC.

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Dll e f/J 11111 illig, illcrefls, ill IIlIlic,s/vr "A/}lml Members, AII/ollg Firms," 'flte A/II/xmw Lt" I'ytr wiff lin IQllger pIlbllslt (ldflresses (I/ld teleplwlUl nu",hert

.wless tile Olll'OUllcelllelll rd(ltes to tl" optlllllS ('/ a or solo practie,. I'/, as, comillllt 10 selld ill

11'11' firm

allllOlW C'RI, "IS (lillI/or address clltJ/lges 10 1/1, A ltlbfllllO S flItit Btlr M , ,,,b,rsllip IApartlllelll, til (J.14) 261·6JIO (fox) or IW. flox 611, MOIIIKolII' ry )6/01.

About Members M.kki nelll Stiller pnnounccs the opening of he!' new office ul 124 W. Reynolds. Ol.urk 36360. Phone (334) 774· 111 8. Offices nre IIlso located in Monlgomery lind Selma.

Lcitmilll, Sicgul & Iltlync, I).C. unnounct's thm Robert R. Mllddo)( hM becOme ussocinled wi th the firnl.

Roget8. You ng, Wollsteln, Juekson & Whittinghlll, announces lhm Roclll'lIc O. lIull1 has beca me an IIsscx:i~te with Ihe linn.

L. I~.C.

Klemm & Gourley. r.C. announces the chunse at the liml naJlle to Klellllll. Courley & Scott, I).C. and thlll I'mnelll Ann Rll glllI &':011 hM become n shareholder of Ihe finn.

Sudler SuiUvlln announces thut Mnl'tllS A. Jnsko lkil hilS ~oll1e associntcd with the fi nn.

Ca llis & StO \W announces thnt Srott has become 3 pMnCr in the lirm.

f: Stewart

Wilmer, Ca tcs l'ohrdl & Kelley, I'.A. unnounces tlmt L. Tennent Ll'C, III :lnd S. Ougllnl Rowe have be!;ol1le ~ hureholders in Ihe firm . n,e firm nHmc hUll been ¢hungcd to Wilmer, u'C, Rowe, Clltc!!, f'ohrc ll & Kclley, '·.A. RldllJrd J. R. Knlt!iRh, Jr. lind Allel1 M. Hummer hove become IlSsodated wilh the linn.

C.

SilllS, Gnlddkk & Oodo;on. I~C. 1Ul00l.l1lCt'.' that Robi n P. F. Rol ~" hus become lLS.'IOCiated with the fiml.

Htlrllslng. I..ellch. lIerlolll!. NeWlin... & RutJstl II nnounces th~t Wlllinm It I..nllcnster has become ~ member of the liml ll nd Ihm I.,"slle C. Weeks lind Loul~1I f: I,A)II!! hove become lIS50cimed wilh the firm .

Murris & Cury, L.L C. IIrlAounces th:n Wayne Cary has joined the firm Illi an a.~5OCiale.

Coca·Coln Bottling COIIIIIIUIY United. Inc. IlnflOllr1(:es that M. WiIIlllms Coodwyn. Jr. has joined Coca·Cola United as vice· president Ilnd general counsel. lIuJIIllhreY1J Dunlup Wellford AcufT & Stnnton announces thut J illllCS E. Bulley, III has IM:cnme II member of the linn.

I)omlnick, ."Ieteher. Vell dl ll ~. Wood & l..Ioyd, !'.A. Il nnounces lhlll Anll McMallan and JIUIlC!i P. Rea have joined the firm.

(334) 321·2006.

James A. Kee, Jr. and I)avld 1... Selby. 11 announce the ronnntion or Kl'e & Sdhy L." . I'. Kyle C. IIRrrcnUlIt Ilnd Jon M. IllIght'S havc joined the liml as Iluociates. Offiee:> are located nt 1900 International !lark Drive. Suile 220. Uinninghom 35243. Phone (20.5) 968·9900.

Gllthings Ken nedy & Assocln tes announces lhm Putrlck l)atrnlillS ond Mlekt'y n. Wright have Joined the linn as bSsocintes.

Olen, Nichoilis & COllclllnd ".C. IIn~Oll nces thllt COIX'land, .Ir. hilS become 0/ cIJIlilsel with the li ml.

Raymund L. Jackson, Jr. ond Jen.rny W. ArmstrOlI!! announce the ronllation of Juckson & Arl\"lstron!!. ".C. Offices lIre loclltcd ut 145 E. Magnolill Avenue. Suite 201. Auburn 36830. PI~nc

14

ZiemHII, Speegle, Jpclwln & lIulTlnulI, I...L.C. IInnounccs Ihut Rubin Ra nck Taylor h35 become associated with the linn.

CIIbmliss. JOllllstO/l, Cnro ller. DUII1IU & O' Neal unnounces that Diane Hll bb MnugluUI and Nlkliii Ullllgh Jordull have become associllteS with the linll.

Among Finns

Killion & ROWI'II. P.C. announces that Roger Cuilinn hus become associoted with the finn .

Washington Group Inlernutlomd IUl110Ullces thm .Juhn I... Thte has been nllmoo cOflXmllt cou nsel in the Binningharn offi ce.

J ANUARY 2001

Re~le

J l!n n M. Or un er and 1110mM I<:.

Rlllll nl!r Ilnnounce the formation of IJ r uner & RllI1mer, [" L.C. omce ure

IOCUIed in the Lawrence Building. 472 S. Lawrence St .. Montgomery. Phone (334)

M . Clny RAgsd nle. I V and Alla n R. W ht.~l cr

announce the fomilltion or Rugsd ule & Wheeler, L.L.C. M. Sinn lIerrlll!: is an associate with the firm.

Offices IlfC located PI 1929 Third

834· 1375.

Avenue. North. The Falley Building.

Suite 550. Birm inghnrn 35203. Phone

Lukl.' r, Cole & AS!lOClnli'8. L.L.C. IlilnOunces thul Knt hertne P. Luker hQ~ become iln associatc with the firm .

(205) 25 1·4775.

HIIIl, Conerly, Mudd & 8 01 vlg, !'.C. announces IhDI TI!rT)' Ahan Sides hils

DEBTOR MANAGEMENT SOfTWAREUNIBUELY DESIGNEDFOR toLUCTI ONS ATTORNEYS. PRICESSTARTATJUST SI7DD.

.' rled lll un & 1'l.'l1l1 ll1glon. P.C. announces thai C. Mellnle Purvis has joined the firm.

joi lled the fiml DS I $hareho lder.

Hili, Hili, C"rtl'r. Frllllco, Cole & lJIuck, I'.C. annoullCeS Ihm JIIIIICll R. Seltle and MllrlhnA nn Miller have become mcmbcn; of the firm nnd Ihm Jerrc r), N. Mykkellvedl has j oined the firm ns nn Ilssociute.

Il uskell Shlughlcr & You ng, L.L.C. announces that f: 1,51111.' Finch, Jr. hilS Ixcomc of cou,utf 10 the tirm. lind Ihal N. Alldrew Rotensl rclch. Vun c~~11 A. Scull . RYIIII M. Adny nntl T. Scoll Kelly have become as~oci nl cd with the firm .

Uucku hy Scoll & I)lIkes, I'.C. thnt M. IJI'C nt Vllrboroul:h hIlS become aSMlCinted wilh the firnl. announcc.~

II nnd Art':nd nll, L.L.C. fmn ounces thlll l...lsll J)lI r nlcy Cooper. And rew J.

CMllle. Chrishlllhcr M. Gill . Lo uis C. Norvell. IUld Tracy Reynolds I)IIV!s h:lVe joh~ lhe firm as Il5sociOleS,

18008171457

Co<:hrlln, C her ry. GI\'ells & Smith, ".C. Il ll nO llllces Ihlll Terry G. Key hiU

WWW .Jl l l c.u m

joined Ih~ finn .

JS HtHNO LOGIU. lIet, 151 1 WillOW lAWl! DRIV( RI CHMDND . VA 212lD

•

Take a moment now to check your address on any mailing label from the Alabama State Bar.

Is it correct?=~::"'1 If it isn't, you have until April 1st, 2001 to change it and still get it in the 2001 directory.

11111111111/1/111111.

,.

Ormond Somerville, Jr. After 93 years on this eurth Onnood Somerville, Jr. was called

to

his eternal reward 011 March 21. 1998.

Omlolld Somerville's deep devotion and commitment 10 the prm: tice of law IIIId bencnncnl of his choStIl pro-

fessioll were rare lind exemplary. He served wilh distinction liS counsel for S!unford University. \he Indu~t rillJ Wntcr BODrd of l3 inl1inghnm, the llinninghmn l:tublic Libmry Board nnd Ihe Birmingham Board of Bducmion for I1IUlIY yenr:s, nnd was rc:cognized for his distir.guishcd service 10 the IC881 profession by being nBlIled lhe Binl1inghnm Bar Associntion "Ou[slllnding Luwyer of Ihe Year" in 1987. Like bmh his fiuhcr lind gmndfllIher, Mr. Somer'Alle served as n jllstice on Ihe Alabarnll

OnnOl1d Somerville was also promincm in IlIllll y civic, religious lind professional milner!!, including serving as InlSlee, elder and deacon for Independctll Presbyterian Church, di rector of the ehurch I~oundalion, and Inlstee for lhe Birmingham Bllr As~ocin don iJ nr Aid Trust He lived II full life with many itllcrcso;, includi ng being 1111 avid genealogist, ny fisherntun nnd lover of nalure, This resolution is offered its iI record of our o.drllirl\Lion and affecti on for Or1l10nd Somervill e, Jr. nnd our condolences 10 his family,

Sllprcmc Court in 1972.

1)lrIllI1l8/1(I1II /lar ASSQcitlllflil

Ail/ridge, Gltre( V(III Alllwtrp

MQnt8olll~ry

Adlllillell: 1935 Dietl: Sell/ember 25, 2000

Adm/lied: 1998 Died: M(Jf'(;/r 5. 2(}{)()

Dietl: NOI'cmbilr 7, 2000

IIUldltrs(JIJ, IItJl<'(ml Nil)!

I'ell Cil)!

At/milled.. 1952 Died: JWUllIry 3, 2(){)()

Embry, Ja/llt! IJ(ISS, Jr.

1It}lIi.f, Murray Cobb, Jr.

Pcll CilY Admillcd: 1978 Dilu/: JIIIIII 26, 2000

WillJitlitl Admilled: 1959 Die(l: March 23. 2(}{)()

E)Sler, , 'lIarll!.f lI., Jr.

Jiwighl, Ohm

Ilirmillg/llIl/i

Admillt(f.' /95/

Muntgumery, Rohtrt M,lllg, r BlImlllg/JfJlII

Admilled: /939 Died: Jilly 26. 2000

Slarke,

n~lter

Marcelllll

Blrm/llfjlJam

At/m illed: 1961 1);&(/: AUfj uSI 2, 2000 n~flace,

Jos Hobtlrt

D ecmllr

8i nllllJgillllll

Blrml/lglJam

A(/milled: 1948 /)led: M(Jf'(;h 3, 2000

Admilleli: 1955 Vitd: Seplembe r 13. 2(){)()

Oied: May 23. 2000

Jr.

Ket/ler, Cllarles JClSepll, /11

Wlllcll, IIl1l1 ry /lMt

Mottl80 lll ery At/lllilled: 1991

IJ/nlli/Ishilm Admillcd: 1937 Died: MarCh 9. 2000

Iltilley, WII"'",n Cmlltlrilla,

I~,

ell

At/milled: 1967 Died: AU8I1J路/ 30, 2(){)()

JANUARY

l..emllers, Jm:kie /'t(lrl

Mobile

ellilaway, CIYlle W., Jr.

18

- S. Sliay Sallipies. 1}I'(!s/(/em,

2001

m etl: ApIII 3. 2(){)()

AI/III/lied: f'J47

Order Supreme Court of Alabama. October 30. 2000 It is Ofdcred lhal Rule 4 lib) (5), Alabama Rules of OiscipiinalY Procedl.l9. be amended 10 felld 8$ follows: "(5) As to 8 procoodlng before the Olsclplmary Board. to conduct aH preliminary mattars, to rule on all matters of evidence, :0 vote as II J'lember of the panel on ell matters before thl! panel, and gonerolly to guide Dod superintend Ihe conduct of the pmcoeding For purpoSDS of 011 hearings and proceedings. tho Disciplinary Hooring Officer sholl havD the power lind immunity of a circuit JLKig:e and the Alabama Rulos of CiVil Procedure alld AlabamD Rules of Evidef'\C8. as applicable 10 I'lOI1Jury Irial$ in Ihe cucuit COUll, shallepply, except to the exlQnllhallhese Rules may prOVide otherwise· It 1$ luntler Ofoored thaI the amendment of this rule be effectiyg Immediately.

Ills fUrther aroored thallhe follOWing nole from the reporter of decisims be odded 10 fOll ow Rule 4 2: "NOla Irort' the roponor 01 dodsio!ls: The ordor emcnding Rulo 4.2(b) (5), effectivo October 30. 200). is publishod In thet volume of AlabamB Rapor(fJrthllt contains Alabama ceses from _So 2d."

Hooper, C.J, and Meddo•• Houston, Cook, Seo, lyons, Brown, JohnstOOB, end England. JJ .. concur.

Order Supreme Court of Alabama· October 30. 2000 It is ordorcd th~ t Rule 4(aXt). Alabama Rulos 01Disciplinary Procedure, be emended to read as follows: "U) The Board of Commissioners 01 the Alabama State Bar shall appoint six panels of six members each. each panel to be kf1ov.on as 'The Disclplnary Board of the Alabama State Bar' (hefeinafter referred to as II 'Discipllnary Board') Eat:h panel shall be composed 01 lOUf persons who ale Bal COrT\ITIISSlooers. one layperson, and the DIS(; pllnary Hoaring Officer appointed pursuant to Rule 4.2 01 these Rules A3 used in these Rules, the term 'Disciplinary Board' $hal roler to that panel invol'l9d in II particular disciplinary pro. teeding. and tho torm 'layperson' sholl mean an adult rosidont citi70n 01 the State of Alabame who is not now, Bod wflo never he! been, e lew(Or Those Bar commlssiooers appointed to the Disclpiin.1ry Board shall be appointed lor terms 01 throe years, eJlcopl when eppoinled to lill an unexpired term, eoo they caMOt SBf\'9 IT'oOfe then two COflSeCutl'19 full terms. Layperson membel3 shall be appotnted for terms of one year and may serve unlimited succesSIYB telms Arri member eppointed to II Disclp/ll'lary Board shell te required to anend a !hmo·hour tmlning SBSSI(lf'l condocted by the Office of General Counsel 01 the Alabama Stata Bar at A1ebama State Bar Headquarters Membors woo ale Iaw,tlrs w.llreceive CLE credit 10/ altcr'\dirrg the lI(1ining session' It is lurther ordered tha t Rule 4(aX2), Alabama Rules of Disciplinary Proceduro. be arnended 10 road as follows: "(2) The Dlsclpllllary Healing Oflicer ~ppointed purSl)8nt to Rulli 4.2 of those Rules end assignoo to hear a particular matter nay appalnl membefS 01the board of Bar Commlssionors who arll f'IOt rrembeu of the DISCiplinary Commissiooto sit temp0f8rily on a Disciplinary Board The Disciplinary Hearrng Officer may make sud! a t&mpotary (lppointment to ensure thaI a quO/om 01till Disciplinary Board is availeble to hear or to conSloor II particular manef, butlhe DiSCiplinary Hearing Dlflcar's authOrity to appoint toll'()Oraly members 01 the Disciplinary Boord Is not restricted to appointment of that number of mnmbllrs as may be nocassnry to secure a quO/om. and the Disciplinary Hearing Ol/icer may appoint as many temporery members as the Disciplill8ry Hearing Officer deems appl'opriatn, up to the number re~uired 10 provido a full panel of SIK mcmbers. A rostar shall be made 01 the name, of the Bar commissionors who aID nol momtars 01 the Disciplinary Board or DISCiplinary Commission, and these temporary apPOIntments shall be made from that roster" II is further ordEJOO that Rule 4(d). Alabama Rules 01Disciplinary ProcedJre. be amended to rllad (IS tollows: "(d) ESlOblishmer\l at Qu%m; Majority Required for Disciplinary Board to Act. Four members constitute 0 quorom, provldod, howoVllr. Il'Iat tho quorom must Include a lay member. A panel shall ael only With tho concurrence of Bmajority 01ils six members. notwit~standing tllatlewer than all members are jlfes(I(It to conduct the proceeding."

II is funher ordarEMl that these amendments be effecllve Immediately It IS lurthor ordefed that the follOWing note from tho roporter 01 deciSIOns be added to fonow Rule 4: "Note from tho reportor of decisions: ThB ordor amendirlg Rule 4(a) (1). 4(a) (2). lind 4(d). effective October 30, 2000. is pub· lished in thot volume of Alabama Repor(erthllt contains Alabama cases Irom _So. 2e1: Hooper. C.J.. end Maddo~. Houston, Cook. See. lyons, lIfown. Johnstone, and England, JJ., concur.

1111

1'111'''"

IIIIIH

17

•

11111

Robtr1 L McCufl. y. Jr.

T

he next Reguillt Session ofthc Aliltxuna Legislature convenes Thesday. February 6, 2001.

1be Institute wiU pte5ent the following revisions: Imersullc EnfOt«mc/lI of Domestic VIOlence Or\kts.

Uniform Athlete A~nlS Act, Revised uee Anicle 9 aoo

the Uniform Electronic TrnnsactiOIlSAct. In the November 2000 AlfI/HmUl ulwyt!r we reviewed the firs! tWO rovision~. In Ih i.~ Ilrllclc we will rnvicw the remaining.

Revised UCC Article 9, Secured

Transactions A major revision of Article 9 was drafted and Ilpproved by Ihe Americln L..aw Institute and the National Conference ofCommissiOlK:1'8 on Uniform State Laws in 1999. II hns already been adopted in 27

Sillies in the past two years.

1llc Unifonn Commcrciul Code in Alabama '.\'lB

adopted in 196.5 nnd wlI$ll1lil revised in 198\. However, thi s revision is more wide liweepi ng thon the curlie r

revision. Currentl y. fi nuncing SIOlemems ore filed ill d ther the probute office or in the Secretary of Stlte's Office. Under this rev ision, the place of fil ing follows the domici le or the debtor rather than the location of the

sccurily, Also, there will only be one ~ntral dllla base, For natuNlI persons living in Alabama the filina will slilI rema in in Alaba ma. However, for business entitle!, ahhough localcd in Alabama and with property in Alabama, jflhey are foreign business entities the liIing will be in the Slate of O'llRni1.ntlon, 11 is also envisioned Ihnl fil ing could either be pflpcr documents or e lectronic records, Article 9 is not simple: the following SUllllllary of Anicle 9 Is fIdopted from the NCCUSL comments and is not a trcatise OIl Reyised Anicle 9, btu is a schematic sununllt)' of ilS rclcYUJlt eh:lIIgcs provided by the dmfiers, I. The Scope Usu This rev ision e~pands the "scope" of Article 9, What thi~ means literally i~ that the kinds of propeny in which a security interesl cln be taken by a creditor under Article 9 increasc oyer thosc available in Article 9 before reYisiOl'l. Also. cer· tain kinds of transactions that did not come tInder Article 9 before now come undcr Article 9, Thc!c are some of the kinds of colllllernlthnt lire included in Revised Anicle 91hlll ore nOI in original Article 9: sales of pllymellt imanalble8 and promismty nOI!:S: securit y interests created by aoyemmental dcbtor!: health insul'llncc receivablCj: consignmcn t.s: and conl18

JANUA RY

2001

mercial tort claims. Non-possc5SOI')', 5tnlutoty IIgricul. tuml liens come under Anicle 9 for dettnnination of perfection and priority, geoerully the same as security interests come under it for thO$C pu~.

2, l'erfec:don- Filing 1\ finaneina stntement remains the dominaru way to pcrfe<:t II security intcrest in lllOSt kinds of propcny. II is clearer In Revised Anicle 9 Ihm filing a financing stmement will perfect D securi ty interest, eyen if Ihere is orl()thcr method of perfection.

"Comrol" is the method of perfection for leiter of m dit riaht$ nnd deposi t lICCourrt~, a.~ weI! l1li for invCStment property. Control was IIvlliloble only to perfect security interests in invcstmtnt llropeny under old Article 9, A creditor IWl CUfltrUJ when the debtor CltrllIOI tmnsrer Ihe propeny without the creditor's consem, I\l5sesskm, as an altcl'lliltive method to filing /I fillllflcing statemcnt to perfcela security interest, is the only method for perfecting II security illlerest in money thm 15 not proceeds of (\IIle from property $ubjcct to 1\ security interest. Autonwtic pcrfection for 0 purchll.'iC money security interc.~t is increlltiCd nationlllly from tell days in old Anicle 9 to AI:lbnntll'S cum:nt 20 duys In Reyised Article 9.

AUlIChment of n purchase money security interest Is perfc:ction , at least for the 20-duy IXlriod. Then another method of perfectiOfl is neceswy to continue the perfcct. ed security interest. Howeyer, I purchase moot)' S«'Urily interest in consumer goods rcmllins perfccted automatica.lly for the duration of the security interest.

3, Choice or Law_ In interstote secured trnllSlICtiolls. It is neces511l)' to detemline whic h stllte's IllwI apply to perfection. the effcct of perfection ulld the pri. ority of security interests. It j~ pllrticularly intllOnllrtt 10 know where to file a fi nn ncing stlltement. l1te Revised Article 9 rnakCli two fuudu lllcnlnl chnnges front old Article 9. In old Artiele 9, the basic OIle chooses the law of Ihe state in which the col1nternl is fOIJlld liS the law thllt governs perfecllon, effect of perfcction and a creditor', priority. III Reyised Anicle 9, Ihe new rule chooses the ~tate thai is the locallon of the dcbtOl'.

FUrther, if the debtor is an entity crebted by rcgistfl'lliOll in It stille, the loclltion of the debtor is tile locution in whic h the entity is crellted by rcgistnltion. If on entity i~ n corporotion, for example, Ihe IOClltlon of the debtor 18 Ihe s t ~IC III which the corporntc chlU'lcr is filed or registered, [n old Anicle 9, the entity th,1\ is a debtor is locQted intlte slnte ill which It h1l8 lu chief e~ec ul ivc office. These chnngcB in basic choice of Inw rule.~ will Change the ,,1/ICc in which II financing !Ilatemcnl is fi led

in II grcut nIllny instanccs from the place it would have beea liIed under old Article 9.

4. TI,e Filing S)'SICIII-1ne fil ing Sy5' tem in the Revised Article 9 includes a fu ll commitment to eemmli1.ed fil ingone plnce in every st~te in which fin;lncing stntcments nre filed, and n filinl sys· tem thllt escorts filmg fro m ~ system of filed documents to II system of clcctn.mic commun iClllions lind records. Unde r Revised Article 9. the only IOtulliling of fi nancing SUlten\Cru oct UJ"j in the real estllte records for fU(lures. Fixtures are items of personal property thm be(ome phY5ically part of the real CSllllC. and are treated as p:lrt of the real CSlllle until sev· ered from it. It i~ IIlIticipnled thaI clectron· Ic flU ng of finnncing statements will replace the fil ing 0( l)lIpel'. Revised Article 9 ooflnltlon8 IU1d provisions IIllow this Inulsitloll from I",pcr 10 el«tronic fili ng without further revi~lon of thc Illw.

Revised Article 9 makes fili ng office opemtions more mmlsterial than old Article 9 did. 11Ie office that files fi nanc· ing stlltcments has 00 responsibility for the lICCurncy of information on the stlltements and 15 fu lly absolved from any lia· bility for the contents of any 5tatcmems received and filed. Financi ng stlllelllcnlS. the refore. may be considcmbly §implified.

TIK:n: is no signlllun: requirement. for eJlllmple, for /I financing statement.

S. Consumer l'rn n(ill CIIOII Revised Article 9 makes a clearer distinction belween trnnsactions in which the debtor is II OOnSumer than pri(J' Article 9 did.

Enforcement of a s-ecuri ty intereM thaI Is inc hided In n ConSUmer tn::mSlIctl()n i~ h:m· died differently in eertain resl)tCts in the Revised Article 9. Examples of consumer provlslOfl~ are: II consumer callnot waive redemption rights in a fi nancing agree· ment; It oollsumer buyer of goods who pre-pays in whole or in part has Itn enforceable inlere.'it in 1hc purchased goods lUId muy obtain the goods 115 a rem· edy; a ool'l sumer is entitled to disclOliure of the amount of any deficiency assessed against him or her find the met hod fur cal· cIIIIII;n8 the deficiency: :l1lcl a secllred creditor may not acec:pt collatcral as par· tiul smisfaetion of II consumcr obligation. so thm eh~i l1 S strict f()m:losun: as a remedy mean$ that 110 ildiciellcy may be nsseued usainst lilt debtor. Although it goven1~ ~ than eon!il,Jmcr transactions. the good faith standard bcc~ the objective standard of cOOImerclal rcllsonIlblcness In the RevlsedArticie 9.

6. [k raull and EnroKClllcut- Article 9 provisions on defn ult and enfottelllCnl dell] gencrnlly with the procedures for

obtaining property in which I crc<iitor has l security interest lind selling it 10 smisfy the debt. when the debtor 15 In defaUlt. Nonnally. the creditor has the right to repossess the property. Revised Article 9 includes new niles dealing with "second· ary" obligorll (gunml1tOl'S). new slxx:in] rules for sollie of the new k i ~s of proper· ty ~ Ilbjcct to securi ty i n tercs t~. new rules for Ihe inlerests of subon:linaLt f;:redi lOl'S with !i«uri ty inlercsts In the wille proper. ty. lint! new rulcs for aspects of enforce· ment when the debtor i5 a consumer debtor. These IitC §Ollie or the specific new rulcs: a secured pluty (creditor with ~uri­ Iy imcrest) is obliged to notif'y a secondory obligQl' when there is a dera u.!, ;md a !CCondllry obligor generally cnnnOl WAive rights by becoming ~ secOIKlru'y obligor: a secllred pnny who repossesses goods nnd sells Ihem is subjcct to the usunl warranties that nrc purt of IIny Sllie; junior secured creditors (s ubSC<tUC nl in priori ty) and lienholders who hnve IiIcd fi nllnci ng staterYlentJ must be notified \\.hen II secured party reposse.sses collatero.i;;md, if II S«1lrc:d pIU1y sells COllfltM11 III l low price to an insider buyer, the: price thilt lhe: goods slioold h~ve obt~i ned il a conul\Cr· cllllly rtll.'iOnllble snle:, MLlher d'lUl the IICIU' III price, is the price thm will be Ilscd III calculating the deficiency.

Notice of Election Notico is given ~erewith pursuant to rhe Alabama State Bar Rules Govemmg Election of President·Elect and CommisskJner.

President-Elect Tho Alabama Siale Bar Wlil eloct B president·eloct III 2001 to assume ttlo Jlfosidency of the bar in July 2002. Arty candidate must be a member in good standing on March I, 2001 Petitions nominating a candidate must bear Ihe signature of 25 members in good sterdlllg of tl1ll Alabama Stato Bar and be recei~ed by tho secretary of the state bar on or beloro March 1. 2001. Arty candidate for this ollice '1Iust also submit wi th tho rominating potition a black and white phOtograph and biographical data to be publishod In Ihe May 2001 Alaborn' Lawyer.

Bllllot5 wil l bll mollod between May 15 and Juno 1 lind must be recei~ed at Ihll SUllO bar by 5 p.m. on the second Frldey in June IJunll 8.

2001)

Commissioners Bar commissronllfs will be alecloo by those lowyor$ With their prrncipal ollices in the following circuits: 1st; 3rd; 5th. 6th. placol'lO. 1; 71h; 10th. places no 3 and 6; 13th, placas no 3 and 4; 14th. 15th. places no 1, 3 and 4. 25th: 26th: 28th. 32nd: and 37th. Additional commlulOf'I' 015 will be elected in these circuits lor each 300 members of the state bal wiltl principal offtces here tn. The new commissioner positions will be dotelrnll'lQd by a census on MOlch 1. 2001 and Vllcanc!es c9rtifijWj by th(l secrotary no 1010r than March 15. 2001 All subsequent terms will be for three years NorntnBtlons l'!l9y be made by petlllOn boaring Iho signatures 01 11~0 members In good standing with principal offices in the circuit in which the aluction will be held or by the Cllndidate's written dm:iaration 0/ candidacy. Eithor must be recei~ed by lhe secretary no IIIter than 5 p.m. on tho 10SI FJldoy in AprillApril 27. 20(1) Ballots Will be prepared and mailod to mombers between Mey I and May 15. 2001. 8allols must be voted and returned by 5 p.m. on the last Friday in May IMay 25. 2001) \0 tho Alabamll State Bar

111I

\/1/1\1/\

1\111/11

,.

7. Erreclh'eDli! Mos!oflhc:27 states which hal'C already passed Revised Article 9 m:lde the Ac! effective July I. 200 1. We do not ex pect Alaooma to make !he Act effective until somctime in 2002, This ,:omrninee is chuired by 1.\lrry Vinson. who is whh the liml of Urad Icy Amm Rose & White LUl o( Uirmingham.

ElectronicTmnsactions Act 'nle E!ectn;)[\i!;: Signflllll'cs in 0 1ob.11 and NII11olloJ Commercc ACI or "E-SION" waS

passed by Congress wid Signed by the President on Jur.e 30. 2000. This new fooera! low establishes for the first time base: line roles to (ocilitll1t the nutionwide use of electronic sisnllturcs, contmct8 mid records in cOl11mcrcbJ trans.nctions. TIle Act's focus is more On enabling electronic tnlnsactions and renKIYing eumnt b.'lrricrs 10 such u'j\I\sactions IhIUI on the technical RXlu ire:mems of electronic .sigl1atu~. 1be "E-S!ON" functions to eSUlblish lhe leglll e(lui Ylllcl\Ce of electronic f\:COrdS lind sigI10lures with paper ....Tilings and lIIilJluilllysigned ~ignaturcs.

The fedc:rIlIlllw ~ provide stutes with li mitcd authority to modify. limit or supersede lhe E-Sign Act baSic provisions 10 comply with Sintc law by the adoption of the Uniform Electronic Tmnsnctlons Act. UETA WIL~ droned by the Nnliotlal Conference of Commissioners of Uniform Slale LIIws in 1999 and in the JaSllwo yellfS has been Mopted by the 22 slales.

The (ollowing summary rJ UETA is aWtPled (rom the NCCUSL commenL~ to the Uniform Act. AlthouI'h relmcd to tho Uni fonll Cmnmerciul Code, the rules of UETA ure prim:lrily for "electronic ,,«ords and electronic signatures re lating to II trans· acdon" Ihm are not 5UbjecitO IIny IInicle tile Uniform Commercutl Codc. e)l:cepi for article8 2 mnd lA. A " trnnsaclioll" iIleans un lIelion or Kt of actions occurring between twOor more persons re lating 10 the conducl of businM$. COmmercial or govcmmencal ~tTlIl l'S. UETA lIpp1ies OIIly 10 lmnsactiollll in which euch p.'lI1y ha., agreed by SQII'IC means to conduct them el«tronically.

AgrtCrtlcntls essential. NobcKIy is (on;ed to conduct eleclronic lransuclions. I'nrties 10 electronic tnlJlfiiK:tlOns Come under UETA, bullhcy may also opI out. 'Iltey limy vnry. woive or disclaim most of tltu pruvi5ions of Ub,A by agt\.'C11'IC1lI. evt:tI if it i5 agn:ed thul business will be ~cd by electrOnic means. 1l1C niles in Uer,\ nrc o.lnM>St all default 1\I 1e.~ that opply only In the event the letms of:tn ngrremcm do not g~m .

Electronic commerce meliUS, or course, persons doing business wilh other persons wilh eompulel'!l llnd tclcphOfle or television coble lines. lbe Internet is tile great nlllrkctploce for these kinds o( trnnSIICtion~ A few things nre known about the CJr. i~l­ Ins electronic markclplllCC and lhere are some lL~sum [ll.ion5 1IboUI the law IhB\ governs transactions within il Ilmt can be mooe with rca'iOllable ccrtninlY Into the future . Electronic transactions IIrt conducled by communicating digi\i1m infonnn· lion frolll 0I1e ~n to nnolher. That di gitittd infonnotion can be commun icated and siored willlOlll the usc or 11l1j)Cr, and lhe busic longunge of cleclronlc tmnS!iClions is fully and inhcrently pllperless. The 11Ct'(\ 10 ex pand rcquircrnenlS in the law for writings and manual sis-natures SO that electronic rtcorrls and electronic 5igna. lUres will satisfy those RXlUlremenl$ is the one thing lhal is reasonably ccrtllin with respect 10 electronic U'imSlldiuns.

or

T he most difficult prohlems l"eCluire the rnost llu~ova'l:ive responses. 111......... Ih><ItM .. i*pnlmllO

.- M!SsISSIl"PI VAt.LEY TI'n..E ' " " · INSURANC.: COMPANY

20

JANUARY 2001

UETA does I'lOl. attempt to creute a whole new system of legal rules for the electronic mtlrketpl ~. TIle objective of UETA is to make sure thot tnmsoctiorls in the electronic marktlplll~-e ate as enforceIlble as tnLrlSllctions mcrnoriali1.cd on pnper WId with manual sitnmu rcs. but Wit/lOut ehlU1ging My of the substantive rules of law thmupply. Thi~ is a very limited objective-lhm un electronic ra :ord of a trnnsac· tion is lhe equiWllel1l of a p.1per record, IlIld that nn electronic signature will be given the smuc legal effect, whatever thm might be. a.~ II 1l1:lIlual signature. 111e basic rulcs in UETA serve this 'ingle purpose.

'11\e basic Nlc..~ art in Section 7 of UETA. 1bc most fuooamcntnl rule in Section 7 pn:wldcs that II "record or si,nalUre may 001 be denied legal effcct or enrorceability solely beclluse it l5 in electronic form," TIle serond mos.t fundmncnl.ul rule silys that "a commct may nOt be denied lepl effect or ellfQl'Cl.W.bility solely bccllUse lin electronic record was used in its fonlUllion." 1lle third nQt fllnU.1IllCnlai rule stllles that any IIIW thDl lUJuircs a writing will be !i!ltisOed by an electronic record.

And the fourth bm;ie rule provides thm Ilny signature requiremcnt in the IlIw will be mct if there is an electronic signature.

Almost 1111 of the other rules in UETA serve the fundamental principlC$ set OI.lt in Section 7, lind letld to answer basic Icard questions about the use of electronic records lind signatures, TItuS, Section I j determines whc~ informution is legal· ly sent or delivered in electronic form. It estublishes when electronic deli very OCCUl"$-when un electronic record Cllpllble o f rete ntion by the rec ipicnt is legally sent and received. 1nc Irnditional llnd statutory rules that I:ovem mllil delivery of the paper memorializing a trllnSllClion can't be npplicd 10 electronic lransnclions, however, UETA provides the rul e.

Another rule Ihm ,nppens the gcnc.ml vnlidity of electronic rct.'Ofd~ and signa. tures in Irunsactions is the rule on /llIriOO· tion in Sct1.ion 9. Electronic trnnsaclions arc fl)()l;tly faceless tmnsoctions between strnngers. UETA SUiteS \hilt a signmure is 1l1lributnble 10 a l)cnIOn If it is UII oct of thut person, nnd thOl oct may be shown in nlly lI11mncr. If u ~'(.'urity l)fOCedure is used. iL~ en1cacy in cslabltshing the {[lin· bution mlly be 5how~ . In tnc facelc.u envi· I'Onment of dectronic trnnsactions, lhe obviOl.ls difficulties of idemiOcntion and n1tribulion must be: overcome. UETA. Section 9 gives guidance in that cndeaVQr.

A digital signature is ~Iy a method of encryption IMI utilizes speciOc lochnology; howc\Ier, UETA may not be chlU"llCtcrized as II digitlll signature statute. II doe5 faeili· lute the usc of digital sigrlncures lind OIher securit y procedures in rulcs ~uch us the one In Section 9 on mtribution. SectiOll 10 providc5 SOOIe ru les on moB and changes In messages. It faVOl1 the Iwty who confonru to the security procedure used in the speciOc tran~IiOIl agmnst tile purty who does nOl. in tnc event tncre is I dis!>'rte over the content of the message.

Nothing in UETA requires the use of a digital signlLl ure or any security proce· dure. It Is lechnologically neutral.

Persons Clln Uk the most up-to-date di gilal signature technology. or le51 sophisti. cllted security procedures such lIS puss· words or pins. Whatever Ilart ies to trun~­ llctlons use for /lllribulion or assuring message intcgrity IIIl1y be offered in evidence If there Is a dlspu:e.

Ui!TA i~ procedural, not substllnlive. It does nOl n::quire anybody to usc eI«tron· Ic tNlnsactions or to rely upon clectronic records and $ignlliures. It docs nOI pr0hib it paper records {Illd nllltullli ~ i g nll­ lures. Busic rules of low, like the gcncml lind simmory lAWof COrUfflCtS, contin ue 10 lIpply lIS they have always applied.

11"ICre I!J"C three provisions In UETA thllt nttd special attention, Firsl, UE1'A excludes transactions subject 10 the Unifornl COIIIIl"ICn::illl Code, except for those under uniclc..~ 2 lind 2A, I llw~ goveming C$tntes and \nJNt~, and uny otlier specllic laws thm n stille WUIIL~ to exclllpl from the rulC$ app lied in UETA. Some writing lind signatun:: requin::mcnllJ in stllte law do 001 h.1ve lUI irnp..~t on the cnfon:e-ability of trunsactioos, and have objectives thlll should nOl be affccted by ndoption of a 5tntUIe like UIITA, 11le limitllIion of UETA til agreed elcctronic tnUlSlLctions will eliminute any connia with other writ· lng requi rements for the most part.

Second, Ui!TA proYidC!l for "transferuble rccolili" in Section 16. Notcs under Article 3 and document! under Article 7 of the Uniform Commercinl Code urc "transferable records" when in electronic form . Notes lind dOC\lJllcnts nre negotiQble instruments. The qua lity of negotiIIllon re liC! npan the nOie or documem as the single. unique item of the obligations Ilr1d right! embodied in the note or docu· ment. Maintilining thllt q.Jolity as II unique Item for electronic records i~ Ihe subject of Section 16. A tnlllsferoble

record exists when there is II l ingle authorit utive copy of that record existing and un lliterable in the "control" of a person, A PC/'i;OII in "control"' is II "holder" for tile Jlurpose.~ of transfcrrin g or negotiming thlll record under the Unifonn Comme rd lll Code. Section 16 1s e~sc n ­ dall y Iluppleme.nt to the Unironn Commereia.1Code, unlilits relevant wticles can be full y amended or revised to ltccommodQte c.lcctronie inst nullents.

Thin!, UE'fA clearly validateS oomrtlCts formed by c.leclronic IIgcnts. Electronic ugcnts Il1'C computer programs thm nre implenlertled by their principalS to do business In electrOnic fann. They opcrnte alL\Olllmically. without immediate human supervision, though they ccrtainly are not auconomOlls agents. TIley are l kind of tool thnt purties use to conullunicme.

Section 14 provides thut a jlCMll nmy funn a contract by us ing an electronic IIgenl. 11mt n"IC;!ns Ihlll the princiP.11, which Is the person or entity which pr0vides the program 10 do bmil"lCs,s, is bound by tile contract that il.'i agent rnnkes.

When somebody buys someth ing on the Internct, therefore, thlll jlC/'i;Oll will be IIssured that the agreement i8 vnlid, even though Ihe Irnnsaction Is conducted lIu tomntically by a com puler that .wlieits orders and paYlllCnt informntion.

Three sections. 17, 18, and 19 or UiITA, delll with clcetronie records thm stme govemmentlllllgencie5 create find retain. The ln ~t i tut e is working with Slate IIge nclcR to determine whnt paTt of this Act should IIpply to them. All three sections art currently optional.

Qoc thing Is certain: electronie com· mcrce law is a reality. We will either be govcrned by lhe fedcrallaw "fler Mltreh 1,2001 or by this Act. DCII" Mike Floyd of Cumberland School of Law Serves as cllni! and reponer for this committee.

For more infonnntion nbout the Institute or any of its projects, contact Bob McCurley, director, Alubt mll Law Institute. lit P. 0 , BOll 86 1425, Tuscaloosa.

3.5486·00 13: fllx (20.5) 348·8411 : phone: (20.5) 341:1·7411: or th rough lhe Instltulc's Web site, .....ww.law,"(/.edlli(lll.

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to represent an indigent indivichlal in II Petition 10

Modify his Divorce Decree 10 tcnninntc or reduce his child SUPIXlrt since he is now unemployed. He quit hi.~ job due [0 n nervous breakdown lind hus ~cn hospitlll _ i1.cd twi ce for suicide IIl1cmplS. He has stopped see kin g

psychological counsellng beC(HlSC he is scurc:d of indigent hcnlth cnre SysteUlS and hus feelings of pnranoiu IlboUI being wmchcd and/or invcstigulCd. " It has now come to my attention 111m there. In fl1el.

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nbuse of ont of his chi ldren lwo yeal's Ilgo. !-Ie has nOt been allowed visitntion wilh his children in Ollef (I yenr pUl'S uunt tl) terms in the divorce decree for this very rellson. '路Every tillle 1 tulk to him nbout nny fncct of his CRSC he hilS Ii complete emotional brc:ukdown. He CH nnot handle any stress right now. I cannot convince him to seck psyr,;hological COU nseli ng bccnllse of his fcur of whm might be revealed.

"He is so unst;tble, I do not believe 1 Clln proceed with the Petition to Modify, beelluse 1 will nOt be able to get him through 11 court proceeding or even the discovcry ncce~snry to prove his case. He hilS no jill/nedi路 ute family thlll I can cull upon for help. 路路1 hnve been approllehcd by opposing counsel (w ho must rc:prc:sc::nt hill client, the ex-wife, who will not consent to II tem porary Icmllnmion of Ihe court-ordered child SUPllOrt) slntlug thaI he would be willing 10 nllow lin incho.mbers PfcsellliUion 10 Ihe judge aoout our dilemnui.. If [ do so. I will be divulging 10 the judge Ih ut the nmn has HseriouS eml)lion31 problelllth~t the judge might wllnt me 10 e5Inbli.~h or he might even order psychologIcal JANUARY

2001

IC~ling to scc if my client eml adequately assisl me with Ihe Cll.<;(:. In either event, if the mall goes 10 any counselor funher evidence would be revellied nOOct his serious feclings of guilt and rcmOINl which could be uscd against him in II crimln ol irlVC.~tiSllt ion.

I <:t1l1l10t <:ounsel with my client as to which course to toke bcClillM;: he ellnnot denl with connie! without lin etllotionnl breakdown lind [ feellh is cou ld jeopardize his life, (i,e, another suicide atteml){ Und/Of beCIlUSC he is incllpable of making I'illionid dedslo:IS), On the other h~lId, r cannot leave him withoU! relief frollllhe Decree of Divorce becnuse the nrrenrnges would just keep lidding up lit $950 per month. (He WllS formerly cmploycd nt n very good wnge working in an intensive cure ullit at Hlocul ho.~pi tu l which caused such u high dlild support Ilward). .,) nm cOll vinced my client's 011l0lioo;II insillbility is reill and I have expc::rience lind truining to mnke timt judgmettt.

"How llIUSI I ]>toeeed in properly represe nting Illy client?

'This is, of cotJrse, urgcttt because a trial date is coming up in II few weeks lind I am f1mher concel'llcd for my client's wcll beillg."

Answer: TIle Alnbama Rules of Professional Conduct nllow you to seck nPlX)immCllt of It gtmrdinll for you r client, or to tuke IIny other protective uction if you rellsonnbly believe thaI your client cannot adequntely nCI in his Own intereSt, Further, the rules allow you to disclose such conndemi nl infomlmion ns mfiy be required to adequately represent yOllf client lind udvunce your client's interest.

RIlle 1. 14. Alabama Rules of Professional Conduct. StlllCS as follows : "Rule 1.14 C lie~1 Under A Disability (a) When 8 client's ubility to make adequately consickred decisions in connC(;tion with the rcp~scn t ution is impaired. whether because of minority. mentitl disubilily or fQr some other rellson, the lawyer sholl, liBfor lIB rellsonnbly f)OSSiblc. maintain II normal clicnt-Inwyer relationship wit h the client . (b) A luwye r mlly seek the apf)Oimmellt of n 8unrdian or tuke other protective IIction with respect to a client, onl y when the luwyer reasonllbly believes that the client cannot adequately act ia the eliene's own i nten;.~t ."

The Comment portion of Rule 1. 14 takes note of the fact that disclOSure of the cllC~nt '5 disabilit y could Bdverscly affect his interests. TIle Comment directs that the lawyer may seck guidance from an appropriate diagnostician in funhcrnnee of the cllene's best interest.

TIle issue which you face I'C quircBconsidcrntion of the obligation of confidentiality, but also requires thill you IIsses~ Ihe situution :md make a determil1;\tion 08 to whm yo u feel would be best. under the totality of the eircurnslHnee8. for your client 'll Interest. In RQ·90·67, the Disciplinllry Commission Stilted that Rule L 14 "... [ RJeco8ni~es thalli [lIwycr muy, on occasion, best serve a client by takins action thai. on first blush. might apl>Cat 10 be adverse: to the client."

In RO·9S·03, the Disciplinllf)' Commission reasoned Ihat II lliwyer confronted with such a dilemma must cktcml[ne what is in the best interest of Ihe client bused on the luwyer's nnalysis of all DSpt(1S of the situmion, including opinions of medical experts. TIle Commission fu rther stilled: "Much of Ihe burdcn of this de(:ision i~ plueed on the lawyer who musl keep foremost in his mind the increased $lIIndurd of rc51)(l/Isibility when dealing wlth a di &nbled cliem. He musl O$SCSS all aspect~ of the situntion. including expen medical opinions, balancing the client's /lbmty to communicate and to ap~i ate the !lCriOU$ decisions to be made. If the IlIwyer ha.~ doubts. he should resolve those doubts in n manner Ihnl best serves his cliem. TIle Inwyer should also ullllm:iate the Court's incn::ascd concern in muners Involving luwyers and their representllIion of incollll>cleni clienlS, 'TIle nonl\allim itat lon~ on a lawyer'S self.enrichmelll nt the eXjlense of aelient un:: applied with enhuJ1eed strictncss wheLl the client is II child or olhcrwise not earmble of making flilly Informed Ilrld volulltury deci· sions,' Wolfrum.luprn. p. 159."

1'!aU\rd lind Ilodes. in their treatise The JAW of IAwyuinS, deal with Rule 1.14 und give an illustrative case wherein a lawyer is ~presellli~g II criminal ddentillnt with diminished eapaeity. Huard ami Hodes detcrmined thllt the lawyer &CtS properly in urgi ng his client. who has diminished capacity. to accept D pica bargllin offered by the prosecution and to waive 1\ f)05sibie insanity defense, even though il would me/ln a conviction orlthe cllell1's rl.'Cord and 0 short jllilierm.

Huwrd IUlei I'lodes conclude lhul the lawyer IIlILy Judge thl!! hi~ client's long-tcnll bc>t irl1ere.~t would be best served by 1\C1.'cpeing a lIhort jalltenn mtherlllllLl an indetenninmc stuy In II lllentill i n~litu ­ tion. HII7.nru arKI Hodes feel that in close elLSCS, the lnwyer "CMIlOl

be disciplined for any lICtion thnt IlIl5 a reasonable basiJ nnd

arguubly I~ In his clielll'5 best illlerest5." Section 1.14: lOl FilUllly. Rule: 1.6, Alab:mla RuldJ of ProfessiOflDI Cooduct. deals with "conlidcntiuJity of information." SUb5ection (b) of Rule 1.6 41 1~ di~~ure of information by a lawyer whieh is ()(herwi~ confidential if the luwyer I'CIOOn.llbly bc:1ic:ves disclosuIC is neccsMIl')' to prevent the client from comrnitting a crirnirllll ll:! which the I~wyer believes is likely 10 TC$ult In inlnlinerll death or InIbslllnlini bodily hnnll. 1110 Comment provision to Rule 1.6 allows tll m the bwyer hilS prorc..~iol1al discretion to reveal infonllillion In order to prevent such conscquences. l1\(:rcfort. if you delcrmine thm the best interest of your diem would be sclVC1l by mllkina disclosure to the COUll of yoo r clicnt'5 condition, and the possibililYlhm he might hnml himself. and that protective mea.\urt5 should be \.liken 10 prevent $lIeh hlUm, the Rule would allow such. In coojullCtion with Rule 1.14. if you make: this dc:tc:nninblioo, then you C(Mlld !leek appointment of 8 legal represcnt(l\ive for your elit'llt to further rrotcct your client's intcre5t, l bcre is 110 definitive standard which enn be Ill'Plied in such Ii iiilUation to guanullce the best result. 11lc I1lles arc fashioned to allow the Inwyer 10 nnnly~.c the clicnt's enlotionnl Slmc, in lhe intcl'C$t to be IIdvnneed by the Inwyer on bchnlr of tIle cliellt, ilild then pUl'lIue whmever aclion the lawyer dccms best under obvious· Iy difficult circumstanecs. Once the Inwyer hns dctcnnincd what he fed s to be the proper course of IICtion to best serve his client. the rules allow lhe lawyer to do what i~ nece.~snry 10 adVllnee the inte~t of the client. while, al the same linle, insuring protection of the client and hl.ot well being. ( RQ.9~-06 J •

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Etowah County

Estllbllshed: 1868

Etowah County Revisited he Etowah County Courthousc WIIS fCllturcd in the SCI>lember 1990 issue of nu: Alabama lAW>'l;f . Since thm lime, II new Jail nud judicllli cenler have been constructed in Gadsden. This article tells the ~ tory of these new structures.

The ge nesis of the new Etowah County COIlt1house can be trnced to II fedcral civil rights lawsuit citing overcrowding lind poor livina conditions in the Etowllh County jail. In August 1991, a one: percent sale$tllX went into effect SO thllt the count y could build D COOl1ordered jail 6nd also rcnovDte the old coul1hou:;c. The new sales tax generulw $300,000 per month. whic h COllllly officials believed WIlS 8ufficient to also build II new COUl1hOllse.

In II CariSf/1I11 111111;$ al1 k le dated December 6. 1991. the jail buildina effort was described as a $9. 1 million project. 1be architectural firms chosen were WAtsOn. Walson & Ruuand (now known as 2WRlArchilCCts, inc.) of Montgomery lind McElrnth &: Oliver of ODdsden. The contrnctor cho!ICn Wt1.5 Ray Sumli n ConstnlCtion Compan y of Mobile. The initial she preparntion eosl (tl'proxltllate:ly $.57.5,000 and Wlll COOlpleted by Chorl»l Construction of Gu ntcn vilJe. The article wenl on to 8/ly Ihal Ihe cOunly did nOt anticipate any problems in meeting b eOlln.imposed deadline or September I. 1993 for a lIew jail.

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Unfortunntcly. the counlYdid fait to mCClthe deadline. Chnngcs were mnde in Ihe plhns nnd design Qrthe jai l. 111ere was a oontrovel'llY over whether the jnil shotlld hllve 8 courtroom.

It was fin ally decided thaI Ihe facility would be Detter served by • multi·purpose room thai could be used fOl' lIrTl1illnmC11I$ and olher no n-jury court business whlle also serving olher fu nctions. An ankle in February 1994 1i~ted lhe project as costing $ 14 million.

111e county also paid mo~ than $ ] 60,000 in filles becnnse it did not meet the September I, 1993 deadline sct by United StuteS District Judae U. W. Clemon.

TIle new detention cenler finall y opened In Marc h 199<1 with n CIlIlUChy or 2.50 prisonel'll. Constnlction COStS of the building were $9 ..5 million. 1be: bllillnee of the $1 4 mill ion 10lal COSI included purchasi ng the IlInd and site prcpnrution. This facililY clln be eltpanded in lhe fu ture by adding one noor and 11 meullnine so thllt the tOial prisoner population can rellC h • maximum of 332 inmatC5. 1bc: new detention center is a modem fllCility and ('«dved an award from the American Institute of Architect$ for 115 desian excdlencc, The judicial center lind coul1house renovation projeclS were Illll<.-ed on hold because the onginlll 199 1 coSt estimate of S I2 million was updlHcd to $ IS million when il was lime for the work 10 be undertaken.

TIle count y had initially designoled $6 million each 10 Ihe new buildi ng eonstnlelion and the old building renovntion. Since this amOUllt proved to be InadequQle, the

"'rem, I'IItW oJ"''''' Ero..v.h COImty Judicial COttlpla

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projects wen:: nOl commenced un!ll the additiOllal funds could be IIpproved.

Pinnlly, in August 1997, the Cou nlY Com m is~ion BPPMvcd II $ 1S million budgct for the new judicinl building and the rcnovlllion of the existing courthouse.

The comm is~ion earmarked opproximmely $S million for a new building acmslthe Slrttl from the existing coun· house and adjoining the detention cemcr.

ntC plans included 0 bl~ement in the new building for mhinLClmnCe Ilnd $tor· nge. '11rc County COmmil!sion nlso npproved approximately $7 million for rcnovlllion of the 1950 counhouse.

The architect for the new jUdicial center WIlS Mike Rutland of 2WRlArchite<:\5. Inc, of Montgomery.

The nrch itecl~ for Ihe oourthouse renovation were Mcl!lrmh & Oliver of Gadsden. These were Ille ROr11e firms who collaborated on th~ j llil project. The construction mllnnger WM Do~ter Construction of Binninghar11.

The cornerstone fot the newly completed judicilll center \\oIlS lald with appropriate MaBonlc ceremonies on Saturday, Mpy 8, 1999, Prob~te Judge Bobby Junkins spoke m the ceremony Hnd relatcd II1nl tl1i8 building WllS the third courthouse constructed In Gadsden.

The finn courthou.sc WII!J completed in 1870 nnd COSt approximately $ 13,000.

TIlt second tourthousc was completed in

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1950 lind COSI approxin1ntely 51 million.

The 100al COSI of this new courthouse facili ty would exceed $10 milliou, The new building is of modern design and mntches the style of the adjoining detenlion center. The facility has incorportlled 5ttlle-of·the·an counhouse planning. One intcresting rellIure il thal Ihe new Etowah County Counhousc mu)' be the onl), fllCility in Ihe stule with II drive· In window for Ihe puyment of cou nott.lcred child SUllport. 1110 cailcns of F.towllh County will be IICrvcd long into the 21st ecntury by their new counhouse nnd their renovated 19!50 StrucIUre:.

•

SoutceH: Article$ in the GrrliJ'(/cll 1i1ll1'S...... Mnrch 21,1990: lillie 21.1, 1991 ; [)c(:embcr 6, 1991; April 21. 1993: November 8. 1993: Jan uury IS, 1994: February 26, 1994: February 21, 199!5: February 9, 1997; August 27. 1997: Februnry 1. 1999: and MllY 9, 1999.

The aut hor thanks Gadsden nlllive lind Birminghnnl llnornc), Joltrl ~ligllonico for nssistmrce in obmining mlttcrllll used in this article And for the photogrnphs or the new Etowah County facilities,

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prcsidcn! of the Young Lawyers' 10 be passi ng by qui ckly. We have accomplished much. For cXllmplc.

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Todd Stroh meyer has done II grell! job orgllni1.in g Ihe YLS Sllndeslin SenlinM. Il ls cornrnillcc bus confirmed Ihe foll owing speakers: Judge U.W. Clemoll. Ltc Cooper, Wnrre n U ghl fool â&#x20AC;˘ .Jel'l: Bcnsley, enrol Ann Smith, und Urynn Stevenson, Please make plans \0

Illlcnd this scminnr from May 18.19,2001. (Reserve your place tOO:I)'. ' 11c rcgi ~tratioll form is hx:med on lhe fudn g pllge).

In nddition , U~ YLS prcsidcll1. r was invited to spc(lk 10 the new Ildl11illCCS during their Ddmi5$ iQn~ ccrcmoll)'.

Although my speech puled in comparison \0 the commCll1S of J udge Ed Cnrnl!ll and ASB PrCliidcn l SUlli RUIIlOl'C. [ WIlS oble 10 shflre Ihe following inspiring SIOry:

Henry Peterson wus a fourth -string Imllbuck on Ihe Unive rsity of Alubomll foolbllll leom. He rarely saw pillying !lme.

SlIdly. prior to Ihe Auburn-Alobmno footba ll gume, he received 0 phnne CIIII from home. He learned thm his fUlher hlld died unoxpectedly.

Henry spoke with Couch llryunt lind lold him.

"Coach, I elln't be there for Ihe gllme Slllurdll Y. You see, my fmher just died lind I need to go hom!:." With eornpRssioll, Coach Bryullt told Henry 10 forget aboul the team (uld go spend lime wilh his f;Jll\i!y, After a few duys Itl home, Henry called Couch BryntU to tell him thm he did 110t wunl 10 lei the learn down and that he would be m Ihe game on S:IIlIrduy. COllch Bryllll1 aguin lold him 1\ot 10 think aboul Ihe leam, but 10 spend lime wilh his family.

None\heless, \WO hours before the gllme "gnin~t Alabama's bissest rival, Auburn. Ilclll')' walked

26

JAN U ARY 200 1

ia 10 see Conc h Bryanl and said wilh grcllt passion. "Conch. J wnnl you 10 SInn me today."

Coach Ilryunt WIlS IlIkellllbnek und reminded Henry 111m he wllS Ihe fourth-SIring hlLlfbaek and thilt he would be fooli sh to slnrt him ntlUilbnck.

Henry wl\S persistent. Finli.lly, Couch Ilrynnl relented. bill wamed I'[enry, "Okay, [ am going [0 put yo,1 in 01\ Ihe first series of downs, The first lime you hun our team, [ will pull you OUI. Do you undcrSlnndT ['[eury must have understood. Henry run circles around Auburn's defenSe:!, Sl!"oring fuur luuchdowns in the firs t half. At halftime, Coac h Bryolll did not know whether to hug Henry or hit him.

Flabbergnsled, COllch Bry:tllt asked Hellry, "Why didn'l you show me or lell me you could play foolbn!llike thnl?" Humbly. Hellry responded, "Cooeh. you knew my Dad. You knew he was blind. Todny wn.~ the firsl dny he wns nble to see nil: play football! " I In my opinion. every one OfU8 is plllyillSthe gnme of life. includinSI,rncticing law, before Ihe eyes of God. our fnmily, our friends Dnd ollr con tcmpor~ries.

These ure powerful l1lotivolion.~ [0 live life, nnd 10 prttctice luw, to the very best of our abilities.

We fire a grem pl'Ufessiuni I hope thlll elleh of us will practice lnw professionally and in II civil fMhion . I hOI)C thm each of uS will [mY bock our communities with nil of the blessings we have received II~ II result of our cIlreers.

If you have nny conllnents about or criticisms of the YLS. plense let me know. I cnn be reached at jcp@bwwllc.('(lm or 1'.0 . Box 4160, Montgomery 36 103-4160.

Endnotes The InlOlmatlon 101 lIlis 1101'/ \BIen 110m filial.

IN8511v111e J CounllymBII. \9991

S!~.

Ov/ellMliS/lft$

r--- --

- --

-.

- ---

I

ALABAMA YO UNG LAWYER S' SEC TION

I I

clandeslin Jem(/naTr Friday and Saturday, May 18路19, 2001 Na~

_____________________________________________________________

Alabama Stotl! Bar Id' _________________________________________________________ Addrass ______________________________________________________________ City _____________________________ Slala _______ lip __________________

o

$1 9500 Ai:lgistrahon FQ(I Encloslld

o

Check here If you wish to entor lho golf lournamlln1. Greens fee ($641 may be paid in advaoce with Ihis rogisuDlion.

CJ

I conoot anend 111(1 sominar. Please $Ond me Ihe program handbook.

o

Enclosed IS my check for $50

Make checks payable to: Alabama YOlng lawyer,' Section, c/o Todd S. Strohmeyer, P. O. Box 1908, Mobile, Al 36633- 1908

.--------------- ---

--_ ..

Judicial Award of Merit Nominations Due The Board of Bar Commissioners of the Alabama State Bar will receive nominations for the state bar's Judicial Award of Merit through March 15, 2001 , Nominations should be prepared and mailed to:

keith B. Norman, secretary Board of Bar Commission'" Alabama Siale Oar P.O. Box 671 Montgomery, AL 36101 The Judicial Award of Merit was established in 1987. The award is not necessarily an annual award. It must be presented to a judge who is not retired, whether state or fedoral coun, trial or appellate, who is determined to have contributed si!1'lificantly to the administration 01justice in Alabama. The recipient is presented With a crystal gavel bearing the state bar seal and the year of presentation.

Nominations are considered by a three-member committee appointed by the president of the state bar, which then makes a recommendation to the board of bar commissioners with respect to a nominee or whether the award should be presented in any given year.

Nominations should include a detailed biographical profile of the nominee and a narrative outlining the sig'lificant contribution!s) the nominee has made to the administration 01 justice. Nominations may be supponed with letters of endorsement.

II/I

"1111'"

11"111(

27

The

VLP

o

"

and

•

Life Insurance

BY PROFESSOR PAMEU, fI, BVey moming on this Spring wrekdoy, folks were 0111 working on curs, shmding In their yards. lIisiting, hunging clo11lC.S on

he guard Cllllcd to verify thm my vis h was expe<:ted. Hnnging UI' the phone. he wlII'cd me through lind pointed to 0 building down the rood, on the left. Behind tile guardhouse. the grounds at this hQll~in8 project in Nooh Uinninghllm were spacious. Nelli, two-

T

clotheslines. Ms. SUllTord' was wniting for me by the rond lind led me to her npartment. on the comer. Insidt her small sil-

ti ng mom, there were fllmily piclIlre:; and religklus pictures everywhere.

We sat on plUStlc I:Overed couches lind Ms. Sudrord told me uboulliYing in the

story briel.: buildings were IUTIIngcd around lots of open space, nltoough more of it Wfl! OOl'lCf'ete thln gmss. AI mid·

ALABAMA LAW OFFICE PRACTICE

ALABAMA DIVORCE, ALIMONV & CmLD CUSTO DY

Nl nlh [ dilio n Thil hlrdt-nd edition 'OOlilll of 616 PIlle.

Third Editi o n wilh 2000 S uppleln enl This edition combil'lCs with tho tupplCmenlto

and Is con.enientt y ....ni~ int., 43 chlp'cl'll.

Tho new c.di,ion Includes updattd cll.pecl'll on ClIfllOBtiQnl, r anncBhipI, LI.C.lnd U .P•.

Illhl'ho bul)' ~t;,lontr. Tho IlIwlemer, ~ont.IM updates in usc tIKI i liMOry Ilw.

2000 Edilion

provkl~

oyer 900 pllCI' O(UM law Ind (omt 10

by Robert L. McCurley lind Penny A. Oavis

SPECIAL TWO BOOK DISCOUNT PRICE - $135,00· (O rrer good IInlll MArch 1,2001) Bolh Law Office Practice ($75.00) plUJ Diyorce, Atlmony ~Ild Child Custody (too.DO) ONL y '1~.OO ·PIUJ lax, shippin"and hlndlins Tawol - $'50.00 Law Office I'ractlce Ocskbook t&3.00 tilth (,75.00 plus t&.00 IIiX. shipping &: handlina) DivOf'tc, Alimony and Child Custody t99.4Q (Jeh ($90.00 plul ,9AO 1/01, ~hippini & handling)

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NAMr.____________________

28

JANUARY 200t

~ ADD~SS

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CHOOSE YOUR LINKS: -

•

Family/Juvenile Law ,- Criminal Law Law Practice ManagementlTechnology Litigation/Dispute Resolution - Elder/Disability/Health Transactional - Professionalism/Ethics - General Interest

JULY 15-19, 2001 • HILTON SANDESTIN · DESTIN , FLORIDA

prujccls, where she hall lived fOr the ~t five years. She likes it "because [clon't have IUlywhel'e else to go," Is she ever sc.u'Cd1 "[ feel preuy safe here. 1'~y do a 104 of shooting and sUl lT, But ] G04 three thins~. I gOt II phone to the oulliidc world, [ my 9 millimeter and I got Jesus:· Ms. Smfford husu't ever Iutd to usc her gun, oot she likes to be pn:pm1!d bccttusc "you don't look for trouble. trouble finds yotl."

Ms, Stllfford told me llbout her VLP' casc. For 37 yefu's before seeking legal advice, Ms, Stafford hnd becn paying premillms on life inSIII'lInce for hCI'$elf and a lIumber of relatives. "[ already buriw Qne wi th that insurance," ~h e ~a i d .

She pays on it every month. Over the yenTS. she had borrowed IIgninst her policies uud wun ted to do so ugliin. The cOUlpany would not let her li nd she did not understand why. Every time Ms, Stafford l/llked wilh lhe illsumllce agent- which was Pfelly often since he came by mOlllhly IQcoli(:ct premiums due-he chllnged the SUbject. IIway from borrowing on her policiC$. Aeeording to M ~. Stnfford, " ~Ie gol thot sweet ullk.'· Ms. SllIfford went to Legnl Services for advice, und soon received word dUll Leilo Wutson, II lawyer ell rolled in lhe VLP, would help her with her insurance 'Iuesliolls. Ms. W31SQn clllled Ms. Smfford wilh di rections to her office, via II bus since Ms, SlIIfford doesn't have II eliI'. Ms. Siafford desc ribed her visit: "Oh, Ms, W:uson Wa5 so nice. She IIsked me ir I wllnled smnclhing tl) drin k. She told me 10 re lax. sit back. just like I WliS III horne. She introduced me 10 her ~ec re­ tury. I felt like I wuS III!klng to II fu mily member. I felt so cornfonable. She slIid, ' I' m here for you, I' m going 10 fi ght for yo u. I'm going 10 fi gh t ha rd."· Ms. Slafford smiled and said, "I like lhm. I like that whcn someone tnkes my side."

Ms. StlllTord look !ler insuTnnce papc.~ wilh her, in Piggly WiS&ly grocery bllg..~, mixed in with t;evernl yellfll of junk muil.

Ms. Willson found lhnl M s. Siafford WliS puying II huge ehunk of her [ucomo-which for yeurs h n~ cOllsisted enlircly of SSI dishbilhy- for life insurance policies, inchlding one 011 her husband, who had abandoned her long ~go. She also was unntX<:ssarily paying doub le premiums for !lOme of the policies. wa.~ payin8 full premium for her OWIl polley although she was eligi ble for a disability wlliver of Ihe pre mium. and hnd some overduc premiums. Ms. WOtSOn obtained copies of

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rcplu(;ement pOlit:iC/i, utlktd Ms. SlafTurd into droppillg Ihe policy on her husband, got rid of the double CQvernge, otained the wai ver for Ms, Stnfford's own policy nnd got Ms, StalTord's pre mium., up to dntc.

She wug jumble to oblnin refulld~ of the over-payment".

Leila Watson nlso advised Ms. Siafford 1101 to buy any more insurance without checking whh her firsl, As Ms. Stafford ex plained: "'Ms, W:uson told me \0 coil her any time, nboul anYlhing. So, sometimes I call her III' IInd jlls. soy, 'Hey darling, how lire yotl doi ng?""' At OIlC painl M s. Stnfford wanled 10 buy w me fi re insurance, but c~J1 ed Ms. Wnt'«ln lirslto tnlk to her abou t it und, after being advised to "stuy within your limit," decided not 10 buy the ins urlince.

What does Ms. Stafford think about Ms, Watson1'"She's wonderrul , JUSI wonderful. She helpedillc lenni aboul what insurnnce to ge t und wh~1 nOllo get. It's nice how she reached down nnd helped linle people. Un Ie people in the projects need help too. I' ul yourself in my po~ i tion. You didn' t hive unyone to buck you lip. Didn 't huve nothing. She waS then:: fOr me."

Leila Willson signed lIl) wit h Ihe Volunleer Lawyers Progralll almost as soon liS the Bimllngh~. m BM Associntioll staned ils VI..P. Why'? "BccllLIse I cun do il. BccnllSC [ like doing it. Pcople need help. When you're:l professional. yO ll ~ holiid give buck."

• (71wllk..J 10 lillda Lmrd. Wyrll/I" lIolt espet"ildly, 10 &11'1(1 I1htsan)

(llId,

Endnotes 1 A psalJdonym 1

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l!8tl1Nlde in A1&biIma in 1991 Modeled 8111)1 the high, ly JUCWs;lul Mobi lt 811 A$SOCiotOOOl W. i11J1QY11101 • wtt for ~I itt A!a/IoIIIa 10 ht1!l theit COIIYTIUI1I1.(\t.

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Assistant Federal Defender The Middle Dislricl of Alobomn rederol Defender Program, Inc .. in Montgomery.

Alnbnrna. is accepling applielltions for the full · time position of a55i5111nt federol defender. The office b a non-pmfit eorpor/ll ion providina legol rcprescnt!1lion to indigent persons in fed eml criminal CIlSC!i aod related malleI"! in fed· en'Ll oourt. This ~it ion exists due to the promodol! of a staff member.

Dillies of Ihis poSlllon include uiu] ond appellme ~presell1miol! of of11cc clierH8 in the Uniled SIllies District COtirt for the Middle Dislricl of Alabama lind in Ihe United Simes Court of Appeals for Ihe Eleventh Cire lilt. IN addition. of11(:c aUomc)'s eonlribute to a newsletter tlnd lruining pmsmms for private allomeys involved in represe ntalion of indige rll federo! defendilnl'l.

Criteria fot this position include ucellenl research, writing and /ldV()(:IICY skills, trial nod appel1me experience. con11>uler skUls, nbilhy 10 eommunicale and work well with o~hers, dClllonSlfIl led intereSl in criminnl defense issues, lind commitmcnlto obtaining juSllce for indigent pelWns. An npplicnm must be II memo bc:r in good slanding of a stine bor Wid have a driver's license. Au istant fedeml defendel'"5 may nOi engnge in the private procticc of lnw.

Solllt)l fot this position depends on experience and is com]mrable to sahtries provided to assiSlllnt U.S. atiONleys wilh simil nr cxperienee. This office provides excellent benefits.

To npply for the position, $Cud II le11er describing your intcrc~1 in the I>oSi tion 10: Chrisline A. Freemon Exeeulive Director Office of Ihe Fedcrnl Defender fot Ihe Middle District of Alabama 201 Mon rocStrcel, Suite 1960 Monlgomery. Alabama )6]()4 Also. enclose a resume. references Ilnd writing 5IImple. l:inl1l selection is derx:ndem upon the IIPI'I"Opriation of funding lind eonsullation wilh the funding sourt:c. This progrnm is nn I~lunl Opponunity EI11]llo)'er Ilnd cncour'llges women and minorities 10 "pply. The position is open limit filled .

We're wanted behind bar In fifly tat es .

Lllcki/y, IIJf're

110 111

bchill(1 yOI//'s.

/h ,Io ~ ""I;U" '~ r;,,~ , 1l ",~ r,·ll1l,·, I· l i tlr ill!urnm'c IIl1llerwritrr. lIn' I!IJ I~ n'n'!ou "'''' 1'11 III IJ"';ilU'~" L~ HI

hl'JI

)'111 ' ill 1,".ll\h~. \"~'I"'ln wY"r~ rnr In"'Y"n<,

Iot~'oIlH'

thr (ul. Inrge.M !llItl"""I'i' cr ill the

[""rN"illK "II 1lI\'r, Whlt'll ;1 \\h~ \I~II II~

ull'h,'

c' nonll'~·. \~I,,\,~

11'1"\"1' p~l;nrj(k(1

h) Duff _'"' 1'lIrlp., 1).'lIIuTed •• nll d 1'0111('

Alld &i ,, ~,' tl ur

\II'"''

50 ),'m.,. "1'''' x,',-" II,,· m·" ,I'!lf 11'n l 1"11.1\' In\\11'1)1 i""'qlliull ' /\H

wr 01 .... rlltiOll ti hJ );JI!r MI,lr. \\ r' rn hiHI.!) rall·d

L./\ C I~ ~·im\Jwinl.

'\01 lIlIly . hOl , \\'(' dUll',

1'<IlIlfll' U'

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III wW\\',llu,run. I.,·om, Allrl tI'" lUi cll ..·r;clI,'t',l lIlId ... r.... riu·r . Intl ', trul) Ilf'hil ul )011

"II)'.

Now you

O;rtlOO A""",,,,!" TIt ... I"".....,.. , .. ,,01, ~ ...

kllOw~

ALABAMA

STATE

Statistics of Number siu ing for CXliTll .

BAR

Interest

.. . . . • . • . • . . . . • • • , , • , , , , ••.•.••.•. • .• • . . . . . . . • . . ..

NumbcrccTli lied \0 Supreme Coun of Alnb:una . , , , " ... , ...... ... ............ . .

Certi fic(ltion rule- ,., ...... ,", ...... , . ....... , .. , ....... . ............... ·

Certification Percentages: University of Alabamll School of Law ......••...•...... , . , , . . . , ............. , Binninghllm School of Law ............ .. •.. ..•... , , , , • , • , •• , • , .•.......... umberland School of Law ..............•....•...... , . , . , . , , .. ...•........

Jones School of Law ............ ....... . ........... , . , ... , , . .. , .•....•.. .

Miles College of Law .... ... ................. , .. . .. , , . , . , ..• . . , . , ..... . . · /1IC:ludts olily tho.vl! sllccessjid/y f}flSS;" 8 bar exam {/lid MPRE

40

JANUA K Y 1.001

553 357 64.6 percent 87.3 percent 28.4 I~rcenl 87. 1 I>crccnl

30

])Crce nl

18.2 l)Crcenl

Alabama State Bar Fall 2000 Admittees Chri~!opher

Ablw lt, PIl ili lp Matthew

lIu l(gf , Brian

Drone, Jodi H. ReeJe

II lI rris. UnwlLcy Manln

Adlllnl , SCOIl P.d wlrd

lIurkhllll cr . mb.llbcth Anllcla

Orlnkkr d , Lau", Andr('B

HIILI " . ChrhtOflhcr Chri8! I ~n

Ad ll)'. !tyon Mic hncl

Ilrll1kMrd, 'n.m

Ihl wkln~, Lan ~

A gl!e. Klm broul:h, Monka V vene

lIutl rr , Jonal!!!!n Lloyd 11)'1'41, Heverly Ann

F.dwll rdJ, Joson Clllrl.:

Il IlYe.~,

A lford , JOlIlll,la M lWdu~

Cl in, Tanlta Michdl c

F.IU~.

Allt n, JOlICph Michal'l ll i

C. IIIII1 U$l1, J~I\C M lI1lIlfCt Lai rd

I:nnls, John 1110111111 Jr

Allellsltln. ROM: Mruic Amll!iClo. Thomas GUile" III

C. pulO, PaKa. BCrI()h

£r k k5ll11, J~,.c l1c Muric

Ihl)'IIC11. Wollia Spe ncer lI ~ndrb. Mic hcllc I.ynn IUghl owcr . David &l wllrll

Cu lton. "l lnci. K. lhryn

t:SICII, Allen McLtan l:ubankJ , JlISOn I( oben

A mltlur , Rebe«l Ann

CuothH I , Roben Leroy Jr.

Andt'r!i(jn, l effrey Michael And rew. , IJ ry~n Ilil h A. hmon, Melvi n fiugerle

Cnroll, I..onnie SaYKKl Ctih, 8 r11l11 Verban

Alwood , JnmcI UHnl Jr. Unltiwln. Erica LyM Ihmtllllsh, Clmlre Ullnlt'U, SUlci Ltl Hl nlt'll. Thoma, Pl ul II I !IChab. Denise Alle lltne llei lly. Kevin W. lkl:r ikrd an. Dlvld Lee IIn ry, '.n Mlc hllC l ikm. Laura MOI lnw IIIlIck. Kevin Roger 1I0ld en, Dana Jeanfle IlulClt. AudlllY Melin a lioll'll. Lort'lli ikni", Uo", ~r . William Calvin lIormer. Brit' David 1I0nner, Julie Lynn 1I001h. Mill')' Led, Ilm lo, Nalhaniel All!illn Bosquet. EJl U helh Bri n 1101101111, Michel Chu re lloyd. ShMyRmt 110,"1'.1111111. R U~JCn l:enl!'.r Hrl dlt y, Brcnl l1ri llillton II ra nnen, Cand llCl! Hll en Il nu w~ lI . Alenndel Fo urnier 8 rcllull le. Amy Nicole Hre v;!'.r, Johnny Seeu IIn ttaln, Wl IUIlI1l EYIlJ1~ llrock, Qu in n Eric Brown . Ilunleti a B_ lIa Nelson Ifro wn. Stephen Jlal~ IIrYlI lI, Slaey !..figh tlu ck. Andrew Il el\llmin

ChO lll)l:lI, Jeanna Murie D~Y il ChnlMwM nleh. CanelcYII Cal h~ ChI.~ho ll1l , Afrika Shnki r Clelll!'. nt! . Rolph Moyo III Clel1l!'. nt • . TCJllie ""tri ce ClenlnHlnt. Tracey l..tlnne Clln, Raymond Spencer III Coch n m. Allgda Ann Coch nua. Ryan Kenl COrTH . Sheri Louise Hull Colclona h. Steven Randolph Cole. Carl Allen III Collins, John Dav id Connell. JaW'1 Wheeler Conl'lld. Hugll Victor Conradt Murk Tho... p8On Coplll nd. 'Theodore Alexander 11 COIIteUo, Matthew I)avid Co,,·a n. Chad Wesley Qi nnhlltha 'tI. Jen nifer LUIII Ull bln, Slephllnie R. Lindsay I)II~I~. Amy P.li1,11\:1elh I)MvllI. Chri stopher Michllel Illl vls. "re~ lon II rynn d Au~ l l n DnvllI. ThM Dllvls. Tracy Reynolds lkll!l, Will iam Lawercrace IklL4on. Kri.li L.c i,h lkk-ha ml". Notl (maory r)c>JI 'Curtl~ . Janie Kalhryn lkMa na, Kalhleen Jean I)"'(ln. J!nCph Moore III Do nuldSOIl. Hugh Locke: f>Ol'ller, Snt'llh Uelh !Jond Doyle. JMmc:. Vlc lor Jr

Mc ml~ lyn

l'allc A lc~ i, Sumlc)'

KQ)'

nnD Mic helle Jueh

1l00IlC, David

h~

1I0lUncld, I'ranci. I)avid III lI olly, Ja)()n Lee

.:U-n, Parne ll Reno FCI'ltU!iOn, RIIp/1 Aiion III Fisher, Angeli l. Eliu belh ~1 t t ehf r. Byelyn McRee

1101111" , Edward Ball II II nlrn rli , Sftl11 uel RRy lIollllt r. Chnd All en Il ownrd. John AII CIl Jr.

1'1000. Kennelh l'nlrlck flood . Khrit li 1)0" .... o l't' nce. Wil lie Sr. Pord . Jeffrey Fort ullt', William ThomM Jr.

a ,1t

Fos ter, Tommy Kenneth Fowlu . Michael Eric Jr. Fn."t'u. Ibrbant IWen Jenkins Ga b ritlsoll, YvonllC Vemlce Gurllt r. Christopher Richard Ga te!!, George I1rozlt r Gll tlSt:. Runda ll Kenl Gel!lC'lI. J01l81111111 Roben Gcl8ler. Kimberly Wood Ctl~le r.

Stephell Roben Om . Otrblophcr Morris Clm'ff. OJcn n F..dwllrd Gordon. Alfred Benjamin III (j,.hal1l. Chrb tinll Dill1lC A5hley Cl'llhlll1l. Ghbrl el Grace CnIVeUn C, Monie RGlllce GJ'e('n, Glori n Come lla Wood Cri mn. Jenn ifer Le igh CntnJ. Melin a Lois Dartkn Crlnlf!l, I>.vid C.rlton Gruesbeck. Kelly Cli hetine Guthrie. Rebc<:ea Anne Wllsoo IIlllt . Phillip Bri_n lIall M. Michael Uoice lIamliton. Lynnwood Halc: Jr. II/Ullmer, All en MOrTh llansrord. NSlhon lc:1 Pl ncher Uli nNOn. Chad Anhur

Il owloll. Shelley Dll nc IIl1dsoll, C. ndnce I..~Ann lI 11dsoll, Kimberly Bruner Hunt, RO(heile I)iaoe lIunl , Susan E, Fon!IIXa lIull lt'r, Ronald Coleman II n nl l~y . Roben 1\'Jd1 HU lt'hlnso n. Sandlll Ellen '~lH' 1I . 1oh l1 Pl'lInk lin jlll'l/I!n, Ch ri~l y Lynn JlISkolkll. M llrcu~ Alex ander Jernl gnn. Adem Soyin i j oh'lw n, Andtew Ih ms j ohnson, Mark Edllll'

Jone!!, Bleanor Jan ice j onClt. MichllCl Lee j onH , Robert C'tOOdwin Jones, William Andrew Jonlun. II rcn l lI owllrd j ordnn . Nlkllll Baugh Junkin. Sa mu el Woodrow Kelly. Thoma. SCOll Ke lly. Wll ilfill\ Ke ndrick. Kermit l..aOu in KUli an. Ashley Hi iubc:th Adam Klllhm. Charles Dav,d KIJ U" RlJ, AIU'OII Jr. Kina. Joe Alton Jr, KIIlItI'('II. Klchrd O .... en K.lol1.. Amy Mandc:fIOfl Krcil lcl n, Koben 1..« 1..... lnl. Philli p And rew Jr,

/111

tlillti/t 1IIIIIiI

41

Alabama State Bar 2000 Fall Admittees

'l"IIylor, Jamu Midacl TII)" lor, Robin U"ntk

l..Iunber1, Mlc hlltl Clem Lanier. Joon TOOma~ LIIs.~iI('r , Bmll)' Sioddard LathrHIII, Othni JIIIUCI

Moore, David Bo)'d 1'01001"\', ThomllJ JohniOn III

Rocco. Nicole Marie Rodri llun.. loim Dllvid Roy. I)ooglu Mclean Jr.

Thallue. Alto Lee IV Thomll.!I. Aaron Brook.

Mnrdenl, Dclnnn Iterring

Rud , Chari~-'M Ann

TholUlI~,

M urriN. LesUe lI urold

Rurr, Annelte Therc!lft

ThQI1III~, Jull ~

I.,.aw, [)avld Pn'l1\}(

Mu rrll, Stevc n Robert MOSII. Li~D Anncnc Bla), lock

Iturleci llt, Jon Jllcbon TllQnlll~. Melina Ann SlIlll1,GIlIUlllu, 1!(lcll11;,\1 AnlQnio 'l'holl1lll1OlI , Knlhl)'ft Abbie

LIIw~nct.

Marco.' Sex Ion Jr.

J111I11I)' I.e: Bllen Sheppard

'--W~Il« ,

Mud~nll.

SII II1!. Rand)' Carl

11101l11J§4m, ldlie Amold

SlIllIlI' Crf, !tartow Shl\Jloon

1'rI:lldwdl. ThOlll1lll Allen

1.«. Rtllxrt David

Mykktltvtdt. Jeffre)' Nomlan N«.k l.\.I~, Iltather Lauren

Schl trmu n. Kllren IMlle

Ntl m,", John Cow let! Jr NtWIIIII U. CI)'_lal Anne

SchrtKdrr, Todd .... lIen

l'rt"'hcllll , Richard I?dwartl Jr. 1h lfl.llf)Otl , Temple DeAnna

Schu ler, [)anld Ro)'

1'u11.~tlll,

NlehQI~,

Scott. A,yin l)Qnald Jr.

Wend)' 1')'1=r 1\Imer . l)amon Ban

Selbtli hent r. I..An~'C llr()wn

·1\lnler. John !lame:1 Jr.

Mary I'Jlricla t H . Anhur I)ayil SIIorts U hnulII, AmOOn)' DaneU Le hmll ll , John Rie~ard II 1.llIdf,UI.~t , Meli na ~brie l..tlCkhRr1 , Monica l..inn tamn. MQrk Oliver L011le l'll, Ashl e)' DAwn 1.lI eIl8, Vi!"Jil nln Emfinger Lllker , Katherine l'ane~1I I. unsrord . William Richard

Mitche ll Sebutiall

Jarrod David

NldlOlson, Tilla Lorrn illc

Olh'cr, I)lI wf\ I..IlThshu Drlllslcdt,

Ru~scll SCOll

Orl1l~tcdl ,

Wendy Dawn

B rail~h

(nwuld, Jllile OWt ll. Dayid Wayne

Shllw. Sam mie Dewayne

'1\Irlltr, Jutlron I lcrbcn

Shdton, Jnsof\ tee Sh('l"III$III, Cynlh lll JC!l11ne Shi r ley. Scan Wl1 linll\ Si m pson, Sandno Coopr:r

'I'urner, I'aul Pml\kli ll Jr. T)'w n , Milton Il ruCt Villi 1(8~ II , Cynlhiu Mllrie VancC', .... ldo$ 1.altlQllt

rtlllcll ll. Thomu M III1t

OWfll. Joon [}ayld

SIII1lf.. Elizabeth Bull

Wadswol1 h, Rrian Davll

Maooll. J<*ph .... 111100 III

PIIrku, Katherine TI mMY

Sklll llllC. Ka.f\':n liIlubclh

WngnoJl. Jeffre)' Wl)'1Ie

Maddox. Robert Richmond

l'Brrlsh. Jlmm)' I)ule

W" hl. Orian .... Ieunder

M eRtu!. MilCh

1'11111111". Ste phen I)nnid l'hll,II)U. Jnma Michael Jr.

1'oIcCault)'. Lara Lynn

!'Icret, Jeffre)' Gnml

MeCumlth • • Andrew Dean

l>itl•. Chrb lopher Bernard

McDavid , .... lIdrt:w Scotl

l'hlll1ll1er . John Scott

Smith. Bradle)' Johni Sm ith , DIIYI. 1I0Uilinon SmUh , ClnylMFa)' MOfTb Smlth.lndiu Ahhen l'owell SmUh , Jolli ne l..ou l~ Smith . William Ea rl Srl(lcrg,..,n , Kristoror Duvid SoIK'r. Jennifer l..eiah South. Ricky VBn SIJoCIIC('f, Donald Eugene Jr. SI)r1IY. J ~KHI Carltoo Sq u l~. !lrt:ndan PAward

MeElllr)'. John Howard IV

1'o!Ia, Jam)' BnI)'don

SllIrllnll . Laura ROIh

WII~II ,

McGH , JOllluhnn KY1.er

I'rllu , l!rIck KelT

S"'"'"' J03Cph W~)'ne

Wlnl c"" Stephen

M cKQWII , Jennifer l.cyi n.

I'~oll ,

Slelncr, John Slewnl1

Wisdom , TnIYls

McLeod. Alma Kelley M cNlllly, TImothy Scon

I'rlebe. Jllnlel Andrew

Stc illtc ns, Jalt\e~ Mauhew

WI.",=, Kyler l..ee W!.'Ie. Rcaa"JI n avid Wlu . Kevin .... lIen

Miliolle. Sham;

Su mn~rs

I'lIt r . lbndolph

W~)'ne

1\1111"\'11I1.IId, ChAd Chri5topher

l'flttcMIOn , Rlchartl l!rlc

Mal"!it eller , Ry llll Scull

I'erk hll. Verneua Roche lle I'crllcll , Jillinn Nhtillic

Mnthow8. I)onna Jo M"hl.~lllk , Oli yla

Sulannc

Ma)" Ali.h" Ruffin

I'o lc.l'hcrtl\lI, Kar la Ocnise Mdhyuolds, John Andn:w IV I\lthhl1llll.

I~opc:

DUll

I'hllllp~,

John Mlc hn.cl

ClwrJIe

Ro~n

Jr.

I'rlm , . 181T)' SUllI llcll 1i I' rurt , David

Re)'nold~

HI

I' ugh. !triln 'IlKlmas Ku ll1l'11, .... nada OIcycnne

Mt..,..,lI, Wallcr MIl"Yi n III

Ramey, Shaun Kevin Rllllt!all. AnSdl U .o;e

Mt)'H, Michael En:cry

R«hly, Apaml MRdadi

Mitchell , JO!i.h Ja50ll

KeYI1 (1ld8. Matlhew Alcx~ndcr

Mltchdl , Michael DDyid Jl,1I~QIl ,

MClldhd m . Rooakl Cl ifford

Gn:gol)' Knowll:ll

Mon cl1S. Mu g!'\ Lelah

42

Roby. Rdey Whin

SAN U A RY 2001

Stellh(' lIs. Pinridl Ann Rob:n~ Sttwurt. James Dl\Yit! III StC'wllrl. Ryan Chri~lopher Stock lon. Colin RUlherford

Wilish. Genld MiclJicl Wlil~h , Thonll' BriM WRrTt'U , Ronnld Oryan W~hlnRton , Frederic L.nnlRr I WAtkln.~. !..lIma Slephnnie

WC:SIl. Evcreu Warhen Whllllllgion. Julie Oay WI IIIIIIII~.

leslie An, Wlllluill'. Mill")' Mlfsan:t Wllllllnl•. Michael .... ntOOn)' Wilson, Ju n Millie Sleven TI"llY" Ke ll l~

Ru ~11

Wood ll rd . Jawn D ... ip.t Wood ll rd , Slephlinic Lynne Smith

Stone, Emm)' lI arpcr

\\'oodnlrr, ChIKl I!.d ... anl

Stra .. brldRc, Audrey L. Oswalt

Wright , Mickey !trpn

YIIII«y. I'cT1"} Michael

Rk hnrd.'IOn, Malhew llemRrd

St rllwbrldjtt. Ronald !Iowan! Jr. St rlcklMnd. Roben William Jr. SLlIII~'III , Ullnon M~con Jr,

R khltr. I)~l1 n R ~c hell c

Sy l ...'.~t t.r,

ZMrlll ur, Greaory Mllnln

RuilCrt.'iOl1 , l..4Cy Shme

'lMlllc, Jody LYlln !l ra~ hl'.r

l( o)'

Roderic k II

Yarhol'Qu lC h, Mllrtin Il renl \'ClIl'Qut, JaSOI1 Wll111r 'l~I "ler,

Jennifer I'rMCCI

In

Family

""'Y I'hwlHth f)",,/. /2000) aNI N""""n /),,1'11, I. (191-'1 w.1",irt~~ "nil filth,.

Mllllirn l,Jnn /Htlt"" {2QOO~ "'~I"/tl 8. IAri/N;tf {1991 1 and Ikln"y l~dJuItf

Kfllh";M Allln..".~. (2QOO) rr./"'/I/U

.'iunrIU'I", Junl/n (10001 ",od (10f)'!/ uJm/llu ""'/fill/,n

Inhnmhll" I~ /1,,/1,. /20001 mod lu,t,r luJr" P. /JuII,. /197J) m./",llIu Imil !",h,.

Oll/U. J~"ljn

lull. WIIIII'n~I('" /100()/ und J""," WhllllnJ//m( (1972) 1>Ii"'/I'a lind "lIhf-

nJ",III~~. """",~ and falM'

"' tH~nl (200/1) ~",I /,lm C/"'III'Y (IIXIOI 1~I",mr~ "",/ .i.ln

M llrh

c.

(l976/

Il1!d Ikl,'/d S. Utu. (1Wl.J) ~nil

hu,lJ<;nd

Mil,., Ma~'"' WlII"'nu /20001 aM Hry<MI": WlII"'m" Jr {19UI admill., and !ath,.

Ikl.'d,.: IA ..' (2000/ nnd 11)10 .. K IMnJlm /1f}lJ()) Iwmillu 1",11 bro/h~,.i,, 路 lm.

1/11

""n, "71smr (iw/ltrl, (2000laNl CIII " 11,011 (197.11

(l.lml/l" " ... / fillhn

Mfll'JO /J"/,, (2()(YIj and

"""'I'

/Jol.,(19()7/ mlmlll,. Imil !II/h.,

1/1//11/1/111\/11

NulM"jrl ,,: /lmlS/u'" (2000) <lml Nlllillmir/ 1/11"1./0/11 (/979)

M~l'tm

iIIlmll"" "",I/mit",

~d,,,III(~ ~mlf(J/hfr

IIm'd.v ('nrl Sail,' (Orl()l)", 2(00) mill Ca,llIoJN.rI Sal/,' (May 1000)

W. IM m.. /lrjllllin (10iJ()) ,,/UJ wml(l," II. /MIIMn. /I (/9801 mlmill" "lid fmlttr

allmilla ,,,,IIf"'h,,

I..tllro Ml)/Iu~路 HI'IIJ (2OOQ) lllld 11'1111",,, I),,,/Jt:y MOllo,,: J~ (19801 "'/"'/ll" m,d u"n/t

44

JANUAR'( 2001

Nus. M"rit AII~"Jltl" (2000) QN/ A/itrullill (197J)

Mutt Abbott (2000) ulld D,""j~ AblxJlI (1976) (Ulmilltt 1"'.;1 fnllttf

71,,,, M'lIdnl,'" Dri"k~rd (2000) ,mil l11u,lum I)rl,'urd. Jr. (1977) rWmjrru "nd 1"'11 ..

/Irian A.lwwkr \\.WII (WOOl 111111"", I. I~. (1995) ,,00 II1l1imn I. I.u. 11/ (1<168) ".I",IIIU. I",uitt,../"路/"",, llml/ulltr .... /"路/"w

J'ffrq G. PI."" (2000). Joitn C.S. Pltl!:' (1991) ,,"d DQttnld F. iJdm/llft. i)l'I)lh.r (Jlld flllh.,

PI.~

(19$11)

J. M/rlt ll,I .... lIrn. 1/1 (20001 0"'/ )os,plt M. loll,,,. lr. (1966) m/mjl/U

llllll/mh"

H~~ulll'(nl" twum,m !10(}()). IwdNr Ttrrl /lo.r,,"," 119'96~ RMdaJI K. /lOlrffI(J" (10M) ,,~d 1....',.,,1) JIUlN' A Ttd /lO:t,,"l~ /I!IOn

",Im/llu. III"" b'tII"" <INl /mlur

"hilllp And,..,.. i..urrJ. Jr. /!OOO) ",od I'hill/p And",,' 1~/td. s~

J Kmll"., tHII·eNn;' (2000) /JItd

(10(10)

(II/",/lIr' olld IINslHUtJ

J~

O",/s (191$)

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ince childhood, I have orten heard that Alabamlllllgs behind Other stlltes in protecting its citizens, Low litenu::y rates. inadequate health care, insufficient funding (or education. low household income, lind high tcclIlIge pregnancy mll~5 are juSt a few of the cmegones thnt come to mind. Much of this at ICll$t has been understandable, considering the economic dis路 parity between Alllbnma and SQllIe othcr statcs, Whi le our state hns rece ntly made areat strides in recru iting illdustry ond In other IIrca~. 111m afnlid thm we have fnllen to the bonolll of the list In protecting ~le righ ts of our conSUIllCI'!I. Many consumcrs in Alobllma are poor or illitemte. In fact. one in three did not even make it thTO'Jgh high school. These cith~e ns need protcction. One reason for our weak consumer protection is nOI the re$ult of economic disparity, Inste3d, it is the rellult of the wide'prelld usc. of mnndntoty arbitration proYisions agai nst cOn,umcl'!l. Accordina to the Trial Lawyers for Public Justice Foundation, who reviewed case law from Alabllmll and other Stliles. Alabama is the single mOSI pro.arbilratiorl state in the United SIl1\(:5.

Most agree Ihlllllrbitrotion is unfai r to consumers and Stn ~1! businesses. EYen lhe induslries th ut force urbitrntlon 011 con路 sunters agree It'$ unfai r to them when they hllye a claim againsl a gillnt corporlltion. Au tolllobile denlel'li in AlllbIlma UJ!C arbitratiQn IIgfCelllentS against consumers more thu.n (lny other group.

They repeatedly Stille Ulat arbitration 15 a fllir wily to resolve dispules that consumers have agai nst them, However, they fate totally aaainst arbilTlllion whcn it applies to their disputcs with au tomobile manufacturers. They are currently lobbying Congress to pass II bill 10 disallow all arbitTllt ion agreeme nts in comrneu between lIutomobilc dcalcn and manufacturers.

The umomobile dc:ilers gllY the following regurdi ng nrl>ittlltion!

S

"Ocalel1i should never be rorced to sign nWlIy lheir rights under Nlltte hlWS or be dc nicd IICCC$S to couns or SHlte nltematiye dispute resol ution forums to obtllin or keep fra nchiseCll." Jlllr Willingham. NAVA Clwirm(ltl "Legislation to emdicltte mandlltory binding nrblltDtion is absolulely our lOp priorit),. This unfai r practice cannot continue." 70111 G,"U,,~. Chi~1 O/Ml'Utilrg OJ!icu, NADA G(Jvt!nlllrtlrt Nt/a/ions

Everyone :w:ems to aaree that Drbitralion is unfair to the party with the lesser balgaining power.

Likewise. one of the Inrgesl credit card bunks in the country has been 10 arblltmion with its eonsumen 19,705 tlnres. Not surprisingly. the bank won 19,618 times. TIre consumers onl)' won 87 limcS, How can IlJlyOlle fil'8ue wi th n straight face thalarbitmtion is (Ilir to coosuillers or those wi th weak bargaining power?

The founders of our country thought Ihe right to trial by jury (the OWOSite of lIfbitnltion) was one of our mOil imponcul\ rights.

In 1774, John Adams $tllled: " Repre~nt atiye government lind trinl by jury nrc the hean and lung5 of liberty. Withoullhem, we have no other fortification agai nsl being riddcn like horses. necccd like sheep, worked like callie, and red Dnd clothed like swine lind hounds,"

In 1776, rcl're~elltntives of the 13 originld colonie8 stilled in the Declaration Independence Ihlll one of lhe reasons we were lellying the Englbh govemlllent wa.~!

or

'路I~or

deprivins us. in many cases, of the benefit! of Trial

by Jury."

Thornlls Jefferson, ~uthor or the De<:laration or Independence, Inter Slllled:

'1'hc right to trial by jury is morc impOMllnt tlllUl the righl to vOle." In 1789, Jnmes Madison stDled: ''Trial by jury in ciyil cases i搂 Illi esscntial to sccure the ll beny of the people as nny one of the pre-existent riahls of noturc."

The inherent unfairness of arbi trntion and Ihe inlpOnance of the right 10 lrial by jury muSI be considered when interpreting Coogrclls'. intent In passing the I:cderal Arbitration Act. Ilislorieally, our courts ~ rightly opJlOStd 10 arbittlltion. The Federal ArbitrO.tion Act (FAA) WWl intended \0 overconlC "Iongslanding judicial hostility to arbitration l1I"Oy1510n$ that had exisled ot English common I(lw (I!Id had been lldoptctl by Americlln court!; nnd to plnce llrbitrntion a8reements upoll the SII!\le footing with other cOnlmcts." HllQ(ie v. e & T IIl1'eSIIIICIIIS, lIre., 6 P. SUllp. 2d 1332. 1325 (M.D. Ala. 1998), QIIOliIl8, Mosts n, emrt Melli, lIosp. 1\ M ucury COlt.Jt. Corp .. 460 U.S. I 11\ 24, 103 S. Ct. 9'27 ( 1983). A cuntruel that contains WI agm:mcnl lO arbilrale disputcs ftills within the Pedcral Arbitrution Act "if it invulvcs interstate commerce." Alliet/,8ruce Temrillix COfllptJllies, Inc. I!. Dobson.

513 U,S, 265. 115 S.O . 834 ( 1 99~). The Fcdcml ArbitnlciOfi Act. codified 11\ 9 U,S,C, 11. ~t seq .. provides the following:

"II 21 A wrillen proyislon in My nmritime ImnSilction or ~ COIllT!\Ct evidencing a Im/ISI/Clioll i/rvo/l,jllll C(}'rlllrtlrce to scule by IIrhilrnlion 1'1 controveTily therellfler arising out of ~ue h contract or trnnsactiorl. or the refuslillo pcrforlll \he whole or lilly plln thereof. or an IIgrccmcnt III wri ting to submit to nrbi tmtion an existing controversy arising OUt of such fI. contmct, ttllnsaction. or refusal. shall be valid.

1111

II \/1\\/\

/ tili/H

49

irrevocable, and enforteable, sm', uf}{J/r J'ud , grounds IIJ" exisr //I IlIw or It, r.qullY for rhe feVOC(IIiOll of (wy COil' IraCI." (emphasis addef/.)

A review of tile legislative history of the Act demonstl'tltcs that Congress enactcd the Pedeml Arbitration Act in 1925 to IIlIow businesscs to resolve Ihei rconl rl~cnwl disputes with tJlpe· riellced dccision milkers in e~pedhed cost-effective proceedings.

II was n result of the American Bar Associmion's efforts to obtain Co ngres~ionlllllUthorillltion for feder~l court.!! to enforce arbi\nuion agreements in mnritime contruct~ and illlerstnte eomInertial contracli. ju;,,1 flellrin8s OIl S. 1005 lIlill R. 646 before the sub-eomminee.!! of the Judichlry Commiuee. 68 COlig. 1st Seu. 34 (1924). The legislative record makes it clear thut the supporters of the FAA, including the Chfullber of Commerte, the American Bnr Associlllion and Ihe American Ballkers Associlltion, exp!eted the FAA to hlwe nnlT(lW Il pplicntion to commercilll mlsincss rcilltionships. II wa~ Con grcss"~ intent ILl the time ofenilcting the FAA thllt it would npply to ngreemellts between businesses to resolve contrlletunl dispUICH. Purtieulurly, when pressed by Scnmol'S, t/te Americnn Bnr Associntion repre5etHntive who proposed Ihe legisliltiOIl pillinly stilled thut the primary end of the Act was 10 deal with disputes "between ruerehHnts Olle with another, o(lying :lnd selling goods," No ont envi$ioned thllt Ihe Act would be IIpplied to consumer contmcts.

I~or eXlLlll]Jle, a colloquy belween SelHlIOr Walsh or Montana nnd Mr. W. 1·1. H. Pialt, the chnirillon of the COllllllillee of Commerce, 'l'mde nnd Commercial Lnw of the Americun Bar Associillion, who proposed Ihe legisilltion, indieutcd Ihm Ihe prolXlnelllS of the FAA did not Intend for il to IIpply 10 '·tllke It or leave it" type contruets that were not rellily entered voluntarily. W:tlsh Md Plall Slated the rollowing: "Senlllor WALS Ii of MOnl!mo. 'rhi Ahll.~ occurred tQ me. I see no reason III all- I see none now; therc muy be some reasolt but I see no rellson now-why, wilen two men voluntarily agree to slIbmit their controversy to IIrbitmtion, Ihey should not be compelled to have it decided tlml wuy.

"Mr. PlAIT. Yes, sir.

"Sellntor WALSH of MOIlT:llla. 111e lrollble aooll\ the mailer is thUlII grcUl mnny of the.'iC eonlrnets thut arc entered inlO are really /101 I'QlrmUtrily !Jic/I!r;"8s at 1/1/. l uke nn insur. i1nee policy; there is 1I blonk in it. You enn /(/k~ '''(1/ or )'011 call lel/I'e ii, 111e ngent hilS no power lit all to decide it.

Either you call mllke Ihut conlnlet Or you cnn notmuke nny contrnct. It is Ihe same with 3 good Ulliny contmcts of employment, t\ Imlll snys(:) 'These nre our lemlS, All right, tllke it or leave il: Well, there is nothing for the nHIII 10 do except to siSn it; and Iitell lie SUfI'!!II(/US his ri8/11 10 have Iris case lried b)' Ihe CClllrl, and l!(Is /ol/lwe Illr/e(1 b/ifore (I

...

Irlbunol

;11

which

Ite Iuu /In

C(1"fifJf!,,~'e /II ti ll.

··Mr. Pioll. Thnt would be Ihe case in thaI kind of a case, I think: but it is IIOllhl': ;IIlellliOll 01 litis billlQ 1;01'(,r /IISIIr-

...

a ll c~ ca,~es,

"Senlltor WALS H of Montllml. And thenlhey h;lVe the regulnr bill of luding contract. hut they have II further provisiOn thilt ony controveTNy llri~i ns under the contrac t

50

JANUARY 2001

shall be submilled to arbitration; lind the fellow soys [:( 'Well, I hnven'tullY confidence in it. If I hllve II controversy(,!1 would like to have it tried befure!l court, where I feel' can get justice: ··Mr. PIATT, Speaking for

my~elf.

personally. I would

s~y

11'I'0,,/d /lui fill'or lilly kind of legis/tllion Ihall'l'lIIlld permi/lhelorC;;/iS fuji II /IIim 10 sigll t/tat kind ojl/ cOII/mc/.

1 ,·011 J'ee where 11101 COl/ill be, righillolll

"Senutor WALSH of Montunu. You ei/II .~l!e wltere they /101 really l'Oll/lIIal)' CO/llrociS. ill ti .rlriCI .mlst!.

II1l1

"Mr. PIAn '. I think IlulI O" ShIIO be IlfT)IIISted agaill$l, becfwse it ;l· 11t~ pr;/ItflfY elltl of litis (;Oll/I'(/CI/II(I/ il is (/ eOlilrocl betll'l';ell 1IIf!rr:IUIIIIS Olle willt ollOlher, vllyiltS Imd

se/lillg 800t/s. The shipper is nellrly under a neceSSity.

"Sellllior WALS H of MOllwlla, Yes," Stlla tIIlll COlll melS lu Sell ill /nlerS/(II~ amlPorers" Commdrce, (filii rei/eml Commercial Arbitralioll. Utl/r;lIg S.

4213 alit/ 42/4 bejorr: (I Sllbr;()mmille6 vf flit: CVII/millec VII ti, e judlcl(IfY, 67th Cong., 4th Scss. 9-10 ( 1923) (emphllsis lidded).

AI/Slllr Nomes, /IIC.. d/b/a Besl Value M obile Nomes, Ct (1/. 1\ Rex It'blers, 711 So.2d 924 (A I~ . 1997), (Cook CQncun'ing speci~ll y), Now. couns hnve unleashed the FAA from lts ori gi nally intended purpose,~ IIl1d rollli nely upply it to conSllmer tmnsaetiOM. where consumeflltypically, mther than negoti!Lting eOIltrllCluultcrms, occepi conirucis including arbitrntion provisions OIl B tllke It or leave it b,lsis. ConsumerS generully nrc fur less knowledgeable than blinkers or businessrnelillooutthe consequences of the ngrecmcnls, When delermining whether an Mbltrlillorl flgreerllent or provision is enforcellble, the guiding principle declared by the Uniled St!Lle~ Supreme Court is Ih:1I orbilf!ltion is solely a matter of eontrnct. and II pnrty cannot be compelled to nrbitrate any clnims thnt he or she hus not agrced to submit 10 Irbilt:llion. AT &: 1'Tecimu/os;es. /11/: . Y. CO/lllllllllieU/;ml.f Work~r.f of America, 475 U,S. 643, 648, 106 S.C\. 1415 ( 1986). As with nny other Contrilet, the purtil!l!' intcntiOns control. The U.S. Supreme Court and Ihe Federal Arbitration Act itself have mllde it cleur thilt sWle I;~w governin g the enforceability of COnlrnCI8 genernlly p l ~ys n ro le ill the arbitfnt iOn COntext. Forc,'(ntllp l ~, erich Stalc's IlIw regardins enforceabili lY, e.g., nssenl, eomraet forrllntion and unconsciollilbility, controls when determining the validilY of 1111 urbitl1llion IIgrcement.

Whether you ngree with Ihe extension of the Fedeml Arbilrntioll Act tu the eonsuiller Ilreo or not, every(lIIe mu.~t agree Ilt Ql th!.~ is a fcdcrnl act lhm should be upplied evenly throughout the country, Certllinly, Congress never intended thlll conSlIlllCTN in Alabama would be forte<! 10 si~e UI) their right to trial by jut')' lind be compelled 10 arbilrnte disputcs thllt citizens of other stmes such ~s Clllifornin, F"lOIidn, TClIM or West Virginia would 1101 be compelled to IIrbitr:lle under Ihe slime eircurtlstunces. Rcscllrch shows thot the gencrnl lnw regnrding Ihe enforce;lbllilY of con· Intets to be upplied under the Act doesn·t difTer markedly rrom stute to state, However, Ihe CUITCnt Alnlmmn Suprcme Coort I\ll.~ been ~e~y willing to read ~tilte L"Qntruetlnw nurrowiy nnd ~trip IIway its proteclions, in ordcr to compel arbitrlltionanti deprive eQnSUlllers of thei r righ t 10 jut)' trilll , Olher slate CoorlS Ilnd federIII courts have been much less willing to do tltis.

1238, 1240 (D. Ncb. 1976): Jol", Tlml/olt &: Co. v. M&N "'tal Co .. 396 F. Supp, 1239 (RD.N,Y.) 1975); J&'C /))tittg, IltC, v, Dmkoll, Iltc.. 93 Civ, 4283.1994 U,S, Disl. LEX IS 1:5 194 al "6, "8 (S.D,N.Y, 1994): lRMarco C"lI1onria "-"bries, fllC, 1\ Nygard ht/wIII/;mwl, No. 90 Civ. 046 1. 1990 U.S, Disl, LEXIS 3842 al "7 (S.D,N, Y. 1990); Windsor M ills, IIIC, v, Collills &: l/OIllf!S. file" tUblIl IJts/ \4llut Mt1bi/t I l omts, II/ til. 1\ Rex Alkm(1II Corp" 2:1 Cal. App, 3d 987, 99:5. Cal. Rptr. 347, 352 \~lfllrs, 7 11 So.2d 924 (Ala, 1997). Even toough it has often ( 1972) : Mtllllr 01 MarlNte IlI(lus. Corp. v. Cot/wc Tafllu, IIIC., staled this principle, its recent decisions do nol stem 10 follow it.

408 N,Y.S. 2d 410. 45 N, y, 2d 32:5, 380 N.B, 2d 239 ( 1978); 11le following COntpmU how the AlnbaJllII Supreme Coun and Frtlllees lIoslery M ills, Inc, I ', Hurlills /oll IlIdus" Ille., 204 S.E. OIher m ll1S thro\JillOUl lhe counlry llnve ruled in \Vbilrntion cases 2d 834, 842 (N,C, 1974); JUSI Hom, hte, v. S/eill 11011 &. Co.. :59 involvin8 similar facts. First. il should be noted Ihlll from JIInunry D. & C, 2d 407 (PD. 0 , & C, 1971): S/olllty.8os/ilCh, Inc. 1\ 1999 10 September 2000 alone, the Alabama Supreme Coun has Regllllllrtl/"\'t! £IIVlro,11II1I1II1I1 Eql/ipment Co" 697 A,2d 323, 329 reviewed 67 el\SC.~ Involvins parties bcinS requimlto 511bmillo (It!, 1997): lJol/illgbrook P(lfk Dlstric/ v. NlI/loM/·8 tll FrYlllklill arbitrntion agllinstlhclr will. They compelled arbitrDtion In 47 of Ins, Co. ol lllillois. 420 N,E,2d 74 1. 744 (III , C , App. 1981): these eao;cs (70 percent) IlJld denied wbilrnlioo in 20 of these ea.'Ie$ 80s/o/l Tet/cherl Uni0I1I.ocal66 1\ School Comm l:ree Of (30 percent). 3 y contrusl, during Ihe $lime lime period, lhe Florida Boslt)/!, 363 N,E.2d 492, 493 (Mm, Sup, Jud, Q , 1977), SlI prcme Coon reviewed tWO such CIlSeS find rtfused 10 compel Yet, in 1999, lhe A1ablllnn Supreme Court arbitr8tJon In both, TIle Tennessee SUJ)f'trne Cotll1 held lhnt nn Ilrbill'tllion e lnu~ wa.~ es~ntinlly rtviewed one suc h Cllse lind refused to cont· iml1lllterinl In thm it could be udded 10 pel llroltmllon in Ihlll case, '1IC lUI lIg.rccmenl llncr i llVrl.~ signed, Mississippi Sllpreme COLlrt cven liner II plU1y WIIS irrevoc:arev iewed no such Cllses, lind Ihe bly bound 10 Ihe COtllr'ilCl and Oeorgin Supremc Court unable 10 8et (lUI of lhe deal. reviewed no Buch ~a...elI , In McDougle v, (Coorsin nnd Mi.~,issippi SIII't: rm:Ii, 738 So,2d 806 ellCh revicwed one urbi(Ala, 1999), the tmtion case bUI it did not Silveme Jls' tlpim~ rose dettJ with whether a part)' 001 of Ihe purchll.\e of was required to go 10 land. AI closinS. lhey arbitration,) were is5ued a As can be seen rrom "Commitment For Tille nbove, arbitratJon Is bein8 Insurance" which indicated reviewed and rcquirro in Ihal l policy would be issued 10 Alabama mu.ch more IllIIn in Thomps Jeffe rson the m loter, There WIU no mention of ncighbori nS Slates, lin ngrcement 10 arbhmte, The policy, which was delivered week1llmer, after all the money had been paid, after Ihe deed was signed and delivered tuld flft er Ihe Silvemells could nOt back oul of lhe policy, contained nn arbitrnlion agreeme nl.11le Alabama Supreme Court compelled IIrbitrulion nnd. in t5!ICnce, held Ihlll pn ttbilnlion provision was nOt a material provision thnl needcd to be in con· Icmpllllion of Ihe partie5 ollhe time Ihe delll WIIS completed, The Mllny arbitrnlion cases de ~1 essc::nliully wit h the issue or MclJouSl1l court merely slAled IhlHlhe lenns of lite pollc)' hlld whelher or not un \lfbitrnllon clbuse I ~ 0 mo terilll provision or lin heen incorporntl-d by reference In the "Commitmenl For Title ugrcenletll. This IJ "II imllOrtollt question becnusc fll A ledolle~Ill S Insura nce" even though lhe Silvemel1s were lIlIaW\lTt of Ihe C()n· hAve to be Agreed ul)On ~ 1>eclf1C \l1Jy in a commct lind 8cncrllll), lent of lhe IICIU hl policy, 111e court relied on Bell Chustll/(UI conllOI be ohered ILnilmeroll)" Before 1999, vi rtunll y evcry court Rt(/Ily Co, 1\ 'ntOmflson. 216 Aln, 9 ( 1927), for Ihe proposilion in Ihe country Ih:1I hnd considered Ihe queslion had dclcnnincd thaI documentS could be lncorponlled by referen~e, However, U thllt nrbitmtion clauses nre mnlerinltcrms to II contract. Stt, Justice Johnstone polnlcd OUI in his dissent, the fllCl Ihlll the e,g" Olskllt~, J.P. S/el'lIns It Co" 836 F.2d 47 (1 st Cir, 1987); tenlls of thc polie)' il$tlf were incorpornled by reference in lhe SUfHlk &. SOII.'J Mig, Co. v, Ptrvtd Imills" fm:" 593 F.ld 13:5 (4th initi nl "CQllllllitmcn t r'Ol" Tille Insunnce" should hive been of no Cir. 1979); Cocuwllmluslriu, lite, v. AII/olltalie Sre(lm Prodl/CIS consequence, becausc incorpomlioo by reference is limited 10 Corp., 6S4 r,2l1 ns (:5lh Cir, 198 1): N&: O "'ashions, fltc. v. lerms lhul arc "rea'lOOablc lind in cOfItelllpllltion oflhe pattieg 10 OW Imlus" lite" :548 P,2d 722. 727 (8th Cir. 1977): Uniw!rS(l1 Ihe conlnct," I1vcn the ChusmUJII Rtalty ease had limited the Plumbing mlll l'iping Supply, Ille. 1\ Johll C. GrimlHrg Co" 596 doctrine of incorporotion by reference 10 those IIgrtemems lhut p, SUI)I). 1383, 138:5 (W,D. Pa. 1984); f"air[itld.Noblf! Corp, v, were contemplated b)' lhe purlies ulthc time Ihe contract was 1'~SSIlt(JII -Gulm(1II Co.. 475 p, Supp, 899, 903 (S.D.N,Y, 1979); entered, TIle re<:ord was clear thaI the Silvemells had no idea DUIJI(1It Co rp, v, W,R, /)(II'is Hosiery Mills. /rIC,. 442 F. Supp, 86 thaI the policy WQUld evenluplly contnin lin IIrbilrahon provision.

(S.D.N.Y, 1977); Vtl/lltmrl/mlus, v. Mitsui &: Co., 4 19 F. Supp.

TIle SilvemellJ, as consumers. were worst off thi n p rommerEven Ihe Ahlbama Supremc Court has admi11ed scveraltimes in severnl opinions thnt. bcenuse lUI arbi tration agreement is a waiver of a party's righl under the Seve nIh Amendment to Ihe Uniled Stllles Con~litutiOfl IQ a trial by jury. 5ueh II wlliver must be made: kl1QWlnllly. willingly lind volunhtrily. e.g" AIIS/(Ir

"The right to trial by jury is more important tnan the right to vote."

A. Is an Arbitration Provision Material So That It Must Be Specifically Agreed Upon?

1II1111l111l1/1111lH

.,

clal businessman under similar circllnlSHl.nces because the law protectl buslne.~!iIIlen from such additional tenns, ru example, in II oontrSCt betwecn men::hants, a I~tcr document received and nOt objected to mny modify a contmct JIIr/ess it adds It "1\16tcrial teml." If the IIddit ionnJ tcnl1 is a "mlllcrial" one, it merely becomes It proposal. If AlnblIIno IllW actually considcl'!llln arbi· tmtion provision to be mlllerlal, then an arbitnuion CIRUSC fldded after the deal is completed is unenforceable betwecn mcn::hanlS, Yet. without &aying so, the M cDougle eoun essentinlly held such lin additional provision is immaterial when ills added to a con~u mer agreement. While coun. of OIller StAtes unllnimously hold thn t lln arbitrntion clnuse i5 II mate· rl lll tenn, Alllbfimll eouns have nllcd os If it is not.

B. Are Mail-Outs or Bill Stuffers an Acceptable Means of Notification of Addition of an Arbitration Provision?

~Iution could not be rellSOnnbly construed D.~ explicitly allow. ina insenion of an arbitnltion clause. Long v. Filleft)' "~ter Systems, IIIC., 2000 WL 989914 (N,D, Cal, May 26. 2000).

Similnrly. the Dislrict CO\lI1 or Appeilis for the Pin;1 [)i~lrict of Florldn voided lin arbitmlion provision thut hud been Insened by Powcnel ln bills thut were mailcdtoitscustomers. P{)\t/ttrfel. lm:. ~. Bexley. 743 So.2J $70 (Aa. App. I Dist. 1999~ l'owentl hfld included I pamphletl'tlUlting llIany of the lenns DIId conditions of the original service Conlmet, but had also included II new ptOvision re illting to the resolution of disputcs, 1lIe pamphlet funher Slllled thul by continued use of Powertel Service following receipt of notice of 8~ch chan gc-~ or modifi cntions. the cuStomer wa~ deemed to h(l ~e f1cccplcd und agreed 10 the change!, The Florida Coun held thai the provision was unconscionable because It Wll.! lin adhesion contl1lt"t thai not only provided for a method of dispute resolution but also dictated II one-sided wlliver of un imponant substuntive right. Most important, Ihe method Powenel employed left many customers unaware of the new ltfbitrulion clause. 'l1le Floridll COlIn recognized problems with such changes by bill stuffcl1, It quoted the following from the trial coun with upprovnl :

"Trial by jury in civil cases is as essential to secure the liberty of the people as any one afthe pre-existent rights df nature,"

Likewise, the Alabama Supreme Coun hus been nJ:)re willing th:m other courts to allow bnnb find othu companies to IIdd arbitnnlon TIlt mere filing of Ih~ndins cllluscs by allowing cOlllpllllies 10 the P.11111)hlet in the nlail routineinsen them In a elmnge-of.tenll ly with tile bill in I very- pamnotice in a billing sllltement. Other phlet similar 10 thm which you courtS have natl y rejected the validrc:c:eived in the fiflil place, I ity or Ihe pmctice, '11!e California don', think this is the type of Court of Appellls refused to enforce notice of a chango, plll1;cularly II the Ilrbi lnnlon l)I'()vision nnd dcnied cllllnge of th is nature, tlmt thc IIrbitrmion in Bailie ~ Brlllk of company could e:1{pcct tile con· AIIUlrictl, 79 Cal. Rplr. 2<1, 273 sumer to know about (Cal. 1998), The defcndllnt blink IIttelllpted 10 add In arbilmtion These things are SO routine agreement to ilS relationship with throwing pamphlets in Ihe mllil - Jorncs Madiwn its eUSIOmeTli by insening it in a with billings and things of thot billing Sllittrnent pun;mmt lo a nILlure Ihat, Lord , "II bct90 "chrmge-of.tenlls· provision in il5 percent JUSt throw them OUI and c~dlt card COnll'ilClS, The chllnge. don't cven rend them. Because il becomes 50 rou tine in of·ternlS provision provided Ihlll the: bank could chnnge any loday's maili ng hllbiu. ''\enn, coodilioo, aervlce or feature" of the IICCOUIlI. In reliance on that clause, the bank attempted to add n ocw tenn requ iring Both California und Florida protceted their citi1.en! from "change.in'lenns" arbitration by mail. Yet, Alllbllm3 couns con· Inandatory arbitralion of diSputes bttwccn cardholders and the bank. The Calif()f1lill COIrn of Apl>cals refused 10 enforee the done adding an ltfbitnllion agreement by "mailow" or Ihrough II "chllnge.ln-,ernl" provision lind a]lpILrentiy hold thr.t such a pracurbitmtion clause. It found thm the: original oontnlCt, while bl'OlldIy worded. pcnllined only to IlIlItters integral to Ihe blmk-e:ustice is effcctive 10 meet Iho teSt of II knowing lind lOoiliing waivcr of n fundnlllenlaJ right. In the Albb.1mn case of So,.:hTrllJ/ Hmtk torner relatlonship Hnd did not address collmeral issues such tIS Jl method or forum for dispute ruolution. The blink could not odd n 1\ Williams. 2000 wL 1007064 (Ala. July 21, 2000), OILniels and Williams began their relationship wilh Sou,hTNst in 1981 and tenn by simply malling an inscn. The California SUpR:me Coon declined to review 41Id change lhe Ilatiit! decision. The same con· 1995 respectively by executing checking {lCcOtrnt "signnturc cards," 'The cards eontained change in terms clauses. whleh Stlllclusioo was recently reached by a federal District Coun in Culifomia. The court held thaI a chllnge-of-tenns provl~ion in an cd thllt ellCh customer "agreed to be ~ubjec'to the rules and reg· ullilion) aJ may now hereafter be adopted hy the blVlk," TIle cord agreement in a cmiit ellrd nppllCll1iol1 thm did not address dispute 5Z

JANUARY 1001

or

did nOt address dispute resolution. In 1997. SouthTrust added a parngraph to its regulmion. whkh provided that any controvel'!lY bctw«:n SouthTnisl and its customel'!l would be Kttled by binding arbitmtion under the FAA. In July 1998. D9nicl~ and Williams flied suit challenging South'J'nm procedures ror paying overdrufb, 11Ild SouthTruSI moved to compel nrbitmtion, The SOUlhTrusI court ~pheld Ihe added Ilrbitrmion provision. not bK:IIUse lhe conSUlncl'!l had agreed to the provision but because they "took no aclion thai could be considered inconsistent with an assent to the Ill'biu'Rtion provision."

Was Ihis an unequiYOClllngreement to arbitrate? No. Even thc court acknowledscs thllt it was. III best, impliCit assent. The Alubamn Supreme Court. in I footnote. ac knowledged the Clllifornia court's d«:ision in Jladillnnd just stated that it was not controlling. Further. it acknowledged the Florida decision in Powtlrltri lind Il~sc rted thOI it wu distinguishable. but did not address the iu ues raised by PfIM'rr/t:I. i.e" SoutbTrust's method of nouce or unconscionabili ty of the provision.

Importantly.lhe A I ~bmna Supreme Court strained \0 avoid the mosl logkai llnalogy to such 1111 nddhion of terms, an amend· IlIcnt in lin IIgreement between IllcrchnnU. The SOIllItTrus/ cOlin suited thm Onniel'l's lind Willinms'S relmionships with the bank did nol involve the snle of goods governed by § 7·2-207. The eourt ignored the focllhot much of Article 2 is merely the cornpilution of common law and common sense. Again, us in M C(Rmglt v. Silvtrllrll. the court eskntially confinned Ihllt while the IIddition of the arbitration clliuse is 0 moterilll lllteration to a eontnlct between men:hanlll and would have ~n invalid. sucb .. provision is nevenhele.§s valid when made purSUllnt to a change of tenllS provision in .. contn'ICt between a sophisticated banI:: and In entire clau of less sophisticated parlies. Simply put, Rorida I1nd California couns recogn i1,c the inadequacies of adding rnl1ndtltOl'y arbitration clauses in such II mllnner. but All\b.ma docs not.

C. Are Arbitration Provisions Required in Consumer Loan Transactions Invalid?

Courts In other Stlltes have held thtlt lnoonspicuous arbitration agreemell1s in consumer loan docurncnl5 are unenforteable given the nature of the transllctions lind the knowledge And relAtive blll'J!,lIinina power of the partics. In " ltcit/OrtJ v. (}(Ikwood Mobilt HQlllt!s. 1999 U.S. l)i8t. l"cxis 20596 (W.O. VII. 1999), the U.S. District Court for the Western I)istrict of Virginia found thntthere wtU no vnlid contrllCt for arbitration where n custOmer testified thnt there WIIS no discussion llbaut lhe arbitru· tion agreement or the arbitratlon process. In fact. Pitchford did not k.now what arbitration was and hRd no recollection of the word being mentioned during the transaction. The purchase of the mobile horne by Pitchford. wbo hoo nn Ilth.grade educa· tion. was hcr fil'!lt m~or purthllsc. She had been re«l\Ily divorced nnd needed housing fot hel'!lClf and he.r four dnughlel'!l.

She met wilh a sales 118cnl and spent between 20 and 30 minutes exccuting the conlmctnnd a number of other documents thnl were plllCed before her. whic h 5he "jUSt signed."

Similurly. in Williams" Attlla "'nmlct COlllptlllY. d/b/a I1T Fintmcia/ Sr",ictll. 700 N.B. 2d 859 (Ohio 1998), the Ohio Supreme Coun struck down an Ilrbitralion provIsion found in n

home improvement finnncing agreemenl. A oontroctor who wanted 10 make rcpail'!l lo her home had npproached Willillm~. a 66-year·old widow. He took he r to rIT Financial Services. where she signed printed 10lln documents thllt included provi. sions (or in§uraocc chlll'J!,es. high originatlon fees and interest charges and lin urbitrotion proviJion. When the contractor failed to complete tile work. Williams sued and m attempted to enforce tile arbitrotion agreement. The Supreme Court of Ohio. in refusing to enrorce the. provision. staled: The Ilial COUrt was entitled initially to view the arlritnnion clause at Issue with some skepticism. In !he situation presented here. the ru1)itrlltion clause, contllined in I cOllsumer CRdit agreement with some IISpccU of IIlloohesion cootmCt. necess:vily eng(nders more reservation than an arbitration clause in a different selling. such as in a coll«:live bmgllining agreement. a commercinl COntract betwocn two busines!e5, or a brokcrn.ge II.gn:cmcnt. Soc. genemlly. I Domke on Commercial Arbitmtioo (Rcv.Ed.l997) 17-18. Section 5.09

...

pamllels between the "nllt:fSO,J case and tllC CIISCi before us nre striking. Pallttr$OIJ inVolved 8 11111 11 consumer 11)1111, made by ITf on preprinted fonn~ slmiJlU' to the foml Bigned

by Williums. with II. virtunlly identically worded Il:bitrntioo clause. Consequently. ba.'iCd on the specific cireumstances prt$Cnt hen:. we dctenni nc thut the triol court 'S decision lk:nying m'S motion to " 867 compcl llrbitration wlL! tar]tlIInotJnt to a finding thatlhe I\gTCCItlCIlt to amiume WIlS invalid, and further thai the arbitration provision was uncon· scionable. We dclenlline thlllllny presumption in favor of arbitration was overcomc based on the entire recad of this case. FurthcmlOre. we believe \hntthe presumption in raVQf of arbitrution should be subslllntinlly wenker in a case such as this. when there M: 5U'OftI indicatioos that the contmcl at issue is Dtl adhc.~ioo cootnlcl. and the urbi\J'lllioo dause illiClf IIppean to be adhesive In IUltUrt. In thi) situnuoo. there aris· es coosidcroble doubt thnt nny U'UC agreement ever existed to submit disl)\IICS to Ilrbitrotion. " IC

83 Ohio St.3d 464. ·472, 700 N.E.2d 859. ·1166. The Williams court offinned lin award of $ 15.000 in compensatory dllmage~

hnd $ 1.5 million in punitive damages.

Though olher coulU hllve clenrly recognized the potential for libuse when unsophisticated people delll with sophlsticllted institutions. Alaball1 n courts hllve zealously Cllforced arbitratlon pro-

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visions IUld com?ClIed lltbitralion IIgainsl ~ople who have diffi· cully reading. Tbc Alabama SUpl"Cme Court re<!e:ntly implied that two elderly people who (lever finisked high IChool. and who had difficulty rcadinlltnd poor eyesight. should have asked for assis· tance during their contract ncgOliation. £.x I'lme NlIpicr. 723 So.2d 49 (Ala. 1998). The court stnce<! thaI Ihey had not carried their burden to prove uncon'iCionnbility. A simple eXlensioo of Nflllier would require pcople to ho ... e: documcnts relati ng to their tl'llMllCllons re... iewed by a tllwyer before ~ignin g them.

Likewise, our court held in AIIII/I/OII Utlcoll, Mere,.". l)(xlse I~ COllll er, 727 So.2d 898 (Ala. 1998) thlll II Korean-born plainlifT who did 1I0t rully understand the English language wa~ Te<luircd to go to prbitr~lion . The court o...erturned the trial coun, which had concluded Ihat her inability to understand Ihe: English Ilinguage had caused the paniel not 10 reach I meetin; of the minds as to the agrc:c:menl 10 arbitrate, It seems our mosl vulneruble citizen!. are being forced to gi ...e up lheir COIiSliIU' tional right to a trial by jury.

D. Are One-Way Arbitration Provisions that Lack Mutuality of Remedy Valid·?

Many arbitrnt ion agreclTlCnls allow the company 10 take lhe consumer 10 court 10 collC:C:1 a debt but do not allow the consumer to lake the company to court undcr any circumstances.

Recently, in Aomolfl l\ Uni/t:d COlllpatl;t:J I~nding Corp .. 5 11 S.C. 2d 854 (W. Va. 1998), the West Virginill court chnractc ri ~d a situation as grossly ullC<IUal in which l!. IlIllionnl corporate lender was on one side and elderl y unsophisticated eustolnc~ were on the other. It cltlled Ihe situation a contraCt btlWi:en 1\ "l1Ibbit and a fox" whe re consumers nre unaware of the illlplica. ti on.~ or whpt they art signing und do nOl unde rstand thut they arc bllrgaining uwny mnny of the proteeti01l8 secured for them wilh difficuhy al comlnon law. The Amottl court held tlmt where thcre is a back of mutuality because the Icndcr maintains the right of jadiclal or non-judicinl relief to enroree the agree, ment, arbilralion could nO! be enforced against the bolTQwer.

L.ikewise. in SAow/tleTlIt:M oney Cht:c:1c COS/II!r, inc. v.

Williallls, 27 S. W,3rd 36 1 (Ark. 2000) the Supreme Coun of Arkansas hcld that an arbitration elallsc was unenforceable for lack of rnutulility beelHlsc nil :arhitrnlion agreement "should nOI be u ~ed M a shield a8ain~t litigation by one party while simultaneously reser ... ing solely to itllelf the sword of n courl action."

This is not the ca~e in AlabanlR. In £.t p(trlt. /'lIrk4r, 730 So.2d 168 (Ala. 1999). the Aillhamil SUI)rcme Coun enforced an arbitrntion agreemcnt thut lac ked mutunlity ~I al ina that Inc.k of mutuality is mertly one foetor 10 consider. See also Ex Ptlrle MeN(mghtoll, 72& So.2d ~92 (Ala. 1998).

E. Are Arbitration Provisions in Warranties Provided Pursuant to the Magnuson-Moss Act Enforceable?

For se...enll yeuno, couns ullanimo usly held thnt claims nnder the Magnuson-Moss Act for bn:ach of nn elIPrc~s wamtn1y for such prodUCIS AS Inobile homes and automobiles could nol be 154

J .... NU .... RY 2001

forced into Il.rbitration. Wi/SOli v. MlI'trt<!lf lIomt:,. Inc.. 954 F. Supp. 1530, 1531·38 (M.D. Ala. 1997). aJf'd. 121 F.3d 40(lllh Cir. 1997): HlltNll! lI E&; T Itlw:l/mt!n/l, /tIC.. 6 FSupp. 2d 1322, 1332 (M.D, Ala. 1998): Boyd v. lIomlfs o/l.t!Nt,U!, 981 P. Supp.

1423. 144().41 (M .D. Ala. 1997); hI rr \.till !JIf/IT:lml, 19 S.w. 3d 484 (Tex. App. •• Corpus Christie 2000), In SOl/ltlllnl EnuR)' 1I0lllts v. /~e, 732 So.2d 994 ( 1999), e ... en the Alabmnll Supreme COLIn. in II 5-4 decision. rccogni1.ed thm MaglHlson.

Moss cillims cou ld not be forced into biuding Ir rbitrmion.

Ne...enheless. in June or this ycar the coun o ...enurncd ils (lWn decision froillthe previous year in SOli/hUll 1:'11,"'8)' /IOIII,"S I~ Art!, 2000 WL 709500 (Ala, June 2. 2000), By the 5wing of jusl one vOlc, the court disregruxled it! own preccdeut und the preccdcnt of lhe enlire country and held that consumet1 maslll.rbitmte their Magnuson Moss wllmnty claims. 'I'hi~ clearly WRS nevnCoogreu's Inlent.

F. Is Fraud in the Inducement a

Defense to an Arbitration Provision?

Our supreme coun has held IHllllerous limes th~t fl'l\ud in the inducement of the eontrnCI is nOl a defense to IIrb,lrution.

AII/SoIIIII hlv. St!fl'ict!s, Illc. .... Hhrlla, 749 So.2d 409 (Ala, 1999) : Grt!cn Trt!t Fiflllflcia/ Corp. O/M(lbtlllln v. \VI/tllll/er, 749 So.2d 409 (Aha. 1999). The Supreme C"'lrt ofTcnnC55Ce IKJd the exact opposite in the case of Friw ll Cmlstruct;atl COlIIl'mry, ItIC. I'. O(l/U"bllrg, LL.C.. 9 S.W.3d 79 (Tenn. 1999 ). In that (lRSC one party complained it Wid fruudulently induecd into a conlrllCl . The OIher party staled these cluims were required to be arbitrated regnrdlc~ s of the alleged fl'lludulent inducement. '111e 1'cnncsi\Ce Suprcme Court Slated lhatthe fl'lludulent inducement cll1i1ns wcre not subjcct to prbitration and the ptlny could have hs day in court.

Conclusion Othcr cour1S around the eOl.lIllry seem to rtcogni1'c the potential rOt abuse in mandatory arbitnuion Cl!lUses forced on consumers lind ~mall businesses. Whclt there is evid~nce Ihm Ihe parties did not meaningflllly agree to them, as required by the United State! Suprcme Coun. or whcre the arbilnrtion scheme is unfair, other couns nre not cnforcing thcm. Olher couns nrc becoming prolectlve of individunl rights to en5ure that IIrbhrll· lion is 1101 abused, In Alabama, there is widespread use of IIrbitration IIgreemems. As stllted earlier, Alnhamll is '111e Arbitrulioo SlIl1e."

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The AllIbllmll Lllwysr asked our readers to contribute Hwar stories, Hhumorous tales and anecdotes about Alabama lawyers and judges, to be published in upcoming issues 01 the magazine. The lirst installment . appeared;n the September issue. Here is another! '\

II

Hallucinating7i' &d

month porlod Immodiatoly procadrng

A fow years ago I represontod an old· erly man who was hard 0/ hearing and

the hearing and hll also expressed on

who asked rna to fila 0 potltion to invol·

opinion that he was dangerous to be

untorilV comrni: his grandson to the

around.

On tross examination, opposrng

insone asylum. OUlUlIIthe course 01 tho

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healing, I calle:! 0 psychologist to the

counsel 8skod the old man if he had

stand who tesblred that after testul!!

ever seen any evrdeoce of the grandson

ond intarvrewlng the groOOson ood eval·

halhxin8ting Suite the old man was

uatlng his men:..1 condltlOf'l, he found

hard of heating, he asked tha III000nll'1

the graOOsoo to be mentally HI 000 that

to repeat the QUflstlOfl Attellllanng

confinement was the least restrictive altornatlVe to treating his

thll question the second time, he respoodod as tollows:

mentel coodltlon In a routine mannel he also testified that the

"Yes sir, I have seen him out behind the house running a'/oose naked many times."

•

boy was ooarmg IIOlceS, wos hBlluclnaling ood was a dallgllf to himsellllnd others, I then called the grand/ather to tho stand and he tastified about tho bil(llre thulIS that he had soon his Olondson do over the six·

- Michael Onderdonk. Chatom

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CLE Reminder ALL Continuing legal Education credits must have been earned bV December 31, 2000. All ClE transcripts must be received by January 31, 2001.

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55

Barking Up Wrong Branch

58

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In \/1/111/11 I

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Introduction Lost in Ihe hue Rnd cry of Ihe ·'ballie over Itrbitrlllion·'-replete with chllf8es of businesses "steuling" the ri ght to trinl by jury and "Republicans on the Aillbilmil Supreme Coun" denying FlreSlone victims their day in court- is the ftlC t that arbltrntloo is predominantly a ctemure or fcdcrnl, nOl stllte, law. 1llc tw in pililltS upon which any legal analysis concerning the enforceability of nn nrbitrntion agree!llent rnust begin Ire tho Federnl Arbltrntlon Act (FAA). 9 U.S.C. f I e l. seq .• nnd Allied-8ruce Tem/ilra Cos. v.

Dobsoll, 513 U.S. 265 ( 199.5). Any reasonable teviewer of these law. mu~t conclude Ihlll opponents of consumer arbi tratiOn should approach Congress, the: originlll author of the FAA, with their com· plnints. FlJr if. liS IMontgomery n110nley} 'lorn Methvin susscsts, Congress ncver intended the I~A to ellend into the arell of Consumer eonttucts 115 wn.s mandated by the: United Slmcs Supreme Court in Temri"i.r, llnd v!\lid policy concerns should be considered in detcnllining when lind how arbilrnlion cllI USCS legiti. mmely can be inserted Inlo consumer agreements. if at 211. shou ld not these corlCCnlS be addressed to Congress?

Instead, we have witnessed what 1ll'pelltS to be an expensive and cenainl y inflammatory campaign designed to preSSure stllte court judges-and particularl y me:mbers of tho Alll bmna Supremc Court- tO disregard cleM nnd unequivocal rederallaw ami U.S. Supreme Court prccedent nnd in an IICtivist mnnner maneuver around Ihe federal nuuldme of thc FAA through utiliuu ion of state contruct law. This effort was most clearly apparent in Ihe re,ent elections for the Alrrbamll Supreme Court. munifeSled in those infamous pl ~c(lrds proclaiming nrbitration II license to Stell!. Several weeks before the November electiOn the words " VOle Democratic" wete addcd to the$C placards, salgestin&impl icitly, if not ex plicitly. that all thnt wnS or should be involved in thh complex legal determi nlltion involvil1l federul statutory law,

','/1/)

U.S. Supreme Coun precedent and Alnbarnn Inw concerning contmct form:.lion. WItS a pany label.

Further lo~t in the politidzlH ion of these complcx. Icgal i5~ues nn: imp(lrtll nt eon8titutionnl principles Involving Ihe sepamtiOn of POWCrll and frttdorll of eontmet. The gist of the nnti-arbitmtion gt(MIP" lltIument Ilgainstarb itrntion illit bottom II policy arg ument centered on Ihe (nime!! of inscrting urbltrlliion clauses in standard form CQlI~tlrner 'I.IIreements, prescnted on n "tnke it or leave it'· basis. Ccrtainly, the5C lire legitimate p(llicy questions upon which renSOllllble pea. pie can disagree:. Thill being so.id, it should be troubl~me to those ndhcn:nt~ to the: Constitutionlll notion of scpilrlltion of IlOwers thaI some llppeUr 10 force II litigation soJutioll lo illegislillive nlundlde.

Moreover. one must consider, absent congressionalllCtion. Ihe damage that would be wrought to Alnbama', gerlel'lll law of contracts if, as Mr. Methvin sugSesl~, the Supreme Cwrt of Alabama uses every means available to cireum Venl otherwise Inwful l:ontrue L~ only to strike down the arbitrfLIion c lnu ~e cl)lllained in those contmcts. For. II.! wlll be shown. arbitrntion agreements. though disfnvored IIrld abhorred by lOme. IlrC favored

by Congress and no court nlay invalidate arbitration on any "special"' or "disfavored·· basis. Rather. gc nenll commel law principle~ mnst bcnpplied C<luall y 10 lIrbitrijtion agreeme nts as IIny other eontrOCt provi5ions. Thus, in tenns of Alabamll', genernllllw of contracts, the court must "throw the baby OIIt with the bath water," so 10 spe/lk, in order 10 invalidate arbitration agreementS,

Arbitration Is Purely 8 Matter of Contract Absent nn agreemenl, IItbilrnlion is not mllndllted by law. ThUs. 00 party ean force another party 10 agree 10 lIrbilrnle. llurties choose by COOlriCt to give up their righl 10 ajury trial and 10 sellie lheir dispUles by arbitratiOIl. This rreedom to COli-

tract b enshrined in both lhe Uni ted Stales Constitution lind the Alabama COllslituliorl of 1901. U.S. emul. l1J1. I, f 10: COIISI. of AllI" 1901. 1Irt, I, f 22.

Indced, the U.S, Supreme Court hIlS consistently endorsed a COfllraetanl upproach to arbitrntion. ~~, ~.8., Doctor', A.mJCI.. I'IC I/. CasarollO, 517 U.S. 68 1 ( 1996): /I1tlSlrolmmro 1\ SIU!lIr.rnll/..enllltJllllul/on, bu:., 514 U.S. 52 (1995): Gl/lIIllr v. IlIIllrstlJ leljolmsoll L(II111 Corp.. 500 U.S. 20 ( 19( 1); AT&T Ttc/u., luc. 1'. CommlllriClllilJlls Workers of Amerlctl. 475 U.S, 643 ( 1986): See IIlso Slephen J. W~ Arb;lrtll;On tmd UIlCOf1sc/ollflblllry After Doctor '$ Allot/tilts. Ille. v. C(lS(lrollt), 3 I Wake Forest L. Rev. 1001 ( 1996) (''The COlitrnctual upproach rests on the principle th ut urbitrntiol1 law is a part of contrnel law lind court.t should trent urbitrnlion ngrecments, with few CJleeptlons, like they lreat other COntniCU"). Thus, when the Alabama Supreme Coun.pccifically enfOfCC!l1111 IIgreemem 10 lUbitrnte, it ;s nOl. III Mr. Methvin suggests, tllklng IIway the right to trial by jury; mther, it is npproprinte ly fol lowing well-sell led Supreme Coun precedent nnd honorina the constitulionni gUllrnntce of freedom of eonlml:!. Su Vollinfumiolion Scltlrets, Illc. V. Hoord o/Tlusltts. 489 U.S, 468 (1989) (holding Ihal "orbit11ltion under Ihe [FAA I illl matter of consent, 1I0t coercion, nnd pllnlcs arc gelleroily free to SlnlCIUre Iheir 1I1bitnilion ngreements lIS they see fit ").

When Cona;res5 en!\Cted lhe FAA it adopted a national policy to promote: the arbitration of disputes by encouraging and enforeing arbit11ltion asrc.cments.

11w U.S. Supreme Coun hIlS repeatedl y resisted effons to dilute this policy through Judicial doctrines Ihm show hostility towllrd arbill'lltion. Indeed, the Supreme Coun has issued a series of rulings that have reinforced the pril1laey of the: FAA and the application of uniform fedeml substantive low in resolving Issues concerning Ihe enforceobllity of arbitrnlionugrecmenls. Still, e.g., 1111

\ I l/j 111 I

I III II U

.7

DOClQr's AssQCs.. Inc, v, CasarrJllo, sUfJra lit ti86-fIfI ( 19%) (s[lI[e $tll[u[e condi[ionin g the enfOfCeltbili[y of arbi[rll[ion ugrcc mcn [~ on oompliance with n special nOli ee requirement not upplleable to COn[rncts genern liy wns preem pted because it ill11>crmissibly Singled Out urbitnltl o n ngrecll1cms for ~pccia ltrcmm cllt): Allied-Bruce Tefmlnlx Cos, v, Do11s01l, 513 U.S. 265, 270 ( 1995) (cunfinning thlll "the bnsic pu rpose of [the: FAA] is to overcome: cou rtS' refusals to enforce usreemcn t~ to arbilrutc" and thntthe Act "pree mpts stllte law"): Voll (ll/orlll(///oll Sciellcu, /Ire. v. BO(ll"(1 o/Trr.sw:s, 489 U.S, 468 (1989) (pri mary purpose of the FAA is [0 eradi cnte the hi storical rclUCHl nce of COUtU to enforce arbitrntion Ilgrce mcnlS):

whic h arbitrut ion Opponents sho uld voice their concenls.

AItIitration Is a Legislative Enactment In our constitutio nal system or government , the powefS of govemme ntllrc scpilr1!tcd. In Al abamlr, th is idea is nlOSt viv idl y ill UStrAted by SeCti On 43 the AlabAnla Constittui o n, whi ch provi des os follows :

or

In the governmen t of Ihi5 stnte, except in the Instunces in this Constitution hereinafter cKpressly directed or pennilled, th e legislative de panmem shall never exercise the eltec ut ivt and judicittl pow~ rs, or eithcr of thcm: the eltee utive shull never eAercise the legislativc nnd judieilll POWCfll, or ei th er of thtm: the j udiciul shall never eltercise the leg isliltive lind executive powers, or either of them: to the end that it may be n governm ent of laws and not o r men.

M Ol'es H . CQlre Memori(rl H oW. v.

M lIrr:rlry CO/lSI. Corl'" 460 U.S. 1,24

( 1983) "I The FAA I is II con gress ional dec1nrntiou of II liberal federnl policy favoring arbitrflliorl agrei:uli:ntg, nOtwithstllndi ng any state subslant ive or proced urnl policics to thc co ntrary, TIle effect , .. is to cre ate a body of federal substan tive Inw of nrbitmbility ... ,"), In IIdditlon, the Sllpremc Co urt hns held that hll disputes over eon trac[ i m~ r­ pretuti o n should be fCsolved co nsistcm wi th the libcrll.l fedeml policy fllvoring Ilrbhrnti o n agreemen ts: [Alny do nbt.'lconcerni ng thc scope Qf Ilrbl!rable i~sues should be rcsolved in favor of arbitrntion, whethe r the problem nt hllnd is the construction of the con tract Innguuge hself Of an allcgut ion of waiver, delll.Y or II like defen ~e of arbilrabi Illy.

M oses H. CO/r~ , sUfJl"lI lit 24-25.

Any stllte IIIW, such II.~ A/". Cor/I! § 81-41 (3), Al nbama's an ti -urbltrution s!ntu!e, or any con trnct in tcrpfCtmi on thll! fru S[rntes thi s feder'<ll policy ru voring nrbitration is di splaced. Congress's abili· ty to preempt stat e lllw is, of course, found in the Suprcmflcy C lnuse o f the United Stut~s Constitution. which stat es ns follows: ThiS Co nstituti o n, lind the laws of the United States whi ch shall be mude in purs~nn ec thcreof: und all treUlies mnde. or whic h ~h n ll be made, under the IIl1thority of th e United Stmc.!, shllll be the supreme 158

JANUARY 21)01

law of the land: and the judges in evcry state shall tv.: bound thereby, !Inything in th e Constitution or IlIws of uny sta te 10 the eOlllral')' notwi thstllnding.

U,S, COlIS' , Or/, VI, cl, 2, Consistelll with the SupfCmacy Clause auy co nni Ct betwee n stm e law lind fcdemllaw arising out of n Vlliid exercise of fedenrl aut hori ty i5 reso lved in fAVor o f the federal I~w.

Suo e.g .. Te.flll \\ K iln . 330 U.S. 386 (1947 ): M OirdOlI I'. N ew }Qrk, Ntl"' /lm'lIn, & /larl/o rri R.N. Co .. 223 U.S. I ( 19 12): Cloflill 1\ IIQU/itmrrlll , 93 U.S. 130 ( 1876). The Unittd SImes Constitution struck the balance in fnvor o r the fedeml goVenlme nt mo re than two ce nturi es IIgo. See, lI.g .. BOllllo BOIIIS, Itrc. I'.

TlmnderCm/1

BO(l/s. ftlc" 489

U.S. 141 ( 1989) (5tnte statute held preempted under Supremacy ClAuse).

Given these IIxio tnlt ic prilll: i pl c~, it is somew tuu remarkable Ihnt the opponent~ of arbit rat ion would go to ~ueh great le ngths to try to subvert core COnStitu tio nal princillies involving the separation o r powers. All rheto ric aside, it is lhe legislative, not the judiciAl. branch to

Any activi st attempt by the judicial")' 10 thwart the leg islative will upsets thi s eonstit\lt iorl~1 balance of powerS. SUI P(lrlier v. flllI/lj fd, 567 So.2d 1343 (Aln.

1990).

Yet th is is precisely whlll Mr. Methvin lind othcrs apparently arc calling forthcy ure a.s king thc CQ Llrts ()f thi ~ slute to ignore the pl ui n lunguuge of a. fedeml ~tututc nnd the heuhhy fedcrul policy favoring flrbitration, tLild decidc, by jlldicialfiat, to fru strate lind subvw both the statute ArId the policy bchi ~d it, Not o nl y doc s s uch an efTo!"! run nfoul of our eonstitutional bailloce of power, it flie s io tho face of tlelllcrl rules of $tAtut Ory con5tnletionmandating thatthejudicinry give effect to kgis lAtive enac tmCl)ts, absent some constitutional inlirmity. Su, e.g .. Nmi()/ltIl Cool Ass'" \.l Cluf/t!r.81 P.3d 1077 ( 11th Cir. 1996) (holding thut whcre Congress pillinly CK~resSes its intent In a statute. courts must give erfect to th at intent ). And, In Ilddrtion to the plain language of the PAA requi rin g arhitrat io n Itgrcc ments to be specifically enforced. U.S. Supremo Cou rt precedent roq ll ires thllt (lIry l l Qubl$ co nccrning (lIry IIrbi/mbltl issallS be resolved in favo r of arbi tration. See M oStls N . COlt e, SIIpm .

A fler Sll'/crs o/Ilill Visi/a/iOIl I',

2000 WL 264243 (Ala.) there may now be lOme room to araue whether the FAA actually applie5 to a given transaction: however, once it is dctemlined that the FAA npplies. nnd it virtuo.lly o.lwo.ys will. particulllrly In the type of standard consumer contl'ucts about which Mr. Mcthvi n complains, therl there I ~ linle Icn for n coun to do but to carry out its constitUlionnl role in our system of govemmel\l nnd enforce tile ngreeffiCnt to arbit rate.

With this in mind. a more productive and appropriate use of arbi tralion OPIX'"" rtenti' time would be to petition Congresl with theIr concerns. In (IICI, Senmor Jeff Sessions recentl y hIlS introduced nn I1l1lcndrtlent to Ihe FAA entitled the" onsumer tlllilElI1llloyee Arbitration 8ill of Rightli" thllt. Ilt II 111i11imulll. nppcal'S to be a smning point for uddressina rollny of the concerns voiced

by Mr. Methvin und Othcr opponents of utbi trution.

Thi~ amendment to the FAA would. nrnong other things: Require utbitration conlract clauses 10 hliYe a heuding in IlIrge, bold print Ihll1 would 511.y whether arbitration is binding or OpliOnlll: Give nil pnnies to nrbitralion an equal voice in selecting a neutral arbitrator: Give eonsumel'! and employecs the right to a fl\ir henring in a ncarbyor reasonbbly convenient forum : Grant consumen and employees Ihe right to conduct discovery and present evidence. cros.-txlmine witnc.~!iCS represented by the olher party and hire a stenogl'ltpher to produce. rewrd of the hearing: Provide for reimbursement of costS to consumers under cenuin circu lIIstances, and waive fees in cII~e of hardship: and Grant consumen tlte right to Opt OUt of arbitration into small clnims coun if thai coun has jurisdiction over the claim and the claim doesn't exceed $SO.OOO. Also. lit the state level, 49 states have adopted some fonn of the Unifoml Arbitration Act, ori; inally promulglltcd In 1955 by the NlItional Conference of Comrnlssloner~ on Unifonn State Laws.

In Februltry 2000. I Revised Uniform Arbitmtion Act, (RUAA) WIL'i proposed.

Cochrmr P/(JSfering Co ..

The RUAA. in p,1n. provides regulatJOII for those pmcedunll a~8$ of arbitration not pre.-cmpted by the FAA. such lIS dis-

covery, consolidation of claims. arbitration immunity and Iltbitrutor disclosure of potcntial connicts of interest. The RUAA. as contemplated by M(/$/romlolro. SlIfJffl.

Illso gives elTcct to more substantivc choice of law provisions routinely Includ· ed In commercial lind consumer COntl'!lcts.

Clearly. legislative bodies, at both the fedel'!ll II.nd stote leve!.'!. o.re aware of llrbiInltlon'51mponance II.S a method of resolving disputes and arc capable of addressing any legitimate eOllCem~ brought to !.hem. If. however. oppooenlS of nrbitnl1ion frul to PUI$UC Ihese legislative options lind continue to nl!pl'OllCh the jlldiciury with lheir perceived abuses. not only does the principle of SCp,1f1ltlon of powellt suffer. the SlIlbility of the whole of contract IlIw-Qn which Otlr cntire comlIIercio.l system depends-is threatened.

AltJitration Should Not Desboy Contract Law It i5 beyond question that arbitration is II maner of COIlttaa. Arbitration opponcnts and advocates CM lit lelUt agree on

this. Mr. Methvin's crit idsm~ of arbitrodon, however. rest on an intplicillissump.tion that arbitration eliurses /lI'e dilTercnt, more suspect. than other COI'UllCl. provisions. Such an assumptiooruns squarely afoul of CaSami/D. At lIS simplest, eMafVl/Q teaches eourt$ thm they must pl(Jcc nrbitl1llion hgI'CCmeals upon lhe same footinlll1S olher contnlCtH. Slle a/.w Vull/II/UroWI/OII Seltllreu. S'qJffl ot 478 ("An arbitmtiotl agreement i, Illaced upbn the same fOOling as other (ontmelS, where it belong!J"). Mr. Meth vi n would ignore these holdings and would s«k 10 petsuade the courtS of Alnbamllto adopt spe, cial. more lenient rulCll :lJlJllicable 10 arbiIrntion agreements, bllt not applicablc to contracts genel1lJ1y.

Nowhere is this more cle(U' thon in Mr. M etlwin '~ di~lIsslon of /oj pm'/(! Napier.

723 So.2d 49 (All,. 1998) mKI Amr;SW/I Uncoil, Mti/'Cury DodNtI ~. Cmmtr. 720 So.2d 898 (All,. 1998), castl wherein the Alabama Supreme Court upheld the validilY of arbitration agreements in contracts entered into by person!! claiming difficulties with reading and uOOcNtanding English. Mr. Methvin takc the coun to task for its deci~ ions. even lhough the eoun's decisions are grounded on hornbook prindplCll of e(Jntmet bw.

It has long been the nrle in Alubmnu thnt one Is not rclillved of one's eontructual obligfllions if one negllXts to reud p contmct. or. if one cllnnot read, "lIegleets to have it read." S4I1! MI/chff/l Nlss(m.

Illc. v. F()slt:r , 2000 WL 804452 (Ala.) (quoting 8«1t & 'tmll UthOgffl,>hfllg Co. v. HOI4PM" & Wo/'Ce$l",r, 104 AlII, SOl. 16 So. 522 (1894». Apparently. though. this eentury-old rule should not apply in the flrbitrllIion context lind, in its slead. there should be a much looser doc· trine of unconsciollflbility thin llny we have ever seen.

The Alabama Supreme COUI'l, in both lind Aurlisftm Uncoln Mercury l)O(lse I'. COlilltr. appropriately relied on C(I,wrQf/O in refusing 10 single out the arbitl'Dtlon IIgreement for special, suspe<:t tremmerll, In shon. the colin simply follOwed clCllf Supreme Coun prccedem, and refuscd to recoani1,c Itny al'lumenl regoNing unconscionubility thlll would nOl be applicable 10 contrncu iellCl'Dlly.

Further. Mr. Methvin :II>I>I'OVl118Iy eiles the Califomill Coon of Appeals decision in &Idit II. B(lllk OfAlIIl'ric(l. 67 CuI. App. 4th n9 (1998), which, ngainst the overwhelming weiglt of outhority. rejected the right or banks luI(! eredit eurd i5snel'!lto modify accoont lenlll! pursUlinlto ehunge in tenns ctnuses in Iheir custOlllel'il' accounts noo refused to uphold an IIrbilro· tlon ugreemem atlded In this manner.

J]allk5 altd credit card issuers routinely umend ckposh and revollling credit lICCOunl tenl\S through cI~Hlge in temlS cl"uses to illscn new price tcnns, ehnnging intel'C.'it nuts, tash OOWI\CO chnrgt.~, new scl'llite5, flrld numerous other tenns. 1'he legoJ elTc:ct of these eh(lJ1ges is, or tUul'liC. never ques· tioned, This is sianineant bocause procedures thlll Me u...w to amerKI conlmcl£ gen· erally m.,y be ustd to runend contracts to include arbitra.tioo J)I'O'Iisions. Indeed, coutU have I'OUtbcly appl'OIIed the addition of lUbitr"JIiOll provisions 10 commclS purSWUlt to ehnnse-in-tenns procedures. Su, t.g .. CJU)·tOtI It I#.IfNllllt/l Oftltt '\brllll.lf" h IS. Socitty. 98 1 F. SuJ)p. 1447 (M.D. Ala. 1997); Stil,.J \.\ 1/0111,. Cllb/t COIICtIlU. IItc.• 994 F.Supp 14 10(M.D. AlII. 1998) & IltlrlC R(lgtr 712 So.2d 333 (Ahl. 1998): Mllt "It/" \.\ Clt/'C0'l' USA. fllc.. 485 N.E. 2d .591 ( h t Dis!. 1985): Gm1;er \.\ N(lrris Th,St &: SIIL'lllgS /JIII/k, 432 N.B. 2c11309 ( 1st Dis\. 1982): UtCk \.\ First NfI//olt(l/ IJmlic oj Millltt(I/i()/i.f, 270 N.W. 2d 28 1 (Minn. 1978).

Tu the extent/Jm/it rejected the addition of the lUbilnllioll ptolliRion mcrely because it WIlS an arbitrnlon I)I'OIIision, it oblliuusly runs afool of Cm{/fvtlo. In 8hon. /Jodit is bad from a policy stAndpoint inthlll it hampers IinanciRi institutions' ability to effectively 11.00 pmcticaJly change their IICC()Unt agreements. and Hadit i~ bad from a legal standpoint in thaI it natly con· trodiclll Camtr)/lO. When (need with lUI lU'bitrntion challenge arising out of II change·in-ternl' procedure. the Alaoolllll Supreme Coon, in SouthTnm &mk 1\ WlIii(tms, 2000 WL 1007064 (Ala.), WIIS f;X IHUlt NlIf,ltr

GO

J .... NU .... R Y 200J

right to rejcct 8ariit!. and WIU right to hold thut C(I$llTfJf/o pnx:ludcd it "from 5ubjtct.

Ina arbiU'lltiOl1 provisions to &JlCCial scrutiny." IVi/U(lI7/S. 2000 WL at ·6.

The SMClilYof It C()ntr.'ICI should not be socrifJCtd in the name of consumers' rights.

In Imy event, far from being hostile to oon.

5Un1Crs. arbitration is" time·honored, reli· ablelilld impartial mcchlUlism 10 resollle dispuld ool!idc of proInICttd IIlId expensive clvil litigation. The United Stales Supremc Court has o~rv«I thallU'bitrution often work! to th: benefit ()r (:unSllnlCfS.. who are less likely to be able to financc the expense. of fonnal litigntion: We agree thilt Congress, when c"llCling (the FAA I. had the needs of consumers, lIS well as others, in mind. See S. Rep. No. 536, 68th Con .. 1st Scss" 3 (1924) (the Act. by "voiding "lhe ecl"y alld expense of litigation," will uppeal "to big busi1\Csse.~ and lillie businesse~ olike ... t'Ol'JX'lrute intc:rc..~ts llUIdl ... indilliduuls·'). [nd~. arbitrotion·s OOWIIIIllgtS often woold !ltell\ help!\tlto irldividuals. !WIy. complaining about n product, \1.110 need a Its.~ expensive altematillt to litigation, See. e.g.. H.R. Rep. No. 97·.542, III 13 (1982) ('1'he aJvrultagtS of nrbi,

1I': lIion l\I'e muny: it Is U;UflUy cheaper and faster thllllliligmion: it can have 8impler proceduml and CIIidentlllt)' rules; it nonnally minimi7.tS hostility and i~ less disruptillC of ongoing and future business dealing IlIIong the parties: it is otien more flexible in reglltds to 8ChctIuling of times and places of hearings and discovery dcviCe5....)

Allitl/· 8f11ctI Tumini.c CQY" S/llIffl

(citlllions omilled).

Mr. Methvin. however, llS5C1U that no one can argue with a straight fl\Ce thaI otbitrnlion is fair to COIIsunlCrs. despite Supreme Coon p!"(IrKlUllCenlClt!s to the COntrnry, (IIKI he l1Iustnttcs thi$ putpOl1cd unfairness by pointing oot Ihm a credit card blink hilS invoked I1rbltnrtion 19.705 times lind In'tvlliled 19.618 tiUlt.'I. Whll! Mr. Met hllin does not My is that vin ually 1111 of thC.iC ClIseli were collt'Ctiou CllfoCll filed by the bnnk agaInst customers 1Il0re than six IIlOtllhs Ixhind on their credit cards bills.

Unqucstionably, the result in collections coun would have been the same, The lIIalltnt thol arbill'Dtion is "allli-<:onsullltr" hll.~ been rejected by both Congrcs§ and the U.S. Supreme Coon. In the finnl analysis, though, whether arbi tra· lion becomes more or less frequent ly used, and the foml it wiJItakc. ultillUltciy will be decided either by CongteSj or by privme enterprise responding to the pressures of the marketplace. ru to the louer, despite an expensive Wid highly visible compais n to dc:monilC arbllrnlion. lhe public remains non' pll,lssed. Men:hams have not reponcd unusual ~\lmbcl'll of eomptllintl from corlsumcl1 concc:rni ng executing arbitrution aGreements and cerIninly. the much Imllyhoocd "referendum on /Il'bitrution." the tiCCtiOml fur Alabnmo's Supreme Coun. WIIS 1101 a stirring victory for the IInti'MbittlltiOn forcts.

Arbitration and the Marketplace In their 1.(:alto 510ll1P outlU'bitrulion, opponents of ruilitralion h'"e perhaps lost sight of consumers· freedom to choosc hnd CQntntCt as they see. lit, If a consumer wishe.. nOt to arbitl'Dte, he is free to do bluineu with a company that does I10t require it. Consumers do halle choices when it eomes to arbit"uioo. For Insto.nee, there Ill'CI hundrtds of insunmte companills licensed 10 wrilt: policia in

Alabamll. but only a handful require arbitmtlon. 011 the other hllnd. many I;onsumers miglll prefer arbitrution over an expensive and lengthy lawsuit. In (nct. the I)ceember I, 1999 issue of Tire Jere.

JjMsllJY Colt.sumu Report recognizes thnt free market principlcs nrc at plllY in the arbi tration contcxt, by including the following example: A well-known Montgomel)l ear dealcr is ~nding out large postcurds to nil of its formcr custOmers. In bold print on the addressee side of the card. the fl)l_ lowing statement in lll'le print is found : "NO ARIUTRATION AGREEMENT Rt:QUIW-ED ON Nt: W INFINITY MODELS." On the bllck side of the ellrd. the very ~nUle messnge is agnln SUlted in bold print. I suspect the reason for this stmnge turn of events is the fnet thut many MontjomCI)I eiti.

1.en~ lire driving to Columbus.

Georghl, and buying their motor vehicles thert: without havina to sign nrbitrluion Ilgreemenl5.

If lI:ft unfenered by ftrbilrntiol1 opponents' dictate~. the free murket will alw(lYs change and atinptto meet genuine consumer desires. If enough people dellllmd something. $Ome entrepreneur will always provide it- thi5 elementary principle of the mo'lrkelploce hDS DI much nppliclllion 10 arbitmlion as it does to electronics. In short. the competition of Ihe mnrkctplace-not rond signs nlong the highwlly- will decide when and how arbltrntion will be used, Oy WIly of cxllrfllie. the Americnn Arbilrotion Associ.lion promulgated its "Consunter Due Process Protoool," wherein it defines what 8 fDlr arbitmtiOIl proce.'i.~ involving II consumer ntust lncludc. The AAA IldoPled this protocol specificlll1y to proteclthe rights of consumers who enter into the types of form eonlfOCU that Mr. Methvin critici1,es. Also. The Natlornd ArbilIlltion Forum hM enacted detailed policies nnd procedures to ensure thm the IltbitnJIion process is fair. 'n le innucnce of these private grou~ in uddresslng 1tH)' perceived abuses of rubitnllion is likely to hllve more elTect OI1lltbitrution, working through the m:vke1plocc, than any legnl changC5 called for b)' self.lnterested arbitnltion 0I1ponenlS. Afld, these protocols undcl'llCort the fact thm. in the mtui:etphlCC, the con.~umer wil! never be ignored.

A>bibaliCln's Prevalence In Alabama Mr. Methvin critiei~.cs lhe Aillbama Supreme C()url fl)t hn neli ng down a large number of nrbill1ulon·rcllued decisions.

Mr. Mcthvin, however, fnib to IIsk why Ihis Is so. Why is arbitration 50 prevalent in Alabama lind not Ci«x):ia. Tennessee or Florida? Putt of the: answer lit least rt'SU IL~ from /I pcreeption lhlll businesses &imply were not gelling a fair Jhake in Alabama courl~. So long liS p1lrtics believe their disputc.~ will be resolved fnirly nll(! efficiently in coon, there will be no relll elmnor for or ngai nst arbilIlltion. When, however, "COUrt" comes to connote an uneven pIa)'. ing field that gives rise 10 completely unpredictable and oftentimes irrational results, pm,ies will nccessluily pursue nltemmives to oourt. Albitrntion is one 8uch ultemmlve. $(!tJ Stcl>hcn J, Ware, IJtfim11 Rules F1QIu M(lIu/(uory Rl4/es: I'r;r(lliz/ng l.(lw 77m:m;1r Arh/lmlitm, 83

Minn. L Rev. 703 (1999).

If busine.\scs in other sUItes lIre not using arbhrn!ion a.~ frequent ly as lhose in Alobnnm, und if a penon can buy n new vehicle ill Florida. Georgin or Mississippi without ~i,n!n1l11n arbitration agreement. it may well be thnl partics in other suites do not fellr going to court and resolving their disputes there.

In Alllbama. ullfonunfllely, a dilTerent perception still C)lis!S. 11 WitS not so long ugo Ihol punitive dnnmgc verdic" bccull1e!lO ou!rageous tlull lhe U,S. Supreme Court had to ~ICp in, elltSs eerti· fications. even ~ INlrlt cln5S certi fications. were almost rouline. und, with Ihe Ilbolition of the "reldOnable relinllCe·· standard. evel)l consumer rontrncl ea~ bcellme II multimillion dollar fmud clnim. 'n lis scenario earned Alnbmna an infllmous national relluto tion, It is hoped thnt this is not the scelillrio 10 which opponents of arbitration wish to return,

Arbitration, in all likelihood, will remain prevalent in AIAbamll until all parfitt., hnve confidence that the bench and bar nre commined to fundamental nOlions of fairnes s. And!iO. in the end. it Is Ironic lhlllthose groups most responsible for Ihe eX pCll5ive alld explosive cam· paign to demonize arbitration in renlily ate ocling in a manner most likely to cause its pcrpelulItiOt\.

Conclusion Arbilrhtil)llls hlltdly the ~n nti -(;{}n ­ sUiller" evil thot Mr, MethVin mokes it out 10 be. nor does arbitration sitlll nnyone's righ t 10 trial by JUI)I, as suggCSted by the opponents of Ilrbitration in the recen t judicial elections. Arbilrnllon is simply It contrnctual method of resolving disputc.~ outside of pll)lrnCltd ntld expen· sive eivillitigotion- mnndrucd by Congress nnd fnvored by lhe Supreme Court. Any perceived evils in Ihis system should be legisilltively oddru.sc:d. and stille court judges-particularly members or the Alubllma SUI)reme Court-should no longer be assailed for foliQWing the lnw lind holdi'lg pllrties 10 tile terms of their contrl1CI.~.

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ARBITRATION

IN

ALAB

In I I / I f \\/11\ III

nlcss you have had the good fonune of enjoying a three.year SllbOOtical out of state, as an Alabama I~wyer and motorist you have undoubtedly observed the pri. macy arb itration has attained as the hot legal issue both in the courts and on the roadways of Alabama, [n the pastlhree ycru1i nlone, the Supreme Court of Atabam~ (Ihe eoun) released ncnr.

Iy 80 Ol)inlon$ on the SUbject of chnltenaes to the fOmllll ion and enforceability of arbitration ugreemcnts. During thot 5ame time fmlll e, the emirc federnl judiciary I'tlellSed roughly 115 ~ uc h opinions und no Qther statc supreme court has come close to the coun', record,' Mcunwhile, on the highwa ylllnd byways of our fn ir sta te, rood Signs of every size, color nnd de.'icription banle in tile coon of public opinion fOr the affectionl of our citi7.cnry, "Arbitration- A License 10 Sleal" ot "Arbitration- Trilll Lawyel1l Lose and You Win. Enough Said" compete for our attention and suppon.

In Ihe recent statewide judicial eleetions, certai n clements of the politicill populace mise(! the specter of constitutionnl dcprivation lit the hlll1ds of IIrbilmlion unless citizens supponed the "right" pnrty. Such advcrtisements brought n quick and l)(Iimed response (rom certai n rnember:! of the court who insisled Ihm the subject adveniserherua were inaecurnte lind demanded thlll they be wit hdrttwn, 1l!e advertisements continued to run, yet the results of the 81l1tewide judicii'll elections argullbly dem()nstrnte thlll arbitration i$ not tile hot bunon issue m&ny believed h to be.

As it tuu bcJorc on other importlllltlqal issueJ such liS punitive damages, Alabama has become a legal battleground on the issue of nrbitmtion. Why Alabamn? Thm il ll good question woohy of analysis, but outside the scope of this article. Inslead, this fu1.icle undcrtnke5 to provide an overview of the recent and burgeoning body of lIuthorhy from the court on the many chullenges 10 the fornlml on and enforceability of arbhmdon ngreements comnincd in wli nen COrumcll. Addressed below fire the most common type challenges the court htlS resolved in the paSt lhl\.'tl years,

U

Burden of Party Seeking to Enforce Arl>itration A party who $(:~ ks to enforce an arbi tratlon agreement to resolve a dispute alust show that the parties are bound 10 a valid and wrinen arbitl1tion agreement and tile COnt ract in which the nrbilttllion agreement appem relnte! to II tnmslK:tion involving intel1ltate commer;e,' Thus, challenges to enforcenbility of an nrbitration n8recll1cnt u$ual1y involve clnims on Ihe Ilbsence of one or both or Ihese clements. Chnllengcs under the firsl elemelll will be referred to ns "ContraetUIII Chllllenges" while II chnllenge to the second prong will be referred to as the "lntel1ltllte Commerce Challenge,"

Contractual Challenges A. Abscnce or A~l'nt Challcnges One of tile more frequent chnllenges to the enforceability of lin arbitmtion flgrtelT1Cllt i ~ II claim by tile plaintiff that he or she never asse nted to the arbitration IIgreemcnt . The bases for the claimed absence of asseru hllve come in the form or Ihe IIb~n ce of both part ics' signmures to n cont rnet.l el ni ll1 ~ of fra udulent inducement into the cont mct or Mbittfltion ngrcenH~nt .' and, more fu ndamcmull y, thalthe documenl containing the llrbitration agreement WIIS not pan of the J»1t1ies' COntI'lICt.' I. AbUIICt 0/ Si8I1atW~.f 01 Bo/h PM/iu In reviewing chllllcng~ based upon the absence: of one of the partiCS' 5igl111tures 10 a contract, the court hll5 rccoJnizcd, as an initial mllller_ that "the object of a ~jgna t ure OIl a C()ntl"llCt is to show lIIutuality . nd assent, and thllt mutulliity lind IIS$C1lI elln be manifested In ways other than a signature:'" A plIrty clln ma nifest its conscnl to II c<>ntmct via tlltiJication through lis actions in fuililling the burdens lind accepting the benefits of a contrnc t.' The COlin has recognized. as a result, thal unless required by 8Il!\Ule, n conl/'IiCI nced not be signed to be enforceable so lon8 n.~ it i~ IIccepted nnd lIcted upon,' 1-I00o,ever, If the teons of II contract e,lpressly require both parties' ~jgnnt u res in order to be valid lind enfOtceable. and one of the p.nies has failed to sign the contmct, then II party will not be entitled to ellforce an IIrbitflltiOn agreeme nt contllined within the contract.'

If a contract allows fot future lIn1endmeut5, one party to the contract may issue. IImendments 10 the eoutmet lll the fonn of II chllnge-in-terms notice" Of otherwise ameud the eontruct 10 include lin IIrbitmtioli agreement." When thecoun has fllced chllllenges to 1111 arbitration agreement comai ned in an IImeud· ment to an underlyi n!! conlract, it hilS upplled the 8mlle lI11aIY$i8 liS with chullengc$ buscd on the absence of II signature: namely, whether the part y ehulle nging the II/bilrntion agreernerl\ hilS mlln. ifested his or her IIsStnt to the new term in the contmct by his or her octiOfls." If the party's uctions demonstrate as~nt. then the court has held Ihm the arbitratiOn ogn:ement i5 enforcelibleY 2. f'rmlll"l(ml ",dllc~melll

Another challenge to the t.nfol'CCllbility of IlII arbi tration ogreemelll is a clai m of fmudulenl inducement. The coun hw! recentl y nlade clear, in Record with the United Stalu Supreme CoUrt '5 decision in Prlmll Palm Corpor/ltlOlr 1\ noo<1 &.

Conklin MlIIllift1clllr;" R" and First Opl/OIlS oICh/C(lgo, I/lc. v.

Kllplrm" thul in order to be u 'liable basis for challenge. a parly must estflbllsh lhlll he or she was fraudulently indu£cd l"'OII"t (lfb i/r(l/ij)/r lIgrumfml J/Jt:CijiclIlly, lmd not Ihe contract in gcncml ," Therefore, claims th&t One hM been fraudulently Induced inlO an entIre contracl tho t contains lin arbitrntion IIgrcement are 1111

1/111111111111111

.,

to be re50lved through nrbilr:uion while cillims Ihlll one WIIS specifically frnudulem ly induced into nn IIrbitnation agreement contai ned within II contract ure resolved hy II lrilll coun."

Analogously. the coun hIlS recognized thllt "chllilengeisl to avoid or to rescind a contraci [arcl sUbject to arbitnation btL! II chllilenge to the very existence of II cOrltmtis not subjet"tto arbitr:llion,"" The laLler type of challenge hns be<:n nniculated by the court os tho\ or " fraud In the faclUm" which occurs "when a pany 'procures alnotherJ pany 'S Signalll!'e to lin instru· ment without knowledge of its true nature or COI1lCnls: .... The coun hilI also further aniculated whnt con~t ilute5 " fmud in the factum" liS follo"'5: Alabama ca~law. like Ihe Ht!$/(/umellf f(StCOIUI) 0/ CUllfroctS/. rtCog nl'l.e5 that to constitute fr:lLld in Ihe fac· lum. und Ihereby to prevent the fonllation of a contruct, the misrepresen tution I11 USt go \0 the esscntinl nlllurc or existe nCe of the contmct itself. fllr eX llm ple. a l1Ii~reprc­ sen tntlon that 1m instrument is Ii promissory note when in filet it is n Ill~t gnge, [ci"u ious ornillcdi A misreprescntn· lion Ihll\ concerns a misapprelu:llslon of the Icgnl tllellnlng of n lenu or provisio n in II contrllct does nOi co nstitute fmud in the factum. Such challengu requ ire n court'!, IlS opposed 10 Ill' urbilrnlor's. fe50luli on," In order to cstJblish 1\ vi able b:lsis for fraudulent inducement, a pany must present "substnntial evidence of fraud in the inducement. paniculurly re lated to the arbitration clause" ami not merely "ad hoc aliumentlHl" suc h as being rushed Ihrough a contrnct, being vaguely eonfu,'ICd aboollhe arbitration provision, or llS§cning Iho\ the other party to the contrnci failed 10 ~pcci fi ­ cally polnl out the tttbitrution provision.»

3, Arbl/fcllicm Io.grtemtllt Nall'MI

a/COII/Mct

The court hos also od<ires§cd dmliengCli whcre a pany mllin· tains thm the docurnent cont aining the arbltn'ltion agrt:ement wos nOt part of the pnrties' contract and. therefore. the party nevcr IIssented to arbitration," For exnmple, pllnles have sought to COlllpclllfbitl1llion based upon the incl usion of arbilr:lI ion agrc:cmenls mllde pllrt of II WUITlll1ty containcd in nl\ "Owncr's Mllnual" thm a plaintiff dalmed neve r to have reccived" lUld con taitu:d on the bllck page of II contruet whieh 1\ plaintiff cluimed never to have seen,l!

Whe ll lllll1lyzlng such chull engCB. the court detenlll n e~ whether tlte record evidence cs tllblishes thllt II pliny hilS IIssentcd \0 the arbitl'lltion agreemen t by Its sig nature or Vib rittifieLllion by ils actions,- If the record before the eOLlrt is insufficicrIl lo mlike such n determination, the court has, on occnsiol\, IIlIowcd limited di scovery on remLlnd on the nllrrow iUlle on wlic llicr or IlOt II putty assented to the arbitl'lltion IIgrcemcnt." In II very recent decision. the court he ld Ilnenforceuble an arbitrntion agreement contoined on the back page of a eonlruet which plaintiff claimed she never sow,- IlluinliiT claimed she was ntM ~hown the back of the contmet and nothing on the front of the. eonlrtlCt she was shown revea led thm the back of the contruCt contained addl tionul tenTIS, On thi s basis. the court detennincd thutlhe atbitrfttion agrcemenl was not part of the partics' contract'" 4. Voided or Rt,fCIIlfI/:(/ C(lIt/f(Jc/s

It gou withou t saying Ihal if a contract containing the subject 64

JANUAR"

lOOI

A Licens nrbit mtion ngreemelH 15 void, then it is by defini tion, unenforce.nble.- 'n ,e court hilS refused to enforce arbitrntion agreeme ntli cllntained, for example, in nUiomobile leuse.~ whic h abo contaIned unsatisfied financing appruvn! contingencies." Similarly. if a court determines thlllll cOnlnact is iIIegul. then the contraci is void nnd nlly arbitration clousc contained within the contl'l"lCt is unenforteable,lI On occasion. plInies have sought to nvoid nrbitmtion agree· ments by claimina thai the subject contract has ~n resc inded," If the recession or the eomract is mutual. then it is doubtful that Ilny arb itrntion agreement conta ined within the cootrnct cllUld be enforceable," However, if a party IS5Crts I brelC h of contract claim 1111 the very contmet they claim hll~ IJccn rescinded, then the coun has held thuta pan y may not claim rescission of only certai n portions of the contract (such as the tttbi tration agree.ment) whi le lit the slime time seeki ng dumugeJ for brench of other ponlons of the COnloct,"

8. Who Arb it ru tes /l.rhl trllhill ty?

When the panics do nOI di spute the existence of 1m arbit mtion ugreement in the co nttnct PI issue blu one pnrty opposes nrbi trndon on co nlmclnul grounds ot her than usscnt, as lin Initial mllltcr, u court first is to assess whether there is "clear Ilnd unm istllkllble evidence" thul Ihe pllrtles agreed to afbitl1lte nrbitrubili· ty,'" In ot her words, if a party opposes subm itt ing a dispute to o.rbitrlition, II court must be 811lisficd by "clellr and unmiStuknble evide nce" that the p.1rties' nrbitrntion ugreement cClntempl oted resolving challenges to the right to arbitrate di spUtCB via arbitra· tion as opposed to the court sY8tem!'

The language of the partiCS' COntNlct typically controls sueh dcterminations. For example. the cou rt has found such "clcar and unmilitakable evide nce" in the fonn of. broadl y-worded urbitrntion agr~lllCllt that provid~ for the re!lOl uttOIl of "lIny chllllengCll to the villidily and cnrorceability" of Ihe parties' CllntrtlCt" or "all disputC5 WId COntroversies or every lind fIlld natUTe (between the pnniul arising OUt ofor in connection" with the part iC5' purchnsc" or "all diSpu tes, c l ~l n\$, Of Conl~

\

to Steal vCl'!lies !lrising from or relating to It he panics' contract ! or the pan iet thereto,"" If II. court satisfies illiCit Ihut the panics' contme\ provides for N'bltrmlOn of nrbitrnbilhy, then proccdurnl chnllenges to the urbitrl1tion process itself nrc subrniucd to thl;l arbitrator to decide." If the evidence establishes Ihllilhe panics have Ilgn:cd to Ilfbitrnlc IIrbitrnbility, the COUJ1 hu indicllted thai 1\ trinl court's role in mUn, on formlllion and enforceability

challenges is to decide maUl:1'!I of "substantive Ilfbitrnbility" which mattel1 inquire 115 to "whether .here i~ 1\ valid arbitrnlion agreement between the pnnics and whclller the specifi c dI51)UIC presented by the case fall~ within the scope of Ih lll ugreemcru,"'" On Ihe other hlUlU , mailers of " procedural arbilmbilit)'," s uch lIS

c1nims of waiyer b~ failing 10 comply with the nro;tnuion Rgree· ment'5 procedurnl requirements or claims of unenforceability bn~ed upon the vugueness of the nrbl trution procedures con{III ned wi thin nn nrllhrntion ngrecrm:nt, nrc for un IITbltfll10r to decide l\lld not for I court."

c, NOII-Slglla lory Chllllcn¥e!i Oflen, a nOll-party, or "non-signatory:' to II contmct conlll;ning lin arbilnulon lI&rcement, who h:ls been sue(l by oue of the p:mks to Ihe contract, will sed. to enforce the urbilrlltiollilgreementto resolve the dispute Ilt issue." The pany opposing nrbi· tnltion typicall y challenges the non-signatory' ... ri ght to nrbitrnte, nrsu;ng that he or she never assented to W"bitrate disputes wilh the non-signatory.

Non-signlltories nre allowed to enfor<:e lin fu'bitrUlion agreement IIlldtr twO rect)gnized e~cep ti ons to Ihc geneml rule thnt onc must be a pony In order 10 enforce such :In agreement, The first e~ception IIl10ws non-signatories to compel arbitration under the theory of "equitllble estoppel." Under this exception, a non-~iinatory must eSlablish twO eJtomenL~. Firsl, the non-signatory must dcmonstnlte thot the scope of the nrbitralion agreement signed by the pnrty resisting arbitrntion is broad enough to eneompnss the claims made by thnt pany against the non-signatory." This clement clln he cstablished by demonslrullng thnt the claims at issue nre either (a) "ba$Cd upon dillies or obligations

founded in and intenwi n ~d with the contr(lC t, or (b) gufficiently Intertwined with those ltgain~t n party" to the contTl\Ct," Second, the non.sisnatory must show that the llrhitration IIgrcernent's desc ription of the panics SUbject to the Dgrccment i. not so restrictive as to preclude arbitrution with the non-~i,nlllory.·!

If the lnnguage of the nrbitration agreement is specifically limited to the s i 8nlHorlc.~, Ihen it is unlikely Ihm \I non ·~ignl!tory will meet the "et]uitnble estoppel"' eltcel/tion," Similarly, u nonlignotory mny not compel arbitration when the clainl5 at issue . rlM! indel>cndcnt of the contrnct containing the arb,tm\ion agrtement." l-Iowever,lf the Dsrcemcm's lnnguage is sufficiently broad alld a plr1intifl' assens common claims againsl a purported non-signlltory Rgent ~I()ng with I! signmory principal, the court hilS held that the "equitable estOpper· cltception willnllow the agent to compel W"bitTlllion,- AIIIO, if It party nllege! 5pccific conspiracy claims against a sisnatory and II non-signDtory, the court has held the non·signatory could compel nrbit11ltion under the ··equitnble estoPIX!I" exception." Finnlly, if the lignlltory/defendnnt to the controc( hns nOt moved to compel .rbitrution or the dispute, the CQun hM held thm lite non-signa. lOry/defendant cannot compel arbitrotion under the ~equitable !!Stoppcl" exception.p n,e second eltCClltion oll()Ws II non.signatory to enforce arbitmtion whcn Hnon-signmory is h th ird-purty bcneficiury to the contrllet containing the arbitration agreeme nt. nle court hDS rccognized this e~ception under tWO rnctllul 5Clling~.

The fi,.,;t circumstance involving this eJtcepdon occu~ when a third-pany beneficiary to n eOfltNlCt su~ on the contntet and utemllts to re.~i~t the contmct"s arbitra tion provision.» In such circU nl ~h\n cu, Ihe court has held th~tll non.slgnotory may 1101 clnim the benefit of the contmcl llnd IIvoid the contTllct '~ arbitm· lion provision," The sccond circumstlLnce ()t:(:urs when a non-signatory clnims it is a Ihird-pany beneficifli'}' 10 a conlmet and secks to enforce the contmct '~ arbitration agreement. The coon has held thlll if the non-5ignntory estnblishes its stlltliS us u third-party beneticilu"y, it is entilled to compel arbitratio n,» In order to be u thirdJIlIrty beneficiary in this in8tance, u non.signatOf")' lllJst establish l~tthe panics to the contract contnining the Ilrbitrmion agreement intended to bestow a direct benefit upon Ihe non· lIignll1ory.-

E. Wnl ... cr Chnllcngcs If a pany does not assen 11$ ri ght to compel arbitntion of a dispute utthe inception of a Inwsuit, it runs the risk of a challenge thai it ha~ waived ils right to seek IImitnllioo. The court has dblinguished between IWO types of "wnlver" In it!! decisions.

If 1\ party opposing nrbhmtion con1ends Ihm the party seeking lI'bitrflllon has waived il$ right 10 arbltmte by Q failure to comply with the procedural requirement! of the lenn.~ of the arbitration aarccmem, this is a mailer of '·proccduml W"bitnlbilily" rt.SCrved for an arbitmtor's resolotlon, and not the triul court's." On the other hUnd, if 1\ Ilimy cl:llms wlliver due to the olhcr's "substllntiul invocalion of the litigmion process" thut hU$ I'i: ~ ulted in prejudice to the puny opposing IIrbitralion, this is a mailer for the trilLl ct)un's resolution.'" 1lle rourt has referred to this type of "waiver" M n "defoult" under Section 'llIrec of the Federal Arbitration 1111

II

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lIlli/II

••

Act . .. The coun hu hcld Ihulli findins of waivcr will nQl be infcm::d lighlly l iven Ihe sllons federal policy in favor of fltbitradon.'" In detcnnining whether sueh a wllivcr hllli occum::d. II uilll court should examine whether thlltllllrty's "participalion [in the judicial processl bespeaks O,n intention to abandon lhe righlllO seek arbitration] in favor of Ihe judiciol process, and, if so, whether the oPf.OSing pllrly would be prtjudiced by a subsequent order requiring it to submit to arbltnuion,'''' Waiver inquiries IITC IlQt liven to strict bright.line Rlle.~. btu require a case-by-ea'iC analysis." However. the longer II party waits after the filinS of a lawsuit to seek arbitrution lind the more a party prutidp;ltes in the Iiligution of the luw~uit. the more likely a elnim of waivcr will be successfuL·' Similarly. SO long Wl II l)tLrty seeks to compel arbitration within the first fcw months uner n htwsuit has beeu filed , the coun has regullV'ly found tblll no waiver occurred."

fo: Scope Challenges Often. in opposing arbitfnLion. n pliny will acknowkdge a binding arbi tration :tgfCcrnent in its commet. but contclld that the scope of the agreement docs not include the dispute tlmt is the ~ubjec t of its l:twsuit. As un initilll mUlier. the coun has long ree1l8nized thlLl llan ies e!umot be compelled to IIrbitrate tilly dispute thm Ihey huve 1I0tllgrted to sublllit to arbitration.»

III nnnlyd ng such "SCOlle" chulicnges. Alnbnma courts are to apply standard contract Interprctution principles" with II hellithy regard for thc fedcro l policy favoring arbitnnion.·' ladeed. the court n'lOst recently staled thnt "cases intcrpreting the Fedcral Arbitmtion Act mandatc Ihllt a court ,ive the broadest possible intcrpremtion 10 an arbltnation IIvrecmcnt and resolve all doubts in fuvor of arbitmtion,''tt The eoun hM also described the IInalysis ItS follows: "Ie FAA requires this Coun, in applying Alabama oontract law to qllestions of arbitnlbility,to resolve "any doubts concern ini the scope of arbitrable issue~ ... in favor of arbitration. whether the problem 01 hand is the construction of the conlntet language il$elf or an allegation of wllive r. delay, or 11 like defense to nrbitrability,''tt Thu5. trial couns nre to give Ihe tcmlS of an arbitration agreement their cleM lind plilin me:mi ng lind should presume thlltthe pnn ies intended 10 do what the tenm of the ugreernent cleuTly stales ....

If the terms lU'C unllmbig uou~. "then there is no room for constRiction lind It Is the duty of the coun to enforee [the arbitration hgreemen\) as written," '1 On the other hand, if" coun determines Ihnt the ternlS IlfC ambiguous. a coun is 10 apply establishcd ntles of (Olllr"ct constRic tion to resolve the alllbiguily.n [n 50 doing. when given a choice bctwecll un interpretnlion that upholds the contract or one thllt would destroy the coatract, the court hus u dllt) to choose tbe constRiction thai upholds the contract lind that will give effect to 1111 of its terms." Finally. while ambiguities in I contTllCllire construed against the drafter." "lImbiluitics IU to the scope of the urbitrlition clllUse itself [are 10 bel reJOlved in favor of arbitration," " G. Unconsclonnblllty Chnllenges Perhaps the most common challenge to enforceability of an IIrbitration agreement in recent yelmi has been a claim !hut the 66

JAN U ARY 2 001

Trial Lawyers 1 EnOUl i1greement is ullconscionllblc lind, therefore, ullenforcellble. By statute, unconscionable cOntrllCt8 in Alabama are unenforeenble.'" A purly Ojlp08ing arbi tmtion on this basis hll~ the burdcn to establish tile unconscionnble lIature of the contract. 'r1Ic Aillbama Supreme Coun has de.'lCribcd llII "uncon· scionable contract" lIS one "such u no mlln in his sense and not under delusion would make on the one hand, and us nO hemest and fdir mun would accept on the Other."n While acknowledging the absence of lin CJlplicit 8tWldard for unconscionability, the COUrt hu estllblished Ihe following four f!ICtol'S to evaluate in making such detenninatlons: (I) whether there was an absence of mcaningful choice on one pArlY" part: (2) whethcr the contractual temlS are unreMOnably fllV()flIble to one pany: (3) whcthcr there was unequal bargaining power Dll1lIng the parties. and: (4) whcther thcre were oppressivc, one-~idcd. or patently unfair tcnlls in the con1ract.'"

In reviewing ~lIch challenges, the cOlin hlls fC(;ogni7.ed II distinction between "procedurtll" unconsciOllability 1IIId "substan· tive" IIncon5Cionllbility." Procedural ullconscionlbility relates 10 alleged deficiencics;n the eontmct fonnllI ion proccss ~uch as deception or a refusal to bargain over terllls which leaves onc plltty wi thout rncllIlingful choice over whether alld how to cnll;:r thc 5ubject trllnsnclioll.- Procedurpl ullconscionabilty onen involvcs ol1cgntions of thc J1bscnce of assent to the arbitmtion agrccn1cnt fOf' vilriOU8 reasons, IIICludilla fmuduknt inducement, 11$ discussed llbove.

Substantive unconscionability usually involves claim5 thut certain eontrtlctuul temu; ure unreillionably favonbly to One pliny to thc contmet." As all initiill millieI'. tbe coun has made clear thllt arbltnltlon ugreementS lire oot in themselves uncon· lCioollble." With regard to specific O,IIUCU on Iln arbiltlltion agreement as unconscionable. the coun has rejeCled the followina lI'1ument,: ( I) financial hardship of the party opposing arbi· tration:"' (2) ia norancc of Ihe pany opposing arbllration as to what arbitration entails or clllimJ of generallac:k of sophi$tieation:" (3) aeneral allegation~ thutthe contract is more favorable

the days of KMUllbot'h 1', MeC/llllg" and HeMI of AI/fIIJ/a MOld," th i5 eleillent has recently becn Klven ncw vitality by thc

se and You Win.

1 Said \0 the party 5eckilllllO compel !l.rbitrulion:" (4) limited tending IIbi tit)' of the party opposing IIrbitrntion;- li nd (5) gencrol alleg".

tions of unequal bargaining power between Ille panie!,"' Another comll1only.mtidc suhslllnlive unoonsciol1ability chal. lenge Involves an alleged lack of mllluldily of remedy. Such challenge! have been mllde over Itrbimllioll agreements Iha\ reserve 10 one party (bul not the other) the right 10 litigllte cerlain types of clainn while requirina the other party to arbitmle all clDims,- 11lc C(lurt hilS uniformly rejccted such claims and

h!\$ C1tplnined the inQPpo~hc nature of "lnt:k of mutuality of n:mcdy" c\ainu in Ihi~ conlCX, liS follows: The doctrine of mUlualhy of remedy is limited \0 the Ilvnilnbility of the ullimalc redress for It wrong suffen:d by II plai ntilT. nOI the means by which Ihal ultimate rcdre.~s is sought, A plnilltifr d(x:sllot IiCCk ali his uhimllte redress an IIrbitrntion proccediliS or a cOli n proceeding. Instead, he seeks legal relief (e,g" damagtll) or equitable relief (e,g, specific perfonnunee) for his injury, Ittld he uses the proceedi ng liS IIIl1~nnS to oblaln Ihbt result," TIlliS, a contmct will not be dC'C-llIed ullconselonable solely bccl1use it ~peci fies Ihe fonun (conn or I1rbitrnlion) in which a Plltty is to pUl'lme it~ claims 50 long us thc contract does not ubridge the parties' rights 10 equally pursue remedies for Ihelr claims ugainst cllch other, In the words of the court, rother than being unconscionable, "a party, 'by Il.greeing to arbi trate, ,., lrades the procedures and opportunity for I'f;vlew of Ihe courtroom fOl' the simplicity.l nfonnali ty. and expedition of lubill'lltion:·...

Interstate Commerce Challenge Ali refcrenced earlier. In addition \0 Citablishing the existence of a valid and wril1cn Itrbitrntion agreement. the Fedel'lll Arbitrntion Act requires proof that the contmet containing the arbitrntion agreement " involvcs" interstate comme," in ordcr for such agreements to be enforteable,"' Long an aftenhouaht beClluse of the historical bl'f;lIdth of "interstate commerce" since

(Oun, In SIStefS of IJlt ViS;WI;Oll 1', Coclrrtm PlaJ/uing COin/HillY,"' the coun recognb.ed that the "involving interslllle commerce" requirement merited a new Icvel of !lerutiny due 10 the United States Sup~me Court's recen t de<:lsl()flln Uniltll SMIts ~ WML" In LoJ1tl.. the Uni ted SUlteJ Supreme Court struck down an act of Congress for the fil'llt time in 60 ycan; duc to their condu~ion that Congress had cxceWed their authority wnder the Commerce Cilluse in pllSsing the subjcct act,- The Lo~z Court ntled that in ortier for an economic IlCtivit)' to come within Congress' Commerce Clause authority. the activity must "~1Ib­ Jlantilll1y IIfTect" intcrstDtc commerce," Based lIpon th is interprctDtion from Loptz, the S;J/ttfJ of IIltt Vb/IliI/OII coun inferred 111m the Federnl Arbitrnllon Act'S re'luirementlhm n COllt1'llC1 including 1m nrbilnllion Ilg~el1lent "Involve" imerslftte commerce must 1101'0' "substnntlally IIITect" hllersulle commcrce,The S;J/trrS of Iltt! ViS/WI/till court next proceeded to estDbli~ h I five-factor test to determine whether the part )' seckins to enforce the lubilnuion ngrecl1lcnl hud slllisOed the ''!;ubstantillll y lffectiug" interstotc commercc re(llIiremcnt. 111e following fnc101'5 lire now to be considered whcn analyzing the intcrstllte commcrce requirement: ( I) eiti1.cnship of Ihe parties: (2) nlovemcnt of tool5 and equipmenl IlCro~S stDte lines: (3) a.lloclllion of cost of services and mutcriuls betwccn intl1l5tllte and Interstate $Ou rce.~; (4) subsequcnt ITIOvel1lCnlllCrosa Slate lh.es of subject mllllcr of contract; Ilnd (5) degree of scpambililY from other oontrncts thllt hlly(! 8ubslfllltial effcct on interslille comme~," In lighl of this lIew lest, one might conclude thaI Intrn.~talc trn lllllCtiollS between Alabama ruldents. such as the one involved in Sis/t!rs of the ViS/WI/Oil. nrc les5likcly 10 satisfy the ~i nterstnte COllln1oC~" requiremcnt. A mcre recitution in a contract that the panics acknowledge the contrnet involves ll1terItate CQmmerce ~tandini alone is insufficient.- l·lowever, the coun has observed Ihat "cven lin Intrustute trnnslICtion 'involves' inierstllle COllllllCrcO i r it h:l~ II substl1ll1illi effct:t on 1he genel'lllion of goods or scrvice5 for in1etStilto mllrkelj lind Iheir distribution to the consumer,"'" In I~ iN/fIe SttlwllrI'OI lhe Cmlrt urguubly limited the S/SIUS of the ViJ'iul/;o/l holding to allow Ihe "intcrslllle commerce" !'t(luirement to be mel whcn intfPSt:He ae li vi ties are '·inlegrlll and InsepnfPble puns of the now of interstate commerce,"'" At issue was whe1her n distribution usreel11ent between "/itt 8/fllli/lg/wlII Nellls nnd II locnl distribtltor sut i~fied tbe "lmerstllte commerce·' requircmelll, 'nle court concluded thm, while the immediate actions only of newsplIper dislribution onl y involved inlrnstate commerce, such actions were 0 piltl of II much laillcr ~now" of interstnte commercial activi ty.... Justice Houston, who joined the majority in Sislers of llie Vis/lalloll and .... ho 01$0 eoncumd specially in S,ewart harmoni1.ed the court's two opinions by explaining tim! "neither the words nor the rcasoning of the majority opinion in S/slerJ of Ihe Vis;/(l/iOlI has any preccdcntilil value in a case involvin. an Qctivlty in which the now or commerce must (Ontinuc in order to ful1i11the purpose of the oetlvity: ·...

'Jb dale, the court has dctemliocd thotthc followir.a type conLrDCIS failed \0 SIItl~fy the Federnl Arbitrlltlon Act's "nterstate 11I1111111111/IIIIH

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ALABAMA STArE BAR To Serve the Profession 68

JAN UA R Y 2001

comme rce" requireillenl: ( I) DeMlmet for Ihe provision of plas, leri ng servi ces betwccn Alooorna residents;" (2) n eommel for lhe repair of a chimney betwccn Alabama residen!!:'"' or (3) lin insurunce COfilroc t involYina an Alabama insurer o.nd 0.11 Aillbamll insured'" Thus, parties seekina 10 enforce arbitrution agrccmcnt ~ in ('Vfltructs between AlabalTUI res idenls ore li kely to have gn:ater difficulty estnblishing the "interstate commerce" requi re ment than those contracts involylng parties of diverse res idence,

Coort of Al:lbuma h:1!J been compelled \0 address and ~o;ol vc lCortS of complex and difficult i~sues reaarcling the \iabilit)' of lU'bilnllion agrccll1cn L~ in nu mcroUJ contexts. The fC!;IJh of the oourt's effortS is /I subsmntial body of Duthorit)' thlit riyals 00)' 5Wle appellate cooI'I" in breadlh and depth 00 lhe subjcct of formution aod enforcenbility of nrbitrlltion agree ments, • F.M. Hillan. til flo! ...... " ' _ ... I11 ...... A!..... ''MWII U' ............. I11 ....... fIot.A _ .......

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ALABAMA

S TAT

E

B AR

Publications ORDER FORM TIle Alabmnu State Bar is pleased to make available to individual attorneys, linns Md local bar associations, at cost only, a series of brochures on a variety of legaJ topics of interest to the general public.

Below is a current li sting of public info rmation brochures available fro llllhc Alabama State Bar for di stribution by local bar associations. undel' established guidcHncs.

BROCHURES To Serve the Public .. ,................................................."...............$10.00 per 100 Qty. ••. details of bar public service programs highlighted in tile TO SERVE THE PUBlICvidoo presentation

$_

Law As A CsrBer .........." .... ,...................................................,... .$10.00 pe, 100

Qty.

$_

Qty.

$

Qty.

$ _

Qry.

$_

.. OppolhJOitIOS and challenges 018 law career today

Lawyers and Leglll Fees ............................................................$10.00 per 100 .. a summary of basic Informauon on commoo Ingal qoostJons ard procedureslOf 1118 general public

LBst Will & Testament ................................................................$10.00 per 100 covers aspects of estalo planning and the Importance of havin~ a win

Legal Aspects o( Divorce ......................................................... .$10,00 per 100 _.offers options and choices involved in divofco

Consumer Finance or "Buying on Time " ................................$10.00 per 100

Qty. outlines important considerations arld lJfovrdes advice 00 finallCial mailers affocting me individual or family

Mediation, ,. Another Method ......... " .... " ........ " ...................... ,.$1o,00 per 100 for Resolving Disputas

Qty,

_ _

$ _ $ _

.. provides all overview of the mediation process in question·and·answm farm

A"bitr.ti,," Agreements ..... ""."" ... "'"." ... ""."" ..... " ....... " ... ,, .. .$10,00 per 100

QIy.

$ _

.....................................$5.00 each Qty, ... indiviOOal stand imprinted with Individual, firm Or bar associatkm name for use a\ distribution points One stand per brochure is rocommended

$ _

., ,aIlSWEJS qucstiolls on arbilfatioll from tho COllsume(s PDrspective

Acrylic Brochure Stand ................................

Neme to Imprint on , 'and: _ _ _ _ __ _ _ __ _ _ __ Mailing Address

Subtotal $ Shipping & Handllllll $ 5.00

TOTAl. $ Please remit CHECK OR MONEY ORDER MADE PAYABLE TO THE ALABAMA STATE BAR for the amount listed 00 Ihe TOTAL line enrl fOfWard II wi th thiS ardor lorm to: Sl.rS<lll Andros, Dilector 01 Communrcations, Alabama State Bal, PO. Box 671 , MonIgDm9!y, AI. 36101

11//1/1/11111

l i ll i/I(

71

Howell Heflin:

First in a New Generation of State Bar Leaders

BY PAT BOYD RUMORe'

H

owell T. Hemn orThscumbin served liS preside nt of the

Alllba nHl Suite Bllr from July

19M to Jul y 1966. At !lgc 44, he was th e first Iuwyer to be ejected prcsidclI1 who

hnd gnldUlllcd from law school :md entered the bnr ufter Scrving in World

War II . the first of u new generation of Slale: bar leaden whose atli ludc.~ would

be unlike those who came befort. TIlese lawyers were !'tad)' for change. for proaress and for reform, and the Hemn

administrntion luld the groundwork for what mnlly have called unbeliCV:lble chllilges in the years lhm followed .

Wh ll! WII.~ Ih~ eli mille of th e Icsul s)'s. lt m In Al abama when l'lowell Heflin look over the rtigns of Icudership'! Wit h few exceptions, the stllle blir hnd been led for rnuny years by men whu pmpouJldcd the thernes of stales' rights,

imerposilion 1100 5egreglllion in defiant

opposilion 10 United Stmes Supreme

1It'j/iI'

Coun rulinas whic h dcmunded ( hunge, And their view~ dominnted the p;lgc~ of 'I'lrt! Alobama i..tlwyu, the voice of the Alnbumll SUlle Bar, Alubnrnn had becn the scandal of th c nmion with l1 quickie divorce mil l which the legiNllI1ure rcfused 10 sh ut down i>芦lIuse llIarty of those who were selling rid! from law pmclices spednliting in the out-of-stute "quickie" . divorce had unduc influ ence there.

Justices of the: peace were perpctrllting 11 !ICUrldl1l as well. becnuse they made their livi ngs by alWAYS finding agll/"$Ithe ecfenoont In trume ellws lind always finding/or the plnintiff in collection ellSCS, since thei r 72

JANUARY

2001

;n Ilrt' t'arty '6OJ

income clime from fees IIIld court costs IIgtti nst the dcfendunl~ in these cuses, Again the Icgisl;uure refu.~ed to uct to refonn the Situation. It l'IJso refused to ndopl new rul es of civil procedure be<:II I1SC, It seemed, I1IWIY older, infl ucntiallQwYer8 liked to use their esoteric knowledge of Alnbnmn's ancien! plellding sy~t em to trip up the youn,cr ,eneralion. The modc l lcgi~lmiOfl propo~cd to updlllQ Alnbf:trllli'S oourt proccdurc.~ WIIS bllsed on r'llics l1scd In the foocl"lll court system, on whose benches were the 1I,j/I" If! 11111 /l/arillu "dcmo~ " j udges I>oimed to usse.~sed

_. -

,."

by Alobuma's 5Ciregotiolll~t p!)litieions as the cause of all of Al nblllllll '5 troubles.

TIlere were backlogs of C!L'IC.~ In boIh the state circuit OOllJ1S lind the stllte llppelillte courts with no systcmmic administnllion of COIlI'IS through which these problems could be tlddresscd, JUdgCi were tOO few, lI00crpaid PIKl without benefits, The system of removing both !>lKllawyers and b:Id judgel was antiqUJlled ond convoluted.

And Alobuma's C()(/, hod not been revi~ and upduted in 20 yean;, kuving lawyer'!! with llIIlIly book.! Ihol hnd bigger pocket pruu than mailllexts, Yellinle. ifllnything, hod been done by the slme !>llr to try to improve the situntion. [t was perceived by many of the youngcr members liS II dol'mmH organi zmioo whose lendcl'llhip acccpted the stll1US quo nnd represented lUI ern Sli11I00kina bllCk to the wounds of Rcronstruction nnd the Civil War, Heflin 's electioo might be de.wribed 11$ a coup, but he will not IIdmit to nny planned reVQlution. In d~ribins how his election came lIbout, he merely ocknow ledges that prior to the convention nt which he wos elected, he hlld not been Ii member of the bar eOlllmlssion or those eommillees thm Generall y I>rod uced the leadership ranks, At the conve ntion in Mobile where the eleclion look place, there was a nominee ge nerall y viewed as the "anoilllee" of the pow~r slructure of the bar who WlU expcc:led to win. He was Il man who had entered the bar during the mid路 1930s, u had mo~t of the leaders of the de<:Rde prior to Ilemn 's election, ond who, it WQS believed by mUSt, represented lhe Simus quo, There were th ose who were looking for new leudcBhip Imd thcy used a ru mor flonling li:J'()und thc convemioll that the nominee was being looked ht by the Inlemrd

Revenue Service because of possible unrcpol'lcd canasta winnings al his country club u an excuse 10 recnlilll second nomi nee. nle nominee th~ recruited was 1I0well l-lemn. Although not a member of the l)()Wer structure of Ihe past, Hemn Wl15 n regular lIuendee of bilr conventions nnd hnd helped II fellow North Alubllmll \lllurne)" CloPl>cr Almon of Sheffield, gel elected bar pres idem a few years earller. giving his nominating Sl>ccch and pollticking at the convention two ye:u-s in II row sInce Almon WIIS beat the nrst time out b)' Kirkmllll Jackson of Birmingham. !!emn was well known in the oor for Olher reasons as well, TIlt University of Alnbumll" Inw !lChool dfl.ss of '48, of which hc WIlS n prominent member, is highl)' reg:mlcd in the history of Alnbllnm'~ Jegnl profession for the number of prominent nnomcys who were omong iu roster. The mtmbers of the Colbel'l County Bnr Assotiation hnd previously elected Heflin presidtnt of thei r association and Ilt !he time of the 1964 Slate harconvention, !lemn WItS 5Crving as president of the Alllbama Trial l..nwyers Associntion. He had previously helped found the University or Alabama School of LIllO.' Alunlni Associmion lind was preside nt of the luw school's Foundation from 1962 to 1964, While influentiul eorpomte :IuQrneys from Alobanm'. mujor ti ties had domi · nated the ba.r durin, the decade that preceded his election, Henin was known as a "country IRwycr" who $pt:(;iali1.ed in IIgenernltriol pmctiee of both criminal and civil cases. He was even referred 10 b)' some as the "Perry Muon" of NOl'lh Alabama. 1·le was also known as II decoruted wur hero. huvlng earned both u Silver SUlr and the ?urple Hellrt during his World Wur II service liS a Marine in the South Pacific, und!ls a member Qf on Ahtbanlll fllmity rfunous for its member§ who had rendered public service throughout AlubfU".'S history. Among severnl well·known fumily members. h i~ uncle, Tom l1enln, bad reached the pinnacle of 5Crvicc b)' his eleclion as a United Stmes Senator from Alabama du ring lhe 19205.

FQr ony group of ullorney~ looking for new leadership, Ho....dl Heflin was the perfect choice. And there WI!S un immcdilltc ground Iwell of enthusiusm lit the convention once !lenin's nllme was pre· sented U 0 possible alte rnmi ve to the one

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known nomi nee. On Friday afternoon of the convention Hemn a,reed to lICCCpt a nominlllion. Thereupon II phone campaign to north Alabama began and. by Smurday morning's ele<:tion, busloads and planeloads of new convention Il\len· dees who represented the younger gener:I\ioll of the bar were prtSCnt in the Illldlence to enrry the dllY for Howell T, Htflin.

Heflin used his year lIS president-eleci to mllke his plllns. Becolling aetive;n bolh Americnn Bar Association lind

American Judicature Society programs. he used the oppol'lunities afforded him by these activiTies to learn w~.tIt Othtr slates were doing in the areru of leglll cdUI;lI.tiOIl, bnr Rssocimiol1 ollanillltioll Dnd judicial nnd legal reform, And within two months of tnking over the reigns or leudership he e.~lllblished Qver 25 new commillecs 10 undel'lake the process of eXilmining the many issues fllCing the bllr aJld Ihe legnl system in Alnbnmll Il.~ the first step in 11 long proccss of reform.

More Ihl\1l 250 Inwyers were _I)pointed

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to the various commillees, representing every googruphic,ll urea or the Stille und bringing iruo I(lldership many new fuees from thc post·war classes of bar admit· tee.~. I:rom the rllnks I)f thcse comminees would come I I future bar presidents, including seven of the ten in the decade followi ng Heflin's presidency, as well IlS future federal mid sune eoun jUdges nnd dozens ofinnucntial pmctiriOllefll, making them the crean! of Ihe crop of their genermion of Alabama lllwyers.

1·lowell Jienin is noted in the annals or Alabama's lcgal history for his leader· ship in the hiSlI)ric revision of the judi. tin t tlniele of Alabama's 190 I constitilll· tion which reol1laniu:d the judieinl systelll. This revision would cOllle about during his subsequent tenure as chief justice of the Alabtlllla Supreme Coun du ring the years 1971 · 1976. It nllly not be so well known Ihal the committees he appointed dUfi ng his SWI\: bar pl'eSidcncy

began the proccs~ which brought about erenlion of Alablllna's judiei!!1 eommis· sion, eliminatiOn of the corrupt justice of lhe peace system, prol1lulglllion by the Allibarna Supreme Court of the rules of procedure used in all Alabfuna StIlle courts, adoption of a new code of ethics. revision Qf the procedures followed in the grievance process, recodification of the emfl! of A/alm/lla. new disciplinary procedurcs for judgc~ includi ng re moval (rep1udns the never-used impellchment process), u rctiremCllt systelll for judges. flnd buthorilo:fltion of cil i:t.ens' e()nferences on the courts. Thege commillees also started the worK which resul ted in the cremioll oflhe various clinical educa· lion progrunlS at Alabnnlll's schools of law, crt!ntion of legal lIid l)rogrnl1ls in Alabama. improvement of the law on bail and rccogni7.ance oond~ in Ihe stale, crellIion of the Client SecurilY Fund, ndoptioll of tontilluillg legul educulion

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74

JANUAIlY 2001

requireillents, II reorienlmion of Ihe cdi. torial policies of Tile Aia/)(ltf/(l Lmvyer, lind Ihe crention of the Alabama Law institute.

Whlll is iI about Howell T. 1·lenin thm allowed him to be the catalyst for 50 much change?

First, he is a lllan of character, whose integrity, honesty IUld bll~ ie lulselfishness have been recognized by olhers Ihrough. out his long career of public and profes· sionol service. And he is a mun of energy Qnd persiste rlce who has dcrivcd tremendous sutisfaction from usmg his talents to bring nbout positive forwnrd progress In a St(J.tc where, lind durillg nti mc whell, many in I)()sitiorls of leliders hip were rcclllcilfllnt in fighti ng lhe forces of' change. He is jl lInIn of fait h, the son of /I Methodist ministe r, and his fai lh has i ivcn hi.m optimism nnd hope, He is a man of loleranee, who h ll.~ alwllYS judged othcrs not bll.~ed Orl mce, erecd. se ~ or religion hut on the contcnt of Iheir character and 011 their nbility. And he is II mon of hUlllor and good will, recognized for his ubili ty to lighterl the llInlosphere even in Ihe lensest sltu;lIions wilh a well· placed anecdote or tur'n of phrase, He is :1180 a mnn with man y friends.

His bar service laid the foundmi on of friendshi p, but another fortui tous public scrvice expanded his conlacts lImong lawyers throughout the state. He was one of the organizers und nrst president of the UniVersity of Ahlbarn~ LIlw School Alumni Associfltion. Subse<lllelllly, he

helped organb.e and served IU presidem of the Law Sc hoo l l~undnl io n in !he curly 1960s and Ihen, in 1969, he he lped found Ihe FIlITIl h Law SocielY m the Uni versit y of Ala1»mll School of Law and f;C rved as itl li rsl chllimllln, In Ihese endclIV()rs, he WII$ in touch with lu wyers !hroughoulthe Slate recruitin g membel'l and tflisina funds fill'" improveme nt of legal educmion, These friendshi~, not based on politics, but on a mutual love for their alma miller and Ddesire to improve Icglll education, provided a 10YDI base from whic h Be m n WllS uble 10 druw leadership und support for 1111 the reform e ffort5 he espoused. lIowell Henin h~s n l wllY~ d i~ pl ayed II kind or nntlll1llaITability li nd sense of humility which hns allowed him to eommunie!!!c with Aln blUllin ns from all wlliks of life III II level of friendshi p nnd i (lO(l will , Early In his Iwblie speaking eareer he eremed Story churtlelel"ll like No-Tic l'lllwkins, Sockless Sli m li nd Beltleu Bill from Vinn, Ailibamll, In the Freedom Hills. H i ~ lall lilies nbout these chanlcter.l became JO popular and wellknown that yellrS loter when he WM lit the ope ning or the I l lh Circuit Coon of Appellls, created b)' legblm ion he sponso~ liS a U.S. Senator, he was a iven II cenificnle of ad mis~lon for No-TIe Hawkins to pruclice before Ihllt court. lie was recognized in me January 1982 edilion of the " 'tIslrirtgtOlrltm mago.:d ne omong WoshinSton'S ten best political jokers. along wit h Ronald ReuSlln, Dob Dole, Pal Moynihan li nd Mo Udllll, while servi ng a.~ United Stale$ Senator from Aillbllrtln, A sign of the un iqueness of the nUl n who has been described o~ "probllbl y the mOSI effective I,re ~ iden t the Aillblllllu Bllr AssociUlion ever 1100" i8 the mllllY lIffectionnlC nicknlUlles and thles hll hilS hud throu ghou t his li fll, When as ked. he recII1l5 Ihotll8 II child hll WM dubbed, lif!il, " Her ' and Ihcn "!-leITer", bmh " rderence to his lust name and a suggestion about his si1~, even IlS Dyouna man. He disc recalls the blind date he hlld while serving ItS a Marine in New Zealand who, upon seeing him for Ihe first time, said. "Why, he's as big /IS 1\ moose."

Thus "Moose" became his nickname duri na his time in the Mari nes. An()(her nickn ame rd errina 10 his bulky shool. dcl"l' lind chest wa ~ aiven him by Associllte Supreme Court Juslice and good friend 111nie Shore.'. who called him

" Buffa[o." He Wft!J called "Chie r ' by his StaIT allhe supreme COlIn , "Jud gc" by fellow Inwyel"l' ond justices and even Senat01"8 du ri ng his eMly yeors In Washington, lind now "Senator," When asked which title he likes Ihe best, he 58ys they 1111 refer to different stnges of his life, and his prc:fereDce .KlW is just pillin "lIowell."

Justice Shores hft!J wrillen: 1)0 some few people of ench generIItion stand 001 from Ihe OIhel"ll bccnu$C: of diffcrences in kind or simpl y bccOllSC of dHfe rcnces in dcgree'~ Do we admi re those few because lhey possess in iremer qU llUthy than OIher.l the chnmcte ri$tiC8 we most adm ire. Sllch churncterislies liS b;,sit:; hone..~ t y. integrity. loynhy, complete deYOlion to furnlIy lind dcdicmion to excellence in every undcnnkin g1 Or Me they differelJl from the OIllen In kind" Do Ihey possess quali ties which most othel"li do not have? 111m not sure, Bul I do know Ihlll such people are speciul, ond I know tha t HQwel1 Thomas Hemn is ~ uch a person.

Howell T, Heflin has had n long li nd d i sl i ngui~hcd career :lS an ~ lIomey, a juri51, SUllesman. educator, soldier, and dedicated public serva nt. His is a caree r uny u~piring ollomey cwld use a$ a model of the besl 0 lowye r clln a.~pire to be. And, fOrtunlltc:ly for the lawyers ond citizens or Alnbnnm, he waS the righl mnn !!elected ntthe ri ght time 10 bring positive refoml 10 Ihe legal system of Alobnl\la. And he laid Ihe foundntion for

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Notices • D.... id Malcolm Tanner, whose whereabouts are unknown, must answer the Alabama State Bar'! formal disciplinary charll:es within 28 da>'5 of January 15, 2001 or. thereafter, the charges con· tained therein sh.. ll be deemed admitted ~nd appropriate discipline shall be imposed against him in ASH nos. 99.251(A) and OO·Q30(A) befort the Disciplinary Board of lhe Alabama Stale OllT.

• Grego\,), Mllu lieu, whose whereaoouls m! unknown. IllU~ t answer the Alabama Slate Bar's forrnlll disciplinary charllc5 within 28 days of 13nmlr,), 15,200) or, thereafter, tht charges con· tained therein shall be deemed admitted and appropriate discipline shall be impoud against him in ASB No. OO·04(A) before the Disciplinary Board of the Alabama State Bar, • Notice is hereby given to Melvin Lamar Oalley, who practiced law in l-Iarper:svUle, and whOM:

Disability Inactive • Itobcrudllie auorncy Ollniel T, Danku ter wu transferred to dis.1blllty InaClivt statu! pur~llant to Rule 27(c), Alabama Itules o( Disciplinary Procedure, e((ectivt October 17, 2000, [Rule 27(c): AS6 Pel. No, 00.03J

Disbannents • The Alabama Supreme Court a((irmed an ord~ r o( the Disciplinary Board, Panel III , dislNlrring Mobile attorney John Thorn .. KrouUer (rom the prncllce of taw in the State of Alabama effective October 11, 2000, Kroutler was found guilty o( violating rules 1.3 [diligence[, 1,4(a) [communication!, 1.5(a) [feesl. 1.15(b) [safekeeping of property], 8, I (b) [bar admission and disciplinary maum] and 8.4 (b) (c) and (g) [misconduct] in three separate cases. In ASB No. 97-37 1(A), Kroutler wilt emplOyed by the client to probate her decell.Sed hu~band's wilL Without the client's knowledge, Kroutler settled a claim in the amount of $23,000. Krauller misappropriated these (unds to his own use. Theru(ter, the probat~ cou rt ordered I{routler to t'ile a partial settlement o( the deceased's estate. Kroutler failed or rcfu~ed to file the partial settlement resulting in lhe court revoking Ihe client's leUen testam ~ nlary, 76

JANUARY 2001

whereabout~ are unknown, thlll pursuant to an order to show cause o( the Disciplinnry Commission of the Alabama State Bar, dnled AUJ!ust 7, 2000. he has 60 days (rom the dale of Ihis publication (Januat')' 15, 200 1) to come into compliance wilh the Handatory Continuing l..eg.ll t:ducation req\lirements (or 1999.

Noncompliance with the MCLE requirements shall re~ult in suspension of hi! license. leu.: No. 00-11

• Notice is hereby given to SIOIn Young, who practiced law in Hirminl{ham :md ....~l ose where· abouts are unknown, that p\ITSuant to an order to show enust: of the ])isciplin;lry Commission of the Alnbama State Bar, dated Aultus~ 7. 2000, he has 60 days from the dille of this publication (Janullot')' 15,200 1) to come into compliance with the Mandatory Continuing Legal Education requirements (or 1999. Noncomplinnce with the MCLE requirements shall result in suspension of his license, (CI.E No, 00-4 11

Desl)ite repeated requests for information, Kroutler failed or refused to communlt:lte with the client or provide her with information on the status of the probate proceeding. The clienl filed a complaint with the Alabama State Bar, Kroullu fai led or refused to respond or cooperate with the ~lobile Critvance Committee. Kroutter was interimly suspended (rom the practice of IIIW, and restricted from maintaining an attorney trust account.

Pormal charges wer~ later filed and Kroutler al10wed a default to be taken, In ASH No. 98.274(A), Kroutler w~s rctairled by the client to represent her in a Chnpler 13 bank· ruptcy proceeding. The client paid Kroutler a filing (ee of $160 and attorney's fees in tht amount of $1.500, Although Kroutter represented to the client that this was his only fee, he applied for and received an additional $1,500 from the funds the client paid through her Chapter 13 bankruptcy plan. The client also paid Kroutter 53,176.28 to be used to mak~ her mortgage payments. Kroutter did not apply this sum on the client's mortgage, b1.lt misappropriated and converted said sum to his own use, resu lting in a (oreclosure on the client's home.

The client was forced to refinance her mortgage at considerable addilional expense. Kroutter also (ailed (lr refused to return the client's telephone calls or respond to written correspondence.

Kroutter Wa! stTVed with charges. which he failed to answer. Adefault was taken against him, In ASS No, 9!l.129(A). Krouuer WII$ employed by clients to represent them in connection with appeal of a mortgllge foreclosure on their residence.

Kroutler negotiated a settlement under the terms of which the clients' mortgage obligation would be satisfied by payment of $12,200. They paid Kroutler a total of $13.200 to be used to pay the mortgage obligation and Kroulter's fee. Kroutler mls.~ppropri . ated and converted funds. Foreclosure proceedings were brought Against the clients. Kroutler also failed or rdused to return telephone calls or respond to wriUen correspondence from the clienU. After Kroutter did not respond to the wfltten r~quc st of the Mobi le Bar Assoclatlon investigator, the investigator attempted to contact Kroutler and discovered that his offiee had been closed. his telephone di$(on· neeted and his law practice aban· doned.

On May 26. 2000, an order setting d..1te and pl(lce (or hearing to determine diSCipline was fli£d and service attempted upon Kroutter by certified mail.

Krouuer failed or refused to appear for lhe hearing to determine discipline. On June 29, 2000. the Disciplinary Board issued an order disbarring KJ'01,ltler (rom the practice of Illw.

Suspensions • Birmingham attorney William David Nlchob was intetimly suspended from the practice of law In the State of Alabama pursuant to Rule 20(a).

Alabam.1 Rules of Disclpllnllry Procedure, by order of the Disciplinary Commission of the Alahama State Bar dated September 29, 2000. The Disciplinary Commission found that the rupondent attorney had (ailed or refused to respond to numerow requeSIJ (or infOrmation (rom a disci· plinary authority during the course of disciplinary proceedings by the Alllb'lmll State Bar and the local griev· ance committee o( the Birmingham Il.u Association. IRule 20(a): ASB Pet. No. 00·07] • Dothan attorney Stephen Glenn McGOWi n was 51,1spended (rom the practice of law in the State of

Alabama (or a period of two years effective September 29, 2()()(), by order of the Alabama Supreme Court.

The supreme court entered ilJ order based upon the deci5ion o( Disciplinary Iloard d the Alabama State Bar. Bll$ed on the evidence pre· sented. the board found that McGowan knowingly provided false, deceptive and misleading information on his application to take the Alabama State Bar eXllminalion and furt her knowingly failed or refused to fully and completely provide or dis· close the informatiOrl requested in the application. McCowan was also required to submit a new application to take the Alabama Stale Har elUlmi· nation. to be approwd by the Character and Fitness CommiUee of the bar and to retake and pass the Aillbama State Bar uamlnation. In addition, McGowan was also required to complete 12 houri o( continuing legal education on the subject o( professional ethics. McCowan was found to have violated Rule 8. I(a) which prohibits II bar applicant (rom making a false statement of material fact, Rule 8.4(c) which prohibit! an aUorney (rom engaging in conduct involv· ing dishonesty, fraud. deceit and mis· representation. and 8.4(g) which prohibiU an attorney from engaging in conduct that adversely reneclJ on his fitness to practice law. (ASB No, 98· 05IA)) • Bessemer attorney Garry Wayne Abbott was suspended (rom the prac· tice or law in the State of Alabamll (or a period of 91 days effective September 2, 2000. by order of the Alabama Supreme Court The SUI)reme court entered its order based UIKln the fil'lding~ lind ortler of Disciplinary Commission of the Alabama State Bar. Abbott pled guilty to violating rules 1.l 5(a), 1.1 5(b), 8.4(c) and 8.4(g), Alabama Rules of Professional ConducL Abbotl admit· ted that while serving as trustee for a client he commingled and misappro. prlated trust funds, took improper aO(Vor unauthorized advances from the trust estate, and failed to render a timely accounting of his management of the trust. lASS No. 00-115(All • Birmingham attorney Michael Jacklon nolling,worth was interimly

suspended from the prllctice of law in the State o( Alabama pursuant to Rule 20(a), Alabama Rules of Disciplinary Procedure, by order of the Disciplinary Commission of the Alabama State Bar effective, November 13.2000. The order of the Disciplinary Commission was based on a petition filed by the Office of Ceneral Counsel evidencing thai HolHnllsworth had, on more than one occasion. failed to promptly notify clients and third parties upon receipt of funds belonging to them and had failed to promptly remit those funds to the righUul owner. IRuie 20(a).

ASS Pel. No. OO-OSI

Public Reprimands • On September 29, 2000 Anniston attorney Daniel Eugene Mom . recei\ltd a publiC reprimand without general publication invoMng four separate cases. In January 1995.

Morris was employed to represent Clarence Griffith before the Board of Pardons and Paroles. Griffith's family paid Morris a total of $6,000, Thereafter, Morris (ailed or refused to obtain a hearing before tht Board of Pardons and Paroles for Griffith or to take any other action on his behalf. "lords failed or refused to return tele· phone calls. respond to written corre· spondence. or otherwise communi· cate with Criffith or his family con· cerning thc status o( the representa· tlon. Morris's conduct violated nule 1,3 of the Rules of ProfeSSional Conduct which provides that a lawyer shall not willfully neglect a legal m1\l· ter entrusted to him and Rule 1.4 (a) which provides that a laW}'CT shal! keep a client reasonably informed about the status of a matter and promptly comply with reasonable rtquuu (or information. IASB No. 98- 145(A)J In 1995, Morris was emllloytd by Kenneth Barrett to reprtstnt him at a hearing before the Board of I'ardon$ and Paroles. Barretl paid Morris $12.000. Thereafter. Morris f::liled or refused to file a petition with the Board of Pardons and Paroles on behalf of IJarrett or to provide him with any other meaningful representation. Morris al:so fa iled or refused to return telephone calls, rcst)Qnd to 11111/11I11I1/11I)//(

77

written correspondence, or otherwise communicate with Barrell concern· in" the status of the representation, Morris's conduct const ituted" . . iola· tion of Rule 1.3 of the Rules of Profe$~ional Conduct which provides lhat a lawyer shall not willfully neB' lect a legal matler entrusted to him and Hule 1.4[a) which pro . . ldes that a lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests fo r information. IASa No. 99-158IAII Morris Wa.! employed by OQnald Lee A!lison to represent Allison's stepson, Dennis Cal . . in Willian\s, before the Board of Pardons and Paroles. Allison paid Morris $4,000 in attorney's fees.

Morris fai led to investigate the fllcts or research the legal issues in . . olved in Williams's case or otherwise ade· quately prepare for the hearing with the ruult that Williams was denied parole. Sub~eQuently, when the lloMd of Pardons and Paroles reset Willial'l"lS's hCllrll\(I iI\ April 1999, Morris fa iled to appear at lhe hearing. ~lorr i s also fail ed or refused to relurn telephone calls, respond to written correspondence, or otherwise communicate with his client or his client's family concerning the status of the representation. Morris's conduct . . iolated Ihlle 1.3 of lhe Rules of Professional Conduct which pro. . ides

that a lawyer shall not willfully nell· lect II leglll mlltter entrusted to him and nule 1.4(a) which provides that a lawyer shall keep a client reasonllbly informed about the status of a maUet and promptly comply with reasonable reqllests for information, [ASB No, 99-201IAII In 1994. Morri$ was employed by Michael T. McArthur before the Board of Pardons lind Paroles. McArthur paid Morris $8,000 In attorney's fces.

Morris failed to appear at McArthur'S hearing before the Board of Pardons an Paroles on No'~ember 3, 1994, Thereafter, Morris promised McArthur's filmily that he would gel the: he:ilrinA re~hed u ! ed but failed to do so. Mo rr i~ also represented to McArthur and his family that he would obtain a reduction in the pHiad of time before McArthur was eligi· ble for another htllring but flliled or refused to make any attempt to obtain such a reduction in time, Morris also failed or refused to return telephone calls, respond to written correspon· de:nce, or otherwise communicate with his client or his client's family COl1ccrning the status of the representation. Morris's conduct . . iol.<!ted Hule 1.3 of the Rules 0( Professional Conduct which ptO . . idcs thllt a IlIwyH shall not willfully neglect a legal malter entrusted to him and Rule 1.4(a) which pro . . ides that a lawyer shall

keep a client reasonably informed about the status of a matter and pr(Hnptly comply with reasonable reQue:sts for information. [ASB No. 99-21 4(A)J • On SClltembtr 29, 2000, Mobile attor· ney Robert Coope:r Wliion re:cei . . e:d a public reprhlllllld without gcncrnl publication in three separate cases.

The reprimand WIlS Il result of Wilson ha . . ing entered a conditional guilty plea to a . . iolating rules 1.3, 1.4(a), 1.16(d) and 8, I (b), Alabama Rule:; of Professional Conduct. in eilch of the following malleTS. The Disl:iplinary Board ordered thll\ WilSl)n be $U5' pended from the practIce: of law in the State of Alabama for a pcriod of 91 days, with the imposition of ~lIl d suspension being suspended and held in abeyance pending the successful com· pletion or a two-year probationflry period, In ASB No. 98·309(A), the respon· dent atlorn~y wa.~ retained to repre~(:lIt a client in a di. . orce that need ~d to be handled in an expeditiOUS m,mnero After paying the fl Ung fe:e, the client WM UI'lIble to contact the respondent attorney. He failed or refused to return her telephone calls or otherwise communicate with her, failed to appear for a scheduled appoi ntment and failee or refused to respond to repeated requests fo r information from the Alabama State

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Bar and the 1()C11 grievance commit· tee of the Mobile Bar Association.

In ASS No. 99·01(AJ, the respon· dent attorney wu retained to represent !\ client in II Chapler 13 bankruptcy mlltter. Nler being re tained, the respondent altorney fnned or refused to comnunicate with the client regarding the matter, failed to perform any substantial work or servo lees on behalf of the client, failed to appear at a bankruptc)' hcarinA: and (ailed or refused to respond to re peat· ed requests fo r information from Ihe Alabama State Bar and the local grievance committee of the Mobile Bar Auociation.

In ASO No. 99·36(A), the rupon· dent attorney W~$ retained to represent II client in i forfeiture IIction.

Respondent /lnOTne)' represented to the client that he would represent her, but never filed a response. As a result of his in:.clion. a default judgment was taken against his dlent.

Respondent attorney failed to com· municate with the client regarding the maUer. failed to do any substan· lial work on her behalf hearing and failed or refused to respond to repealed requests for information from the Alabnma Slate Il1r and the local griewl.!lce committee of the Mobile Bar A.uociation.

On October 2i, 2000, Mobile aUOr· ney Robert Cooper Wili on received it public reprimand without general publication for a violation of rules 1.1 , 1.3, 1.4(a) and 8.4(20) and (g). The respondent attorney was retained to represent it client in a Chapter 13 bankruptcy proceeding. The client paid Wilson $26,000 which represented payment in full of all oulslandinlt bankruptcy debt5. 1~e5pond c nt attorney was to retain lIle funds in his trust account and make monthly payments to the bankruptcy court.

Respondent attorney failed to make monthly payments as agreed. and the bankruptcy was dismi"ed for nonpayment. nespondCIlI attorney subsequently filed and obtained reinstatement o( the proceedings. accounted for all the funds held in trusl and remained as counsel for the debtor.

[AS" No. 00·218[Al[ • Annlstonattornt'j IlIIlIan! Wayne uwe received a public reprimand with sen-

eral publicalion. I..(M! was appointed adminIstrator of an estate b)o virtue of his position as county administrator for Calhoun County. A Birminilham law firm investigated lIle possibility of brinlting an action (or wrongful death. howevtr the family 0( the deceased decided not to pursue the claim.

Thereafter, the family made numerous requests of l..ove to $ellihe limited assets of the deceased and close the estate. Love failed to t..'\kc any action after publishing a notice to creditors.

This resulted in constant IncOlwenience to family members. Love rarely returned telephone calls to the family memheTJ. After the Office of General Counsel contacted Love on 5eVe1'll1 occasions regarding Ihis matter, Love fi nally filed a ~tition for final settle· ment of the estate on March 14 ,2000.

The Discipllnary Commission found Love's actions constituted a violation of rules 1.3 and 1.4(a). No prior discipline was ifW()lved or considered. [ASB No 99·268(Al[.

• f.10bile attorney John O. RI\'eTl was publicly reprimanded by order of the Disciplinary Commission Mtlle Alabama State Rar on October 27, 2000. Rivers was found guilty of will· fully neglecting a le~1 matter entrusted to him by it client, of failing to keep a client rea$Qnably informed about the status of a matter, and of charging a clcllrly excessive aUumey's (ce, violalions of rules 1.3, 1.4, and 1.5, Alabama Rules of Prolcsslonal Conduct. Aclient retained Rivers to represent her in an action to obtAin and enforce grandparent visitalion rights. The client paid a relainer of $5.000. During the five months that Rivers represented Ihe client he did lit· tie or no work in the matter. He did not initiate court proceedinilS until after the client had inforrmd him thaI she was tenninating the representation. He also failed to reasonably com· municate with the client regarding the malter. The Oisciplinll'), Commls.slon ordered that Rivers make restitution to the clicnt in the amount of $5,000 in addition to rcceiving the public repri. mand. The Disciplinary Commission considered Rivers's prior disciplinary history as an aggravating (actor in impoling discipline in this lnatter. lASS No. 99-63(A)j.

•

ALABAMA LAWVER

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Alabama laWillf Msistance >rogram IS avaIlable to Ilelll members of the legal profeSSIon who suller from alro· hal or drog dependencies. Intormotion and assistance is also available for the spousos. family members and office staff of sUCh I'I'IefrIbafs AJ.Af' is com· mltted to diMlloping a great£1 aware-

ness elld und&rstanding 01 th $ illness Wlthrn the legal profession. It you or someone y{lu know needs help call Jeanne Marie Leslie (AlAP dtoctor) at 1334) 834-7576 (a confidelllia direct tioe) or 24·hoor page at !334) 395-(8)7 All calls are conlidcmial

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Rales: Members: Two free listings of 50 words or less per bar membor per calewar year EXCEPT for "position wante<j" or ·position offered· listings- $35 per insonion of 50 words or loss. $.50 per additional word: Nonmombers: $35 per insertion of 50 words or less. $.50 per additional word. Classified copy and payment must be received according to the following publishing schedulo: January 2001 issue-deadline Novomber 15. 2000: March 2001 Issue-deadline January 15. 2001. No deadline extensions will be made. Send classi fied copy and paymen t. payable to The Alabama lawyer. 10; Alabama LawY9rClassi fiedS. c/o Shannon Elliott. P.O. Box 4156. Montgomery 36101 .

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2001

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Positions Offered ATTORNEY WANTED: Bovis. Kyle & BurCh, L.LC. a mid·sile, gefllJal practice aoo civilliligation finn in Atlanta. GlIOI"lIiiI. is seaking en amei· alB with 2·5 yearl' eXflSriencs to IISwma substan· tial. dil1lCt msponsibility in Insurance clelense lili· ll'ltion and/or proo(.(;lliabihty practica Br8ilS. Thu woellua will hal'S diract cllant eorU8Ct and assumo sigllficant rDlponsibililY in handling com· pI/I~ files TOO appIlcanl must Mva OIOOtJlltOO in thcl top 2!i percent of his or Il8f daS!. Membership in Georgia SW10 Bar {~nlf1Jbltr bYt IlIJIIIlIInOOlOI'/

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