A district court must confirm a final arbitration award absent statutory grounds for vacatur, and an arbitrator lacks authority to determine compliance with an award once it has been rendered.
A union trustee filed a petition to confirm an arbitration award against a healthcare facility and requested damages under ERISA in the event of opposition. The district court denied the petition and remanded the matter to the arbitrator to determine compliance with the award. The court held that the order was appealable because the arbitrator had already rendered a final award. Under the Federal Arbitration Act, a district court must confirm an award unless a statutory basis for vacatur or modification exists. Because the arbitrator's authority terminated upon the issuance of the final award, the district court erred by remanding for a compliance determination. Additionally, an action to confirm an arbitration award is an improper vehicle for adjudicating ERISA damage claims.
At page 376 Arbitrator becoming functus officio after decision128 citing cases“the showing required to avoid summary confirmation is high.”
- LLT Int'l Inc. v. MCI Telecomm. Corp., 69 F. Supp. 2d 510 (S.D.N.Y. 1999).published (finding that remand solely for purposes of monitoring compliance with arbi-tral award exceeded scope of district court’s authority, as issues of compliance were not within scope of matters originally presented to arbitr…)
- Chen v. Kyoto Sushi, Inc., No. 2:15-cv-07398 (E.D.N.Y. Apr. 1, 2021). (As a general rule, once an either. (First Post-Award Order). The FAA arbitration panel decides the submitted limits the Court’s review of the arbitrator’s issues, it becomes functus officio and lacks final award, and i…)
- Pao Tatneft v. Ukraine, No. 2017-0582 (D.D.C. Aug. 24, 2020).published([T]he showing required to avoid summary confirmation is high.)
- Catalina Holdings (Bermuda) Ltd. v. Jennifer Hammer, No. 1:18-cv-05642 (N.D. Ill. Mar. 22, 2019).([a]bsent a statutory basis for modification or vacatur, the district court’s task was to confirm the arbitrator’s final award as mandated by section 9 of the Act)
- Stati v. Repub. of Kazakhstan, No. 2014-1638 (D.D.C. Mar. 23, 2018).published([T]he showing required to avoid summary confirmation is high.)
- Gold Reserve Inc. v. Bolivarian Repub. of Venezuela, 146 F. Supp. 3d 112 (D.D.C. 2015).published([T]he showing required to avoid summary confirmation is high.)
- Denver City Energy Assocs., L.P. v. Golden Spread Elec. Coop., Inc., 340 S.W.3d 538 (Tex. App.—Amarillo 2011).published (The showing required to avoid summary confirmation is high)
- Photopaint Tech., LLC v. Smartlens Corp., 207 F. Supp. 2d 193 (S.D.N.Y. 2002).published See also Ottley, 819 F.2d at 375 (“The statute provides that the district court must grant a petition to confirm an arbitration award if it. is properly brought within one year of the date of the award”); Jamaica Commodity Trading Co. Ltd.…
- Catalina Holdings (Bermuda) Ltd. v. Hammer, 378 F. Supp. 3d 687 (E.D. Ill. 2019).published([a]bsent a statutory basis for modification or vacatur, the district court's task was to confirm the arbitrator's final award as mandated by section 9 of the Act)
- Stati v. Repub. of Kaz., 302 F. Supp. 3d 187 (D.C. Cir. 2018).published([T]he showing required to avoid summary confirmation is high.)
Show 112 more citing cases
- Rusoro Mining Ltd. v. Bolivarian Repub. of Venezuela, No. 2016-2020 (D.D.C. Mar. 2, 2018).published([T]he showing required to avoid summary confirmation is high.)
- Rusoro Mining Ltd. v. Bolivarian Repub. of Venez., 300 F. Supp. 3d 137 (D.C. Cir. 2018).published([T]he showing required to avoid summary confirmation is high.)
- Hilltop Sec. Inc. v. Odeon Capital Grp. LLC, No. 1:26-cv-04536 (S.D.N.Y. Sept. 25, 2026).“[t]he scope of authority of arbitrators generally depends on the intention of the parties to an arbitration, and is determined by the agreement or submission”
- Metro Risk Mgmt. Agency v. Hudson Specialty Ins. Co., No. 1:23-cv-01944 (S.D.N.Y. June 23, 2026).“[a]bsent a statutory basis for modification or vacatur”
- Directors Guild of Am., Inc. v. CBS Broad., Inc., No. 1:25-cv-00885 (S.D.N.Y. Nov. 6, 2025).Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)); see also Duferco Int’l Steel Trading v. T.
- Dow Olefinverbund GmbH v. Synthos Schkopau GmbH, No. 1:25-cv-05529 (S.D.N.Y. Aug. 7, 2025).“The showing required to avoid summary confirmation of an arbitration award is high.” Willemijn Houdstermaatschapptj, BV v. Standard Microsystems Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d C…
- New York Hotel & Gaming Trades Council, AFL-CIO v. 123 Washington LLC, No. 1:24-cv-07213 (S.D.N.Y. Aug. 5, 2025).Corp., 103 F.3d 9, 12 (2d Cir. 1997) (citing Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)).
- United Scenic Artists v. Parnes, No. 1:25-cv-00143 (S.D.N.Y. May 8, 2025).Standard Microsystems Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)); see also Duferco Int'l Steel Trading v. T.
- Charles Schwab & Co. v. Winston, No. 1:24-cv-10033 (S.D.N.Y. Apr. 17, 2025).“The showing required to avoid summary confirmation of an arbitration award is high.” Willemijn Houdstermaatschappij, BV v. Standard Microsystems Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d C…
- Charleston Immersive/Interactive Media Studio, LLC v. Aydin, No. 1:24-cv-04943 (S.D.N.Y. Feb. 24, 2025).Blair, 462 F.3d at 110 (citation omitted), “The showing required to avoid summary confirmation of an arbitration is high.” Willemijn Houdstermaatschappij, BV v. Standard Microsystems Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v.…
- Eletson Holdings Inc. v. Levona Holdings Ltd., No. 1:23-cv-07331 (S.D.N.Y. June 12, 2024).Co., 909 F.3d 544, 549 (2d Cir. 2018), and when the Court cannot discern “what it is being asked to enforce,” Rich v. Spartis, 516 F.3d 75, 83 (2d Cir. 2008) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)).
- Trs. Of The New York City Dist. Council Of Carpenters Pension Fund v. Vision Constr. & Installation, Inc., No. 1:24-cv-02503 (S.D.N.Y. June 12, 2024).Blair, 462 F.3d at 110 (citations and internal quotation marks omitted), “The showing required to avoid summary confirmation of an arbitration award is high.” Willemijn Houdstermaatschappij, BV v. Standard Microsystems Corp., 103 F.3d 9, 1…
- AURC III, LLC v. Point Ruston Phase II, LLC, 546 P.3d 385 (Wash. 2024).publishedId. at 396-97 (citing Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987); Zeiler v. Deitsch, 500 F.3d 157, 169 (2d Cir. 2007)).
- Drywall Tapers & Pointers of Greater New York Local Union 1974 v. KPM Constr., No. 1:23-cv-07105 (S.D.N.Y. Mar. 26, 2024).In this Circuit, “[t]he showing required to avoid summary confirmation of an arbitration award is high.” Willemijn Houdstermaatschappij, BV v. Standard Microsystems Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819…
- Equipav S.A. Pavimentacao v. Bertin, No. 1:22-cv-04594 (S.D.N.Y. Jan. 18, 2024).“Under the Convention, [a] district court’s role in reviewing a foreign arbitral award is strictly limited” and “the showing required to avoid summary confirmance is high.” Yusuf Ahmed Alghanim & Sons, W.L.L. v. Toys “R” Us, Inc., 126 F.3d…
- Trs. Of The New York City Dist. Council Of Carpenters Pension Fund v. Prime Contractors, Inc., No. 1:23-cv-00872 (S.D.N.Y. Apr. 7, 2023).Blair, 462 F.3d at 110 (citations and internal quotation marks omitted), In this Circuit, “[t]he showing required to avoid summary confirmation of an arbitration award is high.” Willemijn Houdstermaatschappij, BV v. Standard Microsystems C…
- AKF, Inc. v. Kessman Grp. Painting & Design, Inc., No. 1:19-cv-06312 (E.D.N.Y. June 22, 2022).Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987); see 9 U.S.C. § 9 .
- Directors Guild Of Am., Inc. v. Nat'l Broad. Co., No. 1:22-cv-01770 (S.D.N.Y. June 14, 2022).Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)); see also Duferco Int'l Steel Trading v. T.
- Trs. Of The New York City Dist. Council Of Carpenters Pension Fund v. M.A.B. Renovation Grp. Corp., No. 1:22-cv-00640 (S.D.N.Y. Apr. 21, 2022).Corp., 103 F.3d 9, 12 (2d Cir, 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)); see also Duferco Int’l Steel Trading v. T.
- Trs. of the Dist. Council No. 9 Painting Indus. Ins. Fund v. Pal AMG, No. 1:22-cv-00193 (S.D.N.Y. Apr. 12, 2022).Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)); see also Duferco Int'l Steel Trading v. T.
- Kondot S.A. v. Duron LLC, 586 F. Supp. 3d 246 (S.D.N.Y. 2022).publishedThe burden is a heavy one, as “the showing required to avoid summary confirmance is high.” Yusuf Ahmed Alghanim & Sons v. Toys ‘R’ Us, Inc., 126 F.3d 15, 23 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)).
- Dist. Council No. 9 Int'l Union of Painters & Allied Trades, A.F.L.- C.I.O. v. Sahara Constr. Corp., No. 1:21-cv-00167 (S.D.N.Y. May 14, 2021).In this Circuit, “[t]he showing required to avoid summary confirmation of an arbitration award is high.” Willemijn Houdstermaatschappij, BV v. Standard Microsystems Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819…
- Coscarelli v. Esquared Hosp. LLC, No. 1:18-cv-05943, 2021 WL 293163 (S.D.N.Y. Jan. 28, 2021).“the authority of arbitrators terminates with the making of a valid, final award”
- Tetronics (Int'l) Ltd. v. BlueOak Arkansas LLC, No. 4:20-cv-00530 (E.D. Ark. Sept. 14, 2020).“The party resisting confirmation—in this case, [BlueOak] —bears the heavy burden of establishing that one of the grounds for denying confirmation in Article V applies.” Gold Reserve Inc. v. Bolivarian Republic of Venezuela, 146 F. Supp. 3…
- TBC Consultoria em Investimentos Financeiros Ltda. v. Gradual Corretora de Cambio, No. 1:17-cv-03145 (S.D.N.Y. Aug. 28, 2020).“Under the Convention, [a] district court’s role in reviewing a foreign arbitral award is strictly limited” and “the showing required to avoid summary confirmance is high.” Yusuf Ahmed Alghanim & Sons, W.L.L. v. Toys “R” Us, Inc., 126 F.3d…
- Trs. for The Mason Tenders Dist. Council Welfare Fund v. Universal Pres. Grp., No. 1:20-cv-00626 (S.D.N.Y. Aug. 18, 2020).Corp., 103 F.3d 9, 12 (2d Cir. 1997) (quoting Ottley v. Schwartzberg, 819 F.2d 373, 376 (2d Cir. 1987)); see also Duferco Int’l Steel Trading v. T.
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- Trade & Transp., Inc. v. Nat. Petroleum Charterers Inc., 931 F.2d 191 (2d Cir. 1991).published
- Local 1199, Drug, Hosp. & Health Care Employees Union, Rwdsu, Afl-Cio v. Brooks Drug Co., 956 F.2d 22 (2d Cir. 1992).published
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- Yusuf Ahmed Alghanim & Sons, W.L.L. v. Toys "R" Us, Inc., 126 F.3d 15 (2d Cir. 1997).published
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- William H. Hyle, Jr. v. Doctor's Assocs., Inc., 198 F.3d 368 (2d Cir. 1999).published
- Encyclopaedia Universalis S.A. v. Encyclopaedia Britannica, Inc., 403 F.3d 85 (2d Cir. 2005).published
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- Areca, Inc. v. Oppenheimer & Co., 960 F. Supp. 52 (S.D.N.Y. 1997).published
- Rocket Jewelry Box, Inc. v. Noble Gift Packaging, Inc., 986 F. Supp. 231 (S.D.N.Y. 1997).published
- Ketchum v. Prudential-Bache Sec., Inc., 710 F. Supp. 300 (D. Kan. 1989).published
- St. Lawrence Explosives Corp. v. Worthy Bros. Pipeline Corp., 916 F. Supp. 187 (N.D.N.Y. 1996).published
- In re Nat'l Ass'n of Broadcast Employees & Technicians, 707 F. Supp. 124 (S.D.N.Y. 1988).published
- SHEARSON LEHMAN v. Neurosurgical Assocs., 896 F. Supp. 844 (S.D. Ind. 1995).published
- Spector v. Torenberg, 852 F. Supp. 201 (S.D.N.Y. 1994).published
- Atl. Shores Resort Jt. Venture v. Martin, 731 F. Supp. 1279 (D.S.C. 1990).published
- Cook Chocolate Co. v. Salomon Inc., 748 F. Supp. 122 (S.D.N.Y. 1990).published
- Americredit Fin. Servs., Inc. v. Oxford Mgmt. Servs., 627 F. Supp. 2d 85 (E.D.N.Y. 2008).published
- Blue Bell, Inc. v. W. Glove Works Ltd., 816 F. Supp. 236 (S.D.N.Y. 1993).published
- In re Hbls Lp, 272 B.R. 390 (Bankr. S.D.N.Y. 2000).published
- Carte Blanche (Singapore) PTE. Ltd. v. Carte Blanche Int'l, Ltd., 683 F. Supp. 945 (S.D.N.Y. 1988).published
- Arbitration Between Carina Int'l Shipping Corp. & Adam Mar. Corp., 961 F. Supp. 559 (S.D.N.Y. 1997).published
- Gwynn v. Clubine, 302 F. Supp. 2d 151 (W.D.N.Y. 2004).published
- E.I. Dupont De Nemours & Co. v. Jo Tankers, B.V., 172 F. Supp. 2d 405 (S.D.N.Y. 2001).published
- MGM Prods. Grp., Inc. v. Aeroflot Russian Airlines, 573 F. Supp. 2d 772 (S.D.N.Y. 2003).published
- Arbitration Between Interchem Asia 2000 Pte. Ltd. v. Oceana Petrochemicals AG, 373 F. Supp. 2d 340 (S.D.N.Y. 2005).published
- Kruse v. Sands Bros. & Co., 226 F. Supp. 2d 484 (S.D.N.Y. 2002).published
- Stephens v. Applejack Art Partners, Inc., 2011 VT 40, 23 A.3d 660.published
- Hartford Steam Boiler Inspection & Ins. v. Underwriters at Lloyd's & Companies Collective, 857 A.2d 893 (Conn. 2004).published
- Irving R. Boody & Co. v. Win Holdings Int'l, Inc., 213 F. Supp. 2d 378 (S.D.N.Y. 2002).published
- Terk Tech. Corp. v. Dockery, 86 F. Supp. 2d 706 (E.D. Mich. 2000).published
- Arbitration Between Bisnoff v. King, 154 F. Supp. 2d 630 (S.D.N.Y. 2001).published
- Emery Air Freight Corp. v. Local 851, Int'l Bhd. of Teamsters, 214 F. Supp. 2d 295 (E.D.N.Y. 2002).published
- Van Horn v. Van Horn, 393 F. Supp. 2d 730 (N.D. Iowa 2005).published
- In re the Arbitration Between Space Sys./Loral, Inc. & Yuzhnoye Design Off., 164 F. Supp. 2d 397 (S.D.N.Y. 2001).published
- Coastal Roofing Co. v. P. Browne & Assocs., 771 F. Supp. 2d 576 (D.S.C. 2010).published
- Repub. of Argentina v. BG Grp. PLC, 764 F. Supp. 2d 21 (D.D.C. 2011).published
- Int'l Trading & Indus. Inv. Co. v. Dyncorp Aerospace Tech., 763 F. Supp. 2d 12 (D.D.C. 2011).published
- Lew Lieberbaum & Co. v. Randle, 85 F. Supp. 2d 123 (E.D.N.Y. 2000).published
- Katz v. Feinberg, 167 F. Supp. 2d 556 (S.D.N.Y. 2001).published
- Matter of Arb. Betw. Ashraf & Repub. Ny Sec., 14 F. Supp. 2d 461 (S.D.N.Y. 1998).published
- Sanders v. Gardner, 7 F. Supp. 2d 151 (E.D.N.Y. 1998).published
- Shamah v. Schweiger, 21 F. Supp. 2d 208 (E.D.N.Y. 1998).published
- Campbell v. Cantor Fitzgerald & Co., 21 F. Supp. 2d 341 (S.D.N.Y. 1998).published
- Local Union No. 38 v. Hollywood Heating & Cooling, Inc., 88 F. Supp. 2d 246 (S.D.N.Y. 2000).published
- Hotel Greystone Corp. v. New York Hotel & Motel Trades Council, 902 F. Supp. 482 (S.D.N.Y. 1995).published
- Chevron Corp. v. Repub. of Ecuador, 949 F. Supp. 2d 57 (D.D.C. 2013).published
- Int'l Trading & Indus. Inv. Co. v. Dyncorp Aerospace Tech., No. 2009-0791 (D.D.C. Feb. 3, 2011).published
- BCB Holdings Ltd. v. Gov't of Belize, 110 F. Supp. 3d 233 (D.D.C. 2015).published
- United Bhd. of Carpenters & Joiners of Am. v. Tappan Zee Constructors, LLC, 804 F.3d 270 (2d Cir. 2015).published
- Belize Bank Ltd. v. Gov't of Belize, 191 F. Supp. 3d 26 (D.D.C. 2016).published
- Pao Tatneft v. Ukraine, No. 2017-0582 (D.D.C. Mar. 19, 2018).published
- Balkan Energy Ltd. v. Repub. of Ghana, No. 2017-0584 (D.D.C. Mar. 22, 2018).published
- ABM Indus. Groups, LLC v. Int'l Union of Operating Eng'rs, 968 F.3d 158 (2d Cir. 2020).published
- Lapine Tech. Corp. v. Kyocera Corp., 130 F.3d 884 (9th Cir. 1997).published
- Hill v. Staten Island Zoological Soc'y, Inc., 147 F.3d 209 (2d Cir. 1998).published
- Ashraf v. Repub. New York Sec. Corp., 14 F. Supp. 2d 461 (S.D.N.Y. 1998).published
- Stone ex rel. Stone Fam. Trust v. Theatrical Inv. Corp., 64 F. Supp. 3d 527 (S.D.N.Y. 2014).published
- Calbex Mineral Ltd. v. ACC Resources Co., 90 F. Supp. 3d 442 (W.D. Pa. 2015).published
- BCB Holdings Ltd. v. Gov't of Belize, 232 F. Supp. 3d 28 (D.D.C. 2017).published
- Local 338 v. Farmland Dairies, Inc., 89 F. App'x 748 (2d Cir. 2003).unpublished
- In re HBLS L.P., 272 B.R. 390 (Bankr. S.D.N.Y. 2000).published
- Architectural & Ornamental Iron Workers Local Union No. 580 v. JMB Corp., 667 F. Supp. 134 (S.D.N.Y. 1987).published
- Clarendon Nat'l Ins. v. TIG Reinsurance Co., 183 F.R.D. 112 (S.D.N.Y. 1998).published
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- Trs. for The Mason Tenders Dist. Council Welfare Fund v. Citywide Constr. Works Inc., No. 1:18-cv-09024 (S.D.N.Y. Sept. 11, 2019).
- Trs. Of The New York City Dist. Council Of Carpenters Pension Fund v. Cornerstone Carpentry Ltd., No. 1:19-cv-10801 (S.D.N.Y. Jan. 31, 2020).
- Bragg v. Kalikow Fam. P'ship LP, No. 1:19-cv-08801, 2020 WL 2086014 (S.D.N.Y. Apr. 30, 2020).
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- Trs. Of The New York City Dist. Council Of Carpenters Pension Fund v. Statewide Restoration of New York, Inc., No. 1:19-cv-11887 (S.D.N.Y. May 29, 2020).
- Seneca Nation of Indians v. State of New York, No. 1:19-cv-00735 (W.D.N.Y. Nov. 8, 2019).
- Virk v. Maple-Gate Anesthesiologists, P.C., No. 1:14-cv-00381 (W.D.N.Y. June 8, 2020).
At page 377 Confirming arbitration awards as straightforward proceedings27 citing cases[A]ctions to confirm arbitration awards . . . are straightforward proceedings in which no other claims are to be adjudicated. . . . [I]n a confirmation proceeding, the court properly may consider only the statutory bases for modifying or vacating an award and challenges to the award’s clarity.
- Jiangsu Beier Decoration Materials Co. v. Angle World LLC, No. 2:21-cv-02845 (E.D. Pa. July 18, 2023).(Actions to confirm arbitration awards . . . are straightforward proceedings in which no other claims are to be adjudicated.)
- CPR Mgmt. SA v. Devon Park Bioventures LP, 19 F.4th 236 (3d Cir. 2021).published(Actions to confirm arbitration awards . . . are straightforward proceedings in which no other claims are to be adjudicated.)
- Teamsters Local 177 v. United Parcel Serv., 966 F.3d 245 (3d Cir. 2020).published ([A]ctions to confirm arbitration awards . . . are straightforward proceedings in which no other claims are to be adjudicated. . . . [I]n a confirmation proceeding, the court properly may consider only the statutory bas…)
- Trs. of the Dist. Council No. 9 Painting Indus. Ins. Fund v. Jonathan Metal & Glass LTD., No. 1:24-cv-05420 (S.D.N.Y. July 17, 2025).“in a confirmation proceeding, the court properly may consider only the statutory bases for modifying or vacating an award and challenges to the award's clarity.”
- Capital One v. Macklin, 2026 IL App (1st) 252648-U.unpublished“Such deference is accorded because the parties have chosen in their contract how their dispute is to be decided, and judicial modification of an arbitrator’s decision deprives the parties of that choice.” Id. ¶ 20 “ ‘[T]he confirmation of…
- Int'l Union, United Auto., Aerospace & Agric. Implement Workers of Am. & its Local 897, No. 1:23-cv-00793 (W.D.N.Y. Sept. 30, 2025).This Court has the authority, and is inclined, to take the “straightforward,” Ottley, 819 F.2d at 377, and “summary,” Zeiler, 500 F.3d at 169 , action of confirming the December 2022 opinion and award.
- Kora Pack Private Ltd. v. Motivating Graphics LLC, 684 F. Supp. 3d 536 (N.D. Tex. 2023).published (holding that the party seeking confirmation of an arbitration award may not join a related claim for damages)
- Union Square Ltd. v. Mr. Bar-B-Q Prods. LLC, No. 1:21-cv-11032 (S.D.N.Y. June 26, 2023).“[I]n a confirmation proceeding, the court properly may consider only the statutory bases for modifying or vacating an award and challenges to the award’s clarity”
- Pace-Arquilla v. Arquilla, 2023 IL App (1st) 220650-U.unpublishedThe circuit court confirmed the arbitration award and dismissed the City’s petition. ¶ 27 The appellate court agreed, noting that a judgment affirming an arbitration award “ ‘is a summary proceeding that merely makes what is already a fina…
- Irving R. Boody & Co. v. Win Holdings Int'l, Inc., 213 F. Supp. 2d 378 (S.D.N.Y. 2002).published
Show 16 more citing cases
- Europcar Italia, S.P.A. v. Maiellano Tours, Inc., 156 F.3d 310 (2d Cir. 1998).published
- Nat'l Football League Players Ass'n ex rel. Harvey v. Nat'l Football League Mgmt. Council ex rel. Buffalo Bills, 523 F. App'x 756 (2d Cir. 2013).unpublished
- First Interregional Equity Corp. v. Haughton, 842 F. Supp. 105 (S.D.N.Y. 1994).published
- Blue Tee Corp. v. Koehring Co., 808 F. Supp. 343 (S.D.N.Y. 1992).published
- Whirlpool Corp. v. Philips Elec., N.V., 848 F. Supp. 474 (S.D.N.Y. 1994).published
- Reeves Bros. v. Capital-Mercury Shirt Corp., 962 F. Supp. 408 (S.D.N.Y. 1997).published
- Asset Acceptance, LLC v. Tyler, 2012 IL App (1st) 093559, 966 N.E.2d 1039.published
- Arbitration Between Westchester Fire Ins. v. Massamont Ins. Agency, Inc., 420 F. Supp. 2d 223 (S.D.N.Y. 2005).published
- BP Am. Prod. Co. v. Chesapeake Expl., LLC, 747 F.3d 1253 (10th Cir. 2014).published
- City of Chicago v. Chicago Loop Parking LLC, 2014 IL App (1st) 133020.published
- Asset Acceptance, LLC v. Tyler, 2012 IL App (1st) 93559.published
- Bay Shore Power Co. v. Oxbow Energy Solutions, 969 F.3d 660 (6th Cir. 2020).published
- Marker Volkl (Int'l) GmbH v. Epic Sports Int'l, Inc., 965 F. Supp. 2d 308 (S.D.N.Y. 2013).published
- Nanoelectro Rsch. & Prod. Co. v. Alphysica Inc., No. 1:17-cv-11378 (D. Mass. Aug. 9, 2018).
- Indep. Lab'y Employees' Union, Inc. v. Exxonmobil Rsch. & Eng'g Co., No. 3:18-cv-10835, 2019 WL 3416897 (D.N.J. July 29, 2019).unpublished
- James R. Rosencrantz & Sons, Inc. v. John Deere Co., No. 1:25-cv-00034 (D.N.H. Apr. 17, 2026).
At page 375 Statutory requirement for confirming arbitration awards15 citing casesThe statute provides that the district court must grant a petition to confirm an arbitration award if it. is properly brought within one year of the date of the award
- LLT Int'l Inc. v. MCI Telecomm. Corp., 69 F. Supp. 2d 510 (S.D.N.Y. 1999).published But see Ottley, 819 F.2d at 376 (finding that remand solely for purposes of monitoring compliance with arbi-tral award exceeded scope of district court’s authority, as issues of compliance were not within scope of matters originally presen…
- Photopaint Tech., LLC v. Smartlens Corp., 207 F. Supp. 2d 193 (S.D.N.Y. 2002).published (The statute provides that the district court must grant a petition to confirm an arbitration award if it. is properly brought within one year of the date of the award)
- Gen. Re Life Corp. v. Am. Gen. Life Ins. Co., No. 1:24-cv-02089 (S.D.N.Y. June 18, 2024).Mar. 11, 2002) (citing Ottley v. Schwartzberg, 819 F.2d 373, 375 (2d Cir. 1987)).
- Mamouzette v. Jerome, No. 1:13-cv-00117 (D.V.I. Mar. 10, 2021).The Court also confirmed the Award recognizing that, pursuant to 9 U.S.C. § 9 , it “‘must grant a petition to confirm an arbitration award if it properly is brought within one year of the date of the award, unless one of the statutory base…
- Landy Michaels Realty Corp. v. Local 32b-32j, Serv. Employees Int'l Union, Afl-Cio, 954 F.2d 794 (2d Cir. 1992).published
- Mikelson v. United Servs. Auto. Ass'n, 227 P.3d 559 (Haw. App. 2010).published
- Morgan Keegan & Co. v. William Hamilton Smythe, III, No. W2010-01339-COA-R3-CV, 2011 WL 5517036 (Tenn. Ct. App. Nov. 14, 2011).published
- Clarendon Nat'l Ins. v. TIG Reinsurance Co., 990 F. Supp. 304 (S.D.N.Y. 1998).published
- Melun Indus., Inc. v. Strange, 898 F. Supp. 995 (S.D.N.Y. 1992).published
- Barbier v. Shearson Lehman Hutton, Inc., 752 F. Supp. 151 (S.D.N.Y. 1990).published
Show 5 more citing cases
- Nicoletti v. EF Hutton & Co., 761 F. Supp. 312 (S.D.N.Y. 1991).published
- Intercity Co. Establishment v. Ahto, 13 F. Supp. 2d 253 (D. Conn. 1998).published
- Pine Valley Prods. v. S.L. Collections, 828 F. Supp. 245 (S.D.N.Y. 1993).published
- LLT Int'l Inc. v. MCI Telecomm. Corp., 18 F. Supp. 2d 349 (S.D.N.Y. 1998).published
- Local 365, Cemetery Workers & Green Attendance Workers Union v. Woodlawn Cemetery, 876 F. Supp. 34 (S.D.N.Y. 1994).published
Other citing cases
- Dist. Council No. 9 v. APC Painting, Inc., 272 F. Supp. 2d 229 (S.D.N.Y. 2003).published
v.
Albert SCHWARTZBERG, Rose Boritzer, and Arno Boritzer d/b/a Kingsbridge Heights Manor
Petitioner-appellant Peter Ottley filed a petition to confirm an arbitration award in the United States District Court for the Southern District of New York (Carter, J.). In his petition, Ottley requested that, in the event confirmation was opposed, respondents-appellees Albert Schwartzberg, Rose Boritzer, and Arno Boritzer be required to pay damages authorized by section 502(g)(2) of the Employee Retirement Income Security Act (“ERISA”), 29 U.S.C. § 1132(g)(2) (1982). The district court denied the petition to confirm, and remanded the matter to the arbitrator to determine whether respondents were in compliance with the award.
Ottley appeals from the district court order, seeking confirmation of the award and renewing his claims for damages. Respondents urge dismissal of this appeal on jurisdictional grounds, contending that the district court’s order is not a final, appeal-able order within the purview of 28 U.S.C. § 1291 (1982).
We hold that the order is.appealable, that the district court’s remand to the arbitrator was improper, and that petitioner’s ERISA claims for damages were not properly joined in a petition to confirm an arbitration award.
We reverse and remand with instructions that the petition to confirm be granted and that the ERISA claims be dismissed without prejudice.
I. BACKGROUND
Petitioner-appellant Peter Ottley is President of Local 144 of the Hotel, Hospital, Nursing Home and Allied Services Union, SEIU, AFL-CIO. Ottley also serves as trustee of three labor-management trust funds. Two of these funds — the Welfare Fund and the Training Fund — are employee welfare benefit plans within the meaning of 29 U.S.C. § 1002(1) (1982); the Pension Fund is an employee pension plan under 29 U.S.C. § 1002(2) (1982). Respondents-ap-pellees Albert Schwartzberg, Rose Borit-zer, and Arno Boritzer are members of a partnership doing business as Kingsbridge Heights Manor, a residential health care facility located in Bronx, New York. Under a series of collective bargaining agreements, respondents are required to make monthly contributions to the three trust funds, based on a percentage of the employer’s gross monthly payroll for those employees covered by the labor contracts. The contracts also mandate binding arbitration of disputes arising between the union and respondents.
Following the execution of the most recent labor agreement, Ottley and the union commenced an arbitration proceeding against respondents, based on their alleged failure to meet monthly obligations to the Welfare and Pension Funds. After submission of the dispute to arbitration, a memorandum of agreement was executed by the parties on February 4, 1985. Under the agreement, respondents acknowledged indebtedness of $360,000.00 through the period ending December 31, 1984 and consented to an arbitration award in that amount. Respondents agreed not to oppose confirmation of the arbitrator’s award, and a repayment schedule was established. On February 8, 1985, the arbitrator issued a consent award based on the terms of the memorandum of agreement. It provided, inter alia, that “this Award may be confirmed in any court of competent jurisdiction, and, the Employer, pursu[*375]ant to its specific agreement[,] shall not oppose confirmation of this Award."
Alleging that respondents had failed to comply with the repayment schedule and that they had fallen behind in their current obligations to the funds, Ottley filed a petition to confirm the consent award in the district court on May 24, 1985. The petition sought an order requiring respondents to remit the sums fixed by the arbitration award and to pay costs and attorneys' fees. In the event that respondents opposed the petition, Ottley requested that they be required to pay damages authorized by the civil enforcement provisions of ERISA. See 29 U.S.C. § 1132(g)(2). Respondents maintained that, while they "[did] not wish to oppose confirmation," the petition to confirm was inappropriate inasmuch as the alleged default had been cured.
On October 24, 1985, Judge carter denied the petition and remanded the proceedings to the arbitrator for a determination of respondents' compliance with the award. Petitioner's motion for reconsideration was denied by the district judge on December 10, 1985. Petitioner filed a timely notice of appeal.
II. DISCUSSION
Section 9 of the Federal Arbitration Act, 9 U.S.C. § 9 (1982) (the "Act"), sets forth the procedures under which arbitration awards are to be confirmed by district courts. The statute provides that the district court must grant a petition to confirm an arbitration award if it properly is brought within one year of the date of the award, unless one of the statutory bases for vacating or modifying the award is established. See 9 U.S.C. §* 10, 11 (1982); see also Sperry Int'l Trade, Inc. v. Government of Israel, 689 F.2d 301, 304 (2d Cir.1982); Diap~lse Corp. V. Carba, Ltd., 626 F.2d 1108, 1110 (2d Cir.1980). In the confirmation proceedings below, respondents did not raise any of the statutory grounds for vacatur or modification. In fact, respondents now maintain that they did not oppose confirmation of the award. Nonetheless, the district court denied the petition to confirm.
At the outset, we must confront respondents' challenge to our jurisdiction to entertain this appeal. Respondents contend that, because the district court remanded the proceedings to the arbitrator to determine compliance, the district court's order is not appealable under 28 U.S.C. § 1291, which grants appellate jurisdiction over "appeals from all final decisions of the district courts." Respondents support their contention by pointing to a number of cases in which appeals have been dismissed for lack of appellate jurisdiction where arbitrable issues remained to be determined. See, e.g., Shearson Loeb Rhoades, Inc. v. Much, 754 F.2d 773 (7th Cir.1985) (district court order vacating and remanding to arbitrators damages portion of arbitration award not an appealable final order); Liberian Vertex Transports, Inc. v. Associated Bulk Carriers, Ltd., 738 F.2d 85 (2d Cir.1984) (district court order denying petition to confirm partial arbitration award and vacating award not an appealable final order); Strathatos v. Arnold Bernstein S.S. Corp., 202 F.2d 525 (2d Cir.1953) (district court order vacating award and resubmitting to arbitration on basis of newly discovered evidence of arbitrator's potential bias not an appealable final order).
Respondents' reliance on such cases, however, is misplaced. The cited cases involved district court orders that resulted in a continuation of the arbitration proceedings; issues properly the subject of arbitration were yet to be resolved. Where a district court order does not put an end to the arbitration proceedings, the "usual justification for appealability-that nothing remains to be done in the action-does not apply." Liberian Vertex Transports, 738 F.2d at 87 (citation omitted). The case at bar does not present such jurisdictional obstacles. As we explain below, the arbitrator has made his determination and a final award has been rendered; all issues properly within the arbitrator's province have been resolved. Accordingly, the district[*376] court order denying confirmation is a final, appealable order.
Absent a statutory basis for modification or vacatur, the district court's task was to confirm the arbitrator's final award as mandated by section 9 of the Act. Smiga v. Dean Witter Reynolds, Inc., 766 F.2d 698, 707 (2d Cir.1985), cert. denied, - U.S.-, 106 S.Ct. 1381, 89 L.Ed.2d 607 (1986). See also Sperry Int'l Trade, 689 F.2d at 304; Advance Publications, Inc. v. Newspaper Guild, 616 F.2d 614, 618 (2d Cir.1980); Hellman v. Program Printing, Inc., 400 F.Supp. 915, 918 (S.D.N.Y.1975). Moreover, the showing required to avoid summary confirmation is high. E.g., National Bulk Carriers, Inc. v. Princess Management Co., 597 F.2d 819, 825 (2d Cir.1979) ("only `clear evidence of impropriety' justifies denial of summary confirmation") (quoting Andros Compania Maritima S.A. v. Marc Rich & Co., A.G., 579 F.2d 691, 702 (2d Cir.1978)). It was improper for the district court to remand the proceedings to the arbitrator for a determination of the parties' compliance. "A remand for further arbitration is appropriate in only certain limited circumstances such as when an award is incomplete or ambiguous." United Steel Workers v. Adbill Management Corp., 754 F.2d 138, 141 (3d Cir.1985) (citation omitted). Indefinite, incomplete, or ambiguous awards are remanded "so that the court will know exactly what it is being asked to enforce." American Ins. Co. v. Seagull Compania Naviera, S.A., 774 F.2d 64, 67 (2d Cir.1985). We have observed that "courts on occasion may remand awards to arbitrators to clarify the meaning or effect of an award, or to determine whether the arbitrator has in some way exceeded his powers." Siegel v. Titan Indus. Corp., 779 F.2d 891, 894 (2d Cir.1985) (per curiam) (citations omitted).
In remanding the proceedings, the district court here did not rely on any of the aforementioned grounds, and none was asserted. Indeed, we find nothing at all ambiguous or improper about the arbitrator's award. The district court remanded solely for purposes of monitoring compliance. However, we are directed to no authority for the proposition that arbitrators may review compliance with their own awards. "[T]he scope of authority of arbitrators generally depends on the intention of the parties to an arbitration, and is determined by the agreement or submission. Such an agreement or submission serves not only to define, but to circumscribe, the authority of arbitrators." 6 C.J.S. Arbitration § 69, at 280-81 (1975). Because there is no indication that the parties agreed to submit the issue of compliance to the arbitrator, we think it clear that the arbitrator was without authority to rule on that issue. Allowing the remand in this case "would require the arbitrator to pass upon issues of compliance which were not within the scope of the matters originally presented to him." United Papermakers & Paperworkers, Local 675 v. Westvaco Corp., 461 F.Supp. 1022, 1024 (W.D.Va.1978). Moreover, "[a]s a general rule, once an arbitration panel decides the submitted issues, it becomes functus officio and lacks any further power to act." Proodos Marine Carriers Co. v. Overseas Shipping & Logistics, 578 F.Supp. 207, 211 (S.D.N.Y.1984). See 5 Am.Jur.2d Arbitration & Award § 96, at 593 (1962) ("Since the final determination by the arbitrators of matters in dispute fulfils the purpose of the submission, the authority of arbitrators terminates with the making of a valid, final award."). Because the parties did not submit issues of compliance to arbitration, and because the issuance of a final award terminated the arbitrator's authority, the district court's remand to the arbitrator was error.
As a final matter, we must dispose of the ERISA claims for damages joined in the confirmation petition. Petitioner requested that the district court order respondents to pay damages permitted under ERISA in the event that they opposed confirmation. The statutory predicate for petitioner's damages claims, 29 U.S.C. § 1132(g)(2), is the ERISA civil enforcement provision. It empowers certain individuals to bring civil[*377] actions, inter alia, to force compliance with various ERISA provisions and the terms of labor agreements governing ERISA-covered benefit plans. A review of this provision indicates that it contemplates a formal adjudication.
Actions to confirm arbitration awards, by contrast, are straightforward proceedings in which no other claims are to be adjudicated. "[T]he confirmation of an arbitration award is a summary proceeding that merely makes what is already a final arbitration award a judgment of the court." Florasynth, Inc. v. Pickholz, 750 F.2d 171, 176 (2d Cir.1984) (citation omitted). Accord Taylor v. Nelson, 788 F.2d 220, 225 (4th Cir.1986). As previously discussed, in a confirmation proceeding, the court properly may consider only the statutory bases for modifying or vacating an award and challenges to the award's clarity. We also observe that petitioner did not plead his ERISA claims separately. In light of this fact, and because of the summary nature of confirmation proceedings, we have little difficulty in concluding that an action to confirm an arbitration award is not an appropriate vehicle for adjudication of ERISA claims for damages.
CONCLUSION
To summarize: we reverse and remand the district court order and direct that the petition to confirm the award be granted; petitioner's ERISA claims, which were not properly joined in the confirmation action, are to be dismissed without prejudice.