Opinion ID: 766107
Heading Depth: 2
Heading Rank: 1

Heading: Views of Other Circuits

Text: 16 Whether a pre-dispute agreement requiring compulsory arbitration, such as Form U-4, is enforceable with regard to Title VII claims is an issue that has divided the circuits and is one of first impression in this Court. Practically every circuit that has addressed the question has held that the arbitration clause in Form U-4 validly applies to Title VII claims. See Rosenberg v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 170 F.3d 1, 7 (1st Cir. 1999); Seus v. John Nuveen & Co., 146 F.3d 175, 182 (3d Cir. 1998), cert. denied, 119 S. Ct. 1028 (1999); Austin v. Owens-Brockway Glass Container, Inc., 78 F.3d 875, 882 (4th Cir.), cert. denied, 519 U.S. 980 (1996); Alford v. Dean Witter Reynolds, Inc., 939 F.2d 229, 230 (5th Cir. 1991); Willis v. Dean Witter Reynolds, Inc., 948 F.2d 305, 307 (6th Cir. 1991); Koveleskie v. SBC Capital Mkts., Inc., 167 F.3d 361, 365 (7th Cir.), petition for cert. filed, 67 U.S.L.W. 3707 (U.S. May 5, 1999) (No. 98-1778); Patterson v. Tenet Healthcare, Inc., 113 F.3d 832, 837 (8th Cir. 1997); Metz v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 39 F.3d 1482, 1487 (10th Cir. 1994); Bender v. A.G. Edwards & Sons, Inc., 971 F.2d 698, 700 (11th Cir. 1992); Cole v. Burns Int'l Sec. Servs., 105 F.3d 1465, 1482-83 (D.C. Cir. 1997). 17 In a notable exception to this unanimity, the Ninth Circuit has ruled that the Form U-4 compulsory arbitration clause is unenforceable with regard to Title VII claims. See Duffield v. Robertson Stephens & Co., 144 F.3d 1182, 1190 (9th Cir.), cert. denied, 119 S. Ct. 445, 465 (1998). Further, the EEOC has issued a policy statement that supports the conclusion found in Duffield. See EEOC, Notice No. 915.002, Policy Statement on Mandatory Binding Arbitration of Employment Discrimination Disputes as a Condition of Employment (1997), available in LEXIS, 2NDARY Library, EEOMAN FILE. 18 The circuit conflict stems from varying interpretations of Gilmer v. Interstate/Johnson Lane Corp., 500 U.S. 20 (1991). In Gilmer, the Supreme Court held that employees could be required under Form U 4 and New York Stock Exchange Rule 347 to arbitrate age discrimination claims brought under the Age Discrimination in Employment Act (ADEA). Id. at 23. Most circuits have found the analytical framework used in Gilmer with respect to the ADEA applies to Title VII as well. Thus, we proceed to examine Gilmer's application to Title VII claims.