Ethical Conduct in Arbitration

Best Practices for Arbitrators and Counsel to Ensure Efficiency and Fairness

A special 60-minute briefing

Recording of a 60-minute CLE webinar with Q&A

Conducted on Thursday, March 12, 2009

Program Materials

This seminar will examine the participants' ethical conduct responsibilities in arbitration proceedings. The panel will offer their insights into best practices for counsel and arbitrators on monitoring the proceedings for ethical violations to ensure fairness and efficiency.


Ethical conduct by arbitrators, counsel and parties in an arbitration proceeding is key to ensuring that the process is efficient and fair. Unethical behavior could lead to multiple court filings and hearings, increased costs and wasted time.

While arbitrators must follow the Code of Ethics prescribed by the American Arbitration Association (AAA), there are no specific rules governing the conduct of counsel in arbitration proceedings. Enforcing ethical conduct by parties and their counsel is, therefore, a challenge.

Listen as our panel of arbitrators and arbitration counsel examines who is responsible for ensuring ethical conduct in arbitration and provides best practices for arbitrators in policing ethical violations to ensure the fairness of the proceedings.



  1. Ethical conduct in arbitration — current trends and state of the law
  2. Rules affecting ethics in arbitration
    1. American Arbitration Association Code of Ethics for Arbitrators in Commercial Disputes
    2. American Bar Association Model of Professional Conduct
  3. Best practices to ensure ethical conduct
    1. Deal with ethical issues during preliminary conference
    2. Hold parties responsible for misconduct of counsel
    3. Sanctions
    4. Report unethical conduct by counsel to state bar


The panel will review these and other key questions:

  • Is it the responsibility of the arbitrator to enforce ethical conduct by parties and attorneys in arbitration?
  • What challenges do arbitrators face in enforcing ethical behavior during the proceeding?
  • What measures can be taken to ensure ethical conduct during the arbitration?


Steven C. Bennett
Steven C. Bennett

Jones Day

He focuses on domestic and international commercial litigation and arbitration, including cases involving bankruptcy,...  |  Read More

Robert E. Crotty
Robert E. Crotty

Kelley Drye & Warren

His practice focuses on commercial litigation, trials, domestic and international arbitrations and appeals. He has over...  |  Read More

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