Charles J. Moxley, Jr., Esq. – Arbitrator and Mediator

• Fellow, College of Commercial Arbitrators
• Fellow, Chartered Institute
  of Arbitrators
• Adjunct Professor of Law, Fordham Law School
• Distinguished ADR
  Practitioner in Residence, Benjamin N. Cardozo
  School of Law
• Attorney at Law

Contact Information

Charles J. Moxley, Jr.
MoxleyADR LLC
75 East End Avenue
New York, NY 10028
(917) 699-8801
cmoxley@moxleyadr.org

Charles Moxley’s Experience

As an arbitrator and litigator for over 35 years and a mediator for over fifteen, Mr. Moxley has had experience in a wide range of cases in the commercial, securities, healthcare, insurance, employment, energy, IP and other areas. He has taken extensive training in the ADR area and has served as a trainer for the American Arbitration Association, CPR, and the Dispute Resolution Section of the New York State Bar Association, teaching others how to be effective arbitrators, conducting their cases in such a way as to achieve for parties and counsel the promise of arbitration—expeditious, efficient, and fair proceedings, consistent with the needs of each case and the parties’ arbitration agreement and chosen arbitration rules.

Following are examples of the wide range of cases in which Mr. Moxley has served as an arbitrator.

Arbitrations

• Accounting:  chair in case involving malpractice claims against auditor for over $1 billion; served as arbitrator in other cases involving alleged accounting malpractice, fees for accounting services, and the requirements of the U.S. tax laws;
• Aviation:  chair of panel hearing disputes relating to international contracts for the delivery of military aircraft;
• Banking and finance: arbitrated numerous disputes involving alleged failures to meet debt obligations, including cases involving negotiable instruments and the funding of litigation;
• Bankruptcy:  arbitrated several cases involving issues arising out of parallel bankruptcy proceedings;
• Brokerage:  arbitrated disputes over claims by brokers in the securities and real estate industries for services rendered, often combined with cross-allegations concerning the performance of the services at issue;
• Business Divorces:  arbitrated dozens of cases involving disputes among partners, shareholders, joint venturers and members of professional associations as to their respective rights and obligations under their contracts and applicable law, including issues as to valuation, alleged breach of contract and fiduciary duty, entitlement or not to salary, draws, expenses, stock payouts, pension rights, ongoing employment, indemnification, non-competition obligations, and reinstatement. Examples: chair in case involving dispute among founders of securities firm; party-appointed arbitrator in case involving break-up of a securities firm over issues of the loyalty and competence of one of the founders; chair in case involving exclusion of a founder from a securities firm; sole arbitrator in dispute among owners of insurance brokerage firm in the context of the contemplated sale of the firm; sole arbitrator in case involving break-up of an association of physicians; sole arbitrator in dispute over agreement to turn over control of law firm upon retirement of one of the founders; co-arbitrator in dispute among founders of world-wide manufacturing company; sole arbitrator in dispute among founders of company in the film industry; dispute among owners of chain of tanning salons; dispute among owners of corporation formed for horse breeding; dispute among owners of company formed to board horses and provide riding lessons; break-up of family held Long Island manufacturing company; dispute among investors in gambling casino; dispute among owners of family held sporting goods company; dispute among founders of pizza shop; dispute among family members over printing business; dispute among brothers over ownership of Manhattan townhouse; dispute among investors in real estate enterprise; dispute among owners and managers of international real estate operations; dispute among owners and managers of several large industrial plants;
• Cannabis:  disputes over capital-raising and commercialization;
• Cogeneration Plants:  chair of panel hearing dispute among owners and operators of cogeneration plant; party appointed “drop-away” arbitrator in case involving dispute over management of co-generation plants;
• Commercial:  arbitrated many dozens of cases involving disputes over goods and services provided under a wide range of contracts and legal regimes, domestic and international. Examples: dispute among members of an extended family and others who jointly owned a major jewelry business in New York and throughout the United States over their respective rights under certain contracts to expand the business; disputes over a long-term contract to provide tuna and other fish for a large international food supplier; dispute over cargo of scrap iron destined for Italy; dispute over damage of commercial satellite at launch site; dispute over lots of allegedly deficient fertilizer; dispute over provision of research services to securities firm; dispute over provision of employee uniforms to business entity; dispute over supply of oil to a business;
• Communications:  arbitrated international disputes concerning the supply of broadband and the price therefor; disputes over alleged improper fax blasting;
• Computer Technology:  arbitrated disputes over the licensing of computer technology; dispute over provision of computer technology to securities firm;
• Construction:  arbitrated numerous construction cases, including cases involving disputes among owners, architects, engineers, contractors, general contractors, and others for industrial projects, including disputes among owner, owner’s successor, architect and contractor as to an alleged $30 million in delays and extras arising out of construction of heat and air conditioning system at a New York airport; dispute over construction of large manufacturing plant in Iraq;
• Consulting:  arbitrated disputes over fees between consultants and law firms or companies retaining them.
• Defense Industry:  chair in cases over supply of aircraft to Israel and tanks to the U.S.;
• D&O:  chair of panel in a coverage case involving whether certain D&O and related policies covered the settlement of a securities fraud class action claim brought under a California statute that required only a showing of constructive fraud.  
• Declaratory Judgment:  arbitrated numerous cases involving claims for declaratory judgment, including claim arising out of $100 million sale of chemical business where the business thereafter sustained substantial liability damages allegedly arising out of decisions made prior to the closing on the sale;
• Executive Employment:  arbitrated many dozens of cases between high level executives and their companies, involving such issues as alleged breach of contract and fiduciary duty, termination, cause, compensation, covenants not to compete, confidential information, stock rights, pension rights, health insurance benefits, IP rights, SEC requirements, reinstatement, defamation, and alleged harm to the company, including in the fashion, manufacturing, advertising, automotive, computer servicing, telecommunications, security, restaurant, international freight, and commodities businesses. Examples: sole arbitrator in dispute between public company and its former CEO/founder involving competing damages and declaratory judgment claims for over $28 million; disputes involving termination claims under employment, partnership, and shareholder agreements;
• Energy:  cases involving energy generation and supply; computer design services for pipelines;
• Foundations/Charitable Organizations:  arbitrated dispute between fund raising organization and charitable foundation;
• Franchises:  arbitrated many dozens of cases involving disputes among franchisors and franchisees concerning alleged breach of contract and fiduciary duty, IP rights, post-termination rights, non-compete obligations, royalties, termination, confidentiality, and sales of franchises, including in the apparel, restaurant, fast food, and jewelry businesses. Examples: declaratory judgment action between franchisor of major high end international clothing line and franchisee involving rights to hundreds of millions of dollars of business; dispute as to departing co-owner’s right to open competing automobile distributorship;
• Gambling:  arbitrated dispute over ownership of interests in gambling casino;
• Health Care:  arbitrated disputes among hospitals, physicians, and insurers, including dispute between hospital chain and health insurance provider over coverage obligations of carrier over multi-year period;
• Hedge Funds:  arbitrated disputes among investors and hedge funds; disputes among hedge funds and service providers, including for research, computer services, consultation, and employee placement services; disputes among hedge funds and partners, members, directors, employees, subcontractors and the like; dispute among principals in hedge fund as to their financial obligations to one another; dispute over hedge fund manager’s alleged undisclosed withdrawal of personal funds from fund in breach of agreement with investor;
• Implied Covenant of Good Faith and Fair Dealing:  arbitrated many dozens of disputes involving alleged breaches of covenants of good faith and fair dealing implied under the contract law of many jurisdictions.
• Insurance:  arbitrated numerous coverage disputes as to designers and contractors professional liability, D&O, representations and warranties, subcontractor performance, and other liability and property policies, including dispute as to coverage of $50 million in tax shelter losses in one case and as to $3 million of liability for statutory securities fraud class action settlement in another case; disputes between insurance industry entities and other professional entities; dispute involving buy-out of insurance brokerage firm and claims of fraud in the inducement of the parties’ original shareholders agreement; disputes among hospitals, physicians, and health insurance providers over coverage issues; coverage dispute concerning industrial accident; dispute among insurance companies over excess layer coverage; coverage dispute concerning liability insurance provided to Indian tribe; dispute over alleged fraud in application for liability insurance;
• International:  arbitrated dozens of international disputes involving disputes over investments, securities, IP, consulting, franchises, mergers, goods and services, manufacturing, pharmaceuticals, satellites, large construction projects/industrial facilities, telecommunications, construction, shipping, industrial facilities, local representatives, and legal services;
• Intellectual Property:  arbitrated disputes involving rights under patents and trademarks, including for consumer health products and computer software, including serving as chair in dispute over licenses for use of electrochemiluminescence technology in multi-billion dollar worldwide market; chair of panel in dispute over patent rights to contact lenses grossing in the hundreds of millions of dollars; dispute over claims for breach of software license and copyright infringement; disputes involving issues as to ownership, royalties, trade secrets, R&D, and termination;
• Hospitality:  arbitrated dispute over hospitality services for sports stadiums;
• Law Firms/Lawyers:  arbitrated dispute between major law firm and departing partner over pay-out and contractual obligations as to business generation; disputes between attorneys and clients over legal fees; dispute arising out of pay-out agreement with retiring founder/name partner of law firm;
• Life Sciences:  disputes over vaccines, cancer diagnosis and treatment, clinical testing, surgical devices, contact lenses, prosthetics, hospital Medicaid services, and cosmetics;
• Liquidation:  chair in dispute over liquidation of hedge fund;
• Manufacturing:  chair in dispute over damage to satellite at Kazakhstan launch site; dispute over supply of sterilization production lines for consumer medical goods;
• Maritime:  arbitrated disputes as to the compliance of shipped commodities, including fish and scrap iron, with contractual, legal, and industry requirements;
• Matrimonial:  arbitrated dispute between spouses as to ownership of securities and interest in securities firm; dispute over securities and other properties arising out of the parties’ divorce and involving issues as to the marital or non-marital nature of such properties; dispute between spouses over support obligations; dispute over distribution of business assets and liabilities by divorcing spouses;
• Medical Testing:  arbitrated several disputes over contractual, legal and regulatory obligations relating to the testing of potential drugs;
• Mergers, acquisitions, and dissolutions:  arbitrated numerous cases involving fall-out from mergers, acquisitions, and dissolutions, including several cases involving the sale by owners of their companies to other companies and subsequent disputes over the value of the companies and the performance of the prior owners when retained by the buyers to continue to run the companies or advise as to same; disputes over whether liabilities that emerged post-acquisition are attributable to the buyers or sellers; disputes over payouts to the sellers; disputes over use of proprietary information followings the sale of companies; disputes over valuation; and disputes involving post-closing adjustments and issues as to valuation;
• Partnerships, Joint Ventures, Professional Associations, Corporations and Sole Proprietorships:  disputes among owners of securities, insurance, accounting, law, medical, manufacturing, energy, retail, and other practices and businesses;
• Patent Litigation:  arbitrated dispute as to how underlying patent litigations were or should have been conducted and as to what would have happened if certain claims which a party was allegedly contractually obligated to bring had in fact been brought;
• Patents:  chair in dispute as to infringement, design-arounds, reasonable royalties, and related damages claims allegedly in the hundreds of millions of dollars; sole arbitrator in dispute over scope of patents and trademarks as to computer software;
• Physicians:  arbitrated several disputes between carriers and physicians as to whether physicians were upcoding;
• Pharmaceuticals:  chair in dispute over licensing of technology for consumer medical products involving billions of dollars of business annually; sole arbitrator in dispute between drug company and testing company specializing in drug development/testing;
• Private equity:  disputes over investments and alleged misrepresentations and omissions;
• Professional Associations:  arbitrated numerous disputes among members of professional associations, including among physicians, attorneys, accountants, securities and insurance industry professionals, and architects over contractual and legal rights and obligations;
• Real Estate:  arbitrated many disputes among owners of real estate; disputes among family members concerning real estate ventures; disputes between entities in the real estate industry and other professional entities. Examples: dispute over provision of management services to real estate firm; dispute over alleged defalcations by manager of hundreds of properties throughout the United States;
• Restaurants:  arbitrated many dozens of disputes among franchisors and franchisees of restaurants; disputes among partners and among investors over rights and obligations as to restaurants.
• Royalties:  arbitrated disputes over royalties for patent and other IP rights;
• Satellites:  chair of panel for dispute as to damage to commercial satellite being prepared for launch in the former Soviet Union;
• Securities:  arbitrated dozens of disputes involving securities, including disputes involving investors, brokers, investment advisors, and securities firms; disputes between buyers and sellers of securities; disputes among securities firms and partners, members, employees, and subcontractors; disputes among securities firms and service providers; disputes over the ownership, dissolution, and liquidation of securities firms. Examples: chair in case involving withdrawals of personal funds from a hedge fund by the manager of the fund allegedly in violation of contractual obligation to investors; co-arbitrator in case involving substantial losses by an investor in discretionary account; sole arbitrator in case between investor and her broker over substantial losses in her portfolio after she retired following many years of investing with the broker; sole arbitrator in dispute between investor and her investment advisor; sole arbitrator in dispute between investor and securities firm over alleged obligation of securities firm to have blocked a certain investment pursuant to limits agreed to with the firm; dispute involving Madoff-related losses; dispute over finder’s fee/commission between securities firm and individual who introduced various investors; dispute among investors in optical technology;
• Sports:  arbitrated  dispute over provision of management services to international soccer player;
• Supply of Goods:  arbitrated many disputes between buyers and sellers of goods;
• Tax:  co-arbitrator of dispute as to the insurability of tax shelter vehicles;
• Telecom:  ssole arbitrator in international dispute over provision of telecommunications services to telephone company in Africa; and
• Trusts and estates:  disputes over estates, including over interests in ongoing businesses and real estate.

Has represented parties in arbitrations, including in the securities and executive employment areas.

Specialties

• Accounting
• Business Divorces
• Commercial
• Employment
• Healthcare & Life Sciences
• Insurance
• Intellectual Property
• International
• Real Estate
• Securities

Locations

New York, New York