Northwestern Mutual Life Insurance v. Stinnett

698 N.E.2d 339, 1998 Ind. App. LEXIS 1267, 1998 WL 458556
CourtIndiana Court of Appeals
DecidedJuly 31, 1998
Docket87A01-9708-CV-278
StatusPublished
Cited by23 cases

This text of 698 N.E.2d 339 (Northwestern Mutual Life Insurance v. Stinnett) is published on Counsel Stack Legal Research, covering Indiana Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Northwestern Mutual Life Insurance v. Stinnett, 698 N.E.2d 339, 1998 Ind. App. LEXIS 1267, 1998 WL 458556 (Ind. Ct. App. 1998).

Opinion

OPINION

RILEY, Judge.

STATEMENT OF THE CASE

Defendant-Appellants Northwestern Mutual Life Insurance Company and Dennis Tamcsin (hereinafter referred to collectively as Defendants) appeal the trial court’s denial of their motion to dismiss the action brought by Plaintiff-Appellee David A. Stinnett (Stin-nett).

We reverse.

ISSUES

Two issues are presented for our review, which we restate and consolidate as:

1. Whether this court has jurisdiction over the uncertified appeal from the denial of a motion to dismiss, and
2. Whether Stinnett is required to arbitrate his claims against Defendants.

FACTS AND PROCEDURAL HISTORY

Stinnett was employed by Northwestern Mutual Life Insurance Company (Northwestern Mutual) selling insurance and financial products as an independent contractor with the Smith General Agency in Evansville, Indiana. To do this Stinnett applied to be registered with the New York Stock Exchange and the National Association of Securities Dealers, Inc. by executing an application commonly known as form U-4. The U-4 signed by Stinnett on November 21, 1988, contained a provision requiring arbitration of disputes which may arise between Stinnett and his firm or customers or as required by the New York Stock Exchange or the National Association of Security Dealers, Inc. When Stinnett left Northwest Mutual he entered into a termination agreement to resolve a number of matters remaining between the parties. The termination agreement contained no arbitration provision.

On March 1,1996, Stinnett filed this action against the Defendants for breach of the termination agreement and for communicating false and misleading information to current and former clients and individuals with whom he has a contractual relationship. Defendants answered the complaint and then moved to dismiss the complaint on the grounds that it must be arbitrated. On June 18, 1997, the trial court denied the motion to dismiss finding that Stinnett’s requirement to arbitrate the dispute was waived by the termination agreement. The Defendants then brought this appeal without trial court certification, filing their praecipe on July 7, 1997, and the record on August 28, 1997. Additional facts will be provided as needed.

DISCUSSION AND DECISION

I. Jurisdiction

The first issue we will address was raised by Stinnett in his motion to dismiss the appeal. Defendants appeal from the trial court’s ruling on their motion to dismiss the action. Stinnett argues that this court is without jurisdiction to hear this appeal in that it is not a final judgment or appealable final order and it is filed too late for an interlocutory appeal. On the other hand, Defendants maintain that the court’s ruling on the motion to dismiss is an appealable final order. Except for special interlocutory orders, appeals may only be taken from final judgments. Ind-Appellate Rule 4. “Generally *341 a final judgment is one which disposes of all of the issues as to all the parties and puts an end to the matter in question.” Lipginski v. Lipginski, 476 N.E.2d 924, 926 (Ind.Ct.App.1985) (citing Thompson v. Thompson, 259 Ind. 266, 286 N.E.2d 657 (1972)).

In International Creative Management, Inc. v. D & R Entertainment Co., Inc., we held that a trial court order denying a petition to compel arbitration is appealable as a matter of right, and as such need not be certified. 670 N.E.2d 1305, 1310 (Ind.Ct. App.1996), reh’g denied, trans. denied. Stinnett attempts to distinguish this case in that in International Creative Management, Inc. the appeal was brought pursuant to a petition to compel arbitration rather that the motion to dismiss, as is the case here. With a petition to compel arbitration, the denial of such is a final determination of that issue and thus appealable. Id. Whereas, a motion to dismiss is merely one of many motions throughout the course of the ease, and not necessarily a final appealable order under App.R. 4(B).

However, App.R. 4(E) states:

No appeal will be dismissed as of right because the case was not finally disposed of in the court below as to all issues and parties, but upon suggestion or discovery of such a situation the appellate tribunal may, in its discretion, suspend consideration until disposition is made of such issues, or it may pass upon such adjudicated issues as are severable without prejudice to parties who may be aggrieved by subsequent proceedings in the court below.

App.R. 4(E). Furthermore, “[w]e have declined to dismiss improperly brought appeals and retained jurisdiction of the appeal under A.R. 4(E) in cases of a significant public interest and where the same issue would be raised in a new appeal.” Evansville-Vanderburgh Sch. Corp. v. Evansville Teachers Assoc., 494 N.E.2d 321, 324 (Ind.Ct.App.1986). In Evansville-Vanderburgh Sch. Corp. we held that the issue of arbitration is of such importance because of the possibility of submitting the parties to useless and unnecessary arbitration proceedings. Id. We hold that this is also true of the possibility of submitting parties to trial court proceedings when there should first be arbitration. Therefore, we decline to dismiss the appeal under App.R. 4(E). See Montgomery v. Estate of Montgomery, 677 N.E.2d 571, 574, n. 3 (Ind.Ct.App.1997) (reviewing an appeal which is neither interlocutory nor final ap-pealable order).

II. Arbitration

The issue raised by Defendants on their appeal is whether the court erred in denying their motion to dismiss in favor of arbitration. Therefore, we must determine whether the arbitration clause of the U-4 controls or the termination agreement, which includes no arbitration requirements.

“Arbitration is a matter of contract and a party cannot be required to submit to arbitration unless he has agreed to do so.” International Creative Management, Inc., 670 N.E.2d at 1311. Therefore, we must first determine whether the parties have agreed to arbitrate this particular dispute. Id. The parties agree that the U-4, New York Stock Exchange, and the National Association of Securities Dealers, Inc. include arbitration provisions and that the termination agreement does not. The argument we are presented with is not whether the parties contracted to arbitrate, but which contract controls the present dispute.

The U-4 signed by Stinnett contains the following provision:

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Brumley v. Commonwealth Business ColLege Education Corp.
945 N.E.2d 770 (Indiana Court of Appeals, 2011)
Eppinger v. Sealy
25 So. 3d 69 (District Court of Appeal of Florida, 2009)
Safety National Casualty Co. v. Cinergy Corp.
829 N.E.2d 986 (Indiana Court of Appeals, 2005)
Singer v. Gaines
896 So. 2d 851 (District Court of Appeal of Florida, 2005)
Woodley v. Fields
819 N.E.2d 123 (Indiana Court of Appeals, 2004)
Daimler Chrysler Corp. v. Yaeger
818 N.E.2d 527 (Indiana Court of Appeals, 2004)
Sanford v. Castleton Health Care Center, LLC
813 N.E.2d 411 (Indiana Court of Appeals, 2004)
Bielfeldt v. Nims
805 N.E.2d 415 (Indiana Court of Appeals, 2004)
MPACT Construction Group, LLC v. Superior Concrete Constructors, Inc.
785 N.E.2d 632 (Indiana Court of Appeals, 2003)
Indiana CPA Society, Inc. v. Gomembers, Inc.
777 N.E.2d 747 (Indiana Court of Appeals, 2002)
ALLMERICA FINANCIAL LIFE INS. v. Miller
775 So. 2d 132 (Supreme Court of Alabama, 2000)
Nass v. State of Indiana
Indiana Supreme Court, 1999
Homes by Pate, Inc. v. DeHaan
713 N.E.2d 303 (Indiana Court of Appeals, 1999)
Pope ex rel. Smith v. Pope
701 N.E.2d 587 (Indiana Court of Appeals, 1998)

Cite This Page — Counsel Stack

Bluebook (online)
698 N.E.2d 339, 1998 Ind. App. LEXIS 1267, 1998 WL 458556, Counsel Stack Legal Research, https://law.counselstack.com/opinion/northwestern-mutual-life-insurance-v-stinnett-indctapp-1998.