{ "attribution": { "source": "legal.exploreworldai.com", "canonical": "https://legal.exploreworldai.com/api/public/v1/judgment-text?id=us:ca9-25-2562-2026-09-17", "cite_as": "NovaCopilot, legal.exploreworldai.com (https://legal.exploreworldai.com/api/public/v1/judgment-text?id=us:ca9-25-2562-2026-09-17)", "license": "https://legal.exploreworldai.com/revision", "version": "legal-2026-10-03", "fingerprint": "ewai:se:ee4348", "proof": "sha256:7e8fe677a634ad738ff3d4fdd0ff31732f13813c7111d22a8444569de3dc89e3", "jurisdiction": "se", "lang": "en", "publisher": "NovaCopilot by ExploreWorld Legal", "terms": "https://legal.exploreworldai.com/om" }, "brand_source": "Source: NovaCopilot", "brand": { "product": "NovaCopilot", "platform": "ExploreWorldAI", "infrastructure": "ExploreWorld Legal", "infrastructure_url": "legal.exploreworldai.com", "legal_entity": "Valkiv Ventures AB", "permanent_url": "https://legal.exploreworldai.com/novacopilot", "source": "Source: NovaCopilot", "powered_by": "Powered by NovaCopilot", "license": "https://legal.exploreworldai.com/licensvillkor", "contact": "stig@valkiv.com" }, "item": { "schema_version": "1.0.0", "id": "us:ca9-25-2562-2026-09-17", "jurisdiction": "us", "lang": "en", "brand_source": "Source: NovaCopilot", "brand": { "product": "NovaCopilot", "platform": "ExploreWorldAI", "infrastructure": "ExploreWorld Legal", "infrastructure_url": "legal.exploreworldai.com", "legal_entity": "Valkiv Ventures AB", "permanent_url": "https://legal.exploreworldai.com/novacopilot", "source": "Source: NovaCopilot", "powered_by": "Powered by NovaCopilot", "license": "https://legal.exploreworldai.com/licensvillkor", "contact": "stig@valkiv.com" }, "sections": [ { "title": "FOR PUBLICATION", "paragraphs": [] }, { "title": "UNITED STATES COURT OF APPEALS", "paragraphs": [] }, { "title": "FOR THE NINTH CIRCUIT", "paragraphs": [] }, { "title": "THE GOVERNMENT OF THE LAO", "paragraphs": [] }, { "title": "PEOPLE’S DEMOCRATIC", "paragraphs": [ "para_6", "para_7", "para_8" ] }, { "title": "JOHN K. BALDWIN; and BRIDGE", "paragraphs": [ "para_10", "para_11" ] }, { "title": "No. 25-2562", "paragraphs": [ "para_13" ] }, { "title": "1:22-cv-00011", "paragraphs": [] }, { "title": "OPINION", "paragraphs": [] }, { "title": "Appeal from the United States District Court", "paragraphs": [ "para_17" ] }, { "title": "Frances Tydingco-Gatewood, District Judge, Presiding", "paragraphs": [] }, { "title": "Argued and Submitted February 12, 2026", "paragraphs": [] }, { "title": "Honolulu, Hawaii", "paragraphs": [] }, { "title": "Filed September 17, 2026", "paragraphs": [ "para_22", "para_23" ] }, { "title": "Opinion by Judge Forrest", "paragraphs": [] }, { "title": "2 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [] }, { "title": "SUMMARY*", "paragraphs": [] }, { "title": "Arbitration", "paragraphs": [ "para_28", "para_29" ] }, { "title": "Convention on the Recognition and Enforcement of Foreign", "paragraphs": [] }, { "title": "Arbitral Awards (New York Convention) by the", "paragraphs": [] }, { "title": "Government of the Lao People’s Democratic Republic (Lao", "paragraphs": [] }, { "title": "PDR), which sought enforcement of international arbitral", "paragraphs": [ "para_34", "para_35" ] }, { "title": "Baldwin and Scott created three international", "paragraphs": [ "para_37", "para_38", "para_39", "para_40", "para_41", "para_42", "para_43", "para_44", "para_45", "para_46", "para_47" ] }, { "title": "Capital’s joint motion to dismiss the petition. The district", "paragraphs": [ "para_49" ] }, { "title": "Arbitration Act (FAA), which implements the New York", "paragraphs": [] }, { "title": "Convention, to enforce the awards against alleged alter ego", "paragraphs": [ "para_52", "para_53", "para_54" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 3", "paragraphs": [ "para_56", "para_57", "para_58", "para_59" ] }, { "title": "Reversing and remanding for further proceedings, the", "paragraphs": [ "para_61" ] }, { "title": "U.S.C. § 203 over Lao PDR’s petition to enforce the foreign", "paragraphs": [ "para_63", "para_64", "para_65" ] }, { "title": "Convention, and the district court had subject matter", "paragraphs": [ "para_67", "para_68", "para_69", "para_70", "para_71" ] }, { "title": "Lao PDR sought to enforce them in a United States district", "paragraphs": [ "para_73", "para_74", "para_75", "para_76" ] }, { "title": "The panel held that this court has jurisdiction over Lao", "paragraphs": [ "para_78", "para_79", "para_80", "para_81", "para_82", "para_83" ] }, { "title": "4 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [] }, { "title": "COUNSEL", "paragraphs": [ "para_86" ] }, { "title": "Saulieu, France; Colin M. Thompson, Thompson Law", "paragraphs": [] }, { "title": "Office LLC, Saipan, Northern Mariana Islands; for", "paragraphs": [ "para_89" ] }, { "title": "Jeffrey T. Prudhomme (argued) and Deborah R. Deitsch-", "paragraphs": [] }, { "title": "Perez, Stinson LLP, Dallas, Texas; Michael W. Dotts, Dotts", "paragraphs": [] }, { "title": "Law Office, Saipan, Northern Mariana Islands; for", "paragraphs": [ "para_93" ] }, { "title": "OPINION", "paragraphs": [] }, { "title": "FORREST, Circuit Judge:", "paragraphs": [] }, { "title": "John Baldwin and Shawn Scott are American", "paragraphs": [ "para_97", "para_98", "para_99" ] }, { "title": "Government of the Lao People’s Democratic Republic (Lao", "paragraphs": [] }, { "title": "PDR). Two of the entrepreneurs’ corporations participated", "paragraphs": [ "para_102", "para_103", "para_104", "para_105", "para_106" ] }, { "title": "In this action, Lao PDR seeks to recover against", "paragraphs": [] }, { "title": "Baldwin, Scott, and all three of their corporations by filing a", "paragraphs": [ "para_109" ] }, { "title": "Enforcement of Foreign Arbitral Awards (New York", "paragraphs": [] }, { "title": "Convention). The Federal Arbitration Act (FAA), which", "paragraphs": [] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 5", "paragraphs": [ "para_113", "para_114", "para_115" ] }, { "title": "Scott, and their third corporation did not participate in the", "paragraphs": [ "para_117", "para_118", "para_119", "para_120", "para_121", "para_122", "para_123", "para_124", "para_125", "para_126", "para_127", "para_128" ] }, { "title": "BACKGROUND", "paragraphs": [] }, { "title": "Because this appeal arises from a motion to dismiss, we", "paragraphs": [ "para_131", "para_132", "para_133", "para_134" ] }, { "title": "A. Business Venture", "paragraphs": [] }, { "title": "In 2007, Baldwin and Scott decided to invest in Laos’s", "paragraphs": [ "para_137" ] }, { "title": "Investments Ltd. in Macau. Sanum Investments then", "paragraphs": [ "para_139", "para_140", "para_141" ] }, { "title": "Baldwin and Sanum Investments also obtained financing", "paragraphs": [ "para_143", "para_144" ] }, { "title": "6 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [] }, { "title": "Five years later, Baldwin and Scott incorporated Lao", "paragraphs": [] }, { "title": "Holdings N.V. in Aruba. Baldwin and Scott then inserted", "paragraphs": [] }, { "title": "Lao Holdings into the corporate ownership chain, making", "paragraphs": [ "para_149" ] }, { "title": "B. Arbitration Proceedings", "paragraphs": [] }, { "title": "By mid-2012, Sanum Investments and Lao Holdings had", "paragraphs": [ "para_152", "para_153", "para_154", "para_155", "para_156", "para_157" ] }, { "title": "After several years of litigation, the arbitration tribunals", "paragraphs": [ "para_159" ] }, { "title": "Lao PDR’s favor for a total of nearly $3.73 million. Sanum", "paragraphs": [] }, { "title": "Investments and Lao Holdings promptly filed an action in", "paragraphs": [ "para_162", "para_163" ] }, { "title": "The companies appealed the dismissal, and the Singapore", "paragraphs": [ "para_165" ] }, { "title": "While those arbitrations were ongoing, Sanum", "paragraphs": [] }, { "title": "Investments and Lao Holdings initiated a separate arbitration", "paragraphs": [ "para_168" ] }, { "title": "LLC (San Marco Capital), a group that Lao PDR had", "paragraphs": [ "para_170", "para_171", "para_172" ] }, { "title": "That tribunal also issued an award in Lao PDR’s favor", "paragraphs": [ "para_174" ] }, { "title": "Holdings sued in Singapore to set aside the third award. The", "paragraphs": [ "para_176" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 7", "paragraphs": [ "para_178", "para_179" ] }, { "title": "C. Enforcement Proceedings", "paragraphs": [ "para_181", "para_182", "para_183", "para_184", "para_185", "para_186", "para_187", "para_188" ] }, { "title": "Republic v. Baldwin, No. 2:20-cv-00195-CRK, Dkt. 169, at", "paragraphs": [ "para_190" ] }, { "title": "Lao PDR then filed the petition at issue in the United", "paragraphs": [] }, { "title": "States District Court for the District for the Northern", "paragraphs": [] }, { "title": "Mariana Islands to enforce its three arbitral awards under the", "paragraphs": [] }, { "title": "New York Convention. Initially, Lao PDR named only the", "paragraphs": [ "para_195", "para_196", "para_197", "para_198", "para_199", "para_200" ] }, { "title": "Baldwin and Bridge Capital jointly moved to dismiss the", "paragraphs": [ "para_202", "para_203", "para_204", "para_205", "para_206", "para_207", "para_208", "para_209" ] }, { "title": "8 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [] }, { "title": "In dismissing Baldwin and Bridge Capital, the district", "paragraphs": [ "para_212", "para_213", "para_214", "para_215", "para_216", "para_217", "para_218", "para_219", "para_220", "para_221", "para_222", "para_223", "para_224", "para_225" ] }, { "title": "The district court also reasoned that it would be", "paragraphs": [ "para_227", "para_228", "para_229", "para_230" ] }, { "title": "Orion Shipping & Trading Co., Inc. v. E. States Petroleum", "paragraphs": [] }, { "title": "Corp. of Panama, S.A., which held that “an action for", "paragraphs": [ "para_233", "para_234" ] }, { "title": "1963). Based primarily on Orion, the district court", "paragraphs": [ "para_236", "para_237", "para_238", "para_239", "para_240" ] }, { "title": "Lao Holdings and dismissed them “for lack of subject-matter", "paragraphs": [ "para_242" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 9", "paragraphs": [] }, { "title": "D. Appeal", "paragraphs": [] }, { "title": "Lao PDR appealed, arguing that the dismissal of", "paragraphs": [] }, { "title": "Baldwin and Bridge Capital for lack of subject-matter", "paragraphs": [ "para_247" ] }, { "title": "FAA, which vests jurisdiction in district courts to enforce", "paragraphs": [ "para_249" ] }, { "title": "Lao PDR also argues that the district court misapplied", "paragraphs": [] }, { "title": "Second Circuit precedent in holding that it could not", "paragraphs": [ "para_252" ] }, { "title": "Baldwin and Bridge Capital contend that we lack", "paragraphs": [ "para_254", "para_255", "para_256", "para_257", "para_258", "para_259" ] }, { "title": "DISCUSSION", "paragraphs": [] }, { "title": "We review de novo a district court’s decision to confirm", "paragraphs": [ "para_262" ] }, { "title": "Holdings, Inc., 55 F.4th 1232, 1238 (9th Cir. 2022). We also", "paragraphs": [ "para_264", "para_265" ] }, { "title": "Jones v. L.A. Central Plaza LLC, 74 F.4th 1053, 1057 (9th", "paragraphs": [ "para_267" ] }, { "title": "We begin our analysis of the intertwined jurisdictional", "paragraphs": [ "para_269", "para_270", "para_271", "para_272", "para_273", "para_274" ] }, { "title": "10 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [ "para_276", "para_277" ] }, { "title": "A. Legal Principles", "paragraphs": [] }, { "title": "1. New York Convention", "paragraphs": [ "para_280", "para_281", "para_282" ] }, { "title": "LLC, 590 U.S. 432, 438 (2020); see Convention on the", "paragraphs": [ "para_284", "para_285" ] }, { "title": "Convention]. The Convention was developed after “the rapid", "paragraphs": [ "para_287", "para_288", "para_289", "para_290" ] }, { "title": "Corp., 710 F.2d 928, 929 (2d Cir. 1983). The New York", "paragraphs": [] }, { "title": "Convention opened for signature in 1958. Id. The United", "paragraphs": [] }, { "title": "States acceded to the Convention twelve years later with “the", "paragraphs": [ "para_294", "para_295", "para_296", "para_297", "para_298", "para_299", "para_300" ] }, { "title": "Recognition and enforcement of arbitral awards are", "paragraphs": [ "para_302", "para_303" ] }, { "title": "Cir. 2023). “Recognition” is a judicial determination that an", "paragraphs": [ "para_305", "para_306" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 11", "paragraphs": [] }, { "title": "Arb. § 1.1(nn), (m); see also Corporación AIC, SA, 66 F.4th", "paragraphs": [ "para_309", "para_310", "para_311", "para_312" ] }, { "title": "Dynamics Med. Ltd., 143 F.4th 70, 82 n.8 (2d Cir. 2025); see", "paragraphs": [] }, { "title": "CBF Indústria de Gusa S/A v. AMCI Holdings, Inc., 850", "paragraphs": [] }, { "title": "F.3d 58, 72 (2d Cir. 2017) (“Recognition and enforcement", "paragraphs": [ "para_316", "para_317" ] }, { "title": "The consolidated approach adopted in the New York", "paragraphs": [ "para_319", "para_320", "para_321", "para_322" ] }, { "title": "(citation omitted). That pre-enforcement recognition", "paragraphs": [ "para_324" ] }, { "title": "See Molecular Dynamics, 143 F.4th at 81. Consistent with", "paragraphs": [ "para_326", "para_327", "para_328", "para_329", "para_330", "para_331", "para_332" ] }, { "title": "335 F.3d 357, 366–67 (5th Cir. 2003). Indeed, the New York", "paragraphs": [] }, { "title": "Convention was designed to “eradicat[e] the requirement", "paragraphs": [ "para_335", "para_336", "para_337" ] }, { "title": "Yusuf Ahmed Alghanim & Sons v. Toys “R” Us, Inc., 126", "paragraphs": [ "para_339" ] }, { "title": "12 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [ "para_341" ] }, { "title": "The New York Convention applies to two classes of", "paragraphs": [ "para_343" ] }, { "title": "F.4th at 81; N.Y. Convention, art. I(1). The first class", "paragraphs": [ "para_345", "para_346", "para_347", "para_348", "para_349", "para_350" ] }, { "title": "Dynamics, 143 F.4th at 81. These actions are referred to as", "paragraphs": [ "para_352" ] }, { "title": "The second class consists of awards that, though", "paragraphs": [ "para_354", "para_355", "para_356" ] }, { "title": "United States law, this class of arbitral awards includes those", "paragraphs": [ "para_358", "para_359" ] }, { "title": "F.4th at 82. These are known as “nondomestic arbitral", "paragraphs": [ "para_361", "para_362" ] }, { "title": "The New York Convention allocates “different roles to", "paragraphs": [ "para_364", "para_365", "para_366" ] }, { "title": "1 An arbitral award is understood as “made” in the country of the", "paragraphs": [ "para_368", "para_369", "para_370" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 13", "paragraphs": [ "para_372", "para_373" ] }, { "title": "American courts have adopted a framework for", "paragraphs": [ "para_375", "para_376" ] }, { "title": "Dynamics, 143 F.4th at 83. “[T]he country in which, or under", "paragraphs": [ "para_378", "para_379" ] }, { "title": "(quoting Karaha Bodas Co., 500 F.3d at 115 n.1). All other", "paragraphs": [ "para_381" ] }, { "title": "The difference between primary- and secondary-country", "paragraphs": [ "para_383" ] }, { "title": "Molecular Dynamics, 143 F.4th at 84; Restatement (Third)", "paragraphs": [] }, { "title": "U.S. L. Int’l Com. Arb. § 1.3 cmt. c. A court of a country", "paragraphs": [ "para_386", "para_387", "para_388", "para_389" ] }, { "title": "Ahmed Alghanim, 126 F.3d at 23). But courts in countries", "paragraphs": [ "para_391", "para_392" ] }, { "title": "Convention. Id. (quoting Karaha Bodas Co., 500 F.3d at 115", "paragraphs": [ "para_394", "para_395", "para_396" ] }, { "title": "In short, the New York Convention provides a single-", "paragraphs": [ "para_398", "para_399", "para_400", "para_401", "para_402", "para_403" ] }, { "title": "14 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [ "para_405", "para_406", "para_407", "para_408" ] }, { "title": "2. FAA", "paragraphs": [] }, { "title": "Chapter 2 of the FAA implements the United States’", "paragraphs": [ "para_411", "para_412", "para_413" ] }, { "title": "22-35103, 2026 WL 2330570, at *3 (9th Cir. Aug. 12, 2026)", "paragraphs": [] }, { "title": "(“Congress implemented the Convention by amending Title", "paragraphs": [] }, { "title": "9 of the United States Code.”). Section 203 provides that", "paragraphs": [ "para_417", "para_418", "para_419", "para_420" ] }, { "title": "U.S. at 439 (recognizing that § 203 “grants federal courts", "paragraphs": [ "para_422", "para_423", "para_424" ] }, { "title": "Taken together, these statutes impose three basic", "paragraphs": [ "para_426", "para_427", "para_428", "para_429" ] }, { "title": "1362 (9th Cir. 1989); see Restatement (Third) U.S. L. Int’l", "paragraphs": [] }, { "title": "Com. Arb. § 1.4. When these conditions are satisfied, the", "paragraphs": [ "para_432", "para_433", "para_434", "para_435", "para_436" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 15", "paragraphs": [ "para_438" ] }, { "title": "See 9 U.S.C. § 207. It provides that “[w]ithin three years", "paragraphs": [ "para_440", "para_441", "para_442", "para_443" ] }, { "title": "Section 207 also recognizes the federal district courts’", "paragraphs": [ "para_445", "para_446", "para_447", "para_448", "para_449" ] }, { "title": "Id. While § 207 uses the term “confirm,” read in context, this", "paragraphs": [ "para_451" ] }, { "title": "New York Convention’s recognition-and-enforcement", "paragraphs": [ "para_453", "para_454", "para_455", "para_456" ] }, { "title": "New York Convention for the purposes of foreign arbitral", "paragraphs": [ "para_458" ] }, { "title": "B. Application", "paragraphs": [] }, { "title": "With these legal principles established, we now turn to", "paragraphs": [ "para_461", "para_462", "para_463", "para_464", "para_465", "para_466", "para_467", "para_468" ] }, { "title": "16 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [] }, { "title": "1. District Court Jurisdiction", "paragraphs": [] }, { "title": "The district court dismissed Lao PDR’s petition to", "paragraphs": [ "para_472", "para_473", "para_474" ] }, { "title": "First, they argue that because § 207 states that an action to", "paragraphs": [ "para_476", "para_477", "para_478", "para_479" ] }, { "title": "Second, they argue that the district court was prohibited from", "paragraphs": [ "para_481", "para_482", "para_483", "para_484" ] }, { "title": "Section 207 provides, in part: “Within three years after", "paragraphs": [ "para_486", "para_487", "para_488", "para_489", "para_490", "para_491", "para_492", "para_493", "para_494", "para_495" ] }, { "title": "The jurisdictional grant to United States district courts", "paragraphs": [ "para_497", "para_498", "para_499", "para_500" ] }, { "title": "Section 207 does not define federal subject matter-", "paragraphs": [] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 17", "paragraphs": [ "para_503", "para_504", "para_505", "para_506", "para_507", "para_508", "para_509", "para_510", "para_511" ] }, { "title": "(quoting Garcia v. Salvation Army, 918 F.3d 997, 1006 (9th", "paragraphs": [ "para_513" ] }, { "title": "Neither § 203 nor § 207 “requires a court to assess an", "paragraphs": [ "para_515", "para_516", "para_517", "para_518", "para_519", "para_520", "para_521" ] }, { "title": "Hood, 327 U.S. 678, 682–83 (1946); then quoting Sarhank", "paragraphs": [ "para_523" ] }, { "title": "Here, the district court had subject-matter jurisdiction", "paragraphs": [ "para_525", "para_526" ] }, { "title": "York Convention. As alleged in the petition, all three awards", "paragraphs": [ "para_528", "para_529", "para_530" ] }, { "title": "Scott as the award-debtors’ alter-egos. The petition identifies", "paragraphs": [ "para_532", "para_533", "para_534", "para_535" ] }, { "title": "18 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [ "para_537", "para_538", "para_539" ] }, { "title": "Baldwin and Bridge Capital have not contended that Lao", "paragraphs": [] }, { "title": "PDR’s alter-ego allegations were frivolous or made merely", "paragraphs": [ "para_542" ] }, { "title": "PDR’s petition asserts detailed allegations as to the legal", "paragraphs": [ "para_544", "para_545", "para_546", "para_547", "para_548" ] }, { "title": "CBF Indústria, 850 F.3d at 75. We determine only that, as", "paragraphs": [ "para_550", "para_551", "para_552", "para_553" ] }, { "title": "Having determined that the petition sufficiently alleges a", "paragraphs": [ "para_555", "para_556", "para_557", "para_558", "para_559", "para_560", "para_561", "para_562", "para_563", "para_564" ] }, { "title": "Baldwin’s and Bridge Capital’s assertion that the district", "paragraphs": [ "para_566", "para_567" ] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 19", "paragraphs": [] }, { "title": "All three arbitral awards were made in Singapore, a", "paragraphs": [ "para_570", "para_571", "para_572", "para_573" ] }, { "title": "Indústria, 850 F.3d at 71. Accordingly, the district court sat", "paragraphs": [ "para_575", "para_576", "para_577" ] }, { "title": "The district court improperly dismissed for lack of", "paragraphs": [ "para_579", "para_580", "para_581" ] }, { "title": "York Convention. At issue was an arbitral award-creditor", "paragraphs": [ "para_583", "para_584" ] }, { "title": "Orion, 312 F.2d at 300–01. Operating under the Geneva", "paragraphs": [] }, { "title": "Convention regime, the Second Circuit held that “an action", "paragraphs": [ "para_587", "para_588", "para_589" ] }, { "title": "The court explained that a confirmation proceeding “cannot", "paragraphs": [ "para_591", "para_592", "para_593" ] }, { "title": "Because, as the Second Circuit has since clarified, Orion", "paragraphs": [ "para_595" ] }, { "title": "New York Convention, and because it concerned", "paragraphs": [ "para_597", "para_598", "para_599", "para_600", "para_601" ] }, { "title": "20 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [ "para_603", "para_604", "para_605", "para_606", "para_607", "para_608" ] }, { "title": "That said, the district court’s confusion was", "paragraphs": [ "para_610", "para_611", "para_612", "para_613", "para_614", "para_615", "para_616", "para_617", "para_618", "para_619", "para_620", "para_621", "para_622" ] }, { "title": "For these reasons, the district court erred in dismissing", "paragraphs": [ "para_624" ] }, { "title": "2. Appellate Jurisdiction", "paragraphs": [] }, { "title": "Finally, we turn to our own jurisdiction. Chapter 1 of the", "paragraphs": [] }, { "title": "FAA permits the immediate appeal of “an order . . . denying", "paragraphs": [ "para_628", "para_629", "para_630" ] }, { "title": "Convention,” it also “applies to actions and proceedings”", "paragraphs": [ "para_632", "para_633" ] }, { "title": "(recognizing that § 208 incorporates § 16(a)(1)(D) to permit", "paragraphs": [] }, { "title": "THE GOV’T. OF THE LAO PDR V. BALDWIN 21", "paragraphs": [ "para_636", "para_637" ] }, { "title": "Here, Lao PDR filed its petition under Chapter 2 of the", "paragraphs": [] }, { "title": "FAA. And as explained, the district court had subject-matter", "paragraphs": [ "para_640", "para_641", "para_642", "para_643" ] }, { "title": "1027. That is, the district court “incorrectly attached a", "paragraphs": [ "para_645", "para_646" ] }, { "title": "Our jurisdiction over Lao PDR’s appeal depends not on", "paragraphs": [ "para_648", "para_649" ] }, { "title": "1990). And where the district court’s dismissal order", "paragraphs": [ "para_651", "para_652", "para_653" ] }, { "title": "CONCLUSION", "paragraphs": [] }, { "title": "The district court had subject-matter jurisdiction over", "paragraphs": [] }, { "title": "Baldwin and Bridge Capital based on the language of § 207", "paragraphs": [ "para_657" ] }, { "title": "Scott are alter-egos of the named award-debtors. Lao PDR", "paragraphs": [ "para_659", "para_660", "para_661", "para_662", "para_663" ] }, { "title": "2 Baldwin and Bridge Capital also acknowledged at oral argument that if", "paragraphs": [ "para_665", "para_666" ] }, { "title": "22 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraphs": [ "para_668", "para_669" ] }, { "title": "REVERSED and REMANDED.3", "paragraphs": [] }, { "title": "3 Appellees’ motion requesting that we take judicial notice of various", "paragraphs": [ "para_672" ] } ], "paragraphs": [ { "text": "FOR PUBLICATION", "paragraph_id": "para_1" }, { "text": "UNITED STATES COURT OF APPEALS", "paragraph_id": "para_2" }, { "text": "FOR THE NINTH CIRCUIT", "paragraph_id": "para_3" }, { "text": "THE GOVERNMENT OF THE LAO", "paragraph_id": "para_4" }, { "text": "PEOPLE’S DEMOCRATIC", "paragraph_id": "para_5" }, { "text": "REPUBLIC,", "paragraph_id": "para_6" }, { "text": "Petitioner - Appellant,", "paragraph_id": "para_7" }, { "text": "v.", "paragraph_id": "para_8" }, { "text": "JOHN K. BALDWIN; and BRIDGE", "paragraph_id": "para_9" }, { "text": "CAPITAL, LLC,", "paragraph_id": "para_10" }, { "text": "Respondents - Appellees.", "paragraph_id": "para_11" }, { "text": "No. 25-2562", "paragraph_id": "para_12" }, { "text": "D.C. No.", "paragraph_id": "para_13" }, { "text": "1:22-cv-00011", "paragraph_id": "para_14" }, { "text": "OPINION", "paragraph_id": "para_15" }, { "text": "Appeal from the United States District Court", "paragraph_id": "para_16" }, { "text": "for the Northern Mariana Islands", "paragraph_id": "para_17" }, { "text": "Frances Tydingco-Gatewood, District Judge, Presiding", "paragraph_id": "para_18" }, { "text": "Argued and Submitted February 12, 2026", "paragraph_id": "para_19" }, { "text": "Honolulu, Hawaii", "paragraph_id": "para_20" }, { "text": "Filed September 17, 2026", "paragraph_id": "para_21" }, { "text": "Before: Jay S. Bybee, Ryan D. Nelson, and Danielle J.", "paragraph_id": "para_22" }, { "text": "Forrest, Circuit Judges.", "paragraph_id": "para_23" }, { "text": "Opinion by Judge Forrest", "paragraph_id": "para_24" }, { "text": "2 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_25" }, { "text": "SUMMARY*", "paragraph_id": "para_26" }, { "text": "Arbitration", "paragraph_id": "para_27" }, { "text": "The panel reversed the district court’s dismissal in part,", "paragraph_id": "para_28" }, { "text": "for lack of subject matter jurisdiction, of a petition under the", "paragraph_id": "para_29" }, { "text": "Convention on the Recognition and Enforcement of Foreign", "paragraph_id": "para_30" }, { "text": "Arbitral Awards (New York Convention) by the", "paragraph_id": "para_31" }, { "text": "Government of the Lao People’s Democratic Republic (Lao", "paragraph_id": "para_32" }, { "text": "PDR), which sought enforcement of international arbitral", "paragraph_id": "para_33" }, { "text": "awards against John Baldwin, Shawn Scott, and three of", "paragraph_id": "para_34" }, { "text": "their corporations.", "paragraph_id": "para_35" }, { "text": "Baldwin and Scott created three international", "paragraph_id": "para_36" }, { "text": "corporations to invest in the gaming industry in Laos. Two", "paragraph_id": "para_37" }, { "text": "of the corporations participated in arbitration proceedings", "paragraph_id": "para_38" }, { "text": "against Lao PDR in international tribunals, and those", "paragraph_id": "para_39" }, { "text": "tribunals issued Lao PDR monetary awards against the two", "paragraph_id": "para_40" }, { "text": "businesses. In its petition in the district court, Lao PDR", "paragraph_id": "para_41" }, { "text": "sought to recover against Baldwin, Scott, and all three of", "paragraph_id": "para_42" }, { "text": "their corporations, asserting that while Baldwin, Scott, and", "paragraph_id": "para_43" }, { "text": "their third corporation, Bridge Capital, LLC, did not", "paragraph_id": "para_44" }, { "text": "participate in the arbitration proceedings, they were alter", "paragraph_id": "para_45" }, { "text": "egos of the two corporations named in the arbitral", "paragraph_id": "para_46" }, { "text": "awards. The district court granted Baldwin and Bridge", "paragraph_id": "para_47" }, { "text": "Capital’s joint motion to dismiss the petition. The district", "paragraph_id": "para_48" }, { "text": "court concluded that it lacked jurisdiction under the Federal", "paragraph_id": "para_49" }, { "text": "Arbitration Act (FAA), which implements the New York", "paragraph_id": "para_50" }, { "text": "Convention, to enforce the awards against alleged alter ego", "paragraph_id": "para_51" }, { "text": "parties Baldwin and Bridge Capital because they were not", "paragraph_id": "para_52" }, { "text": "* This summary constitutes no part of the opinion of the court. It has", "paragraph_id": "para_53" }, { "text": "been prepared by court staff for the convenience of the reader.", "paragraph_id": "para_54" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 3", "paragraph_id": "para_55" }, { "text": "named as debtors in the awards, and Lao PDR was required", "paragraph_id": "para_56" }, { "text": "to bring a separate action against them. The district court", "paragraph_id": "para_57" }, { "text": "stayed Scott’s motion to dismiss the petition pending the", "paragraph_id": "para_58" }, { "text": "resolution of this appeal.", "paragraph_id": "para_59" }, { "text": "Reversing and remanding for further proceedings, the", "paragraph_id": "para_60" }, { "text": "panel held that the district court had jurisdiction under 9", "paragraph_id": "para_61" }, { "text": "U.S.C. § 203 over Lao PDR’s petition to enforce the foreign", "paragraph_id": "para_62" }, { "text": "arbitral awards against the related but unnamed parties, and", "paragraph_id": "para_63" }, { "text": "it should have evaluated the merits of Lao PDR’s alter ego", "paragraph_id": "para_64" }, { "text": "theory. The underlying awards fell under the New York", "paragraph_id": "para_65" }, { "text": "Convention, and the district court had subject matter", "paragraph_id": "para_66" }, { "text": "jurisdiction, because the arbitration awards arose out of a", "paragraph_id": "para_67" }, { "text": "legal relationship between Lao PDR and the five", "paragraph_id": "para_68" }, { "text": "respondents, the relationship was commercial in nature, and", "paragraph_id": "para_69" }, { "text": "it was not entirely domestic in scope. Because the awards", "paragraph_id": "para_70" }, { "text": "were made by foreign tribunals according to foreign law and", "paragraph_id": "para_71" }, { "text": "Lao PDR sought to enforce them in a United States district", "paragraph_id": "para_72" }, { "text": "court, they were “foreign arbitral awards.” Accordingly, the", "paragraph_id": "para_73" }, { "text": "district court sat in secondary-country jurisdiction and was", "paragraph_id": "para_74" }, { "text": "required to consider the merits of Lao PDR’s petition,", "paragraph_id": "para_75" }, { "text": "including its alter-ego theory, in a single action.", "paragraph_id": "para_76" }, { "text": "The panel held that this court has jurisdiction over Lao", "paragraph_id": "para_77" }, { "text": "PDR’s interlocutory appeal under Chapter 1 of the FAA,", "paragraph_id": "para_78" }, { "text": "which permits the immediate appeal of an order denying", "paragraph_id": "para_79" }, { "text": "confirmation of an award or partial award, because rather", "paragraph_id": "para_80" }, { "text": "than a dismissal for lack of subject matter jurisdiction, the", "paragraph_id": "para_81" }, { "text": "district court’s order should have been styled as a denial of a", "paragraph_id": "para_82" }, { "text": "petition to enforce.", "paragraph_id": "para_83" }, { "text": "4 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_84" }, { "text": "COUNSEL", "paragraph_id": "para_85" }, { "text": "David J. Branson (argued), Law Office of David Branson,", "paragraph_id": "para_86" }, { "text": "Saulieu, France; Colin M. Thompson, Thompson Law", "paragraph_id": "para_87" }, { "text": "Office LLC, Saipan, Northern Mariana Islands; for", "paragraph_id": "para_88" }, { "text": "Petitioner-Appellant.", "paragraph_id": "para_89" }, { "text": "Jeffrey T. Prudhomme (argued) and Deborah R. Deitsch-", "paragraph_id": "para_90" }, { "text": "Perez, Stinson LLP, Dallas, Texas; Michael W. Dotts, Dotts", "paragraph_id": "para_91" }, { "text": "Law Office, Saipan, Northern Mariana Islands; for", "paragraph_id": "para_92" }, { "text": "Respondents-Appellees.", "paragraph_id": "para_93" }, { "text": "OPINION", "paragraph_id": "para_94" }, { "text": "FORREST, Circuit Judge:", "paragraph_id": "para_95" }, { "text": "John Baldwin and Shawn Scott are American", "paragraph_id": "para_96" }, { "text": "entrepreneurs who created three international corporations", "paragraph_id": "para_97" }, { "text": "to invest in the casino and gaming industry in Laos. The", "paragraph_id": "para_98" }, { "text": "venture failed, culminating in legal disputes with the", "paragraph_id": "para_99" }, { "text": "Government of the Lao People’s Democratic Republic (Lao", "paragraph_id": "para_100" }, { "text": "PDR). Two of the entrepreneurs’ corporations participated", "paragraph_id": "para_101" }, { "text": "in multiple arbitration proceedings against Lao PDR in", "paragraph_id": "para_102" }, { "text": "international tribunals, and those tribunals issued Lao PDR", "paragraph_id": "para_103" }, { "text": "monetary awards against the two businesses. Despite", "paragraph_id": "para_104" }, { "text": "repeated attempts, Lao PDR has been unable to collect on", "paragraph_id": "para_105" }, { "text": "these awards.", "paragraph_id": "para_106" }, { "text": "In this action, Lao PDR seeks to recover against", "paragraph_id": "para_107" }, { "text": "Baldwin, Scott, and all three of their corporations by filing a", "paragraph_id": "para_108" }, { "text": "petition under the Convention on the Recognition and", "paragraph_id": "para_109" }, { "text": "Enforcement of Foreign Arbitral Awards (New York", "paragraph_id": "para_110" }, { "text": "Convention). The Federal Arbitration Act (FAA), which", "paragraph_id": "para_111" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 5", "paragraph_id": "para_112" }, { "text": "implemented the New York Convention, vests jurisdiction", "paragraph_id": "para_113" }, { "text": "in federal district courts to enforce international arbitral", "paragraph_id": "para_114" }, { "text": "awards. Lao PDR’s petition asserts that, while Baldwin,", "paragraph_id": "para_115" }, { "text": "Scott, and their third corporation did not participate in the", "paragraph_id": "para_116" }, { "text": "foreign arbitration proceedings, they are alter-egos of the", "paragraph_id": "para_117" }, { "text": "two corporations named in the arbitral awards and should", "paragraph_id": "para_118" }, { "text": "also be held liable for the awards. The district court", "paragraph_id": "para_119" }, { "text": "concluded that it lacked jurisdiction to enforce the awards", "paragraph_id": "para_120" }, { "text": "against the alleged alter-ego parties because they were not", "paragraph_id": "para_121" }, { "text": "named as debtors in the awards, and Lao PDR was required", "paragraph_id": "para_122" }, { "text": "to bring a separate action against them. We disagree. Under", "paragraph_id": "para_123" }, { "text": "the FAA, the district court had jurisdiction over Lao PDR’s", "paragraph_id": "para_124" }, { "text": "petition to enforce the foreign arbitral awards against the", "paragraph_id": "para_125" }, { "text": "three related but unnamed parties, and it should have", "paragraph_id": "para_126" }, { "text": "evaluated the merits of the Lao PDR’s alter-ego theory.", "paragraph_id": "para_127" }, { "text": "Therefore, we reverse and remand for further proceedings.", "paragraph_id": "para_128" }, { "text": "BACKGROUND", "paragraph_id": "para_129" }, { "text": "Because this appeal arises from a motion to dismiss, we", "paragraph_id": "para_130" }, { "text": "accept as true the facts stated in the operative petition to", "paragraph_id": "para_131" }, { "text": "enforce the foreign arbitration awards and construe them in", "paragraph_id": "para_132" }, { "text": "the light most favorable to Lao PDR. Doe v. Regents of Univ.", "paragraph_id": "para_133" }, { "text": "of Cal., 23 F.4th 930, 932 (9th Cir. 2022).", "paragraph_id": "para_134" }, { "text": "A. Business Venture", "paragraph_id": "para_135" }, { "text": "In 2007, Baldwin and Scott decided to invest in Laos’s", "paragraph_id": "para_136" }, { "text": "casino and gaming industry, and they incorporated Sanum", "paragraph_id": "para_137" }, { "text": "Investments Ltd. in Macau. Sanum Investments then", "paragraph_id": "para_138" }, { "text": "partnered with a Laotian conglomerate, ST Group, to finance", "paragraph_id": "para_139" }, { "text": "the construction of several casinos and clubs in Laos—one", "paragraph_id": "para_140" }, { "text": "of which was the Savan Vegas Casino in Savannakhet, Laos.", "paragraph_id": "para_141" }, { "text": "Baldwin and Sanum Investments also obtained financing", "paragraph_id": "para_142" }, { "text": "from Bridge Capital, LLC, a Northern Mariana Islands", "paragraph_id": "para_143" }, { "text": "corporation in which Baldwin and Scott hold equal stakes.", "paragraph_id": "para_144" }, { "text": "6 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_145" }, { "text": "Five years later, Baldwin and Scott incorporated Lao", "paragraph_id": "para_146" }, { "text": "Holdings N.V. in Aruba. Baldwin and Scott then inserted", "paragraph_id": "para_147" }, { "text": "Lao Holdings into the corporate ownership chain, making", "paragraph_id": "para_148" }, { "text": "Sanum Investments its wholly owned subsidiary.", "paragraph_id": "para_149" }, { "text": "B. Arbitration Proceedings", "paragraph_id": "para_150" }, { "text": "By mid-2012, Sanum Investments and Lao Holdings had", "paragraph_id": "para_151" }, { "text": "gotten into disputes with financier ST Group over", "paragraph_id": "para_152" }, { "text": "management of the Savan Vegas Casino, and Lao PDR had", "paragraph_id": "para_153" }, { "text": "also become involved in those disputes. Sanum Investments", "paragraph_id": "para_154" }, { "text": "and Lao Holdings simultaneously initiated two foreign", "paragraph_id": "para_155" }, { "text": "arbitration proceedings in Singapore against Lao PDR for", "paragraph_id": "para_156" }, { "text": "breach of treaty protections for foreign investors.", "paragraph_id": "para_157" }, { "text": "After several years of litigation, the arbitration tribunals", "paragraph_id": "para_158" }, { "text": "dismissed the companies’ claims and issued two awards in", "paragraph_id": "para_159" }, { "text": "Lao PDR’s favor for a total of nearly $3.73 million. Sanum", "paragraph_id": "para_160" }, { "text": "Investments and Lao Holdings promptly filed an action in", "paragraph_id": "para_161" }, { "text": "the High Court of Singapore to set aside the awards, but that", "paragraph_id": "para_162" }, { "text": "court dismissed their claim and assessed costs against them.", "paragraph_id": "para_163" }, { "text": "The companies appealed the dismissal, and the Singapore", "paragraph_id": "para_164" }, { "text": "Court of Appeal also dismissed and awarded costs.", "paragraph_id": "para_165" }, { "text": "While those arbitrations were ongoing, Sanum", "paragraph_id": "para_166" }, { "text": "Investments and Lao Holdings initiated a separate arbitration", "paragraph_id": "para_167" }, { "text": "proceeding in Singapore against San Marco Capital Partners", "paragraph_id": "para_168" }, { "text": "LLC (San Marco Capital), a group that Lao PDR had", "paragraph_id": "para_169" }, { "text": "appointed to manage and market the Savan Vegas Casino.", "paragraph_id": "para_170" }, { "text": "Lao PDR, which had indemnified San Marco Capital,", "paragraph_id": "para_171" }, { "text": "intervened.", "paragraph_id": "para_172" }, { "text": "That tribunal also issued an award in Lao PDR’s favor", "paragraph_id": "para_173" }, { "text": "for an additional $1.3 million. Sanum Investments and Lao", "paragraph_id": "para_174" }, { "text": "Holdings sued in Singapore to set aside the third award. The", "paragraph_id": "para_175" }, { "text": "High Court of Singapore dismissed and assessed costs,", "paragraph_id": "para_176" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 7", "paragraph_id": "para_177" }, { "text": "which the companies again unsuccessfully appealed to the", "paragraph_id": "para_178" }, { "text": "Singapore Court of Appeal.", "paragraph_id": "para_179" }, { "text": "C. Enforcement Proceedings", "paragraph_id": "para_180" }, { "text": "Lao PDR made several attempts to collect on its awards,", "paragraph_id": "para_181" }, { "text": "including contacting the Managing Director of Lao Holdings", "paragraph_id": "para_182" }, { "text": "in Aruba and filing a civil suit (which proved unsuccessful)", "paragraph_id": "para_183" }, { "text": "in Thailand. Lao PDR also sued Baldwin and Bridge Capital", "paragraph_id": "para_184" }, { "text": "in the United States District Court for the District of Idaho,", "paragraph_id": "para_185" }, { "text": "which, after allowing Lao PDR several opportunities to", "paragraph_id": "para_186" }, { "text": "amend its complaint, dismissed for lack of personal", "paragraph_id": "para_187" }, { "text": "jurisdiction in 2022. See Gov’t of Lao People’s Democratic", "paragraph_id": "para_188" }, { "text": "Republic v. Baldwin, No. 2:20-cv-00195-CRK, Dkt. 169, at", "paragraph_id": "para_189" }, { "text": "*3 (D. Idaho Aug. 29, 2022).", "paragraph_id": "para_190" }, { "text": "Lao PDR then filed the petition at issue in the United", "paragraph_id": "para_191" }, { "text": "States District Court for the District for the Northern", "paragraph_id": "para_192" }, { "text": "Mariana Islands to enforce its three arbitral awards under the", "paragraph_id": "para_193" }, { "text": "New York Convention. Initially, Lao PDR named only the", "paragraph_id": "para_194" }, { "text": "two arbitral award-debtors, Sanum Investments and Lao", "paragraph_id": "para_195" }, { "text": "Holdings, as respondents. It later amended its petition,", "paragraph_id": "para_196" }, { "text": "however, to include Baldwin, Scott, and Bridge Capital as", "paragraph_id": "para_197" }, { "text": "respondents, asserting that it should also be permitted to", "paragraph_id": "para_198" }, { "text": "enforce its awards against these added parties as the award-", "paragraph_id": "para_199" }, { "text": "debtors’ alter-egos under a corporate-veil-piercing theory.", "paragraph_id": "para_200" }, { "text": "Baldwin and Bridge Capital jointly moved to dismiss the", "paragraph_id": "para_201" }, { "text": "amended petition, alleging that, as relevant here, they could", "paragraph_id": "para_202" }, { "text": "not be held liable since they were neither parties to the", "paragraph_id": "para_203" }, { "text": "arbitration proceedings nor named as debtors in the arbitral", "paragraph_id": "para_204" }, { "text": "awards, and no court or tribunal had found them to be alter-", "paragraph_id": "para_205" }, { "text": "egos of Sanum Investments or Lao Holdings. The district", "paragraph_id": "para_206" }, { "text": "court granted their motion, after which Scott also moved to", "paragraph_id": "para_207" }, { "text": "dismiss. The court stayed Scott’s motion pending the", "paragraph_id": "para_208" }, { "text": "resolution of this appeal.", "paragraph_id": "para_209" }, { "text": "8 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_210" }, { "text": "In dismissing Baldwin and Bridge Capital, the district", "paragraph_id": "para_211" }, { "text": "court concluded that its jurisdiction over Lao PDR’s petition", "paragraph_id": "para_212" }, { "text": "to enforce arose under 9 U.S.C. §§ 203 and 207, two sections", "paragraph_id": "para_213" }, { "text": "of the FAA that together authorize United States federal", "paragraph_id": "para_214" }, { "text": "district courts to enforce arbitration awards issued by", "paragraph_id": "para_215" }, { "text": "international tribunals. The district court further concluded", "paragraph_id": "para_216" }, { "text": "that while § 203 provides that district courts “shall have", "paragraph_id": "para_217" }, { "text": "original jurisdiction over . . . action[s] or proceeding[s]", "paragraph_id": "para_218" }, { "text": "falling under the [New York] Convention,” § 207 limits that", "paragraph_id": "para_219" }, { "text": "jurisdictional grant to those actions brought “against any", "paragraph_id": "para_220" }, { "text": "other party to the arbitration.” Based on its understanding of", "paragraph_id": "para_221" }, { "text": "§ 207’s implicit restrictions, the district court concluded that", "paragraph_id": "para_222" }, { "text": "it could not “confirm the arbitration awards against [Baldwin", "paragraph_id": "para_223" }, { "text": "and Bridge Capital]” because they “were not parties to the", "paragraph_id": "para_224" }, { "text": "arbitration.”", "paragraph_id": "para_225" }, { "text": "The district court also reasoned that it would be", "paragraph_id": "para_226" }, { "text": "procedurally improper to evaluate in a confirmation action", "paragraph_id": "para_227" }, { "text": "whether Baldwin and Bridge Capital could be held liable as", "paragraph_id": "para_228" }, { "text": "alter-egos of Sanum Investments and Lao Holdings. In so", "paragraph_id": "para_229" }, { "text": "holding, the court relied on the Second Circuit’s decision in", "paragraph_id": "para_230" }, { "text": "Orion Shipping & Trading Co., Inc. v. E. States Petroleum", "paragraph_id": "para_231" }, { "text": "Corp. of Panama, S.A., which held that “an action for", "paragraph_id": "para_232" }, { "text": "confirmation is not the proper time for a [d]istrict [c]ourt to", "paragraph_id": "para_233" }, { "text": "‘pierce the corporate veil.’” 312 F.2d 299, 301 (2d Cir.", "paragraph_id": "para_234" }, { "text": "1963). Based primarily on Orion, the district court", "paragraph_id": "para_235" }, { "text": "determined that “[t]he proper mechanism” for Lao PDR to", "paragraph_id": "para_236" }, { "text": "seek to enforcement against Baldwin and Bridge Capital was", "paragraph_id": "para_237" }, { "text": "“to bring a separate action.” The court explicitly declined to", "paragraph_id": "para_238" }, { "text": "consider whether Baldwin and Bridge Capital would", "paragraph_id": "para_239" }, { "text": "ultimately qualify as alter-egos of Sanum Investments and", "paragraph_id": "para_240" }, { "text": "Lao Holdings and dismissed them “for lack of subject-matter", "paragraph_id": "para_241" }, { "text": "jurisdiction.”", "paragraph_id": "para_242" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 9", "paragraph_id": "para_243" }, { "text": "D. Appeal", "paragraph_id": "para_244" }, { "text": "Lao PDR appealed, arguing that the dismissal of", "paragraph_id": "para_245" }, { "text": "Baldwin and Bridge Capital for lack of subject-matter", "paragraph_id": "para_246" }, { "text": "jurisdiction was premised on a misunderstanding of the", "paragraph_id": "para_247" }, { "text": "FAA, which vests jurisdiction in district courts to enforce", "paragraph_id": "para_248" }, { "text": "actions whenever they fall under the New York Convention.", "paragraph_id": "para_249" }, { "text": "Lao PDR also argues that the district court misapplied", "paragraph_id": "para_250" }, { "text": "Second Circuit precedent in holding that it could not", "paragraph_id": "para_251" }, { "text": "evaluate an alter-ego theory in the immediate proceeding.", "paragraph_id": "para_252" }, { "text": "Baldwin and Bridge Capital contend that we lack", "paragraph_id": "para_253" }, { "text": "jurisdiction to hear Lao PDR’s appeal because the district", "paragraph_id": "para_254" }, { "text": "court’s dismissal for lack of subject-matter jurisdiction is not", "paragraph_id": "para_255" }, { "text": "an appealable interlocutory order. They further argue that", "paragraph_id": "para_256" }, { "text": "even if jurisdiction is proper, the district court correctly", "paragraph_id": "para_257" }, { "text": "determined that subject-matter jurisdiction is lacking under", "paragraph_id": "para_258" }, { "text": "§ 207.", "paragraph_id": "para_259" }, { "text": "DISCUSSION", "paragraph_id": "para_260" }, { "text": "We review de novo a district court’s decision to confirm", "paragraph_id": "para_261" }, { "text": "or vacate an arbitral award. HayDay Farms, Inc. v. FeeDx", "paragraph_id": "para_262" }, { "text": "Holdings, Inc., 55 F.4th 1232, 1238 (9th Cir. 2022). We also", "paragraph_id": "para_263" }, { "text": "review de novo our jurisdiction and a district court’s", "paragraph_id": "para_264" }, { "text": "dismissal for lack of subject-matter jurisdiction. See id.;", "paragraph_id": "para_265" }, { "text": "Jones v. L.A. Central Plaza LLC, 74 F.4th 1053, 1057 (9th", "paragraph_id": "para_266" }, { "text": "Cir. 2023).", "paragraph_id": "para_267" }, { "text": "We begin our analysis of the intertwined jurisdictional", "paragraph_id": "para_268" }, { "text": "challenges related to enforcement of Lao PDR’s", "paragraph_id": "para_269" }, { "text": "international arbitration awards by reviewing the relevant", "paragraph_id": "para_270" }, { "text": "legal principles that arise from the New York Convention,", "paragraph_id": "para_271" }, { "text": "an international treaty governing the recognition and", "paragraph_id": "para_272" }, { "text": "enforcement of arbitral awards, and its implementation", "paragraph_id": "para_273" }, { "text": "under the FAA. Using that framework, we then address the", "paragraph_id": "para_274" }, { "text": "10 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_275" }, { "text": "district court’s subject-matter jurisdiction and our appellate", "paragraph_id": "para_276" }, { "text": "jurisdiction.", "paragraph_id": "para_277" }, { "text": "A. Legal Principles", "paragraph_id": "para_278" }, { "text": "1. New York Convention", "paragraph_id": "para_279" }, { "text": "“The New York Convention is a multilateral treaty that", "paragraph_id": "para_280" }, { "text": "addresses international arbitration.” GE Energy Power", "paragraph_id": "para_281" }, { "text": "Conversion France SAS, Corp. v. Outokumpu Stainless USA,", "paragraph_id": "para_282" }, { "text": "LLC, 590 U.S. 432, 438 (2020); see Convention on the", "paragraph_id": "para_283" }, { "text": "Recognition and Enforcement of Foreign Arbitral Awards,", "paragraph_id": "para_284" }, { "text": "June 10, 1958, 21 U.S.T. 2517 [hereinafter, N.Y.", "paragraph_id": "para_285" }, { "text": "Convention]. The Convention was developed after “the rapid", "paragraph_id": "para_286" }, { "text": "expansion of international trade following World War II”", "paragraph_id": "para_287" }, { "text": "and is designed to offer “a workable mechanism for the swift", "paragraph_id": "para_288" }, { "text": "resolution of the[] day-to-day disputes” arising out of", "paragraph_id": "para_289" }, { "text": "international business ventures. Bergesen v. Joseph Muller", "paragraph_id": "para_290" }, { "text": "Corp., 710 F.2d 928, 929 (2d Cir. 1983). The New York", "paragraph_id": "para_291" }, { "text": "Convention opened for signature in 1958. Id. The United", "paragraph_id": "para_292" }, { "text": "States acceded to the Convention twelve years later with “the", "paragraph_id": "para_293" }, { "text": "principal purpose . . . to encourage the recognition and", "paragraph_id": "para_294" }, { "text": "enforcement of commercial arbitration agreements in", "paragraph_id": "para_295" }, { "text": "international contracts and to unify the standards by which", "paragraph_id": "para_296" }, { "text": "agreements to arbitrate are observed and arbitral awards are", "paragraph_id": "para_297" }, { "text": "enforced.” Scherk v. Alberto-Culver Co., 417 U.S. 506, 520", "paragraph_id": "para_298" }, { "text": "n.15 (1974).", "paragraph_id": "para_299" }, { "text": "a. Recognition and Enforcement", "paragraph_id": "para_300" }, { "text": "Recognition and enforcement of arbitral awards are", "paragraph_id": "para_301" }, { "text": "technically “distinct legal concepts.” Corporación AIC, SA", "paragraph_id": "para_302" }, { "text": "v. Hidroeléctrica Santa Rita S.A., 66 F.4th 876, 882 n.2 (11th", "paragraph_id": "para_303" }, { "text": "Cir. 2023). “Recognition” is a judicial determination that an", "paragraph_id": "para_304" }, { "text": "award is binding, whereas “enforcement” reduces an award", "paragraph_id": "para_305" }, { "text": "to a judgment. See Restatement (Third) U.S. L. Int’l Com.", "paragraph_id": "para_306" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 11", "paragraph_id": "para_307" }, { "text": "Arb. § 1.1(nn), (m); see also Corporación AIC, SA, 66 F.4th", "paragraph_id": "para_308" }, { "text": "at 882 n.2. But under the New York Convention,", "paragraph_id": "para_309" }, { "text": "“recognition and enforcement” is a term of art, combining", "paragraph_id": "para_310" }, { "text": "both processes into a single action for giving effect to an", "paragraph_id": "para_311" }, { "text": "arbitral award. Molecular Dynamics, Ltd. v. Spectrum", "paragraph_id": "para_312" }, { "text": "Dynamics Med. Ltd., 143 F.4th 70, 82 n.8 (2d Cir. 2025); see", "paragraph_id": "para_313" }, { "text": "CBF Indústria de Gusa S/A v. AMCI Holdings, Inc., 850", "paragraph_id": "para_314" }, { "text": "F.3d 58, 72 (2d Cir. 2017) (“Recognition and enforcement", "paragraph_id": "para_315" }, { "text": "occur together, as one process, under the New York", "paragraph_id": "para_316" }, { "text": "Convention.”).", "paragraph_id": "para_317" }, { "text": "The consolidated approach adopted in the New York", "paragraph_id": "para_318" }, { "text": "Convention was a deliberate departure from its predecessor,", "paragraph_id": "para_319" }, { "text": "the Geneva Convention, which had “required an [arbitral]", "paragraph_id": "para_320" }, { "text": "award first to be recognized in the rendering state before it", "paragraph_id": "para_321" }, { "text": "could be enforced abroad.” CBF Indústria, 850 F.3d at 73", "paragraph_id": "para_322" }, { "text": "(citation omitted). That pre-enforcement recognition", "paragraph_id": "para_323" }, { "text": "procedure, known as “confirmation,” had proven ineffective.", "paragraph_id": "para_324" }, { "text": "See Molecular Dynamics, 143 F.4th at 81. Consistent with", "paragraph_id": "para_325" }, { "text": "its purpose, the New York Convention adopted a single", "paragraph_id": "para_326" }, { "text": "recognition-and-enforcement proceeding, “enabling parties", "paragraph_id": "para_327" }, { "text": "to enforce [international arbitral awards] in third countries", "paragraph_id": "para_328" }, { "text": "without first having to obtain either confirmation of such", "paragraph_id": "para_329" }, { "text": "awards or leave to enforce them from a court in the country”", "paragraph_id": "para_330" }, { "text": "where the award was rendered. Karaha Bodas Co., L.L.C. v.", "paragraph_id": "para_331" }, { "text": "Perusahaan Pertambangan Minyak Dan Gas Bumi Negara,", "paragraph_id": "para_332" }, { "text": "335 F.3d 357, 366–67 (5th Cir. 2003). Indeed, the New York", "paragraph_id": "para_333" }, { "text": "Convention was designed to “eradicat[e] the requirement", "paragraph_id": "para_334" }, { "text": "[under the Geneva Convention] that a court in the rendering", "paragraph_id": "para_335" }, { "text": "state recognize an award before it could be taken and", "paragraph_id": "para_336" }, { "text": "enforced abroad.” CBF Indústria, 850 F.3d at 73 (quoting", "paragraph_id": "para_337" }, { "text": "Yusuf Ahmed Alghanim & Sons v. Toys “R” Us, Inc., 126", "paragraph_id": "para_338" }, { "text": "F.3d 15, 22 (2d Cir. 1997)).", "paragraph_id": "para_339" }, { "text": "12 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_340" }, { "text": "b. Foreign and Nondomestic Awards", "paragraph_id": "para_341" }, { "text": "The New York Convention applies to two classes of", "paragraph_id": "para_342" }, { "text": "actions to enforce arbitral awards. Molecular Dynamics, 143", "paragraph_id": "para_343" }, { "text": "F.4th at 81; N.Y. Convention, art. I(1). The first class", "paragraph_id": "para_344" }, { "text": "consists of “awards made in the territory of a [country] other", "paragraph_id": "para_345" }, { "text": "than the [country] where the recognition and enforcement of", "paragraph_id": "para_346" }, { "text": "such awards are sought.”1 N.Y. Convention, art. I(1). For", "paragraph_id": "para_347" }, { "text": "actions brought in federal district courts, this class includes", "paragraph_id": "para_348" }, { "text": "arbitral awards rendered in another country that a party seeks", "paragraph_id": "para_349" }, { "text": "to recognize and enforce in the United States. Molecular", "paragraph_id": "para_350" }, { "text": "Dynamics, 143 F.4th at 81. These actions are referred to as", "paragraph_id": "para_351" }, { "text": "“foreign arbitral awards.” CBF Indústria, 850 F.3d at 70.", "paragraph_id": "para_352" }, { "text": "The second class consists of awards that, though", "paragraph_id": "para_353" }, { "text": "rendered domestically, are “not considered as domestic", "paragraph_id": "para_354" }, { "text": "awards in the [country] where their recognition and", "paragraph_id": "para_355" }, { "text": "enforcement are sought.” N.Y. Convention, art I(1). Under", "paragraph_id": "para_356" }, { "text": "United States law, this class of arbitral awards includes those", "paragraph_id": "para_357" }, { "text": "“that, despite having been made in the United States, have", "paragraph_id": "para_358" }, { "text": "some significant foreign nexus.” Molecular Dynamics, 143", "paragraph_id": "para_359" }, { "text": "F.4th at 82. These are known as “nondomestic arbitral", "paragraph_id": "para_360" }, { "text": "awards.” Id.", "paragraph_id": "para_361" }, { "text": "c. Primary- and Secondary-Country Jurisdiction", "paragraph_id": "para_362" }, { "text": "The New York Convention allocates “different roles to", "paragraph_id": "para_363" }, { "text": "national courts” depending on their relationship to the", "paragraph_id": "para_364" }, { "text": "arbitral award. Karaha Bodas Co., 335 F.3d at 368. This", "paragraph_id": "para_365" }, { "text": "relationship dictates the authority and scope of review", "paragraph_id": "para_366" }, { "text": "1 An arbitral award is understood as “made” in the country of the", "paragraph_id": "para_367" }, { "text": "“arbitral seat,” which is “the jurisdiction designated by the parties or by", "paragraph_id": "para_368" }, { "text": "an entity empowered to do so on their behalf to be the juridical home of", "paragraph_id": "para_369" }, { "text": "the arbitration.” Restatement (Third) U.S. L. Int’l Com. Arb. § 1.1(oo).", "paragraph_id": "para_370" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 13", "paragraph_id": "para_371" }, { "text": "afforded to the court asked to enforce the award. See CBF", "paragraph_id": "para_372" }, { "text": "Indústria, 850 F.3d at 71.", "paragraph_id": "para_373" }, { "text": "American courts have adopted a framework for", "paragraph_id": "para_374" }, { "text": "describing this relationship “that distinguishes between", "paragraph_id": "para_375" }, { "text": "‘primary’ and ‘secondary’ jurisdictions.” Molecular", "paragraph_id": "para_376" }, { "text": "Dynamics, 143 F.4th at 83. “[T]he country in which, or under", "paragraph_id": "para_377" }, { "text": "the arbitration law of which, an arbitral award is made is said", "paragraph_id": "para_378" }, { "text": "to have primary jurisdiction over the arbitration award.” Id.", "paragraph_id": "para_379" }, { "text": "(quoting Karaha Bodas Co., 500 F.3d at 115 n.1). All other", "paragraph_id": "para_380" }, { "text": "countries have secondary jurisdiction. See id.", "paragraph_id": "para_381" }, { "text": "The difference between primary- and secondary-country", "paragraph_id": "para_382" }, { "text": "jurisdiction has significant practical consequences. See", "paragraph_id": "para_383" }, { "text": "Molecular Dynamics, 143 F.4th at 84; Restatement (Third)", "paragraph_id": "para_384" }, { "text": "U.S. L. Int’l Com. Arb. § 1.3 cmt. c. A court of a country", "paragraph_id": "para_385" }, { "text": "sitting in primary jurisdiction has authority “to set aside or", "paragraph_id": "para_386" }, { "text": "modify an award in accordance with its domestic arbitral law", "paragraph_id": "para_387" }, { "text": "and its full panoply of express and implied grounds for", "paragraph_id": "para_388" }, { "text": "relief.” Molecular Dynamics, 143 F.4th at 84 (quoting Yusuf", "paragraph_id": "para_389" }, { "text": "Ahmed Alghanim, 126 F.3d at 23). But courts in countries", "paragraph_id": "para_390" }, { "text": "with secondary jurisdiction may refuse enforcement “only", "paragraph_id": "para_391" }, { "text": "on the limited grounds specified” by the New York", "paragraph_id": "para_392" }, { "text": "Convention. Id. (quoting Karaha Bodas Co., 500 F.3d at 115", "paragraph_id": "para_393" }, { "text": "n.1). The narrow grounds for refusal are found in Article V", "paragraph_id": "para_394" }, { "text": "of the Convention. See N.Y. Convention, art. V.", "paragraph_id": "para_395" }, { "text": "* * * * *", "paragraph_id": "para_396" }, { "text": "In short, the New York Convention provides a single-", "paragraph_id": "para_397" }, { "text": "proceeding mechanism for the recognition and enforcement", "paragraph_id": "para_398" }, { "text": "of international arbitral awards, including foreign awards", "paragraph_id": "para_399" }, { "text": "sought to be enforced abroad. When a party brings a petition", "paragraph_id": "para_400" }, { "text": "to enforce a foreign arbitral award in a United States district", "paragraph_id": "para_401" }, { "text": "court, the court exercises secondary-country jurisdiction", "paragraph_id": "para_402" }, { "text": "because it sits in a country other than the one in which the", "paragraph_id": "para_403" }, { "text": "14 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_404" }, { "text": "arbitral award was made. And because the court has", "paragraph_id": "para_405" }, { "text": "secondary-country jurisdiction, it must either enforce the", "paragraph_id": "para_406" }, { "text": "award or refuse enforcement only for one of the reasons", "paragraph_id": "para_407" }, { "text": "recognized by the Convention.", "paragraph_id": "para_408" }, { "text": "2. FAA", "paragraph_id": "para_409" }, { "text": "Chapter 2 of the FAA implements the United States’", "paragraph_id": "para_410" }, { "text": "obligations under the New York Convention. See 9 U.S.C.", "paragraph_id": "para_411" }, { "text": "§ 201; Outokumpu, 590 U.S. at 439; Devas Multimedia Priv.", "paragraph_id": "para_412" }, { "text": "Ltd. v. Antrix Corp., --- F.4th ----, Nos. 20-36024, 22-35085,", "paragraph_id": "para_413" }, { "text": "22-35103, 2026 WL 2330570, at *3 (9th Cir. Aug. 12, 2026)", "paragraph_id": "para_414" }, { "text": "(“Congress implemented the Convention by amending Title", "paragraph_id": "para_415" }, { "text": "9 of the United States Code.”). Section 203 provides that", "paragraph_id": "para_416" }, { "text": "federal district courts “shall have original jurisdiction” over", "paragraph_id": "para_417" }, { "text": "“[a]n action or proceeding falling under the Convention,”", "paragraph_id": "para_418" }, { "text": "which “shall be deemed to arise under the laws and treaties", "paragraph_id": "para_419" }, { "text": "of the United States.” 9 U.S.C. § 203; see Outokumpu, 590", "paragraph_id": "para_420" }, { "text": "U.S. at 439 (recognizing that § 203 “grants federal courts", "paragraph_id": "para_421" }, { "text": "jurisdiction over actions governed by the Convention”). And", "paragraph_id": "para_422" }, { "text": "§ 202 specifies those actions that “fall[] under the", "paragraph_id": "para_423" }, { "text": "Convention.” 9 U.S.C. § 202.", "paragraph_id": "para_424" }, { "text": "Taken together, these statutes impose three basic", "paragraph_id": "para_425" }, { "text": "jurisdictional requirements: “[T]he award (1) must arise out", "paragraph_id": "para_426" }, { "text": "of a legal relationship (2) which is commercial in nature and", "paragraph_id": "para_427" }, { "text": "(3) which is not entirely domestic in scope.” Ministry of Def.", "paragraph_id": "para_428" }, { "text": "of Islamic Republic of Iran v. Gould Inc., 887 F.2d 1357,", "paragraph_id": "para_429" }, { "text": "1362 (9th Cir. 1989); see Restatement (Third) U.S. L. Int’l", "paragraph_id": "para_430" }, { "text": "Com. Arb. § 1.4. When these conditions are satisfied, the", "paragraph_id": "para_431" }, { "text": "action “fall[s] under the Convention” such that a district", "paragraph_id": "para_432" }, { "text": "court’s exercise of jurisdiction is not discretionary—that is,", "paragraph_id": "para_433" }, { "text": "it does not rely on the court’s substantive assessment of the", "paragraph_id": "para_434" }, { "text": "arbitral award. See Al-Qarqani v. Chevron Corp., 8 F.4th", "paragraph_id": "para_435" }, { "text": "1018, 1025 (9th Cir. 2021).", "paragraph_id": "para_436" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 15", "paragraph_id": "para_437" }, { "text": "Section 207, in turn, delimits § 203’s jurisdictional grant.", "paragraph_id": "para_438" }, { "text": "See 9 U.S.C. § 207. It provides that “[w]ithin three years", "paragraph_id": "para_439" }, { "text": "after an arbitral award falling under the Convention is made,", "paragraph_id": "para_440" }, { "text": "any party to the arbitration may apply to any court having", "paragraph_id": "para_441" }, { "text": "jurisdiction under this chapter for an order confirming the", "paragraph_id": "para_442" }, { "text": "award as against any other party to the arbitration.” Id.", "paragraph_id": "para_443" }, { "text": "Section 207 also recognizes the federal district courts’", "paragraph_id": "para_444" }, { "text": "limited secondary-country jurisdiction with respect to", "paragraph_id": "para_445" }, { "text": "foreign arbitral awards, dictating that such a court “shall", "paragraph_id": "para_446" }, { "text": "confirm the award unless it finds one of the grounds for", "paragraph_id": "para_447" }, { "text": "refusal or deferral of recognition or enforcement of the", "paragraph_id": "para_448" }, { "text": "award” as laid out in Article V of the New York Convention.", "paragraph_id": "para_449" }, { "text": "Id. While § 207 uses the term “confirm,” read in context, this", "paragraph_id": "para_450" }, { "text": "reference to a confirmation action is synonymous with the", "paragraph_id": "para_451" }, { "text": "New York Convention’s recognition-and-enforcement", "paragraph_id": "para_452" }, { "text": "proceeding for foreign arbitral awards. CBF Indústria, 850", "paragraph_id": "para_453" }, { "text": "F.3d at 72 (“Read in context with the New York Convention,", "paragraph_id": "para_454" }, { "text": "it is evident that the term ‘confirm’ as used in [§ ]207 is the", "paragraph_id": "para_455" }, { "text": "equivalent of ‘recognition and enforcement’ as used in the", "paragraph_id": "para_456" }, { "text": "New York Convention for the purposes of foreign arbitral", "paragraph_id": "para_457" }, { "text": "awards.” (footnote omitted)).", "paragraph_id": "para_458" }, { "text": "B. Application", "paragraph_id": "para_459" }, { "text": "With these legal principles established, we now turn to", "paragraph_id": "para_460" }, { "text": "the jurisdictional disputes presented in this appeal. We", "paragraph_id": "para_461" }, { "text": "conclude that the district court had subject-matter", "paragraph_id": "para_462" }, { "text": "jurisdiction under 9 U.S.C. § 203, including over Baldwin", "paragraph_id": "para_463" }, { "text": "and Bridge Capital, which means that we have jurisdiction", "paragraph_id": "para_464" }, { "text": "to hear Lao PDR’s appeal under § 16(a)(1)(D). Because our", "paragraph_id": "para_465" }, { "text": "appellate jurisdiction depends on the nature of the district", "paragraph_id": "para_466" }, { "text": "court’s jurisdiction, we address the district court’s", "paragraph_id": "para_467" }, { "text": "jurisdiction first.", "paragraph_id": "para_468" }, { "text": "16 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_469" }, { "text": "1. District Court Jurisdiction", "paragraph_id": "para_470" }, { "text": "The district court dismissed Lao PDR’s petition to", "paragraph_id": "para_471" }, { "text": "enforce the arbitral awards as to Baldwin and Bridge Capital", "paragraph_id": "para_472" }, { "text": "for lack of subject-matter jurisdiction. Baldwin and Bridge", "paragraph_id": "para_473" }, { "text": "Capital assert that was proper for two independent reasons.", "paragraph_id": "para_474" }, { "text": "First, they argue that because § 207 states that an action to", "paragraph_id": "para_475" }, { "text": "confirm an arbitral award may only be brought “as against", "paragraph_id": "para_476" }, { "text": "any other party to the arbitration,” and they did not", "paragraph_id": "para_477" }, { "text": "participate in any of the three arbitration proceedings, the", "paragraph_id": "para_478" }, { "text": "district court lacked jurisdiction over Lao PDR’s petition.", "paragraph_id": "para_479" }, { "text": "Second, they argue that the district court was prohibited from", "paragraph_id": "para_480" }, { "text": "considering Lao PDR’s alter-ego theory in the context of a", "paragraph_id": "para_481" }, { "text": "confirmation (rather than an enforcement) proceeding. We", "paragraph_id": "para_482" }, { "text": "disagree with both rationales.", "paragraph_id": "para_483" }, { "text": "a.", "paragraph_id": "para_484" }, { "text": "Section 207 provides, in part: “Within three years after", "paragraph_id": "para_485" }, { "text": "an arbitral award falling under the Convention is made, any", "paragraph_id": "para_486" }, { "text": "party to the arbitration may apply to any court having", "paragraph_id": "para_487" }, { "text": "jurisdiction under this chapter for an order confirming the", "paragraph_id": "para_488" }, { "text": "award as against any other party to the arbitration.” 9 U.S.C.", "paragraph_id": "para_489" }, { "text": "§ 207. Baldwin and Bridge Capital read the concluding", "paragraph_id": "para_490" }, { "text": "phrase, “as against any other party to the arbitration,” to limit", "paragraph_id": "para_491" }, { "text": "the district court’s subject-matter jurisdiction to those", "paragraph_id": "para_492" }, { "text": "actions brought against named award-debtors. This", "paragraph_id": "para_493" }, { "text": "misinterprets the language of § 207 and its place in the", "paragraph_id": "para_494" }, { "text": "broader statutory scheme.", "paragraph_id": "para_495" }, { "text": "The jurisdictional grant to United States district courts", "paragraph_id": "para_496" }, { "text": "over actions governed by the New York Convention is in", "paragraph_id": "para_497" }, { "text": "§ 203, which conveys jurisdiction over “any ‘action or", "paragraph_id": "para_498" }, { "text": "proceeding falling under the Convention,’” as dictated by", "paragraph_id": "para_499" }, { "text": "§ 202. Al-Qarqani, 8 F.4th at 1024 (quoting 9 U.S.C. § 203).", "paragraph_id": "para_500" }, { "text": "Section 207 does not define federal subject matter-", "paragraph_id": "para_501" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 17", "paragraph_id": "para_502" }, { "text": "jurisdiction over Convention proceedings. Rather, it limits", "paragraph_id": "para_503" }, { "text": "when (“[w]ithin three years”), who (“any party to the", "paragraph_id": "para_504" }, { "text": "arbitration”), what (“an order confirming the award”), and", "paragraph_id": "para_505" }, { "text": "against whom (“any other party to the arbitration”) such", "paragraph_id": "para_506" }, { "text": "proceedings may be brought, presuming that the action will", "paragraph_id": "para_507" }, { "text": "be brought in a “court having jurisdiction under [Chapter 2", "paragraph_id": "para_508" }, { "text": "of the FAA].” 9 U.S.C. § 207. That is, § 207’s conditions are", "paragraph_id": "para_509" }, { "text": "not jurisdictional because they are not “located in a", "paragraph_id": "para_510" }, { "text": "jurisdiction-granting provision.” Al-Qarqani, 8 F.4th at 1024", "paragraph_id": "para_511" }, { "text": "(quoting Garcia v. Salvation Army, 918 F.3d 997, 1006 (9th", "paragraph_id": "para_512" }, { "text": "Cir. 2019)).", "paragraph_id": "para_513" }, { "text": "Neither § 203 nor § 207 “requires a court to assess an", "paragraph_id": "para_514" }, { "text": "award against the Convention’s requirements before", "paragraph_id": "para_515" }, { "text": "exercising jurisdiction.” Id. at 1025. “Instead, so long as a", "paragraph_id": "para_516" }, { "text": "party makes a non-frivolous claim that an arbitral award”", "paragraph_id": "para_517" }, { "text": "falls under the Convention and the asserted “claim is neither", "paragraph_id": "para_518" }, { "text": "‘immaterial [nor] made solely for the purpose of obtaining", "paragraph_id": "para_519" }, { "text": "jurisdiction,’” the district “court ‘must assume jurisdiction", "paragraph_id": "para_520" }, { "text": "and hear the merits of the case.’” Id. (first quoting Bell v.", "paragraph_id": "para_521" }, { "text": "Hood, 327 U.S. 678, 682–83 (1946); then quoting Sarhank", "paragraph_id": "para_522" }, { "text": "Grp. v. Oracle Corp., 404 F.3d 657, 660 (2d. Cir. 2005)).", "paragraph_id": "para_523" }, { "text": "Here, the district court had subject-matter jurisdiction", "paragraph_id": "para_524" }, { "text": "over Lao PDR’s petition to enforce its foreign arbitral", "paragraph_id": "para_525" }, { "text": "awards because the underlying awards fell under the New", "paragraph_id": "para_526" }, { "text": "York Convention. As alleged in the petition, all three awards", "paragraph_id": "para_527" }, { "text": "arose out of a legal relationship between Lao PDR and the", "paragraph_id": "para_528" }, { "text": "five respondents—Sanum Investments and Lao Holdings as", "paragraph_id": "para_529" }, { "text": "the named award-debtors, and Baldwin, Bridge Capital, and", "paragraph_id": "para_530" }, { "text": "Scott as the award-debtors’ alter-egos. The petition identifies", "paragraph_id": "para_531" }, { "text": "the various agreements between Lao PDR and the named", "paragraph_id": "para_532" }, { "text": "award-debtors upon which the awards were based. And", "paragraph_id": "para_533" }, { "text": "while Lao PDR never entered into a formal relationship with", "paragraph_id": "para_534" }, { "text": "the alter-ego parties, the petition advanced a theory that the", "paragraph_id": "para_535" }, { "text": "18 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_536" }, { "text": "awards should nevertheless be enforced against them", "paragraph_id": "para_537" }, { "text": "because they can be held liable for the obligations of Sanum", "paragraph_id": "para_538" }, { "text": "Investments and Lao Holdings.", "paragraph_id": "para_539" }, { "text": "Baldwin and Bridge Capital have not contended that Lao", "paragraph_id": "para_540" }, { "text": "PDR’s alter-ego allegations were frivolous or made merely", "paragraph_id": "para_541" }, { "text": "for the purpose of obtaining jurisdiction. Regardless, Lao", "paragraph_id": "para_542" }, { "text": "PDR’s petition asserts detailed allegations as to the legal", "paragraph_id": "para_543" }, { "text": "relationship between the two award-debtors and the three", "paragraph_id": "para_544" }, { "text": "alter-egos, asserting that Baldwin and Scott dominated and", "paragraph_id": "para_545" }, { "text": "controlled their three corporate entities such that “the", "paragraph_id": "para_546" }, { "text": "separate corporate personalities of each ceased to exist.” The", "paragraph_id": "para_547" }, { "text": "merits of those allegations are not for us to evaluate. See", "paragraph_id": "para_548" }, { "text": "CBF Indústria, 850 F.3d at 75. We determine only that, as", "paragraph_id": "para_549" }, { "text": "alleged in the petition to enforce the awards, the legal", "paragraph_id": "para_550" }, { "text": "relationship between Lao PDR and the five respondents", "paragraph_id": "para_551" }, { "text": "satisfies § 203’s first jurisdictional requirement. See Gould", "paragraph_id": "para_552" }, { "text": "Inc., 887 F.2d at 1362.", "paragraph_id": "para_553" }, { "text": "Having determined that the petition sufficiently alleges a", "paragraph_id": "para_554" }, { "text": "legal relationship between Lao PDR and the five", "paragraph_id": "para_555" }, { "text": "respondents, we also conclude that § 203’s remaining", "paragraph_id": "para_556" }, { "text": "jurisdictional requirements are easily satisfied. The alleged", "paragraph_id": "para_557" }, { "text": "legal relationship was commercial in nature since it", "paragraph_id": "para_558" }, { "text": "involved, at a minimum, disputes about the management of", "paragraph_id": "para_559" }, { "text": "the Sanum Vegas Casino. Id. And the relationship was not", "paragraph_id": "para_560" }, { "text": "entirely domestic in scope since Lao PDR, both a party to", "paragraph_id": "para_561" }, { "text": "the relationship and where the subject matter of the", "paragraph_id": "para_562" }, { "text": "relationship is located, is a foreign nation. Id.", "paragraph_id": "para_563" }, { "text": "b.", "paragraph_id": "para_564" }, { "text": "Baldwin’s and Bridge Capital’s assertion that the district", "paragraph_id": "para_565" }, { "text": "court lacked subject-matter as to them because Lao PDR’s", "paragraph_id": "para_566" }, { "text": "petition relied on an alter-ego theory is also incorrect.", "paragraph_id": "para_567" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 19", "paragraph_id": "para_568" }, { "text": "All three arbitral awards were made in Singapore, a", "paragraph_id": "para_569" }, { "text": "signatory state to the New York Convention. Because the", "paragraph_id": "para_570" }, { "text": "awards were made by foreign tribunals according to foreign", "paragraph_id": "para_571" }, { "text": "law and Lao PDR seeks to enforce them in a United States", "paragraph_id": "para_572" }, { "text": "district court, they are “foreign arbitral awards.” CBF", "paragraph_id": "para_573" }, { "text": "Indústria, 850 F.3d at 71. Accordingly, the district court sat", "paragraph_id": "para_574" }, { "text": "in secondary-country jurisdiction and was required to", "paragraph_id": "para_575" }, { "text": "consider the merits of Lao PDR’s petition, including its alter-", "paragraph_id": "para_576" }, { "text": "ego theory, in a single action. See id. at 71–75.", "paragraph_id": "para_577" }, { "text": "The district court improperly dismissed for lack of", "paragraph_id": "para_578" }, { "text": "subject-matter jurisdiction because it misunderstood the", "paragraph_id": "para_579" }, { "text": "import of the Second Circuit’s decision in Orion, which was", "paragraph_id": "para_580" }, { "text": "decided before the United States had acceded to the New", "paragraph_id": "para_581" }, { "text": "York Convention. At issue was an arbitral award-creditor", "paragraph_id": "para_582" }, { "text": "who petitioned a United States district court to hold liable a", "paragraph_id": "para_583" }, { "text": "non-party shell corporation based on an alter-ego theory. See", "paragraph_id": "para_584" }, { "text": "Orion, 312 F.2d at 300–01. Operating under the Geneva", "paragraph_id": "para_585" }, { "text": "Convention regime, the Second Circuit held that “an action", "paragraph_id": "para_586" }, { "text": "for confirmation is not the proper time for a [d]istrict [c]ourt", "paragraph_id": "para_587" }, { "text": "to ‘pierce the corporate veil’” and determine whether an", "paragraph_id": "para_588" }, { "text": "alleged alter-ego could properly be held liable. Id. at 301.", "paragraph_id": "para_589" }, { "text": "The court explained that a confirmation proceeding “cannot", "paragraph_id": "para_590" }, { "text": "be employed as a substitute for” an enforcement action", "paragraph_id": "para_591" }, { "text": "against an alleged alter-ego since the two proceedings", "paragraph_id": "para_592" }, { "text": "represent “quite distinct causes of action.” Id.", "paragraph_id": "para_593" }, { "text": "Because, as the Second Circuit has since clarified, Orion", "paragraph_id": "para_594" }, { "text": "was not decided under the procedures established by the", "paragraph_id": "para_595" }, { "text": "New York Convention, and because it concerned", "paragraph_id": "para_596" }, { "text": "confirmation of a nondomestic arbitral award, it is", "paragraph_id": "para_597" }, { "text": "inapposite. See CBF Indústria, 850 F.3d at 74. In accordance", "paragraph_id": "para_598" }, { "text": "with the Geneva Convention, the Orion court properly", "paragraph_id": "para_599" }, { "text": "recognized that the award-creditor could have brought a", "paragraph_id": "para_600" }, { "text": "separate action to confirm a nondomestic arbitral award. See", "paragraph_id": "para_601" }, { "text": "20 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_602" }, { "text": "id. But the New York Convention deliberately did away with", "paragraph_id": "para_603" }, { "text": "that cumbersome, two-step approach to foreign arbitral", "paragraph_id": "para_604" }, { "text": "awards, providing instead for a consolidated recognition-", "paragraph_id": "para_605" }, { "text": "and-enforcement proceeding. See id. As such, Orion’s", "paragraph_id": "para_606" }, { "text": "reasoning “does not mandate a different result” with respect", "paragraph_id": "para_607" }, { "text": "to the enforcement of the awards at issue here. Id.", "paragraph_id": "para_608" }, { "text": "That said, the district court’s confusion was", "paragraph_id": "para_609" }, { "text": "understandable. See id. As the Second Circuit has explained,", "paragraph_id": "para_610" }, { "text": "the wording of § 207 creates “confusion regarding whether", "paragraph_id": "para_611" }, { "text": "parties need to confirm a foreign arbitral award” before", "paragraph_id": "para_612" }, { "text": "petitioning a district court to enforce it because § 207 “uses", "paragraph_id": "para_613" }, { "text": "the term ‘confirm’ to describe the process by which a district", "paragraph_id": "para_614" }, { "text": "court” sits in secondary-country jurisdiction in a", "paragraph_id": "para_615" }, { "text": "recognition-and-enforcement proceeding for a foreign", "paragraph_id": "para_616" }, { "text": "arbitral award, id. (quoting 9 U.S.C. § 207), when “the", "paragraph_id": "para_617" }, { "text": "proper term for th[is] single-step process” is", "paragraph_id": "para_618" }, { "text": "“[e]nforcement,” id. at 75. Under New York Convention", "paragraph_id": "para_619" }, { "text": "procedures, a “confirmation” proceeding occurs only when", "paragraph_id": "para_620" }, { "text": "a federal district court “sits in [primary-country] jurisdiction", "paragraph_id": "para_621" }, { "text": "over a nondomestic arbitral award.” Id.", "paragraph_id": "para_622" }, { "text": "For these reasons, the district court erred in dismissing", "paragraph_id": "para_623" }, { "text": "Lao PDR’s petition for lack of subject-matter jurisdiction.", "paragraph_id": "para_624" }, { "text": "2. Appellate Jurisdiction", "paragraph_id": "para_625" }, { "text": "Finally, we turn to our own jurisdiction. Chapter 1 of the", "paragraph_id": "para_626" }, { "text": "FAA permits the immediate appeal of “an order . . . denying", "paragraph_id": "para_627" }, { "text": "confirmation of an award or partial award.” 9 U.S.C.", "paragraph_id": "para_628" }, { "text": "§ 16(a)(1)(D). Because this authorization of interlocutory", "paragraph_id": "para_629" }, { "text": "appeals “is not in conflict with . . . the [New York]", "paragraph_id": "para_630" }, { "text": "Convention,” it also “applies to actions and proceedings”", "paragraph_id": "para_631" }, { "text": "brought under Chapter 2 of the FAA. 9 U.S.C. § 208; see", "paragraph_id": "para_632" }, { "text": "Restatement (Third) U.S. L. Int’l Com. Arb. § 4.32 cmt. a.", "paragraph_id": "para_633" }, { "text": "(recognizing that § 208 incorporates § 16(a)(1)(D) to permit", "paragraph_id": "para_634" }, { "text": "THE GOV’T. OF THE LAO PDR V. BALDWIN 21", "paragraph_id": "para_635" }, { "text": "the immediate appeal of a denial of an action to enforce a", "paragraph_id": "para_636" }, { "text": "foreign arbitral award under the New York Convention).", "paragraph_id": "para_637" }, { "text": "Here, Lao PDR filed its petition under Chapter 2 of the", "paragraph_id": "para_638" }, { "text": "FAA. And as explained, the district court had subject-matter", "paragraph_id": "para_639" }, { "text": "jurisdiction over Baldwin and Bridge Capital. As such, the", "paragraph_id": "para_640" }, { "text": "district court’s order should have been styled as a denial of a", "paragraph_id": "para_641" }, { "text": "petition to enforce rather than as a dismissal for lack of", "paragraph_id": "para_642" }, { "text": "subject-matter jurisdiction. See Al-Qarqani, 8 F.4th at 1025,", "paragraph_id": "para_643" }, { "text": "1027. That is, the district court “incorrectly attached a", "paragraph_id": "para_644" }, { "text": "jurisdictional label to what should have been a decision on", "paragraph_id": "para_645" }, { "text": "the merits.” Id. at 1027.", "paragraph_id": "para_646" }, { "text": "Our jurisdiction over Lao PDR’s appeal depends not on", "paragraph_id": "para_647" }, { "text": "the label of the district court’s order, but on its substance and", "paragraph_id": "para_648" }, { "text": "effect. See, e.g., In re Slimick, 928 F.2d 304, 308 (9th Cir.", "paragraph_id": "para_649" }, { "text": "1990). And where the district court’s dismissal order", "paragraph_id": "para_650" }, { "text": "functioned as a denial of a petition to enforce an arbitration", "paragraph_id": "para_651" }, { "text": "award, we have jurisdiction over Lao PDR’s appeal as an", "paragraph_id": "para_652" }, { "text": "immediately appealable order under § 16(a)(1)(D).2", "paragraph_id": "para_653" }, { "text": "CONCLUSION", "paragraph_id": "para_654" }, { "text": "The district court had subject-matter jurisdiction over", "paragraph_id": "para_655" }, { "text": "Baldwin and Bridge Capital based on the language of § 207", "paragraph_id": "para_656" }, { "text": "and Lao PDR’s allegations that Baldwin, Bridge Capital, and", "paragraph_id": "para_657" }, { "text": "Scott are alter-egos of the named award-debtors. Lao PDR", "paragraph_id": "para_658" }, { "text": "properly sought enforcement of its foreign arbitral awards", "paragraph_id": "para_659" }, { "text": "under the district court’s secondary-country jurisdiction, and", "paragraph_id": "para_660" }, { "text": "the district court should have evaluated the merits of Lao", "paragraph_id": "para_661" }, { "text": "PDR’s alter-ego theory as relates to Baldwin, Bridge Capital,", "paragraph_id": "para_662" }, { "text": "and Scott. Accordingly, we reverse the district court’s order", "paragraph_id": "para_663" }, { "text": "2 Baldwin and Bridge Capital also acknowledged at oral argument that if", "paragraph_id": "para_664" }, { "text": "the district court had subject-matter jurisdiction as to them, our appellate", "paragraph_id": "para_665" }, { "text": "jurisdiction would be proper under § 16(a)(1)(D).", "paragraph_id": "para_666" }, { "text": "22 THE GOV’T. OF THE LAO PDR V. BALDWIN", "paragraph_id": "para_667" }, { "text": "and remand with instructions for it to consider the merits of", "paragraph_id": "para_668" }, { "text": "Lao PDR’s petition to enforce.", "paragraph_id": "para_669" }, { "text": "REVERSED and REMANDED.3", "paragraph_id": "para_670" }, { "text": "3 Appellees’ motion requesting that we take judicial notice of various", "paragraph_id": "para_671" }, { "text": "district court proceedings is hereby GRANTED. Dkt. 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