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Rule 11 and Res Judicata — Eleventh Circuit’s Three-Part Test for § 1927 Sanctions

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From Meidinger v. Healthcare Indus. Oligopoly, 2010 U.S. App. LEXIS 16448 (11th Cir. Aug. 9, 2010):

[Rule 11 and Res Judicata]

"A plaintiff may be sanctioned under Rule 11 for filing claims barred by res judicata." Thomas [v. Evans, 880 F.2d 1235, 1240 (11th Cir. 1989).

[Note: Because res judicata is an affirmative defense, this holding is not a compelled one.]

[§ 1927 Sanctions]

[T]he plain language of the statute imposes three essential requirements: (1) the attorney must engage in unreasonable and vexatious conduct; (2) that conduct must multiply the proceedings; and (3) the amount of the sanction must bear a "financial nexus to the excess proceedings." Peterson v. BMI Refractories, 124 F.3d 1386, 1396 (11th Cir. 1997). We also have stated that § 1927 must be "strictly construed" because it is "penal in nature." ***

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New York Attorneys JHA handles range the gamut of complex financial and commercial litigation and arbitration, including securities, RICO, corporate and contract disputes, credit default swaps, derivatives, and class, mass, and derivative actions. The firm also represents law firms in major disputes.
New York Attorneys JHA handles range the gamut of complex financial and commercial litigation and arbitration, including securities, RICO, corporate and contract disputes, credit default swaps, derivatives, and class, mass, and derivative actions. The firm also represents law firms in major disputes.

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