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.

Commercial Litigation and Arbitration

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.
Commercial Litigation and Arbitration

Joseph Hage Aaronson

RICO — Mere Expectation ≠ Business or Property — Hope of Collecting on Judgment If Suit Succeeds, Absent Non-Speculative Property Right to Collect from Defendant = Mere Expectation — Before RICO Default Judgment, Misconduct Not Actionable

Villoldo v. BNP Paribas S.A., 2016 U.S. App. LEXIS 7747 (2d Cir. April 26, 2016): Plaintiffs, default judgment creditors against the Republic of Cuba ("Cuba"), appeal from the dismissal of their civil Racketeer Influenced and Corrupt Organizations Act ("RICO") claims,…
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§ 1927 Sanctions Rejected for Defense Counsel’s Failure to Note Client’s Lack of Diversity for a Year — Issue Litigated in Interim Would’ve Been Litigated Somewhere — 1927 Is Permissive; Sanction May Be Denied Even If Criteria Satisfied

Bommkiasamy v. Parikh, 2016 U.S. App. LEXIS 5085 (7th Cir. Mar. 21, 2016): This appeal concerns a district court's decision to deny sanctions under 28 U.S.C. § 1927, the statute that authorizes fees to be imposed on lawyers who "unreasonably …
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Text Messages Received Relevant to Recipient’s State of Mind Even If Not Read — Declarations of Intent Admissible against Non-Declarant If Linked to Corroborative Evidence — 3d-Party Facebook Posts = Hearsay

Hopkins v. Nat’l RR Passenger Corp., 2016 U.S. Dist. LEXIS 57236 (E.D.N.Y. Apr. 29, 2016): In the early morning of July 9, 2006, Plaintiff Brian Hopkins was extremely intoxicated. (Id. at 2, 3.) At approximately 4:00 a.m., Hopkins climbed on…
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Absent Damages, Lawyer’s Fiduciary Breach Not Actionable — Ex-Lawyer Can’t Settle Ex-Client’s Claim Even If K Says So — No Rule 11 Sanctions If Claim Has Enough of a Kernel of a Theory (Good Quote)

McBurnie v. Rutledge, 2016 U.S. App. LEXIS 7099 (2d Cir. Apr. 20, 2016): This order resolves two appeals, which were submitted separately but were argued in tandem and arise from the same underlying District Court case. In that case, William…
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Rule 11 Sanctions Apt for Filing Motion Duplicating One Previously Denied — Appeals: Issue Mentioned Only in Statement of Issues and in Summary of Argument Sections of Brief Are Waived

Matter of Flaschom, Inc. (Dye v. Commc’ns Ventures III, LP, 2016 U.S. App. LEXIS 5842 (9th Cir. Mar. 30, 2016) (2-1 decision as to sanctions): Carolyn Dye, the bankruptcy trustee for Flashcom, appeals the bankruptcy court's judgment and sanctions imposed …
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Judicial Notice of Internet Evidence (Lanham Act Case): (1) Party’s Filings As They Appear on Secretary of State Website; (2) Corporate Info from Google Search; (3) Co. Profile on ZoomInfo.com; (4) Party’s Website (Admission)

Nat’l Grange of Order of Patrons of Husbandry v. Cal. State Grange, 2016 U.S. Dist. LEXIS 53038 (E.D. Cal. Apr. 20, 2016): Plaintiff National Grange of the Order of Patrons of Husbandry brought this action against defendant California State Grange…
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Rule 16(f) & 37(b) Dismissal Sanction for Pro Se’s Failure to Appear for 2 Pretrial Conferences — Noncompliance with Pretrial Orders Is Willful If Party Warned of Obligation to Appear — Pro Se Must Comply with Court Orders

Johnson v. NYC, 2016 U.S. App. LEXIS 7098 (2d Cir. April 20, 2016): Plaintiff-Appellant Brenda Johnson, proceeding pro se, appeals the district court's judgment sua sponte dismissing her 42 U.S.C. § 1983 complaint for failure to comply with court orders …
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Recent Articles

Rule 37 Default Judgment Sanction: (1) Default Judgment Appropriate Only As a Last Resort, When Less Drastic Sanctions Would Not Ensure Compliance with the Court’s Orders — (2) Default Judgment Sanction Requires Willful or Bad Faith Failure to Obey Discovery Order — (3) Fugitive Defendant’s Failure to Appear at Court-Ordered, Remote Deposition Despite Court Warning That Sanctions Could Follow Disobedience Warrants Default Judgment — (4) District Court Afforded Wide Discretion in Interpreting Its Own Orders — (5) Filing a Notice of Appeal from a Non-Appealable Order (Here, a Discovery Order) Does Not Deprive the District Court of Jurisdiction over the Case

RICO and Injunctions: (1) State Court Actions Designed to Perpetuate and Monetize a RICO Violation Are Enjoinable under RICO, Even Though They Are Not Themselves Alleged to Be Predicate Acts [Note: Noerr Pennington Applies in RICO Actions] — (2) Although Civil RICO’s Text and Legislative History Fail to Reveal Any Intent to Override the Provisions of the Federal Arbitration Act, Arbitrations Are Enjoinable Under the “Effective Vindication” Doctrine Where They Operate As a Prospective Waiver of a Party’s Right to Pursue Statutory RICO Remedies — (3) Arbitration Findings May Be Given Collateral Estoppel Effect in a Civil RICO Action — (4) Injunction of Non-Corrupt State Court Litigations That Furthers a RICO Violation Are Enjoinable Under the Anti-Injunction Act’s “Expressly Authorized” Exception — (5) “The Irreparable Harm Requirement Is The Single Most Important Prerequisite For The Issuance Of A Preliminary Injunction” (Good Quote) — (6) When Injunction Is Based on “Serious Questions on the Merits” Rather Than “Likelihood of Success,” Court May Rely on Unverified Pleadings and Attached Exhibits to Assess the Merits, Unless the Opponent Has Raised Substantial Questions (Here, the Opponent Failed to Request an Evidentiary Hearing) — (7) Whether Amended Pleading Moots An Appeal Turns on Whether It Materially Changes the Substantive Basis for the Appeal — (8) Meaning of “In That” (“Used To Introduce A Statement That Explains Or Gives More Specific Information” About A Prior Statement)

RICO: Fraudulent Concealment Must Prevent Discovery of the Injury to Toll Statute of Limitations

Rule 37 Default Judgment Sanction: (1) Abuse of Discretion Review = Legal Conclusions De Novo. Factual Findings for Clear Error — (2) Client May Be Sanctioned for Misconduct of Its Counsel, Though Here Client Was Directly Involved in Bad Faith Misbehavior — (3) Is There A Difference, Under Rule 11 As Opposed to Rule 37, Concerning Whether A Client Can Be Sanctioned for Its Counsel’s Misconduct? — (4) While Sanctions of Last Resort (Dismissal/Default) Are Apt Only If Lesser Sanctions Wouldn’t Ensure Compliance, Rule 37 Doesn’t Require the Vain Gesture of First Imposing Lessert Sanctions When It Is Clear They Would be Ineffective — (5) Court’s Reconsideration of Non-Final Orders Is Governed by Rule 54(b), And Court’s Discretion under That Rule Is Governed by the Law-of-the-Case-Doctrine

RICO: (1) Special Pleading Requirements? — (2) Although Enterprise Must Be More Than a Summation of the Predicate Acts, The Predicate Acts Can Demonstrate the Existence of the Enterprise — (3) Requirement That Association-in-Fact Exist For Purposes Other Than Just to Commit Predicate Acts Merely Requires Continuity — (4) To State an Association-in-Fact Enterprise Consisting of One Natural Person and Collection of Legal Fictions Requires Factual Detail As to How They Acted Together — (5) “A § 1962(c) Enterprise Must Be More Than An Association of Individuals Or Entities Conducting the Normal Affairs of a Defendant Corporation” (Good Quote)

RICO: (1) Fee Award May Exceed Amount Recovered — Strict Proportionality Not Required — (2) Nonmonetary Benefits and Injunctive Relief Recovered Also Relevant Factors — (3) Loss on Some Claims Need Not Result in Lowered Fees, Especially When Both Arise Out of The Same Nucleus of Operative Facts

RICO: Indirect Purchasers (Car Buyers/Renters) Lack Standing to Sue Manufacturers for RICO Violations Even Though Intermediaries (Auto Dealer Direct Purchasers) Lack Any Damages

RICO: Statutory Requirement that RICO Be Liberally Construed Does Not Establish a More Liberal Pleading Standard for RICO Claims — “To Be Sure, Adequately Pleading a RICO Claim Can Be Challenging” (Good Quote) — Court May Dismiss Action Pursuant to Rule 41(b) Absent A Motion

Electronic Spoliation/Rule 37(e): (1) Finding of Recklessness But Neither Gross Negligence Nor Willfulness in Loss of Video Evidence Precludes Rule 37(e)(2)’s Severest Sanctions Because (i) No Intent to Deprive and (ii) Rule 37(e)(2) Displaces District Court’s Power to Invoke Inherent Power to Impose Those Sanctions — (2) Appellate Review = Abuse of Discretion, With The Caveat That Whether The District Court Applied The Correct Legal Standards Is Reviewed De Novo — (3) Inherent Power Is Often Available As An Alternate Source of Sanctioning Power But Can Be Limited by Rule or Statute, Something Which Courts Do Not Lightly Presume — (4) The Text of Rule 37(e)(2), As Confirmed by the Advisory Committee Note, Displaces Inherent Power to Impose the Sanctions Specified in the Rule or Any More Severe Sanctions — (5) “Intent to Deprive” in Rule 37(e)(2) = “The Willful Destruction Of Evidence With The Purpose Of Avoiding Its Discovery By An Adverse Party” — (6) Appellate Standing Conferred by Virtue of Issuance of Sanctions Regardless of Merits Outcome — (7) Value of Advisory Committee Notes in Interpreting Rules Enacted without Change Despite General Reticence to Rely on Legislative History

RICO: (1) Plaintiff Need Not Suffer Injury from Each Predicate Act to Establish Standing, And The Pattern May Include Predicates As to Which No Plaintiff Has Standing — (2) 7 Elements of a Civil RICO Claim (2d Circuit Articulation) Which Must Be Established As to Each Defendant — (3) Requirements of an Association-in-Fact Enterprise — (4) Each Defendant Must Personally Commit 2 or More Predicate Acts — (5) Pattern of Racketeering Activity: Horizontal and Vertical Elements — (6) No Requirement That All Members of a RICO Enterprise Joined at Inception — Can Join Over Time/Others Can Quit — (7) Cannot Charge 2 Predicate Acts Where One Action Violates Two Statutes — (8) A Footnote to Consider for Briefs: “Unless Otherwise Noted, When Quoting Judicial Decisions This Order Accepts All Alterations And Omits All Citations, Footnotes, And Internal Quotation Marks.”

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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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