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

Complex Lit Blog

(1) Post-Judgment Motion for Rule 11 Sanctions Violates Safe Harbor, Precluding Any Rule 11 Award — (2) Judicial Speculation That Target Would Not Have Withdrawn the Offending Paper Even If Given the Opportunity Insufficient: “[A]ssumptions Do Not Excuse Compliance with the Text of Rule 11” (Good Quote) — (3) Citing Potential Rule 11 Violations in Summary Judgment Papers Insufficient — Rule 11 Motion Required: “Thus, Informal Notice Is Only A ‘Professional Courtesy’ … Not The Official Notice That Starts The 21-Day Safe Harbor Period” (Good Quote) — (4) Court Could Have Imposed Sanctions Sua Sponte under Rule 11(c)(3), § 1927 or Inherent Power Sanctions

Caranchini v. Nationstar Mortg., LLC, 2024 U.S. App. LEXIS 7890 (8th Cir. April 3, 2024): Attorney Gregory Leyh and his law firm were sanctioned by the district court pursuant to
Caranchini v. Nationstar Mortg., LLC, 2024 U.S. App. LEXIS 7890 (8th Cir. April 3, 2024): Attorney Gregory Leyh and his law firm were sanctioned by the district court pursuant to Missouri Supreme Court Rule 55.03 and Federal Rule of Civil …
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(1) Sua Sponte Sanctions (3d Cir.): Reasonableness, Not Bad Faith, Is The Standard — Implicitly Rejecting the 2d Cir.’s Akin-to-Contempt Standard — (2) Sua Sponte Sanctions Require Extra Care Because of The Absence of the 21-Day Safe Harbor — (3) Appealability — Even Absent a Reprimand Or Other Sanction, A Court’s Finding of Sanctionable Conduct Injures A Lawyer’s Reputation Sufficiently to Confer Standing to Appeal — (4) Even Though Intent Is Not Required to Violate Rule 11, It Is Relevant to the Decision Whether to Sanction And, If So, What Sanction to Impose — (5) Rule 11 Imposes a Duty of Candor And Is Violated by Not Only by Misrepresentations But Also by Misleading Statements, Half-Truths, Inconsistencies, Mischaracterizations, Exaggerations, Omissions, Evasions And Failures to Correct Known Misimpressions — (6) Candor Is Critical in Ex Parte and Non-Adversarial Proceedings Where Both Sides Agree — (7) “Mild Sanctions” — Requiring an Apology in Writing And Ordering Better Conduct in Similar Cases in the Future

Wharton v. Superintendent Graterford SCI Phila. Dist. Attorney's Off., 2024 U.S. App. LEXIS 5642, 95 F ...
Wharton v. Superintendent Graterford SCI Phila. Dist. Attorney’s Off., 2024 U.S. App. LEXIS 5642, 95 F.4th 140 (3d Cir. 2024): Courts rely on lawyers’ honesty; lawyers may not mislead them. But the Philadelphia District Attorney’s Office did just that.…
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Expert (702) vs. Lay Opinion (701) Testimony: “The Line Between Expert And Lay Testimony Is Not Always Sharp” (Good Quote) — Owner of New Business Not Allowed to Offer Lay Opinion As to Lost Future Profits Where Basis Extended Beyond Knowledge He Possessed Due to His Position in the Company (His Own Perception) And Beyond The Reasoning Process of an Average Person in Everyday Life — Sandbagging with Late Opinion: “The Proper Function Of Rebuttal Evidence Is To Contradict, Impeach Or Defuse The Impact Of The Evidence Offered By An Adverse Party” (Good Quote) — Where Opinion Being Rebutted Is Not Admitted, There Is Nothing to Rebut —“ The Duty To Supplement Cannot Be Transformed Into A Right To Ambush Just Before Trial” (Good Quote)

Chi. Joe's Tea Room, LLC v. Vill. of Broadview, 2024 U.S. App. LEXIS 4357, 94 F.4th 588 (7th Cir. 2024 ...
Chi. Joe’s Tea Room, LLC v. Vill. of Broadview, 2024 U.S. App. LEXIS 4357, 94 F.4th 588 (7th Cir. 2024): This appeal presents a host of issues arising from an effort to prove lost profits for a business that…
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Right to File Motions, Pleadings, Appeals: Absent Extraordinary Circumstances, Like a History of Litigation Abuse Or Failure to Comply with Sanctions, a Court Has No Power to Prevent a Party from Filing Pleadings, Motions or Appeals — Construing Pre-Motion Letters As Motions OK for Non-Dispositive Motions Or Denial of Dispositive Motions — It Is Also OK If Dispositive Motion Is Predominantly Legal And Complaint Has Substantial Deficiencies — Granting Summary Judgment on Reconsideration of Prior Denial Based on Premotion Letters Only Reversed for Lack of Due Process

Kowalchuck v. Metro. Transp. Auth., 2024 U.S. App. LEXIS 4533 94 F.4th 210 (2d Cir. Feb. 27, 2024): In this case, plaintiff-appellant John Kowalchuck sued his former employer, defendant-appellee Metropolitan Transportation Authority (the “MTA”), under the Federal Employers’ Liability Act (“FELA”),
Kowalchuck v. Metro. Transp. Auth., 2024 U.S. App. LEXIS 4533 94 F.4th 210 (2d Cir. Feb. 27, 2024): In this case, plaintiff-appellant John Kowalchuck sued his former employer, defendant-appellee Metropolitan Transportation Authority (the “MTA”), under the Federal Employers’ Liability Act …
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Appeals: Notice of Appeal (“NOA”) Designating Judgment AND Any Judgment from Pending Post-Trial Motion Becomes Effective When Post-Trial Motion (e.g., Sanctions, Reconsideration) Is Decided BUT Is Effective Only As to the Designated Judgment — To Confer Appellate Jurisdiction Over Decision on Pending Motion. New Or Amended NOA Appealing from That Decision Is Necessary — Sometimes Other Documents Can Confer Appellate Jurisdiction (e.g., Docketing Statement) If Intent to Appeal Is Clear

Wall Guy, Inc. v. FDIC, 2024 U.S. App. LEXIS 6395 (4th Cir. Mar. 18, 2024): *1 ...
Wall Guy, Inc. v. FDIC, 2024 U.S. App. LEXIS 6395 (4th Cir. Mar. 18, 2024): *1 This case originates from a lending relationship between Plaintiffs—Jeffrey Frye and his companies The Wall Guy, Inc., and JR Contractors—and First State Bank (“the…
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§ 1927 and FRAP 46(c) Sanctions for Misrepresenting to Court of Appeals When Party Learned of the “New Evidence” Argued under Fed. R. Civ. P. 60(b)(2) — When a Lawyer Raises a Frivolous Argument with the District Court, and That Issue Is Appealed and Re-Argued to the Court of Appeals by Someone Else, The Original Lawyer Can Be Sanctioned under § 1927 For Multiplying Proceedings — Recklessly Raising Frivolous Argument Satisfies Bad Faith Requirement for § 1927 in 9th Circuit — § 1927 Does Not Apply to Law Firms — § 1927 Applies to All Responsible Lawyers, Not Just Those Appearing of Record Or Licensed to Practice Before Sanctioning Court — Reviewing and Approving Filings by General Counsel or Supervising Attorney Suffices — FRAP 46(c): Violating Rules of Professional Ethics = “Conduct Unbecoming of the Court’s Bar” Violative of FRAP 46(c) — Financial Sanctions and Notifications to State Bars and District Courts

Caputo ex rel. United States of Am. v. Tungsten Heavy Powder, Inc., 2024 U.S. App. LEXIS 6126 (9th Cir ...
Caputo ex rel. United States of Am. v. Tungsten Heavy Powder, Inc., 2024 U.S. App. LEXIS 6126 (9th Cir. Mar. 14, 2024): ORDER Petitioners Global Tungsten & Powders Corp. (GTP) and Gregory Caputo have filed a motion for sanctions against …
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§ 1927 Sanctions: Even If Court Lacks Subject Matter Jurisdiction Over The Merits of a Case, It Retains Jurisdiction to Impose Sanctions — Forfeiture (Failure to Assert Right) vs. Waiver (Intentional Relinquishment of Known Right) — Two Judge Concurrence Finds Strong Textual Argument There Is No Statutory Basis for the Existence of the Virgin Islands Bankruptcy Court

Prosser v Gerber (In re Prosser), 2024 WL 1230148 (3d Cir. Mar. 22, 2024) (unpublished):   Sanctions:  Even If Court Lacks Subject Matter Jurisdiction, It Retains Jurisdiction to Impose Sanctions — Forfeiture (Failure to Assert Right) vs. Waiver (Intentional Relinquishment of Known Right) — Two Judge Concurrence Finds Strong Textual Argument There Is No ...
Prosser v Gerber (In re Prosser), 2024 WL 1230148 (3d Cir. Mar. 22, 2024) (unpublished):   Sanctions:  Even If Court Lacks Subject Matter Jurisdiction, It Retains Jurisdiction to Impose Sanctions — Forfeiture (Failure to Assert Right) vs. Waiver (Intentional Relinquishment …
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FRAP 38 Sanctions: Sixth Circuit Requires That A Party Seeking FRAP 38 Sanctions Must Show Both That An Appeal Lacks Merit And That The Appellant Took The Appeal For An Improper Purpose

Lea v. U.S. Dep't of Agric., 2024 U.S. App. LEXIS 5012 (6th Cir. Feb. 28, 2024) (unpublished): Corey Lea has filed over a dozen lawsuits challenging a bank's foreclosure of his Kentucky farmland. Courts have uniformly dismissed these suits. ...
Lea v. U.S. Dep’t of Agric., 2024 U.S. App. LEXIS 5012 (6th Cir. Feb. 28, 2024) (unpublished): Corey Lea has filed over a dozen lawsuits challenging a bank’s foreclosure of his Kentucky farmland. Courts have uniformly dismissed these suits. But …
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(1) Agreements to Agree — Good Quote: “A Non-Binding Agreement To Negotiate Is Not A Binding Agreement To Close A Deal. When Negotiating Parties Cannot Agree And A Deal Falls Apart, They May Be Disappointed, But There Is No Breach Of Contract.” — (2) Damages for Breach of Covenant Not to Sue = Attorney’s Fees and Costs in Defending — (3) Does the Duty of Good Faith and Fair Dealing Apply to Letters of Intent? Undecided

White Winston Select Asset Funds, LLC v. Good Times Rests., Inc., 2024 U.S. App. LEXIS 4942 (3d Cir. Mar. 1, 2024) (unpublished): OPINION* RESTREPO, Circuit Judge A non- ...
White Winston Select Asset Funds, LLC v. Good Times Rests., Inc., 2024 U.S. App. LEXIS 4942 (3d Cir. Mar. 1, 2024) (unpublished): OPINION* RESTREPO, Circuit Judge A non-binding agreement to negotiate is not a binding agreement to close a …
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Recent Posts

RICO: Distinctiveness Issues Most Likely to Appear When The Enterprise Is An Entity Capable of Being Sued, Like A Corporation

Supreme Court: RICO: (1) Injuries to Business or Property That Derive from a Personal Injury Are Recoverable — (2) “Injury” Is Interchangeable in Meaning with “Harm” And Other Terms Connoting Loss — (3) “The Clayton Act and § 1964(c) Are Not ‘Interchangeable’” (Good Quote)— (4) (4) “You Can’t Replace Something With Nothing” (Good Quote) — (5) The Recoverable Economic Harm Flowing from Personal Injuries, Like All Other Recoverable RICO Harm, Must be Direct — (6)” Harm Resulting from a Single Tort Is Not a Ticket to Federal Court for Treble Damages” (Good Quote)

FRAP 38 Sanctions: Eleventh Circuit Generally Declines to Impose FRAP 38 Sanctions on Pro Se Appellants Absent a History of Frivolous Litigation or an Explicit Warning

Inherent Power Sanctions for Bad Faith in (1) Misrepresenting Patent Ownership in Amended Complaint and (2) Failing to Supplement Discovery Responses to Rectify This after the Discovery Period Had Closed, Both of Which Led to Continued Litigation After One Plaintiff Had Lost Standing — The Duty To Supplement Discovery Responses under Rule 26(e) Continues Even After The Discovery Period Has Closed — Use of Inherent Power to Sanction Violation of Local Rules That Lack Sanctions Provisions (Sanction Reversed on Other Grounds)

Paul Weiss Did The Right Thing

RICO: Unsettled Whether Legal Expenses Constitute Injury to Business or Property in Ninth Circuit — Leave to Amend Must Be Granted Unless 1 or More of 5 Factors Is Present — Request for Judicial Notice of Wikipedia Articles Fails to Satisfy The Standards Fed. R. Evid. 201

FRAP 38 Sanctions Denied Without Prejudice for Lack of Separate Motion

Rule 26(g)(3) Sanctions Are Mandatory If Certification Violated — No Bad Faith Required — No Premotion Duty to Confer under Rule 26(g) [Beware of Local Rules] — Rule 26(g)(3) Attorney’s Fee Award for Unreasonable Investigation Before Serving Unreasonable Responses to Document Requests — Abuse of Discretion Review

“Parties Represented by Counsel May Not File Pro Se Briefs” (Good Quote)

FRAP 38 Sanctions: Until Paid, Filing Bar Imposed in All Federal Courts in The Circuit

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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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