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

Law of the Case Doctrine Is Not Jurisdictional but Discretionary — As Long as Case Is Alive, Court Can Always Revoke Earlier Rulings (Good Quote) — 3 Exceptions to Mandate Rule: New Evidence, New Law, Manifest Injustice

Muecke Co. v. CVS Caremark Corp., 2015 U.S. App. LEXIS 15158 (5th Cir. Aug. 25, 2015): The plaintiffs argue that the law-of-the-case doctrine or, alternatively, the mandate rule prevents the district [*9]  court from reconsidering its previous order denying the defendants' motion to compel arbitration. Th ...
Muecke Co. v. CVS Caremark Corp., 2015 U.S. App. LEXIS 15158 (5th Cir. Aug. 25, 2015): The plaintiffs argue that the law-of-the-case doctrine or, alternatively, the mandate rule prevents the district [*9]  court from reconsidering its previous order denying the…
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Authentication of Internet Evidence — Witness Affidavit Plus Printout Showing URL, Date of Printing or Other Identifying Information — Wayback Machine Printout + Custodian’s Affidavit to Establish Date Material Appeared

SEC v. Berrettini, 2015 U.S. Dist. LEXIS 115963 (N.D. Ill. Sept 1, 2015): The SEC brings an insider trading action against Defendants Morando Berrettini ("Berrettini") and Ralph Pirtle ("Pirtle"). Before the Court are the SEC's motions in limine numbers 7 through 10 [191-94]. For the reasons s ...
SEC v. Berrettini, 2015 U.S. Dist. LEXIS 115963 (N.D. Ill. Sept 1, 2015): The SEC brings an insider trading action against Defendants Morando Berrettini ("Berrettini") and Ralph Pirtle ("Pirtle"). Before the Court are the SEC's motions in limine numbers 7 …
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Counsel Not Sanctionable under 37(c)(1) — Limits of Right to Rely on Inhouse Counsel for 26(a)(1) Disclosures — Due Process Failure Cured by Opportunity to Be Heard on Reconsideration, Where Court Didn’t Apply Heightened Standard of Review

Sun River Energy, Inc. v. Nelson, 2015 U.S. App. LEXIS 15645 (10th Cir. Sept. 2, 2015): James E. Pennington and Stephen E. Csajaghy, former counsel for plaintiff Sun River Energy, Inc. (Sun River) in the underlying proceedings, appeal from a judgment of the district court sanctioning them, jointly and severally, in the amount of $20,3 ...
Sun River Energy, Inc. v. Nelson, 2015 U.S. App. LEXIS 15645 (10th Cir. Sept. 2, 2015): James E. Pennington and Stephen E. Csajaghy, former counsel for plaintiff Sun River Energy, Inc. (Sun River) in the underlying proceedings, appeal from a…
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Jury Trial — Improper Golden Rule Invocation — Fact vs. Legal Testimony by Lawyer — References to Rulings in Opening — Court Not Bound to Interrupt Argument Sua Sponte — Argument Must Be Quite Extreme to Warrant New Trial

Queen v. Schultz, 2015 U.S. Dist. LEXIS 102169 (D.D.C. Aug. 5, 2015): The parties in this lawsuit first met in a hallway at an NBC television studio in January 2008, when the plaintiff, Michael Queen, approached Ed Schultz, the defendant. See May 13, 2015 Tr. at 13, ECF No. 169 (Testimony of Michael Queen). From all outward a ...
Queen v. Schultz, 2015 U.S. Dist. LEXIS 102169 (D.D.C. Aug. 5, 2015): The parties in this lawsuit first met in a hallway at an NBC television studio in January 2008, when the plaintiff, Michael Queen, approached Ed Schultz, the defendant.…
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RICO — Mere Use of Traditional Customer Services Doesn’t Transform Non-Bank-Directed Misconduct into Bank Fraud (Good Quote) — Factually Pleading Intent to Defraud Essential to Stating Mail Fraud Predicate

H&Q Props., Inc. v. Doll, 2015 U.S. App. LEXIS 12209 (8th Cir. July 15, 2015): Appellants H & Q Properties, Inc., John Quandahl, [*2]  and Mark Houlton (collectively, "H&Q") appeal the district court's1 dismissal of their claims and denial of their motion for leave to file a second amended co ...
H&Q Props., Inc. v. Doll, 2015 U.S. App. LEXIS 12209 (8th Cir. July 15, 2015): Appellants H & Q Properties, Inc., John Quandahl, [*2]  and Mark Houlton (collectively, "H&Q") appeal the district court's1 dismissal of their claims and denial of…
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RICO Injury — Alleged Attempts to Intimidate and Interfere with Plaintiff’s Efforts to Litigate Claims for, and as Next Friend of, Incapacitated Individual Fail to State RICO Injury

Jones v. Griggs, 2015 U.S. App. LEXIS 14323 (7th Cir. Aug. 14, 2015): In these two appeals (which we consolidate for disposition), Earl Key seeks to litigate claims on behalf of April Jones, who suffers from early-onset Huntington's disease and was adjudicated incompetent by state and federal courts. (Huntington&# ...
Jones v. Griggs, 2015 U.S. App. LEXIS 14323 (7th Cir. Aug. 14, 2015): In these two appeals (which we consolidate for disposition), Earl Key seeks to litigate claims on behalf of April Jones, who suffers from early-onset Huntington's disease and …
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Not Quite Judicial Notice of Internet Evidence, But Considering It Nonetheless — 7th Circuit Debates Propriety of Appellate Internet Research Considered But Not Judicially Noticed in Overturning Summary Judgment

Rowe v. Gibson, 2015 WL 4934970 (7th Cir. Aug. 19, 2015) *1 An Indiana prison inmate named Jeffrey Rowe, the plaintiff in this suit under
Rowe v. Gibson, 2015 WL 4934970 (7th Cir. Aug. 19, 2015) *1 An Indiana prison inmate named Jeffrey Rowe, the plaintiff in this suit under 42 U.S.C. § 1983, charges administrators and prison staff (actually employees of Corizon,…
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Sanctions — When Due Process Requires Particularized Notice of Type & Severity of Sanction — Good Quotes on Reputation, Breadth & Limits of Discretion — Jones Day Deposition Sanctions Reversed (30(d)(2))

Security National Bank of Sioux City, IA v. Abbott Labs., 2015 U.S. App. LEXIS 15122 (8th Cir. Aug. 27, 2015): Security National Bank of Sioux City, Iowa, acting as conservator for minor J.M.K., brought this products liability action against Abbott Laboratories, alleging that Abbott's baby formula caused permanent brain damage to ...
Security National Bank of Sioux City, IA v. Abbott Labs., 2015 U.S. App. LEXIS 15122 (8th Cir. Aug. 27, 2015): Security National Bank of Sioux City, Iowa, acting as conservator for minor J.M.K., brought this products liability action against Abbott…
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Line Between Civil & Criminal Contempt “Is Not Always Clear” — Non-Compensatory Sanctions Can’t Be Greater Than Needed to Ensure Compliance & Not So Excessive as to Be Punitive — Punitive Sanctions Require Callous Disregard (Good Quotes)

In re McLean (Green Point Credit, LLC v. McLean), 2015 U.S. App. LEXIS 12736 (11th Cir. July 23, 2015): Green Point Credit, LLC and Green Tree Servicing LLC (collectively, "Green Tree") appeal the judgment the district court entered in its role as bankruptcy appellate court concerning an adversary proceeding that debtors Deb ...
In re McLean (Green Point Credit, LLC v. McLean), 2015 U.S. App. LEXIS 12736 (11th Cir. July 23, 2015): Green Point Credit, LLC and Green Tree Servicing LLC (collectively, "Green Tree") appeal the judgment the district court entered in its…
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Email Evidence — Residual Exception (Rule 807) — Factors for Evaluating the Trustworthiness of a Statement

People v. Brown, 2014 Colo. App. LEXIS 2170 (Colo. Ct. App. Nov. 20, 2014):  Defendant, Daryll Glenn Brown, appeals the judgment of conviction entered on jury verdicts finding him guilty of first degree murder -- felony murder, second degree murder, and burglary. We affirm the judgment and remand the case for correction of the mittim ...
People v. Brown, 2014 Colo. App. LEXIS 2170 (Colo. Ct. App. Nov. 20, 2014):  Defendant, Daryll Glenn Brown, appeals the judgment of conviction entered on jury verdicts finding him guilty of first degree murder — felony murder, second degree murder,…
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Recent Posts

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.”

For An Appeal to Be Timely, A Motion for Reconsideration in The District Court (A Rule 59(e) Motion) Must Be Filed, And Not Just Served within 30 Days of The Decision, to Toll The 30-Day Period for Filing An Appeal

There Is No Good-Faith Defense For Issuing An Overly Burdensome Subpoena

Purposes of Rule 37 and Section 1927 Sanctions

While Rule 11 Doesn’t Apply to Appellate Proceedings (Unless It Has Been Incorporated in Local Appellate Rules), Rule 11 Caselaw Is Looked to for Guidance in Interpreting Applicable Sanctions Powers on Appeal

Rule 11 Sanctions & Appellate Review: Abuse of Discretion Standard Applies Unless Sanctions Are Based Solely (Not Just in Part) on Legal Issues, in Which Case Review Is De Novo

Rule 37(b)(2)(A) Sanctions for Altering Expert’s 26(a)(2)(B) Report — Without the Expert’s Knowledge or Approval — by Converting It from PDF to Word, Changing Headings and Other Formatting, and Omitting a Page of Relevant Text and Appendices, Even Though Expert Testified That The Overall Substance of the Report Was Unchanged — Rule 37(b)(2)(A) Sanctions May Be Reversed If Failure to Comply with Discovery Order Was Due to Misunderstanding or Inability to Comply

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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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