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

Inherent Power Sanctions – Extrajudicial Misconduct: 1. Unilaterally obtaining $300 million arbitration award, absent an arbitration agreement or notice to adversary, is sanctionable even though it precedes commencement of bad faith attempt to confirm award in federal court. 2. District Court retained jurisdiction to rule on sanctions motion filed prior to notice of appeal of decision vacating arbitration award. 3. FRAP 38 appellate sanctions denied for failure to make separate motion.

Matios v. City of Loveland, 2023 U.S. App. LEXIS 15749 (10th Cir. June 23, 2023) (unpublished)
Matios v. City of Loveland, 2023 U.S. App. LEXIS 15749 (10th Cir. June 23, 2023) (unpublished) Eyoel-Dawit Matios, proceeding pro se, appeals from the district court’s order imposing monetary sanctions under its inherent powers. Exercising jurisdiction under 28 U.S.C. § …
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Rule 11 and Inherent Power Sanctions for (1) Filing Brief Generated by AI (ChatGPT) Filled with Fake and Nonsensical Cases, (2) Failing to Confirm the Authenticity of the Cases, (3) Failing to Make Any Inquiry to Determine If the Assertions of Law Were Correct, (4) Advocating for The Fake Cases After Being Informed by Adversary That the Cases Could Not Be Found, (5) Lying to the Court About Why Continuance Needed and Role of AI in Research — Conscious Avoidance Sufficient to Prove Knowledge —$5,000 Non-Compensatory Penalty Assessed — Offenders Must Notify Client and Judges Wrongly Named in the Fake Cases—“Nothing Inherently Improper About Using a Reliable Artificial Intelligence Tool for Assistance”

Mata v. Avianca, Inc., 2023 U.S. Dist. LEXIS 108263 (S.D.N.Y. June 22, 2023) Rule 11 and Inherent Power Sanctions for (1) Filing Brief Generated by AI (ChatGPT) Filled with Fake and Nonsensical Cases, (2) Failing ...
Mata v. Avianca, Inc., 2023 U.S. Dist. LEXIS 108263 (S.D.N.Y. June 22, 2023) Rule 11 and Inherent Power Sanctions for (1) Filing Brief Generated by AI (ChatGPT) Filled with Fake and Nonsensical Cases, (2) Failing to Confirm the Authenticity of …
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Inherent Power Sanctions — Clear-and-Convincing-Evidence Required (10th Circuit) — Evidence Rules Do Not Govern Sanctions Proceedings — Civil Rules Do Not Recognize a “Motion to Reconsider” As Opposed to Rule 59(e) Motion to Alter or Amend a Judgment, Which Requires “Manifest Error” or New Evidence — Abuse of Discretion Review (But Invocation of Inherent Power Is Reviewed De Novo (See Dissent)) — For Reversal, Appellate Court Must Be “Firmly Convinced … the District Court Erred in Finding … It Was Highly Probable That the [Offender] Acted in Bad Faith“ — Extrajudicial Misconduct: Witness Intimidation by Commencing Multimillion Dollar Arbitration Against Witness — Inherent Power Sanction Within District Court’s Jurisdiction When Acting Pursuant to a Strictly Limited Remand (Dissent Disagrees) — Sanctions for Arbitration Conduct Permissible Where Arbitration Threatened Court’s Proceedings — Permissible for Court to Evaluate Frivolousness of Claims in the Arbitration — Frivolousness, Alone, May Not Be Enough — Due Process Satisfied by Show-Cause Order — Monetary Award Was Civil Because It Was Limited to Fees Incurred in Federal Court Seeking Sanctions, Not Conduct in Arbitration— Fact Witness Intimidation Fails Does Not Negate Causation of Costs Incurred in Pursuing Sanctions — Failure to Reduce Requested Fees Does Not Mean Court Failed to Exercise Discretion

Becker v. Ute Indian Tribe, 2023 U.S. App. LEXIS 20430 (10th Cir. Aug. 8, 2023) ORDER AND JUDGMENT* *1 Lynn Becker and the Ute Indian Tribe have been mired in litigation for nearly two decades. Mr. Becker’s relationship with the Tribe began in 2004, when the Tribe hired him to help ...
Becker v. Ute Indian Tribe, 2023 U.S. App. LEXIS 20430 (10th Cir. Aug. 8, 2023) ORDER AND JUDGMENT* *1 Lynn Becker and the Ute Indian Tribe have been mired in litigation for nearly two decades. Mr. Becker’s relationship with…
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Rule 37 Sanction of Dismissal for Repeatedly Obstructing 30(b)(6) Deposition, Flouting Court Orders: “[A] Splash of Proper Conduct Amidst an Expansive Sea of Impropriety Is Insufficient to Save [a Party] from Sanctions” — CFPB Enforcement Action Dismissed

Consumer Fin’l Prot. Bur. v. Brown, 69 F.4th 1321 (11th Cir. 2023); The Consumer Financial Protection Bureau (“CFPB”) is not exempt from the rules of discovery. Nonetheless, the CFPB tried to bring a wide-ranging civil lawsuit against 18 defendants without ever being deposed. When the district court ordered the CFPB to sit for Rule 30(b)(6) depositions, the CFPB doubled do ...
Consumer Fin’l Prot. Bur. v. Brown, 69 F.4th 1321 (11th Cir. 2023); The Consumer Financial Protection Bureau (“CFPB”) is not exempt from the rules of discovery. Nonetheless, the CFPB tried to bring a wide-ranging civil lawsuit against 18 defendants without…
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Rule 37(c)(1) Sanctions — Award of Excess Expenses Incurred in Deposing Late-Disclosed Expert Witness on Eve of Trial — Argument That Late Disclosure = Harmless Error Because Same Expenses Would Have Been Incurred Earlier Rejected — Late Disclosure “Made The Matter Much More Urgent, Time Consuming And Expensive As Trial Loomed Less Than A Month Away”

McDowell v. Livonia Hotel Bus., Inc., 2023 U.S. App. LEXIS 17819 (6th Cir. July 11, 2023): This civil suit arises out of an armed robbery that took place at a motel in Livonia, Michigan. Plaintiffs, Raymond McDowel ...
McDowell v. Livonia Hotel Bus., Inc., 2023 U.S. App. LEXIS 17819 (6th Cir. July 11, 2023): This civil suit arises out of an armed robbery that took place at a motel in Livonia, Michigan. Plaintiffs, Raymond McDowell and Taj Dorsey,…
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Rule 37 and Inherent Power Sanctions – While Sanctions Are Reviewed for Abuse of Discretion, District Court’s Invocation of Its Inherent Power Is Reviewed De Novo — Due Process Violated by Failure to Apprise Individuals that They Were Personally at Risk of Monetary Sanctions—That Sanctions Motion Sought Sanctions Against Corporation “Or Others” Insufficient — Post-Sanctions Opportunity to Be Heard Insufficient — Rule 37 Sanctions Must Be Both “Just” and “Related to the Particular ‘Claim’” — Factors Governing Litigation-Ending Sanctions (5th Circuit) — 6. What Is a “Litigation-Ending” Sanction Is A “Practical” Determination and Broader Than Dismissal with Prejudice and Default Judgment —6. What Is a “Litigation-Ending” Sanction Is A “Practical” Determination and Broader Than Dismissal with Prejudice and Default Judgment — What Is a “Litigation-Ending” Sanction Is A “Practical” Determination and Broader Than Dismissal with Prejudice and Default Judgment — Recklessness Insufficient for Case-Ending Sanction (Bad Faith Required) — Rule 37 Authorizes Joint-and-Several Liability on a Party and Its Agents —Attorney’s Fee Award Must be Calculated Using the Lodestar Process

CEATS, Inc. v. TicketNetwork, Inc., 71 F.4th 413 (5th Cir. 2023):  Opinion This consolidated appeal concerns the injunctive and monetary sanctions that the district court imposed after a company and three individuals violated the court’s protective order. The company and the individuals challenge the s ...
CEATS, Inc. v. TicketNetwork, Inc., 71 F.4th 413 (5th Cir. 2023):  Opinion This consolidated appeal concerns the injunctive and monetary sanctions that the district court imposed after a company and three individuals violated the court’s protective order. The company and…
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Trump Lawyers’ Sanctions Case in Sixth Circuit: On Detailed Analysis, Several Sanctions Overturned Or Curtailed — Detailed Precis Below

King v. Whitmer, 71 F.4th 511 (6th Cir. 2023) Key Points  (full opinion follows) Rule 11 Sanctions:  Political Speech Outside Courtroom No Basis for Improper Purpose Inference Where It Does Not Evidence Improper Purpose Such As Harassment Or Delay — Contestin ...
King v. Whitmer, 71 F.4th 511 (6th Cir. 2023) Key Points  (full opinion follows) Rule 11 Sanctions:  Political Speech Outside Courtroom No Basis for Improper Purpose Inference Where It Does Not Evidence Improper Purpose Such As Harassment Or Delay — …
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Rule 11 — Improper Purpose — Even If Paper Filed Not Only to Vindicate Rights But Also for Some Other Purpose, Sanctions Inappropriate Unless the Other Purpose Is Undertaken in Bad Faith and Is So Excessive As to Eliminate A Proper Purpose

Columbia Gas Transmission, LLC v. Haas, 2023 U.S. App. LEXIS 19300 (4th Cir. July 27, 2023) (unpublis ...
Columbia Gas Transmission, LLC v. Haas, 2023 U.S. App. LEXIS 19300 (4th Cir. July 27, 2023) (unpublished) PER CURIAM: *1 Affirmed by unpublished per curiam opinion. Unpublished opinions are not binding precedent in this circuit. In 2017, Columbia Gas Transmission…
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Sanctions: § 1927 Authorizes Only Fees Incurred “Because of” Sanctionable Conduct, Not Fees Merely Related to It — Where Responsive Brief Fails to Make Necessary Disclosure Necessitating Reply, All Costs Associated with Reply Are Awardable, Not Merely Portions Specifically Prompted by Improper Non-Disclosure — Party Appealing § 1927 Sanctions Bears Burden of Showing Error in Fee — Setting Fees Is A Matter of Rough Justice and Should Not Result in Second Major Litigation — Where Time Records Excusably Imprecise Due to Unawareness of Misconduct, Rough Estimate of Fees Allocable to Misconduct Suffices — Fees Reimbursed by Insurance Still “Incurred” Within, And Awardable under § 1927 — Law of The Case Doctrine Inapplicable, Even If Same Issue Involved, Where Different Legally Relevant Factors Are Under Consideration Or Facts Are Different

Chung v. Lamb, 73 F.4th 824 (10th Cir. 2023): After a prior remand to the district court, we review the propriety of that court’s revised award of attorney fees under
Chung v. Lamb, 73 F.4th 824 (10th Cir. 2023): After a prior remand to the district court, we review the propriety of that court’s revised award of attorney fees under 28 U.S.C. § 1927, which permits monetary sanction when…
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Spoliation Sanctions: Rule 37(e)(2)’s Intent-To-Deprive Standard Is The Same Bad Faith Standard Historically Applied In Pre- Rule 37 Spoliation Cases And Still Applied In Cases Of Non-Electronic Spoliation — Prejudice To The Defendant Need Not Be Shown Under Rule 37(b)(2) — Even Though Litigation Hold Issued, Bad Faith Reasonable Inferred From Failing To (i) Back Up Text Messages, (ii) Educate Recipients About Litigation Hold, (iii) Collect Cell Phone Data For 7 Months, And (iv) Suspend Policy Of Wiping Data — No Affirmative Act Is Required To Sustain A Finding Of Bad Faith Based On Circumstantial Evidence, Either Under Rule 37(e) Or Bad Faith Case Law

Skanska United States Civil Se. Inc. v. Bagelheads, Inc., 2023 U.S. App. LEXIS 19942 (11th Cir. Aug. ...
Skanska United States Civil Se. Inc. v. Bagelheads, Inc., 2023 U.S. App. LEXIS 19942 (11th Cir. Aug. 2, 2023): *1 Hurricane Sally hit Pensacola Bay with a vengeance in September 2020, and 28 barges moored in the Bay were not…
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Recent Posts

Experts: “Normally, Courts Are Loath to Outright Dismiss An Expert” (Good Quote) — Experts Are Unhelpful If They Misstate the Law [Note Premise That Testimony on Law Not Precluded Outright] — Rule 37 Sanctions Unwarranted for Unjustifiable Failure to Produce Relevant Document Already in Requester’s Possession

FRAP 38 Sanctions: (1) Pressing Objectively Frivolous Arguments, Multiple Misstatements at Oral Argument and Failure to Address What District Judge Said Warrant Award against Appellants’ Counsel (Only) — (2) “General Award” of $5,000 Warranted Where Appellee Failed to Sufficiently Document Its Fees and Expenses [Goodyear v. Haegar Issue]]

RICO: Capital Call Investment Process Increasing Equity of Those Responding to Call at Expense of Those Not Responding ≠ Collection of An Unlawful Debt

RICO [And Constitutional] Standing: Concrete Injury Requirement Not Satisfied by Alleged Intangible Injuries of Intrusion Upon Seclusion, Confusion And Emotional Distress, Public Disclosure of Private Facts, Deterred Speech On Nondefamatory Matters, Violation Of First Amendment Rights, And Compulsion

Rule 37(b) Sanctions: Striking of Answer, Default Judgment, Civil Contempt and Piercing Corporate Veil for Deliberate Disregard of Multiple Orders to Produce — Finding of Deliberate Disregard of Court Order Is Factual, Triggering Clear Error Review — Discretion Narrows When Default Sanction Involved — Fourth Circuit Factors for Rule 37 Default Sanction Are Different Than Those for Inherent Power Dismissal Sanction — Continued Defiance of Court Orders And Millions in Unpaid Judgments And Tax Liens Render Lesser Sanctions Futile

RICO: No Causation for Company Harmed by Governmental Customers Shunning It After Employee Publishes Book Admitting He Bribed Governmental Officials — Harm Too Indirect, Not from Bribery (Predicate Act) But from Customers’ Decisions to Shun and Publication of Book (Both Lawful) — Customers Injured by Bribery of Their Officials Are More Direct Plaintiffs

FRAP 38 Sanctions for Frivolous Opposition to Arbitration

Extrinsic Fraud Exception to Rooker-Feldman — Where Defendants’ Perjury, False Evidence, Flawed Legal Arguments Prevented Plaintiffs from Presenting Their Claim in State Court

Federal Jurisdiction: Party Can Waive Subject Matter Jurisdiction — While Federal Courts Must Ensure They Do Not Lack Subject Matter Jurisdiction, There Is No Duty to Find and Exercise It

“RICO Is a Judge’s Nightmare” — “The Requisite RICO Pleading Standards Are Far From Explicit, And The RICO Jurisprudence Offers Courts (And Plaintiffs) Little Guidance” (Good Quotes) — Common Elements of § 1962(a), (c) and (d)-Based Claims — Closed-End Continuity: Duration > 1 Year = Substantial Period of Time — Continuity: Courts Skeptical If Number of Victims and Schemes Is Limited — Untargeted Persons Who Suffer Derivative Injury Do Not Add to the Number of Victims Considered for Continuity Purposes — Open Ended Continuity Can Be Established by Showing Defendant Commits Predicate Acts As “Regular Way of Doing Business” — Citing the Existence of Other Lawsuits Alleging Similar Predicates ≠ Pleading Facts Demonstrating Defendant’s Commission of Similar Predicates Against Others

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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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