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

Vexatious Litigant Injunctions — Factors — 2 Cases Too Few; Motion Practice Inadequate — “A Successful Motion Is Neither Baseless Nor Frivolous” — Limitations on Orders — Invited Briefs Not to Be Held against Filer (Good Quotes)

Ringgold-Lockhart v. Cnty. of L.A., 2014 U.S. App. LEXIS 14979 (9th Cir. Aug. 4, 2014): This appeal requires us to consider the limits of a federal court's authority to impose pre-filing restrictions against so-called vexatious litigants. The case arises from one of many episodes in a legal saga involving Nina Ringgold and the Los ...
Ringgold-Lockhart v. Cnty. of L.A., 2014 U.S. App. LEXIS 14979 (9th Cir. Aug. 4, 2014): This appeal requires us to consider the limits of a federal court's authority to impose pre-filing restrictions against so-called vexatious litigants. The case arises from…
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Failure to Plead Affirmative Defense Does Not Waive It Absent Prejudice to Plaintiff

Garofalo v. Village of Hazel Crest, 2014 U.S. App. LEXIS 11087 (7th Cir. June 12, 2014): Plaintiff-Appellants Michael Garofalo and Mark Peers appeal from the district court's grant of summary judgment in favor of Defendant-Appellees, the Village of Hazel Crest and its individual officers, in their race discrimination case. Garofal ...
Garofalo v. Village of Hazel Crest, 2014 U.S. App. LEXIS 11087 (7th Cir. June 12, 2014): Plaintiff-Appellants Michael Garofalo and Mark Peers appeal from the district court's grant of summary judgment in favor of Defendant-Appellees, the Village of Hazel Crest…
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Rule 11 Sanctions for Pursuing Issue of First Impression — Tenuous Nature of Legal Theory Coupled with Inadequate Factual Investigation — Rule 11 Factors (Eleventh Circuit)

Walther v. McIntosh, 2014 U.S. App. LEXIS 13987 (11th Cir. July 23, 2014): Dorothy Walther, Howard Walther, and Phillips P. O'Shaughnessy appeal the district court's order imposing sanctions against O'Shaughnessy under Federal Rule of Civil Procedure 11 for his conduct in pursuing a lawsuit in the district  [*2]
Walther v. McIntosh, 2014 U.S. App. LEXIS 13987 (11th Cir. July 23, 2014): Dorothy Walther, Howard Walther, and Phillips P. O'Shaughnessy appeal the district court's order imposing sanctions against O'Shaughnessy under Federal Rule of Civil Procedure 11 for his conduct…
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Does a Magistrate Judge Have Authority to Decide a Motion for Spoliation Sanctions under Rule 37 or the Court’s Inherent Power? As with Rule 11, the Case Law Is Split

In re Estate of Jackson v. Cnty. of Suffolk, 2014 U.S. Dist. LEXIS 96355 (E.D.N.Y. July 15, 2014)): Plaintiff the Estate of Willie Jackson ("plaintiff" or the "Estate") brings this action against numerous defendants associated with Suffolk County (the "County Defendants") based on an incident on April 2, ...
In re Estate of Jackson v. Cnty. of Suffolk, 2014 U.S. Dist. LEXIS 96355 (E.D.N.Y. July 15, 2014)): Plaintiff the Estate of Willie Jackson ("plaintiff" or the "Estate") brings this action against numerous defendants associated with Suffolk County (the "County…
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§ 1927 Sanctions — Recklessness May Suffice to Show Bad Faith — Multiplicity Essential: “Section 1927 Only Authorizes Shifting Fees That Are Associated with the Persistent Prosecution of a Meritless Claim.” (Good Quotes)

Hamaker v. Enerco Grp., Inc., 2014 U.S. App. LEXIS 9868 (5th Cir. May 28, 2014): Patricia Ayala brought suit in Louisiana state court  [*2] against a manufacturer, its insurers, and a retail store alleging that defects in a propane heater caused the death of her husband. The case was removed to federal court by the manufactur ...
Hamaker v. Enerco Grp., Inc., 2014 U.S. App. LEXIS 9868 (5th Cir. May 28, 2014): Patricia Ayala brought suit in Louisiana state court  [*2] against a manufacturer, its insurers, and a retail store alleging that defects in a propane heater …
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Circumstantial Authentication of Email Evidence Based on Content and Context — Authenticating Testimony Need Not “Be Free from Weakness or Doubt” — Deficiencies in Chain of Custody for Factfinder

State v. Ruiz, 2014 Mich. App. LEXIS 855 (Mich. Ct. App. May 15, 2014): Defendant next argues that the trial court erred by admitting e-mail records into evidence. Defendant objected at trial to the admissibility of the e-mail evidence in Exhibit 13, but made no objection to the admissibility of other e-mails. We revi ...
State v. Ruiz, 2014 Mich. App. LEXIS 855 (Mich. Ct. App. May 15, 2014): Defendant next argues that the trial court erred by admitting e-mail records into evidence. Defendant objected at trial to the admissibility of the e-mail evidence in…
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Rule 37(c)(1) Sanctions — Neither Fault Nor Willfulness Required — Opportunity to Submit Briefs = Opportunity to Be Heard, Satisfies Due Process

Remington v. Mathson, 2014 U.S. App. LEXIS 9849 (9th Cir. May 28, 2014): The district court did not abuse its discretion in imposing discovery sanctions on Remington because Remington's failure to comply with expert witness disclosures was neither substantially justified nor harmless. See Yeti by Molly Ltd., 259 F.3d at 1 ...
Remington v. Mathson, 2014 U.S. App. LEXIS 9849 (9th Cir. May 28, 2014): The district court did not abuse its discretion in imposing discovery sanctions on Remington because Remington's failure to comply with expert witness disclosures was neither substantially justified…
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Inherent Power Sanctions Imposed Where Rule 11 Substantively Violated But Inapt Due to Timeliness — Applying “Rule 11-Type Analysis” OK — Pro Se Can’t Recover Attorney’s Fees — Can’t Award Sanctions to Pay Unpaid Judgment

Peer v. Lewis, 2014 U.S. App. LEXIS 13259 (11th Cir. July 9, 2014): Daniel Warfield Lewis, proceeding pro se, appeals the order imposing sanctions against three lawyers who represented Christopher Peer in an underlying action brought against Lewis under the Fair Credit Reporting  [*2] Act (FCRA), 15 U.S.C. § 1681. He challen ...
Peer v. Lewis, 2014 U.S. App. LEXIS 13259 (11th Cir. July 9, 2014): Daniel Warfield Lewis, proceeding pro se, appeals the order imposing sanctions against three lawyers who represented Christopher Peer in an underlying action brought against Lewis under the …
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FSIA Does Not Protect Counsel of Sovereign from § 1782 Discovery — Second Circuit Affirms Denial of 1782 Discovery but Sua Sponte Orders Documents Not Be Destroyed Due to Fluidity of Foreign Proceedings

Mare Shipping LLC v. Squire Sanders (US) LLP, 2014 U.S. App. LEXIS 14525 (2d Cir. July 30, 2014): Appellants Mare Shipping Inc. ("Mare") and Apostolos Mangouras ("Mangouras") appeal from a decision of the District Court denying their motion to compel discovery for use in a foreign litigation, brought pursuant to 28 ...
Mare Shipping LLC v. Squire Sanders (US) LLP, 2014 U.S. App. LEXIS 14525 (2d Cir. July 30, 2014): Appellants Mare Shipping Inc. ("Mare") and Apostolos Mangouras ("Mangouras") appeal from a decision of the District Court denying their motion to compel…
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Failure to Pay Sanctions = Civil Contempt — No Vicarious §1927 Liability — Every Lawyer Needn’t Vet Every Filing — Adverse Inference for 5th Amend. on Sanctions Motion — What Is Timely Is up to District Court — The Rule of Holes (Good Quotes)

Lightspeed Media Corp. v. Smith, 2014 U.S. App. LEXIS 14725 (7th Cir. July 31, 2014): The first rule of holes, according to an old saying, is to stop digging. The two appeals before us bring that to mind, for reasons that will become apparent. The first, No. 13-3801, comes to us from the district court's order granting a m ...
Lightspeed Media Corp. v. Smith, 2014 U.S. App. LEXIS 14725 (7th Cir. July 31, 2014): The first rule of holes, according to an old saying, is to stop digging. The two appeals before us bring that to mind, for reasons …
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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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