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

New York Convention — Enforcement of International Arbitration Award — Normally a Secondary State May Not Enforce an Award Lawfully Set Aside by a Competent Authority in the Primary State

Thai-Lao Lignite (Thailand) Co., Ltd. v. Gov’t of Lao People’s Republic, 2014 U.S. Dist. LEXIS 15004 (S.D.N.Y. Feb. 6, 2014): The New York Convention "provides a carefully crafted framework for the enforcement of international arbitral awards." TermoRio S.A. E.S.P. v. Electranta S.P., 487 F.3d 9 ...
Thai-Lao Lignite (Thailand) Co., Ltd. v. Gov’t of Lao People’s Republic, 2014 U.S. Dist. LEXIS 15004 (S.D.N.Y. Feb. 6, 2014): The New York Convention "provides a carefully crafted framework for the enforcement of international arbitral awards." TermoRio S.A. E.S.P.…
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Duplicative § 1782 Application Filed in Second District Court Properly Dismissed — Under FRCP, Parent Corporation or Subsidiary May Be Order to Produce Documents Held by the Other

Lufthans Technik AG v. Astronics Corp., 2014 U.S. App. LEXIS 1352 (2d Cir. Jan. 24, 2014): Lufthansa Technik AG appeals from the judgment of the United States District Court for the Western District of New York (Arcara, J.), dismissing Lufthansa's application for discovery in aid of a foreign proceeding pursuant to 28 U.S.C. § 17 ...
Lufthans Technik AG v. Astronics Corp., 2014 U.S. App. LEXIS 1352 (2d Cir. Jan. 24, 2014): Lufthansa Technik AG appeals from the judgment of the United States District Court for the Western District of New York (Arcara, J.), dismissing Lufthansa's…
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Rule 11 Sanctions Limited to What Suffices to Deter Repetition by Offender and Others (Good Quote) — Eleventh Circuit Factors to Be Considered in Determining an Appropriate Sanction

Thomas v. Early Cnty., GA, 518 F. App'x 645 (11th Cir. 2013): "The purpose of Rule 11 sanctions is to reduce frivolous claims, defenses, or motions, and to deter costly meritless maneuvers." Kaplan v. DaimlerChrysler, A.G., 331 F.3d 1251, 1255 (11th Cir. 2003) (quotation omitted). "[T]he selection of the type of ...
Thomas v. Early Cnty., GA, 518 F. App'x 645 (11th Cir. 2013): "The purpose of Rule 11 sanctions is to reduce frivolous claims, defenses, or motions, and to deter costly meritless maneuvers." Kaplan v. DaimlerChrysler, A.G., 331 F.3d 1251, 1255…
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RICO — Injury Requirement Restricts Broad Reading — “Natural and Foreseeable Consequence” Does Not Satisfy “Substantial Factor” Causation Test of RICO — Raising Argument Initially in Reply Brief on Appeal Waives It

Rock v. BAE Sys., Inc., 2014 U.S. App. LEXIS 3578 (11th Cir. Feb. 26, 2014): Randel Rock, appearing pro se, appeals the district court's dismissal of his complaints, which alleged violations of the Interstate Stalking Punishment and Prevention Act ("ISPPA") and the Racketeer Influenced and Corrupt Organizations ...
Rock v. BAE Sys., Inc., 2014 U.S. App. LEXIS 3578 (11th Cir. Feb. 26, 2014): Randel Rock, appearing pro se, appeals the district court's dismissal of his complaints, which alleged violations of the Interstate Stalking Punishment and Prevention Act ("ISPPA")…
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Facebook Authentication — Kansas Adopts More Liberal Circumstantial Evidence Approach (Parker, Not Griffin)

State v. Jones, 2014 Kan. App. Unpub. LEXIS 118 (Kan. Ct. App. Feb. 28, 2014): Mitchell Jones, III, appeals his convictions for aggravated battery and criminal threat involving his ex-wife. The jury acquitted Jones of charges of aggravated kidnapping, aggravated sexual battery, aggravated burglary, and two additional counts of aggrava ...
State v. Jones, 2014 Kan. App. Unpub. LEXIS 118 (Kan. Ct. App. Feb. 28, 2014): Mitchell Jones, III, appeals his convictions for aggravated battery and criminal threat involving his ex-wife. The jury acquitted Jones of charges of aggravated kidnapping, aggravated…
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Sanctions — Appealability — Cunningham Bars Interlocutory Appeal or Mandamus Review of § 1927 Sanctions — Mandamus Inapt If Direct Review Available Later — Sanctioning Plaintiff in Civil Rights Action Is Extreme — Good Quotes

Howe v. City of Akron, 2014 U.S. App. LEXIS 2300 (6th Cir. Feb. 4, 2014): Plaintiffs appeal an order sanctioning them, pursuant to 28 U.S.C. § 1927, for abuse of the discovery process. An earlier trial resulted in a verdict for Plaintiffs, who are a group of firefighters who alleged discrimination in the promotions pr ...
Howe v. City of Akron, 2014 U.S. App. LEXIS 2300 (6th Cir. Feb. 4, 2014): Plaintiffs appeal an order sanctioning them, pursuant to 28 U.S.C. § 1927, for abuse of the discovery process. An earlier trial resulted in a verdict…
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Forum Selection Clause — Federal Law Determines Enforceability of Clause, While Law Recited in Choice of Law Clause Determines Interpretation of Clause — Circuit Split

Martinez v. Bloomberg LP, 740 F.3d 211 (2d Cir. 2014): Plaintiff-Appellant Brian Anthony Martinez ("Martinez") appeals from a judgment of the United States District Court for the Southern District of New York (Furman, J.), dismissing his complaint for improper venue under Rule 12(b)(3) of the Federal Rules of Ci ...
Martinez v. Bloomberg LP, 740 F.3d 211 (2d Cir. 2014): Plaintiff-Appellant Brian Anthony Martinez ("Martinez") appeals from a judgment of the United States District Court for the Southern District of New York (Furman, J.), dismissing his complaint for improper venue…
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Supreme Court — SLUSA Does Not Extend Federal Jurisdiction to Class Actions Concerning Uncovered Securities That Investors Were Promised Would Be Invested in Covered Securities — Actual or Attempted Ownership Interest in Covered Securities Essential

Chadbourne & Parke, LLP v. Troice, 2014 U.S. LEXIS 1644 (U.S. Feb. 26, 2014): The Securities Litigation Uniform Standards Act of 1998 (which we shall refer to as the "Litigation Act") forbids the bringing of large securities class actions based upon violations of state law. It says that plaintiffs ma ...
Chadbourne & Parke, LLP v. Troice, 2014 U.S. LEXIS 1644 (U.S. Feb. 26, 2014): The Securities Litigation Uniform Standards Act of 1998 (which we shall refer to as the "Litigation Act") forbids the bringing of large securities class actions based …
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Rule 37 Sanctions — Fifth Circuit Standards for Dismissal or Default — Denial of Permission to Proceed In Forma Pauperis as Sanction for Repeated Frivolous Appeals

Sandres v. State of La. Div’n of Admin., 2013 U.S. App. LEXIS 25814 (5th Cir. Dec. 30, 2013): Under our precedent, several "Conner factors" must be present before a district court may dismiss an action under Rule 37:      (1) the refusal to comply results from willfulness or bad f ...
Sandres v. State of La. Div’n of Admin., 2013 U.S. App. LEXIS 25814 (5th Cir. Dec. 30, 2013): Under our precedent, several "Conner factors" must be present before a district court may dismiss an action under Rule 37:      (1) the…
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Website Evidence — Basic Authentication

Estate of Konell v. Allied Prop. & Cas. Ins. Co., 2014 U.S. Dist. LEXIS 10183 (D. Or. Jan. 28, 2014): As one of its trial exhibits, plaintiffs has offered Exhibit 44 which is an 11-page Power Point presentation. The first page is titled "Columbia River Gorge, East Wind Storm, January 17th-19th 2009," presented by "Mark ...
Estate of Konell v. Allied Prop. & Cas. Ins. Co., 2014 U.S. Dist. LEXIS 10183 (D. Or. Jan. 28, 2014): As one of its trial exhibits, plaintiffs has offered Exhibit 44 which is an 11-page Power Point presentation. The first…
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Recent Posts

Rule 41(b): Five Factors to Be Weighed in Deciding Whether Dismissal Is Appropriate (Second Circuit) — Is A Finding of Bad Faith or Fault Required if Dismissal Is Without Prejudice? — Undecided If Truly Without Prejudice But It Is Required If the Without Prejudice Dismissal Will Act as a Dismissal on the Merits (Here, Because of the Statute of Limitations) — Failure To Consider A Lesser Sanction Than Dismissal Is Generally An Abuse Of Discretion

Spoliation Sanctions/Mootness: Stipulation Resolving “All Pending Discovery Disputes,” Which Are Enumerated, Does Not Moot Subsequent Sanctions Motion for ESI Spoliation — Postjudgment Sanctions Order Is Appealable When District Court Has Finally Disposed of Both Liability and Amount

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

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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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