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

London Merger

Download associated file: London Merger.pdf  Effective today, Gregory P. Joseph Law Offices LLC is merged with Hage Aaronson Limited of London to form Joseph Hage Aaronson Limited.  A copy of the announcement is attached.  C ...
Download associated file: London Merger.pdf  Effective today, Gregory P. Joseph Law Offices LLC is merged with Hage Aaronson Limited of London to form Joseph Hage Aaronson Limited.  A copy of the announcement is attached.  Current email addresses will automatically…
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Failure to Raise PSLRA Bar to RICO Action below Bars Consideration on Appeal — Not Purely Legal Question

Olivier Family Interests, Ltd. v. Wright, 2013 U.S. App. LEXIS 17833 (8th Cir. Aug. 27, 2013): In Appeal No. 12-2573, Michael Bogart and Doris Wright, as the personal representative of the estate of Russell Wright (who died during the pendency of this proceeding), appeal the judgment of the District Court awarding damages of $12,900,000 in accordance with ...
Olivier Family Interests, Ltd. v. Wright, 2013 U.S. App. LEXIS 17833 (8th Cir. Aug. 27, 2013): In Appeal No. 12-2573, Michael Bogart and Doris Wright, as the personal representative of the estate of Russell Wright (who died during the pendency…
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Which Is It — “Attorneys’ Fees” or “Attorney’s Fees” or “Attorney Fees” or “Attorney Fee” or “Attorneys’ Fee” or “Attorney’s Fee”?

Daybreak, Inc. v. Friedberg, 2013 U.S. Dist. LEXIS 77366 (D.V.I. June 3, 2013): Before the Court is the motion of the plaintiff/counterclaim defendant Daybreak, Inc., doing business as Huber & Associates ("Daybreak"), for attorneys' fees and costs. Footnote 1. Before addressing the merits of the fee petiti ...
Daybreak, Inc. v. Friedberg, 2013 U.S. Dist. LEXIS 77366 (D.V.I. June 3, 2013): Before the Court is the motion of the plaintiff/counterclaim defendant Daybreak, Inc., doing business as Huber & Associates (“Daybreak”), for attorneys’ fees and costs. Footnote 1. Before…
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Multiple30(b)(6) Witnesses = 1 Deponent — I.e., the Entity — Each Witness May Review and Sign Transcript Even If Request Made Only at First Witness’s Testimony — Substantive Errata Changes Permitted in Second Circuit, but Cross Is Broad

In re Weatherford Int’l Secs. Litig., 2013 U.S. Dist. LEXIS 120321 (S.D.N.Y. Aug. 23, 2013): The motion currently before the Court in this case presents an issue of first impression but little practical significance: when multiple witnesses are designated as corporate representatives pursuant to Rule 30(b)(6) of the Federal Rules of C ...
In re Weatherford Int’l Secs. Litig., 2013 U.S. Dist. LEXIS 120321 (S.D.N.Y. Aug. 23, 2013): The motion currently before the Court in this case presents an issue of first impression but little practical significance: when multiple witnesses are designated as…
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Does State or Federal Law Govern Interpretation of a Forum Selection Clause If the Underlying Contract Contains a Choice of Law Provision? If State, What State? Circuit Split

Indoor Billboard Northwest Inc. v. M2 Sys. Corp., 922 F. Supp. 2d 1154 (D. Or. 2013): The parties do not address or analyze whether the Court should apply federal common law, Connecticut law, or Oregon law to determine the scope and effect of the forum-selection clause. As noted, the Promissory Note provides it "shall be construed and e ...
Indoor Billboard Northwest Inc. v. M2 Sys. Corp., 922 F. Supp. 2d 1154 (D. Or. 2013): The parties do not address or analyze whether the Court should apply federal common law, Connecticut law, or Oregon law to determine the scope…
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Court May Convert Unpaid Portion of Disgorgement Remedy, Imposed as Compensatory Civil Contempt Sanction, into Money Judgment after Contemnor Has Disgorged What It Can — Breadth of, and Limitations on, Contempt—Good Quotes—No Election of Remedies

Federal Trade Comm’n v. Leshin, 719 F.3d 1227 (11th Cir. 2013): This appeal presents an issue of first impression: whether a district court can convert the unpaid remainder of an equitable disgorgement remedy, stemming from a compensatory civil contempt sanction, into the legal remedy of a money judgment after the contemnor has disgor ...
Federal Trade Comm’n v. Leshin, 719 F.3d 1227 (11th Cir. 2013): This appeal presents an issue of first impression: whether a district court can convert the unpaid remainder of an equitable disgorgement remedy, stemming from a compensatory civil contempt sanction,…
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What Exactly Is an “Outlaw”? — The Demise of Outlawry and Rise of the Fugitive Disentitlement Doctrine — The Latter’s Inaptness in Most Civil Cases

Niemi v. Lasshofer, 2013 U.S. App. LEXIS 18589 (10th Cir. Sept. 6, 2013): An unconventional real estate financing scheme presents us with some unconventional legal questions. Questions ranging from whether an Austrian financier should be denied access to the American legal system because he failed to comply with an order freezing his as ...
Niemi v. Lasshofer, 2013 U.S. App. LEXIS 18589 (10th Cir. Sept. 6, 2013): An unconventional real estate financing scheme presents us with some unconventional legal questions. Questions ranging from whether an Austrian financier should be denied access to the American…
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Sanctions: Failure to Comply with Scheduling Order, Absent Motion to Compel or Interim Order from Court, Does Not Justify Dismissal — Scheduling Order Is Not the Type of Order Contemplated by Rule 37

Holmes v. Trinity Health, 2013 U.S. App. LEXIS 18328 (8th Cir. Sept. 4, 2013): Holmes appeals the district court's denial of her "Motion for Summary Judgment or Default Judgment," which asked the court to grant a dispositive discovery sanction against Trinity for its "willful pattern of action in failing to comply" with the scheduli ...
Holmes v. Trinity Health, 2013 U.S. App. LEXIS 18328 (8th Cir. Sept. 4, 2013): Holmes appeals the district court’s denial of her “Motion for Summary Judgment or Default Judgment,” which asked the court to grant a dispositive discovery sanction against…
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Sarbanes-Oxley Whistleblower May Recover Damages for Emotional Distress, Humiliation and Injury to Reputation — Caselaw Split

Rutherford v. Jones Lang LaSalle Am, Inc., 2013 U.S. Dist. LEXIS 116872 (E.D. Mich. Jan. 29, 2013) (Report and Recommendation): This case involves a claim of retaliation against a corporate whistleblower in violation of the Sarbanes-Oxley Act ("SOX"). The issue raised in the pending motion is one of first impression in this District: do ...
Rutherford v. Jones Lang LaSalle Am, Inc., 2013 U.S. Dist. LEXIS 116872 (E.D. Mich. Jan. 29, 2013) (Report and Recommendation): This case involves a claim of retaliation against a corporate whistleblower in violation of the Sarbanes-Oxley Act (“SOX”). The issue…
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Is the Attorney-Client Privilege a Constitutional Right in Criminal Cases?

Howell v. Trammell, 2013 U.S. App. LEXIS 18477 (10th Cir. Sept. 5, 2013): The relevant out-of-court statements admitted against Howell are Watson's private conversations with her former attorneys and Watson's testimony at the preliminary hearing. While testifying at Howell's trial--under oath and subject to Howell's cross-examination-- ...
Howell v. Trammell, 2013 U.S. App. LEXIS 18477 (10th Cir. Sept. 5, 2013): The relevant out-of-court statements admitted against Howell are Watson’s private conversations with her former attorneys and Watson’s testimony at the preliminary hearing. While testifying at Howell’s trial–under…
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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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