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

Absolute Prosecutorial Immunity Does Not Extend to Civil RICO Suit Filed by County Prosecutors Essentially Enjoying No Status Different from Private Lawyers Filing Such Suits

Stapley v. Pestalozzi, 2013 U.S. App. LEXIS 17044 (9th Cir. Aug. 16, 2013): Former prosecutors Andrew Thomas and Lisa Aubuchon, and their spouses, ("Defendants") appeal the district court's partial denial of their motions to dismiss. Former Maricopa County Board of Supervisors member Donald T. Stapley, Jr. and his spous ...
Stapley v. Pestalozzi, 2013 U.S. App. LEXIS 17044 (9th Cir. Aug. 16, 2013): Former prosecutors Andrew Thomas and Lisa Aubuchon, and their spouses, ("Defendants") appeal the district court's partial denial of their motions to dismiss. Former Maricopa County Board of…
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Experts — Method of Gatekeeping Is Discretionary But Court Must Apply Daubert – Inadmissibility of Certain Hedonic and Credit Expectancy Damages

Smith v. Dorchester Real Estate, Inc., 2013 U.S. App. LEXIS 20785 (1st Cir. Oct. 15, 2013): This case arises out of a fraudulent real estate mortgage scheme that involved inducing a schizophrenic trash collector into acting as a straw buyer for two overvalued residential properties in Massachusetts. That person, Robert Smith, sued var ...
Smith v. Dorchester Real Estate, Inc., 2013 U.S. App. LEXIS 20785 (1st Cir. Oct. 15, 2013): This case arises out of a fraudulent real estate mortgage scheme that involved inducing a schizophrenic trash collector into acting as a straw buyer…
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Requirements for Case-Ending Sanctions (Seventh Circuit) — Finding of Bad Faith May Be Implicit — No Need for Lesser Sanctions First — Meaning of “Abuse of Discretion” — Failure to Develop Argument on Appeal Waives It

Wellness Int’l Network, Ltd. v. Sharif, 2013 U.S. App. LEXIS 17553 (7th Cir. Aug. 21, 2013): Sharif challenges the district court's affirmance of both the default judgment and the award of attorney's fees to WIN as discovery sanctions, see Fed. R. Civ. P. 37(b); see also Fed. R. Bankr. P. 7037 (rendering Fed. R. Civ. P. 37 ...
Wellness Int’l Network, Ltd. v. Sharif, 2013 U.S. App. LEXIS 17553 (7th Cir. Aug. 21, 2013): Sharif challenges the district court's affirmance of both the default judgment and the award of attorney's fees to WIN as discovery sanctions, see Fed.…
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Rule 11 Sanctions Apt for Failing to Dismiss Claim after Becoming Aware They Lack Merit

Baker v. Chevron USA Inc., 2013 U.S. App. LEXIS 16219 (6th Cir. Aug. 2, 2013): Rule 11 sanctions are appropriate when an attorney refuses to dismiss a claim after becoming aware that it lacks merit. See Merritt, 613 F.3d at 627 ("Rule 11 imposes a continual obligation on attorneys to refrain from pursing meritl ...
Baker v. Chevron USA Inc., 2013 U.S. App. LEXIS 16219 (6th Cir. Aug. 2, 2013): Rule 11 sanctions are appropriate when an attorney refuses to dismiss a claim after becoming aware that it lacks merit. See Merritt, 613 F.3d at…
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Arbitration — Fourth Circuit Vacates Award for “Manifest Disregard of the Law,” Recognizing Circuit Split as to Whether That Ground Is Viable after Hall Street — FAA Trumps State Arbitration Law in Any Dispute “Involving Commerce”

Kiran M. Dewan, CPA, PA v. Walia, 2013 U.S. App. LEXIS 21970 (4th Cir. Oct. 28, 2013): Kiran Dewan and his close corporation, Kiran M. Dewan, CPA, P.A. ("the Company") (collectively, "Appellants"), appeal from the district court's confirmation of an arbitral award in favor of the Company's former employe ...
Kiran M. Dewan, CPA, PA v. Walia, 2013 U.S. App. LEXIS 21970 (4th Cir. Oct. 28, 2013): Kiran Dewan and his close corporation, Kiran M. Dewan, CPA, P.A. ("the Company") (collectively, "Appellants"), appeal from the district court's confirmation of an…
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With Rare Exception, District Court Has No Duty to Consider a Potential Statute of Limitations Defense Sua Sponte — District Court Has Broad Discretion to Interpret Its Local Rules

 O'Connell v. Fernandez-Pol,  2013 U.S. App. LEXIS 19964 (9th Cir. Sept. 30, 2013): Defendant Dr. Jose Fernandez-Pol ("Dr. Pol") appeals the district court's order granting Plaintiffs' motion for judgment on the pleadings after the district court struck Dr. Pol's answer as a discovery sanction under Federal ...
O'Connell v. Fernandez-Pol,  2013 U.S. App. LEXIS 19964 (9th Cir. Sept. 30, 2013): Defendant Dr. Jose Fernandez-Pol ("Dr. Pol") appeals the district court's order granting Plaintiffs' motion for judgment on the pleadings after the district court struck Dr. Pol's answer…
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FCA Doesn’t Preempt Ethics Rules — Ex-GC, Co-Plaintiffs & Counsel Disqualified — GC Disclosed More Confidences Than Needed — OK for Court to Rely on In Camera Document to See If It Was Privileged — Ethical Duties to Corp Transfer to Acquiror

United States v. Quest Diagnostics Inc., 2013 U.S. App. LEXIS 21709 (2d Cir. Oct. 25, 2013): Plaintiff appeals from the July 12, 2011 judgment of the United  States District Court for the Southern District of New York (Robert P. Patterson, Judge) dismissing this qui tam action and disqualifying plaintiff, its individual members--i ...
United States v. Quest Diagnostics Inc., 2013 U.S. App. LEXIS 21709 (2d Cir. Oct. 25, 2013): Plaintiff appeals from the July 12, 2011 judgment of the United  States District Court for the Southern District of New York (Robert P. Patterson,…
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Arbitration Agreement Contained Only in Employee Handbook That Is Subject to Unilateral Change by Employer without Notice Is Illusory and Unenforceable

Scudiero v. Radio One of Tex. II, LLC, 2013 U.S. App. LEXIS 21677 (5th Cir. Oct. 24, 2013): ***Radio One contends that the district court erred in holding that the two arbitration provisions in the employee handbook were illusory and thus unenforceable based on a provision in the handbook that expressly provided that Radio One reserv ...
Scudiero v. Radio One of Tex. II, LLC, 2013 U.S. App. LEXIS 21677 (5th Cir. Oct. 24, 2013): ***Radio One contends that the district court erred in holding that the two arbitration provisions in the employee handbook were illusory and…
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Purposes of Rule 37 Sanctions — Factors — Importance of Bad Faith and Prejudice in Assessing Apt Sanction

First Mariner Bank v. Resolution Law Group, 2013 U.S. Dist. LEXIS 153299 (D. Md. Oct. 24, 2013): Courts have broad discretion to impose punitive measures on any party who fails to obey a discovery order. Fed R. Civ. P. 37(b)(2)(B); Mut. Fed. Sav. & Loan Ass'n v. Richards & Assocs., 872 F.2d 88, 92 (4th Cir. 1989);  8B Charles Al ...
First Mariner Bank v. Resolution Law Group, 2013 U.S. Dist. LEXIS 153299 (D. Md. Oct. 24, 2013): Courts have broad discretion to impose punitive measures on any party who fails to obey a discovery order. Fed R. Civ. P. 37(b)(2)(B);…
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When Notes Are Securities — Reves’ Family Resemblance Test — Issue of Law in Civil Cases — Notes with Durations Shorter Than Nine Months

Securities and Exchange Comm'n v. Thompson, 2013 U.S. App. LEXIS 20342 (10th Cir. Oct. 4, 2013): This appeal arises out of a civil-enforcement action brought by the Securities and Exchange Commission ("SEC") against Defendant-Appellant Ralph W. Thompson, Jr., in connection with an alleged Ponz ...
Securities and Exchange Comm'n v. Thompson, 2013 U.S. App. LEXIS 20342 (10th Cir. Oct. 4, 2013): This appeal arises out of a civil-enforcement action brought by the Securities and Exchange Commission ("SEC") against Defendant-Appellant Ralph W. Thompson, Jr., in connection…
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Recent Posts

Rule 37 Discovery Sanctions: Ninth Circuit’s Five-Factor Test for Gauging Appropriateness of Dismissal — The Limited Utility of Rule 12(f) Motions to Strike

RICO: Employer Suffered Harm to Business or Property When Kickbacks Paid to Employees in Real Estate Transactions Done for Employer — Expert Testimony Sufficient to Prove Harm — Proof That Employer Paid Above-Market Prices Not Essential — Non-Disclosure of Certain Damages in Initial Disclosures Cured by Expert Report, Which Also Rendered Initial Non-Disclosure Harmless

Spoliation: Dismissal Under Rule 37(e)(2) and Monetary Sanctions Under Rule 37(e)(1), Implicitly Reading The “Or” Between 37(e)(1) and 37(e)(2) As Conjunctive, Not Disjunctive — Clear Error Standard of Review for District Court’s Intent (= Bad Faith) Finding under 37(e)(2)(C) — Additional Monetary Sanctions Imposed on Claimants under 28 U.S.C. § 1927 and Rule 37(a)(5) — No Right to Jury Determination of Intent under Rule 37(e)(2) — “Substantially Justified” in Rule 37(a)(5) Has Same Meaning As In Equal Access to Justice Act and Thus Rule 11 — Meaning of “Unreasonable and Vexatious” in 7th Circuit

Inherent Power Sanction of Dismissal — Preponderance of the Evidence Burden of Proof, Not Clear and Convincing Evidence (7th Circuit)

§ 1927 Sanctions — Must A Lawyer Who Unreasonably and Vexatiously Multiplies Federal Court Proceedings Be Acting “As An Attorney” When Committing the Misconduct To Be Subject to Sanction under § 1927?

Rule 37 Sanctions — Unfamiliarity With Litigation Process Does Not Excuse Intentional Disregard of Court Order — Also Affirming Rule 26(g) Sanctions on Clients and Counsel for False Representations That All Responsive Documents Had Been Produced

Supreme Court: Notice of Appeal Filed After The Original Deadline But Before Reopening by The District Court Is Timely — It Relates Forward to The Date of The Order Making The Appeal Possible — Second Notice of Appeal After Reopening Unnecessary

Rule 37 Default Judgment: Second Circuit’s Four-Factor Test for Imposing Defaults and Three-Factor Test for Lifting Them

Rule 37 Default Judgment — Tenth Circuit Multifactor Test Is Not Exhaustive But a Non-Exclusive List of “Sometimes-Helpful Criteria Or Guide Posts”— Appeal from Preliminary Injunction Mooted by Entry of Permanent Injunction — Difficulty in Collecting Damages Award May Equal Irreparable Injury — A Monetary Award For Past Conduct Does Not Preclude A Permanent Injunction Against Similar Wrongful Conduct Likely To Occur In The Future

RICO: Cover-Up Within Limitations Period of Untimely RICO Violation “Was Merely A Continuation” Of The Original Injury And Could Not Be Used “As A ‘Bootstrap’ To Salvage [The] Time-Barred Claims–Declining to Apply Pinkerton Doctrine to Civil RICO Claims

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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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