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 — Negligence for Missing Court Date OK — Court Should Hear from Before Sanctioning — Lack of Due Process If Rule Provides Only That Sanction “May” Be Imposed But No Criteria Are Given Or Known

 Pimentel-Soto, 2020 U.S. App. LEXIS 13101 (1st Cir. April 23, 2020) (Kayatta, J.): Attorney Kendys Pimentel-Soto appeals from the district court's order sanctioning her for failing to appear at a status ...
Pimentel-Soto, 2020 U.S. App. LEXIS 13101 (1st Cir. April 23, 2020) (Kayatta, J.): Attorney Kendys Pimentel-Soto appeals from the district court's order sanctioning her for failing to appear at a status conference. For the reasons that follow, we reverse the…
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Splitting Cause of Action: Entire Controversy Doctrine (NJ Factors) — Equitable Exception for Claims Unknown, Unaccrued Or Unable to Be Brought — State Law Res Judicata / Collateral Estoppel Rules Apply in Diversity Cases

 Casser v. Twp. of Knowlton, 2020 U.S. App. LEXIS 6675 (3d Cir. Mar. 3, 2020) (unpublished): Pro se Plaintiff Claudia Casser appeals from the order of the United States District Court for the District of New ...
Casser v. Twp. of Knowlton, 2020 U.S. App. LEXIS 6675 (3d Cir. Mar. 3, 2020) (unpublished): Pro se Plaintiff Claudia Casser appeals from the order of the United States District Court for the District of New Jersey granting the motion…
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Diversity Jurisdiction: Trustee of Deed of Trust May Be Nominal Def., Citizenship Ignored — Res Judicata, Aff’ve Def., OK on 12(b)(6) If Clear from Complaint, Judicially Noticed Facts — Sanctions: FRAP 38/IHP OSC for Twice-Sanctioned Pro Se

 Anderson v. Wells Fargo Bank, N.A., 2020 U.S. App. LEXIS 7865 (5th Cir. Mar. 12, 2020): Pro se plaintiff-appellant Eva Anderson has sued various combinations of the present ...
Anderson v. Wells Fargo Bank, N.A., 2020 U.S. App. LEXIS 7865 (5th Cir. Mar. 12, 2020): Pro se plaintiff-appellant Eva Anderson has sued various combinations of the present defendant-appellees and their predecessors-in-interest no fewer than six times, alleging first that …
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FRAP 38, Inherent Power, § 1927 Sanctions Denied to Victorious Appellees (Defendants): “‘Unpersuasive Arguments’ Are Not Synonymous with ‘Bad Faith’” (Good Quote)

Vielma v. Gruler, 2020 WL 1672778 (11th Cir. April 6, 2020) (unpublished): PER CURIAM: *1 On June 12, 2016, a lone shooter, Omar Mateen, entered the Pulse nightclub in Orlando, Florida, armed with a semi-automatic rifle and a semi-automatic pistol. He ultimately shot numerous patrons in the club, killing forty-nine people and injuring f ...
Vielma v. Gruler, 2020 WL 1672778 (11th Cir. April 6, 2020) (unpublished): PER CURIAM: *1 On June 12, 2016, a lone shooter, Omar Mateen, entered the Pulse nightclub in Orlando, Florida, armed with a semi-automatic rifle and a semi-automatic pistol.…
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Even Though R. 41(d)(2) Provides Only for a Stay of Proceedings until Plaintiff Pays Costs of Prior, Voluntarily Dismissed Action, 2nd Case May Be Dismissed for Want of Prosecution Or under R. 41(b) If Costs Not Paid Per Order

ORDER Tsukerman v. W. Cmty. Unit Sch. Dist. No. 12, 2020 U.S. App. LEXIS 6881 (7th Cir. Mar. 5, 2020) (unpublished): A year after voluntarily dismissing a discrimination case a ...
ORDER Tsukerman v. W. Cmty. Unit Sch. Dist. No. 12, 2020 U.S. App. LEXIS 6881 (7th Cir. Mar. 5, 2020) (unpublished): A year after voluntarily dismissing a discrimination case against his former employer, Mikhail Tsukerman, a Jewish man in his …
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Spoliation: Another Circuit (D.C.) Questions, in Dicta, Whether The Doctrine of Spoliation Applies in Criminal Cases

 In re Baluchi, 2020 U.S. App. LEXIS 8064 (D.C. Cir. Mar. 13, 2020): Guantanamo detainee Ammar al Baluchi is one of five co-defendants facing capital charges related to the planning of the September ...
In re Baluchi, 2020 U.S. App. LEXIS 8064 (D.C. Cir. Mar. 13, 2020): Guantanamo detainee Ammar al Baluchi is one of five co-defendants facing capital charges related to the planning of the September 11 attacks. Al Baluchi alleges that prior …
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Sanctions: Tangible Spoliation Requires Bad Faith — Eighth Circuit Has Still Never Applied Doctrine of Spoliation in Criminal Case

 United States v. Warren, 2020 U.S. App. LEXIS 6901 (8th Cir. Mar. 5, 2020): A jury found Bruce Zachary Pugh and Darren Lamont Warren guilty of conspiracy to distribute cocaine base, in violation of
United States v. Warren, 2020 U.S. App. LEXIS 6901 (8th Cir. Mar. 5, 2020): A jury found Bruce Zachary Pugh and Darren Lamont Warren guilty of conspiracy to distribute cocaine base, in violation of 21 U.S.C. §§ 841(a)(1), 841(b)(1)(C)…
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Inherent Power Sanctions: Disbarment Appropriate for Intentional Dishonesty, Fraud, Deceit or Misrepresentation — Failure to Provide Requested Financial Info Justifies Court’s Not Exploring Lesser, Financial Sanctions

 In re Ray, 2020 U.S. App. LEXIS 6710 (5th Cir. Mar. 3, 2020): Attorney Ryan Eugene Ray appeals his permanent disbarment from the U.S. District Court for the Northern District of Texas. The district court im ...
In re Ray, 2020 U.S. App. LEXIS 6710 (5th Cir. Mar. 3, 2020): Attorney Ryan Eugene Ray appeals his permanent disbarment from the U.S. District Court for the Northern District of Texas. The district court imposed this sanction after determining…
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Sanctions Award Limited to Compensation — 37(e) Spoliation Award Reduced by Amount of Fees for Anticipated Deposition That Never Occurred

Spencer v. Lunada Bay Boys, 2020 WL 1490922 (9th Cir. 2020) (unpublished): MEMORANDUM* Cory Spencer, Diana Reed, and the Coastal Protection Rangers (CPR) appeal the district court’s grant of summary judgment in favor of City of Palos Verdes Estates and its former police chief. We affirm in part, reverse in part, and remand so ...
Spencer v. Lunada Bay Boys, 2020 WL 1490922 (9th Cir. 2020) (unpublished): MEMORANDUM* Cory Spencer, Diana Reed, and the Coastal Protection Rangers (CPR) appeal the district court’s grant of summary judgment in favor of City of Palos Verdes Estates and…
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Sanctions: Clearly Time-Barred Claim Violates Both R. 11 & §1927 — Appeals: Clock Starts When Claims & Sanctions Decided — Not Restarted by Motion for Fees on Fees — No FRAP 38 without Separate Motion

 Faulkner v. Shelby Cty. Sch. Sys., 2020 U.S. App. LEXIS 8008 (6th Cir. Mar. 12, 2020) (unpublished): These appeals are less complicated than the caption implies. The Shelby County, Tennessee School ...
Faulkner v. Shelby Cty. Sch. Sys., 2020 U.S. App. LEXIS 8008 (6th Cir. Mar. 12, 2020) (unpublished): These appeals are less complicated than the caption implies. The Shelby County, Tennessee School System terminated its contract with Katoria Williams in December …
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Recent Posts

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

Spoliation: Fed. R. Civ. P. 37(e) Imposes a Higher Standard — Intent — Than Fourth Circuit Law Previously Applied to Spoliation of Electronically-Stored Information (And Still Does As to Non-ESI) — Willfulness vs. Intent

Inherent Power and § 1927 Sanctions: Removal of counsel from case, referral for disciplinary action, and award of fees and costs for assaulting opposing counsel at deposition — Failure to request hearing waive any right to a hearing — Notice and opportunity to be heard required before sua sponte sanctions imposed, whether under Rule 11, the inherent power of the court or § 1927 — Notice may come from court or opposing counsel — Order imposing sanctions cannot provide notice of sanctions — Nature of bad faith requirement for inherent power sanctions: bad faith to obstruct the judicial process or bring about violation of a court order — Sanctions proceeding need not defer (Younger abstention) to disciplinary proceeding involving the same conduct — Sanctions proceeding doesn’t threaten to interfere with disciplinary proceeding — Why District Court is accorded significant deference in matters concerning attorney’s fees

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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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