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

Sanctions — Error to Award Attorneys’ Fees for Cost of Replying to Submission That Was Invited by Court — Motion for Sanctions against Client Does Not Afford Notice That Counsel May Be Sanctioned

Mantell v. Chassman, 2013 U.S. App. LEXIS 3717 (2d Cir. Feb. 20, 2013): A. The October 2011 Sanction Rule 37(a)(5) provides that, if (1) a district court grants a Rule 37(a) motion to compel discovery or disclosure, or (2) disclosure or the requested discovery is provided after the motion was filed, the "court must, after gi ...
Mantell v. Chassman, 2013 U.S. App. LEXIS 3717 (2d Cir. Feb. 20, 2013): A. The October 2011 Sanction Rule 37(a)(5) provides that, if (1) a district court grants a Rule 37(a) motion to compel discovery or disclosure, or (2) disclosure…
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Arbitration — Evident Partiality and Undue Means as Grounds to Vacate Arbitration Award

NGC Network Asia, LLC v. Pac Pacific Group Int’l, Inc., 2013 U.S. App. LEXIS 2802 (2d Cir. Feb. 11, 2013): a. Evident Partiality PPGI insists that the District Court should have vacated the arbitration award because the arbitrator exhibited "evident partiality." An arbitrator is disqualified under that standard "o ...
NGC Network Asia, LLC v. Pac Pacific Group Int’l, Inc., 2013 U.S. App. LEXIS 2802 (2d Cir. Feb. 11, 2013): a. Evident Partiality PPGI insists that the District Court should have vacated the arbitration award because the arbitrator exhibited “evident…
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When Class Counsel’s Misconduct Requires Denial of Certification — Ethical Standards — “Only the Most Egregious Misconduct”

Reliable Money Order, Inc. v. McKnight Sales Co., 2013 U.S. App. LEXIS 501 (7th Cir. Jan. 9, 2013): The Ashford Gear litigation was the first to consider whether counsels' misconduct required denial of class certification. Like McKnight here, the defendant in Ashford Gear opposed class certification, arguing the same misconduct that Mc ...
Reliable Money Order, Inc. v. McKnight Sales Co., 2013 U.S. App. LEXIS 501 (7th Cir. Jan. 9, 2013): The Ashford Gear litigation was the first to consider whether counsels’ misconduct required denial of class certification. Like McKnight here, the defendant…
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Certain Purely Legal Rulings, Including Sanctions Rulings, May Be Subject to Abuse of Discretion Review

United States v. Gonza-Les-Flores, 701 F.3d 112 (4th Cir. 2012): On June 14, 2011, two days before Gonzales-Flores's jury trial on these charges was scheduled to begin, the government informed his counsel that it intended to call three expert witnesses. Gonzales-Flores's counsel filed a motion in limine seeking to exclude the witnesses' ...
United States v. Gonza-Les-Flores, 701 F.3d 112 (4th Cir. 2012): On June 14, 2011, two days before Gonzales-Flores’s jury trial on these charges was scheduled to begin, the government informed his counsel that it intended to call three expert witnesses.…
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Arbitration — Lingering Circuit Split over Viability of Manifest Disregard — Sixth Circuit’s Take

Schafer v. Multiband Corp., 2013 U.S. Dist. LEXIS 22057 (E.D. Mich. Feb. 19, 2013): Prior to Hall Street, the circuits unanimously recognized "manifest disregard" as a ground for vacatur. Since, however, the circuits have split over whether manifest disregard survives. See generally Leigh F. Gill, Note, Manifest Disregard After ...
Schafer v. Multiband Corp., 2013 U.S. Dist. LEXIS 22057 (E.D. Mich. Feb. 19, 2013): Prior to Hall Street, the circuits unanimously recognized “manifest disregard” as a ground for vacatur. Since, however, the circuits have split over whether manifest disregard survives.…
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Supreme Court — No Federal Jurisdiction Exists over State Court Legal Malpractice Claims Arising out of Patent Matters, Except Perhaps Rarely

Gunn v. Minton, 2013 U.S. LEXIS 1612 (U.S. Feb. 20, 2013): Federal courts have exclusive jurisdiction over cases "arising under any Act of Congress relating to patents." 28 U. S. C. §1338(a). The question presented is whether a state law claim alleging legal malpractice in the handling of a patent case must be brought in federal court. ...
Gunn v. Minton, 2013 U.S. LEXIS 1612 (U.S. Feb. 20, 2013): Federal courts have exclusive jurisdiction over cases “arising under any Act of Congress relating to patents.” 28 U. S. C. §1338(a). The question presented is whether a state law…
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Article III Standing May Exist Despite Absence of Proximate Cause — Injury May Still Be Sufficiently Traceable to Defendant’s Conduct — ATA Imposes Same Causation Standard as RICO and Clayton Act

Rothstein v. - UBS AG, 2013 U.S. App. LEXIS 3244 (2d Cir. Feb. 14, 2013): Plaintiffs Rachel Rothstein et al. appeal from a judgment of the United States District Court for the Southern District of New York, Jed S. Rakoff, Judge, dismissing their action brought under the Anti-Terrorism Act ("ATA"), 18 U.S.C. § 2331 et seq., against defe ...
Rothstein v. – UBS AG, 2013 U.S. App. LEXIS 3244 (2d Cir. Feb. 14, 2013): Plaintiffs Rachel Rothstein et al. appeal from a judgment of the United States District Court for the Southern District of New York, Jed S. Rakoff,…
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Final Argument — Are Golden Rule Arguments Improper If Directed to Liability Instead of Damages? — Circuit Split — D.C. Circuit Says They Are Improper — Send-a-Message Final Argument Sometimes OK — Duty to Play by the Rules (Good Quote)

Caudle v. District of Columbia, 2013 U.S. App. LEXIS 3213 (D.C. Cir. Feb. 15, 2013): Appellees Frazier Caudle, Nikeith Goins, William James, Sholanda Miller and Donald Smalls (collectively, appellees) sued the District of Columbia (District), their employer, for retaliation under Title VII of the Civil Rights Act of 1964, 42 U.S.C. §§ ...
Caudle v. District of Columbia, 2013 U.S. App. LEXIS 3213 (D.C. Cir. Feb. 15, 2013): Appellees Frazier Caudle, Nikeith Goins, William James, Sholanda Miller and Donald Smalls (collectively, appellees) sued the District of Columbia (District), their employer, for retaliation under…
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Arbitration — District Court’s Use of Equitable Estoppel to Compel Arbitration with Non-Signatory Is Reviewed De Novo — Mere Allegation of Conspiracy Insufficient to Trigger Equitable Estoppel — Intertwining of Claim & Contract Key

In re: Wholesale Grocery Products Antitrust Litigation, 2013 U.S. App. LEXIS 2949 (2d Cir. Feb. 13, 2013): Appellants Blue Goose Super Market, Inc. ("Blue Goose"), Millennium Operations, Inc. ("Millennium"), and King Cole Foods, Inc. ("King Cole") all have supply and arbitration agreements with Appellee SuperValu, Inc. ("SuperValu") ...
In re: Wholesale Grocery Products Antitrust Litigation, 2013 U.S. App. LEXIS 2949 (2d Cir. Feb. 13, 2013): Appellants Blue Goose Super Market, Inc. (“Blue Goose”), Millennium Operations, Inc. (“Millennium”), and King Cole Foods, Inc. (“King Cole”) all have supply and…
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Authentication of GPS and Google Earth Evidence — No Expert Required — Knowledgeable, Trained Technician Sufficient — No Reversible Error If Authenticating Evidence Follows, Rather Than Precedes, Introduction into Evidence

United States v. Espinal-Almeida, 699 F.3d 588 (1st Cir. 2012): An undercover United States Customs Task Force operation involving efforts on land, at sea, and in the air, ended with the arrests of the defendants, Saturnino Tatis-Núñez ("Tatis"), César Hernández-De la Rosa ("Hernández"), Carlos Espinal-Almeida ("Espinal"), and Jaco ...
United States v. Espinal-Almeida, 699 F.3d 588 (1st Cir. 2012): An undercover United States Customs Task Force operation involving efforts on land, at sea, and in the air, ended with the arrests of the defendants, Saturnino Tatis-Núñez (“Tatis”), César Hernández-De…
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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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