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

Securities — Section 11 — Where Multiple Offerings of Securities, Plaintiffs Must Satisfy Twiqbal in Alleging Their Shares Are Traceable to a Particular Offering — Error to Consider Extrinsic Evidence on This Issue (12(b)(6), Not 12(b)(1), Issue)

In re Century Aluminum Company Secs. Litig., 704 F.3d 1119 (9th Cir. 2013): Section 11 of the Securities Act of 1933, 15 U.S.C. § 77k, provides a cause of action to any person who buys a security issued under a materially false or misleading registration statement. Plaintiffs need not have purchased shares in the offering made unde ...
In re Century Aluminum Company Secs. Litig., 704 F.3d 1119 (9th Cir. 2013): Section 11 of the Securities Act of 1933, 15 U.S.C. § 77k, provides a cause of action to any person who buys a security issued under a…
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Unretained Experts — Failure to Identify Specific Facts or Opinions = Inadequate Disclosure — Adversary Must Provide Disclosure for Cross-Designation of Expert If Evidence Different from Proponent’s Designation or Witness’s Deposition

Shepeard v. Labette Cnty. Med. Ctr., 2013 U.S. Dist. LEXIS 31381 (D. Kan. Mar. 7, 2013): Before the Court is Plaintiff's Motion to Compel seeking supplemental information regarding Defendant's non-retained expert witness disclosures pursuant to Fed.R.Civ.P. 26(a)(2)(C). Having reviewed the submissions of the parties, including the wi ...
Shepeard v. Labette Cnty. Med. Ctr., 2013 U.S. Dist. LEXIS 31381 (D. Kan. Mar. 7, 2013): Before the Court is Plaintiff’s Motion to Compel seeking supplemental information regarding Defendant’s non-retained expert witness disclosures pursuant to Fed.R.Civ.P. 26(a)(2)(C). Having reviewed the…
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Elements and Burden of Proof of a Whistleblower Claim under Sarbanes-Oxley

Bechtel v. Administrative Review Bd., U.S. Dep't of Labor, 2013 U.S. App. LEXIS 4539 (2d Cir. Mar. 5, 2013): Section 806 of the Sarbanes-Oxley Act, 15 U.S.C. § 1514A, seeks to combat what Congress identified as a corporate "culture, supported by law, that discourage[s] employees from reporting fraudulent behavior not only to the proper ...
Bechtel v. Administrative Review Bd., U.S. Dep’t of Labor, 2013 U.S. App. LEXIS 4539 (2d Cir. Mar. 5, 2013): Section 806 of the Sarbanes-Oxley Act, 15 U.S.C. § 1514A, seeks to combat what Congress identified as a corporate “culture, supported…
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Cunningham Bars Interlocutory Appeal of Sanctions under Rule 11, § 1927 and Inherent Power, Not Just Rule 37 — What Is a “Relief Defendant” — When Appeal Is Inextricably Bound Up with an Injunction

SEC v. Smith, 2013 U.S. App. LEXIS 5325 (2d Cir. Mar. 18, 2013): Appellants, the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04 (the "Trust") and various individuals, appeal from Magistrate Judge Homer's order directing the disposition of the Trust's assets and sanctioning: (i) Lynn Smith, a defendant in the action, and (ii) n ...
SEC v. Smith, 2013 U.S. App. LEXIS 5325 (2d Cir. Mar. 18, 2013): Appellants, the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04 (the “Trust”) and various individuals, appeal from Magistrate Judge Homer’s order directing the disposition of…
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Administrative Closing of Case vs. Dismissal without Prejudice: Effect on Jurisdiction — “Evident Partiality” as Ground to Overturn Arbitration Award Is Narrower Than Judicial Recusal Standard — Mere Appearance of Bias Insufficient

Freeman v. Pittsburgh Glass Works, LLC, 2013 U.S. App. LEXIS 4561 (3d Cir. Mar. 6, 2013): James Freeman recently lost an arbitration dispute. Soon thereafter, he discovered that the arbitrator had received contributions for a judicial campaign from PPG Industries, the defendants' minority owner. Freeman filed a motion to vacate the arbi ...
Freeman v. Pittsburgh Glass Works, LLC, 2013 U.S. App. LEXIS 4561 (3d Cir. Mar. 6, 2013): James Freeman recently lost an arbitration dispute. Soon thereafter, he discovered that the arbitrator had received contributions for a judicial campaign from PPG Industries,…
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Experts — Degree of Appropriate Lawyer Involvement in Drafting Expert Report — “Commandeering” Report Lifts Work Product Protection for Drafts and Attorney-Expert Communications

Gerke v. Travelers Cas. Ins. Co. of Am., 2013 U.S. Dist. LEXIS 22254 (D. Or. Feb. 19, 2013): The 2010 amendments added work-product protection for drafts of expert's reports and expert's "preliminary reports" under Rule 26(b)(4)(B). Advisory Committee Notes, 2010 Amendments, comments to subdivision (b)(4). The amendments also protect fr ...
Gerke v. Travelers Cas. Ins. Co. of Am., 2013 U.S. Dist. LEXIS 22254 (D. Or. Feb. 19, 2013): The 2010 amendments added work-product protection for drafts of expert’s reports and expert’s “preliminary reports” under Rule 26(b)(4)(B). Advisory Committee Notes, 2010…
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Outside of RICO and the Clayton Act, “by Reason of” Frequently Connotes But-For, Rather Than Proximate, Causation

UMG Recordings, Inc. v. Veoh Networks, Inc., 2013 U.S. App. LEXIS 5100 (9th Cir. Mar. 14, 2013): Veoh Networks (Veoh) operates a publicly accessible website that enables users to share videos with other users. Universal Music Group (UMG) is one of the world's largest recorded music and music publishing companies, and includes record lab ...
UMG Recordings, Inc. v. Veoh Networks, Inc., 2013 U.S. App. LEXIS 5100 (9th Cir. Mar. 14, 2013): Veoh Networks (Veoh) operates a publicly accessible website that enables users to share videos with other users. Universal Music Group (UMG) is one…
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When Does a Claim “Relate to” a Contract for Purposes of the Contract’s Forum Selection Clause? — Standards — Meaning of “Related to”

Bailey v. ERG Enters., LP, 705 F.3d 1311 (11th Cir. 2013): Plaintiffs-Appellants (the Buyers) each sought to own a piece of paradise. To that end, they purchased undeveloped lots in a planned resort in the Bahamas. Their purchase contracts contain a provision that requires all disputes to be litigated in the Bahamas. Many of the Buyers ...
Bailey v. ERG Enters., LP, 705 F.3d 1311 (11th Cir. 2013): Plaintiffs-Appellants (the Buyers) each sought to own a piece of paradise. To that end, they purchased undeveloped lots in a planned resort in the Bahamas. Their purchase contracts contain…
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Denial of Summary Judgment and Two Directed Verdict Motions Does Not Insulate Counsel from § 1927 Sanctions — De Novo Review of Legal Analysis and Statutory Interpretation

Holland v. Standley & Assocs., LLC, 2013 U.S. App. LEXIS 4881 (10th Cir. Mar. 12, 2013): [Plaintiffs’ counsel] argues that the district court misapplied the principles governing imposition of attorney's fees sanctions under § 1927 when the court decided that he proceeded to trial without plausible evidence to support the abusive-lang ...
Holland v. Standley & Assocs., LLC, 2013 U.S. App. LEXIS 4881 (10th Cir. Mar. 12, 2013): [Plaintiffs’ counsel] argues that the district court misapplied the principles governing imposition of attorney’s fees sanctions under § 1927 when the court decided that…
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Does an Attorney’s Selection of Documents Shown to a Witness Confer Work Product Protection on the Cache of Documents? Uncertain status of Sporck v. Peil

Northern Natural Gas Co. v. Approximately 9117.53 Acres, 2013 U.S. Dist. LEXIS 34958 (D. Kan. Mar. 5, 2013) (magistrate judge’s decision): The parties and the court have gathered numerous federal court cases from this district on the issue of whether an attorney's selection of documents shown to a witnesses to prepare that witness for ...
Northern Natural Gas Co. v. Approximately 9117.53 Acres, 2013 U.S. Dist. LEXIS 34958 (D. Kan. Mar. 5, 2013) (magistrate judge’s decision): The parties and the court have gathered numerous federal court cases from this district on the issue of whether…
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Recent Posts

RICO: Indirect Injury Unrecoverable — Indirect Purchaser Rule Imported from Antitrust

Rule 11 Sanctions: (1) Improper Purpose of Harassment Reasonably Determined Based on Past Tactics (25 Lawsuits, 14 Ethics Complaints, and 150 FOIA Requests) As Well As Present Behavior — (2) Hearings Are Not Only Not Required to Satisfy Due Process But, If The Record Is Otherwise Adequate, Are Affirmatively Discouraged

RICO and Probate Exception to Federal Jurisdiction: Federal Jurisdiction over RICO Claim Not Barred by Probate Exception Even If the Federal Judgment May Be Binding on the Probate Proceedings (Or Vice Versa) — Calculating Damages Based on Diminution of Value of Estate ≠ Administration of the Estate — Doesn’t Matter If RICO Misconduct Includes Defendants’ Actions with Respect to The Estate

RICO: No Causation Where Harm Flowed Several Steps After the Fraudulent Acts — RICO Causation Same As Antitrust Causation

Sanctions vs. Automatic Stay: Imposition of Sanctions (Here, Inherent Power Sanctions) Is Subject to the Police Power Exception to the Automatic Stay in Bankruptcy

The Word “Include” May Be A Word of Limitation As Opposed to a Word of Enlargement, Depending on the Context

RICO — Pleading Conspiracy — Plaintiffs Must Plausibly Allege That the Defendants Knowingly Joined the RICO Conspiracy — Sparse Allegations of Knowledge of Fraud Due to Participation in a Commercial Transaction Insufficient to State RICO Conspiracy Claim Where Allegations Not Inconsistent with Ordinary Commercial Behavior — While Knowledge May Be Pled “Generally” under Rule 9(b), It Cannot Be Alleged Conclusorily and Must Satisfy the Twiqbal Plausibility Standard

Depositions: Improper to Object to Form to Straightforward Questions (Not Compound, Vague, Leading or Speculative) — Lack of Foundation Objection Improper in 30(b)(6) Deposition — Improper to “Educate” Witness During Breaks of 30(b)(6) Deposition Through Witness Calls to Knowledgeable Corporate Colleagues — Magistrate Judge May Impose Financial Sanctions

Spoliation/Sanctions: “A Party Does Not Spoliate Evidence When, Without Notice Of The Evidence’s Potential Relevance, It Destroys The Evidence According To Its Policy Or In The Normal Course Of Its Business” (Good Quote)

RICO: Fraud on Government Entities Causing Plaintiffs to Pay More for Inmate Calls Actionable on Bridge v. Phoenix Bond Analysis — Fact That Governments Had Separate Injuries As Part of the Scheme (from Reduced Commissions) Irrelevant — Plaintiffs’ Injuries Not Derivative of Governments’ — The Fraud on the Governments Was Not Too Distinct From Plaintiffs’ Injuries But Rather Necessary to Injure Plaintiffs — No Risk of Duplicative Recoveries and No Plaintiff Better Situated to Sue for Plaintiffs’ Injuries

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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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