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

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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Issues Not Raised in Appellate Brief, Even Pro Se, Waived — Meaning of “Abuse of Discretion” in Second Circuit

Chien v. BarronCapital Advisors, LLC, 2012 U.S. App. LEXIS 26813 (2d Cir. Jan. 30, 2012): "We review an award of Rule 11 sanctions for abuse of discretion." Lawrence v. Richman Grp. of CT LLC, 620 F.3d 153, 156 (2d Cir. 2010) (per curiam) (citing Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 405 (1990)). "An 'abuse of discretion' o ...
Chien v. BarronCapital Advisors, LLC, 2012 U.S. App. LEXIS 26813 (2d Cir. Jan. 30, 2012): “We review an award of Rule 11 sanctions for abuse of discretion.” Lawrence v. Richman Grp. of CT LLC, 620 F.3d 153, 156 (2d Cir.…
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RICO — Mail Fraud — Proving Reliance Remains Essential Where It Is Integral to Plaintiff’s Theory of Causation

Hoffman v. Zenith Ins. Co., 487 F. App’x 365 (9th Cir. 2012): A RICO plaintiff must establish standing to sue under RICO's private right of action, 18 U.S.C. § 1964(c), by demonstrating "that the defendants' alleged misconduct proximately caused [the plaintiffs'] injury." Sosa v. DIRECTV, Inc., 437 F.3d 923, 941 (9th Cir. 2006) (inte ...
Hoffman v. Zenith Ins. Co., 487 F. App’x 365 (9th Cir. 2012): A RICO plaintiff must establish standing to sue under RICO’s private right of action, 18 U.S.C. § 1964(c), by demonstrating “that the defendants’ alleged misconduct proximately caused [the…
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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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