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

“Purely Factual Material” in Work Product Document Not Subject to Production — Waiver of Privilege vs. Waiver of Work Product — Fed.R.Evid. 502 “Abolished the Dreaded Subject Matter Waiver”

Appleton Papers, Inc. v. EPA, 2012 U.S. App. LEXIS 26346 (7th Cir. Oct. 26, 2012): After the government alleged Appleton Papers Inc. ("API") and seven other companies caused $1 billion in contamination in the Fox River near Green Bay, Wisconsin, the government hired a consultant that prepared reports on the companies' responsibility fo ...
Appleton Papers, Inc. v. EPA, 2012 U.S. App. LEXIS 26346 (7th Cir. Oct. 26, 2012): After the government alleged Appleton Papers Inc. (“API”) and seven other companies caused $1 billion in contamination in the Fox River near Green Bay, Wisconsin,…
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Inherent Power Sanctions: Bad Faith Required in 5th Circuit — Raising Patently Frivolous Legal Argument and Threatening Further Meritless Litigation = Bad Faith — Pro Se Litigant — Vexatious Litigant Injunction Must Be Tailored

Terra Partners v. Rabo Agrifinance, Inc., 2012 U.S. App. LEXIS 26291 (5th Cir. Dec. 21, 2012): On September 20, 2012, Steve Veigel sought to file a pro se amicus brief in support of Terra Partners. Steve Veigel has an obvious interest in this case. He is an authorized managing agent for Terra Partners, is a corporate officer for all fo ...
Terra Partners v. Rabo Agrifinance, Inc., 2012 U.S. App. LEXIS 26291 (5th Cir. Dec. 21, 2012): On September 20, 2012, Steve Veigel sought to file a pro se amicus brief in support of Terra Partners. Steve Veigel has an obvious…
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Spoliation Claim Mooted by Court’s Assuming Truth of Party’s Factual Position

Lawler v. Montblanc N. Am., LLC, 2013 U.S. App. LEXIS 761 (9th Cir. Jan. 11, 2013): Finally, Lawler argues that the district court abused its discretion by declining to draw a negative inference of discrimination against Defendants because they "willfully" destroyed the August 5, 2009 security tape capturing the exchange between Schmitz ...
Lawler v. Montblanc N. Am., LLC, 2013 U.S. App. LEXIS 761 (9th Cir. Jan. 11, 2013): Finally, Lawler argues that the district court abused its discretion by declining to draw a negative inference of discrimination against Defendants because they “willfully”…
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Transmittal of Letter Drafted by Counsel Does Not Waive Privilege as to Investigation and Communications Leading up to Letter — Lawyer’s Testimony as to Process Insufficient

Le v. City of Wilmington, 480 Fed. Appx. 678 (3d Cir. 2012): c) Attorney-client privilege Finally, Le asserts that the District Court erred in refusing to compel testimony from a former lawyer working in Wilmington's legal department, Mr. Mili. During a pre-trial deposition, Le asked Mili specific questions about hi ...
Le v. City of Wilmington, 480 Fed. Appx. 678 (3d Cir. 2012): c) Attorney-client privilege Finally, Le asserts that the District Court erred in refusing to compel testimony from a former lawyer working in Wilmington’s legal department, Mr. Mili. During…
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Voluntary Dismissal — with or without Prejudice — Renders Order Compelling Arbitration Appealable; Stay of Action Does Not

In re Pharmacy Benefit Managers Antitrust Litig,, 2012 U.S. App. LEXIS 23432 (3d Cir. Nov. 15, 2012): AdvancePCS questions our jurisdiction to hear this appeal. Under the FAA, a party may generally not appeal from an interlocutory order "compelling arbitration" or "granting a stay" pending arbitration. 9 U.S.C. § 16(b ...
In re Pharmacy Benefit Managers Antitrust Litig,, 2012 U.S. App. LEXIS 23432 (3d Cir. Nov. 15, 2012): AdvancePCS questions our jurisdiction to hear this appeal. Under the FAA, a party may generally not appeal from an interlocutory order “compelling arbitration”…
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Spoliation Sanctions Inapt against Individual Where Plaintiff Put Only Entity on Notice of Possible Claim, without Notifying Individual of Prospective Claim against Him Personally — 10th Circuit Requires Bad Faith for Adverse Inference Instruction

Smith v. Nichols, 2013 U.S. App. LEXIS 16 (10th Cir. Jan. 2, 2013): Plaintiff-Appellant Tommie Smith, an inmate in the custody of the Colorado Department of Corrections ("CDOC"), appeals a jury verdict denying his claims under 42 U.S.C. § 1983 against Defendant-Appellee Sergeant Virgil Nichols, a CDOC correctional officer. 1 The jury co ...
Smith v. Nichols, 2013 U.S. App. LEXIS 16 (10th Cir. Jan. 2, 2013): Plaintiff-Appellant Tommie Smith, an inmate in the custody of the Colorado Department of Corrections (“CDOC”), appeals a jury verdict denying his claims under 42 U.S.C. § 1983…
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Sanctions: Counsel Still Caused “Excess” Fees within § 1927 Despite 42 U.S.C. § 1988 Award against Client for Same Fees — Default in Responding to Motion Suffices as a Substitute for Required Finding of Bad Faith (1 Judge Dissenting)

Young Apartments, Inc. v. Town of Jupiter, 2013 U.S. App. LEXIS 383 (11th Cir. Jan. 7, 2013): Appellants William Tedards and Michael Weeks, two attorneys who represented their client, Plaintiff Young Apartments, in this civil lawsuit, appeal the district court's imposition of sanctions on them in the form of attorneys' fees under 28 U.S ...
Young Apartments, Inc. v. Town of Jupiter, 2013 U.S. App. LEXIS 383 (11th Cir. Jan. 7, 2013): Appellants William Tedards and Michael Weeks, two attorneys who represented their client, Plaintiff Young Apartments, in this civil lawsuit, appeal the district court’s…
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Entity May Appeal Privilege Order to Disclose Its Data Held by Former Employee But Not by Employees’ Counsel at Its Request — Perlman Unaffected by Mohawk (Circuit Split) — Reasonable-Basis-to-Suspect-Test for Crime-Fraud Excepttion

In re Grand Jury, 2012 U.S. App. LEXIS 25318 (3d Cir. Dec. 11, 2012): ABC Corp., John Doe 1, and John Doe 2 are subjects of an ongoing grand jury investigation into an alleged criminal tax scheme. As part of that scheme, ABC Corp., under the direction of John Doe 1 and John Doe 2, purchased and subsequently sold numerous companies. Th ...
In re Grand Jury, 2012 U.S. App. LEXIS 25318 (3d Cir. Dec. 11, 2012): ABC Corp., John Doe 1, and John Doe 2 are subjects of an ongoing grand jury investigation into an alleged criminal tax scheme. As part of…
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Non-Signatory May Not Compel Arbitration Merely Because It Is an Agent of a Signatory, Even if Clause Extends to Agents — Dispute Must Arise Out of Agency — Equitable Estoppel to Compel Arbitration: Standards

Baldwin v. Cavett, 2012 U.S. App. LEXIS 22777 (5th Cir. Nov. 6, 2012): Clifford W. Cavett ("Cavett"), Larry A. Turner ("Turner"), and Robert J. Wyble ("Wyble") are partners in the accounting firm Cavett, Turner & Wyble L.L.P. ("CTW"). According to the Second Amended Complaint, Cavett and CTW began providing accounting services ...
Baldwin v. Cavett, 2012 U.S. App. LEXIS 22777 (5th Cir. Nov. 6, 2012): Clifford W. Cavett (“Cavett”), Larry A. Turner (“Turner”), and Robert J. Wyble (“Wyble”) are partners in the accounting firm Cavett, Turner & Wyble L.L.P. (“CTW”). According to…
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Eighth Circuit Continues to Reserve on Question Whether Spoliation Doctrine Applies in Criminal Cases — Indicates Bad Faith and Prejudice Would in All Events Be Required

United States v. Tyerman, 2012 U.S. App. LEXIS 25350 (8th Cir. Dec. 12, 2012): This court has not applied the spoliation doctrine in a criminal case. United States v. Davis, 690 F.3d 912, 925 (8th Cir. 2012). Even if this court were to do so, a showing of the government's bad faith would be required. Id., citing Stepne ...
United States v. Tyerman, 2012 U.S. App. LEXIS 25350 (8th Cir. Dec. 12, 2012): This court has not applied the spoliation doctrine in a criminal case. United States v. Davis, 690 F.3d 912, 925 (8th Cir. 2012). Even if this…
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Recent Posts

Supreme Court: (1) Fraudulent Inducement Theory of Mail Fraud: Statute Violated If Victim Is Tricked into Parting with Money Or Property, Even If Victim Suffers No Pecuniary Loss — (2) “A Fraud Is Complete When The Defendant Has Induced The Deprivation Of Money Or Property Under Materially False Pretenses” — (3) The Old Soil Principle of Statutory Construction Applies Only to the Extent That a Common-Law Term Has Accumulated a Settled Meaning — (4) Rescission for Fraud Does Not Require Economic Loss; Sufficient If Property of A Different Character Or Condition Provided — i.e, If Victim Tricked into A Bargain Materially Different from The One Promised — (5) “At The Right Level Of Specificity, Anything Can Be Described As ‘Unique’ Or ‘Different From’ Something Else” (Good Quote) — (6) “Materiality Look[s] To The Effect On The Likely Or Actual Behavior Of The Recipient Of The Alleged Misrepresentation” (Good Quote)

Statements in Briefs As Judicial Admissions

Supreme Court: TRO As Appealable Order — And District Court Inaction As Tantamount to Refusing An Injunction And Thus Appealable

“Slow-Playing Discovery” in Response to Court Order, Prejudicing Opponent, Violates Rule 37(b)(2)(A)

RICO Pattern: No Closed-Ended Continuity If Racketeering Activity Lasted Less Than One Year (11th Circuit) — Conspiracy Allegations Governed by Rule 8(a), Not 9(b) — Two Paths to Establishing A RICO Conspiracy: Agreement to Objective Or to Commit 2 Predicate Acts — Plaintiff Need Not Show Reliance When The Predicate Acts Are Wire Fraud — In Dicta, 11th Circuit Intimates That Even If The Primary RICO Violation Allegations Fail, The RICO Conspiracy Allegations Might Survive, But Is Probably Talking About A Conspiracy to Commit The Predicate Acts

United States Trinity Energy Servs., L.L.C. v. Se. Directional Drilling, L.L.C., 2025 U.S. App. LEXIS 10178 (5th Cir. Apr. 28, 2025): FRAP 38 Separate Motion Requirement FRAP 38 Sanctions Properly Denied for Want of Separate Motion — Request in Brief Insufficient — “Manifest Disregard” Is Not A Freestanding Ground for Vacatur of Arbitration Award in Fifth Circuit (Or First, Eighth Or Eleventh)

§ 1927 Sanctions Apt for Failing to Withdraw Claim Until Summary Judgment Hearing, Requiring Opponent and Court to Prepare for An Abandoned Argument — Bad Faith Established by False and Misleading Statements to Court — Raising New Argument for First Time in Reply Brief Does Not Warrant § 1927 Sanctions

RICO: Mail and Wire Fraud: Act of Emailing Transcript of Court Proceedings Containing Allegedly False Statements Made in Court ≠ Wire Fraud — Mailing (Serving on Opposing Party) Declarations Allegedly Containing False Statements ≠ Mail Fraud

Supreme Court: (1) Rule 11 Sanctions Available Where Affirmative Defense “Obviously Applies” and Plaintiff/Plaintiff’s Counsel “Lack A Good Faith Basis to Believe Otherwise” — (2) If Affirmative Defense Pled, Court May Require Plaintiff to File a Reply to the Answer Pursuant to Fed. R. Civ. P. 7(a) Setting forth “Specific, Nonconclusory Factual Allegations” Showing That The Affirmative Defense Does Not Apply — (3) The Title of a Statute And The Heading of a Section May Properly Be Used to Interpret the Text

FRAP 38 Sanctions — Sixth Circuit Usually Declines to Impose FRAP 38 Sanctions Unless An Improper Purpose Was Behind the Appeal

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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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