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 Proceedings and Imposition of Discipline Not Subject to Automatic Stay of Bankruptcy Code, 11 U.S.C. § 362(a)

In re Halo Wireless, Inc., 2012 U.S. App. LEXIS 12284 (5th Cir. June 18, 2012): [I]n Alpern v. Lieb, 11 F.3d 689 (7th Cir. 1993), the Seventh Circuit held that a proceeding to impose sanctions under Rule 11 was exempt from the automatic stay. The court stated: [t]he Rule 11 sanction is meted out by a gov ...
In re Halo Wireless, Inc., 2012 U.S. App. LEXIS 12284 (5th Cir. June 18, 2012): [I]n Alpern v. Lieb, 11 F.3d 689 (7th Cir. 1993), the Seventh Circuit held that a proceeding to impose sanctions under Rule 11 was exempt…
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Circuit Split as to Whether Dismissal Motion Based on Forum Selection Clause Is Properly Raised under Rule 12(b)(1), 12(b)(3) or 12(b)(6)

Lanier v. Syncreon Holdings, Ltd., 2012 U.S. Dist. LEXIS 114117 (E.D. Mich. Aug. 14, 2012): Whether a motion to dismiss based on the existence of a valid forum selection clause is properly granted pursuant to Rule 12(b)(1) for lack of subject matter jurisdiction, Rule 12(b)(3) for improper venue, or Rule 12(b)(6) for failure to stat ...
Lanier v. Syncreon Holdings, Ltd., 2012 U.S. Dist. LEXIS 114117 (E.D. Mich. Aug. 14, 2012): Whether a motion to dismiss based on the existence of a valid forum selection clause is properly granted pursuant to Rule 12(b)(1) for lack of…
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Rule 26(b)(4)(E) Supersedes 28 U.S.C. § 1821 and Authorizes Award of Expert Fees and Expenses Over § 1821’s Cap — Appellate Brief Filed within 30 Days of Appealed Order = Additional Notice of Appeal for Issues Unmentioned in Original Notice

Halasa v. ITT Educational Servs., 2012 U.S. App. LEXIS 16930 (7th Cir. Aug. 14, 2012): ITT Educational Services is a for-profit corporation that runs "ITT Technical Institutes" in several locations throughout the United States, including Lathrop, California. Plaintiff Jason Halasa was the Lathrop Campus's College Director for six months ...
Halasa v. ITT Educational Servs., 2012 U.S. App. LEXIS 16930 (7th Cir. Aug. 14, 2012): ITT Educational Services is a for-profit corporation that runs “ITT Technical Institutes” in several locations throughout the United States, including Lathrop, California. Plaintiff Jason Halasa…
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Notice of Removal May Not Be Amended to Add Jurisdictional Facts Not in Existence at Time Notice Was Filed

Am. Int’l Grp. v. Bank of Am., 2012 U.S. Dist. LEXIS 106072 (S.D.N.Y. July 29, 2012): Plaintiffs initiated this action in New York State Court in August 2011. Defendants removed the action to federal court, and Plaintiffs then filed a motion in this Court to remand the case to state court. On October 20, 2011, the Court denied Plainti ...
Am. Int’l Grp. v. Bank of Am., 2012 U.S. Dist. LEXIS 106072 (S.D.N.Y. July 29, 2012): Plaintiffs initiated this action in New York State Court in August 2011. Defendants removed the action to federal court, and Plaintiffs then filed a…
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Sanctions — Reasonable Prefiling Investigation May Negate Bad Faith — Misconduct in Another Court Sanctionable Only If It Is in Direct Defiance of Sanctioning Court — Relationship between Rule 11 and 35 U.S.C. § 285

Highmark, Inc. v. Allcare Health Mgmt. Sys., Inc., 2012 U.S. App. LEXIS 16450 (Fed Cir. Aug. 7, 2012): Allcare Health Management Systems, Inc. ("Allcare") appeals from an order of the United States District Court for the Northern District of Texas finding this case exceptional under 35 U.S.C. § 285 and awarding attorneys' fees and cost ...
Highmark, Inc. v. Allcare Health Mgmt. Sys., Inc., 2012 U.S. App. LEXIS 16450 (Fed Cir. Aug. 7, 2012): Allcare Health Management Systems, Inc. (“Allcare”) appeals from an order of the United States District Court for the Northern District of Texas…
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Posthumous Waiver of Attorney-Client Privilege Must Be in the Interest of the Decedent or the Estate — Reputational Damage to Decedent Benefitting Personal Representative / Executor Precludes Waiver

United States v. Yielding, 657 F.3d 688 (8th Cir. 2011): A jury found Geffrey A. Yielding guilty of two federal offenses: one count of aiding and abetting a violation of the so-called Medicare anti-kickback statute, in violation of 42 U.S.C. § 1320a-7b(b)(2) and 18 U.S.C. § 2, and one count of aiding and abetting the falsification of ...
United States v. Yielding, 657 F.3d 688 (8th Cir. 2011): A jury found Geffrey A. Yielding guilty of two federal offenses: one count of aiding and abetting a violation of the so-called Medicare anti-kickback statute, in violation of 42 U.S.C.…
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Sanctions — Power to Disbar Should be Exercised with Great Caution

Parker v. Jacobs (In re Parker), 2012 U.S. App. LEXIS 16552 (11th Cir. Aug. 9, 2012): On February 17, 2011, Teresa Jacobs, the bankruptcy administrator for the Middle District of Alabama, moved for the bankruptcy court to impose sanctions on Parker. Jacobs alleged that, over the course of several cases, Parker committed numerous violati ...
Parker v. Jacobs (In re Parker), 2012 U.S. App. LEXIS 16552 (11th Cir. Aug. 9, 2012): On February 17, 2011, Teresa Jacobs, the bankruptcy administrator for the Middle District of Alabama, moved for the bankruptcy court to impose sanctions on…
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Party Resisting Confirmation of Arbitration Award Is Entitled to Judicial Determination of Arbitrability Absent Clear and Unmistakable Evidence That Parties Agreed to Arbitrate Or Submit Issue to Arbitrator

Schneider v. Kingdom of Thailand, 2012 U.S. App. LEXIS 16508 (2d Cir. Aug. 8, 2012): "The question whether the parties have submitted a particular dispute to arbitration, i.e., the 'question of arbitrability,' is 'an issue for judicial determination [u]nless the parties clearly and unmistakably provide otherwise.'" Ho ...
Schneider v. Kingdom of Thailand, 2012 U.S. App. LEXIS 16508 (2d Cir. Aug. 8, 2012): “The question whether the parties have submitted a particular dispute to arbitration, i.e., the ‘question of arbitrability,’ is ‘an issue for judicial determination [u]nless the…
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Spoliation — Adverse Inference Requires Bad Faith in Tenth Circuit — Allowing Witnesses to be Questioned about Spoliation Constitutes a Lesser Sanction

Dalcour v. City of Lakewood, 2012 U.S. App. LEXIS 16303 (10th Cir. Aug. 6, 2012): Before jury selection on the claims of unconstitutional seizure and use of excessive force by the Officers, the district court ruled on several motions in limine, including Plaintiffs' motion alleging spoliation of evidence related to the city's TASER logs ...
Dalcour v. City of Lakewood, 2012 U.S. App. LEXIS 16303 (10th Cir. Aug. 6, 2012): Before jury selection on the claims of unconstitutional seizure and use of excessive force by the Officers, the district court ruled on several motions in…
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Propriety of Motion in Limine to Admit, Rather Than Exclude, Evidence

Bond Pharmacy, Inc. v. AnazaoHealth Corp., 2012 U.S. Dist. LEXIS 103373 (S.D. Miss. July 25, 2012): Anazao's motion in limine states that the letters in question contain information it learned from CMS officials and through CMS documents. *** Anazao requests a pretrial ruling from the Court on the admissibility of that information, name ...
Bond Pharmacy, Inc. v. AnazaoHealth Corp., 2012 U.S. Dist. LEXIS 103373 (S.D. Miss. July 25, 2012): Anazao’s motion in limine states that the letters in question contain information it learned from CMS officials and through CMS documents. *** Anazao requests…
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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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