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

Counsel’s Improper Influence over Deposition Errata Sheets — Effecting Substantive Changes to Conform Deposition to Complaint — in Order to Push Meritless Case to Trial Warrants § 1927 Sanctions

Gonzalez v. Fresenius Med. Care N. Am., 2012 U.S. App. LEXIS 15704 (5th Cir. July 30, 2012): Relator's counsel also appeals the district court's award of sanctions under § 1927 in connection with Relator's retaliation suit. *** Section 1927 sanctions are not to be awarded lightly. They require "evidence of bad faith, i ...
Gonzalez v. Fresenius Med. Care N. Am., 2012 U.S. App. LEXIS 15704 (5th Cir. July 30, 2012): Relator’s counsel also appeals the district court’s award of sanctions under § 1927 in connection with Relator’s retaliation suit. *** Section 1927 sanctions…
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Plaintiff May Not Voluntarily Dismiss Petition to Compel Arbitration — Rule 41(a)(1)(A)(i) Does Not Apply — It Is “Rare Case” in which District Judge’s Refusal to Recuse Is Reversed

ISC Holding AG v.- Nobel Biocare Finance AG, 2012 U.S. App. LEXIS 15402 (2d Cir. July 25, 2012): Petitioner-Appellant ISC Holding AG ("ISC") appeals from a November 23, 2010 order of the United States District Court for the Southern District of New York (Stanton, J.) vacating its voluntary notice of dismissal and from a judgment, entere ...
ISC Holding AG v.- Nobel Biocare Finance AG, 2012 U.S. App. LEXIS 15402 (2d Cir. July 25, 2012): Petitioner-Appellant ISC Holding AG (“ISC”) appeals from a November 23, 2010 order of the United States District Court for the Southern District…
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District Court Retains Jurisdiction after Remand to Sanction under 28 U.S.C. § 1447(c) as Well as Rule 11

Desert Schools Federal Credit Union v. Johnson, 2012 U.S. App. LEXIS 12193 (9th Cir. June 15, 2011): The Supreme Court has long held that a district court retains jurisdiction to impose Rule 11 sanctions even after a case has been dismissed. Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 394-98 (1990). Further, this court has held ...
Desert Schools Federal Credit Union v. Johnson, 2012 U.S. App. LEXIS 12193 (9th Cir. June 15, 2011): The Supreme Court has long held that a district court retains jurisdiction to impose Rule 11 sanctions even after a case has been…
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Presumption of Access to Judicial Records Inapplicable to Those Filed under Seal with a Non-Dispositive Motion, But Daubert Motion Filed with Summary Judgment Motion May Be Dispositive

In re Midland Nat’l Life Ins. Co. Annuity Sales Pracs. Lit., 2012 U.S. App. LEXIS 15334 (9th Cir. July 25, 2012): The district court presided over four class action cases, each brought by the same plaintiffs' counsel. Plaintiffs asserted similar claims against each defendant for RICO violations and violations of state law based on the ...
In re Midland Nat’l Life Ins. Co. Annuity Sales Pracs. Lit., 2012 U.S. App. LEXIS 15334 (9th Cir. July 25, 2012): The district court presided over four class action cases, each brought by the same plaintiffs’ counsel. Plaintiffs asserted similar…
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Inherent Power Sanctions —Party’s Unfounded Attack on Settlement Agreement, Like Unfounded Attack on Arbitration Award, Is Vexatious — Settlement Agreement Predicated on Confidentiality of Terms Justifies Sealing Order

Seals v. Herzing Inc., 2012 U.S. App. LEXIS 13390 (5th Cir. June 29, 2012): A two-day arbitration hearing was scheduled. Seals proceeded pro se prior to the hearing, but he retained counsel for the hearing itself. On the hearing's second day, the parties agreed to settlement terms. The terms were read on the record at the arbitrati ...
Seals v. Herzing Inc., 2012 U.S. App. LEXIS 13390 (5th Cir. June 29, 2012): A two-day arbitration hearing was scheduled. Seals proceeded pro se prior to the hearing, but he retained counsel for the hearing itself. On the hearing’s second…
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Court May Appoint Arbitrator under FAA and New York Convention Any Time There Is a “Mechanical Breakdown” in the Arbitrator Selection Process unless an Integral Forum Selection Clause Has Failed

BP Exploration Libya Ltd. v. ExxonMobil Libya Ltd., 2012 U.S. App. LEXIS 15706 (5th Cir. July 30,2012): BP Exploration Libya Limited ("BP"), ExxonMobil Libya Limited ("Exxon"), and Noble North Africa Limited ("Noble") are entangled in a disagreement over the appointment of arbitrators to hear and decide their dispute related to the alle ...
BP Exploration Libya Ltd. v. ExxonMobil Libya Ltd., 2012 U.S. App. LEXIS 15706 (5th Cir. July 30,2012): BP Exploration Libya Limited (“BP”), ExxonMobil Libya Limited (“Exxon”), and Noble North Africa Limited (“Noble”) are entangled in a disagreement over the appointment…
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Must Evidence Submitted at Class Certification Stage be Admissible into Evidence (Rule 56 Standard)? Circuit Split

Lujan v. Cabana Mgmt., Inc., 2012 U.S. Dist. LEXIS 104585 (E.D.N.Y. July 26, 2012): More problematic is the question whether a declaration submitted in connection with a Rule 23 motion to certify a class must be based on personal knowledge and free of inadmissible hearsay. Although defendants urge the Court to measure plaintiffs' Ru ...
Lujan v. Cabana Mgmt., Inc., 2012 U.S. Dist. LEXIS 104585 (E.D.N.Y. July 26, 2012): More problematic is the question whether a declaration submitted in connection with a Rule 23 motion to certify a class must be based on personal knowledge…
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Is an Expert Who Agrees to Testify for No Compensation but with Expense Reimbursement “Specially Employed” within 26(a)(2)(B) Requiring a Written Report?

Acree v. Watson Pharm., Inc., 2012 U.S. Dist. LEXIS 101697 (N.D. Ill. July 20, 2012): Plaintiff has moved to strike two witnesses on the ground that defendants disclosed them too late and insufficiently. The witnesses are two scientists who reside in Germany, a pathologist (Dr. Sven Anders) and a toxicologist (Dr. Hilke Andresen), who a ...
Acree v. Watson Pharm., Inc., 2012 U.S. Dist. LEXIS 101697 (N.D. Ill. July 20, 2012): Plaintiff has moved to strike two witnesses on the ground that defendants disclosed them too late and insufficiently. The witnesses are two scientists who reside…
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Sanctions — Lead Counsel Responsible for Discovery Failures, Cannot Shift Blame — Rule 37 Motion Puts Counsel on Notice of Personal Risk — No Defense That He Didn’t Instruct Client Not to Comply — No Right to Oral Argument in Second Circuit

Rates Technology, Inc. v. Mediatrix Telecom, Inc., 2012 U.S. App. LEXIS 15489 (Fed. Cir. July 26, 2012): This appeal arises from the imposition of discovery sanctions against James B. Hicks. Mr. Hicks was the lead attorney for Rates Technology, Inc. ("RTI"), the plaintiff in a patent infringement action. The two patents in suit relate ...
Rates Technology, Inc. v. Mediatrix Telecom, Inc., 2012 U.S. App. LEXIS 15489 (Fed. Cir. July 26, 2012): This appeal arises from the imposition of discovery sanctions against James B. Hicks. Mr. Hicks was the lead attorney for Rates Technology, Inc.…
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Motions in Limine — Standards

Mahaney v. Novartis Pharm. Corp., 835 F. Supp. 2d 299 (W.D. Ky. 2011): Motions in limine provided in advance of trial are appropriate if they eliminate evidence that has no legitimate use at trial for any purpose. Jonasson v. Lutheran Child & Family Servs., 115 F.3d 436, 440 (7th Cir. 1997); Bouchard v. Am. Home Products Corp., 213 F. S ...
Mahaney v. Novartis Pharm. Corp., 835 F. Supp. 2d 299 (W.D. Ky. 2011): Motions in limine provided in advance of trial are appropriate if they eliminate evidence that has no legitimate use at trial for any purpose. Jonasson v. Lutheran…
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Recent Posts

Inherent Power and FRAP 38 Sanctions — Inherent Power Sanctions (Here, A Deterrence Payment of $25,000 to the Court — Goodyear Issue Not Addressed) May Be Imposed in Addition to Statutory Attorney’s Fees under 35 U.S.C. § 285 (Exceptional Patent Case) — § 285 Does Not Preclude A Separate Award of Sanctions Or Fees under Another Authority — Recidivism (25 Prior Lawsuits with Same Perceived Venue Deficiency) A Factor — Fact That Rule 11 Sanctions Were Unavailable Due to Dismissal of Lawsuit Opened the Door to Inherent Power Sanctions Under Chambers — FRAP 38 Sanctions Denied Because Issue Previously Unaddressed in Circuit — A Meritless Appeal Is By No Means Necessarily A Frivolous One (Good Quote)

FRAP 38 Sanctions Imposed Due to the “Striking Legal Emptiness” of Brief/Appeal, “A Legal Nothingburger” — Bad Faith Not Required: An Appeal “May Also Be Frivolous If It Is Filed Out Of Sheer Obstinacy” (Good Quotes)

RICO: Hobbs Act does not apply when the alleged extortion is meant to benefit the state

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

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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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