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

Relationship between Attorney Ethics Rules and Malpractice Liability — Non-Client Has No Cause of Action under Rule 4.3, Which Creates No Duty toward Non-Clients

Rosenbaum v. White, 2012 U.S. App. LEXIS 17184 (7th Cir. Aug. 16, 2012): [T]he plaintiffs also argue that, even if no attorney-client relationship existed, the defendants still owed them a duty under the Indiana Rules of Professional Conduct. The plaintiffs cite a number of rules that the defendants allegedly violated, most especially R ...
Rosenbaum v. White, 2012 U.S. App. LEXIS 17184 (7th Cir. Aug. 16, 2012): [T]he plaintiffs also argue that, even if no attorney-client relationship existed, the defendants still owed them a duty under the Indiana Rules of Professional Conduct. The plaintiffs…
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Inherent Power Sanction of Counsel for Bad Faith Defense of Motion Not Immediately Appealable — Rule 11 Reprimand Threatening Reputational Damage Distinguished — Rule 54(b) Jurisdiction Unachieved by Mere Recital of Standard

Square, Inc. v. REM Holdings 3, LLC, 2012 U.S. App. LEXIS 17257 (Fed. Cir. Aug. 14, 2012): Square brought the underlying suit in the United States District Court for the Eastern District of Missouri against REM Holdings 3, LLC (REM), seeking a correction of inventorship with regard to U.S. Patent No. 7,810,729 (the '729 Patent).
Square, Inc. v. REM Holdings 3, LLC, 2012 U.S. App. LEXIS 17257 (Fed. Cir. Aug. 14, 2012): Square brought the underlying suit in the United States District Court for the Eastern District of Missouri against REM Holdings 3, LLC (REM),…
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RICO — Neither Attorneys’ Fees Nor Cost of Surgeries Nor Injury to Intangible Interest in Personal Medical Information Constitute Concrete or Quantifiable Injury to Business or Property within § 1964(d) — Declaratory Relief Discretionary

Dickerson v. TLC The Laser Eye Center Institute, Inc., 2012 U.S. App. LEXIS 17395 (4th Cir. Aug. 15, 2012); Charles Benjamin Dickerson appeals the district court's grant of motions to dismiss the first amended complaint ("FAC") filed by Appellees TLC Lasik Centers, TLC Clinical Directors, TLC LASIK Surgeons, and TLC Management (collecti ...
Dickerson v. TLC The Laser Eye Center Institute, Inc., 2012 U.S. App. LEXIS 17395 (4th Cir. Aug. 15, 2012); Charles Benjamin Dickerson appeals the district court’s grant of motions to dismiss the first amended complaint (“FAC”) filed by Appellees TLC…
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While Motion to Compel Arbitration Should Reference §3 or §4 of the FAA, Absence Does Not Preclude Appellate Jurisdiction under § 16 — Party Does Not Default on Right to Arbitrate by Delay and Participation, Alone — Actual Prejudice Essential

Wheeling Hosp., Inc. v. The Health Plan of the Upper Ohio Valley, Inc., 683 F.3d 577 (4th Cir. 2012): Appellees Wheeling Hospital and Belmont Hospital***, along with other medical providers, commenced this putative class action in West Virginia state court on May 19, 2010, against the Ohio Valley Health Services and Education Corporation ...
Wheeling Hosp., Inc. v. The Health Plan of the Upper Ohio Valley, Inc., 683 F.3d 577 (4th Cir. 2012): Appellees Wheeling Hospital and Belmont Hospital***, along with other medical providers, commenced this putative class action in West Virginia state court…
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Appealability — Failure to Appeal Sanction in Name of Counsel Does Not Deprive Circuit of Jurisdiction Where Body of Notice Recites That Sanction Imposed on Counsel Is Appealed

Guckenberger v. Prudential Ins. Co. of Am., 2012 U.S. App. LEXIS 13881 (2d Cir. July 9, 2012): [W]e conclude that we have jurisdiction over the claim on appeal that the district court improperly sanctioned Guckenberger's counsel pursuant to Federal Rule of Civil Procedure Rule 11. "Where an award of sanctions runs only against the attor ...
Guckenberger v. Prudential Ins. Co. of Am., 2012 U.S. App. LEXIS 13881 (2d Cir. July 9, 2012): [W]e conclude that we have jurisdiction over the claim on appeal that the district court improperly sanctioned Guckenberger’s counsel pursuant to Federal Rule…
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Documents Beyond Complaint That May Be Considered on 12(b)(6) Motion to Dismiss and for What Purpose — Utility of Affidavit or Declaration

Biro v. Condé Nast, 2012 U.S. Dist. LEXIS 112466 (S.D.N.Y. Aug. 9, 2012): When determining the sufficiency of a claim under Rule 12(b)(6), the court is normally required to consider only the allegations on the face of the pleading. "Documents that are attached to the complaint or incorporated in it by reference are deemed part of t ...
Biro v. Condé Nast, 2012 U.S. Dist. LEXIS 112466 (S.D.N.Y. Aug. 9, 2012): When determining the sufficiency of a claim under Rule 12(b)(6), the court is normally required to consider only the allegations on the face of the pleading. “Documents…
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RICO — § 1962(d) Requires Conspiracy to Violate RICO, Not Merely Conspiracy to Commit Predicate Acts

Zavala v. Wal-Mart Stores, Inc., 2012 U.S. App. LEXIS 16610 (3d Cir. Aug. 9, 2012): This suit was brought in the U.S. District Court for the District of New Jersey by Wal-Mart cleaning crew members who are seeking compensation for unpaid overtime and certification of a collective action under the Fair Labor Standards Act (FLSA), civil d ...
Zavala v. Wal-Mart Stores, Inc., 2012 U.S. App. LEXIS 16610 (3d Cir. Aug. 9, 2012): This suit was brought in the U.S. District Court for the District of New Jersey by Wal-Mart cleaning crew members who are seeking compensation for…
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Minimal 26(a)(2)(C) Disclosure Upheld Because Complaint Sufficiently Elucidated Likely Scope of Testimony

Gilster v. Primebank, 2012 U.S. Dist. LEXIS 114447 (N.D. Iowa Aug. 14, 2012): Footnote 8. The defendants ... maintain that I erred when I permitted Elizabeth Pratt to offer expert opinion testimony on whether Gilster would experience anxiety and stress in the future because Gilster failed to disclose Pratt's expert opinion on this s ...
Gilster v. Primebank, 2012 U.S. Dist. LEXIS 114447 (N.D. Iowa Aug. 14, 2012): Footnote 8. The defendants … maintain that I erred when I permitted Elizabeth Pratt to offer expert opinion testimony on whether Gilster would experience anxiety and stress…
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Securities — Circuit Split as to Whether PSLRA’s Heightened Pleading Standards Apply to Loss Causation Allegations — Rebound in Stock Price after Disclosure of Fraud Does Not Defeat Inference of Economic Loss

Acticon AG v. China NE Petroleum Holdings Ltd., 2012 WL 3104589 (2d Cir. Aug. 1, 2012): This case requires us to consider whether the fact that a stock’s share price recovered soon after the fraud became known defeats an inference of economic loss in a securities fraud suit. Plaintiff–Appellant Acticon AG (“Acticon”) is t ...
Acticon AG v. China NE Petroleum Holdings Ltd., 2012 WL 3104589 (2d Cir. Aug. 1, 2012): This case requires us to consider whether the fact that a stock’s share price recovered soon after the fraud became known defeats an inference…
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Sanctions Based on Misinterpretation of Substantive Law — Where Claims “Quickly and Correctly” Dismissed, They Did Not Vexatiously Multiply the Proceedings within § 1927 — Recklessness Suffices for § 1927 Sanctions in Ninth Circuit

Braunstein v. Ariz. Dep’t of Transportation, 2012 U.S. App. LEXIS 13150 (9th Cir. June 27, 2012): Under § 1927, an attorney who unreasonably and vexatiously "multiplies the proceedings" in a case may be required to pay the excess fees and costs caused by such conduct. Unlike an award of attorneys' fees under § 1988, an award of sanc ...
Braunstein v. Ariz. Dep’t of Transportation, 2012 U.S. App. LEXIS 13150 (9th Cir. June 27, 2012): Under § 1927, an attorney who unreasonably and vexatiously “multiplies the proceedings” in a case may be required to pay the excess fees and…
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Recent Posts

Rule 37 Discovery Sanctions: Ninth Circuit’s Five-Factor Test for Gauging Appropriateness of Dismissal — The Limited Utility of Rule 12(f) Motions to Strike

RICO: Employer Suffered Harm to Business or Propoerty When Kickbacks Paid to Employees in Real Estate Transactions Done for Employer — Expert Testimony Sufficient to Prove Harm — Proof That Employer Paid Above-Market Prices Not Essential — Non-Disclosure of Certain Damages in Initial Disclosures Cured by Expert Report, Which Also Rendered Initial Non-Disclosure Harmless

Spoliation: Dismissal Under Rule 37(e)(2) and Monetary Sanctions Under Rule 37(e)(1), Implicitly Reading The “Or” Between 37(e)(1) and 37(e)(2) As Conjunctive, Not Disjunctive — Clear Error Standard of Review for District Court’s Intent (= Bad Faith) Finding under 37(e)(2)(C) — Additional Monetary Sanctions Imposed on Claimants under 28 U.S.C. § 1927 and Rule 37(a)(5) — No Right to Jury Determination of Intent under Rule 37(e)(2) — “Substantially Justified” in Rule 37(a)(5) Has Same Meaning As In Equal Access to Justice Act and Thus Rule 11 — Meaning of “Unreasonable and Vexatious” in 7th Circuit

Inherent Power Sanction of Dismissal — Preponderance of the Evidence Burden of Proof, Not Clear and Convincing Evidence (7th Circuit)

§ 1927 Sanctions — Must A Lawyer Who Unreasonably and Vexatiously Multiplies Federal Court Proceedings Be Acting “As An Attorney” When Committing the Misconduct To Be Subject to Sanction under § 1927?

Rule 37 Sanctions — Unfamiliarity With Litigation Process Does Not Excuse Intentional Disregard of Court Order — Also Affirming Rule 26(g) Sanctions on Clients and Counsel for False Representations That All Responsive Documents Had Been Produced

Supreme Court: Notice of Appeal Filed After The Original Deadline But Before Reopening by The District Court Is Timely — It Relates Forward to The Date of The Order Making The Appeal Possible — Second Notice of Appeal After Reopening Unnecessary

Rule 37 Default Judgment: Second Circuit’s Four-Factor Test for Imposing Defaults and Three-Factor Test for Lifting Them

Rule 37 Default Judgment — Tenth Circuit Multifactor Test Is Not Exhaustive But a Non-Exclusive List of “Sometimes-Helpful Criteria Or Guide Posts”— Appeal from Preliminary Injunction Mooted by Entry of Permanent Injunction — Difficulty in Collecting Damages Award May Equal Irreparable Injury — A Monetary Award For Past Conduct Does Not Preclude A Permanent Injunction Against Similar Wrongful Conduct Likely To Occur In The Future

RICO: Cover-Up Within Limitations Period of Untimely RICO Violation “Was Merely A Continuation” Of The Original Injury And Could Not Be Used “As A ‘Bootstrap’ To Salvage [The] Time-Barred Claims–Declining to Apply Pinkerton Doctrine to Civil RICO Claims

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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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