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

The Attorney-Client Privilege in Congressional Investigations

Download associated file: Attorney Client Privilege in Congressional Investigations.pdf  The American College of Trial Lawyers has just published an excellent white paper on the Attorney-Client Privilege in Congressional Investigations. It can be found at the link above ...
Download associated file: Attorney Client Privilege in Congressional Investigations.pdf  The American College of Trial Lawyers has just published an excellent white paper on the Attorney-Client Privilege in Congressional Investigations. It can be found at the link above. This issue…
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Due Process Not Violated by Application of Statute in First Impression Circumstances If Prior Decisions Gave Reasonable Warning of How Law Would be Applied

From Gollehon v. Mahoney, 2010 U.S. App. LEXIS 23944 (9th Cir. Nov. 22, 2010): As an initial matter, we address Gollehon's contention that he lacked fair notice because "no decision of the Montana Supreme Court (up until [his] case) even considered whether an offender convicted of deliberate homicide by accountability could be sentenced t ...
From Gollehon v. Mahoney, 2010 U.S. App. LEXIS 23944 (9th Cir. Nov. 22, 2010): As an initial matter, we address Gollehon’s contention that he lacked fair notice because “no decision of the Montana Supreme Court (up until [his] case) even…
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Issuer Is “Customer” of Underwriter for Purposes of Compelling FINRA Arbitration — Under FAA, Court Refusing to Enjoin Arbitration May Not Compel It in Another District

From JPMorgan Secs. Inc. v. La. Citizens Prop. Ins. Corp., 712 F. Supp. 2d 70 (S.D.N.Y. 2010): JP Morgan and Bear Stearns ask this Court to grant a preliminary injunction enjoining its pending FINRA arbitration with Citizens. This Court's power to enjoin that arbitration derives from the Federal Arbitration Act ("FAA"). Section 2 of th ...
From JPMorgan Secs. Inc. v. La. Citizens Prop. Ins. Corp., 712 F. Supp. 2d 70 (S.D.N.Y. 2010): JP Morgan and Bear Stearns ask this Court to grant a preliminary injunction enjoining its pending FINRA arbitration with Citizens. This Court’s power…
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Daubert — Strict Interpretation — Good Quotes — Criminal vs. Civil Daubert

From United States v. Hebshie, 2010 U.S. Dist. LEXIS 120746 (D. Mass. Nov. 15, 2010): Daubert’s extra vigilance is essential for two reasons: First, while opinion testimony is generally excluded, expert witnesses are permitted to opine on the basis of evidence not given to the jury. See Fed. R. Evid. 703. Second, as I have prev ...
From United States v. Hebshie, 2010 U.S. Dist. LEXIS 120746 (D. Mass. Nov. 15, 2010): Daubert’s extra vigilance is essential for two reasons: First, while opinion testimony is generally excluded, expert witnesses are permitted to opine on the basis of…
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Daubert — Liberal Interpretation — Good Quotes

From McClellan v. I-Flow Corp., 710 F. Supp. 2d 1092 (D. Or. 2010): Rule 702 permits expert testimony that is helpful to the trier of fact, reliable, and relevant. To that end, Daubert was intended to exclude "junk science" — unsupported testimony or evidence cloaked in the credentials of a testifying expert — that would confu ...
From McClellan v. I-Flow Corp., 710 F. Supp. 2d 1092 (D. Or. 2010): Rule 702 permits expert testimony that is helpful to the trier of fact, reliable, and relevant. To that end, Daubert was intended to exclude “junk science” —…
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Issuer Is Customer of Underwriter for Purposes of Compelling FINRA Arbitration — Under FAA, Court Refusing to Enjoin Arbitration May Not Compel It in Another District

From JPMorgan Secs. Inc. v. La. Citizens Prop. Ins. Corp., 712 F. Supp. 2d 70 (S.D.N.Y. 2010): JP Morgan and Bear Stearns ask this Court to grant a preliminary injunction enjoining its pending FINRA arbitration with Citizens. This Court's power to enjoin that arbitration derives from the Federal Arbitration Act ("FAA"). Section 2 of th ...
From JPMorgan Secs. Inc. v. La. Citizens Prop. Ins. Corp., 712 F. Supp. 2d 70 (S.D.N.Y. 2010): JP Morgan and Bear Stearns ask this Court to grant a preliminary injunction enjoining its pending FINRA arbitration with Citizens. This Court’s power…
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Federal Officer Removal — Requirements — Private Entity Whose Employees Are “Federal Officers” for Purposes of Removal May Not Itself Remove under §1442

From West v. A&S Helicopters, 2010 U.S. Dist. LEXIS 120948 (W.D. Mo. Nov. 15, 2010): B. Federal Officer Removal Under 28 U.S.C. § 1442 The Federal Officer Removal Statute, 28 U.S.C. § 1442(a)(1), allows removal to a federal forum of any civil or criminal action against "[t]he United States or any agency thereof or any officer ...
From West v. A&S Helicopters, 2010 U.S. Dist. LEXIS 120948 (W.D. Mo. Nov. 15, 2010): B. Federal Officer Removal Under 28 U.S.C. § 1442 The Federal Officer Removal Statute, 28 U.S.C. § 1442(a)(1), allows removal to a federal forum of…
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Shifting Burdens on Summary Judgment

From In re Oracle Corp. Secs. Litig., 2010 U.S. App. LEXIS 23531 (9th Cir. Nov. 16, 2010): We are mindful of the shifting burden of proof governing motions for summary judgment under Federal Rule of Civil Procedure 56. The moving party initially bears the burden of proving the absence of a genuine issue of material fact. Celotex Corp ...
From In re Oracle Corp. Secs. Litig., 2010 U.S. App. LEXIS 23531 (9th Cir. Nov. 16, 2010): We are mindful of the shifting burden of proof governing motions for summary judgment under Federal Rule of Civil Procedure 56. The moving…
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Because a State Is Not a Citizen for Diversity Purposes, Its Presence as a Party Destroys Complete Diversity — Caselaw Split

From Hood v. AstraZeneca Pharm., LP, 2010 U.S. Dist. LEXIS 107411 (N.D. Miss. Oct. 7, 2010): ***Congress has not empowered the federal courts to exercise diversity jurisdiction over the states. That is, it is beyond peradventure that "a State is not a 'citizen' for purposes of the diversity jurisdiction." Moor v. Alameda Cnty., ...
From Hood v. AstraZeneca Pharm., LP, 2010 U.S. Dist. LEXIS 107411 (N.D. Miss. Oct. 7, 2010): ***Congress has not empowered the federal courts to exercise diversity jurisdiction over the states. That is, it is beyond peradventure that “a State is…
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Derivative Standing Requirements under RICO

From Morrell v. Alfortish, 2010 U.S. Dist. LEXIS 119331 (E.D. La. Nov. 8, 2010): This case arises out of an alleged RICO enterprise operated by executives and board members of the Louisiana Horsemen's Benevolent & Protective Association 1993, Inc. ("LHBPA"). The LHBPA is a non-profit corporation empowered to represent the interests of rac ...
From Morrell v. Alfortish, 2010 U.S. Dist. LEXIS 119331 (E.D. La. Nov. 8, 2010): This case arises out of an alleged RICO enterprise operated by executives and board members of the Louisiana Horsemen’s Benevolent & Protective Association 1993, Inc. (“LHBPA”).…
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Recent Posts

(1) RICO Pattern: Open-Ended Continuity — The Vendetta Exception — Jury Could Reasonably Infer That Scheme Directed at One Person, With Goal of Destroying His Current and Future Business Prospects, Presented A Threat of Continued Racketeering Activity Extending Indefinitely into the Future — Lawsuit’s “Fortuitous Interruption” of Scheme ≠ Lack of Threat of Continuing Racketeering Activity — Acts of Concealment Used to Perpetuate Violations — Multiple Schemes Not Required — Jury Could Judge Defendant’s Credibility in Assessing Threat of Continuing Criminal Activity — (2) RICO Conspiracy — Two Methods of Proof: Agreement to Overall Objective Or to Commit Predicate Acts — Agreement Can Be Inferred from Conduct — Conspirator Needn’t Know All Details, Have Contact with Other Conspirators Or Participate in Every Stage

Experts: “Normally, Courts Are Loath to Outright Dismiss An Expert” (Good Quote) — Experts Are Unhelpful If They Misstate the Law [Note Premise That Testimony on Law Not Precluded Outright] — Rule 37 Sanctions Unwarranted for Unjustifiable Failure to Produce Relevant Document Already in Requester’s Possession

FRAP 38 Sanctions: (1) Pressing Objectively Frivolous Arguments, Multiple Misstatements at Oral Argument and Failure to Address What District Judge Said Warrant Award against Appellants’ Counsel (Only) — (2) “General Award” of $5,000 Warranted Where Appellee Failed to Sufficiently Document Its Fees and Expenses [Goodyear v. Haegar Issue]]

RICO: Capital Call Investment Process Increasing Equity of Those Responding to Call at Expense of Those Not Responding ≠ Collection of An Unlawful Debt

RICO [And Constitutional] Standing: Concrete Injury Requirement Not Satisfied by Alleged Intangible Injuries of Intrusion Upon Seclusion, Confusion And Emotional Distress, Public Disclosure of Private Facts, Deterred Speech On Nondefamatory Matters, Violation Of First Amendment Rights, And Compulsion

Rule 37(b) Sanctions: Striking of Answer, Default Judgment, Civil Contempt and Piercing Corporate Veil for Deliberate Disregard of Multiple Orders to Produce — Finding of Deliberate Disregard of Court Order Is Factual, Triggering Clear Error Review — Discretion Narrows When Default Sanction Involved — Fourth Circuit Factors for Rule 37 Default Sanction Are Different Than Those for Inherent Power Dismissal Sanction — Continued Defiance of Court Orders And Millions in Unpaid Judgments And Tax Liens Render Lesser Sanctions Futile

RICO: No Causation for Company Harmed by Governmental Customers Shunning It After Employee Publishes Book Admitting He Bribed Governmental Officials — Harm Too Indirect, Not from Bribery (Predicate Act) But from Customers’ Decisions to Shun and Publication of Book (Both Lawful) — Customers Injured by Bribery of Their Officials Are More Direct Plaintiffs

FRAP 38 Sanctions for Frivolous Opposition to Arbitration

Extrinsic Fraud Exception to Rooker-Feldman — Where Defendants’ Perjury, False Evidence, Flawed Legal Arguments Prevented Plaintiffs from Presenting Their Claim in State Court

Federal Jurisdiction: Party Can Waive Subject Matter Jurisdiction — While Federal Courts Must Ensure They Do Not Lack Subject Matter Jurisdiction, There Is No Duty to Find and Exercise It

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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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