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

RICO Claims Not “Preempted” by Fair Labor Standards Act — Caselaw Split

From Kuznyetsov v. West Penn Allegheny Health Sys., Inc., 2009 U.S. Dist. LEXIS 61620 (W.D. Pa. July 20, 2009): Plaintiffs have sued Defendants alleging, inter alia, violations under the Fair Labor Standards Act ("FLSA"), the Employee Retirement Income Security Act ("ERISA") and the Racketeer Influenced and Corrupt Organizations A ...
From Kuznyetsov v. West Penn Allegheny Health Sys., Inc., 2009 U.S. Dist. LEXIS 61620 (W.D. Pa. July 20, 2009): Plaintiffs have sued Defendants alleging, inter alia, violations under the Fair Labor Standards Act (“FLSA”), the Employee Retirement Income Security Act…
Continue Reading

Computer Hacker Who Trades on Illicitly-Obtained Information May Violate § 10(b) Even Though Hacker Breaches No Fiduciary Duty — Circuit Split

The computer hacker in Securities and Exchange Commission v. Dorozhko, 2009 U.S. App. LEXIS 16057 (2d Cir. July 22, 2009), made a $200,000 profit overnight by hacking into a secure server to obtain earnings information hours before it was publicly announced and buying $40,000 worth of put options. The District Court held that this illegal conduct did not ren ...
The computer hacker in Securities and Exchange Commission v. Dorozhko, 2009 U.S. App. LEXIS 16057 (2d Cir. July 22, 2009), made a $200,000 profit overnight by hacking into a secure server to obtain earnings information hours before it was publicly…
Continue Reading

Absolute vs. Limited Protection for Opinion Work Product — Caselaw Split

From Monarch Fire Protection Dist. V. Freedom Consulting & Auditing Servs., Inc., 2009 U.S. Dist. LEXIS 60988 (E.D. Mo. July 16, 2009): The work product doctrine "is broader than and distinct from the attorney-client privilege." In re Foster, 188 F.3d 1259, 1272 (10th Cir. 1999) (citing United States v. Nobles, 42 U.S. 225, ...
From Monarch Fire Protection Dist. V. Freedom Consulting & Auditing Servs., Inc., 2009 U.S. Dist. LEXIS 60988 (E.D. Mo. July 16, 2009): The work product doctrine “is broader than and distinct from the attorney-client privilege.” In re Foster, 188 F.3d…
Continue Reading

Senate Bill Introduced to Reverse Twombly and Iqbal

Download associated file: Notice Pleading Restoration Act of 2009.pdf  Senator Arlen Specter has introduced the attached Notice Pleading Restoration Act of 2009, which would revive Conley v. Gibson as the sole standard pursuant to which 12(b)(6) motions could be de ...
Download associated file: Notice Pleading Restoration Act of 2009.pdf  Senator Arlen Specter has introduced the attached Notice Pleading Restoration Act of 2009, which would revive Conley v. Gibson as the sole standard pursuant to which 12(b)(6) motions could be…
Continue Reading

Second Circuit Recognizes that Initial Complaint May Warrant Sanctions under 28 U.S.C. § 1927

From Gollomp v. Spitzer, 568 F.3d 355 (2d Cir. 2009): As discussed above, the District Court made three findings of "conduct constituting or akin to bad faith," In re 60 E. 80th St. Equities, 218 F.3d at 115: (1) the "incredible" assertion by plaintiff's counsel that they had "researched all legal arguments and made no legal argum ...
From Gollomp v. Spitzer, 568 F.3d 355 (2d Cir. 2009): As discussed above, the District Court made three findings of “conduct constituting or akin to bad faith,” In re 60 E. 80th St. Equities, 218 F.3d at 115: (1) the…
Continue Reading

Waiver of Work Product Protection by Disclosure in Settlement Discussions — Waiver as to One Defendant Effects Waiver as to All

From In re Urethane Antitrust Litig., 2009 U.S. Dist. LEXIS 60496 (D. Kan. July 15, 2009): Work-product protection is waived when privileged documents are voluntarily disclosed to an adversary because "[d]isclosure to an adversary is clearly inconsistent with the rule's goal of promoting the adversarial system." "Such a waiver occurs eve ...
From In re Urethane Antitrust Litig., 2009 U.S. Dist. LEXIS 60496 (D. Kan. July 15, 2009): Work-product protection is waived when privileged documents are voluntarily disclosed to an adversary because “[d]isclosure to an adversary is clearly inconsistent with the rule’s…
Continue Reading

PSLRA Mandates Rule 11 Inquiry Even If Securities Litigation Dismissed on State Law Grounds — Circuit May Make Determination without Remand

From Citibank Global Markets, Inc. v. Santana, 2009 U.S. App. LEXIS 15788 (1st Cir. July 17, 2009): The final question we must resolve is one of first impression in this circuit: whether the district court is required to make findings regarding compliance with Rule 11(b) of the Federal Rules of Civil Procedure, in a case in which a claim ...
From Citibank Global Markets, Inc. v. Santana, 2009 U.S. App. LEXIS 15788 (1st Cir. July 17, 2009): The final question we must resolve is one of first impression in this circuit: whether the district court is required to make findings…
Continue Reading

Willful Disobedience of Court Order Warrants Case-Ending Sanction Where Obedience Is within the Party’s Control

From Pray v. Michaels, 2008 U.S. App. LEXIS 27190 (9th Cir. Dec. 17, 2008): [T]he district court did not abuse its discretion in using its inherent powers to impose terminating sanctions on [Defendant] Soderberg. Willful disobedience of a court order may justify terminating sanctions. See Stars' Desert Inn Hotel & Country Club, Inc. ...
From Pray v. Michaels, 2008 U.S. App. LEXIS 27190 (9th Cir. Dec. 17, 2008): [T]he district court did not abuse its discretion in using its inherent powers to impose terminating sanctions on [Defendant] Soderberg. Willful disobedience of a court order…
Continue Reading

Expert Testimony into State of Mind or Motivation of an Individual as Inadmissible

“Inferences about the intent or motive of parties or others lie outside the bounds of expert testimony.” Highland Capital Mgmt., L.P. v. Schneider, 551 F. Supp.2d 173, 182 (S.D.N.Y. 2008) (excluding an expert’s testimony regarding various individuals’ beliefs as to, inter alia, the value of the securities at issue in that case, and holding that “ ...
“Inferences about the intent or motive of parties or others lie outside the bounds of expert testimony.” Highland Capital Mgmt., L.P. v. Schneider, 551 F. Supp.2d 173, 182 (S.D.N.Y. 2008) (excluding an expert’s testimony regarding various individuals’ beliefs as to,…
Continue Reading

Inherent Power Sanctions — Appeal Dismissed for Appellant’s Failure to Pay Sanction Imposed in Prior Action

From Smith v. United States, 2009 U.S. App. LEXIS 14736 (10th Cir. July 6, 2009): We dismiss the matter for Mr. Smith's failure to pay the sanctions we imposed in Smith v. C.I.R., 160 Fed. Appx. 666, 670 (10th Cir. 2005). *** This court ... previously imposed sanctions for Mr. Smith's "blatant waste of judicial time a ...
From Smith v. United States, 2009 U.S. App. LEXIS 14736 (10th Cir. July 6, 2009): We dismiss the matter for Mr. Smith’s failure to pay the sanctions we imposed in Smith v. C.I.R., 160 Fed. Appx. 666, 670 (10th Cir.…
Continue Reading
Previous416417418419420421422Next

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

Archives
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.

New York Office

© 2025 Joseph Hage Aaronson LLC  
Disclaimer | Attorney Advertising Notice | Legal Notice