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

§ 1927 Sanctions Imposed on Non-Lawyer, Pro Se Litigant

From Gitler v. State of Ohio, 2009 U.S. Dist. LEXIS 61295 (N.D. Ohio July 6, 2009): Although § 1927 on its face limits who may be sanctioned to an attorney or other person allowed to conduct cases, courts in the Sixth Circuit can sanction pro se litigants under that provision even after dismissing a case for lack of subject matter ...
From Gitler v. State of Ohio, 2009 U.S. Dist. LEXIS 61295 (N.D. Ohio July 6, 2009): Although § 1927 on its face limits who may be sanctioned to an attorney or other person allowed to conduct cases, courts in the…
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Scienter Required of Mail Fraud Predicate Precludes Certification of RICO Class Action

From Agostino v. Quest Diagnostics Inc., 2009 U.S. Dist. LEXIS 10451 (D.N.J. Feb. 11, 2009): To successfully prosecute a RICO claim, it is well settled that a plaintiff must make a showing regarding scienter. See United States v. Boyer, 694 F.2d 58, 60 (3d Cir. 1982) (specific intent to deceive requirement of 18 U.S.C. § 1341 may ...
From Agostino v. Quest Diagnostics Inc., 2009 U.S. Dist. LEXIS 10451 (D.N.J. Feb. 11, 2009): To successfully prosecute a RICO claim, it is well settled that a plaintiff must make a showing regarding scienter. See United States v. Boyer, 694…
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Electronic Discovery — Presumption against Production of Metadata vs. Specific Need

From Ojeda-Sanchez v. Bland Farms, LLC, 2009 U.S. Dist. LEXIS 66238 (S.D. Ga. July 31, 2009): Defendants do not object to the production of the information in their databases, just their metadata. *** Defendants rely upon Kentucky Speedway, LLC v. National Ass'n of Stock Car AutoRacing, Inc., 2006 WL 5097354 (E.D. Ky. ...
From Ojeda-Sanchez v. Bland Farms, LLC, 2009 U.S. Dist. LEXIS 66238 (S.D. Ga. July 31, 2009): Defendants do not object to the production of the information in their databases, just their metadata. *** Defendants rely upon Kentucky Speedway, LLC v.…
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In Multiparty Action, Supplemental Jurisdiction Retained over One Defendant as to Whom All Federal Claims Have Been Dismissed Where State Claims Are Related to the Federal Claims Against Other Defendants — PSLRA RICO Bar

From Armstrong v. Am. Pallet Leasing, Inc., 2009 U.S. Dist. LEXIS 77138 (N.D. Iowa Aug. 26, 2009): The court is confronted in this case with a myriad of claims brought under the Racketeer Influenced and Corrupt Organizations Act ("RICO"), both the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as several state law ...
From Armstrong v. Am. Pallet Leasing, Inc., 2009 U.S. Dist. LEXIS 77138 (N.D. Iowa Aug. 26, 2009): The court is confronted in this case with a myriad of claims brought under the Racketeer Influenced and Corrupt Organizations Act (“RICO”), both…
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Inherent Power Sanction — Case Dismissed for Disclosing Document Produced Pursuant to “Attorneys’ Eyes Only” Agreement before Protective Order Entered — Irrelevant Whether the Document was Entitled to Protection Under Later-Entered Order

From Salmeron v. Enterprise Recovery Sys., Inc., 2009 U.S. App. LEXIS 19316 (7th Cir. Aug. 27, 2009): On June 24, defendants USA Funds, Sallie Mae, and ERS learned that a scanned copy of the confidential document containing the Guarantee Services Agreement between Sallie Mae and USA Funds had been posted on a website known as Wikileaks.or ...
From Salmeron v. Enterprise Recovery Sys., Inc., 2009 U.S. App. LEXIS 19316 (7th Cir. Aug. 27, 2009): On June 24, defendants USA Funds, Sallie Mae, and ERS learned that a scanned copy of the confidential document containing the Guarantee Services…
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In New York State Court, Requesting Party Presumptively Must Bear the Cost of Electronic Discovery, Like All Other

From T.A. Ahern Contr. Corp. v. Dormitory Auth. of State of N.Y., 24 Misc. 3d 416, 875 N.Y.S.2d 862 (Sup. Ct. N.Y. County Mar. 19, 2009): Turning now to the issue of electronic discovery, New York courts have held that raw computer data or electronic documents are discoverable (see Lipco Elec. Corp. v. ASG Consulting Corp., 4 Misc ...
From T.A. Ahern Contr. Corp. v. Dormitory Auth. of State of N.Y., 24 Misc. 3d 416, 875 N.Y.S.2d 862 (Sup. Ct. N.Y. County Mar. 19, 2009): Turning now to the issue of electronic discovery, New York courts have held that…
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Sanctions for Filing Claims Despite Prior Warnings and Court Orders — Recidivism — Client Who Could Not be Sanctioned for Frivolous Legal Claims Sanctioned for Improper Purpose — Prior Sanctions Award as a Benchmark

From Janky v. Batistatos, 2009 U.S. Dist. LEXIS 66680 (N.D. Ind. July 31, 2009): [Ignoring Prior Warnings and Court Orders.] [Plaintiff] Janky and her counsel apparently became convinced that Defendant's arguments were bogus. But they were informed, many times, that this wasn't the case. In the face of those multiple order ...
From Janky v. Batistatos, 2009 U.S. Dist. LEXIS 66680 (N.D. Ind. July 31, 2009): [Ignoring Prior Warnings and Court Orders.] [Plaintiff] Janky and her counsel apparently became convinced that Defendant’s arguments were bogus. But they were informed, many times, that…
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Attorneys’ Fees and Cost of Defense of RICO-Violative Prosecution Afford Standing, But Embarrassment, Humiliation and Inconvenience ≠ RICO Injury

Attorneys' Fees and Cost of Defense of RICO-Violative Prosecution Afford Standing, But Embarrassment, Humiliation and Inconvenience ≠ RICO Injury From Kilper v. City of Arnold, 2009 U.S. Dist. LEXIS 63471 (E.D. Mo. July 23, 2009): The Red Light Camera Ordinance. In June 2005, City passed Bill No. 2102 enacting the original Ord ...
Attorneys’ Fees and Cost of Defense of RICO-Violative Prosecution Afford Standing, But Embarrassment, Humiliation and Inconvenience ≠ RICO Injury From Kilper v. City of Arnold, 2009 U.S. Dist. LEXIS 63471 (E.D. Mo. July 23, 2009): The Red Light Camera Ordinance.…
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Circumstantial Authentication of Email Evidence — Admission that Emails Were Sent + Content of Emails + Email Address Tied to Recipient by His Business Website

The defendant in United States v. Lane, 2009 U.S. Dist. LEXIS 65828 (S.D. Cal. July 27, 2009), was the second one scheduled for trial for conspiracy to commit kidnapping. The other defendant, Carman, had already been convicted of conspiracy to kidnap Lane’s ex-girlfriend, Kristi: The Government seeks to admit at trial emails found on C ...
The defendant in United States v. Lane, 2009 U.S. Dist. LEXIS 65828 (S.D. Cal. July 27, 2009), was the second one scheduled for trial for conspiracy to commit kidnapping. The other defendant, Carman, had already been convicted of conspiracy to…
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Rule 11 Motion Served 4 Days Before Pending Summary Judgment Motion Granted Rejected Because 21-Day Safe Harbor Period Not Afforded

From Orenshteyn v. Citrix Sys., Inc., 2009 U.S. App. LEXIS 16403 (Fed. Cir. July 24, 2009): On May 20, 2003, four days after Citrix served Fink with its motion for sanctions, the district court granted Citrix's motion for summary judgment of noninfringement.*** On June 19, 2003, Citrix filed its motion for sanctions under Rule 11 ...
From Orenshteyn v. Citrix Sys., Inc., 2009 U.S. App. LEXIS 16403 (Fed. Cir. July 24, 2009): On May 20, 2003, four days after Citrix served Fink with its motion for sanctions, the district court granted Citrix’s motion for summary judgment…
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Recent Posts

RICO Pattern: No Closed-Ended Continuity If Racketeering Activity Lasted Less Than One Year (11th Circuit) — Conspiracy Allegations Governed by Rule 8(a), Not 9(b) — Two Paths to Establishing A RICO Conspiracy: Agreement to Objective Or to Commit 2 Predicate Acts — Plaintiff Need Not Show Reliance When The Predicate Acts Are Wire Fraud — In Dicta, 11th Circuit Intimates That Even If The Primary RICO Violation Allegations Fail, The RICO Conspiracy Allegations Might Survive, But Is Probably Talking About A Conspiracy to Commit The Predicate Acts

United States Trinity Energy Servs., L.L.C. v. Se. Directional Drilling, L.L.C., 2025 U.S. App. LEXIS 10178 (5th Cir. Apr. 28, 2025): FRAP 38 Separate Motion Requirement FRAP 38 Sanctions Properly Denied for Want of Separate Motion — Request in Brief Insufficient — “Manifest Disregard” Is Not A Freestanding Ground for Vacatur of Arbitration Award in Fifth Circuit (Or First, Eighth Or Eleventh)

§ 1927 Sanctions Apt for Failing to Withdraw Claim Until Summary Judgment Hearing, Requiring Opponent and Court to Prepare for An Abandoned Argument — Bad Faith Established by False and Misleading Statements to Court — Raising New Argument for First Time in Reply Brief Does Not Warrant § 1927 Sanctions

RICO: Mail and Wire Fraud: Act of Emailing Transcript of Court Proceedings Containing Allegedly False Statements Made in Court ≠ Wire Fraud — Mailing (Serving on Opposing Party) Declarations Allegedly Containing False Statements ≠ Mail Fraud

Supreme Court: (1) Rule 11 Sanctions Available Where Affirmative Defense “Obviously Applies” and Plaintiff/Plaintiff’s Counsel “Lack A Good Faith Basis to Believe Otherwise” — (2) If Affirmative Defense Pled, Court May Require Plaintiff to File a Reply to the Answer Pursuant to Fed. R. Civ. P. 7(a) Setting forth “Specific, Nonconclusory Factual Allegations” Showing That The Affirmative Defense Does Not Apply — (3) The Title of a Statute And The Heading of a Section May Properly Be Used to Interpret the Text

FRAP 38 Sanctions — Sixth Circuit Usually Declines to Impose FRAP 38 Sanctions Unless An Improper Purpose Was Behind the Appeal

FRAP 38: Permissible for Appeals Court to Affirm Sanctions But Deny FRAP 38 Sanctions for Appeal — A Defendant’s Voluntary Cessation of Complained of Behavior Does Not Moot a Case Unless It Is Clear That The Behavior Could Not Reasonably Be Expected to Recur

Rule 11: Violation of 21 Day Safe Harbor “Overlook[ed]” As Non-Prejudicial by First Circuit — “Rule 11 Monetary Sanctions Must Be Reasonable” (Good Quote) — Rule 11(c)(4) Requires Consideration of Offender’s Ability to Pay

Temporary Restraining Order = Preliminary Injunction: 3 Supreme Court Cases (TRO=PI x 3)

Rule 37(c)(1) Sanctions — Exclusion of Untimely Expert Report — Eighth Circuit’s 4-Factor Test

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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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