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

Rule 41(b) Sanctions: Dismissal for Single Failure to Attend Pretrial Conference Reversed — Pattern of Contumacious Conduct, Consideration of Lesser Sanctions, Warning Or, At Least<A Record Showing Relevant Factors Weight Required

Vivaldi Servicios de Seguridad, Inc. v. Maiso Grp., 2024 U.S. App. LEXIS 3461, 2024 WL 615605 (1st Cir. Feb. 14, 2024): *1 May a district court dismiss a case for counsel’s unexcused failure to appear at the final pretrial confer ...
Vivaldi Servicios de Seguridad, Inc. v. Maiso Grp., 2024 U.S. App. LEXIS 3461, 2024 WL 615605 (1st Cir. Feb. 14, 2024): *1 May a district court dismiss a case for counsel’s unexcused failure to appear at the final pretrial…
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Pro Se Litigant Sanctioned $10,000 For Filing Brief (Prepared by a “Consultant”) Containing AI-Generated Fictitious Cases

Kruse v. Karlen, 2024 Mo. App. LEXIS 62 (Mo. Ct. App. Feb. 13, 2024): Opinion Introduction Jonathan R. Karlen ("Appellant") appeals from the trial court's grant of final summary judgment to Molly Kruse ("Respon ...
Kruse v. Karlen, 2024 Mo. App. LEXIS 62 (Mo. Ct. App. Feb. 13, 2024): Opinion Introduction Jonathan R. Karlen (“Appellant”) appeals from the trial court’s grant of final summary judgment to Molly Kruse (“Respondent”). Due to numerous fatal briefing deficiencies…
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Arbitration: Whether Allegedly Non-Party Parent Corp. Compelled to Arbitrate Must Be Tried to Resolve Fact Issues Over Nomenclature And “Implicitly Agreed To Be Mutually Bound” By Arbitration Clause

James v. RPS Holdings, LLC, 2024 U.S. App. LEXIS 1283 Opinion   PER CURIAM: The issue in this case arises from a motion to compel arbitration in a putative class action. We consider whether there was a gen ...
James v. RPS Holdings, LLC, 2024 U.S. App. LEXIS 1283 Opinion   PER CURIAM: The issue in this case arises from a motion to compel arbitration in a putative class action. We consider whether there was a genuine issue of…
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Experts: Opinion Based on Specified Literature Properly Excluded As Irrelevant After District Judge Read The Literature And Correctly Concluded It Did Not Say What The Expert Claimed — Correlation Is Not Causation

Md. Shall Issue, Inc. v. Anne Arundel Cnty., 2024 U.S. App. LEXIS 1499 (4th Cir. Jan. 23, 2024) Deaths by suicide have increased nationally over recent years, and now roughly 48,000 people die annually from suicide. And over 50% of those suicides w ...
Md. Shall Issue, Inc. v. Anne Arundel Cnty., 2024 U.S. App. LEXIS 1499 (4th Cir. Jan. 23, 2024) Deaths by suicide have increased nationally over recent years, and now roughly 48,000 people die annually from suicide. And over 50% of…
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ChatGBT Evidence Excluded As “Notorious for Inventing False Information About Market Rates”

M.B. v. N.Y.C. Dep't of Educ., 2024 U.S. Dist. LEXIS 13836 (S.D.N.Y. Jan. 24, 2024) (R&R) REPORT AND RECOMMENDATION SARAH NETBURN, United States Magistrate Judge. TO THE HONORABLE J ...
M.B. v. N.Y.C. Dep’t of Educ., 2024 U.S. Dist. LEXIS 13836 (S.D.N.Y. Jan. 24, 2024) (R&R) REPORT AND RECOMMENDATION SARAH NETBURN, United States Magistrate Judge. TO THE HONORABLE JOHN P. CRONAN: On behalf of her son K.B., M.B.…
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Federal Post-Judgment Interest Statute, 28 U.S.C. § 1961(c)(4), Applies to Adversary Proceedings in Bankruptcy, Unless a More Particular Provision of the Bankruptcy Code Dictates A Different Result (Issue of First Impression in Fifth Circuit)

Carmichael v. Balke (In re Imperial Petro. Recovery Corp.), 84 F.4th 264 (5th Cir. 2023): [*268]  Per Curiam: This appeal arises from an adversary proceeding in bankruptcy. We affirm in part, vacate in part, and remand. ...
Carmichael v. Balke (In re Imperial Petro. Recovery Corp.), 84 F.4th 264 (5th Cir. 2023): [*268]  Per Curiam: This appeal arises from an adversary proceeding in bankruptcy. We affirm in part, vacate in part, and remand. I. This litigation stems…
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Inherent Power Sanctions — Dismissal with Prejudice Appropriate for Threats of Violence Or Other Insubordination That Disables The Judiciary From Functioning

Freeman v. Anderson, 2023 U.S. App. LEXIS 31213 (7th Cir. Nov.  22, 2023) (unpublished): ORDER Dismissal of a lawsuit, although a severe sanction, is sometimes warranted. The district court properly dismissed this suit file ...
Freeman v. Anderson, 2023 U.S. App. LEXIS 31213 (7th Cir. Nov.  22, 2023) (unpublished): ORDER Dismissal of a lawsuit, although a severe sanction, is sometimes warranted. The district court properly dismissed this suit filed by Sovereignty Joeseph Helmueller Sovereign Freeman…
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Inherent Power Sanctions Appropriate to Punish Violation of Vexatious Litigant Injunction

Johnson v. Taco Bell Corp., 2023 U.S. App. LEXIS 31370 (6th Cir. Nov. 27, 2023): ORDER Alfred A. Johnson, Sr., a pro se Ohio prisoner, appeals the district court's summary dismissal of his civil action and imposition of filing restric ...
Johnson v. Taco Bell Corp., 2023 U.S. App. LEXIS 31370 (6th Cir. Nov. 27, 2023): ORDER Alfred A. Johnson, Sr., a pro se Ohio prisoner, appeals the district court’s summary dismissal of his civil action and imposition of filing restrictions.…
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Inherent Power Sanctions Require Willful Disobedience of Court Order Or Act Taken in Bad Faith, Vexatiously, Wantonly or For Oppressive Reasons — Finding of Bad Faith Warranted for Knowingly or Recklessly Raising Frivolous Argument Or Arguing Meritorious Claim for Purposes of Harassing Opponent

Rooter Hero Phx., Inc. v. Beebe, 2023 U.S. App. LEXIS 32661 (9th Cir Dec. 11, 2023) (unpublished): MEMORANDUM* Plaintiffs Rooter Hero Phoenix, Inc. and Call Pro's, Inc. appeal the distr ...
Rooter Hero Phx., Inc. v. Beebe, 2023 U.S. App. LEXIS 32661 (9th Cir Dec. 11, 2023) (unpublished): MEMORANDUM* Plaintiffs Rooter Hero Phoenix, Inc. and Call Pro’s, Inc. appeal the district court’s order imposing monetary sanctions on their counsel under …
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FRAP 38 And 28 U.S.C. § 1927 Sanctions on Appeal — “Having A Steep Hill To Climb On Appeal Does Not Make An Appeal Frivolous” (Good Quote)

Buck v. Compton, 2023 U.S. App. LEXIS 33988 (6th Cir. Dec. 20, 2023): *1 Thomas Buck, a former financial advisor, defrauded several of his clients, including Janice Compton. Following Buck’s criminal conviction for fraud, Compton ...
Buck v. Compton, 2023 U.S. App. LEXIS 33988 (6th Cir. Dec. 20, 2023): *1 Thomas Buck, a former financial advisor, defrauded several of his clients, including Janice Compton. Following Buck’s criminal conviction for fraud, Compton sued Buck, and the parties…
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Recent Posts

Criminal Spoliation Can Be A Due Process Violation — Defendant Must Show That (1) The Evidence Had Exculpatory Value Before It Was Destroyed, (2) Defendant Is Unable to Obtain Comparable Evidence by Reasonable Means, and (3) Bad Faith Failure to Preserve

1) Rule 11 Sanctions: “No First Amendment Exception to a Rule 11 Violation” — “[T]he First Amendment Covers Novel, Nonfrivolous Arguments, But Many Frivolous Arguments Are Also Novel” (Good Quotes) — Frivolous To Continue To Make Rejected Novel Arguments; (2) FRAP 38 Sanctions: District Court In Best Position to Set Sanctions, Attorney’s Fees and Costs

3 Prerequisites for Inherent Power and § 1927 Sanctions in Second Circuit: (1) Bad Faith, (2) Conduct That Is Entirely Without Color [Thus, An Ill-Motivated Colorable Position Appears to Be Protected in the Second Circuit], and (3) Improper Purpose— “To Gain A Strategic Advantage” Is An Improper Purpose — Due Process Satisfied by Opponent’s Motion and Multiple Court Conferences, After Which Target Was Allowed to Submit Additional Letters

Inherent Power Sanctions — Untimeliness as Laches — Laches Properly Applied to Deny Sanctions Motion — Note Waived Defenses to Laches

Rule 37(c)(1) Sanctions: Substantial Justification or Harmless Error (Ninth Circuit Factors) — Erie: When State Supreme Court Has Not Squarely Addressed an Issue, Circuit Must Predict How It Would Rule, Using Intermediate Appellate Decisions, Decisions from Other Jurisdictions, Statutes, Treatises And Restatements for Guidance

(1) Appellate Review of Inherent Power Sanctions (7th Circuit): Factual Findings Reviewed for Clear Error, Choice of Sanction for Abuse of Discretion — 4-Element Test for Reversal; (2) Sanctions and Class Actions: Monetary Sanctions Properly Imposed on Defendants for Improper Communications with Class Members (Represented Parties) — “[I]f The Class And The Class Opponent Are Involved In An Ongoing Business Relationship, Communications From The Class Opponent To The Class May Be Coercive” (Good Quote); (3) Monetary Sanctions under Goodyear v. Haeger: If Same Fact-Gathering Would Have Been Conducted Absent The Misconduct, No But-For Causation — But Only “Rough Justice” Required, “Not Accountant-Like Precision” (Good Quote) — Once Misconduct Is Clear, Time Spent Ferreting It Out Compensable under Goodyear; (4) Goodyear Did Not Overrule Long-Standing Rule That Courts May Impose Modest Civil Monetary Sanctions to Curb Litigation Abuse; (5) Appellate Jurisdiction Lacking Where Sanctioned Attorney Fails to File Notice of Appeal and Lawyer’s Intent to Appeal Not Apparent from Client’s Notice; (5) Rule 11 Improper Purpose — Party May Have Many Purposes for Pursuing Claim — As Long As Claim Is Supported by Good Faith Belief in the Merits, “A Parallel Reason Does Not Violate Rule 11” — To Deny A Motion for Sanctions, The District Court Need Not Address Every Argument: “Arguments Clearly Without Merit Can, And For The Sake Of Judicial Economy Should, Be Passed Over In Silence” (Good Quote); Non-Monetary Sanction on Counsel: Complete Twice The Required Amount Of Professional Responsibility Hours For Her Next Continuing Legal Education Cycle Imposed By The State Bar

(1) Spoliation: Sanctions Are Warranted Only If the Movant Establishes That A Reasonable Trier of Fact Could Find That The Destroyed Evidence Would Support A Claim Or Defense — § 1927 Sanctions: “Courts Often Refuse to Award Sanctions When Both Parties Contributed to the Waste of Judicial Resources” (Good Quote)

No Sanctions Imposed on Counsel Who Submitted A.I.-Generated Phony Cases Without Checking Them in Good Faith on The Mistaken Assumption They Had Been Provided by Highly Respected Co-Counsel Rather Than His Criminally-Convicted, Disbarred Client — No Sanctions on Client Who Had No Access to LEXIS or Westlaw to Check the Phony Cases and Submitted Them in Good Faith: “It Would Have Been Downright Irrational For Him To Provide Fake Cases For [His Lawyer] To Include In The Motion Knowing They Were Fake —

(1) Electronic Spoliation — Rule 37(e)(2) Dismissal Sanction — Temporal Proximity of Spoliation to Production Due Date = Circumstantial Evidence of Intent; (2) While Discovery Sanctions Are Reviewed For Abuse Of Discretion, Findings Of Fact Related To Discovery Sanctions Are Reviewed For Clear Error; (3) Dismissal under Rule 37(e)(2) Plus Attorney’s Fees under Inherent Power Appropriately Combined [But see 2015 Advisory Committee Note: “New Rule 37(e) … authorizes and specifies measures a court may employ if information that should have been preserved is lost, and specifies the findings necessary to justify these measures. forecloses reliance on inherent authority or state law to determine when certain measures should be used.”]; (4) Compensatory Sanctions under Goodyear v. Haeger Appropriately Include Fees and Costs Resulting from Attempts to Settle Spoliation Motion

(1) FRAP 38 Sanctions Inapt for Appeal That Is Weak — “Borderline Frivolous” — Test Is Whether Appellant Should Have Known the Appeal Had Absolutely No Chance of Success — (2) Lay Opinion Testimony under Rule 701: Nub of Helpfulness Requirement Is to Exclude Testimony When the Witness Is No Better Suited Than the Jury to Assess the Issue; (3) Appeals: No Appeal from Denial of Motion for Judgment As a Matter of Law Unless Appellant Made That Motion Before Case Was Submitted to Jury

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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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