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

Work Product — Internal Investigation — Communications with/by Auditors

In re Veeco Instruments, Inc., Secs. Litig., 2007 U.S. Dist. LEXIS 16922 (S.D.N.Y. March 9, 2007), involved a restatement of earnings that led to an internal investigation. Plaintiff sought all reports, workpapers, interview notes, memoranda, and other documents created or prepared by (1) Veeco, (2) outside counsel Kaye Scholer LLP, (3) the accounting firm retai ...
In re Veeco Instruments, Inc., Secs. Litig., 2007 U.S. Dist. LEXIS 16922 (S.D.N.Y. March 9, 2007), involved a restatement of earnings that led to an internal investigation. Plaintiff sought all reports, workpapers, interview notes, memoranda, and other documents created or…
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Grable — Air Crash — Arising Under Jurisdiction

Zahora v. Airmotive Corp., 2007 U.S. Dist. LEXIS 17155 (E.D. Pa. March 8, 2007) was a wrongful death action arising out of a plane crash. The complaint alleged negligence, strict liability, misrepresentation, breach of warranty, and breach of contract. Plaintiffs filed suit in Pennsylvania state court, and the defendants removed on the basis of federal question jur ...
Zahora v. Airmotive Corp., 2007 U.S. Dist. LEXIS 17155 (E.D. Pa. March 8, 2007) was a wrongful death action arising out of a plane crash. The complaint alleged negligence, strict liability, misrepresentation, breach of warranty, and breach of contract. Plaintiffs…
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Interrogatories — More on Signature by Counsel

In distinction to the Fifth Circuit decision in Sample v. Miles, 2007 U.S. App. LEXIS 3027 (5th Cir. Feb. 9, 2007) (posting of February 17, 2007), which required an individual (rather than counsel) to sign interrogatories directed to that individual, see Heartland Surgical Specialty Hospital v. Midwest Division, Inc., 2007 U.S. Dist. LEXIS 16816 (D. Kan. March 8, 20 ...
In distinction to the Fifth Circuit decision in Sample v. Miles, 2007 U.S. App. LEXIS 3027 (5th Cir. Feb. 9, 2007) (posting of February 17, 2007), which required an individual (rather than counsel) to sign interrogatories directed to that individual,…
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Ghostwriting as Ethical / Rule 11 Violation

An attorney assisted the pro se plaintiff in Delso v Trustees for the Retirement Plan for Hourly Employees of Merck & Co., 2007 U.S. Dist. LEXIS 16643 (D.N.J. March 5, 2007) by ghostwriting certain court papers for her. The defendant contended that this was unethical under the New Jersey Rules of Professional Conduct. Magistrate Judge Tonianne Bongiovanni agree ...
An attorney assisted the pro se plaintiff in Delso v Trustees for the Retirement Plan for Hourly Employees of Merck & Co., 2007 U.S. Dist. LEXIS 16643 (D.N.J. March 5, 2007) by ghostwriting certain court papers for her. The defendant…
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Electronic Discovery & Spoliation — Pre-Litigation Letters / Litigation Hold / Counsel’s Oversight Duties / Multiple Issues

When must a litigation hold be implemented? How explicit must a pre-litigation warning be? The only way to insure that the duty to preserve evidence has been triggered is to demand it. Consider Cache Poudre Feeds, LLC v. Land O’Lakes Inc., 2007 U.S. Dist. LEXIS 15277 (D. Colo. March 2, 2007). In April and June of 2002, plaintiff’s counsel telephoned and w ...
When must a litigation hold be implemented? How explicit must a pre-litigation warning be? The only way to insure that the duty to preserve evidence has been triggered is to demand it. Consider Cache Poudre Feeds, LLC v. Land O’Lakes…
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21st Century Defamation — Libel via Internet

In Sundance Image Tech., Inc. v. Cone Editions Press, Ltd., 2007 U.S. Dist. LEXIS 16356 (S.D. Cal. March 7, 2007), the plaintiff claimed that the defendant posted libelous statements on the Internet about plaintiffs' products, causing plaintiffs' revenues to fall dramatically. How do traditional libel doctrines apply to defamation via web? 1. ...
In Sundance Image Tech., Inc. v. Cone Editions Press, Ltd., 2007 U.S. Dist. LEXIS 16356 (S.D. Cal. March 7, 2007), the plaintiff claimed that the defendant posted libelous statements on the Internet about plaintiffs’ products, causing plaintiffs’ revenues to fall…
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Attorney-Client Privilege — Counsel Communications with Client’s Investment Banker

Most decisions to consider the issue hold that a lawyer’s communications with the investment banker of his or her client are not protected by the attorney-client privilege for the simple reason that the banker is not the client nor someone retained by the lawyer to assist in the rendering of legal advice to the client. For a decision upholding an assertion of pri ...
Most decisions to consider the issue hold that a lawyer’s communications with the investment banker of his or her client are not protected by the attorney-client privilege for the simple reason that the banker is not the client nor someone…
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Insider Trading — Section 16 Violations and Equitable Tolling

Section 16(a) of the Securities Exchange Act of 1934 requires officers, directors and other insiders of a public company to report their trades in company securities, and § 16(b) prohibits short-swing insider profits. Section 16(b) imposes a two-year statute of limitations on any action for disgorgement of those profits. This two-year limitations period is tol ...
Section 16(a) of the Securities Exchange Act of 1934 requires officers, directors and other insiders of a public company to report their trades in company securities, and § 16(b) prohibits short-swing insider profits. Section 16(b) imposes a two-year statute of…
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Cross-Examination by Use of Prior Judicial Opinion

Although this issue most commonly comes up in connection with experts, it is not necessarily so limited. In case 1, witness A testifies. The trial judge finds that the witness lied or otherwise offered untrustworthy testimony (for an expert, motives may be challenged or testimony may be rejected on Daubert grounds), and the judge so writes in an order or opinio ...
Although this issue most commonly comes up in connection with experts, it is not necessarily so limited. In case 1, witness A testifies. The trial judge finds that the witness lied or otherwise offered untrustworthy testimony (for an expert, motives…
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Recent Posts

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

“RICO Is a Judge’s Nightmare” — “The Requisite RICO Pleading Standards Are Far From Explicit, And The RICO Jurisprudence Offers Courts (And Plaintiffs) Little Guidance” (Good Quotes) — Common Elements of § 1962(a), (c) and (d)-Based Claims — Closed-End Continuity: Duration > 1 Year = Substantial Period of Time — Continuity: Courts Skeptical If Number of Victims and Schemes Is Limited — Untargeted Persons Who Suffer Derivative Injury Do Not Add to the Number of Victims Considered for Continuity Purposes — Open Ended Continuity Can Be Established by Showing Defendant Commits Predicate Acts As “Regular Way of Doing Business” — Citing the Existence of Other Lawsuits Alleging Similar Predicates ≠ Pleading Facts Demonstrating Defendant’s Commission of Similar Predicates Against Others

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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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