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

Are All ERISA Fiduciaries Created Equal?

Apparently not in the Third Circuit, at least when it comes to the application of the fiduciary exception to the attorney client privilege. Addressing an issue of first impression, the Third Circuit recently held in Wachtel v. Health Net, Inc., Nos. 06-3031 & 06-3032, 2007 WL 958572 (3d Cir. Apr. 2, 2007), that while the fiduciary exception may apply to ERISA plan ...
Apparently not in the Third Circuit, at least when it comes to the application of the fiduciary exception to the attorney client privilege. Addressing an issue of first impression, the Third Circuit recently held in Wachtel v. Health Net, Inc.,…
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New Eleventh Circuit Decision — Class Action Fairness Act

Download associated file: Lowery.pdf  On Wednesday, the Eleventh Circuit issued its decision in Lowery v. Alabama Power Co., Nos. 06-16324 & 06-325, --- F.3d ---, 2007 WL 1062769 (11th Cir. Apr. 11, 2007). The Lowery panel was not shy in its views on the clarity of CAFA' ...
Download associated file: Lowery.pdf  On Wednesday, the Eleventh Circuit issued its decision in Lowery v. Alabama Power Co., Nos. 06-16324 & 06-325, — F.3d —, 2007 WL 1062769 (11th Cir. Apr. 11, 2007). The Lowery panel was not shy…
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More On Forum Non Conveniens and Sinochem

As discussed in the March 5 blog, the Supreme Court recently held in Sinochem Int’l Co. v. Malaysia Int’l Shipping Co., --- U.S. ---, 127 S.Ct. 1184 (2007), that a district court may dismiss a case on forum non conveniens grounds before addressing and resolving ‛jurisdictional issues.“ By ‛jurisdictional issues,“ the Court meant both personal jurisdicti ...
As discussed in the March 5 blog, the Supreme Court recently held in Sinochem Int’l Co. v. Malaysia Int’l Shipping Co., — U.S. —, 127 S.Ct. 1184 (2007), that a district court may dismiss a case on forum non conveniens…
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Bankruptcy Removal

State court cases that are ‛related to“ bankruptcy proceedings may be removable to Federal Court, but the hurdles are high. The bankruptcy removal statute, 28 U.S.C. § 1452(a), permits removal where Federal bankruptcy jurisdiction exists under 28 U.S.C. § 1334. Bankruptcy jurisdiction encompasses a far broader category of cases than just those considered to ...
State court cases that are ‛related to“ bankruptcy proceedings may be removable to Federal Court, but the hurdles are high. The bankruptcy removal statute, 28 U.S.C. § 1452(a), permits removal where Federal bankruptcy jurisdiction exists under 28 U.S.C. § 1334.…
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‘Ancient’ Newspapers

Are statements in a newspaper article admissible in Federal Court for the truth? If the article is more than 20 years old, the answer is generally yes. Federal Rule of Evidence 803(16) — the ‛Ancient Documents“ rule — provides that ‛[s]tatements in a document in existence twenty years or more the authenticity of which is established“ are not excluded b ...
Are statements in a newspaper article admissible in Federal Court for the truth? If the article is more than 20 years old, the answer is generally yes. Federal Rule of Evidence 803(16) — the ‛Ancient Documents“ rule — provides that…
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Serving Private Parties in Foreign Countries

Individuals. Rule 4(f) of the Federal Rules of Civil Procedure governs service of a Federal complaint upon individuals in a foreign country. Under Rule 4(f)(1), service is permitted by internationally agreed means (such as the Hague Convention). If there is no agreement with the relevant country, Rule 4(f)(2) applies. It permits service in three ways: (A) as al ...
Individuals. Rule 4(f) of the Federal Rules of Civil Procedure governs service of a Federal complaint upon individuals in a foreign country. Under Rule 4(f)(1), service is permitted by internationally agreed means (such as the Hague Convention). If there is…
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Diversity Loopholes

The Federal diversity jurisdiction statute, 28 U.S.C. § 1332, provides for Federal jurisdiction in cases involving more than $75,000 between ‛(1) citizens of different States; (2) citizens of a State and citizens or subjects of a foreign state; (3) citizens of different States…in which citizens or subjects of a foreign state are additional parties; and (4) a fo ...
The Federal diversity jurisdiction statute, 28 U.S.C. § 1332, provides for Federal jurisdiction in cases involving more than $75,000 between ‛(1) citizens of different States; (2) citizens of a State and citizens or subjects of a foreign state; (3) citizens…
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More on Pre-Action Discovery

Yesterday’s Blog discussed pre-action discovery under Rule 27 of the Federal Rules of Civil Procedure and the New York statute, CPLR § 3102(c). Other states have pre-action discovery rules that may permit even more searching discovery prior to the filing of a complaint. Texas, for example, adopted its pre-action discovery rule effective January 1999. Rule 202 ...
Yesterday’s Blog discussed pre-action discovery under Rule 27 of the Federal Rules of Civil Procedure and the New York statute, CPLR § 3102(c). Other states have pre-action discovery rules that may permit even more searching discovery prior to the filing…
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Pre-Action Discovery

When it comes to seeking and obtaining discovery prior to commencement of an action, there may be significant differences between the Federal Rules of Civil Procedure and the procedures in State court, where available. In Federal practice, Rule 27 allows pre-action discovery, but only where the discovery is sought in order to ‛perpetuate testimony regarding [a] m ...
When it comes to seeking and obtaining discovery prior to commencement of an action, there may be significant differences between the Federal Rules of Civil Procedure and the procedures in State court, where available. In Federal practice, Rule 27 allows…
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Recent Posts

Statements in Briefs As Judicial Admissions

Supreme Court: TRO As Appealable Order — And District Court Inaction As Tantamount to Refusing An Injunction And Thus Appealable

“Slow-Playing Discovery” in Response to Court Order, Prejudicing Opponent, Violates Rule 37(b)(2)(A)

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

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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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