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

Side-Switching Expert Must Have Confidential Information from First Client to Warrant Disqualification — No Fiduciary Relationship Exists Between Music Publisher & Composer

Skidmore v. Led Zeppelin, 2018 U.S. App. LEXIS 27680, 2018 WL 4654729 (9th Cir. Sept. 28, 2018): This copyright case involves a claim that Led Zeppelin copied key portions of ...
Skidmore v. Led Zeppelin, 2018 U.S. App. LEXIS 27680, 2018 WL 4654729 (9th Cir. Sept. 28, 2018): This copyright case involves a claim that Led Zeppelin copied key portions of its timeless hit "Stairway to Heaven" from the song …
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Privilege: Employees’ Transmission of Purely Factual Info to GC at GC’s Request, to Permit GC to Give Legal Advice, Is Privileged — Test: Is Obtaining/Providing Advice 1 Significant Purpose of Communications? — Facts Still Discoverable

FTC v. Boehringer Ingelheim Pharms., Inc., 892 F.3d 1264 (D.C. Cir. 2018) (Kavanaugh, J.):   The pharmaceutical company Boehringer claimed attorney-client privilege over certain documents subpoen ...
FTC v. Boehringer Ingelheim Pharms., Inc., 892 F.3d 1264 (D.C. Cir. 2018) (Kavanaugh, J.):   The pharmaceutical company Boehringer claimed attorney-client privilege over certain documents subpoenaed by the Federal Trade Commission. The attorney-client privilege [**2]  applies to a communication between…
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Circuit Splits: Court Reluctant to Create Circuit Split, Does So Only If a Compelling Basis Exists — Reluctance Especially Acute If Rules at Issue Are Best Applied Uniformly

Guerrero-Sanchez v. Warden York Cty. Prison, 2018 U.S. App. LEXIS 27445, 2018 WL 4608970 (3d Cir. Sept. 26, 2018): *** As we have discussed throughout our decision, our holding t ...
Guerrero-Sanchez v. Warden York Cty. Prison, 2018 U.S. App. LEXIS 27445, 2018 WL 4608970 (3d Cir. Sept. 26, 2018): *** As we have discussed throughout our decision, our holding today is in line with that of the Ninth Circuit,…
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Experts Can Rely on Data Provided without Independently Verifying It — Factual Basis Goes to Credibility, Not Admissibility — Proper Subject of Cross

Mighty Enters. v. She Hong Indus. Co., 2018 U.S. App. LEXIS 22670 (9th Cir. Aug. 15, 2018) (unpublished): MEMORANDUM* She ...
Mighty Enters. v. She Hong Indus. Co., 2018 U.S. App. LEXIS 22670 (9th Cir. Aug. 15, 2018) (unpublished): MEMORANDUM* She Hong Industrial appeals from the District Court's entry of final judgment after a jury trial and the District…
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Subsequent Judge Not Bound by Interlocutory Order of Predecessor — May Reconsider It Per Law-of-the-Case Doctrine — Emergence of Circuit Split Can Justify Reconsideration

Grimm v. Gloucester Cty. Sch. Bd., 302 F. Supp. 3d 730 (E.D. Va. 2018): Pending before the Court is an Amended Motion to Dismiss pursuant to
Grimm v. Gloucester Cty. Sch. Bd., 302 F. Supp. 3d 730 (E.D. Va. 2018): Pending before the Court is an Amended Motion to Dismiss pursuant to Federal Rule of Civil Procedure 12(b)(6) (ECF No. 135) filed by Defendant Gloucester…
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Inherent Power Sanctions Apt for Party’s Threats to Sue Witnesses, Opposing Counsel If They Fail to Comply with Demands — District Court Retains Jurisdiction to Sanction During Appeal, Needn’t Explain Why Sanctions Denied

Greene v. Indep. Pilots Ass'n, 2018 U.S. App. LEXIS 28271 (6th Cir. Oct. 4, 2018): Douglas Walter Greene, a pro se plaintiff, appeals the district court's order imposing monetar ...
Greene v. Indep. Pilots Ass'n, 2018 U.S. App. LEXIS 28271 (6th Cir. Oct. 4, 2018): Douglas Walter Greene, a pro se plaintiff, appeals the district court's order imposing monetary sanctions against him and denying his cross-motion for sanctions against…
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Experts: When Testimony Is Based on Experience, Tribunal Determines Reliability with Reference to The Nature of The Issue, The Expert’s Particular Expertise & The Subject of the Testimony

F & H Coatings, LLC v. Acosta, 900 F.3d 1214 (10th Cir. 2018): F & H Coatings, L.L.C. ("F & H") seeks review of a final order of the Occupational Safety and Health Review Comm ...
F & H Coatings, LLC v. Acosta, 900 F.3d 1214 (10th Cir. 2018): F & H Coatings, L.L.C. ("F & H") seeks review of a final order of the Occupational Safety and Health Review Commission ("Commission"), and asks us…
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Rule 11 Sanctions — Failure to Request Limitation of Award Based on Inability to Pay or to Offer Evidence Showing Same Waives Issue — Does Judge Have Ethical Duty to Refer Offender to Disciplinary Authorities?

Young v. Smith, 2018 U.S. App. LEXIS 27331 (3d Cir. Sept. 25, 2018): Appellant Cynthia Pollick appeals the District Court's order denying her fee petition, imposing sanction ...
Young v. Smith, 2018 U.S. App. LEXIS 27331 (3d Cir. Sept. 25, 2018): Appellant Cynthia Pollick appeals the District Court's order denying her fee petition, imposing sanctions in the aggregate amount of $25,000, and referring Pollick to the Disciplinary …
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Witness Litigation Privilege Gives Absolute Immunity from Civil Action for Testimony & Prep, Bars RICO Claim vs Expert — Common Law Immunities Must Be Expressly Eliminated — Perjury ≠ Predicate Act — Civ, Crim RICO Don’t Always Have Same Reach

Day v. Johns Hopkins Health Sys. Corp., 2018 WL 5306886 (4th Cir. Oct. 6, 2018) (2-1 decision): *1 Plaintiffs brought suit against Dr. Paul Wheeler and Johns Hopkins Health System et al. for Wheeler’s actions as an expert witness in administrative hearings for the Federal Black Lung Program. This lawsuit inc ...
Day v. Johns Hopkins Health Sys. Corp., 2018 WL 5306886 (4th Cir. Oct. 6, 2018) (2-1 decision): *1 Plaintiffs brought suit against Dr. Paul Wheeler and Johns Hopkins Health System et al. for Wheeler’s actions as an expert witness in …
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Rule 11: Court Can’t Read Improper Purpose into Document Well-Grounded in Fact & Law unless Improper Purpose Is Objectively Ascertainable — Disagreement About Law ≠ Frivolous — Arg. Must’ve Been Rejected by Well-Established Case Law

Day v. Johns Hopkins Health Sys. Corp., 2018 WL 5306886 (4th Cir. Oct. 6, 2018) (2-1 decision): *1 Plaintiffs brought suit against Dr. Paul Wheeler and Johns Hopkins Health System et al. for Wheeler’s actions as an expert witness in administrative hearings for the Federal Black Lung Program. This lawsuit in ...
Day v. Johns Hopkins Health Sys. Corp., 2018 WL 5306886 (4th Cir. Oct. 6, 2018) (2-1 decision): *1 Plaintiffs brought suit against Dr. Paul Wheeler and Johns Hopkins Health System et al. for Wheeler’s actions as an expert witness in …
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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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