Rule 11

News & Analysis as of

Lawyers Sanctioned for Seeking to Settle Federal Court Class Action in State Court

Lawyers seeking to settle class actions pending in federal court by dismissing and refiling in state court beware! In two recent orders, a federal judge in the Western District of Arkansas ruled that the attorneys...more

The Punishing Effect of Rule 11

Federal courts correct bad litigation behavior, eventually. People take being sued personally, and lawsuits can take an emotional toll on defendants, whether as an individual or as a representative of an employer. Anger...more

PTAB Practice Update: Amended Rules of Practice for Trials before the PTAB Now in Effect

Effective May 2, 2016, the United States Patent and Trademark Office (USPTO) has amended the existing consolidated set of rules of practice for trial proceedings before Patent Trial and Appeal Board (PTAB), including inter...more

Patent Office Issues Final Rule Amending the Rules of Practice for Trials at the PTAB

The U.S. Patent and Trademark Office (Patent Office) has issued a final rule that addresses aspects of trial practice for America Invents Act (AIA) proceedings before the Patent Trial and Appeal Board (PTAB), takes effect May...more

Patent Office Updates Rules for Post-Grant Proceeding Duty of Candor

The United States Patent and Trademark Office recently amended 37 C.F.R. § 42.11 to include a certification requirement similar to that of Rule 11. Section 42.11 prescribes the duty of candor owed to the Patent Office. As...more

USPTO Publishes Substantive Changes to PTAB Rules

On April 1, 2016 the USPTO published the final rules that make substantive changes to the Patent Trial and Appeal Board (PTAB) trial practice rules for inter partes review (IPR), covered business method (CBM), and post-grant...more

USPTO Issues Second Round of AIA Rule Changes

On April 1, 2016, the U.S. Patent and Trademark Office (USPTO) issued another round of amendments to the rules governing Patent Trial and Appeal Board (PTAB) trial proceedings under the Leahy-Smith America Invents Act (AIA)....more

SEC Prevails in Payton Insider Trading/Tipping Case

The SEC prevailed in its insider trading/tipping case against two New York brokers were Newman and its tipping standard was a key issue. SEC v. Payton, Civil Action No. 14 civ 4644 (S.D.N.Y.). On Monday a jury in New York...more

Attorneys’ Fee Award Cannot Be Enhanced to Deter Misconduct (Lumen View Technology, LLC v., Inc.)

Addressing whether deterrence can play a role in an attorneys’ fee award under § 285, the U.S. Court of Appeals for the Federal Circuit held that once a case is deemed exceptional, § 285 only authorizes an award of reasonable...more

Federal Circuit Reverses Punitive Exceptional Case Fee Award as Improperly Enhanced

On January 22, 2016, the Federal Circuit issued its opinion in Lumen View Technology LLC v. (Dkt. No. 15-1275), in which it vacated and remanded the lower court’s award of enhanced attorney fees under 35...more

Federal Court Awards Sanctions Against the Filer of Improper Rule 11 Motion

Be careful what you wish for. That was the message Middle District of Florida Judge Carlos Mendoza delivered in Claudet v. First Federal Credit Control, Inc., 14-CV-2068  (M.D. Fla. Nov. 17, 2015) to the filer of an improper...more

Host of Rule Changes Go Into Effect Today in the New York Commercial Division

The rules governing practice in the Commercial Division of New York Supreme Court have undergone a number of important amendments, additions, clarifications and other modifications effective today....more

Rule 11 Sanctions (Again!) From The NC Business Court

This month, for the second time in the last two months, Judge McGuire of the NC Business Court entered Rule 11 sanctions against a party whose attorney relied on inaccurate information from the client in making claims against...more

Court Orders Law Firm and Client Joint and Severally Liable for Part of Attorney's Fee Award After Determination That Case Was...

The district court briefly summarized this patent infringement action that it found frivolous as follows: "In the 1990's, Segan invented a system for people to browse the Internet. Today, Zynga makes video games that people...more

Intellectual Property Bulletin - Summer 2015

28 U.S.C. § 1782: A Powerful Tool in Global Disputes - As the number and complexity of cross-border and multi-jurisdictional disputes increase, companies can use 28 U.S.C. § 1782 to obtain evidence from U.S.-based...more

Fruitful Harvest of Attorneys’ Fees and Sanctions for Farmville Creator Zynga

Order Granting Motion for Attorneys’ Fees: Granting Motion in Part for Sanctions, Segan LLC v. Zynga Inc., Case No. 14-cv-01315-VC (Judge Vince Chhabria) - We previously reported on the Segan v. Zynga case when Judge...more

Rule 11 Sanctions Are Rare and Reserved for the Most Egregious of Violations - Predator Int’l, Inc. v. Gamo Outdoor USA, Inc.

The U.S. Court of Appeals for the Tenth Circuit reversed an order sanctioning an attorney under Federal Rule of Civil Procedure 11, holding that the district court abused its discretion in finding the attorney’s tactical...more

The Big Three: The 9th Circuit Joins The 6th Circuit and 7th Circuit in Holding That Sanctions For Bad-Faith Litigation Tactics...

In Law v. Wells Fargo Bank, N.A. (2015 S.O.S. 13–56099 – filed August 27, 2015), the Ninth Circuit joined the shortlist of Circuit Courts to hold that sanctions for bad-faith litigation tactics under 28 U.S.C. section 1927...more

USPTO Introduces Second Wave of PTAB Rule Changes

On August 20, 2015, the US Patent and Trademark Office (“USPTO”) issued a Proposed Rule containing amendments to the Rules of Practice governing proceedings before the Patent Trial and Appeal Board (“PTAB”). This proposed...more

Patent Board’s Proposed New Rules for PTAB Trials

The PTAB issues its second round of proposed rule changes. The Patent Trial and Appeal Board (PTAB) just issued its second round of proposed rule changes to post-patent issuance review proceedings (Inter Partes Reviews,...more

USPTO Announces Second Round of AIA Rule Changes

On August 19, 2015, the U.S. Patent and Trademark Office (USPTO) announced another set of proposed changes to the rules governing Patent Trial and Appeal Board (PTAB) trial proceedings under the America Invents Act (AIA)....more

The PTAB’s Proposed Rule Changes (August 20, 2015)

Patent owners can include expert testimony with a preliminary response. The Patent Office (Office) conducted a nationwide listening tour in April and May of 2014 to gauge the effectiveness of the rules governing...more

Will New PTAB Rules Impact IPRs Filed By Kyle Bass Hedge Fund?

On August 19th, the USPTO released a new set of proposed rules related to post-grant proceedings before the Patent Trial and Appeal Board (PTAB). Among the many offered rules was the addition of a “Rule 11-type certification”...more

PTAB Summer Package of Proposed Rule Changes Now Available and Open for Public Comment

On March 31 we posted about the Patent Office rolling out a series of rulemakings for improving post-grant proceedings before the Patent Trial and Appeal Board (PTAB) pursuant to public feedback to a Request for Comments...more

US Patent Trial and Appeal Board proposes rule changes to AIA trials

The United States Patent and Trademark Office (USPTO) recently issued its proposed changes to the rules for AIA trials, which include inter partes review (IPR), post-grant review (PGR) and the transitional program for covered...more

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