Sanctions

News & Analysis as of

Amended Rules Five Months Later: Early Trends in Case Law and What It Means

The amendments to the Federal Rules of Civil Procedure have been in effect since December. It didn't take long for the courts to cite them with a steady stream of opinions beginning with CAT3, LLC v. Black Lineage and Gilead...more

"The E-Discovery Digest - June 2016"

The fourth edition of The E-Discovery Digest focuses on recent decisions addressing the scope and application of the attorney-client privilege and work-product doctrine, spoliation, cost shifting and other e-discovery...more

Amended Rules Five Months Later: Early Trends in Case Law and What It Means  [Video]

The amendments to the Federal Rules of Civil Procedure have been in effect since December. It didn't take long for the courts to cite them with a steady stream of opinions. The first opinion arrived with CAT3, LLC v. Black...more

Want Sanctions? Establish That Relevant Information Was Actually Lost

FiTeq, Inc. v. Venture Corp., No. 13-cv-01946-BLF, 2016 WL 1701794 (N.D. Cal. Apr. 28, 2016). In an order disposing of eleven motions in limine, the court denied the plaintiff’s request for sanctions from alleged...more

Higher Fines Imposed for Environmental Offences

Powerday plc was issued a record fine in April this year for offences relating to operations involving over 17,000 tonnes of waste deposited and stored illegally. Powerday – one of the biggest waste-management companies in...more

Defendant's "Piecemeal" Approach to Discovery and Review of Only Select Files of Corporate Employees Results in Sanctions

In this patent infringement action, the defendants conducted a "piecemeal approach to discovery, reviewing only the files of select corporate employees." The district court found that this approach was contrary to the Federal...more

EU Customs Developments - May 2016

EU Customs Policy - Union Customs Code (UCC) Developments - On 11 May 2016, the European Commission published a correction to the Union Customs Code (UCC) Delegated Act. It removes references to certain special...more

FINRA Sanctions Investment Firm Following Unsuitable Sales of Nontraditional ETFs

On June 7, 2016, FINRA settled proceedings against a New York-based investment firm for alleged violations of its suitability and related rules, namely NASD Rule 2310 and FINRA Rules 2111 and 2010. According to FINRA,...more

How Rude! Incivility and the Groia Appeal

That loud whirring you heard earlier this week? It was the sound of Ontario’s 50,000 (or so) lawyers collectively printing the 169-page, 445-paragraph decision in Groia v The Law Society of Upper Canada. The case has been...more

Sanctions Implemented After Party Fails to Preserve Emails (California)

Mathew Enter. v. Chrysler Grp. LLC, No. 13-cv-04236-BLF, 2016 U.S. Dist. LEXIS 67561 (N.D. Cal. May 23, 2016) - In this price discrimination case, the plaintiff’s internal and external emails concerning its dealership...more

SEC Charges Private Equity Adviser for Unregistered Brokerage Activity

The U.S. Securities and Exchange Commission (SEC) on June 1, 2016 announced a settled enforcement action against a private equity fund manager (Adviser) for acting as a broker-dealer without registering. The case is...more

Lessons From SEC Sanctions Against Blackstreet

On June 1, 2016, the U.S. Securities and Exchange Commission issued an administrative order sanctioning Blackstreet Capital Management LLC and Blackstreet’s managing member and principal owner, Murry N. Gunty, for acting as...more

Attorneys must be precise in representations to court

On May 19, Judge Andrew Hanen of the US District Court for the Southern District of Texas issued a scathing order criticizing the conduct of several Department of Justice attorneys defending the federal government against a...more

The Sun is Setting On Myanmar’s Sanctions Regime

The United States imposed trade sanctions on Myanmar (a.k.a. Burma) beginning in May 1997 after determining that the military junta had committed large-scale repression of the democratic opposition in Burma. The Burma...more

SEC sanctions private equity fund adviser for acting as an unregistered broker

On June 1, 2016, the Securities and Exchange Commission issued a press release announcing that a private equity fund advisory firm and its owner have agreed to pay more than $3.1 million to settle charges that included...more

SEC Sanctions BD for Compliance Issues Tied to Data Security

Data security has long been a critical issue. Protecting confidential customer information is key for broker-dealers, investment advisers and other Wall Street participants. Cyber security is a related issue of at least equal...more

Real Property & Title Insurance Update: Weeks Ending May 29 & June 3, 2016

REAL PROPERTY UPDATE - Foreclosure/Bankruptcy Stay: because borrower’s notice of appeal was filed during pendency of bankruptcy stay it was a nullity, and appellate court lacked jurisdiction to consider appeal –Hewett v....more

Accountant and Attorney Liability Newsbrief - Spring 2016

Parties Cannot Alter by Contract the Scope or Grounds of Judicial Review of an Arbitration Award - LeClairRyan shareholders Warren Hutchison and Nancy Reimer scored an impressive victory this spring when the...more

District Court Strikes Infringement Contentions and Sanctioned Plaintiff for Taking Inconsistent Positions

The defendant, Echoworx, brought a motion to strike ZixCorp's infringement contentions. ZixCorp had served its original infringement contentions on Echoworx, contending that the elements of the patent-in-suit are software...more

Terminating Sanctions for Attorney Misconduct

Rebecca Osborne v. Todd Farm Service, et. al. - Court Of Appeal, Second Appellate District (May 2, 2016) - An attorney, as an officer of the court, has the obligation to respect and follow court proceedings and...more

CMS’s Final Medicaid Rule Tweaks the Proposed Rules Related to Marketing, Physician Incentive Arrangements and Long-term Care

On April 25, 2016, the Centers for Medicare & Medicaid Services (CMS), released the Medicaid managed care final rule entitled, “Medicaid and Children’s Health Insurance Program (CHIP) Programs; Medicaid Managed Care, CHIP...more

I’ve Made a Huge Mistake: Intentional Destruction of ESI is No Illusion

In season three of the series Arrested Development, episode 11 finds George Bluth, Sr. unsurprisingly using a giant electromagnet in an attempt to delete electronic computer files, which could potentially indict him for...more

Seventh Circuit Clarifies That Lawyers Can Appeal Nonmonetary Sanctions

Imagine that, at the end of a case, the judge decides to impose sanctions on you for the way in which you have handled discovery, or done something at trial. In the order requiring you and your client to pay your opponent...more

New Economic Opportunities with Cuba Present Financial Rewards Along with Associated Compliance Challenges

The opening of Cuba to greater commercial and financial activity offers many possibilities for U.S. financial institutions but, with those possibilities, comes a responsibility to meet the complex compliance challenges that...more

U.S. Supreme Court Rejects The Government’s Position In The Largest EEOC Fee Sanction Case Ever

Seyfarth Synopsis: In a landmark case for EEOC litigation involving fee sanctions, while employer CRST successfully argued that a ruling “on-the-merits” is not necessary to be a prevailing party, the SCOTUS remanded the case...more

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