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Behrens et al v. JP Morgan Chase Bank N. A. et al

MEMORANDUM OF LAW in Opposition re: 182 MOTION for Sanctions Pursuant to Rule 11 Against Plaintiffs and Plaintiffs' Counsel. . Document

18 Cited authorities

  1. Brown v. Felsen

    442 U.S. 127 (1979)   Cited 2,301 times   1 Legal Analyses
    Holding that "[r]es judicata prevents litigation of all grounds for, or defenses to, recovery that were previously available to the parties, regardless of whether they were asserted or determined in the prior proceeding."

  2. Securities & Exchange Commission v. First Jersey Securities, Inc.

    101 F.3d 1450 (2d Cir. 1996)   Cited 1,234 times   5 Legal Analyses
    Holding that owner-officer who collaborated in unlawful conduct of firm may be held jointly and severally liable with firm for disgorgement of unlawful gains received

  3. Rodick v. City of Schenectady

    1 F.3d 1341 (2d Cir. 1993)   Cited 198 times
    Holding that the trial court's failure to instruct the jury that the defendants were jointly and severally liable for any compensatory damages awarded, combined with a verdict sheet placing separate entries next to each officer's name, "was an invitation to the jury to come up with an erroneous damage calculation"

  4. N.L.R.B. v. United Technologies Corp.

    706 F.2d 1254 (2d Cir. 1983)   Cited 261 times
    Finding claims not precluded for these reasons

  5. L-Tec Electronics v. Cougar Electronic Organ

    198 F.3d 85 (2d Cir. 1999)   Cited 141 times
    Holding that "same cause of action" requirement applies to preclude "claims based upon different legal theories . . . provided they arise from the same transaction or occurrence"

  6. In re Amaranth Natural Gas Commodities Litigation

    587 F. Supp. 2d 513 (S.D.N.Y. 2008)   Cited 88 times   2 Legal Analyses
    Holding that a complaint alleging manipulation of commodities prices must always satisfy the heightened standard of Rule 9(b) because “market manipulation is inherently deceptive”

  7. E. Gluck Corporation v. Rothenhaus

    252 F.R.D. 175 (S.D.N.Y. 2008)   Cited 65 times
    Finding sanctions inappropriate where movant's arguments went to the merits of the dispute or were properly resolved in discovery

  8. Prime Management Co., Inc. v. Steinegger

    904 F.2d 811 (2d Cir. 1990)   Cited 74 times
    Holding that "res judicata will preclude the party's subsequent suit for any claim of breach that had occurred prior to the first suit; it will not, however, bar a subsequent suit for any breach that had not occurred when the first suit was brought," and citing Klein v. John Hancock Mut. Life Ins. Co., 683 F.2d 358 (11th Cir. 1982), which involved a similar ruling in the context of a prior suit ending in a settlement and release

  9. MF Global Holdings Ltd. v. PricewaterhouseCoopers LLP

    232 F. Supp. 3d 558 (S.D.N.Y. 2017)   Cited 14 times
    Striking a supplemental expert report which included "additional analysis of trading data of European sovereign debt instruments that was available to him prior to submitting his initial expert report."

  10. Pierce & Weiss, LLP v. Subrogation Partners LLC

    701 F. Supp. 2d 245 (E.D.N.Y. 2010)   Cited 20 times
    Denying attorney's application for admission pro hac vice on the basis of imputed conflict

  11. Rule 15 - Amended and Supplemental Pleadings

    Fed. R. Civ. P. 15   Cited 91,180 times   91 Legal Analyses
    Finding that, per N.Y. C.P.L.R. § 1024, New York law provides a more forgiving principle for relation back in the context of naming John Doe defendants described with particularity in the complaint

  12. Rule 11 - Signing Pleadings, Motions, and Other Papers; Representations to the Court; Sanctions

    Fed. R. Civ. P. 11   Cited 35,998 times   145 Legal Analyses
    Holding an "unrepresented party" to the same standard as an attorney

  13. Section 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce

    7 U.S.C. § 2   Cited 511 times   54 Legal Analyses
    Adopting respondeat superior principles for regulatory actions brought by the Commodity Exchange Commission

  14. Section 6 - Regulation of futures trading and foreign transactions

    7 U.S.C. § 6   Cited 264 times   12 Legal Analyses
    Prohibiting futures trades outside contract markets

  15. Section 4.14 - Exemption from registration as a commodity trading advisor

    17 C.F.R. § 4.14   Cited 160 times   2 Legal Analyses

    This section is organized as follows: Paragraph (a) of this section specifies the criteria that must be met to qualify for exemption from registration under this section, including the notice of exemption from registration and continuing obligations of persons who have claimed exemption under paragraph (a)(8) of this section; paragraph (b) of this section concerns "cash market transactions"; and paragraph (c) of this section specifies the effect of registration on a person who has claimed an exemption

  16. Section 1.2 - Liability of principal for act of agent

    17 C.F.R. § 1.2   Cited 53 times

    The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person. 17 C.F.R. §1.2