E-News

Case Summaries

Ethics & Professional Responsibility

[12/03] W.R. Huff Asset Mgmt. Co., LLC v. Deloitte & Touche LLP
Denial of motion to dismiss plaintiff's complaint alleging securities violations is reversed where: 1) plaintiff-investment advisor lacked constitutional standing to bring suit for violations of the federal securities laws in its own name but on behalf of its clients, the beneficial owners of the relevant securities; 2) plaintiff did not demonstrate an "injury-in-fact" because it does not have legal title or ownership of its clients' claims; and 3) plaintiff's dual status as an attorney-in-fact for litigation purposes and an investment advisor with unfettered discretion over its clients' investment decisions did not confer on Article III standing to sue in a representative capacity on its clients' behalf.

[12/02] Lawrence v. Graubard Miller
In a suit arising from legal proceedings surrounding the administration of an estate, denial of a motion to dismiss a law firm's petition seeking to compel the payment of legal fees is affirmed where the question of whether the retainer agreement at issue was unenforceable on the basis of unconscionability, either at the time it was entered into or in retrospect, was a factual one that could not be answered at the pre-answer motion stage.

[11/24] US v. Cavitt
Denial of motion to vacate defendant's conviction for possession with intent to distribute cocaine is vacated, and case remanded for an evidentiary hearing, where: 1) the record did not conclusively demonstrate that a search of defendant's vehicle was justified by either voluntary consent or reasonable suspicion; and 2) defendant's claims that his counsel was ineffective for failing to object to the evidence produced by the search could not therefore be denied before an evidentiary hearing was conducted.

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Legal Malpractice

[11/28] Estate of Storm v. Northwest Iowa Hosp. Corp.
In a negligence case brought by the estate of a stillborn baby, the estate's interlocutory appeal is dismissed for lack of jurisdiction as plaintiff failed to timely file the requisite application for permission to appeal in the circuit court, or the equivalent.

[11/28] OFS Fitel, LLC v. Epstein, Becker and Green, P.C.
In an attorney negligence case, district court's final judgment of dismissal is affirmed in part and reversed in part where: 1) jurisdiction did exist over the appeal; 2) the undisputed facts showed plaintiff had substantial justification for its conduct as to its expert report, that the record did not support the district court's willful-delay determination as to that report, and thus the district court abused its discretion in excluding witness' expert testimony; and 3) the district court's choice of sanction was within its range of options under Rule 37(d) and 37(b)(2)(C) given its finding of a complete and willful failure to comply with defendant's Discovery Request.

[11/21] US v. Armstrong
Convictions and sentences of multiple defendants for offenses relating to a scheme to dispense certain controlled substances in violation of the Controlled Substances Act (CSA) are affirmed in part and reversed in part where: 1) expert testimony was not required to establish criminal violation of the CSA on the facts of the case; 2) defendant-registered nurse could be held liable for aiding and abetting under the CSA, even though she was not registered to dispense controlled substances; 3) aiding and abetting convictions could not stand on the CSA counts for which the alleged principal had been acquitted; 4) the jury charge was a correct statement of law; 5) evidence of tax evasion as a motive for under-reporting income was properly admitted; 6) there was sufficient evidence to support a money-laundering conviction; and 7) defendant-physician's sentence was reasonable.

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Professional Malpractice

[11/28] Estate of Storm v. Northwest Iowa Hosp. Corp.
In a negligence case brought by the estate of a stillborn baby, the estate's interlocutory appeal is dismissed for lack of jurisdiction as plaintiff failed to timely file the requisite application for permission to appeal in the circuit court, or the equivalent.

[11/28] OFS Fitel, LLC v. Epstein, Becker and Green, P.C.
In an attorney negligence case, district court's final judgment of dismissal is affirmed in part and reversed in part where: 1) jurisdiction did exist over the appeal; 2) the undisputed facts showed plaintiff had substantial justification for its conduct as to its expert report, that the record did not support the district court's willful-delay determination as to that report, and thus the district court abused its discretion in excluding witness' expert testimony; and 3) the district court's choice of sanction was within its range of options under Rule 37(d) and 37(b)(2)(C) given its finding of a complete and willful failure to comply with defendant's Discovery Request.

[11/21] US v. Armstrong
Convictions and sentences of multiple defendants for offenses relating to a scheme to dispense certain controlled substances in violation of the Controlled Substances Act (CSA) are affirmed in part and reversed in part where: 1) expert testimony was not required to establish criminal violation of the CSA on the facts of the case; 2) defendant-registered nurse could be held liable for aiding and abetting under the CSA, even though she was not registered to dispense controlled substances; 3) aiding and abetting convictions could not stand on the CSA counts for which the alleged principal had been acquitted; 4) the jury charge was a correct statement of law; 5) evidence of tax evasion as a motive for under-reporting income was properly admitted; 6) there was sufficient evidence to support a money-laundering conviction; and 7) defendant-physician's sentence was reasonable.

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