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Civil Procedure 13.

Veracity Statements for Filed Documents:While a court has authority to impose sanctions, in federal courts
federal rule 11 is the primary source of power for sanctioning attorneys and their clients. I.Federal Rule 11:an attorneys signature originally contituted a certification that good grounds existed for a pleading. II.New Federal Rule 11:Dual Purpose: A.Establishes the standards for attorneys and parties who file pleadings, motions or other documents in court. B.Regulations:Regulates the situations in which court may impose sanctions for rule violations. III.Federal Rule 11:requires that a document must be signed by an attorney of by the party, if there is no attorney. A.Eliminations:The signature eliminates verification requirements [where a client and attorney must co-sign documents]. B.Failure to Sign:For a failure to sign, the court must strike, under rule 11(a)the paper unless the paper is signed promptly after the attorney or party becomes aware of the problem. C.Duty of Candor:Litigants are subject to sanctions for advocating a position after is is no longer tenable. The rule protects litigants against sanctions if they withdraw, or correct contentions after being notified about a potential violation. 1.When Does Candor Apply:Applies only to assertions in papers filed with the court. a)Does not apply to matter arising from the first time during oral presentations to the court when an attorney may make a statement that would not have been made had there been more time for research and thought. D.Sanctions Mandatory:Under rule 11, the trial court has discretion to determine whether to apply sanctions. However, the rule states that the sanctions should be no more severe than reasonably necessary to deter repetition of the conduct by the offending party. [Ruszala v. Walt Disney World Company]Florida 2000 Plaintiff:Ruszala Defendant:Walt Disney World Co. Procedural Posture: Facts:Disney World had information that Ruszala might be stealing profits from one of their restaurants. 1.Corporal Stephens went in to question Ruszala and when Ruszala said he wanted an attorney, Stephens arrested him. 2.Ruszla named Sheriff Beasley as another defendant because he was the sheriff of the department over Stephens. Issue:Whether Ruszala would be sanctioned for pursuing his claim against the defendants when he admitted that the claim was frivolous Holding:Yes Rule Used:Rule 11:Claims that are frivolous and still defended are subject to sanction. Notes: 2.)All filed pleadings, motions and other papers must be signed by the individual attorney of record or by the party who is unrepresented. In either situation, the signers address must be included. *Team of Attorneys:When an individual attorney representing a team signs a document, he may not necessarily be the only one responsible for either decision to file the document or its preparation. Those attorneys who are related may also be held liable for sactioning. When is a Represented Party Responsible for Problems with a Filed Document: Attorneys should make a reasonable effort to expedite the legal service litigation consistent with the interests of the client. *If the claim is only to embarass, harass, delay or burden a third person and has no substantial purpose, then the case is frivolous. [Christian v. Mattel, Inc.]2002 Californias 9th Circuit. Plaintiff: James Hicks named Christian as his representative. Defendant: Mattel Procedural Posture: The district court found for the D under rule 11 and awarded costs of litigation to be paid by the P. P appeals. Facts:Christian brought the suit over copyright infringement over a doll that he said that Mattel took ideas from in their construction of their new barbie doll. Issue: Rule 11:Whether the Rule 11 sanctions were proper? 1.Whether the complaint is legally or factually baseless from an objective perspective? 2.If the attorney conducted a reasonable and competent inquiry before signing and filing the claim? Holding:No 1.Yes 2.Yes Rule Used: Rule 11 only applied to signed papers in litigation and the district court did not make it clear if their claims arose from signed papers or from oral arguments, etc.

Civil Procedure 13.2 1. 2. Rationale: Disposition: Reversed and Remanded for further proceedings. Notes and Questions: 1.)Reasonable under the circumstances:in rule 11 codifies the previous judicial conclusion that the thoroughness of the inquiry required by rule 11 depends in part upon the time available for investigation. *An inquiry that would be unreasonable when the attorney has had months to contemplate over it may not be unreasonable when that same attorney has only had a couple of days to contemplate the case. In determining whether an attorney may be sanctioned for relying on a clients statements, courts must determine whether there was evidentiary support corroborating factual misrepresentations. Problems: 1.)Prior to filing a Rule 11 motion for sanctions against Chumbley and Assoc., P Boyer sent an email to C warning her that he would rile a rule 11 motion against her unless she withdrew her obviously groundless motion to dismiss his complaint. How should C respond? C would have 21 days to correct the disputed motion or withdraw it. Under Rule 11C2

2.)C responds to P Boyers complaint by filing one document with the court containing an answer, a motion to dismiss, and a motion for sanctions under Rule 11. How should Boyer respond? Under Rule 11(c)(2), a sanction must be filed separately and must describe the specific conduct that violates rule 11(b). The parties are also expected to give informal notice that a rule 11 motion is going to be plead and that person has 21 days to remove the complaint or make it more sufficient.

3.)After Carrells motion to dismiss Ls good faith complaint was granted for the first time for failure to state a claim for relief, Carrel notified L about its intent to seek sanction and three weeks later moved for sanctions under rule 11. Should the court deny or grant the motion? Yes, if L did not withdraw or amend the complaint although L still should have a chance to amend the complaint or withdraw it before a motion for a rule 11 sanction can be made especially considering that this is a first time offense.

4.)Same as #3 except that Carrel filed its rule 11 motion for sanctions when Ls identical complaint was dimsised for the third time within a ten month period under rule12b6, based on the current law. Should the court grant or deny the motion for sanctions? Yes.see above.

5.)W sued Davis for breach of Contract. After 2 years of discovery and an unsuccessful motion to dispose of the case on its merits, the parties settled the case. A month later, the judge in the case issued an order for D to pay the plaintiffs attorneys fees. Was this order proper? Yes, under Rule 11(c)(3) the court may apply rule 11 sanctions on its own discretion.

Civil Procedure 13.2

6.)A serves as local council for C, a law partnership with 40 members and 60 associates located in another fed district. C is the ps lead counsel in the W v. D, breach of contract claim. 2 associates are working on the case with C. C and the 3 associates work on a pretrial motion to dismiss for lack of SMJ, and one of the associates signs it and sends it to A to file. The motion can only be termed a legally groundless motion. Assuming that the D has followed the Rule 11 procedures, who is liable for sanctions if the court agrees that monetary sanctions are appropriate in reaction to the SJM motion? Under Rull 11(c)(3), the whole lawsuit may be liable barring exceptional circumstances. Certainly the 3 associates would be liable.

7.)Same as #6 except that the motion is not only legally deficient. It also reflects numerous factual misstatements by clients who were in a position to investigate and report accurately the facts supporting the motion. Can the client now be sanctioned? Yes, Under Rule 11(b)(3) each of the clients is to contribute reasonable inquiry into the subject, which they were able to do.

8.)In #6, the court is inclined to impose monetary sanction against the attorneys, instead of other sanctions. What criteria determine when monetary sanction are appropriate? what alternative non monetary sanctions are available? Under Rule 11(c)(4), monetary damages are appropriate to deter certain activities but may only be granted to a party when warranted for effective deterrence.Under Rule 11(c)(5)(a-b) a monetary sanction may also not be granted against a represented party for violating Rule 11(b)(2) or on its own, unless it issued the show-clause order under rule 11(c)(3) before voluntary dismissal or settlement of the claims made by or against the party that is, or whose attorneys are, to be sanctioned.