Civil Procedure - Motion for Sanction

Types of Sanctions

1. Restrictions 

2. Plaintiff have their case dismissed 

3. The D could lose on the merits 

'Safe Harbor' Provisions – MFS must: 

1. Be given with notice and reasonable time to respond 

2. Be made separately from any other motion 

3. Describe specific conduct violating Rule 11 

4. Not be filed or presented if the violation withdrawn/corrected within 21 days of service 

4 Reasons When Sanctions are Imposed 

Signature or presentation of pleading certifies reasonable inquiry under the circumstances and that: (Only one of these has to be at issue) 

1. Pleading not for improper purpose (Multiple Choice) 

   • Suing someone "just because" or out of spite (no basis in fact) 

2. Legal contentions are 'warranted by law' (Most important – Essay) 

   • Either existing law – a good faith argument for the extension, reversal, or modification of good law. 

3. Fact contentions have 'evidentiary support' (Most important – Essay) 

   • Either now or through discovery 

4. Denials of factual contentions are similarly warranted and have evidentiary support (or reasonable based on lack of information (Multiple Choice) 

Legal Contention is 'warranted' - Rule

legal contention is 'warranted' by law if supported by existing law or nonfrivolous argument for extension, modification, or reversal of existing law. 

• Nonfrivolous: just because you lose doesn’t mean you can be sanctioned. 

• Ex: D will argue TRA claim isn't warranted by existing law b/c TRA is 

  • Merely proposed law and 

  • Was neither passed by a NY legislature nor signed by the Governor. 

Fact Contention Supported by 'Reasonable Inquiry' Rule

• Rule: fact contention must be supported by 'reasonable inquiry' under the circumstances 

  • Reasonable inquiry under circumstances: The more time you have, the more you should investigate. 

• Definition: 'Reasonable Inquiry' under circumstances exists if pleader has performed sufficient investigation to determine fact contention has 'evidentiary support' or likely will have such support after discovery.