Legal Opinion

In Re Pennie & Edmonds LLP

Court of Appeals for the Second Circuit

Decided March 14, 2003No. 02-7177PublishedCited by 142 opinions

1Opinion of the Court

Judge UNDERHILL dissents with a separate opinion.

JON 0. NEWMAN, Circuit Judge.

This appeal presents a narrow issue concerning the applicable mens rea standard when a trial judge, sua sponte, initiates a post-trial Rule 11 sanction proceeding because a lawyer permitted a client to submit a false affidavit at an earlier stage of the litigation. The specific issue is whether the lawyer’s liability for the sanction requires a mental state of bad faith or only objective unreasonableness in circumstances where the lawyer has no opportunity to withdraw or correct the challenged submission. Pennie &…

2Cases cited14 opinions

  1. Stephen Michael Ridder v. City of Springfield, Clark CountyCourt of Appeals for the Sixth Circuit · 1997
  2. United States v. Norman TurkishCourt of Appeals for the Second Circuit · 1980
  3. George Hadges, William M. Kunstler v. Yonkers Racing Corp.Court of Appeals for the Second Circuit · 1995
  4. United States v. Marion Seltzer, Esq., Vaughn Rosario, A/K/A Vaughn MichaelsCourt of Appeals for the Second Circuit · 2000
  5. United National Insurance Company, a Pennsylvania Corporation, and Travelers Casualty and Surety Company, Formerly Known as Aetna Casualty and Surety Company v. R&d Latex Corporation, a Georgia Corporation Royalty Carpet Mills, Inc., a California Corporation, and Mydrin, Inc., for Itself and as Successor in Interest to R&d Latex Corp., Mydrin, Inc., for Itself and as Successor in Interest to R&d Latex Corp., Plaintiff-Counter v. Travelers Casualty and Surety Company, Formerly Known as Aetna Casualty and Surety Company, Defendant-Counter-Claimant-Appellant, and William C. Morison-Knox and Michael D. ProughCourt of Appeals for the Ninth Circuit · 2001

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3Cited by142 opinions

  1. Gollomp v. SpitzerCourt of Appeals for the Second Circuit · 2009
  2. ResQNet. Com, Inc. v. Lansa, Inc.Court of Appeals for the Federal Circuit · 2010
  3. Jenkins v. Methodist Hospitals of Dallas, Inc.Court of Appeals for the Fifth Circuit · 2007
  4. Gwynn v. Walker (In Re Walker)Court of Appeals for the Eleventh Circuit · 2008
  5. ATSI Communications, Inc. v. Shaar Fund, Ltd.Court of Appeals for the Second Circuit · 2009

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