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Access over workers' compensation decisions, including En Banc, Significant Panel Decisions, and writ-denied cases.

Case No. MISSING
Regular Panel Decision

Desser v. Ashton

This opinion addresses the sufficiency of an oral contract to satisfy the "purchaser-seller" requirement in a private action under Section 10(b) of the 1934 Exchange Act and Rule 10b-5, where no actual purchase or sale of securities occurred. The court considers whether such an oral agreement, even if potentially unenforceable under the statute of frauds, can support a federal securities claim. Reviewing existing jurisprudence, the court emphasizes a liberal and flexible construction of anti-fraud provisions to protect investors. It concludes that an action under Rule 10b-5 is not deficient merely because the contract relied upon is oral rather than written. Consequently, the defendants' motions for summary judgment are denied, and the case is set to proceed to trial, affirming the court's jurisdiction over the matter.

Securities fraudOral contractsRule 10b-5Purchaser-seller requirementStatute of fraudsPendent jurisdictionSummary judgmentFederal court jurisdictionExchange Act of 1934Investor protection
References
18
Case No. MISSING
Regular Panel Decision

City of New York v. State

This case addresses the constitutionality of Chapter 5 of the Laws of 1999, which attempted to rescind New York City's commuter tax for New York State residents while retaining it for out-of-State commuters. The City of New York challenged the statute on home rule grounds, while residents of New Jersey and Connecticut, along with the State of Connecticut, argued it violated the Federal Constitution's Privileges and Immunities and Commerce Clauses. The Court held that Chapter 5 did not violate state home rule provisions. However, it found the statute unconstitutional under the Federal Privileges and Immunities and Commerce Clauses due to its discriminatory treatment of out-of-State commuters. Consequently, the 'poison pill' provision of Chapter 5 took effect, leading to the repeal of the entire New York City commuter tax as of July 1, 1999.

Commuter TaxHome Rule ProvisionsPrivileges and Immunities ClauseCommerce ClauseConstitutional ChallengeState TaxationTax DiscriminationNew York CityLegislative PowerStatutory Repeal
References
40
Case No. MISSING
Regular Panel Decision

Metropolitan Funeral Directors Ass'n v. City of New York

Plaintiffs, including the Metropolitan Funeral Directors Association, John C. Sommese, Anthony J. Martino, Hess-Miller Funeral Home, Inc., and Simonson Funeral Home, Inc., initiated an action seeking a declaratory judgment against the City of New York, the New York City Department of Consumer Affairs (DCA), and Commissioner Jules Polonetsky. The plaintiffs challenged four recently amended DCA rules (5-162, 5-164, 5-165, 5-166) pertaining to the regulation of the funeral home industry. They contended that these rules were preempted by State law, exceeded the Commissioner's authority, lacked a legitimate government purpose, were unconstitutionally vague, and were arbitrary and capricious. Additionally, plaintiffs sought a preliminary injunction to prevent the enforcement of these rules, arguing that their implementation would cause irreparable harm to their businesses. Defendants countered that the rules were consumer-protective, a rational exercise of authority, and consistent with State law, citing a February 1999 DCA investigation report titled "The High Cost of Dying." The court, presided over by Justice Richard F. Braun, denied the plaintiffs' motion for a preliminary injunction, concluding that they failed to demonstrate a likelihood of success on the merits, irreparable injury, or a favorable balance of equities. The court also noted the plaintiffs' incomplete statement as required by CPLR 6001.

Funeral Home RegulationConsumer ProtectionDeclaratory JudgmentPreliminary InjunctionState PreemptionLocal OrdinancesAdministrative LawStatutory AuthorityUnconstitutionally VagueArbitrary and Capricious
References
21
Case No. ADJ10348591 ADJ10349019
Regular
Jan 07, 2019

MIGUEL VELAZQUEZ, SERVANDO VELAZQUEZ vs. ARTEMIO ARCE, SOLOMON MARTINEZ

The Workers' Compensation Appeals Board denied a defendant's petition for reconsideration, upholding a prior finding that liens for interpreting services were not barred by AD rule 9792.5.5. This rule, requiring a second review request for fee schedule disputes, did not apply because the interpreter services were not subject to an applicable fee schedule at the time of service. Therefore, the lien claimant's failure to request a second review did not preclude the WCAB from adjudicating the lien dispute. The Board reasoned that AD rule 9792.5.5 and associated statutes only mandate the second review process for disputes concerning amounts under an "applicable fee schedule."

Workers' Compensation Appeals BoardAD Rule 9792.5.5Official Medical Fee ScheduleIndependent Bill ReviewExplanation of ReviewLabor Code section 4603.2Senate Bill 863Threshold IssueFee Schedule DisputeInterpreter Services
References
0
Case No. MISSING
Regular Panel Decision

Noonan v. Granville-Smith

In this complex litigation, plaintiffs brought Rule 10b-5 fraud allegations against various defendants, including a law firm, concerning the sale of limited partnership interests in the now insolvent Maidsville Coal Mining Partnership. The defendant law firm subsequently filed third-party complaints seeking contribution from another law firm claimed to have participated in such representation. The third-party defendants moved to dismiss these complaints, arguing that Rule 10b-5 does not provide for contribution claims. The court denied these motions, rejecting the invitation to overturn established precedents like Globus II and Tucker v. Arthur Andersen & Co. It emphasized that while Supreme Court cases cited by the third-party defendants dealt with statutory remedies, Rule 10b-5 actions are judicially established and delimited, and the Supreme Court had explicitly left open the viability of Globus II.

Rule 10b-5Securities FraudContribution ClaimsLimited Partnership InterestsMotions to DismissSupreme Court PrecedentJudicial DelimitationFraud AllegationsLaw Firm LiabilityThird-Party Complaints
References
7
Case No. MISSING
Regular Panel Decision
Mar 26, 1998

In Re Bagel Bros. Bakery & Deli, Inc.

This order addresses whether Federal Rule of Bankruptcy Procedure 1014(b) imposes an automatic stay on proceedings in a subsequently-filed bankruptcy case. The case involves three Chapter 11 cases of Bagel Bros. Maple, Inc. and Bagel Bros. Deli & Bakery, Inc. in the Western District of New York, which are related to earlier Chapter 11 cases of MBC in the District of New Jersey. MBC filed a motion in New Jersey seeking to transfer venue and requested that the New York court automatically stay its proceedings based on Rule 1014(b). Bankruptcy Judge Michael J. Kaplan ruled that Rule 1014(b) does not constitute an automatic or self-executing stay upon the mere filing of a motion. Instead, a judicial determination and order from the first-filed court (District of New Jersey) are required to impose such a stay, ensuring that substantive rights are not abridged and allowing for judicial discretion in emergency matters. Therefore, the proceedings in the Western District of New York are not automatically stayed.

Bankruptcy ProcedureAutomatic StayFederal Rule of Bankruptcy Procedure 1014(b)Venue TransferChapter 11 ReorganizationInter-district BankruptcyJudicial InterventionSubstantive RightsFranchise AgreementsCash Collateral Disputes
References
12
Case No. ADJ7628890
Regular
Jan 03, 2020

ELIZA ARRIAGA vs. CALIFORNIA TRUCK EQUIPMENT COMPANY, STATE COMPENSATION INSURANCE FUND

This case involves a petition for reconsideration by Eliza Arriaga, who sought to overturn a dismissal of her workers' compensation claim. The Workers' Compensation Appeals Board (WCAB) denied the petition, upholding the dismissal based on WCAB Rule 10582 for lack of prosecution. The Board found the applicant's attorney's arguments misplaced and confirmed the dismissal was appropriate under Rule 10582, not the rule cited by the applicant. The WCAB adopted the administrative law judge's report in its entirety.

Workers' Compensation Appeals BoardPetition for ReconsiderationWCJ reportWCAB Rule 10582dismissallack of prosecutionnotice of intention to dismissRoth v Workers' Comp. Appeals Bd.WCAB Rule 10562failure to appear
References
2
Case No. MISSING
Regular Panel Decision

Polak v. Continental Hosts, Ltd.

The case involves two plaintiffs, Jack and Anthony Polak (shareholders of Continental Hosts, Ltd.), who filed a class action complaint alleging a violation of Rule 10(b)(5) of the Securities Exchange Act of 1934 against Continental Hosts, Ltd. and individual defendants. The Merger Plaintiff claimed the $12 per share merger price was inadequate and the Delaware appraisal right was an unfair burden. The Disclosure Plaintiff alleged selling shares at an artificially low price due to defendants' failure to disseminate financial information. The court, citing Santa Fe Industries, Inc. v. Green, held that an inadequate merger price and state appraisal rights do not constitute fraud or manipulation under Rule 10b-5. It also found no duty of disclosure for non-reporting companies or for individual defendants, and that the "disclose or abstain" rule only applies to contemporaneous traders, which the Disclosure Plaintiff was not. Consequently, the defendants' motion to dismiss the complaint was granted, with pendent state law claims also dismissed.

Securities LawRule 10b-5Motion to DismissClass ActionShareholder RightsCorporate MergersDuty to DiscloseInsider TradingDelaware LawFederal Jurisdiction
References
22
Case No. 2025 NY Slip Op 00411 [234 AD3d 623]
Regular Panel Decision
Jan 28, 2025

Rodriguez v. Riverside Ctr. Site 5 Owner LLC

Richard Rodriguez, a delivery truck driver, sustained injuries after falling into a hole at a construction site. The Supreme Court initially granted summary judgment to defendants Riverside Center Site 5 Owner LLC, Tishman Construction Corporation, and Five Star Electric Corp., dismissing Rodriguez's Labor Law claims. Upon appeal, the Appellate Division, First Department, modified the lower court's decision. The court reinstated Rodriguez's Labor Law § 240 (1) claim, granting him partial summary judgment on liability, reasoning that his tile delivery work was "necessary and incidental" to a protected activity under the statute. However, the dismissal of the Labor Law § 200 claim against Five Star Electric Corp. was affirmed, as Five Star, an electrical contractor, was deemed not a proper Labor Law defendant with supervisory control over the injury site.

Labor LawConstruction AccidentSummary JudgmentAppellate ReviewStatutory InterpretationPersonal InjuryDuty of CareWorker SafetyProtected ActivityThird-Party Action
References
9
Case No. MISSING
Regular Panel Decision

Bio-Technology General Corp. v. Genentech, Inc.

The plaintiff, BTG, initiated a declaratory judgment action against Genentech, Rogers & Wells, and John Kidd, seeking a declaration of patent invalidity and non-infringement, coupled with claims of unfair competition, malicious prosecution, abuse of process, antitrust violations, and prima facie tort under New York law. The defendants moved to dismiss claims 2 and 5-12 of the complaint. The court granted the motion, dismissing all aforementioned claims. The ruling found that Genentech's prior ITC action was not objectively baseless and thus protected by Noerr-Pennington immunity, preventing BTG's antitrust and related state common law claims. Additionally, the court affirmed that ITC determinations, while having preclusive effect on certain issues, do not preempt federal district courts' exclusive jurisdiction over patent validity.

Antitrust LawPatent LawDeclaratory JudgmentsMotion to DismissSham LitigationNoerr-Pennington DoctrineMalicious ProsecutionAbuse of ProcessPrima Facie TortUnfair Competition
References
48
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