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lawandorder解惑: Rule11动议相关问题

已有 9275 次阅读2011-8-15 13:18 分享到微信

lawandorder先生在8月13日的评论中阐述:桑兰现在仍可撤诉。但是Rule 11 动议即使原告撤诉,法院照样有权判。因为诉讼撤销后Rule 11 打的诉状时是现存的第二修改状,桑兰应该和被告谈判,达到被告同意撤销Rule 11 动议和原告撤销该诉讼的共识。从各种法律分析上看,如果原告有此谈判意图,被告应该同意撤销Rule 11 动议,结束该诉讼。

对此,网友们提出不少问题,lawandorder先生也做了精彩解答。感谢他在百忙中牺牲休息时间为大家解惑。特此将问题和解答集结如下,与大家分享:

问题一:

问:没准现在桑海已经向莫虎建议谈判,用撤诉换取莫虎请求终止R11。

答:如果他们这样做,刘谢应该同意终止Rule 11. 利大于弊。


问题二:

问:为何利大于弊?

答:在我来看,被告避免了法官强行判决存在的批准第三修改状的危险 (不管多少), 解决了这个案件,是最大的利。


问题三:

问:如果这样,莫虎已经付出的时间费用找谁补偿?刘谢付钱?还是免费?

答:我以前在艾艾代发的文章中有过评论,Rule 11 在1993 做了重大修订,其中之一重大修改是澄清了Rule 11的目的:是警示制止性 ("what suffices to deter") 而不是赔偿性(not to compensate). (见Rule 11(c)(4) "Nature of a Sanction. A sanction imposed under this rule must be limited to what suffices to deter repetition of the conduct or comparable conduct by others similarly situated. The sanction may include nonmonetary directives; an order to pay a penalty into court; or, if imposed on motion and warranted for effective deterrence, an order directing payment to the movant of part or all of the reasonable attorney's fees and other expenses directly resulting from the violation.") (http://www.law.cornell.edu/rules/frcp/Rule11.htm) 

尽管1993年修改后的Rule 11(c) 最后有这个“part or all of the reasonable attorney's fees and other expenses directly resulting from the violation," 1993年以后的案例很少有判律师费, 就是有也只是限制在“和违反Rule 11 直接相关的律师费和费用。”


问题四:

问:不知道刘谢同意主动撤销R11之后,是否还可以用同样的理由对桑海提起反诉?即使可以提起反诉,桑海也一定会用对方曾经主动撤除R11来为自己辩护?以R11换取撤诉就是刘谢的自残,而且是在胜券在握时的主动自残。

答:第一个问题,“不知道刘谢同意主动撤销R11之后,是否还可以用同样的理由对桑海提起反诉,” 当然可以, Rule 11 本来就不是反诉或独立诉讼。

第二个问题 “即使可以提起反诉,桑海也一定会用对方曾经主动撤除R11来为自己辩护," 这是个和解协议条款问题,如果他们附加这个条件,那被告当然就不会同意交换了。


问题五:

问:我的理解如下,您看看理解的对不对:Rule11动议其实并没有什么威力,主要是示警,有点像“前方熊出没,请勿前行”的告示牌。即使动议成功,也不容易让原告及律师赔被告律师费,更不用说打掉原告律师的执照。

答:很难的问题,但很遗憾你的理解不很正确。 “前方熊出没,请勿前行” 告示牌如改为 “前方熊出没,谨慎前行“ 比较准确。

Rule 11 动议很有威力,但一般律师之间不经常使用,法院也不轻易判。这是因为Rule 11 规定如果指控只是在事实上或法律上有争议, 即使诉状被Rule 12(b) 动议取消,原告指控也并不自动变为Rule 11 攻打的“轻浮”诉讼(frivolous litigation)。

另外,即使能够证明某诉状指控违反Rule 11, Rule 11 规定取消诉状本身就是一个惩罚的方式, 或者象征性罚一部分钱, 而且通常付给法院而不是对方。 

一般情形下,法官不把违反Rule 11 报告给律师纪律委员会进行纪律调查, 所以不存在律师纪律和执照的问题。 

但这个案件不一般,是Rule 11射程里的标准目标, 也是Rule 11 的标准例子。 原告律师曾经承认,知道有些指控已过期,知道有些理论不会成功。从一个合理第三者法律角度,最初诉状里的指控除诽谤外全都过期,明知过期,还递交诉讼,第二中级法院系统里有类似案例认定这种情形下属于违反Rule 11并进行惩罚。

但是由于Rule 11在1993年修改后规定支付对方律师费是“例外,”因此,在本案上,法院是否判给被告律师费,或者是否判所有的律师费将难于判断,特别是原告主动撤销了很明显过期的那些指控。

现在被告的Rule 11 的目标是第二修正状,或者动议批准后的第三修正状的绝大部分指控。 

( 我对第三修改状的初步阅读认为有个小理论有可能会活下来, 这就是我上面提到的小风险。)


问题六:

问:请教LAO一个问题,律师在法庭外撒谎是否可以用在法庭上?海明说他曾经是NYU教授,显然是撒谎。他说周立波已经被起诉也显然是撒谎,而且是威胁、是诬陷。莫虎可以用这些来向法官证明海明是一个没有信誉的人吗?

答: 您的问题“律师在法庭外撒谎是否可以用在法庭上?”回答是:如果和这个律师代理的案件相关(标准很低)而且和对手的某立场有利,一个律师在任何地方所作的撒谎都可以而且经常被对手用在法院。因为纪律要求一个律师在法庭内法庭外都不可以撒谎。 如果一个律师在一个法官面前失去了信誉,这个官司一半就死了。


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发表评论 评论 (31 个评论)

回复 真实话语 2011-8-16 01:53
Law, 能不能说说,什么样的反手动作能促成这场诉讼的结束?
回复 艾艾 2011-8-16 01:07
To: lawandorder 你曾经说:
Aiai: I think we have earned some light moments in this whole thing, even with an actually pretty serious blog title up there. In any event, courthouses are part of the court system. Very good introduction about Justice Marshall. Two more points: he was a judge of the Second Circuit in the 1960‘s before he was appointed to the SCOTUS (that‘s why the building was rededicated in honor of him), a
Yes we especially you deserve some light moments. It‘s hard to be serious all the time. :)) And thank you for sharing the info of Justice Marshall. From what I read, he is amazing.
回复 安然居住 2011-8-16 00:05
请教:
有关问题三:是不是说莫虎在RULE11上的工作量是不应该计费的?
由问题五得出的印象:HM的律师资格在目前的交锋层次是打不掉的?
还有,可否请lawandorder先生有时间的话简明科普一个律师资格被吊销的案例?
谢谢!
回复 lawandorder 2011-8-15 21:39
To: 艾艾 你曾经说:
Thank you, LAO. I did a search on Justice Marshall, and found him an amazing person. I am sure you know his story.

“Thurgood Marshall, Civil Rights Hero, Dies at 84,

Thurgood Marshall, pillar of the civil rights revolution, architect of the legal strategy that ended the era of official segregation and the first black Justice of the Supreme Court, died today. A major

Aiai: I think we have earned some light moments in this whole thing, even with an actually pretty serious blog title up there. In any event, courthouses are part of the court system. Very good introduction about Justice Marshall. Two more points: he was a judge of the Second Circuit in the 1960‘s before he was appointed to the SCOTUS (that‘s why the building was rededicated in honor of him), and current sitting Justice Elena Kagan clerked for him in the 1980‘s.
回复 艾艾 2011-8-15 21:15
To: lawandorder 你曾经说:
Aiai: I love your new blog picture -- the Thurgood Marshall United States Courthouse built in 1932 -- the building is awesome, isn‘t it? We have to show these courthouse pictures in time before the case is over. But the problem is ... you are my superior ... :) (Also, please delete the messages 18:50 and 18:41 as your new picture now speaks volumes.) Thank you.
Thank you, LAO. I did a search on Justice Marshall, and found him an amazing person. I am sure you know his story.

“Thurgood Marshall, Civil Rights Hero, Dies at 84,

Thurgood Marshall, pillar of the civil rights revolution, architect of the legal strategy that ended the era of official segregation and the first black Justice of the Supreme Court, died today. A major figure in American public life for a half-century, he was 84 years old.

Born July 2, 1908 in Baltimore, Maryland, he graduated from Lincoln University in Oxford, Pennsylvania.

He served as counsel and chief counsel for the National Association for the Advancement of Colored People (NAACP), and argued the groundbreaking case of Brown vs. Board of Education before the United States Supreme Court which effectively made segregration of the races in public schools illegal.

In 1967, President Lyndon Johnson appointed him to the Supreme Court, replacing the retiring Justice Tom Clark of Texas. He was the first black to serve on the Court and was, in most reports, an almost larger-than-life figure there.

He stepped down from the Court in July 1991 due to failing health and died of heart failure on January 24, 1993 at Bethesda Naval Medical Center in Maryland.

He was buried in Section 5 of Arlington National Cemetery, near the graves of fellow Justices, Oliver Wendell Holmes, Jr., William O. Douglas, William J. Brennan and Potter Stewart. “
回复 lawandorder 2011-8-15 20:44
Aiai: I love your new blog picture -- the Thurgood Marshall United States Courthouse built in 1932 -- the building is awesome, isn‘t it? We have to show these courthouse pictures in time before the case is over. But the problem is ... you are my superior ... :) (Also, please delete the messages 18:50 and 18:41 as your new picture now speaks volumes.) Thank you.
回复 lawandorder 2011-8-15 18:38
To: 何哲 你曾经说:
如果刘谢莫不拿出敲掉保密协议的动作,桑兰不会觉得有必要撤诉。如果有些项目哪怕一个小项目能穿过莫虎的动议活下来进入庭审,她还会发动新的攻势。至于律师嘛,到时候未必继续用海明。
何先生: 十分同意。打开保密逼迫撤诉我在评论他们的协议中也提到是反手策略。 当然,还有很多其他反手动作在我看来也会极大促成这场诉讼的完结。
回复 lawandorder 2011-8-15 18:35
To: lovebirds 你曾经说:
谢谢lawandorder的解释和艾艾的转达!
As always, thank you, lovebirds.
回复 lawandorder 2011-8-15 18:34
Nice work, Aiai. Hope this helps. (Note my new blog picture -- S.D.N.Y. building 500 Pearl Street entrance.)
回复 何哲 2011-8-15 15:23
如果刘谢莫不拿出敲掉保密协议的动作,桑兰不会觉得有必要撤诉。如果有些项目哪怕一个小项目能穿过莫虎的动议活下来进入庭审,她还会发动新的攻势。至于律师嘛,到时候未必继续用海明。
回复 lovebirds 2011-8-15 14:40
谢谢lawandorder的解释和艾艾的转达!
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