Class actions and other multi-party litigation in a nutshell / by Robert H. Klonoff.
2012
KF8896 .K58 2012 (Map It)
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Details
Author
Title
Class actions and other multi-party litigation in a nutshell / by Robert H. Klonoff.
Published
St. Paul, MN : Thomson/West, [2012]
Copyright
©2012
Call Number
KF8896 .K58 2012
Edition
Fourth edition.
ISBN
9780314910974
0314910972
0314910972
Description
xl, 487 pages ; 19 cm.
System Control No.
(OCoLC)813305117
Note
Includes index.
Series
Record Appears in
Table of Contents
Table Of Cases
XXIX
ch. 1
Introduction
9
ch. 2
Evolution and Overview of Federal Court Class Actions
16
2.1.
Equity Rule 48
19
2.2.
Equity Rule 38
19
2.3.
The 1938 Version of Rule 23
20
2.4.
The 1966 Version of Rule 23
22
2.5.
Overview of Current Rule 23
23
2.6.
Class Action Fairness Act of 2005
28
A.
Jurisdictional Provisions
28
B.
Settlement Provisions
29
ch. 3
Class Certification Requirements: Threshold Requirements and Rule 23(a)
30
3.1.
A Definable Class
31
3.2.
A Representative Who Is a Member of the Class
34
3.3.
A Claim That Is Not Moot
35
3.4.
Numerosity
38
A.
Overview
38
B.
Size of the Potential Class
39
C.
Possible Future Claimants
40
D.
Other Factors Bearing on Numerosity
41
E.
Applicability to Subclasses
42
F.
Re-Evaluation of Numerosity
43
G.
Recent Trends
43
3.5.
Commonality
44
A.
The Watershed Opinion in Dukes
44
B.
Whether More Than One Common Legal or Factual Issue Is Necessary
49
C.
Law or Fact
49
3.6.
Typicality
50
A.
Lack of Consensus on Meaning
50
B.
General Approach By Courts Giving Separate Meaning to Typicality
52
C.
Unique Defenses
52
D.
Plaintiff Seeking Recovery Against Only One of Several Defendants
55
E.
Factual Disparities Defeating Typicality
55
3.7.
Adequacy of Representation
56
A.
Overview
56
B.
Counterintuitive Feature That Challenges to Adequacy Are Normally Raised By Defendants
58
C.
Adjudicating the Adequacy of Class Representatives
59
D.
Vigorous Prosecution
60
E.
Knowledge of the Case
60
F.
Honesty, Good Character, and Credibility
61
G.
Lack of Conflicts
62
H.
Unique Defenses
64
I.
Ability to Finance the Class Action
64
J.
Membership in the Class
65
K.
Adequacy of Class Counsel
65
L.
Additional Adequacy Concern Applicable to Both Class Representatives and Class Counsel: Failure to Bring Certain Claims in Order to Improve Likelihood of Class Certification
71
M.
Solutions to Inadequate Representation
72
N.
Collateral Attacks on Adequacy
73
ch. 4
Class Certification Requirements: Rule 23(b)
74
4.1.
Rule 23(b)(1)(A) Classes
75
A.
The Purposes of Rule 23(b)(1)(A) Classes
76
B.
Requirements for Certification Under Rule 23(b)(1)(A)
78
C.
Certification Under Rule 23(b)(1)(A) in Cases Seeking Monetary Damages
79
D.
Certification of Medical Monitoring Classes Under Rule 23(b)(1)(A)
81
E.
Other Kinds of Cases Involving Rule 23(b)(1)(A)
82
4.2.
Rule 23(b)(1)(B) Classes
83
A.
Overview of Rule 23(b)(1)(B)
83
B.
Stare Decisis Effect Insufficient to Satisfy Rule 23(b)(1)(B)
84
C.
Requirements for "Limited Fund" Treatment
85
D.
Rule 23(b)(1)(B) and Punitive Damages
89
E.
Other Types of Rule 23(b)(1)(B) Cases
93
F.
Comparisons Between Rule 23(b)(1)(B) and Other Joinder Devices
94
G.
Preference Between Mandatory and Opt Out Classes
95
H.
Opting Out of a Rule 23(b)(1) Class
96
4.3.
Rule 23(b)(2)
96
A.
Overview
96
B.
General Requirements
97
C.
Whether the Party Seeking Certification Must Demonstrate Predominance or Superiority
99
D.
Requirement That Monetary Relief Be "Incidental" to Declaratory or Injunctive Relief
104
E.
Medical Monitoring Under Rule 23(b)(2)
107
F.
Notice and Opt-Out Rights
108
G.
Classes Appropriate for Certification Under Both Rule 23(b)(2) and Rule 23(b)(3)
108
H.
Defendant Classes Under Rule 23(b)(2)
110
I.
Whether Rule 23(b)(2) Contains a "Necessity" Requirement
111
4.4.
Rule 23(b)(3)
112
A.
Overview
112
B.
Defining "Predominance"
113
C.
Calculation of Individual Damages and the Predominance Inquiry
117
D.
Submission of a Trial Plan
117
E.
Special Issues Regarding Fraud and Reliance
118
F.
Securities Cases: Special Situations in Which a Court May Presume Reliance
121
G.
Predominance and Mass Torts
123
H.
Rule 23(b)(3) Predominance and Choice-Of-Law Concerns in Multi-Jurisdictional Class Actions
123
I.
Superiority in Rule 23(b)(3) Classes: Alternative Methods for Resolving the Dispute
124
J.
Assessing Superiority in Rule 23(b)(3) Classes Using Enumerated Factors
126
1.
Rule 23(b)(3)(A): Interest in Individual Control of the Litigation
126
2.
Rule 23(b)(3)(B): Extent and Nature of Pending Litigation
128
3.
Rule 23(b)(3)(C): Desirability or Undesirability of Concentrating the Litigation in the Particular Forum
130
4.
Rule 23(b)(3)(D): Manageability Issues
130
K.
Assessing Superiority Under Rule 23(b)(3) Using Factors Other Than Those Enumerated
132
ch. 5
Litigating a Class Action
134
5.1.
Strategic Considerations in Class Action Litigation
135
A.
Plaintiff's Perspective
135
B.
Defendant's Perspective
142
5.2.
Discovery in Class Actions
145
A.
Class Certification Discovery
145
1.
Overview
145
2.
Granting or Denying Class Certification Without Discovery
146
3.
Conditional Certification or Deferral of Certification Pending Discovery
148
4.
Discovery of Merits Issues Before Class Certification
149
5.
Types of Pre-Certification Discovery
152
6.
Limitations on the Scope of Class Certification Discovery
153
7.
Discovery of Names of Absent Class Members
156
8.
Pre-Certification Discovery Directed at Absent Class Members
158
9.
Expert Discovery and Judicial Gatekeeping
159
B.
Post-Certification Merits Discovery in Class Actions
160
1.
General Principles
160
2.
Discovery of the Unnamed Class Members' Individual Claims
161
3.
Penalties for Noncompliance With Discovery Requests
162
4.
Stay of Discovery Pending Dispositive Motions
162
5.3.
The Class Certification Decision
163
A.
Overview
163
B.
Timing of Certification Decision
163
C.
Raising the Certification Issue
165
D.
Court's Obligation to Rule
166
E.
Appropriateness of Inquiry into the Merits
167
F.
The Certification Hearing
173
1.
Need for a Hearing on Class Certification
173
2.
Burden of Proof and Procedures at the Hearing
173
3.
Expert Testimony at the Class Certification Stage
174
4.
Reasons for the Certification Ruling
174
G.
Certification Options
175
1.
Conditional Certification
175
2.
Use of Subclasses
176
3.
Issue Certification and Bifurcation
178
4.
Multiple or Competing Classes
180
5.
Decertification
181
5.4.
Orders Controlling Class Proceedings
182
A.
Rule 23(d)(1)(A)
182
B.
Rule 23(d)(1)(B)
183
C.
Rule 23(d)(1)(C)
184
D.
Rule 23(d)(1)(D)
185
E.
Rule 23(d)(1)(E)
185
5.5.
Miscellaneous Trial Issues
186
5.6.
Alternative Dispute Resolution
187
ch. 6
Notice, Opt-Out Rights, and Communications With Class Members
192
6.1.
Class Notice and Opt-Out Rights
193
A.
Notice and Opt-Out Rights in Rule 23(b)(3) Class Actions
193
B.
Methods for Providing Notice in Rule 23(b)(3) Class Actions
195
C.
Timing of Rule 23(c)(2) Notice
196
D.
Form and Content of Rule 23(c)(2) Notice
197
E.
The Cost of Providing Notice in Rule 23(b)(3) Class Actions
198
F.
Ability to Opt Out of a Rule 23(b)(3) Class
201
G.
Notice in 23(b)(1) and 23(b)(2) Class Actions
202
H.
Opt-Out Rights in Rule 23(b)(1) and Rule 23(b)(2) Classes
204
I.
Other Notices Pursuant to Rule 23(d)(1)
206
J.
Notice to Absent Class Members of a Proposed Settlement, Dismissal, or Compromise Under Rule 23(e)
207
K.
Notice of Decertification
209
6.2.
Communications With Class Members
210
A.
Contacts With Potential Class Members Before Class Action Is Filed
210
B.
Communications With Potential Class Members Between Filing and Class Certification
210
1.
Reasons for Contacting Class Members
210
2.
Use of Rule 23(d) to Regulate Communications With Class Members
211
3.
The Gulf Oil Decision
212
4.
Developments After Gulf Oil
213
5.
Application of Gulf Oil to Defense Communications
213
6.
Correcting Misleading or Otherwise Improper Communications
214
C.
Communications With Class Members After Class Certification
215
ch. 7
Multi-Jurisdictional and State Court Class Actions
217
7.1.
Nationwide and Other Multi-Jurisdictional Class Actions
218
A.
Standards for Certifying a Multi-Jurisdictional Class
218
B.
Procedural and Manageability Issues
220
1.
Overview
220
2.
Due Process Constraints on Multi Jurisdictional Classes
220
3.
Post-Shutts Choice-of-Law Issues in Multi-Jurisdictional Class Actions
224
7.2.
State Court Class Actions
228
A.
Importance of State Court Class Actions
228
B.
Overview of State Class Action Rules
229
ch. 8
Constitutional and Procedural Issues
233
8.1.
Statute of Limitations Issues in Class Actions
233
A.
Overview of "Tolling" Principles in Class Actions
233
B.
When Tolling Ceases
235
C.
Limitations on the American Pipe Tolling Rule
236
D.
Application of American Pipe to Opt Outs
238
E.
Amending Individual Actions to Assert Class Claims
238
8.2.
Jurisdictional Issues: General Concepts
239
A.
Determining Citizenship for Diversity Purposes
240
B.
Aggregation of Claims for Purposes of Jurisdictional Amount
243
8.3.
The Class Action Fairness Act
248
A.
Overview
248
B.
Expanded Federal Jurisdiction Over Class Actions
248
C.
Establishing "Minimal" Diversity
250
D.
Aggregating Claims
251
E.
Mass Actions
252
F.
Expanded Removal to Federal Court
253
G.
Exceptions to CAFA's Jurisdictional Rules
254
H.
Appellate Review
259
8.4.
Claim Preclusion (Res Judicata) in the Class Action Context
261
A.
Overview
261
B.
Class Members Who May Not Be Bound by a Prior Adjudication
262
8.5.
Issue Preclusion (Collateral Estoppel) in the Class Action Context
264
8.6.
Federal Control Over State Courts
266
A.
Binding Effect of State Court Settlements of Exclusively Federal Claims
266
B.
Collateral Attacks Based on Adequacy of Representation
268
C.
Binding Effect of Prior Federal Court Denial of Class Certification Upon a Later State Court Class Action
270
8.7.
Clashes Between Federal Rule 23 and State Law
271
8.8.
Seventh Amendment
275
A.
Overview
275
B.
Bifurcated Trials and the Reexamination Clause
276
C.
Criticism of the Rhone-Poulenc and Castano Approach
279
D.
Other Seventh Amendment Issues
280
8.9.
Due Process Issues
281
ch. 9
Class Action Settlements, Remedies, and Attorneys' Fees
283
9.1.
Class Action Settlements
283
A.
Overview: Interested Participants
284
B.
Pre-Certification Settlement With Only Named Plaintiffs
284
C.
Notice of a Pre-Certification Settlement of Individual Claims
286
D.
Certification for Settlement Purposes
287
E.
Binding Effect in Later Litigation of Concession That Settlement Class Is Appropriate for Certification
290
F.
Considerations in Approving Settlements
291
G.
Post-Certification Notice of Settlement
295
H.
Opportunity to Opt Out of a Proposed Settlement After Expiration of Original Opt Out Period
298
I.
Objections to Settlement
298
9.2.
CAFA Settlement Provisions
300
A.
Coupon Settlements
301
B.
Net Loss Settlements
302
C.
Prohibition Against Geographic-Based Discrimination in Settlements
303
D.
Notice to Government Officials
303
E.
Gaps in CAFA's Settlement Provisions
305
9.3.
Class Action Remedies
306
9.4.
Attorneys' Fees
310
A.
Overview of New Rule 23(h)
310
B.
Methods for Setting the Amount of Fees
310
ch. 10
Appellate Review
315
10.1.
Whether an Order Denying Class Certification Is a Final Decision Under 28 U.S.C. [§] 1291
317
10.2.
Appeal From a Denial of Class Certification When a Class Representative Fails to Prosecute His or Her Individual Claims
318
10.3.
Appeal of Denial of Certification Under 28 U.S.C. [§] 1292(a)(1)
319
10.4.
Appeal of Class Certification Ruling Under 28 U.S.C. [§] 1292(b)
319
10.5.
Mandamus Review of Certification Ruling
320
10.6.
Appeal Under Rule 23(f)
322
10.7.
Intervention for Purposes of Appeal
327
10.8.
Standard of Review
328
ch. 11
Special Focus on Mass Tort, Employment Discrimination, and Securities Fraud Class Actions
330
11.1.
Mass Torts
330
A.
Judicial Trends in Mass Torts Class Actions
332
1.
Mass Torts in the 1960s and 1970s
332
2.
Mass Torts in the Mid-1980s
333
3.
Recent Judicial Skepticism
335
4.
Responses to Judicial Skepticism
338
B.
Other Issues in Mass Tort Cases
339
1.
Exposure-Only Claimants
339
2.
"Mature" Versus "Immature" Mass Torts
340
3.
Problems of Classwide Proof in Mass Tort Cases
341
11.2.
Employment Discrimination Class Actions
345
A.
Rule 23 Cases
346
1.
Applicability of Rule 23 Requirements in Discrimination Cases
346
2.
Distinction Between Disparate Impact and Disparate Treatment Claims
348
3.
Rule 23(b) Requirements
349
4.
Pattern-and-Practice Cases
350
5.
Whether a Finding of No Pattern or Practice Precludes Subsequent Individual Actions
351
6.
Seventh Amendment Issues
352
B.
Collective Actions
352
1.
Overview of Age Discrimination Suits
352
2.
Notice to Plaintiffs in ADEA Cases
354
3.
Certification of an ADEA Case as a Collective Action
355
11.3.
Securities Fraud Class Actions
356
A.
Overview
356
B.
Elements of a Rule 10b 5 Claim
358
1.
The Reliance Element
358
2.
Fraud-on-the-Market Approach to Reliance
359
3.
The Affiliated Ute Presumption of Reliance
362
4.
Fraud-Created-the-Market Theory
363
5.
Materiality of the Misrepresented or Omitted Fact
364
6.
Zero Price Change
366
7.
Loss Causation
366
C.
Transnational Transactions
368
D.
Reform Legislation
369
1.
The Private Securities Litigation Reform Act of 1995
369
2.
Post-Reform Act Federal Removal Legislation
373
ch. 12
Defendant Class Actions, Derivative Suits, and Suits Involving Unincorporated Associations
374
12.1.
Defendant Class Actions
374
A.
Overview
374
B.
Rule 23 Criteria and Defendant Classes
376
1.
Overview
376
2.
Typicality
376
3.
Adequacy of Representation
377
4.
Rule 23(b)(1)(A) Classes
379
5.
Rule 23(b)(1)(B) Classes
379
6.
Rule 23(b)(2) Classes
380
7.
Rule 23(b)(3) Classes
381
C.
Other Issues
382
1.
Statutes of Limitation
382
2.
Notice
383
3.
Personal Jurisdiction
383
12.2.
Shareholder Derivative Suits
384
A.
Overview
384
B.
Requirements of Rule 23.1
385
1.
Derivative Injury Requirement
386
2.
Plaintiff Must Be a Shareholder at the Time of the Alleged Wrong doing
386
3.
Demand for Corporate Action
387
4.
Derivative Actions May Not Be Collusive
388
5.
Plaintiff Must Fairly and Adequately Represent the Interests of Other Shareholders Similarly Situated
388
6.
Notice of a Proposed Settlement to Shareholders
388
7.
Court Approval of Settlement or Dismissal
389
12.3.
Class Actions Involving Unincorporated Associations
389
A.
Overview
389
B.
Enactment of Federal Rule 23.2
391
1.
Diversity Jurisdiction Issues
391
2.
Limitation on Qualifying Organizations
393
3.
Incorporation of Rule 23 Requirements into Rule 23.2
394
ch. 13
Ethical and Policy Issues in Class Actions
395
13.1.
Ethical Issues in Class Actions
395
A.
Overview
395
B.
Attorney Communications With Class Members
396
1.
Pre-Certification Communications
396
2.
Post-Certification Communications
397
C.
Conflicts of Interest
398
1.
Collusion Between Plaintiffs' Counsel and Defense Counsel in Settlements
398
2.
Conflicts Among Class Members
399
3.
Conflicts Between Class Counsel and the Class Members
400
4.
Percentage-of-the-Fund Fee Awards
401
D.
Other Ethical Issues
402
1.
Advancing Costs of Litigation
402
2.
Restrictions on Right to Practice
402
3.
Failure to Communicate With Class Members
403
13.2.
Policy and Reform Issues
403
A.
Reform Proposals
403
1.
Aggregate Litigation Project
404
2.
Proposals Considered by the Advisory Committee on Civil Rules
405
ch. 14
Non-Class Aggregation Devices Under the Federal Rules of Civil Procedure
408
14.1.
Permissive Joinder of Parties
409
A.
Overview
409
B.
Joinder of Plaintiffs
410
1.
Same Transaction or Occurrence
411
2.
Common Question of Law or Fact
412
3.
Interest in Obtaining All Relief Granted
414
C.
Joinder of Defendants
414
D.
Orders to Avoid Prejudice
415
E.
Misjoinder of Parties
416
F.
Jurisdictional Issues
416
14.2.
Compulsory Joinder of Parties
418
A.
Overview
418
B.
Determination of Whether the Absent Party Is Necessary
419
1.
Rule 19(a)(1) ("Complete Relief" Clause)
419
2.
Rule 19(a)(1)(B)(i) ("Impair or Impede" Clause)
420
3.
Rule 19(a)(1)(B)(ii) ("Multiple Liability" Clause)
422
C.
Feasibility of Joinder
422
D.
Resolution When Person Should Be Joined but Joinder Is Not Feasible
423
E.
Procedural Issues
426
14.3.
Impleader
426
A.
Overview
426
B.
Circumstances in Which Impleader Is Allowed
428
C.
When Leave of Court Is Required for Impleader
430
D.
Assertion of Defenses
430
E.
Pleading Requirements
431
F.
Other Third-Party Practice
431
G.
Moving to Strike Third-Party Claims
432
H.
Jurisdictional Requirements
432
14.4.
Interpleader
434
A.
Overview
434
B.
Rule Interpleader
435
1.
Stakeholder's Concern Over Multiple Claims
435
2.
At Least Two Adverse Claimants
436
3.
Jurisdiction, Venue, and Other Procedural Requirements for Rule Interpleader
436
4.
Two Stages of an Interpleader
437
C.
Statutory Interpleader
437
1.
Overview
437
2.
Jurisdictional and Other Procedural Requirements for Statutory Interpleader
437
14.5.
Intervention
439
A.
Overview
439
B.
General Requirements for Intervention as of Right
439
1.
Timeliness of a Motion to Intervene
441
2.
The Applicant's Interest in the Subject Matter
441
3.
Practical Impairment
443
4.
Inadequacy of Existing Representation
443
5.
Standing
444
C.
Permissive Intervention
444
D.
Procedures for Intervention
447
E.
Jurisdictional Issues
447
F.
Amicus Participation
448
14.6.
Consolidation
448
A.
Overview
448
B.
Nature and Purposes of Consolidation
449
C.
Considerations in Evaluating Whether to Consolidate
450
D.
Separate Trials
451
ch. 15
Other Aggregation and Coordination Devices in Federal Practice
453
15.1.
Multidistrict Litigation
454
A.
Overview
454
B.
Initiation of Proceedings Under Section 1407
455
C.
Standards for Transfer
455
D.
Selection of the Transferee Court
456
E.
Effect of a Transfer Order
456
F.
Transferee Court's Trial of a Case
457
G.
Review of MDL Panel Rulings
458
15.2.
Transfers Under 28 U.S.C. [§] 1404
458
A.
Overview
458
B.
Requirements for Transfer
459
C.
For the Convenience of the Parties and Witnesses
460
D.
Interest of Justice
460
E.
Use of Section 1404(A) as an Aggregation Device
460
15.3.
Multiparty, Multiforum Trial Jurisdiction Act of 2002
461
15.4.
Coordination Among Federal Courts
462
15.5.
Bankruptcy as an Aggregation Device
463
15.6.
Federal/State Coordination
468
A.
Overview
468
B.
Reform Efforts Addressing Coordination of Federal and State Claims
469
15.7.
Aggregate Settlement of Non-Class Cases
471
Index
473