Humphrey v. Columbia Records

124 F.R.D. 564, 1989 U.S. Dist. LEXIS 2593, 1989 WL 25516
CourtDistrict Court, S.D. New York
DecidedMarch 17, 1989
DocketNo. 86 Civ. 6667 (RLC)
StatusPublished
Cited by4 cases

This text of 124 F.R.D. 564 (Humphrey v. Columbia Records) is published on Counsel Stack Legal Research, covering District Court, S.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Humphrey v. Columbia Records, 124 F.R.D. 564, 1989 U.S. Dist. LEXIS 2593, 1989 WL 25516 (S.D.N.Y. 1989).

Opinion

ROBERT L. CARTER, District Judge.

I

Almost from its inception, this litigation has been marked by an astonishing amount of vitriol and vituperation, barely kept in check in the court’s presence. The case proceeded to trial on September 27, 1987. On September 29,1987, the court dismissed the action in an opinion from the bench which described the litigation as “outrageous” and “unwarranted.” Not surprisingly, defendants, invoking the inherent power of the court, Rule 11, F.R.Civ.P., 28 U.S.C. § 1927, and 17 U.S.C. § 505, have now moved for award of costs and attorney’s fees to be assessed against plaintiff and his counsel as sanctions for their vexatious conduct and bad faith in conducting and pursuing this meritless litigation.

Initially defendants moved for sanctions against all of plaintiff’s counsel, Andrew Feinman, Esq., William Krasilovsky, Esq. and Janice Noble, Esq., but they later reached a settlement with Feinman and Krasilovsky. Pursuant to the settlement, Feinman and Krasilovsky agreed to pay defendants $30,000 immediately plus another $15,000 over time. Defendants reached no accord with plaintiff’s third counsel, Ms. Noble, and continue to seek sanctions against her.

This litigation was instituted to secure compensatory and punitive damages as well as equitable relief for copyright infringement, Lanham Act violations, unfair competition and conversion. Defendants counterclaimed under the Copyright Act of 1976, 17 U.S.C. § 101 et seq. Plaintiff alleged that prior to December, 1984, he wrote the lyrics of some ten songs, and referred to himself as L.L. Cool J, and that in the fall of 1984, Def Jam Recordings released a phonograph recording containing these lyrics and plaintiff’s name L.L. Cool J. Subsequently in the spring of 1985, Def Jam Recordings issued a commercial phonograph recording containing the lyrics of five of these songs and the name L.L. Cool J. In October, 1985, CBS issued a commercial phonograph record containing all of his lyrics and the name L.L. Cool J. Moreover, plaintiff alleges that the voice on the recordings was plaintiff’s voice and not that of defendant James Todd Smith.

II

Defendants base their motion for sanctions against plaintiff and Noble, his chief counsel, on the following claims:

That this suit was based upon a bogus . basement tape which plaintiff claimed to have recorded in 1983, and that even before defendants took the deposition of TDK Magnetic Tape Corp., plaintiff and his counsel knew that the tape had been manufactured on October 7, 1985, and that plaintiff’s claim of having recorded it at an earlier date was false.

That Noble made repeated ex parte communications with the court, leading the [566]*566court to believe that defendants had been properly served with these communications, when in fact they had not been. This resulted in temporary, unwarranted relief being accorded to plaintiff, requiring defendants to expend funds and time and effort setting the record straight and otherwise frustrating the ability of defendants to make orderly preparations to bring the matter to trial.-

That plaintiff secured an order from the court requiring them to secure voice exemplars of defendant Smith on the representation that the exemplars were vital despite defendants' urging alternative and less expensive procedures. After defendants had expended thousands of dollars in securing these exemplars, plaintiff refused to have his expert conduct tests of them until the evening before the second day of trial, and the expert was never called to testify.

That plaintiffs counsel refused to accept the invitation of defendants to visit defendant Smith’s basement which would have revealed conclusively that plaintiff had never been in Smith’s basement and that the basement tape was a fabrication.

That plaintiff’s counsel made continual motions and applications charging fraud and misconduct by defendants which required defendants to expend time, energy and resources in rebuttal, when counsel knew there was nothing to support these allegations.

That counsel sought to delay and obstruct discovery of her expert to avoid the unveiling of the expert as unqualified, the exposure of his findings as based on insufficient samples and the revelation that his equipment was obsolete.

That Noble knew early on from Board of Education records that Smith and plaintiff had not attended fourth grade together. Despite this knowledge, she elicited perjured testimony from her client concerning this matter at trial.

That counsel pursued the allegation that Smith had observed plaintiff rehearsing, although plaintiff testified that he told Noble that this allegation was false before the trial began.

Noble required defendants to track down various non-party witnesses of material events, distributors and recording engineers, and prepare the pressing plant used by Def Jam Recordings and the mastering laboratory for the making of exemplars which were never used; to designate, copy and organize thousands of pages of documents; and retain costly expert witnesses, simply because plaintiff’s counsel refused to stipulate to verifiable and documented facts which required defendants to be prepared to meet contentions asserted by plaintiff even though counsel had no credible or reliable evidence to support her contentions, and because plaintiff deliberately sought to make trial preparation for defendants as costly as possible.

That plaintiff’s counsel repeatedly made material representations in correspondence, in court conferences, at depositions and at trial, which lacked foundation.

Noble contends that sanctions are inappropriate because she engaged in extensive pre-filing investigation before filing the complaint, and was privy to no facts or law from filing to trial to indicate that the case was without merit. Indeed, because CBS made no pre-filing refutation of plaintiff’s expert finding that the voice on the “Radio” album was plaintiff’s, she charges that CBS was responsible for the commencement of the litigation. Moreover, it is argued that Noble’s financial resources are so meager as not to warrant sanctions, and the settlement reached with her co-counsel should be more than sufficient to cover any punitive financial liability owed defendants. Indeed, Noble contends she is in effect inexperienced. Her co-counsel are experienced lawyers, and if anything is amiss they should bear a major share of the responsibility.

Ill

Determination

This case provides a classic example of the rationale which may be utilized to impose sanctions on an attorney under the court’s inherent power, Rule 11, § 1927 or § 505. This is a case in which counsel had to have proceeded “in bad faith, vexatious[567]*567ly, wantonly, or for oppressive reasons.” Alyeska Pipeline Service Co. v. Wilderness Soc’y, 421 U.S. 240, 258-59, 95 S.Ct. 1612, 1622, 44 L.Ed.2d 141 (1975) (quoting F.D. Rich Co., Inc. v. United States ex rel. Industrial Lumber Co., Inc.,

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Cite This Page — Counsel Stack

Bluebook (online)
124 F.R.D. 564, 1989 U.S. Dist. LEXIS 2593, 1989 WL 25516, Counsel Stack Legal Research, https://law.counselstack.com/opinion/humphrey-v-columbia-records-nysd-1989.