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Lawrence v. Richman Group of CT LLC

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Argued: July 9, 2010

Before: RAGGI and LYNCH, Circuit Judges, and GARAUFIS, District Judge.*fn1

Plaintiff John F. Lawrence and the named appellees have engaged in extensive litigation over a number of years in the United States District Court for the District of Connecticut (Janet Bond Arterton, Judge; Joan Glazer Margolis, Magistrate Judge), regarding Lawrence’s claim for commissions owed on the sale of securities. A contested issue between the parties was whether the proper forum for resolution of Lawrence’s commissions claim was judicial or arbitral. The tortured factual and procedural background to this dispute is set forth in the district court’s published opinions in this case, Lawrence v. Richman Grp. Capital Corp., 358 F. Supp. 2d 29 (D. Conn. 2005), and in a related case, Lawrence v. Wilder Richman Secs. Corp., 359 F. Supp. 2d 161 (D. Conn. 2005), which represent only two of more than a dozen decisions issued by the district court to resolve matters raised by the parties. We do not ourselves detail this background here except as necessary to resolve this appeal, in which Lawrence and his attorneys in the district court (hereafter referred to collectively as “Lawrence”), challenge a judgment entered on October 23, 2009, awarding sanctions of $113,667.50 in attorneys’ fees pursuant to Fed. R. Civ. P. 11(c) for Lawrence’s filing of a second amended complaint in this case without a reasonable basis in law and fact.*fn2

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