Matthew B. Weisberg of Weisberg Law. Courtesy photo

Matt's Corner: Questions and Answers on Professional Responsibility and Legal Malpractice

Question: What are Rule 11 sanctions?

A: FRCP 11(c) allows a federal court to impose the least severe penalty to deter repetition upon a law firm, counsel or a party.

Whether by signing, filing, submitting, or later advocating, to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances:

• it is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation;
• the claims, defenses, and other legal contentions are warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law or for establishing new law;
• the factual contentions have evidentiary support or, if specifically so identified, will likely have evidentiary support after a reasonable opportunity for further investigation or discovery; and
• the denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information. FRCP 11(b).

Upon notice and an opportunity to be heard, Rule 11 sanctions may be invoked by motion of adverse party or sua sponte. FRCP 11(c)(2) and (3). If upon motion of adversary, the motion must be presented 21 days (safe harbor) prior to its filing to allow the offending conduct to be corrected.