About the Contributors |
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xi | |
Foreword |
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xvii | |
Chapter 1 Introduction |
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1 | (8) |
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Chapter 2 Investigating and Filing a Class Action |
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9 | (30) |
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9 | (1) |
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Evaluating a Potential Class Action: The Basics |
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10 | (4) |
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Could This Case Be a Class Action? |
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10 | (2) |
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Advantages and Disadvantages of a Class Action |
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12 | (1) |
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Alternatives to Class Actions |
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13 | (1) |
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Pre-filing Investigation and Discovery |
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14 | (2) |
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14 | (1) |
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14 | (1) |
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Related Litigation or Investigations |
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15 | (1) |
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15 | (1) |
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15 | (1) |
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Identifying Class Representatives |
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16 | (4) |
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16 | (2) |
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18 | (1) |
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How Many Class Representatives? |
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19 | (1) |
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20 | (1) |
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Assembling a Team of Co-Counsel |
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20 | (1) |
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Selecting Which Claims to Assert |
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21 | (3) |
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Assessing the Available Claims |
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22 | (1) |
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Amenability to Certification |
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23 | (1) |
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24 | (3) |
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25 | (1) |
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25 | (1) |
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State Court Actions and CAFA |
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25 | (1) |
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Other Factors to Weigh in Selecting Venue |
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26 | (1) |
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Addressing Choice of Law Issues |
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27 | (3) |
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Which Choice of Law Rules Apply? |
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27 | (1) |
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What Substantive Law Applies? |
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27 | (1) |
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Choice of Law Issues in MDLs and Transfers |
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28 | (1) |
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Strategic Calls Relating to Choice of Law |
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29 | (1) |
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30 | (3) |
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Components of a Good Class Definition |
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30 | (2) |
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Multiple Classes and Subclasses |
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32 | (1) |
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Class Definition and Ascertainability |
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32 | (1) |
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Drafting the Complaint and Class Allegations |
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33 | (3) |
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Plausible Set of Facts, Not Bare Allegations or Legal Conclusions |
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34 | (1) |
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Media-Friendly Introductory Paragraph |
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34 | (1) |
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Class Definition and Class Allegations |
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35 | (1) |
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Compelling Individual Stories with a Caution |
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35 | (1) |
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Non-Class Claims for Named Plaintiffs? |
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35 | (1) |
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35 | (1) |
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Meeting Demand or Exhaustion Requirements |
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36 | (1) |
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Developing a Case Narrative and Communication Strategy |
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37 | (1) |
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Themes and Case Narrative |
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37 | (1) |
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37 | (1) |
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38 | (1) |
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38 | (1) |
Chapter 3 Defendant's Options for Forum Selection |
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39 | (52) |
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Forum Options for Defendants |
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39 | (1) |
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Moving to Compel Arbitration |
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40 | (22) |
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Advantages and Disadvantages of Arbitration |
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40 | (5) |
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Is There a Written Agreement to Arbitrate? |
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45 | (1) |
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Is the Written Agreement Enforceable? |
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46 | (10) |
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Who Decides Whether the Arbitration Agreement Is Enforceable? |
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56 | (2) |
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What Does the Agreement Say about Class-Wide Proceedings and Who Decides? |
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58 | (3) |
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What If Some Members of the Class Are Subject to Arbitration but the Named Plaintiff Is Not? |
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61 | (1) |
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Moving to Enforce a Forum Selection Clause |
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62 | (3) |
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Removing to Federal Court |
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65 | (8) |
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The Advantages and Disadvantages of State Court |
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66 | (6) |
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72 | (1) |
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73 | (5) |
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Options for Defendants Facing Multiple Class Actions in Multiple Forums |
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78 | (7) |
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The First-Filed Rule: Multiple Suits Pending in Federal Court |
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78 | (4) |
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State Law Abatement Statutes: Multiple Suits Pending in the Courts of the Same State |
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82 | (1) |
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Colorado River Abstention: Federal Abstention in Favor of a Pending State Court Action |
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82 | (3) |
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Challenging Personal Jurisdiction for Class Members in the Wake of Bristol-Meyers Squibb |
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85 | (4) |
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89 | (2) |
Chapter 4 Responding to the Class Action Complaint |
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91 | (58) |
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91 | (5) |
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92 | (1) |
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93 | (1) |
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Analyzing and Quantifying the Risk |
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94 | (1) |
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Developing a Defense Strategy |
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95 | (1) |
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Early Resolution Strategy |
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96 | (3) |
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Mooting Plaintiffs' Claims and the Class Allegations |
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99 | (8) |
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Pre-Suit Refund and Argue for Dismissal |
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99 | (2) |
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Post-Filing Pickoffs Generally Will Not Work |
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101 | (4) |
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Recalls and Other Relief May Limit Class Action Risk |
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105 | (1) |
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106 | (1) |
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Jurisdiction/Venue/Arbitration |
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107 | (9) |
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107 | (1) |
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Options for Changing Venue: Removal |
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108 | (3) |
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Challenges to Personal Jurisdiction |
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111 | (2) |
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113 | (2) |
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115 | (1) |
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115 | (1) |
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Motion to Dismiss Strategy |
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116 | (18) |
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Arguments against Filing a Motion to Dismiss |
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117 | (1) |
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Defending Class Actions Requires the Long View |
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117 | (1) |
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Arguments in Favor of Filing a Motion to Dismiss |
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118 | (1) |
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Common Dismissal Arguments |
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119 | (15) |
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Motion to Strike Class Allegations |
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134 | (5) |
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Legal Basis for Motion to Strike |
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134 | (1) |
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134 | (1) |
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Motion to Deny Certification |
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135 | (1) |
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136 | (1) |
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Grounds for Motion to Strike |
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136 | (3) |
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Answering the Class Action Complaint/Affirmative Defenses |
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139 | (6) |
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Developing Defense Themes and Narrative |
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145 | (4) |
Chapter 5 Class Action Discovery Strategy |
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149 | (42) |
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Plaintiffs' Discovery Strategy |
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149 | (14) |
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Consider Seeking Discovery Despite a Motion to Dismiss |
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150 | (2) |
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152 | (2) |
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How to Maximize Pre-certification Discovery |
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154 | (4) |
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How Much Pre-certification Discovery to Propound-Be Targeted |
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158 | (1) |
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How to Conduct Efficient Pre-certification Depositions |
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159 | (2) |
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161 | (2) |
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Defense Discovery Strategy |
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163 | (7) |
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Stay Pending Motion to Dismiss |
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164 | (1) |
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165 | (2) |
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Other Ways to Limit Pre-certification Discovery |
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167 | (1) |
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168 | (1) |
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169 | (1) |
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Pre-certification Access to Class List |
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170 | (3) |
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Communication with Putative Class Members |
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173 | (5) |
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Discovery Concerning Communications between Plaintiffs' Counsel and Putative Class Members |
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178 | (2) |
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Discovery against Absent Class Members |
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180 | (2) |
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182 | (5) |
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187 | (2) |
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189 | (2) |
Appendix: Sample Working Proof Outline |
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191 | (6) |
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192 | (5) |
Chapter 6 Summary Judgment Strategy |
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197 | (18) |
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History of the Relationship between Class Certification and Summary Judgment |
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198 | (2) |
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Class Certification or Summary Judgment: Which Should Come First? |
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200 | (6) |
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Strategic Considerations: Defendants |
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206 | (2) |
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What Issues Are Often Raised in Pre-certification Motions for Summary Judgment? |
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208 | (2) |
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Plaintiff's Strategy Considerations |
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210 | (1) |
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What Extraordinary Circumstances May Warrant a Plaintiff's Motion for Summary Judgment? |
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211 | (1) |
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What Can Plaintiff's Counsel Do to Avoid the Likelihood of an Early Summary Judgment Motion by Defendants? |
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212 | (1) |
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213 | (2) |
Chapter 7 Class Certification Strategy |
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215 | (40) |
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Class Certification Basics |
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216 | (6) |
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216 | (4) |
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220 | (2) |
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Interplay between Merits and Class Certification |
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222 | (2) |
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Motions to Deny Class Certification or to Strike Class Allegations |
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224 | (1) |
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Class Definition and Ascertainability |
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225 | (4) |
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226 | (2) |
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Independence (Avoiding the "Fail-Safe" Class) |
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228 | (1) |
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Establishing and Challenging Numerosity |
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229 | (1) |
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Establishing and Challenging Commonality |
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229 | (4) |
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Establishing and Challenging Typicality |
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233 | (2) |
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Establishing and Challenging Adequacy |
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235 | (2) |
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Injunctive Relief and Limited Fund Classes |
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237 | (4) |
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238 | (3) |
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241 | (1) |
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241 | (7) |
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Establishing and Challenging Predominance |
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241 | (2) |
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243 | (2) |
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Establishing and Challenging Superiority |
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245 | (3) |
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Issue Certification-Rule 23(c)(4) |
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248 | (2) |
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Appointment of Class Counsel |
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250 | (3) |
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253 | (1) |
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254 | (1) |
Chapter 8 Managing Multiple Class and Enforcement Actions |
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255 | (34) |
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256 | (15) |
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256 | (7) |
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The Mechanics of MDL Consolidation |
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263 | (1) |
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264 | (1) |
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264 | (1) |
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Number and Complexity of Questions |
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264 | (1) |
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Convenience of Parties and Witnesses |
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265 | (1) |
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265 | (5) |
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When Is the Best Time to File the MDL Motion? |
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270 | (1) |
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How to Conduct the Actions after Consolidation |
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271 | (8) |
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Determining Leadership and Working Protocols |
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271 | (2) |
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Filing the Consolidated Amended Complaint |
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273 | (4) |
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Pursuing Exemplar-State Class Actions |
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277 | (1) |
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Bristol-Myers Squibb Co. v. Superior Court of California's Effect on Consolidated Lawsuits |
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278 | (1) |
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279 | (3) |
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Coordination among Actions When MDL Is Not Available |
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282 | (4) |
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Parallel Government Enforcement Actions |
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286 | (1) |
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Advantages and Disadvantages |
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286 | (1) |
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Criminal Issues and Fifth Amendment Concerns |
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287 | (1) |
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287 | (1) |
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287 | (2) |
Chapter 9 Class Action Settlement |
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289 | (58) |
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Judicial Review of Class Action Settlements |
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291 | (5) |
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291 | (2) |
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Court Review of Class Settlements |
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293 | (3) |
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Protecting the Settlement: Negotiating Key Terms |
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296 | (28) |
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The Order of Negotiations |
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296 | (2) |
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298 | (1) |
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Settlement Classes and Certification |
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298 | (2) |
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Common Fund versus Claims Made Monetary Settlements |
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300 | (2) |
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302 | (2) |
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304 | (1) |
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305 | (5) |
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Incentive Awards for Named Plaintiffs |
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310 | (1) |
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311 | (5) |
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Determining Attorney Fees |
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316 | (7) |
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Injunctive Relief, Monitoring, and Compliance |
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323 | (1) |
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The Settlement Approval Process |
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324 | (13) |
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Preliminary Approval-New Attention |
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325 | (4) |
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Fairness Hearing and Final Approval |
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329 | (4) |
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333 | (4) |
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CAFA Compliance and Coupons |
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337 | (8) |
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338 | (5) |
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343 | (2) |
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345 | (2) |
Chapter 10 Trial Plans |
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347 | (20) |
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Competing Strategic Considerations |
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349 | (2) |
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349 | (1) |
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350 | (1) |
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Context: The Trial of Class and Collective Actions |
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351 | (2) |
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Possible Elements of a Trial Plan |
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353 | (12) |
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Standard Trial Plan Elements |
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353 | (2) |
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355 | (2) |
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Issue Certification under Rule 23(c)(4) |
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357 | (4) |
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361 | (1) |
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362 | (3) |
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365 | (2) |
Chapter 11 How to Properly Use and Attack Experts in Class Actions |
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367 | (22) |
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Determining the Need for and Type of Expert |
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368 | (3) |
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Consulting/Non-Testifying Experts versus Testifying Experts |
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369 | (1) |
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When to Use Expert Testimony |
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369 | (1) |
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Areas of Expertise, Qualifications, and Scope |
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370 | (1) |
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Uses for Experts in Class Actions |
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371 | (16) |
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Use of Consulting Experts in Pre-filing Investigation or Early Case Evaluation and Discovery Planning |
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371 | (2) |
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Role for Experts at Class Certification |
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373 | (12) |
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385 | (2) |
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387 | (2) |
Table of Cases |
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389 | (28) |
Index |
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417 | |