Patent Ethics Litigation

CONTENTS......Page 6
ABOUT THE AUTHOR......Page 12
CHAPTER 1: Introduction......Page 14
CHAPTER 2: Choice of Law in Federal Court Litigation......Page 16
A. Introduction......Page 17
B. Federal Circuit Choice of Law on Legal Ethical Issues......Page 19
1. The “National Standards” Approach to Choice of Law on Legal Ethics......Page 20
2. Other Approaches to Choice of Law on Legal Ethics......Page 22
D. Conclusion on Choice of Law......Page 23
E. Subject Matter Jurisdiction Over Malpractice Claims Based Upon Conduct Occurring During Patent Litigation......Page 24
CHAPTER 3: Conflicts of Interest......Page 26
B. Confiicts Created by Communications with Prospective Clients......Page 28
C. Assuming an Attorney-Client Relationship Formed, Who Is, or Was, the Client?......Page 31
1. Inventors......Page 35
2. Business Entities......Page 39
3. Employees and Officers of the Entity Generally Are Not Clients......Page 40
4. Affiliated Entities Are Generally Not Clients......Page 41
5. Successor Corporations to Former Clients......Page 46
6. Assignees of a Patent the Firm Obtained for a Current or Former Client......Page 48
D. Current Client Conflicts......Page 49
1. Helping Out Behind the Scenes......Page 50
2. Parallel Patent Litigation......Page 51
3. Increasing a Client’s Risk of Liability Even Without Parallel Litigation......Page 53
4. Adverse Discovery of a Current Client......Page 55
5. Positional Conflicts of Interest......Page 56
6. Implications and Recommendations......Page 57
1. Is the Representation Over?......Page 58
2. The Protections Afforded to Former Clients......Page 61
3. Special Issues Concerning Transferring Lawyers......Page 68
4. Impact on a Firm of Hiring Lawyers......Page 69
5. Impact on a Firm of Departure of Lawyers......Page 73
F. Impact of Disqualification......Page 74
G. Consent to Conflicts......Page 75
1. Contemporaneous Consent to Conflicts......Page 77
2. Prospective Consent......Page 79
3. Post-Wrong Waivers of Malpractice Claims......Page 82
2. Waiver by Delay in Seeking Disqualification......Page 83
3. The Hot Potato Doctrine and the “Thrust Upon” Exception......Page 84
4. Improper Uses of Disqualification Motions and Other Factors......Page 88
CHAPTER 4: Competency, Diligence, and Communication......Page 90
A. Competency......Page 91
B. Diligence......Page 94
C. Communication......Page 95
CHAPTER 5: Pre-Pleading Investigations......Page 98
1. Federal Rule of Civil Procedure 11......Page 99
2. Exceptional Case Attorney Fee Shifting Under 35 U.S.C. § 285......Page 100
3. Liability Under the Federal Antitrust Laws......Page 101
4. Liability Under State Law and Other Federal Statutes......Page 103
B. Patentee’s Pre-Suit Letters Charging Infringement......Page 104
C. Patentee’s Pre-Suit Investigation into Charges of Infringement......Page 107
1. Is the Plaintiff a “Patentee?”......Page 108
3. Is the Defendant the Proper Defendant?......Page 109
4. Is There an Objective Basis, Based Upon Reasonable Investigation, to Allege Infringement?......Page 110
D. Invalidity of the Patent......Page 114
1. Note on ANDA Certifications......Page 115
F. General Issues of Law and Other Papers Beyond Pleadings......Page 116
G. Issues of Privilege and Work Product Concerning Pre-Suit Materials......Page 117
CHAPTER 6: Ethical and Other Constraints on Pre-Suit Investigations and Pre-Suit Enforcement Efforts......Page 120
1. Counsel Representing a Party in a “Matter” May Not Communicate with a Person “Represented by Counsel” in that Matter About that Matter......Page 121
2. Is There a “Matter?”......Page 122
3. Does Counsel “Know” the Person “Represented by Counsel” in Terms of Rule 4.2?......Page 124
4. Contacts with Current Employees Through Web Sites of the Opposing Party......Page 128
5. In-House Counsel’s Inability to Alter Rule 4.2......Page 133
6. Does Model Rule 4.2 Apply to Undercover Investigations?......Page 134
7. Is the Use of an Undercover Investigator “Dishonest” Under Rule 8.4 or Rule 4.1?......Page 140
B. Authority Holding White Lies Are Acceptable......Page 144
C. Authorities Finding White Lies to Be Deceitful......Page 146
CHAPTER 7: Pleading Ethically......Page 150
1. Federal Rule of Civil Procedure 8......Page 151
C. Pleading Infringement......Page 152
D. Defendants’ Pleadings......Page 155
CHAPTER 8: Expert Witnesses......Page 158
A. What Is “Expert” Opinion in Patent Litigation?......Page 160
B. Selection......Page 162
C. Preparation of the Report......Page 164
D. Contents of the Report......Page 165
1. What Law Applies to Disqualification of Experts, Including Lawyer-Experts?......Page 167
2. Conflicts of Interests of Experts......Page 170
3. The First Party Must Have Objectively Believed a Confidential Relationship Existed Between It and the Expert......Page 173
4. The First Party Must Prove It Disclosed Confidential Information to the Expert......Page 175
1. Basic Distinctions: Consulting and Testifying Experts......Page 179
2. Disclosure of Testifying Experts’ Files in Related Cases......Page 181
3. Waiving Privilege and Work Product by Disclosure to Experts......Page 182
4. Access to Facts Known to and Opinions Held by Consulting Experts......Page 183
6. Inadvertent Waiver of Expert’s Facts and Opinions......Page 184
7. Special Note on Consulting Experts......Page 185
8. Testifying Experts......Page 186
3. Require the Expert to Sign a Confidentiality Agreement......Page 187
6. Identify Confidential Disclosures as Such......Page 188
8. If a Conflict Does Arise, Raise It Promptly with Opposing Counsel......Page 189
CHAPTER 9: Ethical Issues in the Information Exchange Process......Page 192
B. Local Rule Requirements......Page 193
1. Protection of Pre-Pleading Investigatory Materials......Page 194
1. General Discovery Abuse......Page 195
2. Improper Ex Parte Contacts During Pendency of a Matter......Page 196
E. Litigation Mistakes and Misconduct......Page 202
1. In-Courtroom Conduct......Page 204
4. Ex Parte Communications with Jurors......Page 205
CHAPTER 10: Combining Prosecution with Other Forms of Representation......Page 206
A. Identifying the Applicable Standards......Page 207
1. The Possibility of Misuse of Discovery Materials While Prosecuting Applications......Page 208
C. Is Prosecution of Patents by Itself Sufficient to Bar Access to Highly Confidential Information?......Page 209
1. In re Sibia......Page 211
2. The Majority View......Page 215
3. A Suggested Analysis......Page 219
D. A Proposed Prosecution Bar Raises Potential Conflicts and Liability......Page 221
E. Issues to Consider in Crafting Protective Orders......Page 225
F. Inequitable Conduct as a Conflict......Page 229
G. Depositions of Prosecuting Litigators......Page 231
1. Advocate-as-Witness Disqualification......Page 232
H. Combining Opinion and Trial Representations......Page 236
I. The Courts Split on Advocate-as-Witness Disqualification......Page 237
1. Enhanced Risk of Waiver of Work Product......Page 240
K. Conclusion......Page 248
TABLE OF CASES......Page 250
C......Page 276
D......Page 277
E......Page 278
I......Page 279
O......Page 280
P......Page 281
S......Page 282
W......Page 283