Katherine Polk Failla

How Judge Failla rules, drawn from 10 signed orders. Every observation links to the order it came from.

Court
United States District Court for the Southern District of New York
Position
district
Appointed by
Barack Obama (Democratic)
Commissioned
2013-03-05
Education
College of William & Mary (B.A., summa cum laude, 1990); Harvard Law School (J.D., cum laude, 1993)
Signed orders read
10

How Judge Failla decides

Patterns drawn from this judge's own signed orders. Every observation links to the order it came from.

What persuades

She is exacting about whether a federal cause of action survives where a parallel state-law theory is preempted: in antitrust she will let a well-pleaded federal Sherman Act conspiracy claim proceed past the pleadings while trimming preempted state antitrust/consumer-protection claims. A plaintiff should anchor the case in the federal claim and not rely on the state-law overlay.

“Defendants' motion to dismiss Plaintiffs' claims for violations of state antitrust and consumer protections laws is granted, while their motion to dismiss Plaintiffs' claim under federal antitrust law is denied.”

Procedural preferences

She is willing to convert part of a Rule 12 motion to summary judgment where the parties rely on materials outside the pleadings, but she protects the non-movant from prejudice: granting leave for additional discovery (a Rule 30(b)(6) deposition) and a surreply before deciding the converted portion. A litigant facing such a conversion should use the discovery window, not object to the conversion itself.

“To ensure that Plaintiff would not be prejudiced by this conversion, the Court granted Plaintiff leave to depose an additional witness under Federal Rule of Civil Procedure 30(b)(6), and to file a surreply in opposition to Defendant's motion.”

Cautions

At the pleading stage she applies the conventional Iqbal/Twombly plausibility standard and will sustain even a single-incident hostile-work-environment / discrimination claim where the pleaded conduct is sufficiently severe: denying a defendant's partial motion to dismiss. A defendant should not assume that one episode is categorically insufficient.

“If, however, a single incident was ‘extraordinarily severe,’ it can suffice to state a claim.”

Signed rulings

A grounded sample of orders signed by this judge, with the verbatim dispositive language.

Pryor v. Jaffe & Asher, LLP
992 F. Supp. 2d 252 · 2014-01-15
Motions to dismiss (defendant) Denied

“Pending before the Court is a motion by Defendants Jaffe & Asher LLP (‘Jaffe & Asher’) and Jeffrey Tseng (collectively, ‘Defendants’) to dismiss the third, fourth, and fifth claims for relief alleged in the Complaint for failure to state a claim upon which relief can be granted, pursuant to Rule 12(b)(6) of the Federal Rules of Civil Procedure. For the reasons set forth in the remainder of this Opinion, this motion is denied.”

Pig Newton, Inc. v. Boards of Directors of the Motion Picture Industry Pension Plan
95 F. Supp. 3d 366 · 2015-03-05
Summary judgment (defendant) Granted

“For the reasons stated in this Opinion, the Court finds that the disputed provisions are valid and enforceable, and awards summary judgment in Defendants' favor.”

Summary judgment (plaintiff) Denied

“The parties have now cross-moved for summary judgment. For the reasons stated in this Opinion, the Court finds that the disputed provisions are valid and enforceable, and awards summary judgment in Defendants' favor.”

Rucks v. City of New York
96 F. Supp. 3d 138 · 2015-03-30
Motion for judgment as a matter of law (defendant) Denied

“the Court denies Defendants' motions for judgment as a matter of law or a new trial, and grants Plaintiffs motion for judgment as a matter of law as to his assault and battery claims and a new trial for damages.”

Motion for judgment as a matter of law (plaintiff) Granted

“grants Plaintiffs motion for judgment as a matter of law as to his assault and battery claims and a new trial for damages.”

Schwartz v. HSBC Bank USA, N.A.
160 F. Supp. 3d 666 · 2016-02-09
Motions to dismiss (defendant) Granted in part

“Defendant's motion to dismiss is converted to a motion for summary judgment in regards to Plaintiffs claim for improper imposition of fees under TILA and for breach of contract, and is granted on those claims. Defendant's motion is denied in regards to Plaintiffs APR disclosure claim.”

Gordon v. Amadeus IT Group, S.A.
194 F. Supp. 3d 236 · 2016-07-06
Motions to dismiss (defendant) Granted in part

“For the reasons stated in this Opinion, Defendants' motion is granted in part; Defendants' motion to dismiss Plaintiffs' claims for violations of state antitrust and consumer protections laws is granted, while their motion to dismiss Plaintiffs' claim under federal antitrust law is denied.”

Lumpkin v. Brehm
15 Civ. 839 (KPF) · 2017-01-27
Motions to dismiss (Lauren Brehm, Shkelzen Ahmetaj, John Doe, and Richard Roe) Denied

“For the reasons set forth above, Defendants’ motion to dismiss is DENIED.”

BWP Media USA, Inc. v. Gossip Cop Media, LLC
No. 13 Civ. 7574(KPF) · 2015-01-26
Motions to dismiss (Gossip Cop Media, LLC) Granted in part

“Defendant’s motion to dismiss is granted with respect to that one image and denied with respect to the remaining three images.”

ICC Chemical Corp. v. Nordic Tankers Trading A/S
15 Civ. 9766 (KPF) · 2016-05-12
Motion to vacate arbitration award (ICC Chemical Corp.) Denied

“Petitioner’s motion to vacate the arbitration award is DENIED; and Respondent’s cross-motion to confirm the award is GRANTED.”

Motion to confirm arbitration award (Nordic Tankers Trading A/S) Granted
Christiansen v. Omnicom Group, Inc.
15 Civ. 3440 (KPF) · 2016-03-09
Motions to dismiss (Omnicom Group, DDB Worldwide Communications Group, Peter Hempel, and Chris Brown) Granted

“For the reasons given in this Opinion, Defendants’ motions are GRANTED in full.”

Motions to dismiss (Joe Cianciotto) Granted
Triumph Construction Corp. v. New York City Council of Carpenters Pension Fund
No. 12 Civ. 8297(KPF) · 2014-07-03
Summary judgment (New York City District Council of Carpenters and associated benefit funds) Granted

“Respondents’ motion is granted and Petitioner’s motion is denied.”

Summary judgment (Triumph Construction Corp.) Denied

Caseload & timing

From public federal docket records for this judge.

  • The visible docket slice is current and 2026-heavy: ADA Title III public-accommodation access suits, a wave of alien-detainee habeas petitions, commercial contract, an FLSA/labor matter, a motor-vehicle case, an ex parte 28 U.S.C. 1782 discovery application, and a Section 2255-style matter (Cedeno v. United States).
  • Reflects current assignments, not a tenure-wide caseload; the two terminated dockets are days-long procedural terminations.

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