J. Edward Lumbard
Encyclopedia
Joseph Edward Lumbard, Jr. (August 18, 1901 - June 3, 1999) was a United States federal judge.
Lumbard was born in Harlem, New York City
. He attended DeWitt Clinton High School
in the Bronx. In 1920, while an undergraduate Harvard University, he was expelled by its "Secret Court" of 1920
for associating with a group of homosexuals, including his roommate. He was readmitted a year later and graduated from Harvard
in 1922 and from Harvard Law School
in 1925. For a time, he also attended Fordham Law School.
During the 1920s and 1930s, Lumbard served as an Assistant United States Attorney
in New York from 1925–27 and several stints as well as a Special Assistant Attorney General of New York
between 1928 and 1942. He served as an assistant campaign manager for Thomas E. Dewey's unsuccessful campaign for President in 1944. He then spent two decades as a lawyer
in private practice in Manhattan. He was a Justice, Supreme Court of New York in 1947. From 1953 to 1955, Lumbard served under as United States Attorney for the Southern District of New York
.
In 1955, President Eisenhower nominated Lumbard as a Judge of the United States Court of Appeals for the Second Circuit
, headquartered in New York. Lumbard served as an active judge for 16 years, including 12 years (1959–71) as Chief Judge
. He took senior status
in 1971, continuing to hear cases on a reduced schedule for the rest of his life. During these years, he also frequently served by designation hearing cases as a judge on the United States District Court for the Southern District of New York.
In 1974, Chief Justice Warren E. Burger named him to the Special Court of Appeals responsible for appointing independent counsels. He held the appointment until 1980.
In the early days of World War II, he assisted his law partner William J. Donovan
in setting up the Office of Strategic Services
(which later became the Central Intelligence Agency
). He was also considered for a seat on the United States Supreme Court. He served on the Special Court of Appeals. President Nixon considered naming him special prosecutor
in the Watergate scandal
before naming Archibald Cox
.
In 1959, he was appointed to the Harvard Board of Overseers
and served for ten years. From 1964 to 1968, He was chairman of the American Bar Association
's Committee to Develop Minimum Standards for Criminal Justice. In 1968, he was awarded the A.B.A.'s Gold Medal for his contributions to justice administration.
Lumbard died in 1999 in Fairfield, Connecticut. His chamber papers are archived at Harvard Law School, but have not yet been processed and opened for research.
The customer agreement between the parties provided "Reports of the execution of orders and statements of my account shall be conclusive if not objected to within five days and ten days, respectively, after transmittal to me (Modern Settings) by mail or otherwise."
Lumbard held that such a contract clause is presumptively enforceable. It is reasonable to require that a customer memorialize his objections so courts will not become a forum for endless swearing contests between brokers and customers.
On the other hand, he allowed for the possibility of the invalidity of such a clause in some cases. "There will be instances where a disparity in sophistication between a brokerage firm and its customer will warrant a flexible application of such written notice clauses.... Similarly, we do not foreclose the possibility that a broker may be estopped from raising a defense based on the written notice clause if the broker's own assurances of deceptive acts forestall the customer's filing of their required written complaint."
Lumbard was born in Harlem, New York City
New York City
New York is the most populous city in the United States and the center of the New York Metropolitan Area, one of the most populous metropolitan areas in the world. New York exerts a significant impact upon global commerce, finance, media, art, fashion, research, technology, education, and...
. He attended DeWitt Clinton High School
DeWitt Clinton High School
DeWitt Clinton High School is an American high school located in the Bronx, New York City, New York.-History:Clinton opened in 1897 at 60 West 13th Street at the northern end of Greenwich Village under the name of Boys High School, although this Boys High School was not related to the one in Brooklyn...
in the Bronx. In 1920, while an undergraduate Harvard University, he was expelled by its "Secret Court" of 1920
Secret Court of 1920
The Secret Court of 1920 was an ad hoc disciplinary tribunal of 5 administrators at Harvard University formed to investigate charges of homosexual activity among the student population...
for associating with a group of homosexuals, including his roommate. He was readmitted a year later and graduated from Harvard
Harvard University
Harvard University is a private Ivy League university located in Cambridge, Massachusetts, United States, established in 1636 by the Massachusetts legislature. Harvard is the oldest institution of higher learning in the United States and the first corporation chartered in the country...
in 1922 and from Harvard Law School
Harvard Law School
Harvard Law School is one of the professional graduate schools of Harvard University. Located in Cambridge, Massachusetts, it is the oldest continually-operating law school in the United States and is home to the largest academic law library in the world. The school is routinely ranked by the U.S...
in 1925. For a time, he also attended Fordham Law School.
During the 1920s and 1930s, Lumbard served as an Assistant United States Attorney
United States Attorney
United States Attorneys represent the United States federal government in United States district court and United States court of appeals. There are 93 U.S. Attorneys stationed throughout the United States, Puerto Rico, the U.S. Virgin Islands, Guam, and the Northern Mariana Islands...
in New York from 1925–27 and several stints as well as a Special Assistant Attorney General of New York
New York State Attorney General
The New York State Attorney General is the chief legal officer of the State of New York. The office has been in existence in some form since 1626, under the Dutch colonial government of New York.The current Attorney General is Eric Schneiderman...
between 1928 and 1942. He served as an assistant campaign manager for Thomas E. Dewey's unsuccessful campaign for President in 1944. He then spent two decades as a lawyer
Lawyer
A lawyer, according to Black's Law Dictionary, is "a person learned in the law; as an attorney, counsel or solicitor; a person who is practicing law." Law is the system of rules of conduct established by the sovereign government of a society to correct wrongs, maintain the stability of political...
in private practice in Manhattan. He was a Justice, Supreme Court of New York in 1947. From 1953 to 1955, Lumbard served under as United States Attorney for the Southern District of New York
United States District Court for the Southern District of New York
The United States District Court for the Southern District of New York is a federal district court. Appeals from the Southern District of New York are taken to the United States Court of Appeals for the Second Circuit The United States District Court for the Southern District of New York (in case...
.
In 1955, President Eisenhower nominated Lumbard as a Judge of the United States Court of Appeals for the Second Circuit
United States Court of Appeals for the Second Circuit
The United States Court of Appeals for the Second Circuit is one of the thirteen United States Courts of Appeals...
, headquartered in New York. Lumbard served as an active judge for 16 years, including 12 years (1959–71) as Chief Judge
Chief judge
Chief Judge is a title that can refer to the highest-ranking judge of a court that has more than one judge. The meaning and usage of the term vary from one court system to another...
. He took senior status
Senior status
Senior status is a form of semi-retirement for United States federal judges, and judges in some state court systems. After federal judges have reached a certain combination of age and years of service on the federal courts, they are allowed to assume senior status...
in 1971, continuing to hear cases on a reduced schedule for the rest of his life. During these years, he also frequently served by designation hearing cases as a judge on the United States District Court for the Southern District of New York.
In 1974, Chief Justice Warren E. Burger named him to the Special Court of Appeals responsible for appointing independent counsels. He held the appointment until 1980.
In the early days of World War II, he assisted his law partner William J. Donovan
William Joseph Donovan
William Joseph Donovan was a United States soldier, lawyer and intelligence officer, best remembered as the wartime head of the Office of Strategic Services...
in setting up the Office of Strategic Services
Office of Strategic Services
The Office of Strategic Services was a United States intelligence agency formed during World War II. It was the wartime intelligence agency, and it was a predecessor of the Central Intelligence Agency...
(which later became the Central Intelligence Agency
Central Intelligence Agency
The Central Intelligence Agency is a civilian intelligence agency of the United States government. It is an executive agency and reports directly to the Director of National Intelligence, responsible for providing national security intelligence assessment to senior United States policymakers...
). He was also considered for a seat on the United States Supreme Court. He served on the Special Court of Appeals. President Nixon considered naming him special prosecutor
Special prosecutor
A special prosecutor generally is a lawyer from outside the government appointed by an attorney general or, in the United States, by Congress to investigate a government official for misconduct while in office. A reasoning for such an appointment is that the governmental branch or agency may have...
in the Watergate scandal
Watergate scandal
The Watergate scandal was a political scandal during the 1970s in the United States resulting from the break-in of the Democratic National Committee headquarters at the Watergate office complex in Washington, D.C., and the Nixon administration's attempted cover-up of its involvement...
before naming Archibald Cox
Archibald Cox
Archibald Cox, Jr., was an American lawyer and law professor who served as U.S. Solicitor General under President John F. Kennedy. He became known as the first special prosecutor for the Watergate scandal. During his career, he was a pioneering expert on labor law and also an authority on...
.
In 1959, he was appointed to the Harvard Board of Overseers
Harvard Board of Overseers
The Harvard Board of Overseers is one of Harvard University's two governing boards...
and served for ten years. From 1964 to 1968, He was chairman of the American Bar Association
American Bar Association
The American Bar Association , founded August 21, 1878, is a voluntary bar association of lawyers and law students, which is not specific to any jurisdiction in the United States. The ABA's most important stated activities are the setting of academic standards for law schools, and the formulation...
's Committee to Develop Minimum Standards for Criminal Justice. In 1968, he was awarded the A.B.A.'s Gold Medal for his contributions to justice administration.
Lumbard died in 1999 in Fairfield, Connecticut. His chamber papers are archived at Harvard Law School, but have not yet been processed and opened for research.
Modern Settings v. Prudential
One landmark decision penned by Lumbard was Modern Settings v. Prudential (1991), which dealt with a dispute between an investor and a broker over alleged unauthorized trading.The customer agreement between the parties provided "Reports of the execution of orders and statements of my account shall be conclusive if not objected to within five days and ten days, respectively, after transmittal to me (Modern Settings) by mail or otherwise."
Lumbard held that such a contract clause is presumptively enforceable. It is reasonable to require that a customer memorialize his objections so courts will not become a forum for endless swearing contests between brokers and customers.
On the other hand, he allowed for the possibility of the invalidity of such a clause in some cases. "There will be instances where a disparity in sophistication between a brokerage firm and its customer will warrant a flexible application of such written notice clauses.... Similarly, we do not foreclose the possibility that a broker may be estopped from raising a defense based on the written notice clause if the broker's own assurances of deceptive acts forestall the customer's filing of their required written complaint."