Aragon v. Pappy, Kaplon, Vogel & Phillips

214 Cal. App. 3d 451, 262 Cal. Rptr. 646, 1989 Cal. App. LEXIS 983
CourtCalifornia Court of Appeal
DecidedSeptember 28, 1989
DocketB034347
StatusPublished
Cited by3 cases

This text of 214 Cal. App. 3d 451 (Aragon v. Pappy, Kaplon, Vogel & Phillips) is published on Counsel Stack Legal Research, covering California Court of Appeal primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Aragon v. Pappy, Kaplon, Vogel & Phillips, 214 Cal. App. 3d 451, 262 Cal. Rptr. 646, 1989 Cal. App. LEXIS 983 (Cal. Ct. App. 1989).

Opinion

*454 Opinion

LUCAS, P. J.

Appellant, a discharged employee, brought an action against her employer, her union, and a law firm and attorney retained by her union to represent its members in grievance and arbitration proceedings as provided by a collective bargaining agreement. The complaint included allegations of professional malpractice. Appellant appeals from a summary judgment and judgment entered thereon based on respondents’ contention that the immunity from individual liability generally provided to union members, officials, and agents pursuant to section 301(b) of the Labor Management Relations Act (29 U.S.C. § 185(b)) is available to attorneys and law firms on retainer to unions in a cause of action for professional malpractice. We affirm the judgment given the specific facts of the case before us.

Background

Appellant was discharged after more than 14 years of employment by Ralphs Grocery Company (Employer). 1 A collective bargaining agreement between Employer and Local Union No. 572 (Union), of which appellant was a member, was in effect at the time of her discharge. 2 Appellant sought assistance from Union for reinstatement and backpay. Pursuant to the collective bargaining agreement, Union filed a grievance regarding the discharge.

Union had a retainer agreement, which included representation at arbitration hearings, with the law firm of Pappy, Kaplon, Vogel & Phillips (Pappy, Kaplon). Union decided the matter should be arbitrated and referred the case to attorney Ralph Phillips (Phillips) of Pappy, Kaplon. Phillips and Pappy, Kaplon are the defendants and respondents in the matter before us.

Union told appellant to contact Phillips to discuss her employment problems. Sometime after this discussion, Phillips appeared at the arbitration hearing, which was held on March 12, 1982. After an executive session attended by the arbitrator, a representative of Employer, and Phillips, the arbitrator announced a proposed settlement. 3 In response to questions by *455 the arbitrator, appellant stated that she understood and accepted the proposal.

Pursuant to the settlement, appellant returned to work on March 15, 1982. Appellant, who had worked day shifts as a cheese packer before her discharge, was given the night shift as a sanitation/utility worker. Shortly after her return to work, appellant wanted to rescind the settlement and reconvene the arbitration hearing, but Union considered the matter closed. Appellant quit her job on April 2, 1982.

On March 24, 1983, appellant filed an action in superior court. Her first amended complaint filed August 2, 1983, names as defendants Employer, Union, Phillips, and Pappy, Kaplon, among others. Appellant asserted a number of causes of action under both federal and state law, including breach of duty of fair representation against Union and professional malpractice against Phillips and Pappy, Kaplon.

All of the named defendants successfully petitioned for removal of the action to the United States District Court, Central District of California, pursuant to 28 United States Code section 1441(b), on the grounds that appellant’s claims arose out of an alleged violation of her collective bargaining agreement between Employer and Union which represented employees in an industry affecting commerce as defined in section 301 (29 U.S.C. § 185) of the Labor Management Relations Act. The district court dismissed all causes of action for failure to state a claim upon which relief can be granted (Fed. Rules Civ.Proc., rule 12(b)(6)) and appellant appealed.

In Aragon v. Federated Dept. Stores, Inc. (9th Cir. 1985) 750 F.2d 1447, certiorari denied 474 U.S. 902 [88 L.Ed.2d 229, 106 S.Ct. 229], the Ninth *456 Circuit reversed the dismissal of the malpractice claim alleged against Phillips and Pappy, Kaplon on the basis that the district court had lacked jurisdiction because the claim “was not preempted by federal law, and because there exists no independent basis of federal jurisdiction” since the other causes of action had been properly dismissed as time barred under applicable federal law. (At pp. 1453-1454, 1458.) It remanded the cause to the district court for remand to the California state court “to determine whether [appellant] has alleged facts sufficient to withstand a motion to dismiss.” (At p. 1458.)

After remand to the state court, a Ninth Circuit panel different from that which had authored Aragon decided Peterson v. Kennedy (9th Cir. 1985) 771 F.2d 1244, certiorari denied 475 U.S. 1122 [90 L.Ed.2d 187, 106 S.Ct. 1642], Peterson discussed at length the issue of immunity for union counsel and specifically addressed Aragon. In state court, Phillips and Pappy, Kaplon moved for summary judgment based primarily on Peterson. The motion was granted, judgment was entered thereon, and this appeal followed.

Discussion

A motion for summary judgment “shall be granted if all the papers submitted show that there is no triable issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” (Code Civ. Proc., § 437c, subd. (c).) Phillips and Pappy, Kaplon (hereafter, respondents) successfully argued in the trial court that the uncontradicted evidence showed that they had acted solely pursuant to an obligation to provide representation for and on behalf of Union and that in such role they were immune from liability for the alleged professional malpractice. Appellant contends the trial court reached the wrong result and argues as follows: (1) Aragon decided that federal labor law did not preempt the legal malpractice cause of action and therefore immunity is not available to respondents; (2) the immunity available to union officials and members pursuant to section 301(b) of the Labor Management Relations Act (29 U.S.C. § 185(b)) should not be extended to respondents; and (3) an attorney-client relationship existed between appellant and respondents.

(1) Preemption.

Appellant contends that because Aragon held her action for attorney malpractice was not “preempted by federal law,” Aragon should have prevented the application in the state court of the immunity theory of Peterson v. Kennedy, supra, 111 F.2d 1244, the case on which respondents primarily relied in their motion for summary judgment.

*457 With regard to the National Labor Relations Act, as amended (29 U.S.C.

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Cite This Page — Counsel Stack

Bluebook (online)
214 Cal. App. 3d 451, 262 Cal. Rptr. 646, 1989 Cal. App. LEXIS 983, Counsel Stack Legal Research, https://law.counselstack.com/opinion/aragon-v-pappy-kaplon-vogel-phillips-calctapp-1989.