Blake v. Gilbert

702 P.2d 631, 1985 Alas. LEXIS 274
CourtAlaska Supreme Court
DecidedJuly 5, 1985
DocketS-344
StatusPublished
Cited by46 cases

This text of 702 P.2d 631 (Blake v. Gilbert) is published on Counsel Stack Legal Research, covering Alaska Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Blake v. Gilbert, 702 P.2d 631, 1985 Alas. LEXIS 274 (Ala. 1985).

Opinion

OPINION

BURKE, Justice.

The main issue in this appeal is whether the dismissal of a corporate plaintiff’s action, for failure to pay its corporate tax and file its annual report as required by AS 10.05.720, operated as an adjudication on the merits, so as to bar a subsequent action on the ground of res judicata. The answer turns on whether such dismissal is one “for lack of jurisdiction” within the meaning of Alaska Civil Rule 41(b). Other issues are: (1) whether the trial court erred in granting partial summary judgment under the statute of limitations, (2) whether the court’s award of attorney’s fees was improper, (3) whether the trial judge should have been disqualified, and (4) whether the court erred in expunging plaintiff’s notice of lis pendens.

I

Diversified Enterprises, Inc. (D.E.I.), 1 brought suit against Gary Gilbert for *634 breach of fiduciary duty and interference with contract rights, and against Haakon Olson for breach of contract. The case was dismissed, without opposition, on October 3, 1977, for D.E.I.’s failure to meet the requirements of AS 10.05.720. 2 The court’s order did not specify whether the dismissal was with or without prejudice. Three days later, D.E.I. paid its taxes and filed its annual report, but took no further action regarding the suit.

On March 1, 1978, D.E.I. assigned its claim to Dean Blake. 3 On March 10, 1980, Blake brought a substantially identical action against Gilbert and Olson. Gilbert moved for partial summary judgment on the issue of interference with contract rights, based on the statute of limitations and the nonexistence of a contract between D.E.I. and Swiftsure Seafoods, Inc. (Swift-sure). The trial court granted Gilbert’s motion. Blake amended his complaint, deleting the contract interference count, but reserving his right to appeal the trial court’s grant of partial summary judgment in favor of Gilbert.

Gilbert and Olson filed a motion to dismiss Blake’s amended complaint, which the trial court granted on the ground that the action was barred by the doctrine of res judicata. The court deemed the dismissal in the original D.E.I. suit to be an adjudication on the merits under Civil Rule 41(b). 4 Blake’s motion for reconsideration was denied and Blake filed a notice of appeal. Thereafter, the trial court granted the ap-pellees’ motion for attorney’s fees, awarding them $15,000. Blake filed an amended statement of points on appeal to include the issue of attorney’s fees.

Subsequent to judgment, Blake filed a motion to disqualify Judge Roy H. Madsen, because Judge Madsen’s nephew, Ron Brockman, was one of Gilbert’s partners in the ownership of a Kodiak office building. Judge Madsen denied the motion, as did Judge Victor D. Carlson when the matter was referred to him. Earlier, Blake recorded a notice of lis pendens covering property owned by Gilbert. Gilbert filed a motion to expunge the notice of lis pendens, and the motion was granted. Blake filed supplemental points on appeal, regarding the denial of his motion to disqualify Judge Mad-sen and the granting of Gilbert’s motion for expunction of the lis pendens.

II

The trial court ruled that the dismissal in the D.E.I. suit was involuntary and operated as an adjudication on the merits, under Civil Rule 41(b) and Jefferson v. Greater Anchorage Area Borough, 451 P.2d 730, 732 (Alaska 1969). Applying the doctrine of res judicata, the court held that the dismissal order precluded subsequent litigation of the same cause of action.

Under the common law doctrine of res judicata, a judgment in a prior action operates as a bar to a subsequent action if (1) the prior judgment was a final judgment on the merits, (2) a court of competent jurisdiction rendered the prior judgment, and (3) the same cause of action and same *635 parties or their privies were involved in both suits. Weston Funding Corp. v. Lafayette Towers, 410 F.Supp. 980, 983 (S.D. N.Y.1976); see also Aleutian Region R.E. A.A. v. Wolansky, 630 P.2d 529, 532-33 (Alaska 1981). Here, the second and third elements have obviously been satisfied, 5 but Blake contends that res judicata should not apply because the prior judgment was not rendered on the merits.

[Ojrdinarily, the doctrine may be invoked only after a judgment' has been rendered which reaches and determines “the real or substantial grounds of action or defense as distinguished from matters of practice, procedure, jurisdiction or form,” and at common law, a dismissal on a ground which did not resolve the substantive merit of the complaint was not a bar to a subsequent action on the same claim.

Saylor v. Lindsley, 391 F.2d 965, 968 (2d Cir.1968) (citations omitted).

The court did not hear the substance of Blake’s claim and, thus, under common law principles, res judicata does not apply. The involuntary dismissal of D.E.I.’s suit, however, is governed by Alaska Civil Rule 41(b), 6 which operates as an exception to the common law rule. Under Rule 41(b), an involuntary dismissal operates as an adjudication on the merits unless the court order specifies otherwise, or the dismissal is one for lack of jurisdiction, improper venue, or failure to join an indispensable party. Here, the trial court did not specify whether the dismissal of D.E.I.’s suit was with or without prejudice. Blake argues that the dismissal was without prejudice because D.E.I.’s failure to comply with the preconditions set forth in AS 10.05.720 was “jurisdictional” within the meaning of Rule 41(b).

In Costello v. United States, 365 U.S. 265, 81 S.Ct. 534, 5 L.Ed.2d 551 (1961), the United States Supreme Court interpreted “lack of jurisdiction” broadly in construing an identical federal rule, Fed.R.Civ.P. 41(b). A denaturalization proceeding was dismissed in Costello on the ground that the government had not filed an affidavit of good cause. The Court regarded the lack of jurisdiction exception of Federal Civil Rule 41(b) as encompassing dismissals based on a plaintiff’s failure to comply with a precondition. The dismissal in Costello was, therefore, without prejudice and could not bar a subsequent denaturalization proceeding if the government satisfied the necessary precondition. The Court interpreted Federal Rule 41(b) as not intended to alter the common law principle that the disposition of a suit on grounds other than on the merits will not bar another suit. The Court reasoned that the policy behind the rule only bars future actions when “the defendant must incur the inconvenience of preparing to meet the merits because there is no initial bar to the Court’s reaching them.” Id.

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Bluebook (online)
702 P.2d 631, 1985 Alas. LEXIS 274, Counsel Stack Legal Research, https://law.counselstack.com/opinion/blake-v-gilbert-alaska-1985.