California Federal Bank v. United States

54 Fed. Cl. 704, 2002 U.S. Claims LEXIS 354, 2002 WL 31863805
CourtUnited States Court of Federal Claims
DecidedDecember 17, 2002
DocketNo. 92-138C
StatusPublished
Cited by11 cases

This text of 54 Fed. Cl. 704 (California Federal Bank v. United States) is published on Counsel Stack Legal Research, covering United States Court of Federal Claims primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
California Federal Bank v. United States, 54 Fed. Cl. 704, 2002 U.S. Claims LEXIS 354, 2002 WL 31863805 (uscfc 2002).

Opinion

OPINION

HODGES, Judge.

This case is on remand from the United States Court of Appeals for the Federal Circuit. See California Fed. Bank, FSB v. United States, 245 F.3d 1342 (Fed.Cir.2001). The Government breached its contract with CalFed to treat supervisory goodwill as regulatory capital and to amortize its goodwill over a period of thirty years. California Fed. Bank v. United States, 39 Fed.Cl. 753 (1997), affd, 245 F.3d 1342 (Fed.Cir.2001). The issue on remand is whether this breach entitles plaintiff to expectancy damages in the form of lost profits. CalFed did not prove causation, foreseeability, or reasonable certainty of damages at trial.1 Its lost profits model was not credible.

[706]*7061. Causation

Defendant’s breach did not cause measurable damages to plaintiff. If loss of supervisory goodwill forced plaintiff to “shrink the bank” to improve its capital ratios, or to raise capital, the bank was not harmed by the process. 2 Plaintiff improved its tangible capital position because it phased out supervisory goodwill.

2. Foreseeability

The Government promised plaintiff that it could count goodwill as regulatory capital but not that the bank would produce profits as a result. A severe real estate recession in California caused plaintiff financial problems after the breach. Defendant could not have foreseen the recession or its effects when it entered the contract with CalFed, and it could not have foreseen that years later plaintiff would choose to sell assets that it now claims would have been profitable.

3. Reasonable Certainty

Plaintiff did not show that the bank’s sale of assets such as California Thrift and Loan (CTL) or its adjustable rate mortgages (ARMs) were related to defendant’s breach. CalFed’s chief executive officer wanted to sell CTL because it was an automobile finance company that did not fit into his “back to basics strategy.” The bank sold adjustable rate mortgages because selling loans was a profitable business in which it had a competitive advantage.

I. BACKGROUND

Congress created the Federal Deposit Insurance Corporation and the Federal Savings and Loan Insurance Corporation in 1933 and 1934, respectively. The purpose of these agencies was to insure qualified deposits in banks and savings and loans. The FSLIC paid billions of dollars to depositors of failed savings and loans during the 1980’s. The agency charged higher insurance premiums to recover from insolvency and to replenish the Fund. Many savings and loans associations tried to leave FSLIC and join FDIC for that reason. Congress tried in 1987 to prevent savings and loans from leaving the FSLIC and to save the insurance fund. See Competitive Equality Banking Act of 1987, Pub.L. 100-86, 101 Stat. I 52.

When this effort failed, Congress enacted the Financial Institution Reform, Recovery and Enforcement Act of 1989, Pub.L. 107-73, 103 Stat. 183. FIRREA abolished FSLIC and gave FDIC the responsibility for both funds. The law also eliminated or changed agreements that some savings institutions had with the Government. This court found that Congress breached these agreements when it passed FIRREA. The Federal Circuit and the Supreme Court agreed. See Winstar Corp. v. United States, 64 F.3d 1531 (Fed.Cir.1995) (en banc), and United States v. Winstar Corp., 518 U.S. 839, 116 S.Ct. 2432, 135 L.Ed.2d 964 (1996). All Winstarrelated cases were remanded to this court for further proceedings. Chief Judge Smith ruled for CalFed on summary judgment in 1998 and transferred the case to us for trial on damages.

A. The First Trial Lost Profits

CalFed sought lost profits, restitution, and “wounded bank” damages in its breach of contract case against the United States in February 1999. Proof of expectancy damages was the topic of several pre-trial hearings in October and November 1998. We were concerned that the bank’s lost profits claim relied not on documentary evidence but on expert testimony using investment strategies informed by hindsight. We reviewed CalFed’s business plans, board resolutions, minutes, internal memoranda, and a lengthy Appendix containing corporate financial data, SEC filings, and similar material. A pretrial order issued in November 1998 stated:

Defendant knew that breaching this agreement would cause plaintiff to adjust its capital ratio. That is, it knew that plaintiff would have to reduce its assets or increase its capital. But it could not foresee what effect this adjustment would have on plain[707]*707tiffs profits. Banking was a volatile and dynamic' business ... [and] particularly speculative in these circumstances ----
The Government promised to permit the use of goodwill as capital, but it did not guarantee plaintiff that its use of the additional leverage would be profitable.

California Fed. Bank v. United States, No. 92-138C (Fed.Cl. November 12, 1998).

Wounded Bank Damages; Restitution Claim

Plaintiff argued at trial that bad publicity and other problems resulting from defendant’s breach caused its cost of funds, deposit insurance premiums, and other assessments to increase, and made it difficult for the bank to compete. These “wounded bank” damages totaled $285 million. The bank also argued that it was entitled to nearly a billion dollars in restitution for its loss of the right to count supervisory goodwill as capital.

We issued an opinion in April 1999 denying both the wounded bank damages and the restitution claim. California Fed. Bank v. United States, 43 Fed.Cl. 445 (1999). A $23 million judgment for flotation costs reimbursed plaintiffs cost of raising new capital to replace the goodwill that it phased out because of defendant’s breach. Id.

B. The Federal Circuit

The Federal Circuit affirmed the ruling on restitution and the $23 million judgment for flotation costs. Plaintiff did not appeal the denial of wounded bank damages. The court remanded plaintiffs lost profits case because CalFed had provided evidence of “[b]oth the existence of lost profits and their quantum, [and these are] factual matters that should not be decided on summary judgment if material facts are in dispute.” California Fed. Bank, FSB v. United States, 245 F.3d 1342, 1350 (2001) (citing RCFC 56(c)).

The Circuit noted plaintiffs allegations that it sold nearly 25,000 adjustable rate mortgages worth approximately $4 billion because of the breach, and that it was “forced to sell a profitable business unit, California Thrift & Loan, to meet its capital requirements.” California Fed. Bank, FSB, 245 F.3d at 1350. These assets and a third category of investments called “other foregone assets” comprise the bank’s lost profits model.

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Bluebook (online)
54 Fed. Cl. 704, 2002 U.S. Claims LEXIS 354, 2002 WL 31863805, Counsel Stack Legal Research, https://law.counselstack.com/opinion/california-federal-bank-v-united-states-uscfc-2002.