Christian v. Mattel, Inc.

286 F.3d 1118, 2002 WL 571805
CourtCourt of Appeals for the Ninth Circuit
DecidedApril 15, 2002
DocketNos. 00-56194, 00-56579
StatusPublished
Cited by240 cases

This text of 286 F.3d 1118 (Christian v. Mattel, Inc.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Christian v. Mattel, Inc., 286 F.3d 1118, 2002 WL 571805 (9th Cir. 2002).

Opinion

McKEOWN, Circuit Judge.

It is difficult to imagine that the Barbie doll, so perfect in her sculpture and presentation, and so comfortable in every setting, from “California girl” to “Chief Executive Officer Barbie,” could spawn such acrimonious litigation and such egregious conduct on the part of her challenger. In her wildest dreams, Barbie could not have imagined herself in the middle of Rule 11 proceedings. But the intersection of copyrights on Barbie sculptures and the scope of Rule 11 is precisely what defines this case.

James Hicks appeals from a district court order requiring him, pursuant to Federal Rule of Civil Procedure 11, to pay Mattel, Inc. $501,565 in attorneys’ fees that it incurred in defending against what the district court determined to be a frivolous action. Hicks brought suit on behalf of Harry Christian, claiming that Mattel’s Barbie dolls infringed Christian’s Clau-dene doll sculpture copyright. In its sanctions orders, the district court found that Hicks should have discovered prior to commencing the civil action that Mattel’s dolls could not have infringed Christian’s copyright because, among other things, the Mattel dolls had been created well prior to the Claudene doll and the Mattel dolls had clearly visible copyright notices on their heads. After determining that Hicks had behaved “boorishly” during discovery and had a lengthy rap sheet of prior litigation misconduct, the district court imposed sanctions.

We hold that the district court did not abuse its discretion in determining that the complaint filed by Hicks was frivolous under Rule 11. In parsing the language of the district court’s sanctions orders, however, we cannot determine with any degree of certainty whether the district court grounded its Rule 11 decision on Hicks’ misconduct that occurred outside the pleadings, such as in oral argument, at a meeting of counsel, and at a key deposition. This is an important distinction because Rule 11 sanctions are limited to misconduct regarding signed pleadings, motions, and other filings. Fed.R.Civ.P. 11. Consequently, we vacate the district court’s orders and remand for further proceedings consistent with this opinion. In so doing, we do not condone Hicks’ conduct or suggest that the district court did not have a firm basis for awarding sanc[1122]*1122tions. Indeed, the district court undertook a careful and exhaustive examination of the facts and the legal underpinnings of the copyright challenge. Rather, the remand is to assure that any Rule 11 sanctions are grounded in conduct covered by Rule 11 and to ensure adequate findings for the sizeable fee award.

Background

As context for examining the district court’s determination that the underlying copyright action was frivolous, we begin by discussing the long history of litigation between Mattel and Hicks’ past and current clients: Harry Christian; Christian’s daughter, Claudene; and the Collegiate Doll Company (“CDC”), Claudene’s proprietorship.

I. Prior Litigation Between Mattel and CDC

Mattel is a toy company that is perhaps best recognized as the manufacturer of the world-famous Barbie doll. Since Barbie’s creation in 1959, Mattel has outfitted her in fashions and accessories that have evolved over time. In perhaps the most classic embodiment, Barbie is depicted as a slender-figured doll with long blonde hair and blue eyes. Mattel has sought to protect its intellectual property by registering various Barbie-related copyrights, including copyrights protecting the doll’s head sculpture. Mattel has vigorously litigated against putative infringers.

In 1990, Claudene Christian, then an undergraduate student at the University of Southern California (“USC”), decided to create and market a collegiate cheerleader doll. The doll, which the parties refer to throughout their papers as “Claudene,” had blonde hair and blue eyes and was outfitted to resemble a USC cheerleader.

Mattel soon learned about the Claudene doll. After concluding that it infringed certain Barbie copyrights, Mattel brought an administrative action before the United States Customs Service in 1996 in which it alleged that the Claudene doll, manufactured abroad, had pirated the head sculpture of the “Teen Talk” and “SuperStar” Barbies. The Customs Service ruled in CDC’s favor and subsequently released a shipment of Claudene dolls.1 Undaunted, Mattel commenced a federal court action in 1997 in which it once again alleged that CDC infringed various of Mattel’s copyrights. At the time, Claudene Christian was president of CDC and Harry Christian was listed as co-founder of the company and chief financial officer. CDC retained Hicks as its counsel. After the court dismissed CDC’s multiple counterclaims, the case was settled. Mattel released CDC from any copyright infringement liability in exchange for, among other things, a stipulation that Mattel was free to challenge CDC’s alleged copyright of the Claudene doll should CDC “or any successor in interest” challenge Mattel’s right to market its Barbie dolls.

II. The Present Action

Seizing on a loophole in the parties’ settlement agreement, within weeks of the agreement, Harry Christian, who was not a signatory to the agreement, retained Hicks as his counsel and filed a federal court action against Mattel. In the complaint, which Hicks signed, Christian alleged that Mattel obtained a copy of the copyrighted Claudene doll in 1996, the year of its creation,2 and then infringed its [1123]*1123overall appearance, including its face paint, by developing a new Barbie line called “Cool Blue” that was substantially similar to Claudene. Christian sought damages in the amount of $2.4 billion and various forms of injunctive relief. In an apparent effort to demonstrate that the action was not a sham, Claudene Christian and CDC were also named as defendants. Subsequently, Hicks alleged in a letter to Mattel’s counsel that an additional doll called “Virginia Tech University Barbie” also infringed the Claudene doll copyright. Hicks, however, never amended the complaint to plead allegations about Virginia Tech Barbie.

Two months after the complaint was filed, Mattel moved for summary judgment. In support of its motion, Mattel proffered evidence that the Cool Blue Barbie doll contained a 1991 copyright notice on the back of its head, indicating that it predated Claudene’s head sculpture copyright by approximately six years.3 Mattel therefore argued that Cool Blue Barbie could not as a matter of law infringe Clau-dene’s head sculpture copyright. Mattel similarly contended that the copyright on the Virginia Tech Barbie’s head sculpture also significantly predated the purported copyright on the Claudene head sculpture. Virginia Tech Barbie and other Barbie dolls contained a head sculpture that was copyrighted in 1976 and originally appeared on SuperStar Barbie.

At a follow-up counsel meeting required by a local rule, Mattel’s counsel attempted to convince Hicks that his complaint was frivolous. During the videotaped meeting, they presented Hicks with copies of various Barbie dolls that not only had been created prior to 1996 (the date of Clau-dene’s creation), but also had copyright designations on their heads that pre-dated Claudene’s creation.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Cite This Page — Counsel Stack

Bluebook (online)
286 F.3d 1118, 2002 WL 571805, Counsel Stack Legal Research, https://law.counselstack.com/opinion/christian-v-mattel-inc-ca9-2002.