Doe v. Hallock

97 A.L.R. Fed. 359, 10 Fed. R. Serv. 3d 766, 119 F.R.D. 640, 49 Empl. Prac. Dec. (CCH) 38,832, 46 Fair Empl. Prac. Cas. (BNA) 776, 1987 WL 45190, 1987 U.S. Dist. LEXIS 13258
CourtDistrict Court, S.D. Mississippi
DecidedDecember 8, 1987
DocketCiv. A. No. J87-0353(L)
StatusPublished
Cited by23 cases

This text of 97 A.L.R. Fed. 359 (Doe v. Hallock) is published on Counsel Stack Legal Research, covering District Court, S.D. Mississippi primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Doe v. Hallock, 97 A.L.R. Fed. 359, 10 Fed. R. Serv. 3d 766, 119 F.R.D. 640, 49 Empl. Prac. Dec. (CCH) 38,832, 46 Fair Empl. Prac. Cas. (BNA) 776, 1987 WL 45190, 1987 U.S. Dist. LEXIS 13258 (S.D. Miss. 1987).

Opinion

MEMORANDUM OPINION

TOM S. LEE, District Judge.

This is an action brought pursuant to Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e—2000e-17, in which the plaintiff has sought to proceed under a pseudonym, “Jane Doe,” in an effort to retain her anonymity. The complaint charges that plaintiffs former employers, defendants Steven Hallock, Shinn Lee and Trilogy Communications, Inc., sexually harassed her throughout her employment by treating her in a derogatory and humiliating manner solely because of her gender, that she was denied a promotion which ultimately went to a male employee because she refused to succumb to sexual advances by defendant Hallock, and that she was involuntarily terminated because [642]*642of her gender. The complaint further charges that defendants intentionally retaliated against plaintiff for filing an EEOC charge. Plaintiff also asserts pendent state law claims for wrongful termination, assault and battery, intentional infliction of emotional harm and invasion of privacy. In addition, there is a claim of an ERISA violation for defendants’ refusal to pay to plaintiff contributions due her under a company profit-sharing plan.

This cause is now before the court on the motion of defendants to dismiss pursuant to Rule 12(b) of the Federal Rules of Civil Procedure on the grounds that this court lacks both subject matter jurisdiction and personal jurisdiction over the plaintiff and defendants and that process was insufficient. Also for consideration by the court are motions by plaintiff to amend the complaint to substitute her real name in the event she is not allowed to proceed anonymously and for a protective order to have the court record sealed.

The substance of defendants’ motion to dismiss is that a lawsuit in this matter has not been “commenced,” as that term is defined by Rule 3 of the Federal Rules of Civil Procedure, and that, consequently, this court lacks jurisdiction over the subject matter as well as personal jurisdiction over the parties. Defendants further assert that since the complaint was not properly filed, the court clerk had no authority to issue summons, thereby rendering process insufficient. The grounds for defendants’ objection to the complaint as filed are that plaintiff had no authority to bring the action under a pseudonym and that since Jane Doe is merely a fiction and does not exist, an action has not been commenced under the applicable rules of procedure. Therefore, according to defendants, the complaint was ineffective to commence the action.

Under Rule 3 of the Federal Rules of Civil Procedure, “a civil action is commenced by filing a complaint with the court.” Rule 10 states that in the complaint, “the title of the action shall include the names of all the parties____” In support of the proposition that this court lacks jurisdiction because the action has not been properly commenced, defendants rely predominantly on Roe v. State of New York, 49 F.R.D. 279 (S.D.N.Y.1970), wherein the court held that

if a complaint does not identify any plaintiff in the title or otherwise, then its filing is ineffective to commence an action. The Court must be able to identify from the complaint at least one plaintiff by name; otherwise, no action has been commenced.

Roe v. State of New York, 49 F.R.D. at 281. The court further ruled that the subsequent disclosure of the true identities of the plaintiffs did not change the status of the case since, in that court’s opinion, no action had been commenced by filing of the complaint and nothing would serve to change that.

The decision in Roe v. State of New York, upon which defendants heavily rely, was rendered in 1970, a time in which instances of parties suing pseudonymously were rare. See Steiner, Public Trial, Pseudonymous Parties: When Should Litigants be Permitted to Keep Their Identities Confidential? 37 Hastings L.J. 1 (1985). Since that time, however, increasing numbers of parties have sought for a variety of reasons to sue anonymously in order to keep their identities confidential, and in fact, “a practice has developed permitting individuals to sue under fictious names” under certain circumstances. 27 Fed.Proc., L.Ed. § 62:96 (1984); see also Doe v. Deschamps, 64 F.R.D. 652, 653 (D.Mont.1974) (noting host of cases have been prosecuted under fictitious names since Roe v. New York). Thus, the central inquiry before the court is whether the plaintiff should be permitted to proceed in this cause under a pseudonym and if not, whether, as defendants contend, the cause must be dismissed in its entirety for plaintiff’s alleged failure to properly commence the action.

The decision whether to allow the use of fictitious names based on a need for anonymity in a particular lawsuit is left to the discretion of the trial court. See Roe v. Borup, 500 F.Supp. 127, 130 (E.D.Wis.[643]*6431980). There is, however, no express standard to guide the court in making its decision. Rather, the court must balance the plaintiffs interest in maintaining anonymity against the “customary and constitutionally-embedded presumption of openness in judicial proceedings[,]” Doe v. Stegall, 653 F.2d 180, 186 (5th Cir.1981), since

it is axiomatic that lawsuits are public events and that the public has a legitimate interest in knowing the facts involved, including the identities of the parties____ The defendant also has a strong interest in knowing who is suing him.

Doe v. Rostker, 89 F.R.D. 158, 162 (N.D.Cal.1981). It must be borne in mind, though, that the policy under Rule 10 favors disclosure of the names of litigants,1 such that

identifying a plaintiff only by a pseudonym is an unusual procedure, to be allowed only where there is an important privacy interest to be recognized.

Lindsey v. Dayton-Hudson Corp., 592 F.2d 1118, 1125 (10th Cir.1979); see also Doe v. Deschamps, 64 F.R.D. 652, at 653 (D.Mont.1974) (court should grant permission to proceed under fictitious name only in exceptional circumstances where interest of justice so requires). That is, there are limited exceptions to the Rule 10 requirement of disclosure where parties have strong interests in proceeding anonymously. Doe v. Rostker, 89 F.R.D. at 161.

In Southern Methodist University Association v. Wynne & Jaffe, 599 F.2d 707 (5th Cir.1979), the Fifth Circuit observed that while neither Title VII nor the Federal Rules of Civil Procedure

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97 A.L.R. Fed. 359, 10 Fed. R. Serv. 3d 766, 119 F.R.D. 640, 49 Empl. Prac. Dec. (CCH) 38,832, 46 Fair Empl. Prac. Cas. (BNA) 776, 1987 WL 45190, 1987 U.S. Dist. LEXIS 13258, Counsel Stack Legal Research, https://law.counselstack.com/opinion/doe-v-hallock-mssd-1987.