Ed Schory & Sons, Inc. v. Francis (In Re Francis)

1998 FED App. 0020P, 226 B.R. 385, 40 Collier Bankr. Cas. 2d 1506, 1998 Bankr. LEXIS 1395, 1998 WL 779195
CourtBankruptcy Appellate Panel of the Sixth Circuit
DecidedNovember 10, 1998
DocketBAP 98-8023
StatusPublished
Cited by43 cases

This text of 1998 FED App. 0020P (Ed Schory & Sons, Inc. v. Francis (In Re Francis)) is published on Counsel Stack Legal Research, covering Bankruptcy Appellate Panel of the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ed Schory & Sons, Inc. v. Francis (In Re Francis), 1998 FED App. 0020P, 226 B.R. 385, 40 Collier Bankr. Cas. 2d 1506, 1998 Bankr. LEXIS 1395, 1998 WL 779195 (bap6 1998).

Opinions

OPINION

The Debtor, Frank P. Francis, has appealed the bankruptcy court’s grant of summary judgment in favor of the Plaintiffs (Schory) in a nondischargeability action under § 523(a)(2)(A). The bankruptcy court determined that due to several prior state court decisions, collateral estoppel barred Francis from relitigating whether his debt resulted from his fraud. The Ohio Supreme Court had previously held that a letter in which Francis admitted that he had fraudulently misappropriated funds from Schory was substantially true. The bankruptcy court further determined that a prepetition settlement agreement between the parties did not operate as a novation which extinguished Scho-ry’s fraud claim for purposes of § 523(a)(2)(A).

The issue of novation in the context of § 523(a)(2)(A) is a novel issue in the Sixth Circuit. The Panel finds the reasoning of United States v. Spicer, 57 F.3d 1152 (D.C.Cir.1995) persuasive, and holds that a general release as part of a tort settlement does not constitute a novation which extinguishes a creditor’s fraud claim in the con[387]*387text of § 523(a)(2)(A). Furthermore, the bankruptcy court properly applied collateral estoppel. Accordingly, the Panel affirms the bankruptcy court’s order finding that the debt is nondisehargeable.

I.ISSUES ON APPEAL

There are two issues on appeal. The first is whether the bankruptcy court erred in granting summary judgment on the basis of collateral estoppel. The second is whether the parties’ prepetition settlement agreement operates as a novation that extinguishes Sehory’s nondischargeability claim under § 523(a)(2)(A), which did not exist at the time of the prepetition settlement agreement.

II.JURISDICTION AND STANDARD OF REVIEW

The Bankruptcy Appellate Panel of the Sixth Circuit has jurisdiction to decide this appeal. The United States District Court for the Northern District of Ohio has authorized appeals to the BAP. A “final order” of a bankruptcy court may be appealed by right under 28 U.S.C. § 158(a)(1). For purposes of appeal, an order is final if it “ends the litigation on the merits and leaves nothing for the court to do but execute the judgment.” Midland Asphalt Corp. v. United States, 489 U.S. 794, 798, 109 S.Ct. 1494, 1497, 103 L.Ed.2d 879 (1989) (citations omitted).

Conclusions of law are reviewed de novo. Nicholson v. Isaacman (In re Isaacman), 26 F.3d 629 (6th Cir.1994). Determinations regarding summary judgment are reviewed de novo. Myers v. IRS (In re Myers), 216 B.R. 402 (6th Cir. BAP 1998). “De novo review requires the Panel to review questions of law independent of the bankruptcy court’s determination.” First Union Mortgage Corp. v. Eubanks (In re Eubanks), 219 B.R. 468, 469 (6th Cir. BAP 1998) (citing In re Schaffrath, 214 B.R. 153, 154 (6th Cir. BAP 1997)).

III.FACTS

In 1987, Francis and Sehory formed a partnership which ultimately resulted in litigation between the two parties. Sehory filed a lawsuit against Francis alleging fraud, misrepresentation, and misappropriation of funds. Francis filed counterclaims. On March 14, 1991, the parties reached a settlement. Pursuant to the settlement agreement, Francis signed a cognovit note for $130,000 secured by a mortgage on Francis’s real property. The parties agreed to release each other from all claims relating to the litigation.

Ultimately, Francis defaulted on the cog-novit note and Sehory filed a foreclosure action against the real property securing the note. The parties eventually entered into an amended settlement agreement on March 2, 1991. The following letter dated May 1, 1991, was attached to the settlement agreement:

Dear Bob:

I am sincerely sorry for all the grief and aggravation I have caused you and your family. I acknowledge by this letter that I fraudulently misappropriated the sum of $370,000 from the Arlington General Partnership on the Arlington Road and Whipple Avenue Projects. This was done by knowingly misrepresenting the construction expenses of Francis General Construction, Inc. I regret any problems which I may have caused your family and your business. I also apologize for filing the counterclaim and calling the police.
Very truly yours, /s/
Frank P. Francis, Individually and as /s/
Frank P. Francis, President
Francis General Construction, Inc.

Francis defaulted on the amended settlement agreement, and Sehory again filed a foreclosure action. Francis filed a counterclaim asserting that he had been coerced into signing the letter and that Sehory had defamed him by showing the letter to others.

The Ohio Court of Common Pleas granted summary judgment in favor of Sehory on all of Francis’s claims. Francis appealed to the Ohio Court of Appeals, which affirmed the trial court’s decision that there was no defamation because the admissions in the letter were “substantially true.” Francis appealed [388]*388to the Ohio Supreme Court, which affirmed the judgment of the Court of Appeals on the basis that truth is an absolute defense to defamation and the letter was true. Ed Schory & Sons. v. Francis, 75 Ohio St.3d 433, 662 N.E.2d 1074 (Ohio 1996).

On May 30, 1997, Francis filed a petition under Chapter 7 of the Bankruptcy Code. Schory filed an adversary proceeding for a determination that the debt is nondischargeable under 11 U.S.C. §§ 523(a)(2)(A) and (a)(4). The bankruptcy court applied estoppel and determined that the debt was nondischargeable under § 523(a)(2)(A) based on Francis’s admissions in his letter of May 1,1991. Francis appealed.

IV. DISCUSSION

A. The bankruptcy court properly collateral estoppel in determining that the debt is nondischargeable under § 523(a)(2)(A) due to Francis’s fraud.

The bankruptcy court held that the of collateral estoppel bound the court to follow findings of the state courts that admission of fraud was substantially true. Therefore, the bankruptcy court granted summary judgment, holding the debt nondischargeable under § 523(a)(2)(A).

Collateral estoppel requires “that ‘the of a factual or legal issue in a judgement is conclusive in subsequent if it was “actually litigated and and the determination was essential to the judgment.’ ” Corzin v. Fordu (In re Fordu), 209 B.R. 854, 862 (6th Cir. BAP 1997) (quoting Shelar v. Shelar, 910 F.Supp. 1307, 1312 (N.D.Ohio 1995)). The Sixth has held that the application of collateral estoppel in a nondischargeability action upon whether the applicable state law would give collateral estoppel effect to the judgment. Bay Area Factors v. Calvert (In re Calvert), 105 F.3d 315 (6th Cir.1997).

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1998 FED App. 0020P, 226 B.R. 385, 40 Collier Bankr. Cas. 2d 1506, 1998 Bankr. LEXIS 1395, 1998 WL 779195, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ed-schory-sons-inc-v-francis-in-re-francis-bap6-1998.