G.J.B. & Associates, Inc. v. Singleton

913 F.2d 824, 17 Fed. R. Serv. 3d 1083, 1990 U.S. App. LEXIS 15544, 1990 WL 126693
CourtCourt of Appeals for the Tenth Circuit
DecidedSeptember 5, 1990
DocketNo. 88-2249
StatusPublished
Cited by95 cases

This text of 913 F.2d 824 (G.J.B. & Associates, Inc. v. Singleton) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
G.J.B. & Associates, Inc. v. Singleton, 913 F.2d 824, 17 Fed. R. Serv. 3d 1083, 1990 U.S. App. LEXIS 15544, 1990 WL 126693 (10th Cir. 1990).

Opinion

BALDOCK, Circuit Judge.

Movant-appellant John Claro, an attorney, challenges the district court’s sua sponte imposition of sanctions upon him for violating Fed.R.Civ.P. 11 & 16(f) during trial of a legal malpractice action. Reviewing the district court’s determination under an abuse of discretion standard, Cooter & Gell v. Hartmarx Corp., — U.S.-, 110 S.Ct. 2447, 2461, 110 L.Ed.2d 359 (1990) (Rule 11 standard); Ikerd v. Lacy, 852 F.2d 1256, 1258 (10th Cir.1988) (Rule 16(f) standard), we sustain the Rule 16(f) sanction as lawfully imposed, but vacate the Rule 11 sanction for want of procedural due process.1

I.

On direct examination, Claro was questioning his client, plaintiff Glenn Beadle, about a critical meeting with the defendant tax attorneys. Claro asked Beadle if he had taken any notes during the meeting and whether the notes would refresh Beadle’s recollection of the meeting. Rec. vol. VIII at 73. When Beadle answered “yes,” to both inquiries, defendants’ respective counsel objected because they had not received a copy of the notes and were unaware of their existence, despite four years of litigation and a notice of deposition duc-es tecum requesting Beadle to provide “[a]ny and all documents and/or evidence” in support of his allegations. Id. at 73-74. Claro’s response to the court was threefold: (1) the defendants did not request the notes, (2) the notes were not exhibits to be submitted into evidence, and (3) the notes were “absolute just hen-scratching.” Id. at 76-77. The district court found that Claro should have produced the notes to defense counsel pursuant to their discovery request [826]*826once Beadle located the notes and Claro knew the notes would be used at trial. Id. at 79-80.2

The district court permitted Claro to continue his examination of Beadle without the notes for the remainder of the day. At day’s end, however, the court found that Claro had failed to comply with (1) the court’s pretrial scheduling orders and (2) his continuing duty to produce requested discovery documents. Id. at 97. The court directed Claro to give defense counsel an opportunity to depose Beadle based on the notes. The court, which earlier had sanctioned Claro in related litigation for similar misconduct, Roy v. American Professional Mktg., Inc., 117 F.R.D. 687, 690-91 (W.D. Okla.1987), further ordered him to pay all fees and costs associated with Beadle’s deposition in lieu of striking Beadle’s testimony. Id. at 98-99.3 The following day, the district court entered a written order reprimanding Claro for his conduct. Rec. vol. I at doc. 439. A copy of the order was disseminated to all federal judicial officers in the Western District of Oklahoma.

Thereafter, Claro filed a motion under Fed.R.Civ.P. 60(b)(1) & (6) to vacate the district court’s order, asserting that the court (1) denied him notice and hearing, and (2) lacked any pretrial or discovery orders to support a reprimand. Rec. vol. I at doc. 455. At the motion hearing, the district court read to Claro the language of its April 20, 1988 pretrial standing order requiring “plaintiffs to identify the specific exhibits to be introduced or discussed in connection with the direct examination of each witness.” Rec. vol. XII at 6-7 (emphasis in original). The court reminded Claro that this language was incorporated into its standing order as a direct result of complaints the court received concerning Claro’s trial tactics in the Roy case. Id. at 6, 17-19. The district court rejected as “patently frivolous” Claro’s argument that the notes were not “exhibits” within the meaning of the court’s standing order. Id. at 36. At the conclusion of the hearing, the court entered detailed findings into the record and sanctioned Claro $185 for his failure to reveal the notes to opposing counsel prior to Beadle’s direct examination. Id. at 35-40. The court then imposed an additional $185 sanction upon Claro for filing a “frivolous” motion to vacate. Id. at 39. The $370 sanction represented four hours of opposing counsel’s billable time. Lastly, the district court admonished Claro that it would report any future misconduct to disciplinary authorities. Id. at 40. That same day, the court entered a minute order imposing the cost of Beadle’s deposition upon Claro as well. Rec. vol. I at doc. 484.

[827]*827II.

Initially, we express concern over our jurisdiction to consider Claro’s appeal although the issue has not been raised. See Fed.R.Civ.P. 12(h)(3) (“Whenever it appears by suggestion of the parties or otherwise that the court lacks jurisdiction of the subject matter, the court shall dismiss the action.”) (emphasis added). Claro filed his notice of appeal within thirty days after the district court’s order ruling on his motion to vacate and setting the amount of his fine, see Fed.R.App.P. 4(a)(1), but before the district court’s denial of his client Beadle’s motion for judgment notwithstanding the verdict under Fed.R.Civ.P. 59(e). See Fed.R.App.P. 4(a)(4) (notice of appeal filed before disposition of Rule 59(e) motion ineffective). Thus, we have jurisdiction over Claro’s appeal only if an order imposing sanctions against an attorney currently of record represents a “final decision” under 28 U.S.C. § 1291 or comes within an exception to the § 1291 finality requirement. Otherwise, Claro’s notice of appeal was prematurely filed.

A.

Under 28 U.S.C. § 1291, circuit courts “have jurisdiction of appeals from all final decisions of the district courts_” The Supreme Court has described a final decision as generally “one which ends the litigation on the merits and leaves nothing for the court to do but execute the judgment.” Catlin v. United States, 324 U.S. 229, 233, 65 S.Ct. 631, 633, 89 L.Ed. 911 (1945). To date, only the Ninth Circuit has held that an order imposing sanctions upon counsel currently of record is final and appealable under § 1291 when imposed. E.g., Mesirow v. Pepperidge Farm, Inc., 703 F.2d 339, 345 (9th Cir.), cert. denied, 464 U.S. 820, 104 S.Ct. 83, 78 L.Ed.2d 93 (1983). In contrast, a number of circuits have held that a sanction order against present counsel is not a final decision within the meaning of § 1291 because an adjudication on the merits of the underlying controversy has yet to occur. E.g., DeSisto College, Inc. v. Line, 888 F.2d 755, 761-62 (11th Cir.1989), cert. denied, — U.S.-, 110 S.Ct. 2219, 109 L.Ed.2d 544 (1990);

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Bluebook (online)
913 F.2d 824, 17 Fed. R. Serv. 3d 1083, 1990 U.S. App. LEXIS 15544, 1990 WL 126693, Counsel Stack Legal Research, https://law.counselstack.com/opinion/gjb-associates-inc-v-singleton-ca10-1990.