Joanne Wolff v. Aetna Life Insurance Co

77 F.4th 164
CourtCourt of Appeals for the Third Circuit
DecidedAugust 9, 2023
Docket22-8056
StatusPublished
Cited by3 cases

This text of 77 F.4th 164 (Joanne Wolff v. Aetna Life Insurance Co) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Joanne Wolff v. Aetna Life Insurance Co, 77 F.4th 164 (3d Cir. 2023).

Opinion

PRECEDENTIAL

UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT

_______________________

No. 22-8056 _______________________

JOANNE WOLFF, individually and on behalf of a Class of Similarly Situated Individuals

v.

AETNA LIFE INSURANCE COMPANY; THE RAWLINGS COMPANY

Aetna Life Insurance Company, Petitioner _______________________

On Petition for Permission to Appeal from the United States District Court for the Middle District of Pennsylvania District Court No. 4-19-cv-01596 Chief District Judge: The Honorable Matthew W. Brann __________________________

Argued June 28, 2023 Before: JORDAN, SHWARTZ, and SMITH, Circuit Judges

(Filed: August 9, 2023)

John P. Elliott Kyle M. Elliott Stewart J. Greenleaf, Jr. Mark J. Schwemler [ARGUED] Elliott Greenleaf 925 Harvest Drive Suite 300 Blue Bell, PA 19422 Counsel for Petitioner Aetna Life Insurance Co

Charles Kannebecker [ARGUED] 104 W High Street Milford, PA 18337 Counsel for Respondent Joanne Wolff, individually and on behalf Of a Class of Similarly Situated Individuals

__________________________

OPINION OF THE COURT __________________________

SMITH, Circuit Judge.

2 Federal Rule of Civil Procedure 23(f) (“Rule 23(f)” or “23(f)”) authorizes interlocutory review of orders “granting or denying class-action certification.” Fed. R. Civ. P. 23(f). To seek interlocutory review under Rule 23(f), a party must file a 23(f) petition within fourteen days of such an order. Id. Here, Aetna Life Insurance Company (“Aetna”) filed a 23(f) petition months after the District Court certified a class, but fourteen days after the District Court revised its class certification order by rewording the class definition. This case requires us, therefore, to clarify when modifications to a prior class certification order entitle litigants to a new fourteen-day period to file a 23(f) petition.

We hold that a modified class certification order triggers a new 23(f) petition period only when the modified order materially alters the original order granting (or denying) class certification. And because the District Court’s revision did not effect such a material change, we will deny Aetna’s 23(f) petition as untimely.

I. BACKGROUND

We begin with a look at the text of Rule 23(f). We then outline the factual and procedural background of the underlying dispute before addressing Aetna’s 23(f) petition.

A. Rule 23(f)

A class action is a form of aggregate litigation in which one or more plaintiffs litigate claims on behalf of a larger group, known as a class. It has been described as “an ingenious procedural innovation that enables persons who have suffered 3 a wrongful injury, but are too numerous for joinder of their claims[,] . . . to obtain relief as a group.” Eubank v. Pella Corp., 753 F.3d 718, 719 (7th Cir. 2014). Rule 23 of the Federal Rules of Civil Procedure establishes the modern class action mechanism and provides fundamental procedural guidance to govern its utilization. See Fed. R. Civ. P. 23. Subparts (a) and (b) of Rule 23 task district courts with determining whether a particular claim is amenable to class resolution and lays out the criteria for when a class should be certified. See Fed. R. Civ. P 23(a)–(b). Traditionally, parties could not seek interlocutory review of a district court’s class certification order. See, e.g., Coopers & Lybrand v. Livesay, 437 U.S. 463, 477 (1978). Instead, to appeal an order granting or denying class certification, parties had to wait for a final order.

As class actions grew in significance, lawyers and courts soon realized that while not technically a final order, “the class-action ‘certification decision [was] often decisive as a practical matter.’” In re Nat’l Football League Players Concussion Inj. Litig., 775 F.3d 570, 577 (3d Cir. 2014) (quoting Fed. R. Civ. P. 23, advisory committee’s note to 1998 amendment). Indeed, we have previously recognized that “certifying [a] class may place unwarranted or hydraulic pressure to settle on defendants.” Newton v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 259 F.3d 154, 165 (3d Cir. 2001).

In response, litigants attempted creative end runs that might enable them to seek immediate review of class

4 certification orders. 1 For example, the so called “death knell” doctrine posited that the stakes in class certification were so high that a district court’s decision to grant or deny class certification effectively concluded the action and so constituted a final order. Though some lower courts accepted the death knell doctrine, the Supreme Court rejected it in Coopers & Lybrand. 437 U.S. 474–77. Another pre-23(f) tactic that litigants employed was to seek immediate review of class certification orders through the collateral order doctrine. But the Supreme Court rejected this approach as well. Coopers & Lybrand, 437 U.S. at 469. Resort to 28 U.S.C. § 1292 and actions for mandamus were yet two other means by which parties sought interlocutory review of class certification rulings, but these avenues, too, proved unsuccessful. See, e.g., Gardner v. Westinghouse Broad. Co., 437 U.S. 478, 480–81 (1978) (rejecting a party’s attempt to use 28 U.S.C. § 1292(a)(1) to obtain interlocutory review of a class certification order); Will v. United States, 389 U.S. 90, 95 (1967) (cautioning courts that mandamus is an “extraordinary remedy” appropriate in “only exceptional circumstances amounting to a judicial ‘usurpation of power’”).

In 1998, the Advisory Committee on Civil Rules responded to concerns about the non-appealability of class certification orders by adopting Rule 23(f), which permits

1 For a historical account of how litigants tried to obtain interlocutory review of orders granting or denying class certification before Rule 23(f) was enacted, see ROBERT H. KLONOFF, CLASS ACTIONS AND OTHER MULTI-PARTY LITIGATION: CASES AND MATERIALS 697–701 (4th ed. 2017). 5 interlocutory appellate review of a district court’s order “granting or denying class-action certification.” Fed. R. Civ. P. 23(f). While Rule 23(f) allows parties to seek immediate appeal of class certification orders, “the courts of appeals have very broad discretion in deciding whether to grant permission to pursue a Rule 23(f) appeal.” Gutierrez v. Johnson & Johnson, 523 F.3d 187

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

Related

Cite This Page — Counsel Stack

Bluebook (online)
77 F.4th 164, Counsel Stack Legal Research, https://law.counselstack.com/opinion/joanne-wolff-v-aetna-life-insurance-co-ca3-2023.