John Doe v. Jonathan McKernan

CourtCourt of Appeals for the D.C. Circuit
DecidedJuly 1, 2025
Docket24-5049
StatusPublished

This text of John Doe v. Jonathan McKernan (John Doe v. Jonathan McKernan) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
John Doe v. Jonathan McKernan, (D.C. Cir. 2025).

Opinion

United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT

Argued December 10, 2024 Decided July 1, 2025

No. 24-5049

JOHN DOE, APPELLANT

v.

TRAVIS HILL, IN HIS OFFICIAL CAPACITY AS ACTING CHAIRMAN OF THE FDIC AND FEDERAL DEPOSIT INSURANCE CORPORATION, APPELLEES

Appeal from the United States District Court for the District of Columbia (No. 1:24-cv-00488)

Alexandra Lichtenstein argued the cause for appellant. With her on the briefs were Joanna K. Wasik, Kelsi Brown Corkran, and Joseph W. Mead.

Sue Huhta was on the brief for amici curiae Community Legal Services of Philadelphia, et al. in support of appellant.

Jane M. Lyons, Assistant U.S. Attorney, argued the cause for appellee. With her on the brief were Matthew M. Graves, U.S. Attorney at the time the brief was filed, and Brian P. Hudak, Assistant U.S. Attorney. 2

Before: MILLETT and RAO, Circuit Judges, and ROGERS, Senior Circuit Judge.

Opinion for the court filed by Circuit Judge MILLETT.

MILLETT, Circuit Judge: This is an interlocutory appeal from the district court’s denial of John Doe’s motion to proceed in his lawsuit under a pseudonym. Dr. Doe challenges the constitutionality of the Federal Deposit Insurance Corporation’s ban on hiring those who have been convicted of a felony. He moved to proceed under a pseudonym to avoid reassociating himself with his sealed Ohio felony convictions. The district court denied Dr. Doe’s motion.

We affirm. Because federal court proceedings are presumptively open and transparent, proceeding under a pseudonym is rarely granted. Although Dr. Doe has a legitimate privacy interest in his sealed felony convictions, that interest is insufficient in this case to overcome the strong presumption against pseudonymous litigation.

I

A

The Banking Act of 1933 created the Federal Deposit Insurance Corporation to “provide for the safer and more effective use of the assets of banks[.]” Pub. L. 73-66, 48 Stat. 162 (1933). The FDIC maintains the stability of the nation’s financial system by insuring deposits valued in the trillions of dollars.

By law, those who have “been convicted of any felony” are barred from working for the FDIC. 12 U.S.C. 3 § 1822(f)(4)(E)(i); 12 C.F.R. § 336.4(a)(1). Congress originally passed that prohibition to regulate hiring by the Resolution Trust Corporation, an independent agency created by Congress in response to the savings and loan crisis in the late 1980s. Financial Institutions Reform, Recovery, and Enforcement Act of 1989, Pub. L. No. 101-73, § 501, 103 Stat. 183, 392-393. When Congress transferred the Resolution Trust Corporation’s responsibilities to the FDIC in 1993, the statutory bar on hiring convicted felons carried over as well. Resolution Trust Corporation Completion Act, Pub. L. No. 103-204, § 19, 107 Stat. 2369, 2404 (1993).

B

The Federal Rules of Civil Procedure create a presumption against pseudonymous litigation. Civil complaints filed in federal court must “name all the parties[,]” FED. R. CIV. P. 10(a), and the suit must be prosecuted in “the name of the real party in interest,” id. 17(a)(1).

This presumption is grounded in “the ‘customary and constitutionally-embedded presumption of openness in judicial proceedings.’” United States v. Microsoft Corp., 56 F.3d 1448, 1464 (D.C. Cir. 1995) (quoting Doe v. Stegall, 653 F.2d 180, 186 (5th Cir. 1981)). We generally require “parties to a lawsuit [to] openly identify themselves * * * to protect[] the public’s legitimate interest in knowing all of the facts involved, including the identities of the parties.” In re Sealed Case, 971 F.3d 324, 326 (D.C. Cir. 2020) (“Sealed Case II”) (quoting Microsoft, 56 F.3d at 1463) (formatting modified).

Requiring parties to litigate under their real names serves important values. Accurate party names allow citizens to evaluate the nature of the claims raised and the interests at stake, to assess “the real-world aftermath of a suit,” and to 4 determine for themselves whether “justice was done.” Doe v. Massachusetts Inst. of Tech., 46 F.4th 61, 68 (1st Cir. 2022). Knowing the identity of parties also makes it easier for citizens to investigate abuses of the judicial process like judicial conflicts of interest and ex parte contacts, and it promotes the appearance of fairness. Id. at 68-69. “Secrecy breeds suspicion[,]” and so “[s]ome may believe that a party’s name was masked as a means of suppressing inconvenient facts and that the court was either asleep at the wheel or complicit in the cover up.” Id. at 69.

Nonetheless, federal courts may grant “the rare dispensation of pseudonymous status” when warranted to fairly provide justice in a particular case. See Sealed Case II, 971 F.3d at 328. Exercise of that discretion is guided by a five- factor balancing test that considers (1) the strength and sensitivity of the privacy interests at stake, (2) the risk of retaliation against a named plaintiff, (3) the sensitivity of the party’s age, (4) the identity of the opposing party, and (5) the risk of unfairness to the opposing party. In re Sealed Case, 931 F.3d 92, 97 (D.C. Cir. 2019) (“Sealed Case I”).

Those five factors are “non-exhaustive,” and the court’s “flexible and fact driven” inquiry ultimately depends on the totality of the circumstances of the case before it. Sealed Case II, 971 F.3d at 326. Together, the five factors and any other relevant considerations gauge the competing public and private interests at stake in the litigation and guide the court’s determination of whether the presumption against pseudonymity has been overcome.

The moving party bears the burden of showing that the interest in proceeding under a pseudonym outweighs the “countervailing interests in full disclosure.” Sealed Case II, 971 F.3d at 326 (quoting Sealed Case I, 931 F.3d at 96). In 5 this circuit, requests to proceed under a pseudonym in the district court are referred to the Chief Judge of the United States District Court for the District of Columbia. D.D.C. Local Civ. R. 40.7(f).

C

Dr. Doe was convicted of two Ohio felonies when he was a young man in the early 1990s. Since then, Dr. Doe has lived a law-abiding life, obtained a PhD, and become a federal public servant with a security clearance. In 2009, he applied for and received a pardon from the Ohio governor, and his felony convictions were sealed by an Ohio court.

Under Ohio law, a governor’s pardon provides one basis for an individual to seek sealing of his or her criminal conviction. OHIO REV. CODE ANN. § 2953.33(A)(3) (West 2025). When a criminal conviction is sealed, the conviction generally “shall be considered not to have occurred[,]” and the public record of the conviction is made inaccessible to the public. Id. § 2953.32(D)(2)(b) (West 2025). Nonetheless, at the time giving rise to the events of this case, Ohio law allowed employers to ask about sealed felony convictions when the “question bears a direct and substantial relationship to the position for which the person is being considered.” Id. § 2953.33(B)(1) (West 2022). Individuals with a sealed felony conviction did not have a right under state law to answer as if the conviction had not occurred. 1

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John Doe v. Jonathan McKernan, Counsel Stack Legal Research, https://law.counselstack.com/opinion/john-doe-v-jonathan-mckernan-cadc-2025.