Knipe v. Skinner

146 F.R.D. 58, 1993 WL 51544
CourtDistrict Court, N.D. New York
DecidedFebruary 22, 1993
DocketNo. 91-CV-1338
StatusPublished
Cited by7 cases

This text of 146 F.R.D. 58 (Knipe v. Skinner) is published on Counsel Stack Legal Research, covering District Court, N.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Knipe v. Skinner, 146 F.R.D. 58, 1993 WL 51544 (N.D.N.Y. 1993).

Opinion

MEMORANDUM-DECISION & ORDER

McAYOY, District Judge.

In a decision rendered from the bench on October 23, 1992 the court granted the defendants’ motion to dismiss the complaint in its entirety. Pursuant to an order signed by the court on October 26, 1992, the Clerk entered judgment in favor of the defendants on October 27, 1992. On November 20, 1992 Plaintiffs appealed that decision and judgment.

Prior to the filing of the Notice of Appeal, on November 11, 1992 the defendants filed a motion for sanctions pursuant to Fed.R.Civ.P. 11. In a letter to the court dated December 8, 1992, Plaintiffs’ counsel informed the court that he did not intend to respond to the motion for sanctions unless the court issued an order to show cause. Also in this letter Plaintiffs’ counsel suggested that the appropriate procedure for considering such a motion was by order to show cause, and requested that he be given a hearing on the motion and an opportunity to conduct discovery.

In response to this letter, a Memorandum To All Counsel, dated December 16, 1992 was issued by the court which directed Plaintiffs’ counsel to file opposition papers on or before 1/1/93 or to advise the court of his intention not to oppose the motion. On December 28, 1992 Plaintiffs’ counsel filed his opposition to the motion for sanctions, which included a request for a continuance of the motion pending appeal and a hearing on the issue of sanctions. In an order dated January 22, 1993, the court denied Plaintiff’s request for a continuance and a hearing, and directed him to respond in writing to the instant motion for sanctions. For the reasons discussed below, the defendants’ motion for sanctions is granted.

DISCUSSION

A

Sanctions under Fed.R.Civ.P. 11 should only be employed when necessary to deter frivolous conduct and curb abuses of the courts. See generally Cooter & Gell v. Harmarx Cory., 496 U.S. 384, 397, 110 S.Ct. 2447, 2457, 110 L.Ed.2d 359 (1990) (Rule 11 is directed at curbing abuses in the judicial system). Moreover, the sanction imposed should only be that amount “thought reasonable to serve the sanctioning purpose of the rule.” Eastway Construction Corp. v. The City of New York, 821 F.2d 121, 123 (2d Cir.), cert. denied, 484 U.S. 918, 108 S.Ct. 269, 98 L.Ed.2d 226 (1987). By requiring an attorney to sign all pleadings, motions and other papers filed with the court, Rule 11 places primary responsibility on the signing party for mak[60]*60ing a reasonable inquiry into the basis for the signed document. The attorney’s signature constitutes a certificate that he/she

“has read the pleading, motion, or other paper; that to the best of the signer’s knowledge, information, and belief formed after reasonable inquiry it is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law, and that it is not interposed for any improper purpose ...” Fed.R.Civ.P. 11 [emphasis added].

If such a document is signed in violation of the Rule, the court “shall” impose sanctions. Indeed, once a violation of Rule 11 is found, the imposition of sanctions is mandatory. See O’Malley v. New York City Transit Authority, 896 F.2d 704, 706 (2d Cir.1990); Norris v. Grosvenor Marketing, Ltd., 803 F.2d 1281, 1288 (2d Cir.1986).

In determining whether a violation of Rule 11 has occurred, the court applies an objective standard, rather than a subjective one. Eastway Construction Corporation v. City of New York, 762 F.2d 243 (2d Cir.1985), cert. denied, 484 U.S. 918, 108 S.Ct. 269, 98 L.Ed.2d 226 (1987). If at the time a complaint is signed, it is not well grounded in fact and warranted by either existing law or a good faith argument for the extension or modification of the law, the rule has been violated. Likewise, where it is clear that the pleading is interposed for an improper purpose the rule is violated. However, a party seeking sanctions need not prove both lack of good faith basis and improper purpose, proof of either will justify the sanctions. See Id. at 254.

In determining whether a pleading lacked a good faith basis the court must be mindful of the fine “line between zealous advocacy and frivolous conduct.” United States v. International Brotherhood of Teamsters, 948 F.2d 1338, 1343 (2d Cir.1991). The court in Eastway Construction warned that “we do not intend to stifle the enthusiasm or chill the creativity that is the very lifeblood of the law”, and then directed that “any and all doubts must be resolved in favor of the signer.” Eastway, 762 F.2d at 254. Therefore, “not all unsuccessful legal arguments are frivolous or warrant sanction.” Mareno v. Rowe, 910 F.2d 1043, 1047 (2d Cir.1990), cert. denied, 498 U.S. 1028, 111 S.Ct. 681, 112 L.Ed.2d 673 (1991). Only where it is “patently clear” at the time of the signing that a claim has no chance of success under existing law, and where no reasonable argument can be advanced to modify existing law are sanctions warranted.

Here, the defendants argue in support of their motion that the complaint signed by Plaintiffs’ counsel lacked any good faith basis in law; and that it was interposed solely for the purpose of harassment.

B

The defendants maintain that the arguments advanced by Plaintiffs’ counsel in support of the instant complaint were presented to four different circuit courts, and rejected each time. See Go Leasing v. National Transportation Safety Board, 800 F.2d 1514 (9th Cir.1986); Rochna v. National Transportation Safety Board, 929 F.2d 13 (1st Cir.), cert. denied, — U.S. -, 112 S.Ct. 305, 116 L.Ed.2d 248 (1991); Tearney v. National Transportation Safety Board, 868 F.2d 1451 (5th Cir.), cert. denied, 493 U.S. 937, 110 S.Ct. 333, 107 L.Ed.2d 322 (1989); and Komjathy v. National Transportation Safety Board, 832 F.2d 1294 (D.C.Cir.1987) (per curiam), cert.

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

Related

Teixeria v. St. Jude Medical S.C., Inc.
193 F. Supp. 3d 218 (W.D. New York, 2016)
Richard X. Knipe, Glenn A. Valentine, Bernard C. Ford, Lawrence B. Smith, Esq. v. Samuel K. Skinner, Secretary, Dept. Of Transportation, James B. Busey, Iv, Administrator-Faa, C. Dean McGrath Jr., Acting General Counsel Dept. Of Transportation, Neil R. Eisner, Assistant General Counsel Dept. Of Transportation, Kenneth P. Quinn, Chief Counsel, Faa, Gregory S. Walden, Former Chief Counsel, Faa, Daniel D. Campbell, General Counsel, National Transportation Safety Board, John M. Stuhldreher, Former General Counsel, National Transportation Safety Board, John H. Cassady, Deputy Chief Counsel, Faa, Donald P. Byrne, Assistant Chief Counsel, Faa, Peter J. Lynch, Lawyer, Faa, Mardi R. Thompson, Lawyer, Faa, Karen R. Bury, Lawyer, Faa, Joseph A. Conte, Lawyer, Faa, Harry S. Gold, Lawyer, Faa, Lorretta E. Alkalay, Assistant Chief Counsel, Faa, Randy E. Hyman, Lawyer, Faa, Brunhilda Sanders-Lane, Lawyer, Faa, Daniel J. Peterson, Regional Director, Faa, Thomas Accardi, Official, Faa, Nicholas A. Sabatini, Official, Faa, Charles G. O'neill, Official, Faa, Roy E. Johnsen, Former Official, Faa, Stephen W. Smith, Inspector, Faa, Martin J. Ingram, Inspector, Faa, Robert E. Martin, Official, Faa, George Murgitroyde, Official, Faa, Mark Pandelogou, Inspector, Faa, Robert D. Murchland, Inspector, Faa, Edward Harahush, Inspector, Faa, Marinus "Rene" Koch, Inspector, Faa, Richard X. Knipe, Glenn A. Valentine, and Bernard C. Ford, Lawrence B. Smith, Esq. v. United States
19 F.3d 72 (Second Circuit, 1994)
Knipe v. Skinner
19 F.3d 72 (Second Circuit, 1994)
Knipe v. United States
151 F.R.D. 24 (N.D. New York, 1993)
Hite v. National Transportation Safety Board
991 F.2d 16 (First Circuit, 1993)

Cite This Page — Counsel Stack

Bluebook (online)
146 F.R.D. 58, 1993 WL 51544, Counsel Stack Legal Research, https://law.counselstack.com/opinion/knipe-v-skinner-nynd-1993.