Roth v. Spruell

388 F. App'x 830
CourtCourt of Appeals for the Tenth Circuit
DecidedJuly 22, 2010
Docket09-1453
StatusUnpublished
Cited by4 cases

This text of 388 F. App'x 830 (Roth v. Spruell) 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
Roth v. Spruell, 388 F. App'x 830 (10th Cir. 2010).

Opinion

ORDER AND JUDGMENT *

STEPHEN H. ANDERSON, Circuit Judge.

This is third time this case has come before this court. The only issue remaining for consideration is whether the district court properly calculated the amount of sanctions Attorney-Appellant Robert J. Mulhern should pay to the Cortez, Duran-go, and Buffington Defendants 1 pursuant to 28 U.S.C. § 1927. We affirm in part and reverse and remand in part.

I. Background

In June 2002, Mr. Mulhern filed a civil rights complaint under 42 U.S.C. § 1983 on behalf of his clients, Stephen Roth and Jean Gumeson, against twenty-six named defendants and fifty unknown Doe defendants, alleging that defendants created, established, and executed an unconstitutional drug checkpoint that ultimately resulted in plaintiffs being unlawfully stopped, detained, searched, and arrested. The circumstances leading to plaintiffs’ arrest involved a “ruse” checkpoint. Signs along the highway indicated that a drug checkpoint would occur in a few miles, but no such checkpoint existed. Officers were stationed in unmarked cars along the highway by the signs. They were told to watch for suspicious behavior and to stop any cars where the occupants were exhibiting such behavior. Officers observed a female occupant in Mr. Roth’s car throw something out of the window after the car passed one of the signs. Officers found drug paraphernalia in the package that was thrown from the car and found drugs in the trunk of the car once it was stopped and searched. When the § 1983 complaint was filed, Mr. Roth was still involved in state criminal proceedings that arose out of the allegedly illegal search.

In September 2002, the named defendants moved to dismiss the complaint and/or for summary judgment, arguing that (1) the court lacked jurisdiction over Mr. Roth’s claims because of the Rooker-Feldman 2 doctrine; (2) the doctrine set *833 forth in Heck v. Humphrey, 512 U.S. 477, 114 S.Ct. 2864, 129 L.Ed.2d 883 (1994) barred recovery of damages where plaintiffs’ convictions had not been reversed or otherwise declared invalid; (3) plaintiffs failed to state a claim for relief under Fed.R.Civ.P. 12(b)(6); (4) the undisputed facts established that the “ruse” checkpoint was constitutional; and (5) there were no facts showing personal involvement by the defendants.

On February 3, 2003, the Durango Defendants sent Mr. Mulhern a letter notifying him of a recent case, United States v. Flynn, 309 F.3d 736 (10th Cir.2002), involving similar factual circumstances in which this court held that a “ruse” police checkpoint was constitutional. The letter stated that the Flynn case appeared to be good precedent for the dismissal of plaintiffs’ claims and that this seemed like an opportune time for Mr. Mulhern to reexamine the claims that he had brought on behalf of his clients to determine whether he had a good-faith basis under Fed. R.Civ.P. 11 to go forward. The Durango Defendants indicated that it was their view that plaintiffs had no meritorious basis upon which to proceed, and they requested that plaintiffs’ claims be dismissed. 3

Plaintiffs did not dismiss their claims at that time. Instead, they filed a response to defendants’ motions to dismiss in March 2003. The district court granted the motions to dismiss and dismissed the action in December 2003. After the dismissal, the Cortez, Durango, and Buffington Defendants, as well as other defendants that are not parties to this appeal, moved for sanctions against Mr. Mulhern under Rule 11 and 28 U.S.C. § 1927. The district court granted the motions for sanctions and Mr. Mulhern appealed.

In the first appeal, we concluded that we lacked jurisdiction over the appeal from the sanctions order because the district court had not yet determined the amount of sanctions to be awarded to one set of defendants. See Roth v. Green, 123 Fed.Appx. 871, 874 (10th Cir.2005) (Roth I). In the second appeal, Mr. Mulhern appealed from the district court’s order sanctioning him under Rule 11 and § 1927. See Roth v. Green, 466 F.3d 1179, 1182 (10th Cir.2006) {Roth II).

In Roth II, we considered Mr. Mulhern’s challenge to the merits of the district court’s decision awarding sanctions. We concluded that:

If there were any doubts about the legality of the ruse utilized by defendants in this case (and it appears that, even prior to Flynn, the legality of such a ruse was clear), those doubts should have ceased when we issued Flynn. Mulhern, in turn, upon receiving notice of the Flynn decision (and the record indicates he was repeatedly advised of the decision by the defendants in their respective letters to him), should have voluntarily dismissed the complaint. Stated differently, it was unreasonable, and a violation of his obligations as a licensed attorney, to continue to pursue the claims after the issuance of Flynn.
In sum, the district court did not abuse its discretion in concluding that Mulhern violated the provisions of both Rule 11 and § 1927 in filing and pursuing the § 1983 claims on behalf of Roth and Gumeson.

Roth II, 466 F.3d at 1189-90.

Next, we considered whether defendants had followed the procedures outlined in Rule 11. Because defendants had not *834 done so, we concluded that the district court had abused its discretion in granting defendants’ motions for sanctions under Rule 11. But because the district court had also awarded defendants fees under § 1927, we concluded that “the proper course is to reverse and remand to the district court to determine the proper amount of fees and costs to be assessed under § 1927 (i.e., ‘the excess costs ... and attorneys’ fees reasonably incurred because of his unreasonable and vexatious conduct).” Roth II, 466 F.3d at 1193.

On remand, the Cortez, Durango, and Buffington Defendants filed supplemental briefs in support of their original motions for sanctions. The magistrate judge held an evidentiary hearing and issued a report and recommendation. The magistrate judge recommended that the district court grant the motions for sanctions and assess the following attorneys’ fees and costs against Mr. Mulhern:

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Related

Baca v. Berry
806 F.3d 1262 (Tenth Circuit, 2015)
Roth v. Coleman
438 F. App'x 725 (Tenth Circuit, 2011)

Cite This Page — Counsel Stack

Bluebook (online)
388 F. App'x 830, Counsel Stack Legal Research, https://law.counselstack.com/opinion/roth-v-spruell-ca10-2010.