Russell Gregory v. Davis & Davis, P.C.

CourtCourt of Appeals of Texas
DecidedJanuary 8, 1998
Docket03-96-00534-CV
StatusPublished

This text of Russell Gregory v. Davis & Davis, P.C. (Russell Gregory v. Davis & Davis, P.C.) is published on Counsel Stack Legal Research, covering Court of Appeals of Texas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Russell Gregory v. Davis & Davis, P.C., (Tex. Ct. App. 1998).

Opinion

TEXAS COURT OF APPEALS, THIRD DISTRICT, AT AUSTIN




NO. 03-96-00534-CV

Russell Gregory, Appellant


v.



Davis & Davis, P.C., Appellee



FROM THE DISTRICT COURT OF TRAVIS COUNTY, 126TH JUDICIAL DISTRICT

NO. 94-07348, HONORABLE MARGARET A. COOPER, JUDGE PRESIDING

PER CURIAM

Russell Gregory appeals from a judgment awarding Davis & Davis, P.C. ("the firm") damages of $17,085,934.97 based on jury findings that his knowing misrepresentations and deceptions regarding a deferred compensation plan were a producing cause of damages to the firm. Gregory contends that there was no evidence or insufficient evidence to support the jury findings of knowing deception, causation, and damages. He further argues that the trial court erred by refusing to allow post-verdict evidence of the value of the firm's settlement with other defendants, incorrectly applying the settlement credit, incorrectly computing prejudgment interest, and miscalculating the award of attorney's fees. We will modify the judgment and affirm it as modified. (1)



THE PLAN

Davis & Davis asked Gregory, the firm's longtime insurance agent at Prudential, to change the retirement plan for its shareholders. Gregory indicated that he did not have the expertise necessary to handle the transaction alone and suggested the firm call Georgina Gonzalez. No one told the firm that Gonzalez, who had done actuarial work for the firm, had received and would receive commissions for Prudential services the firm purchased.

The firm decided to participate in a plan based on representations made to them in meetings with Gregory and Gonzalez. Because Gregory did not fully understand the plan's details or the actuarial subtleties, Gonzalez did most of the explaining. The plan consisted of Prudential whole life insurance policies on the firm's five shareholders (with the firm as beneficiary), a disability policy on the shareholders, and $6 million in deferred compensation retirement benefits for the shareholders. These retirement benefits were represented by Prudential as guaranteed or "certain" in amount. This guarantee of benefits in a sum certain forms the crux of this entire dispute. The retirement benefits were to be paid monthly for ten years as each shareholder reached 62 years of age. Firm members thought that Prudential would pay the retirement benefits to the firm, which would disburse the funds to the retired shareholders. The only written contracts, however, outlined the life insurance transaction and required the firm to pay the shareholders the deferred compensation benefits from the accrued cash value of the whole life policies.

The firm sued upon learning Prudential did not intend to guarantee payment of the retirement benefits. Just before trial, Prudential agreed to pay the retirement benefits, settling the firm's suit against Prudential and Gonzales. However, pursuant to the terms of the settlement, 30% of the retirement benefits were to be paid directly to the firm's attorneys as attorney's fees. The firm proceeded to trial against Gregory.



VERDICT AND JUDGMENT

The jury made several findings. In response to Questions 1 and 2, it found that Gregory knowingly engaged in a false, misleading, unfair, or deceptive act or practice that was a producing cause of damages to the firm. In response to Question 3(a), the jury found actual damages of $1,767,925--the difference at the inception of the plan on August 1, 1986 between the value of the deferred compensation plan as represented by Gregory and the value of the plan the firm received. The jury answered two attorney's-fees questions--one as a subpart to the damage question (Question 3(b)) and one standing alone (Question 4). In response to Question 3(b), the jury found that 30% of the $1.7 million would be a reasonable attorney's fee. In response to Question 4, the jury found that a reasonable attorney's fee would be 30% of the recovery for trial work, 35% if the case was appealed to this Court, and 40% if the case was appealed to the supreme court.

Based on the verdict, the court made the following award in its final judgment:



Prejudgment interest (8/1/86 - 5/28/96) 2,930,403.84

TOTAL ACTUAL DAMAGES $4,698,328.84

Mandatory double damages 9,936,657.68

TOTAL DAMAGES $14,094,986.52

Attorney's fees (30% of recovery) 4,228,495.95

TOTAL AWARD BEFORE CREDIT $18,323,482.47

Credit for settlement with Prudential and Gonzales (1,237,547.50)

TOTAL AWARD $17,085,934.97



The court also awarded 10% post-judgment interest on the judgment compounded annually.



DISCUSSION

Gregory raises a variety of challenges to the judgment, including attacks on state-court jurisdiction, evidentiary rulings, evidentiary sufficiency, and damage calculations.



1. ERISA preemption

We begin with Gregory's supplemental point of error charging that the federal Employee Retirement Income Security Act preempts state-court jurisdiction over this action relating to an employee benefits plan. See 29 U.S.C. § 1144(a). Claims that are not against ERISA entities (employer, beneficiary, plan administrator, plan fiduciary) and that do not implicate plan administration of benefits or relations among the ERISA entities, however, are not preempted. Perkins v. Time Ins. Co., 898 F.2d 470, 473 (5th Cir. 1990). In Perkins, the plaintiff sued an insurance agent for fraudulently inducing him to drop his medical coverage in favor of an ERISA-covered plan; the court found no preemption. Id. Similarly, we conclude that the claims that Gregory, an agent, misrepresented the nature of the plan are not preempted. His representations did not affect the actual administration of benefits nor did they affect relations among ERISA entities any more than the agent's representations in Perkins. We overrule the supplemental point of error. We decline to impose sanctions for frivolous appeal against Gregory for raising this point.



2.  Legal and factual sufficiency of evidence

Gregory contends by point of error one that the trial court erred by entering judgment on the jury's award of damages because there is no evidence or, alternatively, insufficient evidence of damages. The court asked the jury to determine damages as the difference between the value of the deferred compensation plan the firm received and the value the plan would have had as represented by Gregory. The jury was instructed to determine the value as of the date that the firm received the plan. The jury found the difference to be $1,767,925.

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Russell Gregory v. Davis & Davis, P.C., Counsel Stack Legal Research, https://law.counselstack.com/opinion/russell-gregory-v-davis-davis-pc-texapp-1998.