Smith v. Smith

145 F.3d 335, 1998 WL 344182
CourtCourt of Appeals for the Fifth Circuit
DecidedJuly 20, 1998
Docket97-50341, 97-50575
StatusPublished
Cited by49 cases

This text of 145 F.3d 335 (Smith v. Smith) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Smith v. Smith, 145 F.3d 335, 1998 WL 344182 (5th Cir. 1998).

Opinions

EMILIO M. GARZA, Circuit Judge:

In appeal No. 97-50341, Jean S. Smith (“Defendant Smith”) appeals the district court’s judgment finding her in criminal contempt and imposing a 180-day jail term. In the consolidated appeal, No. 97-50575, Jean Smith and her son, Robert P. Smith, Jr. (collectively “defendants”), appeal the district court’s entry of a default judgment against them in a related case. We reverse the district court’s finding of criminal contempt in appeal No. 97-50341, and remand to the district court for further proceedings if necessary. We affirm the district court’s entry of default judgment in appeal No. 97-50575.

I

Although the underlying facts in these two consolidated appeals are not greatly disputed, this is the third time that we have seen these same parties on appeal and the second time that we have been asked to review the district court’s finding of contempt against Defendant Smith. See Smith v. Smith, No. 96-50569, slip op. at 1, 103 F.3d 126 (5th Cir. Dec. 3, 1996) (Smith I) (reversing criminal contempt finding and affirming civil contempt finding); Smith v. Smith, No. 96-50494, slip op. at 1, 120 F.3d 265 (5th Cir. June 30, 1997) (Smith II) (affirming jury verdict in favor of plaintiffs). In order to understand the district court’s obvious and understandable frustration with the conduct of the defendants during the course of this litigation — particularly Defendant Smith’s conduct — a full understanding of the procedural history is necessary. As we noted in the second appeal, “this lawsuit involves a family sadly torn apart.” Smith II, slip op. at 1.

[337]*337These consolidated appeals arise out of two separate fraud suits brought by the plaintiffs, Patti Fain Smith (“Plaintiff Smith”) and her late husband W. Blake Smith, against their former daughter-in-law, Jean Smith, and their grandson Robert P. Smith, Jr: The first fraud suit (“1994 suit”) alleged that the defendants had fraudulently convinced the plaintiffs to transfer most of their assets to the defendants. Following a jury trial in this suit before the Honorable Walter S. Smith, Jr., Plaintiff Smith and her husband, now deceased, prevailed on the merits and received a substantial dollar award. We affirmed this verdict in an unpublished decision, see Smith II, slip op. at 4 — 8, and the jury verdict is not directly the subject of either of these appeals.

Plaintiff Smith’s efforts to collect the' jury verdict in the 1994 suit, however, gave rise to the events that triggered appeal No. 97-50341. During the extended postjudgment proceedings for the 1994 suit, the district court has now twice held Defendant Smith in criminal contempt of court. See Smith I, slip op. at 1. In the first contempt proceedings held on July 26, 1996, the district court held Defendant Smith in both civil and criminal contempt for failing to appear and give testimony at an oral deposition as ordered by the court.1 The district court ordered that Defendant Smith be held in the custody of the U.S. Marshal for a period of ten days (ie., the criminal contempt portion) and that she be incarcerated until she purged herself from contempt by giving her deposition (ie., the civil contempt portion). Defendant Smith immediately filed a notice- of appeal to our court and petitioned for a stay of the district court’s order pending appeal. We granted a stay of the district court’s order, and on December 3,1996, after considering the merits of her appeal, summarily reversed and vacated the criminal portion of the district court’s contempt .order because the court failed to give adequate notice or follow the procedures set forth in FDIC v. LeGrand, 43 F.3d 163, 169-70 (5th Cir.1995). See Smith 1, slip op. at 1. At the same time, we affirmed the civil portion of the contempt order and “remanded to the district court for enforcement.” Id. Our mandate issued on December 30,1996.

In between the issuance of our opinion in Smith I 'and the issuance of our mandate, the parties continued to file a flurry of motions in the district court, and the plaintiffs continued to seek another order compelling Defendant Smith to submit to an oral deposition and produce documents on the status of her finances. Instead' of issuing an arrest warrant and incarcerating Defendant Smith until she had submitted to a deposition (which would have been consistent with our opinion and mandate in Smith I), the district court, on December 17, 1996, issued another order compelling Defendant Smith to submit to an oral deposition and. to produce documents at opposing counsel’s law firm on December 30, 1996.2 Although ’ counsel - for Defendant [338]*338Smith appeared on the scheduled date, Defendant Smith did not. Counsel for Defendant Smith acknowledged on the record that he transmitted to his client the district court’s order that she appear for a deposition on December 30, 1996, and’ that she had gathered documents responsive to this order. Counsel for Defendant Smith also provided some explanation (both at the time of the scheduled deposition and later in response to the plaintiffs’ motion for a show cause order) as to why Defendant Smith did not appear at the December 30, 1996 scheduled deposition. Counsel for Defendant Smith alleged that she had checked in for her flight on December 29, 1996, to come to Waco for the deposition, but that she missed her flight when a piece of her carry-on luggage was stolen (or misplaced). According to her counsel, she then became very upset, someone called the airport police and her psychiatrist, and she was taken to the hospital, thereby causing her to miss her scheduled December 30 deposition. While Plaintiff Smith vigorously disputes this characterization of the incident, the district court never made a factual finding as to the reason for Defendant Smith’s absence, and we express no opinion as to the veracity of her explanation, or indeed, whether it would in any case justify her nonappearance.

On December 31,1996, the plaintiffs filed a motion seeking a show cause order as to why Defendant Smith should not be held in civil and criminal contempt. Defendant Smith responded to the plaintiffs’ motion by further explaining the reasons that she missed the December 30 deposition and attaching copies of her boarding pass and the airport incident report to substantiate her explanation. On February 13,1997, the district court issued a show cause order directing Defendant Smith to appear and show cause on March 17, 1997, why she should not be held in criminal and civil contempt. Although her counsel again appeared on the scheduled date, Defendant Smith failed to appear for the show cause hearing. The district court instructed the court security officer to call Defendant Smith’s name three times in the hallway. After receiving no answer, the district court stated as follows: “Apparently, she has not appeared. Then the Court will order her in contempt of court for not appearing and for any other reason that we can think of.” Counsel for Defendant Smith stipulated on the record that he received a copy of the court’s show cause order; he refused, however, to answer opposing counsel’s question as to whether he mailed Defendant Smith a copy of the order. The district court then adjourned the hearing without making any findings of fact or conclusions of law.

Subsequently, on March 31, 1996, without any further hearings or communication with either party, the district court sua sponte

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Bluebook (online)
145 F.3d 335, 1998 WL 344182, Counsel Stack Legal Research, https://law.counselstack.com/opinion/smith-v-smith-ca5-1998.