Agenda for 16th Class Admin Name plates Handouts Slides Q & A with Judge Moore Joinder Intro to Class Actions Subject Matter Jurisdiction 1 Assignment for Next Class I FRCP 23
Yeazell 829-30, 850-67 Questions to think about Pp. 854ff. Qs 1 (WG1), 2 (WG2) Summarize Walmart (WG3) Why do you think the plaintiffs brought the case as a 23(b)(2) class action rather than a 26(b)(3) class action? (WG4) What do you think the plaintiffs lawyers in Walmart should have done after the Supreme Court decision in Walmart? (WG5) Enrom manipulated the price of its stock by failing to disclose information that would cause share prices to fall. Would a class action alleging violation of federal securities law against Enrom on behalf of all shareholders who purchased stock during the period when the information was being withheld be appropriate? (WG6) RhinePool supplied blood to hemophiliacs, but failed to screen adequately for HIV. As a result, many hemophiliacs in dozens of states got AIDS and some died. Would a product liability class action against RhinePool on behalf of all hemophiliacs who contracted AIDS as a result of contaminated blood produced 2 by RhinePool be appropriate? (WG7) Assignment for Next Class II
Federal Question Jurisdiction US Constitution Article III 28 USC 1331, 1338, 1441(a)-(b) FRCP 8(a)(1), 12(b)(1), 12(h)(3) Yeazell pp. 205-20 4 Blackboard Questions on Federal Question Jurisdiction Questions to think about Summarize Louisville. (WG1) Your summary should include the answer to Yeazell. P. 212 Q1 Questions on the next slide Optional -- Glannon Chapter 4 3 Assignment for Next Class III
Under the FRCP as it exists today, answer the following questions about Louisville If plaintiffs had drafted a well pleaded complaint, what would have been the key allegations of that complaint? (WG2&3) If plaintiffs had drafted a well-pleaded complaint and the case had not been dismissed for lack of subject matter jurisdiction, what pleading would defendant have filed in response? What would have been the most important part of that pleading? (WG4) How would plaintiffs have raised the unconstitutionality the Act of Congress which the defendant alleges prohibited giving the passes that the railroad gave the Mottleys? (WG5) If defendants answer had admitted that it had given passes to the Mottleys and had not honored them, but asserted as an affirmative defense that the passes were invalidated by an Act of Congress, what motion could the plaintiff have made in order to get judgment without discovery or trial? (WG6) Yeazell p. 213 Q. 3 (WG7) Prepare for Mock Mediation next Friday 4 Joinder
Rules start from assumption that suits may involve a single plaintiff suing a single defendant on a single claim Multiple parties and claims are allowed ONLY if explicitly permitted by a rule Proper joinder does NOT mean case properly in court, still need: Personal jurisdiction Subject matter jurisdiction Venue Note that joinder expands possible pleadings. FRCP 7 3rd party complaint Answer to counter claim Answer to cross-claim Answer to 3rd party complaint 5 Joinder of Claims
Claim 1 Plaintiff Defendant Claim 2 Joinder of claims always allowed. FRCP 18(a) But judge can, in discretion, always sever. Joinder is compulsory, if arises out of same transaction or occurrence Not in FRCP, but part of res judicata If related claim is brought in later action, defendant can have the case dismissed by raising the defense of res judicata Counterclaims (FRCP 13(a) &(b)) Original plaintiff Original Claim
Original defendant Counterclaim Counterclaims are always allowed. FRCP 13(a) and (b) Counterclaims are compulsory if they arise out of the same transaction or occurrence as the original claim. FRCP 13(a) If compulsory counterclaim is not asserted, cannot be asserted in separate suit 7 Joinder of Parties Defendant 1 Plaintiff 1 Claim 1 Plaintiff
Claim 1 Defendant Claim 2 Defendant 2 Plaintiff 2 Claim 2 Joinder of parties allowed, if claims arise out of the same transaction or occurrence AND there is a question of law or fact in common. FRCP 20 FRCP19 addresses compulsory joinder of necessary parties, but not part of this course Crossclaims Original claim 1 Original plaintiff
Defendant 1 Crossclaim Original claim 2 Defendant 2 Crossclaims are allowed only if they arise out of the same transaction or occurrence as the original action. FRCP 13(g) Crossclaimant can join unrelated claim(s). FRCP 18(a) 3rd Party Claims Original plaintiff Original claim Original Defendant 3rd party plaintiff 3rd party claim
3rd party defendant 3rd party claims allowed only if 3rd party plaintiff claims that 3rd party defendant is liable to 3rd party plaintiff for some or all of liability that original defendant may owe to original plaintiff. FRCP 14(a)(1) Indemnity Contract in which one party (e.g. parts supplier) agrees to reimburse another party (e.g. final manufacturer) for liaiblity (e.g. liability final manufacturer may incur to consumer) Contribution Part of tort law which allows jointly liable defendants to sue one another to apportion liability Different from cross-claim, because 3rd party defendant wasnt sued by original plaintiff 3rd Party Claims (cont.) Original plaintiff
Original claim Original Defendant 3rd party plaintiff 3rd party claim 3rd party defendant 3rd party plaintiff may join any claims it has against the 3 rd party defendant. FRCP 18(a) 3rd party defendant can assert any counterclaim against 3 rd party plaintiff. 14(a)(2) (B) 3rd party defendant can assert claim against original plaintiff, if it arises out of the same transaction or occurrence as the plaintiffs claim against third-party plaintiff. 14(a)(2)(D)
Plaintiff may assert claims against 3rd party defendant that arise out of the same transaction or occurrence as the original claim Then 3rd party defendant may then assert any counterclaims. FRCP 14(a)(3) Including permissive counterclaims, not part of same transaction or occ. Joinder Questions Briefly summarize Price Pp. 797ff. Q 2, 3b 12 Class Actions I Class Action is super joinder device Way of joining lots of plaintiffs (or defendants) Single lawyer represents all
Consent from each plaintiff not required Class representative is named plaintiff Usually chosen by class lawyer Advantages Low cost as compared to lots of individual suits Allows case to be brought where each plaintiff has stake that is too small to justify individual suit But where, in aggregate, significant wrong has been done Disadvantages Class lawyer does not always act in interest of class May be more interested in fees for self than in relief for class Large magnitude of potential liability may coerce defendants into settling weak claims 13 Class Actions II Class actions must be certified
Plaintiffs lawyer first brings regular (non-class-action) case on behalf of named plaintiff(s) Plaintiffs lawyer then petitions judge to certify class Prerequisites for class action 1. Numerosity. Class is so large that joinder (under Rule 20) is not practical. 23(a)(1) 2. Commonality. There are questions of law or fact common to all class members. 23(a)(2) 3. Typicality. The class representative(s) have claims which are typical. 23(a)(3) 4. Adequacy. The class representative(s) can adequately represent class. 23(a) (4) Technically about parties. In reality, about class lawyers. Also, no conflicts of interest. 5. Case must fit into one of 23(b) categories See next page 14 Class Actions III
23(b) categories (b)(3). Primarily for money damages E.g. mass tort Common issues must predominate Class action must be superior to other available methods for fairly and efficiently adjudicating the controversy (b)(2). Injunctive or declaratory relief appropriate for whole class E.g. desegregation, prison conditions (b)(1). Risk of inconsistent litigation E.g. limited fund or conflicting injunctions Not very common Interlocutory appeal of certification decision. 23(f) Grant or denial Discretionary with court of appeals 15 Class Actions IV
Notice and Opt-Out. 23(c)(2) Only (b)(3) requires best notice that is practical under the circumstances Only (b)(3) requires the class members be given the opportunity to opt out Settlement with court approval only. 23(e) 16 Introduction to Subject Matter Jurisdiction I Federal courts have limited jurisdiction Can hear only cases allowed by Constitution and statute Constitution sets outer limit of jurisdiction But congress can choose to give courts less Constitution is not self-executing Need statutory as well as constitutional authority 2 principle categories Diversity Plaintiff and defendant are citizens of different states Complete diversity rules
No plaintiff is citizen of the same state as any defendant Alienage One party is US citizen, other party is foreign citizen Federal question Cases arising out of federal statute or constitution Other categories Admiralty Special statutes, such as 28 USC 1338 (patents, copyrights, etc) 17 Introduction to Subject Matter Jurisdiction II Federal jurisdiction is usually concurrent Plaintiff can bring case either in federal court or state court State courts can adjudicate issues of federal law or relating to treaties or the US Constitution Sometimes, federal jurisdiction is exclusive Plaintiff cannot bring case in state court If statute is silent on whether jurisdiction is concurrent or exclusive, it is concurrent See 28 USC 1331. Federal question jurisdiction
If jurisdiction is exclusive, statute will be explicit 28 USC 1338. No State court shall have jurisdiction over any claim for relief arising under any Act of Congress relating to patents or copyrights But does not specifically exclude state jurisdiction over trademarks, so states have concurrent jurisdiction. 18 Introduction to Subject Matter Jurisdiction III Subject matter jurisdiction must be plead. See FRCP 8(a) & Form 7 Jurisdictional statement is about subject matter jurisdiction (not personal jurisdiction) If court does not have subject matter jurisdiction Defendant can bring motion to dismiss under FRCP 12(b)(1) Court can (and must) dismiss, even if defendant does not make motion Law clerks are often asked to check jurisdiction in every case when filed Case can be dismissed for lack of subject matter jurisdiction at any time Issue is never waived. Issue can be raised for the first time in appellate court By judge or party
19 Federal Question Jurisdiction Permissible because allowed by US Constitution, Article III The judicial Power shall extent to all Cases . Arising under this Constitution, the Laws of the United States, and Treaties. Authorized by 28 USC 1331 The district courts shall have original jurisdiction of all civil actions arising under the Constitution, laws, or treaties. What are cases arising under the US Constitution, federal law, or treaties Same words used in Article III and 28 USC 1331, but have different meaning In Article III: any case in which US constitution, federal statute, or treaty needs to be interpreted In 28 USC 1331: any case in which US constitution, federal statute, or treaty created the cause of action E.g. if complaint would mention or implicitly refer to US Constitution, federal statute, or treaty Well-pleaded complaint rule. Louisville & Nashvill Railroad v Mottley Not sufficient that federal issue is a defense 20
Defense would be raised in answer, not complaint Removal If jurisdiction is concurrent, plaintiff can choose federal or state court But if defendant prefers federal court, it can remove the case to federal court. 28 USC 1441 Removal is proper whenever a case could have been brought initially in federal court. 28 USC 1441(a) Except, in diversity cases, when the defendant is a citizen of the state in which sued. 28 USC 1441(b) 21 Subject Matter Jurisdiction in State Court
A 2nd meaning of subject matter jurisdiction is the jurisdiction of a specialized court E.g. jurisdiction of bankruptcy court, tax court, probate court, small claims court 2nd meaning is generally more important in state court Unlike federal courts, state courts can generally hear any cause of action U.S. Constitution does not limit jurisdiction of state courts Although some statutes give federal courts exclusive jurisdiction And thus bar state court jurisdiction So dont need to think about diversity jurisdiction or federal question jurisdiction to determine state court subject matter jurisdiction State constitutions or statutes may limit state court jurisdiction State are free to set up court systems as they please Most have more specialized courts than federal courts Probate, small claims court, family court Non-specialized state court is usually called superior court But in NY called supreme court Highest appellate court in NY called Court of Appeals 22 Diversity Jurisdiction I Federal subject matter jurisdiction if
Citizen of State A sues citizen of state B AND amount in controversy exceeds $75,000 Rationale Concern about state court bias against non-citizens Concern about anti-corporate bias of state courts Federal forum for disputes with inter-state/national implications US citizen is citizen of US state in which domiciled Domicile = residence with intent to remain indefinitely indefinitely means no plans to leave, even if dont plan to stay permanently Individuals do not lose domicile in one state until establish domicile somewhere else Student who grew up in MA and went to school in IL and CA may still be citizen of MA, even if hasnt lived there for 10 years, as long as never intended to remain indefinitely in IL or CA Corporations are citizens of two places State of incorporation State of principal place of business (PPB) PPB = nerve center or headquarters. Hertz (2010) Means LESS likely to get diversity jurisdiction If individual citizen of CA sues corporation incorporated in Delaware with PPB in CA, then no diversity jurisdiction 23
Similarly, if individual citizen of Delaware sues. Diversity Jurisdiction II Removal allowed if case could have been brought initially in federal court AND defendant is NOT from forum state CA sues MA in MA court for $80,000, MA defendant cannot remove to federal court, even though CA plaintiff could have brought case in federal court Complete diversity rule No plaintiff can be a citizen of the same state as any defendant MA v CA & MA, no diversity jurisdiction MA & CA v MA, no diversity jurisdiction MA & CA v NV, diversity jurisdiction AL & AK & CA & DE v AL & FL & KS & MO & NH & NM & OH NO diversity jurisdiction Rationale In-state party protects out-of-state party Doesnt make sense, because co-defendants may have divergent interests Reduce federal caseload Not constitutionally required Congress could change by statute. and has see CAFA 24
Similar to status of well-pleaded complaint rule Diversity Jurisdiction III Also diversity jurisdiction if Suit between citizen of US and foreigner (citizen or subject of foreign state). 28 USC 1332(2) CA v. France; MA v Germany, etc. Called alienage jurisdiction Alien admitted to US for permanent residence treated like citizen of the state in which domiciled CA v French permanent resident domiciled in MA. Diversity CA v French permanent resident domiciled in CA. No diversity If no diversity, can, of course, still get federal jurisdiction through federal question Even if diversity of citizenship, must still show personal jurisdiction & venue 25
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