81,7(' 67$7(6 ',675,&7 &2857
)25 7+( ',675,&7 2) &2/80%,$
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
&$66$1'5$ 0 0(12.(1
3ODLQWLII
Y &LYLO $FWLRQ 1R $%-
&LYLO $FWLRQ 1R $%-
.$7+/((1 0&*(77,*$1
Acting Director, United States Office of
Personnel Management, et al.
'HIHQGDQWV
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
0(025$1'80 23,1,21
2Q -DQXDU\ SODLQWLII &DVVDQGUD 0 0HQRNHQ ZKR KDV ILOHG D FDVH DJDLQVW WKH
8QLWHG 6WDWHV 2IILFH RI 3HUVRQQHO 0DQDJHPHQW ³230´ LQ WKLV FRXUW SUHYLRXVO\ $P &RPSO
>1R FY 'NW @ UHIHUUHG WR LQ WKLV RSLQLRQ DV ³Menoken I &RPSO´ ILOHG WZR PRUH
ODZVXLWV SURFHHGLQJ pro se RQH DJDLQVW 230 DQG WKH 6RFLDO 6HFXULW\ $GPLQLVWUDWLRQ ³66$´
DQG WKH RWKHU DJDLQVW 230 DQG WKH 8QLWHG 6WDWHV 'HSDUWPHQW RI +HDOWK DQG +XPDQ 6HUYLFHV
³++6´ ,Q RQH FDVH SODLQWLII DOOHJHV WKDW 230 DQG 66$ YLRODWHG 7LWOH 9,, RI WKH &LYLO 5LJKWV
$FW RI 86& H et seq ³7LWOH 9,,´ E\ UHWDOLDWLQJ DJDLQVW KHU EHFDXVH VKH HQJDJHG
LQ SURWHFWHG DFWLYLW\ $P &RPSO >1R FY 'NW @ ³Menoken II &RPSO´ ,Q
WKH VHFRQG FDVH VKH DOOHJHV WKDW 230 DQG ++6 YLRODWHG 7LWOH 9,, E\ GLVFULPLQDWLQJ DJDLQVW KHU
EDVHG RQ KHU UDFH DQG UHWDOLDWLQJ DJDLQVW KHU EHFDXVH VKH HQJDJHG LQ SURWHFWHG DFWLYLW\ $P
3ODLQWLII¶V FRPSODLQWV QDPHG IRUPHU $FWLQJ 'LUHFWRU RI WKH 8QLWHG 6WDWHV 2IILFH RI
3HUVRQQHO 0DQDJHPHQW %HWK &REHUW 3XUVXDQW WR )HGHUDO 5XOH RI &LYLO 3URFHGXUH G WKH &RXUW
DXWRPDWLFDOO\ VXEVWLWXWHV KHU VXFFHVVRU DV GHIHQGDQW
&RPSO >1R FY 'NW @ ³Menoken III &RPSO´ 3ODLQWLII¶V FODLPV DOO DULVH RXW
RI KHU DWWHPSW WR EHFRPH DQ $GPLQLVWUDWLYH /DZ -XGJH ³$/-´
2Q 2FWREHU GHIHQGDQWV ILOHG D FRQVROLGDWHG PRWLRQ WR GLVPLVV SODLQWLII¶V
FRPSODLQWV XQGHU )HGHUDO 5XOH RI &LYLO 3URFHGXUH E DUJXLQJ WKDW SODLQWLII¶V FODLPV LQ
Menoken II DUH EDUUHG XQGHU WKH GRFWULQHV RI res judicata DQG LVVXH SUHFOXVLRQ DQG SODLQWLII
KDV IDLOHG WR DOOHJH VXIILFLHQW IDFWV LQ Menoken III WR VWDWH FODLPV RI GLVFULPLQDWLRQ DQG UHWDOLDWLRQ
'HIV¶ 0RW WR 'LVPLVV >1R FY 'NW @ ³'HIV¶ 0RW´ 0HP RI 3 $ LQ 6XSS
RI 'HIV¶ 0RW >1R FY 'NW @ ³'HIV¶ 0HP´ 'HIV¶ 0RW >1R FY
'NW @ 'HIV¶ 0HP >1R FY 'NW @ 2Q 2FWREHU SODLQWLII RSSRVHG
GHIHQGDQWV¶ PRWLRQ 3O¶V &RQVROLGDWHG 0HP LQ 2SS WR 'HIV¶ 0RW >1R FY 'NW @
³3O¶V 2SS´ 3O¶V 2SS >1R FY 'NW @ DQG GHIHQGDQWV KDYH UHSOLHG 'HIV¶
5HSO\ LQ 6XSS RI 'HIV¶ 0RW >1R FY 'NW @ ³'HIV¶ 5HSO\´ 'HIV¶ 5HSO\ >1R
FY 'NW @
$IWHU FRQVLGHULQJ WKH SDUWLHV¶ VXEPLVVLRQV WKH &RXUW ZLOO JUDQW GHIHQGDQWV¶ PRWLRQ WR
GLVPLVV SODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW 230 DQG 66$ LQ Menoken II EHFDXVH LW LV SUHFOXGHG
XQGHU WKH GRFWULQHV RI res judicata DQG LVVXH SUHFOXVLRQ 7KH &RXUW ZLOO DOVR JUDQW GHIHQGDQW¶V
PRWLRQ WR GLVPLVV SODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW ++6 EXW LW ZLOO GHQ\ WKH PRWLRQ WR GLVPLVV
SODLQWLII¶V FODLP RI UHWDOLDWLRQ DJDLQVW 230 DQG SODLQWLII¶V FODLP RI GLVFULPLQDWLRQ DJDLQVW 230
DQG ++6 LQ Menoken III
%$&.*5281'
, )DFWXDO %DFNJURXQG
3ODLQWLII LV DQ $IULFDQ $PHULFDQ IHPDOH OLYLQJ LQ :DVKLQJWRQ '& ZKR KDV EHHQ DSSO\LQJ
IRU DQ $/- SRVLWLRQ VLQFH Menoken III &RPSO 7KH $/- DSSOLFDWLRQ SURFHVV LQFOXGHV D
FRPSHWLWLYH H[DPLQDWLRQ DGPLQLVWHUHG E\ 230 WKH UHVXOWV RI ZKLFK DUH WKHQ XVHG E\ DJHQFLHV
VHHNLQJ WR KLUH $/-V See id.
230 KDV H[FOXVLYH FRQWURO RYHU WKH SURFHVV XVHG WR UHIHU DSSOLFDQWV WR EH FRQVLGHUHG IRU
$/- SRVLWLRQV Menoken III &RPSO 230 PDLQWDLQV DQ ³$/- 5HJLVWHU´ WKDW UDQNV DSSOLFDQWV
LQ GHVFHQGLQJ RUGHU EDVHG RQ WKHLU H[DPLQDWLRQ VFRUHV Id. 8SRQ UHTXHVW 230 SURYLGHV
³FHUWLILFDWHV RI HOLJLEOHV´ WR DJHQFLHV ORRNLQJ WR KLUH $/-V Id. 7KHVH FHUWLILFDWHV FRQWDLQ
QDPHV RI DSSOLFDQWV EDVHG RQ WKHLU $/- H[DPLQDWLRQ VFRUH UDQNLQJ DQG WKHLU JHRJUDSKLF
DYDLODELOLW\ DQG WKH\ XVXDOO\ OLVW DW OHDVW WKUHH DSSOLFDQWV IRU HDFK YDFDQF\ DQ DJHQF\ LV VHHNLQJ WR
ILOO Id. ±
,Q SODLQWLII WRRN WKH $/- H[DPLQDWLRQ DGPLQLVWHUHG E\ 230 Menoken II &RPSO
230 WKHQ FUHDWHG DQ $/- 5HJLVWHU XVLQJ WKH VFRUHV RI DSSOLFDQWV ZKR KDG FRPSOHWHG WKH
$/- H[DPLQDWLRQ DQG WKDW $/- 5HJLVWHU ZDV XVHG IRU WKH QH[W IRXUWHHQ \HDUV XQWLO LW ZDV UHSODFHG
LQ EDVHG RQ WKH UHVXOWV RI D QHZ H[DPLQDWLRQ Id.
,Q 0DUFK 230 LVVXHG D FHUWLILFDWH WR 66$ FRQWDLQLQJ WKH QDPHV RI HOLJLEOH
FDQGLGDWHV IRU $/- SRVLWLRQV WKDW 66$ ZDV VHHNLQJ WR ILOO Menoken II &RPSO 7KH FHUWLILFDWH
ZDV EDVHG RQ WKH UDQNLQJV Id. 66$ WKHQ XVHG WKLV FHUWLILFDWH WR PDNH $/- VHOHFWLRQV
LQ $SULO DQG FRPPXQLFDWHG RIIHUV WR VHOHFWHHV LQ 6HSWHPEHU Id. 3ODLQWLII¶V QDPH
ZDV QRW RQ WKH FHUWLILFDWH IRU FRQVLGHUDWLRQ See id.
,Q 230 FRPSLOHG IRXU FHUWLILFDWHV RI HOLJLEOHV IRU ++6 ZKLFK ZDV VHHNLQJ WR KLUH D
WRWDO RI ILIW\ $/-V IRU DVVLJQPHQW WR IRXU ORFDWLRQV Menoken III &RPSO ,QVWHDG RI LVVXLQJ
RQH FHUWLILFDWH ZLWK SRWHQWLDO $/- FDQGLGDWHV ZKLFK SODLQWLII GHVFULEHV DV WKH W\SLFDO PHWKRG 230
JDYH ++6 ³IRXU VPDOO $/- FHUWLILFDWHV´ ± RQH IRU HDFK JHRJUDSKLF ORFDWLRQ Id. (DFK
FHUWLILFDWH OLVWHG FDQGLGDWHV LQ RUGHU RI WKHLU $/- H[DPLQDWLRQ VFRUHV DQG WKHLU JHRJUDSKLF
DYDLODELOLW\ Id. (YHQ WKRXJK SODLQWLII KDG LQGLFDWHG WKDW VKH ZDV DYDLODEOH IRU DOO IRXU RI WKH
JHRJUDSKLF ORFDWLRQV LQYROYHG KHU QDPH ZDV QRW RQ DQ\ RI WKH FHUWLILFDWHV See id.
3ODLQWLII FODLPV WKDW KDG WKH ³QRUPDO SUDFWLFH´ EHHQ XVHG KHU QDPH ZRXOG KDYH EHHQ LQFOXGHG RQ
WKH VLQJOH ODUJH FHUWLILFDWH IRU $/- FRQVLGHUDWLRQ EHFDXVH WKDW OLVW ZRXOG KDYH LQFOXGHG DW OHDVW
$/- FDQGLGDWHV Id.
,, 5HODWHG &DVHV
3ODLQWLII KDV VXHG 230 EHIRUH 6KH ILOHG D FRPSODLQW ZLWK WKH (TXDO (PSOR\PHQW
2SSRUWXQLW\ &RPPLVVLRQ ³((2&´ LQ DQG WKHQ EURXJKW DQ DFWLRQ LQ WKH 86 'LVWULFW &RXUW
IRU WKH 'LVWULFW RI &ROXPELD LQ %RWK SURFHHGLQJV KDYH EHHQ UHVROYHG
$ Menoken v. OPM ((2& 1R ; ³((2& $FWLRQ´
$IWHU SODLQWLII WRRN WKH $/- H[DPLQDWLRQ LQ VKH ILOHG D IRUPDO FKDUJH ZLWK WKH ((2&
DJDLQVW 230 LQ 0D\ RI See ([ WR 'HIV¶ 0RW >1R FY 'NW @ ³((2&
2UGHU´ DW see also Menoken v. Whipple ) 6XSS G ''& GHVFULELQJ
WKH SURFHGXUDO KLVWRU\ RI SODLQWLII¶V FDVH 3ODLQWLII DOOHJHG WKDW WKH $/- H[DPLQDWLRQ DQG VHOHFWLRQ
SURFHVV YLRODWHG 7LWOH 9,, E\ GLVFULPLQDWLQJ DJDLQVW $IULFDQ $PHULFDQ DQG IHPDOH DSSOLFDQWV
WKURXJK LWV GHVLJQ DQG LPSOHPHQWDWLRQ ((2& 2UGHU DW 6SHFLILFDOO\ SODLQWLII FODLPHG WKDW
VHYHUDO RI WKH H[DPLQDWLRQ FRPSRQHQWV LQFOXGLQJ PDQ\ RI WKH 6XSSOHPHQWDO 4XDOLILFDWLRQ
6WDWHPHQW ³646´ EHQFKPDUNV XVHG WR DZDUG SRLQWV WR H[DP WDNHUV KDG D GLVSDUDWH LPSDFW RQ
$IULFDQ $PHULFDQ DQG IHPDOH DSSOLFDQWV Id. DW ±
7KH &RXUW PXVW WDNH SODLQWLII¶V DOOHJDWLRQ DV WUXH RQ LWV IDFH EXW QRWHV WKDW LW GRHV QRW NQRZ
LI SODLQWLII ZRXOG KDYH LQ IDFW EHHQ OLVWHG LQ WKH WRS $/- FDQGLGDWHV
7KH $/- H[DPLQDWLRQ KDV IRXU FRPSRQHQWV WKH 6XSSOHPHQWDO 4XDOLILFDWLRQV 6WDWHPHQW
³646´ WKH 3HUVRQDO 5HIHUHQFH ,QTXLU\ ³35,´ WKH :ULWWHQ 'HPRQVWUDWLRQ ³:'´ DQG
WKH 3DQHO 5HYLHZ ³35´ ((2& 2UGHU DW ±
2Q 1RYHPEHU WKH $GPLQLVWUDWLYH -XGJH SUHVLGLQJ RYHU WKH FDVH IRXQG WKDW WKH
³SDUWQHU EHQFKPDUN´ XVHG LQ WKH 646 SRUWLRQ RI WKH $/- H[DPLQDWLRQ YLRODWHG 7LWOH 9,, ((2&
2UGHU DW 7KLV FRPSRQHQW ZKLFK DZDUGHG SRLQWV WR DSSOLFDQWV ZKR ZHUH SDUWQHUV DW ODUJH ODZ
ILUPV ZDV IRXQG WR FUHDWH DQ ³DGYHUVH LPSDFW RQ WKH EDVLV RI UDFH´ Id. DW 7KH UHPDLQGHU RI
SODLQWLII¶V GLVFULPLQDWLRQ FODLPV ZHUH UHMHFWHG E\ WKH $GPLQLVWUDWLYH -XGJH Id. DW 7KH
$GPLQLVWUDWLYH -XGJH RUGHUHG 230 WR ³FHDVH XVH RI WKDW EHQFKPDUN´ DQG WR VWRS UHO\LQJ RQ LW
GXULQJ WKH $/- KLULQJ SURFHVV Id 230 ZDV UHTXLUHG WR UHYLHZ WKH VFRUHV RI DOO DSSOLFDQWV RQ WKH
$/- 5HJLVWHU DGMXVW WKHLU VFRUHV DQG UDQNLQJV LI WKH\ KDG EHHQ DIIHFWHG DQG QRWLI\ DJHQFLHV
XVLQJ WKH $/- 5HJLVWHU RI WKH GLVFULPLQDWRU\ EHQFKPDUN DQG WKH ((2& 2UGHU Menoken III
&RPSO ±
,Q $XJXVW DQG 6HSWHPEHU SODLQWLII ILOHG WZR DSSHDOV ZLWK WKH ((2& DOOHJLQJ WKDW
230 KDG IDLOHG WR FRPSO\ ZLWK WKH ((2&¶V 2UGHU DQG WKDW WKH $GPLQLVWUDWLYH -XGJH KDG
HUURQHRXVO\ UHMHFWHG KHU RWKHU FODLPV See 'HIV¶ 0HP DW Whipple ) 6XSS G DW
7KH ((2& UHMHFWHG WKH DSSHDOV LQ 0D\ 'HIV¶ 0HP DW Whipple ) 6XSS G DW
3ODLQWLII WKHQ VRXJKW UHFRQVLGHUDWLRQ RI WKH ((2&¶V 0D\ GHFLVLRQ EXW EHFDXVH VKH ILOHG D
FLYLO DFWLRQ LQ WKH 86 'LVWULFW &RXUW IRU WKH 'LVWULFW RI &ROXPELD DOVR DOOHJLQJ WKDW 230 KDG QRW
SURSHUO\ LPSOHPHQWHG WKH ((2&¶V 2UGHU WKH ((2& GLVPLVVHG WKH UHTXHVW IRU UHFRQVLGHUDWLRQ
'HIV¶ 0HP DW
% Menoken v. Whipple ) 6XSS G ''& ³Menoken I´
,Q $XJXVW SODLQWLII EURXJKW DQ DFWLRQ LQ WKH 86 'LVWULFW &RXUW IRU WKH 'LVWULFW RI
&ROXPELD DOOHJLQJ WKDW 230 ZDV LQ ³ZLOOIXO YLRODWLRQ´ RI WKH ((2& 2UGHU DQG WKDW 230¶V
DGPLQLVWUDWLRQ RI WKH $/- VHOHFWLRQ SURFHVV XQODZIXOO\ GLVFULPLQDWHG DJDLQVW $IULFDQ $PHULFDQ
DQG IHPDOH DSSOLFDQWV LQ YLRODWLRQ RI 7LWOH 9,, XQGHU WKH WKHRULHV RI GLVSDUDWH LPSDFW DQG GLVSDUDWH
WUHDWPHQW Menoken I &RPSO ± Whipple ) 6XSS G DW ± ,Q 0DUFK WKH
FRXUW JUDQWHG VXPPDU\ MXGJPHQW IRU 230 RQ DOO FRXQWV Whipple ) 6XSS G DW 7KH
FRXUW KHOG WKDW 230 ZDV LQ FRPSOLDQFH ZLWK WKH ((2& 2UGHU WR HOLPLQDWH WKH SDUWQHU EHQFKPDUN
FRPSRQHQW IURP WKH $/- H[DPLQDWLRQ DQG WKDW WKHUH ZDV LQVXIILFLHQW HYLGHQFH RI GLVFULPLQDWLRQ
WR VXSSRUW WKH GLVSDUDWH LPSDFW DQG GLVSDUDWH WUHDWPHQW FODLPV WR VXUYLYH VXPPDU\ MXGJPHQW Id.
DW
& Menoken v. Cobert, et al. 1R FY ''& ³Menoken II´
2Q -DQXDU\ SODLQWLII ILOHG WZR FRPSODLQWV ZLWK WKLV &RXUW DQG VKH ILOHG DQ
DPHQGHG FRPSODLQW LQ HDFK FDVH RQ $XJXVW Menoken II &RPSO Menoken III &RPSO
7KH ILUVW Menoken v. Cobert, et al. 1R FY DVVHUWV 7LWOH 9,, UHWDOLDWLRQ FODLPV DJDLQVW
230 DQG 66$ Menoken II &RPSO 3ODLQWLII DOOHJHV WKDW LQ 0DUFK 230 DQG 66$
PDQLSXODWHG WKH $/- VHOHFWLRQ SURFHVV WR GHQ\ SODLQWLII FRQVLGHUDWLRQ IRU DQ $/- SRVLWLRQ EHFDXVH
VKH ZDV D SDUW\ LQ WKH ((2& $FWLRQ See id. ± see also id. DW 6SHFLILFDOO\
SODLQWLII FODLPV WKDW ³230 ZDV GHWHUPLQHG WR GR ZKDWHYHU QHFHVVDU\ WR HQVXUH WKDW >S@ODLQWLII
ZRXOG QRW EHQHILW IURP KHU VXFFHVV´ LQ WKH ((2& $FWLRQ DQG WKDW 66$ ZDV D ³ZLOOLQJ DQG OLNH
PLQGHG SDUWQHU´ Id. ±
' Menoken v. Cobert, et al. 1R FY ''& ³Menoken III´
,Q WKH VHFRQG DFWLRQ ILOHG RQ -DQXDU\ Menoken v. Cobert, et al. 1R FY
SODLQWLII EULQJV 7LWOH 9,, GLVFULPLQDWLRQ DQG UHWDOLDWLRQ FODLPV DJDLQVW 230 DQG ++6
Menoken III &RPSO 3ODLQWLII DOOHJHV WKDW EHFDXVH VKH ZDV D SDUW\ LQ WKH ((2& $FWLRQ
230 DQG ++6 UHWDOLDWHG DJDLQVW KHU LQ E\ GHYLDWLQJ IURP WKH QRUPDO VHOHFWLRQ SURFHVV LQ
FUHDWLQJ ³IRXU VPDOO $/- FHUWLILFDWHV´ LQVWHDG RI RQH ODUJH FHUWLILFDWH ZLWK DW OHDVW $/-
FDQGLGDWH QDPHV Id. ± 3ODLQWLII FODLPV WKDW VKH ZRXOG KDYH EHHQ FRQVLGHUHG IRU WKH
$/- SRVLWLRQ LI GHIHQGDQWV KDG XVHG WKH ³QRUPDO SUDFWLFH´ RI D VLQJOH OLVW Id. 3ODLQWLII DOVR
EULQJV D GLVFULPLQDWLRQ FODLP XQGHU D GLVSDUDWH LPSDFW WKHRU\ DOOHJLQJ WKDW WKH DOOHJHG GHYLDWLRQ
IURP WKH QRUPDO VHOHFWLRQ SURFHVV ³KDG WKH UHVLGXDO HIIHFW RI GHSULYLQJ >SODLQWLII@ DQG RWKHU $IULFDQ
$PHULFDQ $/- DSSOLFDQWV RI WKHLU ULJKW WR EH FRQVLGHUHG IRU $/- SRVLWLRQV´ Id. DW ±
67$1'$5' 2) 5(9,(:
³7R VXUYLYH D >5XOH E @ PRWLRQ WR GLVPLVV D FRPSODLQW PXVW FRQWDLQ VXIILFLHQW IDFWXDO
PDWWHU DFFHSWHG DV WUXH WR µVWDWH D FODLP WR UHOLHI WKDW LV SODXVLEOH RQ LWV IDFH¶´ Ashcroft v. Iqbal
86 TXRWLQJ Bell Atl. Corp. v. Twombly 86 ,Q Iqbal
WKH 6XSUHPH &RXUW UHLWHUDWHG WKH WZR SULQFLSOHV XQGHUO\LQJ LWV GHFLVLRQ LQ Twombly ³)LUVW WKH
WHQHW WKDW D FRXUW PXVW DFFHSW DV WUXH DOO RI WKH DOOHJDWLRQV FRQWDLQHG LQ D FRPSODLQW LV LQDSSOLFDEOH
WR OHJDO FRQFOXVLRQV´ DQG ³>V@HFRQG RQO\ D FRPSODLQW WKDW VWDWHV D SODXVLEOH FODLP IRU UHOLHI
VXUYLYHV D PRWLRQ WR GLVPLVV´ Id. DW ±
$ FODLP LV IDFLDOO\ SODXVLEOH ZKHQ WKH SOHDGHG IDFWXDO FRQWHQW ³DOORZV WKH FRXUW WR GUDZ WKH
UHDVRQDEOH LQIHUHQFH WKDW WKH GHIHQGDQW LV OLDEOH IRU WKH PLVFRQGXFW DOOHJHG´ Id. DW FLWLQJ
Twombly 86 DW ³7KH SODXVLELOLW\ VWDQGDUG LV QRW DNLQ WR D µSUREDELOLW\ UHTXLUHPHQW¶
EXW LW DVNV IRU PRUH WKDQ D VKHHU SRVVLELOLW\ WKDW D GHIHQGDQW KDV DFWHG XQODZIXOO\´ Id. TXRWLQJ
Twombly 86 DW $ SOHDGLQJ PXVW RIIHU PRUH WKDQ ³ODEHOV DQG FRQFOXVLRQV´ RU D
³IRUPXODLF UHFLWDWLRQ RI WKH HOHPHQWV RI D FDXVH RI DFWLRQ´ id. TXRWLQJ Twombly 86 DW
DQG ³>W@KUHDGEDUH UHFLWDOV RI WKH HOHPHQWV RI D FDXVH RI DFWLRQ VXSSRUWHG E\ PHUH FRQFOXVRU\
VWDWHPHQWV GR QRW VXIILFH´ Id. FLWLQJ Twombly 86 DW
:KHQ FRQVLGHULQJ D PRWLRQ WR GLVPLVV XQGHU 5XOH E WKH &RXUW LV ERXQG WR FRQVWUXH
D FRPSODLQW OLEHUDOO\ LQ WKH SODLQWLII¶V IDYRU DQG LW VKRXOG JUDQW WKH SODLQWLII ³WKH EHQHILW RI DOO
LQIHUHQFHV WKDW FDQ EH GHULYHG IURP WKH IDFWV DOOHJHG´ Kowal v. MCI Commc’ns Corp. )G
'& &LU
:KHUH WKH DFWLRQ LV EURXJKW E\ D pro se SODLQWLII D GLVWULFW FRXUW KDV DQ REOLJDWLRQ ³WR
FRQVLGHU KLV ILOLQJV DV D ZKROH EHIRUH GLVPLVVLQJ D FRPSODLQW´ Schnitzler v. United States
)G '& &LU EHFDXVH VXFK FRPSODLQWV DUH KHOG ³WR OHVV VWULQJHQW VWDQGDUGV WKDQ
IRUPDO SOHDGLQJV GUDIWHG E\ ODZ\HUV´ Haines v. Kerner 86 ±
$1$/<6,6
, 3ODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW 230 LQ Menoken II LV EDUUHG E\ WKH GRFWULQH RI
res judicata
³8QGHU res judicata D ILQDO MXGJPHQW RQ WKH PHULWV RI DQ DFWLRQ SUHFOXGHV WKH SDUWLHV RU
WKHLU SULYLHV IURP UHOLWLJDWLQJ LVVXHV WKDW ZHUH RU FRXOG KDYH EHHQ UDLVHG LQ WKDW DFWLRQ´ Allen v.
McCurry 86 FLWLQJ Cromwell v. Cty. of Sac. 86 SBC
Commc’ns, Inc. v. FCC )G '& &LU ³>$@ SDUW\ ZKR RQFH KDV KDG a
chance to OLWLJDWH D FODLP EHIRUH DQ DSSURSULDWH WULEXQDO XVXDOO\ RXJKW QRW WR KDYH DQRWKHU FKDQFH
WR GR VR´ HPSKDVLV LQ RULJLQDO TXRWLQJ 5HVWDWHPHQW 6HFRQG RI -XGJPHQWV
7KHUHIRUH D SDUW\ FDQQRW HVFDSH WKH SUHFOXVLYH HIIHFW RI WKH GRFWULQH E\ UDLVLQJ D GLIIHUHQW OHJDO
WKHRU\ RU VHHNLQJ D GLIIHUHQW UHPHG\ WKDW ZDV DYDLODEOH WR KHU LQ WKH SULRU DFWLRQ See U.S. Indus.,
Inc. v. Blake Constr. Co. )G '& &LU DGRSWLQJ ³WKH 5HVWDWHPHQW 6HFRQG
RI -XGJPHQWV¶ SUDJPDWLF WUDQVDFWLRQDO DSSURDFK´ ZKLFK ³UHIOHFWV D WUHQG µLQ WKH GLUHFWLRQ RI
UHTXLULQJ WKDW D SODLQWLII SUHVHQW LQ RQH VXLW DOO WKH FODLPV IRU UHOLHI WKDW KH PD\ KDYH DULVLQJ RXW RI
WKH VDPH WUDQVDFWLRQ RU RFFXUUHQFH¶´ FLWDWLRQ RPLWWHG TXRWLQJ % - 0RRUH 0RRUH¶V )HGHUDO
7KRXJK SODLQWLII LV DQ DWWRUQH\ DQG GHVSLWH WKH IDFW WKDW D pro se DWWRUQH\ ³LV SUHVXPHG WR
KDYH D NQRZOHGJH RI WKH OHJDO V\VWHP DQG QHHG OHVV SURWHFWLRQV IURP WKH FRXUW´ Richards v. Duke
Univ. ) 6XSS G ''& WKH &RXUW FRQVWUXHV SODLQWLII¶V ILOLQJV OLEHUDOO\ LQ
OLJKW RI KHU pro se VWDWXV
3UDFWLFH >@ DW G HG 'HIHQGDQWV PDLQWDLQ WKDW SODLQWLII¶V UHWDOLDWLRQ FODLP
DJDLQVW 230 LQ Menoken II LV EDUUHG E\ WKH GRFWULQH RI res judicata DOVR NQRZQ DV FODLP
SUHFOXVLRQ 'HIV¶ 0HP DW ± 7KH &RXUW DJUHHV
$ VXEVHTXHQW ODZVXLW ZLOO EH SUHFOXGHG LI ³WKHUH KDV EHHQ SULRU OLWLJDWLRQ LQYROYLQJ WKH
VDPH FODLPV RU FDXVH RI DFWLRQ EHWZHHQ WKH VDPH SDUWLHV RU WKHLU SULYLHV DQG WKHUH KDV EHHQ
D ILQDO YDOLG MXGJPHQW RQ WKH PHULWV E\ D FRXUW RI FRPSHWHQW MXULVGLFWLRQ´ Smalls v. United
States )G '& &LU 7R GHWHUPLQH ZKHWKHU WKH IDFWV RI WZR FDVHV DUH VLPLODU
HQRXJK WR FRQVWLWXWH WKH VDPH ³FDXVH RI DFWLRQ´ FRXUWV PXVW FRQVLGHU ZKHWKHU WKH ODZVXLWV WXUQ RQ
WKH VDPH ³QXFOHXV RI IDFWV´ Drake v. FAA )G '& &LU TXRWLQJ Page v.
United States ) 6XSS '& &LU 7KLV LQYROYHV DQ DVVHVVPHQW RI ³ZKHWKHU
WKH IDFWV DUH UHODWHG LQ WLPH VSDFH RULJLQ RU PRWLYDWLRQ ZKHWKHU WKH\ IRUP D FRQYHQLHQW WULDO XQLW
DQG ZKHWKHU WKHLU WUHDWPHQW DV D XQLW FRQIRUPV WR WKH SDUWLHV¶ H[SHFWDWLRQV´ I.A.M. Nat’l Pension
Fund v. Indus. Gear Mfg. Co. )G Q '& &LU TXRWLQJ % - 0RRUH
0RRUH¶V )HGHUDO 3UDFWLFH >@ G HG
7KLV FDVH ZDUUDQWV WKH DSSOLFDWLRQ RI res judicata )LUVW Menoken I DQG Menoken II LQYROYH
WKH VDPH SDUWLHV 6HFRQG SODLQWLII¶V FXUUHQW UHWDOLDWLRQ FODLP FRXOG KDYH EHHQ EURXJKW DJDLQVW
230 LQ Menoken I VLQFH WKH FODLPV LQ ERWK FDVHV DULVH RXW RI WKH VDPH IDFWXDO FLUFXPVWDQFHV
,Q Menoken I SODLQWLII DOOHJHG
,Q 0DUFK 230 ³XVHG´ WKH GLVFULPLQDWRU\ VFRULQJ EHQFKPDUN ZKHQ LW
IRUZDUGHG D ³FHUWLILFDWH RI HOLJLEOHV´ WR WKH 6RFLDO 6HFXULW\ $GPLQLVWUDWLRQ
66$ ,Q 6HSWHPEHU 230 DJDLQ ³XVHG´ WKH GLVFULPLQDWRU\
VFRULQJ EHQFKPDUN E\ IDFLOLWDWLQJ 66$¶V DELOLW\ WR PDNH $/- DSSRLQWPHQWV
IURP WKH WDLQWHG 0DUFK FHUWLILFDWH
Menoken I &RPSO ,Q Menoken II SODLQWLII VLPLODUO\ DOOHJHV
230 KDG LVVXHG DQ $/- FHUWLILFDWH WR 66$ LQ 0DUFK 66$ XVHG
WKH FHUWLILFDWH WR PDNH $/- VHOHFWLRQV LQ $SULO DQG FRPPXQLFDWHG
RIIHUV WR WKH VHOHFWHHV LQ 6HSWHPEHU 230 DQG 66$ PDQLSXODWHG
WKH VHOHFWLRQ SURFHVV WR HQDEOH 66$ WR KLUH $/-V ZLWKRXW KDYLQJ WR
FRQVLGHU >S@ODLQWLII¶V SUHVXPSWLYH HQWLWOHPHQWV LQ >WKH ((2& $FWLRQ@
Menoken II &RPSO ± ,Q ERWK FDVHV SODLQWLII DGGUHVVHV 230 DQG 66$¶V XVH RI WKH
0DUFK FHUWLILFDWH WR UHFRPPHQG DQG KLUH $/-V LQ 6HSWHPEHU 6KH DOVR LQFOXGHV IDFWXDO
DOOHJDWLRQV DERXW KHU ((2& $FWLRQ LQ ERWK FRPSODLQWV Menoken I &RPSO Menoken II
&RPSO 7KXV DOO RI WKH IDFWV IRUPLQJ WKH EDVLV RI SODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW 230
LQ Menoken II ZHUH SUHVHQW LQ KHU Menoken I FRPSODLQW
7KH FRXUW JUDQWHG 230¶V PRWLRQ IRU VXPPDU\ MXGJPHQW LQ Menoken I ZKLFK FRQVWLWXWHV
D ILQDO MXGJPHQW RQ WKH PHULWV ZLWK res judicata HIIHFW Prakash v. Am. Univ. )G
'& &LU ³$V D GHFLVLRQ RQ WKH PHULWV D VXPPDU\ MXGJPHQW PHUJHV RU EDUV WKH DFWLRQ IRU
UHV MXGLFDWD SXUSRVHV´ 3ODLQWLII KDG DQ RSSRUWXQLW\ WR OLWLJDWH DQ\ OHJDO FODLPV DJDLQVW 230
DULVLQJ IURP WKH $/- KLULQJ SURFHVV LQ DQG VKH FKRVH WR EDVH KHU FDVH RQ GLVFULPLQDWLRQ
DORQH %HFDXVH DQ\ UHWDOLDWLRQ FODLP DJDLQVW 230 EDVHG RQ WKRVH IDFWV FRXOG KDYH ± DQG VKRXOG
KDYH ± EHHQ UDLVHG E\ SODLQWLII LQ Menoken I SODLQWLII¶V DFWLRQ DJDLQVW 230 LQ Menoken II LV EDUUHG
E\ WKH GRFWULQH RI res judicata 7KHUHIRUH WKH &RXUW ZLOO JUDQW GHIHQGDQWV¶ PRWLRQ WR GLVPLVV
SODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW 230
,, 3ODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW 66$ LQ Menoken II LV EDUUHG E\ LVVXH SUHFOXVLRQ
7KH 6RFLDO 6HFXULW\ $GPLQLVWUDWLRQ ZDV QRW D GHIHQGDQW LQ WKH ILUVW DFWLRQ EXW GHIHQGDQWV
FRQWHQG WKDW SODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW WKH DJHQF\ LQ Menoken II LV EDUUHG E\ WKH GRFWULQH
RI LVVXH SUHFOXVLRQ 'HIV¶ 0HP DW ±
8QGHU WKH GRFWULQH RI LVVXH SUHFOXVLRQ ³RQFH D FRXUW KDV GHFLGHG DQ LVVXH RI IDFW RU ODZ
QHFHVVDU\ WR LWV MXGJPHQW WKDW GHFLVLRQ PD\ SUHFOXGH UHOLWLJDWLRQ RI WKH LVVXH LQ D VXLW RQ D GLIIHUHQW
FDXVH RI DFWLRQ LQYROYLQJ D SDUW\ WR WKH ILUVW FDVH´ Allen 86 DW FLWLQJ Montana v. United
States 86 $ SULRU GHWHUPLQDWLRQ RI DQ LVVXH KDV SUHFOXVLYH HIIHFW LI WKUHH
FRQGLWLRQV DUH PHW
)LUVW WKH VDPH LVVXH QRZ EHLQJ UDLVHG PXVW KDYH EHHQ FRQWHVWHG E\ WKH
SDUWLHV DQG VXEPLWWHG IRU MXGLFLDO GHWHUPLQDWLRQ LQ WKH SULRU FDVH 6HFRQG
WKH LVVXH PXVW KDYH EHHQ DFWXDOO\ DQG QHFHVVDULO\ GHWHUPLQHG E\ D FRXUW RI
FRPSHWHQW MXULVGLFWLRQ LQ WKDW SULRU FDVH 7KLUG SUHFOXVLRQ LQ WKH VHFRQG
FDVH PXVW QRW ZRUN D EDVLF XQIDLUQHVV WR WKH SDUW\ ERXQG E\ WKH ILUVW
GHWHUPLQDWLRQ
Yamaha Corp. of Am. v. United States )G '& &LU +RZHYHU ³>W@KH YHU\
KHDUW RI WKH FROODWHUDO HVWRSSHO GRFWULQH LV WKH UHTXLUHPHQW WKDW WKH LVVXH WR EH SUHFOXGHG PXVW EH
VXEVWDQWLDOO\ WKH VDPH DV WKH LVVXH SUHYLRXVO\ OLWLJDWHG´ Schneider v. Lockheed Aircraft Corp.
)G '& &LU FLWLQJ Montana 86 DW 7KXV EHFDXVH 66$ ZDV
QRW D SDUW\ LQ Menoken I WKH GHWHUPLQDWLRQV PDGH LQ WKDW FDVH ZRXOG KDYH SUHFOXVLYH HIIHFW LQ
Menoken II RQO\ LI WKRVH GHWHUPLQDWLRQV ZHUH VXEVWDQWLYHO\ LGHQWLFDO WR SODLQWLII¶V FXUUHQW FODLP
DJDLQVW 66$
3ODLQWLII ODEHOV KHU FODLP DJDLQVW 66$ DV D FDXVH RI DFWLRQ IRU UHWDOLDWLRQ EXW VKH GRHV QRW
DOOHJH WKDW WKH DJHQF\ WRRN DQ\ SDUWLFXODU DFWLRQ ± VXFK DV UHTXHVWLQJ D FHUWLILFDWH IURP 230 ± LQ
UHWDOLDWLRQ IRU KHU SURWHFWHG DFWLYLW\ ,QVWHDG ZKDW VKH DOOHJHV LV WKDW 66$ DQG 230 ZHUH FROOXGLQJ
DJDLQVW KHU WR HQJDJH LQ D SDWWHUQ RI GLVFRYHU\ DEXVHV GXULQJ WKH UHOLHI SKDVH RI KHU RULJLQDO ((2&
SURFHHGLQJ LQ DQ HIIRUW WR KLGH WKH IDFW WKDW 230 ZDV QRW LQ FRPSOLDQFH ZLWK WKH ((2&
2UGHU
3ODLQWLII VWDWHV WKDW VKH EHFDPH DZDUH RI WKLV FRQGXFW ZKLOH WKH ((2& PDWWHU ZDV VWLOO
SHQGLQJ Menoken II &RPSO 6KH FODLPV WKDW WKH DJHQFLHV¶ IDLOXUH WR GLVFORVH WKH $/-
FHUWLILFDWH LVVXHG E\ 230 WR 66$ LQ 0DUFK RI ZKLFK GLG QRW LQFOXGH KHU QDPH FRQFHDOHG
WKH IDFW WKDW 230 ZDV YLRODWLQJ WKH WHUPV RI WKH ((2& 2UGHU LQ SDUWLFXODU WKH SURYLVLRQ WKDW
UHTXLUHG WKH DJHQF\ WR DGMXVW KHU VFRUH Id. ± 6LQFH SODLQWLII ZDV QRW OLVWHG RQ WKH
FHUWLILFDWH VKH ZDV QRW FRQVLGHUHG IRU D SRVLWLRQ DW 6RFLDO 6HFXULW\ See id. ± %XW LQ
SODLQWLII¶V YLHZ JLYHQ KHU YLFWRU\ DW WKH DGPLQLVWUDWLYH OHYHO DQG WKH $GPLQLVWUDWLYH -XGJH¶V RUGHU
VKH ZDV ³SUHVXPSWLYHO\ HQWLWOHG WR SULRULW\ FRQVLGHUDWLRQ DQGRU SODFHPHQW LQ DQ $/- SRVLWLRQ LQ
´ id. see also id. DQG WKH DJHQFLHV¶ REVWUXFWLYH FRQGXFW HQDEOHG 230 WR
³FLUFXPYHQW SODLQWLII¶V SUHVXPSWLYH HQWLWOHPHQWV´ Id. ±
%XW SODLQWLII DOUHDG\ VSHFLILFDOO\ DOOHJHG LQ &RXQW , RI Menoken I WKDW 230 YLRODWHG 7LWOH
9,, ³E\ UHSHDWHGO\ DQG GHOLEHUDWHO\ IDLOLQJ WR FRPSO\ ZLWK ((2& 2UGHUV´ Menoken I &RPSO DW
$IWHU H[WHQVLYH GLVFRYHU\ WKH FRXUW HQWHUHG VXPPDU\ MXGJPHQW LQ IDYRU RI 230 DQG
FRQFOXVLYHO\ IRXQG WKDW 230 did FRPSO\ ZLWK WKH ((2& 2UGHU See Whipple ) 6XSS G DW
± 6LQFH WKH LVVXH RI ZKHWKHU 230 FRPSOLHG ZLWK WKH ((2& 2UGHU KDV DOUHDG\ EHHQ
GHFLGHG WKHUH LV QRWKLQJ OHIW WR SODLQWLII¶V FODLP WKDW 66$ VRPHKRZ IDFLOLWDWHG RU FRQVSLUHG LQ DQ
DOOHJHG ODFN RI FRPSOLDQFH
0RUHRYHU SUHFOXVLRQ RI UHOLWLJDWLQJ WKLV LVVXH GRHV ³QRW ZRUN D EDVLF XQIDLUQHVV´ WR
SODLQWLII LQ DQ\ ZD\ EHFDXVH SODLQWLII KDV DOUHDG\ KDG KHU RSSRUWXQLW\ WR OLWLJDWH WKLV LVVXH IXOO\
DJDLQVW 230 DQG 230 KDG HYHU\ LQFHQWLYH WR OLWLJDWH WKH LVVXH WR ILQDOLW\ LQ WKH ILUVW FDVH See
Yamaha Corp. )G DW 7KHUHIRUH SODLQWLII¶V FODLP DJDLQVW 66$ LQ Menoken II LV
'HIHQGDQW SRLQWV RXW WKDW WKH ((2& FDPH WR WKH VDPH FRQFOXVLRQ LQ LWV GHFLVLRQ
'HIV¶ 0HP DW ± ,Q WKDW ((2& SURFHHGLQJ SODLQWLII ³FKDUDFWHUL]HG KHU FODLP DV µZKHWKHU
230 ZLWK WKH DFWLYH DQG ZLOOLQJ DVVLVWDQFH RI 66$ PDQLSXODWHG WKH $/- FHUWLILFDWLRQ SURFHVV LQ
LQ D PDQQHU GHVLJQHG WR HQVXUH >SODLQWLII@ ZRXOG QRW UHFHLYH HTXLWDEOH UHOLHI DV D UHVXOW RI KHU
VWDWXV DV D SUHYDLOLQJ SDUW\ LQ D GLVFULPLQDWLRQ FRPSODLQW DJDLQVW 230¶´ Id. DW TXRWLQJ
Menoken v. Archuleta ((2& 1R :/ DW
'HF 7KH
((2& UXOHG WKDW SODLQWLII FRXOG QRW UHDUJXH ZKHWKHU 230 FRPSOLHG ZLWK WKH $GPLQLVWUDWLYH
-XGJH¶V RUGHU LQ EHFDXVH WKH GLVWULFW FRXUW DQG WKH '& &LUFXLW KDG ³DOUHDG\ UXOHG WKDW 230
FRPSOLHG ZLWK WKH UHOLHI RUGHUHG´ Id. DW TXRWLQJ Archuleta :/ DW
7KH
RQO\ LVVXH WKH ((2& FRQVLGHUHG ZDV SODLQWLII¶V DOOHJDWLRQ WKDW 66$ DQG 230 KDG UHWDOLDWHG DJDLQVW
KHU ZKHQ 66$ DPHQGHG LWV UHTXHVW IRU D FHUWLILFDWH RI HOLJLEOH $/- FDQGLGDWHV WR H[FOXGH
:DVKLQJWRQ '& Id. +RZHYHU SODLQWLII GRHV QRW DSSHDU WR UDLVH WKLV LVVXH LQ KHU FRPSODLQW KHUH
SUHFOXGHG E\ WKH FRXUW¶V ILQGLQJV LQ Menoken I DQG GHIHQGDQWV¶ PRWLRQ WR GLVPLVV WKH FODLP
DJDLQVW 66$ RQ WKDW EDVLV ZLOO EH JUDQWHG
,,, 3ODLQWLII KDV VWDWHG D FODLP RI GLVFULPLQDWLRQ DJDLQVW 230 DQG ++6 LQ Menoken III
8QGHU 7LWOH 9,, WKH IHGHUDO JRYHUQPHQW LV UHTXLUHG WR PDNH ³>D@OO SHUVRQQHO DFWLRQV
DIIHFWLQJ HPSOR\HHV RU DSSOLFDQWV IRU HPSOR\PHQW IUHH IURP DQ\ GLVFULPLQDWLRQ EDVHG RQ UDFH´
86& H D $ SODLQWLII FDQ SURYH WKDW VKH ZDV QRW KLUHG EHFDXVH RI KHU UDFH XQGHU D
GLVSDUDWH WUHDWPHQW WKHRU\ E\ GHPRQVWUDWLQJ WKDW KHU HPSOR\HU¶V FRQGXFW ZDV PRWLYDWHG E\
GLVFULPLQDWRU\ LQWHQW RU XQGHU D GLVSDUDWH LPSDFW WKHRU\ E\ VKRZLQJ WKDW HYHQ LI WKH HPSOR\PHQW
SUDFWLFH ZDV QRW LQWHQGHG WR GLVFULPLQDWH LW ³LQ IDFW >KDG@ D GLVSURSRUWLRQDWHO\ DGYHUVH HIIHFW RQ
PLQRULWLHV´ Ricci v. DeStefano 86 Anderson v. Zubieta )G
'& &LU REVHUYLQJ WKDW GLVSDUDWH LPSDFW FODLPV RI GLVFULPLQDWLRQ ³LQYROYH
HPSOR\PHQW SUDFWLFHV WKDW DUH IDFLDOO\ QHXWUDO LQ WKHLU WUHDWPHQW RI GLIIHUHQW JURXSV EXW WKDW LQ IDFW
IDOO PRUH KDUVKO\ RQ RQH JURXS WKDQ DQRWKHU DQG FDQQRW EH MXVWLILHG E\ EXVLQHVV QHFHVVLW\´
TXRWLQJ Int’l Bhd. of Teamsters v. United States 86 Q 3URRI RI
GLVFULPLQDWRU\ PRWLYH LV QRW UHTXLUHG XQGHU D GLVSDUDWH LPSDFW WKHRU\ Int’l Bhd. of Teamsters
86 DW Q
3ODLQWLII FODLPV WKDW GHIHQGDQWV YLRODWHG 7LWOH 9,, E\ XVLQJ DQ XQODZIXO $/- UHIHUUDO
SUDFWLFH WKDW GLVSURSRUWLRQDWHO\ GLVTXDOLILHG $IULFDQ $PHULFDQ DSSOLFDQWV LQFOXGLQJ SODLQWLII IURP
EHLQJ FRQVLGHUHG IRU $/- SRVLWLRQV Menoken III &RPSO DW ± 'HIHQGDQWV DUJXH WKDW SODLQWLII¶V
GLVFULPLQDWLRQ FODLP VKRXOG EH GLVPLVVHG XQGHU 5XOH E EHFDXVH LW IDLOV WR VWDWH D FODLP XSRQ
ZKLFK UHOLHI FDQ EH JUDQWHG 'HIV¶ 0HP DW ± 7KH &RXUW ILQGV WKDW WKH DOOHJDWLRQV LQ
SODLQWLII¶V FRPSODLQW DUH VXIILFLHQW WR VXUYLYH D PRWLRQ WR GLVPLVV
³>$@ SODLQWLII HVWDEOLVKHV D SULPD IDFLH GLVSDUDWHLPSDFW FODLP E\ VKRZLQJ WKDW WKH
HPSOR\HU µXVHV D SDUWLFXODU HPSOR\PHQW SUDFWLFH WKDW FDXVHV D GLVSDUDWH LPSDFW¶ RQ RQH RI WKH
SURKLELWHG EDVHV´ Lewis v. City of Chi 86 TXRWLQJ 86& H±
N $ L 7R FDUU\ WKLV EXUGHQ D SODLQWLII PXVW ³LGHQWLI\>@ WKH VSHFLILF HPSOR\PHQW SUDFWLFH
WKDW LV FKDOOHQJHG´ DQG SURYH FDXVDWLRQ E\ RIIHULQJ ³VWDWLVWLFDO HYLGHQFH RI D NLQG DQG GHJUHH
VXIILFLHQW WR VKRZ WKDW WKH SUDFWLFH LQ TXHVWLRQ KDV FDXVHG WKH H[FOXVLRQ RI DSSOLFDQWV IRU MREV RU
SURPRWLRQV EHFDXVH RI WKHLU PHPEHUVKLS LQ D SURWHFWHG JURXS´ Watson v. Fort Worth Bank &
Trust 86 :KHQ ILOLQJ D FRPSODLQW D SODLQWLII QHHG QRW SOHDG HYHU\ HOHPHQW
RI WKH SULPD IDFLH FDVH LQ RUGHU WR VXUYLYH D PRWLRQ WR GLVPLVV Swierkiewicz v. Sorema N.A.
86 %XW LW LV ³QRW HQRXJK WR VLPSO\ DOOHJH WKDW WKHUH LV D GLVSDUDWH LPSDFW RQ
ZRUNHUV RU SRLQW WR D JHQHUDOL]HG SROLF\ WKDW OHDGV WR VXFK DQ LPSDFW´ Smith v. City of Jackson,
Miss. 86
&RQVLGHULQJ WKH IDFW WKDW SODLQWLII LV SURFHHGLQJ pro se WKH &RXUW ILQGV WKDW SODLQWLII¶V
DOOHJDWLRQV VDWLVI\ WKLV VWDQGDUG See Haines 86 DW ± 3ODLQWLII FODLPV WKDW VKH ZDV
QRW FRQVLGHUHG IRU DQ $/- SRVLWLRQ EHFDXVH RI 230¶V GHFLVLRQ WR LVVXH IRXU VHSDUDWH FHUWLILFDWHV
RI HOLJLEOH FDQGLGDWHV IRU IRXU JHRJUDSKLF UHJLRQV LQVWHDG RI FRPSLOLQJ RQH FHUWLILFDWH Menoken
III &RPSO ± 230¶V PHWKRG RI XVLQJ PXOWLSOH FHUWLILFDWHV ZKHQ LW ZDV UHIHUULQJ $/-
FDQGLGDWHV WR ++6 FRQVWLWXWHV DQ HPSOR\PHQW SUDFWLFH LQ WKH GLVSDUDWH LPSDFW FRQWH[W See Lewis
86 DW KROGLQJ WKDW WKH WHUP ³HPSOR\PHQW SUDFWLFH´ LQ 7LWOH 9,, LV QRW GHILQHG EXW
HQFRPSDVVHG FLW\¶V FRQGXFW ZKHQ LQ VHOHFWLQJ DSSOLFDQWV WR DGYDQFH LQ WKH KLULQJ SURFHVV LW
H[FOXGHG SDVVLQJ DSSOLFDQWV ZKR VFRUHG EHORZ D FHUWDLQ WKUHVKROG RQ WKH TXDOLILFDWLRQ
H[DPLQDWLRQ 7KHUHIRUH SODLQWLII KDV LGHQWLILHG DQ HPSOR\PHQW SUDFWLFH ZLWK HQRXJK VSHFLILFLW\
WR VXUYLYH D PRWLRQ WR GLVPLVV
3ODLQWLII¶V DOOHJDWLRQV ZLWK UHVSHFW WR WKH LPSDFW RI WKLV SUDFWLFH DUH VRPHZKDW FRQFOXVRU\
EXW DW WKLV VWDJH WKH\ DUH EDUHO\ VXIILFLHQW WR FUHDWH DQ LQIHUHQFH RI FDXVDWLRQ 3ODLQWLII FODLPV WKDW
³ODUJHU FHUWLILFDWHV DOORZHG 230 WR UHDFK LQWR WKH ORZHU UDQNV RI WKH $/- 5HJLVWHU´ ZKLFK ³PDGH
LW HDVLHU IRU DJHQFLHV WR FRQVLGHU $IULFDQ $PHULFDQ FDQGLGDWHV EHFDXVH DV D JURXS WKH\ WHQGHG WR
EH FOXVWHUHG DW WKH ORZHU UDQNV RI WKH 5HJLVWHU GXH WR ORZHU H[DPLQDWLRQ VFRUHV´ Menoken III
&RPSO ± )XUWKHU VKH DOOHJHV WKDW XVLQJ IRXU FHUWLILFDWHV UDWKHU WKDQ RQH DOORZHG 230
³WR DYRLG JRLQJ WRR GHHS LQWR WKH 5HJLVWHU WR UHDFK >S@ODLQWLII¶V VFRUH´ DQG WKDW ³>D@YRLGLQJ ORZHU
VFRUHV RQ WKH 5HJLVWHU KDG WKH IXUWKHU HIIHFW RI OLPLWLQJ WKH QXPEHU RI $IULFDQ $PHULFDQ FDQGLGDWHV
++6 ZRXOG FRQVLGHU´ Id. 7KHVH DOOHJDWLRQV VXJJHVW WKDW WKH XVH RI IRXU VHSDUDWH FHUWLILFDWHV
KDG WKH HIIHFW RI GLVSURSRUWLRQDWHO\ GLVTXDOLI\LQJ $IULFDQ $PHULFDQ DSSOLFDQWV LQFOXGLQJ SODLQWLII
IURP EHLQJ FRQVLGHUHG IRU DQ $/- SRVLWLRQ 7KHUHIRUH SODLQWLII KDV DOOHJHG VXIILFLHQW IDFWV WR VWDWH
D FRJQL]DEOH FODLP DQG WKH PRWLRQ WR GLVPLVV SODLQWLII¶V GLVFULPLQDWLRQ FODLP DJDLQVW 230 DQG
++6 LQ Menoken III ZLOO EH GHQLHG See Lewis 86 DW KROGLQJ WKDW WKH DOOHJDWLRQ WKDW
GHIHQGDQWV H[FOXGHG FHUWDLQ DSSOLFDQWV EHORZ D FHUWDLQ VFRUH ³FDXVHG D GLVSDUDWH LPSDFW VWDWHG
D FRJQL]DEOH FODLP´ 3ODLQWLII ZLOO QRZ KDYH WR SURYH WKHVH DOOHJDWLRQV WKRXJK DQG FRPH IRUZDUG
ZLWK WKH QHFHVVDU\ VWDWLVWLFDO HYLGHQFH DQG WKLV UXOLQJ VKRXOG QRW EH LQWHUSUHWHG DV H[SUHVVLQJ DQ\
YLHZ DV WR ZKHWKHU WKHVH FODLPV ZLOO VXUYLYH VXPPDU\ MXGJPHQW
,9 3ODLQWLII KDV VWDWHG D FODLP RI UHWDOLDWLRQ DJDLQVW 230 EXW QRW DJDLQVW ++6 LQ
Menoken III
3ODLQWLII DOVR FODLPV WKDW GHIHQGDQWV UHWDOLDWHG DJDLQVW KHU LQ YLRODWLRQ RI 7LWOH 9,, E\
³HQJDJLQJ LQ DFWV GHVLJQHG WR HQVXUH >VKH@ ZRXOG QRW EH FRQVLGHUHG IRU DQ $/- SRVLWLRQ LQ
EHFDXVH VKH KDG SUHYDLOHG LQ D 7LWOH 9,, FODLP DJDLQVW 230´ ± KHU ((2& $FWLRQ Menoken
III &RPSO DW 'HIHQGDQWV PRYH WR GLVPLVV WKLV FODLP XQGHU 5XOH E DV ZHOO 'HIV¶ 0HP
DW ±
7LWOH 9,,¶V DQWLUHWDOLDWLRQ SURYLVLRQ PDNHV LW XQODZIXO IRU ³DQ HPSOR\HU >WR@ µGLVFULPLQDWH
DJDLQVW¶ DQ HPSOR\HH EHFDXVH WKDW LQGLYLGXDO µRSSRVHG DQ\ SUDFWLFH¶ PDGH XQODZIXO E\ 7LWOH
9,, RU µPDGH D FKDUJH WHVWLILHG DVVLVWHG RU SDUWLFLSDWHG LQ¶ D 7LWOH 9,, SURFHHGLQJ RU
LQYHVWLJDWLRQ´ Burlington N. & Santa Fe Ry. Co. v. White 86 TXRWLQJ
86& H D see Baird v. Gotbaum )G Q '& &LU FRQILUPLQJ
WKDW WKH JHQHUDO EDQ RQ UHWDOLDWLRQ LQ VHFWLRQ H D DSSOLHV WR IHGHUDO HPSOR\HUV WKURXJK
VHFWLRQ H ,Q RUGHU WR HVWDEOLVK D SULPD IDFLH FDVH RI UHWDOLDWLRQ SODLQWLII ³PXVW VKRZ
VKH HQJDJHG LQ D VWDWXWRULO\ SURWHFWHG DFWLYLW\ VKH VXIIHUHG DQ DGYHUVH HPSOR\PHQW DFWLRQ DQG
WKHUH LV D FDXVDO FRQQHFWLRQ EHWZHHQ WKH WZR´ Taylor v. Small )G '& &LU
+RZHYHU D ³SODLQWLII DOOHJLQJ D UHWDOLDWLRQ FODLP IDFHV D ORZ KXUGOH DW WKH PRWLRQ WR
GLVPLVV VWDJH´ Winston v. Clough ) 6XSS G ''& DQG GRHV QRW QHHG WR
SOHDG HDFK HOHPHQW RI KHU SULPD IDFLH FDVH See Swierkiewicz 86 DW
:KHQ ³WKH SODLQWLII FODLPV WKDW WKH UHWDOLDWLRQ WRRN WKH IRUP RI IDLOXUH WR KLUH WKH SODLQWLII
PXVW DOVR VKRZ WKDW >VKH@ DSSOLHG IRU DQ DYDLODEOH MRE DQG WKDW VKH ZDV TXDOLILHG IRU WKDW
SRVLWLRQ´ Morgan v. Fed. Home Loan Mortg. Corp. )G '& &LU FLWDWLRQV
RPLWWHG +HUH SODLQWLII¶V ³IDLOXUH WR FRQVLGHU´ FODLP LV YHU\ VLPLODU WR D ³IDLOXUH WR KLUH´ FODLP
DQG GHIHQGDQWV FRQWHQG WKDW SODLQWLII KDV QRW VXIILFLHQWO\ SOHG WKDW VKH ZDV TXDOLILHG IRU WKH MRE
'HIV¶ 0HP DW ,Q ++6 ZDV VHHNLQJ WR KLUH $/-V LQ IRXU JHRJUDSKLF ORFDWLRQV IRU ZKLFK
SODLQWLII ZDV DYDLODEOH Menoken III &RPSO 3ODLQWLII¶V QDPH ZDV RQ WKH $/- 5HJLVWHU DW
WKDW WLPH EHFDXVH VKH KDG SDUWLFLSDWHG LQ 230¶V DSSOLFDWLRQ SURFHVV DQG FRPSOHWHG WKH QHFHVVDU\
$/- H[DPLQDWLRQ Id. 3ODLQWLII DOOHJHV WKDW ³>W@KH QRUPDO SUDFWLFH ZKHQ ILOOLQJ $/-
YDFDQFLHV LQ PXOWLSOH ORFDWLRQV KDG EHHQ IRU 230 WR SUHSDUH RQH FHUWLILFDWH´ id. DQG WKDW LI
230 KDG XVHG LWV QRUPDO SUDFWLFH ++6 ³ZRXOG KDYH EHHQ LQ D SRVWXUH WR FRQVLGHU DW OHDVW
$/- FDQGLGDWHV DQG >S@ODLQWLII ZRXOG KDYH EHHQ RQH RI WKHP´ Id. %\ FODLPLQJ WKDW VKH
ZRXOG KDYH EHHQ RQ WKH ODUJHU OLVW SODLQWLII KDV VXIILFLHQWO\ SOHG WKDW VKH ZDV TXDOLILHG IRU DQ $/-
SRVLWLRQ %XW SODLQWLII ZLOO KDYH WR SURYH WKLV DOOHJDWLRQ WR VXUYLYH VXPPDU\ MXGJPHQW
'HIHQGDQWV GR QRW VHHP WR FRQWHVW WKDW SODLQWLII HQJDJHG LQ VWDWXWRULO\ SURWHFWHG DFWLYLW\ RU
WKDW VKH VXIIHUHG DQ DGYHUVH DFWLRQ See 'HIV¶ 0HP DW ± 7KH\ RQO\ DUJXH WKDW SODLQWLII KDV
IDLOHG WR SOHDG WKDW WKHUH LV D ³FDXVDO FRQQHFWLRQ EHWZHHQ KHU SURWHFWHG DFWLYLW\ DQG WKH DOOHJHG
LPSURSHU DFWLRQ´ Id. DW 7KH &RXUW ILQGV WKDW SODLQWLII KDV SXW IRUWK VXIILFLHQW DOOHJDWLRQV
DJDLQVW 230 WR VXUYLYH D PRWLRQ WR GLVPLVV EXW LW FRQFOXGHV WKDW SODLQWLII¶V FODLP DJDLQVW ++6 LV
IXOO RI FRQFOXVRU\ DVVHUWLRQV WKDW GR QRW JLYH ULVH WR D UHWDOLDWLRQ FODLP
7R VXFFHHG LQ D UHWDOLDWLRQ FDVH D SODLQWLII PXVW VKRZ D FDXVDO FRQQHFWLRQ EHWZHHQ WKH
SURWHFWHG DFWLYLW\ DQG WKH FRPSODLQHG RI DFWLRQ $QG FRXUWV LQ WKLV GLVWULFW KDYH VXVWDLQHG
FRPSODLQWV DW WKH 5XOH E VWDJH ZKHQ WKH SODLQWLII KDV PHUHO\ DOOHJHG WKDW KH RU VKH ZDV
VXEMHFWHG WR DQ DGYHUVH DFWLRQ ³EHFDXVH RI´ SURWHFWHG DFWLYLW\ See, e.g. Ndzerre v. Wash. Metro.
Area Transit Auth. ) 6XSS G ± ''& ILQGLQJ SODLQWLII¶V DOOHJDWLRQV WKDW
KH ZDV UHTXLUHG WR SHUIRUP DGGLWLRQDO GXWLHV ZLWKRXW FRPSHQVDWLRQ EHFDXVH KH SDUWLFLSDWHG LQ WKH
((2& FRPSODLQW SURFHVV ZDV HQRXJK WR ³QXGJH´ KLV FODLPV SDVW WKH PRWLRQ WR GLVPLVV VWDJH
Bartlette v. Hyatt Regency ) 6XSS G ''& FRQFOXGLQJ WKDW SODLQWLII
VXIILFLHQWO\ SOHG FDXVDWLRQ E\ DOOHJLQJ WKDW VKH ZDV GLVFLSOLQHG DIWHU FRPSODLQLQJ DERXW
GLVFULPLQDWRU\ WUHDWPHQW HYHQ WKRXJK VKH GLG QRW DOOHJH WKDW WKH VXSHUYLVRUV LQYROYHG LQ WKH
GLVFULPLQDWLRQ FRPSODLQWV ZHUH WKH VDPH VXSHUYLVRUV ZKR HQJDJHG LQ WKH UHWDOLDWRU\ FRQGXFW
Jones v. Bernanke ) 6XSS G ± ''& ILQGLQJ WKDW SODLQWLII¶V DOOHJDWLRQ
WKDW KLV SHUIRUPDQFH HYDOXDWLRQ ZDV JLYHQ LQ UHWDOLDWLRQ IRU KLV LQYROYHPHQW LQ SURWHFWHG DFWLYLW\
ZDV VXIILFLHQW WR PHHW WKH SOHDGLQJ VWDQGDUG Bryant v. Pepco ) 6XSS G ''&
DFNQRZOHGJLQJ WKDW SODLQWLII FRXOG KDYH SOHG WKH FRQQHFWLRQ EHWZHHQ WKH SURWHFWHG DFWLYLW\
DQG DGYHUVH DFWLRQ ZLWK JUHDWHU VSHFLILFLW\ EXW KDG GRQH HQRXJK WR VXUYLYH D PRWLRQ WR GLVPLVV E\
FODLPLQJ WKDW ³DV D UHVXOW RI KDYLQJ HQJDJHG LQ D SURWHFWHG DFWLYLW\ KH VXIIHUHG UHWDOLDWLRQ LQ
WKH IRUP RI UHDVVLJQPHQW´
7KH &RXUW LV QRW FHUWDLQ WKDW WKH OHJDO SURSRVLWLRQ DSSOLHG LQ WKHVH FDVHV LV FRQVLVWHQW ZLWK
Iqbal 86 7KH RSLQLRQV UHO\ RQ D VHQWHQFH LQ Rochon v. Gonzales LQ ZKLFK WKH '&
&LUFXLW VWDWHG ³LQ RUGHU WR VXUYLYH D PRWLRQ WR GLVPLVV DOO WKH FRPSODLQW KDV WR VD\ LV µWKH
JRYHUQPHQW UHWDOLDWHG DJDLQVW PH EHFDXVH , HQJDJHG LQ SURWHFWHG DFWLYLW\¶´ )G
'& &LU TXRWLQJ Sparrow v. United Airlines, Inc. )G '& &LU
%XW WKLV FRPPHQW VHHPV WR KDYH EHHQ OLIWHG RXW RI FRQWH[W DQG JLYHQ WRR PXFK VLJQLILFDQFH DQG
LQ DQ\ HYHQW LW ZDV EDVHG XSRQ SUHFHGHQW WKDW DSSOLHG Conley v. Gibson 86 DQG
QRW Iqbal 6R QRWZLWKVWDQGLQJ WKH FRPPHQW LQ Rochon WKHUH LV QR DXWKRULW\ LQ WKLV &LUFXLW KROGLQJ
WKDW WKH SOHDGLQJ VWDQGDUGV RI Iqbal GR QRW DSSO\ LQ UHWDOLDWLRQ FDVHV
7R SURYH FDXVDWLRQ D SODLQWLII PD\ VKRZ WKDW ³WKH HPSOR\HU KDG NQRZOHGJH RI WKH
HPSOR\HH¶V SURWHFWHG DFWLYLW\ DQG WKDW WKH DGYHUVH SHUVRQQHO DFWLRQ WRRN SODFH VKRUWO\ DIWHU WKDW
DFWLYLW\´ Baldrige )G DW 'HIHQGDQWV DUJXH WKDW ³SODLQWLII KDV QRW SODXVLEO\ DOOHJHG DQ
LQIHUHQFH RI >D@ FDXVDO FRQQHFWLRQ EHWZHHQ KHU SURWHFWHG DFWLYLW\ DQG WKH DOOHJHG LPSURSHU
7KH SUREOHP LQ Rochon ZDV WKDW WKH GLVWULFW FRXUW KDG GLVPLVVHG D FRPSODLQW IRU IDLOXUH WR
VWDWH D FODLP RQ WKH JURXQGV WKDW WKH SODLQWLII KDG QRW DGGXFHG HYLGHQFH WR VKRZ WKDW WKH DGYHUVH
DFWLRQ ZRXOG QRW KDYH RFFXUUHG EXW IRU KLV SURWHFWHG DFWLYLW\ )G DW 7KH &RXUW RI
$SSHDOV KHOG WKDW WKH SODLQWLII ZDV QRW UHTXLUHG WR PHHW WKLV VWDQGDUG DQG UHEXW WKH GHIHQVH DW WKH
5XOH E VWDJH DQG WKH FLWHG SDVVDJH DURVH LQ WKDW FRQWH[W
5RFKRQ LV QRW UHTXLUHG KRZHYHU LQ RUGHU WR VWDWH D FODLP RI UHWDOLDWLRQ WR
DOOHJH IDFWV VXIILFLHQW WR QHJDWH WKH )%,¶V DOWHUQDWLYH H[SODQDWLRQV IRU LWV
DFWLRQV ± ZKDWHYHU WKH\ PD\ WXUQ RXW WR EH See Sparrow v. United Air
Lines, Inc. )G '& &LU 2Q WKH FRQWUDU\ LQ RUGHU
WR VXUYLYH D PRWLRQ WR GLVPLVV ³DOO >WKH@ FRPSODLQW KDV WR VD\´ id. DW
LV ³WKH *RYHUQPHQW UHWDOLDWHG DJDLQVW PH EHFDXVH , HQJDJHG LQ SURWHFWHG
DFWLYLW\´ 5RFKRQ¶V FRPSODLQW PHHWV WKLV OLEHUDO SOHDGLQJ VWDQGDUG
Rochon )G DW %XW WKH FRXUW LQ Sparrow ZDV DSSO\LQJ WKH ³OLEHUDO SOHDGLQJ VWDQGDUG´
GHULYHG IURP Conley 86 DW ± VR LW LV TXHVWLRQDEOH ZKHWKHU Sparrow FRQWLQXHV WR VHUYH
DV D JXLGH See Sparrow )G DW 0RUHRYHU LQ WKH QH[W SDUDJUDSK WKH Rochon RSLQLRQ
JRHV RQ WR GHVFULEH WKH IDFWV WKDW ZRXOG VKRZ FDXVDWLRQ
5RFKRQ XQTXHVWLRQDEO\ HQJDJHG LQ VWDWXWRULO\ SURWHFWHG DFWLYLW\ ZKHQ KH
ILOHG 7LWOH 9,, FRPSODLQWV DJDLQVW WKH )%, $QG ZH KDYH ORQJ KHOG D ³FDXVDO
FRQQHFWLRQ PD\ EH HVWDEOLVKHG E\ VKRZLQJ WKDW WKH HPSOR\HU KDG
NQRZOHGJH RI WKH HPSOR\HH¶V SURWHFWHG DFWLYLW\ DQG WKDW WKH
DGYHUVH DFWLRQ WRRN SODFH VKRUWO\ DIWHU WKDW DFWLYLW\´ +HUH 5RFKRQ
FODLPV WKH )%, >WRRN DFWLRQ DJDLQVW KLP@ DURXQG WKH WLPH KH DQG WKH %XUHDX
VHWWOHG KLV 7LWOH 9,, VXLW 7KH GLVWULFW FRXUW HUUHG WKHUHIRUH LQ
FRQFOXGLQJ WKDW 5RFKRQ IDLOHG ³WR >DOOHJH VXIILFLHQW@ IDFWV WR VXSSRUW D
UHDVRQDEOH LQIHUHQFH WKDW WKH )%, DFWHG ZLWK UHWDOLDWRU\ RU GLVFULPLQDWRU\
PRWLYHV´
)G DW TXRWLQJ Mitchell v. Baldrige )G
DFWLRQ´ EHFDXVH WKH DFWV RFFXUUHG WRR IDU DSDUW LQ WLPH 'HIV¶ 0HP DW 3ODLQWLII ILOHG KHU
((2& FKDUJH LQ (YHQ LI RQH ORRNV WR WKH GDWH WKH DFWLRQ ZDV UHVROYHG LQ WKH WLPH
SHULRG EHWZHHQ SODLQWLII¶V SURWHFWHG DFWLYLW\ DQG WKH DOOHJHG DGYHUVH DFWLRQ LQ LV IDU WRR ORQJ
WR VXSSRUW D SUHVXPSWLRQ RI FDXVDWLRQ EDVHG RQ WHPSRUDO SUR[LPLW\ See Hamilton v. Geithner
)G ± '& &LU REVHUYLQJ WKDW WKH 6XSUHPH &RXUW DQG '& &LUFXLW KDYH
VXJJHVWHG WKDW ³D WKUHHPRQWK SHULRG EHWZHHQ WKH SURWHFWHG DFWLYLW\ DQG WKH DGYHUVH HPSOR\PHQW
DFWLRQ PD\ VWDQGLQJ DORQH EH WRR OHQJWK\ WR UDLVH DQ LQIHUHQFH RI FDXVDWLRQ´ EXW WKDW WKHUH LV
WHFKQLFDOO\ QR ³EULJKWOLQH WKUHHPRQWK UXOH´ . +RZHYHU WHPSRUDO SUR[LPLW\ LV QRW WKH RQO\ ZD\
WR DOOHJH FDXVDWLRQ DQG DW WKLV HDUO\ VWDJH SODLQWLII KDV DOOHJHG MXVW HQRXJK IRU KHU UHWDOLDWLRQ FODLP
DJDLQVW 230 WR VXUYLYH D PRWLRQ WR GLVPLVV
3ODLQWLII FODLPV WKDW 230 ³PLQGIXO´ WKDW VKH ³SUHYDLOHG´ LQ KHU ((2& $FWLRQ
GHYLVHG D SODQ RI XVLQJ IRXU VHSDUDWH FHUWLILFDWHV WKDW ZRXOG QRW UHDFK SODLQWLII¶V DGMXVWHG VFRUH VR
WKDW SODLQWLII ZRXOG QRW ³EHQHILW IURP DQ\ UHOLHI VKH ZDV DZDUGHG DV D UHVXOW RI KHU SUHYDLOLQJ SDUW\
VWDWXV´ Menoken III &RPSO ± 6KH DOOHJHV WKDW ³>W@KH SXUSRVH DQG HIIHFW RI WKH
GHFLVLRQ WR XVH IRXU FHUWLILFDWHV LQVWHDG RI RQH ZDV WR DOORZ 230 WR DYRLG JRLQJ WRR GHHS LQWR
WKH 5HJLVWHU WR UHDFK >S@ODLQWLII¶V VFRUH´ id. DQG WKDW WKH VFKHPH VXFFHHGHG LQ ³GHSULYLQJ
>KHU@ RI D IDLU DQG HTXDO RSSRUWXQLW\ WR EH FRQVLGHUHG IRU DQ $/- DSSRLQWPHQW´ Id.
3ODLQWLII¶V FRPSODLQW DOVR PDNHV WKH FRQFOXVRU\ DOOHJDWLRQ WKDW 230 UHWDOLDWHG DJDLQVW KHU ³E\
HQJDJLQJ LQ DFWV GHVLJQHG WR HQVXUH >S@ODLQWLII ZRXOG QRW EH FRQVLGHUHG IRU DQ $/- SRVLWLRQ LQ
EHFDXVH VKH KDG SUHYDLOHG LQ D 7LWOH 9,, FODLP DJDLQVW 230´ Menoken III &RPSO DW ±
$OWKRXJK SODLQWLII FRXOG KDYH GRQH D EHWWHU MRE RI DUWLFXODWLQJ D FDXVDO FRQQHFWLRQ ± LQGHHG VKH
GRHV QRW HYHQ DOOHJH WKDW DQ\ 230 GHFLVLRQ PDNHU LQYROYHG ZLWK WKH ++6 YDFDQFLHV NQHZ DERXW
KHU SURWHFWHG DFWLYLW\ ± VKH KDV GRQH MXVW HQRXJK WR VXUYLYH D PRWLRQ WR GLVPLVV JLYHQ WKH H[LVWLQJ
FDVH ODZ LQ WKLV GLVWULFW DQG WKH IDFW WKDW VKH LV SURFHHGLQJ pro se 7KH &RXUW FDXWLRQV SODLQWLII
WKRXJK WKDW PHUH FRQFOXVRU\ DOOHJDWLRQV RI UHWDOLDWRU\ DQLPXV ZLOO QRW EH HQRXJK WR VXVWDLQ D FODLP
DW WKH VXPPDU\ MXGJPHQW VWDJH
+RZHYHU ZLWK UHJDUG WR KHU UHWDOLDWLRQ FODLP DJDLQVW ++6 SODLQWLII KDV QRW SOHG VXIILFLHQW
IDFWV WR DOORZ DQ LQIHUHQFH RI UHWDOLDWLRQ $OWKRXJK VKH FODLPV WKDW 230 DQG ++6 ³ZRUNHG
FORVHO\´ DQG WKDW 230 ³HOLFLWHG WKH FRRSHUDWLRQ RI ++6´ WR FDUU\ RXW LWV DOOHJHG VFKHPH WR GHSULYH
SODLQWLII RI FRQVLGHUDWLRQ IRU DQ $/- SRVLWLRQ Menoken III &RPSO VKH QHYHU DFWXDOO\
DOOHJHV WKDW ++6 NQHZ WKDW SODLQWLII LQLWLDWHG WKH ((2& $FWLRQ WKDW HOLPLQDWHG WKH GLVFULPLQDWRU\
SDUWQHU EHQFKPDUN RU WKDW VKH KDG HQJDJHG LQ SURWHFWHG DFWLYLW\ DW DOO 3ODLQWLII VLPSO\ VD\V WKDW
230 ZDV UHTXLUHG WR LQIRUP ++6 RI WKH RUGHU WKDW UHVXOWHG IURP SODLQWLII¶V ((2& $FWLRQ Id.
³230 LQIRUPHG ++6 RI ((2&¶V GLVFULPLQDWLRQ ILQGLQJ LQ WKH >((2&@ PDWWHU´ see id.
³++6 LV GHHPHG WR KDYH EHHQ DZDUH RI ((2&¶V GLVFULPLQDWLRQ ILQGLQJ DW RU DURXQG WKH WLPH LW
XVHG WKH $/- 5HJLVWHU LQ ´ )XUWKHU WKH FRPSODLQW GRHV QRW HYHQ LQFOXGH D FRQFOXVRU\
DOOHJDWLRQ WKDW ++6 DFWHG RXW RI UHWDOLDWRU\ DQLPXV 7KHUHIRUH SODLQWLII KDV IDLOHG WR SOHDG DQ\
IDFWV WKDW ZRXOG DOORZ WKH &RXUW WR GUDZ WKH UHDVRQDEOH LQIHUHQFH WKDW ++6 LV OLDEOH IRU WKH DOOHJHG
PLVFRQGXFW See Iqbal 86 DW FLWLQJ Twombly 86 DW
%HFDXVH SODLQWLII KDV DOOHJHG VXIILFLHQW IDFWV WR VWDWH D UHWDOLDWLRQ FODLP DJDLQVW 230 EXW
KDV IDLOHG WR GR VR ZLWK UHJDUG WR LWV FODLP DJDLQVW ++6 WKH &RXUW ZLOO GHQ\ GHIHQGDQWV¶ PRWLRQ
DJDLQVW 230 DQG JUDQW WKH PRWLRQ DV WR ++6
&21&/86,21
7KH &RXUW ZLOO JUDQW GHIHQGDQWV¶ PRWLRQ WR GLVPLVV WKH UHWDOLDWLRQ FODLP DJDLQVW 230 LQ
Menoken II VLQFH LW LV EDUUHG E\ WKH GRFWULQH RI res judicata DQG LW ZLOO GLVPLVV WKH UHWDOLDWLRQ FODLP
DJDLQVW 66$ EHFDXVH LW LV EDUUHG E\ LVVXH SUHFOXVLRQ
7KH &RXUW ZLOO GHQ\ GHIHQGDQW¶V PRWLRQ WR GLVPLVV SODLQWLII¶V GLVFULPLQDWLRQ FODLP DJDLQVW
230 DQG ++6 DQG ZLOO GHQ\ GHIHQGDQW¶V PRWLRQ WR GLVPLVV SODLQWLII¶V UHWDOLDWLRQ FODLP DJDLQVW
230 LQ Menoken III %XW WKH PRWLRQ WR GLVPLVV WKH UHWDOLDWLRQ FODLP DJDLQVW ++6 LQ Menoken III
ZLOO EH JUDQWHG EHFDXVH SODLQWLII KDV IDLOHG WR VWDWH D FODLP
$ VHSDUDWH RUGHU ZLOO LVVXH
$0< %(50$1 -$&.621
8QLWHG 6WDWHV 'LVWULFW -XGJH
'$7( $XJXVW
Menoken v. Colbert
Combined Opinion