Ridgway v. Phillips
Ridgway v. Phillips
Opinion of the Court
Pending before the Court is the motion to dismiss the complaint for lack of personal jurisdiction and to dismiss based on forum non conveniens filed by Defendant Sandy Phillips. Dkt. No. 7-1 ("Mot"). The Court finds that this matter is appropriate for disposition without oral argument and the matter is deemed submitted. See Civil L.R. 7-1(b). For the reasons stated below, the Court DENIES Defendant's motion to dismiss.
I. FACTUAL BACKGROUND
Plaintiff Kirstin Ridgway is a citizen and resident of the state of California. Dkt. No. 1 at 3. Defendant Sandy Phillips is a citizen of the United Kingdom and domiciled in that country. Id. Ms. Phillips is the sole member and shareholder of Soley Performance Limited ("Soley"), a private limited company incorporated in England. Dkt. No. 7-2, Declaration of Sandy Phillips In Support of Motion to Dismiss Complaint ("Phillips Mot. Decl.") ¶ 4. Soley is domiciled in the United Kingdom. Id.
Plaintiff alleges that on or about April 16, 2016, Plaintiff agreed to purchase from Defendant two foals to be bred from Defendant's two horses, Riverdance and Lara. Dkt. No. 1-1, Ex. A ("Compl."), at 3. Plaintiff was to receive the two foals in exchange for "paying for the costs of two embryos and the expenses of care and breeding of the two mare horses during their pregnancy." Id. Lara was not able to produce an embryo for transfer, and in November 2016, Plaintiff decided not to try for another embryo in 2017. Mot. at 6. On or about February 18, 2018, Defendant notified Plaintiff that she was selling the offspring of Riverdance to another buyer. Compl. at 3. Plaintiff alleges that she had paid Defendant more than $ 57,524.52 for the ownership of that foal. Id.
On November 28, 2018, Plaintiff brought an action in Sonoma County Superior Court for breach of contract and fraud against Defendant Phillips, individually *943and "doing business as" Soley. Id. at 1. Plaintiff seeks compensation of $ 57,524.52 plus 10% interest accruing from February 18, 2018, as well as punitive damages of $ 250,000. Id. at 2.
II. PROCEDURAL BACKGROUND
On December 31, 2018, Defendant removed the action to this Court on the basis of diversity jurisdiction. Dkt. No. 1. On January 7, 2019, Defendant filed a motion to dismiss for lack of personal jurisdiction, and alternatively to dismiss based on the doctrine of forum non conveniens. See Mot. at 5. On February 21, 2019, Plaintiff opposed the motion to dismiss.
III. LEGAL STANDARD
A. Rule 12(b)(2): Personal Jurisdiction
"When a defendant moves to dismiss for lack of personal jurisdiction, the plaintiff bears the burden of demonstrating that the court has jurisdiction over the defendant." Pebble Beach Co. v. Caddy ,
B. Forum Non Conveniens
"A district court has discretion to decline to exercise jurisdiction in a case where litigation in a foreign forum would *944be more convenient for the parties." Tuazon v. R.J. Reynolds Tobacco Co. ,
IV. DISCUSSION
A. Soley is Not a Properly Named Defendant in this Case
Plaintiff names Ms. Phillips as a defendant "individually and doing business as" Soley. Ms. Phillips contends that there is no personal jurisdiction over Soley because it "is not a defendant to this action." Mot. at 10. To the extent that Plaintiff is attempting to join Soley as a separate defendant, the Court agrees. The phrase "doing business as" is used when a corporation's operating name is different from its legal, registered name, including when an individual operates a sole proprietorship or partnership under a "fictitious" name. See
B. Personal Jurisdiction: Tag Jurisdiction Exists Over Defendant
A district court must dismiss any defendant over which it lacks personal jurisdiction. Fed. R. Civ. P. 12(b)(2). "The general rule is that personal jurisdiction over a defendant is proper if it is permitted by a long-arm statute and if the exercise of that jurisdiction does not violate federal due process."
*945Pebble Beach ,
There are two categories of personal jurisdiction a plaintiff can invoke: general and specific. Ranza v. Nike, Inc. ,
In addition to general and specific jurisdiction, the Ninth Circuit continues to recognize "tag jurisdiction," the jurisdictional theory that "personal service upon a physically present defendant suffice[s] to confer jurisdiction, without regard to whether the defendant was only briefly in the State or whether the cause of action was related to his activities there." Martinez v. Aero Caribbean ,
Here, Plaintiff has met her burden of making a "prima facie showing of jurisdictional facts" by averring that Defendant was personally served in California while participating in an equestrian clinic. See Bauman ,
Defendant contends that exercising personal jurisdiction over her as an individual would be improper, because the alleged agreement underlying the dispute was made with Soley as an entity, not Ms. Phillips as an individual. Reply at 4. According to Defendant, Soley is the actual owner of the mares and foal at issue, and "all business dealings that Plaintiff complains of were conducted between Solely and Plaintiff."
C. Forum Non Conveniens
Defendant also moves to dismiss on the grounds of forum non conveniens. Mot. at 11-13. "A party moving to dismiss based on forum non conveniens bears the burden of showing (1) that there is an adequate alternative forum, and (2) that the balance of private and public interest factors favors dismissal." Dole Food Co., Inc. v. Watts ,
i. Adequate Alternative Forum
First, Defendant contends that the United Kingdom is an adequate alternative forum because "there are courts of competent jurisdiction that can address the dispute alleged by Plaintiff." Mot. at 12. Generally, an alternative forum is deemed adequate if the defendant is amenable to service of process there and the forum provides "some remedy" for the wrong suffered by Plaintiff. Tuazon ,
Here, Defendant is "amenable to service of process and resolution of this dispute in the appropriate tribunal in the United Kingdom." Phillips Mot. Decl. ¶ 21. As to the question of remedy provided, Defendant asserts that "[u]nquestionably, there are courts of competent jurisdiction [in the United Kingdom] that can address the dispute alleged by Plaintiff." Mot. at 12. But such a cursory conclusion without reference to any legal authority in the United Kingdom is insufficient to warrant dismissal. Although Defendant need only show that Plaintiff would not be completely deprived of a remedy in the alternative forum, Defendant has failed to provide any evidence that Plaintiff would have access to even "some remedy" in the United Kingdom. See Tuazon ,
ii. The Private and Public Interest Factors Do Not Favor Dismissal
Regardless, even assuming that the United Kingdom is an adequate *947alternative forum, the private and public interest factors here do not "strongly favor" dismissal so as to overcome the deference owed to Plaintiff's choice of forum. Tuazon ,
a. Private Factors
The Court finds that the private factors here counsel against dismissal. Defendant contends that adjudicating in this forum would be unreasonable because "Defendant travels to California infrequently at best." Reply at 7. Defendant further asserts that adjudication in the United Kingdom would be more appropriate because "all of the relevant physical evidence and witnesses (except for the Plaintiff) are located in the United Kingdom." Mot. at 12. Namely, "[a]ll breeding work and care for the subject horses was in the United Kingdom, and the veterinary and stud services were also provided in the United Kingdom."
The Court is not persuaded by Defendant's allegation that she travels to California "infrequently" at best, so as to make litigating in California vexatious and oppressive. See Ravelo ,
In contrast, there is no evidence in the record to show that Plaintiff has taken any affirmative action to establish contacts with the United Kingdom. Neither party contends that Plaintiff has ever traveled to the United Kingdom in connection with the arrangement or equestrian-related activities, or that she performed any part of her obligations under the alleged agreement in the United Kingdom. Rather, Plaintiff maintains that she resides in California and has "no ties to the United Kingdom." Opp. at 8. Compared to the burden that defending herself in California would place *948on Defendant, the Court finds the burden that litigating in the United Kingdom would place on Plaintiff to be far greater.
Defendant also contends that litigating in this forum would be unreasonable because "all of the relevant physical evidence and witnesses (except for the Plaintiff) are located in the United Kingdom." Mot. at 12. But even assuming that all breeding work and other care for the horses did take place in the United Kingdom, Defendant does not show how proximity to potential witnesses and evidence related to such upkeep services is necessary to resolve the present dispute. Defendant contends that Plaintiff has failed to pay for certain upkeep services of the horses, Mot. at 6-7, but the Court cannot infer at this juncture that evidence regarding those services is central to the efficient resolution of Plaintiff's actual claims. Plaintiff only seeks to recover her payments made to Defendant pursuant to the alleged agreement. Compl. at 3. She contends that the foal to be purchased with those payments was never delivered as promised, and that Defendant failed to refund the money. Opp. at 3-4. Nowhere in her pleadings does Plaintiff dispute the specific amounts invoiced for breeding work and other care of the horses, and therefore evidence regarding the upkeep issues does not appear crucial to Plaintiff's claims.
b. Public Interest Factors
As to the public interest factors, Defendant contends that the public interest would be served by having the case adjudicated in the United Kingdom because the United Kingdom has an interest in resolving a dispute that "involves the breeding and care of horses located within its borders." Mot. at 13. But Defendant's brief and unsupported assertion that the United Kingdom has an interest in resolving this dispute is insufficient to warrant dismissal. See Mot. at 13. Just as the United Kingdom might have an interest in resolving disputes regarding activity within its borders, California also has an interest in resolving disputes regarding California residents and transactions allegedly made in California and likely to be governed by California law. This is not a case like Chateau Des Charmes Wines , where the district court dismissed a breach of contract action between two foreign companies because the evidence that California residents "were involved in the events that gave rise to the lawsuit was relatively minimal," and the case lacked any "significant connection with California." Chateau Des Charmes Wines, Ltd. v. Sabate USA, Inc. , No. C-01-4203 MMC,
c. California is Not an Inconvenient Forum
It is clear from the record that this case ultimately should be adjudicated in either California or the United Kingdom. Whichever of these two forums is chosen, it is inevitable that one of the parties must bear the burden of traveling to and defending in a foreign forum. Under the forum non conveniens analysis, Plaintiff's choice of forum is entitled to deference, and Defendant has not sufficiently demonstrated that the private and public interest factors "strongly favor dismissal." See Tuazon ,
V. CONCLUSION
The Court DENIES Defendant's motion to dismiss for lack of personal jurisdiction and based on forum non conveniens. The Court SETS a case management conference for May 7, 2019 at 2:00 p.m. The Court DIRECTS the parties to file on or before April 30, 2019 a revised joint case management statement including a proposed case schedule through trial. The parties are directed to review and comply with this Court's Civil Pretrial and Trial Standing Order.
IT IS SO ORDERED.
Plaintiff failed to oppose the motion within the 14-day deadline. See Civil L.R. 7-3(a). On February 14, 2019, the Court ordered Plaintiff to show cause as to why the case should not be dismissed in light of Plaintiff's failure to timely oppose Defendant's motion. Dkt. No. 13. Plaintiff timely responded to the OSC on February 20, 2019, explaining that Plaintiff's counsel did not receive actual notice of the motion to dismiss because his email address on file with the Pacer/ECF system was incorrect. Dkt. No. 14 at 2. Therefore, counsel contended that he had not received electronic notifications of the pending motion.
Although not alleged in the Complaint or addressed in Plaintiff's opposition, it appears that Plaintiff is attempting to bring an alter ego claim: specifically, that Soley is a fictional entity "that is nothing more than a sham and alter ego of individual Defendant Sandy Phillips." Dkt. No. 24 at 2. Because this theory is not pled in the Complaint, it will not be considered here.
Reference
- Full Case Name
- Kirstin RIDGWAY v. Sandy PHILLIPS
- Cited By
- 1 case
- Status
- Published