Haffey v. Rock
Haffey v. Rock
Opinion of the Court
In this consolidated appeal, plaintiff John T. Haffey appeals from two judgments entered in two Superior Court actions in which he sought to recover on a $50,000 promissory note personally guaranteed by the defendants, Howard J. Rock, individually and as trustee of the Westgate Road Realty Trust; and Martin J. Coleman, III (collectively, defendants).
Background. In 1987, the defendants created a realty trust to acquire and to develop a parcel of land in Hull. Haffey participated in the venture and received a $50,000 subordinated note in which the defendants promised to pay the outstanding principal and interest by March, 1989. The venture failed and Haffey was not paid by the defendants.
In December, 1989, Haffey filed an action in Superior Court seeking to recover on the note (the 1989 action). On February 1, 1991, on the eve of trial,
“The above entitled action was called on the jury trial list before the court, . . . and thereupon was reported settled to the court by counsel of record. Wherefore, it is ordered that the agreement for judgment be filed in the clerk’s office within thirty days from the date of this order. If said agreement is not filed within said time the clerk is hereby directed to prepare, sign and enter judgment dismissing the complaint, with prejudice and without costs as to any and all claims” (emphasis supplied).
The parties never submitted the agreement for judgment, and the clerk never entered the judgment of dismissal as directed by the judge. In June, 1991, several months after the nisi period expired, Coleman filed a suggestion of bankruptcy in the Superior Court with a request for a continuance; no action ever was taken on that request. Coleman’s bankruptcy petition was dismissed in May, 1992, but the Superior Court was not notified.
That is how matters stood until May 10, 2005, when Haffey commenced another action against the defendants, seeking to collect on the same guarantees for the same note (the 2005
The defendants timely appealed, and the case was entered on our docket. Shortly after the appeal of the 2005 action was entered, the defendants, represented by new counsel, filed a motion to stay appellate proceedings, seeking leave to file a motion to vacate or to amend the judgment in the Superior Court. ■ The motion was allowed by a single justice, and appellate proceedings were stayed.
The defendants’ motion to vacate or to amend the judgment, filed on November 28, 2007, alerted the Superior Court, for the first time, that a prior action, the 1989 action, seeking the same relief, had been filed, and that a judge had ordered that judg
A third Superior Court judge ruled that the “order for entry of dismissal nisi” had terminated the 1989 action and that all that was left to do was to correct the clerk’s omission by ordering the entry of final judgment pursuant to Mass.R.Civ.P. 60(a), 365 Mass. 828 (1974). The judge then allowed the defendants’ motion to dismiss or for summary judgment, pursuant to Mass. R.Civ.P. 60(b), holding that the judgment in the 1989 action had preclusive effect, barring the virtually identical 2005 action. Judgment entered against Haffey in both actions, and he timely appealed. The two appeals were consolidated.
Analysis. Because the third judge correctly resolved this procedural quagmire, which at least initially was created by Haffey’s failure to follow through with the court in his 1989 action and to enforce the putative settlement, we affirm both judgments.
The 1989 action. We first address the propriety of the third judge’s action, entering judgment pursuant to Mass.R.Civ.P. 60(a)
The 2005 action. “A motion for relief under rule 60(b) is directed to the sound discretion of the motion judge, and we review the judge’s ruling for abuse of discretion.” Nortek, Inc. v. Liberty Mut. Ins. Co., 65 Mass. App. Ct. 764, 775 (2006). “The exercise of discretion in this area involves the ‘absence of arbitrary determination, capricious disposition, or whimsical thinking.’ ” Berube v. McKesson Wine & Spirits Co., 7 Mass. App. Ct. 426, 433 (1979), quoting from Davis v. Boston Elev. Ry., 235 Mass. 482, 496 (1920).
Haffey argues that the motion to vacate or to amend the judgment in the 2005 action, apparently treated by the third judge as a motion pursuant to Mass.R.Civ.R 60(b)(6),
While, ordinarily, relief pursuant to rule 60(b)(6) is not available if the reason for relief falls under rule 60(b)(1), see Chavoor v. Lewis, 383 Mass. 801, 805-806 (1981), “where there is ‘something more’ than [the ground stated in rule 60(b)(1)], rule 60(b)(6) relief may be appropriate.” Owens v. Mukendi, 448 Mass. 66, 73 (2006). “The question is whether what occurred . . . constitutes ‘something more’ than the grounds for relief set
We note, moreover, that even if we were convinced that this matter only could have been treated as one brought pursuant to rule 60(b)(1), we would not simply reverse the judgments. As the third judge did not analyze the motion from this perspective, see Kniskern v. Mellconian, 68 Mass. App. Ct. 461, 466 (2007), we would remand this matter for consideration of those grounds that properly were before him.
Judgments affirmed.
Trial was scheduled for February 4, 1991.
The parties dispute whether the motion was filed: Haffey claims he never received notice from the defendants that it had been filed, and defense counsel asserts he filed it.
The only defense asserted by the defendants was the statute of limitations. The defendants argued that the six-year statute of limitations for actions to enforce a contract long had expired, but the contract had been executed under seal, and consequently, a twenty-year limitations period applied. See G. L. c. 260, § 1.
After the motion to vacate was allowed and judgment entered in the two actions, the defendants’ appeal of the 2005 action eventually was dismissed.
Rule 60(a) provides, in part: “Clerical mistakes in judgments, orders or other parts of the record and errors therein arising from oversight or omission may be corrected by the court at any time of its own initiative or on the motion of any party and after such notice, if any, as the court orders.”
Haffey appears to rely on a discrepancy in the docket wherein the docket entry did not indicate the dismissal was with prejudice. Obviously, the order endorsed by the first judge is the operative document, and any error in the transposition of the language by a clerk is not controlling.
The defendants’ motion did not specify under which subparagraph of rule 60 the defendants were proceeding. While the memorandum of decision did not address the parties’ dispute as to which subparagraph applied, the judge stated at the conclusion of his memorandum that “justice requires” that the default judgment be vacated, and cited Mass.R.Civ.P. 60(b)(6).
As relevant here, rule 60(b)(1) provides that “ ‘the court may relieve a party or his legal representative from a final judgment’ due to ‘excusable neglect.’ ” McIsaac v. Cedergren, 54 Mass. App. Ct. 607, 609 (2002). Much is made of the defendants’ failure earlier to raise the defense of res judicata. Such obligation did not arise under Mass.R.Civ.P. 8(c), 365 Mass. 749 (1974); 12(b)(9), as amended, 450 Mass. 1403 (2008); or 12(h)(1), as appearing in 450 Mass. 1403 (2008), as the defendants never filed a responsive pleading.
In this highly unusual situation, there are three potentially applicable judgments: the May 8, 2007, judgment for Haffey in the 2005 action; the March 3, 2008, judgment for the defendants in the 1989 action; and the March 3, 2008, judgment for the defendants in the 2005 action. As the latter two judgments both favor the defendants, there may be no practical consequence were we to reverse the allowance of the motion to vacate and resurrect the May 8, 2007, judgment. Indeed, once the third judge determined, in the exercise of his discretion, that judgment should enter in the 1989 action in accordance with the dismissal nisi order, his allowance of the motion to vacate and application of res judicata to the 2005 action could be viewed as merely an attempt to make the judgments consistent.
There is no question here of the timeliness of the motion to vacate, if
Haffey argues that neither the dismissal nisi order nor the judgment in the 1989 action could have preclusive effect on the 2005 action because the judgment in the 2005 action was entered before judgment entered in the 1989 action. This argument ignores that the default judgment in the 2005 action was vacated by the third judge before application of the preclusive effect of the judgment in the 1989 action. Haffey also argues that the dismissal nisi order should not be given preclusive effect. Here, however, the third judge ordered the entry of judgment in accordance with the express direction in the dismissal nisi order, and then gave the ensuing judgment preclusive effect.
Dissenting Opinion
(dissenting). Assertion of a new legal theory that counsel failed to raise during the litigation of a case, with no explanation for counsel’s failure to raise it, is not, without more, a sufficient reason for granting relief under Mass.R.Civ.P. 60(b), 365 Mass. 828 (1974), from a final judgment. Because that is all that is at issue here, I respectfully dissent.
The defendants’ rule 60(b) motion to vacate put forward a new legal theory — that the 1989 judgment was res judicata to the 2005 action — without any explanation or excuse for counsel’s failure to raise that defense before final judgment entered against the defendants on May 8, 2007 (May 8, 2007, judgment). See Mass.R.Civ.P. 60, 365 Mass. 828 (1974).
The defendants claim that they filed a motion to dismiss. Although it was served on Haffey, the docket does not reflect its having been filed. See ante at 688 & note 5. In any event, neither the motion nor the memorandum in siipport thereof put forward a res judicata defense, arguing instead only that the 2005 action was barred by the statute of limitations. The defendants then were defaulted, after their counsel failed to appear for a pretrial hearing that had been rescheduled to a date the defendants themselves had requested.
The defendants subsequently had two opportunities before final judgment entered against them to raise their res judicata
The motion to vacate does not specify under what subsection of rule 60(b) it was brought. Rule 60(b)(1) provides for relief from judgment in cases of “mistake, inadvertence, surprise, or excusable neglect.” Rule 60(b)(6) provides for relief from judgment for “any other reason justifying relief from the operation of the judgment,” Mass.R.Civ.P. 60(b)(6), “other than those stated in subdivisions (1) through (5)” of rule 60(b), Chavoor v. Lewis, 383 Mass. 801, 806 (1981).
The defendants argue that their motion to vacate was properly considered under rule 60(b)(6). They urge that an examination of the motion and the memorandum in support thereof demonstrates that theirs was not a motion pursuant to rule 60(b)(1). They argue that they did not mention either rule 60(b)(1) or any excusable neglect. They say that “[t]he existence of a prior adjudicated case was the heart of defendants’ case.”
This argument does not help the defendants: it demonstrates that the motion to vacate was designed solely to excuse counsel’s failure — in the words of rule 60(b)(1), counsel’s “neglect” — to raise the res judicata defense before the May 8, 2007, judgment entered against the defendants. A claim for relief from judgment based solely on counsel’s failure to assert a legal theory during the litigation of a case is squarely covered by rule 60(b)(1), which permits relief from judgment where the neglect is “excusable.” In order for rule 60(b)(6) to apply, as the majority recognizes, ante at 690, a motion for relief from judgment must put forward “something more” than a claim of mere neglect. See Owens v. Mukendi, 448 Mass. 66, 73 (2006).
Because the motion to vacate was based solely on counsel’s failure prior to final judgment, despite repeated opportunities, to raise what the defendants assert is a meritorious defense, it
Some jurisdictions have allowed rule 60(b)(6) motions in such circumstances, but our court has said, “If a motion timely brought under rule 60(b)(1) may succeed only for ‘excusable neglect,’ it defeats the rule to permit it to be circumvented in clause (6) in cases of altogether inexcusable neglect.” Tibbitts v. Wisniewski, 27 Mass. App. Ct. 729, 732 (1989). The Tibbitts rule applies at least where a new legal theory put forward by a party is not jurisdictional, and a claim of res judicata is not jurisdictional. Even assuming the “order for entry of dismissal nisi” in the 1989 action has preclusive effect, a question I would not reach, its entry did not deprive the Superior Court of jurisdiction to hear the instant action. See, e.g., Bordonaro v. Vandenkerckhaven, 322 Mass. 278, 282 (1948); Brash v. Brash, 407 Mass. 101, 104 n.4 (1990).
What the majority describes as “something more” than a claim of mere neglect — the existence of a prior judgment on identical claims — simply restates the legal theory that the defendants neglected to put forward prior to the entry of final judgment. Given the defendants’ utter failure to explain their poor litigation of this case prior to the entry of the May 8, 2007, judgment, the interest to which the majority adverts in the finality of judgments cuts in favor of reversal here, not affirmance.
The case might be different if the defendants were claiming that there would be double recovery if the May 8, 2007, judgment were not vacated, or if the defendants were claiming that they already had complied with whatever the settlement agree
But the defendants do not assert they complied with the settlement agreement. In their motion to vacate, they said only, “[I]f it is the position of the plaintiff that the terms of the settlement were never consummated, then his proper course of action was to file an action to enforce the settlement, not a new action based on the old allegations.” Because the defendants thus have put forward in support of their rule 60(b) motion only a legal argument that they could have raised, but did not, prior to the entry of the May 8, 2007, judgment, and because they have provided no explanation for their failure, I would reverse the order granting the defendants’ motion to vacate. Consequently, I respectfully dissent.
The defendants do not dispute that the hearing was rescheduled to the date they requested, but claim they did not receive notice of the hearing.
To the extent the majority holds that the date of final judgment in the 1989 action was March 3, 2008, ante at notes 12, 14, rather than thirty days from the date of the 1991 order of dismissal nisi, the judgment in the 1989 action could of course have no preclusive effect in the 2005 action, in which judgment entered on May 8, 2007, because the subsequently entered March 3, 2008, judgment was not a “prior judgment.” Cf. ante at 691.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.