Dalton Trigg v. Steven Farese, Sr.
Dalton Trigg v. Steven Farese, Sr.
Opinion
¶ 1. Dalton Trigg and his father, Dr. Stephen Trigg, sued Dalton's former criminal-defense attorney, Steven Farese Sr., alleging professional malpractice. The Lafayette County Circuit Court held that the claims were premature because Dalton had not yet secured postconviction relief from the underlying conviction, and it dismissed the complaint without prejudice.
¶ 2. This case presents the question of whether a convicted criminal may sue his former defense attorney for negligently causing him to be convicted while that conviction still stands. We join the substantial majority of courts in holding that, because these allegations would entitle the plaintiff to relief from his underlying conviction, he must first pursue them through the criminal-justice process. In other words, a convict must "exonerate" himself by obtaining relief from his conviction or sentence before he may pursue a claim against his defense attorney for causing him to be convicted or sentenced more harshly than he should have been. To the extent prior decisions of this Court or the Court of Appeals suggest otherwise, they are overruled.
¶ 3. But this holding extends only to claims that stem from allegations of professional malpractice. The Triggs' claim for an accounting of the substantial retainer paid to Dalton's attorney, to the extent it is just a fee dispute and does not depend on the quality of legal services rendered, should not have been dismissed. Finally, Dr. Trigg had standing to pursue the accounting claim because he claims he paid the retainer and is entitled to a refund of the unearned portion.
FACTS AND PROCEDURAL HISTORY
¶ 4. The following facts are drawn from the allegations in the Triggs' complaint, which, because of the procedural posture of this case, are taken as true. On September 10, 2011, Dalton drove his vehicle after drinking alcohol and collided with another vehicle. A fourteen-year-old passenger in the other vehicle suffered injuries to her lower extremities and a laceration to her eyebrow. She fully recovered, allegedly free of any permanent injuries or restrictions. Dalton, however, received life-threatening injuries. He suffered brain damage and was incapacitated for some period of time after the accident. When Dr. Trigg learned Dalton had been drinking before the accident, he approached Farese to discuss legal representation for his son. Farese demanded an up-front retainer of $50,000.
¶ 5. The Triggs further allege Farese warranted that Dalton would incur only a misdemeanor charge and would not be sentenced to any jail time. Dr. Trigg paid the retainer in reliance on this guarantee, and he believed the payment created an attorney-client relationship between him and Farese. But Dalton was eventually indicted for aggravated DUI, a felony punishable by up to twenty-five years' imprisonment. 1 Farese then allegedly advised that if Dalton pled guilty to the felony charge, it would somehow be reduced to a misdemeanor and he would receive no jail time. Following this advice, Dalton pled guilty to the felony-but he ultimately received a ten-year sentence, with six years suspended and four years to serve. The four years to serve would be reduced to five years' probation after Dalton completed a long-term drug and alcohol treatment program.
¶ 6. Dalton finished the treatment program and was released from prison in February 2014-he spent roughly nine months incarcerated. He claims that during his time in prison, he was beaten by other inmates and suffered serious injuries. Unsatisfied with Farese's representation, Dalton and Dr. Trigg filed suit against Farese and his firm on April 1, 2014. The Triggs alleged a variety of claims, all of which stemmed from Farese's representation of Dalton. Specifically, the Triggs styled their causes of action fraud, breach of contract, legal malpractice (negligence), accounting for money paid, and negligent infliction of emotional distress. Because of certain allegations in the complaint, Farese successfully moved to have the file temporarily sealed. That seal remains intact to the present day.
¶ 7. On April 14, 2014, the circuit-court judges for the Third Judicial District entered a sua sponte order of recusal. This Court then appointed Judge L. Breland Hilburn to preside as a special judge.
¶ 8. Farese then filed his answer, which also contained a motion to dismiss or, in the alternative, for summary judgment. Farese argued the complaint should be dismissed because Dr. Trigg lacked standing and Dalton had failed to first seek postconviction relief. On August 25, 2014, the circuit court dismissed the Triggs' complaint pursuant to "Rule 12 and/or Rule 56 of [the] Mississippi Rules of Civil Procedure" after reviewing "all of the pleadings, responses, affidavits[,] and authorities of law filed by the parties." In response, the Triggs filed a posttrial motion seeking to vacate the order of dismissal and to reinstate their claims. At the hearing on the motion to vacate, the circuit judge explained that his intent was to dismiss the complaint under Rule 12(b). And on December 11, 2014, the circuit court entered an order denying the Triggs' motion to vacate, reaffirming its dismissal of their complaint without prejudice and denying all other pending motions. The Triggs timely perfected this appeal.
STANDARD OF REVIEW
¶ 9. "The standard of review for a trial court's grant or denial of a motion to dismiss is de novo."
Long v. Vitkauskas
,
DISCUSSION
1. Affidavits on Motion to Dismiss
¶ 10. As a threshold issue, the Triggs complain the circuit court erroneously dismissed their complaint because it failed to explicitly exclude two affidavits which the Triggs themselves attached to their responses to the motion to dismiss. The Triggs also rely on the circuit court's original order of dismissal, which was somewhat unclear as to whether the complaint was dismissed under Rule 12 of the Mississippi Rules of Civil Procedure or whether summary judgment was granted under Rule 56. The order states that dismissal was under " Rule 12 and/or Rule 56 of [the] Mississippi Rules of Civil Procedure" and that the circuit court "considered all of the pleadings, responses, affidavits[,] and authorities of law filed by the parties." At the hearing on the "motion to vacate," the circuit judge clarified his ruling:
[I]t's obvious that I may have generated some misconception about the order [of dismissal] .... It was the intent of the [c]ourt to enter an order of dismissal under Rule 12. That order obviously sits. There [were] undisputed facts set out in the pleadings as to whether or not a post-conviction relief had been sought by [Dalton]. It was also mentioned as being a Rule 56 summary judgment ruling by the [c]ourt. The [c]ourt will amend the order to reflect at this point in time it is a Rule 12 dismissal, and that there's really not a need for the [c]ourt to reach summary judgment at this point.
The circuit court then entered an order denying the motion to vacate which returned to the merits of the motion to dismiss and omitted any mention of the affidavits or summary judgment.
¶ 11. The Triggs argue that since the first order recites that the circuit court reviewed affidavits, the court was required to convert the motion to dismiss into a motion for summary judgment. Farese responds by pointing out that the circuit court had to review affidavits in order to determine one of the asserted bases for dismissal, whether Dr. Trigg had standing.
¶ 12. We agree that the circuit court was entitled to review Dr. Trigg's affidavit as it pertained to standing. The challenge was based on Rule 12(b)(1) of the Mississippi Rules of Civil Procedure. In
Schmidt v. Catholic Diocese of Biloxi
,
¶ 13. There is a second affidavit, however, which was also filed by the Triggs. It was addressed to the underlying merits of the malpractice claim and clearly should have been excluded from consideration under Rule 12(b)(6). The Triggs contend that it was not excluded and that the circuit court was therefore required to convert the motion to one for summary judgment. They cite Rule 12(b), which provides that "[i]f ... matters outside the pleading are presented to and not excluded by the court, the motion shall be treated as one for summary judgment and disposed of as provided in Rule 56." M.R.C.P. 12(b). Since the circuit court here was presented with an affidavit, which it did not expressly exclude, the Triggs argue it was error not to convert the motion to one for summary judgment.
¶ 14. The Triggs misunderstand what it means for the circuit court to exclude the affidavit-the circuit court is required only to exclude the affidavit from controlling its resolution of the 12(b)(6) motion. As this Court held in
Delta MK, LLC v. Mississippi Transportation Commission
,
¶ 15. Here, the circuit court's reason for dismissing the complaint was Dalton Trigg's failure to allege he had secured postconviction relief-the circuit court accepted the allegations in the complaint as true. And the court dismissed the complaint without prejudice, as it should have under Rule 12(b)(6) for failure to state a claim; if the court had taken the motion as one for summary judgment, the decision would have been on the merits and the "dismissal" would have been a final judgment with prejudice.
See
M.R.C.P. 56(c). Despite the rote recitations in the circuit court's first order, it is apparent to us that the affidavit had nothing to do with the court's decision. Thus, it was not really considered, and the circuit court was under no obligation to convert the 12(b)(6) motion to dismiss for failure to state a claim into a motion for summary judgment.
See
Delta MK
,
¶ 16. Even if the circuit court had been required to convert the motion to one for summary judgment, it still could have dismissed the complaint for failure to state a claim. Under Rule 12(h)(2), the defendants were entitled to raise the defense of failure to state a claim upon which relief can be granted, not only in their responsive pleading, but also "by motion for judgment on the pleadings, or at the trial on the merits." And under Rule 12(b)(6) itself, trial courts possess the authority to dismiss complaints which fail to state a claim-on the court's own motion.
See, e.g.
,
Sparling v. Hoffman Const. Co
.
,
¶ 17. Finally, we reiterate that our standard of review is de novo. The record gives no reason to suspect the circuit court based its decision on anything other than a careful study of the pleadings and the law. But under our standard of review it does not matter why the circuit court reached the result it did; we consider the legal sufficiency of the complaint anew.
See
Triplett v. S. Hens, Inc
.
,
¶ 18. In summary, the issue of the legal sufficiency of the complaint is squarely before us on appeal. As we shall explain in due course, the trial court erred in dismissing one of the counts asserted in the complaint. But so far as the record reveals, any error in the circuit court's consideration of the affidavits was harmless.
2. Dr. Trigg's Standing
¶ 19. As to Dr. Trigg, the circuit court held that "[Dr.] Trigg's dissatisfaction in the performance of Farese [did] not create an attorney/client relationship." The circuit court further held that "[Dr. Trigg] occupies no better position than his son, Dalton; a successful result of a [p]ost [c]onviction [r]elief petition must be obtained before [Dr. Trigg's] claim for legal malpractice against Farese will be actionable."
¶ 20. "Standing is a jurisdictional issue."
Hotboxxx, LLC
,
¶ 21. The complaint alleged five causes of action-fraud, breach of contract, legal malpractice (negligence), accounting for money paid, and negligent infliction of emotional distress. 2 As further explained below, four of these causes are essentially legal-malpractice allegations and were properly dismissed because Dalton failed to first secure postconviction relief. These counts were properly dismissed regardless of whether Dalton's father also had standing to pursue them, and thus the issue of his standing is moot. Any further discussion would be purely academic. But the request for an accounting-which is essentially a fee dispute-survives.
¶ 22. Dr. Trigg alleges he paid Farese's retainer and Farese failed to provide an accounting or refund the unearned portion of the fees. As explained below, a claim based on the quality of the representation is barred, but the accounting claim survives to the extent it alleges the Triggs paid for work that was just not done. No contract appears in the record, but Dr. Trigg alleges he paid the retainer and is entitled to a refund of the unearned portion. He has a colorable interest in the subject matter of the accounting claim, and he therefore has standing to pursue it.
See
Hotboxxx, LLC
,
3. The Malpractice Claims
¶ 23. The Triggs asserted various causes of action in the complaint, but the circuit
court focused on the legal malpractice allegation, which it saw as the fountainhead from which all the other counts derived. The circuit court dismissed the complaint by holding that a criminal defendant must secure postconviction relief before pursuing a criminal-defense malpractice claim. For authority, the circuit court relied on a case from another jurisdiction,
Gibson v. Trant
,
¶ 24. We begin our discussion with the traditional elements of a legal-malpractice claim: "a plaintiff must prove by a preponderance of the evidence the existence of a lawyer-client relationship, negligence on the part of the lawyer in handling his client's affairs entrusted to him, and some injury proximately caused by the lawyer's negligence."
Estate of St. Martin v. Hixson
,
¶ 25. The exoneration rule finds its justification mostly in that final element: the client must show that his attorney's negligence proximately caused his injuries.
¶ 26. Immediately resorting to the trial-within-a-trial test makes sense in an ordinary civil-malpractice allegation because there are generally no "do overs" for a client who has suffered a loss as a result of his own attorney's professional negligence. Criminal law, on the other hand, provides both a substantive remedy for ineffective assistance of counsel and a procedural means to get it, the appellate and postconviction-relief processes.
¶ 27. Criminal defendants have a constitutional right to counsel-and, as a necessary consequence, a constitutional right to effective assistance of counsel.
See
Strickland v. Washington
,
¶ 28. The criminal process is "a more appropriate forum to present [these] claims."
Morgano v. Smith
,
a convicted defendant who cannot meet the standard of proving that there is a reasonable probability that, but for counsel's unprofessional errors, there would not have been a conviction, also cannot meet the higher burden of proving by a fair preponderance of the evidence in a later malpractice action that but for counsel's negligent conduct, there would not have been a conviction.
Noske v. Friedberg
,
¶ 29. Furthermore, before accepting a guilty plea, the circuit court is required to undertake an extensive colloquy with the defendant, face-to-face and in open court.
See, e.g.
,
Hannah v. State
,
¶ 30. The principle of collateral estoppel provides that "[w]here a question of fact essential to a judgment is actually litigated and determined by a valid and final judgment, that determination is conclusive against the party against whom it was made in a subsequent suit on a different cause of action."
Jordan v. McKenna
,
¶ 31. We note also that our Legislature has created a comprehensive scheme for a convicted criminal defendant to challenge that conviction on appeal or through postconviction relief. As the Legislature itself put it, the Mississippi Uniform
Post-Conviction Collateral Relief Act is intended "to provide the courts of this state with an exclusive and uniform procedure for the collateral review of convictions and sentences."
See
In our society, no other legal outcome of the trial process is so difficult to obtain [as a criminal conviction]. Yet, to allow a person convicted of a criminal offense to sue that person's lawyer without having first overturned the conviction would mean that the courts would be permitting relitigation of a matter that is supposed to be settled: The complaining party is deemed by the law to be guilty. The panoply of protections accorded to the criminally accused (including direct appeal and post-conviction relief) is so inclusive, and the significance of a conviction so important to vindication of the rule of law, that it would appear most unusual to permit a person to prosecute a legal malpractice action premised on some flaw in the process that led to that person's conviction at the same time that the person's conviction remained valid for all other purposes. In other words, while the conviction and sentence remain valid for all other purposes, it is inappropriate to treat a complaining convicted offender as having been "harmed" in a legally cognizable way by that conviction.
Stevens v. Bispham
,
¶ 32. Another public-policy interest is in facilitating the practical and effective administration of the court system and the criminal justice process. Requiring exoneration "promotes judicial economy because many issues litigated in the quest for post-conviction relief will be duplicated in the legal malpractice claim."
Gibson
,
¶ 33. As the Oregon Supreme Court noted in
Stevens v. Bispham
,
¶ 34. To be clear, when we say a defendant must be "exonerated," we mean he must obtain a more favorable disposition of his conviction or sentence through direct appeal, postconviction relief, habeas corpus, or similar means within the criminal justice process.
3
At that point, the malpractice suit may be initiated even if the underlying criminal case has not yet been finally resolved. We choose reversal or vacation rather than final disposition because many criminal charges, when remanded for a new trial, are not actually retried-and there is no statute of limitations for many serious offenses in Mississippi, and thus those charges may never be finally resolved.
See
¶ 35. But if the prosecution is resumed after a malpractice suit has been filed, the trial court should stay the malpractice action until the underlying criminal proceedings are resolved. If the defendant is ultimately convicted of the same offense on remand, he obviously cannot show that his first attorney's negligence proximately caused his first conviction, because of collateral estoppel.
See
Jordan v. McKenna
,
¶ 36. Some courts, a majority even, go further than exoneration in the criminal proceedings and require a malpractice claimant prove he is actually innocent of the charges, sometimes including lesser-included offenses or other offenses that might have been charged from the transaction at issue.
See
Barker
,
¶ 37. The procedural posture of today's case does not require this Court to decide whether or not to adopt a per se actual innocence rule. We leave that question for another day, but we observe, as the
Barker
court did, that a malpractice plaintiff "who was factually guilty of the crime for which he or she was convicted ... will likely confront significant causation issues" even without a per se rule actual innocence rule.
Barker
,
¶ 38. Next, we address the operation of the statute of limitations. In prior decisions, both this Court and the Court of Appeals have rejected the claims of successful postconviction relief claimants that the statute of limitations for a malpractice claim began to run upon their achieving postconviction relief. Instead, we adopted the Court of Appeals' prior holding that the statute begins to run when the plaintiff "learns, or through reasonable diligence should have learned of his counsel's negligence."
Bradley v. Jordan
,
¶ 39. Bradley and Hymes are untenable after today's decision because they were premised on the assumption that exoneration was not an element of a criminal-defense malpractice claim. If Bradley were paired with the exoneration rule, it would operate as de facto bar to many meritorious criminal-malpractice actions, as successful postconviction proceedings often take more than three years to work their way to a final disposition even if immediately pursued after conviction.
¶ 40. Most other courts with an exoneration rule have found that exoneration essentially becomes an element of the criminal-malpractice cause of action and that the cause of action accrues only after the malpractice plaintiff is exonerated of the underlying criminal charges.
See
Noske v. Friedberg
,
¶ 41. The Kansas Supreme Court, in reaching this result, relied on its prior holdings that "[a] cause of action accrues when the right to institute and maintain a suit arises, or when there is a demand capable of present enforcement" and the "true test of accrual determines point at which plaintiff could first have filed, prosecuted action to successful conclusion."
See
¶ 42. Courts adopting the accrual rule further analogize the criminal-malpractice claim to one for malicious prosecution, which accrues only when the prosecution proceedings are terminated in the malicious-prosecution plaintiff's favor.
See, e.g.
,
Shaw v. State
,
¶ 43. Still, we acknowledge that a substantial minority of courts have taken a different tack, which is often called the "two-track" approach.
See
Noske
,
¶ 44. The two-track approach has the advantage of putting the defense attorney on notice of the claims against him, but it comes with substantial administrative and practical costs. It would " require every convicted defendant who seeks relief from a conviction ... to also file a legal-malpractice action or risk later having the action be time-barred."
¶ 45. We agree with the
Noske
court that the burdens of the two-track approach outweigh the benefits. We therefore overrule
Bradley
and
Hymes
and adopt the majority rule that the criminal malpractice claim accrues and begins to run on the date of exoneration, as defined above. We recognize that this holding creates a somewhat unique situation in that the accrual of the cause of action-and the extent of the damages-depends on the plaintiff's diligence in pursuing his postconviction remedies. But we think these concerns can adequately be addressed by the application of two familiar principles of law. First, the plaintiff has a duty to mitigate his damages.
See
Wall v. Swilley
,
¶ 46. Finally, we turn to the specific causes of action asserted in the Triggs' complaint. Addressing these claims
under Rule 12(b)(6), the question is whether the complaint stated a claim upon which relief may be granted. To do so, the Triggs were required to provide (1) a short and plain statement of the claim for relief; and (2) a demand for judgment for the relief to which they claim entitlement. M.R.C.P. 8(a). In assessing the legal sufficiency of the complaint, all factual allegations must be taken as true, and dismissal is improper unless it "appear[s] to a certainty that the plaintiff[s] [are] entitled to no relief under any set of facts that could be proved in support of the claim."
Crum v. City of Corinth
,
¶ 47. The complaint alleged five causes of action, which it labeled fraud, breach of contract, legal malpractice (negligence), accounting for money paid, and negligent infliction of emotional distress. The malpractice and negligent-infliction-of-emotional-distress claims are clearly founded on allegations of professional malpractice. Despite the label, the breach-of-contract count also sounds in the tort of professional negligence: it alleges Farese breached the contract by negligently performing his duties as a defense attorney. Likewise, the claim of fraud is addressed to the correctness of Farese's legal judgment and is therefore just a malpractice claim couched as an intentional tort; this claim also requires exoneration before it may be pursued.
See
Greathouse v. McConnell
,
¶ 48. But the cause of action for an accounting is different. The Triggs allege Farese took a $50,000 retainer to defend Dalton, but that Farese never accounted for the money and did not actually earn it. To the extent this claim does not depend on the quality of the services rendered, it is a mere fee dispute and should not have been dismissed.
See
Labovitz v.Feinberg
,
CONCLUSION
¶ 49. In summary, we hold that a convicted criminal must first "exonerate" himself through the criminal-justice process before suing his defense attorney for professional negligence in causing his conviction. Here, Dalton Trigg admits he did not secure relief from his conviction, and thus the malpractice-based claims against his attorney were properly dismissed. But to the extent the Triggs allege they were charged for work not actually performed, the claim should not have been dismissed. Thus, we affirm the judgment in part, reverse it in part, and remand the case for further proceedings consistent with this opinion.
¶ 50. AFFIRMED IN PART AND REVERSED AND REMANDED IN PART.
RANDOLPH AND KITCHENS, P.JJ., KING, COLEMAN, MAXWELL AND BEAM, JJ., CONCUR. WALLER, C.J., AND CHAMBERLIN, J., NOT PARTICIPATING.
See
The Triggs submitted an amended complaint adding a sixth cause of action for breach of fiduciary duty. In their briefs on appeal, the Triggs assume the amended complaint is the relevant document; but it was filed after the answer and the record contains no order permitting the amendment. The amended complaint is therefore not properly before us because "[i]t is the responsibility of the movant to obtain a ruling from the court on motions filed by him and failure to do so constitutes a waiver of same."
Martin v. State
,
One court suggested a better name for the relief required would be "vindication," but we use exoneration because many other courts have used it.
See
Mashaney v. Bd. of Indigents' Def. Servs.
,
Reference
- Full Case Name
- Dalton TRIGG and Dr. Stephen D. Trigg v. Steven FARESE, Sr. and Farese, Farese & Farese, P.A.
- Cited By
- 20 cases
- Status
- Published