992 F.3d 128
2d Cir.2021Background
- 311 tip alleged a roommate (described physically) was selling drugs from a Brooklyn apartment; Detective Mike Civil directed undercover buys and obtained a search warrant.
- Police executed the warrant and found ~2 ounces of marijuana in a curtained living-room area with a photo of Plaintiff Dushanne Ashley; Ashley arrived at the apartment after police and was arrested on April 19, 2013.
- The initial criminal complaint (First Complaint) stated Civil observed Ashley in possession; Civil later signed that complaint despite testifying he noticed the statement was inaccurate.
- Surveillance showed Ashley arrived after police; the prosecution filed a superseding complaint (Second Complaint) alleging Ashley entered afterward and made a statement implying ownership; the state court dismissed the Second Complaint as facially insufficient and prosecution did not appeal.
- Ashley sued under 42 U.S.C. § 1983 for false arrest, malicious prosecution, and fabricated-evidence (denial of fair trial). District court granted summary judgment for defendants on false arrest and malicious prosecution but allowed the fabricated-evidence claim against Civil to proceed; after a jury verdict for Civil, Ashley appealed.
- The Second Circuit affirmed summary judgment on false arrest and malicious prosecution (finding probable cause on alternative grounds), affirmed denial of JMOL on fabricated-evidence, but vacated the jury verdict and remanded for a new trial because a jury instruction that “paperwork errors…are not a basis for finding a constitutional violation” was legally erroneous and prejudicial.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Probable cause for false arrest | Ashley: no probable cause; Civil relied on false/inaccurate statements about Ashley being present | Civil: informant tip corroborated by undercover buys, photo and items supported probable cause | Affirmed summary judgment for Civil; original credibility-based reasoning was erroneous, but probable cause exists on alternative record-based grounds |
| Probable cause for malicious prosecution | Ashley: prosecution lacked probable cause and charges stemmed from fabricated statements | Civil: facts supporting arrest likewise supported prosecution | Affirmed summary judgment; probable cause to prosecute existed under the higher malicious-prosecution standard |
| Fabricated-evidence (denial of fair trial) — fabrication & forwarding | Ashley: Civil knowingly signed and forwarded a complaint containing a false statement about Ashley’s presence | Civil: any false statement was a paperwork mistake or originated with prosecutors, and Civil had defenses | Court: fabrication as to the First Complaint established as matter of law (Civil knowingly adopted false statement), but causation of liberty deprivation was for the jury — JMOL denial affirmed |
| Jury instructions — "paperwork errors" language | Ashley: instruction misstated law (knowing falsity suffices) and misled jury, prejudicing outcome | Civil: entitled to defend; instruction allowed jurors to consider his explanation | Instruction was legally erroneous and prejudicial; verdict vacated and new trial ordered |
| Favorable termination requirement | Ashley: dismissal of charges (after prosecution declined to replead or appeal) constitutes favorable termination | Civil: dismissals for facial insufficiency generally do not show innocence or favorable termination | Court held termination was favorable here given circumstances and prosecution’s failure to proceed; favorable-termination requirement met |
Key Cases Cited
- Jocks v. Tavernier, 316 F.3d 128 (2d Cir. 2003) (false-arrest elements under New York law)
- Weyant v. Okst, 101 F.3d 845 (2d Cir. 1996) (probable cause is defense to false arrest)
- Jenkins v. City of New York, 478 F.3d 76 (2d Cir. 2007) (probable-cause assessment principles)
- Stansbury v. Wertman, 721 F.3d 84 (2d Cir. 2013) (timing of facts considered for probable cause)
- Ricciuti v. N.Y.C. Transit Auth., 124 F.3d 123 (2d Cir. 1997) (fabricated-evidence claim elements)
- Morse v. Fusto, 804 F.3d 538 (2d Cir. 2015) (knowingly false statements can establish fabrication)
- Garnett v. Undercover Officer C0039, 838 F.3d 265 (2d Cir. 2016) (fabrication elements including materiality)
- McDonough v. Smith, 139 S. Ct. 2149 (2019) (favorable-termination discussion in fabricated-evidence context)
- Murphy v. Lynn, 118 F.3d 938 (2d Cir. 1997) (when non-merits dismissal can indicate lack of reasonable grounds and thus be favorable termination)
- Globecon Grp., LLC v. Hartford Fire Ins. Co., 434 F.3d 165 (2d Cir. 2006) (credibility determinations are for the factfinder)