Frank Williams, Jr. v. Lockheed Martin Corp
935 F.3d 358
5th Cir.2019Background
- Frank Williams Jr. sued multiple defendants in 2008 for asbestos-related mesothelioma; action was removed and transferred to MDL before remand to the Eastern District of Louisiana.
- In June 2014 the MDL court granted summary judgment for several defendants (including appellees) based on insufficient causation evidence; the case was remanded.
- In November 2016 Williams moved to voluntarily dismiss the four remaining defendants: one dismissal was expressly with prejudice; three dismissals did not specify prejudice and were treated as without prejudice under Rule 41(a).
- Williams appealed; this court in Williams I dismissed for lack of jurisdiction, explaining that volunt ary dismissals without prejudice do not create a final, appealable order absent Rule 54(b) certification (the "finality trap").
- Williams returned to the district court and sought Rule 54(b) certification converting the prior dismissals to final judgments "with prejudice"; the district court entered a Rule 54(b) judgment. Appellees moved that appellate jurisdiction still lacked.
- The Fifth Circuit dismissed the second appeal again for lack of jurisdiction, holding the post-dismissal Rule 54(b) order could not retroactively alter the prior Rule 41(a) voluntary dismissals and therefore did not cure the jurisdictional defect.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether appeals lie after voluntary dismissals without prejudice absent Rule 54(b) | Williams argued the later Rule 54(b) judgment cured the defect and created finality | Appellees argued the initial Rule 41(a) dismissals were not final and a later Rule 54(b) entry cannot resurrect or alter a matter no longer pending | Court held the Rule 54(b) judgment did not cure jurisdictional defect; appeal dismissed for lack of jurisdiction |
| Effect of Rule 41(a) stipulation on district court power | Williams contended district court could certify finality under Rule 54(b) after-the-fact | Appellees relied on precedent that a Rule 41(a) voluntary dismissal strips the district court of jurisdiction and is unalterable by subsequent orders | Court held a Rule 41(a) voluntary dismissal left nothing pending and later district-court action "can have no force or effect" |
| Whether clerical entry or Rule 58 relief creates appellate jurisdiction | Williams argued Rule 58/entry of judgment might render order appealable | Appellees noted Rule 58 does not override Rule 54(b) or transform nonfinal orders into final ones | Court reiterated that Rule 58 entry did not create jurisdiction where dismissals remained without prejudice |
| Whether precedent should be revisited/en banc relief appropriate | Williams urged this court to accept Rule 54(b) cure; concurring judge urged en banc change | Appellees relied on controlling circuit precedent that enforces the finality trap | Concurring judge urged en banc reconsideration, but majority applied existing precedent and declined to change rule |
Key Cases Cited
- Williams v. Taylor-Seidenbach, Inc., [citation="748 F. App'x 584"] (5th Cir. 2018) (prior panel dismissed appeal for lack of jurisdiction)
- Swope v. Columbian Chemicals Co., 281 F.3d 185 (5th Cir.) (rule that voluntary dismissal without prejudice does not create appellate jurisdiction)
- Marshall v. Kan. City S. Ry. Co., 378 F.3d 495 (5th Cir. 2004) (presumption that unspecified dismissal is without prejudice)
- Ryan v. Occidental Petroleum Corp., 577 F.2d 298 (5th Cir.) (origin and rationale for barring appeals after voluntary dismissals without prejudice)
- SmallBizPros, Inc. v. MacDonald, 618 F.3d 458 (5th Cir. 2010) (district-court actions after a Rule 41(a)(1)(A)(ii) stipulation can have no force or effect)
- Witherspoon v. White, 111 F.3d 399 (5th Cir.) (labeling an order final does not necessarily make it so)
- Nat'l City Golf Fin. v. Commercial Capital Co., 899 F.3d 412 (5th Cir.) (stipulation of dismissal ordinarily strips district court of subject-matter jurisdiction)
- James v. Price Stern Sloan, Inc., 283 F.3d 1064 (9th Cir.) (rejecting rigid Ryan rule; case-by-case approach to appeals after without-prejudice dismissals)
- Sims v. EGA Prod., Inc., 475 F.3d 865 (7th Cir.) (assessing finality by the state of litigation when appeal is taken)
- GO Computer, Inc. v. Microsoft Corp., 508 F.3d 170 (4th Cir.) (focus on whether dismissal ends litigation and leaves nothing for the court to do)
- Scanlon v. M.V. SUPER SERVANT 3, 429 F.3d 6 (1st Cir.) (allowing appeals when parties unequivocally reserve appellate rights)
- Tiernan v. Devoe, 923 F.2d 1024 (3d Cir.) (plaintiffs cured jurisdictional defect by renouncing future action and reserving right to appeal)