Swezey v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 19 N.Y.3d 543

Marcos elected president in 1965 and 1969; Philippine constitution limited terms to two four-year terms.
Marcos imposed martial law in 1972, suspended the constitution, and governed as a dictator, with widespread human rights abuses.
Marcos amassed a large fortune; after deposing in 1986, the Philippines established the PCGG to recover national assets.
Pimentel class sued Marcos in Hawaii; after Marcos’ death, judgment against his estate emerged for almost $2 billion.
Interpleader action in Hawaii involved Arelma, S.A. assets; Swiss authorities froze assets; assets sent to a Philippine escrow in dispute.
US Supreme Court in 2008 (Pimentel) held sovereign immunity requires dismissal for lack of a required party when an absent sovereign is not frivolous; NY turnover proceeding pursued to recover Arelma assets led to duty to determine joinder.

Issue	Plaintiff's Argument	Defendant's Argument	Held
Whether sovereign immunity requires dismissal under CPLR 1001	Swezey contends nonjoinder should not require dismissal; court should allow class to proceed despite immunity.	Republic argues Republic/PCGG are necessary but immune parties; five-factor CPLR 1001 analysis supports dismissal without prejudice.	Yes; dismissal without prejudice required

Republic of Philippines v Pimentel, 553 U.S. 851 (U.S. 2008) (sovereign immunity requires dismissal for absent sovereign when not frivolous)
Saratoga County Chamber of Commerce v Pataki, 100 N.Y.2d 801 (N.Y. 2003) (limits to sovereign immunity with special context; not controlling here)
Lamont v. Travelers Ins. Co., 281 N.Y. 362 (N.Y. 1939) (court may dismiss where absence of foreign government prevents full relief)
Oliner v Canadian Pacific Ry. Co., 27 N.Y.2d 988 (N.Y. 1970) (five-factor CPLR 1001 analysis applicable to nonjoinder)
Red Hook/Gowanus Chamber of Commerce v New York City Bd. of Stds. & Appeals, 5 N.Y.3d 452 (N.Y. 2005) (five-factor framework articulated for joinder when jurisdiction impossible)