Bayshore Ford Trucks Sales, Inc. v. Ford Motor Co.Bayshore Ford Trucks Sales, Inc. v. Ford Motor Co.
This case was brought as a class action in the United States District Court for the Northern District of Georgia. Bayshore Ford Truck Sales, Inc., Heintzelman’s Truck Center, Inc., LJL Truck Center, Inc., Peach State Ford Truck Sales, Inc., and Valley Ford Truck Sales, Inc. (collectively, the “Bayshore Dealers” or the “Dealers”) sued Ford Motor Company (“Ford”) for breach of their respective franchise agreements with Ford and for violations of federal law. They timely moved the district court to certify a class containing similarly situated Ford truck dealers. The court denied their motion. Thereafter, while the case was being prepared for trial, Westgate Ford Truck Sales, Inc. (“Westgate”), a member of the non-certified class, filed a class action law suit in an Ohio state court (the “Westgate Action”). 1 The complaint contained breach of franchise agreement claims practically identical to the Dealers’ claims pending before the district court. The Ohio court certified a class the district court had refused to certify — a class that, by definition, contained the Bayshore Dealers. The Bayshore Dealers, wishing to litigate their claims as class members in the Ohio case, then moved the district court to permit them to dismiss their case against Ford. The court denied their motion. In a separate order, the court, acting on Ford’s motion, enjoined Westgate from prosecuting the Ohio class action and the Dealers from participating in that action as class members.
The Bayshore Dealers and Westgate now separately appeal the district court’s injunction. 2 The Dealers’ appeal challenges, in addition to the injunction, the district court’s order ruling on Ford’s motion in limine declaring inadmissible a report prepared by the Dealers’ expert, Fred A. Kinder. The Dealers also petition this court for a writ of mandamus, asking us to order the district court to grant their motions voluntarily to dismiss their suit against Ford. 3
After considering the parties’ briefs and entertaining oral argument, we (1) vacate the injunction; (2) deny the Dealers’ petition for writ of mandamus; and (3) dismiss for lack of pendent appellate jurisdiction the Dealers’ appeal of the district court’s order excluding the Kinder report.
We organize this opinion as follows. Part I sets out the factual background and procedural history of this case and the Westgate Action. Part II addresses the threshold question of whether the district court had
in personam
jurisdiction over Westgate. Part III considers whether, assuming that it had
in personam
jurisdiction over Westgate, the district court had the legal authority to enjoin the Westgate Action
4
and to enjoin the Dealers from participating in that case as class members. Parts IV and V focus, respectively,
I.
A.
The Bayshore Dealers became Ford-authorized medium-duty and heavy-duty truck (“Medium/Heavy Truck”) dealers by entering into various franchise agreements with Ford (the “Franchise Agreements”). 5 Until 1998, Ford sold truck chassis to the Dealers at wholesale prices, which the Dealers would subsequently complete, customize and resell to the public. According to the Dealers, the Franchise Agreements required Ford to publish its wholesale truck prices and discounts to all of its dealers, and to sell its trucks to those dealers only at those published prices and only with those published discounts. 6
In the early 1980s, Ford began a new wholesale pricing system for its trucks called the Competitive Price Assistance
B.
On July 1, 1999, the Dealers, represented by attorney James A. Pikl, challenged the CPA program by filing this law suit against Ford. In a three-count complaint, 7 the Dealers sought damages for breach of contract, i.e., paragraph 10 of the Franchise Agreements, and for violations of the Robinson-Patman Act of 1936 8 and the Automobile Dealers’ Day in Court Act of 1956 9 (the “Bayshore Action”). The complaint also sought the certification of a class of similarly situated dealers.
The Dealers alleged that the Franchise Agreements required Ford to sell its trucks only at those wholesale prices Ford previously published to all of its authorized Medium/Heavy Truck dealers. Through the CPA program, Ford allegedly failed in its publishing obligation by refusing to disclose appeal-level discounts, and resultant price variances, to all dealers. The Dealers also claimed that the Franchise Agreements required Ford to sell trucks of similar grade and quality only in accordance with its previously published prices, an obligation Ford allegedly disregarded by providing its dealers with individualized, appeal-level discounts. According to the Dealers, Ford’s breaches affected virtually every Ford truck dealer in the United States.
The Dealers’ claim under the Dealers’ Day in Court Act accused Ford of controlling dealer profits, coercively and unfairly discriminating in the prices it offered dealers for trucks of similar grade and quality, and of breaching the basic fairness obligations imposed by the Act.
10
Similarly,
On April 14, 2000, the Dealers, now proceeding on their Second Amended Complaint,
11
filed a motion for class certification pursuant to
All franchised Ford dealers within the jurisdiction of this Court who ordered and purchased from Ford any Ford Medium/Heavy Truck during model years 1990-1998. The term “Medium/Heavy Truck” is defined to be a truck classified by Ford with the designation F-600 or above.
All franchised Ford dealers within the jurisdiction of this Court who ' ordered and purchased from Ford any Replacement Part for Medium/Heavy Trucks during model years 1990 — 1998. The term “Medium/Heavy Truck” is defined to be a truck classified by Ford with the designation F-600 or above.
The Dealers did not provide a list of the Ford dealers who were purportedly “within the jurisdiction of the Court,” and they offered no means by which the district court could generate such a list. In support of their motion, the Dealers averred that they met the four requirements for class certification set forth in
The district court denied the Dealers’ motion for class certification in an order dated September 5, 2000. The court quickly dispatched the Replacement Parts Class. The court noted that the Dealers’
In analyzing the Dealers’ request to certify the Bayshore Class, the court assumed without deciding that the class satisfied the
Relying on Robinson-Patman Act cases, the court concluded that the Bay-shore Dealers could not .serve as adequate class representatives due to the “inherently antagonistic interests of the class members.” Specifically, the court determined that the Dealers’ theory of liability reflected inherent antagonism, dividing the class members into “favored” and “disfavored” dealers. Although the Bay-shore Dealers insisted that they and other disfavored dealers suffered damages by paying higher wholesale prices on comparable trucks than those paid by favored dealers, the court found that every dealer received sufficient discounts to consummate many sales over the relevant time period. In the court’s view, the Bayshore Dealers were attempting to recoup lost profits on the sales they had lost to other, “favored” dealers. Conversely, the Bayshore Dealers profited on many transactions at the expense of other dealers when their CPA discount enabled them to make a sale; not only had the Bayshore Dealers suffered no harm as a result of these transactions, their theory of liability required the finding that their profitability came at the direct expense of other dealers. The proposed class would consequently include members who bene-fltted from the same acts that supposedly harmed other members of the class. This defect caused the court to deny the plaintiffs’ motion for certification of the Bay-shore Class on the basis of inadequate class representation under
On September 19, 2000, the Dealers moved the district court to reconsider its denial of class certification, but only with
On November 14, 2002, the Dealers moved the court for leave to amend their Second Amended Complaint, attaching a proposed Third Amended Complaint that omitted their Robinson-Patman Act claims. Ford did not object to the motion, and the court granted it on December 6, 2002. As of that date, the only operative claims remaining in the case were the Dealers’ breach of contract claims. 16
On March 31, 2003, Ford filed a motion for summary judgment. The court granted the motion on May 20, 2003, and the Dealers appealed. We affirmed in part and reversed and remanded in part, concluding that the Franchise Agreements were ambiguous as to whether Ford had an obligation to publish its wholesale prices solely to individual dealers, to all authorized dealers, or to all authorized dealers in a particular locality.
Bayshore I,
C.
On October 7, 2002, prior to the district court’s entry of summary judgment against the Bayshore Dealers, Westgate, represented by attorney James A. Pikl, filed the Westgate Action in the Court of Common Pleas of Cuyahoga County, Ohio. Westgate’s complaint alleged that Ford had breached the Franchise Agreements, the same agreements involved in the Bay-shore Action (except for the named dealer franchisees), and sought the certification of a class of similarly situated dealers nationwide. The allegations in Westgate’s complaint are for the most part identical to those made in the Bayshore Dealers’ Third Amended Complaint. Like the Dealers, Westgate accused Ford of breaching paragraph 10 of the Franchise Agreement by failing to publish to all of its authorized dealers the individual discounts it granted under the appeal-level CPA program, and by failing to sell its Medium/Heavy Trucks only at previously published prices.
On August 1, 2003, little more than two months after the district court granted Ford summary judgment in the Bayshore Action, Westgate moved the Ohio court to certify the following class:
All franchised Ford Dealers operating in the United States who purchased from Ford any truck of series 600 and above (.Medium/Heavy Truck) in the time period commencing on October 5, 1987 to the present [the “Westgate Class”].
Rejecting the district court’s reasons for denying the Dealers’ motion for class certification, the Ohio court granted the motion
On June 24, 2005, Ford appealed the certification ruling to the Ohio Court of Appeals.
17
A week after Ford took its appeal, the Bayshore Dealers moved the district court to dismiss their law suit pursuant to
Ford responded to the Bayshore Dealers’ motion on July 13, 2005, filing an application for injunctive relief pursuant to the Anti-Injunction Act,
In the brief it filed in support of its application for injunctive relief, Ford asserted that the Ohio court’s certification of the Westgate Class undermined the district court’s ability to enforce its judgment, i.e., its September 5, 2000 order denying the Dealers’ motion for class certification.
20
On July 27, 2005, Westgate moved the district court pursuant to
On August 3, 2005, the district court denied the Dealers’ motion to dismiss the Bayshore Action. The next day, the court issued the injunction Ford had requested. Relying exclusively on the Seventh Circuit’s opinion in
In Re Bridgestone/Firestone Tires Products Liability Litigation,
All members, named and unnamed, of the putative nationwide class defined in this court’s order dated September 5, 2000, 22 and their lawyers are hereby enjoined from again attempting to have a nationwide class certified and from further prosecuting any nationwide class over the defendant’s objection with respect to the same class and the claims alleged in this ease.
The court rejected the Ohio court’s interpretation of its September 5, 2000 order denying the Bayshore Dealers’ motion for class certification. The district court stated that the September 5 order pertained to the breach of contract claims as well as the Dealers’ Robinson-Patman claims: “The plaintiffs had not sought certification of different classes for their different claims, and this court considered all claims asserted by the plaintiffs when it denied their motion for class certification.” Acknowledging that “a district court should be very hesitant to stay state court proceedings,” the court nevertheless concluded that the Anti-Injunction Act,
D.
On March 21, 2003, prior to moving the district court for summary judgment, Ford filed a motion to strike Fred A. Kinder as the plaintiffs’ expert witness. The Dealers had retained Kinder, whom they described as a damages expert, to produce a report (the “Kinder Report”) setting forth the Dealers’ two damages models and summarizing the voluminous Medium/Heavy Truck pricing data contained in Ford’s North America Vehicle Information System (“NAVIS”) and CPA databases. Significantly, although the Dealers characterized Kinder in their initial submissions as their expert witness on damages, they characterized the Kinder Report as a summary under
Much of the debate over the admissibility of the Kinder Report and the qualification of Kinder as an expert witness depends on whether the Kinder Report constituted a summary under
Because the order was silent as to the admissibility of the Kinder Report as a
II.
Westgate contends that because it never appeared before the district court as a party to the Bayshore Action, the court lacked jurisdiction over its person and, therefore, authority to enjoin it from prosecuting the Westgate Action. Even if it were a putative member of the Bayshore Class, Westgate argues, the district court could not assume jurisdiction over its person once the court denied the Dealers’ motion for class certification.
A.
The granting of class certification under
B.
If a nonparty lacks the right to intervene,
Once a court grants intervention, whether of right or by permission, the “interve-nor is treated as if [it] were an original party and has equal standing with the original parties.”
Marcaida v. Rascoe,
Westgate pointed neither to a relevant statute nor to common questions of law or fact in support of its motion to intervene. Instead, Westgate merely stated that it had a “clear interest” in the subject matter of the Injunction Applica
That Westgate had no intention of intervening as a plaintiff in the Bayshore Action is further illustrated by its response to Ford’s application for injunctive relief 31 and the district court’s September 8, 2005 order denying Westgate’s motion for reconsideration of the August 4, 2005 order granting Ford’s application. Westgate’s response offered several theories as to why “well-settled principles of federalism and state sovereignty” barred the district court from enjoining the Westgate Action, which, according to Westgate, would amount to an impermissible federal court review of the Ohio court’s order granting class certification. In no way, however, did these theories bear upon the contract dispute between the Dealers and Ford or implicate the substantially similar contract dispute between Westgate and Ford. The court therefore stated in its September 8 order that it had “granted the motion to intervene filed by [Westgate] for the limited purpose of responding to [Ford’s] motion for injunctive relief.” That is, the district court apparently did not understand Westgate’s motion to be seeking intervention as to the merits of the Bayshore Action.
Moreover, the outcome of the Bayshore Action would have no legal impact on Westgate. Westgate was not a signatory to any of the Franchise Agreements that
The district court’s order granting West-gate’s intervention did not indicate whether the court was acting pursuant to
C.
Although the court erred, we are in no position to reverse its decision here. Westgate challenges the district court’s jurisdiction over its person, but by filing a successful motion to intervene, it acquiesced to such jurisdiction.
See County Sec. Agency v. Ohio Dep’t of Commerce,
Moreover, it is “a cardinal rule of appellate review that a party may not challenge as error a ruling or other trial proceeding invited by that party.”
Thunderbird, Ltd. v. First Fed. Sav. & Loan Ass’n of Jacksonville,
III.
In laying out our discussion of the district court’s injunction, we note that the district court’s order effectively constitutes two injunctions: one purporting to foreclose Westgate’s prosecution of the West-gate Action, and the other forbidding the Dealers from participating in that action as unnamed class members. These two injunctions require two different sets of analyses. We will consider the injunction of the Westgate’s prosecution of the West-gate Action in Ohio court under the Anti-Injunction Act, and subsequently weigh the injunction of the Dealers’ participation in the Westgate Action under the All Writs Act.
The Anti-Injunction Act directs that a court of the United States may not grant an injunction to stay proceedings in a state court except: (1) “as expressly authorized by Act of Congress”; (2) “where necessary in aid of its jurisdiction”; or (3) “to protect or effectuate its judgments.”
The Supreme Court has repeatedly emphasized that the lower courts are to interpret these exceptions strictly. “This is not a statute conveying a broad general policy for appropriate ad hoc application. Legislative policy is here expressed in a clear-cut prohibition qualified by only specifically defined exceptions.”
Amalgamated Clothing Workers of Am. v. Richman Bros.,
Although federal courts are instructed to tread carefully when considering whether to stay state court proceedings, as such a decision directly implicates the “very delicate balance struck between the federal and state judicial systems,”
Wesch v. Folsom,
In its August 4, 2005 order, the district court concluded that enjoining Westgate, the Bayshore Dealers, and their counsel from prosecuting or participating in the Westgate Action fell within the Anti-Injunction Act’s second and third exceptions, because the injunction was “necessary in aid of [the district court’s] jurisdiction, or to protect or effectuate its judgments.” 35 We review the court’s reliance on these two exceptions in order.
A.
The Anti-Injunction Act allows a federal court to enjoin a state court proceeding “in aid of its jurisdiction.”
Neither of these scenarios is present in the case at hand. First, the Bay-shore Action did not come to the district court via removal. Second, the Bayshore Action is an action in personam, not an action in rem.
We haye acknowledged a third scenario in which the enjoining of a state court proceeding might be necessary and thus permissible. Called the “complex multi-state litigation” exception, it enables a district court to enjoin a state court proceeding in aid of its jurisdiction when it has retained jurisdiction over complex,
in per-sonam
lawsuits. In
Battle v. Liberty National Life Insurance Co.,
We upheld the district court’s permanent injunction of the state court proceedings because the “state court suits, class
We reached the same conclusion in
Wesch,
a case involving an Alabama congressional redistricting plan administered by a three-judge court. After the court entered final judgment adopting the plan, a class action was filed in an Alabama circuit court on behalf of substantially the same plaintiffs asserting substantially the same claims as those before the district court.
Wesch,
The exception recognized in
Wesch
and
Battle
is predicated on both complexity and potential for interference. The situation before us bears little factual similarity to those cases. We do not have before us a class action affecting the rights of hundreds (or even dozens) of parties, nor are we confronted with a complex and carefully crafted settlement or other plan which would be undermined by a state court adjudication. The litigation in the Ohio court, on its own, would not displace or frustrate the district court’s management of the case now pending before it. As compared to
Battle
and
Wesch,
the difficulties involved in resolving the Bayshore
B.
The district court’s August 4, 2005 injunction also relied on the third exception to the Anti-Injunction Act “to protect or effectuate its judgment,”
While res judicata requires a final judgment, we clarified in
Christo
that the finality requirement for collateral estoppel is “less stringent.”
Christo,
By contrast, we do not find sufficient evidence of finality in the district court’s denial of class certification in the Bayshore
The district court’s rejection of the Dealers’ motion for reconsideration of that order does nothing to alter our view. The district court specifically stated that it found no legal basis for reconsidering the order, but was silent as to whether a different factual basis could bring about a different result. In short, the court acknowledged that facts not previously brought to its attention might warrant a retreat from its earlier decision denying certification. Under these circumstances, it would be inappropriate for us to consider the court’s finding of inherent class antagonism final for collateral estoppel purposes. 40
C.
Determining that the district court lacked the authority to issue an injunction under the Anti-Injunction Act does not fully answer the question of whether the court erred in enjoining the Dealers’ participation in the Westgate Class. The Anti-Injunction Act limits the court’s ability to issue injunctions directed at “proceedings in a State court.”
Our analysis of the district court’s injunction is complicated by the fact that the court failed to articulate the authority under which it enjoined the Dealers’ participation in the Westgate Class. Instead, the court relied on the “reasoning and rationale” of
Bridgestone/Firestone, Inc.,
It is reasonable to infer from the district court’s reliance on
Bridgestone/Firestone
that the court suspected Westgate, the Dealers, and their counsel of employing the litigation strategy decried by the Seventh Circuit, and that it wanted to stop them by giving finality to its class certification denial. The district court’s suspicion may or may not have been warranted,
The All Writs Act is the only-source from which the district court could have derived the power to enjoin the Dealers.
41
Under the Act, “[t]he Supreme Court and all courts established by Act of Congress may issue all writs necessary or appropriate in aid of their respective jurisdictions and agreeable to the usages and principles of law.”
It is unclear how
Bridgestone/Firestone,
which endeavored to end the proliferation of state court class actions, related to the district court’s ability to manage the Bay-shore Action in the instant case. We note, first and foremost, that the Seventh Circuit in
Bridgestone/Firestone
was not concerned that multiple state class actions would pose a threat to the district court’s management of the case before it. To the contrary, the
Bridgestone/Firestone
court emphasized that the plaintiffs had the right to pursue state court certification of statewide classes, even while the federal suit was pending.
Bridgestone/Firestone,
The Seventh Circuit decision, therefore, did not provide a legal basis for the district court’s issuance of the injunction against the Dealers. Moreover, the district court pointed to no circumstances, independent of those discussed in
Bridgestone/Fire-stone,
that would indicate how the Dealers’ membership in the Westgate Class could pose a threat to its litigation of the Bay-shore Action. Indeed, the court’s injunc-tive order “did not even begin to explain” how its jurisdiction was, or could be, threatened by the conduct it enjoined.
Klay,
We need not dwell on whether the court could properly have enjoined the Dealers to protect or effectuate its decision denying class certification. As discussed in part III.B., the district court’s decision lacked the finality needed for either collateral estoppel or res judicata effect, and could not serve as the basis for an injunction under the All Writs Act. We thus must conclude that the All Writs Act did not give the district court the authority to enjoin the Dealers from participating as unnamed class members in the Westgate Action and that the issuance of the injunction constituted an abuse of discretion.
D.
In sum, the district court’s injunction of the Westgate Action, the Dealers, and their counsel fell under neither the “in aid of jurisdiction” nor the “to protect or effectuate its judgments” exceptions to the Anti-Injunction Act. Moreover, the court lacked sufficient legal justification under the All Writs Act for preventing the Dealers from participating in the Westgate Action. Accordingly, the issuance of the injunctions constituted an abuse of discretion.
We further observe that, when placed in its proper perspective, the district court’s denial of the Dealers’ motion for class certification informed the putative class members that they would have to try their case somewhere else; it invited them to repair to another forum. Hence, in refusing to entertain their claims, the court implicitly indicated that it was not binding them to its judgment — specifically, its decision, and the bases thereof, denying the Dealers’ motion for class certification. What we have before us, then, is not a judgment, but the explicit refusal to issue one. Permitting an injunction to lie under such circumstances would stand the Anti-Injunction Act on its head. 42
IV.
In their petition for writ of mandamus, the Bayshore Dealers assert that the dis
It is well settled that a writ of mandamus is a drastic remedy confined to rare situations.
See Allied Chemical Corp. v. Daiflon, Inc.,
To foreclose the argument that it constitutes an abuse of the writ, the mandamus petition must satisfy three conditions. First, because the entry of a final judgment must ordinarily precede appellate review, the petitioner must demonstrate that “no other adequate means” exists to obtain the relief desired.
Kerr v. U.S. Dist. Ct. for N.D. Calif.,
Given the record before us, we cannot conclude that the Dealers have surmounted the requisite hurdles for mandamus relief. Were the Dealers to await the entry of final judgment in their case, an appeal of that judgment would provide them with an altogether adequate means of relief. In their petition, the Dealers articulate two main arguments for the necessity of mandamus relief: (1) the denial of their motion to dismiss forceclosed their substantive due process right to participate as unnamed class members in the Westgate Action; and (2) judicial economy. As for the due process argument, we have already determined that neither the Anti-Injunction Act nor the All Writs Act provided the district court with the authority to enjoin the Dealers from participating in the Westgate litigation, and so they are now free to do so. Thus, we need not consider whether the Due Process Clause of the Fifth Amendment grants them a substantive right to litigate their claims in an Ohio state court.
Moreover, principles of judicial economy do not convince us that the Dealers lack adequate alternative relief. “The mere possibility that a litigant might have to re-litigate a case is not a sufficiently compelling interest to warrant immediate review.”
BellSouth,
Not only do the Dealers retain adequate alternative relief, they fail to satisfy the second condition for mandamus relief, a “clear and indisputable right” to the issuance of the writ. The decision to grant or deny a
Though it is advisable for district courts to share their reasons for denying
V.
Finally, we consider the Dealers’ challenge to the district court’s decision to exclude the report prepared by Fred A. Kinder. The Dealers designated Kinder as their expert witness on the damages issues, and he prepared a report which they described as a
As a threshold matter, Ford submits that we should not review the district court’s decision for two reasons. First, the Dealers failed to preserve the issue for appeal because then* Notice of Appeal only mentioned the injunctive part of the August 4 order. The Dealers respond that they mentioned the injunction, as opposed to the report’s exclusion, to indicate the jurisdictional basis for its right of appeal, under
Although the August 4 ruling is not a final judgment,
see
The Dealers turn to our decision in
Cable Holdings of Battlefield Inc. v. Cooke,
The situation we faced in Cooke bears no similarity to the one we consider here. The court made neither direct nor oblique reference to the Kinder Report when discussing its decision to issue the injunction. The report, which purports to summarize Ford’s voluminous truck pricing data and to calculate the damages caused the Dealers by Ford’s CPA program, has nothing to do with the issues of jurisdiction, federalism, and judicial economy that animated the district court’s injunctive order. It is therefore difficult to imagine how the report played any part in issuing the injunction, let alone provided the justification for doing so.
The Dealers, for their part, do little to shed light on this mystery. They merely assert that the court’s order excluding the Kinder Report “concern[s] certain eviden-tiary issues that ... would further judicial economy and orderly judicial administration.” They do not identify those eviden-tiary issues, and they do not explain how the resolution of those issues would facilitate the district court’s efficient management of the case. Pendent appellate jurisdiction cannot be founded on such vague and conclusory assertions. We accordingly conclude that the court’s decision to exclude the Kinder Report is not inextricably intertwined with its injunctive order, and that revisiting that ruling does nothing to ensure meaningful review of the injunction.
VI.
In conclusion, we hold that the district court lacked authority under the Anti-Injunction Act to enjoin further prosecution of the Westgate Action, and that it lacked the authority under the All Writs Act to enjoin the Dealers and their counsel from participating in that case. The injunction is accordingly VACATED. Moreover, because an appeal from an adverse final judgment would provide the Dealers an adequate means for obtaining review of the district court’s denial of their motion to dismiss the Bayshore Action, and the district court did not abuse its discretion in so ruling, the Dealers’ petition for a writ of mandamus is DENIED. Finally, we lack pendent appellate jurisdiction to review the district court’s exclusion of the Kinder Report.
The case is REMANDED for further proceedings not inconsistent with this opinion.
SO ORDERED.
Notes
. Westgate Ford Truck Sales, Inc. v. Ford Motor Co., No. CV-02-483526 (Ohio Court of Common Pleas, filed Oct. 7, 2002).
. The Dealers' appeal is No. 05-14543; West-gate's appeal is No. 05-15152. This is the second time the Dealers' breach of contract claims against Ford have been before this court. In
Bayshore Ford Truck Sales, Inc. v. Ford Motor Co.,
. The petition for writ of mandamus is No. 05-14254. We have consolidated this petition with the appeals designated in note 2, supra.
. As noted in the text supra, the district court enjoined Westgate, not the Westgate Action. For ease of discussion, however, we sometimes refer to the injunction as having been issued against the Westgate Action.
. In their Third Amended Complaint, the complaint before us in this appeal, the Dealers defined "medium-duty trucks” as those designated by Ford as models F-600 to F-850, and defined "heavy-duty trucks” as those designated by Ford to be models F-850 and above. The Dealers grouped the Franchise Agreements into three broad categories. Under general franchise agreements, Ford authorized dealers to sell any Ford vehicle or replacement part manufactured by Ford, including any automobile or truck. In the second category, which the Dealers termed "Ford Heavy Duty Truck Sales and Service Agreements,” dealers could sell trucks and replacement parts for trucks designated F-850 or higher. In the third category, termed "Ford Truck Sales and Service Agreements,” dealers were authorized to sell medium-duty trucks and replacement parts for trucks designated by Ford as F-600 to F-850. The Dealers contend, and Ford does not dispute, that they operated under both the second and third categories of franchise agreements.
. This assertion is based on paragraph 10 of the Heavy Duty Truck Sales and Service Agreement, which states:
Sales of COMPANY PRODUCTS by the Company to the Dealer hereunder will be made in accordance with the prices, charges, discounts and other terms of sale set forth in price schedules or other notices published by the Company to the Dealer from time to time in accordance with the applicable HEAVY DUTY TRUCK TERMS OF SALE BULLETIN or PARTS AND ACCESSORIES TERMS OF SALE BULLETIN. Except as otherwise specified in writing by the Company, such prices, charges, discounts and terms of sale shall be those in effect, and delivery to the Dealer shall be deemed to have been made and the order deemed to have been filled on the date of delivery to the carrier or the Dealer, whichever occurs first. The Company has the right at any time and from time to time to change or eliminate prices, charges, discounts, allowances, rebates, refunds or other terms of sale affecting COMPANY PRODUCTS by issuing a new HEAVY DUTY TRUCK or PARTS AND ACCESSORIES TERMS OF SALE BULLETIN, new price schedules or other notices. In the event the Company shall increase the DEALER PRICE for any COMPANY PRODUCT, the Dealer shall have the right to cancel, by notice to the Company within ten (10) days after receipt by the Dealer of notice of such increase, any orders for such product placed by the Dealer with the Company prior to receipt by the Dealer of notice of such increase and unfilled at the time of receipt by the Company of such notice of cancellation.
This language is shared by the Ford Truck Sales and Service Agreements for medium-duty trucks. The Heavy Duty Truck Sales and Service Agreement contains the following, additional language:
The Company shall make available to the Dealer price schedules for HEAVY DUTY TRUCKS for distribution to Authorized Ford Truck dealers in the DEALER'S LOCALITY, or the Company may directly distribute such price schedules to such dealers. Such price schedules shall not make reference to HEAVY DUTY TRUCK deposits, allowances, or other programs for which Authorized Ford Truck dealers are not eligible.
. We refer to the Dealers' Amended Complaint filed on July 13, 1999, which replicated the original complaint and merely added a demand for a trial by jury.
. The Robinson-Patman Act, currently codified at
. The aim of the Automobile Dealers' Day in Court Act, currently codified at
.On November 8, 1999, Ford moved the district court to dismiss in its entirety the Dealers' Second Amended Complaint. On January 19, 2000, the court granted the motion only with respect to the Dealers' Day in
. The Dealers obtained leave to file a Second Amended Complaint and did so on October 21, 1999. Ford moved to dismiss that complaint on November 8, 1999 for failure to state a claim for relief. See
. The Dealers' complaint, and the amended complaints that followed, contained a separate class certification section as required by N.D. Ga. R. 23.1(A)(2). The operative complaint at the time the Dealers filed the Class Certification Motion was the Second Amended Complaint, filed on October 21, 1999. Pursuant to N.D. Ga. R. 23.1(B), plaintiffs seeking class certification must, within 90 days of filing the complaint, move the court "as to whether the suit may be maintained by class action.” The district court waived the time restriction imposed by this rule in an order entered on September 21, 1999.
.
(a) Prerequisites to a Class Action. One or more members of a class may sue or be sued as representative parties on behalf of all only if (1) the class is so numerous that joinder of all members is impracticable, (2) there are questions of law or fact common to the class, (3) the claims or defenses of the representative parties are typical of the claims or defenses of the class, and (4) the representative parties will fairly and adequately protect the interests of the class.
. The district court also relied on
Metro Ford
to illustrate how the interests of dealers were not uniform. In that case, the Fifth Circuit determined that Metro Ford had been cheating the CPA program by applying for wholesale price reductions in the name of one customer while selling the trucks to another, thus receiving discounts to which it was not entitled.
See Metro Ford,
. The Dealers filed their motion pursuant to N.D. Ga. Rule 7.2(E). In the motion, the Dealers explicitly withdrew their request for certification of the Replacement Parts Class.
. It is important to note that the Dealers and Ford acknowledge they are non-diverse for purposes of federal subject matter jurisdiction under
. That court has stayed the appeal pending our decision.
.
[A]n action shall not be dismissed at the plaintiff's insistence save upon order of
the court and upon such terms and conditions as the court deems proper ....
Unless otherwise specified in the order, a dismissal under this paragraph is
without prejudice.
Fed.R.Civ.P. 41(a)(2) .
The Dealers could not obtain a dismissal of their law suit without a court order underRule 41(a)(1) by filing a notice of dismissal because Ford had already filed a motion for, and had obtained, summary judgment.
. The Anti-Injunction Act states:
A court of the United States may not grant an injunction to stay proceedings in a State court except as expressly authorized by Act of Congress, or where necessary in aid of its jurisdiction, or to protect or effectuate its judgments.
. Moreover, Ford accused Pild of venue-shopping. Ford informed the district court that three other Ford heavy-duty truck dealers, also represented by Pikl, filed a class action lawsuit in Pennsylvania state court four months after we denied the Bayshore Dealers permission to appeal the district court's denial of their Class Certification Motion.
See Hubler Corp. d/b/a/ Hubco Ford Truck Sales, Inc. v. Ford Motor Co.,
No.
.
(a) Intervention of Right. Upon timely application anyone shall be permitted to intervene in an action: (1) when a statute of the United States confers an unconditional right to intervene; or (2) when the applicant claims an interest relating to the property or transaction which is the subject of the action and the applicant is so situated that the disposition of the action may as a practical matter impair or impede the applicant’s ability to protect that interest, unless the applicant's interest is adequately represented by existing parties.
(b) Permissive Intervention. Upon timely application anyone may be permitted to intervene in an action: (1) when a statute of the United States confers a conditional right to intervene; or (2) when an applicant's claim or defense and the main action have a question of law or fact in common .... In exercising its discretion the court shall consider whether the intervention will unduly delay or prejudice the adjudication of the rights of the original parties.
. The district court’s order refers to the "nationwide class defined" by the court’s September 5, 2000 order; however, because that order denied class certification in the Bay-shore Action, the reference, presumably, is to the Bayshore Class described in the Dealers' motion for class certification.
. Although Ford sought an injunction solely "to protect or effectuate” the district court's judgment, the court specifically referenced both this and the "in aid of jurisdiction” exceptions to the Anti-Injunction Act.
.
The contents of voluminous writings, recordings, or photographs which cannot conveniently be examined in court may be presented in the form of a chart, summary, or calculation. The originals, or duplicates, shall be made available for examination or copying, or both, by other parties at reasonable time and place. The court may order that they be produced in court.
.
If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise, if (1) the testimony is based upon sufficient facts or data, (2) the testimony is the product of reliable principles and methods, and (3) the witness has applied the principles and methods reliably to the facts of the case.
.
See Phillips Petroleum Co. v. Shutts,
.
See, e.g., Bridgestone/Firestone,
. In
Bonner v. City of Prichard,
.Both Westgate (in the Ohio case) and the Dealers (in the district court) accuse Ford of refusing to publish all offered discounts and wholesale prices for Ford Medium/Heavy Trucks and to sell those trucks only at prices previously published to all Medium/Heavy Truck dealers. Additionally, both Westgate and the Dealers assert that Ford's refusal constitutes a breach of paragraph 10 of the Franchise Agreements, which they allege Ford has signed with all of its Medium/Heavy Truck dealers. Finally, both Westgate and the Dealers seek monetary damages to redress Ford's breaches, although Westgate claims to have calculated damages in a manner different from the method employed by the Dealers. Indeed, the claims and relief sought in the two actions are so similar that the Dealers want to dismiss their suit so they can join the Westgate Action as unnamed class members.
. Westgate's motion for leave to intervene pointed to no questions of law or fact at all; it merely repeated the language of
. Westgate filed a response to Ford’s application for injunctive relief on July 27, 2005, the same day that it filed its motion to intervene.
. It is for this reason that issues of collateral estoppel would have no bearing on any "interest” Westgate may have in the Bayshore Action. Under certain circumstances, which do not apply here, a nonparty seeking intervention may assert the potential collateral es-toppel effects of a judgment as an "interest” sufficient to warrant intervention under
. While it is true that a district court may place conditions on the terms of a permissive intervention, see 7C Wright, Miller & Kane, supra, § 1922, at 502, we do not believe that a court may impose conditions that effectively rewrite the rule as it effectively did in this instance.
. We find it worthwhile to point out that Westgate could have pursued other avenues to challenge Ford’s application for injunctive relief without submitting to the
in personam
jurisdiction of the district court, both before and after the injunction issued. For example, Westgate could have sought leave from the district court to file an
amicus curiae
brief. Unlike the Supreme Court Rules and the Federal Rules of Appellate Procedure, the Federal Rules of Civil Procedure do not specifically provide for the filing of
amicus curiae
briefs at the district court level. Nevertheless, district courts possess the inherent authority to appoint "friends of the court” to assist in their proceedings.
See Lathrop v. Unidentified, Wrecked & Abandoned Vessel,
As illustrated by
Zenith Radio Corp. v. Hazeltine Research, Inc.,
. It is well settled that an injunction directed at the parties and their counsel, but not at the state court itself, may still be subject to the Anti-Injunction Act.
See In re Diet Drugs,
. Several other circuits share this view.
See, e.g., In re Diet Drugs,
. Although our prior opinion in
Justice Oaks II
made the categorical assertion that ''[a] court’s order or judgment can never have any preclusive effect on future litigation unless that order or judgment constitutes a final decision on the merits,”
Justice Oaks II,
.
. This case is readily distinguishable from
Bridgestone/Firestone, Inc.,
.We do not decide today whether an order denying class certification, as such, lacks finality for collateral estoppel purposes in every case. We have previously observed, however, that "[t]he refusal to allow a suit to be maintained as a class action does not normally constitute a final judgment.”
Siebert v. Great N. Dev. Co.,
. In
Klay v. United Healthgroup, Inc.,
. We need not consider whether the courts of Ohio would give preclusive effect to the district court’s order denying class certification.
See First Ala. Bank,
. In coming to its decision, the court found that:
“Mr. Kinder has no college degree, is not a certified public accountant, accountant, or economist. He is not versed in general accepted accounting principles, nor is he trained in statistics or statistical analysis. He has no training in heavy truck retailing or pricing, and he never spoke with any persons connected to the plaintiffs except their attorneys. In preparing his damages model, Mr. Kinder did not consult any treatise, nor did he consult with any expert in the indushy about pricing procedures. Additionally, Mr. Kinder never referred to the franchise agreement which forms the basis for the plaintiffs' claim for damages. Indeed, Mr. Kinder himself, when asked about his expert status, stated that he was an expert in the '[h]andling of voluminous data with computer databases’ and with '[a]nything to do with computers.’ "
In addition, the court found that Kinder’s damages model was based principally on the Dealers’ previously dismissed Robinson-Pat-man Act claims, not the remaining breach of contract claims, and ignored differences in truck configurations, such as engine horsepower rating and tire type, that could have accounted for the different prices Ford charged the Dealers for its trucks.
. Section. 1292(a) also allows immediate appeal of orders "appointing receivers, or refusing orders to wind up receiverships or to take steps to accomplish the purposes thereof," and orders "determining the rights and liabilities of the parties to admiralty cases in which appeals from final decrees are allowed." See 10 Wright, Miller & Kane, supra, § 2658.1, at 83.