JOSEPH S. ELDER v. MATTHEW KAUFFMAN ET AL.
(AC 43513)
Bright, C. J., and Alvord and Bellis, Js.
Argued January 13-officially released May 25, 2021
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Syllabus
The plaintiff attorney sought damages from the defendant reporter, K, and the defendant publisher, C Co., for, inter alia, defamation in connection with articles written by K and published by C Co. The articles related to certain a disciplinary proceeding brought against the plaintiff in the Superior Court that resulted in his suspension from the practice of law for one year. Our Supreme Court reversed the order of the Superior Court on the ground that the proceeding was untimely commenced. The plaintiff alleged in this action that articles published by thе defendants in 2015 after his suspension, and an article published in 2017 after our Supreme Court reversed that decision, were defamatory because they stated that he had “impersonated” another attorney. The trial court granted the defendants’ special motion to dismiss the complaint filed pursuant to statute (
- The plaintiff‘s claim that the trial court erred in dismissing his complaint on the ground that it was barred by the doctrine of res judicata, which was based on his claim that res judicata does not apply to a special motion to dismiss, was unavailing: the application of the doctrine of res judicata to the present case necessarily would meet or exceed the proof requirements of
§ 52-196a (e) (3) because it would establish, as a matter of law, that the plaintiff could not establish that there was probable cause that he would prevail on the merits of the complaint; moreover, if the plaintiff unsuccessfully litigated in his prior actions an issue necessary to his success in this action, he would be precluded from relitigating that issue and, therefore, could not establish probable cause that he would prevail in this action; consequently, collateral estoppel was an appropriate defense to consider in the context of a§ 52-196a motion to dismiss. - The doctrine of collateral estoppel barred the plaintiff‘s claims: although this court generally agreed with the plaintiff that res judicata did not apply to the allegations of his complaint concerning the artiсle published in 2017, because those allegations related to an article published two years after the articles at issue in previous litigation, collateral estoppel barred his claims because the issues presented in the complaint were substantially identical to issues previously litigated before the federal and state courts that decided his claims; in his complaint, the plaintiff alleged that the 2017 publication used the word “impersonation” to describe his conduct and that the use of this word evidenced malice, and, in his prior complaints in both federal and state courts, he had also alleged that the use of the word impersonation in the 2015 publications was defamatory, and both of those courts rejected that claim, holding that such a description of the plaintiff‘s conduct was fair and accurate.
- The plaintiff could not prevail on his claim that
§ 52-196a was unconstitutional as applied in this case because its application infringed on his state constitutional rights to redress and a trial by jury; this court, having recently addressed substantially the same claim in Elder v. 21st Century Media Newspaper, LLC (204 Conn. App. 414), adopted the reasoning contained therein.
Procedural History
Action to recover damages for, inter alia, defamation, and for other relief, brought to the Superior Court in the judicial district of Hartford, where the court, Moukawsher, J., granted the defendants’ special motion to dismiss and rendered judgment thereon, from which the plaintiff appealed to this court.
Joseph S. Elder, self-represented, the appellant (plaintiff).
William S. Fish, Jr., with whom was Alexa T. Millinger, for the appellees (defendants).
Opinion
BRIGHT, C. J. The plaintiff, Joseph S. Elder, appeals from the judgment of the trial court dismissing, on the grounds of res judicata and collateral estoppel, his complaint alleging defamation and invasion of privacy brought against the defendants, Matthew Kauffman and The Hartford Courant Company, LLC (Courant). On appeal, the plaintiff claims that the court improperly granted the defendants’ special motion to dismiss because (1) res judicata is not applicable to the anti-SLAPP1 statute,
The following facts and procedural history are relevant to our resolution of the plaintiff‘s appeal. The plaintiff, who is an attorney licensed to practice law in Connecticut, brought this action against the Courant and Kauffman, who is a reporter at the Courant. In his two count complaint, the plaintiff alleged against both defendants claims of defamation and “false light” invasion of privacy. The allegations in the complaint stem from the defendants’ publication of articles related to disciplinary proceedings that had been brought in the Superior Court against the plaintiff on the basis of his giving a false name to the police (presentment). The presentment resulted in the Superior Court suspending the plaintiff from the practice of law for one year. The plaintiff, thereafter, appealed from the order of suspension, and our
In response to the plaintiff‘s complaint, the defendants, pursuant to
I
The plaintiff claims that the trial court erred in dismissing his complaint on the ground that it was barred by the doctrine of res judicata. He argues that res judicata is not applicable to a special motion to dismiss filed pursuant to
“Statutory construction . . . presents a question of law over which our review is plenary.” (Internal quotation marks omitted.) Larmel v. Metro North Commuter Railroad Co., 200 Conn. App. 660, 670, 240 A.3d 1056, cert. granted, 335 Conn. 972, 240 A.3d 676 (2020). “Where a party files a complaint . . . against an opposing party that is based upon the opposing party‘s exercise of its right of free speech, right to petition the government, or right of association under the federal or state constitution in connection with a matter of public concern, the opposing party may file a special motion to dismiss. A special motion to dismiss is to be filed no later than thirty days after thе return date of the complaint or the filing of such counterclaim or [cross claim].” T. Merritt, 16A Connecticut Practice Series: Elements of an Action (2020) § 14:13, pp. 226-27; see also Practice Book § 10-30.
We agree with the plaintiff that res judicata properly is raised by means of a special defense and that it generally is not raised by a motion to dismiss. See Larmel v. Metro North Commuter Railroad Co., supra, 200 Conn. App. 670 n.9 (“[t]he proper procedure by which to assert that a claim is barred by the doctrine of res judicata is to plead it as a special defense“). A special motion to dismiss filed pursuant to
Pursuant to
Whether res judicata properly may be raised as a ground for a
Although
The same analysis applies to the doctrine of collateral estoppel, or issue preclusion, on which the court also relied in granting the defendants’ special motion to dismiss. “[C]ollateral estoppel precludes a party from relitigating issues and facts actually and necessarily determined in an earlier proceeding between the same parties or those in privity with them upon a different claim. . . . An issue is actually litigated if it is properly raised in the pleadings or otherwise, submitted for determination, and in fact determined. . . . An issue is necessarily determined if, in the absence of a determination of the issue, the judgment could not have been validly rendered. . . . To assert successfully the doctrine of issue preclusion, therefore, a party must establish that the issue sought to be foreclosed actually was litigated and determined in the prior action between the parties or their privies, and that the determination was essential to the decision in the prior case.” (Internal quotation marks omitted.) Doyle v. Universal Underwriters Ins. Co., 179 Conn. App. 9, 14, 178 A.3d 445 (2017). If the plaintiff unsuccessfully litigated in the prior actions an issue necessary to his success in this action, he is precluded from relitigating that issue and, therefore, cannot establish probable cause that he will prevail in this action. Consequently, collateral estoppel is an appropriate defense to consider in the context of a special motion to dismiss filed pursuant to
II
The plaintiff next claims that, even if we determine that res judicata could be applicable to
The following background information, as recently set forth in Elder v. 21st Century Media Newspaper, LLC, supra, 204 Conn. App. 414, is relevant to our analysis. “On August 1, 2015, the Hartford Courant published an article titled, ‘Attorney Suspended for a Year.’ . . . That article was written by . . . Kauffman, and it summarized the suspension decision. The opening paragraph read, ‘Joseph Elder, a Hartford attorney who impersonated a fellow lawyer 11 years ago, spawning a long-running feud between the pair, will be barred from practicing law for a year, a Superior Court judge has ruled.’ . . .”
“On May 2, 2017, nearly two years after the publication of the 2015 articles, our Supreme Court reversed the suspension decision on statutе of limitations grounds. See Disciplinary Counsel v. Elder, [supra, 325 Conn. 393]. Kauffman wrote an additional article detailing the Supreme Court‘s decision. . . . In August, 2017, the plaintiff commenced [an] action by way of a nineteen count complaint dated July 27, 2017, against ten defendants claiming that they defamed him by publishing the 2015 articles. Specifically, the plaintiff argued that the 2015 articles’ use of the word ‘impersonating’ to describe his actions was ‘false, misleading and defamatory,’ and that the 2015 articles failed to ‘mention that the caller intentionally lied about his identity and that he was posing as a drug dealing criminal defendant, never identifying himself as an investigating police officer,’ which, the plaintiff argued, ‘painted an incomplete and misleading account of the incident . . . .’ The plaintiff claimed that he ‘sustained damages, and continues to sustain damages, on account
In the present case, the plaintiff again alleged defamation and invasion of privacy in the defendants’ reporting of the same incident, but he added allegations regarding the 2017 publication, an article written by Kauffman and published by the Courant concerning the May 2, 2017 Supreme Court decision that he had omitted from his previous cases. See id., 418 n.3 (noting that plaintiff did not allege that Kauffman‘s article regarding May 2, 2017 decision was defаmatory).
The trial court in the present case reviewed the allegations in the plaintiff‘s complaint and compared them with the federal and state cases in which the plaintiff previously had alleged defamation and invasion of privacy on the basis of the 2015 publications, which discussed the disciplinary proceedings that had been brought against him. See Elder v. Tronc, Inc., supra, United States District Court, Docket No. 3:17-CV-01285 (WWE); Elder v. 21st Century Media Newspaper, LLC, supra, Superior Court, Docket No. CV-17-6081368-S. The court recognized that the present complaint also contained an allegation that the defendants, in the 2017 publication, again, used the word “impersonat[ed]” to describe the conduct of the plaintiff in identifying himself to the рolice as someone else, namely, Attorney Wesley Spears, in addition to setting forth allegations concerning the 2015 publications that had been the subject of the previous federal and state cases.
The court discussed the fact that both the federal and the state cases were commenced after the 2017 publication, but noted that the plaintiff had failed to include allegations concerning that publication in his previous complaints and that both decisions, although not citing directly to
The plaintiff now alleges that the court improperly dismissed his complaint on res judicata grounds because the “current action arises out of a newspaper article published [on] April 26, 2017, in the [Courant] . . . concerning a decision of the
“Under the doctrine of res judicata, a final judgment, when rendered on the merits, is an absolute bar to a subsequent action, between the parties or those in privity with them, upon the same claim.” (Internal quotation marks omitted.) Smigelski v. Kosiorek, 138 Conn. App. 728, 735, 54 A.3d 584 (2012), cert. denied, 308 Conn. 901, 60 A.3d 287 (2013). “Generally, for res judicata to apply, four elements must be met: (1) the judgment must have been rendered on the merits by a court of competent jurisdiction; (2) the parties to the prior and subsequent actions must be the same or in privity; (3) there must have been an adequate opportunity to litigate the matter fully; and (4) the same underlying claim must be at issue. . . . Before collateral estoppel applies . . . there must be an identity of issues between the prior and subsequent proceedings. To invoke collateral estoppel the issues sought to be litigated in the new proceeding must be identical to those considered in the prior proceeding.” (Citation omitted; internal quotation marks omitted.) Rockwell v. Rockwell, 196 Conn. App. 763, 769, 230 A.3d 889 (2020). “[T]he applicаbility of res judicata or collateral estoppel presents a question of law over which we employ plenary review.” (Internal quotation marks omitted.) Id.
We generally agree with the plaintiff that res judicata does not apply to the allegations concerning the 2017 publication, authored by Kauffman, because those allegations do not involve the same underlying
In his complaint, the plaintiff alleged that the 2017 publication again used the word “impersonation” to describe his conduct in identifying himself as someone else. He also alleged that the use of this word evidenced malice. In his previous complaints in both federal and in state court, the plaintiff had alleged that the use of the word impersonation in the 2015 publications was defamatory and an invasion of privacy. Both the federal District Court and this court rejected that claim and held that such a description of the plaintiff‘s cоnduct was “fair and accurate.” See Elder v. Tronc, Inc., supra, United States District Court, Docket No. 3:17-CV-01285 (WWE) (holding, in part, that “[t]he subject articles, which describe Elder as having impersonated another lawyer, were substantially fair and accurate reports of the Superior Court decision, and the headlines were fair representations of the articles“); Elder v. 21st Century Media Newspaper, LLC, supra, 204 Conn. App. 427 (articles’ representations that plaintiff “‘impersonat[ed]‘” another lawyer were substantially accurate).
In Elder v. 21st Century Media Newspaper, LLC, supra, 204 Conn. App. 427-28, this court also discussed the plaintiff‘s allegation of malice set forth in the complaint in that case. This court held that, because “the 2015 articles were fair and accurate abridgements of the suspension decision, the plaintiff‘s claim of malice fails as a matter of law.” Id., 428.
Because the issues presented in the current complaint substantially are identical to the issues previously litigated and decided by both the federal and the state courts; see Rockwell v. Rockwell, supra, 196 Conn. App. 769 (“issues sought to be litigated in the new proceeding must be identical to those considered [and decided] in the prior proceeding” (internal quotation marks omitted)); we conclude that the plaintiff‘s complaint is barred by the doctrine of collateral estoppel.
III
The plaintiff‘s final claim is that
The judgment is affirmed.
In this opinion the other judges concurred.
Notes
“(c) Any party filing a special motion to dismiss shall file such motion not later than thirty days after the date of return of the complaint, or the filing of a counterclaim or cross claim described in subsection (b) of this section. The court, upon a showing of good cause by a party seeking to file a special motion to dismiss, may extend the time to file a special motion to dismiss.
“(d) The court shall stay all discovery upon the filing of a special motion to dismiss. The stay of discovery shall remain in effect until the court grants or denies the special motion to dismiss and any interlocutory appeal thereof. Notwithstanding the entry of an order to stay discovery, the court, upon motion of a party and a showing of good cause, or upon its own motion, may order specified and limited discovery relevant to the special motion to dismiss.
“(e) (1) The court shall conduct an expedited hearing on a special motion to dismiss.
“(2) When ruling on a special motion to dismiss, the court shall consider pleadings and supporting and opposing affidavits of the parties attesting to the facts upon which liability or a defense, as the case may be, is based.
“(3) The court shall grant a special motion to dismiss if the moving party makes an initial showing, by a preponderance of the evidence, that the opposing party‘s complaint, counterсlaim or cross claim is based on the moving party‘s exercise of its right of free speech, right to petition the government, or right of association under the Constitution of the United States or the Constitution of the state in connection with a matter of public concern, unless the party that brought the complaint, counterclaim or cross claim sets forth with particularity the circumstances giving rise to the complaint, counterclaim or cross claim and demonstrates to the court that there is probable cause, considering all valid defenses, that the party will prevail on the merits of the complaint, counterclaim or cross claim.
“(4) The court shall rule on a special motion to dismiss as soon as practicable.
“(f) (1) If the court grants a special motion to dismiss under this section, the court shall award the moving party costs and reasonable attorney‘s fees, including such costs and fees incurred in connection with the filing of the special motion to dismiss.
“(2) If the court denies a special motion to dismiss under this section and finds that such special motion to dismiss is frivolous and solely intended to cause unnecessary delay, the court shall award costs and reasonable attorney‘s fees to the party opposing such special motiоn to dismiss.
“(g) The findings or determinations made pursuant to subsections (e) and (f) of this section shall not be admitted into evidence at any later stage of the proceeding or in any subsequent action. . . .”
