An intransigent husband seeks to avoid his support and property settlement obligations totaling in excess of $1 million. The argument is made that New York must give full faith and credit to a California judgment dismissing with prejudice his former wife’s suit for accrued support, and must give no effect to a subsequent English judgment holding that the California judgment was not res judicata and that the husband was liable for both support and property payments. Finding no equities on behalf of the husband in his “flight from judgment,” the United States District Court for the Southern District of New York, Abraham D. Sofaer,
Judge,
sitting in diversity, granted summary judgment to the wife for enforcement of the English judgment.
1
In a carefully reasoned opinion,
BACKGROUND
The parties entered into a separation agreement on March 5, 1971, which was incorporated, but not merged, into a judgment of divorce rendered by the New York Supreme Court in Nassau County on June 18, 1971. ■ The settlement agreement provided that the husband would pay the wife, inter alia, for support and education of their children (Paragraph 4); for medical and dental expenses (Paragraph 5); for homeowner’s insurance (Paragraph 6); for new automobiles and repairs and liability insurance thereon (Paragraph 7); $950,000 in settlement of estate and property rights, in installments of $45,000 per year through 1975, $75,000 per year in 1976 and 1977, $175,000 in 1978 and 1979, and $225,000 in 1980 (Paragraph 9); $3,750 per month for maintenance irrespective of remarriage (Paragraph 10); and attorneys’ fees and expenses in actions to compel payment (Paragraph 18).
As the opinion below fully sets forth,
Upon learning that the husband had defaulted on $36,000 due under a $50,000 *900 mortgage on the California property and that he did not intend to appear in the California action, the wife decided to sue instead in England, where the husband had moved in 1974. In October 1976 and again in November and January the wife, acting through her father, told her California counsel to discontinue the California action. Counsel failed, however, to file a dismissal form with the clerk of the court, even though at this time, prior to the husband’s filing of a cross-complaint, the wife could have obtained a dismissal without prejudice. See Cal.Civ.Proc.Code § 581. 2
The wife filed suit against the husband in England in December 1976, serving him with process in London. She now sought the amount due on the property settlement in Paragraph 9, as well as the support due. The husband, however, at last appeared in the California action through counsel on January 11,1977, filing an answer generally denying liability and a cross-complaint requesting that the wife be enjoined from pursuing the English action or her second New York action.
The husband’s counsel refused to consent to termination of the California action without prejudice as the wife’s counsel had suggested. The wife’s counsel, without advising the wife, filed a dismissal form with boxes checked for dismissal of the “entire action,” “with prejudice.” The court clerk did not indicate on the form the disposition of the request — though the place to do so was filled in, whited out, then crossed out— but at the bottom of the page wrote in the number “1” and the word “over.” Meanwhile the husband’s counsel had filed a dismissal form requesting dismissal of the “cross-complaint only,” “without prejudice.” The clerk numbered this form “2” and marked it “dismissal entered as requested on February 14, 1977.” The district court surmised that “[t]he clerk may have meant to combine the two requests for dismissal and to dismiss the entire action without prejudice,”
The husband sought to dismiss the wife’s second New York action with prejudice and to dismiss or stay the English action on the ground that the California dismissal was res judicata. The New York Supreme Court instead granted the wife’s motion to dismiss without prejudice. The Appellate Division affirmed, declining to decide whether the
*901
California judgment was res judicata.
Ackerman v. Ackerman,
The English action, which the husband continued to defend even though he had moved back to the United States, was tried between June 23 and July 1, 1980. The husband’s defense was that the California dismissal barred the wife’s recovery in the English action. Justice Boreham of the High Court of Justice examined relevant California law, on which he heard testimony from the parties’ experts. He found that he was “very far from being satisfied” that California would find the dismissal a final adjudication, and that in any event California might well apply an equitable exception to the law of res judicata. Even if the California judgment were a final judgment, Justice Boreham found, res judicata would not apply to the property settlement in Paragraph 9 because that paragraph was not relevant to the causes of action sued upon in California. He awarded the wife $1,097,250, of which $1,012,550 represented damages on the property settlement, plus costs. The husband’s appeal of this judgment was dismissed for failure to post the required bond for costs.
The wife commenced this action in the New York State Supreme Court, New York County, on December 15, 1980. The husband removed to federal district court on the ground of diversity of citizenship. The parties cross-moved for summary judgment. Judge Sofaer denied the husband’s motion. He found that the wife had raised three issues of fact with regard to the validity of the California judgment, which the husband argued was res judicata: first that her California attorney’s dismissal of her suit with prejudice was unauthorized, second that the California court clerk’s disposition of her and her husband’s dismissal requests was not in strict compliance with statute, and third that California would likely apply the doctrine of equitable relief from res judicata in her case.
Judge Sofaer then concluded that “New York Courts would probably not accord full faith and credit to the California dismissal,” id. at 623, on the ground that New York would not regard as a “judicial proceeding” a dismissal with prejudice entered by a clerk, arguably improperly 3 and upon the unauthorized action of an attorney, without any ruling by a judge. 4
*902
Judge Sofaer went on to grant partial summary judgment to the wife on the basis of her English judgment, holding that “[ejven if the California dismissal were res judicata under California law and entitled to full faith and credit under New York law, it would be superseded by the English judgment,”
Judge Sofaer held that the English judgment would take priority over the California judgment under the last-in-time rule of
Treinies v. Sunshine Mining Co.,
Acknowledging that some scholars have criticized the application of the last-in-time rule to judgments by foreign forums, 5 Judge Sofaer examined the English court’s *903 impartiality and reasoning about the res judicata effect of the California dismissal, and found neither wanting in any respect. Id.
DISCUSSION
Learned professional assistance was enlisted in this attempt at a legal tour de force to remake the husband, the author of a book entitled Money, Ego, Power, into a legal Harry Houdini, escaping all of his many unpaid obligations through the California clerk’s dismissal. As the English court observed, however, giving res judicata effect to the California dismissal “would mean that the Plaintiff would never have had her opportunity to litigate and that all her remedies under an apparently handsome agreement would be barred everywhere and for ever.” If the law is such that the husband in this situation is to prevail, then as Mr. Bumble said in Oliver Twist, it is “a ass, a idiot.” We must examine it with great care nevertheless.
On appeal the husband argues that until superseded by another judgment entitled to full faith and credit, the California judgment retains the effect it would have in California. The English judgment, he contends, not being that of a sister state, is not constitutionally entitled to full faith and credit, nor to superseding effect under the last-in-time rule. The California dismissal with prejudice, the husband continues, was valid under California law, 6 and would have res judicata effect in California. It would thus preclude the wife’s recovery on the claims she made for support, as well as her unalleged but assertedly nonseverable claims under the property settlement. In light of this preclusive California judgment, he concludes, the wife cannot enforce the English judgment.
It is clear, however, that if the California dismissal would not be given preclusive effect in California, it need not be given such effect in New York. The Constitution and federal law
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entitle a judgment to no more faith or credit in the enforcing state than it would receive in the judgment state.
See, e.g., Thomas v. Washington Gas Light Co.,
Having reviewed this issue independently, we have reached the same conclusion as the English court and the court below: this case is one of the “rare instanc
*904
es” in which the California courts would give equitable relief from the doctrine of res judicata under
Greenfield v. Mather,
In
Greenfield
10
the California Supreme Court wrote that in rare cases the doctrine of res judicata “will not be applied so rigidly as to defeat the ends of justice or important considerations of policy.”
We consider the Greenfield doctrine of doubtful validity and it has been severely criticized. (See 4 Witkin, [Cal.Proc. (2d ed. 1971)], Judgment, § 150, p. 3295, et seq.) While we find it is unnecessary for our present purposes to reach the question of whether Greenfield itself should be directly overruled, we expressly hold that the rule of that case is inapplicable where, as here, the only possible basis for its implementation is founded on a change in law following the original judgment.
Slater v. Blackwood,
Rather, California intermediate appellate courts have followed
Greenfield,
granting equitable relief from res judicata in marital or family actions. In
Jackson v. Jackson,
*905
In
Hight v. Hight,
Mrs. Ackerman surely had no more meaningful an opportunity to litigate in California than did Mrs. Hight. Mrs. Ackerman’s California action involved only quasi-in-rem jurisdiction based on property worth much less than she thought when she filed her complaint. She sued only for past due support obligations, not for the much larger amount owed under the property settlement. The husband’s attorneys advised her attorneys that the husband did not intend to appear in or defend the action or to file a responsive pleading. By the time she acquired personal jurisdiction over the husband in England, where he had moved of his own volition, he had still not answered the wife’s California complaint, and the statutory time for answering, Cal.Civ.Proe. Code § 412.20(a)(3), had expired. In these circumstances she had no incentive to litigate. Nonetheless she was deprived, by the neglect of her California counsel over several months to follow her instructions, of the opportunity to discontinue this dormant action without prejudice. Finally, the clerk’s disposition of the requests for dismissal was on its face ambiguous. These circumstances seem to us sufficiently exceptional to warrant application of the
Greenfield
doctrine. We note that it would be especially unjust to preclude her claim under the property settlement,
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on which there were no pleadings or evidence in the California action, see
Greenfield,
California would not give res judicata effect to the dismissal here. Therefore New York, in giving the dismissal full faith and credit, need not give it preclusive effect. Thus no antecedent judgment stands in the way of enforcing the English judgment, to which Judge Sofaer’s decision below gave full effect.
*906 Judgment affirmed for the reasons stated in this opinion.
Notes
. Plaintiff sues also for legal fees in this and the English action and for damages incurred since the December 1976 filing of the English action. The district court directed entry of final judgment under Fed.R.Civ.P. 54(b), certifying that there was no just reason for delay, only on count one of plaintiff’s complaint, the claim for enforcement of the English judgment.
. Section 581 provides that a plaintiff may no longer unilaterally dismiss an action without prejudice once a defendant seeks affirmative relief by cross-complaint:
An action may be dismissed in the following cases:
1. By plaintiff, by written request to the clerk, filed with the papers in the case, or by oral or written request to the judge where there is no clerk, at any time before the actual commencement of trial, upon payment of the costs of the clerk or judge; provided, that affirmative relief has not been sought by the cross-complaint of the defendant, and provided further that there is no motion pending for an order transferring the action to another court under the provisions of Section 396b. If a provisional remedy has been allowed, the undertaking shall upon such dismissal be delivered by the clerk or judge to the defendant who may have his action thereon. A trial shall be deemed to be actually commenced at the beginning of the opening statement of the plaintiff or his counsel, and if there shall be no opening statement, then at the time of the administering of the oath or affirmation to the first witness, or the introduction of any evidence.
5. The provisions of subdivision 1, of this section shall not prohibit a party from dismissing with prejudice, either by written request to the clerk or oral or written request to the judge, as the case may be, any cause of action at any time before decision rendered by the court. Provided, however, that no such dismissal with prejudice shall have the effect of dismissing a cross-complaint filed in said action. Dismissals without prejudice may be had in either of the manners provided for in subdivision 1 of this section, after actual commencement of the trial, either by consent of all of the parties to the trial or by order of court on showing of just cause therefor.
. The wife argued below and in the English action, as she argues on appeal, that the clerk did not comply strictly with his statutory authority under Cal.Civ.Proc.Code § 581, and therefore that the California judgment was void,
see Riley v. Superior Court,
. The district court noted that New York courts have refused to accord full faith and credit to foreign judgments they characterize as other than judicial proceedings within the meaning of the Full Faith and Credit Clause, citing
American Fidelity Fire Insurance Co. v. Paste-Ups Unlimited, Inc.,
At a minimum, New York requires a formal decision rendered in a controversy where the parties have been given notice of the proceedings with an opportunity to be heard; the exercise of discretion or judgment; and something more than merely “the act of the law, invoked by the parties, in executing [their] agreement.” Id. at 230,303 N.Y.S.2d at 391 ,250 N.E.2d at 481 .
In short, New York has adopted as the definition of “judgment” “the determination ... pronounced by a competent judge or court, as the result of an action or proceeding instituted in such court, affirming that, upon the matters submitted for its decision, a legal liability does or does not exist.” Id.
American Fidelity,
*902
Notwithstanding that this is true under New York law, it is not clear to us that New York is free to characterize the dismissal in this case as not a judicial proceeding, given that California law treats a dismissal with prejudice as a final judgment,
see Fisher v. Eckert,
In light of our holding below, however, we need not reach the question whether the district court was correct in concluding that New York courts would not regard the dismissal in this case as a judicial proceeding to which the Full Faith and Credit Clause applies.
. The last-in-time rule is generally followed in the United States,
see, e.g., Porter v. Wilson,
Judge Sofaer, while stating that the views of Professors Ginsburg and Smit are not law in New York, found that their logic warranted consideration “of whether the English court showed sufficient respect for the California dismissal” and of whether the English court was “an impartial tribunal.”
. The husband also argues at length that because the wife somehow took advantage of the dismissal document, by using it in the English action to show that there was no California action pending, she is estopped from challenging its validity. We reject this argument, agreeing with Judge Sofaer that the wife did not in fact benefit from the dismissal document in the English action.
. The Full Faith and Credit Clause, U.S.Const. art. IV, § 1, provides that “Full Faith and Credit shall be given in each State to the public Acts, Records, and Judicial Proceedings of every other State.” 28 U.S.C. § 1738 provides that the “Acts, records and judicial proceedings ... [of any State] shall have the same full faith and credit in every court within the United States ... as they have by law or usage in the courts of [the] State . .. from which they are taken.”
. We accordingly do not reach the other two grounds on which the wife urges that the California dismissal has no preclusive effect, i.e., that it was void as the product of unauthorized acts by her attorney and by the Los Angeles court clerk.
. While it is true that Judge Sofaer’s statements about the applicability of the Greenfield doctrine occurred in the context of denying the husband’s motion for summary judgment, we do not read his opinion to preclude granting the wife’s summary judgment motion on the basis that the California dismissal would not be res judicata under California law. There are no material facts in dispute other than the “fact” of what the result would be under California law, which we have examined carefully.
. The
Greenfield
case involved a husband who sought to interpose a prior judgment to bar his former wife’s acquisition of part of her interest in a property settlement. The court noted that the prior judgment had erroneously awarded the wife only half of a fund held by another court, even though a still earlier judgment had awarded her the whole amount of that fund. The court attributed this mistake to the prior court’s failure to take any evidence on the true issues involved. The court noted too that the prior judgment gave a windfall to the husband, and that declining to recognize the prior judgment would not injure any innocent third parties. These equities, the court held, favored nonrecognition of the prior judgment.
. Although the husband argues that the equities are not in the wife’s favor because she remains free to recover on the original divorce judgment, such a recovery would not include the property settlement. The divorce decree in this case directs the husband to pay spousal support and maintenance and child support, maintenance, and education as required by the separation agreement. It makes no reference to the property settlement. Thus while the divorce court retains jurisdiction to enforce or to modify the support provisions, see
McMains v. McMains,
In light of our holding that California would not treat the dismissal here as res judicata of any of the wife’s claims, we need not reach the husband’s argument that the dismissal was res judicata of even unalleged claims under the property settlement, which he contends were not severable from the support claims actually alleged under the same contract.
