28 Conn. App. 653 | Conn. App. Ct. | 1992
The plaintiffs, Paul Legassey and Roger Morgan, bring this appeal challenging the dismissal of
The record and briefs reveal the following relevant facts and procedural history of this case. General Statutes § 36-495 (a) grants the banking commissioner the authority to conduct investigations into possible violations of the Connecticut Uniform Securities Act
Acting on a complaint, the commissioner began an investigation into the sale of units in four limited partnerships to determine whether there had been, or would be, any violations of CUSA. The investigative trail led to the plaintiffs’ bank accounts, to a financial entity known as Omni Group, Inc., and to Paul J. Legassey client’s fund accounts. On April 24,1990, the commissioner ordered that four subpoenas duces tecum be served on four different banks, requiring the banks to produce certain financial records of the plaintiffs. On May 16, 1990, the plaintiffs’ separately filed applications to quash the subpoenas. The plaintiffs challenged the subpoenas in accordance with General Statutes § 36-9Í, which gives bank customers the right to file an application to quash a subpoena served on the customer’s bank.
On July 19,1991, each plaintiff filed a second application to quash the subpoenas. The trial court dismissed the second applications to quash as untimely in November, 1991. The plaintiffs appeal from the trial court’s dismissal of the second applications, contending that they were indeed timely.
Res judicata is a doctrine grounded in public policy. Its primary function is to prevent the relitigation of issues already decided in a court of competent jurisdiction. Dunham v. Dunham, 221 Conn. 384, 391, 604 A.2d 347 (1992); In re Juvenile Appeal (83-DE), 190 Conn. 310, 318, 460 A.2d 1277 (1983); Corey v. Avco Lycoming Division, 163 Conn. 309, 316-17, 307 A.2d 155 (1972), cert. denied, 409 U.S. 1116, 93 S. Ct. 903, 34 L. Ed. 2d 699 (1973); Brady v. Anderson, 110 Conn. 432, 435, 148 A. 365 (1930). The doctrine of res judicata provides that a former judgment serves as an absolute bar to a subsequent action involving any claims relating to such cause of action that were actually made or that might have been made. Gagne v. Norton, 189 Conn. 29, 32, 453 A.2d 1162 (1983).
Connecticut’s res judicata rules are derived from the theory of merger and the transactional test set out in the Restatement (Second) of Judgments. Dunham v. Dunham, supra, 392-93 n.10; Vakalis v. Kagan, 18 Conn. App. 363, 557 A.2d 1285 (1989). Merger, or the extinguishing of the plaintiffs’ original claims through the rendering of final judgment, has its roots in early case law. Fisher, Brown & Co. v. Fielding, 67 Conn. 91, 118-19, 34 A. 714 (1895) (Hammersley, J., dissenting). “When the plaintiff recovers a valid and final personal judgment, his original claim is extinguished and rights upon the judgment are substituted for it. The plaintiff’s original claim is said to be ‘merged’ in the judgment.” 1 Restatement (Second), Judgments § 18.
The present case presents a clear example of the type of relitigation that the doctrine of res judicata is designed to prevent. In May, 1990, the plaintiffs brought their first applications to quash the subpoenas on the following six grounds:
“A. The attempted service of the subpoenas did not comply with the requirements of the statutes and other legal authority governing said service.
“B. The respondent attempted to induce the . . . banks to provide financial records in violation of the governing statutory provisions.
“C. The respondent attempted service of said subpoenas while concurrently proceeding with his appeal of a prior pending action involving the same facts and circumstances.
“D. Compliance with said subpoenas would violate the applicant’s right of privacy and his rights under the 4th, 5th, and 14th amendments of the United States Constitution, as well as provisions of the Connecticut Constitution.
“E. The attempted service of said subpoenas is intended to harass the applicant.
“F. The disclosure sought is overbroad, unnecessarily burdensome, irrelevant, immaterial and not calculated to lead to the discovery of relevant or material information.”
The plaintiffs are attempting not only to relitigate an issue previously presented to the trial court, but one that has been ruled upon by the Supreme Court. The remaining issues are barred from relitigation by the doctrine of merger.
Application of the doctrine of res judicata requires that there be a previous judgment on the merits. Virgo v. Lyons, 209 Conn. 497, 501, 551 A.2d 1243 (1988). “Judgments based on the following reasons are not rendered on the merits: want of jurisdiction; pre-maturity; failure to prosecute; unavailable or inappropriate relief or remedy; lack of standing.” 2 E. Stephenson, Connecticut Civil Procedure (2d Ed.) § 354d. We conclude that the trial court’s judgment in the first action and the decision of the Supreme Court constitute a judgment on the merits, and, therefore, the plaintiffs’ second application is barred by the doctrine of res judicata.
The plaintiffs’ claim that their second applications to quash are permitted because of accidental failure of suit is without merit. The plaintiffs rely upon General Statutes § 52-592 (a), which provides: “If any action, commenced within the time limited by law, has failed one or more times to be tried on its merits because of insufficient service or return of the writ due to unavoid
In light of our holding that the plaintiffs’ present action was barred by res judicata, we need not reach the merits of the plaintiffs’ claim that the second applications were timely filed under § 52-592 or any other theory. The trial court shall, without further delay, set a date for the production of the requested documents.
The judgment dismissing the applications to quash is affirmed.
In this opinion the other judges concurred.
General Statutes § 36-9J (b) provides: “A customer of a financial institution shall have standing to challenge a subpoena of his financial records, by filing an application or motion to quash in a court of competent jurisdiction within the ten-day notice period required by subsection (a) of this section. Upon the filing of such application or motion by the customer, and service of such application or motion upon the financial institution and the person issuing the subpoena, production of the records shall be stayed, without liability to the financial institution, until the court holds a hearing on the motion or application and an order is entered sustaining, modifying or quashing the subpoena.’’
“ ‘Our rules of res judicata are based on the public policy that a “party should not be allowed to relitigate a matter which it already has had an opportunity to litigate.” . . . "[T]he purpose of a law suit is not only to do substantial justice but to bring an end to controversy.” ’ ” (Citations omitted.) Orselet v. DeMatteo, 206 Conn. 542, 550, 539 A.2d 95 (1988).
This court may take judicial notice of court files in another suit between the same parties, “especially when the relevance of that litigation was expressly made an issue at this trial.” McCarthy v. Warden, 213 Conn. 289, 293, 567 A.2d 1187 (1989), cert. denied, 496 U.S. 939, 110 S. Ct. 3220, 110 L. Ed. 2d 667 (1990).
See footnote 1, supra.