Thirteen individuals and companies that provide shuttle service to and from the Denver International Airport filed suit on September 28, 2004 against the Colorado Public Utilities Commission (PUC) and its three commissioners in their official capacities. The Plaintiffs sought to enjoin the PUC from taking enforcement action against them for failure to obtain a certificate of public convenience and necessity issued by the state. They presented two legal theories: first, that certificates granted to each Plaintiff by the Federal Motor Carrier Safety Administration authorized their provision of transportation services, preempting contrary state law requirements, and that the PUC lacked jurisdiction to determine whether they were in compliance with their federal certificates; and second, that the PUC had threatened enforcement action against the Plaintiffs “because each of them are [sic] minorities or foreign born nationals,” in violation of the Equal Protection Clause of the Fourteenth Amendment. App. 7-10.
In December 2004, the district court dismissed the Complaint for lack of jurisdiction based on the
Rooker-Feldman
doctrine.
See Rooker v. Fid. Trust Co.,
I. Facts and Procedural History
Colorado' law provides that any carrier operating a motor vehicle for purposes of transporting persons on public highways in
intra
state commerce must first obtain a certificate of public convenience and necessity (CPCN) from the PUC.
See
C.R.S. § 40-10-104(1). Although they do not possess a state-issued CPCN, some shuttle operators — including each of the Plaintiffs in this case — provide transportation services to and from the Denver International
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Airport based on federal certificates, issued by the Federal Motor Carrier Safety Administration. These certificates authorize transportation services along certain
inter
state routes.
Cf. Gibbons v. Ogden,
Beginning in 1999, the PUC issued a series of penalty notices to some of these federally certificated carriers, alleging that they were conducting extensive intrastate business without providing the regularly scheduled interstate services, as required by their federal certificates. While review of those penalty notices was still pending in state court, a group of four carriers consisting of Trans Shuttle, Inc., Hallelujah Shuttle, Ethio Shuttle, and Galaxy Shuttle — none of which is a party to this action — filed suit in federal court against the PUC and other defendants, seeking declaratory and injunctive relief. The district court declined to exercise jurisdiction on
Younger
abstention grounds, citing the pending proceedings in state court.
See Younger v. Harris,
The state court proceedings culminated in a May 2004 decision of the Colorado Supreme Court, which upheld the PUC’s jurisdiction over carriers transporting passengers in intrastate commerce.
See Trans Shuttle, Inc. v. Pub. Utils. Comm’n,
On August 16, 2004, the PUC sent a letter to each of the thirteen Plaintiffs in this action. The letters described the Colorado Supreme Court’s holding in Trans Shuttle, and stated that “the PUC intends to go to court to ask for an injunction to halt the operations of any motor carrier transporting passengers to and from Denver International Airport (DIA) on an intrastate basis ... without actual, substantial and bona fide interstate operations in full compliance with the carrier’s federal certificate.” App. 47. The letters also announced that the PUC “intends to go to court to ask for an injunction against [the named Plaintiff] unless [the named Plaintiff] provides proof to the PUC of its 2004 for-hire interstate passenger transportation operations .... [within] 30 days from the date of this letter.” Id.
In September 2004, the Plaintiffs commenced this federal action seeking declaratory and injunctive relief to prevent the PUC from going to court as threatened in its letters. They did not seek money damages. They argued, first, that the PUC lacked jurisdiction to impose penalties because federal law authorized them to provide transportation services. According to the Plaintiffs, only a federal authority — not *1233 a state agency — has jurisdiction to revoke their certificates for failure to satisfy the conditions. Second, they argued that the PUC’s actions reflected discrimination against businesses with minority and foreign-born owners and operators.
One of the Plaintiffs in this action, Mo’s Express, was also a losing party to the state court judgment in Trans Shuttle. With one possible exception, the other twelve Plaintiffs — All States Shuttle, Colorado Express Airport Shuttle, Denver Pro Express, Front Range Express, Mile High Express, Denver City Express, Road Runner Express, Flying J Shuttle, EZ Transportation, Advance Airport Shuttle, A+ Airport Shuttle, and American Shuttle— had no involvement in the Trans Shuttle litigation. 1
The district court dismissed the case on jurisdictional grounds, citing the Rooker-Feldman doctrine. The Plaintiffs had made it “clear,” according to the district court, that “their intentions in filing in this court is [sic] to void the ruling of the Colorado Supreme Court” in Trans Shuttle, and thus to take a de facto appeal in federal district court from a judgment by a state court. Order of Dismissal 12. Although it acknowledged that Mo’s Express is the only Plaintiff in this case that was also party to Trans Shuttle, the district court found that the Plaintiffs’ claims had been “fully presented” in the state court proceedings “by the shuttle operators who were named in the state action.” Id. at 14. The court concluded that “the identity of interest of all the operators has remained the same throughout.” Id. at 16. It also found that the Plaintiffs “have always been in privity with one another in their joint commitment to the same claims and arguments.” Id. It therefore applied the jurisdictional bar of Rooker-Feldman against all Plaintiffs, even those who were not parties to the state court action.
We review the district court’s dismissal for lack of subject matter jurisdiction
de novo,
and any factual findings relevant to the court’s jurisdiction for clear error.
Merrill Lynch Bus. Fin. Servs., Inc. v. Nudell,
II. Rooker-Feldman
The
Rooker-Feldman
doctrine does not reflect a constitutional limitation on the lower federal courts.
See
The Federalist No. 82, at 494 (Alexander Hamilton) (Clinton Rossiter ed., 1961) (“I perceive at present no impediment to the establishment of an appeal from the State courts to the subordinate national tribunals; and many advantages attending the power of doing it may be imagined.”). Instead, it arises by negative inference from 28 U.S.C. § 1257(a), which allows parties to state court judgments to seek direct review in the Supreme Court of the United States, but not to appeal to the lower federal courts.
Crutchfield v. Countrywide Home Loans,
*1234
The operation of
Rooker-Feldman
is best demonstrated by the two cases that give the doctrine its name. In
Rooker,
the federal-court plaintiffs alleged that the judgment of an Indiana circuit court, to which they were parties, had caused them injury by enforcing a state statute in violation of the Contracts Clause and due process protections of the United States Constitution.
Rooker,
Both
Rooker
and
Feldman
were “cases brought by state-court losers complaining of injuries caused by state-court judgments ... and inviting district court review and rejection of those judgments.”
Exxon Mobil,
In two respects, assertion of the Rook-er-Feldman doctrine in this case epitomizes the expansive view that the Supreme Court repudiated in Exxon Mobil. First, the district court applied Rooker-Feldman against all of the Plaintiffs, despite the fact that most of them were not party to the state-court judgment in Trans Shuttle. Second, the district court found Rooker-Feldman applicable despite the fact that the Plaintiffs sought only prospective relief challenging the constitutionality of the PUC’s jurisdiction to take future action. Under our pre-Exxon Mobil case law, both holdings were questionable; after Exxon Mobil and Lance, they are incorrect.
A. Applying Rooker-Feldman Against Nonparties
This Court has repeatedly held that the
Rooker-Feldman
doctrine “should not be applied against non-parties” to the state-court judgment.
Johnson v. Rodrigues (Orozco),
In
Lance,
the Court explicitly held that
Rooker-Feldman
does not apply against nonparties to the prior judgment in state court.
Lance,
The Supreme Court reversed, emphasizing that in
De Grandy
it had declined to apply
Rooker-Feldman
when the federal-court plaintiff “ ‘was not a party in the state court,’ and ‘was in no position to ask this Court to review the state court’s judgment.’ ”
Lance,
The district court in this case relied extensively on
Keller v. Davidson,
Exxon Mobil and Lance make the disposition of this appeal straightforward for almost all of the Plaintiffs. Only one of the Plaintiffs, Mo’s Express, was a party to the decision of the Colorado Supreme Court in Trans Shuttle. With a possible exception noted in footnote 1, the other Plaintiffs had no connection whatsoever to the Trans Shuttle case. They were not parties, they were not bound by the judgment, and they were neither predecessors nor successors in interest to the parties. The other Plaintiffs were nothing more than competitors of the shuttle operators who were party to Trans Shuttle. That relationship falls far short of the connection necessary under Rooker-Feldman to characterize their action in federal court as an appeal of the state-court judgment.
The district court found that “the identity of interest of all of the operators has remained the same throughout” because “they have always been in privity with one another in their joint commitment to the same claims and arguments.” Order of Dismissal 16. The factual basis for this conclusion is uncertain, as there is no evidence to suggest that the other Plaintiffs actually consulted with the
Trans Shuttle
parties before the state court litigation began to coordinate their claims and arguments. As far as the record discloses, the other Plaintiffs became involved only after receiving letters threatening an injunction against the operation of their businesses. In any case, a “commitment” to the same claims and arguments has no bearing on the applicability of
Rooker-Feldman. See Exxon Mobil,
In crafting its expansive “in privity” standard, the district court sought to prevent the shuttle operators from employing an “artifice” whereby “groups of individuals like these plaintiffs could easily avoid the application of the
Rooker-Feldman
bar by merely naming only a part of the group in the state proceedings, presenting the names of new individuals in the federal case.” Order of Dismissal 16. We doubt that anything so conspiratorial took place in this case, considering that the state-court proceedings involved operators who already had been fined by the PUC, whereas this suit involves operators who were only recently threatened with legal action. But even if the district court’s account is accurate, any “group[ ] of individuals” faced with the same legal problem
*1237
is free to pursue different avenues of relief. As the Supreme Court emphasized in
Exxon Mobil,
Because only Mo’s Express was a party to the Colorado Supreme Court judgment in Trans Shuttle, the district court erred in applying Rooker-Feldman against the remaining Plaintiffs.
B. Evaluating the Relief Requested in Federal Court
Even against the parties to a state-court judgment,
Rooker-Feldman
only applies when the injury alleged by the plaintiffs was “caused by [the] state-court judgment ].”
Id.
at 1521-22. As we explained in our
pre-Exxon Mobil
case law, “we approach the question by asking whether the state-court judgment
caused,
actually and proximately, the
injury
for which the federal-court plaintiff seeks
redress,”
paying “close attention to the
relief
sought” in the federal suit.
Kenmen Eng’g,
In contrast, when the relief sought by the plaintiffs would not reverse or “undo” the state-court judgment,
Rooker-Feldman
does not apply.
Feldman
itself distinguished “general constitutional challenges to state laws,” which by definition “are not attacks on state court judgments.”
Crutchfield,
Mo’s Express, like the other Plaintiffs, has requested only prospective injunctive and declaratory relief that would prevent the PUC from exercising jurisdiction over them in the future.
See
App. 10. Both of its claims amount to “general constitutional challenges” to the jurisdiction of the PUC: first, that federal law preempts
*1238
the state’s jurisdiction pursuant to the Supremacy Clause; and second, that the PUC has exercised its jurisdiction in a discriminatory fashion in violation of the Equal Protection Clause of the Fourteenth Amendment. Neither claim would disrupt the judgment of the Colorado Supreme Court. The
Trans Shuttle
decision simply “upheld penalties assessed against [the parties, including Mo’s Express,] by the Public Utilities Commission.”
Trans Shuttle,
To be sure, Mo’s Express has asked the federal courts to accept a legal argument that was specifically rejected in its earlier lawsuit in state court. If the Plaintiffs eventually prevail on the merits, the Colorado courts will have held that the PUC can exercise jurisdiction, while the federal courts will have held that it cannot. That result should not be alarming, however, because state and federal courts enjoy concurrent jurisdiction over questions of federal law, and the possibility of inconsistent rulings on issues of federal law is a predictable, if infrequent, consequence of our dual system. A federal court is free to “den[y] a legal conclusion that a state court has reached,” provided it does not exercise
de facto
appellate jurisdiction by entertaining a suit that would disrupt the final judgment entered by the state court.
GASH Assocs.,
III. Conclusion
Although we disagree with the district court’s
Rooker-Feldman
analysis, we express no view as to the alternative grounds for dismissal raised by the Defendants. The
Trans Shuttle
case may well have some preclusive effect in federal court, for example, and the Plaintiffs as always must establish a justiciable case or controversy, ripe for federal review. Because the district court based its dismissal exclusively on
Rooker-Feldman,
and these other arguments were not briefed by both sides, we think it best to allow the district court to consider them in the first instance.
See Lance,
We REVERSE the judgment of the district court and REMAND the case for further proceedings consistent with this opinion.
Notes
. At oral argument, the Defendants stated that Colorado Express Airport Shuttle had litigation in the Colorado courts that was stayed pending the outcome of Trans Shuttle and has since become final. For the reasons set forth in Part II.B, we need not determine whether Colorado Express Airport Shuttle was in fact bound by the judgment in Trans Shuttle or by another final judgment of the Colorado courts.
. In support of this proposition, the panel relied on our decision in
Kenmen Engineering. See Lance v. Davidson,
Thus, although the Supreme Court in
Lance
reversed a panel decision that nominally "followed Tenth Circuit precedent,”
see Lance,
