Grigsby & Associates, Inc. v. M Securities Investment , 635 F. App'x 728 ( 2015 )


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  •                 Case: 13-15208       Date Filed: 12/28/2015       Page: 1 of 18
    [DO NOT PUBLISH]
    IN THE UNITED STATES COURT OF APPEALS
    FOR THE ELEVENTH CIRCUIT
    ________________________
    No. 13-15208
    ________________________
    D.C. Docket No. 1:06-cv-23035-MGC
    GRIGSBY & ASSOCIATES, INC.,
    CALVIN B. GRIGSBY,
    Plaintiffs-Appellants,
    versus
    M SECURITIES INVESTMENT,
    HOWARD GARY & COMPANY,
    HOWARD V. GARY,
    NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.,
    Defendants-Appellees.
    ________________________
    Appeal from the United States District Court
    for the Southern District of Florida
    ________________________
    (December 28, 2015)
    Before MARCUS and JILL PRYOR, Circuit Judges, and RESTANI, * Judge.
    *
    Honorable Jane A. Restani, Judge for the United States Court of International Trade,
    sitting by designation.
    Case: 13-15208       Date Filed: 12/28/2015       Page: 2 of 18
    JILL PRYOR, Circuit Judge:
    Calvin Grigsby and Grigsby & Associates, Inc. (collectively, “Grigsby”)
    appeal the district court’s decision, upon remand from this Court, that M Securities
    Investment, Howard Gary & Co., and the Estate of Howard Gary (collectively, “M
    Securities”) did not waive their right to arbitration. Grigsby also argues that the
    district court abused its discretion in refusing to hold an evidentiary hearing on the
    issue. After careful consideration and with the benefit of oral argument, we affirm.
    I. BACKGROUND
    As more fully set forth in our previous opinion in Grigsby & Associates, Inc.
    v. M Securities Investment (“Grigsby I”), this dispute arises out of a municipal
    bond offering by Miami-Dade County. 
    664 F.3d 1350
    , 1351 (11th Cir. 2011)
    (depublished).1 M Securities and Grigsby agreed to participate in the bond
    offering. In 1996, they entered into an agreement whereby they co-underwrote the
    bond while GBR Financial Products (“GBR”), an entity partially owned by
    Grigsby & Associates, Inc., arranged an interest rate swap for the bond. For its
    role in the transaction, M Securities was to receive compensation of 25% of the
    underwriting fees and 50% of the net profits from the swap transaction (after
    deducting expenses). Unfortunately, GBR failed to remit the swap transaction
    1
    After issuing the opinion, we subsequently re-designated it as unpublished. See Order
    on Petition for Rehearing (Doc. 191-1). “Doc” refers to the docket entry in the district court
    record in this case.
    Case: 13-15208      Date Filed: 12/28/2015    Page: 3 of 18
    profits to Grigsby. As a result, Grigsby was unable to pay the fees and profits
    owed to M Securities pursuant to their agreement. 
    Id.
    Lawsuits followed. Grigsby sued GBR in an attempt to recover his share of
    the swap transaction profits while M Securities filed lawsuits against Grigsby and
    GBR seeking to recover the fees and share of profits it was owed. 
    Id.
     M Securities
    filed a total of four lawsuits against Grigsby. It filed the first of these lawsuits in
    federal court; the district court dismissed the case sua sponte for failure to execute
    timely service of process. The second lawsuit, filed in state court, was served on
    Grigsby, who filed a motion to dismiss. Ultimately, the case was dismissed for
    lack of prosecution. M Securities filed a third lawsuit in federal court, but the
    district court dismissed the case sua sponte because it was identical in all material
    respects to the first lawsuit. M Securities then filed a fourth lawsuit in federal
    court against Miami-Dade County and Grigsby. It ultimately settled its claims
    against Miami-Dade County and never issued summons to Grigsby.
    In 2003, after all of its lawsuits against Grigsby had been dismissed, M
    Securities filed a malpractice action against its attorney alleging that he had failed
    to take any action to prevent the dismissal of its claims against Grigsby. M
    Securities maintained that, because the statute of limitations had run, the claims
    3
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    could not be re-filed. 2
    Grigsby settled its lawsuit against GBR in 2005. In 2006, upon discovering
    the settlement, M Securities initiated an arbitration proceeding against Grigsby
    before the National Association of Securities Dealers (“NASD”). 3 Grigsby filed an
    action in district court to enjoin the arbitration, arguing that M Securities waived
    its right to arbitrate. The district court denied Grigsby’s motion for a temporary
    injunction on the ground that the issue of waiver was for the arbitrator to decide.
    The arbitration proceeded. The arbitrator awarded M Securities compensatory
    damages of $100,201 plus interest and attorney’s fees. 4 Grigsby filed a motion in
    district court to vacate the arbitration award, again arguing that M Securities
    waived arbitration, while M Securities moved to confirm the award. The district
    court entered an order confirming the award. 
    Id. at 1351-52
    .
    Grigsby appealed the district court’s orders denying the injunction and
    confirming the arbitration award. In Grigsby I, we concluded that “the district
    court’s failure to decide itself the waiver issue was a legal error and . . . an abuse of
    discretion,” vacated the district court’s order granting the motion to confirm
    2
    The record contains no evidence regarding the malpractice lawsuit’s outcome, which is
    irrelevant here.
    3
    M Securities and Grigsby both were members of the NASD. NASD members agree,
    pursuant to their agreements with the NASD, to arbitrate disputes arising out of business
    transactions with other members. NASD Code of Arbitration Procedure, Rule 10101(a)(c).
    4
    The arbitrator also sanctioned Grigsby $10,000 for failing to comply with discovery
    obligations.
    4
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    arbitration, and remanded for the district court to “consider, on the merits,
    [Grigsby’s] claim that [M Securities] waived the right to arbitrate.” 5 
    664 F.3d at 1354
    . We instructed the district court that if it concluded no waiver occurred, it
    may reenter its order confirming the arbitration award. 6 Grigsby I, 
    664 F.3d at 1354-55
    .
    On remand, M Securities again moved to confirm the arbitration award,
    arguing there was no waiver. Grigsby opposed the motion and requested an
    evidentiary hearing. The district court instead heard oral argument on the motion.
    At oral argument, Grigsby reiterated his request for an evidentiary hearing. The
    court indicated, “[W]e may get to that,” but stated that it first wanted to hear only
    argument of counsel. After the argument, the court permitted Grigsby to submit
    new evidence that his counsel had referenced during oral argument and that he
    contended demonstrated M Securities’ waiver. The evidence consisted of the
    county resolution authorizing the bond offering, the applicable NASD arbitration
    rules, litigation documents from M Securities’ prior lawsuits against Grigsby, 7
    newspaper articles about those lawsuits, and a declaration from GBR’s principal
    5
    Our decision in Grigsby I did not address whether the court otherwise erred in
    confirming the arbitration award.
    6
    We reiterated these instructions in a subsequent denial of rehearing en banc. See Order
    on Petition for Rehearing (Doc. 191-1).
    7
    These documents included docket sheets from M Securities’ third and fourth lawsuits,
    an order granting an unopposed motion to file amended pleadings from the fourth lawsuit, and
    answers to interrogatories from its malpractice lawsuit.
    5
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    stating that GBR never agreed to share profits from the bond offering with M
    Securities and identifying legal fees that GBR incurred in responding to M
    Securities’ lawsuits against it. Grigsby presented no evidence about legal fees and
    expenses he incurred or his time spent in responding to the four lawsuits.
    The district court concluded that M Securities did not waive the right to
    arbitration. Accordingly, the district court reentered its order confirming the
    arbitration award. Grigsby now appeals.
    II. DISCUSSION
    A. Waiver
    Grigsby contends the district court erred in deciding that M Securities did
    not waive its right to arbitration. We review de novo a district court’s legal
    conclusion that a party has not waived its right to arbitration. Ivax Corp. v. B.
    Braun of Am., Inc., 
    286 F.3d 1309
    , 1316 (11th Cir. 2002). We review for clear
    error the underlying factual basis for that determination. 
    Id.
     at 1316 n.18.
    “The ability of parties to agree to arbitrate their disputes is well-recognized.”
    
    Id. at 1315
    . In fact, “federal policy strongly favors arbitration.” Krinsk v.
    SunTrust Banks, Inc., 
    654 F.3d 1194
    , 1200 n.17 (11th Cir. 2011). “[A]s a matter of
    federal law, any doubts concerning the scope of arbitrable issues should be
    resolved in favor of arbitration . . . .” Moses H. Cone Mem’l Hosp. v. Mercury
    Constr. Corp., 
    460 U.S. 1
    , 24-25 (1983).
    6
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    Notwithstanding this strong federal policy, “an agreement to arbitrate, just
    like any other contract, may be waived.” Ivax Corp., 286 F.3d at 1315 (alteration
    and internal quotation marks omitted). “A party has waived its right to arbitrate if,
    under the totality of the circumstances, the party has acted inconsistently with the
    arbitration right and, in so acting, has in some way prejudiced the other party.” S
    & H Contractors, Inc. v. A.J. Taft Coal Co., 
    906 F.2d 1507
    , 1514 (11th Cir. 1990)
    (citation, alteration, and internal quotation marks omitted). “There is no set rule
    . . . as to what constitutes a waiver . . . of the arbitration agreement.” Burton-Dixie
    Corp. v. Timothy McCarthy Constr. Co., 
    436 F.2d 405
    , 408 (5th Cir. 1971).8
    Whether waiver has occurred “depends upon the facts of each case.” 
    Id.
     Our
    precedent provides some guidance, however. We have recognized that a party who
    “substantially invokes the litigation machinery prior to demanding arbitration may
    waive its right to arbitrate.” S & H Contractors, Inc., 
    906 F.2d at 1514
     (alterations
    and internal quotation marks omitted). Additionally, in determining whether there
    is prejudice to the other party, “we may consider the length of delay in demanding
    arbitration and the expense incurred by that party from participating in the
    litigation process.” 
    Id.
     Notably, though, “the party who argues waiver ‘bears a
    8
    In Bonner v. City of Prichard, 
    661 F.2d 1206
    , 1209 (11th Cir. 1981) (en banc), this
    court adopted as binding precedent all decisions of the former Fifth Circuit handed down prior to
    the close of business on September 30, 1981.
    7
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    heavy burden of proof.’” Krinsk, 
    654 F.3d at
    1200 n.17 (quoting Stone v. E.F.
    Hutton & Co., 
    898 F.2d 1542
    , 1543 (11th Cir.1990)).
    Grigsby points us to a number of factors he contends demonstrated that M
    Securities acted inconsistently with the right to arbitration, including that M
    Securities: (1) filed four lawsuits prior to initiating arbitration, (2) sued its prior
    counsel for malpractice for failing to diligently prosecute its claims within the
    statute of limitations period, and (3) waited 10 years after the closing of the bond
    offering before initiating arbitration.
    We conclude there was no error in the district court’s determination that M
    Securities did not waive the right to arbitration. First, we reject Grigsby’s
    argument that M Securities waived its right to arbitration by filing lawsuits.
    Granted, M Securities invoked the litigation machinery when it filed four lawsuits
    against Grigsby. Filing lawsuits prior to initiating arbitration certainly can support
    a finding of waiver, particularly when the opposing party expends significant time
    and resources responding to the lawsuits. See S & H Contractors, Inc., 
    906 F.2d at 1514
    .
    Nonetheless, M Securities’ prior lawsuits were not inconsistent with the
    right to arbitration because they were insubstantial. See 
    id.
     (party who
    “substantially invokes the litigation machinery prior to demanding arbitration may
    waive its right to arbitrate” (alterations and internal quotation mark omitted)). M
    8
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    Securities never even served Grigsby with three of the lawsuits; they never
    progressed beyond the filing of the complaints. Two of the cases were dismissed
    sua sponte before Grigsby could be served, and one settled before summons was
    issued. In the remaining case, Grigsby filed only a single motion to dismiss, to
    which M Securities failed to respond, and the case eventually was dismissed for
    want of prosecution. In contrast, where we have held that a party waived its right
    to arbitration by substantially participating in litigation, the lawsuits had proceeded
    much further than those M Securities filed. See, e.g., Garcia v. Wachovia Corp.,
    
    699 F.3d 1273
    , 1278 (11th Cir. 2012) (waiver of arbitration found where party
    conducted discovery for over a year, including more than 15 depositions and
    production of approximately 900,000 pages of documents); S & H Contractors,
    Inc., 
    906 F.2d at 1514
     (eight months of litigation prior to arbitration demand
    involved two motions and five lengthy depositions).
    Second, the fact that M Securities filed a malpractice suit against its former
    counsel for failing to diligently prosecute its claims does not demonstrate that it
    waived its right to arbitration. Grigsby fails to explain why M Securities’ act of
    filing the malpractice suit against a third party, its former counsel, was inconsistent
    with the right to arbitrate against Grigsby. At most, the malpractice action’s
    allegation that the statute of limitations had run on M Securities’ causes of action
    against Grigsby indicates that the statute of limitations may have barred M
    9
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    Securities’ arbitration claim. But the statute of limitations is an issue of procedural
    arbitrability, not a basis for finding waiver. 9 See Howsam v. Dean Witter
    Reynolds, Inc., 
    537 U.S. 79
    , 85 (2002).
    Third, although M Securities waited more than 10 years after the transaction
    at issue before demanding arbitration, the district court did not err in concluding
    that there was no waiver. As a general matter, a delay in seeking arbitration
    weighs in favor of finding waiver. See Morewitz v. W. of Eng. Ship Owners Mut.
    Prot. & Indem. Ass’n (Lux.), 
    62 F.3d 1356
    , 1366 (11th Cir. 1995). We
    acknowledge that M Securities waited a very long time before seeking arbitration.
    But Grigsby cites no case in which we have held that a party waived its right to
    9
    Grigsby’s argument that the statute of limitations bars M Securities’ arbitration claim is
    one of three arguments that concern procedural arbitrability rather than waiver. His other two
    arguments are that (1) M Securities released all claims against Grigsby, and (2) there was no
    written agreement to arbitrate. See Howsam v. Dean Witter Reynolds, Inc., 
    537 U.S. 79
    , 85
    (2002). We reject all three arguments to the extent Grigsby is arguing that they warrant vacating
    the arbitration award. Issues of procedural arbitrability are for arbitrators, not courts, to decide.
    
    Id.
     We vacate such decisions by arbitrators “only in extremely narrow circumstances.” Gianelli
    Money Purchase Plan & Tr. v. ADM Inv’r Servs., Inc., 
    146 F.3d 1309
    , 1311 (11th Cir. 1998)
    (citing 
    9 U.S.C. § 10
    ). A court reviewing a petition to vacate an arbitration award may be asked
    to examine the four statutory grounds for vacating arbitration awards set forth in the Federal
    Arbitration Act: (1) the award was procured by corruption, fraud, or undue means; (2) there was
    evident partiality or corruption on the part of the arbitrators; (3) the arbitrators engaged in
    misconduct; and (4) the arbitrators exceeded their powers or so imperfectly executed them that a
    mutual, final, and definite award was not made. Peebles v. Merrill Lynch, Pierce, Fenner &
    Smith Inc., 
    431 F.3d 1320
    , 1326 (11th Cir. 2005); 
    9 U.S.C. § 10
    (a). In addition to the four
    statutory grounds, a court may vacate an arbitration award “(1) if it is arbitrary and capricious,
    (2) if its enforcement is contrary to public policy, or (3) if it evinces a manifest disregard of the
    law.” Peebles, 431 F.3d at 1326. Grigsby does not argue error on any of these grounds in this
    appeal. We therefore conclude that he has abandoned any such argument. See Sapuppo v.
    Allstate Floridian Ins. Co., 
    739 F.3d 678
    , 681 (11th Cir. 2014) (“[A]n appellant abandons a
    claim when he . . . raises it in a perfunctory manner without supporting arguments and
    authority.”).
    10
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    arbitrate solely by delay in initiating the proceeding or based on the amount of time
    that elapsed. Although delay is undoubtedly a factor to be considered, in our
    precedent where waiver was found, the delay was always coupled with other
    substantial conduct inconsistent with an intent to arbitrate. See, e.g., 
    id.
     (defendant
    insurance company colluded in litigation with insured to injured plaintiff’s
    detriment before seeking arbitration); S & H Contractors, Inc., 
    906 F.2d at 1514
    (party participated in extensive, substantial litigation prior to demanding
    arbitration); E. C. Ernst, Inc. v. Manhattan Constr. Co. of Tex., 
    551 F.2d 1026
    ,
    1040 (5th Cir.) (party demanded arbitration after informing state officials of intent
    to sue to disallow arbitration), modified, 
    559 F.2d 268
     (5th Cir. 1977).
    Grigsby identifies only M Securities’ filing of lawsuits as conduct
    inconsistent with the intent to arbitrate but, as we discussed above, we disagree that
    the filing of what appear to have been “placeholder” lawsuits—which either were
    never served or dismissed with little effort required of Grigsby—was sufficiently
    inconsistent with such an intent to compel a finding of waiver. Although M
    Securities’ conduct was somewhat inconsistent, it did not involve collusion,
    Morewitz, 
    62 F.3d at 1366
    , extensive litigation, S & H Contractors, Inc., 
    906 F.2d at 1514
    , or an express repudiation of arbitration, E. C. Ernst, Inc., 551 F.2d at
    1040.
    11
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    But even were we to conclude that M Securities acted inconsistently with an
    intent to arbitrate, Grigsby has failed to demonstrate prejudice. Given the
    extremely limited nature of the proceedings, Grigsby could not have expended
    more than minimal time and resources in defending M Securities’ lawsuits, and he
    submitted no evidence of either.10 In any event, incurring minimal fees in
    responding to lawsuits is insufficient to establish prejudice supporting a finding of
    waiver. See Hill v. Ricoh Ams. Corp., 
    603 F.3d 766
    , 775-76 (10th Cir. 2010);
    Patten Grading & Paving, Inc. v. Skanska USA Bldg., Inc., 
    380 F.3d 200
    , 206-07
    (4th Cir. 2004) (recognizing that “minimal nature of the discovery” was
    “insufficient to establish prejudice”); Walker v. J.C. Bradford & Co., 
    938 F.2d 575
    ,
    578 (5th Cir. 1991) (holding there was no prejudice in case in which parties
    conducted “minimal discovery” in litigation).
    Grigsby also contends that he was prejudiced by the death of a witness and
    party to the dispute, Howard Gary. But Gary was present and testified at the
    arbitration. To the extent Grigsby argues he was prejudiced because Gary could
    not testify at an evidentiary hearing on the issue of waiver, he fails to describe the
    content of Gary’s expected testimony and why it was necessary. The mere fact
    10
    We note that Grigsby failed to submit evidence of any expenses he incurred in
    connection with these lawsuits. Grigsby contends that he could present no evidence of his
    litigation expenses because during the significant time that elapsed before M Securities initiated
    arbitration, he lost his records documenting the expenses, a fact he asserts further demonstrates
    prejudice. We disagree. Even without the legal bills or other such records, Grigsby could have
    submitted an affidavit or other evidence estimating his expenses, but he failed to do so.
    12
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    that Gary was unavailable to testify at a hearing—which, as we determine below,
    was unnecessary due to the non-existence of material disputed issues of fact—is
    inadequate to demonstrate prejudice. Grigsby also argues that M Securities’
    lawsuits damaged his reputation, but he does not explain why this constitutes
    prejudice for purposes of waiver.
    In sum, Grigsby has failed to satisfy his “heavy burden of proof” in
    demonstrating that M Securities acted so inconsistently with its right to arbitrate as
    to constitute waiver, or that he was prejudiced as a result of any action or inaction
    by M Securities. Krinsk, 
    654 F.3d at
    1200 n.17 (quoting Stone, 898 F.2d at 1543).
    We therefore find no error in the district court’s determination that M Securities
    did not waive its right to arbitration.
    B. Evidentiary Hearing
    As a final matter, we address Grigsby’s contention that the district court
    erred in refusing to hold an evidentiary hearing to determine whether M Securities
    waived its right to arbitration. We understand Grigsby to be advancing two
    arguments: (1) our decision in Grigsby I required the district court to hold an
    evidentiary hearing, and (2) even if our decision in Grigsby I did not require the
    district court to hold an evidentiary hearing, it nevertheless should have held one to
    resolve disputed issues of fact. We reject both arguments.
    13
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    1) Scope of the Mandate in Grigsby I
    We reject Grigsby’s argument that our decision in Grigsby I required the
    district court to hold an evidentiary hearing. We review a district court’s
    interpretation and application of this Court’s mandate in a prior case de novo. Cox
    Enters., Inc. v. News-Journal Corp., 
    794 F.3d 1259
    , 1272 (11th Cir. 2015). “[A]n
    appellate decision is binding in all subsequent proceedings in the same case unless
    the presentation of new evidence or an intervening change in the controlling law
    dictates a different result, or the appellate decision is clearly erroneous and, if
    implemented, would work a manifest injustice.” Litman v. Mass. Mut. Life Ins.
    Co., 
    825 F.2d 1506
    , 1510 (11th Cir. 1987) (en banc). Consistent with this
    principle and subject to the above exceptions, “[w]hen an appellate court issues a
    specific mandate it is not subject to interpretation; the district court has an
    obligation to carry out the order.” 
    Id. at 1511
    . We have recognized, however, that
    a “trial court is free to address, as a matter of first impression, those issues not
    disposed of on appeal.” Piambino v. Bailey, 
    757 F.2d 1112
    , 1119 (11th Cir. 1985).
    “Because a mandate may be vague or precise depending on the issues presented,
    where a mandate’s scope is contested we must determine the scope of the issues
    considered in the prior appeal.” Cox Enters., Inc., 794 F.3d at 1271-72 (alterations
    and internal quotation marks omitted).
    14
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    Nothing in our decision in Grigsby I required the district court to hold an
    evidentiary hearing on the issue of waiver. We remanded the case to the district
    court to “consider, on the merits, [Grigsby’s] claim that [M Securities] waived the
    right to arbitrate.” Grigsby I, 
    664 F.3d at 1354
    . We did not order the district court
    to hold a hearing. We merely asked it to determine whether M Securities waived
    its right to arbitrate. Although the issue of waiver may involve disputed questions
    of fact, it does not necessarily. The district court was operating well within the
    boundaries of our mandate in declining to hold an evidentiary hearing. 11 See Ivax
    Corp., 286 F.3d at 1316.
    2) Discretion to Hold an Evidentiary Hearing
    Having determined that our mandate did not require the district court to hold
    an evidentiary hearing, we now consider whether the court erred in declining to do
    so. We review a district court’s denial of an evidentiary hearing for abuse of
    discretion. Loyd v. Ala. Dep’t of Corr., 
    176 F.3d 1336
    , 1339 (11th Cir. 1999).
    “The application of an abuse-of-discretion review recognizes the range of possible
    conclusions the trial judge may reach.” United States v. Frazier, 
    387 F.3d 1244
    ,
    1259 (11th Cir. 2004). As such, “when employing an abuse-of-discretion standard,
    11
    We also reject Grigsby’s assertion that the district court improperly adopted the
    recitation of facts from our prior decision in Grigsby I. There is no suggestion in the district
    court’s order that that it felt bound by that recitation in deciding waiver. Indeed, the fact that on
    remand the district court allowed Grigsby to submit evidence on the issue of waiver was plainly
    inconsistent with that notion.
    15
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    we must affirm unless we find that the district court has made a clear error of
    judgment, or has applied the wrong legal standard.” 
    Id.
     We conclude there was no
    abuse of discretion here.
    Although it is true that in cases “where facts are bitterly contested and
    credibility determinations must be made . . . an evidentiary hearing must be held,”
    in cases “where material facts are not in dispute . . . district courts generally need
    not hold an evidentiary hearing.” McDonald’s Corp. v. Robertson, 
    147 F.3d 1301
    ,
    1312-13 (11th Cir. 1998) (discussing motions for injunctive relief); see also Par-
    Knit Mills, Inc. v. Stockbridge Fabrics Co., 
    636 F.2d 51
    , 54 (3d Cir. 1980)
    (holding that “when there is no genuine issue of fact concerning the formation of
    the [arbitration] agreement,” the court can “decide as a matter of law [whether] the
    parties did or did not enter into such an agreement”). Thus, in deciding whether
    the district court erred in denying Grigsby an evidentiary hearing, we must
    determine whether the court’s decision concerning waiver required it to resolve
    any material disputed issues of fact.
    Grisgby contends that the district court was required to hold an evidentiary
    hearing to give him an opportunity to introduce evidence concerning Grigsby &
    Associates, Inc.’s business relationship with GBR, which would have shown that
    the statute of limitations barred M Securities’ claims. But as we explained above,
    whether the statute of limitations has run raises questions about the procedural
    16
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    arbitrability of M Securities’ claims, not waiver. Because Grigsby’s evidence did
    not concern waiver, it could not support the existence of a material factual dispute
    as to that issue. Thus, it was no abuse of discretion for the district court to decline
    to hold an evidentiary hearing to permit Grigsby to introduce it.
    Grigsby also argues that he required an evidentiary hearing to present
    evidence of the legal fees and expenses he incurred in responding to M Securities’
    lawsuits. But after oral argument, when he had a chance to submit evidence, he
    submitted no declarations from witnesses prepared to testify at an evidentiary
    hearing or other evidence regarding the fees and expenses he claims to have
    incurred. He opted instead to present a declaration documenting the legal fees
    incurred by a third party, GBR. Given Grigsby’s failure to raise an issue of fact,
    we conclude that there was no abuse of discretion in the district court’s refusal to
    hold an evidentiary hearing. See Commerce Park at DFW Freeport v. Mardian
    Constr. Co., 
    729 F.2d 334
    , 340 (5th Cir. 1984) (no evidentiary hearing on issue of
    arbitrability necessary when district court afforded parties the opportunity to brief
    the issues and when there were no disputed material factual questions in the
    record); Par-Knit Mills, Inc., 
    636 F.2d at 54
    .
    17
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    III. CONCLUSION
    The district court did not err in declining to hold an evidentiary hearing on
    the issue of waiver or in holding that M Securities did not waive its right to
    arbitration.12 Accordingly, we affirm.
    AFFIRMED.
    12
    Grigsby raises two other arguments on appeal, first that the district court improperly
    increased the amount of interest in the arbitration award, and second that the district court
    improperly interpreted Klay v. United Healthgroup, Inc., 
    376 F.3d 1092
     (11th Cir. 2004). As to
    the interest argument, Grigsby presents no explanation of how the court altered the award or why
    the alteration was improper. He also never raised this argument before the district court. For
    these reasons, we do not consider it. See Sapuppo, 739 F.3d at 681; Access Now, Inc. v. Sw.
    Airlines Co., 
    385 F.3d 1324
    , 1331 (11th Cir. 2004). Similarly, we reject Grigbsy’s argument
    based on Klay because the district court did not rely on Klay in concluding that there was no
    waiver.
    18
    

Document Info

Docket Number: 13-15208

Citation Numbers: 635 F. App'x 728

Judges: Marcus, Pryor, Restani

Filed Date: 12/28/2015

Precedential Status: Non-Precedential

Modified Date: 10/19/2024

Authorities (18)

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United States v. Richard Junior Frazier , 387 F.3d 1244 ( 2004 )

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patten-grading-paving-incorporated-v-skanska-usa-building , 380 F.3d 200 ( 2004 )

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Bernard Litman v. Massachusetts Mutual Life Insurance ... , 825 F.2d 1506 ( 1987 )

Access Now, Inc. v. Southwest Airlines Co. , 385 F.3d 1324 ( 2004 )

Larry Bonner v. City of Prichard, Alabama , 661 F.2d 1206 ( 1981 )

S & H Contractors, Inc., a Corporation v. A.J. Taft Coal ... , 906 F.2d 1507 ( 1990 )

Krinsk v. SunTrust Banks, Inc. , 654 F.3d 1194 ( 2011 )

Grigsby & Associates, Inc. v. M Securities Investment , 664 F.3d 1350 ( 2011 )

Hill v. Ricoh Americas Corp. , 603 F.3d 766 ( 2010 )

E. C. Ernst, Inc. v. Manhattan Construction Company of ... , 559 F.2d 268 ( 1977 )

View All Authorities »