DocketNumber: 15240
Citation Numbers: 236 Conn. 582, 674 A.2d 1290, 1996 Conn. LEXIS 85
Judges: Katz
Filed Date: 4/9/1996
Status: Precedential
Modified Date: 10/18/2024
This appeal raises the issue of whether the doctrine of res judicata bars a party to a dissolution action from bringing a postdissolution action against a former spouse for damages incurred as a result of conduct that had occurred during the marriage. We conclude that, in this context, the policy considerations commonly advanced to justify the doctrine of res judi
The following undisputed facts are pertinent to this appeal. In 1988, the plaintiff, Karen Delahunty, instituted an action against the defendant, Patrick J. Delahunty, Jr., to dissolve their marriage. On January 4,1990, Hon. John D. Brennan, state trial referee, rendered judgment dissolving the marriage and delivered an oral decision.
The complaint alleged the following facts. On July 22, 1987, the defendant notified Massachusetts Mutual of his desire to surrender the life insurance policy owned by his wife. Massachusetts Mutual thereafter forwarded the necessary forms to the defendant to effect the surrender and advised him of the relative merits of the surrender. The defendant or a third party acting under his direction forged the plaintiffs signature on the required forms. Following its cancellation of the
On the basis of those allegations, the plaintiff claimed that the defendant had engaged in fraudulent conduct that caused her mental and emotional pain, anguish and distress, and had knowingly, wilfully, intentionally, wantonly, maliciously and tortiously interfered with her contractual and beneficial economic relationship with Massachusetts Mutual. The plaintiff sought compensatory damages, punitive damages, treble damages for theft pursuant to General Statutes § 52-564
In his response to the complaint, the defendant claimed a lack of recollection sufficient to admit or
The trial court, Hadden, J., granted the defendant’s motion for summary judgment on the basis of the following findings: the plaintiff had made a claim for the insurance policy funds in the dissolution action, asserting therein that the defendant had perpetrated a fraud; the defendant had been cross-examined in the dissolution action regarding the details of the transaction involving the insurance policy, including the validity of the negotiation of the check; the plaintiff had presented therein the actual check from Massachusetts Mutual to establish that the signature had been forged; the plaintiff had claimed that she had never received the proceeds of the check; and the trial court in the dissolution proceeding had determined responsibility for the breakdown of the marriage and had apportioned the marital estate based upon “all the evidence.”
Against those findings the trial court applied the “transactional” test of § 24 of the Restatement (Second) of Judgments, in accordance with Orselet v. DeMatteo, 206 Conn. 542, 544, 539 A.2d 95 (1988), to decide whether the present action was barred by the doctrine
On appeal, the plaintiff first argues that the trial court’s determination that this matter was governed by the doctrine of res judicata was improper. The present action is a tort claim in which the plaintiff seeks a jury trial at which she could be awarded compensatory damages for emotional distress and economic loss, punitive damages for the defendant’s intentional fraudulent conduct and statutory double and treble damages. She argues that she had no right to a jury trial in the dissolution action and, furthermore, that the court in the dissolution action sat as a court of equity without the authority to award the remedies she now seeks. The defendant responds that, even if we were to agree with the plaintiff that the trial court improperly relied
We agree with the plaintiff that the trial court improperly invoked the doctrine of res judicata in this case. We also agree with the plaintiff that the trial court in the dissolution action did not make the necessary findings of fraudulent conduct by the defendant that would collaterally estop either party in the present action from litigating that issue and the issue of any damages should that become necessary. We will analyze separately the applicability of each of these two doctrines in the circumstances of this case.
I
“[T]he doctrine of res judicata, or claim preclusion, [provides that] a former judgment on a claim, if rendered on the merits, is an absolute bar to a subsequent action on the same claim. A judgment is final not only as to every matter which was offered to sustain the claim, but also as to any other admissible matter which might have been offered for that purpose. Cromwell v. County of Sac, 94 U.S. 351, 352-53, 24 L. Ed. 195 (1876); 1 Restatement (Second), [supra] §§ 19, 25; James & Hazard, Civil Procedure (2d Ed.) § 11.3.” State v. Aillon, 189 Conn. 416, 423-24, 456 A.2d 279, cert. denied, 464 U.S. 837, 104 S. Ct. 124, 78 L. Ed. 2d 122 (1983). The rule of claim preclusion prevents reassertion of the same claim regardless of what additional or different evidence or legal theories might be advanced in support of it.
“We recognize that the mere explication of the doctrine of claim preclusion does not resolve all difficulties which may appear at the point of application. As was stated long ago, the law of estoppel by judgment is well settled, the only difficulty being in its application to the facts. Pelham Hall Co. v. Carney, 27 F. Sup. 388, 390 (D. Mass. 1939). The difficulty has always been in determining what matters are precluded by the former
Finally, we recognize that a decision whether to apply the doctrine of res judicata to claims that have not actually been litigated should be made based upon a consideration of the doctrine’s underlying policies, namely, the interests of the defendant and of the courts in bringing litigation to a close; 1 Restatement (Second), supra, § 24, p. 199; and the competing interest of the plaintiff in the vindication of a just claim. We have stated that res judicata “should be applied as necessary to promote its underlying purposes. These purposes are generally identified as being (1) to promote judicial economy by minimizing repetitive litigation; (2) to prevent inconsistent judgments which undermine the integrity of the judicial system; and (3) to provide repose by preventing a person from being harassed by vexatious litigation. . . . The judicial doctrines of res judicata and collateral estoppel are based on the public policy that a party should not be able to relitigate a matter which it already has had an opportunity to litigate. . . . Stability in judgments grants to parties and others the certainty in the management of their affairs which results when a controversy is finally laid to rest. The doctrines of preclusion, however, should be flexible and must give way when their mechanical application would frustrate other social policies based on values equally or more important than the convenience afforded by finality in legal controversies. . . . We review the doctrine of res judicata to emphasize that its
We are guided by these principles in deciding whether a party can bring a postdissolution action claiming damages for misconduct that had occurred during the marriage. We conclude that the policy considerations commonly advanced to justify the doctrine of res judicata are not compelling in this context and that it would be an inappropriate application of the principles of res judicata to require tort actions based on claims arising between married persons to be litigated in a dissolution proceeding. Furthermore, because there are significant differences between a tort action and a dissolution action, the maintenance of a separate tort action will not subject the courts and the defendant to the type of piecemeal litigation that the doctrine was intended to prevent.
A tort action, the purpose of which is to redress a legal wrong by an award of damages, is not based on the same underlying claim as an action for dissolution, the purpose of which is to sever the marital relationship, to fix the rights of the parties with respect to alimony and child support, and to divide the marital estate.
The concerns expressed in this opinion are also reflected in the jurisprudence of several of our sister states that have wrestled with this issue.
In Nash v. Overholser, 114 Idaho 461, 757 P.2d 1180 (1988), the Idaho Supreme Court cited Stuart v. Stuart, supra, 143 Wis. 2d 347, with approval in deciding a similar question. In Nash, the parties had entered into a stipulation relating to the disposition of their property and the court entered a decree of divorce in accordance with the stipulation in March, 1985. Nash v. Overholser, supra, 461. In January, 1986, the plaintiff wife filed an action against her former husband alleging five instances of assault and battery that had occurred during the marriage. Id. Four of the counts were barred by the statute of limitations, but the fifth count, which was not barred, was “the most significant of the instances of abuse.” Id. The defendant moved for summary judgment on the ground that all five counts were barred by the doctrine of res judicata because the allegations of assault and battery could have been addressed by the court that had adjudicated the dissolution. Id., 461-62. The trial court denied the motion, stating that the dissolution action was not the proper proceeding in which to raise the tort claims. Id., 462. The Supreme Court of Idaho affirmed the judgment of the trial court concluding that, although Idaho trial courts have the jurisdiction while handling dissolution proceedings to address and resolve issues of intentional wrongful conduct that occurred during the course of a marriage, because of considerations unique to cases such as Nash, a narrow exception to that court’s traditional interpretation of res judicata was warranted.
In Nelson v. Jones, 787 P.2d 1031 (Alaska 1990), the Alaska Supreme Court decided that the doctrine of res judicata did not bar a postdissolution action by a husband for abuse of process, malicious prosecution and defamation based upon his former wife’s allegations of sexual abuse of their child although the “causes of action . . . [arose] out of some of the transactional events of the divorce.” (Internal quotation marks omitted.) Id., 1034. Relying on Stuart and Nash, the court concluded that it would be an inappropriate construction of the principles of res judicata to require tort claims between spouses to be litigated in a dissolution proceeding.
We recognize the need for finality between parties in a divorce proceeding. They should, if at all possible,
II
The defendant claims alternatively that, even if we conclude that the trial court improperly rendered summary judgment in his favor because res judicata does not apply to bar the separate tort claim, we should nevertheless apply the doctrine of collateral estoppel to preclude relitigation of an issue raised and decided in the dissolution action. Specifically, the defendant argues that the plaintiff raised and litigated the issue of
The defendant relies on the following facts to support his claim. The plaintiff had complained during the dissolution action that the defendant had wrongfully received $7379.54 from a life insurance policy that had insured his life for $100,000 and for which she had been named the beneficiary. In the distribution of marital assets, the plaintiff received assets worth $1,178,131, as compared to the defendant’s award of assets worth $1,103,593. Those figures were intended to reflect the trial court’s assessment of fault for the marital breakdown that had been determined on the basis of “all of the evidence.” Included in the assets awarded to the plaintiff was the $40,000 cash surrender value of the defendant’s new life insurance policy, which had been purchased, in part, with the money received from the policy that is the subject of this litigation. Additionally, the court ordered the defendant to pay to the plaintiff $440 per week in alimony for a nonmodifiable term of nine years, and to maintain life insurance in the amount of $206,000, with the plaintiff as the irrevocable beneficiary, during that nine year period. Although the defendant could reduce the face amount of the policy annually to reflect alimony payments made, at no time could the face value be less than the total amount of alimony he still owed. On the basis of those facts, the defendant argues that the doctrine of issue preclusion applies because the court’s orders in the dissolution action indicated that the court had considered the purported fraudulent endorsement in its property award.
The plaintiff argues in response that, although collateral estoppel does apply in theory, the trial court in the dissolution proceeding did not make findings that
“For an issue to be subject to collateral estoppel, it must have been fully and fairly litigated in the first action. It also must have been actually decided and the decision must have been necessary to the judgment. ... An issue is actually litigated if it is properly raised in the pleadings or otherwise, submitted for determination, and in fact determined. ... 1 Restatement (Second), [supra, § 27, comment (d)]. An issue is necessarily determined if, in the absence of a determination of the issue, the judgment could not have been validly rendered. F. James & G. Hazard, supra, (3d Ed. 1985) § 11.19. If an issue has been determined, but the judgment is not dependent upon the determination of the issue, the parties may relitigate the issue in a subsequent action. Findings on nonessential issues usually have the characteristics of dicta. 1 Restatement (Second), [supra, § 27, comment (h)].” (Citations omitted; emphasis in original; internal quotation marks omitted.) Jackson v. R. G. Whipple, Inc., 225 Conn. 705, 714-15, 627 A.2d 374 (1993).
To assert successfully the doctrine of issue preclusion, therefore, a party must establish that the issue
We note that courts in other states have considered whether parties can be collaterally estopped from litigating an issue in a subsequent civil action for damages based on conduct that had occurred during their marriage when that issue had already been determined in a prior dissolution action. See, e.g., McCoy v. Cooke, 165 Mich. App. 662, 667, 419 N.W.2d 44, appeal denied, 430 Mich. 897, 494 N.W.2d 784 (1988) (because trial court in dissolution action had determined that defendant had battered plaintiff during their marriage, collateral estoppel could be applied properly to prevent defendant from denying that assaults had occurred); Nelson v. Jones, supra, 787 P.2d 1035-36 (collateral estoppel was properly applied to preclude plaintiff husband from litigating issue of sexual abuse of his child in civil action against former wife for malicious prosecution, defamation and abuse of process because issue of sexual abuse had been litigated in divorce proceeding and, based upon consideration of custody stipulation between parents and testimony of expert witnesses, trial court in dissolution proceeding had explicitly determined issue adversely to him). It may be that,
This case has required us to decide whether the interest in the finality of judgments outweighs the other considerations that the plaintiff and courts in other states have expressed. Rather than complicate the dissolution action, unnecessarily delay crucial child custody and support determinations, and perhaps endanger lives in extreme cases, we will not require all claims and issues between married persons to be litigated in a dissolution proceeding.
The judgment of the trial court is reversed and the case is remanded for further proceedings according to law.
In this opinion the other justices concurred.
Although our trial courts have had to confront this question in its various permutations; see, e.g., Hutchings v. Hutchings, Superior Court, judicial district of Litchfield, Docket No. 054449S (February 22, 1993) (8 Conn. L. Rptr. 433); this case presents the first opportunity for this court to decide the issue.
This oral decision was transcribed into a sixty-three page memorandum of decision.
For ease of discussion, hereinafter we will refer to Patrick J. Delahunty, Jr., the plaintiffs former husband, as the defendant, and we will refer to the other defendants by name.
Because the trial court rendered summary judgment in favor of the defendant only, Massachusetts Mutual and Clements have no role in this appeal.
General Statutes § 52-564 provides: “Treble damages fortheft. Any person who steals any property of another, or knowingly receives and conceals stolen property, shall pay the owner treble his damages.”
General Statutes § 52-565 provides: “Double damages for forgery. Any person who falsely makes, alters, forges or counterfeits any document, or knowingly utters, as true, any document falsely made, altered, forged or counterfeited, shall pay double damages to any party injured thereby.”
The transactional test is discussed more fully in part I of this opinion.
See, e.g., Smith v. Smith, 530 So. 2d 1389 (Ala. 1988); Partlow v. Kolupa, 122 App. Div. 2d 509, 504 N.Y.S.2d 870 (1986), aff'd, 69 N.Y.2d 927, 509 N.E.2d 327, 516 N.Y.S.2d 632 (1987); Kemp v. Kemp, 723 S.W.2d 138 (Tenn. App. 1986).
In light of the lengthy delay between the dissolution action and the commencement of the present action, neither party has requested that the trial court in the dissolution action articulate its findings relating to the alleged fraud.
The standard of review of a trial court decision granting a motion for summary judgment is well settled and is not challenged in this case. Pursuant to Practice Book § 384, summary judgment “shall be rendered forthwith if the pleadings, affidavits and any other proof submitted show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law.” The party seeking summary judgment “ ‘has the burden of showing the absence of any genuine issue as to all the material facts, which, under applicable principles of substantive law, entitle him to a judgment as a matter of law’ D.H.R. Construction Co. v. Donnelly, 180 Conn. 430, 434, 429 A.2d 908 (1980); and the party opposing such a motion must provide an evidentiary foundation to demonstrate the existence of a genuine issue of material fact. See Practice Book § 381. “In deciding a motion for summary judgment, the trial court must view the evidence in the light most favorable to the nonmoving party. . . . The test is whether a party would be entitled to a directed verdict on the same facts.” (Citations omitted; internal quotation marks omitted.) Connell v. Colwell, 214 Conn. 242, 246-47, 571 A.2d 116 (1990).
Furthermore, the parties do not dispute the right of one spouse to sue his or her spouse or former spouse. See Dzenutis v. Dzenutis, 200 Conn. 290, 294, 512 A.2d 130 (1986) (rule of spousal immunity has been abolished in Connecticut); Silverman v. Silverman, 145 Conn. 663, 666, 145 A.2d 826 (1958).
As part of a dissolution action, the trial court may assign to either party all or any part of the estate of the other and may order either to pay alimony to the other. General Statutes §§ 46b-81 (a) and 46b-82. The purpose of property assignment is to divide equitably the ownership of the parties’ property; McPhee v. McPhee, 186 Conn. 167, 170-71, 440 A.2d 274 (1982); while an award of periodic and lump sum alimony is based primarily upon
Although we recognize that some states have applied the doctrine of res judicata to bar a postdissolution tort action; see footnote 8; we are not persuaded by the reasoning of those decisions.
The concurring opinion in Nash v. Overholser, supra, 114 Idaho 465, stated that the case would be more appropriately disposed of by holding that the assault and battery was not part of the same transaction that had been involved in the dissolution action. Relying on the “pragmatic” approach discussed in § 24 of the Restatement (Second), supra, Justice Johnson, with
Other cases in which courts have concluded that interspousal tort actions should not be litigated in divorce proceedings include Windaruer v. O’Connor, 107 Ariz. 267, 485 P.2d 1157 (1971), and Lord v. Shaw, 665 P.2d 1288 (Utah 1983).
“They will have enough problems with the care, custody and support of children without having wounds reopened after the marriage is terminated regarding prior existing claims.” Stuart v. Stuart, supra, 143 Wis. 2d 357 (Steinmetz, J., concurring).
Although our trial courts have had to confront this question in its various