Frivolous litigation
Encyclopedia
In law, frivolous litigation is the practice of starting or carrying on law suits that, due to their lack of legal merit, have little to no chance of being won. The term does not include cases that may be lost due to other matters not related to legal merit. While colloquially, a person may term a law suit to be frivolous if he or she personally finds a claim to be absurd, in legal usage "frivolous litigation" consists of a claim or defense that is presented where the party (or the party's legal counsel) had reason to know that the claim or defense was manifestly insufficient or futile. The fact that a claim is lost does not imply that it was frivolous.
Frivolous litigation may be based on absurd legal theories, may involve a superabundance or repetition of motion
s or additional suits, may be uncivil or harassing to the court, or may claim extreme remedies
. A claim or defense may be frivolous because it had no underlying justification in fact, or because it was not presented with an argument
for a reasonable extension or reinterpretation of the law
. A claim may be deemed frivolous because existing laws unequivocally prohibit such a claim, such as a so-called Good Samaritan law
.
In the United States
, Rule 11 of the Federal Rules of Civil Procedure
and similar state rules require that an attorney perform a due diligence
investigation concerning the factual basis for any claim or defense. Jurisdictions differ on whether a claim or defense can be frivolous if the attorney acted in good faith
. Because such a defense or claim wastes the court's and the other parties' time, resources and legal fees, sanctions
may be imposed by a court upon the party or the lawyer who presents the frivolous defense or claim. The law firm may also be sanctioned, or even held in contempt
.
, frivolous arguments may result in a penalty of up to $25,000 under . Similarly, section 7482 of the Internal Revenue Code provides that the U.S. Supreme Court and the federal courts of appeals may impose penalties where the taxpayer's appeal of a U.S. Tax Court decision was "maintained primarily for delay" or where "the taxpayer's position in the appeal is frivolous or groundless."
In a non-criminal case in a United States district court, a litigant (or a litigant's attorney) who presents any pleading, written motion or other paper to the court is required, under Rule 11 of the Federal Rules of Civil Procedure, to certify that, to the best of the presenter's knowledge and belief, the legal contentions "are warranted by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law". Monetary civil penalties for violation of this rule may in some cases be imposed on the litigant or the attorney under Rule 11. In one case, the Seventh Circuit issued an order giving such an attorney "14 days to show cause why he should not be fined $10,000 for his frivolous arguments". A similar rule penalizing frivolous litigation applies in U.S. Bankruptcy Court under Rule 9011.
Congress has enacted section 1912 of title 28 of the United States Code providing that in the United States Supreme Court and in the various courts of appeals where litigation by the losing party has caused damage to the prevailing party, the court may impose a requirement that the losing party pay the prevailing party for those damages.
Litigants who represent themselves (in forma pauperis
and pro se) sometimes make frivolous arguments due to their limited knowledge of the law and procedure. The particular tendency of prison
ers to bring baseless lawsuits led to passage of the Prison Litigation Reform Act
of 1995, which limits the ability of prisoners to bring actions without payment.
:
Washington, an inmate from Georgia, was eventually prohibited from filing any future lawsuits or motions in any district court unless he first posted a contempt bond of $1,500. To be deemed frivolous, a litigant's arguments must strike beyond the pale.
Pearson v. Chung
, the case of a Washington, D.C.
judge, Roy Pearson, who sued a dry cleaning
business for $67 million (later lowered to $54 million), has been cited as an example of frivolous litigation. According to Pearson, the dry cleaners lost his pants (which he brought in for a $10.50 alteration) and refused his demands for a large refund. Pearson believed that a 'Satisfaction Guaranteed' sign in the window of the shop legally entitled him to a refund for the cost of the pants, estimated at $1,000. The $54 million total also included $2 million in "mental distress" and $15,000 which he estimated to be the cost of renting a car every weekend to go to another dry cleaners.
In 2010, US federal prosecutors asked a judge to help them stop Jonathan Lee Riches
from filing any more lawsuits, arguing that his frequent filings were frivolous.
Frivolous litigation may be based on absurd legal theories, may involve a superabundance or repetition of motion
Motion (legal)
In law, a motion is a procedural device to bring a limited, contested issue before a court for decision. A motion may be thought of as a request to the judge to make a decision about the case. Motions may be made at any point in administrative, criminal or civil proceedings, although that right is...
s or additional suits, may be uncivil or harassing to the court, or may claim extreme remedies
Legal remedy
A legal remedy is the means with which a court of law, usually in the exercise of civil law jurisdiction, enforces a right, imposes a penalty, or makes some other court order to impose its will....
. A claim or defense may be frivolous because it had no underlying justification in fact, or because it was not presented with an argument
Argument
In philosophy and logic, an argument is an attempt to persuade someone of something, or give evidence or reasons for accepting a particular conclusion.Argument may also refer to:-Mathematics and computer science:...
for a reasonable extension or reinterpretation of the law
Law
Law is a system of rules and guidelines which are enforced through social institutions to govern behavior, wherever possible. It shapes politics, economics and society in numerous ways and serves as a social mediator of relations between people. Contract law regulates everything from buying a bus...
. A claim may be deemed frivolous because existing laws unequivocally prohibit such a claim, such as a so-called Good Samaritan law
Good Samaritan law
Good Samaritan laws are laws or acts protecting those who choose to serve and tend to others who are injured or ill. They are intended to reduce bystanders' hesitation to assist, for fear of being sued or prosecuted for unintentional injury or wrongful death...
.
In the United States
United States
The United States of America is a federal constitutional republic comprising fifty states and a federal district...
, Rule 11 of the Federal Rules of Civil Procedure
Federal Rules of Civil Procedure
The Federal Rules of Civil Procedure govern civil procedure in United States district courts. The FRCP are promulgated by the United States Supreme Court pursuant to the Rules Enabling Act, and then the United States Congress has 7 months to veto the rules promulgated or they become part of the...
and similar state rules require that an attorney perform a due diligence
Due diligence
"Due diligence" is a term used for a number of concepts involving either an investigation of a business or person prior to signing a contract, or an act with a certain standard of care. It can be a legal obligation, but the term will more commonly apply to voluntary investigations...
investigation concerning the factual basis for any claim or defense. Jurisdictions differ on whether a claim or defense can be frivolous if the attorney acted in good faith
Good faith
In philosophy, the concept of Good faith—Latin bona fides “good faith”, bona fide “in good faith”—denotes sincere, honest intention or belief, regardless of the outcome of an action; the opposed concepts are bad faith, mala fides and perfidy...
. Because such a defense or claim wastes the court's and the other parties' time, resources and legal fees, sanctions
Sanctions (law)
Sanctions are penalties or other means of enforcement used to provide incentives for obedience with the law, or with rules and regulations. Criminal sanctions can take the form of serious punishment, such as corporal or capital punishment, incarceration, or severe fines...
may be imposed by a court upon the party or the lawyer who presents the frivolous defense or claim. The law firm may also be sanctioned, or even held in contempt
Contempt of court
Contempt of court is a court order which, in the context of a court trial or hearing, declares a person or organization to have disobeyed or been disrespectful of the court's authority...
.
Statutes and rules of court penalizing frivolous litigation
In the United States Tax CourtUnited States Tax Court
The United States Tax Court is a federal trial court of record established by Congress under Article I of the U.S. Constitution, section 8 of which provides that the Congress has the power to "constitute Tribunals inferior to the supreme Court"...
, frivolous arguments may result in a penalty of up to $25,000 under . Similarly, section 7482 of the Internal Revenue Code provides that the U.S. Supreme Court and the federal courts of appeals may impose penalties where the taxpayer's appeal of a U.S. Tax Court decision was "maintained primarily for delay" or where "the taxpayer's position in the appeal is frivolous or groundless."
In a non-criminal case in a United States district court, a litigant (or a litigant's attorney) who presents any pleading, written motion or other paper to the court is required, under Rule 11 of the Federal Rules of Civil Procedure, to certify that, to the best of the presenter's knowledge and belief, the legal contentions "are warranted by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law". Monetary civil penalties for violation of this rule may in some cases be imposed on the litigant or the attorney under Rule 11. In one case, the Seventh Circuit issued an order giving such an attorney "14 days to show cause why he should not be fined $10,000 for his frivolous arguments". A similar rule penalizing frivolous litigation applies in U.S. Bankruptcy Court under Rule 9011.
Congress has enacted section 1912 of title 28 of the United States Code providing that in the United States Supreme Court and in the various courts of appeals where litigation by the losing party has caused damage to the prevailing party, the court may impose a requirement that the losing party pay the prevailing party for those damages.
Litigants who represent themselves (in forma pauperis
In forma pauperis
In forma pauperis is a Latin legal term meaning "in the character or manner of a pauper". In the United States, the IFP designation is given by both state and federal courts to someone who is without the funds to pursue the normal costs of a lawsuit or a criminal defense...
and pro se) sometimes make frivolous arguments due to their limited knowledge of the law and procedure. The particular tendency of prison
Prison
A prison is a place in which people are physically confined and, usually, deprived of a range of personal freedoms. Imprisonment or incarceration is a legal penalty that may be imposed by the state for the commission of a crime...
ers to bring baseless lawsuits led to passage of the Prison Litigation Reform Act
Prison Litigation Reform Act
The Prison Litigation Reform Act is a U.S. federal law that was enacted in 1996. Congress enacted PLRA in response to a significant increase in prisoner litigation in the federal courts; the PLRA was designed to help unclog the court system from this litigation.For the preceding 20 – 30 years,...
of 1995, which limits the ability of prisoners to bring actions without payment.
Court treatment of frivolous arguments
An example of a Court's treatment of frivolous arguments is found in the case of Crain v. Commissioner, 737 F.2d 1417 (1984), from the United States Court of Appeals for the Fifth CircuitUnited States Court of Appeals for the Fifth Circuit
The United States Court of Appeals for the Fifth Circuit is a federal court with appellate jurisdiction over the district courts in the following districts:* Eastern District of Louisiana* Middle District of Louisiana...
:
-
- Glenn Crain appeals from the dismissal of his Tax CourtUnited States Tax CourtThe United States Tax Court is a federal trial court of record established by Congress under Article I of the U.S. Constitution, section 8 of which provides that the Congress has the power to "constitute Tribunals inferior to the supreme Court"...
petition challenging the constitutional authority of that body and defying the jurisdiction of the Internal Revenue ServiceInternal Revenue ServiceThe Internal Revenue Service is the revenue service of the United States federal government. The agency is a bureau of the Department of the Treasury, and is under the immediate direction of the Commissioner of Internal Revenue...
to levy taxes on his income. Crain asserts that he "is not subject to the jurisdictionJurisdictionJurisdiction is the practical authority granted to a formally constituted legal body or to a political leader to deal with and make pronouncements on legal matters and, by implication, to administer justice within a defined area of responsibility...
, taxation, nor regulation of the state," that the "Internal Revenue Service, Incorporated" lacks authority to exercise the judicial power of the United States, that the Tax Court is unconstitutionally attempting to exercise Article IIIArticle Three of the United States ConstitutionArticle Three of the United States Constitution establishes the judicial branch of the federal government. The judicial branch comprises the Supreme Court of the United States and lower courts as created by Congress.-Section 1: Federal courts:...
powers, and that jurisdiction over his person has never been affirmatively proven.
- Glenn Crain appeals from the dismissal of his Tax Court
-
- We perceive no need to refute these arguments with somber reasoning and copious citation of precedent; to do so might suggest that these arguments have some colorableColor (law)In U.S. law, the term color of denotes the “mere semblance of legal right”, the “pretense or appearance of” right; hence, an action done under color of law colors the law to the circumstance, yet said apparently legal action contravenes the law....
merit. The constitutionality of our income tax system—including the role played within that system by the Internal Revenue Service and the Tax Court—has long been established. We affirm the dismissal of Crain's spurious "petition" and the assessment of a penalty imposed by the Tax Court for instituting a frivolous proceeding. .
- We perceive no need to refute these arguments with somber reasoning and copious citation of precedent; to do so might suggest that these arguments have some colorable
-
- The government asks us to assess penalties against Crain for bringing this frivolous appeal, as is authorized by Fed. R. App. P. 38. In Parker v. C. I. R., 724 F. 2d 469, 472 (5th Cir. 1984), we sounded "a cautionary note to those who would persistently raise arguments against the income tax which have been put to rest for years. The full range of sanctions in Rule 38 hereafter shall be summoned in response to a totally frivolous appeal."
-
- We are sensitive to the need for the courts to remain open to all who seek in good faith to invoke the protection of law. An appeal that lacks merit is not always—or often—frivolous. However, we are not obliged to suffer in silence the filing of baseless, insupportable appeals presenting no colorable claims of error and designed only to delay, obstruct, or incapacitate the operations of the courts or any other governmental authority. Crain's present appeal is of this sort. It is a hodgepodge of unsupported assertions, irrelevant platitudes, and legalistic gibberish. The government should not have been put to the trouble of responding to such spurious arguments, nor this court to the trouble of "adjudicating" this meritless appeal.
-
- Accordingly, we grant the government's request. The United States shall recover from appellant Crain twice its cost of this appeal. Additionally, we assess against Crain a damage award of $2000 in favor of the appellee United States.
Impact upon filing attorney
Filing a claim that is ultimately deemed frivolous can be highly damaging to the attorney so filing. Attorney Daniel Evans writes:Examples of frivolous court filings
In Washington v. Alaimo the court listed more than seventy five frivolous "motions" (a request for a court to issue an order), all of which required the attention of the Court, including the following:- "Motion to Behoove an Inquisition"
- "Motion for Judex Delegatus"
- "Motion for Restoration of Sanity"
- "Motion for Deinstitutionalization"
- "Motion for PublicityPublicityPublicity is the deliberate attempt to manage the public's perception of a subject. The subjects of publicity include people , goods and services, organizations of all kinds, and works of art or entertainment.From a marketing perspective, publicity is one component of promotion which is one...
" - "Motion to Vacate Jurisdiction"
- "Motion for Cesset pro Cessus"
- "Motion for Nunc pro tuncNunc pro tuncNunc pro tunc is a Latin expression in common legal use in the English language. It means Now for then. In general, a court ruling "nunc pro tunc" applies retroactively to correct an earlier ruling.-Definition:...
" - "Motion for PsychoanalysisPsychoanalysisPsychoanalysis is a psychological theory developed in the late 19th and early 20th centuries by Austrian neurologist Sigmund Freud. Psychoanalysis has expanded, been criticized and developed in different directions, mostly by some of Freud's former students, such as Alfred Adler and Carl Gustav...
" - "Motion to Impeach Judge Alaimo"
- "Motion to Renounce CitizenshipCitizenshipCitizenship is the state of being a citizen of a particular social, political, national, or human resource community. Citizenship status, under social contract theory, carries with it both rights and responsibilities...
" - "Motion to Exhume Body of Alex Hodgson"
- "Motion to Invoke and Execute Rule 15—Retroactive Note: The Court's School Days are Over"
- "Motion for Skin Change Operation"
- "Motion for Catered Food Services"
Washington, an inmate from Georgia, was eventually prohibited from filing any future lawsuits or motions in any district court unless he first posted a contempt bond of $1,500. To be deemed frivolous, a litigant's arguments must strike beyond the pale.
Pearson v. Chung
Pearson v. Chung
Pearson v. Chung, better known as the "pants lawsuit", is a civil case filed in 2005 by Roy L. Pearson, Jr., an administrative law judge in the District of Columbia in the United States, following a dispute with a dry cleaning company over a lost pair of trousers. Pearson filed suit against Soo...
, the case of a Washington, D.C.
Washington, D.C.
Washington, D.C., formally the District of Columbia and commonly referred to as Washington, "the District", or simply D.C., is the capital of the United States. On July 16, 1790, the United States Congress approved the creation of a permanent national capital as permitted by the U.S. Constitution....
judge, Roy Pearson, who sued a dry cleaning
Dry cleaning
Dry cleaning is any cleaning process for clothing and textiles using a chemical solvent other than water. The solvent used is typically tetrachloroethylene , abbreviated "perc" in the industry and "dry-cleaning fluid" by the public...
business for $67 million (later lowered to $54 million), has been cited as an example of frivolous litigation. According to Pearson, the dry cleaners lost his pants (which he brought in for a $10.50 alteration) and refused his demands for a large refund. Pearson believed that a 'Satisfaction Guaranteed' sign in the window of the shop legally entitled him to a refund for the cost of the pants, estimated at $1,000. The $54 million total also included $2 million in "mental distress" and $15,000 which he estimated to be the cost of renting a car every weekend to go to another dry cleaners.
In 2010, US federal prosecutors asked a judge to help them stop Jonathan Lee Riches
Jonathan Lee Riches
Jonathan Lee Riches is a prisoner known for the many lawsuits he has filed in various United States district courts. Riches is incarcerated at Federal Medical Center Lexington Kentucky, for wire fraud under the terms of a plea bargain. His projected release date is March 23, 2012...
from filing any more lawsuits, arguing that his frequent filings were frivolous.
See also
- Abuse of processAbuse of processAbuse of process is a cause of action in tort arising from one party making a malicious and deliberate misuse or perversion of regularly issued court process not justified by the underlying legal action.It is a common law intentional tort...
- Anders v. CaliforniaAnders v. CaliforniaAnders v. California was a U.S. Supreme Court case in which a court-appointed attorney filed a motion to withdraw from the appeal of a criminal case because of his belief that the grounds for the appeal were frivolous...
- BarratryBarratryBarratry is the name of four legal concepts, three in criminal and civil law, and one in admiralty law.* Barratry, in criminal and civil law, is the act or practice of bringing repeated legal actions solely to harass...
- Franchise fraudFranchise fraudFranchise fraud is defined by the United States Federal Bureau of Investigation as a pyramid scheme.- Franchise fraud in U.S. federal law :The FBI website states:...
- Frivolous or vexatiousFrivolous or vexatiousIn the law of several jurisdictions, such as Ireland and New Zealand, frivolous or vexatious, when used to describe an action such as a complaint or a legal proceeding, is a term used to deny its being heard, or to dismiss or strike out any ensuing judicial or non-judicial processes.While the term...
- Jonathan Lee RichesJonathan Lee RichesJonathan Lee Riches is a prisoner known for the many lawsuits he has filed in various United States district courts. Riches is incarcerated at Federal Medical Center Lexington Kentucky, for wire fraud under the terms of a plea bargain. His projected release date is March 23, 2012...
- Judith Richardson HaimesJudith Richardson HaimesJudith Richardson Haimes is an American woman from Philadelphia, PA, who worked as a psychic in Newark, Delaware, until an allergic reaction to the iodine tracer injected for a CAT scan allegedly disabled her. She sued Temple University Hospital and was awarded over $600,000 for pain and suffering...
- Liebeck v. McDonald's Restaurants
- Malicious prosecutionMalicious prosecutionMalicious prosecution is a common law intentional tort, while like the tort of abuse of process, its elements include intentionally instituting and pursuing a legal action that is brought without probable cause and dismissed in favor of the victim of the malicious prosecution...
- Pearson v. ChungPearson v. ChungPearson v. Chung, better known as the "pants lawsuit", is a civil case filed in 2005 by Roy L. Pearson, Jr., an administrative law judge in the District of Columbia in the United States, following a dispute with a dry cleaning company over a lost pair of trousers. Pearson filed suit against Soo...
- Stella Awards
- SLAPP
- SpamigationSpamigationSpamigation is mass litigation conducted to intimidate large numbers of people. The term was coined by Brad Templeton of the Electronic Frontier Foundation to explain the tactics of the Recording Industry Association of America , which files large numbers of lawsuits against individuals for file...
- Tax protester argumentsTax protester argumentsTax protester arguments are a number of objections raised by individuals who deny that a person has a legal obligation to pay a tax for which the United States government has determined that person is liable....
- Tax protester (United States)Tax protester (United States)A tax protester is someone who refuses to pay a tax on constitutional or legal grounds, typically because he or she believes that the tax laws are unconstitutional or otherwise invalid...
- Tort reformTort reformTort reform refers to proposed changes in common law civil justice systems that would reduce tort litigation or damages. Tort actions are civil common law claims first created in the English commonwealth system as a non-legislative means for compensating wrongs and harm done by one party to...
- Vexatious litigationVexatious litigationVexatious litigation is legal action which is brought, regardless of its merits, solely to harass or subdue an adversary. It may take the form of a primary frivolous lawsuit or may be the repetitive, burdensome, and unwarranted filing of meritless motions in a matter which is otherwise a...