JAMES R. PALMER, APPELLANT,
v.
JOSEPH E. MCCALLION, JAMES E. RAFFERTY, AND RAFFALION, INC., A FLORIDA CORPORATION, APPELLEE

Fla. 4th DCA | 1994-11-16
No. 93-1877
GLICKSTEIN and WARNER, JJ., concur.
645 So. 2d 131 Florida District Court of Appeal, Fourth District (1994) Caution
Cited by 17 cases

AI-generated. These summaries, headnotes, and key points are machine-generated and may contain errors or omissions. Always verify against the full opinion text below. Not legal advice.

Synopsis

The appellate court reversed the trial court's dismissal of the plaintiff's complaint, finding that the doctrines of res judicata and estoppel by judgment were improperly raised in a motion to dismiss.


Holding

The appellate court reversed the trial court's dismissal, holding that the doctrines of res judicata and estoppel by judgment were improperly raised in a motion to dismiss.


Headnotes

[1] Res judicata and collateral estoppel are affirmative defenses that must ordinarily be pled in an answer or similar pleading.

[2] An affirmative defense appearing on the face of a prior pleading may be asserted in a motion to dismiss.

Previewing 2 of 4 headnotes on this case. FLexlaw’s editorially structured points of law — every proposition, pinpointed — are reserved for members.

Join FLexlaw to unlock all legal intelligence

Facts & Procedural History

The plaintiff filed a complaint in Florida after a similar action in Massachusetts. The defendants moved to dismiss the Florida action based on res ju…

The full statement of facts, procedural history, and disposition for this case are member content.

Join FLexlaw to unlock all legal intelligence

© FLexlaw, Inc. — AI-generated enrichments are proprietary. All rights reserved.


Opinion of the Court
ALVAREZ, RONALD V., Associate Judge.

ALVAREZ, RONALD V., Associate Judge.

Appellant James Palmer (Palmer) was the plaintiff in the trial court. Appellees’ Joseph McCallion (McCallion), James Rafferty (Rafferty) and Raffalion, Inc. (Raffalion), were the defendants below. Palmer appeals the trial court’s order which granted appellees’ motion to dismiss Palmer’s complaint with prejudice. The trial court granted appellees’ motion on the ground that Palmer’s suit was barred by the doctrines of res judicata and estoppel by judgment. We reverse.

FACTS

Shortly before filing the instant action in Florida, Palmer filed a multi-count complaint in the state of Massachusetts. In that action, Palmer named as defendants McCallion, Rafferty and two other persons. As the Massachusetts complaint related to McCallion and Rafferty, it contained substantially similar allegations and causes of action as the complaint that was later filed in Florida. Three years after its filing, the Massachusetts action proceeded to a bench trial. In December, 1992, the trial judge entered an order entitled “Findings of Fact, Rulings of Law, and Order Concerning Judgment.” In that order, the trial judge found that Palmer was not entitled to an award of money damages, but left open the possibility that Palmer was entitled to an award of attorney’s fees. In regard to the entry of a final judgment, the court stated that it would enter judgment in accordance with its findings after ruling on Palmer’s motion for attorney’s fees. In July, 1993, the trial judge entered its final judgment.

Meanwhile, in August, 1989, Palmer filed the instant action in Florida. Appellees filed a motion to dismiss the Florida action. Among other matters, the motion to dismiss recited that Palmer had filed an almost identical complaint in Massachusetts. The trial court denied this initial motion to dismiss and the appellees filed their answer and affirmative defenses. Neither the application of the doctrine of res judicata nor estoppel by judgment were raised in the affirmative defenses filed by appellees. After filing their answer and affirmative defenses, appellees did raise two specific defenses in their second motion to dismiss. Appellees filed their second motion to dismiss after the Massachusetts court entered its “Findings of Fact, Rulings of Law, and Order Concerning Judgment,” but before entry of the Massachusetts final judgment. Nevertheless, appellees’ second motion to dismiss argued that the Massachusetts “judgment” resolved the issues framed in the Florida suit and required dismissal of this suit on the basis of the doctrines of res judicata and estoppel by judgment. The trial court agreed and dismissed Palmer’s complaint with prejudice.

Palmer seeks reversal of the order of dismissal with prejudice on several grounds. We will limit our discussion to Palmer’s argument that res judicata and estoppel by judgment are affirmative defenses that were improperly raised in the appellees’ second motion to dismiss. This issue is dispositive of this appeal.

LAW AND ANALYSIS

Rule 1.110(d), Florida Rules of Civil Procedure (1992), entitled “Affirmative Defenses,” provides in pertinent part:

In pleading to a preceding pleading a party shall set forth affirmatively ... estoppel, ... res judicata ... and any other matter constituting an avoidance or affirmative defense.... Affirmative defenses appearing on the face of a prior pleading may be asserted as grounds for a motion. ...

Res judicata and collateral estoppel are affirmative defenses that ordinarily must be pled in an answer or similar pleading. Appellees did not abide by this rule. However, appel-lees argue that the rule in question provides an exception which permits a party to assert in a motion any affirmative defense appearing on the face of a “prior pleading.” Appel-lees point to their first motion to dismiss that contained allegations concerning the Massachusetts action. The issue to be decided is whether the affirmative defenses of res judi-cata and estoppel appear on the face of a “prior pleading” such that appellees properly raised these affirmative defenses in their motion to dismiss.

This court’s holding in Tesher & Tesher, P.A. v. Cook, 386 So. 2d 1305 (Fla. 4th DCA 1980), is squarely on point. In reversing that portion of the order dismissing the complaint with prejudice on the theory of res judicata, this court specifically held that the term “prior pleading” refers to “one or more prior pleadings of the party against whom the motion to dismiss is directed,” e.g., a complaint. In order to raise affirmative defenses by a motion to dismiss, the party moving for dismissal cannot rely on its own pleadings as a “prior pleading.” See also Livingston v. Spires, 481 So. 2d 87 (Fla. 1st DCA 1986). There is nothing on the face of Palmer’s Florida complaint that discloses the existence of the affirmative defenses of res judicata or estoppel by judgment. It is only on the face of appellees’ initial motion to dismiss that the affirmative defenses appear. Although Cook considered solely the affirmative defense of res judicata, no sound reason exists why its holding should not apply with equal force to the affirmative defense of estoppel by judgment.

Accordingly, the order dismissing Palmer’s complaint with prejudice is reversed. This matter is remanded for further proceedings.

GLICKSTEIN and WARNER, JJ., concur.


Cases With Similar Vibessemantic neighbors from the corpus


Citator

Cited By

  • Bess v. Eagle Cap., Inc., 704 So. 2d 621 (Fla. 4th DCA 1997)
    …572 (Fla. 4th DCA 1996); Bolz v. State Farm Mut. Auto. Ins. Co., 679 So. 2d 836, 837 (Fla. 2d DCA 1996). Because of this limitation, generally, collateral estoppel is an affirmative defense which must be raised in an answer. See Palmer v. McCallion, 645 So. 2d 131, 133 (Fla. 4th DCA 1994)(“Res judicata and collateral estoppel are affirmative defenses that ordinarily must be pled in answer or similar pleading.”). An exception is made, however, where the face of the complaint is sufficient to demonstrate the ex…
  • McWHIRTER v. Murray Weiss, 704 So. 2d 214 (Fla. 2d DCA 1998)
    …. 1st DCA 1986). Thus, for the rule 1.110(d) exception to be applicable, McWhirter, Reeves’ complaint, on its face, would have had to disclose [*216] the prior, inconsistent pleadings which were subject to judicial estoppel. See Palmer v. McCallion, 645 So. 2d 131, 133 (Fla. 4th DCA 1994). The complaint filed by McWhirter, Reeves makes no mention of the Dade County action. Because the Dade County pleadings were not before the court on proper grounds, the trial court had no basis to determine the judicial est…
  • Garnac Grain Co., Inc. v. Mejia, 962 So. 2d 408 (Fla. 4th DCA 2007)
    …for summary judgment, the trial court erred when it ventured outside the four corners of the [*411] complaint, took judicial notice of the final judgment of dissolution of marriage, and dismissed the complaint with prejudice”); Palmer v. McCallion, 645 So. 2d 131, 133 (Fla. 4th DCA 1994) (recognizing that “Mes judicata and collateral estoppel are affirmative defenses that ordinarily must be pled in an answer or similar pleading”). Accordingly, we reverse and remand for proceedings consistent with this opini…

Previewing 3 of 9 citing cases — full citator treatment, depth of discussion, and citing context are member features.

Join FLexlaw to unlock all legal intelligence

Authorities Cited

Full citator, related cases, and AI research tools

Open in FLexlaw