No. 91-1003.United States Court of Appeals, Fifth Circuit.
June 8, 1992. Rehearing and Rehearing En Banc Denied August 6, 1992.
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Dalton McBee, Jr., T. Hunt Cole, Jr., Sp. Asst. Attys. Gen., Mike Moore, Atty. Gen., Jackson, Miss., for defendant-appellant.
Jim Waide, Tupelo, Miss., for plaintiffs-appellees.
Appeal from the United States District Court for the Northern District of Mississippi.
Before WILLIAMS, DUHE, and EMILIO M. GARZA, Circuit Judges.
JERRE S. WILLIAMS, Circuit Judge:
[1] Harold Wayne Enlow, Angela Deaton, and Harold’s Enterprises, Inc.,[1] filed this suit under 42 U.S.C. § 1983 against Tishomingo County, Mississippi, Sheriff Richard Dobbs, sheriff of Tishomingo County, and Officer Jim Wall, a Mississippi Highway Patrol investigator, employed by the Mississippi Department of Public Safety. The suit alleges violations of the First, Fourth, Fifth, and Fourteenth Amendments, as well as state tort claims of malicious prosecution and abuse of process. As the focus of this interlocutory appeal by Officer Jim Wall, Enlow alleges that Wall had arrested him in violation of his First and Fourth Amendment rights. Enlow together with Deaton assert that Wall had violated their First Amendment rights through Wall’s grand jury testimony. Finally, Enlow and Deaton claim that Wall was liable for malicious prosecution and abuse of process concerning the grand jury testimony. The district court denied Wall’s motion for summary judgment based upon qualified or absolute immunity, finding that material fact questions remained as to those issues. We affirm the district court’s decision. [2] I. FACTS AND PRIOR PROCEEDINGSPage 504
arrived, Enlow was outside the building helping direct traffic. At this juncture, however, the parties’ versions of the facts differ significantly.
[6] Wall contends that after the officers had entered the building, Enlow approached the Sheriff and asked what was occurring. The Sheriff responded that the place was being raided, the officers having determined that an illegal gambling operation existed on the premises. While standing next to his son-in-law, Enlow allegedly told the Sheriff that he could not carry out the raid because the building belonged to Enlow. The Sheriff replied: “Mr. Enlow, if you would, just don’t interfere, just be nice and stand right here.” Although Enlow’s son-in-law put his arm around him and told him not to interfere, Enlow began “hollering”: “You can’t take a dime of this money and you will not leave this building with that money. It is not your money. It belongs to these people.” Wall then contends that Enlow’s actions provided the impetus for the unruly behavior by the crowd.[5] Just as Enlow had “hollered” at the Sheriff, the crowd began to “holler” — “Give us our money.” Then suddenly, according to Wall, Enlow started taking pictures in close proximity to the Sheriff’s face, rendering him temporarily blind. Because Enlow took the pictures and excited the crowd, Sheriff directed Wall to place Enlow under arrest.[6] [7] In contrast, the crux of Enlow’s account is that since he had contacted the Secretary of State, and believed the operation to be legal, he regarded the raid of the premises and the Sheriff’s arrests of the lessees as unlawful. To this end, he made two inquiries: whether Sheriff had a search warrant and whether he had an arrest warrant. As to the first inquiry, the Sheriff informed him that he did not need to have a search warrant. As to the second inquiry, the Sheriff replied: “[I]f you don’t shut your mouth … and get out of the damn way, I’ll put you under arrest for interference with a raid.” Enlow asserts that after such an encounter, he remained silent; he did not want to be arrested. He does acknowledge, however, that he did borrow a camera from a bystander and did take a picture of the raid in progress. As soon as he took the picture, Sheriff Dobbs arrested him for interference with a raid.[7] [8] Enlow was taken into custody and was required to post a two percent bond fee. On February 6, 1989, the Justice Cour nol-prossed the interference charge against Enlow. Appellees then brought this section 1983 action in federal court. At the time, no criminal charges were pending against Enlow or Deaton. [9] Pursuant to grand jury testimony by Wall on April 6, 1989, the Tishomingo County Grand Jury indicted both Enlow and Deaton on criminal charges. The record indicates that Wall was the only witness who testified to the grand jury. In a trial before the Circuit Court of Tishomingo County, the jury (1) could not come to an agreement as to whether Enlow permitted a game prohibited by law to be carriedPage 505
on in his building in violation of Section 97-33-13 of the Mississippi Code,[8] creating a mistrial as to that charge; (2) found Enlow not guilty of vigorously and forcefully opposing the seizure of monies in violation of Section 97-33-19; and (3) found Deaton not guilty of willfully and unlawfully operating and exhibiting gambling tables. Finally, the court directed a verdict of not guilty on the charge that Deaton and Enlow publicly put up a lottery in violation of Section 97-33-31,[9] and the charge that Enlow was operating and exhibiting gambling tables.
[10] In this appeal of the federal case before us, filed before the criminal prosecution, only claims against Wall are involved. Prior to any discovery, Wall filed his first motion for summary judgment, asserting that qualified immunity barred the claims against him arising out of Enlow’s arrest on September 25, 1988. The district court subsequently denied Wall’s first summary judgment motion, noting the existence of genuine issues of material fact.[10] After considerable discovery as well as the filing of several amended complaints, including a fourth amended complaint in which a new theory of recovery was asserted against Wall for retaliation claims growing out of his grand jury testimony, Wall again moved for summary judgment on qualified and absolute immunity grounds. Appellees then filed a cross-motion for summary judgment on various grounds not at issue on this appeal. [11] The district court first found that whether Wall acted as a reasonable officer with a reasonable understanding of Enlow’s constitutional rights, under both the First and Fourteenth Amendments, depended on the actual occurrences on the night of the raid. Thus, although the court rejected Enlow’s argument that Section 97-33-19 of the Mississippi Code was facially invalid as violative of First Amendment rights, it reserved ruling on the constitutionality of the statute as it applied to the arrest of Enlow until further fact finding occurred. According to the court, fact questions exist as to whether Wall may have infringed Enlow’s First Amendment rights in applying the statute because there was no clear or present danger or incitement to riot on the night of the bingo raid.[11] Conflicting testimony as to the size of the crowd and the nature of Enlow’s comments to Sheriff Dobbs created a factual question — whether Enlow’s arrest, allegedly for his speech only, was privileged under the First Amendment. The court properly denied the motion for summary judgment on the First Amendment claim. [12] The court also denied Wall’s summary judgment motion based upon immunity from alleged Fourth Amendment violations.Page 506
Wall appeals this denial.[12] The district court determined that Enlow’s claim of lack of probable cause was inextricably linked with the disputed circumstances surrounding his First Amendment claims. According to the court, Wall did not state that he aided in arresting Enlow because he had probable cause to believe that Enlow was engaged in illegal gambling. Wall relied upon Enlow’s alleged inciteful speech to create the probable cause for the arrest. Since material facts remained in dispute as to what occurred the night of the bingo game, the court found that Wall was not entitled to summary judgment based on qualified immunity.
[13] As to the First Amendment violations alleged by Deaton and Enlow concerning Wall’s grand jury testimony, the district court concluded that the appellees had presented sufficient evidence to create factual disputes regarding Wall’s motive and participation in the decision to renew the criminal charges. Consequently, the district court ruled that Wall had failed to show as a matter of law his entitlement to absolute immunity. [14] The district court also considered Enlow and Deaton’s claim that Wall’s grand jury testimony, resulting in indictments against them, constituted malicious prosecution and abuse of process.[13] With regard to the malicious prosecution assertion, the court found that whether or not Wall participated in the decision to bring charges against them after the earlier charge against Enlow had been nol-prossed was a fact determination best made at trial. Fact issues also existed on the elements of malice and lack of probable cause. Similarly, in addressing the plaintiffs’ abuse of process claim, the district court found that the plaintiffs presented sufficient evidence to create a factual dispute regarding Wall’s alleged ulterior motives; consequently, summary judgment was inappropriate.[15] II. DISCUSSION[16] A. JURISDICTION[17] 1. Successive Summary Judgment Motions
[18] Initially, we consider the appellees’ claim that this Court lacks jurisdiction to hear this appeal. According to the appellees, jurisdiction emerges as the pivotal issue in this case. They first contend that Mitchell v. Forsyth, 472 U.S. 511, 105 S.Ct. 2806, 86 L.Ed.2d 411 (1985), fails to provide the requisite basis for an appeal.[14] The decision that Wall would have to stand trial occurred when the district court denied his first motion for summary judgment on August 29, 1989. Wall did not appeal this order. Consequently, enabling Wall to file a second motion for summary judgment results in a mockery of the requirement that notice to appeal must be perfected within thirty days after the date of entry of the judgment or order. Fed.R.App.P. 4(a)(1).
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the assertion of a new theory of recovery, retaliation for filing of the section 1983 action, does not suffice.
[20] The district court, however, opted to allow a successive motion for summary judgment.[15] Such a determination, particularly regarding questions of the timing and sequence of motions in the district court, best lies at the district court’s discretion.[16] At the outset of the litigation, prior to discovery,[17] Wall had moved for summary judgment on the basis of qualified immunity. At that juncture, the district court found that questions of material fact remained. Wall’s second summary judgment motion then followed discovery and amendment of the pleadings. The district court did not reject such a procedural move and ruled accordingly. Moreover, no objection was interposed below that Wall’s second motion was untimely. The district court, within its discretionary purview, opted to entertain the second motion. This belies a conclusion that the trial court had already made a determination intended to be final that Wall would have to stand trial. Accordingly, we reject the appellees’ first jurisdictional contention.[21] 2. Pendent State Law Claims
[22] The appellees next assert that because this suit must proceed on the state law claims, the district court’s denial of Wall’s qualified immunity was not a final denial of Wall’s right to be free from suit for damages. Consequently, there is no final order from which to appeal. Appellees’ contention is meritless. The existence of pendent state law claims does not affect this Court’s jurisdiction to consider Wall’s qualified immunity defense. This Court regularly entertains appeals by public officials from denial of motions on qualified immunity grounds, notwithstanding the presence of pendent state law claims. See, e.g., Reese v. Anderson, 926 F.2d 494, 501 (5th Cir. 1991) Gassner v. City of Garland, Texas, 864 F.2d 394, 400-01 (5th Cir. 1989).
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not fraught with jurisdictional quandaries as the appellees maintain.
[24] B. JURISDICTION STANDARD OF REVIEWPage 509
alleged, we then address the issue of Wall’s qualified and/or absolute immunity. “[T]he resolution of these legal issues entail consideration of the factual allegations that make up the plaintiff[s’] claims for relief,” Mitchell, 472 U.S. at 528, 105 S.Ct. at 2816. The issue involved is a legal one, and review i de novo. Johnson v. Odom, 910 F.2d 1273, 1277 (5th Cir. 1990) (per curiam), cert. denied, ___ U.S. ___, 111 S.Ct. 1387, 113 L.Ed.2d 443 (1991).
[29] C. CONSTITUTIONAL CLAIMS[30] 1. The Arrest[31] a. First AmendmentPage 510
judgment on qualified immunity grounds.[21] Throughout the briefs, Wall perforce ignores that the circumstances leading up to Enlow’s arrest are substantially disputed. As the district court said: “Whether Wall was really arresting [Enlow] because he feared a riot or whether he was arresting [Enlow] because [Enlow] had exercised his First Amendment rights by demanding to know whether there was a search warrant or arrest warrant [is] a question of fact for the jury.” We conclude that the district court correctly determined that material facts remain in dispute concerning whether Wall was entitled to claim immunity as having acted reasonably in the context of Enlow’s First Amendment claim.
[35] b. Fourth Amendment[38] 2. Grand Jury Testimony[39] a. First Amendment
[40] Enlow and Deaton maintain that Wall’s participation in presenting gambling charges to the grand jury subsequent to their decision to file suit in federal court constitutes conduct proscribed by the Constitution and denies his claim of immunity in his testimony. They rely on Wall’s own deposition in which Wall concedes that he failed to see Enlow or Deaton perform any gambling activities the night of the raid. Further, and of great significance, is the fact that he clearly acknowledges possessing no new information at all at the time of his grand jury testimony. We find that the appellees have alleged a cognizable First Amendment violation.
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testimony as a witness for the grand jury as to “what he did, saw, and heard” on the night of the bingo raid.[24] Contrary to the district court’s decision, Wall maintains that no material fact in dispute exists; thus, he is entitled to absolute immunity from suit for his testimony.
[42] Whether an official is entitled to absolute or qualified immunity depends on the nature of the official’s function at issue. Forrester v. White, 484 U.S. 219, 227, 108 S.Ct. 538, 544, 98 L.Ed.2d 555 (1988). Prosecuting attorneys, for instance, are entitled to absolute immunity for their conduct in initiating a prosecution and in presenting the State’s case — these activities are “intimately associated with the judicial phase of the criminal process.” Imbler v. Pachtman, 424 U.S. 409, 430-31, 96 S.Ct. 984, 995, 47 L.Ed.2d 128 (1976). Witnesses, including police officers, are also shielded by absolute immunity from liability for their allegedly perjurious testimony. Briscoe v. LaHue, 460 U.S. 325, 346, 103 S.Ct. 1108, 1121, 75 L.Ed.2d 96Page 512
transpired prior to the grand jury testimony. Further, Wall’s statements at his deposition raise a genuine issue whether Wall’s testimony was in retaliation for appellees’ suit. We find that summary judgment was properly denied. Sufficient disputed evidence exists to support the possibility that Wall’s actions were taken in retaliation for an exercise by appellees of their constitutionally protected freedoms.[30]
[44] b. State Law ClaimsPage 513
determine the validity of Wall’s qualified or absolute immunity defense. These factual disputes involve Wall’s motive, role, and actions. Thus, we affirm the district court’s denial of a summary judgment based upon immunity as to the abuse of process allegation.
[48] III. CONCLUSION
[49] Our review of the record supports appellees’ argument that the dispute about the facts affecting Wall’s claims of immunity is genuine. Enlow undertakes to prove that the restraint upon his speech violated the First Amendment, that his initial arrest lacked probable cause in violation of the Fourth Amendment, that his and Deaton’s First Amendment rights were violated by Wall’s retaliatory actions, and that appellees were maliciously prosecuted. Wall’s qualified or absolute immunity defenses are dependent upon the appellees’ inability to prove these disputed issues of fact to determine if Wall’s actions were reasonably consistent with these constitutional or state law rights. We find that the district court properly denied Wall’s summary judgment motion on all counts. The facts as to Wall’s asserted immunity defenses must be determined at trial.
Any person or persons who shall oppose the seizure of any such moneys or appliances by any officer or person so authorized to make it, shall, on conviction thereof, be liable to a penalty of fifteen hundred dollars; and any person who shall take any part of said money after the said seizure shall be declared, shall be guilty of a misdemeanor, and on conviction thereof, shall be fined and imprisoned, at the discretion of the court.
Miss. Code Ann. § 97-33-19 (1972).
[The Sheriff] shook his finger in my face and said I told you, damn it, to stay out of this, you’re under arrest for interfering with a raid…. Jim Wall grabbed my hands, throwed them behind my back, throwed the handcuffs on me, caught me in the back of the collar with his left hand and his right hand shoved my arms up behind my back and shoved me down nearly on my knees and swung me around nearly knocking a woman down.
Any owner, lessee, or occupant of any outhouse or other building, who shall knowingly permit or suffer any of the before mentioned tables, banks, or games, or any other game prohibited by law, to be carried on, kept, or exhibited in his said house or other building, or on his lot or premises, being thereof convicted, shall be fined not less than one hundred dollars nor more than two thousand dollars.
Miss. Code Ann. § 97-33-13 (1972).
If any person, in order to raise money for himself or another, or for any purpose whatever, shall publicly or privately put up a lottery to be drawn or adventured for, he shall, on conviction, be imprisoned in the penitentiary not exceeding five years.
Miss. Code Ann. § 97-33-31 (1972).
Since [the first Motion for Summary Judgment was filed and denied], however, plaintiffs have filed a fourth amended complaint and further discovery has been completed. Thus, the court considers Wall’s second motion for summary judgment in light of these new facts. The other two defendants, Sheriff Dobbs and Tishomingo County, have not filed motions for summary judgment.
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