Isidoro Rodriguez v. Jane Doe
Filing
UNPUBLISHED PER CURIAM OPINION filed. Motion disposition in opinion--denying Motion for other relief [999141724-2]; denying Motion to strike [999132480-2]; denying Motion to disqualify/recuse judge [999121995-2] Originating case number: 3:12-cv-00663-JAG Copies to all parties and the district court/agency. [999256791]. Mailed to: appellant. [13-1638]
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UNPUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
No. 13-1638
ISIDORO RODRIGUEZ,
Plaintiff - Appellant,
v.
JANE DOE, Member of the Virginia State Bar Disciplinary
Board ("Board"), sued as individual of an unauthorized
entity; JOHN DOE, Member of the Virginia State Bar
Disciplinary Board ("Board"), sued as individual of an
unauthorized entity; CYNTHIA D. KINSER, sued as individual;
DONALD W. LEMONS, sued as individual; S. BERNARD GOODWYN,
sued as individual; LEROY F. MILLETTE, JR., sued as
individual; WILLIAM C. MIMS, sued as individual; ELIZABETH
A. MCCLANAHAN, sued as individual; CLEO E. POWELL, sued as
individual;
CHARLES
S.
RUSSELL,
sued
as
individual;
ELIZABETH B. LACY, sued as individual; LAWRENCE L. KOONTZ,
sued as individual; JANE DOE, Officer of the Virginia State
Bar, sued as individual; JOHN DOE, Officer of the Virginia
State Bar, sued as individual; KENNETH T. CUCCINELLI, II,
sued
as
individual;
CATHERINE
CROOKS
HILL,
sued
as
individual; JANE DOE, Officer/Member of the Virginia
Employment Commission, sued as individual; JOHN DOE,
Officer/Member of the Virginia Employment Commission, sued
as individual; JOHN G. ROBERTS, Justice of the United States
Supreme Court; WILLIAM K. SUTER, Justice of the United
States Supreme Court; MEMBERS OF THE U.S. COURT OF APPEALS
FOR THE DISTRICT OF COLUMBIA CIRCUIT, sued as individuals;
MEMBERS OF THE U.S. COURT OF APPEALS FOR THE SECOND CIRCUIT,
sued as individuals; MEMBERS OF THE U.S. COURT OF APPEALS
FOR THE THIRD CIRCUIT, sued as individuals; MEMBERS OF THE
U.S. COURT OF APPEALS FOR THE FOURTH CIRCUIT, sued as
individuals; MEMBERS OF THE U.S. COURT OF APPEALS FOR THE
FEDERAL CIRCUIT, sued as individuals; MEMBERS OF THE
DISTRICT OF COLUMBIA COURT OF APPEAL AND COMMITTEE ON
ADMISSIONS, sued as individuals; LEONIE M. BRINKEMA, sued in
her individual capacity; RICHARD W. ROBERTS, sued in
individual capacity; PAUL L. FRIEDMAN, sued in individual
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capacity; JAMES E. BOASBERG, sued in individual capacity;
JOHN O. COLVIN, sued in individual capacity; L. PAIGE
MARVEL, sued in individual capacity; RICHARD T. MORRISON,
sued in individual capacity; LAURENCE J. WHALEN, sued in his
individual capacity; DOUGLAS SHULMAN, sued in his individual
capacity; ERIC HOLDER, sued in individual capacity; RICHARD
A. SCHWARTZ, sued in his individual capacity; OFFICE OF THE
ASSISTANT U.S. ATTORNEY, EASTERN DISTRICT OF VIRGINIA, sued
in individual capacity; OFFICE OF THE ASSISTANT U.S.
ATTORNEY FOR D.C., sued in individual capacity; OFFICE OF
THE ASSISTANT U.S. ATTORNEY FOR THE EASTERN DISTRICT OF
PENNSYLVANIA, sued in individual capacity; OFFICE OF THE
ASSISTANT U.S. ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW
YORK, sued in individual capacity; JAMES LEROY BANKS, sued
as individual; WILLIAM ETHAN GLOVER, sued as individual;
STEPHEN A. WANNALL, sued as individual; GLENN M. HODGE, sued
as
individual;
WILLIAM
CARLYLE
BOYCE,
JR.,
sued
as
individual; JACK HARBESTON, sued individually and as alter
ego HFP, Inc., IOTA Partners, and Sea Search Armada LLC
(DE); JANE/JOHN DOES, AND DOE ENTITIES; UNITED STATES OF
AMERICA,
Defendants - Appellees.
Appeal from the United States District Court for the Eastern
District of Virginia, at Richmond.
John A. Gibney, Jr.,
District Judge. (3:12-cv-00663-JAG)
Submitted:
November 22, 2013
Decided:
December 11, 2013
Before Ed CARNES, Chief Judge of the United States Court of
Appeals for the Eleventh Circuit, sitting by designation, and
William H. PRYOR, Jr., Circuit Judge of the United States Court
of Appeals for the Eleventh Circuit, sitting by designation, and
Joel F. DUBINA, Circuit Judge of the United States Court of
Appeals for the Eleventh Circuit, sitting by designation.
Affirmed by unpublished per curiam opinion.
Isidoro Rodriguez, Appellant Pro Se.
THE ATTORNEY GENERAL OF VIRGINIA,
2
Farnaz Farkish, OFFICE OF
Richmond, Virginia, for
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Commonwealth Appellees.
Jonathan Holland Hambrick, Assistant
United States Attorney, OFFICE OF THE UNITED STATES ATTORNEY,
Richmond, Virginia, for the United States.
James S. DelSordo,
ARGUS LEGAL, LLC, Manassas, Virginia, for Appellee Jack
Harbeston.
Unpublished opinions are not binding precedent in this circuit.
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PER CURIAM:
Appellant
Isidoro
Rodriguez,
a
disbarred
attorney
proceeding pro se, appeals the district court’s dismissal of his
claims alleging treason, Va. Code Ann. §§ 18.2-481(5), 18.2-482;
Racketeering
(“RICO”)
Influenced
violations,
18
and
Corruption
U.S.C.
§ 1962(c)
Organization
and
Va.
Acts
Code
Ann.
§ 18.2-514; and a business conspiracy, Va. Code Ann. § 18.2-499;
and seeking a writ quo warranto for misuse of office, Va. Code
Ann. § 8.01-636. 1
On appeal, Rodriguez argues that the district
court’s dismissal of his complaint with prejudice—on the grounds
that his claims were barred by res judicata, the Rooker-Feldman 2
doctrine, judicial immunity, and failure to state a claim—was
erroneous.
Rodriguez
also
challenges
the
district
court’s
imposition of sanctions after he filed his notice of appeal from
the district court’s dismissal of his complaint.
I.
We
review
dismissals
for
lack
of
subject
jurisdiction and failure to state a claim de novo.
matter
Cooksey v.
1
Rodriguez has abandoned any claim regarding a writ quo
warranto because he did not offer argument on the writ in his
initial brief. See Cavallo v. Star Enter., 100 F.3d 1150, 1152
n.2 (4th Cir. 1996).
2
Rooker v. Fid. Trust Co., 263 U.S. 413, 44 S.Ct. 149
(1923); District of Columbia Court of Appeals v. Feldman, 460
U.S. 462, 103 S.Ct. 1303(1983).
4
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Futrell,
721
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F.3d
226,
234
Pg: 5 of 15
(4th
Cir.
2013)
(subject
matter
jurisdiction); Cavallo v. Star Enter., 100 F.3d 1150, 1153 (4th
Cir. 1996) (failure to state a claim).
Applying
the
doctrine
of
res
judicata
is
proper
where:
(1) a prior case resulted in a final judgment on the merits;
(2) there is “an identity of the cause of action in both the
earlier and the later suit”; and (3) there is “an identity of
parties
or
their
privies
in
the
two
suits.”
Clodfelter
v.
Republic of Sudan, 720 F.3d 199, 210 (4th Cir. 2013) (internal
quotation marks omitted).
As to the second prong, we apply a
transactional approach, under which the first case will have a
preclusive effect if “the second suit arises out of the same
transaction or series of transactions as the claim resolved by
the prior judgment.”
Id. (internal quotation marks omitted).
Thus, a “newly articulated claim” will be barred by res judicata
“if it is based on the same underlying transaction and could
have been brought in the earlier action.”
Id.
We conclude from the record that the district court did not
err
in
dismissing
on
the
basis
of
res
judicata
Rodriguez’s
current claims against defendants that he had previously sued.
In Rodriguez v. Editor in Chief, Legal Times, 285 F. App’x 756
(D.C. Circuit 2008), and Rodriguez v. Shulman, 844 F. Supp. 2d 1
(D.D.C. 2012), the Court of Appeals for the District of Columbia
Circuit and the U.S. District Court for the District of Columbia
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issued final judgments on the merits of Rodriguez’s claims of
RICO violations and federal and state constitutional violations
for, among other reasons, claim and issue preclusion, judicial
immunity, and failure to state a claim.
Rodriguez’s
current
case
arose
transactions—specifically,
Rodriguez
from
the
practicing
out
These prior cases and
of
alleged
law.
the
same
conspiracy
Although
series
to
of
prevent
Rodriguez
raises
several new claims in the instant case, these new claims are
barred
by
res
judicata
because
they
are
based
on
the
same
conspiracy that Rodriguez alleged in his previous actions, and
he
could
have
brought
the
claims
in
those
actions.
See
lower
federal
courts
state
court
Clodfelter, 720 F.3d at 210.
II.
Under
lack
subject
judgments.
2006).
the
the
matter
doctrine,
jurisdiction
to
review
Adkins v. Rumsfeld, 464 F.3d 456, 463 (4th Cir.
Thus, a lower federal court may not review a case where
losing
caused
Rooker-Feldman
by
party
from
state-court
state
court
judgments
“complain[s]
rendered
before
of
injuries
the
district
court proceedings commenced and invit[es] district court review
and
rejection
marks omitted).
of
those
judgments.”
Id.
(internal
quotation
“In other words, the doctrine applies where a
party in effect seeks to take an appeal of an unfavorable statecourt decision to a lower federal court.”
6
Id. at 464 (internal
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quotation
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marks
omitted)
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(explaining
that
“the
test
is
not
whether the relief sought in the federal suit ‘would certainly
upset’ the enforcement of a state court decree, . . . but rather
whether the relief would ‘reverse or modify’ the state court
decree”).
Because
Rodriguez
seeks
in
this
lawsuit,
among
other
relief, reinstatement to the bar and the payment of unemployment
benefits, we conclude that the district court did not err in
applying
the
Rooker-Feldman
doctrine.
That
is,
in
seeking
reinstatement as an attorney, Rodriguez challenges the Supreme
Court of Virginia’s affirmance of his disbarment.
In seeking
the payment of unemployment benefits, Rodriguez challenges the
affirmance by the Court of Appeals of Virginia of the lower
state court decision that he was disqualified from receiving
unemployment benefits.
The Rooker-Feldman doctrine bars lower
federal courts from reviewing such state court decisions.
See
Adkins, 464 F.3d at 463-64.
III.
“[J]udicial immunity is an immunity from suit, not just
from ultimate assessment of damages.”
9,
11,
overcome
112
S.Ct.
only
actions—that
286,
where:
is,
288(1991).
(1) the
“actions
not
judge
taken
Mireles v. Waco, 502 U.S.
Judicial
engaged
in
the
immunity
in
can
be
nonjudicial
judge’s
judicial
capacity”; or (2) there was a complete lack of jurisdiction.
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Id. at 11-12, 112 S.Ct. at 288.
Allegations of bad faith or
malice will not overcome judicial immunity.
S.Ct. at 288.
Id. at 11, 112
Where state supreme court justices hear an appeal
from a lower court’s disciplinary decision, they are performing
a
“traditional
adjudicative
task.”
Supreme
Court
of
Va.
v.
Consumers Union, Inc., 446 U.S. 719, 734, 100 S.Ct. 1967, 1976
(1980), superseded on other grounds by statute, Federal Courts
Improvement
Act
of
1996,
Pub.
L.
No.
104-317,
§ 309(c),
110
Stat. 3847 (1996).
We
conclude
from
the
record
that
the
district
court
correctly determined that the judicial defendants were entitled
to
judicial
immunity.
The
prior
judicial
decisions
that
Rodriguez challenges in this case as part of a vast conspiracy
to deprive him of his rights were issued by the judges acting in
their judicial capacities.
See Mireles, 502 U.S. at 11, 112
S.Ct. at 288; Consumers Union, Inc., 446 U.S. at 734, 100 S.Ct.
at 1976.
Moreover, any argument that the judges acted with a
complete lack of jurisdiction is without merit.
See Mireles,
502 U.S. at 11, 112 S.Ct. at 288.
IV.
In reviewing the dismissal of a complaint, we assume that
all
well-pleaded
facts
are
true
inferences in the plaintiff’s favor.
and
draw
all
reasonable
Cooksey, 721 F.3d at 234.
“[C]ourts may consider relevant facts obtained from the public
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record, so long as these facts are construed in the light most
favorable
to
allegations
the
of
plaintiff
the
along
complaint.”
with
the
Clatterbuck
well-pleaded
v.
City
of
Charlottesville, 708 F.3d 549, 557 (4th Cir. 2013) (internal
quotation marks omitted).
“To survive a Rule 12(b)(6) motion to dismiss, a complaint
must establish facial plausibility by pleading factual content
that allows the court to draw the reasonable inference that the
defendant is liable for the misconduct alleged.”
(internal
quotation
plaintiff
must
marks
“nudge[]
omitted).
[his]
To
claims
resist
across
Id. at 554
dismissal,
the
line
a
from
conceivable to plausible.” Bell Atlantic Corp. v. Twombly, 550
U.S. 544, 570, 127 S.Ct. 1955, 1974 (2007).
accept
as
true
unreasonable
legal
conclusions
conclusions,
or
or
The court need not
“unwarranted
arguments.”
inferences,
Simmons
v.
United
Mortg. & Loan Inv., LLC, 634 F.3d 754, 768 (4th Cir. 2011)
(internal
quotation
marks
omitted).
To
survive
a
motion
to
dismiss, the complaint must include sufficient facts “to raise a
reasonable expectation that discovery will reveal evidence of
the alleged activity.”
615
F.3d
312,
317
(4th
US Airline Pilots Ass’n v. Awappa, LLC,
Cir.
2010)
(internal
quotation
marks
omitted).
Under Virginia state law, it is a crime to commit treason,
which
includes
“[r]esisting
the
9
execution
of
the
laws
under
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color
of
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its
authority.”
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Va.
Code
Ann.
§ 18.2-481(5).
Misprision of treason, which is also a crime, occurs when an
individual conceals the commission of treason.
Id. § 18.2-482.
We have explained, in the context of a federal civil rights suit
involving a federal criminal statute, that, “[t]he Supreme Court
historically has been loath to infer a private right of action
from
a
bare
criminal
statute,
because
criminal
statutes
are
usually couched in terms that afford protection to the general
public
instead
Broderick,
of
225
a
discrete,
F.3d
440,
well-defined
447-48
(4th
group.”
Cir.
Doe
2000)
v.
(internal
quotation marks and citation omitted).
The federal RICO statute prohibits a person from conducting
an
“enterprise’s
affairs
through
a
pattern
activity or collection of unlawful debt.”
of
racketeering
18 U.S.C. § 1962(c).
Similarly, the Virginia RICO statute prohibits a person from
participating in an “enterprise through racketeering activity.”
Va.
Code
Ann.
§ 18.2-514(c).
plaintiff
must
allege
at
continuing
pattern
and
activities
showing
they
Anderson
v.
Found.
for
a
As
least
to
two
the
federal
racketeering
relationship
had
the
same
Advancement,
among
or
statute,
acts
the
similar
Educ.
&
Indians, 155 F.3d 500, 505 (4th Cir. 1998).
and
a
“a
defendant’s
purposes.”
Emp’t
of
Am.
A plaintiff may
show continuity by showing that the racketeering acts were part
of the enterprise’s usual way of doing business.
10
Id.
As to the
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pattern requirement, “[i]t is not the number of predicates but
the
relationship
external
that
organizing
arranged.”
they
bear
principle
to
that
each
other
renders
or
them
to
some
ordered
or
H. J. Inc. v. Nw. Bell Tel. Co., 492 U.S. 229, 238,
109 S.Ct. 2893, 2900 (1989).
A plaintiff may establish the
relationship requirement “by showing that the criminal acts have
the same or similar purposes, victims, or methods of commission,
or are otherwise interrelated by distinguishing characteristics
and are not isolated events.”
Id. at 240, 109 S.Ct. at 2893.
The Virginia business conspiracy statute prohibits two or
more
persons
from
agreeing
and
mutually
undertaking
to
“willfully and maliciously injur[e] another in his reputation,
trade, business or profession by any means whatever.”
Va. Code
Ann. § 18.2-499(A).
We
conclude
from
the
record
that
the
district
court
correctly found that Rodriguez failed to state claims upon which
relief
may
be
granted
as
to
his
violations, and business conspiracy.
claims
of
treason,
RICO
First, because Rodriguez
has presented no argument as to why the court should infer a
private
treason
right
of
criminal
action
from
statutes,
the
the
treason
district
and
misprision
court
of
correctly
determined that it was not plausible that the defendants would
be liable for treason or misprision of treason in this action.
See Clatterbuck, 708 F.3d at 554; Doe, 225 F.3d at 447-48.
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Next,
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as
to
Pg: 12 of 15
Rodriguez’s
RICO
and
business
conspiracy
claims, his complaint does not establish plausibility.
Rather,
his complaint indicates that the events in question began with
two separate and unrelated complaints to the state bar, which
ultimately led to Rodriguez’s disbarment in Virginia and other
courts, his loss of unemployment benefits, and several lawsuits.
Rodriguez’s
conspiracy
assertion
between
that
his
the
former
bar
complaints
client
and
the
arose
U.S.
from
a
Attorney
General is an “unreasonable conclusion[],” which we need not
accept.
See Simmons, 634 F.3d at 768.
As to the events that
followed the initial bar complaints, it is not plausible that
the individuals and courts who worked on these cases comprised
an enterprise or conspiracy that sought to victimize Rodriguez
and injure his profession.
Clatterbuck,
708
F.3d
at
See Va. Code Ann. § 18.2-499(A);
554.
Nor
has
Rodriguez
presented
“factual content” to support a finding that such an enterprise
or
conspiracy
existed.
See
Clatterbuck,
708
F.3d
at
554.
Rather, the reasonable inference to draw from these facts and
from the decisions in Rodriguez’s prior cases—which we consider
as part of the public record—is that the individuals and courts
who
worked
determined
on
that
Rodriguez’s
they
were
cases
considered
without
merit
his
for
a
claims
variety
and
of
reasons, including failure to state a claim, judicial immunity,
and
claim
and
issue
preclusion.
12
See
id. at
557;
Editor
in
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Chief, Legal Times, 285 F. App’x at 759-60; Shulman, 844 F.
Supp. 2d at 7-12.
For
all
of
the
above
reasons,
we
affirm
the
district
court’s dismissal of Rodriguez’s complaint.
V.
We review jurisdictional questions de novo and the issuance
of a pre-filing injunction for an abuse of discretion.
Balas v.
Huntington Ingalls Indus., Inc., 711 F.3d 401, 406 (4th Cir.
2013) (jurisdiction); Cromer v. Kraft Foods N. Am., Inc., 390
F.3d 812, 817 (4th Cir. 2004) (pre-filing injunction).
We have upheld the imposition of Rule 11 sanctions imposed
after
the
district
court
issued
its
appellant filed a notice of appeal.
v.
S.
Fuels
Co.,
813
F.2d
final
judgment
and
the
Langham-Hill Petroleum Inc.
1327,
1330-31
(4th
Cir.
1987)
(upholding the imposition of attorney’s fees awarded under Rule
11
despite
the
appellant’s
argument
that
the
district
court
lacked jurisdiction to impose sanctions after it filed a notice
of appeal).
It is the appellant’s duty to order transcripts relevant to
any
findings
appeal.
or
conclusions
Fed.R.App.P.
that
10(b)(2);
he
4th
intends
Cir.
R.
to
challenge
10(c)(1).
on
An
appellant waives an issue if he fails to comply with Federal
Rule of Appellate Procedure 10(b)(2) and provide us with the
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relevant transcripts.
Pg: 14 of 15
Keller v. Prince George’s Cnty., 827 F.2d
952, 954 n.1 (4th Cir. 1987).
“[F]ederal courts [have] the authority to limit access to
the courts by vexatious and repetitive litigants.”
F.3d at 817.
Cromer, 390
“Such a drastic remedy must be used sparingly,”
but may be appropriate in cases where a litigant abuses “the
judicial process by filing meritless and repetitive actions.”
Id. at 817-18 (quoting Brow v. Farrelly, 994 F.2d 1027, 1038 (3d
Cir. 1993)).
Rodriguez’s
argument
that
the
district
court
lacked
jurisdiction to impose sanctions after he filed his notice of
appeal is without merit.
See Langham-Hill Petroleum Inc., 813
F.2d at 1330-31.
Furthermore, the district court has the ability to limit
access
to
the
courts,
and
Rodriguez
has
waived
any
argument
regarding the merits of the pre-filing injunction because he
failed to provide the Court with the transcript of the sanctions
hearing.
n.1.
See Cromer, 390 F.3d at 817; Keller, 827 F.2d at 954
For
the
above-stated
reasons,
14
we
affirm
the
district
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court’s
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judgment
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of
dismissal
Pg: 15 of 15
and
the
district
court’s
imposition of sanctions. 3
AFFIRMED
3
We DENY as moot Rodriguez’s motion to disqualify and
recuse the judges of the Fourth Circuit and Chief Justice John
G. Roberts.
We also DENY Rodriguez’s motion to strike the
federal defendants’ response brief, and DENY Rodriguez’s motion
for an injunction.
15
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