Alexander v. Morgan

Decision Date05 November 2018
Docket NumberCIVIL ACTION NO. 3:18-CV-288-CRS
Citation353 F.Supp.3d 622
Parties George ALEXANDER, Plaintiff v. Tareka MORGAN, et al., Defendants
CourtU.S. District Court — Western District of Kentucky

George Alexander, Hill View, KY, pro se.

Catherine J. Kamenish, Brendan R. Daugherty, Patrick CM Hoerter, Louisville, KY, for Defendants.

MEMORANDUM OPINION

Charles R. Simpson III, Senior Judge

I. Introduction

This case is before the Court following an order to show cause. DN 17. The Court entered the order because it had "grave concerns about the propriety of ruling on issues surrounding ongoing state proceedings or final state proceedings which have not been appealed to the courts of the Commonwealth of Kentucky." Id. at 5. Defendants Laura Taylor, Lauren Ingram, and Tareka Morgan, along with Plaintiff George Alexander, responded. DNs 21, 23, 24.1 Defendant Shante Franklin has not. These issues are ripe for review. Finding that the exercise of federal jurisdiction in this case offends the abstention doctrines of Younger , Colorado River , and Burford , this Court will sua sponte dismiss the claims and deny all other pending motions as moot.

II. Factual Background and Procedural History

Tareka Morgan gave birth to a child, K.M. DN 1 at 3. George Alexander was present at the hospital during the birth. Id. Alexander refused to provide information for an acknowledgment of paternity form and alleges he later entered into an oral agreement with Morgan to provide medical insurance and $300 per month placed on a prepaid debit card in lieu of child support. Id. This arrangement continued for about three months until Morgan and Alexander began to disagree on how the money was being spent. Id. Alexander alleges that Morgan then threatened to pursue child support, an endeavor he believes was fraudulent. Id. at 3–4. Eventually, the matter came to the Jefferson Circuit Court Family Division.

There, two proceedings occurred. The first, 13-J-503960, established Alexander's paternity. DN 21 at 1. The second, 14-CI-502980, was initiated by Alexander and sought custody, visitation, and support. Id. at 2. As a result of the second proceeding, Alexander was ordered to pay $450 per month in child support, which was eventually increased to $747 per month. Id. During this process, Alexander was represented by counsel and present at the hearings. Id.

At that point, Alexander made his initial foray into this Court. On February 17, 2017, Alexander filed a complaint against the Commonwealth of Kentucky Cabinet for Health and Family Services and several employees of the Jefferson County Attorney's Office, including Laura Taylor (a Defendant in the current action), in their official capacities. There, he claimed the defendants "fraudulently obtained his signature on an acknowledgement-of-paternity form and forced him to pay money for child support." Alexander v. Ky. Cabinet for Health & Family Servs. , 3:17-CV-101-DJH-DW, 2017 WL 4570309 at *1 (W.D. Ky. July 28, 2017). Following motions to dismiss, the case was dismissed with prejudice on the grounds of immunity and failure to state a claim. Id. This order was affirmed by the Sixth Circuit on appeal. Alexander v. Ky. Cabinet for Health & Family Servs. , 17-5879, 2018 U.S. App. LEXIS 4077 (6th Cir. Feb. 20, 2018).

Now Alexander, proceeding pro se , has returned to this Court to allege that Defendants participated in "racketeering, commingling, and conspiracy against rights" through the state child custody and support program. DN 1, p. 6. Concerned with interfering in the state court proceedings, this Court issued the order to show cause which is now under consideration. DN 17.

III. Discussion

Federal courts have a "virtually unflagging obligation ... to exercise the jurisdiction given them." Colorado River , 424 U.S. at 817, 96 S.Ct. 1236. However, the Supreme Court has recognized various types of abstention, placing constitutional or prudential limits on the federal courts' exercise of jurisdiction over cases or controversies that could have been, were, or are being brought in state courts. For example, federal courts will not rule on a federal constitutional issue which might be mooted or presented in a different posture by a state court determination of pertinent state law. See Railroad Comm'n of Texas v. Pullman Co. , 312 U.S. 496, 61 S.Ct. 643, 85 L.Ed. 971 (1941). Federal courts will also abstain where there are difficult questions of state law, issues of great public importance to the state, or where the state has special expertise. See Louisiana Power & Light Co. v. Thibodaux , 360 U.S. 25, 79 S.Ct. 1070, 3 L.Ed.2d 1058 (1959) ; Burford v. Sun Oil Co. , 319 U.S. 315, 63 S.Ct. 1098, 87 L.Ed. 1424 (1943). Abstention is also appropriate where, absent bad faith, harassment, or a patently invalid state statute, federal jurisdiction has been invoked to restrain ongoing state proceedings. See Younger v. Harris , 401 U.S. 37, 91 S.Ct. 746, 27 L.Ed.2d 669 (1971) ; Middlesex Cty. Ethics Comm. v. Garden State Bar Ass'n , 457 U.S. 423, 432, 102 S.Ct. 2515, 73 L.Ed.2d 116 (1982) (extending Younger abstention to include civil and administrative cases, as well as criminal). Where there is contemporaneous exercise of concurrent jurisdiction between courts, it is also proper to abstain. See Colorado River Water Conservation Dist. v. United States , 424 U.S. 800, 813, 96 S.Ct. 1236, 47 L.Ed.2d 483 (1976). A related doctrine, though not properly an abstention doctrine, is the Rooker - Feldman doctrine, which holds that federal courts lack jurisdiction over "cases brought by state-court losers complaining of injuries caused by state-court judgments rendered before the district court proceedings commenced and inviting district court review and rejection of those judgments." Exxon Mobil Corp. v. Saudi Basic Indus. Corp. , 544 U.S. 280, 284, 125 S.Ct. 1517, 161 L.Ed.2d 454 (2005). See also Rooker v. Fidelity Trust Co. , 263 U.S. 413, 44 S.Ct. 149, 68 L.Ed. 362 (1923) ; District of Columbia Court of Appeals v. Feldman , 460 U.S. 461, 103 S.Ct. 1303, 75 L.Ed.2d 206 (1983).

In this case, the Court was particularly concerned about Younger , Colorado River , and Burford .

A. Younger Abstention

Younger abstention is designed to prevent federal courts from interfering with the functions of state courts while preserving equity and comity. Doe v. University of Kentucky , 860 F.3d 365, 368 (6th Cir. 2017). Younger permits abstention when there is (1) an ongoing state criminal prosecution, (2) certain civil enforcement proceedings that are akin to criminal prosecutions, and (3) civil proceedings involving certain orders that are uniquely in furtherance of the state courts' ability to perform their judicial functions e.g. contempt proceedings or requiring the posting of a bond. Id. at 369. After fitting into one of those categories, the court considers whether: (1) state proceedings are currently pending; (2) the proceedings involve an important state interest; and (3) the state proceedings will provide the federal plaintiff with an adequate opportunity to raise his constitutional claims. Id. (citing Middlesex County Ethics Committee v. Garden State Bar Ass'n , 457 U.S. 423, 102 S.Ct. 2515, 73 L.Ed.2d 116 (1982) ).

i. The Initial Inquiry: This Case is a Civil Enforcement Proceeding Akin to a Criminal Prosecution.

The proceeding at issue here is not a criminal prosecution nor does it appear to fit within the category reserved for unique orders in furtherance of state courts' ability to perform their judicial function. Therefore, we turn to the second category: civil enforcement proceedings akin to a criminal prosecution. Indicia of these proceedings can include an investigation and formal complaint, the seriousness of consequences, the availability of a hearing, the introduction of witnesses or evidence, the initiation or involvement of state agencies, and the purpose of the hearing in disciplining, punishing, or adjudicating. Sprint Comms., Inc. v. Jacobs , 571 U.S. 69, 81, 134 S.Ct. 584, 187 L.Ed.2d 505 (2013) ; Doe , 860 F.3d at 370. The crucial factors, however, are the state's involvement and the importance of the state's interest. See generally Trainor v. Hernandez , 431 U.S. 434, 97 S.Ct. 1911, 52 L.Ed.2d 486 (1977).

Here, there was a hearing held before a judge with regards to the legal rights and obligations of the parties. Evidence was introduced. Arguments were made. The Jefferson County Attorney's Office, a branch of the Commonwealth of Kentucky, even intervened to argue against Alexander. Ultimately, Alexander was ordered to pay a sum of money to Morgan. Under those circumstances, it seems sufficiently criminal-like to justify an inquiry under Younger .

This is particularly true when considering the massive importance of the state's interest in child custody and support proceedings. See e.g. Kenner v. Morris , 600 F.2d 22, 24 (6th Cir. 1979) (permitting Younger abstention where there were allegations of discrimination in a child custody and support proceeding without discussing the nature of the proceedings); Parker v. Turner , 626 F.2d 1, 8 (6th Cir. 1980) ("It is true that no underlying criminal proceedings are present. However, the state's interest in preserving the integrity of its contempt proceedings, as well as its domestic relations cases, requires us to analyze this case under Younger . ") (internal citations omitted).2

ii. Pending State Proceedings

The federalism concerns are greatly exacerbated because Alexander did not appeal the decision of the state court to the appellate courts of the Commonwealth of Kentucky. The Supreme Court has stated that, "[f]or Younger purposes, the State's trial-and-appeals process is treated as a unitary system, and for a federal court to disrupt its integrity by intervening in mid-process would demonstrate a lack of respect for the State as sovereign." New Orleans Public Serv., Inc. v. Council of City of New Orleans , 491 U.S. 350, 369, 109 S.Ct. 2506, 105 L.Ed.2d 298 (1989). As...

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