Plaza v. Heilbron (In re Heilbron)
| Decision Date | 15 January 2020 |
| Docket Number | Adv. Pro. No. 18-01055-ess,Case No. 18-42486-ess |
| Parties | In re: MICHAEL HEILBRON, Debtor. BENJAMIN PLAZA, JR., Plaintiff, v. MICHAEL HEILBRON, Defendant. |
| Court | U.S. Bankruptcy Court — Eastern District of New York |
Appearances:
Eric Edward Rothstein, Esq.
Rothstein Law PLLC
The Woolworth Building
233 Broadway, Suite 900
New York, NY 10279
Attorney for Benjamin Plaza, Jr.
George Bassias, Esq.
George Bassias Attorney LLC
21-83 Steinway
Astoria, NY 11105
Attorney for Michael Heilbron
This adversary proceeding arises from a fistfight between the debtor, Michael Heilbron, and the plaintiff, Benjamin Plaza, Jr. in June 2008; Mr. Heilbron's criminal plea to a single misdemeanor assault charge; a default judgment in Mr. Plaza's personal injury action against Mr. Heilbron; and now, Mr. Heilbron's attempt to discharge the default judgment debt in a Chapter 7 bankruptcy case.
On May 7, 2018, Mr. Plaza commenced this adversary proceeding by filing a complaint against Mr. Heilbron, the debtor in the underlying Chapter 7 case. Mr. Plaza seeks a determination that the debt that Mr. Heilbron owes to him pursuant to a default judgment for civil claims for assault and battery (the "Default Judgment"), entered in a state court action entitled Benjamin Plaza, Jr. v. Michael Heilbron, in New York Supreme Court, Queens County (the "Queens Supreme Court Action"), is nondischargeable under Bankruptcy Code Section 523(a)(6).
On December 20, 2018, Mr. Plaza filed this Motion for Summary Judgment (the "Motion"). From time to time, the Court held hearings on the Motion, at which the parties, by counsel, appeared and were heard, and the record is now closed.
The question posed by this Motion is whether Mr. Plaza is entitled to summary judgment on his nondischargeability claim under the doctrine of collateral estoppel, in light of Mr. Heilbron's guilty plea to a misdemeanor criminal charge of Assault in the Third Degree in Queens Criminal Court, and a default judgment in a civil assault and battery action in Queens Supreme Court. This, in turn, requires the Court to consider the collateral estoppel effect of twoseparate proceedings and judgments - the guilty plea in the Queens Criminal Court Action and the Default Judgment in the Queens Supreme Court Action.
Mr. Plaza's nondischargeability claim arises under Bankruptcy Code Section 523(a)(6) and is a core matter. 28 U.S.C. § 157(b)(2)(I). As a core matter, this Court has constitutional authority to enter a final judgment because the claim alleged in the amended complaint stems "from the bankruptcy itself." Stern v. Marshall, 564 U.S. 462, 499 (2011).
For these reasons, this Court has jurisdiction to consider and enter judgment on this claim under Judiciary Code Section 1334(b) and the Standing Order of Reference dated August 28, 1986, as amended by Order dated December 5, 2012, of the United States District Court for the Eastern District of New York.
This nondischargeability action arises from an assault that occurred in 2008, the guilty plea that Mr. Heilbron entered in the resulting criminal case, and a civil default judgment entered in the related lawsuit instituted by Mr. Plaza in 2009. Because they provide the context both for this adversary proceeding and this summary judgment motion, the circumstances of these events are summarized below.
More than eleven years ago, on the evening of June 29, 2008, Mr. Heilbron punched Mr. Plaza in the chin, breaking his jaw. His injury is described in the record as "a fractured mandible that required open reduction, [and] internal fixation" of his jaw. Am. Compl. ¶ 8, ECF No. 6. Soon thereafter, Mr. Heilbron was placed under arrest by the New York City Police Departmentand charged with two counts of Assault in the Second Degree, one count of Assault in the Third Degree, and one count of Harassment in the Second Degree.
Despite having entered a guilty plea to one misdemeanor assault charge, Mr. Heilbron now denies that he intentionally injured Mr. Plaza. Rather, in his Answer and affidavit in opposition to the Motion, he states that he and Mr. Plaza "got into an altercation," and that he does "not recall if [Mr. Plaza] grabbed me first, or I grabbed him first . . . I do not recall hitting him." Heilbron Aff. ¶ 8, ECF No. 17-1. See Ans. ¶ A, ECF No. 3.
On July 1, 2008, Mr. Heilbron was charged with two counts of Assault in the Second Degree, Penal Law §§ 120.05(1) and (2), one count of Assault in the Third Degree, Penal Law § 120.00(1), and one count of Harassment in the Second Degree, Penal Law § 240.26(1) (the "Queens Criminal Court Action").
The criminal complaint that resulted from Mr. Heilbron's arrest, sworn to by Detective Victor Herrera of Queens Detective Area 114 (the "Criminal Complaint"), states that on June 29, 2008 between 10:30 PM and 10:40 PM, at the northeast intersection of 78th Street and 21st Avenue in Queens, New York, Mr. Heilbron committed an assault in violation of New York Penal Law Section 120.05-1 (Assault in the Second Degree), Section 120.05-2 (Assault in the Second Degree), Section 120.00-1 (Assault in the Third Degree), and Section 240.26-1 (Harassment in the Second Degree). Mot. Exh. A, ECF No. 13-1 (Crim. Compl.).
The Criminal Complaint identifies Mr. Plaza as the source of Detective Herrera's information, and continues:
Mot. Exh. A., Crim. Compl. at 1.
More than seven months later, on February 5, 2009, Mr. Heilbron appeared before the Honorable Dorothy Chin Brandt of the Criminal Court of the City of New York, County of Queens: Part AP-6 (the "Queens Criminal Court") for a plea and sentencing hearing. Mot. Exh. B, ECF No. 13-2 . At that hearing, at which he was represented by counsel, Mr. Heilbron pleaded guilty to a single charge of Assault in the Third Degree, a class "A" misdemeanor. In entering his plea, he responded to a series of questions from Judge Brandt, as follows:
Mot. Exh. B, Plea Hrg. Tr. at 2:3-25; 3:2-8 (the "Plea").
About three weeks later, on February 27, 2009, the Queens Criminal Court issued a Certificate of Disposition, No. 86659, which states:
Date Court Action Judge Part 2/5/09
PLED GUILTY & SENTENCE IMPOSED PG 120.00 CONDITIONAL DISCHARGE=1Y COMMUNITY SERVICE=5D ORDER OF PROTECTION=1Y BRANDT, D C AP6
Mot. Exh. B at p. 4, ECF No. 13-2. That is, Mr. Heilbron agreed to plead guilty to a single charge of a Class A misdemeanor, all other charges, including felony charges, were dropped, and his sentence did not include a period of incarceration.
On March 30, 2009, about two months after Mr. Heilbron entered his guilty plea, Mr. Plaza sued Mr. Heilbron in the Supreme Court of the State of New York, County of Queens, seeking monetary damages arising from the Assault in Queens Supreme Court Action. Mot. Exh. D, ECF No. 13-5 (Verified Complaint). On June 12, 2009, the Verified Summons and Verified Complaint were served by Samara Kane on Jack Sheldon, a co-worker of Mr. Heilbron at the "Carlyle Hotel-Stewarding [Department]," at the 77th Street Service Entrance. Mot. Exh. G at p. 33, ECF No. 13-8. And on June 15, 2009, Ms. Kane mailed a copy of the Verified Summons and Verified Complaint to Mr. Heilbron at his place of business. Id.
In the Verified Complaint, Mr. Plaza alleges causes of action for assault and battery and also seeks an award of costs. Mr. Plaza states that, on June 29, 2008, Mr. Heilbron "assaulted [Mr. Plaza], . . . causing him to sustain severe and permanent injuries." Mot. Exh. D ¶ 3. Mr.Plaza further alleges, "[t]hat the aforesaid conduct by [Mr. Heilbron] was with the intent [to] cause physical, emotional, and/or psychological harm and/or injury to [Mr. Plaza]." Mot. Exh. D ¶ 21. Finally, Mr. Plaza states that as a result of the altercation with Mr. Heilbron:
[he] was rendered sick, sore, lame and disabled; sustained severe and painful personal injuries; sustained severe nervous shock, mental anguish and great physical pain; . . . suffered loss of enjoyment of life; was prevented from engaging in his usual occupation for a period of time; and since some of his injuries are of a permanent nature, he will continue to suffer similar damages in the...
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