OCTOBER TERM, 1995
Syllabus
PEACOCK
v. THOMAS
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FOURTH
CIRCUIT
No. 94-1453. Argued November 6, 1995-Decided February 21,
1996
Respondent Thomas filed an Employee Retirement Income Security
Act of 1974 (ERISA) class action against his former employer,
Tru-Tech, Inc., and petitioner Peacock, a Tru-Tech officer and
shareholder, alleging that they had breached their fiduciary duties
to the class in administering Tru-Tech's pension benefits plan, and
seeking benefits due under the plan. The District Court entered a
money judgment against Tru-Tech upon finding that it had breached
its fiduciary duties, but ruled that Peacock was not a fiduciary.
Thomas did not execute the judgment while the case was on appeal
and, during that time, Peacock settled many of Tru-Tech's accounts
with favored creditors, including himself. After the Court of
Appeals affirmed the judgment and attempts to collect it from
Tru-Tech proved unsuccessful, Thomas sued Peacock in federal court,
asserting,
inter alia, a claim for "Piercing the Corporate
Veil Under ERISA and Applicable Federal Law." The District Court
ultimately agreed to pierce the corporate veil and entered judgment
against Peacock in the amount of the judgment against Tru-Tech. The
Court of Appeals affirmed, holding that the District Court properly
exercised ancillary jurisdiction over Thomas' suit.
Held: The District Court lacked jurisdiction over Thomas'
subsequent suit. Pp. 352-360.
(a) Neither ERISA's jurisdictional provision, 29 U. S. C. §
1132(e)(1), nor 28 U. S. C. § 1331 supplied the District Court with
subject-matter jurisdiction over this suit. The Court rejects
Thomas' suggestion that the suit arose under 29 U. S. C. §
1132(a)(3), which authorizes civil actions for "appropriate
equitable relief ... to redress [any] violations ... of [ERISA] or
the terms of [an ERISA] plan." Because Thomas' complaint in this
lawsuit alleged no such violations, he failed to allege a claim for
equitable relief. Even if ERISA permits a plaintiff to pierce the
corporate veil, such piercing is not itself an independent ERISA
cause of action and cannot independently support federal
jurisdiction. The District Court erred in finding that he had
properly stated such a claim, since ERISA does not provide for
imposing liability for an extant ERISA judgment against a third
party. Pp. 352-354.
(b) Federal courts do not possess ancillary jurisdiction over
new actions in which a federal judgment creditor seeks to impose
liability for
350
Syllabus
a money judgment on a person not otherwise liable for the
judgment. Although ancillary jurisdiction may be exercised (1) to
permit disposition by a single court of factually interdependent
claims, and (2) to enable a court to function successfully by
effectuating its decrees, Thomas has not carried his burden of
demonstrating that this suit falls within either category. First,
because a federal court sitting in a subsequent lawsuit involving
claims with no independent basis for jurisdiction lacks the
threshold jurisdictional power that exists when ancillary claims
are asserted in the same proceeding as the claims conferring
federal jurisdiction, claims alleged to be factually interdependent
with and, hence, ancillary to claims brought in the earlier suit
will not support federal jurisdiction over the subsequent suit. In
any event, there is insufficient factual or logical interdependence
between the claims raised in Thomas' first and second suits.
Second, cases in which this Court has approved the exercise of
ancillary enforcement jurisdiction over attachment, garnishment,
and other supplementary proceedings involving third parties are
inapposite. This case is governed by
H. C.
Cook Co.
v.
Beecher, 217 U. S. 497, in which
the Court refused to authorize the exercise of ancillary
jurisdiction in a subsequent lawsuit to impose an obligation to pay
an existing federal judgment on a person not already liable for
that judgment. As long as the Federal Rules of Civil Procedure
sufficiently protect a judgment creditor's ability to execute on a
judgment, ancillary jurisdiction should not be exercised over
proceedings, such as the present, that are new actions based on
different theories of relief than the prior decree. Pp.
354-359.
39 F.3d
493, reversed.
THOMAS, J., delivered the opinion of the Court, in which
REHNQUIST, C. J., and O'CONNOR, SCALIA, KENNEDY, SOUTER, GINSBURG,
and BREYER, JJ., joined. STEVENS, J., filed a dissenting opinion,
post, p. 360.
David L. Freeman argued the cause for petitioner. With him on
the briefs were
J. Theodore Gentry, Carter G. Phillips, and
Richard D. Bernstein.
J. Kendall Few argued the cause for respondent. With him
on the brief were John C. Few, Margaret A. Chamberlain, and James
R. Gilreath.
Richard P. Bress argued the cause for the United States
as
Amicus Curiae in support of respondent. With him on the
brief were
Solicitor General Days, Deputy Solicitor
351
General Kneedler, Thomas S. Williamson, Jr., Allen H. Feldman,
Nathaniel 1. Spiller, and Edward D. Sieger.
*
JUSTICE THOMAS delivered the opinion of the Court.
This case presents the issue whether federal courts possess
ancillary jurisdiction over new actions in which a federal judgment
creditor seeks to impose liability for a money judgment on a person
not otherwise liable for the judgment. We hold that they do
not.
I
Respondent Jack L. Thomas is a former employee of TruTech, Inc.
In 1987, Thomas filed an ERISA class action in federal court
against Tru-Tech and petitioner D. Grant Peacock, an officer and
shareholder of Tru- Tech, for benefits due under the corporation's
pension benefits plan. Thomas alleged primarily that Tru- Tech and
Peacock breached their fiduciary duties to the class in
administering the plan. The District Court found that Tru- Tech had
breached its fiduciary duties, but ruled that Peacock was not a
fiduciary. On November 28, 1988, the District Court entered
judgment in the amount of $187,628.93 against Tru-Tech only.
Thomas v.
Tru-Tech, Inc., No. 87-2243-3 (D. S. C.).
On April 3, 1990, the Court of Appeals for the Fourth Circuit
affirmed. Judgt. order reported at
900 F.2d
256. Thomas did not exe-
*Robert P. Davis and
Kenneth S.
Geller
filed a brief for the National Association of Real Estate
Investment Managers as
amicus curiae urging reversal.
Briefs of
amici curiae urging affirmance were filed for
the American Association of Retired Persons et al. by
Steven
S.
Zaleznick, Mary Ellen Signorille, Jeffrey Lewis, and
Ronald Dean; for the American Federation of Labor and
Congress of Industrial Organizations by
Virginia A. Seitz, David
M. Silberman, and
Laurence Gold; for the Bricklayers
& Trowel Trades International Pension Fund by
Ira R.
Mitzner and
Woody N. Peterson; for the Central States,
Southeast and Southwest Areas Health and Welfare and Pension Fund
by
Thomas C.
Nyhan, Terrence C.
Craig, and
James P. Condon; and for the National Coordinating Committee
for Multiemployer Plans by
Diana L. S.
Peters.
352
cute the judgment while the case was on appeal and, during that
time, Peacock settled many of Tru- Tech's accounts with favored
creditors, including himself.
After the Court of Appeals affirmed the judgment, Thomas
unsuccessfully attempted to collect the judgment from Tru-Tech.
Thomas then sued Peacock in federal court, claiming that Peacock
had entered into a civil conspiracy to siphon assets from Tru- Tech
to prevent satisfaction of the ERISA judgment.1 Thomas also claimed
that Peacock fraudulently conveyed Tru- Tech's assets in violation
of South Carolina and Pennsylvania law. Thomas later amended his
complaint to assert a claim for "Piercing the Corporate Veil Under
ERISA and Applicable Federal Law." App. 49. The District Court
ultimately agreed to pierce the corporate veil and entered judgment
against Peacock in the amount of $187,628.93-the precise amount of
the judgment against Tru-Tech-plus interest and fees,
notwithstanding the fact that Peacock's alleged fraudulent
transfers totaled no more than $80,000. The Court of Appeals
affirmed, holding that the District Court properly exercised
ancillary jurisdiction over Thomas' suit.
39
F.3d 493 (CA4 1994). We granted certiorari to determine whether
the District Court had subject-matter jurisdiction and to resolve a
conflict among the Courts of Appeals.2 514 U. S. 1126 (1995). We
now reverse.
II
Thomas relies on the Employee Retirement Income Security Act of
1974 (ERISA), 88 Stat. 832, as amended, 29
1 Peacock's attorney was also named as a defendant in the suit,
but the District Court rejected the claim against him.
2 Compare
39 F.3d
493 (CA4 1994) (case below),
Argento v.
Melrose Park, 838 F.2d
1483 (CA7 1988),
Skevofilax v.
Quigley,
810 F.2d
378 (CA3) (en bane), cert. denied, 481 U. S. 1029
(1987), and
Blackburn Truck Lines, Inc. v.
Francis,
723 F.2d
730 (CA9 1984), with
Sandlin v.
Corporate
Interiors Inc., 972 F.2d
1212 (CAW 1992), and
Berry v.
McLemore, 795 F. 2d
452 (CA5 1986).
353
u. S. C. § 1001
et seq., as the source of federal
jurisdiction for this suit. The District Court did not expressly
rule on subject-matter jurisdiction, but found that Thomas had
properly stated a claim under ERISA for piercing the corporate
veil. We disagree. We are not aware of, and Thomas does not point
to, any provision of ERISA that provides for imposing liability for
an extant ERISA judgment against a third party. See
Mackey
v.
Lanier Collection Agency & Service,
Inc., 486 U. S.
825, 833 (1988) ("ERISA does not provide an enforcement
mechanism for collecting judgments ... ").
We reject Thomas' suggestion, not made in the District Court,
that this subsequent suit arose under § 502(a)(3) of ERISA, which
authorizes civil actions for "appropriate equitable relief" to
redress violations of ERISA or the terms of an ERISA plan. 29 U. S.
C. § 1132(a)(3). Thomas' complaint in this lawsuit alleged no
violation of ERISA or of the plan. The wrongdoing alleged in the
complaint occurred in 1989 and 1990, some four to five years after
Tru-Tech's ERISA plan was terminated, and Thomas did not-indeed,
could not-allege that Peacock was a fiduciary to the terminated
plan.3 Thomas further concedes that Peacock's alleged wrongdoing
"did not occur with respect to the administration or operation of
the plan." Brief for Respondent 11. Under the circumstances, we
think Thomas failed to allege a claim under § 502(a)(3) for
equitable relief. Section 502(a)(3) "does not, after all, authorize
'appropriate equitable relief'
at large, but only
'appropriate equitable relief' for the purpose of 'redress[ing any]
violations or ... enforc[ing] any provisions' of ERISA or an ERISA
plan."
Mertens v.
Hewitt Associates, 508 U. S. 248, 253 (1993)
(emphasis and modifications in original).
Moreover, Thomas' veil-piercing claim does not state a cause of
action under ERISA and cannot independently sup-
3 The District Court in the original ERISA suit ruled that
Peacock was not a fiduciary to Tru- Tech's plan.
354
port federal jurisdiction. Even if ERISA permits a plaintiff to
pierce the corporate veil to reach a defendant not otherwise
subject to suit under ERISA, Thomas could invoke the jurisdiction
of the federal courts only by independently alleging a violation of
an ERISA provision or term of the plan.4 Piercing the corporate
veil is not itself an independent ERISA cause of action, "but
rather is a means of imposing liability on an underlying cause of
action." 1 C. Keating & G. O'Gradney, Fletcher Cyclopedia of
Law of Private Corporations § 41, p. 603 (perm. ed. 1990). Because
Thomas alleged no "underlying" violation of any provision of ERISA
or an ERISA plan, neither ERISA's jurisdictional provision, 29 U.
S. C. § 1132(e)(1), nor 28 U. S. C. § 1331 supplied the District
Court with subject-matter jurisdiction over this suit.
III
Thomas also contends that this lawsuit is ancillary to the
original ERISA suit.5 We have recognized that a federal court may
exercise ancillary jurisdiction "(1) to permit disposition by a
single court of claims that are, in varying respects and degrees,
factually interdependent; and (2) to enable a court to function
successfully, that is, to manage its proceedings, vindicate its
authority, and effectuate its decrees."
Kokkonen v.
Guardian Life Ins. Co., 511 U. S. 375, 379-380
(1994) (citations omitted). Thomas has not carried his burden of
demonstrating that this suit falls within either cate-
4 This case is not at all like
Anderson v.
Abbott,
321 U. S. 349
(1944), cited by Thomas'
amici, in which the receiver of a
federal bank, having obtained a judgment against the bank, then
sued the bank's shareholders to hold them liable for the judgment.
In
Anderson, federal jurisdiction was founded upon a federal
law, 12 U. S. C. §§ 63, 64 (repealed), which specifically made
shareholders of an undercapitalized federal bank liable up to the
par value of their stock, regardless of the amount actually
invested.
5 Congress codified much of the common-law doctrine of ancillary
jurisdiction as part of "supplemental jurisdiction" in 28 U. S. C.
§ 1367.
355
gory. See
id., at 377 (burden rests on party asserting
jurisdiction).
A
"[A]ncillary jurisdiction typically involves claims by a
defending party haled into court against his will, or by another
person whose rights might be irretrievably lost unless he could
assert them in an ongoing action in a federal court."
Owen
Equipment &
Erection Co. v.
Kroger, 437 U. S. 365, 376
(1978). Ancillary jurisdiction may extend to claims having a
factual and logical dependence on "the primary lawsuit,"
ibid., but that primary lawsuit must contain an independent
basis for federal jurisdiction. The court must have jurisdiction
over a case or controversy before it may assert jurisdiction over
ancillary claims. See
Mine Workers v.
Gibbs, 383 U.
S. 715, 725 (1966). In a subsequent lawsuit involving claims with
no independent basis for jurisdiction, a federal court lacks the
threshold jurisdictional power that exists when ancillary claims
are asserted in the same proceeding as the claims conferring
federal jurisdiction. See
Kokkonen, supra, at 380-381;
H. C.
Cook Co. v.
Beecher, 217 U. S. 497, 498-499
(1910). Consequently, claims alleged to be factually interdependent
with and, hence, ancillary to claims brought in an earlier federal
lawsuit will not support federal jurisdiction over a subsequent
lawsuit. The basis of the doctrine of ancillary jurisdiction is the
practical need "to protect legal rights or effectively to resolve
an entire, logically entwined lawsuit."
Kroger, 437 U. S.,
at 377. But once judgment was entered in the original ERISA suit,
the ability to resolve simultaneously factually intertwined issues
vanished. As in
Kroger, "neither the convenience of
litigants nor considerations of judicial economy" can justify the
extension of ancillary jurisdiction over Thomas' claims in this
subsequent proceeding.
Ibid.
In any event, there is insufficient factual dependence between
the claims raised in Thomas' first and second suits to justify the
extension of ancillary jurisdiction. Thomas'
356
factual allegations in this suit are independent from those
asserted in the ERISA suit, which involved Peacock's and Tru-Tech's
status as plan fiduciaries and their alleged wrongdoing in the
administration of the plan. The facts relevant to this complaint
are limited to allegations that Peacock shielded Tru-Tech's assets
from the ERISA judgment long after Tru- Tech's plan had been
terminated. The claims in these cases have little or no factual or
logical interdependence, and, under these circumstances, no greater
efficiencies would be created by the exercise of federal
jurisdiction over them. See
Kokkonen, supra, at 380.
B
The focus of Thomas' argument is that his suit to extend
liability for payment of the ERISA judgment from Tru-Tech to
Peacock fell under the District Court's ancillary enforcement
jurisdiction. We have reserved the use of ancillary jurisdiction in
subsequent proceedings for the exercise of a federal court's
inherent power to enforce its judgments. Without jurisdiction to
enforce a judgment entered by a federal court, "the judicial power
would be incomplete and entirely inadequate to the purposes for
which it was conferred by the Constitution."
Riggs v.
Johnson County, 6 Wall. 166, 187 (1868). In defining that
power, we have approved the exercise of ancillary jurisdiction over
a broad range of supplementary proceedings involving third parties
to assist in the protection and enforcement of federal
judgmentsincluding attachment, mandamus, garnishment, and the
prejudgment avoidance of fraudulent conveyances. See,
e.
g., Mackey v.
Lanier Collection Agency &
Service, Inc., 486 U. S., at 834, n. 10 (garnishment);
Swift &
Co. Packers v.
Compania Colombiana Del
Caribe, S.
A., 339 U. S. 684, 690692
(1950) (prejudgment attachment of property);
Dewey v.
West Fairmont Gas Coal Co., 123 U. S. 329, 332-333
(1887) (prejudgment voidance of fraudulent transfers);
Labette
County Comm'rs v.
United States ex rel. Moulton, 112 U.
S.
357
217, 221-225 (1884) (mandamus to compel public officials in
their official capacity to levy tax to enforce judgment against
township);
Krippendorf v.
Hyde, 110 U. S. 276, 282-285
(1884) (prejudgment dispute over attached property);
Riggs,
supra, at 187-188 (mandamus to compel public officials in their
official capacity to levy tax to enforce judgment against
county).6
Our recognition of these supplementary proceedings has not,
however, extended beyond attempts to execute, or to guarantee
eventual executability of, a federal judgment. We have never
authorized the exercise of ancillary jurisdiction in a subsequent
lawsuit to impose an obligation to pay an existing federal judgment
on a person not already liable for that judgment. Indeed, we
rejected an attempt to do so in
H. C.
Cook Co. v.
Beecher, 217
U. S. 497 (1910). In
Beecher, the plaintiff obtained a
judgment in federal court against a corporation that had infringed
its patent. When the plaintiff could not collect on the judgment,
it sued the individual directors of the defendant corporation,
alleging that, during the pendency of the original suit, they had
au-
6 The United States, as
amicus curiae for Thomas,
suggests that the proceeding below was jurisdictionally
indistinguishable from
Swift &
Co. Packers v.
Compania Colombiana Del Caribe, S.
A., 339 U. S. 684 (1950),
Dewey v.
West Fairmont Gas Coal Co., 123 U. S. 329 (1887),
Labette County Comm'rs v.
United States ex rel.
Moulton, 112 U.
S. 217 (1884), and
Riggs v.
Johnson County, 6
Wall. 166 (1868), because it was intended merely as a supplemental
bill to preserve and force payment of the ERISA judgment by voiding
fraudulent transfers of Tru- Tech's assets. Brief for United States
as
Amicus Curiae 9-18. We decline to address this argument,
because, even if Thomas could have sought to force payment by
mandamus or to void post judgment transfers, neither Thomas nor the
courts below characterized this suit that way. Indeed, Thomas
expressly rejects that characterization of his lawsuit. Brieffor
Respondent 4 ("This action ... is not one to
collect a
judgment, but one to
establish liability on the part of the
Petitioner") (emphasis in original); see
id., at 11. In any
event, the United States agrees that the alleged fraudulent
transfers totaled no more than $80,000, far less than the judgment
actually imposed on Peacock. Brief for United States as
Amicus
Curiae 3.
358
thorized continuing sales of the infringing product and
knowingly permitted the corporation to become insolvent. We agreed
with the Circuit Court's characterization of the suit as "an
attempt to make the defendants answerable for the judgment already
obtained" and affirmed the court's decision that the suit was not
"ancillary to the judgment in the former suit."
Id., at
498-499.
Beecher governs this case and persuades us that
Thomas' attempt to make Peacock answerable for the ERISA judgment
is not ancillary to that judgment.
Labette County Comm'rs and
Riggs are not to the
contrary. In those cases, we permitted a judgment creditor to
mandamus county officials to force them to levy a tax for payment
of an existing judgment.
Labette County Comm'rs, supra, at
221-225;
Riggs, supra, at 187-188. The order in each case
merely required compliance with the existing judgment by the
persons with authority to comply. We did not authorize the shifting
of liability for payment of the judgment from the judgment debtor
to the county officials, as Thomas attempts to do here.
In determining the reach of the federal courts' ancillary
jurisdiction, we have cautioned against the exercise of
jurisdiction over proceedings that are" 'entirely new and
original,'"
Krippendorf v.
Hyde, supra, at 285
(quoting
Minnesota Co. v.
St. Paul Co., 2 Wall. 609,
633 (1865)), or where "the relief [sought is] of a different kind
or on a different principle" than that of the prior decree.
Dugas v.
American Surety Co., 300 U. S. 414, 428
(1937). These principles suggest that ancillary jurisdiction could
not properly be exercised in this case. This action is founded not
only upon different facts than the ERISA suit, but also upon
entirely new theories of liability. In this suit, Thomas alleged
civil conspiracy and fraudulent transfer of Tru- Tech's assets,
but, as we have noted, no substantive ERISA violation. The alleged
wrongdoing in this case occurred after the ERISA judgment was
entered, and Thomas' claims-civil conspiracy, fraudulent
conveyance, and "veil piercing"-all involved new
359
theories of liability not asserted in the ERISA suit. Other than
the existence of the ERISA judgment itself, this suit has little
connection to the ERISA case. This is a new action based on
theories of relief that did not exist, and could not have existed,
at the time the court entered judgment in the ERISA case.
Ancillary enforcement jurisdiction is, at its core, a creature
of necessity. See
Kokkonen, 511 U. S., at 380;
Riggs,
6 Wall., at 187. When a party has obtained a valid federal
judgment, only extraordinary circumstances, if any, can justify
ancillary jurisdiction over a subsequent suit like this. To protect
and aid the collection of a federal judgment, the Federal Rules of
Civil Procedure provide fast and effective mechanisms for
execution.7 In the event a stay is entered pending appeal, the
Rules require the district court to ensure that the judgment
creditor's position is secured, ordinarily by a supersedeas bond.8
The Rules cannot guarantee payment of every federal judgment. But
as long as they protect a judgment creditor's ability to execute on
a judgment, the district court's authority is adequately preserved,
and ancillary jurisdiction is not justified over a new lawsuit to
impose liability for a judgment on a third party. Contrary to
Thomas' suggestion otherwise, we think these procedural safeguards
are sufficient to prevent wholesale fraud upon the district courts
of the United States.
7 Rule 69(a), for instance, permits judgment creditors to use
any execution method consistent with the practice and procedure of
the State in which the district court sits. Rule 62(a) further
protects judgment creditors by permitting execution on a judgment
at any time more than 10 days after the judgment is entered.
8 The district court may only stay execution of the judgment
pending the disposition of certain post-trial motions or appeal if
the court provides for the security of the judgment creditor. Rule
62(b) (stay pending posttrial motions "on such conditions for the
security of the adverse party as are proper"); Rule 62(d) (stay
pending appeal "by giving a supersedeas bond").
360
IV
For these reasons, we hold that the District Court lacked
jurisdiction over Thomas' subsequent suit. Accordingly, the
judgment of the Court of Appeals is
Reversed.
JUSTICE STEVENS, dissenting.
The conflict between the views of the judges on the Court of
Appeals and the District Court, on the one hand, and those of my
eight colleagues, on the other, demonstrates that this is not an
easy case. I believe its outcome should be determined by a proper
application of the principle, first announced by Chief Justice
Marshall, that a federal court's jurisdiction "is not exhausted by
the rendition of its judgment, but continues until that judgment
shall be satisfied."
Wayman v.
Southard, 10 Wheat. 1,
23 (1825). In my opinion that jurisdiction encompasses a claim by a
judgment creditor that a party in control of the judgment debtor
has fraudulently exercised that control to defeat satisfaction of
the judgment.
In substance the Court so held in
Riggs v.
Johnson
County, 6 Wall. 166 (1868), and in
Labette County
Comm'rs v.
United States ex rel. Moulton, 112 U. S. 217 (1884). In
each of those cases a judgment against the county was unsatisfied
because the county commissioners refused to levy a tax to raise the
funds needed to pay the judgment, and in each this Court held that
the federal court had jurisdiction to compel the commissioners to
take the action necessary to enable the county to satisfy the
judgment. It is true, as the Court notes today, that the "order in
each case merely required compliance with the existing judgment by
the persons with authority to comply."
Ante, at 358. But the
Court fails to explain why the District Court would not have had
jurisdiction to enter a comparable order in this case-one that
would have directed petitioner to restore to the judgment
361
debtor the assets that he allegedly transferred to himself to
prevent satisfaction of the judgment. *
It is true that the order that was actually entered against
petitioner did more than that-it ordered him to satisfy the
original judgment in full, rather than merely to restore the
fraudulent transfers. For that reason, I agree that the relief was
excessive and should be modified. Nevertheless, the Court's central
holding that the District Court had no power to grant any relief
against petitioner is inconsistent with
Riggs and
Labette.
I am also persuaded that the Court's reliance on
H. C.
Cook Co. v.
Beecher, 217 U. S. 497 (1910), is
misplaced. The theory of the complaint against the directors of the
judgment debtor in that case was that they were "joint
trespassers," equally liable for the patent infringement. That
theory was comparable to the claim against this petitioner that was
asserted and rejected in the original ERISA action. It depended on
proof that the directors' prejudgment conduct should subject them
to the same liability as the judgment debtor. See
id.,
*Both the Court of Appeals and the District Court acknowledged
that respondent brought this action to preserve the initial
Employee Retirement Income Security Act of 1974 (ERISA) judgment.
See
39 F.3d
493,
502 (CA4 1994) (describing action as "an equitable
attempt to satisfy a previous judgment entered against a
fiduciary"); Civ. Action No. 7:913843-21 (D. S.
C., June 24,
1992), p. 5, App. to Pet. for Cert. 57a ("[T]he present action is
an attempt to satisfy a former judgment properly rendered by the
District Court"). Petitioner recognized the same. See Brief for
Appellant in No. 92-2524
(CA4), p. 15 ("Plaintiff has ...
consistently characterized this lawsuit as an action for the
collection of a judgment"). Although one passage in respondent's
brief to this Court suggests that the suit was not a collection
action, it is clear that respondent meant only to rebut the notion
that the proceeding was wholly independent of the earlier suit. The
remainder of the brief confirms the lower courts' understanding of
the nature of the action, see Brief for Respondent 17-24, and
respondent expressly stated the same at oral argument. See Tr. of
Oral Arg. 26-27 (agreeing with the District Court's statement that
the action before it was "an attempt to satisfy the former
judgment").
362
at 498. What is at issue now, however, is whether petitioner's
post judgment conduct which frustrated satisfaction of the judgment
was subject to the continuing jurisdiction of the court that
entered that judgment. To that question
Beecher does not
speak.
In sum, I am persuaded that it is the reasoning in
Riggs
and
Labette, rather than
Beecher, that should resolve
the jurisdictional issue. Accordingly, I respectfully dissent.
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