Baca v. Berry
Phillip Patrick BACA, Mary Molina Mescall, Ron Romero, and Bernadette Miera, Plaintiffs/Cross-Appellees, v. Richard J. BERRY, in His Official Capacity as Mayor of Albuquerque, Defendant-Appellee/Cross-Appellant. Luis Roberto Vera, Jr., Phillip G. Sapien, and Antonio Maestas, Attorneys-Appellants/Cross-Appellees
Attorneys
Mark P. Gaber, Jenner &. Block LLP, and Joshua J. Bone, Campaign Legal Center (Jessica Ring Amunson, Jenner & Block LLP, and J. Gerald Hebert, Campaign Legal Center, with them on the briefs), Washington, DC, for Attorneys-Appellants/Cross-Appellees and Plaintiffs/Cross-Appellees., Luis G. Stelzner, Stelzner, Winter, War-burton, Flores, Sanchez & Dawes, P.A. (Jaime L. Dawes, Stelzner, Winter, War-burton, Flores, Sanchez & Dawes, P.A., and Patrick J. Rogers, Patrick J. Rogers, LLC, with him on the brief), Albuquerque, New Mexico, for Appellee/Cross-Appel-lant.
Full Opinion (html_with_citations)
This case arises out of an award of attorneysâ fees imposed as a sanction on attorneys who brought a voting-rights lawsuit against the Mayor of Albuquerque. After dismissing the case, the district court found the attorneys unreasonably multiplied proceedings in what it called a meritless case and sanctioned them under 28 U.S.C. § 1927. They argue the award was an abuse of discretion. The Mayor cross-appealed, arguing the court abused its discretion by declining to award fees under several other provisions the Mayor raised as grounds for sanctions.
Although most of the attorneysâ arguments lack merit, we vacate the award of fees and remand for the court to consider whether a different trigger for the imposition of sanctions is appropriate. The Mayor dropped his cross-appeal at oral argument. Consequently, exercising jurisdiction under 28 U.S.C. § 1291, we VACATE the award of fees and REMAND for further proceedings consistent with this opinion. We also DENY the motion for sanctions on appeal.
I. Background
Several Albuquerque residents sued Mayor Richard Berry in his official capacity as Mayor of Albuquerque in state court over the Cityâs redistricting plan enacted after the 2010 census.
After the lawsuit had been commenced, in March 2013, a city-charter amendment passed mandating that no candidate could be elected without receiving a majority of the vote. That abrogated the previous rule, under which the top vote recipient with a plurality of 40% or more would prevail.
Several weeks later the voters filed a motion for voluntary dismissal without prejudice of their claims. They explained that they did so âto assure that [the lawsuit] would not interfere with the upcoming [Fall] elections in the City of Albuquerque and to ascertain whether the change in the political landscape in the City of Albuquerque [ie., the city-charter amendment] would necessitate further litigation.â Id at 46. The Mayor opposed this motion, arguing that dismissing the case without prejudice would result in legal prejudice to him. Thus, he filed a motion asking the court to instead dismiss the case with prejudice.
On September 30, rather than granting or denying either motion, the court entered a stay in the case and âdeferred] ruling until after the upcoming [November] mayoral election.â Id at 190. The court found the facts before it insufficiently clear to justify ruling definitively on either motion at that time. In its order, the court noted that, after âthe conclusion of the mayorâs race, the Court will hold a status conference and the parties shall advise the Court how they wish to proceed.â Id at 191. And it instructed the voters to âbe prepared to advise the Court whether, given the results of the mayoral election, they still wish to pursue litigation on the allegations raised in the complaint.â Id
Neither party filed anything further from that point forward, and the mayoral election came and went. On November 12, the court held a telephone conference, at which the voters âadvised ... that there was also an upcoming election for councilperson, and suggested continuing the stay,â again suggesting that after this election the âissue [might] become moot.â Id at 192, 195. The court understood that as a request to stay the decision until it became clear whether or not âfurther legal action was necessary, based on the implementation of the [city-charter amendment].â Id at 196. Nothing happened for two months aside from the court vacating a December 17 telephone conference because of its scheduling issues. The record reflects no action by the voters to advise the court of the effect the election had on their claims or whether they wished to proceed. Accordingly, the dueling motions remained pending.
In January 2014, the court revisited the motions. It noted that, although its stay had been based on the votersâ ârepresentations that the outcome of the elections would determine whether the underlying issues had become moot,â they apparently still could not âmake a decision about whether they have a meritorious lawsuit or not.â Id The court found that the votersâ failure to take any affirmative action post-election indicated their claims that the results of the Fall elections would let them âdetermine whether there remained an issue to litigateâ had been âdisingenuous.â Id In short, the court found their reasons for seeking dismissal without prejudice insufficient. Finding it âapparent that there [was] no longer a case to pursue,â the court denied the votersâ motion to dismiss without prejudice and dismissed the case with prejudice. Id at 195-96.
The Mayor subsequently moved for an award of attorneysâ fees and costs under a host of provisions. After holding a sanctions hearing, the court ruled on the motion in August 2014. The court only awarded sanctions under 28 U.S.C. § 1927, which allows the imposition of fees on lawyers who âunreasonably and vexatiouslyâ multiply proceedings. Although the court found the lawsuit was not filed in bad faith, it found that âat some point during the course of the litigation,â counselâs conduct âin maintaining [the] case multiplied] the proceedings in an unreasonable and vexa
The voters have appealed only that order granting attorneysâ fees.
II. Analysis
Federal law provides that any attorney âwho so multiplies the proceedings in any case unreasonably and vexatiously may be required by the court to satisfy personally the excess costs, expenses, and attorneyâs fees reasonably incurred because of such conduct.â 28 U.S.C. § 1927. This is an âextreme standard,â and fees should be awarded âonly in instances evidencing a serious and standard disregard for the orderly process of justice.â AeroTech, Inc. v. Estes, 110 F.3d 1523, 1528 (10th Cir.1997) (internal quotation marks omitted). Thus, courts must âstrictly construe[]â the statute to guard against âdampen[ing] the legitimate zeal of an attorney in representing his client.â Braley v. Campbell, 832 F.2d 1504, 1512 (10th Cir.1987) (en banc).
Courts need not find that an attorney subjectively acted in bad faith. Rather, âany conduct that, viewed objectively, manifests either intentional or reckless disregard of the attorneyâs duties to the court[ ] is sanctionable.â Hamilton v. Boise Cascade Express, 519 F.3d 1197, 1202 (10th Cir.2008) (internal quotation marks omitted). The statute makes attorneys potentially liable for harm caused âbecause ofâ unreasonable and vexatious multiplication of proceedings. 28 U.S.C. § 1927. Thus, âthere must be a causal connection between the objectionable conduct of counsel and multiplication of the proceedings,â such that the conduct âresulted] in proceedings that would not have been conducted otherwise.â Peterson v. BMI Refractories, 124 F.3d 1386, 1396 (11th Cir.1997); see also Lee v. First Lenders Ins. Servs., Inc., 236 F.3d 443, 445 (8th Cir.2001).
Although we generally review an award of fees under § 1927 for an abuse of discretion, if âthe exercise of that discretion depended on the resolution of a purely legal issue,â we review that issue de novo. Hamilton, 519 F.3d at 1202 (emphasis added). We emphasize âdependedâ because many of the votersâ assertions of legal error on appeal attack legal analysis upon which the imposition of sanctions did not obviously depend, contained in orders not designated in their notice of appeal. Cf. Navani v. Shahani, 496 F.3d 1121, 1133 (10th Cir.2007) (stating we have jurisdiction only over orders appellants designate in their notice of appeal). We address those instances as they become relevant. For now, we only note that barring any actually relevant legal error, a courtâs discretion to award fees is broad if it concludes an attorney acted in an objectively unreasonable way that multiplied proceedings.
A. Challenge to Process
The voters initially raise several complaints about the process the court followed in imposing sanctions. The first challenge stems from their July 5, 2013 motion under Federal Rule of Civil Procedure 41(a)(2) that the court dismiss the case without prejudice. As described above, when the Mayor opposed the motion and filed his own motion requesting dismissal with prejudice, the court deferred ruling on either motion in an order staying proceedings until after the upcoming elections.
Although denials of requests under Rule 41(a)(2) to dismiss without prejudice generally receive abuse-of-discretion review, â[ajbsent âlegal prejudiceâ to the defendant, the district court normally should grant such a dismissal.â Ohlander v. Larson, 114 F.3d 1531, 1537 (10th Cir.1997). And, because a âcourt abuses its discretion when denying a motion to dismiss under Rule 41(a)(2) based on its inconvenience,â the âcourtâs time or effort spent on the caseâ is not a proper consideration. See id. The voters complain the courtâs order staying the case (1) identified no legal prejudice to the Mayor, and (2) was based solely on its time or effort spent on the case. According to them, this violates Ohlander and amounts to a legal error sufficient to break the causal connection between any objectionable conduct of counsel and multiplication of proceedings. But, for several independent reasons, we disagree.
As an initial matter, denying a motion to dismiss is different from deferring decision on that motion by means of a stay. Ohlander concerned legal error arising when improper considerations enter into a decision to deny a motion to dismiss without prejudice. See id. (explaining we were considering a âdistrict courtâs decision to deny a voluntary dismissalâ). Here, the voters assert error in the courtâs stay order, not in its later order denying their motion and dismissing the case.
Moreover, even if Ohlanderâs rule reached .as far as the voters think, the court did not elevate its convenience over potential legal prejudice to the defendant in staying the case. Proper considerations in the legal-prejudice inquiry include âthe opposing partyâs effort and expense in preparing for trial; excessive delay and lack of diligence on the part of the movant; insufficient explanation of the need for a dismissal; and the present stage of litigation.â Brown v. Baeke, 413 F.3d 1121, 1124 (10th Cir.2005). But these âfactors are neither exhaustive nor conclusiveâ and courts âshould be sensitive to other considerations unique to the circumstances of each caseâ in determining legal prejudice, including the equities facing both parties. Id.
The voters claim the court âconsidered and rejected the cityâs assertions of legal prejudice,â 1st Cx-App. Br. at 22, implying the court concluded that dismissing the case without prejudice would not prejudice the Mayor. Under the votersâ view of Ohlander, that would have meant the court had no discretion to do anything but dismiss the case. See id. at 23 (asserting the court âansweredâ the question of âwhether [the] case should be dismissed with or without prejudiceâ against the Mayor). Thus, they conclude, the courtâs âsole reason for staying the case rather than granting the motion to dismiss without prejudice was the courtâs time or effort spent on the case,â i.e., its convenience. Id. at 22-23 (internal quotation marks omitted). But this argument reads too much into the courtâs order.
What the court actually said was that â[a]t [that] point, the record [was] insufficient to warrant dismissal with prejudiceâ and that staying the case until after the âupcoming mayoral electionâ would âpreju-diee[ ] neitherâ party and benefit judicial economy. App. 190. This must be understood in the context of the reasons the voters gave for seeking dismissal without prejudice. The asserted reason for seeking a dismissal was âto assure that [the lawsuit] would not interfere with the upcoming elections ... and to ascertain whetherâ further litigation would be necessary after the city-charter amendment. Id. at 46. The Mayor objected to that request, arguing the legal-prejudice factors counseled against allowing dismissal without prejudice. The sufficiency of the reasons for seeking dismissal was key to the legal-prejudice inquiry and, consequently, key to the resolution of the moJ tion.
Complicating the inquiry, however, was that the votersâ reason for seeking dismissal without prejudice turned on the uncertain future effect of the city-charter amendment on the upcoming elections. The court apparently thought the votersâ explanation sufficiently unpersuasive to make it prudent to wait until the upcoming election actually happened before reaching a final decision.
Thus, we do not read the order as concluding the Mayor would suffer no legal prejudice from a dismissal without prejudice; we read it as expressing uncertainty about whether legal prejudice would attach and staying the case accordingly. For those reasons, the courtâs reasoning cannot be fairly characterized as resting solely on its convenience. In fact, the court explicitly enumerated the legal-prejudice factors at the outset of the order and concluded ultimately that its decision to stay the case prejudiced neither party. Far from resting solely on convenience, the courtâs decision indicates full awareness of the need to consider legal prejudice. Thus, even if the voters were right that Oklanderâs rule restricts the stay-granting power of district courts, the court fully complied with its dictates.
Finally, even assuming the correctness of the two premises just rejected â (1) that Ohlander prevents courts from staying a decision on a motion to dismiss without prejudice without first finding prejudice to the non-movant, and (2) that the court failed to base its decision on potential legal prejudice to the defendant â the voters would still face an insurmountable obstacle. They would have only shown a legal error in the September 2013 stay order. It would remain to be shown that imposing sanctions in August 2014 depended on that incorrect legal conclusion. We do not see how it could have. Perhaps it would have if this supposed error necessarily enabled or led to the conduct later sanctioned as multiplication of proceedings. But that does not follow. As an initial matter, the conduct the court sanctioned as impermissible multiplication of proceedings began in June 2013. It is difficult to see how an error in a September 2013 stay could have caused that conduct; by the time the court entered the stay, the proceedings had already multiplied. Nor can they show â to the extent this is their claim â that absent the legal error the court would have necessarily granted their motion to dismiss without prejudice. The court certainly could have still denied the motion to dismiss even had it applied the law as the voters perceive it.
It is one thing to identify a legal error in a decision one actually appeals, since it makes some sense to assume the decision rested in part on that error. It is another to argue a court order should be reversed based on a legal error in a separate order issued at an entirely different stage of proceedings. The voters fail to show how this error â assuming it occurred â would even be relevant to the issue on appeal. A far tighter connection must be demonstrated. As far as we can tell, their challenge boils down to a backdoor attack on a decision they have not appealed with law that does not apply. Accordingly, the challenge to the courtâs order staying the case cannot resolve this appeal.
Two other complaints about the courtâs process can be readily dismissed. The voters allege the court âinvite[d] [their] actions by statements in its own ordersâ and thus could not sanction them âfor following the court-approved path.â 1st Cx-App. Br. at 24. This gets the chronology backwards. The court found the sanction-able conduct began in June 2013. Statements made in the stay order could not
The voters next claim that the district court committed reversible error in not allowing plaintiffs to âproceed with only the state claim in state court,â id. at 26. That argument also fails. As background, the voters offered, for the first time, at the November telephone conference to dismiss
The Davis rule would only apply to the January 2014 order actually denying plaintiffsâ motion for voluntary dismissal. But nothing in that order indicates the prospect of proceeding in state court influenced the denial.
We doubt this would be such an error, given that the sanctions rested on the finding that sanctionable conduct began long before January 2014. Perhaps recognizing that causal problem, the voters in places appear to claim the court committed reversible error in the sanctions order by rejecting an argument that offering to proceed in state court should have precluded sanctions. But we see no reason such an offer would bar a court from later concluding that a party improperly multiplied proceedings, and the voters cite no authority to that effect.
Rounding out their process challenges, the voters claim the court improperly ap-. plied a subjective standard by commenting on their âsubjective knowledge regarding the merits of [their] case.â Id. at 410. This argument, however, rests on a legal misunderstanding. To be sure, they point to Braley and that case explained that § 1927 allows sanctions âagainst an attorney personally for conduct that, viewed objectively, manifests either intentional or reckless disregard of the attorneyâs duties to the court.â Braley, 832 F.2d at 1512. But that does not mean an attorneyâs subjective bad faith is irrelevant, let alone that commenting on apparent bad faith is reversible error. To the contrary, an âattorneyâs actions are considered vexatious and unreasonable under § 1927 if the attorney acted in bad faith.â Dreiling v. Peugeot Motors of Am., Inc., 768 F.2d 1159, 1165 (10th Cir.1985); see also Braley, 832 F.2d at 1512 (noting parenthetically that attorneys are âaccountable under § 1927 not only for subjective bad faith conduct but also for âreckless indifference to the merits of a claimâ â (emphasis added)); cf. Steinert v. Winn Grp., Inc., 440 F.3d 1214, 1221 (10th Cir.2006) (listing, as an example of sanctionable conduct under § 1927, instances when attorneys are âcavalier or bent on misleading the courtâ).
The court committed no legal error in commenting on plaintiffsâ subjective knowledge regarding the merits of their case.
B. Challenge to the Merits
The voters also contend the court rested its finding that their case ceased to be meritorious after June 25 on a legally erroneous interpretation of their Voting Rights Act and one-person-one-vote claims. We disagree.
We begin with the Voting Rights Act claim. The Supreme Court, in Thornburg v. Gingles, 478 U.S. 30, 50-51, 106 S.Ct. 2752, 92 L.Ed.2d 25 (1986), established a three-part prima facie framework for a vote-dilution claim under Section Two of the Act. First, plaintiffs must prove their minority group is âsufficiently large and geographically compact to constitute a majority in a single-member district.â Sanchez v. State of Colo., 97 F.3d 1303, 1310 (10th Cir.1996). Second, they must
In selecting June 25 as the âmagic date,â the district court concluded that the votersâ experts never established the Gingles factors, and that Mr. Sanderoffs report simply confirmed that failure. The Mayor does not dispute that the votersâ expert Dr. Lonna Rae Atkeson purported to identify racially polarized voting. See App. 128 (Dr. Atkeson asserting that âthe evidence is clear that racially polarized voting is present,â which she concluded was âindicative of the need for majority-minority districts within the city to provide minorities an equal opportunity to elect candidates of their choiceâ). The first Gingles prong is not contested; the question is whether Dr. Atkesonâs testimony sufficed to establish the last two prongs.
The voters correctly emphasize that the second and third Gingles factors can be addressed âconjunctively].â Sanchez, 97 F.3d at 1315. But that does not tell us whether Dr. Atkeson actually addressed those factors. The voters breeze over this point, assuming that asserting the existence of racially polarized voting is sufficient shorthand for asserting the final two Gingles factors. That assumption is incorrect. Dr. Atkeson made two statements: (1) an assertion that racially polarized voting exists; and (2) an âassertionâ that was really plaintiffsâ desired conclusion in disguise&emdash;i.e., that Latinos were being deprived of an equal opportunity to elect candidates of their choice. This does not satisfy Gingles, because it ignores entirely whether the white majority was actually voting as a bloc to defeat the minorityâs preferred candidate. That omission is perhaps unsurprising in light of Mr. San-deroffs finding that in every election selected by Dr. Atkeson âin which ... Hispanic voters had a preferred candidate,â it turns out âthe preferred candidate of the Hispanic population won the election.â App. 70; see also id. at 470 (testimony at sanctions hearing reiterating this deficiency in Dr. Atkesonâs report).
Put another way, the district court only erred if a general assertion that racially polarized voting exists suffices to satisfy Ginglesâs third prong. The voters provide no cases for that proposition, and we doubt they could. Consider a case where racially polarized voting exists, but a minority is nevertheless electing candidates of its choice. In that case, the requirement that the white majority votes as a bloc to defeat the minorityâs preferred candidate would be unsatisfied. While racially polarized voting is necessary to satisfy the third prong, it is not sufficient. We indicated as much in Sanchez, where, albeit in our discussion of the first prong, we noted that âpart of the Gingles threshold inquiryâ is whether the district court âcan fashion a permissible remedy in the particular context of the challenged system.â Sanchez, 97 F.3d at 1311. Naturally, there is no remedy to fashion if a minority group is not actually prevented from electing candidates of choice.
Contrary to the votersâ framing of the issue, the problem was not that their experts collapsed the second and third Gin-gles prongs. The problem was that their experts entirely failed to address whether the white majority was actually voting as a bloc to defeat minority-preferred candidates. It was not error to find this was a fatal flaw in the expertsâ analysis. And it was not error to treat Mr. Sanderoffs report as the final straw, because the report revealed why the flaw was there&emdash;
In sum, it was insufficient for Dr. Atke-son to simply nod to the desired conclusion by claiming racially polarized voting showed Latinos needed the ability to elect candidates of their choice without asserting the existence of a necessary premise: that the white majority was actually voting as a bloc to defeat the minorityâs preferred candidates. Because the voters never even attempted to assert that necessary premise, there was no Gmyfes-related legal error.
We turn next to the votersâ assertion that the district court erred in finding their one-person-one-vote claim lacked merit. At the outset, both parties treat a district court case summarily affirmed by the Supreme Court, Larios v. Cox, 300 F.Supp.2d 1320 (N.D.Ga.2004), summarily aff'd, 542 U.S. 947, 124 S.Ct. 2806, 159 L.Ed.2d 831 (2004), as if it were binding law. Of course, summary affirmances have limited precedential value. See Plowman v. Massad, 61 F.3d 796, 799 n. 1 (10th Cir.1995) (noting that âthe precedential effect of a summary affirmance extends no further than the precise issues presented and necessarily decided by those actionsâ (internal quotation marks omitted) (quoting Anderson v. Celebrezze, 460 U.S. 780, 784 n. 5, 103 S.Ct. 1564, 75 L.Ed.2d 547 (1983)). Thus, the particularities of Lar-iosâs holding that certain Georgia reapportionment plans violated one-person-one-vote principles, see Larios, 300 F.Supp.2d at 1357-58, have little to say to our inquiry in this case. The question is not whether that district courtâs reasoning could support a one-person-one-vote claim here, but whether the court erred in determining such a claim was untenable under governing precedent.
It is difficult to discern the contours of the votersâ position under relevant law, particularly when they focus single-mind-edly on the âmerit [of their claims] under Larios,â 1st Cx-App. Br. at 40. Read most charitably, they appear to be claiming they made a meritorious one-person-one-vote claim attacking the constitutionality of voter-population deviations of plus or minus 5% in Albuquerqueâs plan.
The law with which the voters must grapple to show their claim was col-orable is well established. An âapportionment plan with a maximum population deviation [from ideal district size] under 10% falls withinâ the âcategory of minor deviationsâ that are âinsufficient to make out a prima facie case of invidious discrimination under the Fourteenth Amendment so as to require justification by the State.â Voinovich v. Quitter, 507 U.S. 146, 161, 118 S.Ct. 1149, 122 L.Ed.2d 500 (1998); see also White v. Regester, 412 U.S. 755, 764, 98 S.Ct. 2332, 37 L.Ed.2d 314 (1973) (observing ârelatively minor population deviationsâ under 10% and noting plaintiffs were thus unable to establish a violation âfrom population variations aloneâ). The upshot is that such minor population deviations are âpresumed to be constitutionally validâ&emdash;i.e., more than deviation is needed in such cases. League of Women Voters v. City of Chi., 757 F.3d 722, 725 (7th Cir.), cert. denied, - U.S.-, 135 S.Ct. 688, 190 L.Ed.2d 392 (2014). The voters never address these eases or identify any statements by this court or the Supreme Court contradicting these principles. More importantly, they identify no facts or law supporting an argument that the presumption was rebutted (or even rebuttable) on the facts of this case. Nor did they below, which is a significant omission in light of the assertion in Mr. Sanderoffs report that all districts were within 5% of ideal district size. Finally, as the Supreme Court recently reiterated, a 5% deviation is generally permissible in these cases. Ala. Legis. Black Caucus v. Alabama, - U.S. -, 135 S.Ct. 1257, 1263, 191 L.Ed.2d 314 (2015).
A bare statement that someone could have made an argument is not enough. â[C]ursory statements, without supporting analysis and case law, fail to constitute the kind of briefing that is necessary to avoid application of the forfeiture doctrine.â Bronson v. Swensen, 500 F.3d 1099, 1105 (10th Cir.2007); Adler v. Wal-Mart Stores, Inc., 144 F.3d 664, 679 (10th Cir.1998) (âArguments inadequately briefed in the opening brief are waived .... â). Because the voters identify no grounds on which we could rest a conclusion that the district courtâs decision departed from governing law, we consider this argument waived.
Underlying all these arguments is the votersâ claim that, if they had not chosen to seek dismissal without prejudice, they may have been able to supplement their expert reports or depose Mr. Sanderoff at a later date. Their point seems to be this could have allowed them to build a counterargument to his assertions about the merit of
In short, nothing in the record or in the briefing convinces us the court rested its decision on any legal error. â
C. Factual Propriety of Sanctions
The votersâ inability to show legal error reduces them to arguing that even without legal errors âthe record in this case manifestly does not support the imposition of sanctions.â 1st Cx-App. Br. at 29. They emphasize that the only substantive motion they filed was their opposed motion to dismiss on July 5. In large part, this misses the point. Much of this question turns on whether the court abused its discretion in finding that multiplying proceedings after June 25 was sanc-tionable because the case became meritless at that time. We have already explained why the court did not err in finding the Gingles and one-person-one-vote arguments lacked merit, as well as why the voters cannot blame the courtâs stay for extending proceedings. Ample evidence supported the courtâs decision. When the court looked back in August 2014, it was apparent that the case was substantively weak from the start. Mr. Sanderoffs report hammered home the intractability of those flaws by showing the Gingles claim could not succeed and that district deviations made it unlikely that the one-person-one-vote claim would. It was not an abuse of discretion to find it became objectively unreasonable to pursue the case further on June 25, 2013.
With June 25 established as the critical day, the remaining question is whether the court abused its discretion in finding the voters in fact acted in a way that unreasonably and vexatiously multiplied proceedings. The votersâ main argument here boils down to a comparison of this case to some of our other § 1927 cases they claim exemplify more egregious conduct. Even if that were true, however, none of those cases suggested they were establishing a floor below which a court could not permissibly impose sanctions. In a vacuum, it matters little to our review for abuse of discretion that some lawyers may have acted worse than the voters did. If they acted in a way the court could have justifiably found to be objectively unreasonable, § 1927 requires no more.
That, however, brings us to the reason we cannot affirm the award in its current form. In short, we cannot affirm what appears to be the courtâs finding&emdash; implicit in the imposition of fees beginning on June 25&emdash;regarding what the sanctiona-ble conduct actually was. Section 1927 sanctions are for âconduct that, viewed objectively, manifests either intentional or reckless disregard of the attorneyâs duties
To be clear, the court did not abuse its discretion by finding June 25 was the date after which it became sanctionable for the voters to multiply proceedings in an objectively unreasonable way. But, by imposing sanctions beginning on June 25, it necessarily found they did something at that point that multiplied proceedings within the meaning of the statute. Because the voters took no affirmative action on that day, the only potentially sanctionable June 25 âconductâ we can see is their failure to immediately cut the case short&emdash;ie., dismiss the case with prejudice&emdash;after receiving Mr. Sanderoffs damaging report.
We do not discount the possibility that in some cases, failing to act can be sanc-tionable conduct under § 1927. See, e.g., Roadway Express, Inc. v. Piper, 447 U.S. 752, 755-57, 760, 100 S.Ct. 2455, 65 L.Ed.2d 488 (1980) (observing a partyâs âuncooperative behaviorâ and âdeliberate inaction in handlingâ a case leading to sanctions (internal quotation marks omitted)). After all, the statute âauthorizfes] the assessment of costs against dilatory attorneys.â Id. at 760, 100 S.Ct. 2455. Surely an attorneyâs failure to act could be objectively unreasonable and vexatious and multiply the proceedings in a case by causing the opposing party to file motions to compel action. More pertinent here, in a meritless case, protracted failure to do anything but dismiss the case (or, perhaps, insisting on conditions of dismissal that themselves create further litigation) might be sanctionable.
But the courtâs decision below does not appear to rest on this type of reasoning. Rather, the award in effect found the votersâ unreasonable failure to dismiss the case began the very day they received the report. That cannot be reconciled with the need to construe § 1927 to avoid âdampening] the legitimate zeal of an attorney in representing his client,â Braley, 832 F.2d at 1512. When new information appears to make it objectively unreasonable to pursue a case, an attorney must have at least some time&emdash;surely a day or two&emdash;to study that information and make a decision regarding its impact before failing to drop the case becomes sanc-tionable unreasonable pursuit. See Riddle & Assocs., P.C. v. Kelly, 414 F.3d 832, 835 (7th Cir.2005) (âIf a lawyer pursues a path that a reasonably careful attorney would have known, after appropriate inquiry, to be unsound, the conduct is objectively unreasonable and vexatious.â (emphasis added)).
Consequently, we vacate the award of fees and remand for further proceedings consistent with this opinion. The court is free to revisit the fees question on remand and certainly may reimpose fees if it finds a more appropriate triggering action. It is possible that an affirmative action creating further litigation taken by the voters after June 25 might suffice, or that a lengthier delay after June 25 will do on its own. We express no opinion on those possibilities here.
But they should keep in mind that this time is not unlimited. The necessary time will of course be case-specific and largely within the discretion of the district court. Some relevant, although non-exclusive factors would include the strength of the underlying case and the nature of the new developments affecting the objective reasonableness of further pursuing the case. We leave any further investigation into those questions for the district court on remand and note also that such investigation may be unnecessary if it finds an affirmative action by the voters that multiplied proceedings in an objectively unreasonable way,
III. Conclusion
For the foregoing reasons, we VACATE the fee award and REMAND for proceedings consistent with this opinion. We DENY the votersâ motions for sanctions against the Mayor for his cross-appeal.
. As discussed, the district court sanctioned the attorneys rather than the plaintiffs in the underlying case. For easier reading, references in this opinion to âthe votersâ only refer to plaintiffsâ lawyers, who are the parties appealing the imposition of sanctions.
. Before the charter amendment, a candidate who was not the candidate of choice of the Latino community could win an election with a plurality while two candidates who were both preferred candidates of the community split a majority. According to the voters, this was how Mayor Berry was elected in 2009. Post-amendment, a runoff would be required between the two top candidates. The voters thought this might moot their original redistricting complaints. See App. 112 (explaining the changes might âremedy the constitutionally deficient redistricting map without further Court intervention").
. A non-exhaustive list of sanctionable conduct includes cases where "an attorney acts recklessly or with indifference to the law,â when "an attorney is cavalier or bent on misleading the court,â when he "intentionally acts without a plausible basis,â or "when the entire course of the proceedings was unwarranted.â Steinert v. Winn Grp., Inc., 440 F.3d 1214, 1221 (10th Cir.2006). But sanctions cannot be imposed for the initiation of proceedings â "it is not possible to multiply proceedings until after those proceedings have begun.â Id. at 1225.
. This matters because the voters argue it âwas the decision of the court, and not any conduct by Plaintiffs' counsel, that imposed the stay and resulted] in proceedings that would not have been conducted otherwise.â 1st Cx-App. Br. at 20 (internal quotation marks omitted) (alteration and emphasis in original). But they have not appealed the stay order; their claim is essentially that the sanctions were inappropriate because the stay was inappropriate. As discussed below, that argument has an independent causal infirmity â the decision to award sanctions did not depend on the resolution of any legal issue in the stay order.
. Even after that election passed, the voters did nothing beyond requesting an extension of the stay to determine the amendment's effect on yet another election. That was their last action before the court denied the motion to dismiss without prejudice and granted the Mayorâs motion to dismiss with prejudice in January 2014. By that time, the election-based reasons for seeking dismissal without prejudice lacked salience, and the voters had offered no substitute reasons for dismissal. Failing to offer current, relevant reasons for dismissing without prejudice probably offers an âinsufficient explanation of the need for a dismissal.â Brown, 413 F.3d at 1124. The court apparently thought so. See App. 196 (noting the election-centric reasons for dis
. Medtronic Navigation, Inc. v. BrainLAB Medizinische Computersysteme GmbH, 603 F.3d 943 (Fed.Cir.2010); Browning v. Kramer, 931 F.2d 340 (5th Cir.1991); In re Ruben, 825 F.2d 977 (6th Cir.1987).
. It is unclear from the record whether this offer was to dismiss with or without prejudice.
. The denial was based entirely on the underlying caseâs lack of merit and the courtâs finding that the votersâ claimed reasons for seeking dismissal without prejudice were "disingenuousâ and insufficient. App. 196.
.This caseâs chronology demonstrates why that would be an odd rule. The offer to proceed in state court was made months after the case became meritless and months after the court found the voters began unreasonably multiplying proceedings in a meritless case.
. The voters point to our statement in Miera v. Dairyland Insurance Co., 143 F.3d 1337 (10th Cir.1998), that Braley "rejected a subjective good faith inquiry.â Id. at 1342. But that takes Miera out of context. That case simply described Braleyâs rejection of the argument that § 1927 sanctions âshould be imposable against an attorney personally only for subjective bad faith." Braley, 832 F.2d at 1512 (emphasis added). To read that as holding that subjective bad faith has no place in this analysis goes too far, and makes scant sense. Has an attorney discovered to be acting in bad faith but who cloaked that bad faith behind objectively reasonable actions insulated himself from § 1927 sanctions? Nothing in the statute requires that result. It would be strange if subjective bad faith did not constitute "conduct that, viewed objectively, manifests ... intentional ... disregard of the attorneyâs duties to the court.â Id.
. Moreover, the court plainly rested its sanctions award on counsel's "objectively unreasonableâ pursuit of the case after June 25. App. 407. Even on the votersâ erroneous view of the law, a court that expressly bases sanctions on an attorneyâs objectively unreasonable conduct surely would not err by commenting on the possibility that the conduct stemmed from subjective bad faith.
.The voters also attack the court's Gingles conclusion on the grounds that the court erroneously based its decision on the fact that "the challenged map resulted in five of the [cityâs] nine districts being majority-minority.â 1st Cx-App Br. at 42. That reads too much into the order. To be sure, the court juxtaposed that observation about the number of majority-minority districts with the claim that the plan disadvantaged minority voters. But this was merely a general observation about the factual context of the case, not a reason for rejecting the Gingles claim. It is wrong to assert, as the voters do, that the court found the Gingles claim meritless âbecause several majority-minority districts were present.â Id. at 43 (emphasis added). That conclusion flowed from the failure of their experts to even attempt to satisfy Ginglesâs third prong.
. The Mayor denies the population deviation was even that high. Because we conclude the voters waived this argument, we do not reach that point.
. Although we hold the argument waived on the basis of an insufficient opening brief on appeal, we perhaps could have held it was forfeited below because it was not made there&emdash;at least, not in the form it takes now. The voters certainly made no such argument in their filings opposing sanctions. And, at the hearing, their argument was again based on nothing but Larios and appeared to be that Albuquerque needed to justify any deviation above zero. See, e.g., App. 453 (asking May- orâs expert whether "the Supreme Court caseâ [sic] of âCox v. Larios â âmandated] that deviation needs to be taken down to zero unless you can articulate why you could not do thatâ). Of course, the Supreme Court's
. At no point in contesting sanctions did they directly assert Latinos were unable to elect their candidates of choice, which was the key Gingles issue highlighted by Mr. San-deroff's report. Nor did they make any one-person-one-vote argument not premised on the misunderstanding of Larios we discussed above.
. A dismissal with prejudice, of course, was the only type of dismissal to which the Mayor was willing to acquiesce.
. Doing so would be largely pointless. With respect to "a matter committed to the district courtâs discretion,â like the propriety of § 1927 sanctions, "we cannot invoke an alternative basis to affirm unless we can say as a
. We note, however, that because the Mayor did not contest the voters' argument that attorney Antonio Maestas should not have been sanctioned, § 1927 liability on remand should not extend to Mr. Maestas.
. The Mayor cross-appealed in this matter, asking us to find the district court abused its discretion in failing to award sanctions under a host of other provisions. At oral argument, however, the Mayor conceded that pursuing the cross-appeal further was unwise, and dropped it. After oral argument, the voters moved for sanctions under § 1927 and Federal Rule of Appellate Procedure 38, which allows the award of damages for a frivolous appeal. We deny that motion.