Leon E. Cooper v. Salomon Bros. Inc., 1 F.3d 82 (2d Cir. 1993). · Go Syfert
Leon E. Cooper v. Salomon Bros. Inc., 1 F.3d 82 (2d Cir. 1993). Cases Citing This Book View Copy Cite
Treatment trajectory · 1993 → 2026 · click a year to view as-of
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Cited for
At page 85 Jurisdictional limits on reviewing attorney's fees22 citing cases“justify broadening the jurisdiction of a federal court without congressional approval”2 citing courts quote it · 19 listed here · 1 cautionary
  • Basf Corp., Plaintiff-Appellant/cross-Appellee v. Old World Trading Co., Inc., Defendant-Appellee/cross-Appellant, 41 F.3d 1081 (7th Cir. 1994).published Cited "but see" · 2 cites
    Nonetheless, we held the order reviewable (although it is unclear whether on the basis of some form of pendent jurisdiction or by a determination that the fee award was final under Sec. 1291), since "there would be no net judicial economy,…
  • United States v. Kouri Perez, 187 F.3d 1 (1st Cir. 1999).published
    (Rule 11 sanctions are often punitive or aimed at deterrence.)
  • LCS Grp. v. Shire Dev., No. 20-2319-cv (L), 2022 WL 1217961 (2d Cir. Apr. 26, 2022).unpublished 2 cites
    “we hold that we may exercise jurisdiction over the final 16 decisions rendered in this case even though we lack jurisdiction over the rule 11 17 question.”
  • Karen Elizabeth Morway v. David Seth Morway, 2025 WI 3, 15 N.W.3d 886.published 2 cites
    Co., 675 F.3d 989 , 993-94 (6th Cir. 2012); Cooper v. Salomon Bros., 1 F.3d 82, 85 (2d Cir. 1993).
  • Chen v. China Green Agric., Inc., No. 22-1952 (2d Cir. Dec. 11, 2023).unpublished
    Inc., 1 F.3d 82, 85 (2d Cir. 1993).
  • Goldman v. Barrett, 825 F. App'x 35 (2d Cir. 2020).unpublished
    Inc., 1 F.3d 82, 85 (2d Cir. 1993).
  • Coe v. Town of Blooming Grove, 328 F. App'x 743 (2d Cir. 2009).unpublished 4 cites
    (Where only liability has been determined, a court cannot execute the judgment before it has assessed the damages.)
  • O & G Indus., Inc. v. Nat'l R.R. Passenger Corp., 537 F.3d 153 (2d Cir. 2008).published
    This circuit, moreover, has “rejected the doctrine of pendent appellate jurisdiction as a basis to review an undetermined award of attorneys’ fees, even when the question of liability for the fees had been consolidated with other decisions…
  • In Re Hentges, 350 B.R. 586 (Bankr. N.D. Okla. 2006).published
    Cooper v. Salomon Bros., 1 F.3d 82, 85 (2d Cir.1993).
  • Michael T. Byrne v. Camran Nezhat, M.D., 261 F.3d 1075 (11th Cir. 2001).published 2 cites
    (�Rule 11 sanctions are often punitive or aimed at deterrence.’)
Show 9 more citing cases
At page 84 Lacking jurisdiction over sanctions until amount is determined14 citing casesholding that court lacked jurisdiction to consider imposition of Rule 11 sanctions because district court had not yet determined amount of sanctions1 citing court put it this way · 11 listed here
  • Novella v. Westchester Cnty., 335 F. App'x 73 (2d Cir. 2009).unpublished 4 cites
    Inc., 1 F.3d 82, 84-85 (2d Cir.1993), cert. denied, 510 U.S. 1063 , 114 S.Ct. 737 , 126 L.Ed.2d 700 (1994). “ ‘[Ojnly when nothing save ministerial tasks relating to computation of damages remains can a mere determination of liability be c…
  • John J. Fannon Co. v. Fannon Prods., LLC, 712 N.W.2d 731 (Mich. Ct. App. 2006).published
    (holding that court lacked jurisdiction to consider imposition of Rule 11 sanctions because district court had not yet determined amount of sanctions)
  • Correspondent Servs. Corp. v. First Equities Corp. Of Florida, 338 F.3d 119 (1st Cir. 2003).published
    Inc., 1 F.3d 82, 84, 85 (2d Cir.1993).
  • Correspondent Servs. Corp. v. First Equities Corp., 338 F.3d 119 (2d Cir. 2003).published
    Inc., 1 F.3d 82, 84, 85 (2d Cir.1993).
  • Pridgen v. Andresen, 113 F.3d 391 (2d Cir. 1997).published 4 cites
    Inc., 1 F.3d 82, 84-85 (2d Cir.1993).
  • Ted Lapidus v. Vann, 112 F.3d 91 (2d Cir. 1997).published
    Cf. Cooper v. Salomon Bros., Inc., 1 F.3d 82, 84-85 (2d Cir.1993).
  • Ted Lapidus, S.A. v. Vann, 112 F.3d 91 (2d Cir. 1997).published
    Cf. Cooper v. Salomon Bros., Inc., 1 F.3d 82, 84-85 (2d Cir.1993).
  • Hutchinson v. Pfeil, 105 F.3d 562 (10th Cir. 1997).published 2 cites
    (lack of jurisdiction over a collateral issue does not deprive the appellate court of jurisdiction over decisions of the district court which are final)
  • McCarter v. Ret. Plan for the Dist. Managers of the Am. Fam. Ins. Grp., 540 F.3d 649 (7th Cir. 2008).published 2 cites
    See Cooper v. Salomon Brothers Inc., 1 F.3d 82 , 84–85 (2d Cir. 1993); Pennsylvania v. Flaherty, 983 F.2d 1267 , 1275–77 (3d Cir. 1993); Southern Travel Club, Inc. v. Carnival Air Lines, Inc., 986 F.2d 125 , 129–31 (5th Cir. 1993); In re M…
  • Brian J. Fournier v. Flats Indus., Inc., et al., 2023 ME 40, 298 A.3d 810.published
    (concluding that a motion for Rule 11 sanctions on an attorney was collateral to the final judgment in the case and that the court could exercise jurisdiction over the final decisions in the case)
Show 1 more citing case
At page 86 Elements required to prove quantum meruit claim5 citing casesAlthough the complaint itself fails to specify the basis for relief, the court interpreted his complaint as seeking restitution damages for unjust enrichment under a theory of quasi-contract, in essence a claim for quantum meruit.2 citing courts put it this way
  • Judge Rotenberg Educ. Ctr. Inc. v. Blass, 882 F. Supp. 2d 371 (E.D.N.Y. 2012).published
    (Although the complaint itself fails to specify the basis for relief, the court interpreted his complaint as seeking restitution damages for unjust enrichment under a theory of quasi-contract, in essence a claim for qua…)
  • Utica Alloys, Inc. v. Alcoa Inc., 303 F. Supp. 2d 247 (N.D.N.Y. 2004).published 2 cites
    (Although the complaint itself fails to specify the basis for *256 relief, the court interpreted his complaint as seeking restitution damages for unjust enrichment under a theory of quasicontra,ct, in essence a claim fo…)
  • Copeland v. Rosen, 25 F. App'x 17 (2d Cir. 2001).unpublished
    Inc., 1 F.3d 82, 86 (2d Cir.1993).
  • Suburban Hosp., Inc. v. Kirson, 763 A.2d 185 (Md. 2000).published
    Inc., 1 F.3d 82, 86 (2d Cir.1993); Smith v. Massachusetts Dep’t of Correction, 936 F.2d 1390, 1395 (1st Cir.1991); Sanders v. Clemco Indus., 862 F.2d 161, 166-67 (8th Cir.1988); Simon v. City of Clute, 825 F.2d 940, 942 (5th Cir.1987); Ver…
  • Gidatex, S.R.L. v. Campaniello Imports, Ltd., 49 F. Supp. 2d 298 (S.D.N.Y. 1999).published
    See Cooper v. Salomon Bros., Inc., 1 F.3d 82, 86 (2d Cir.l993)(plaintiff failed to state quantum meruit claim against corporation for saving it from criminal indictment because plaintiff was no more than an “officious volunteer”); Bloomgar…
At page 82 MESKILL, Circuit Judge: Leon E. Cooper, an attorney, appeals pro se from three orders entered in the United States District Court for the District of…1 citing caseopening of page *82 (no citing court says what it cites this page for)
  • United States v. Jose P. Floresca, 38 F.3d 706 (4th Cir. 1994).published
    Faced with a constitutionally deficient reasonable-doubt instruction below, after reciting the Fulminante argument outlined above, the First Circuit observed that "common sense" indicated that "[t]he erroneous instruction permitted the jur…
At page 87 “Because we hold that Cooper’s complaints were properly dismissed in their entirety, we dismiss as moot his appeal from the order staying discovery and the order denying preliminary relief.”1 citing casethe opinion's own words at *87
  • Kim v. Saccento, No. 21-2865, 2022 WL 9583756 (2d Cir. Oct. 17, 2022).unpublished
    That “rendered moot” all of Kim’s pending discovery motions, Weiss v. United States, 199 F.2d 454, 455 (2d Cir. 1952); see also Cooper v. Salomon Bros., 1 F.3d 82, 87 (2d Cir. 1993), including his underlying motion to enforce the subpoena…
Other citing cases1 with no pin cite or quoted language on record
Retrieving the full opinion text from the archive…
Leon E. COOPER, Plaintiff-Appellant,
v.
SALOMON BROTHERS INC., Defendant-Appellee
1685, 1882, Dockets 92-9319, 93-7135.
Court of Appeals for the Second Circuit.
Jul 20, 1993.
Published opinion
1 F.3d 82
1993 U.S. App. LEXIS 18380
Leon E. Cooper, pro se., Robert H. Baron, New York City (Cra-vath, Swaine & Moore, New York City, of counsel), for appellee.
Meskill, Jacobs, Restani.
Cited by 60 opinions  |  Published
1 passage pin-cited by 1 case
Pinpoint authority: bottom 81%
Citer courts: Second Circuit (1)
MESKILL, Circuit Judge:

Leon E. Cooper, an attorney, appeals pro se from three orders entered in the United States District Court for the District of Connecticut, Burns, J., which, among other things, denied Cooper’s motions for preliminary relief, stayed discovery against Salomon Brothers Inc. (Salomon), dismissed Cooper’s action in its entirety and imposed sanctions against him pursuant to Fed.R.Civ.P. 11. We dismiss for lack of appellate jurisdiction that portion of the appeal dealing with sanctions, and we dismiss as moot that portion of[*84] the appeal dealing with the stay of discovery and denial of preliminary relief. In all other respects we affirm the orders of the district court.

This case, although argued on the merits, presents us with certain important jurisdictional questions. The parties conceded at oral argument, and we now hold, that we lack jurisdiction to consider the imposition of sanctions under Fed.R.Civ.P. 11 because the district court has not yet determined the dollar amount of the sanctions. We also hold that our lack of jurisdiction over the issue of sanctions does not taint our jurisdiction over other final decisions rendered in the case. Finally, we hold that we may exercise jurisdiction over the final decisions rendered even though no separate judgment has been entered by the clerk of the district court.

BACKGROUND

On September 8,1992, Cooper filed a complaint against Salomon seeking damages of $530 million plus 50 percent of Salomon’s equity plus additional costs. The district court had diversity jurisdiction over the case, pursuant to 28 U.S.C. § 1332(a)(1); the plaintiff is a citizen of Connecticut and the defendant retains its principal place of business in New York and is incorporated in Delaware. The complaint alleged that Cooper furnished senior White House officials memoranda that saved Salomon from criminal indictment and that he was therefore entitled to compensation. On November 10, 1992, Cooper amended his complaint (amended complaint) by adding a civil claim under the Racketeer Influenced and Corrupt Organizations Act, 18 U.S.C. § 1961 et seq. (RICO) and by increasing the amount of damages sought to $1.59 billion plus 150 percent of Salomon’s equity. Following a warning from Judge Burns that he could be subject to sanctions if he failed to withdraw his amended complaint, Cooper instead filed an “ordered amendment” on December 16, 1992 supposedly curing the defects in his amended complaint.

Cooper appeals three orders of Judge Burns summarized below:

November 16 Order. On November 16, 1992, the court granted by endorsement Sa-lomon’s motion for a protective order staying discovery pending the disposition of Salo-mon’s motion to dismiss.

November 18 Order. On November 18, 1992, the court granted Salomon’s motions to set aside an erroneous default and to dismiss the original complaint. The court denied Cooper’s motions (1) for entry of default judgment, (2) for sequestration of Salomon’s assets, and (3) for an injunction prohibiting Salomon from filing for bankruptcy protection. The court also denied other miscellaneous motions filed by Cooper. Finally, the court denied Salomon’s motion for sanctions, but did so without prejudice to a later renewal of the motion.

January 12 Order. On January 12, 1993, the court granted Salomon’s motions to dismiss the amended complaint and for Rule 11 sanctions. Salomon was ordered to submit affidavits in support of its claim for reasonable attorney’s fees. Cooper’s “ordered amendment” was deemed not to be part of the pleadings because he had not obtained leave of the court to file this second amendment to his original complaint. See Fed. R.Civ.P. 15(a). The court also denied other miscellaneous motions filed by Cooper.

Cooper filed two notices of appeal. The appeals were consolidated on March 18,1993. No separate judgment has been entered in this case and Judge Burns has not yet calculated the amount of sanctions. However, an entry on the district court docket sheet, dated January 13,1993, states that the case was closed.

DISCUSSION

I. Jurisdiction

The district court imposed Rule 11 sanctions on Cooper but has not yet reduced the liability to a sum certain. We hold that we lack jurisdiction to review the district court’s determination of liability under Rule 11 before it has assessed the amount of the sanctions. Under 28 U.S.C. § 1291, our review is limited to “final” decisions of the district court, decisions in the words of the Supreme Court that “leave[ ] nothing for the[*85] court to do but execute the judgment.” Gatlin v. United States, 324 U.S. 229, 233, 65 S.Ct. 631, 633, 89 L.Ed. 911 (1945). Where only liability has been determined, a court cannot execute the judgment before it has assessed the damages. Therefore, the district court’s decision here is not “final,” and we lack jurisdiction to review it.

At least three of our sister circuits have reached this same conclusion. See Southern Travel Club v. Carnival Air Lines, 986 F.2d 125, 129-30 (5th Cir.1993); Jensen Electric Co. v. Moore, Caldwell, Rowland & Dodd, Inc., 873 F.2d 1327, 1329 (9th Cir.1989); Gates v. Central States Teamsters Pension Fund, 788 F.2d 1341, 1343 (8th Cir.1986). At least one circuit, however, has held, presumably based on a novel theory of pendent jurisdiction, that in the interest of orderly judicial administration, an appeals court may review a decision to impose attorney’s fees before the amount has been assessed where that non-final decision has been consolidated with other decisions that are final. Bittner v. Sadoff & Rudoy Indus., 728 F.2d 820, 826-27 (7th Cir.1984). Although the Bittner Court addressed the imposition of statutory attorney’s fees rather than Rule 11 sanctions, that case does resemble ours because Cooper also appeals several orders that by themselves must be considered “final.” However, we reject the Seventh Circuit’s analysis because we do not believe that an interest in “orderly judicial administration” can justify broadening the jurisdiction of a federal court without congressional approval. We conclude, therefore, that we have no jurisdiction over the imposition of Rule 11 sanctions until the district court reduces the amount of the sanctions to a sum certain.

Although we lack jurisdiction over the issue of sanctions, we are not barred from considering those decisions of the district court that are final. In Budinich v. Becton Dickinson & Co., 486 U.S. 196, 108 S.Ct. 1717, 100 L.Ed.2d 178 (1988), the Supreme Court ruled that the question of statutory attorney’s fees is collateral to, and separate from, the decision on the merits regardless of whether the statute authorizing the attorney’s fees characterizes them as part and parcel of the merits judgment. Id. at 200-02, 108 S.Ct. at 1720-22. Therefore, under Budinich, if a decision has been rendered that standing by itself would “end[] the litigation on the merits,” Catlin, 324 U.S. at 233, 65 S.Ct. at 633, that decision is “final” for purposes of 28 U.S.C. § 1291 even if the district court failed to calculate the amount of statutory attorney’s fees.

We recognize that although the case before us bears a significant resemblance to Budi-nich, there are also several distinctions. Here we are asked to address an issue of Rule 11 sanctions and not statutory attorney’s fees. Unlike most statutes authorizing attorney’s fees, Rule 11 sanctions are often punitive or aimed at deterrence. They are always within the discretion of the court and are usually assessed against the attorney rather than his client.

Despite these ostensible distinctions, we do not believe that for jurisdictional purposes Rule 11 sanctions are substantively different from statutory attorney’s fees. To the extent that Rule 11 sanctions are aimed at punishment or deterrence rather than compensation, they appear to be even more collateral to the main action than statutory attorney’s fees. And, although many statutes allow attorney’s fees to be awarded automatically, see, e.g., 15 U.S.C. § 4304(a)(1), some statutes allow them only in the discretion of the court, see, e.g., 42 U.S.C. § 1988(b). Finally, we believe that the fact that Rule 11 sanctions are normally assessed against the attorney and statutory attorney’s fees against the client also suggests that Rule 11 sanctions are even more of a collateral matter than statutory attorney’s fees because Rule 11 sanctions normally will not be part of the final judgment against the client. Of course, here, Cooper is representing himself, so that attorney and client are one and the same, but that fortuity merely bolsters the analogy to statutory attorney’s fees in this case. Thus we fail to discern any substantive difference between Rule 11 sanctions and statutory attorney’s fees in this jurisdictional context, and we hold that we may exercise jurisdiction over the final decisions rendered in this case even though we lack jurisdiction over the Rule 11 question.

[*86] We must address one other question affecting appellate jurisdiction. No separate judgment has been entered by the clerk of the court in this case. The Supreme Court has held, however, that where the “[djistrict [cjourt clearly evidenced] its intent that the opinion and order from which an appeal [is] taken ... represents] the final decision in the case,” Bankers Trust Co. v. Mallis, 435 U.S. 381, 387, 98 S.Ct. 1117, 1121, 55 L.Ed.2d 357 (per curiam), reh’g denied, 436 U.S. 915, 98 S.Ct. 2259, 56 L.Ed.2d 416 (1978), the parties may “waive[] the separate-judgment requirement of [Fed.R.Civ.P. 58].” Id. at 388, 98 S.Ct. at 1121. Here, the district court dismissed Cooper’s complaint. An entry on the docket sheet states that the case was closed. Salomon did not object to the taking of the appeal in the absence of a separate judgment. We conclude, therefore, that the parties have waived the separate judgment requirement and that we may entertain the appeal.

II. The Merits

Cooper’s principal claim on appeal is that Judge Burns erred in dismissing his original complaint. Although the complaint itself fails to specify the basis for relief, the court interpreted his complaint as seeking restitution damages for unjust enrichment under a theory of quasi-contract, in essence a claim for quantum meruit. Because this is a diversity case, we must look to state law in deciding the merits. A plaintiff seeking quantum meruit, besides proving the reasonable value of the services rendered and the good faith of the performance, must demonstrate (1) that the recipient accepted the services, and (2) that the one rendering the services expected to be paid therefor. Umscheid ¶. Simnacher, 106 A.D.2d 380, 382-83, 482 N.Y.S.2d 295, 298 (2d Dep’t 1984); [1] see generally I E. Allan Farnsworth, Farns-worth on Contracts § 2.20, at 150-52 (1990); see also Bloomgarden v. Coyer, 479 F.2d 201, 211 (D.C.Cir.1973) (duty to pay for personal services rendered does not arise where benefit was conferred “gratuitously or officiously”); Gould v. American Water Works Serv. Co., 52 N.J. 226, 230-31, 245 A.2d 14, 16 (1968) (water company not liable in quasi-contract where plaintiff dug wells on his own initiative purely as a volunteer), cert. denied, 394 U.S. 943, 89 S.Ct. 1274, 22 L.Ed.2d 477, reh’g denied, 394 U.S. 1025, 89 S.Ct. 1627, 23 L.Ed.2d 51 (1969). There can be no doubt that Cooper was nothing more than an officious volunteer. He never alleged that Salo-mon requested or accepted his services. That a Salomon official may have thanked Cooper after he had sent the memoranda suggests only that Salomon acknowledged a fait accompli; it does not suggest that Salo-mon had an opportunity to accept or reject Cooper’s services. Finally, we note that Cooper has not alleged any attorney-client relationship with Salomon, and is therefore not entitled to compensation for performing professional services on Salomon’s behalf. We therefore agree with the district court’s implicit conclusion that “it is clear that no relief could be granted under any set of facts that could be proved consistent with the allegations.” Hishon v. King & Spalding, 467 U.S. 69, 73, 104 S.Ct. 2229, 2232, 81 L.Ed.2d 59 (1984).

We also agree with the district court that Salomon did not default, because it is clear that Salomon properly answered the complaint in accordance with Fed.R.Civ.P. 12(a). Finally, Cooper’s amended complaint fails to state a claim under RICO and was[*87] therefore properly dismissed. We agree with Judge Burns that an order to withdraw a complaint does not constitute an order to amend it, and therefore the district court properly held that Cooper’s “ordered amendment” cannot be considered part of the pleadings.

Because we hold that Cooper’s complaints were properly dismissed in their entirety, we dismiss as moot his appeal from the order staying discovery and the order denying preliminary relief. We have considered Cooper’s other claims and find them to be without merit.

CONCLUSION

We dismiss for lack of jurisdiction that portion of Cooper’s appeal that is taken from the order granting Rule 11 sanctions. We dismiss as moot that portion taken from the order staying discovery and from the order denying preliminary relief. In all other respects we affirm the orders of the district court.

1

. Although we have not found any Connecticut cases directly on point, after reviewing several Connecticut cases discussing quantum meruit in general terms, we are confident that the law of quantum meruit in Connecticut mirrors the law set forth in Umscheid. See, e.g., CBS Surgical Group v. Holt, 37 Conn.Supp. 555, 557, 426 A.2d 819, 821 (1981) (stating that in context of unjust enrichment, recovery based on quantum meruit requires " ‘1. A benefit conferred upon the defendant by the plaintiff; 2. An appreciation or knowledge by the defendant of the benefit; and 3. The acceptance or retention by the defendant of the benefit under such circumstances as to make it inequitable for the defendant to retain the benefit without payment of its value’ ” (citations omitted)); Duvall v. Birden, 124 Conn. 43, 46, 198 A. 255, 257 (1938) (complaint alleging, inter alia, that defendant requested plaintiff's services stated a claim for quantum meruit, "either for services rendered at the [defendant’s] request or under circumstances revealing the plaintiff’s expectations to be paid therefor, with knowledge of which the [defendant] availed himself of the services”).