Justia U.S. 1st Circuit Court of Appeals Opinion Summaries

A class representing purchasers of securities sued the company and two high-ranking officers, alleging that the company issued false or misleading public statements about demand for its products in violation of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), and related regulations. The district court granted summary judgment to the company. The First Circuit affirmed. Once a downward trend became clear, the company explicitly acknowledged that its forecasts had been undermined. Whether it was negligent to have remained too sanguine earlier, there was no evidence of anything close to fraud.

Petitioner is serving a life sentence in a Massachusetts state prison for first-degree murder. The state's highest court affirmed the conviction. A federal district court denied habeas relief. The First Circuit affirmed, rejecting a claim that trial counsel was ineffective in failing to investigate and present a defense that petitioner's Tourette's Syndrome exacerbated the effects of alcohol and Artane, and that he was legally insane at the time of the killing on account of the Tourette's Syndrome and other mental illness.

Defendant was convicted of being a felon in possession of a firearm. Finding that he had three prior violent felony convictions, the district court imposed a 15-year sentence, the mandatory minimum sentence under the Armed Career Criminal Act, 18 U.S.C. 924(e). The First Circuit remanded for resentencing. Although two Pennsylvania burglary convictions qualified as predicate offenses under ACCA, a 1980 Massachusetts conviction for breaking-and-entering did not.

Defendant arrived in the U.S. in 1985, at age three. He became a lawful permanent resident and submitted an Application for Naturalization (N-400). He orally went through the form at a Citizenship and Immigration Service office. He answered "No" to: "Have you ever committed a crime or offense for which you were not arrested?" and "Have you ever sold or smuggled controlled substances, illegal drugs or narcotics?" His application was recommended and he was notified by N-445 of a mandatory oath ceremony. The N-445 contained questions to confirm that the applicant had maintained good moral character. Defendant again answered "No." He was naturalized in 2006. In fact, he had distributed cocaine 2004-2005, and, between the N-400 interview and the oath ceremony, was arrested for distributing cocaine and amphetamines. After pleading guilty to drug charges, defendant was convicted of making a material false statement to DHS (18 U.S.C. 1001(a)(2)) and unlawfully applying for and obtaining naturalization (18 U.S.C. 1425(b)). The First Circuit affirmed, rejecting arguments that admission of form N-445 violated his right to confrontation; that admission of form N-445 under the public records exception to hearsay was error; and that repeated reference to his prior conviction was unfairly prejudicial.

The owner consulted with two architectural firms, T-Peg and VTW. T-Peg drew up a preliminary design then worked with the owner to refine the design. In 2001, T-Peg registered its design with the Copyright Office. Meanwhile, in 2000, the owner showed T-Peg's unregistered preliminary design to VTW, which began working on its own design. VTW completed its plan in 2002 with significant, minutely detailed input from the owner. Completed construction apparently reflected T-Peg's registered design. In a suit for copyright infringement, the court granted summary judgment for VTW and the owner, concluding that no reasonable jury could find that T-Peg's and VTW's designs were substantially similar. The First Circuit reversed and, following trial, the jury found in VTW's favor and rejected T-Peg's infringement claims. VTW sought fees of more than $200,000 under 17 U.S.C. 505. The district court granted VTW a fee award of $35,000. The First Circuit affirmed, finding that the district court adequately elaborated its reasoning.

More than 7,000 named plaintiffs brought suit under the Federal Tort Claims Act, 28 U.S.C. 1346(b), 2671-2680, asserting injuries because of the U.S. Navy's alleged negligence in emitting pollutants during military exercises (which ended in 2003) at the Atlantic Fleet Weapons Training Facility on Vieques Island, Puerto Rico. The district court dismissed with prejudice for lack of jurisdiction. The First Circuit affirmed. The limited abrogation of sovereign immunity in the FTCA does not extend to these claims because of the discretionary function exception, which precludes FTCA actions against government conduct which is both within the discretion of the relevant government party and susceptible to policy-related judgments. The court rejected arguments that the Navy acted beyond its discretion because it allegedly violated mandatory directives concerning water pollution issued pursuant to the Clean Water Act, 33 U.S.C. 1251-1389; violated a pair of permits that purportedly forbid firing depleted uranium bullets on Vieques; violated unidentified internal regulations, policies, directives, and orders; and failed to comply with a purported duty to warn.

Peoples Federal, a community bank that operates exclusively in Eastern Massachusetts, was chartered in 1888 and became a federally insured savings and loan in 1937. It has used the term "Peoples" in its name and service marks since 1937 and claims to be the only continuous user of the mark for banking services in Eastern Massachusetts since that time. It owns six Massachusetts registrations for its marks. Defendant, People's United, was founded in 1842 in Connecticut, and has used the word "People" in its name for at least 80 years. After acquiring branches in Massachusetts, defendant re-opened them under the name "People's United Bank." Peoples Federal filed suit alleging trademark infringement, trademark dilution, and unfair competition under the Lanham Act, 15 U.S.C. 1125(a), and Massachusetts statutory and common law. The district court denied a preliminary injunction. The First Circuit affirmed, finding that the court properly weighed plaintiff's likelihood of success on the merits, likelihood of irreparable harm, the balance of relevant equities, and the effect of the court's action on the public interest.

Having lost his bid for a Maine Senate seat, plaintiff sued Republican party leadership for defamation libel, intentional infliction of emotional distress, and publicly placing him in a false light. The complaint referred to flyers, brochures, and radio and TV ads days before the election that conjured up imaginary wrongs that he had supposedly done as a selectman for the town of Blue Hill, primarily concerning discontinuance of fireworks on the Fourth of July. The complaint referred to "actual malice." The district court dismissed. The First Circuit affirmed, finding that false statements were made negligently, not with actual malice. Defamation law "does not require that combatants for public office act like war-time neutrals, treating everyone evenhandedly and always taking the high road. Quite the contrary. Provided that they do not act with actual malice, they can badmouth their opponents, hammering them with unfair and one-sided attacks"

Plaintiffs' father was killed in an auto accident when the driver of a vehicle in which he was a passenger, attempted to flee police officers. Asserting federal constitutional and state tort claims, plaintiffs filed suit in Rhode Island state court against the officers, the city, the police department, and the police chief in his official capacity. The district court dismissed constitutional claims and declined to remand to state court. Following a trial, the court entered judgment for defendants as a matter of law. The First Circuit affirmed, upholding the court's exercise of supplemental jurisdiction and exclusion of deposition testimony of the driver. That he was in prison did not render him automatically "unavailable." The court was within its discretion in denying a continuance to secure his presence.

Defendant owned and operated a beauty salon in downtown Boston that was lightly damaged by a fire in 2005. Investigators concluded that defendant had set the fire in order to collect insurance proceeds, and he was convicted of attempted arson, 18 U.S.C. 844(i). The First Circuit affirmed. The district court acted within its discretion in admitting testimony about defendant's conversation about his plan to commit arson and his involvement in an earlier arson and in refusing to declare a mistrial after the prosecutor began a line of questioning concerning polygraph evidence.