Title: Dzwonkowski v. Sonitrol of Mobile, Inc.

State: alabama

Issuer: Alabama Supreme Court

Document:

REL: 11/18/2011 
Notice: T h i s 
o p i n i o n i s s u b j e c t t o f o r m a l 
r e v i s i o n b e f o r e 
p u b l i c a t i o n i n 
t h e 
advance 
s h e e t s o f 
Southern Reporter. 
R e a d e r s a r e r e q u e s t e d t o n o t i f y t h e 
Reporter of 
Decisions, 
Alabama A p p e l l a t e C o u r t s , 300 D e x t e r Avenue, Montgomery, Alabama 36104-3741 ((334) 229¬
0 6 4 9 ) , o f 
any 
t y p o g r a p h i c a l o r o t h e r e r r o r s , i n 
o r d e r t h a t c o r r e c t i o n s may 
be 
made b e f o r e 
t h e o p i n i o n i s 
p r i n t e d i n 
Southern Reporter. 
SUPREME COURT OF ALABAMA 
OCTOBER TERM, 2011-2012 
1100929 
Joseph Dzwonkowski, Sr. 
v. 
S o n i t r o l o f M o b i l e , Inc., Joseph Dzwonkowski, J r . , and 
Robert Dzwonkowski 
Appeal from M o b i l e C i r c u i t 
Court 
(CV-99-003842.51) 
STUART, 
J u s t i c e . 
T h i s 
a p p e a l 
i s t h e l a t e s t 
i n a d e c a d e - l o n g 
d i s p u t e 
b e t w e e n J o s e p h D z w o n k o w s k i , S r . 
("Joe S r . " 
o r " t h e f a t h e r " ) , 
and two 
o f 
h i s s o n s , R o b e r t D z w o n k o w s k i ( " R o b e r t " ) 
a n d J o s e p h 
1100929 
D z w o n k o w s k i , 
J r . 
("Joe 
J r . " ) 
( h e r e i n a f t e r 
r e f e r r e d 
t o 
c o l l e c t i v e l y 
as 
" t h e 
s o n s " ) , 
r e g a r d i n g 
t h e o w n e r s h i p and 
c o n t r o l o f S o n i t r o l o f M o b i l e , I n c . ( " S o n i t r o l " ) , a 
c l o s e l y 
h e l d c o r p o r a t i o n p r o v i d i n g c o m m e r c i a l - s e c u r i t y s e r v i c e s i n t h e 
g r e a t e r M o b i l e 
a r e a . 
I n a 2 0 0 4 o p i n i o n , t h i s C o u r t 
d i s m i s s e d 
J o e 
S r . ' s a p p e a l 
o f a j u d g m e n t 
e n t e r e d 
a g a i n s t h i m b y t h e 
t r i a l c o u r t , h o l d i n g t h a t t h e a p p e a l was p r e m a t u r e b e c a u s e t h e 
damages 
t o be 
a w a r d e d 
S o n i t r o l , 
R o b e r t , 
and 
J o e . J r . i n 
c o n n e c t i o n 
w i t h 
t h a t 
j u d g m e n t 
h a d 
n o t 
y e t 
b e e n 
s e t . 
D z w o n k o w s k i v. S o n i t r o l o f M o b i l e , I n c . , 892 So. 2d 354, 3 6 1 ¬
63 ( A l a . 
2004) 
("Dzwonkowski 
I I " ) . I n a May 5, 2 0 1 1 , 
o r d e r , 
t h e 
t r i a l c o u r t f i n a l i z e d t h e damages a w a r d , a w a r d i n g S o n i t r o l 
$ 7 6 4 , 3 5 9 and J o e J r . $ 1 .
1 
J o e S r . a p p e a l s . 
We 
a f f i r m . 
I . 
The 
o r i g i n s o f t h i s d i s p u t e were d e s c r i b e d by t h e 
C o u r t 
o f 
C i v i l A p p e a l s i n D z w o n k o w s k i v . S o n i t r o l o f M o b i l e , I n c . , 
854 So. 2d 598, 599-600 
( A l a . 
C i v . App. 2002) 
("Dzwonkowski 
I " ) , 
as f o l l o w s : 
1 I n 
t h e 
i n t e r v e n i n g 
p e r i o d 
b e t w e e n 
t h e 
r e l e a s e 
o f 
D z w o n k o w s k i 
I I and 
t h e 
t r i a l 
c o u r t ' s 
May 
5, 
2 0 1 1 , 
o r d e r , 
R o b e r t 
a d v i s e d 
t h e 
t r i a l 
c o u r t 
t h a t he no 
l o n g e r w i s h e d t o 
p u r s u e m o n e t a r y damages a g a i n s t J o e S r . , and J o e J r . s t a t e d 
t h a t he s o u g h t o n l y n o m i n a l 
damages. 
2 
1100929 
"The 
f a t h e r has b e e n p r e s i d e n t 
o f t h e S o n i t r o l 
f r a n c h i s e 
i n M o b i l e 
s i n c e 
1977. 
B e f o r e 
1990, 
a l l 
s h a r e s 
o f 
t h e 
c o r p o r a t i o n 
were 
h e l d 
i n 
a 
v o t i n g 
t r u s t 
c o n t r o l l e d by 
t h e 
f a t h e r . 
I n 
1990, 
n i n e 
s h a r e s o f s t o c k were i s s u e d , as f o l l o w s : 
one 
s h a r e 
t o Joe 
S r . ; f o u r s h a r e s t o R o b e r t ; and 
f o u r 
s h a r e s 
t o Joe 
J r . 
A t 
t h e same t i m e , 
t h e 
p a r t i e s e x e c u t e d 
a b u y - s e l l a g r e e m e n t 
t h a t gave 
t h e 
c o r p o r a t i o n 
o r 
t h e 
r e m a i n i n g 
s h a r e h o l d e r s 
t h e 
o p t i o n 
t o 
p u r c h a s e 
t h e 
s h a r e s 
o f 
a 
s h a r e h o l d e r 
whose employment 
w i t h 
t h e 
c o r p o r a t i o n had 
c e a s e d . 
" I n 1994, 
Joe J r . t r a n s f e r r e d h i s f o u r s h a r e s o f 
S o n i t r o l 
s t o c k 
t o 
Joe 
S r . , 
i n 
e x c h a n g e 
f o r 
h i s 
f a t h e r ' s 
p a y i n g 
c e r t a i n d e b t s 
and 
p a y i n g 
f o r 
Joe 
J r . ' s 
t r e a t m e n t f o r g a m b l i n g a d d i c t i o n . 
The 
r e c o r d 
c o n t a i n s 
a c e r t i f i c a t e 
o f s h a r e s , 
w i t h an i s s u e d a t e 
o f 
F e b r u a r y 
16, 
1990, 
e n d o r s e d 
by 
Joe 
J r . 
and 
d e l i v e r e d 
t o 
Joe 
S r . 
on 
J u l y 
13, 
1994. 
J o e 
S r . 
n e v e r 
r e e n d o r s e d 
t h e 
c e r t i f i c a t e 
t o 
Joe 
J r . ; t h e 
c e r t i f i c a t e 
r e m a i n e d 
i n Joe 
S r . ' s 
p o s s e s s i o n 
u n t i l 
i t 
was 
a d m i t t e d 
i n e v i d e n c e 
i n 
t h e 
i n s t a n t 
c a s e . 
Joe 
J r . 
a l l e g e d 
t h a t 
h i s 
f a t h e r 
h a d 
p r o m i s e d 
t o 
r e t u r n t h e 
f o u r s h a r e s o f s t o c k 
t o h i m once he 
'got 
h i s 
l i f e 
i n o r d e r . ' 
Joe 
J r . a l s o a l l e g e d t h a t 
h i s 
f a t h e r ' s c o n d u c t s i n c e 1994 
has 
e v i n c e d 
an i n t e n t t o 
r e t r a n s f e r t h e 
s t o c k 
t o 
h i m . 
" I n November 
1999, 
t h e 
f a t h e r , 
a c t i n g 
as 
t h e 
p r e s i d e n t 
o f 
S o n i t r o l , 
t e r m i n a t e d 
t h e 
s o n s 
as 
e m p l o y e e s 
o f 
t h e 
c o r p o r a t i o n 
and demanded t h a t 
t h e 
s o n s 
o f f e r 
t h e i r 
s h a r e s 
o f 
s t o c k 
b a c k 
t o 
t h e 
c o r p o r a t i o n p u r s u a n t t o t h e 1990 
b u y - s e l l a g r e e m e n t . 
The 
s o n s r e s p o n d e d by 
c a l l i n g 
a s p e c i a l m e e t i n g 
o f 
t h e b o a r d o f d i r e c t o r s f o r t h e p u r p o s e 
o f 
r e m o v i n g 
t h e 
f a t h e r as p r e s i d e n t 
o f t h e 
c o r p o r a t i o n . 
"On 
December 
3, 
1999, 
t h e 
f a t h e r 
f i l e d 
a 
d e c l a r a t o r y - j u d g m e n t 
a c t i o n , s e e k i n g a 
d e t e r m i n a t i o n 
o f t h e 
o w n e r s h i p o f s t o c k 
i n t h e 
c o r p o r a t i o n 
and 
a 
t e m p o r a r y r e s t r a i n i n g o r d e r 
('TRO') t o p r e v e n t 
t h e 
s o n s f r o m h o l d i n g 
a 
s p e c i a l m e e t i n g 
o f 
S o n i t r o l ' s 
3 
1100929 
b o a r d 
o f 
d i r e c t o r s 
o r 
f r o m 
o t h e r w i s e 
a c t i n g 
as 
d i r e c t o r s 
and 
o f f i c e r s 
o f 
S o n i t r o l . 
The 
s o n s 
c o u n t e r c l a i m e d , 
a l l e g i n g 
t h a t 
t h e 
f a t h e r 
had 
i n t e r f e r e d w i t h t h e b u s i n e s s 
o p e r a t i o n s 
o f S o n i t r o l 
and 
had 
w r o n g f u l l y 
d i v e r t e d 
f u n d s 
b e l o n g i n g 
t o 
S o n i t r o l . 
T h e y s o u g h t , among o t h e r t h i n g s , a TRO 
t o 
p r o h i b i t 
t h e 
f a t h e r 
f r o m 
a c t i n g 
i n 
any 
r e p r e s e n t a t i v e 
c a p a c i t y on b e h a l f 
o f 
S o n i t r o l . 
" F o l l o w i n g 
a 
h e a r i n g , 
t h e 
c i r c u i t 
c o u r t 
d e t e r m i n e d , 
on 
December 
13, 
1999, 
t h a t 
S o n i t r o l ' s 
b o a r d o f d i r e c t o r s c o n s i s t e d o f Joe S r . , R o b e r t , 
and 
Joe 
J r . and 
t h a t 
t h e 
d i r e c t o r s ' m e e t i n g 
c a l l e d 
by 
t h e 
s o n s 
was 
a u t h o r i z e d 
by 
S o n i t r o l ' s 
b y l a w s . 
I m m e d i a t e l y f o l l o w i n g t h a t d e t e r m i n a t i o n , 
a m e e t i n g 
o f t h e 
S o n i t r o l b o a r d o f d i r e c t o r s t o o k p l a c e . 
The 
s o n s 
a t t e n d e d 
t h e 
m e e t i n g ; 
t h e 
f a t h e r 
d i d 
n o t 
a t t e n d . 
By 
a m a j o r i t y 
v o t e 
o f 
t h e 
d i r e c t o r s , 
t h e 
f a t h e r 
was 
r e m o v e d 
as 
an 
o f f i c e r , 
d i s c h a r g e d 
f r o m 
e m p l o y m e n t , 
and 
a s k e d 
t o 
s u r r e n d e r 
h i s 
s t o c k 
f o r 
r e s a l e 
t o t h e 
c o r p o r a t i o n . 
The 
f o l l o w i n g 
o f f i c e r s 
were 
t h e n 
e l e c t e d 
a t 
t h e 
m e e t i n g : 
Joe 
J r . , 
p r e s i d e n t ; 
and 
R o b e r t , 
v i c e - p r e s i d e n t , 
s e c r e t a r y , 
and 
t r e a s u r e r . " 
A f t e r t h o s e a c t i o n s had t a k e n p l a c e , t h e 
t r i a l 
c o u r t 
n o t i f i e d 
t h e p a r t i e s t h a t t h e s t o c k - o w n e r s h i p i s s u e w o u l d be h e a r d 
by 
an a d v i s o r y j u r y on J a n u a r y 19, 2000. 
A t t h e c o n c l u s i o n o f a 
t w o - d a y 
t r i a l , 
t h e 
a d v i s o r y 
j u r y r e t u r n e d 
a v e r d i c t f i n d i n g 
t h a t Joe 
S r . owned f i v e s h a r e s o f S o n i t r o l s t o c k , 
t h a t R o b e r t 
owned f o u r s h a r e s o f S o n i t r o l s t o c k , and 
t h a t Joe J r . owned no 
s h a r e s . 
F o u r d a y s 
l a t e r , h o w e v e r , t h e 
s o n s moved t h e 
t r i a l 
c o u r t t o h o l d t h a t Joe J r . was 
t h e owner o f t h e f o u r s h a r e s 
o f 
S o n i t r o l 
s t o c k 
i n d i s p u t e 
on 
t h e 
b a s i s 
o f 
t h e 
d o c t r i n e 
o f 
4 
1100929 
j u d i c i a l 
e s t o p p e l ; 
a t a s u b s e q u e n t 
h e a r i n g , 
t h e y 
s u b m i t t e d 
e v i d e n c e 
i n d i c a t i n g t h a t J o e S r . h a d t e s t i f i e d i n a F e b r u a r y 
1999 
d e p o s i t i o n g i v e n i n c o n n e c t i o n 
w i t h d i v o r c e 
p r o c e e d i n g s 
t h e n u n d e r w a y i n F l o r i d a i n v o l v i n g h i m and h i s t h e n w i f e 
t h a t 
he owned o n l y one s h a r e o f S o n i t r o l s t o c k and t h a t R o b e r t and 
Joe 
J r . e a c h owned 
f o u r 
s h a r e s . 
On F e b r u a r y 4 
, 2000, t h e 
t r i a l 
c o u r t 
e n t e r e d an o r d e r 
e s t o p p i n g 
J o e S r . f r o m 
c l a i m i n g 
o w n e r s h i p o f more t h a n one s h a r e o f S o n i t r o l 
s t o c k . 
The 
s o n s s u b s e q u e n t l y moved t h e t r i a l 
c o u r t t o e n t e r a 
p a r t i a l summary j u d g m e n t i n t h e i r f a v o r on t h e s t o c k - o w n e r s h i p 
i s s u e , 
s u b m i t t i n g 
e v i d e n c e 
t h a t , 
t h e y 
a l l e g e d , 
e s t a b l i s h e d 
t h a t J o e S r . h a d t r a n s f e r r e d t h e f o u r s h a r e s b a c k t o J o e 
J r . 
and a r g u i n g t h a t J o e S r . 
was j u d i c i a l l y e s t o p p e d f r o m c l a i m i n g 
t h e f o u r d i s p u t e d s h a r e s . 
On A u g u s t 20, 2 0 0 1 , t h e t r i a l 
c o u r t 
g r a n t e d 
t h e i r 
m o t i o n , 
c e r t i f y i n g 
i t s j u d g m e n t 
as 
f i n a l 
p u r s u a n t t o R u l e 5 4 ( b ) , A l a . 
R. C i v . 
P. 
J o e S r . s u b s e q u e n t l y 
a p p e a l e d 
t h a t j u d g m e n t a n d , i n D z w o n k o w s k i I , t h e C o u r t o f 
C i v i l 
A p p e a l s 
r e v e r s e d 
t h e j u d g m e n t 
o f t h e 
t r i a l 
c o u r t , 
h o l d i n g 
(1) t h a t i t c o u l d n o t be a f f i r m e d on t h e b a s i s 
t h a t 
Joe 
S r . h a d 
t r a n s f e r r e d t h e f o u r 
s h a r e s 
b a c k 
t o J o e J r . 
b e c a u s e t h e r e were m a t e r i a l q u e s t i o n s 
o f f a c t c o n c e r n i n g 
J o e 
5 
1100929 
S r . ' s d o n a t i v e 
i n t e n t and (2) t h a t t h e j u d g m e n t c o u l d n o t be 
a f f i r m e d on t h e b a s i s o f t h e d o c t r i n e o f 
j u d i c i a l 
e s t o p p e l 
b e c a u s e a l l t h e e l e m e n t s n e c e s s a r y t o a p p l y t h e d o c t r i n e were 
n o t p r e s e n t -- s p e c i f i c a l l y p r i v i t y and r e l i a n c e . 
854 So. 2d 
a t 
607-09. 
The C o u r t 
o f C i v i l A p p e a l s a c c o r d i n g l y 
remanded 
t h e c a s e f o r f u r t h e r 
p r o c e e d i n g s . 
On 
remand, 
t h e 
t r i a l 
c o u r t 
e m p a n e l e d 
a n o t h e r 
a d v i s o r y 
j u r y t o t r y t h e o u t s t a n d i n g 
f a c t u a l 
q u e s t i o n s 
r e g a r d i n g t h e 
o w n e r s h i p o f t h e S o n i t r o l s t o c k . 
However, 
s e v e r a l d a y s 
i n t o 
t h e 
t r i a l 
o f t h a t 
i s s u e , t h e 
t r i a l 
c o u r t 
e n t e r e d 
a d e f a u l t 
j u d g m e n t 
a g a i n s t 
J o e S r . and 
d i s m i s s e d 
a l l o f h i s 
c l a i m s 
a g a i n s t S o n i t r o l , R o b e r t , and J o e J r . as a r e s u l t o f J o e S r . ' s 
c o n t u m a c i o u s 
b e h a v i o r 
d u r i n g 
t h e 
p r o c e e d i n g s .
2 
I n 
a 
s u b s e q u e n t w r i t t e n o r d e r , t h e t r i a l c o u r t d e c l a r e d J o e J r . t h e 
owner o f t h e f o u r d i s p u t e d s h a r e s o f S o n i t r o l s t o c k and s t a t e d 
t h a t i t w o u l d e n t e r a j u d g m e n t 
s e t t i n g t h e m o n e t a r y damages 
due 
S o n i t r o l , 
R o b e r t , 
and 
J o e 
J r . 
a t 
a 
l a t e r 
d a t e . 
N e v e r t h e l e s s , t h e t r i a l 
c o u r t a l s o c e r t i f i e d i t s 
j u d g m e n t as 
2We 
q u o t e d f r o m t h e 
t r i a l 
c o u r t ' s J u n e 20, 2003, 
o r d e r 
d e s c r i b i n g J o e S r . ' s i n - c o u r t b e h a v i o r i n D z w o n k o w s k i I I , 892 
So. 2d a t 3 5 7 - 6 1 . 
6 
1100929 
f i n a l p u r s u a n t t o R u l e 5 4 ( b ) . 
On J u l y 18, 2003, J o e S r . moved 
t h e 
t r i a l 
c o u r t t o 
a l t e r , amend, o r v a c a t e 
t h a t j u d g m e n t . 
On 
S e p t e m b e r 
12, 
2003, 
w h i l e 
J o e 
S r . ' s 
p o s t j u d g m e n t 
m o t i o n 
was 
p e n d i n g , 
t h i s 
C o u r t 
r e l e a s e d 
i t s o p i n i o n 
i n 
Ex 
 
p a r t e 
F i r s t 
A l a b a m a Bank, 
883 
So. 
2d 
1236, 
1244-4 6 
( A l a . 
2 0 0 3 ) , 
i n w h i c h 
we 
r e s t a t e d 
how 
t h e 
d o c t r i n e 
o f 
j u d i c i a l 
e s t o p p e l 
s h o u l d 
be 
a p p l i e d i n A l a b a m a , r e m o v i n g t h e 
p r i v i t y 
and 
r e l i a n c e e l e m e n t s f r o m c o n s i d e r a t i o n . 
S o n i t r o l , 
R o b e r t , 
and 
J o e 
J r . p r o m p t l y moved t h e 
t r i a l 
c o u r t t o s u p p l e m e n t i t s 
o r d e r 
e n t e r i n g j u d g m e n t i n t h e i r 
f a v o r by 
a g a i n h o l d i n g 
t h a t 
J o e 
S r . 
was 
j u d i c i a l l y 
e s t o p p e d 
f r o m 
c l a i m i n g 
t h e 
f o u r 
d i s p u t e d 
s h a r e s 
o f 
S o n i t r o l 
s t o c k , 
and, 
on O c t o b e r 14, 
2003, 
t h e 
t r i a l 
c o u r t 
e n t e r e d 
an 
o r d e r 
d e n y i n g 
J o e 
S r . ' s 
p o s t j u d g m e n t 
m o t i o n 
and 
g r a n t i n g 
S o n i t r o l 
and 
t h e 
s o n s ' 
r e q u e s t by s u p p l e m e n t i n g i t s j u d g m e n t . 
J o e S r . t h e n f i l e d 
t h e 
a p p e a l 
t h a t 
was 
t h e 
s u b j e c t 
o f D z w o n k o w s k i 
I I , a r g u i n g 
(1) 
t h a t 
t h e 
d e f a u l t 
j u d g m e n t 
e n t e r e d 
a g a i n s t 
h i m 
and 
t h e 
d i s m i s s a l o f h i s c l a i m s 
f a i l e d t o c o m p o r t w i t h due p r o c e s s 
and 
t h a t , 
e v e n 
i f t h e r e 
had 
b e e n no 
d u e - p r o c e s s 
v i o l a t i o n , 
t h e 
t r i a l 
c o u r t e x c e e d e d i t s d i s c r e t i o n 
i n e n t e r i n g t h e 
d e f a u l t 
j u d g m e n t and 
t h e d i s m i s s a l and 
(2) t h a t t h e 
t r i a l 
c o u r t 
e r r e d 
7 
1100929 
i n 
h o l d i n g t h a t 
he 
was 
j u d i c i a l l y 
e s t o p p e d 
f r o m 
c l a i m i n g 
o w n e r s h i p 
o f t h e f o u r s h a r e s o f 
S o n i t r o l 
s t o c k t h a t J o e J r . 
a l s o 
c l a i m e d . 
As 
s t a t e d 
s u p r a , 
t h i s 
C o u r t 
u l t i m a t e l y 
d i s m i s s e d 
t h a t 
a p p e a l 
as 
b e i n g 
f r o m 
a 
n o n f i n a l 
j u d g m e n t 
b e c a u s e damages h a d n o t y e t b e e n d e t e r m i n e d . 
892 
So. 
2d 
a t 
363. 
Thus, 
i n A p r i l 
2004, 
t h i s 
c a s e 
r e t u r n e d t o 
t h e 
t r i a l 
c o u r t , p r e s u m a b l y so t h a t damages c o u l d be a w a r d e d and a 
f i n a l 
j u d g m e n t e n t e r e d . 
However, b e f o r e t h o s e p r o c e e d i n g s c o u l d be 
c o m p l e t e d , 
J o e 
S r . 
i n i t i a t e d 
an 
a c t i o n 
a g a i n s t 
S o n i t r o l , 
R o b e r t , 
J o e 
J r . , and 
t h e i r 
a t t o r n e y s i n t h e 
U n i t e d S t a t e s 
D i s t r i c t C o u r t f o r t h e S o u t h e r n 
D i s t r i c t o f A l a b a m a . 
A t 
t h e 
r e q u e s t 
o f 
S o n i t r o l 
and 
t h e 
s o n s , 
t h e 
t r i a l 
c o u r t 
d e l a y e d 
f u r t h e r c o n s i d e r a t i o n o f t h i s m a t t e r so t h a t t h e y c o u l d d e f e n d 
t h a t new 
l i t i g a t i o n . 
U n b e k n o w n s t t o S o n i t r o l 
and t h e s o n s a t 
t h e t i m e , t h e y w o u l d be d e f e n d i n g t h e m s e l v e s 
f r o m new 
c l a i m s 
f i l e d by J o e S r . f o r t h e n e x t s e v e r a l y e a r s -- n o t o n l y b e f o r e 
t h e U n i t e d S t a t e s D i s t r i c t C o u r t f o r t h e S o u t h e r n 
D i s t r i c t 
o f 
A l a b a m a , b u t b e f o r e t h e U n i t e d S t a t e s C o u r t o f A p p e a l s f o r t h e 
E l e v e n t h 
C i r c u i t , 
t h e 
J e f f e r s o n 
C i r c u i t 
C o u r t , 
t h e 
U n i t e d 
8 
1100929 
S t a t e s B a n k r u p t c y C o u r t f o r t h e N o r t h e r n D i s t r i c t o f A l a b a m a ,
3 
and 
t h i s 
C o u r t , 
as 
w e l l 
as 
t h e 
C o u r t 
o f 
C i v i l 
A p p e a l s . 
However, 
a s i d e 
f r o m 
J o e 
S r . ' s b e i n g 
o r d e r e d 
t o p a y 
an 
i m p r e s s i v e 
amount 
o f 
a t t o r n e y 
f e e s , 
t h o s e 
p r o c e e d i n g s 
u l t i m a t e l y h a d 
l i t t l e 
e f f e c t . 
F i n a l l y , on A u g u s t 18, 2010, 
a f t e r a l l 
t h e o t h e r p r o c e e d i n g s 
i n v o l v i n g t h e s e p a r t i e s were 
c o m p l e t e d , 
J o e S r . moved t h e 
t r i a l 
c o u r t t o e n t e r a 
f i n a l 
o r d e r i n t h i s 
c a s e so t h a t he c o u l d 
f i l e 
an a p p e a l . 
A f t e r 
p r o v i d i n g 
a l l p a r t i e s 
w i t h 
t h e 
o p p o r t u n i t y 
t o 
s u b m i t 
a f f i d a v i t s on t h e i s s u e o f damages, t h e t r i a l c o u r t e n t e r e d a 
f i n a l j u d g m e n t on May 5, 2 0 1 1 , a w a r d i n g S o n i t r o l $764,359 and 
J o e J r . $1 on t h e i r c l a i m s a g a i n s t J o e S r . and d i s m i s s i n g a l l 
o f J o e S r . ' s c l a i m s a g a i n s t S o n i t r o l and t h e s o n s . 
On May 13, 
2 0 1 1 , J o e S r . f i l e d 
t h i s 
a p p e a l . 
I I . 
In 
h i s b r i e f t o t h i s 
C o u r t , J o e S r . l i s t s 
t h r e e 
i s s u e s 
f o r 
t h i s 
C o u r t ' s r e v i e w ; h o w e v e r , a l l t h r e e o f t h o s e 
i s s u e s 
r e s t on e s s e n t i a l l y t h e same i n q u i r y -- w h e t h e r , 
a f t e r 
t h i s 
c a s e was remanded t o t h e t r i a l c o u r t f o l l o w i n g t h e d e c i s i o n o f 
3 J o e S r . h a d a t t e m p t e d t o i n i t i a t e b a n k r u p t c y 
p r o c e e d i n g s 
on b e h a l f o f S o n i t r o l i n t h e U n i t e d S t a t e s B a n k r u p t c y 
C o u r t 
f o r 
t h e N o r t h e r n D i s t r i c t o f F l o r i d a as w e l l i n F e b r u a r y 2000. 
9 
1100929 
t h e C o u r t o f C i v i l A p p e a l s i n D z w o n k o w s k i I , t h e t r i a l 
c o u r t 
s h o u l d h a v e i m m e d i a t e l y 
e n t e r e d an o r d e r d e c l a r i n g J o e S r . t h e 
owner o f t h e f o u r d i s p u t e d s h a r e s o f S o n i t r o l s t o c k . 
We h a v e 
s t a t e d : 
" I n 
Ex 
p a r t e 
E d w a r d s , 
[727 So. 2d 7 
92 ( A l a . 
1 9 9 8 ) , ] t h i s C o u r t h e l d t h a t when an a p p e l l a t e c o u r t 
remands 
a c a s e , 
t h e 
t r i a l 
c o u r t d o e s n o t have t h e 
d i s c r e t i o n t o c o n d u c t a new 
t r i a l o r an e v i d e n t i a r y 
h e a r i n g . 
727 So. 2d a t 7 9 4 - 9 5 . 
I n s t e a d , 
a f t e r a 
c a s e i s remanded, t h e t r i a l 
c o u r t may e n t e r 
' " ' [ n ] o 
j u d g m e n t 
o t h e r 
t h a n 
t h a t 
d i r e c t e d o r p e r m i t t e d 
by 
t h e 
r e v i e w i n g 
c o u r t 
.... 
The 
a p p e l l a t e 
c o u r t ' s 
d e c i s i o n 
i s 
f i n a l 
as 
t o a l l m a t t e r s 
b e f o r e i t , 
becomes t h e l a w o f t h e c a s e , 
and must be 
e x e c u t e d 
a c c o r d i n g 
t o t h e m a n d a t e , 
w i t h o u t 
g r a n t i n g a 
new 
t r i a l o r t a k i n g a d d i t i o n a l e v i d e n c e . ' " ' 
I d . a t 794 
( q u o t i n g Ex p a r t e A l a b a m a Power Co., 431 So. 2d 151 
( A l a . 
1 9 8 3 ) , 
q u o t i n g 
i n t u r n 5 A m . J u r . 2 d A p p e a l &  
E r r o r § 991 
( 1 9 6 2 ) ) . " 
Ex p a r t e Queen, 959 So. 2d 620 , 621 ( A l a . 
200 6 ) . 
A c c o r d i n g l y , 
we must d e t e r m i n e i f t h e t r i a l 
c o u r t e x c e e d e d i t s d i s c r e t i o n 
on remand by 
f a i l i n g t o f o l l o w t h e i n s t r u c t i o n s g i v e n by t h e 
C o u r t o f C i v i l A p p e a l s i n D z w o n k o w s k i I . 
I I I . 
J o e S r . a r g u e s t h a t t h e t r i a l c o u r t was r e q u i r e d t o e n t e r 
a j u d g m e n t d e c l a r i n g h i m t h e owner o f t h e f o u r d i s p u t e d 
s h a r e s 
o f 
S o n i t r o l 
s t o c k 
a f t e r 
t h e 
C o u r t 
o f 
C i v i l 
A p p e a l s 
i n 
D z w o n k o w s k i I r e v e r s e d t h e p a r t i a l summary j u d g m e n t e n t e r e d i n 
10 
1100929 
f a v o r o f S o n i t r o l and h i s s o n s . 
We d i s a g r e e . 
I n D z w o n k o w s k i 
I , 
S o n i t r o l 
and t h e s o n s 
a r g u e d 
t h a t 
t h e 
t r i a l 
c o u r t ' s 
j u d g m e n t 
d e c l a r i n g J o e J r . t h e owner o f t h e f o u r 
d i s p u t e d 
s h a r e s o f S o n i t r o l s t o c k s h o u l d be a f f i r m e d e i t h e r b e c a u s e J o e 
S r . h a d a l l e g e d l y t r a n s f e r r e d t h o s e 
s h a r e s b a c k t o J o e J r . 
o r 
b e c a u s e J o e S r . h a d d e n i e d 
o w n i n g t h e s t o c k w h i l e u n d e r 
o a t h 
i n a s e p a r a t e 
c o u r t 
p r o c e e d i n g , 
and he was t h u s 
j u d i c i a l l y 
e s t o p p e d f r o m c l a i m i n g o w n e r s h i p i n t h i s p r o c e e d i n g . 
854 So. 
2d 602-07. 
The C o u r t o f C i v i l A p p e a l s h e l d t h a t t h e r e w e r e 
g e n u i n e i s s u e s o f m a t e r i a l f a c t 
w i t h 
r e g a r d t o w h e t h e r J o e 
S r . h a d t r a n s f e r r e d t h e s h a r e s 
b a c k t o J o e J r . a n d t h a t a l l 
t h e 
e l e m e n t s 
o f 
j u d i c i a l 
e s t o p p e l 
were 
n o t 
p r e s e n t ; 
a c c o r d i n g l y , 
i t r e v e r s e d 
t h e j u d g m e n t o f t h e 
t r i a l 
c o u r t , 
s t a t i n g : "The j u d g m e n t o f t h e c i r c u i t 
c o u r t i s r e v e r s e d and 
t h e c a u s e i s remanded f o r f u r t h e r p r o c e e d i n g s . " 
854 So. 2d a t 
610.
4 
Thus, 
t h e C o u r t 
o f 
C i v i l 
A p p e a l s 
d i d n o t i s s u e 
a 
4 I n D z w o n k o w s k i I I , t h i s C o u r t s u m m a r i z e d t h e h o l d i n g o f 
t h e C o u r t o f C i v i l A p p e a l s i n D z w o n k o w s k i I as f o l l o w s : 
" [ J o e 
S r . ' s ] 
a p p e a l was t h e s u b j e c t o f D z w o n k o w s k i 
I , i n w h i c h t h e C o u r t o f C i v i l A p p e a l s d e c i d e d 
t h a t 
t h e r e were g e n u i n e i s s u e s o f m a t e r i a l f a c t 
r e g a r d i n g 
o w n e r s h i p o f t h e f o u r 
d i s p u t e d 
s h a r e s , 
so t h a t a 
summary 
j u d g m e n t 
was 
i n a p p r o p r i a t e . 
T h a t 
c o u r t 
r e v e r s e d t h e summary j u d g m e n t and remanded t h e c a s e 
f o r 
f u r t h e r 
p r o c e e d i n g s . " 
11 
1100929 
mandate t o t h e t r i a l c o u r t t o e n t e r a j u d g m e n t i n f a v o r o f J o e 
S r . on remand; r a t h e r , i t 
h e l d t h a t t h e summary j u d g m e n t was 
i n a p p r o p r i a t e 
n o t 
o n l y 
b e c a u s e 
t h e e l e m e n t s 
o f 
j u d i c i a l 
e s t o p p e l 
were n o t met, b u t a l s o b e c a u s e 
g e n u i n e 
i s s u e s o f 
m a t e r i a l f a c t r e m a i n e d . 
I n l i g h t o f t h o s e o u t s t a n d i n g 
i s s u e s , 
i t w o u l d have b e e n e q u a l l y i n a p p r o p r i a t e f o r 
t h e t r i a l 
c o u r t 
t o 
e n t e r a j u d g m e n t i n f a v o r o f J o e S r . on remand 
b e c a u s e 
summary j u d g m e n t i s a p p r o p r i a t e o n l y when t h e r e a r e n o g e n u i n e 
i s s u e s o f m a t e r i a l f a c t b e f o r e t h e c o u r t . 
See R u l e 5 6 ( c ) ( 3 ) , 
A l a . 
R. C i v . 
P. (summary j u d g m e n t i s a p p r o p r i a t e when 
t h e r e 
e x i s t s "no g e n u i n e i s s u e as t o any m a t e r i a l f a c t and ... t h e 
m o v i n g p a r t y i s e n t i t l e d t o a j u d g m e n t as a m a t t e r o f l a w " ) . 
On remand, t h e t r i a l 
c o u r t a c c o r d i n g l y c o m p l i e d 
w i t h t h e 
d i r e c t i o n o f t h e C o u r t o f C i v i l A p p e a l s t o c o n d u c t 
" f u r t h e r 
p r o c e e d i n g s " 
when i t e m p a n e l e d an a d v i s o r y 
j u r y t o t r y 
t h e 
r e m a i n i n g 
f a c t u a l q u e s t i o n s r e g a r d i n g s t o c k o w n e r s h i p . 
B e f o r e 
t h o s e 
i s s u e s 
c o u l d be d e c i d e d , 
h o w e v e r , t h e t r i a l 
c o u r t was 
c o m p e l l e d t o e n t e r a d e f a u l t j u d g m e n t 
a g a i n s t J o e S r . as a 
r e s u l t o f h i s u n r u l y b e h a v i o r and h i s f a i l u r e t o a b i d e b y t h e 
892 So. 2d a t 357. 
12 
1100929 
i n s t r u c t i o n s o f t h e 
t r i a l 
c o u r t .
5 
W h i l e p o s t j u d g m e n t m o t i o n s 
w e r e 
p e n d i n g 
i n 
t h e 
t r i a l 
c o u r t , 
t h i s 
C o u r t 
r e s t a t e d 
t h e 
e l e m e n t s 
o f 
j u d i c i a l 
e s t o p p e l 
i n a s e p a r a t e 
c a s e , 
Ex 
p a r t e 
 
F i r s t A l a b a m a Bank, and 
t h e 
t r i a l 
c o u r t t h e n s u p p l e m e n t e d i t s 
j u d g m e n t 
t o 
a l s o 
h o l d 
t h a t 
Joe 
S r . 
was 
j u d i c i a l l y 
e s t o p p e d 
f r o m c l a i m i n g t h e f o u r d i s p u t e d s h a r e s o f S o n i t r o l s t o c k . 
Joe 
S r . a r g u e s t h a t t h e 
t r i a l 
c o u r t 
v i o l a t e d t h e 
l a w - o f - t h e - c a s e 
d o c t r i n e 
and 
a c t e d 
c o n t r a r y 
t o 
t h e mandate o f 
t h e 
C o u r t 
o f 
C i v i l 
A p p e a l s 
i n D z w o n k o w s k i 
I i n a p p l y i n g 
t h e 
d o c t r i n e 
o f 
j u d i c i a l e s t o p p e l ; h o w e v e r , he 
f a i l s t o r e c o g n i z e 
t h a t 
" [ t ] h e 
l a w - o f - t h e - c a s e 
d o c t r i n e may 
be 
d i s r e g a r d e d 
i f t h e 
c o u r t 
i s 
c o n v i n c e d 
i t s p r i o r 
d e c i s i o n was 
c l e a r l y e r r o n e o u s 
o r 
t h e r e 
 
has 
b e e n an 
i n t e r v e n i n g c h a n g e i n t h e 
l a w 
B e l c h e r 
v. 
Queen, 
39 
So. 
3d 
1023, 
1038 
( A l a . 2009) 
( e m p h a s i s 
a d d e d ) . 
C l e a r l y , 
Ex p a r t e 
F i r s t A l a b a m a Bank c o n s t i t u t e d a c h a n g e i n 
t h e 
l a w 
r e g a r d i n g 
t h e 
d o c t r i n e o f 
j u d i c i a l 
e s t o p p e l , 
and 
t h e 
5 I n D z w o n k o w s k i I I , Joe 
S r . r a i s e d t h e 
i s s u e w h e t h e r 
t h e 
t r i a l 
c o u r t had 
v i o l a t e d h i s d u e - p r o c e s s r i g h t s 
and 
e x c e e d e d 
i t s 
d i s c r e t i o n 
i n e n t e r i n g t h e 
d e f a u l t j u d g m e n t a g a i n s t 
h i m ; 
h o w e v e r , b e c a u s e 
t h a t 
a p p e a l 
was 
d i s m i s s e d 
as 
b e i n g 
f r o m 
a 
n o n f i n a l j u d g m e n t , t h e 
i s s u e was 
n o t a d d r e s s e d a t t h a t 
t i m e . 
892 
So. 
2d a t 361. 
J o e 
S r . has 
n o t 
r a i s e d t h a t i s s u e i n 
t h i s 
a p p e a l . 
13 
1100929 
t r i a l 
c o u r t 
a c c o r d i n g l y 
v i o l a t e d 
no 
l e g a l 
p r i n c i p l e 
by 
r e c o g n i z i n g 
t h a t c h a n g e . 
IV. 
T h u s , a l t h o u g h J o e S r . i s c o r r e c t t o a r g u e t h a t a 
t r i a l 
c o u r t has a s t r i c t 
d u t y on remand t o c o m p l y w i t h t h e mandate 
g i v e n by an a p p e l l a t e 
c o u r t and t h a t i t has no a u t h o r i t y t o 
e n t e r any j u d g m e n t o t h e r 
t h a n t h a t d i r e c t e d by t h e 
r e v i e w i n g 
c o u r t , h i s a r g u m e n t u l t i m a t e l y f a i l s b e c a u s e t h e t r i a l 
c o u r t 
c o n s i d e r i n g 
h i s c a s e was n o t d i r e c t e d by t h e C o u r t o f 
C i v i l 
A p p e a l s t o e n t e r a j u d g m e n t i n h i s f a v o r . 
R a t h e r , t h a t 
c o u r t 
r e v e r s e d 
a 
p a r t i a l 
summary j u d g m e n t 
t h a t 
h a d b e e n 
e n t e r e d 
a g a i n s t 
h i m on t h e b a s i s 
t h a t 
t h e r e 
were g e n u i n e 
i s s u e s 
o f 
m a t e r i a l 
f a c t , and i t i n s t r u c t e d t h e 
t r i a l 
c o u r t 
t o c o n d u c t 
t h e f u r t h e r p r o c e e d i n g s n e c e s s a r y t o r e s o l v e t h o s e i s s u e s and 
t o c o n c l u d e t h e c a s e . 
The 
t r i a l c o u r t d i d n o t a c t c o n t r a r y t o 
t h a t 
s p e c i f i c m a n d a t e , t o o u r c a s e l a w s e t t i n g 
f o r t h t h e l a w -
o f - t h e - c a s e 
d o c t r i n e o r t h e d u t i e s o f a t r i a l c o u r t on remand, 
o r t o J o e S r . ' s d u e - p r o c e s s r i g h t s by t a k i n g t h e a c t i o n i t d i d 
when 
t h e 
c a s e 
was 
remanded 
t o 
i t a f t e r 
D z w o n k o w s k i 
I . 
A c c o r d i n g l y , 
t h e j u d g m e n t o f t h e t r i a l 
c o u r t i s a f f i r m e d . 
AFFIRMED. 
14 
1100929 
M a l o n e , C . J . , and P a r k e r , Shaw, and W i s e , J J . , c o n c u r . 
15