United States Court of Appeals for the Federal Circuit 

2009-1100 

(Serial Nos. 78/918,061 and 78/918,500) 

IN RE SHINNECOCK SMOKE SHOP 

Scott Michael Moore, Moore International Law Offices, of New York, New York, 

argued for appellant. 

Thomas V. Shaw, Associate Solicitor, Office of the Solicitor, United States Patent 

and Trademark Office, of Alexandria, Virginia, argued for the Director of the United 

States Patent and Trademark Office. With him on the brief were Raymond T. Chen, 

Solicitor, and Shannon M. Hansen, Associate Solicitor. Of counsel was Christina J. 

Hieber, Associate Solicitor. 

Appealed from: United States Patent and Trademark Office 

 Trademark Trial and Appeal Board
United States Court of Appeals for the Federal Circuit 

2009-1100 

(Serial Nos. 78/918,061 and 78/918,500) 

IN RE SHINNECOCK SMOKE SHOP 

Appeal from the United States Patent and Trademark Office, 

Trademark Trial and Appeal Board 

 ___________________________ 

 DECIDED: July 1, 2009 

 ___________________________ 

Before MAYER, CLEVENGER, and SCHALL, Circuit Judges. 

CLEVENGER, Circuit Judge. 

In June 2006, Jonathan K. Smith (Applicant), a U.S. citizen and member of the 

Shinnecock Indian Nation and sole proprietor of Shinnecock Smoke Shop, filed two 

trademark applications with the United States Patent and Trademark Office (USPTO), 

seeking to register the marks SHINNECOCK BRAND FULL FLAVOR and 

SHINNECOCK BRAND LIGHTS (Serial Nos. 78/918,061 and 78/918,500 respectively) 

for cigarettes. Both marks also included the wording "MADE UNDER SOVEREIGN 

AUTHORITY." 

The Trademark Examining Attorney (Examining Attorney) refused to register the 

proposed marks, citing Section 2(a) of the Trademark Act, 15 U.S.C. § 1052(a), which 

generally protects against registering marks that falsely suggest a connection to a non-

 
sponsoring entity. Applicant appealed to the Trademark Trial and Appeal Board (Board) 

which affirmed because it agreed that the marks falsely suggested a connection with the 

non-sponsoring Shinnecock Indian Nation. The Board also rejected Applicant's 

constitutional and treaty-based claims that pertained to his allegations of racial 

discrimination. Applicant timely appealed the Board's decision to this court. We have 

jurisdiction over the appeal pursuant to 28 U.S.C. § 1295(a)(4)(B). We affirm. 

I 

"This court reviews the Board's legal conclusions de novo, and its factual findings 

for substantial evidence." In re Pacer Tech., 338 F.3d 1348, 1349 (Fed. Cir. 2003) 

(citations omitted). Substantial evidence is "such relevant evidence as a reasonable 

mind might accept as adequate to support a conclusion." Consol. Edison Co. v. NLRB, 

305 U.S. 197, 229 (1983). 

II 

Title 15, section 1052(a) of the U.S. Code protects against marks that "falsely 

suggest a connection with persons, living or dead, institutions, beliefs, or national 

symbols." Applicant does not contest that the marks falsely suggest a connection with 

the Shinnecock Indian Nation. Instead, he challenges the Board's determination that 

the Shinnecock Indian Nation is a "person[ ], living or dead, [or] institution[ ]" under 

section 1052(a). We affirm the Board's conclusion that the Shinnecock Indian Nation is 

an "institution" and thus falls within section 1052(a)'s protection. 

To construe a statute, we begin with its text and look to the words' plain meaning. 

Bazalo v. West, 150 F.3d 1380, 1382 (Fed. Cir. 1998). Here, the ordinary meaning of 

"institution" suggests the term is broad enough to include a self-governing Indian nation. 

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See Black's Law Dictionary 813, 1133 (8th ed. 2004) (defining "institution" as "[a]n 

established organization," and defining "organization" as a "body of persons . . . formed 

for a common purpose"). Our construction is also in line with Board precedent that has 

specifically included Indian tribes under section 1052(a)'s protection in the past, see In

re White, 73 USPQ2d 1713, 1718 (T.T.A.B. 2004) (finding that "each federally 

recognized Apache tribe is necessarily either a juristic person or an institution"), and 

with the Board's general practice of construing the statute in question as broadly 

applicable, see In re Urbano, 51 USPQ2d 1776, 1779 (T.T.A.B. 1999) (finding that 

SYDNEY 2000, "the entire organization which comprises the Olympic Games, as a 

whole, qualifies as an 'institution' within the meaning of Section 2(a) of the Trademark 

Act"); In re N. Am. Free Trade Assoc., 43 USPQ2d 1282, 1285 (T.T.A.B. 1997) (same 

for the North American Free Trade Agreement). We agree with the Board's conclusion 

that the Shinnecock Indian Nation is an "institution" under section 1052(a). 

A 

Applicant offers little substantive support for his contention that the Shinnecock 

Indian Nation is not an "institution" under section 1052(a). Instead, Applicant contends 

that the "institution" issue was not raised below. According to Applicant, the Examining 

Attorney rejected the marks based on her conclusion that the Shinnecock Indian Nation 

falls under the statute's protection for "persons" and that the Board therefore should not 

have affirmed the decision based on its "institution" determination. We disagree. 

While the Examining Attorney focused on characterizing the Shinnecock Indian 

Nation as a "juristic person," she apparently did so based on her understanding that the 

terms "person," "juristic person," and "institution" all have the same meaning under 

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section 1052(a). As evidence, the two sources that the Examining Attorney cited in 

explaining why the Shinnecock Indian Nation was subject to section 1052(a)'s falsesuggestion protection both suggest such an approach. First, she cited section 1127 

which provides, 

[t]he term "person" and any other word or term used to designate the 

applicant or other entitled to a benefit or privilege or rendered liable under 

the provisions of this Act includes a juristic person as well as a natural 

person. The term "juristic person" includes a firm, corporation, union, 

association, or other organization capable of suing and being sued in a 

court of law. 

15 U.S.C. § 1127. 

The Examining Attorney also cited In re White, a case in which the Board held 

that "there is nothing in the language of the statute to suggest that the meaning of 

'persons' or 'institutions' is any broader or narrower for one of these grounds for refusal 

as opposed to another." 73 USPQ2d at 1717. The Examining Attorney's approach 

explains why, despite her repeated references to "juristic persons," she ultimately 

concluded that "the tribe is a person or institution for purposes of the Trademark Act."1 

It also explains why the Examining Attorney's brief before the Board cited two protectedinstitution cases, In re Urbano, 51 USPQ2d 1776, and In re N. Am. Free Trade Assoc., 

43 USPQ2d 1282, and parenthetically noted that the Board's conclusion in each case 

was that the relevant organization qualified as an "institution." 

We are also confident that Applicant understood the Examining Attorney's 

position and was aware that the "institution" issue was in play. Applicant's own brief to 

 1 We offer no opinion as to whether the Examining Attorney's approach 

reflects a correct reading of "persons" or "institutions" under section 1052(a), a question 

beyond the scope of this appeal. We merely acknowledge the issues raised under her 

approach. 

2009-1100 4 
the Board explained that after the initial rejection, he "filed . . . a request for 

reconsideration, arguing, among other things, that the Tribe is not a person or institution 

within the meaning of Section 2(a)." Applicant's concession betrays his contention that 

the "institution" issue was not raised below, and we conclude that the board did not err 

in affirming the rejection based on its " institution" determination. 

B 

As he did before the Board, Applicant also argues on appeal that the USPTO's 

refusal to register his marks, when the USPTO has granted supposedly similar marks 

also involving Indian tribe names to non-Indians, shows a pattern of racial discrimination 

in violation of the Due Process and Equal Protection clauses of the Fifth Amendment to 

the United States Constitution. Applicant contends that this alleged racial discrimination 

also violates the United States' treaty obligations under the United Nations' International 

Convention on the Elimination of All Forms of Racial Discrimination (CERD). The Board 

rejected Applicant's allegations, and we agree that they are meritless. 

There was no due process violation here because Applicant "was provided a full 

opportunity to prosecute [his] applications and to appeal the examining attorney's final 

rejections to the Board." In re Int'l Flavors & Fragrances Inc., 183 F.3d 1361, 1368 

(Fed. Cir. 1999); see also Mathews v. Eldridge, 424 U.S. 319, 349 (1976) (explaining 

that "[a]ll that is necessary" to satisfy due process "is that the procedures be tailored, in 

light of the decision to be made, to 'the capacities and circumstances of those who are 

to be heard,' to insure that they are given a meaningful opportunity to present their 

case" (quoting Goldberg v. Kelly, 397 U.S. 254, 268–69 (1970))). Applicant's 

allegations regarding similar marks are irrelevant because each application must be 

2009-1100 5 
considered on its own merits. See In re Boulevard Entm't, 334 F.3d 1336, 1343 (Fed. 

Cir. 2003). Even if all of the third-party registrations should have been refused 

registration under section 1052(a), such errors do not bind the USPTO to improperly 

register Applicant's marks. See id. 

We likewise reject Applicant's equal-protection argument for several reasons. 

First, allegations of disparate treatment, even if accurate, do not diminish the Board's 

and Examining Attorney's legitimate, nondiscriminatory reasons for denying registration. 

Even if his allegations were accurate, the most Applicant could establish is that the 

USPTO should have rejected the other marks. It does not follow that the proper remedy 

for such mischief is to grant Applicant's marks in contravention of section 1052(a). 

Further, Applicant's argument is founded on unsupported assumptions. 

Applicant assumes that, unlike him, the successful applicants were non-Indians and that 

this is the reason why his applications were rejected whereas theirs were not. However, 

as the Board noted, Applicant has made no showing that any of the other registered 

marks were registered without the consent of the named tribal entities. Further, 

Applicant ignores substantive differences—either in the marks or in their associated 

goods and services—that might have made the other registrations less suggestive of a 

false connection. We agree with the Board that "[i]t is entirely reasonable to assume 

that these registrations were issued not because the applicants therein were nonIndians, but because the elements of the Section 2(a) refusal were not or could not be 

proven by the Office." In re Shinnecock Smoke Shop, 2008 WL 4354159 at *6 (T.T.A.B. 

Sept. 10, 2008). 

Applicant's reliance on CERD is likewise unavailing. In addition to Applicant's 

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2009-1100 7 

failure to establish any racial discrimination as noted above, Applicant has no private 

right of action under CERD, which is not a self-executing treaty. See Johnson v. 

Quander, 370 F. Supp. 2d 79, 101–102 (D.D.C. 2005) (CERD provisions are not selfexecuting and, thus, do not authorize a private right of action), aff'd, 440 F.3d 489 (D.C. 

Cir. 2006), cert. denied, 549 U.S. 945 (2006). 

CONCLUSION 

For the foregoing reasons, we affirm the judgment of the Trademark Trial and 

Appeal Board of the United States Patent and Trademark Office. 

AFFIRMED