Opinion ID: 474501
Heading Depth: 2
Heading Rank: 4

Heading: Application of the Principles to the Present Facts

Text: 44 Our lengthy discussion of the tests used to interpret section 1359 makes it clear that the state of the law is anything but settled. It is not necessary today for us to choose a specific test--or, indeed, to direct the district courts to combine the tests or to weigh various factors on a case-by-case basis. This is because all tests compel dismissal of the present action. 25 45 We begin with the per se tests, which, as their advocates maintain, are easy to apply. The ALI test looks to the citizenship of the decedent, Betty Ann Michaud. Because she resided in Massachusetts, complete diversity is lacking, and dismissal would be required. Professor Mullenix's citizenship of the beneficiary test mandates the same result, since the only beneficiary of Mrs. Michaud's estate, Donald Michaud, also resided in Massachusetts. 26 46 The result is no different under the substantial stake test. Carol Pallazola, who had never even met Mrs. Michaud, had nothing to gain if the wrongful death action was successful, and nothing to lose if it was not. In short, she lacks a substantial stake in the outcome. 47 There are more factors to consider when applying the motive/function test of McSparran and its progeny, but, once again, our conclusion is the same. Initially, we note that the district court's findings of fact may not be set aside unless clearly erroneous, and we must give due regard to the trial court's opportunity to judge the credibility of witnesses. Fed.R.Civ.P. 52(a). 27 Among other things, the evidence showed that Pallazola relied solely on the assurances of the decedent's sister, Dorothy Waselchuk, in ascertaining the estate's debts or assets; that Pallazola may not settle the claim without Donald's consent; that she has no duties besides prosecuting this suit; that she did not hire counsel--and indeed did not meet her attorneys before the evidentiary hearing; that Pallazola kept no written records on the estate; that she brought no special capacity or experience to her appointment; that Waselchuk paid the debts of her sister's estate, disposed of the estate's limited assets, engaged counsel to pursue this action, and assisted counsel in answering interrogatories. There was ample factual support for the district court's conclusion that Waselchuk has in many respects been the principal actor in handling the malpractice action and other aspects of the estate of her sister.... 621 F.Supp. at 764. Thus, like the other three tests, the motive/function test dictates dismissal of the action. 48 Accordingly, the district court was correct to dismiss the action. In addition, the court properly held that this case, unlike Lester v. McFaddon, 415 F.2d 1101, 1106 (4th Cir.1969), was not a proper instance for prospective enforcement of a jurisdictional ruling. 621 F.Supp. at 768-69. Quite apart from the Supreme Court's post-Lester statement that a jurisdictional ruling may never be made prospective only, Firestone Tire & Rubber Co. v. Risjord, 449 U.S. 368, 379, 101 S.Ct. 669, 676, 66 L.Ed.2d 571 (1981), it must be recalled that this action had to be dismissed regardless of which jurisdictional test was applied. 28 Given these circumstances, Pallazola was not an unwitting plaintiff trapped by a new jurisdictional rule, and prospective enforcement would have been inappropriate.