Opinion ID: 743587
Heading Depth: 2
Heading Rank: 2

Heading: The Elements of the State-Law Tort of Malicious Prosecution

Text: 40 In order to state a claim for the tort of malicious prosecution under New York State law, a plaintiff must prove (1) the initiation or continuation of a criminal proceeding against plaintiff; (2) termination of the proceeding in plaintiff's favor; (3) lack of probable cause for commencing the proceeding; and (4) actual malice as a motivation for defendant's actions. Russell v. Smith, 68 F.3d 33, 36 (2d Cir.1995); see Broughton v. State, 37 N.Y.2d 451, 458, 373 N.Y.S.2d 87, 95, 335 N.E.2d 310, cert. denied, 423 U.S. 929, 96 S.Ct. 277, 46 L.Ed.2d 257 (1975). Defendants in the present case did not dispute the first element at trial; they do not dispute the fourth on appeal. Here, they make a limited attack on the jury's finding of probable cause, and they contend that the criminal prosecution was not terminated in Murphy's favor.
41 Defendants argue that because Murphy testified that, during the initial struggle with Lynn, Murphy stated that he did not want to be handcuffed, the jury was compelled to find that Lynn had probable cause to charge Murphy with resisting arrest. We disagree. 42 Where the question of whether an arresting officer had probable cause is predominantly factual in nature, as where there is a dispute as to the pertinent events, the existence vel non of probable cause is to be decided by the jury. See, e.g., Weyant v. Okst, 101 F.3d 845, 852 (2d Cir.1996); Moore v. Comesanas, 32 F.3d 670, 673 (2d Cir.1994); Restatement (Second) of Torts § 673(2)(a) & comment h (1977) (Restatement ). Here, the events were sharply disputed, the issue of probable cause was properly put to the jury, and the decision as to whose version to credit was entirely within the province of the jury. The jury was instructed that it could not return a verdict in favor of Murphy unless it found, inter alia, the absence of probable cause for the criminal proceeding against him. Its verdict in Murphy's favor means that it found an absence of probable cause, a finding that shows that the jury plainly chose to credit Murphy's version of the events. In light of that choice, defendants' challenge to the finding of no probable cause for the resisting arrest charge is doubly flawed. 43 First, the jury apparently credited Murphy's testimony that after Lynn had issued the traffic citations and had begun to walk back to the patrol car, Lynn ordered him over to the patrol car and began to abuse him verbally and physically, and that the ensuing contretemps was initiated and escalated solely by Lynn. Having credited the testimony that Murphy's conduct was not provocative and that Lynn's conduct was intemperate, physically abusive, and out of control, the jury was entitled to view the mild statement by Murphy that he wished not to be handcuffed or alone with Lynn during the trip to the police station as merely a request designed to avoid further beatings after the arrest, rather than as resistance to the arrest. 44 Second, as a matter of law, an arrest for resisting arrest is not lawful unless the arrest that was supposedly resisted was itself authorized, either by way of an arrest warrant or by the existence of probable cause. See, e.g., Weyant v. Okst, 101 F.3d at 855. Since there was no warrant here, and the jury found no probable cause to arrest Murphy for assault or disorderly conduct, the officers were without authority to arrest Murphy for resisting arrest. 45 Defendants also argue that the jury's finding of no probable cause was impermissible because a presumption of probable cause arises from the grand jury's return of an indictment. That argument, however, is not properly before us since defendants did not raise it in the district court. We note that the presumption is not irrebuttable, see, e.g., Marshall v. Sullivan, 105 F.3d 47, 54 (2d Cir.1996) (presumption can be overcome by evidence that the indictment was the product of fraud, perjury, the suppression of evidence by the police, or other police conduct undertaken in bad faith); Colon v. City of New York, 60 N.Y.2d 78, 82-83, 468 N.Y.S.2d 453, 455-56, 455 N.E.2d 1248 (1983) (same), and that had defendants raised this issue in the district court, Murphy would have been entitled to present rebutting evidence.
46 Finally, we turn to defendants' contention that they were entitled to prevail as a matter of law because Murphy did not show, as an element of the state-law tort of malicious prosecution, that the criminal proceeding terminated in his favor. The requirement that a plaintiff show such a favorable termination is designed principally to ensure against inconsistent judgments, see Janetka v. Dabe, 892 F.2d 187, 189 (2d Cir.1989), and to avoid parallel litigation as to questions of probable cause, see Loeb v. Teitelbaum, 77 A.D.2d 92, 98, 432 N.Y.S.2d 487, 492 (2d Dep't 1980), modified on other grounds, 80 A.D.2d 838, 439 N.Y.S.2d 300 (2d Dep't 1981). 47 Where the prosecution did not result in an acquittal, it is deemed to have ended in favor of the accused, for these purposes, only when its final disposition is such as to indicate the innocence of the accused. See, e.g., Restatement § 660 comment a; Halberstadt v. New York Life Insurance Co., 194 N.Y. 1, 10-11, 86 N.E. 801, 803-04 (1909) (Halberstadt ); Hollender v. Trump Village Cooperative, Inc., 58 N.Y.2d 420, 426, 461 N.Y.S.2d 765, 768, 448 N.E.2d 432 (1983) (Hollender ) (quoting Restatement § 660 comment a ); MacFawn v. Kresler, 88 N.Y.2d 859, 860, 644 N.Y.S.2d 486, 486, 666 N.E.2d 1359 (1996) (mem.) (whether the final disposition of the proceeding involves the merits and indicates the accused's innocence (citing Hollender )); O'Brien v. Alexander, 101 F.3d 1479, 1486-87 (2d Cir.1996) (discussing cases); Russell v. Smith, 68 F.3d at 36 (In the absence of a decision on the merits, the plaintiff must show that the final disposition is indicative of innocence.). The answer to whether the termination is indicative of innocence depends on the nature and circumstances of the termination; the dispositive inquiry is whether the failure to proceed impl[ies] a lack of reasonable grounds for the prosecution, Loeb v. Teitelbaum, 77 A.D.2d at 101, 432 N.Y.S.2d at 494. 48 Certain types of dispositions that do not result from adjudication of the merits have generally been held not sufficiently favorable to the accused to be indicative of innocence. These include dismissals for lack of subject matter jurisdiction, see, e.g., Heaney v. Purdy, 29 N.Y.2d 157, 159-60, 324 N.Y.S.2d 47, 49, 272 N.E.2d 550 (1971), and dismissals pursuant to N.Y.Crim. Pro. L. § 170.30(1)(a) for failure to allege sufficient facts to support the charge, see, e.g., MacFawn v. Kresler, 88 N.Y.2d at 860, 644 N.Y.S.2d at 487, 666 N.E.2d 1359. The principal rationale is that dismissals of these types may not end the state's pursuit of the accused on the same charges, for a renewed prosecution may be commenced in a proper court on a facially sufficient pleading. See, e.g., id. In addition, some other types of dismissals that preclude further prosecution on the same charges are deemed not to be favorable to the accused for purposes of a malicious prosecution claim. These include adjournment[s] in contemplation of dismissal, see, e.g., Hollender, 58 N.Y.2d at 424-26, 461 N.Y.S.2d at 767-68, 448 N.E.2d 432, which are conditional dismissals that become final if the accused meets certain criteria during a six-month period, see N.Y.Crim. Pro. L. § 170.55 (McKinney 1993). Similarly, dismissals by the prosecution in the interests of justice under N.Y.Crim. Pro. L. § 170.40, are generally considered not to be dispositions in favor of the accused. See, e.g., MacLeay v. Arden Hill Hospital, 164 A.D.2d 228, 230-31, 563 N.Y.S.2d 333, 334-35 (3d Dep't 1990), appeal denied, 77 N.Y.2d 806, 568 N.Y.S.2d 913, 571 N.E.2d 83 (1991); Miller v. Star, 123 A.D.2d 750, 751, 507 N.Y.S.2d 223, 224 (2d Dep't 1986) (mem.). See also Hygh v. Jacobs, 961 F.2d 359, 368 (2d Cir.1992) (as a matter of law a dismissal in the interests of justice cannot provide the favorable termination required as the basis for a claim of malicious prosecution); but see Hankins v. Great Atlantic & Pacific Tea Co., 208 A.D.2d 111, 114-16, 622 N.Y.S.2d 678, 680-81 (1st Dep't 1995) (dismissal in the interests of justice can be a favorable termination, depending on the facts and circumstances surrounding the dismissal). 49 The matter of whether the prosecution's effective abandonment of a prosecution, resulting in a termination with prejudice and thus foreclosing a new prosecution of the accused on the same charges, constitutes a termination favorable to the accused for purposes of a malicious prosecution claim generally depends on the cause of the abandonment. The prevailing view is that if the abandonment was the result of a compromise to which the accused agreed, or an act of mercy requested or accepted by the accused, or misconduct by the accused, it is not a termination in favor of the accused for purposes of a malicious prosecution claim. See, e.g., Restatement § 660; Halberstadt, 194 N.Y. at 11, 86 N.E. at 804. An abandonment brought about by the accused's assertion of a constitutional or other privilege, however, such as the right to a speedy trial, does not fall within these categories, for the accused should not be required to relinquish such a privilege in order to vindicate his right to be free from malicious prosecution. See, e.g., Lenehan v. Familo, 79 A.D.2d 73, 76, 436 N.Y.S.2d 473, 475 (4th Dep't 1981); Restatement § 660 comment d. 50 The New York Court of Appeals has not yet decided the precise question of whether the dismissal of a criminal prosecution for failure to prosecute or for failure to comply with speedy-trial requirements should be considered, for malicious prosecution purposes, a termination favorable to the accused. The intermediate state appellate courts considering that question, however, have generally concluded that such dismissals are favorable to the accused. See, e.g., Loeb v. Teitelbaum, 77 A.D.2d at 97-102, 432 N.Y.S.2d at 491-94 (dismissal for failure to prosecute); Campo v. Wolosin, 211 A.D.2d 660, 660, 622 N.Y.S.2d 291, 292 (2d Dep't 1995) (mem.) (same); Reit v. Meyer, 160 A.D. 752, 146 N.Y.S. 75, 79 (1st Dep't 1914) (same); Lenehan v. Familo, 79 A.D.2d at 76, 436 N.Y.S.2d at 475 (dismissal for failure to meet speedy-trial requirements); Vitellaro v. Eagle Insurance Co., 150 A.D.2d 770, 771, 541 N.Y.S.2d 614, 615 (2d Dep't 1989) (same). See also Witcher v. Children's Television Workshop, 187 A.D.2d 292, 294-295, 589 N.Y.S.2d 454, 456 (1st Dep't 1992) (mem.) (affirming dismissal for failure to plead favorable termination, and suggesting obiter that a speedy-trial dismissal is not necessarily a termination favorable to the accused). Part of the rationale for viewing a dismissal for the prosecution's failure to prosecute in timely fashion as favorable to the accused is that the failure to proceed to the merits compels an inference of such an unwillingness or inability to do so as to imply a lack of reasonable grounds for the prosecution. Loeb v. Teitelbaum, 77 A.D.2d at 101, 432 N.Y.S.2d at 494; see generally Halberstadt, 194 N.Y. at 10-11, 86 N.E. at 803-04. Further, to view a dismissal for failure to prosecute within the time allowed as a termination not favorable to the accused would have the effect of unfairly compel[ling] one charged with a criminal offense to waive his constitutional or statutory right to a speedy trial in order to preserve his right to civil retribution for a demonstrated wrong. Lenehan v. Familo, 79 A.D.2d at 77, 436 N.Y.S.2d at 476. See also Loeb v. Teitelbaum, 77 A.D.2d at 102, 432 N.Y.S.2d at 494 (warning that the opposite rule would compel individuals charged with criminal offenses--and who may desire civil retribution--to resist dismissal of the charges against them in the face of the prosecutor's failure to prosecute and the court's desire to dismiss the complaints). 51 These intermediate appellate decisions have analyzed the nature of the failure-to-prosecute and speedy-trial dismissals in the same manner as the state's highest court has analyzed other dismissals. Compare Heaney v. Purdy, 29 N.Y.2d at 160, 324 N.Y.S.2d at 49, 272 N.E.2d 550 (to be favorable, the disposition must fairly impl(y) lack of a reasonable ground for the prosecution (internal quotation marks omitted)), and Halberstadt, 194 N.Y. at 11, 86 N.E. at 804 (same), with Loeb v. Teitelbaum, 77 A.D.2d at 101, 432 N.Y.S.2d at 494 (the failure to proceed to the merits compels an inference of such an unwillingness or inability to do so as to imply a lack of reasonable grounds for the prosecution), and Vitellaro v. Eagle Insurance Co., 150 A.D.2d at 771, 541 N.Y.S.2d at 615 (speedy-trial dismissal is favorable to accused because it implies a lack of reasonable ground for the prosecution). The Appellate Division decisions relied on the principles set out in Halberstadt and the Restatement; those principles were adopted by the New York Court of Appeals in Hollender, 58 N.Y.2d at 425-26, 461 N.Y.S.2d at 768, 448 N.E.2d 432; and we have seen no indication of a renunciation by that Court of those principles, see MacFawn v. Kresler, 88 N.Y.2d at 860, 644 N.Y.S.2d at 486, 666 N.E.2d 1359 (citing Halberstadt and Hollender ). 52 We note also that the principles followed by the New York cases reflect the view prevailing in other jurisdictions. See, e.g., Lackner v. LaCroix, 25 Cal.3d 747, 750-51, 159 Cal.Rptr. 693, 602 P.2d 393, 395 (1979) (A dismissal for failure to prosecute ... does reflect on the merits of the action.... The reflection arises from the natural assumption that one does not simply abandon a meritorious action once instituted. (internal quotation marks omitted)); Miller v. Watkins, 200 Mont. 455, 463-64, 653 P.2d 126, 130 (1982) (speedy-trial dismissal is favorable to accused). Indeed, several states, in ruling that dismissals for failure to comply with speedy-trial requirements were terminations favorable to the accused for purposes of a later claim for malicious prosecution, have relied in part on the reasoning of the leading New York cases. See, e.g., Rich v. Baldwin, 133 Ill.App.3d 712, 715-17, 88 Ill.Dec. 748, 479 N.E.2d 361, 363-64 (1985) (dismissal for failure to meet speedy-trial requirements is favorable to accused) (discussing Lenehan v. Familo, 79 A.D.2d at 76, 436 N.Y.S.2d at 475, and Loeb v. Teitelbaum, 77 A.D.2d at 101, 432 N.Y.S.2d at 494); Gumm v. Heider, 220 Or. 5, 23-24, 348 P.2d 455, 464 (1960) (same) (citing Halberstadt, 194 N.Y. at 10, 86 N.E. at 803); see also Wynne v. Rosen, 391 Mass. 797, 799-800, 464 N.E.2d 1348, 1350-51 (1984) (same re prosecutor's nolle prosequi, or formal abandonment of the prosecution) (citing Loeb v. Teitelbaum, 77 A.D.2d at 99-100, 432 N.Y.S.2d at 492-93). 53 In sum, the body of New York State caselaw, like the decisions of other states, holds that dismissals for lack of timely prosecution should generally be considered, for purposes of a claim of malicious prosecution, a termination favorable to the accused. We have seen no reason to infer that the New York Court of Appeals would adopt a different view. 54 In general, the issue of whether a given type of termination was favorable to the accused is a matter of law for the court. If, however, there is a question as to the nature of the circumstances leading to that termination, that question is one for the trier of fact. See, e.g., Russo v. State of New York, 672 F.2d 1014, 1020 (2d Cir.1982) (issue of favorable termination is one for judge if defendant presents no conflicting evidence as to the reason for the dismissal), modified on other grounds, 721 F.2d 410 (2d Cir.1983); Lenehan v. Familo, 79 A.D.2d at 76, 436 N.Y.S.2d at 475 (issue is one of law in absence of factual dispute surrounding the reasons for the dismissal); Restatement §§ 673(1)(b) and (2)(c); id. § 673 comment e (upon the issue[ ] of favorable termination ..., the jury has only the function of finding the circumstances under which the defendant acted. The court determines whether, under those circumstances, the termination was sufficiently favorable to the accused....). 55 In the present case, the district court properly applied these principles. That court had before it the state court's decision dismissing the prosecution of Murphy for violation of his right to a speedy trial. The state court had held a hearing into the reasons for the prosecution's failure to be ready for trial within the period required by New York law, receiving testimony from defense counsel and the assistant district attorney. Although under New York law, the prosecution of Murphy could not proceed on the felony charges until there was an indictment, the matter was not even presented to the grand jury until some six months after the criminal proceeding had been commenced. The state court found that more than four months of that delay was unreasonable and that there was no valid excuse for the overall failure to proceed with the prosecution expeditiously. Midway through the present trial, the district court alerted defendants, outside the presence of the jury, to the district court's view that Murphy had met his burden of showing a favorable termination of the criminal proceeding and would prevail on that issue as a matter of law unless defendants produced the prosecutor to testify to some non-merits-based explanation for the failure to pursue the prosecution of Murphy: 56 Every lawyer in this room, including the Court, knows what happened here, and it doesn't really show on the official record, but the point is that there was no enthusiasm on the part of the District Attorney's Office to prosecute this case, and that was known to everybody all along.... You know it and I know they didn't prosecute it because they had no enthusiasm for the case. This was a nice, easy way of kissing it off. 57 So I'm making a ruling that he has proved a prima facie case on [the favorable termination] element, but you can rebut it if someone comes here and has the temerity to testify under oath the reason the case was dismissed was because he lost a file, or I didn't realize it was scheduled, or the witnesses had all left town, or some legitimate reason, which none of us believe happened. You are free to do that. 58 (Trial Transcript, February 23, 1996, at 161.) This ruling was in accordance with New York authority and properly reflected the policies underlying those decisions. To rule otherwise would encourage state officials, hoping to shield wrongdoing officers--and perhaps their municipalities--from liability, to commence criminal prosecutions against the victims of that wrongdoing and simply hold the criminal charges in abeyance until a court is forced to dismiss the case after six or more months. Such a prolongation of proceedings can itself further injure a person maliciously accused without probable cause. In this case, for example, the numerous court appearances Murphy was forced to make in the course of the 13 months in which the criminal proceeding was pending often caused him to miss work and were a substantial factor in his ultimately losing his job. The pendency of the prosecution also cost him other prospective employment. 59 Defendants chose not to call the assistant district attorney as a trial witness to offer any non-merits-based explanation for the failure to proceed against Murphy. Accordingly, the district court properly decided the favorable-termination question as a matter of law, and properly instructed the jury that Murphy had established that element of his malicious prosecution claim.