Cases are often filed in state court and removed to federal court by a petition for removal. Can the defendant seek sanctions under Rule 11 for the pre-removal pleadings? Most Courts say “No.”
Rule 11 provides that “[e]very pleading, written motion, and other paper must be signed by at least one attorney of record[.]” Fed. R. Civ. P. 11(a). And by presenting such a document to the Court, “whether by signing, filing, submitting, or later advocating it,” an attorney certifies that to the best of his or her knowledge it is not presented for an improper purpose, its legal contentions are warranted, and its factual contentions or denials of factual contentions have support. Fed. R. Civ. P. 11(b). If a document violates one of these certifications, then the Court may sanction the attorney, law firm, or party. Fed. R. Civ. P. 11(c).
But “Rule 11 is an extraordinary remedy, one to be exercised with extreme caution.” Mason Classical Acad., Inc v. Arnn, No. 2:22-CV-513-JLB-NPM, 2023 WL 6196855, at *5 (M.D. Fla. Sept. 22, 2023) (citation omitted). This extraordinary remedy is inappropriate at this juncture for two reasons.
First, when a case is removed from state court (like here), “Rule 11 does not apply to pleadings filed before removal.” Worldwide Primates, Inc. v. McGreal, 26 F.3d 1089, 1091 (11th Cir. 1994). JM Family Defendants’ sanctions motion relies exclusively on the amended complaint filed in state court. (See, e.g., Doc. 48 at 13, 16 (reciting paragraphs of the amended complaint)). And, while post-removal advocacy can support Rule 11 sanctions, the Defendants’ motion does not rely on any of Plaintiff’s post-removal filings. This is problematic, as Rule 11 mandates that the sanction motion “describe the specific conduct that allegedly violates Rule 11(b).” Fed. R. Civ. P. 11(c)(2) (emphasis added).
The case is Lynch v. Filice, District. Court MD Florida 2025 2-24-cv-340-SPC-NPM. It is unpublished.
Edward X. Clinton, Jr.