Jack Bryant

Background:

On March 11, 2024, the Governor of North Carolina, Roy Cooper (“Cooper”), placed a wager on the Carolina Hurricanes to win the Stanley Cup.[1] Cooper made the bet on Raleigh’s beloved hockey team[2] to commemorate sports betting companies, also known as “sportsbooks,”[3] accepting wagers in North Carolina for the first time in the state’s history.[4] The event marked nine months after the North Carolina General Assembly’s enactment of House Bill 347, authorizing sports gambling within the state.[5] It also came six years after the Supreme Court’s decision to lift the federal ban on sports gambling, allowing states to decide the issue for themselves.[6] As the Supreme Court noted in its decision, “Americans have never been of one mind about gambling.”[7] Supporters of its legalization argue that the tax revenue it produces outweighs the potential it has to corrupt individuals with addiction and poor financial decision-making.[8]

Unfortunately for Cooper, the Carolina Hurricanes did not win the Stanley Cup,[9] and he felt the pain of what most gamblers experience: a losing bet.[10] In fact, in only the first full month of legalized sports betting, North Carolinians lost more than $100 million in sports wagers.[11] This large sum may be indicative of the country’s gambling addiction statistics. According to the National Council on Problem Gambling (NCPG), about 85% of American adults have gambled at least once in their lives, and approximately 2.5 million American adults have a severe gambling problem.[12] The consequences are evident, as citizens in states where online gambling is legalized are about 28% more likely to file for bankruptcy.[13]

With these figures in mind, it’s no surprise that sportsbooks collected over $11 billion in revenue in 2023.[14] Critics attribute sportsbooks’ success to deceptive and predatory promotions like sign-up bonuses, free bets, and targeted advertisements to get players hooked.[15] Concerns have also been raised about sportsbooks’ use of artificial intelligence (“AI”) technology to tailor players’ experiences based on their betting tendencies.[16] These developments within the industry have left some wondering whether the Supreme Court’s decision to lift the federal ban was misguided.[17] Recently, lawmakers persuaded by these views introduced a bill, the SAFE Bet Act, aimed at regulating the sports gambling industry.[18]

The SAFE Bet Act:

On Thursday, September 12, Congressmen Paul Tonko (“Tonko”) and Richard Blumenthal (“Blumenthal”) proposed the Supporting Affordability and Fairness with Every Bet, or the SAFE Bet Act (the “Act”).[19] The Act is designed to “address the public health implications inherent in the widespread legalization of sports betting.”[20] Section 101 of the Act would establish a “general nationwide prohibition on sports betting,” while section 102 would provide a revamped application process for states that desire to legalize the practice.[21]

Section 103 of the Act would do most of the heavy lifting by imposing a duty on states with sports betting programs to meet minimum standards regarding affordability, advertising, and AI.[22] First, the Act would require sportsbooks to “conduct ‘affordability checks’ on customers before accepting wagers in excess of a certain amount,” and prohibit them from “accepting more than five deposits from a customer in a 24-hour period” or “accepting deposits via credit card.”[23] Second, the Act would proscribe broadcast advertising of sportsbooks between 8 a.m. and 10 p.m. and during live sporting events, as well as banning the advertisement of promotions like “no sweat” bets.[24] Third, the Act would outlaw the use of AI to track players’ habits and create “individualized offers and promotions.”[25]

In addition to these standards, the Act would impose a federal ban on amateur sports betting, with some exceptions for college sports, the Olympics, and the Paralympics.[26] Furthermore, the Act would require that the Surgeon General produce a report on the sports gambling industry’s effects on public health, “with a particular focus on young adults.”[27]

Although the Act would not ban sports gambling entirely, it would impose a “national standard” amid “faint-hearted and half-baked” state regulation, Blumenthal said.[28] He also criticized sportsbooks’ use of “the most advanced technology to make the most money.”[29] Tonko added that “it’s well past time for Congress . . . to step up and make a difference,” as sports betting advertisements have become an “endless cascade of flashy promotions.”[30] In addition, law professor and public health advocate Richard Daynard stated that the gambling industry has become a “direct threat to public health,” and likened it to the tobacco industry.[31]

Predictably, the Act has already accumulated its fair share of opposition.[32] Chris Cylke, an executive at the American Gaming Association, denounced the act and characterized it as a “slap in the face” to industry regulators and state legislatures who have worked tirelessly to police the gaming sector.[33] He also called attention to the benefits of legalized sports betting, including its contributions to state tax revenues and the protection it provides consumers from the dangers of illegal gambling operations.[34] Even the NCPG remained neutral on the Act, stating that it “lacks the necessary investment in public health infrastructure to adequately address gambling addiction.”[35] With heads butting on both sides, legalized sports betting has proven to be a contentious issue with an ambiguous future.

The Future of Sports Betting:

If passed, the Act would go into effect one year after its enactment, and states which have already legalized sports betting would have one year to come into compliance with its provisions.[36] Although it is unlikely to be passed, the Act represents the Federal Government’s first attempt to regulate the sports betting industry since the Federal Ban was lifted.[37] For now, it is a safe bet that sportsbooks will continue to promote their services to fans who are willing to roll the dice with sports gambling.


[1]As Sports Betting Goes Live in NC, Governor Cooper Places Futures Bet on Carolina Hurricanes to win NHL Stanley Cup, N.C. Governor Roy Cooper (Mar. 11, 2024), https://governor.nc.gov/.

[2] See Walt Ruff, Canes Begin New Season with Record-Setting Fan Base, Carolina Hurricanes (Oct. 12, 2023), https://www.nhl.com/hurricanes/news/canes-begin-new-season-with-record-setting-fan-base.

[3] Matt Ryan Webber, Sportsbook: What It Is, History, and Legality, Investopedia, https://www.investopedia.com/sportsbook-5217715 (Feb. 5, 2024).

[4] N.C. Governor Roy Cooper, supra note3.

[5] Rules, N.C. State Lottery Comm’n, https://ncgaming.gov/rules-and-compliance (last visited Sept. 19, 2024).

[6] Murphy v. Nat’l Collegiate Athletic Ass’n, 138 S. Ct. 1461, 1484–85 (2018).

[7] Id. at 1468.

[8] See Id. at 1484.

[9] ESPN Staff, Stanley Cup Playoffs 2024: Bracket, Schedule, Scores, News, ESPN (Jun. 24, 2024, 10:55 PM), https://www.espn.com/nhl/story/_/id/39964783/nhl-playoffs-2024-stanley-cup-bracket-schedule-teams-players-preview.

[10] Study Shows That Most Gamblers are Throwing Away Money, Business Insider (Oct. 30, 2013, 6:42 PM), https://www.businessinsider.com/gambling-is-even-dumber-than-we-realized-2013-10.

[11] Brian Murphy, North Carolina Bettors Lost More than $100M on Sports Wagering in April, WRAL News, https://www.wral.com/story/north-carolina-bettors-lost-more-than-100m-on-sports-wagering-in-april/21436613/ (May 17, 2024, 1:42 PM).

[12] FAQs: What is Problem Gambling?, National Council on Problem Gambling, https://www.ncpgambling.org/help-treatment/faqs-what-is-problem-gambling/ (last visited Sept. 19, 2024).

[13] Brett Hollenbeck et al., The Financial Consequences of Legalized Sports Gambling 4 (2024), https://ssrn.com/abstract=4903302.

[14] Total Sports Betting Revenue in the United States from 2018 to 2023, Statista, https://www.statista.com/statistics/1126480/sports-betting-revenue-us/ (last visited Sept. 19, 2024).

[15] See Andy Sheehan, With Popularity of Online Sports Betting, Gambling Counselors See More Young Men Battling Addiction, CBS News (Feb. 6, 2024, 5:44 PM), https://www.cbsnews.com/pittsburgh/news/sports-betting-young-men-gambling-addictions/.

[16] Nicola K. Smith, Concern as the Gambling Industry Embraces AI, BBC (Mar. 4, 2024), https://www.bbc.com/news/business-68304137.

[17] See Bennett Gross, A Safe Bet: Advocating for a Uniform Federal Approach to Sports Betting, Geo. L. Tech. Rev. (May 2024), https://georgetownlawtechreview.org/a-safe-bet-advocating-for-a-uniform-federal-approach-to-sports-betting/GLTR-05-2024/.

[18] Jessica Golden, U.S. Lawmakers Introduce Bill to Put Regulations on Sports Betting Operators, CNBC (Sept. 13, 2024, 12:57 PM), https://www.cnbc.com/2024/09/13/federal-bill-regulations-sports-betting-operators-safe-bet-act.html.

[19] Id.

[20] Legislative Outline of The SAFE Bet Act, Paul D. Tonko, https://tonko.house.gov/uploadedfiles/safe_bet_legislative_outline_3.24.pdf (last visited Sept. 19, 2024).

[21] Id.

[22] Id.

[23] Id.

[24] A “no sweat” bet is a promotion offered by sportsbooks whereby players are granted credits equal to the dollar amount lost on a wager. See How Do I Place a ‘No Sweat’ Bet, Draftkings, https://help.draftkings.com/hc/en-us/articles/18020647261587-How-do-I-place-a-No-Sweat-bet-US (last visited Sept. 19, 2024); Id.

[25] Id.

[26] Id.

[27] Id.

[28] Golden, supra note 18.

[29] Id.

[30] Id.

[31] Id.

[32] See Ken Adams, The SAFE Bet Act, a Clear and Present Danger, CDC Gaming Reports (Sept. 15, 2024,  6:04 PM), https://cdcgaming.com/commentary/the-safe-bet-act-a-clear-and-present-danger/.

[33] AGA Statement on Introduction of SAFE Bet Act, American Gaming Association (Sept. 12, 2024), https://www.americangaming.org/new/aga-statment-on-proposed-safe-bet-act/.

[34] Id.

[35] NCPG Statement on the SAFE Bet Act, National Council on Problem Gambling (Sept. 16, 2024), https://www.ncpgambling.org/news/ncpg-statement-on-the-safe-bet-act/.

[36] Paul D. Tonko, supra note 20.

[37] See Adams, supra note 32.

 

Anna Duong-Harrison

History

            In 1873, Congress passed the Act for the Suppression of Trade in, and Circulation of, Obscene Articles of Immoral Use––the colloquial Comstock Act.[1] This Act criminalized the circulation of contraceptives and birth control-related information through the mail, including medical textbooks and magazines.[2] Even instruments that could be used to perform abortions were considered obscene.[3] The Act also forbade the sale of contraceptives across state lines.[4] The guilty recipients of these so-called “obscene” materials faced up to ten years in prison.[5] Twenty-four states quickly followed the federal government’s lead with their own Comstock laws.[6]

Anthony Comstock, a Christian zealot, inspired this wave of broad, unforgiving legislation.[7] After successfully lobbying Congress to pass the Act, Comstock regularly scoured New York City for people to arrest.[8] Equipped with funds from the New York Society for the Suppression of Vice, Comstock contributed to the arrest of hundreds of people, including prominent women’s rights advocates.[9] Comstock and others’ “campaign against obscenity” reflected fears that contraception and related materials may scandalize their children, promote immorality, and disincentivize marriage.[10]

Even though critics challenged the constitutionality of Comstock laws, the Supreme Court staunchly held that the First Amendment did not protect obscenity.[11] However, by the early 1900s, judicial enforcement of Comstock laws tapered off as courts recognized the challenges of applying such a broad statute.[12] For example, in U.S. v. One Package, the Second Circuit held the Act inapplicable to mailed contraceptive materials if the intended purpose was not “unlawful.”[13] The court reasoned that even though the legislators intended “unlawful” to be synonymous with “abortion” in the Act, modern changes in medicine required a new interpretation of the term to mean unlawful abortions.[14] Then, in 1972, the Supreme Court finally answered the hotly debated question of how to define obscenity, which further narrowed qualifying materials under the Act.[15] Finally, two hallmark Supreme Court cases, Griswold v. Connecticut and Roe v. Wade essentially rendered the Act null, since both contraception and abortion became legal.[16]

Can a Literal Interpretation of The Comstock Act Impact Abortion Care in North Carolina?

The strict nature of the original 1873 Comstock Act eventually morphed into today’s 18 U.S.C. §§ 1461 and 1462.[17] These statutes prohibit the mailing and importation of “any drug, medicine, article, or thing designed, adapted, or intended for producing abortion.”[18] As legal scholars have noted, the Supreme Court’s decision to remove the constitutional right to abortion in Dobbs v. Jackson Women’s Health Organization has potentially harkened a return of the Comstock Act.[19]

A literal interpretation of the Comstock Act could restrict FDA approval of mifepristone and misoprostol and arm the Department of Justice (DOJ) with more discretion under a conservative administration.[20] A literal interpretation of the Comstock Act would prohibit the mailing of any items related to abortion, regardless of sender intent.[21] This means FDA approved mifepristone and misoprostol would be inaccessible to doctors, even in states where abortion is legal.[22] The breadth of the Act could even limit the mailing of medical instruments like dilators, gloves, and speculums, which are used in a variety of obstetric procedures, including abortions.[23]

While some may view this application of the Comstock Act as reactive political rhetoric, five cities have already passed local ordinances that criminalize the shipping and receiving of abortion medications under §§ 1461 and 1462.[24] In recent oral arguments, Supreme Court Justices Clarence Thomas and Samuel Alito asked attorneys if the FDA violated the Comstock Act by approving mifepristone and misoprostol.[25] By raising this issue, the Justices signaled an openness to revive a legal relic. Republican Vice-presidential candidate J.D. Vance has also voiced his direct support for enforcing the Comstock Act.[26] In January 2023, Vance joined a group of legislators in a letter to the DOJ urging it to apply the Comstock Act to mailed abortion pills, which are also used for miscarriage healthcare.[27] The letter echoed Vance’s shared position that the Act had been misinterpreted and misapplied by the federal government.[28] Thus, it is not far-reaching to wonder if the Act will make a reappearance under a Trump/Vance administration.

Conclusion

Ultimately, it would take a literal interpretation of the Comstock Act by both the DOJ and the Supreme Court to reach North Carolina. To do so, the Act would have to restrict FDA approval of mifepristone and misoprostol, receive DOJ support, and find Supreme Court backing. It is more likely that a reemergence of the Act would impact access to mailed abortion medication in states where abortion is illegal. Yet, the possibility of the Act reaching North Carolina is not implausible, and the possibility of the Comstock Act’s revival from relic to reality may be looming in the near future.


[1] David Schultz & John R. Vile, The Encyclopedia of Civil Liberties in America, 87–88 (Taylor & Francis Group, 2005).

[2] Id. at 88; Mabel Felix, et al., The Comstock Act: Implications for Abortion Care Nationwide, Kaiser Family Found. (Apr. 15, 2024), https://www.kff.org/womens-health-policy/issue-brief/the-comstock-act-implications-for-abortion-care-nationwide/.

[3] Id.

[4] Id.

[5] See id.

[6] Anthony Comstock’s “Chastity” Laws, The Pill, https://www.pbs.org/wgbh/americanexperience/features/pill-anthony-comstocks-chastity-laws/#:~:text=Anthony%20Comstock%20was%20jubilant%20over,trade%20on%20a%20state%20level.&text=New%20England%20residents%20lived%20under%20the%20most%20restrictive%20laws%20in%20the%20country.

[7] See id.

[8] See Schultz, supra note 1, at 207.

[9] Id.

[10] Schultz, supra note 1, at 208.

[11] See id.

[12] See id. at 14–40.

[13] See United States v. One Package, 86 F.2d 737, 739 (2d Cir. 1936).

[14] See id. at 739–40.

[15] See Miller v. California, 413 U.S. 15, 24 (1973) (limiting obscene material to the confines of a strict three-part test).

[16] Griswold v. Connecticut, 381 U.S. 479, 485 (1965); Roe v. Wade, 410 U.S. 113, 165 (1973).

[17] See Ebba Brunnstrom, Abortion and the Mails: Challenging the Applicability of the Comstock Act Laws Post-Dobbs, 55 Colum. Human Rights L. Rev. 1, 3 (2024).

[18] 18 U.S.C. §§1461–62.

[19] See supra, note 17.

[20] E.g.,Felix, supra note 2.

[21] See id.

[22] Annalies Winny, The Threat to Abortion Rights You Haven’t Heard Of, Johns Hopkins Bloomberg School of Public Health (May 31, 2024), https://publichealth.jhu.edu/2024/how-the-comstock-act-threatens-abortion-rights.

[23] See supra, note 2.

[24] Id.

[25] See transcript of Oral Argument at 26–91, FDA v. All. for Hippocratic Med., 144 S. Ct. 1540 (2024).

[26] Alison Durkee, JD Vance and Project 2025 Want to Use This 19th Century Law to Ban Abortion Without Congress, Forbes (Jul. 18, 2024), https://www.forbes.com/sites/alisondurkee/2024/07/18/jd-vance-and-project-2025-want-to-use-this-19th-century-law-to-ban-abortion-without-congress/.

[27] Letter from J.D. Vance, et al., U.S. S. to Hon. Merrick B. Garland, Att’y Gen. (Jan. 25, 2023), https://www.documentcloud.org/documents/24834197-20230123-letter-on-comstock-to-doj.

[28] See id.

14 Wake Forest L. Rev. Online 99

Dora W. Klein[1]

“To determine whether evidence is admissible under Rule 404(b), the Huddleston test applies . . . .”[2]

Introduction

Many courts—mostly federal, but also some state courts—are misapplying the United States Supreme Court’s decision in the 1988 case United States v. Huddleston.[3] These courts have used a single paragraph of dicta from the Huddleston opinion to craft multipart checklist-type “tests” that displace the single requirement of Rule 404(b) of the Federal Rules of Evidence (or corresponding state rules). This displacement risks the admission of other acts evidence without determining whether the evidence is relevant for a non-character purpose by means of inferences that do not involve character. These Huddleston tests thus undermine Rule 404(b)’s prohibition that other acts evidence is not admissible to prove action in accordance with character.[4]

Of course, if the Supreme Court in Huddleston had established a test for the admissibility of other acts evidence, then federal courts would be bound to follow (and state courts might be wise to follow).[5] But in fact, the Supreme Court in Huddleston did not decide anything specifically about the admissibility of other acts evidence, much less establish any test of admissibility. Contrary to “the Huddleston test” assertions, the case was not about the substantive requirement for admitting other acts evidence for a non-character purpose but instead was about the procedural requirements for admitting conditionally relevant evidence.[6] Other acts evidence is one kind of conditionally relevant evidence; everything the Court in Huddleston said about other acts evidence applies with equal force to all other kinds of conditionally relevant evidence. Properly considered, Huddleston is a Rule 104(b) case, not a Rule 404(b) case.

I. The Sole Issue Decided in Huddleston Was the Standard of Proof for Admitting Conditionally Relevant Evidence

A. The Trial and Circuit Court of Appeals Decisions

As anyone who has taken a law school Evidence course should recall, the Huddleston case is about some television sets that might have been stolen and some Memorex VCR tapes and kitchen appliances that were definitely stolen. Huddleston fenced the stolen VCR tapes, which led to criminal charges for possessing and selling stolen property. In his defense, Huddleston claimed that he did not know the VCR tapes were stolen.[7]

As part of its proof that Huddleston knew the VCR tapes were stolen, the government offered evidence that Huddleston had also fenced the television sets and appliances.[8] Huddleston had obtained the VCR tapes, television sets, and appliances from the same supplier and offered the goods for sale at prices far below their value.[9] The government’s theory was that Huddleston could not have thought these goods were legitimately for sale at such unreasonably low prices.[10]

Huddleston objected to the government’s attempt to use evidence of the television sets to prove his knowledge that the VCR tapes were stolen on the ground that the government did not have sufficient proof that the television sets were in fact stolen.[11] While the VCR tapes and appliances had been reported as stolen, the government’s only proof that the television sets were stolen was the low price at which Huddleston had offered to sell them, combined with his inability to prove that he had purchased them.[12]

At trial, Huddleston argued that before allowing the government to use the evidence of the television sets, the court needed to make a preliminary finding that the government’s evidence established that the television sets were stolen by clear and convincing proof.[13] The trial court disagreed and admitted the evidence, and Huddleston was convicted of possessing stolen property (but acquitted of selling stolen property).[14]

On appeal, the United States Court of Appeals for the Sixth Circuit initially agreed with Huddleston and adopted the clear and convincing standard for admitting evidence when its relevance depends on proof of a condition, such as that the television sets were stolen.[15] However, the court then granted the government’s petition for rehearing and reversed, holding that the proper standard of proof for admitting conditionally relevant evidence is the lesser preponderance standard.[16]

The Sixth Circuit’s confusion about the proper standard for admitting conditionally relevant evidence was not isolated. The standard of proof question had split the federal circuit courts of appeals, with some agreeing with Huddleston’s position that clear and convincing proof of the condition is required, some deciding that the proper standard is the lesser preponderance of the evidence standard, and some deciding that the evidence is admissible so long as the proponent presents sufficient evidence for the jury to decide that the condition is satisfied.[17]

B. The Supreme Court Decision

1. What the Supreme Court Did Decide: Rule 104(b) Does Not Require a Preliminary Finding Before Conditionally Relevant Evidence Is Admitted

The Supreme Court agreed to hear Huddleston’s case to resolve the split among the circuit courts of appeals regarding the proper standard of proof for admitting conditionally relevant evidence. However, the 1987 case Bourjaily v. United States[18] essentially rejected Huddleston’s primary argument—that the government needed to prove by clear and convincing evidence that the televisions were stolen[19]—before the Supreme Court held oral argument in his case. In Bourjaily, the Court decided that the proper standard of proof for preliminary questions regarding the admissibility of evidence is the preponderance standard.[20]

That left only one related issue for the Court to decide in Huddleston: Does the trial judge need to make a preliminary finding that the government has sufficient evidence to prove the condition that would make the evidence relevant? Specifically, the Supreme Court granted certiorari to “resolve a conflict among the Courts of Appeals as to whether the trial court must make a preliminary finding before ‘similar act’ and other Rule 404(b) evidence is submitted to the jury.”[21]

The Supreme Court decided that a preliminary finding by the trial court is unnecessary—“such evidence should be admitted if there is sufficient evidence to support a finding by the jury that the defendant committed the similar act.”[22] Huddleston thus presented one question and produced one holding: “This case presents the question whether the district court must itself make a preliminary finding that the Government has proved the ‘other act’ by a preponderance of the evidence before it submits the evidence to the jury. We hold that it need not do so.”[23]

Although the Court’s statement of its holding referenced only other acts evidence, the Court supported its decision not to require the trial court to make a preliminary finding by explaining that the admission of conditionally relevant evidence has not traditionally required a preliminary finding:

When an item of evidence is conditionally relevant, it is often not possible for the offeror to prove the fact upon which relevance is conditioned at the time the evidence is offered. In such cases it is customary to permit him to introduce the evidence and ‘connect it up’ later. Rule 104(b) continues this practice, specifically authorizing the judge to admit the evidence ‘subject to’ proof of the preliminary fact.[24]

The television sets were other acts evidence, but more importantly, for purposes of the Supreme Court’s decision, they were conditionally relevant evidence.

The question the Court answered in Huddleston was whether conditionally relevant evidence may be admitted without a preliminary finding by the trial court that the proponent of the evidence has sufficient proof of the condition.[25] But since Huddleston is a Rule 104(b) case, its holding—that a preliminary finding by the trial court is not necessary—applies to all conditionally relevant evidence, not just other acts evidence.[26]

2. What the Supreme Court Did Not Decide: Whether Evidence of the Television Sets Was Properly Admitted for a Non-Character Purpose Under Rule 404(b)

The government offered evidence of the (allegedly) stolen television sets to prove that Huddleston knew that the VCR tapes were stolen.[27] This could be a proper, non-character purpose for admitting the other acts evidence under Rule 404(b). As countless courts have pointed out, “knowledge” is one of the examples of non-prohibited purposes included in Rule 404(b)(2).[28] Critically, Huddleston conceded that if the television sets were stolen, then they were relevant for the non-character purpose of proving knowledge.[29]

Because of Huddleston’s concession, the Supreme Court did not consider whether the television sets were properly admitted under Rule 404(b). More specifically, the Court did not decide whether the television sets were relevant to the issue of Huddleston’s knowledge by means of a chain of inferences that did not include an inference about Huddleston’s character.[30] Huddleston did not present a Rule 404(b) argument, and the Supreme Court did not decide anything specifically about Rule 404(b). That a case so clearly not about Rule 404(b) has been interpreted as establishing a test that replaces Rule 404(b) is surely one of the stranger twists in the evolution of evidence law.

II. The Final Paragraph of the Huddleston Opinion—the Source of “the Huddleston Test(s)”—Is Dictum

After deciding—holding—that the admission of conditionally relevant evidence is governed by Rule 104(b) and does not require a preliminary finding by the trial judge that the condition is satisfied, the Court offered some additional observations about the operation of the Federal Rules of Evidence:

We share petitioner’s concern that unduly prejudicial evidence might be introduced under Rule 404(b). We think, however, that the protection against such unfair prejudice emanates not from a requirement of a preliminary finding by the trial court, but rather from four other sources: first, from the requirement of Rule 404(b) that the evidence be offered for a proper purpose; second, from the relevancy requirement of Rule 402—as enforced through Rule 104(b); third, from the assessment the trial court must make under Rule 403 to determine whether the probative value of the similar acts evidence is substantially outweighed by its potential for unfair prejudice; and fourth, from Federal Rule of Evidence 105, which provides that the trial court shall, upon request, instruct the jury that the similar acts evidence is to be considered only for the proper purpose for which it was admitted.[31]

Lured by the appeal of a simple, checklist-type approach to the thorny problem of character evidence, courts have spun this dictum—and surely it is dictum, as the question before the Court was about the procedural requirements for admitting conditionally relevant evidence, not about the substantive issues related to the prohibition of character evidence[32]—into a “holding” that “established” a “test”[33] for the admissibility of other acts evidence under Rule 404(b).

III. Courts Have Used Huddleston’s Dicta to Create Overly Simplified “Tests” of Admissibility for Other Acts Evidence

Consider the following recent statements by various federal and state courts asserting that the Huddleston opinion established a “test” for applying Rule 404(b):

  • “To determine whether evidence is admissible under Rule 404(b)(2), the Huddleston test applies . . . .”[34]
  • “Prior bad act evidence must satisfy a four-part test—established in Huddleston v. United States, 485 U.S. 681 (1988)—to be admissible under Rule 404(b).”[35]
  • “The Supreme Court explicated in Huddleston v. United States a four-part test to determine whether Rule 404(b) evidence is properly admitted.”[36]
  • “Interpreting the federal rule, the Virgin Islands Supreme Court adopted a four-part test established by the United States Supreme Court in Huddleston v. United States, to evaluate whether evidence is properly admitted under Rule 404(b).”[37]
  • “In determining whether evidence is properly admissible under Rule 404(b), we apply the Supreme Court’s test from Huddleston v. United States, 485 U.S. 681 (1988) . . . .”[38]
  • “In determining whether to admit evidence under Rule 404(b), the Court looks to the four-part test in Huddleston v. United States, 485 U.S. 681, 691-92 (1988) . . . .”[39]
  • “The Michigan Supreme Court has held that a trial court’s admission of other-acts evidence was not an abuse of discretion if the trial court’s decision met the three-part test articulated in Huddleston v. United States, 485 U.S. 681, 691–692 (1988) that was adopted in People v. VanderVliet, 444 Mich. 52, 74 (1993).”[40]

Other courts have created similar multipart checklist-type “tests” that merge Rule 404(b) with the other rules of evidence mentioned in the Huddleston opinion, especially Rule 403. Recent examples include:

  • “We apply a three-part test for determining whether evidence of prior crimes is admissible under Rule 404(b), asking whether 1) the evidence is ‘relevant to an issue other than the defendant’s character’; 2) there is sufficient evidence for the ‘jury to find that the defendant committed the extrinsic act’; and 3) the undue prejudice of the evidence substantially outweighs the probative value.”[41]
  • “We employ a four-part test to assess the admissibility of other-act evidence: ‘(1) the prior-act evidence must be relevant to an issue other than character, such as intent; (2) it must be necessary to prove or disprove an element of the claim; (3) it must be reliable; and (4) its probative value must not be substantially outweighed by its prejudicial nature.’”[42]
  • “In United States v. Beechum, this court articulated a two-part test to evaluate the admissibility of evidence under Rule 404(b): First, it must be determined that the extrinsic offense evidence is relevant to an issue other than the defendant’s character. Second, the evidence must possess probative value that is not substantially outweighed by its undue prejudice and must meet the other requirements of rule 403.”[43]
  • “We employ a four-part test to determine whether a district court abused its discretion in admitting 404(b) evidence. Such evidence is properly admitted if (1) it is relevant to a material issue; (2) it is similar in kind and not overly remote in time to the crime charged; (3) it is supported by sufficient evidence; and (4) its potential prejudice does not substantially outweigh its probative value.”[44]
  • “To be admissible under Rule 404 (b), other-acts evidence must satisfy a three-part test: (1) the evidence is relevant to an issue in the case other than the defendant’s character, (2) the probative value is not substantially outweighed by the danger of unfair prejudice as required by OCGA § 24-4-403 (‘Rule 403’), and (3) there is sufficient proof for a jury to find by a preponderance of the evidence that the defendant committed the prior act.”[45]
  • “[T]he Supreme Court and Second Circuit have distilled the admissibility inquiry under Rule 404(b) to a four-part test: (1) the prior act evidence was offered for a proper purpose; (2) the evidence was relevant to a disputed issue; (3) the probative value of the prior act evidence substantially outweighed the danger of its unfair prejudice; and (4) the court administered an appropriate limiting instruction.”[46]
  • “The Ninth Circuit has developed a four-part test to determine the admissibility of Rule 404(b) evidence: (1) the other act evidence must tend to prove a material point; (2) the other act must not be too remote in time; (3) the evidence must be sufficient to support a finding that the defendant committed the other act; and (4) the other act must be similar to the offense charged.”[47]
  • “To determine if other bad acts evidence is admissible, the trial court should use a three-prong test: (1) Is the evidence relevant for a purpose other than criminal disposition? (2) Does it have probative value? (3) Is its probative value substantially outweighed by its prejudicial effect?”[48]
  • “Under the two-part test, if the court determines that the proffered prior act evidence has ‘special’ relevance, i.e., a non-propensity relevance, it then must consider whether the evidence should nevertheless be excluded under Rule 403 because its probative value is substantially outweighed by a danger of unfair prejudice.”[49]
  • “We review a district court’s decision to admit Rule 404(b) evidence with a three-part test. First, we review for clear error the factual determination that the other acts occurred. Second, we review de novo the legal determination that the acts were admissible for a permissible 404(b) purpose. Third, we review for abuse of discretion the determination that the probative value of the evidence is not substantially outweighed by unfair prejudicial effect.”[50]
  • “The Ninth Circuit uses a four-part test to determine the admissibility of evidence under Rule 404(b): Such evidence may be admitted if: (1) the evidence tends to prove a material point; (2) the other act is not too remote in time; (3) the evidence is sufficient to support a finding that defendant committed the other act; and (4) (in certain cases) the act is similar to the offense charged.”[51]
  • “District courts apply a mandatory test in determining the admissibility of W.R.E. Rule 404(b) evidence: (1) the evidence must be offered for a proper purpose; (2) the evidence must be relevant; (3) the probative value of the evidence must not be substantially outweighed by its potential for unfair prejudice; and (4) upon request, the trial court must instruct the jury that the similar acts evidence is to be considered only for the proper purpose for which it was admitted.”[52]

These tests, whether explicitly invoking Huddleston or only mimicking the opinion’s final paragraph, are illegitimate. Using the Huddleston opinion to decide anything about the admissibility of other acts evidence—except whether, in cases where the other act evidence is conditionally relevant, a preliminary finding by the trial court is required—is just simply wrong.

The Court in Huddleston did not decide anything except that a preliminary finding that a condition is satisfied is not required before conditionally relevant evidence may be admitted. It did not establish any test for the admissibility of other acts evidence for a non-character purpose. The admissibility of other acts evidence for a non-character purpose is governed by Rule 404(b), subject to—as evidence generally is—Rules 104 and 403.[53] The Huddleston opinion’s final paragraph amounts to nothing more than that evidence is admissible when the evidence satisfies the requirements of the Rules of Evidence. A “Huddleston test” suggests that some work is being done by these “parts” or “prongs,” when all that such a “test” has actually done is use a lot of words to say nothing of substance. At risk of being buried in all of these words is the single thing required by Rule 404(b): that a court determine whether the other acts evidence is being offered to prove action in accordance with character.

A few courts have recognized that the final paragraph of the Huddleston opinion merely explains that other rules of evidence—other than Rule 104, which was the rule at issue in Huddleston—guard against the risk of unfair prejudice inherent in other acts evidence. For example, the Supreme Court of Arizona has observed:

In a few cases where we cited to Huddleston, we cited it merely to highlight the four factors that Huddleston identifies as safety precautions embedded within the Federal Rules of Evidence. . . . We continue to agree with these four protective provisions. They are, in essence, merely a restatement of part of the Federal Rules of Evidence.[54]

Judge Shanahan of the Nebraska Supreme Court explicitly rejected the claim that Huddleston established any sort of test of admissibility for other acts evidence:

Referring to Huddleston v. United States, in Ryan, we stated, “The U.S. Supreme Court has set out the requirements for the admissibility of evidence under Fed. R. Evid. 404(b), the equivalent of Neb. Evid. R. 404(2)” and then expressed a four-part test which included, as requirements or conditions for admissibility, the four items which the majority has today characterized as safeguards against “unfair prejudice in the admission of the [‘other acts’] evidence.” In fact, the Huddleston Court did not enunciate four “requirements for the admissibility of evidence under Fed. R. Evid. 404(b),” but did consider means to minimize possible prejudice from admission of “other acts” evidence.[55]

These rare rejections of a “Huddleston test” are 100 percent correct. Rule 404(b)—not any part of the Supreme Court’s opinion in Huddleston—determines when other acts evidence is properly admitted for a non-character purpose. Creating a single amalgamated test out of multiple rules of evidence risks diluting all of the component rules. The harm in thinking that the Court’s dicta established a Rule 404(b) test is that the dicta-inspired tests often displace Rule 404(b)’s prohibition of other acts evidence offered to prove action in conformity with character. None of the “tests,” whether explicitly invoking Huddleston or not, include identifying—and excluding—evidence relevant for a non-character purpose by means of inferences about character.[56] The checklist approach invites a superficial examination of other acts evidence; so long as the prosecutor—and it almost always is the prosecutor[57]—offers up some non-character purpose for admitting the evidence, the court may consider the “relevant for a non-character purpose” part of the test to be satisfied. The Seventh Circuit recognized this risk in the 2014 case United States v. Gomez:

Multipart tests are commonplace in our law and can be useful, but sometimes they stray or distract from the legal principles they are designed to implement; over time misapplication of the law can creep in. This is especially regrettable when the law itself provides a clear roadmap for analysis, as the Federal Rules of Evidence generally do.[58]

The 2020 revisions to Rule 404(b), while not explicitly blaming the Huddleston-inspired tests, are in part meant to focus judges on detecting propensity inferences.[59] Specifically, the revised rule now requires prosecutors to provide written notice of the other acts evidence they intend to introduce and “articulate in the notice the permitted purpose for which the prosecutor intends to offer the evidence and the reasoning that supports the purpose.”[60] Even before the amendment, some courts had endorsed this more searching inquiry for propensity inferences, requiring more than the mere recitation of some non-propensity purpose. For example, the Seventh Circuit observed: “Had the court asked more specifically how the prior conviction [for distributing cocaine] tended to show intent [to distribute cocaine] eight years later, it would have recognized that it was dealing with propensity evidence all the way down.”[61]

Whether the amendments will be sufficient to increase judges’ attention to hidden propensity inferences is doubtful,[62] but the requirement to articulate not just the permitted purpose but also the reasoning in support of the purpose is a step in the right direction—as well as an implicit acknowledgment that the scrutiny given to prosecutors’ purported reasons for admitting other acts evidence is often lacking.[63] While “Huddleston tests” are certainly not the only reason for courts’ insufficient attention to propensity inferences, these “tests” are just as certainly not helping judges to make proper Rule 404(b) decisions. No part of any “Huddleston test” directs judges to consider the reasoning that makes other act evidence relevant to a non-character purpose.

Conclusion

Numerous scholars have urged amending Rule 404(b) to provide more explicit guidance that excluding “character evidence” means excluding other acts evidence that is relevant to a non-character purpose only by means of an inference about character.[64] In the meantime, judges can make a bad situation a little better by not invoking Huddleston for anything other than what the Supreme Court decided in this case: the admission of conditionally relevant evidence does not require a preliminary finding by the trial court that the condition is satisfied, but rather, a determination that the proffering party has offered (or will offer) sufficient evidence for the jury to find that the condition is satisfied.[65] That is all that the Court in Huddleston decided. Spinning multipart checklist-type tests out of a non-holding is definitely not helpful and quite likely harmful.

Rule 404(b) prohibits the admission of other acts evidence to prove action in accordance with character.[66] That is a difficult rule to apply. But using Huddleston’s dicta to make the task of applying Rule 404(b) easier comes with a cost: the possible, if not likely, admission of evidence that should be excluded.

  1.  Professor of Law, St. Mary’s University School of Law. The author thanks Michael Ariens, Chad Pomeroy, and Michael Smith for helpful comments and conversations.
  2.  United States v. Akina, No. 1:22-cr-01008-KWR-1, 2024 WL 326460, at *5 (D.N.M. Jan. 29, 2024).
  3.  Huddleston v. United States, 485 U.S. 681 (1988).
  4.  See Fed. R. Evid. 404(b)(1) (“Evidence of any other crime, wrong, or act is not admissible to prove a person’s character in order to show that on a particular occasion the person acted in accordance with the character.”).
  5.  See Jennifer Wimsatt Pusateri, It Is Better to Be Safe When Sorry: Advocating a Federal Rule of Evidence that Excludes Apologies, 69 U. Kan. L. Rev. 201, 239 (2020) (noting that “even though the Federal Rules of Evidence do not apply in state courts, they serve as a model for the evidentiary rules of many states”).
  6.  Huddleston, 485 U.S. at 689–90.
  7.  United States v. Huddleston (Huddleston I), 802 F.2d 874, 876 (6th Cir. 1986).
  8.  Id. at 875–76.
  9.  United States v. Huddleston (Huddleston II), 811 F.2d 974, 976 (6th Cir. 1987).
  10.  Id.
  11.  Huddleston I, 802 F.2d at 876–77.
  12.  Id. at 876.
  13.  Id. at 877.
  14.  Id. at 875–76.
  15.  Id. at 877.
  16. Huddleston II, 811 F.2d 974, 977 (6th Cir. 1987).
  17.  Huddleston v. United States, 485 U.S. 681, 685 n.2 (1988).
  18.  483 U.S. 171 (1987).
  19.  See Brief for the Petitioner at 15, Huddleston, 485 U.S. 681 (No. 87-6).
  20.  Bourjaily, 483 U.S. at 175.
  21.  Huddleston, 485 U.S. at 685 (citations omitted).
  22.  Id.
  23.  Id. at 682.
  24.  Id. at 690 n.7.
  25.  Id. at 685.
  26.  See, e.g., United States v. Balthazard, 360 F.3d 309, 313 (1st Cir. 2004) (“When the relevancy of evidence is conditioned on the establishment of a fact—in this case, that the other marijuana growing operations were undertaken in furtherance of the charged conspiracy—the offering party need only introduce sufficient evidence to permit a rsuraeasonable jury to find the conditional fact by a preponderance of the evidence to establish that the evidence is relevant.”).
  27.  Huddleston, 485 U.S. at 683.
  28.  See, e.g., United States v. Proto, 91 F.4th 929, 932 (8th Cir. 2024) (“Evidence that Proto previously possessed a firearm in connection with drug trafficking is relevant to show his knowledge and intent. We routinely have affirmed the admission of similar evidence in cases involving drug trafficking and related gun charges.” (citations omitted)).
  29.  Huddleston, 485 U.S. at 686 (“Petitioner acknowledges that this evidence was admitted for the proper purpose of showing his knowledge that the Memorex tapes were stolen. He asserts, however, that the evidence should not have been admitted because the Government failed to prove to the District Court that the televisions were in fact stolen.”).
  30.  Id. at 689.
  31.  Id. at 691–92.
  32.  Scholars have debated the precise contours of what counts as dicta; however, all seem to agree that dicta includes statements not necessary to the court’s holding. See Dictum, Black’s Law Dictionary (11th ed. 2019) (defining “obiter dictum” as a “judicial comment . . . that is unnecessary to the decision in the case and therefore not precedential”); Shawn J. Bayern, Case Interpretation, 36 Fla. St. U. L. Rev. 125, 129 (2009) (“The principal feature of holdings is that they are necessary to decide a case, and the principal feature of dicta is that they are not.”).
  33.  See, e.g., United States v. Cole, 26 F. App’x 45, 48 (2d Cir. 2001) (“To determine the admissibility of prior bad-acts evidence pursuant to Fed. R. Evid. 404(b), we apply the test established by the Supreme Court in Huddleston v. United States . . . .”).
  34.  United States v. Candelaria, No. 1:22-CR-00767-KWR-1, 2024 WL 82845, at *2 (D.N.M. Jan. 8, 2024).
  35.  United States v. Houck, Crim. Action No. 22-323, 2023 WL 158730, at *2 (E.D. Pa. Jan. 11, 2023).
  36.  United States v. Cushing, 10 F.4th 1055, 1075 (10th Cir. 2021).
  37.  People v. Rivera, 2022 VI Super 76U, at *2 (V.I. Super. Ct. Sept. 6, 2022).
  38.  United States v. Bridges, No. 21-1679, 2022 WL 4244276, at *6 (3d Cir. Sept. 15, 2022).
  39.  United States v. Heller, No. 19-CR-00224-PAB, 2019 WL 5394177, at *1 (D. Colo. Oct. 22, 2019).
  40.  People v. Lawhead, No. 338063, 2018 WL 2419052, at *5 (Mich. Ct. App. May 29, 2018).
  41.  United States v. Gutierrez, No. 22-14125, 2024 WL 262706, at *3 (11th Cir. Jan. 24, 2024) (quoting United States v. Sterling, 738 F.3d 228, 238 (11th Cir. 2013)).
  42.  Howard v. City of Durham, 68 F.4th 934, 955 (4th Cir. 2023) (quoting Smith v. Baltimore City Police Dep’t, 840 F.3d 193, 201 (4th Cir. 2016)).
  43.  United States v. Valenzuela, 57 F.4th 518, 521 (5th Cir. 2023).
  44.  United States v. Brandon, 64 F.4th 1009, 1020–21 (8th Cir. 2023) (citing United States v. Williams, 796 F.3d 951, 958–59 (8th Cir. 2015)).
  45.  Randolph v. State, 891 S.E.2d 818, 823 (Ga. 2023) (citing Lowe v. State, 879 S.E.2d 492 (2022)).
  46.  United States v. Johnson, No. 21-CR-428 (ER), 2023 WL 5632473, at *17 (S.D.N.Y. Aug. 31, 2023) (citing United States v. Garcia, 291 F.3d 127, 136 (2d Cir. 2002)).
  47.  United States v. Eggleston, No. CR 20-434 DSF, 2022 WL 252412, at *2 (C.D. Cal. Jan. 26, 2022) (quoting United States v. Bibo-Rodrieguez, 922 F.2d 1398, 1400 (9th Cir. 1991)).
  48.  Smith v. Commonwealth, 636 S.W.3d 421, 436 (Ky. 2021) (citing Purcell v. Commonwealth, 149 S.W.3d 382, 399–400 (Ky. 2004)).
  49.  United States v. Lindsey, 3 F.4th 32, 43 (1st Cir. 2021) (citing United States v. Henry, 848 F.3d 1, 8 (1st Cir. 2017)).
  50.  United States v. Serrano-Ramirez, 811 F. App’x 327, 341 (6th Cir. 2020) (citing United States v. Hardy, 228 F.3d 745, 750 (6th Cir. 2000)).
  51.  United States v. Cox, 963 F.3d 915, 924 (9th Cir. 2020) (citing United States v. Bailey, 696 F.3d 749, 799 (9th Cir. 2012)).
  52.  Lajeunesse v. State, 458 P.3d 1213, 1217–18 (Wyo. 2020) (citing Griggs v. State, 367 P.3d 1108, 1143 (Wyo. 2016)).
  53.  See Fed. R. Evid. 404(b), 104, 403.
  54.  State v. Terrazas, 944 P.2d 1194, 1197 (Ariz. 1997) (en banc) (citations omitted).
  55.  State v. Yager, 461 N.W.2d 741, 751 (Neb. 1990) (Shanahan, J., dissenting) (citations omitted) (quoting State v. Ryan, 444 N.W.2d 610 (Neb. 1989)).
  56.  See, e.g., cases cited supra notes 34–52 (articulating a “Huddleston test” that does not direct a court to exclude evidence that is relevant by means of an inference about character).
  57.  See Fed. R. Evid. 404 advisory committee’s note to 1991 amendment (“[T]he overwhelming number of cases [addressing 404(b)(2) evidence] involve introduction of that evidence by the prosecution.”).
  58.  United States v. Gomez, 763 F.3d 845, 853 (7th Cir. 2014).
  59.  See Fed. R. Evid. 404 advisory committee’s note to 2020 amendment.
  60.  Fed. R. Evid. 404(b)(3)(B).
  61.  United States v. Miller, 673 F.3d 688, 699 (7th Cir. 2012).
  62.  Steven Goode, It’s Time to Put Character Back into the Character-Evidence Rule, 104 Marq. L. Rev. 709, 711–12 (2021) (“The Judicial Conference’s Committee on Rules of Practice and Procedure and its Advisory Committee on Evidence Rules recently undertook a multi-year effort to revise Rule 404(b). But they wound up producing amendments so trifling that nothing is likely to change.” (citations omitted)).
  63.  Cf. United States v. Miller, 673 F.3d 688, 696 (7th Cir. 2012) (“[A]dmission of prior drug crimes to prove intent to commit present drug crimes has become too routine.”).
  64.  For a recent and persuasive example, see generally Hillel J. Bavli, Correcting Federal Rule of Evidence 404 to Clarify the Inadmissibility of Character Evidence, 92 Fordham L. Rev. 2441 (2024).
  65.  Huddleston v. United States, 485 U.S. 681, 685 (1988).
  66.  Fed. R. Evid. 404(b)(1).

By Colin Ridgell

While recent headlines have been dominated by the Supreme Court’s issued and pending opinions in cases of perceived political moment,[1] the Court has continued deciding questions that will ultimately have a direct impact on the lives and liberty of far more people than Section Three of the 14th Amendment[2] or Chevron[3] ever will.  While drawing less attention than it merits, the Court’s criminal docket has proven to be the source of widespread­—and often unanimous—agreement.  The Court’s recent decision in McElrath v. Georgia[4] provides a useful example of this trend.

Factual Background

The facts of McElrath case could hardly be more tragic.  On July 12, 2012, then 18-year old Damian McElrath killed his adoptive mother by stabbing her over 50 times.[5]  McElrath had struggled with behavioral and disciplinary issues throughout his childhood.[6]  Only a week before his mother’s death, McElrath had been admitted to a mental health treatment facility and diagnosed with schizophrenia, based, among other things, on his recurrent and long-running delusion that his mother was poisoning his food and drinks.[7]  After killing his mother, McElrath called 911, explained that he had killed his mother because she was poisoning him, and “asked the dispatcher if he was wrong to do that.”[8]

McElrath was charged with malice murder, felony murder, and aggravated assault.[9]  In December 2017, the jury returned a verdict of not guilty by reason of insanity on the malice murder charge but found McElrath guilty but mentally ill of felony murder and aggravated assault.[10]  These verdicts presented a seemingly obvious contradiction:

[T]he jury must have determined that McElrath was legally insane at the time that he stabbed Diane in order to support the finding that he was not guilty of malice murder by reason of insanity.  Nonetheless, the jury went on to find McElrath guilty but mentally ill of felony murder based on the same stabbing—a logical and legal impossibility.[11]

Deemed “repugnant verdicts” under Georgia law,[12] the legal and logical impossibility of the jury’s verdicts opened the door for an incredibly skilled piece of lawyering by McElrath’s attorneys.

The Georgia Decisions

McElrath would make two trips to the Supreme Court of Georgia.  He first challenged his felony murder conviction on the basis of the inconsistent verdicts.[13]  The court agreed, but vacated both the guilty but mentally ill verdict for felony murder and the not guilty by reason of insanity verdict for malice murder.[14] This was the first step in McElrath’s efforts to have both murder charges done away with based on the jury’s verdicts.

When the case returned to the trial court on remand, McElrath unsuccessfully moved to have his case dismissed on double jeopardy grounds.[15]  The Supreme Court of Georgia affirmed the denial of this motion, explaining that, although not guilty verdicts are all but sacrosanct in double jeopardy jurisprudence, when “[v]iewed in context alongside the verdict of guilty but mentally ill . . . the purported acquittal [lost] considerable steam.”[16]  In essence, the court held that vacatur of the repugnant verdicts had left McElrath with a blank slate as far as double jeopardy was concerned.[17]

The Supreme Court’s Decision

The Supreme Court of the United States was resoundingly unconvinced that the mark of acquittal could be so easily wiped away.  In Justice Jackson’s unanimous opinion, the Court reaffirmed that, “[o]nce rendered, a jury’s verdict of acquittal is inviolate.”[18]  The Court rejected Georgia’s argument that state law controlled whether a verdict was an acquittal for double jeopardy purposes,[19] explaining that the dispositive question is whether “there has been ‘any ruling that the prosecution’s proof is insufficient to establish criminal liability for an offense.’”[20]  The reasons for a jury’s verdict of acquittal are final and unquestionable, regardless of the permissibility of that verdict.[21]  Because the jury’s acquittal was accepted by the trial judge, the Supreme Court of Georgia was powerless to vacate it, and therefore the subsequent prosecution of McElrath for felony murder was barred by the Double Jeopardy Clause.[22] 

The Court left for another day, however, the issue of what double jeopardy effect would result from a trial judge’s rejection of inconsistent or repugnant verdicts.[23]  And Justice Alito reiterated the open nature of this question in his brief concurrence.[24] 

McElrath was never likely to be a high-profile case. Although the average American is far more likely to come into contact with the criminal justice system than to have their life permanently altered by the application of the major questions doctrine,[25] the latter cases attract a far greater level of popular attention.[26] It is perhaps unsurprising that so many are convinced that the “high profile” cases at the Court are decided 6-3,[27] when a “high profile” case has been tautologically defined as a case decided on ideological grounds.[28] Hopefully, close observers of the Court’s docket will remember that unanimous and nearly unanimous decisions are the norm rather than the exception.[29]  As important as McElrath is for reinforcing the constitutional limits on double jeopardy, it is equally important as a reminder that things at the Court are working as intended.


[1] See, e.g., Andrew Chung & John Kruzel, Trump wins Colorado ballot disqualification case at US Supreme Court, Reuters (March 4, 2024), https://www.reuters.com/legal/trump-wins-colorado-ballot-disqualification-case-us-supreme-court-2024-03-04/; Adam Liptak, Conservative Justices Appear Skeptical of Agencies’ Regulatory Power, The New York Times (Jan. 17, 2024), https://www.nytimes.com/2024/01/17/us/supreme-court-chevron-case.html.

[2] U.S. Const. amend XIV, § 3.

[3] Chevron, U.S.A., Inc. v. Natural Resources Defense Council, Inc., 467 U.S. 837 (1984).

[4] 144 S. Ct. 651 (2024).

[5] McElrath v. State, 839 S.E.2d 573, 574–75 (Ga. 2020).

[6] Id. at 575.

[7] Id.

[8] Id.

[9] Id. at 574.

[10] Id.

[11] Id. at 580.

[12] Id. at 579 (“This case falls into the category of repugnant verdicts, as the guilty and not guilty verdicts reflect affirmative findings by the jury that are not legally and logically possible of existing simultaneously.”).

[13] Id. at 575.

[14] Id. at 582.

[15] McElrath v. State, 880 S.E.2d 518, 519 (Ga. 2022).

[16] Id. at 521.

[17] See id. at 521–22.

[18] McElrath v. Georgia, 144 S. Ct. 641, 658 (2024).

[19] Id. at 559.

[20] Id. at 660 (quoting Evans v. Michigan, 568 U.S. 313, 318 (2013)).

[21] Id. at 659.

[22] Id. at 660.

[23] See id. at n.4.

[24] Id. at 661 (Alito, J., concurring) (“Nothing that we say today should be understood to express any view about whether a not-guilty verdict that is inconsistent with a verdict on another count and is not accepted by the trial judge constitutes an “acquittal” for double jeopardy purposes.”).

[25] Compare Susannah N. Tapp & Elizabeth J. Davis, Contacts Between Police and the Public, 2020, 1 (U.S. Department of Justice, Bureau of Justice Statistics) (2022), with Dr. Adam Feldman, Elites at Cert, Empirical SCOTUS (December 15,2021), https://empiricalscotus.com/2021/12/15/elites-at-cert/#:~:text=While%20attorneys%20working%20on%20cases,cert%20grant%20is%20around%201%25.

[26] See, e.g., Adam Liptak, The Curious Rise of a Supreme Court Doctrine that Threatens Biden’s Agenda, The New York Times (March 6, 2023), https://www.nytimes.com/2023/03/06/us/politics/supreme-court-major-questions-doctrine.html.

[27] See, e.g., Vincent M. Bonventre, 6 to 3: The Impact of the Supreme Court’s Super-Majority, New York State Bar Association (October 31, 2023), https://nysba.org/6-to-3-the-impact-of-the-supreme-courts-conservative-super-majority/.

[28] E.g., Lawrence Hurley & JoElla Carman, Tracking major Supreme Court cases, NBC News (updated June 30, 2023), https://www.nbcnews.com/politics/supreme-court/tracking-major-supreme-court-cases-rcna69594.

[29] Dr. Adam Feldman, Another One Bites the Dust: End of 2022/2023 Supreme Court Term Statistics, Empirical SCOTUS (June 30,2023), https://empiricalscotus.com/2023/06/30/another-one-bites-2022/.

Thomas H. Ward

“Pity me not, but lend thy serious hearing to what I shall unfold.”[i]  With its grant of certiorari late last December, the Supreme Court crossed the river Styx and resurrected a question that estate planners had thought was laid to rest long ago:  whether the proceeds of a life insurance policy held by a closely held corporation on a shareholder’s life and used for redemption of said shareholder’s stock increases that stock’s value for estate tax purposes?[ii]  Last June, the Eighth Circuit answered this question in the affirmative,[iii] a decision that now stands in juxtapose to the Eleventh Circuit’s ancient decision in Estate of Blount v. C.I.R.[iv]  And now, estate planners desperately await for the Supreme Court to unearth what will constitute taxable estates henceforth.

I. Connelly v. United States.

Michael and Thomas Connelly were brothers and the sole shareholders of Crown C Corporation, a building materials company in St. Louis, Missouri.[v]  Anticipating the inevitable, the two brothers entered a stock repurchase agreement, whereby the surviving brother or Crown would redeem the shares of the other brother upon his death.[vi]  To fund the redemption, Crown purchased $3.5 million life insurance policies on both Michael and Thomas.[vii]  When Michael died in 2013, Crown redeemed his shares for $3 million and kept the remaining life insurance proceeds ($500,000) to fund its operations.[viii]  The IRS audited the return, claiming that Michael’s estate undervalued his shares in Crown by relying on the redemption payment rather than determining the fair market value of Crown—which the IRS asserted included the value of the life insurance proceeds.[ix]  Both the District Court and the Eighth Circuit agreed.[x]

II. What is a Taxable Estate?

Start at square one, with what a taxable estate is.  The Internal Revenue Code dictates that every estate is subject to taxation.[xi]  And every estate begins as a gross estate whose value consists of “all property whether real or personal, tangible or intangible, wherever situated” of the decedent at her time of death.[xii]  This “gross estate” eventually transforms into a “taxable estate” as the decedent’s estate subtracts certain deductions allowed by the Internal Revenue Code.[xiii]  A taxable estate—and therefore the estate’s total tax liability—accordingly hinges on the value of the property of the decedent at the time of her death—the value of her gross estate.[xiv]

The end of Connelly is ultimately a question of the beginning: what was Michael’s gross estate?  In general, the value of stock held in said corporations is to be determined “without regard to any option, agreement, or other right to acquire . . . the property at a price less than the fair market value” or to “any other restriction on the right to sell or use such property.”[xv]  But if a redemption agreement (1) is a bona fide business arrangement, (2) is not a device to transfer property to members of the decedent’s family for less than full and adequate consideration, and (3) contains terms that are comparable to other similar arrangements entered into in arm’s length transactions, then the agreement can offset some of the value of the property.[xvi]  Unfortunately, the redemption agreement in Connelly fell short of this exclusion because it neither mentioned an amount nor prescribed a formula to calculate the amount to be paid at redemption.[xvii]

III. The Issue Before the Supreme Court.

Because the redemption agreement failed to fix a price for Michael’s shares in Crown, the Supreme Court must decide what the fair market value of Michael’s shares were at the time of his death for estate tax purposes.  As the pertinent regulations lay forth, the value of a property in an estate is the price at which said property would change hands between a willing buyer and a willing seller (the “willing buyer, willing seller test”).[xviii]  And when it comes to shares in closely held corporations, the willing buyer, willing seller test takes into account various factors, including the company’s net worth, its prospective earning power, and its dividend-paying capacity—as well as its non-operating assets like its proceeds from life insurance policies payable for the benefit of the corporation.[xix]   However, the IRS and Michael’s estate ultimately disagree as to whether the redemption obligation acts as a liability that offsets the life insurance proceeds that Crown received.

A. The IRS’s Argument.

On the one hand, the IRS argues that a hypothetical buyer would have paid up to $6.89 million for Michael’s shares of Crown by accounting for the $3 million in life insurance proceeds that Crown used to redeem Michael’s shares—but not the redemption obligation itself.[xx]  This is because a hypothetical buyer (according to the IRS) could either (1) cancel the redemption obligation, leave the $3 million in Crown, and own a company worth $6.86 million; or (2) have Crown redeem the shares for $3 million, receive $3 million in cash, and own a company worth $3.86 million post-redemption.[xxi]  Similarly, the IRS argues that a hypothetical seller would not sell her shares in Crown for only $3 million because of the value of the life insurance proceeds.[xxii]  Accordingly, the IRS maintains that Michael’s estate undervalued the fair market value of Michael’s shares.[xxiii]

B. Michael’s Estate’s Argument.

On the other hand, Michael’s estate argues that a hypothetical buyer would account not only for the life insurance proceeds—but also for the redemption obligation.[xxiv]  This is because a corporation’s net worth (according to Michael’s estate) involves a mathematical computation that considers the corporation’s assets and liabilities.[xxv]  And a corporation’s liabilities (according to the estate) should include its redemption obligations as they offset any life insurance proceeds.[xxvi]  Thus, Michael’s estate maintains that it did not undervalue Michael’s shares in Crown for estate tax purposes.[xxvii]

C. The Chamber of Commerce Weighs in.

On January 31, the Chamber of Commerce joined the fray and voiced its arguments in favor of Michael’s estate.[xxviii]  In its brief, the Chamber of Commerce urges the Supreme Court to consider the vital role that closely held corporations play in the economy and maintain the well-established practice of funding redemption obligations with life insurance proceeds.[xxix]  Further, the Chamber of Commerce attacks the IRS’s efforts to maximize tax liability, stating that it has consistently shifted its position through litigation of this issue rather than creating a valid rule.[xxx]

IV. So what, who cares?

With the cards on the table, the Supreme Court must now decide whether the life insurance proceeds used for redemption increase the value of a corporation for estate tax purposes.  If the Supreme Court sides with the IRS, closely held corporations may cease funding their redemption obligations with life insurance policies altogether—and instead elect to liquidate their core asset and diminish their overall productivity to avoid increasing their valuations for estate tax purposes.[xxxi]  It is now up to the Supreme Court to decide whether such an undesirable result is truly the purpose of estate taxation.


[i] William Shakespeare, Hamlet act. 1, sc. 5, l. 9–10 (Ghost).

[ii] Brief for Petitioner at 2–3, Connelly v. United States, No. 23-146 (U.S. Jan. 24, 2024).

[iii] Connelly v. United States, 70 F.4th 412, 421 (8th Cir.), cert. granted, No. 23-146, 2023 WL 8605743, at *1 (U.S. Dec. 13, 2023).

[iv] 428 F.3d 1338, 1346 (11th Cir. 2005).

[v] Connelly, 70 F.4th at 414.

[vi] Id.

[vii] Id.

[viii] Id.

[ix] Id. at 414–15.

[x] Id. at 415, 420–21.

[xi] See 26 U.S.C. § 2001(a).

[xii] See 26 U.S.C. §§ 2031(a), 2033.

[xiii] See 26 U.S.C. §§ 2001, 2051.

[xiv] See 26 C.F.R. § 20.2031-2 (stating that the value of a stock is the fair market value of said stock); Estate of Bright v. United States, 658 F.2d 999, 1006 (5th Cir. 1981) (“[T]he valuation is to be made as of the moment of death and is to be measured by the interest that passes.”).

[xv] 26 U.S.C. § 2703(a).

[xvi] 26 U.S.C. § 2703(b).

[xvii] Connelly v. United States, 70 F.4th 412, 417–18 (8th Cir.), cert. granted, No. 23-146, 2023 WL 8605743, at *1 (U.S. Dec. 13, 2023).

[xviii] See 26 C.F.R. § 20.2031-1(b).

[xix] See 26 C.F.R. §§ 20.2031-2(a), 20.2031-2(f)(2).

[xx] Brief for Respondent at 10, Connelly v. United States, No. 23-146 (U.S. Oct. 30, 2023).

[xxi] Id.

[xxii] Id. at 11.

[xxiii] Id. at 12.

[xxiv] Brief for Petitioner at 20–21, Connelly v. United States, No. 23-146 (U.S. Jan. 24, 2024).

[xxv] Id. at 21.

[xxvi] Id.

[xxvii] Id. at 23–24.

[xxviii] Brief for the Chamber of Commerce of The United States of America et al. as Amici Curiae Supporting Petitioners, No. 23-146 (U.S. Jan. 31, 2024).

[xxix] Id.

[xxx] Id.

[xxxi] Id.


Will Coltzer

The Supreme Court is set to determine whether the government can regulate the way social media platforms (“Platforms”) like X,[1] Facebook, and YouTube moderate third-party content.[2] Although social media has become ubiquitous and has been described as the modern “public forum,”[3] there remain serious questions about the authority of the government to require private entities to host certain third-party content. Must people rely on Elon Musk and Mark Zuckerberg—two of the wealthiest people in the world—to ensure “free speech around the globe”?[4]

The Freedom of Speech is one of the most essential tenants of American democracy, yet that right is not absolute.[5] The First Amendment prohibits States from passing laws that “abridg[e] the Freedom of Speech.”[6] Thus, because Platforms are private businesses, individuals cannot use the First Amendment to pursue recourse against censorship on a private platform.[7] Instead, States have attempted to enforce the ideals of free speech by regulating Platforms content moderation policies.[8] The question remains whether this regulation infringes the Platforms own right to control its “speech.”

On February 26, 2024, the Court will hear oral arguments to address these questions in Moody v. NetChoice[9] and NetChoice v. Paxton.[10] In 2021, Texas and Florida passed laws that prevented large Platforms from censuring third-party created content.[11] The proponents of these laws argue Platforms “have unfairly censored” and  “shadow banned” users based on political speech‚— particularly conservative speech.[12] In response, NetChoice, a trade association that represents large technology businesses including Meta,[13] filed actions in the Northern District of Florida and the Western District of Texas seeking preliminary injunctions against the State’s regulation of Platforms.[14]

On appeal, the Eleventh and Fifth Circuit split on the key constitutional questions. Now, the two main issues before the Court are: (1) whether Platform’s moderation of content is considered “speech” for First Amendment analysis, and (2) whether Platforms are “common carriers” who hold themselves open to the public.[15] This article will address both issues in turn, concluding that the Court should uphold the States regulations under the common carrier doctrine.

  1. The “Speech” Issue

The Court must first ascertain whether Texas and Florida’s regulations affect the Platform’s “Speech.”[16] In exercising some “doctrinal gymnastics,”[17] the Eleventh Circuit found Florida’s statute violates the Platform’s First Amendment rights because it removes its “editorial judgment” over the content published on its private platform.[18] On the other hand, the Fifth Circuit found the Texas statute “does not regulate the Platform’s speech at all; it protects other people’s speech and regulates the Platform’s conduct.”[19]

These conflicting interpretations derive from a complex body of case law that has attempted to apply the same First Amendment principles to vastly different mediums of communication.[20] The Court is tasked with comparing social media to the mediums in four major cases: Miami Herald Pub. Co. v. Tornillo,[21] Hurley v. Irish-Am. Gay, Lesbian & Bisexual Grp. of Bos.,[22] PruneYard Shopping Center v. Robbins,[23] and Rumsfeld v. Forum for Acad. & Inst. Rts, Inc. (“FAIR”).[24] These cases establish two lines of precedent. 

  1. Editorial Judgments

The first line of precedent, which derives from Miami Herald and Hurley, establishes the right of publishers to exercise “editorial judgment” over the content they publish.[25] In Miami Herald the Court held that a newspaper’s “choice of material” and the “treatment of public issues and public officials—whether fair or unfair—constitute the exercise of editorial control and judgment”  protected by the First Amendment.[26] Most recently, the Court extended the editorial-judgment principle in Hurley.[27] There, the Court rejected a Massachusetts public accommodation statute because it infringed on the parade organizer’s First Amendment right to control the message of the parade.[28]

Together, these editorial judgment cases can be read two ways. First, these cases may establish a private entity’s decisions about disseminating third-party content are “editorial judgments protected by the First Amendment,” as the Eleventh Circuit found.[29] Alternatively, editorial judgments may be merely a factor rather than a “freestanding category of protected expression,” as the Fifth Circuit found.[30]  The first reading is more persuasive; the decision to accept or reject third-party content creates a message that a reasonable user would perceive. A private speaker “who chooses to speak may also decide ‘what not to say’ and ‘tailor’ the content of his message as he sees fit.”[31] The message need not be substantially tailored.[32] Before evaluating the first issue here, these editorial judgment cases must be placed in contrast to the “host speech” cases.

  1. Hosting Speech

The second line of precedent, which derives from PruneYard and FAIR, establishes the government may sometimes compel private actors to “host other’s speech.”[33] In PruneYard, the Court affirmed a state court’s decision that required a privately owned shopping mall to allow members of the public to circulate pamphlets on its property.[34]Importantly, the mall owner did not allege this circulation affected the owner’s autonomy to speak.[35] Extending PruneYard, the Court in FAIR unanimously upheld a federal statute—the Solomon Amendment—that required law schools to allow military recruiters the same access to campuses as other employers.[36] The Court distinguished FAIR from the editorial judgment cases by noting “the schools are not speaking when they host interviews and recruiting receptions.”[37] Together, these cases apply to a narrow set of facts where “hosting” third-party speech does not interfere with the owner’s right to speak.[38]

How will the Court decide the “Speech” issue?

The Court is likely to find Platforms have First Amendment protections under the editorial judgment line of cases. Platforms require terms and conditions, remove content based on their guidelines, and are in the business of curating certain edited experiences.[39] Algorithms curate content for users based on past activity.[40] The fact this is accomplished by an algorithm does not change the constitutional analysis.[41] Because Platforms are in the business of curating a tailored experience and they exercise substantial control over the content published, the Court will likely find social media more analogous to the newspaper publisher in Miami Herald than the law school in FAIR. Furthermore, the very justification for States passing these statutes in Texas and Florida was the alleged threat of a leftist agenda in BigTech against conservative speech.[42] Overall, social media companies should still retain the First Amendment protection over third-party speech published on their platform. However, social media platforms that uniquely hold themselves out as public forums may still be vulnerable to public accommodation laws under the common carrier doctrine.

  1. Common Carrier Issue

The State has an alternative argument that is gaining steam among key Supreme Court Justices: the “common carrier” doctrine.[43] This common law doctrine allows States to pass public accommodation laws that regulate businesses that hold themselves open to the public, even if that regulation affects the private actor’s speech.[44] The doctrine derives from English common law and was incorporated early on into the Court’s analysis of the original meaning of “Freedom of Speech.”[45]

The Supreme Court’s recent decision in 303 Creative v. Elenis[46] illuminates the doctrine’s potential application to online platforms. In 303 Creative, the Court held a Colorado statute that required a private website to accommodate certain messages was an unconstitutional infringement on the private website’s Freedom of Speech because the website did not have “monopoly power” over a public utility.[47] Importantly, the three dissenting Justices critiqued the majority for requiring “monopoly power,” which may signal a lower threshold for upholding public accommodation laws among the liberal wing of the Court.[48] Still, the Court has not addressed the unique application of the doctrine to social media, which is likely distinguishable from the small website in 303 Creative..

The common carrier doctrine is the State’s best argument for upholding Texas and Florida’s regulations for three reasons. First, several key justices have signaled support for the theory.[49] Second, it is the best tool to align our modern understanding of social media with the original meaning of the Constitution while leaving needed room to apply the same legal principles to past and future technology. Finally, using the monopoly power concept espoused in 303 Creative, the Court could distinguish large social media companies that hold themselves out as “public forums” from other websites that do not receive the liability benefits of this common carrier designation.[50] Social media companies are not liable for the content of third parties under Section 230.[51] Because these Platforms receive the legal benefit of being a common carrier by avoiding liability, States should have the power to ensure the platforms meet constitutionally permissive public accommodations laws.[52] You cannot have your cake and eat it too: either social media businesses open their Platforms to the public, like a restaurant, or they close their doors and should be liable for the third-party content circulated, like a newspaper publisher.

  1. Conclusion

      In short, the Court should uphold the regulations in Moody and Paxton to promote public discourse. The Court must reconcile competing precedents and use century-old doctrines to evaluate our First Amendment rights on social media.[53] If social media is to remain a “public square,” [54] the Court should ensure these businesses are subject to some legal accountability. The State’s best argument is perhaps the most intuitive: the First Amendment should not be morphed into a tool for upholding censorship of political speech on the modern equivalent of the public square.[55] The Court should recognize the unique way social media affects modern discourse and use these flexible legal standards, especially the common carrier doctrine, to uphold the ideals of free speech.


[1] Twitter was renamed to X in the summer of 2023. See Ryan Mac & Tiffany Hsu, From Twitter to X: Elon Musk Begins Erasing an Iconic Internet Brand, N.Y. TIMES (July 24, 2023), https://www.nytimes.com/2023/07/24/technology/twitter-x-elon-musk.html#:~:text=Late%20on%20Sunday%2C%20Elon%20Musk,letter%20of%20the%20Latin%20alphabet.

[2] NetChoice, L.L.C. v. Paxton, 49 F.4th 439, 447 (5th Cir. 2022), cert. granted in part sub nom. Netchoice, LLC v. Paxton, 216 L. Ed. 2d 1313 (Sept. 29, 2023) (hereinafter “Paxton”); NetChoice, LLC v. Att’y Gen., Fla., 34 F.4th 1196, 1212 (11th Cir. 2022), cert. granted in part sub nom. Moody v. Netchoice, LLC, 216 L. Ed. 2d 1313 (Sept. 29, 2023), and cert. denied sub nom. NetChoice, LLC v. Moody, 144 S. Ct. 69 (2023) (hereinafter “Moody”)..

[3] Packingham v. North Carolina, 582 U.S. 98, 107108 (2017).

[4] Billy Perrigo, ‘The Idea Exposes His Naiveté.’ Twitter Employees On Why Elon Musk Is Wrong About Free Speech, Time (Apr. 14, 2022, 2:04 PM), https://time.com/6167099/twitter-employees-elon-musk-free-speech/ (noting that Musk claimed his reason for purchasing Twitter was to spread free speech in an SEC filing report).

[5] Gitlow v. People of State of New York, 268 U.S. 652, 666 (1925) (“It is a fundamental principle, long established, that the freedom of speech and of the press which is secured by the Constitution, does not confer an absolute right to speak or publish, without responsibility[.]”); Schenck v. United States, 249 U.S. 47, 52 (1919) (“The most stringent protection of free speech would not protect a man in falsely shouting fire in a theatre and causing a panic.”).

[6] U.S. Const. amend. I (“Congress shall make no law . . . prohibiting the free exercise thereof; or abriding the Freedom of Speech, or of the press.”); Gitlow, 268 U.S. at 666 (incorporating the Freedom of Speech against the States through the Due Process Clause of the Fourteenth Amendment).

[7] Grace Slicklen,  For Freedom or Full of It? State Attempts to Silence Social Media, 78

U. Miami L. Rev. 297, 319–23 (2023); see also Manhattan Cmty. Access Corp. v. Halleck, 139 S. Ct. 1921, 1926 (2019) (noting that the Freedom of Speech is a shield that “constrains governmental actors and protects private actors”).

[8] See S.B. 7072, 123rd Reg. Sess. (Fla. 2021); H.B. 20, 87th Leg. Sess. § 1201.002(a) (Tex. 2021).

[9] Supreme Court Docket for NetChoice v. Moody, Supreme Court, https://www.supremecourt.gov/docket/docketfiles/html/public/22-277.html (last visited Jan. 21, 2023)

[10] Supreme Court Docket for NetChoice v. Paxton, Supreme Court, https://www.supremecourt.gov/docket/docketfiles/html/public/22-555.html (last visited Jan. 21, 2023)

[11] See S.B. 7072, 123rd Reg. Sess. (Fla. 2021); H.B. 20, 87th Leg. Sess. § 1201.002(a) (Tex. 2021).

[12] Moody, 34 F.4th at 1205.

[13] Slicklen, supra note 7 at 307.

[14] NetChoice, LLC v. Moody, 546 F. Supp. 3d 1082, 1096 (N.D. Fla. 2021) (finding Florida’s legislation “is plainly content-based and subject to strict scrutiny . . . [which] [t]he legislation does not survive”); NetChoice LLC v. Moody, 546 F. Supp. 3d 1092, 1100–01 (W.D. Tex. 2021) (granting a preliminary injunction against the State enforcement of Texas legislation, but finding the constitutional question a close call).

[15] Moody, 34 F.4th at 1210.

[16]Id. at 1209 (“In assessing whether the Act likely violates the First Amendment, we must initially consider whether it triggers First Amendment scrutiny in the first place—i.e., whether it regulates ‘speech’ within the meaning of the Amendment at all. In other words, we must determine whether social-media platforms engage in First Amendment-protected activity.” (citations omitted)).

[17] Paxton, 49 F.4th at 455 (rejecting the “Platforms’ efforts to reframe their censorship as speech” because “no amount of doctrinal gymnastics can turn the First Amendment’s protections for free speech into protections for free censoring”).

[18] Moody, 34 F.4th at 1213–14 (“Social-media platforms exercise editorial judgment that is inherently expressive.”).

[19] Paxton, 49 F.4th at 448.

[20] Brown v. Ent. Merchants Ass’n, 564 U.S. 786, 790 (2011) (“[W]hatever the challenges of applying the Constitution to ever-advancing technology, ‘the basic principles of freedom of speech and the press, like the First Amendment’s command, do not vary’ when a new and different medium for communication appears.”).

[21] 418 U.S. 241 (1974).

[22] 515 U.S. 557 (1995).

[23] 447 U.S. 74 (1980).

[24] 547 U.S. 47 (2006).

[25] Moody, 34 F.4th at 1210–1211.

[26] Miami Herald, 418 U.S. at 258.

[27] Id.; see Moody, 34 F.4th at 1211 (describing the extension of Miami Herald’s editorial judgment principle to several subsequent Supreme Court decisions); Pac. Gas & Elec. Co. v. Pub. Utilities Comm’n of California, 475 U.S. 1, 9–12 (1986) (plurality opinion); Turner Broad. Sys., Inc. v. F.C.C., 512 U.S. 622, 636 (1994).

[28] Hurley, 515 U.S. at 570–75 (noting that the choice “not to propound a particular point of view” was a form of expressive speech that was “presumed to lie beyond the government’s power to control”).

[29] Moody, 34 F.4th at 1210–12.

[30] Paxton, 49 F.4th at 463.

[31] Hurley, 515 U.S. at 576.

[32] See Id. at 574–75 (finding parade organizer exercised editorial control over its message by rejecting a “particular point of view” even though they generally did not provide “considered judgment” for most forms of content).

[33] Paxton, 49 F.4th at 462.

[34] PruneYard Shopping Center v. Robbins, 477 U.S. 74, 76–77 (1980).

[35] Moody, 34 F.4th at 1215 (noting that the PruneYard decision was narrowed significantly by Pacific Gas and Hurley and arguing that “PruneYard is inapposite” to social-media content); Hurley, 515 U.S. at 580 (“The principle of speaker’s autonomy was simply not threatened in [PruneYard].”).

[36] FAIR, 547 U.S. at 70.

[37] Id. at 56, 60, 64.

[38] 303 Creative LLC v. Elenis, 600 U.S. 570, 588–89 (2023) (noting that the key factor in Hurley and other editorial-judgment cases was the regulation “affect[ed] their message”).

[39] See Moody, 34 F.4th at 1204–05 (noting that “social-media platforms aren’t ‘dumb pipes,’” and that “the platforms invest significant time and resources into edition and organizing—the best word, we think is curating—users’ posts into collections of content that they then disseminate to others”).

[40] Id.

[41] Slicklen, supra note 7 at 332.

[42] Moody, 34 F.4th at 1203.

[43] See NetChoice, L.L.C. v. Paxton, 142 S. Ct. 1715, 1716 (2022) (Alito, J., joined by Thomas and Gorsuch, JJ., dissenting from grant of application to vacate stay) (noting that the issue of whether social media platforms are common carriers raises “issues of great importance that will plainly merit this Court’s review”); see also Biden v. Knight First Amend. Inst., 141 S. Ct. 1220, 1224 (2021) (Thomas, J., concurring) (“There is a fair argument that some digital platforms are sufficiently akin to common carriers or places of accommodation to be regulated in this manner.”); Paxton, 49 F.4th at 493 (“The Eleventh Circuit quickly dismissed the common carrier doctrine without addressing its history or propounding a test for how it should apply.”).

[44]  For a more in-depth discussion of the common carrier doctrine, see Eugene Volokh, Treating Social Media Platforms Like Common Carriers?; 1 J. Free Speech L. 377 (2021); Ashutosh Bhagwat, Why Social Media Platforms Are Not Common Carriers, 2 J J. Free Speech L. 127 (2022); Christopher S. Yoo, The First Amendment, Common Carriers, and Public Accommodations:  Net Neutrality, Digital Platforms, and Privacy, 1 J. Free Speech L. 463 (2021).

[45] Paxton, 49 F.4th at 469–73 (describing the historical root of common carrier and its application prior to the 20th century); Adam Candeub, Bargaining for Free Speech: Common Carriage, Network Neutrality, and Section 230, 22 Yale J.L. & Tech. 391, 401–402 (2020).

[46] 600 U.S. 570 (2023).

[47] Id. at 590–92.

[48] Id. at 610–611 (Sotomayor, J., joined by Kagan and Jackson, JJ., dissenting).

[49] NetChoice, L.L.C. v. Paxton, 142 S. Ct. 1715, 1716 (2022) (Alito, J., joined by Thomas and Gorsuch, JJ., dissenting from grant of application to vacate stay).

[50] See Candeub, supra note 42 at 403–413 (noting that the “history of telecommunications regulation” demonstrates the common carriage doctrine was a “regulatory deal” where the carrier gets “special liability breaks in return for the carrier refraining from using some market power to further some public good”); Id. at 418–422 (“Section 230 can be seen as a common carriage-type deal—but without the government demanding much in return from internet platforms)

[51] Communications Decency Act of 1996, 47 U.S.C. § 230 (2018); Candeub, supra note 42 at 395 (“[S]ection 230 exempts internet platforms from liability arising from third-party speech.”).

[52] Id. at 429–433.

[53] Biden v. Knight First Amend. Inst. At Columbia Univ., 141 S. Ct. 1220, 1221 (2021) (“Today’s digital platforms provide avenues for historically unprecedented amounts of speech, including speech by government actors. Also unprecedented, however, is the concentrated control of so much speech in the hands of a few private parties. We will soon have no choice but to address how our legal doctrines apply to highly concentrated, privately owned information infrastructure such as digital platforms.”).

[54] Packingham, 582 U.S. at 107-108 (2017) (“[Social media platforms] are the principal sources for knowing current events, checking ads for employment, speaking and listening in the modern public square, and otherwise exploring the vast realms of human thought and knowledge.” (emphasis added)).

[55] Paxton, 49 F.4th at 445 (“[W]e reject the idea that corporations have a freewheeling First Amendment right to censor what people say.”). Id. at 455 (“We reject the Platforms efforts to reframe their censorship as speech. . . . [N]o amount of doctrinal gymnastics can turn the First Amendment’s protection for free speech into protections for free censoring.”)


Mark Lee

This June, in Mallory v. Norfolk Southern Railway Company,[1] the Supreme Court held that a Pennsylvania statutory scheme which requires out-of-state corporations to “consent” to general personal jurisdiction to do business in the state was consistent with Due Process.[2]  This decision allows Robert Mallory, a Virginia resident, to bring a lawsuit in Pennsylvania state court against his former employer, Norfolk Southern, a company incorporated and headquartered in Virginia, for injuries allegedly sustained in the course of his employment at Norfolk Southern facilities in Ohio and Virginia.[3]  While the majority insisted that this decision is consistent with its precedent,[4] it has the potential to displace the Court’s existing corporate personal jurisdiction jurisprudence and green light a forum shopping spree.  But it is nevertheless unclear whether the Mallory decision can withstand a challenge under the Dormant Commerce Clause.

A Brief Overview of Corporate Personal Jurisdiction

The early conception of personal jurisdiction was set forth in the Court’s 1878 decision in Pennoyer v. Neff,[5] where the Court held that a state could exercise personal jurisdiction only over persons or property located within its territory.[6]  With these territorial limitations in mind, state statutes sometimes required corporations to appoint an in-state agent to receive service of process which gave the corporate entity a “presence” in the state.[7]  Although it was typically considered to be an unreasonable burden to require companies to defend against causes of action having no connection to the forum,[8] this was not always the case.[9]  As the 20th century progressed, the Court’s decision in International Shoe Co. v. Washington[10] largely supplanted territorial notions of personal jurisdiction with a contacts-based test.[11]  To exercise personal jurisdiction consistent with the Due Process Clause, the Court required that a plaintiff’s claims arose out of the defendant’s activities within the state or that the defendant had taken other such acts to render the corporation liable to suit.[12]  Scholars later labeled these bases as specific personal jurisdiction and general personal jurisdiction.[13]  Specific and general personal jurisdiction comport with due process because the defendant’s contacts with the forum make defending a suit consistent with “traditional notions of fair play and substantial justice.”[14]  While there have been some interesting developments in specific jurisdiction over the years,[15] the focus of Mallory was general personal jurisdiction.[16]  The Court has previously held that to exercise general personal jurisdiction, a corporate defendant’s contacts must be so extensive that the defendant is “essentially at home in the forum [s]tate.”[17]  A corporation is considered to be “at home” wherever it is incorporated, has its principal place of business,[18] or is engaged in such substantial operations as to render it at home in that state.[19]

The Court’s Decision in Mallory v. Norfolk Southern Ry. Co.

 In Mallory, the Court purportedly recognized another basis for the exercise of general jurisdiction, “consent”  by registering to do business within a state.[20]  Under Pennsylvania law, out-of-state corporations who register to do business in the Commonwealth contemporaneously agree to defend any cause of action against them.[21]  The majority concluded that since the Court’s 1917 decision in Pennsylvania Fire Ins. Co. of Philadelphia v. Gold Issue Mining & Milling Co.,[22] that a state can, consistent with the Constitution, require a company to “consent” to personal jurisdiction as a requirement of doing business in the forum.[23]  In Pennsylvania Fire, the Court upheld a Missouri law which required out-of-state insurance companies to appoint a state official as the company’s agent to receive service of process and accept service on that official as valid in any suit.[24]  Relying on Pennsylvania Fire, the Court made short work of Norfolk Southern’s arguments and ruled in Mallory’s Favor.

The Court’s decision in Mallory was only supported by a majority of the justices, as Justice Coney Barrett joined by Chief Justice Roberts, Justice Kagan, and Justice Kavanaugh dissented.  In her dissent, Justice Coney Barrett took issue with the majority’s acceptance of corporate registration as being synonymous with consent.[25]  Justice Coney Barret contended that this view of consent effectively permits a state to “defeat the Due Process Clause by adopting a law at odds with the Due Process Clause.”[26]  Furthermore, she argued that Pennsylvania’s assertion of general jurisdiction over every company doing business within its borders implicates federalist interests, as Pennsylvania is intruding on the prerogative of other states to adjudicate the rights of its citizens and enforce its laws.[27]  Finally, Justice Coney Barrett contended that Pennsylvania Fire and other cases that utilize the territorial approach to personal jurisdiction and the legal fictions of “implied consent” and “corporate presence” were overruled by the Court’s decision in International Shoe.[28]

Potential Effects of & Challenges to the Mallory Decision

While the effects of the Court’s decision in Mallory are not yet clear, the most obvious consequence is that other states will enact statutory schemes subjecting corporations who do business in-state to general personal jurisdiction in their courts.  It seems likely that state legislatures would be willing to enact legislation that has the potential to bring in extra revenue to their courts and attorneys.  If this does become prevalent, national corporations will likely face increased litigation in states that have preferential choice-of-law provisions for plaintiffs, and personal jurisdiction may become the next preferred tool for forum shopping.  Furthermore, if corporations are subject to general jurisdiction in several states by virtue of “consenting” by registering to do business in the forum, the concepts of general and specific jurisdiction set forth in International Shoe and developed by its progenies may become largely unnecessary.

While the Court’s decision is seemingly final regarding personal jurisdiction, Justice Alito’s concurrence raised that this decision may run afoul of the dormant Commerce Clause which “prohibits state laws that unduly restrict interstate commerce.”[29]  Under applicable precedent, “once a state law is shown to discriminate against interstate commerce ‘either on its face or in practical effect,’ the burden falls on the State to demonstrate both that the statute ‘serves a legitimate local purpose,’ and that this purpose could not be served as well by available nondiscriminatory means.”[30]  Justice Alito noted that Pennsylvania’s registration statute likely discriminates against out-of-state companies or imposes a significant burden on interstate commerce and was skeptical of a state’s interest in adjudicating claims by non-residents harmed by out-of-state actors through conduct outside the state.[31]  Nevertheless, a successful challenge under the dormant Commerce Clause faces long odds in light of the Court’s decision in National Pork Producers Council v. Ross,[32] which displayed the current Court’s division on breadth of the dormant Commerce Clause and its general reluctance to use it to invalidate state law.[33]  Therefore, while the Court’s decision in Mallory has the potential to have significant effects on corporate personal jurisdiction, it seems likely that the Court has not yet said its last word.  So, is the International Shoe on the other foot? We will just have to wait and see.


[1] 600 U.S. 122 (2023).

[2] Id. at 146.

[3] Id. at 126.

[4] Id. at 146 (“[U]nder our precedents a variety of ‘actions of the defendant’ that may seem like technicalities nonetheless can ‘amount to a legal submission to the jurisdiction of a court.’” (quoting Ins. Corp. of Ir. v. Compagnie des Bauxites de Guinee, 456 U.S. 694, 704–705 (1982))).

[5] 95 U.S. 714 (1878).

[6] Id. at 722.

[7] See Charles W. “Rocky” Rhodes, Nineteenth Century Personal Jurisdiction Doctrine in a Twenty-First Century World, 64 Fla. L. Rev. 387, 436 (2012) (“To alleviate the injustice from a corporation’s avoidance of its obligations where they arose, states began to require, as a statutory condition for the corporation to do business in the state, that the corporation register with state authorities and appoint an agent to accept service of process in cases related to its forum activities.”).

[8] See Simon v. S. Ry. Co., 243 U.S. 93, 130 (1915) (“statutory consent of a foreign corporation to be sued does not extend to causes of action arising in other states.”).

[9] See Penn. Fire Ins. Co. of Phila. v. Gold Issue Mining & Milling Co., 243 U.S. 93 (1917).

[10] 326 U.S. 310 (1945).

[11] In Burnham v. Superior Court of Cal., 495 U.S. 604 (1990), the Court upheld transient or “tag” jurisdiction as being consistent with Due Process but noted that consent and presence were purely fictional, and that International Shoe cast those fictions aside.

[12] International Shoe, 326 U.S. at 317–318.

[13] See Arthur T. von Mehren and Donald T. Trautman, Jurisdiction to Adjudicate: A Suggested Analysis, 79 Harv. L. Rev. 1121, 1136–37 (1966).

[14] International Shoe, 326 U.S. at 316 (quoting Milliken v. Meyer, 311 U.S. 457, 463 (1940)).

[15] For a discussion about developments in specific personal jurisdiction see generally Anthony Petrosino, Rationalizing Relatedness: Understanding Personal Jurisdiction’s Relatedness Prong in the Wake of Bristol-Myers Squibb and Ford Motor Co., 91 Fordham L. Rev. 1563, 1563 (2023).

[16] Mallory v. Norfolk S. Ry. Co., 600 U.S. 122, 124 (2023).

[17] Goodyear Dunlop Tires Operations, S.A. v. Brown, 564 U.S. 915, 919 (2011).

[18] Daimler AG v. Bauman, 571 U.S. 117, 137 (2014).

[19] Id. at 139 n.19.

[20] See Mallory, 600 U.S at 135–136.

[21] 42 Pa. Cons. Stat. § 5301(a)(2)(i), (b).

[22] 243 U.S. 93 (1917).

[23] Id. at 96.

[24] Id. at 96–97.

[25] Mallory, 600 U.S at 167.

[26] Id. at 168.

[27] Id. at 169–170.

[28] Id. at 177.

[29] Id. at 157–63.

[30] Maine v. Taylor, 477 U.S. 131, 138 (1986).

[31] Mallory, 600 U.S. at 161–63.

[32] 598 U.S. 356.

[33] Ross, 598 U.S. 356 (affirming dismissal for failure to state a claim on a dormant Commerce Clause challenge of a California law barring the sale of pork from pigs confined in a cruel manner).

Noah McDuff

          I.      An Introduction to Chevron Deference

The Supreme Court’s landmark decision in Chevron v. National Resources Defense Council[1] has served as a pillar in the administrative law community for almost forty years[2] and remains one of the most cited high court decisions in history.[3] In Chevron, the Court established the Chevron doctrine, a two-step analysis for judicial “revie[w] [of] an agency’s construction of the statute which it administers.”[4]

First, the court must identify whether Congress has directly addressed the issue in question (i.e., whether the statute is ambiguous).[5] If the statute specifically addresses the issue, such that congressional intent is evident, the Chevron analysis ends there, and both the court and the administrative agency must give effect to Congress’ intent.[6] However, if the statute is silent on the issue, the court will proceed to step two of the analysis to determine whether the agency’s interpretation is reasonable.[7] If the court finds that the agency’s interpretation is reasonable, the court will not impose its own reading of the statute, but will defer to the agency’s interpretation.[8] Thus, the Chevron doctrine grants federal administrative agencies substantial judicial deference if (1) a statutory provision is ambiguous, and (2) the federal agency’s interpretation of the ambiguity is reasonable.[9]  

However, in recent years, the Chevron doctrine has been the target of attacks.[10] Critics, including prominent judges and scholars, fear that the doctrine places legislative and judicial power in the hands of unelected bureaucrats, whose motivation stems from economic gain, as opposed to sovereign representation.[11] Chevron supporters argue that administrative agencies are better positioned to address the technical aspects of federal law,[12] and revoking such administrative power would negatively impact important federal policies and programs.[13]

          II.      Chevron Lite: Deference In Its Modern Form

While intense debate swirls regarding its future, the modern Doctrine is more bark than bite.[14] In recent years, when faced with the task of applying Chevron, the Supreme Court has diminished[15] or outright ignored the Chevron doctrine.[16] For lower courts, Chevron is still binding precedent, and the courts continue to apply it as intended.[17] Regardless of its perceived importance in the world of administrative law, the fact that lower courts’ application of the Doctrine varies considerably from the Supreme Court’s reflects the Court’s struggle to identify the Doctrine’s foundations and to specify its reach.[18] Thus, Supreme Court review of Chevron will prove vital to the continued efficient operation of courts on administrative law matters.

           III.      Loper Bright Enterprises

Loper Bright Enterprises v. Raimondo[19] presents the Court with a much-needed opportunity to resolve uncertainty surrounding Chevron. The case is scheduled to be addressed during the Supreme Court’s October 2023 term,[20] and a decision is expected during the first half of 2024.[21]

In 2020, New Jersey-based fishing company, Loper Bright Enterprises, and other Atlantic herring fishermen (collectively, “Loper Plaintiffs”) filed suit in the U.S. District Court for the District of Columbia.[22] The Loper Plaintiffs challenged a final rule and implementing regulations promulgated by the National Marine Fisheries Service (“NMFS”)  that established processes for industry-funded monitoring in Atlantic herring fisheries.[23] The final rule was promulgated under the Magnuson-Stevens Fishery Conservation and Management Act of 1976 (“MSA”), which was enacted to conserve domestic fisheries and other “aquatic resources.”[24] Under the MSA, NMFS was tasked with promulgating policies consistent with the MSA.[25]

The Loper Plaintiffs alleged that the rule promulgated by the NMFS violated both statutory and constitutional protections.[26] Specifically, the Loper Plaintiffs expressed concern for the economic costs such monitoring would place on the herring fleet.[27] Applying the Chevron doctrine, the district court ruled against the Loper Plaintiffs,[28] reasoning that “[e]ven if Plaintiffs’ arguments were enough to raise an ambiguity in the statutory text, the Court . . . would conclude that [NMFS’s] interpretation is a reasonable reading of the MSA.”[29]

The Loper Plaintiffs then appealed to the United States Court of Appeals for the D.C. Circuit.[30] In a divided panel, the appellate court deferred to the administrative agency’s interpretation of the MSA under the Chevron doctrine.[31] The Circuit’s opinion, authored by Judge Rogers, reasoned that the MSA does not provide a “wholly unambiguous answer . . . as to whether the [NMFS] may require industry-funded monitoring” and that the NMFS’s interpretation of the MSA to allow such monitoring was reasonable.[32] In doing so, the Court of Appeals set the stage for the Supreme Court’s Chevron showdown.

In its petition for writ of certiorari to the United States Supreme Court, the Loper Plaintiffs asked the Court to answer two questions: “(1) [w]hether, under a proper application of Chevron, the MSA implicitly grants NMFS the power to force domestic vessels to pay the salaries of the monitors they must carry,” and “(2) [w]hether the Court should overrule Chevron or at least clarify the statutory silence concerning controversial powers expressly but narrowly granted elsewhere in the statute does not constitute an ambiguity requiring deference to the agency.”[33] In May 2023, the Supreme Court granted certiorari to the Loper Plaintiffs as to only the latter question.[34] The Court’s grant of certiorari resulted in a plethora of amicus curiae briefs filed in support of both the petitioners and respondents.[35] Interested parties include the American Cancer Society, Muscular Dystrophy Association, American Federation of Labor and Congress of Industrial Organizations, American Association for the Advancement of Science, Main Street Alliance, American Sustainable Business Council, National Resources Defense Council, and many others.[36]

          IV.      Deference Moving Forward

In a year filled with attacks on administrative law powers,[37] as the current Court seeks to narrow the scope of federal administrative authority,[38] Chevron’s future appears bleak.[39]

Regardless of the clamor associated with the Court’s upcoming decision, overturning Chevron will likely not spell the downfall of  administrative law.[40] To echo the sentiments of many scholars, judges, and other legal professionals, Chevron, in its original form, has been defunct for a number of years.[41] Further, an aggressive reading and application of Chevron runs afoul of the separation of powers doctrine in the Constitution.[42] That being said, courts can very likely still comply with the Constitution and resolve statutory ambiguities in situations that would give rise to Chevron deference by utilizing traditional means of interpretation. In the words of Justice Scalia, “Chevron is . . . not a declaration that, when statutory construction becomes difficult, we will throw up our hands and let regulatory agencies do it for us.”[43] After all, “Chevron only applies when, after exhausting all of the tools of statutory construction, the statute remains ambiguous.”[44] Further, it has long been understood that “[t]hose who ratified the Constitution knew that legal texts [including federal statutes] would often contain ambiguities,” and federal “judicial power was understood to include the power to resolve these ambiguities over time.”[45]

Therefore, courts have long been understood to have both the constitutional power and the proper tools and resources to address statutory ambiguities through traditional statutory interpretation. Thus, in Loper Bright Enterprises v. Raimondo, the Court should strike down Chevron, thereby preserving principles of federal separation of powers, and proceed with traditional means of statutory interpretation.

[1] 467 U.S. 837 (1984).

[2] See Cass R. Sunstein, Chevron as Law, 107 Geo. L. J. 1613, 1615 (2019) (stating that Chevron “has a strong claim to being the most important case in all of administrative law.”); Thomas W. Merrill, The Story of Chevron: The Making of an Accidental Landmark, 66 Admin. L. Rev. 253, 254 (2014) (explaining how Chevron “is the Supreme Court’s leading statement about the division of authority between agencies and courts in interpreting statutes.”).

[3] Kent Barnett & Christopher Walker, Chevron in the Circuit Courts, 116 Mich. L. Rev. 1 (2017) (explaining that “the decision itself is one of the most cited Supreme Court decisions of all time” and that as of 2017, it “has been cited in more than 80,000 sources“).

[4] 467 U.S. at 842.

[5] Id.

[6] Id. at 842–43.

[7] Id. at 843.

[8] Id. at 843-44.

[9] Christopher J. Walker, Attacking Auer and Chevron Deference: A Literature Review, 16  Geo. J. L. & Pub. Pol’y 103, 110 (2018) (citing Chevron, 467 U.S. at 842–43) (summarizing the holding of Chevron).

[10] See Sunstein, supra note 2, at 1615 (noting that Chevron is “under siege” and “it may not live to see the age of forty”); Nathan D. Richardson, Deference is Dead, Long Live Chevron, 73 Rutgers Univ. L. Rev. 441, 443–44 (2021) (“Moreover, Chevron appears under threat. Prominent judges and academics . . . have called for its reconsideration and possible rejection.”).

[11] See Brett M. Kavanaugh, Fixing Statutory Interpretation, 129 Harv L. Rev. 2118, 2150 (2016) (“In many ways, Chevron is nothing more than a judicially orchestrated shift of power from Congress to the Executive Branch.”); Michael W. McConnell, Kavanaugh and The “Chevron Doctrine, Stan. L. Sch. Blogs (Aug. 2, 2018), https://law.stanford.edu/2018/08/02/kavanaugh-and-the-chevron-doctrine/ (Chevron “raises the deep question of constitutional governance: whether fundamental political questions will be debated and resolved by representatives of the people, or by agencies whose loyalties almost always are ideological or economic interests.”). For a discussion of judicial criticism of Chevron, see Perez v. Mortg. Bankers Ass’n, 575 U.S. 92, 119 (2015) (Thomas, J., concurring) (“[T]he judicial power, as originally understood, requires a court to exercise its independent judgment in interpreting and expounding upon the laws.”); Michigan v. EPA, 576 U.S. 743, 762 (2015) (Thomas, J., concurring) (“Such a transfer [in authority] is in tension with Article III’s Vesting Clause, which vests the judicial power exclusively in Article III courts, not administrative agencies.”). For an overview of legislative attacks against Chevron, see Jonathan R. Siegel, The Constitutional Case for Chevron Deference, 71 Vand. L. Rev. 937, 951–52 (2018).

[12] See Jeffrey. Pojanowski, Without Deference, 81 Mo. L. Rev. 1075, 1075 (2016) (“Many jurists and scholars see it [Chevron] as a salutary and natural outgrowth of administrative legal doctrine that recognizes the necessity of agencies’ technical expertise.”); Brief for American Cancer Society et al. as Amici Curiae Supporting Respondents at 4, Loper Bright Enters. v. Raimondo, 143 S. Ct. 2429 (2023) (No. 22-451) (“The competent and stable administration of these [federal] programs depends on the deep expertise of the agencies to which Congress has assigned the responsibility.”);  Brief for Scholars of Administrative Law and the Administrative Procedure Act as Amici Curiae Supporting Respondents at 3, Loper Bright Enters., 143 S. Ct. 2429 (No. 22-451) (“Just as a court might ‘decide’ a question of law starting from a blank slate, a court equally fulfills that duty by looking to an agency’s interpretation of law and adopting it if it deems it reasonable.”).

[13] See Brief for Lawyers’ Committee for Civil Rights Under Law as Amici Curiae Supporting Respondents at 3, Loper Bright Enters., 143 S. Ct. 2429 (No. 22-451) (“In the absence of agency rulemaking that addresses points on which underlying statutes are silent or purposely broad, our society’s ability to realize the benefits of the protections in this nation’s landmark civil rights statutes would be significantly impeded.”); Brief for National Resources Defense Council as Amici Curiae Supporting Respondents at 17, Loper Bright Enters., 143 S. Ct. 2429 (No. 22-451) (“By restraining judges from imposing their policy preferences on an agency, deference also promotes legal uniformity . . . .”).

[14] See Michael Herz, Chevron is Dead; Long Live Chevron, 115 Colum. L. Rev. 1867, 1870 (2015) (“For all the clamor, attention, and citations, Chevron has had less of an impact than this attention implies.”); Richardson, supra note 10, at 443 (“But at the Supreme Court level, Chevron now lacks the power and predictability it claims to have—and may once have had—though it probably never had the influence its reputation suggests.”).

[15] See Buffington v. McDonough, 7 F.4th 1361 (Fed. Cir. 2021), cert. denied, 143 S. Ct. 14, 21 (2022) (Gorsuch, J., dissenting) (stating that an “aggressive reading of Chevron has more or less fallen into desuetude—the government rarely invokes it, and courts even more rarely rely on it”); Kavanaugh, supra note 11, at 2151 (stating that “the Supreme Court itself has been reining in Chevron in the last few years”).

[16] See Richard J. Pierce, Jr., Is Chevron Deference Still Alive?, The Regul. Rev. (Jul. 14, 2022), https://www.theregreview.org/2022/07/14/pierce-chevron-deference/ (identifying recent decisions where the Supreme Court has “simply ignored Chevron”); Am. Hosp. Ass’n v. Becerra, 142 S. Ct. 1896 (2022) (utilizing “traditional tools of statutory interpretation” without citing Chevron); Becerra v. Empire Health Found., 142 S. Ct. 2354 (2022) (agreeing with HHS’s interpretation of a statute without citing Chevron); Barnett & Walker, supra note 2, at 4 (“Scholars and commenters . . . have noticed the Court’s treatment of Chevron as a doctrine to ignore, disparage, or distinguish.”).

[17] See Barnett & Walker, supra note 2, at 32 (explaining how circuit courts applied the Chevron framework 74.80% of cases in which it could apply).

[18] Sunstein, supra note 2, at 1657 (“Since Chevron, the Court has struggled both to specify the foundations of the decision and to limit its reach.”).

[19] 45 F.4th 359 (D.C. Cir. 2022), cert. granted, 143 S. Ct. 2429 (2023) (No. 22-451).

[20] Amy Howe, Supreme Court Will Consider Major Case on Power of Federal Regulatory Agencies, SCOTUSblog (May 1, 2023, 11:54 AM), https://www.scotusblog.com/2023/05/supreme-court-will-consider-major-case-on-power-of-federal-regulatory-agencies/.

[21] Id.

[22] Complaint, Loper Bright Enters. v. Raimondo, 544 F. Supp. 3d. 82 (D.D.C. 2021) (No. 20-466).

[23]  Loper Bright Enters., 544 F. Supp. 3d at 93.

[24] Id. at 94.

[25] Id.

[26] Id. at 93–94.

[27] Id. at 96–97.

[28] Id. at 127.

[29] Id. at 107.

[30] Brief for Appellant, Loper Bright Enters., 45 F.4th 359 (D.C. Cir. 2022) (No. 20-466), 2021 WL 5357459.

[31] Loper Bright Enters., 45 F.4th at 369.

[32] Id.

[33] Petition for Writ of Certiorari at i-ii, Loper Bright Enters., 143 S. Ct. 2429 (No. 22-451).

[34] Loper Bright Enters., 143 S. Ct. 2429.

[35] See Juan-Carlos Rodriguez, Chevron Doctrine Supporters Flock to High Court in Key Case, Law360 (Sep. 22, 2023, 5:52 PM), https://www.law360.com/tax-authority/articles/1724839/chevron-doctrine-supporters-flock-to-high-court-in-key-case (detailing amicus briefs filed by various interested parties).

[36] Id.

[37] See Andrew Chung & John Kruzel, Federal Agency Powers in the Crosshairs at the US Supreme Court, Reuters (Jul. 5, 2023, 2:08 PM), https://www.reuters.com/legal/federal-agency-powers-crosshairs-us-supreme-court-2023-07-04/.

[38] Chung & Kruzel, supra note 37.

[39] See Pojanowski, supra note 12, at 1078 (“Skepticism about Chevron deference is not new, but hostile rumblings from the Supreme Court have grown in the past few Terms.”).

[40] See Pojanowski, supra note 12, at 1080 (“Abandoning Chevron may not, in fact, change the frequency and extent of judicial deference as much as Chevron’s critics hope or its supporters fear.”).

[41] See Herz, supra note 14, at 1870; Richardson, supra note 10, at 443;  Pierce, supra note 16.

[42] See City of Arlington v. FCC, 569 U.S. 290, 312–13 (2013) (Roberts, C.J., dissenting) (“Although modern administrative agencies fit most comfortably within the Executive Branch, as a practical matter, they exercise legislative power, by promulgating regulations with the force of law; executive power, by policing compliance with those regulations; and judicial power, by adjudicating enforcement actions and imposing sanctions on those found to have violated their rules.”); Michigan v. EPA, 576 U.S. 743, 762 (2015) (Thomas, J., concurring) (asserting that Chevron infringes on the Constitution’s separation of powers because it “is in tension with Article III’s Vesting Clause, which vests the judicial power exclusively in Article III courts, not administrative agencies”); Gutierrez-Brizuela v. Lynch, 834 F.3d 1142, 1149 (10th Cir. 2016) (Gorsuch, J., concurring) (stating that “Chevron . . . permit[s] executive bureaucracies to swallow huge amounts of core judicial and legislative power and concentrate federal power in a way that seems more than a little difficult to square with the Constitution of the framers’ design”); Pereira v. Sessions, 138 S. Ct. 2105, 2121 (2018) (Kennedy, J., concurring) (discussing how “[t]he proper rules for interpreting statutes and determining agency jurisdiction and substantive agency powers should accord with constitutional separation-of-powers principles and the function and province of the Judiciary”).

[43] Pauley v. Bethenergy Mines, Inc., 501 U.S. 680, 707 (1991) (Scalia, J., dissenting).

[44] Anthony Caso, Attacking Chevron: A Guide for Practitioners, 24 Chap. L. Rev. 633, 656 (2021).

[45] Perez v. Mortg. Bankers Ass’n, 575 U.S. 92, 119 (2015) (Thomas, J., concurring).

 

13 Wake Forest L. Rev. Online 42

Brandon J. Johnson[1]

Introduction

The North Carolina Supreme Court’s recent decision to reverse course on partisan gerrymandering has garnered national attention.[2] In the court’s third opinion issued in Harper v. Hall,[3] (“Harper III”) a newly elected 5-2 conservative majority of the state supreme court overruled the first opinion[4] authored by the previous 4-3 liberal majority and declared partisan gerrymandering to be a nonjusticiable political question.[5] Election law and constitutional law scholars have produced reams of content questioning how the ruling would impact the U.S. Supreme Court’s pending consideration of the state court’s prior decision in the case.[6] Many questioned whether the state court’s decision would cause the Court to dismiss the initial appeal.[7]

As it turned out, the U.S. Supreme Court’s ruling in what would be known as Moore v. Harper[8] was a significant election law case that expanded the federal judiciary’s role in regulating federal and even state elections. The Supreme Court’s opinion in the case received significant national attention and was largely greeted with a sigh of relief by many scholars and commentators who worried that the Court would adopt an extreme version of a fringe theory known as the Independent State Legislature Theory.[9] Indeed, the importance of the U.S. Supreme Court’s decision regarding the Independent State Legislature Theory has been the primary focus of the commentary surrounding Harper v. Hall and Moore v. Harper, and rightly so.[10] If the Court had adopted the most extreme version of the theory, state legislatures—including (and perhaps especially) significantly gerrymandered legislatures—would have free rein to craft election regulations that entrenched partisan advantages with no constitutional guardrails. Though the Court rejected this approach, the Moore majority left the door open for the U.S. Supreme Court to act as the final arbiter of state election practices, which by itself has caused significant consternation among election law scholars.[11]

Given the national consequences of Moore v. Harper, however, the state court decision Harper III has been largely ignored. While this oversight is understandable, an examination of the North Carolina Supreme Court’s opinion in the case yields vital insight into the ways in which state courts can hide behind a veneer of judicial independence while actually using state politics and polarization to reshape state law. This insight may yield immediate practical consequences given that partisan gerrymandering litigation is currently ongoing in approximately one-third of the states.[12]

The dissent in Harper III provides a searing indictment of the majority’s reasoning and sets forth a cogent argument explaining why the opinion is an incorrect interpretation of the North Carolina constitution. The analysis that follows in this Essay will not rehearse the persuasive criticisms leveled by the dissent. Rather, it will focus on two ways in which the majority opinion may provide insight into how state courts can use the traditional tools of judicial review to reshape a state’s political culture. After providing a brief sketch of the procedural history of Harper I, II, and III in Part I, Part II of this Essay then explores the ways in which the opinion attempts to enshrine an exceptionally narrow vision of originalism as the only acceptable method of interpreting North Carolina’s constitution. Part III criticizes the way in which the Harper III majority further entrenches an incorrect understanding of political accountability.

While the examination below is limited to the rhetoric and reasoning employed by the North Carolina Supreme Court, it should serve as a case study for how easy it can be for state courts to affect a state’s political and policy landscape without attracting much notice.

I. The Procedural Path

A quick (and by no means exhaustive) recap of the procedural history of the Harper opinions will illuminate the unusual issues created by the state court’s recent ruling and facilitate the discussion that follows. The litigation began after the North Carolina General Assembly issued a new districting map after the 2020 census.[13] Multiple parties filed suit alleging inter alia that the map employed unconstitutional partisan gerrymanders in violation of the North Carolina Constitution’s guarantee of free elections and the state’s equal protection clause.[14] In January 2022, a three-judge panel of the Wake County Superior Court ruled that partisan gerrymandering claims “presen[t] nonjusticiable, political questions” under the state constitution.[15]

Less than a month later, the state supreme court heard the case directly and reversed the lower court’s ruling.[16] The 4-3 majority in what would become known as Harper I held that partisan gerrymandering claims are justiciable and the “extreme” gerrymanders in the challenged districting map violated the state constitution’s free elections clause, equal protection clause, free speech clause, and freedom of assembly clause.[17]

While the state legislature proceeded to draft new districting maps to comply with Harper I, the litigation continued, and the U.S. Supreme Court agreed to hear a challenge to this ruling under the name Moore v. Harper.[18] The Supreme Court case garnered national attention, in part, because the petitioners advanced arguments under the Independent State Legislature Theory. The Independent State Legislature Theory posits that only the state legislature has any say in federal elections[19] because the Elections Clause of the U.S. Constitution instructs that “The Times, Places and Manner of holding Elections for Senators and Representatives shall be prescribed in each State by the Legislature thereof.”[20] Put another way, the state constitution itself places no limits on the legislature’s ability to regulate federal elections leaving state courts with no authority to interpret state constitutional provisions in order to second guess election related legislation.

But while the U.S. Supreme Court litigation proceeded, various parties challenged the second districting map that the legislature drafted in response to Harper I and the case made its way back to the state supreme court.[21] In a December 2022 opinion, now known as Harper II[22], the same 4-3 majority that issued the Harper I opinion ruled that the map for the state house was constitutionally adequate but the maps for the state senate and the federal congressional districts still contained unconstitutional partisan gerrymanders.[23]

In between oral arguments in Harper II and the issuance of the opinion, the North Carlina midterm elections occurred.[24] North Carolina’s supreme court justices are elected in partisan contests, and two of the Democratic justices who had signed on to the Harper II majority were replaced by conservative challengers.[25] As a result of this change in personnel, the new 5-2 conservative majority expressed concern that the Harper II majority had “overlooked or misapprehended” a point “of fact or law,”[26] and granted a petition for rehearing.[27]

On April 28, 2023 this newly minted majority “withdrew” Harper II and “overruled” Harper I, finding that partisan gerrymandering claims presented a nonjusticiable political question.[28] The U.S. Supreme Court then issued its opinion in Moore v. Harper on June 27, 2023.[29] The majority opinion determined that the Court still had standing to decide the initial case but affirmed the Harper I decision.[30] In doing so, the Court rejected the state defendants’ primary legal argument regarding the Elections Clause and reaffirmed that “[t]he Elections Clause does not insulate state legislatures from the ordinary exercise of state judicial review.”[31] The Court did, however, reserve for itself the right to pass judgment on whether state courts correctly interpreted questions of state election law under state constitutions,[32] a significant increase in the Court’s review of state election laws.[33]

With this procedural sketch in place, this Essay now returns to its primary focus: an examination of the warning signs advocates, policymakers, and public law scholars should glean from the North Carolina Supreme Court’s opinion in Harper III. As discussed in the introduction, the focus of this examination will not be on the merits of the majority opinion as the dissent has already done an admirable job dissecting that on its own terms.[34] Instead, the remainder of this Essay delves into the more far-reaching consequences of the opinion. Though the ramifications of the majority’s opinion are limited to North Carolina, they provide a cautionary tale for the ways in which state courts—particularly those with elected judges—can involve the judiciary in the political fortunes of the state.

II. Regressive Originalism

Perhaps the most sweeping consequence of the opinion may be the majority’s efforts to enshrine originalism (and a crabbed version of originalism, at that) as the only acceptable methodology of constitutional interpretation.[35] From the first few pages, Harper III makes this view of constitutional interpretation clear. For example, on the second page of the opinion, the majority writes: “As the courts apply the constitutional text, judicial interpretations of that text should consistently reflect what the people agreed the text meant when they adopted it.”[36] This appeal to the original public meaning[37] of the state’s constitution returns time and again throughout the opinion, including the following concluding admonition: “Recently, this Court has strayed from this historic method of interpretation to one where the majority of justices insert their own opinions and effectively rewrite the constitution.”[38] This language makes clear that the current majority of the North Carolina Supreme Court views originalism as the only legitimate method of constitutional interpretation.

The current state court majority is not alone in its application of originalist methodology, nor unique in its attempts to privilege this school of constitutional interpretation above all others.[39] Nor is an originalist approach to interpreting the North Carolina constitution without precedent.[40] The version of originalist methodology operationalized in the Harper III opinion, however, is surprisingly (almost shockingly) pernicious.

As an initial matter, the majority seems to advocate for both original public meaning originalism and original intent originalism, despite the latter theory having been all but (though not entirely)[41] abandoned by originalism’s defenders.[42] In its introduction, for example, the majority insists that “judicial interpretations of [constitutional] text should consistently reflect what the people agreed the text meant when they adopted it”—a classic formulation of original public meaning originalism.[43] But when returning to a discussion of constitutional interpretation, the majority seems to urge an “original intent” approach, asserting that “courts determine the meaning of a constitutional provision by discerning the intent of its drafters when they adopted it.”[44]

The reliance on this largely abandoned[45] version of originalism is only one example of how the Harper III majority is attempting to mandate not just originalism, but a regressive vision of originalism. By focusing on the actual intent of the drafters of the document, a court limits the potential interpretations of a constitution to the world view of individuals at a fixed point in time—a world view that is in many ways incompatible with the present day. Additionally, by employing both original intent originalism and original public meaning originalism, the Harper III majority can switch back and forth between whichever methodology best supports its desired result, eliminating originalism’s supposed virtue of constraining judicial discretion.[46]

Nor does the majority escape the “law office historian” pitfalls that plague many originalist opinions.[47] For example, the court devotes several pages to recounting the history of the Glorious Revolution in a befuddling attempt to show that the state constitutional clauses cited by the plaintiffs in the underlying cases were directed at protecting North Carolinians from voting regulations designed to benefit the king.[48] As an initial matter, this history says nothing about the clauses’ relationship to gerrymandering—again, a phenomenon that was not even in the lexicon for more than a century.[49] But even taking the majority’s argument on its own terms, the historical narrative provided arguably supports applying the free elections clause to partisan gerrymandering rather than undermining such an interpretation.[50] The majority declares, for example, that one reason for the prohibition on dividing counties to make new districts comes in part from King James II’s practices of “adjusting a county’s or borough’s charter to embed the king’s agents and ensure a favorable outcome for the king in the 1685 election.”[51] The majority reiterates that “[i]n some instances these adjustments altered who could vote in order to limit the franchise to those most likely to support the king’s preferred candidates.”[52] But this type of result-oriented intervention is exactly the reason parties challenge partisan gerrymanders.

But beyond succumbing to these more common problems with originalist methodology, the majority also employs a particularly rigid approach to originalism that would severely inhibit applications of the state constitution to modern developments. The most plausible reading of the majority’s analysis of whether the constitution applies to partisan gerrymandering, for example, is that the state constitution is essentially irrelevant to any subject not explicitly discussed.[53] Because the constitution does not mention gerrymandering, the majority says, that document is irrelevant to evaluating any gerrymandering challenges.[54] But even staunch originalists like Ilan Wurman accept that applying the original meaning of the text does not mean that a constitution must anticipate and discuss every eventuality in order to apply to the subject at hand.[55] The fact that the U.S. Constitution makes no mention of the internet, for example, does not prevent originalists from agreeing that the protections of the First Amendment apply to this 21st century medium.[56]

In support of this tightly cabined interpretation of the state constitution, the majority highlights a case from the 1780s striking down a statute that directly conflicted with the then governing constitution by eliminating the right to a jury trial in cases where the state confiscated loyalist property.[57] The constitution at the time promised a jury trial “in all Controversies at Law respecting property.”[58] But simply because the first statute, which was deemed unconstitutional in the state, directly conflicted with express language in the constitution does not impose a lasting and immovable requirement that judicial review of a legislative act is permissible only if the constitution speaks directly to the subject at hand.[59]

The majority even attempts to graft on some version of this explicit language requirement to its discussion of the U.S. Constitution, asserting that the lack of any specific mention of partisan gerrymandering in that document demonstrates the framers’ intent to exclude the federal courts from any such oversight. The majority further claims that “[t]he framers could have limited partisan gerrymandering in the [U.S.] Constitution or assigned federal courts a role in policing it, but they did not.”[60] To take this statement at face value shows the absurdity that this explicit acknowledgement requirement would impose.[61] The term “gerrymander” did not even exist until more than two decades after the U.S. Constitution was ratified.[62] Nor did the U.S. Constitution make any mention of “partisanship” (or “factionalism” as this concept was more commonly called at the time) because one of the goals of the famers was to avoid factional divisions.[63]

The end result of this interpretative approach is that the majority seems far too comfortable with an interpretation of the North Carolina constitution that reflects a polity of exclusion. The opinion at one point even asserts that because the original understanding of the state constitution’s “free elections” clause still limited the franchise to land-holding “freemen,” the clause cannot be construed to prohibit limitations on voting rights beyond coercion and intimidation.[64] An application of such a regressive version of originalism is especially misplaced in deciding questions relating to elections based on a constitutional text ratified when the franchise was extremely limited. The majority, for example, argues that because the original North Carolina Constitution adopted in 1776 contained free elections and freedom of assembly clauses while still allowing the legislature to draw malapportioned districting maps, these same clauses should not be used to restrict legislative map drawing today.[65] But this rationale would also allow election regulations that discriminated on the basis of race, gender, sexual orientation, and even status as a property owner, as long as subsequent amendments did not address the specific types of discriminatory regulations employed. Indeed, the Harper III majority simply ignores fundamental developments in both federal and state constitutional law that took place after the ratification of the state’s first constitution—ignoring the fact that North Carolina adopted a new constitution in 1868 and again in 1971 and has significantly amended the document in the last two centuries.[66]

Even when the majority makes general assertions of law, it relies on authority that further illustrates the regressive results of the justices’ chosen interpretive methodology. The majority, for example, cites to a 1944 case, State v. Emery,[67] to support its assertion that “[constitutions] should receive a consistent and uniform construction . . . even though circumstances may have so changed as to render a different construction desirable.”[68] But the “consistent and uniform construction” urged by the court in Emery enshrined the barring of women from serving as jurors in the state based on language in the then governing constitution stating that “[n]o person shall be convicted of any crime but by the unanimous verdict of a jury of good and lawful men in open court.”[69] To be clear, the majority does not endorse (or even mention) the holding of Emery, but it is telling that the vision of originalism espoused by the Harper III opinion is the exact same reading of the state constitution that prohibited women from serving on juries as late as 1944.[70] The fact that this case would be used to support the majority’s preferred methodology when other options are readily available seems questionable.

In a similarly telling choice, the majority issues another generic statement regarding the nature of the state constitution, asserting that the document “‘is in no matter a grant of power.’”[71] This benign quote comes from McIntyre v. Clarkson,[72] but the opinion then traces the origins of this quote to Lassiter v. Northampton County Board of Elections,[73] a 1958 case that upheld North Carolina’s reading requirement at the polls, despite clear evidence that the requirement was used to impede the ability of black North Carolinians to vote.[74] Again, the choice to trace this general point of law to a case upholding racially discriminatory voting laws indicates that the majority is either unaware of, or indifferent to, the regressive results of its methodological approach.[75]

In fact, the majority opinion makes clear that the North Carolina constitution would not ban racial gerrymanders, or any other type of racially motivated voting restrictions, leaving such practices banned only by the U.S. Constitution.[76] The court’s emphasis on requiring an explicit, specific textual restriction in the Constitution leads to a listing of what the majority appears to consider the only permissible avenues for judicial review of legislative districting acts.[77] Notably absent from this list is any prohibition on district maps that discriminate based on race.[78] The opinion also quotes heavily from a prior state supreme court decision, Dickson v. Rucho,[79] to emphasize the difficulty in identifying a judicially manageable standard for evaluating partisan gerrymanders.[80] What goes unmentioned in this discussion, however, is that the U.S. Supreme Court vacated Dickson I because the districting map employed racial gerrymanders as well.[81]

Taken together, the majority’s vision for constitutional interpretation inescapably leads to a regressive application of the state’s constitution. Because the rhetoric here sounds in a traditional application of judicial review, however, the Harper III majority has laid out a blueprint for similarly inclined state court majorities to manipulate theories of constitutional interpretation to essentially control state electoral politics while shielding themselves from political accountability. With this concern in mind, the Essay now turns to an examination of the majority’s misleading invocation of political accountability as justification for its holding.

III. Manipulation of Political Accountability

The other rhetorical move made by the Harper III majority that is likely to have long reaching impact is the weaponization of political accountability. The majority relies on the time honored trope that the state legislature is the true “people’s branch” in state government, asserting from the beginning of the opinion that “[t]he people exercise [the political] power [granted to them by the state constitution] through the legislative branch, which is closest to the people and most accountable through the most frequent elections.”[82] The majority then implicitly ties this version of “accountability” to the state legislature’s ability to implement “the will of the people.”[83]

This lionization of state legislatures as the branch “closest to the people” has been effectively rebutted by legal scholars like Miriam Seifter.[84] As Seifter demonstrates, officials elected in statewide elections are often more representative of the whole people of a state than are state legislators.[85] In North Carolina, the very same justices who disclaim sufficient accountability are all elected statewide.[86] Indeed, it is because of the elected (and partisan) nature of these judicial offices that Harper II was granted a rehearing.[87] So, even from a threshold perspective, the democratic legitimacy foundation for the Harper III opinion is on shaky ground.

But this unsupported trope of American democracy has even less to recommend it in the context of a gerrymandering challenge. The essence of a claim of gerrymandering is that the body elected by the gerrymandered map is unrepresentative of the people.[88] Even a majority of voters cannot effectively hold a gerrymandered legislature “accountable” if the gerrymander is extreme enough to consistently transform minority preference into majority representation.[89] But the Harper III majority ignores this reality, blithely asserting that “those whose power or influence is stripped away by shifting political winds cannot seek a remedy from courts of law, but they must find relief from courts of public opinion in future elections.”[90] Indeed, the majority’s assurances then that “opponents of a redistricting plan are free to vote their opposition,”[91] ring hollow when addressing claims that the redistricting process has effectively undermined the ability of even a majority of voters to hold their legislature “accountable” in the traditional sense.

The Harper III majority also recounts language from Rucho v. Common Cause[92] that reiterates a “long-standing … myth[] about the rational, policy-oriented voter.”[93] The majority faults the Harper I opinion for focusing too much on the role of partisan affiliation in elections.[94] The opinion confidently asserts, for example, that “voters elect individual candidates in individual districts, and their selections depend on the issues that matter to them, the quality of the candidates, the tone of the candidates’ campaigns, the performance of an incumbent, national events or local issues that drive voter turnout, and other considerations.”[95] But, as I have written previously, much of modern political science literature documenting voter behavior indicates that voters are not nearly this nuanced, and instead partisan affiliation is a far better predictor of voter behavior than any of the factors identified in Rucho and parroted in Harper III.[96]

The majority quotes freely from Rucho and incorporates much of that decision’s language cautioning against involving the “unaccountable” federal judiciary against involving itself in the inherently political redistricting process.[97] Regardless of one’s views on the correctness of Rucho, it is clear that the accountability concerns discussed in the case stem from the federal judiciary’s position as an unelected branch of government.[98] Indeed, the connection between political accountability and the unelected nature of the federal judiciary is quoted in full by the Harper III majority: “Consideration of the impact of today’s ruling on democratic principles cannot ignore the effect of the unelected and politically unaccountable branch of the Federal Government assuming such an extraordinary and unprecedented role.”[99]

But recall that almost the entire North Carolina judiciary, including the justices of the state supreme court, are elected.[100] The Justices in particular, are elected statewide and are not subject to the gerrymandered districting maps.[101] As noted above, this makes them, arguably, more accountable to the people of North Carolina because the statewide election better reflects the full electorate than does a manipulated state legislature district.[102] Nor are these elected judges above the political fray because they are chosen in partisan elections appearing on the ballot with their party affiliation clearly identified.[103] The Harper III majority cautions against involving the judiciary in “[c]hoosing political winners and losers” because doing so “creates a perception that the courts are another political branch.”[104] But in North Carolina, the judiciary is, arguably, a political branch. The state’s justices owe their offices to a political election that is influenced, in part at least, by the partisan, political preferences of the voters.[105] This is not to say that there is no difference between a justice and a legislator. Rather, this criticism demonstrates why the Harper III majority’s reliance on the accountability justifications in Rucho are so misplaced.

The majority leans into this accountability narrative, despite eventually acknowledging the elected nature of the state’s judiciary.[106] Indeed, though still pushing its assertion that the state legislature is the “most accountable” branch of the state government, the majority does recognize that with the implementation of an elected judiciary “judges in North Carolina become directly accountable to the people through elections.”[107] And the Harper III majority itself seems to acknowledge that the judicial elections play (or should play) a role in shaping North Carolina law.[108] One of the criticisms levelled against the Harper II opinion is that the “four-justice majority issued its Harper II opinion on 16 December 2022 [after the most recent judicial election] when it knew that two members of its majority would complete their terms on this Court just fifteen days later.”[109] It is hard to read this statement as anything other than a concession that a change in the partisan makeup on the court would (and should) change the outcome of cases.

Yet the majority consistently focuses on the supposed dangers posed to the separation of powers by involving the judiciary in “policymaking.”[110] The majority insists, for example, that the lack of an explicit reference to gerrymandering means that any court exercising judicial review of a gerrymandered map is engaged in policymaking.[111] Such judicial policymaking, we are told, “usurps the role of the legislature by deferring to [the court’s] own preferences instead of the discretion of the people’s chosen representative.”[112]

But, in addition to the unsound political accountability foundation for this view of the role of an elected judiciary, the majority’s vision of “policymaking” ignores the reality that the decision to close the courthouse doors to partisan gerrymandering claims is also a policy choice.

In refusing to apply the state constitution’s equal protection clause to partisan gerrymandering claims, for example, the majority asserts that “the fundamental right to vote on equal terms simply means that each voter must have the same weight.”[113] The court dismisses any independent application of the clause to elections by claiming that any equal protection concerns raised by election procedures are fully addressed by the requirements in Article II that each state legislator “represent, as nearly as may be, an equal number of inhabitants.”[114] But, by insisting that the state constitution’s equal protection clause only addresses the “weight” of each individual vote, and by taking a step further and confining “weight” to only the number of voters represented by each representative, the majority is engaging in exactly the same type of policymaking it claims made the Harper I and Harper II decisions illegitimate.

The inconsistent, almost incoherent ways in which the Harper III majority has employed discredited myths about political accountability and the role of an elected judiciary will impact election law and constitutional interpretation in North Carolina far beyond the holding of the case. With more than three quarters of states employing at least some form of elections as part of their judicial selection process,[115] a failure to confront the realities of an elected judiciary will continue to leave open opportunities for state courts to employ fantasies of political accountability to reshape their state’s political processes. While acknowledging the political nature of an elected judiciary may not stop state courts from reaching their desired results, it will at least require state judiciaries to honestly assess their own political role in deciding separation of powers disputes.

Conclusion

While the U.S. Supreme Court’s opinion in Moore v. Harper captured national attention, the Harper III majority also rejected the broadest version of the Independent State Legislature Theory advanced in the Moore briefing. In doing so, the majority recognizes that the courts—and by implication the state constitution—do have some role to play in the districting process: “Under the North Carolina Constitution, redistricting is explicitly and exclusively committed to the General Assembly by the text of the constitution. The Executive branch has no role in the redistricting process, and the role of the judicial branch is limited by the principles of judicial review.”[116] But, as with the opinion in Moore, the majority opinion in Harper III will have a longer reach beyond a specific holding on partisan gerrymandering.

This Essay has specifically focused on the adoption of a regressive form of originalism, which ultimately results in a polity of exclusion and inhibits the court’s potential to employ the state constitution in addressing contemporary challenges. The Harper III majority’s reliance on a rigid and outdated version of originalism is deeply troubling. By adhering to a carefully crafted quasihistorical context that fails to account for societal evolution and progress, the state court disregards the dynamic nature of constitutional principles. And the majority’s willingness to interpret the state constitution in an intentionally exclusionary way will continue to echo through the court’s jurisprudence.

The Essay has also demonstrated the danger of relying on “mythical” notions of political accountability. The majority’s use of these largely unrealistic tropes to decry judicial policymaking, while conveniently overlooking the fact that the North Carolina judiciary is elected and therefore accountable to the public, highlights the ways in which state courts can weaponize accountability not just in North Carolina, but nationwide. As of July of this year, litigation around partisan gerrymandering is ongoing in at least seventeen states.[117] Because the Supreme Court has closed the door on such claims under federal law, state courts remain the only viable venue to address partisan gerrymanders.[118] Left unchecked, the Harper III opinion provides a dangerous blueprint—regressive originalism and unsubstantiated notions of political accountability—that state courts may apply to these claims in ways that will significantly influence state election processes (and likely results) for the foreseeable future.

Election law, constitutional law, and federalism scholars should take note of the jurisprudential tactics employed in the Harper III majority as they continue to work to protect American democracy.

  1. *. Assistant Professor of Law at University of Nebraska College of Law. Many thanks to Anna Arons, Eric Berger, Kristen Blankley, Tyler Rose Clemons, Haiyun Damon-Feng, Dorien Ediger-Soto, Danielle C. Jefferis, Kyle Langvardt, Elise Maizel, Matthew Schaefer, and the members of the University of Nebraska College of Law Faculty Workshop for their thoughts and comments.

  2. . See, e.g., Derek Muller, What happens to Moore v. Harper after the latest North Carolina Supreme Court decision in the partisan gerrymandering case?, Election Law Blog (Apr. 28, 2023, 10:04 AM), https://electionlawblog.org/?p=135865.

  3. . Harper v. Hall, 886 S.E.2d 393 (N.C. 2023) (hereinafter “Harper III”).

  4. . Harper v. Hall, 868 S.E.2d 499 (N.C. 2022) (hereinafter “Harper I”) (overruled by Harper III, 886 S.E.2d 393).

  5. . Harper III, 886 S.E.2d 393.

  6. . See, e.g., Muller, supra note 1.

  7. . See, e.g., Hansi Lo Wang, A North Carolina court overrules itself in a case tied to a disputed election theory, NPR (Apr. 28, 2023, 12:25 PM), https://www.npr.org/2023/04/28/1164942998/moore-v-harper-north-carolina-supreme-court.

  8. . 143 S. Ct. 2065 (2023).

  9. . See, e.g., Rick Hasen, Separating Spin from Reality in the Supreme Court’s Moore v. Harper Case: What Does It Really Mean for American Democracy and What Does It Say About the Supreme Court?, Election Law Blog (June 27, 2023, 3:29 PM), https://electionlawblog.org/?p=137129.

  10. . See e.g., id.

  11. . See e.g., id.

  12. . Redistricting Litigation Roundup, Brennan Center for Justice (updated July 7, 2023), https://www.brennancenter.org/our-work/research-reports/redistricting-litigation-roundup-0.

  13. . Harper III, 886 S.E.2d at 401.

  14. . Id.

  15. . Id. at 402.

  16. . Id. at 403.

  17. . Harper I, 868 S.E.2d at 559.

  18. . 142 S. Ct. 2901 (2022) (mem.).

  19. . See Brandon J. Johnson, The Accountability-Accessibility Disconnect, 58 Wake Forest L. Rev. 65, 90 (2023).

  20. . U.S. Const. art. I, § 4, cl. 1.

  21. . Harper III, 886 S.E.2d at 408.

  22. . 881 S.E.2d 156 (2022) (hereinafter “Harper II”).

  23. . Id. at 181.

  24. . See Ethan E. Horton & Eliza Benbow, Two Republicans Win Seats On The NC Supreme Court, Flipping Majority, The Daily Tar Heel (Nov. 9, 2022), https://www.dailytarheel.com/article/2022/11/city-nc-supreme-court-2022-election-results.

  25. . Id.

  26. . Harper III, 886 S.E.2d at 399–400 (quoting N.C. R. App. P. 31(a)).

  27. . Id. at 409.

  28. . Id. at 401.

  29. . 143 S.Ct. 2065 (2023).

  30. . Id. at 2079, 2081.

  31. . Id. at 2081.

  32. . Id. at 2088.

  33. . See Hasen, supra, note 8.

  34. . Harper III, 886 S.E.2d at 449–78 (Earls, J., dissenting).

  35. . Keith E. Whittington, Originalism: A Critical Introduction, 82 Fordham L. Rev. 375, 377 (2013) (“At its most basic, originalism argues that the discoverable public meaning of the Constitution at the time of its initial adoption should be regarded as authoritative for purposes of later constitutional interpretation.”).

  36. . Harper III, 886 S.E.2d at 399.

  37. . Whittington, supra note 34, at 380 (“Originalist theory has now largely coalesced around original public meaning as the proper object of interpretive inquiry.”).

  38. . Harper III, 886 S.E.2d at 448.

  39. . See, e.g., New York State Rifle & Pistol Ass’n, Inc. v. Bruen, 142 S. Ct. 2111, 2130 (2022) (“[R]eliance on history to inform the meaning of constitutional text—especially text meant to codify a pre-existing right—is, in our view, more legitimate, and more administrable, than asking judges to ‘make difficult empirical judgments’ about ‘the costs and benefits of firearms restrictions,’ especially given their ‘lack [of] expertise’ in the field.” (quoting McDonald v. Chicago, 561 U.S. 742, 790–91 (2010))).

  40. . See Harper III, 886 S.E.2d at 412–14 (collecting cases).

  41. . See, e.g., Scott A. Boykin, Original-Intent Originalism: A Reformulation and Defense, 60 Washburn L.J. 245 (2021).

  42. . Id. at 246.

  43. . Harper III, 886 S.E.2d at 399.

  44. . Id. at 431.

  45. . See Whittington, supra note 34, at 382.

  46. . See, e.g., Lawrence B. Solum, The Constraint Principle: Original Meaning and Constitutional Practice (2019) (asserting that “constraint” is a virtue agreed upon by most strands of originalist scholarship); but see William Baude, Originalism as a Constraint on Judges, 84 U. Chi. L. Rev. 2213, 2214 (2018) (claiming that “originalist scholars today are much more equivocal about the importance and nature of constraining judges”).

  47. . See, e.g., Saul Cornell, Heller, New Originalism, and Law Office History: Meet the New Boss, Same as the Old Boss, 56 UCLA L. Rev. 1095 (2009).

  48. . Harper III, 886 S.E.2d.at 434–38.

  49. . See Erick Trickey, Where Did the Term “Gerrymander” Come From?, Smithsonian Mag. (July 20, 2017), https://www.smithsonianmag.com/history/where-did-term-gerrymander-come-180964118/.

  50. . Harper III, 886 S.E. 2d at 434–38.

  51. . Id. at 435 (emphasis added).

  52. . Id. (emphasis added).

  53. . See Harper III, 886 S.E.2d at 415 (“When we cannot locate an express, textual limitation on the legislature, the issue at hand may involve a political question that is better suited for resolution by the policymaking branch.”).

  54. . See, e.g., Harper III, 886 S.E.2d at 400 (emphasis added) (“Our constitution expressly assigns the redistricting authority to the General Assembly subject to explicit limitations in the text. Those limitations do not address partisan gerrymandering. It is not within the authority of this Court to amend the constitution to create such limitations on a responsibility that is textually assigned to another branch.”).

  55. . Ilan Wurman, What is originalism? Debunking the myths, The Conversation (Oct. 24, 2020, 12:03 PM), https://theconversation.com/what-is-originalism-debunking-the-myths-148488.

  56. . Neil M. Gorsuch, Justice Neil Gorsuch: Why Originalism Is the Best Approach to the Constitution, Time (Sept. 6, 2019, 8:00 AM), https://time.com/5670400/justice-neil-gorsuch-why-originalism-is-the-best-approach-to-the-constitution/.

  57. . Harper III, 886 S.E.2d. at 415 (citing Bayard v. Singleton, 1 N.C. (Mart.) 5 (1787)).

  58. . Id. (quoting N.C. Const. of 1776, Declaration of Rights § XIV).

  59. . As the majority acknowledges, Bayard was the first exercise of judicial review of a statute in North Carolina, and may have been the first instance of a state court striking down a legislative act as contrary to the jurisdiction’s constitution. Id.

  60. . Id. at 410.

  61. . Id. at 415 (emphasis added) (“[T]he standard of review asks whether the redistricting plans drawn by the General Assembly, which are presumed constitutional, violate an express provision of the constitution beyond a reasonable doubt.”).

  62. . Trickey, supra note 48.

  63. . See, e.g., The Federalist No. 10 (James Madison).

  64. . See Harper III, 886 S.E.2d at 432–33.

  65. . Id. at 416–17.

  66. . Dr. Troy L. Kickler, North Carolina Constitution Is an Important Governing Document, N.C. Hist. Project, https://northcarolinahistory.org/encyclopedia/1573/ (last visited Sept. 17, 2023).

  67. . 31 S.E.2d 858 (N.C. 1944).

  68. . Harper III, 886 S.E.2d at 413 (alterations and omissions in Harper III) (quoting State v. Emery, 31 S.E.2d 858, 861 (N.C. 1944)). Notably, the omitted language from the quote would seem to caution against the majority’s decision to reverse a previous pronouncement of constitutional law. The full quote reads: “[Constitutions] should receive a consistent and uniform construction so as not to be given one meaning at one time and another meaning at another time even though circumstances may have so changed as to render a different construction desirable.” Emery, 31 S.E.2d at 861 (emphasized language was omitted from the quote in Harper III).

  69. . N.C. Const. art. I, § 13 (1868) (emphasis added).

  70. . Harper III, 886 S.E.2d at 413; Emery, 31 S.E.2d at 866.

  71. . Harper III, 886 S.E.2d at 414 (quoting McIntyre v. Clarkson, 119 S.E.2d 888, 891 (1961)).

  72. . 119 S.E.2d at 891.

  73. . 102 S.E.2d 853, 861 (N.C. 1958).

  74. . Paul Woolverton, Democrats in 1900 made the NC Constitution racist: Will voters today undo that?, Fayetteville Observer (Mar. 24, 2023, 5:06 AM), https://www.fayobserver.com/story/news/2023/03/24/ncs-constitution-has-a-racist-rule-will-voters-repeal-literacy-tests/70035467007/.

  75. . For further discussion of the morality of case citations—specifically in the context of citing to slave cases—see Alexander Walker III, On Taboos, Morality, and Bluebook Citations, Harv. L. Rev. Blog (June 10, 2023).

  76. . Compare Harper III, 886 S.E.2d at 449 (holding that “claims of partisan gerrymandering present nonjusticiable, political questions”), with Miller v. Johnson, 515 U.S. 900, 927–28 (holding that redistricting plans aiming to racially segregate voters are federally unconstitutional).

  77. . Harper III, 886 S.E.2d at 418 (quoting N.C. Const. art. II, § 3). The only restrictions on apportionment acknowledged by the majority are: (1) state senators must represent a (roughly) equal number of residents; (2) districts must be contiguous; (3); a prohibition on dividing counties to form a new district; and (4) a requirement that districts “remain unaltered” between censuses. Id.

  78. . See id.

  79. . 766 S.E.2d 238 (N.C. 2014).

  80. . See, e.g., Harper III, 886 S.E.2d at 402 (quoting Dickson, 766 S.E.2d at 260).

  81. . See Dickson v. Rucho, 137 S. Ct. 2186 (2017) (mem.). The Harper III opinion notes that the state court decision was vacated, but only using the euphemistic language “vacated on federal grounds.” See Harper III, 886 S.E.2d at 402.

  82. . Harper III, 886 S.E.2d at 398.

  83. . Id. at 398–99. The opinion returns to this theme of identifying the General Assembly as “the people’s branch” of state government. See, e.g., id. at 413 (“The legislative power is vested in the General Assembly, so called because all the people are present there in the persons of their representatives.” (quoting John V. Orth & Paul Martin Newby, The North Carolina State Constitution 95 (2d ed. 2013))); id. at 414 (citations omitted) (“Most accountable to the people, through the most frequent elections, “[t]he legislative branch of government is without question ‘the policy-making agency of our government[.]’” (quoting N.C. Const. art II)).

  84. . Miriam Seifter, Countermajoritarian Legislatures, 121 Colum. L. Rev. 1733, 1755–77 (2021); see also Johnson, supra note 18, at 101–02.

  85. . Seifter, supra note 83, at 1762–77.

  86. . N.C. Const. art IV, § 16.

  87. . See supra Part I.

  88. . See Kevin Wender, The “Whip Hand”: Congress’s Elections Clause Power as the Last Hope for Redistricting Reform After Rucho, 88 Fordham L. Rev. 2085, 2090 (2020).

  89. . For a discussion of the difficulty voters face in using the political process to change election laws, see Johnson, supra note 18, at 109.

  90. . Harper III, 886 S.E.2d 393, 423 (N.C. 2023) (quoting Dickson v. Rucho, Nos. 11-CVS-16896, 11-CVS-16940, 2013 WL 3376658, at *1–2 (N.C. Super. Ct. Wake Cnty. July 8, 2013)).

  91. . Id. at 443.

  92. . 139 S. Ct. 2484 (2019).

  93. . Johnson, supra note 18, at 103.

  94. . See Harper III, 886 S.E.2d at 428.

  95. . Harper III, 886 S.E.2d at 412 (quoting Rucho v. Common Cause, 139 S. Ct. 2484, 2503–04 (2019)). The majority repeats these assertions, again without providing any empirical support for this view of voter behavior. Id. at 428–29.

  96. . Johnson, supra note 18, at 104–05.

  97. . See, e.g., Harper III, 886 S.E.2d at 413 (quoting Rucho, 139 S. Ct. at 2507).

  98. . See Rucho, 139 S. Ct. at 2507.

  99. . Harper III, 886 S.E.2d 393, 413 (N.C. 2023) (quoting Rucho, 139 S. Ct. at 2507); see also id. at 427 (alteration in original) (“A judicially discoverable and manageable standard is necessary for resolving a redistricting issue because such a standard ‘meaningfully constrain[s] the discretion of the courts[] and [] win[s] public acceptance for the court’s intrusion into a process that is the very foundation of democratic decision making.’” (quoting Rucho, 139 S. Ct. at 2500)).

  100. . N.C. Const. art IV, §16.

  101. . Id.

  102. . See Seifter, supra note 83, at 1734–41.

  103. . See, e.g., Judicial voter guide: 2022 primary election, North Carolina State Board of Elections, (last visited Sept. 17, 2023), https://www.ncsbe.gov/judicial-voter-guide-2022-primary-election.

  104. . Harper III, 886 S.E.2d at 399.

  105. . See Nat Stern, Don’t Answer That: Revisiting the Political Question Doctrine in State Court, 21 U. Pa. J. Const. L. 153, 177–78 (2018) (observing that elected state court judges do not enjoy the same presumption of judicial independence that attaches to the federal judiciary).

  106. . Harper III, 886 S.E.2d at 418.

  107. . Id. (citing N.C. Const. of 1868, art IV, § 26).

  108. . Id. at 413–14.

  109. . Id. at 407 n.5.

  110. . See, e.g., Harper III, 886 S.E.2d at 399, 415, 431. The majority also ignores the differences between the ways in which power is separated at the state level instead of the federal level. For further discussion of these differences, see Robert F. Williams, The Law of American State Constitutions 238 (2009) and Helen Hershkoff, State Courts and the “Passive Virtues”: Rethinking the Judicial Function, 114 Harv. L. Rev. 1833 (2001).

  111. . See Harper III, 886 S.E.2d at 428 (“[S]ince the state constitution does not mention partisan gerrymandering, the four justices in Harper I first had to make a policy decision that the state constitution prohibits a certain level of partisan gerrymandering.”).

  112. . Id. at 431.

  113. . Id. at 440.

  114. . Id. at 442 (quoting N.C. Const. art. II, §§ 3(1), 5(1)).

  115. . Significant Figures in Judicial Selection, Brennan Ctr. for Just. (Apr. 14, 2023), https://www.brennancenter.org/our-work/research-reports/significant-figures-judicial-selection.

  116. . Harper III, 886 S.E.2d at 416.

  117. . Redistricting Litigation Roundup, Brennan Ctr. for Just., https://www.brennancenter.org/our-work/research-reports/redistricting-litigation-roundup-0 (July 7, 2023).

  118. . See generally Rucho v. Common Cause, 139 S. Ct. 2484 (2019) (holding that challenges to partisan gerrymandering are to be made under state statutes and state constitutions—not the U.S. Constitution); see also Alicia Bannon, North Carolina Supreme Court Unleashes Partisan Gerrymandering, Brennan Ctr. For Just. (May 10, 2023), https://www.brennancenter.org/our-work/analysis-opinion/north-carolina-supreme-court-unleashes-partisan-gerrymandering.

Miriam Draper 

This October, the Supreme Court will review Murray v. UBS Securities, LLC—a case that created a circuit split involving the Sarbanes-Oxley Act’s (“SOX”) whistleblower anti-retaliation provision.[1] Section 1514A of SOX prohibits employers of publicly traded companies from adversely affecting the employment conditions of employees who report fraudulent business activities.[2]  Congress enacted this provision to give whistleblowing employees of public companies similar protections to those held by whistleblowing federal employees.[3] As noted by the Act’s sponsor, “this distinction does not serve the public good,” especially because “an unprecedented portion of the American public invest[s] in these companies and depend[s] upon their honesty.”[4]

Whistleblower protections for federal employees are codified in the Whistleblower Protection Act (“WPA”) of 1989, which prohibits agencies from retaliating against federal employees who report unethical agency activities.[5] In such an event, the WPA calls for corrective action against the agency if the whistleblowing employee demonstrates that his or her report was a “contributing factor” in the retaliatory action.[6] “Contributing factor” is defined as “any disclosure that affects an agency’s decisions to threaten, propose, take, or not take a personnel action with respect to the individual making the disclosure.”[7] Proof that the agency acted with retaliatory intent is not necessary.[8]  Congress reasoned that “[r]egardless of the official’s motives, personnel actions against employees should quite [simply] not be based on protected activities such as whistleblowing.”[9] The burden of proof for the “contributing factor” element of a WPA claim was intended to be light:

“The words ‘a contributing factor’ mean any factor which, alone or in connection with other factors, tends to affect in any way the outcome of the decision. This test is specifically intended to overrule existing case law, which requires a whistleblower to prove that his protected conduct was a ‘significant,’ ‘motivating,’ ‘substantial,’ or ‘predominant’ factor in a personnel action in order to overturn that action.”[10]

The WPA nevertheless allows agencies to avoid corrective action if “after a finding that a protected disclosure was a contributing factor, the agency demonstrates by clear and convincing evidence that it would have taken the same personnel action in the absence of such disclosure.”[11]

This “contributing factor” burden-shifting framework appeared again in 2000 when Congress enacted the AIR21 Whistleblower Protection Program to protect whistleblowing employees connected to U.S. aviation operations.[12] Section 1514A of SOX was passed two years later to account for whistleblowing employees of publicly traded companies.[13] It explicitly applies the burden of proof standard set forth in AIR21—i.e., the “contributing factor” burden-shifting framework.[14]

The elements of a prima facie § 1514A claim include: (1) the employee engaged in protected activity or conduct; (2) the employer knew of the employee’s protected activity; (3) the employee suffered an unfavorable personnel action; and (4) the employee’s protected activity was a contributing factor in the adverse action.[15] Once the employee establishes these elements, the employer may skirt liability by asserting “clear and convincing evidence” that the adverse action would have occurred absent the protected conduct.[16]  

In Murray, the Second Circuit diverged from the majority’s standard by adding a sub-requirement to the “contributing factor” element: retaliatory intent.[17] The plaintiff in that case was terminated after he reported fraudulent business practices to his supervisor.[18] The former employee sued his employer under § 1514A, but the appellate court denied relief because the employee failed to demonstrate that his termination was ordered with retaliatory intent in response to his report.[19]

The court extrapolated its “retaliatory intent” requirement through a flawed textual analysis of § 1514A(a). The provision states that employers of publicly traded companies may not “discharge, demote, suspend, threaten, harass, or in any other manner discriminate against an employee in the terms and conditions of employment because of” the employee’s lawful whistleblowing.[20] Even though the plaintiff in Murray was discharged because he reported fraudulent business activities—an action explicitly prohibited in the provision’s language—the court focused its analysis on the plain meaning of “discriminate.”[21] It opined:

“To ‘discriminate’ means ‘[t]o act on the basis of prejudice,’ which requires a conscious decision to act based on a protected characteristic or action.

The statute thus prohibits discriminatory actions caused by—or ‘because of’—whistleblowing, and actions are ‘discriminat[ory]’ when they are based on the employer’s conscious disfavor of an employee for whistleblowing. A discriminatory action ‘because of’ whistleblowing therefore necessarily requires retaliatory intent—i.e., that the employer’s adverse action was motivated by the employee’s whistleblowing. The plain meaning of section 1514A’s statutory language thus compels our conclusion that retaliatory intent is required to sustain a SOX anti-retaliation claim.”[22]

This 2+2=5 analysis is overreaching and misguided. First, the court injects a requisite motive into the ordinary meaning of “discriminate” where one does not otherwise exist.[23] Second, the court ignores the provision’s syntax. The term “discriminate” is embedded in a catchall phrase—“or in any other manner discriminate”—attached to the end of a disjunctive list.[24]  Under the principle of ejusdem generis, the phrase is intended to account for the unenumerated adverse acts that employers may take.[25] “Discriminate” is not an indispensable requirement; it may characterize the class of prohibited actions, but it does not demand malicious motivation from the employer.[26]

To further support its “retaliatory intent” requirement, the court circularly pointed to its analysis of the Federal Railroad Safety Act (“FRSA”)[27] in Tompkins v. Metro-North Commuter Railroad Company.[28] Because FRSA and § 1514A of SOX use similar language, the court reasoned that they should be interpreted identically.[29] Since the Tompkins court extracted a “retaliatory intent” requirement from FRSA, the Murray court also extracted aretaliatory intent” requirement from § 1514A.[30]

However, in Bechtel v. Administrative Review Board, the Second Circuit directly contemplated the elements of a § 1514A claim.[31] In that case, the court applied the majority’s standard and did not require proof of retaliatory intent.[32] Rather than follow this far more analogous precedent, the Murray court criticized Bechtel for failing to “account for the statute’s explicit requirement that the employer’s conduct be ‘discriminat[ory].’”[33] As previously discussed, this point is misguided and overreaching.

The Supreme Court’s decision could significantly impact the public market and whistleblower litigation. Requiring plaintiffs to prove retaliatory intent adds another barrier to whistleblower protections, which may deter employees from reporting fraudulent business activities. The SOX Act was intended to statutorily “encourage and protect those who report fraudulent activity that can damage innocent investors in publicly traded companies.”[34] The majority’s standard advances the objective; it gives employees the confidence to report fraudulent business activities by increasing their chances of recovery through litigation, should their reports adversely affect their employment.[35] In fact, “[s]ince the federal government switched the burden of proof in whistleblower laws, the rate to prevail on the merits has increased from 1–5% annually, which institutionalizes a chilling effect, to 25–33%, which gives whistleblowers a fighting chance to successfully defend themselves.”[36]

The SOX anti-retaliation provision mends the “patchwork and vagaries of current state laws” by giving employees of publicly traded companies nationwide whistleblower protections.[37]  As a remedial statute, it should be liberally construed in the plaintiff’s favor to help advance its beneficial purpose.[38] The majority’s plaintiff-friendly standard is consistent with this notion. Upon review of the Second Circuit’s decision in Murray, the Supreme Court should rid the “retaliatory intent” requirement and instead apply the majority’s standard.

[1] See Murray v. UBS Sec., LLC, 43 F.4th 254 (2d Cir. 2022), cert. granted, 143 S. Ct. 2429 (2023).

[2] 18 U.S.C. § 1514A.

[3] 148 Cong. Rec. S7420 (daily ed. July 26, 2002) (“Although current law protects many government employees who act in the public interest by reporting wrongdoing, there is no similar protection for employees of publicly traded companies who blow the whistle on fraud and protect investors.”).

[4] Id.

[5] See 5 U.S.C. § 2302(b)(8).

[6] Id. § 1221.

[7] 5 C.F.R. § 1209.4 (2013).

[8] See Marano v. Dep’t. of Just., 2 F.3d 1137, 1141 (Fed. Cir. 1993).

[9] Id. (quoting S. Rep. No. 100-413, at 18 (1988)).

[10] Id. at 1140 (quoting 101 Cong. Rec. H5033 (daily ed. Mar. 21, 1989) (explanatory statement on WPA)).

[11] 5 U.S.C. § 1214(b)(4)(B)(ii).

[12] See 49 U.S.C. § 42121.

[13] See 148 Cong. Rec. S7420 (daily ed. July 26, 2002).

[14] See 18 U.S.C. § 1514A(b)(2)(C); 49 U.S.C. § 42121(b).

[15] See Lockheed Martin Corp. v. Admin. Rev. Bd., 717 F.3d 1121, 1129 (10th Cir. 2013); Coppinger-Martin v. Solis, 627 F.3d 745, 750 (9th Cir. 2010); Halliburton, Inc. v. Admin. Rev. Bd., 771 F.3d 254, 259 (5th Cir. 2014); Feldman v. Law Enf’t Ass’n, 752 F.3d 339, 344 (4th Cir. 2014).

[16] E.g., Feldman, 752 F.3d at 345.

[17] See Murray v. UBS Sec., LLC, 43 F.4th 254, 260 (2d Cir. 2022), cert. granted, 143 S. Ct. 2429 (2023).

[18] See id. at 258.

[19] See id.

[20] 18 U.S.C § 1514A.

[21] See Murray, 43 F.4th at 259–60.

[22] Id. at 259 (citations omitted).

[23] See Haley K. Hurst, Resolving the SOX Act Circuit Split: Contributing Factor, Not Retaliatory Intent 16–17 (May 4, 2023) (unpublished manuscript) (on file with author). The plain meaning of “discriminate” carries a neutral connotation and does not contemplate the actor’s consciousness. See, e.g., Discriminate, The Oxford English Dictionary (2d ed. 1989) (defining “discriminate” as “to distinguish, differentiate”).

[24] See 18 U.S.C. § 1514A(a) (emphasis added); see also 1A Norman Singer & Shambie Singer, Sutherland Statutes and Statutory Construction § 21:14 (7th ed.), Westlaw (database updated 2022).

[25] See 2A Singer & Singer, supra note 24, § 47:17; see also Brief for the United States as Amicus Curiae Supporting Petitioner at 15, Murray, 143 S. Ct. 2429 (No. 22-660) [hereinafter U.S. Brief].

[26] See U.S. Brief, supra note 25, at 15.

[27] 49 U.S.C. § 20109.

[28] 983 F.3d 74 (2d Cir. 2020).

[29] See Murray, 43 F.4th at 261.

[30] See id.

[31] 710 F.3d 443, 447 (2d Cir. 2013).

[32] See id.

[33] Murray, 43 F.4th at 259.

[34] 148 Cong. Rec. S7420 (daily ed. July 26, 2002).

[35] Whistleblowers and Job Safety: Are Existing Protections Adequate to Build a Safer Workplace?: Hearing on Examining Workers’ Memorial Day, Focusing on if Existing Private Sector Whistleblower Protections are Adequate to Ensure Safe Workplaces Before the Subcomm. on Emp. & Workplace Safety of the S. Comm. on Health, Educ., Lab. & Pensions, 113th Cong. 32 (2014) (statement of Thomas Devine, Legal Director, Government Accountability Project).

[36] Id.

[37] 148 Cong. Rec. S7420 (daily ed. July 26, 2002).

[38] See 3 Singer, supra note 24, § 60:1 (8th ed.); see also Hurst, supra note 23, at 23.

Kaylee Tillett

Prior to 2008, gun-rights advocates referred to the Second Amendment as a “second-class right” with courts relying on a militia-centric interpretation articulated by the Supreme Court of the United States in United States v. Miller.[1] Nearly seventy years after Miller, the Supreme Court radically changed its interpretation of the Second Amendment in District of Columbia v. Heller.[2] In Heller, the right to keep and bear arms in one’s home for purposes of self-defense became the core of the Second Amendment, with the Supreme Court applying this right to the states two years later in McDonald v. City of Chicago.[3] Finally, last year, in New York State Rifle & Pistol Ass’n v. Bruen, the Supreme Court expanded the Second Amendment’s reach post-Heller and McDonald, holding “that the Second and Fourteenth Amendments protect an individual’s right to carry a handgun for self-defense outside the home.”[4]

Bruen significantly altered the landscape of the Second Amendment, not only by expanding the reach of the right to keep and bear arms beyond the home, but also by rejecting the legal standard previously used to decide Second Amendment cases.[5] Under Bruen, the new two-step analysis for Second Amendment cases begins with a presumption that if the plain text of the Second Amendment includes an individual’s conduct, then the Constitution protects that conduct.[6] Then, the government bears the burden of justifying its proposed regulation “by demonstrating that it is consistent with the Nation’s historical tradition of firearm regulation.”[7] When deciding Bruen, the Supreme Court focused its “historical analysis” on the firearm regulatory practices of the Founders in 1791 and the Reconstruction generation in 1868 because these are the relevant time periods when the Second and Fourteenth Amendments were written.[8] Specifically, the Supreme Court determined that the firearm regulations of the Twentieth Century put forth by the respondents were simply too recent to constitute a historical tradition and rejected this evidence, relying instead on the common understanding of firearms regulation at the time of the Founding and Reconstruction.[9]

One year post-Bruen, the landscape of the Second Amendment is primed for a novel legal issue that the Supreme Court evaded in Heller, McDonald, and Bruen, continuously passing the ball through dicta and concurrences—the right to keep and bear arms as applied to felons.[10] Born out of a series of high profile assassinations, the federal government’s regulation of a felon’s ability to possess firearms began as recently as the Gun Control Act of 1968, which was expanded by the Brady Handgun Violence Prevention Act of 1994, also known as the “Brady Bill.”[11] Today, a provision of the Brady Bill, 18 U.S.C. § 922(g)(1), makes it “unlawful for any person . . . who has been convicted in any court, of a crime punishable by imprisonment for a term exceeding one year . . . [to] possess in or affecting commerce, any firearm or ammunition.”[12] Federal courts are split on the validity of § 922(g)(1) after defendants began arguing that federal “felon-in-possession” laws violate the Second Amendment under Bruen.[13]

On June 6, 2023, the Third Circuit en banc determined that § 922(g)(1) violated the Second Amendment as applied to a non-violent offender.[14] Yet just four days prior, the Eighth Circuit ruled in the opposite, finding no constitutional violation.[15] Both Circuits relied on the two-step “historical foundations” analysis created in Bruen, yielding extensively disparate outcomes.[16] Prior to Bruen, in Heller, the Supreme Court explicitly included dicta deferring the analysis of whether the Second Amendment applied to felons.[17] In Bruen, the majority opinion did not address the issue at all.[18] In fact, the concurrences and the dissent in Bruen explain that the majority opinion need not include an analysis of federal “felon-in-possession” laws because they are “presumptively lawful.”[19]

On the contrary, government regulations prohibiting felons from possessing firearms are as recent as the historical evidence put forth by the respondents in Bruen, which the Supreme Court deemed too modern for “consisten[cy] with this Nation’s historical tradition of firearm regulation.”[20] As discussed above, the federal government only began regulating the firearm possession of felons in 1968—decades before the Reconstruction generation and more than a century after the Founding.[21] Further, the “historical tradition” that courts, such as the Eighth Circuit, are beginning to rely on to deny felons their Second Amendment rights is disturbing, including historical regulations that categorically exclude Black and Native Americans, as well as certain religious minorities, from possessing firearms.[22] Specifically, the Eighth Circuit recognized that regulations barring certain races from the right to keep and bear arms “would be impermissible today under other constitutional provisions,” yet included these regulations in its historical tradition analysis regardless.[23] Even the language of “law-abiding” citizen used throughout Bruen is ambiguous, as the sheer breadth and scope of what constitutes a “felony” has dramatically changed since the time of the Founding.[24]

As the number of Bruen challenges grow, it is time for the Supreme Court to define explicitly whether the Second Amendment extends to felons; however, this issue illuminates a Pandora’s box of sub-issues, including, but not limited to, (1) the differences between violent and non-violent felonies, (2) the disconnect between a state felony and a federal felony, (3) the length of time between the original felony conviction and the § 922(g)(1) charge, (4) the amount of time actually served in a jail or prison compared to a purely probationary sentence, and (5) the record of the particular felon.[25] The Supreme Court’s staunch devotion to originalism and the dead-hands of the Founders has brought the Supreme Court to a precipice.[26] Either the Second Amendment is an unmitigated right provided to all Americans based entirely on the historical traditions of the Nation, or it is not.

[1] United States v. Miller, 307 U.S. 174, 178 (1939).

[2] District of Columbia v. Heller, 554 U.S. 570, 577–78 (2008).

[3] Heller, 554 U.S. at 577–78; McDonald v. City of Chicago, 561 U.S. 742, 748 (2010).

[4] New York State Rifle & Pistol Ass’n, Inc. v. Bruen, 142 S. Ct. 2111, 2122 (2022) (emphasis added).

[5] Id. at 2125.

[6] Id. at 2129–30.

[7] Id. at 2129–30.

[8] Id. at 2132.

[9] Id. at 2138 (“[A]part from a handful of late-19th-century jurisdictions, the historical record compiled by respondents does not demonstrate a tradition of broadly prohibiting the public carry of commonly used firearms for self-defense.”).

[10] Range v. Att’y Gen. of the United States, 69 F.4th 96, 98 (3d Cir. 2023).

[11] Gun Control Act of 1968, Pub. L. No. 90-618, 82 Stat. 1213; Brady Handgun Violence Prevention Act, Pub. L. No. 103-159, 107 Stat. 1536 (later codified as amended at 18 U.S.C. § 922).

[12] The federal definition of a “felon” is broader than many state definitions, applying where the potential sentence is more than two years for misdemeanors and more than one year for felonies. 18 U.S.C. § 922(g)(1); 18 U.S.C. § 921(a)(20)(B).

[13] Albert W. Alschuler, Do Convicted Felons Have a Constitutional Right to Bear Arms?, Verdict Justia (June 21, 2023), https://verdict.justia.com/2023/06/21/do-convicted-felons-have-a-constitutional-right-to-bear-arms.

[14] Bryan Range pleaded guilty in 1995 to making a false statement to obtain food stamps, violating Pennsylvania law. Range, 69 F.4th at 98. Range was sentenced to three years’ probation, although his misdemeanor carried a maximum sentence of five years’ imprisonment. Id. Range sought to purchase a firearm for hunting and for self-defense in the home. Id.

[15] Edell Jackson had two convictions for sale of a controlled substance in the second degree from 2011 and 2012. United States v. Jackson, 69 F.4th 495, 501 (8th Cir. 2023). Jackson received a 78-month sentence  for the first conviction and a 144-month sentence for the second conviction. Id. Interestingly, the Eighth Circuit cited approvingly the paneled Third Circuit’s previous decision in Range that the above-referenced en banc Third Circuit overruled. Id.

[16] Alschuler, supra note 13; see also Zak Goldstein, Federal Third Circuit Finds Felon in Possession of Firearm Laws Unconstitutional as Applied to Old, Non-Violent Offenses, Goldstein Mehta, LLC, Blog (June 7, 2023), https://goldsteinmehta.com/blog/federal-third-circuit-finds-felon-in-possession-of-firearm-laws-unconstitutional-as-applied-to-old-non-violent-offenses#.

[17] Heller, 554 U.S. at 626.

[18] Bruen, 142 S. Ct. at 2111.

[19] Id. at 2163.

[20] Michael Luo, Felons Finding It Easy to Regain Gun Rights, New York Times (Nov. 13, 2011), https://www.nytimes.com/2011/11/14/us/felons-finding-it-easy-to-regain-gun-rights.html; United States v. Bullock, No. 3:18-CR-165-CWR-FKB, 2023 WL 4232309 (S.D. Miss. June 28, 2023) (order dismissing case).

[21] Gun Control Act of 1968, Pub. L. No. 90-618, 82 Stat. 1213.

[22] Jackson, 69 F.4th at 501.

[23] Id.

[24] Alec C. Ewald, “Civil Death”: The Ideological Paradox of Criminal Disenfranchisement Law in the U.S., 2002 Wis. L. Rev. 1045, 1060 (2002).

[25] Bullock, 2023 WL 4232309, at *71–75; see also Brian Doherty, Another Judge Chips Away at Laws Barring Felons From Owning Guns, Reason (June 29, 2023, 11:15 AM), https://reason.com/2023/06/29/another-judge-chips-away-at-laws-barring-felons-from-owning-guns/.

[26] Bullock, 2023 WL 4232309, at *71–75.

 

Free Person Holding a Gavel Stock Photo

Nick Tremps

For corporate debtors that submit to the bankruptcy process, the Bankruptcy Code (the “Code”) provides significant benefits to the “honest, but unfortunate debtor” that cannot fully perform its debt obligations.[1]  In a case filed under Chapter 11 of the Code, a corporate debtor may file a plan of reorganization with the bankruptcy court that proposes how the debtor intends to restructure its debts owed to each class of creditors.[2]  Upon confirmation of a plan, the corporate debtor then receives a discharge from any debt that arose prior to the bankruptcy court’s confirmation.[3]  Included in that plan of reorganization, corporate debtors may attempt to include provisions that extend third-party releases to non-debtors that have a direct impact on the debtor’s restructuring.[4]  In other words, a plan may attempt to use the bankruptcy process to extinguish present or future claims held by various third parties against entities that are associated with the debtor.  Where the impaired class or classes of creditors affirmatively consent to the binding plan, courts typically confirm these releases.[5]  But what happens when a third-party creditor votes against the plan and instead seeks to exercise their constitutional right to have their day in court and pursue a claim directly against the non-debtor?  The United States Supreme Court may soon address whether these so-called “non-consensual third-party releases” are permitted by the Code.

While third-party releases are expressly permitted in a plan of reorganization in asbestos cases,[6] circuits have been split for decades about whether this practice is permitted by the Code outside of the asbestos context.  The majority of circuits, including the Second, Third, Fourth, Sixth, Seventh, and Eleventh permit third-party releases,[7] albeit in rare or extraordinary circumstances and when “certain factors” are met.[8]  Conversely, the Fifth and Tenth Circuits categorically bar these releases based on Section 524(e) of the Code.[9]  That provision provides that the “discharge of a debt of the debtor does not affect the liability of any other entity on, or the property of any other entity for, such debt.”[10]

Following a petition for a writ of certiorari last month, the Supreme Court has a long-awaited opportunity to resolve this circuit split.  In Highland Capital Management, L.P. v. NexPoint Advisors, L.P.,[11] the Fifth Circuit, following circuit precedent, held that Section 524(e) of the Code barred the debtor from releasing certain non-debtors from liability in its chapter 11 plan of reorganization.[12]  Thus, the debtor’s attempt to exculpate certain non-debtors from liability was precluded by the Fifth Circuit’s steadfast interpretation of Section 524(e).[13]  In its petition filed in January, the reorganized debtor, Highland Capital Management, urges the Supreme Court to adopt the majority position, contending that Section 524(e) is “simply a saving clause” and that the plain language of Section 524(e) “simply states that the discharge of a debtor’s liability on a debt does not itself affect any other creditor’s liability on that same debt.”[14]  Thus, according to the debtor, Section 524(e), by its plain language, does not preclude a bankruptcy court from confirming a plan containing non-debtor exculpations.  Notably, NexPoint Advisors, the respondent in that case, also filed a petition for a writ of certiorari last month, asking the Supreme Court to use this case as a vehicle to “restore uniformity among the circuits”[15] and put an end to this “abus[ive]” practice.[16]  While the debtor seeks review of non-debtor exculpations, NexPoint Advisors points out that “the fact that this case involves third-party exculpations that limit liability to gross negligence or willful misconduct, rather than third-party releases that eliminate liability altogether, does not diminish the importance of the issue or make this case a faulty vehicle.”[17]

NexPoint Advisor’s argument is well-founded.  While the circuits that do permit third-party releases may do so in limited or extraordinary circumstances,[18] one bankruptcy judge recently noted that “[a]lmost every proposed Chapter 11 Plan that I receive includes proposed releases.”[19]  From sexual-abuse scandals[20] to the crippling opioid epidemic,[21] it has become commonplace for a corporate debtor to file a plan of reorganization in which non-debtors receive a release from liability in exchange for a pecuniary contribution to the debtor’s reorganization.  Accordingly, this case provides the Supreme Court an opportunity to resolve a contentious issue that has meaningful practical implications.  For example, the various interpretations of Section 524(e) among the circuits increases the likelihood for corporate debtors to forum shop in search of a bankruptcy court that endorses third-party releases contained in a plan of reorganization.[22]  Moreover, the lack of clarity surrounding the permissibility of third-party releases and when they are integral to the debtor’s restructuring leads to uncertainty for all parties involved when negotiating a plan of reorganization.  Therefore, the time has come for the Supreme Court to determine what Section 524(e) actually means and this case welcomes that determination.


[1] John M. Czarnetzky, The Individual and Failure: A Theory of the Bankruptcy Discharge, 32 Ariz. St. L.J. 393, 412 (2000).

[2] Michael S. Etkin & Nicole M. Brown, Third Party Releases?–Not So Fast! Changing Trends and Heightened Scrutiny, 29 AIRA J. 22, 22 (2015).

[3] 11 U.S.C. § 1141(d)(1)(A).

[4] Dorothy Coco, Third-Party Bankruptcy Releases: An Analysis of Consent Through the Lenses of Due Process and Contract Law, 88 Fordham L. Rev. 231, 232 (2019); see also Etkin & Brown, supra note 2, at 22 (“A debtor might seek to extend third party releases to co-debtors, officers, directors, lenders, parents, guarantors, sureties, or insurance carriers where those parties could assert post-confirmation indemnification claims against the debtor, or where the non-debtor party is a potential source of funding for the plan of reorganization.”).

[5] Coco, supra note 4, at 232–33.

[6] See 11 U.S.C. § 524(g), (h).

[7] See In re Metromedia Fiber Network, Inc., 416 F.3d 136, 141 (2d Cir. 2005); In re Millennium Lab Holdings II, LLC, 945 F.3d 126, 140 (3d Cir. 2019); Menard-Sanford v. Mabey (In re A.H. Robins Co.) 880 F.2d 694, 702 (4th Cir. 1989); In re Dow Corning Corp., 280 F.3d 648, 657 (6th Cir. 2002); In re Airadigm Commc’ns, Inc., 519 F.3d 640, 656 (7th Cir. 2008); In re Seaside Eng’g & Surveying, Inc., 780 F.3d 1070, 1078 (11th Cir. 2015).

[8] Coco, supra note 4, at 240.

[9] See In re Pacific Lumber Co., 584 F.3d 229, 252–53 (5th Cir. 2009); In re W. Real Estate Fund, Inc., 922 F.2d 592, 600 (10th Cir. 1990).

[10] 11 U.S.C. § 524(e).

[11] In the Matter of Highland Capital Management, L.P., 48 F.4th 419 (5th Cir. 2022).

[12] Id. at 437–38.

[13] Id.

[14] Brief for a Writ of Certiorari at 4, Highland Capital Management, L.P. v. NexPoint Advisors, L.P., No. 22-631 (petition for cert. filed Jan. 5, 2023).

[15] Brief for Respondents at 2, Highland Capital Management, L.P. v. NexPoint Advisors, L.P., No 22-631 (petition for cert. filed Feb. 10, 2023).

[16] Id.

[17] Id. at 10.

[18] See Etkin & Brown, supra note 2, at 26.

[19] In re Aegean Marine Petroleum Network Inc., 599 B.R. 717, 726 (S.D.N.Y. 2019).

[20] In re Boys Scouts of America and Delaware BSA, LLC, 642 B.R. 504 (Bankr. D. Del. 2022).

[21] In re Purdue Pharma, L.P., 635 B.R. 26 (S.D.N.Y. 2021).

[22] Coco, supra note 4, at 265.

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