United States District Court, D. Columbia.
Decided January 5, 2015.
WILLIAM SUMNER SCOTT, Plaintiff, Pro se, Miami, FL.
STEVEN A. FRANKEL, Esquire, Defendant, Pro se, Hollywood, FL.
For U.S. COMMODITY FUTURES TRADING COMMISSION, Defendant: Leslie Randolph, LEAD ATTORNEY, COMMODITY FUTURES TRADING COMMISSION, Washington, DC; Robert A. Schwartz, U.S. COMMODITY FUTURES TRADING COMMISSION, Washington, DC.
[Dkt. ## 5. 13]
RICHARD J. LEON, United States District Judge.
Plaintiff William Sumner Scott (" plaintiff' or " Scott" ), proceeding pro se, brought this suit on June 26, 2014, alleging violations of his First, Fourth and Fifth Amendment rights, abuse of process, extrinsic fraud, and deprivation of rights under 42 U.S.C. § 1983, against Defendants Steven A. Frankel (" Frankel" ) and the United States Commodity Futures Trading Commission (" Commission" or " CFTC" ). See Scott Compl. for Damages, Mandatory Injunction and Declaratory Relief [Dkt. # 1], at ¶ ¶ 65-77 (" Complaint" or " Compl." ). Before this Court are defendants' motions to dismiss the complaint under Rules 12(b)(1), 12(b)(2), 12(b)(3), 12(b)(5) and 12(b)(6) of the Federal Rules of Civil Procedure for lack of subject matter jurisdiction, personal jurisdiction, ineffective service of process, improper venue, and failure to state a claim. See Steven A. Frankel, Esquire's Mot. to Dismiss Pl.'s Compl. [Dkt. # 5] (" Frankel Mem." ); U.S. Commodity Futures Trading Commission's Mot. to Dismiss [Dkt. # 13] (" CFTC Mem." ). Because this Court lacks subject matter jurisdiction, the motion will be GRANTED and the case DISMISSED.
Plaintiff is a Florida resident whose complaint challenges the circumstances surrounding the revocation of his license to practice law in Florida. See Compl. ¶ 14. In 2010, the Supreme Court of Florida suspended Scott from the Florida bar for three years. Florida Bar v. Scott, 39 So.3d 309, 311-14 (Fla. 2010), cert. denied, 562 U.S. 1030, 131 S.Ct. 581, 178 L.Ed.2d 415 (2010) (cited at Compl. ¶ 14). That court held, on the basis of factual findings supported by " competent, substantial evidence" that was " more than amply" sufficient, plaintiff violated the state's ethics laws. Id. at 316-17. Scott petitioned the U.S. Supreme Court for a writ of certiorari, and the Supreme Court denied that petition in November 2010. As a direct consequence of this suspension, the National Futures Association (" NFA" ), a self-regulatory organization supervising the futures industry, revoked Scott's registration as a commodity trading advisor and as an " associated person," which plaintiff refers to as " Series 3 designations." See Compl. ¶ 51; CFTC Mem. at 4.
After those decisions by the highest courts of the United States and Florida became final, Scott filed two lawsuits
against Frankel in the United States District Court for the Southern District of Florida, seeking damages, declaratory and injunctive relief for injuries he claims arose from his suspension from the practice of law and the revocation of his Series 3 designations, both of which were dismissed for lack of subject-matter jurisdiction. See Scott v. Frankel, No. 12 Civ. 23930, (S.D. Fla. Sept. 18, 2013) ECF No. 69, aff'd, 562 F.App'x 950 (11th Cir. 2014); Scott v. Frankel, No. 14 Civ. 20230, (S.D. Fla. Sept. 15, 2014), ECF No. 27. Scott also appealed those revocations to the CFTC, based primarily on arguments that the Florida Supreme Court's decision was incorrect. On March 13, 2014, the Commission issued an order upholding the NFA's decision. In the Matter of William S. Scott v. National Futures Association, CFTC
Docket No. CRAA-12-02. In April 2014, Scott petitioned for review of that Commission order in our Court of Appeals, Case No. 14-1050. The CFTC moved to dismiss that petition on the bases that it was untimely and filed in the incorrect venue. On September 18, ...