1. Appeal and Error--preservation of issues--bootstrapped argument--not allowed
Defendant in an action arising from a bail bond was not allowed to bootstrap his
unpreserved argument regarding submission of punitive damages to the jury onto his challenge
to the court's allowance of plaintiff's motion to amend her pleadings.
2. Pleadings--amendment--punitive damages
The trial court did not abuse its discretion in an action arising from a bail bond by
allowing plaintiff's motion to amend her pleadings to conform to the evidence and seek punitive
damages. The specific language of the complaint sufficiently articulated a claim for punitive
damages so as to put defendant on notice in that the complaint alleged that defendant wrongfully
arrested plaintiff, thereby inflicting severe emotional distress, and that his acts were deliberate,
vicious, malicious, and without just cause or excuse. Defendant advanced no suggestion of
additional witnesses he might have called, further cross-examination he would have conducted,
supplementary witnesses he would have introduced, or how amendment otherwise prejudiced
him in maintaining his defense.
3. Appeal and Error--preservation of issues--instructions on punitive damages--no
objection
Defendant waived any challenge to an instruction on punitive damages in an action
arising from a bail bond by not objecting at trial.
4. Trial--comments by judge--clarification of testimony--not prejudicial
Defendant in a civil claim arising from a bail bond did not show that comments by the
trial court were so disparaging in their effect that they could reasonably be said to have
prejudiced defendant where there was no indication that the trial court in any manner renounced
the seriousness of the trial or discredited the sanctity of the courtroom and the probable effect of
the court's interjections may reasonably be considered as having been to clarify testimony and
ensure that jurors were able to hear.
5. Appeal and Error--preservation of issues--no argument in brief--issue waived
A cross assignment of error which was not supported by an argument in the brief was
waived.
Judge WALKER concurring in part and dissenting in part.
Appeal by defendant from judgment entered 30 July 1997 by
Judge Thomas W. Seay, Jr., in Rowan County Superior Court. Heard
in the Court of Appeals 29 October 1998.
David Y. Bingham and Thomas M. King for plaintiff-appellee.
The Holshouser Law Firm, by John L. Holshouser, Jr., for
defendant-appellant.
JOHN, Judge.
Defendant Ray Farmer, t/d/b/a Ray Farmer Bonding, appeals
the judgment of the trial court, arguing the court (1) abused
its discretion in allowing [p]laintiff to [a]mend her [c]omplaint
. . . after the close of all of the evidence; and (2) erred by
submitting the issue of [p]unitive [d]amages to the [j]ury.
Defendant also assigns error to certain comments by the trial
court. Plaintiff Jenny Barbee Shore cross-assigns as error the
court's failure to submit the issue of . . . unfair and
deceptive trade practice[s] to the jury. We conclude the trial
court committed no prejudicial error.
Pertinent facts and procedural history include the
following:
During a June 1991 vacation in Myrtle Beach, South Carolina,
plaintiff and her husband were arrested on North Carolina
warrants. The couple waived extradition and were transported tothe Ashe County jail. Three days later, plaintiff was
transferred to the Watauga County jail.
Defendant, a professional bail bondsman, subsequently
represented to plaintiff that $75,000.00 in premiums would
procure the requisite bail bonds to secure her release. On 25
June 1991, plaintiff advanced defendant a portion of the
specified amount and promised tender of the balance within ten
(10) days of her release. Upon defendant's posting of
plaintiff's bail, she was released and subsequently paid
defendant the amount due on 29 June 1991. At that time,
plaintiff and defendant discussed bond for plaintiff's husband.
The latter was released two days later upon defendant's posting
of bail upon receipt of a $10,000.00 premium procured by placing
a charge in that amount on the Gold Master Credit Card of Bob
LaBianca (LaBianca). On 26 July 1991, however, defendant was
informed by LaBianca's bank that LaBianca had signed a statement
indicating he did not authorize the $10,000.00 credit.
On 12 August 1991, Shore and her husband, along with their
two children, traveled to the Allegheny County courthouse for a
scheduled bond hearing. However, defendant and two other
bondsmen were waiting to arrest and surrender plaintiff and her
husband into custody. While handcuffing plaintiff in the
presence of her children and other onlookers, defendant stated hewas causing her to be surrendered because her husband had not
paid his bond in consequence of LaBianca's recission of the
$10,000.00 credit card charge.
On 16 October 1995, plaintiff filed the instant action
alleging breach of contract, unfair and deceptive trade
practices, and false imprisonment or wrongful arrest resulting in
severe emotional distress. By answer filed 9 January 1996,
defendant generally denied plaintiff's allegations and asserted
that all actions taken by [d]efendant with respect to plaintiff
were fully authorized and prescribed by law.
At trial, upon oral motion by plaintiff to amend after
presentation of all evidence, the trial court submitted an issue
of punitive damages to the jury. Plaintiff thereafter filed a
written amendment to her complaint so as to assert a claim for
punitive damages in an amount in excess of Ten Thousand Dollars
($10,000.00). The jury found in plaintiff's favor and awarded,
inter alia, $150,000.00 in punitive damages. Plaintiff and
defendant filed timely notice of appeal.
[1]We first consider defendant's contention that the trial
court abused its discretion in allowing plaintiff-appellee to
amend her complaint to request punitive damages. We disagree.
We note initially that this issue, as argued by defendant in
his appellate brief and discussed by the dissent, is not properlybefore us. The parties recite only that plaintiff's oral motion
to amend her complaint to allege a claim for punitive damages was
allowed by the trial court, over defendant's objection, during an
unrecorded, in-chambers conference during which the court's
charge to the jury was discussed. Both defendant and the dissent
presently challenge the action of the trial court on grounds, in
the words of defendant, that punitive damages are not
recoverable in a mere breach-of-contract case.
However, as noted below, defendant lodged no objection on
the record to the submission of a punitive damages issue to the
jury either at the recorded charge conference or subsequent to
the trial court's jury charge. See N.C.R. App. P. 10(b)(2) ([a]
party may not assign as error any portion of the jury charge or
omission therefrom unless he objects thereto before the jury
retires to consider its verdict). We do not believe defendant
may now properly attempt to bootstrap his unpreserved argument
regarding submission of punitive damages to the jury onto his
challenge to the court's allowance of plaintiff's motion to
amend. See State v. Trull, 349 N.C. 428, 446, 509 S.E.2d 178,
191 (1998) (where evidence admitted over objection and later
admitted without objection, the benefit of the objection is
lost), and State v. Hayes, 350 N.C. 79, 80, 511 S.E.2d 302, 303
(1999) (pre-trial motion in limine fails to preserve issue forappellate review when no objection lodged at time challenged
evidence is introduced at trial). Accordingly, it is unnecessary
to address either defendant's contentions or the exhaustive
commentary by the dissent regarding the propriety of punitive
damages in a case wherein a surety is accused of wrongfully
surrendering a principal.
(See footnote 1)
[2]Turning to the question actually before us, we observe
that
[w]hen issues not raised by the pleadings are
tried by the express or implied consent of
the parties, they shall be treated in all
respects as if they had been raised in the
pleadings. Such amendment of the pleadings
as may be necessary to cause them to conform
to the evidence and to raise these issues may
be made upon motion of any party at any time,
either before or after judgment, but failure
so to amend does not affect the result of the
trial of these issues. If evidence is
objected to at the trial on the ground that
it is not within the issues raised by the
pleadings, the court may allow the pleadings
to be amended and shall do so freely when the
presentation of the merits of the action will
be served thereby and the objecting party
fails to satisfy the court that the admission
of such evidence would prejudice him in
maintaining his action or defense upon the
merits. The court may grant a continuance to
enable the objecting party to meet such
evidence.
N.C.G.S. § 1A-1, Rule 15(b) (1990) (Rule 15(b)) (emphasis added).
The effect of Rule 15(b)
is to allow amendment by implied consent to
change the legal theory of the cause of
action so long as the opposing party has not
been prejudiced in presenting his case, i.e.,where he had a fair opportunity to defend his
case.
Roberts v. Memorial Park, 281 N.C. 48, 59, 187 S.E.2d 721, 727
(1972). Further, the trial court's ruling on a motion to amend
pleadings may be reversed on appeal only upon a showing of abuse
of discretion. See Hassett v. Dixie Furniture Co., 104 N.C.
App. 684, 688, 411 S.E.2d 187, 190 (1991), rev'd on other
grounds, 333 N.C. 307, 425 S.E.2d 683 (1993).
In the case sub judice, plaintiff's complaint alleged
defendant wrongfully arrested her thereby inflicting severe
emotional distress, and that his acts were deliberate, vicious,
malicious, and without just cause or excuse. The specific
language of the complaint thus sufficiently articulated a claim
for punitive damages as to put defendant on notice of such a
claim. See Holloway v. Wachovia Bank & Trust Co., 339 N.C. 338,
348, 452 S.E.2d 233, 238 (1994) (complaint alleging intentional
infliction of emotional distress and intentional acts of the
type . . . giving rise to punitive damages sufficiently put
defendants on notice of plaintiffs' punitive damages claim); see
also Stanback v. Stanback, 297 N.C. 181, 196-98, 254 S.E.2d 611,
621-24 (1979) (plaintiff's punitive damages claim properly
submitted to jury where plaintiff's complaint with respect to
punitive damages [was] sufficient at least to state a claim fordamages for an identifiable tort accompanying a breach of
contract and also alleged defendant acted wilful[ly],
malicious[ly] . . . recklessly and irresponsibly and with full
knowledge).
Moreover, we note defendant has advanced no suggestion of
additional witnesses he might have called, further cross-
examination he would have conducted, supplementary exhibits he
would have introduced, or how amendment otherwise prejudiced him
in maintaining his defense. See Trucking Co. v. Phillips, 51
N.C. App. 85, 90, 275 S.E.2d 497, 500 (1981) (defendants failed
to show how the amendments [to pleadings so as to conform to the
evidence] would [have] prejudice[d] them in maintaining their
defense).
Accordingly, we cannot say the trial court abused its
discretion in allowing plaintiff's motion to amend her pleadings
so as to conform to the evidence presented. Rather, it appears
defendant was afforded adequate notice of plaintiff's claim for
punitive damages and that he had fair opportunity to defend
against such claim. See Roberts, 281 N.C. at 59, 187 S.E.2d at
727.
[3]Returning to defendant's argument as presented in his
appellate brief that the trial court erred by submitting the
issue of punitive damages to the jury, we reiterate that therecord reflects no objection by defendant to any evidence tending
to support plaintiff's claim for punitive damages or, as
previously noted, to the court's instruction of the jury on that
issue. Indeed, the transcript reflects the following multiple
opportunities at which defendant might have lodged objection to a
jury instruction on punitive damages:
The Court: I'll hear each of you . . . does
anybody want to say anything at all about the
issues that I've [set out], beyond what we
have here?
[Brief response from counsel for plaintiff;
no response from counsel for defendant.]
....
The Court: So, that's what I - does anybody
want to say anything before I send her out to
type up the issues?
[Counsel for Plaintiff]: As to the charge
which your Honor has indicated he'd give,
we'd concur.
The Court: Mr. Holshouser?
[Counsel for defendant]: (No response.)
....
The Court: This is in the absence of the
jury. Before sending the verdict sheet I
will entertain any specific objections to the
charge from the plaintiff.
[Counsel for plaintiff]: We have none, Your
Honor.
The Court: From the defendant?
[Counsel for defendant]: None, Your Honor.
(emphasis added).
Therefore, as no objection was proffered at trial to
evidence sustaining plaintiff's claim for punitive damages or to
the court's jury instruction on that issue, defendant has waived
his right to challenge such instruction on appeal. See N.C.R.
App. P. 10(b)(2); see also J.M. Westall & Co. v. Windswept View
of Asheville, 97 N.C. App. 71, 76, 387 S.E.2d 67, 69, disc.
review denied, 327 N.C. 139, 394 S.E.2d 175 (1990) (if no
objection is made to evidence on the ground that it is outside
the issues raised by the pleadings, [then] the issue raised by
the evidence may be placed before the jury).
[4]Defendant also maintains the trial court
improperly expressed [it]s opinion by making
disparaging remarks in verbal exchanges with
defendant and remarks regarding defendant's
witnesses in the presence of the jury.
This assertion is unfounded.
A trial court may not express during any stage of the
trial, any opinion in the presence of the jury on any question of
fact to be decided by the jury. N.C.G.S. § 15A-1222 (1997).
However, to justify award of a new trial on appeal, a defendant
must establish that comments of the trial court were sodisparaging in their effect that they could reasonably be said to
have prejudiced the defendant. Board of Transportation v.
Wilder, 28 N.C. App. 105, 107, 220 S.E.2d 183, 184 (1975); cf.
N.C.G.S. § 1A-1, Rule 61 (1990) (harmless error does not warrant
new trial). The criteria for determining whether comments of the
trial court unfairly prejudiced a party is the probable effect
[of the allegedly improper comments] on the jury. Saintsing v.
Taylor, 57 N.C. App. 467, 473, 291 S.E.2d 880, 884, disc. review
denied, 306 N.C. 558, 294 S.E.2d 224 (1982).
Defendant points to some seven allegedly prejudicial
statements of the trial court, relying upon McNeill v. Durham
County ABC Bd., 322 N.C. 425, 368 S.E.2d 619 (1988). In McNeill,
our Supreme Court held a new trial was required based upon
approximately thirty-seven (37) remarks of the trial court
determined to have been unfairly prejudicial. The Court stated
the trial judge therein had diminished the seriousness of the
[trial] through the appearance of antagonism towards the
defense attorney and his repeated commentary which produced
episodic laughter sufficient in time and manner to warrant
notation by the court reporter. Id. at 429, 368 S.E.2d 622.
As an example of the remarks sub judice which defendant
characterizes as harsh rebukes, disparaging, and as
express[ing] a distinct dislike of [defendant] and an antagonismtoward his case, defendant cites the occasion of his testimony
concerning receipt of a subpoena:
Q: Does the back of the subpoena,
which contains the service information,
indicate the date that that [sic] was
received?
A: I didn't receive it-
Q: No, the date received is what?
A: It's got marked on there, 7-17.
THE COURT: Would you just listen to
the question he asks you, Mr. Farmer, and
answer the question he asks you, now. Just
let him answer the question. Look on the
form and see if it's got a date it was
received. There's nothing difficult about
that. Answer the question Mr. Farmer.
. . . .
Q: And this indicates that Ray Farmer
was subpoenaed by telephone communication,
doesn't it?
A: Yes, sir.
Q: But, your testimony is that these
Court records are wrong. Is that correct?
A: Yes, sir.
THE COURT: You say you didn't get
subpoenaed? That that subpoena wasn't served
on you by telephone as it reflects in the
record? This is important stuff, Mr. Farmer.
A. I know, Your Honor.
. . . .
THE COURT: And you didn't get served
by telephone by anybody?
A: I was called by someone. I don't
know who.
THE COURT: You got called.
Our review of the instant record reveals the trial court's
remarks, considered in context, were not unduly prejudicial to
defendant and are distinguishable from the comments of the trial
court deemed prejudicial in McNeill. First, there is no
indication the trial court in any manner renounced the
seriousness of the trial or discredited the sanctity of the
courtroom. See id. at 429, 368 S.E.2d 622. In addition,
defendant's protestations to the contrary, the probable effect,
Saintsing, 57 N.C. App. at 472, 291 S.E.2d at 884, of the court's
interjections noted above, as well as the other instances
complained of, may reasonably be considered as having been to
clarify the testimony of witnesses and ensure that the jurors
were able to hear what was being said. See Roberson v. Roberson,
40 N.C. App. 193, 194, 252 S.E.2d 237, 238 (1979) ([T]he power
of the trial judge to maintain absolute control of his courtroom
is essential to the maintenance of proper decorum and the
effective administration of justice); see also N.C. State Bar v.
Talman, 62 N.C. App. 355, 362, 303 S.E.2d 175, 179 (trial judge
has privilege and duty to ask questions of witnesses whennecessary for purpose of clarification and to ascertain truth),
disc. review denied, 309 N.C. 192, 305 S.E.2d 189 (1983).
Perhaps more significantly and unlike the situation in
McNeill where the disaffection displayed toward the defendant's
attorney by the trial court was not visited upon plaintiff's
witnesses, McNeill, 322 N.C. at 429, 368 S.E.2d at 622, comments
by the trial court herein similar to those set out above were
expressed during plaintiff's presentation of evidence. For
example, the court directed plaintiff's witnesses to listen to
the questions they were being asked, and sought on occasion to
clarify questions and answers elicited on behalf of plaintiff.
In short, defendant has failed to show the challenged comments of
the trial court were so disparaging in their effect that they
could reasonably be said to have prejudiced the defendant.
Wilder, 28 N.C. App. at 107, 220 S.E.2d at 184.
[5]Concerning plaintiff's cross-assignment of error
asserting the trial court failed to submit the issue of whether
Defendant's conduct was an unfair and deceptive trade practice to
the jury, we observe plaintiff has set forth no argument in her
appellate brief in support of this contention. As such,
plaintiff has waived this issue on appeal and we decline to
consider it. See N.C.R. App. P. 28(b)(5) ([a]ssignments of
error not set out in appellant's brief, or in support of which noreason or argument is stated or authority cited, will be taken as
abandoned).
No error.
Judge MARTIN concurs.
Judge Walker concurs in part and dissents in part.
It is likened to the rearrest by the sheriff
of an escaping prisoner. In 6 Modern it is
said: The bail have their principal on a
string, and may pull the string whenever they
please and render him in their discharge.
Taylor v. Taintor, 83 U.S. (16 Wall.) 366, 371-72, 21 L. Ed. 287,
290 (1872)(emphasis added).
The broad power given to bail bondsmen is derived from a
contractual relationship between the surety and the principal.
Mathis, 349 N.C. at 510, 509 S.E.2d at 159. As our Supreme Court
stated the bond agreement provides that the surety post the
bail, and in return, the principal agrees that the surety can
retake him at any time, even before forfeiture of the bond. Id.
(emphasis added). The government is not to interfere with this
private right to recapture on the part of the surety and the
seizure of the principal by the surety is technically not an
'arrest' at all and may be accomplished without process of law.
Id. The common law of North Carolina has always recognized the
broad powers of bail bondsmen. Id. at 511, 509 S.E.2d at 160.
In addition, N.C. Gen. Stat. § 58-71-20 (Cum. Supp. 1998)
provides as follows:
At any time before there has been a breach of
the undertaking in any type of bail or fine
and cash bond the surety may surrender the
defendant to the official to whose custody
the defendant was committed at the time bail
was taken, or to the official into whose
custody the defendant would have been given
had he been committed; in such case the full
premium shall be returned within 72 hours
after the surrender. The defendant may be
surrendered without the return of the premium
for the bond if the defendant does any of the
following:
(1) Willfully fails to pay the
premium to the surety or
willfully fails to make a
premium payment under the
agreement specified in G.S.
58-71-167.
(2) Changes his or her address
without notifying the surety
before the address change.
(3) Physically hides from the surety.
(4) Leaves the State without the
permission of the surety.
(5) Violates any order of the court.
Thus, it is clear that a bail bondsman may take a defendant
into custody at any time. Bail bondsmen usually base their
decision to surrender a principal based on concern that the
defendant will jump bail and fail to appear; however, they are
not required to do so. If a bail bondsman turns in a defendant
without justification, he is liable only in contract. As the
statute provides, the bail bondsman would be required to refund
the bond premium to the principal. In this case, regardless of
whether or not plaintiff has a valid claim for a breach of
contract, when the defendant surrendered the plaintiff, he was
within his right to do so. Therefore, there can be nothing
aggravating about defendant's conduct to warrant punitive damages
since he acted within the bounds of the law when he surrendered
plaintiff. Any further restraints placed on the broad powers
accorded bail bondsmen should be done by the legislature, not by
subjecting them to punitive damages where juries do not have an
understanding of the rights of the bail bondsmen or of the role
they perform in the criminal justice system.
[n]o . . . case[] . . . require[s] proof of a
separate identifiable tort unrelated to the
contract . . . . [T]he tort [wrongful arrest
in the instant case] need only be
identifiable and . . . punitive damages maybe recoverable even though the tort also
constitutes ... a breach of contract.
Dailey v. Integon Ins. Corp., 75 N.C. App. 387, 395-96, 331
S.E.2d 148, 154 (quoting Newton v. Standard Fire Insurance Co.,
291 N.C. 105, 111, 229 S.E.2d 297, 301 (1976)), disc. review
denied, 314 N.C. 664, 336 S.E.2d 399 (1985).
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