Western Reserve Life Assurance v. ADM Associates, LLC , 793 F.3d 168 ( 2015 )

United States Court of Appeals
For the First Circuit
No. 12-2208
WESTERN RESERVE LIFE ASSURANCE CO. OF OHIO,
Plaintiff, Appellant,
v.
ADM ASSOCIATES, LLC,
Defendant, Appellee.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF RHODE ISLAND
[Hon. William E. Smith, U.S. District Judge]
Before
Lynch and Selya, Circuit Judges,
and Hillman,* District Judge.
Michael J. Daly, with whom Catherine R. Connors, Brooks R.
Magratten, and Pierce Atwood LLP were on brief, for appellant.
Thomas J. Gallitano, Conn Kavanaugh Rosenthal Peisch & Ford,
LLP, Jason P. Gosselin, and Drinker Biddle & Reath LLP on brief
for American Council of Life Insurers, amicus curiae.
Robert F. Weber, with whom Randy Olen was on brief, for
appellee.
July 16, 2015
* Of the District of Massachusetts, sitting by designation.
SELYA, Circuit Judge. This is an appeal from a judgment
entered by the United States District Court for the District of
Rhode Island. See W. Reserve Life Assur. Co. of Ohio v. Conreal
LLC, 715 F. Supp. 2d 270, 290 (D.R.I. 2010), on reconsideration in
part sub nom. W. Reserve Life Assur. Co. of Ohio v. Caramadre, 847
F. Supp. 2d 329 (D.R.I 2012). The underlying case was brought in
diversity jurisdiction, see 28 U.S.C. § 1332(a), and the
substantive rules of decision emanate from Rhode Island law, see
Erie R.R. Co. v. Tompkins, 304 U.S. 64, 78 (1938).
We heard oral argument on November 6, 2013. Because the
controlling issues were issues of Rhode Island law as to which
substantial doubt existed, we certified two questions to the Rhode
Island Supreme Court pursuant to Rule 6 of that court's Rules of
Appellate Procedure. See W. Reserve Life Assur. Co. of Ohio v.
ADM Assocs., LLC, 737 F.3d 135, 143 (1st Cir. 2013). On June 17,
2015, the Rhode Island Supreme Court furnished us with answers to
the certified questions. See W. Reserve Life Assur. Co. of Ohio
v. ADM Assocs., LLC, No. 2014-35-M.P., 2015 WL 3771841 (R.I. June
15, 2015).
Upon review of those answers, we issued a show-cause
order, directing the appellant to show cause as to why the judgment
of the district court should not be affirmed. The time set for a
showing of cause having expired and no cause having been shown, we
now affirm the judgment below substantially on the basis of the
- 2 -
answers to the certified questions furnished by the Rhode Island
Supreme Court.
Affirmed.
- 3 -