Michael Earl Wilson v John Forster Emmott
[2023] EWHC 2415 (KB)
Thomas Ward & Anor v Secretary of State for Business, Energy & Industrial Strategy
30 April 2024
[2024] EWCA Civ 482
Court of Appeal
Mr. Ward lost a case because the judge said he couldn't re-fight a previous case's facts. Although the judge may have used the wrong legal term, the higher court agreed that re-litigating the same issues would be unfair and inefficient, so the appeal was rejected.
Key Facts
- •Mr. Ward faced proceedings in the Upper Tribunal (UT) following FCA regulatory breaches, resulting in a nearly £500,000 penalty.
- •Parallel proceedings were brought by the Secretary of State under the Directors Disqualification Act, intentionally delayed to follow the UT decision.
- •The trial judge ruled Mr. Ward couldn't challenge the UT's factual findings, citing res judicata.
- •Mr. Ward appealed, arguing the judge wrongly applied res judicata, as the Secretary of State wasn't a party to the UT proceedings.
- •The Court of Appeal considered whether the judge's application of res judicata was correct and whether a collateral attack constituted an abuse of process.
Legal Principles
Res judicata
Various case laws mentioned throughout the judgment
Issue estoppel
Various case laws mentioned throughout the judgment
Abuse of process
Virgin Atlantic Airways v Zodiac Seats UK [2014] AC 150, Secretary of State v Bairstow [2004] Ch 1, Allsop v Banner Jones [2022] Ch 55, Secretary of State v Potiwal [2012] EWHC 3723 (Ch)
Outcomes
Permission to appeal refused.
While the judge's narrow application of res judicata might have been incorrect, the Court of Appeal found that a respondent's notice would likely succeed on abuse of process grounds. The Court considered the significant overlap in issues, the deliberate procedural management to align the proceedings and the potential for inconsistent findings if the challenge was permitted. The appeal had no real prospect of success.
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