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Mark H. Berens v. Eugene A. Ludwig, Comptroller of the Currency, and Marquette Bank, N.A., as Successor in Interest to Marquette Bank Shakopee, N.A.

Citations: 160 F.3d 1144; 1998 U.S. App. LEXIS 28797; 1998 WL 797169Docket: 97-3545

Court: Court of Appeals for the Seventh Circuit; November 17, 1998; Federal Appellate Court

Narrative Opinion Summary

In this case, a minority shareholder contested the valuation of his shares during the consolidation of Marquette Bank Shakopee into Marquette Bank, arguing that the valuation determined by the Comptroller of the Currency was arbitrary and seeking additional interest on the share value. Under 12 U.S.C. § 215(d), the Comptroller appraised the shares at $13,034 each, slightly higher than the bank's initial valuation but considerably lower than the shareholder's appraiser's estimate. The valuation dispute centered on the treatment of what the shareholder deemed as 'excess capital.' Both parties agreed on a comparative valuation method but differed in their treatment of surplus capital and earnings. The district court dismissed the shareholder's claims, and the appellate court affirmed this decision, holding that the Comptroller's valuation methods were not arbitrary under the Administrative Procedure Act. The shareholder also sought prejudgment interest, but the court noted that such interest is not awarded unless the plaintiff prevails, which was not the case here. Additionally, the court found that the shareholder had waived the argument regarding the prompt payment requirement by failing to raise it timely in the proceedings. The court's decision underscores the importance of timing in legal arguments and the deference given to administrative valuations unless proven unreasonable.

Legal Issues Addressed

Arbitrariness under the Administrative Procedure Act

Application: The court found that the valuation method employed by the Comptroller was reasonable and not arbitrary despite differing from the petitioner’s higher valuation.

Reasoning: The intrinsic value of bank stock is primarily tied to expected income and associated risk, which is reflected in the price-to-earnings ratio of similar banks.

Prejudgment Interest in Federal Lawsuits

Application: Prejudgment interest is not awarded unless the plaintiff prevails, and the statute under 12 U.S.C. § 215 does not explicitly provide for interest on the appraised share value.

Reasoning: However, such interest is only granted to prevailing plaintiffs, and since Berens lost his case challenging the Comptroller's valuation, he cannot claim this interest as a remedy.

Share Valuation under 12 U.S.C. § 215(d)

Application: The Comptroller of the Currency's determination of share value is subject to review for arbitrariness, but deference is given to the Comptroller’s methodology unless it’s found to be unreasonable.

Reasoning: The review of the Comptroller's valuation is deferential, indicating that his weighting of the price-earnings method and disregard for excess capital were not arbitrary.

Waiver of Issues on Appeal

Application: Arguments not raised at the appropriate time during proceedings may be considered waived, as demonstrated by the appellant's late invocation of statute 12 U.S.C. § 215 regarding prompt payment.

Reasoning: Nonetheless, he did not invoke this section until the oral argument of his appeal, rendering the issue waived according to precedent.