In re the Disciplinary Proceeding Against Smith
In re the Disciplinary Proceeding Against Smith
Opinion of the Court
¶1 This case presents us with the question of whether rule 10.14(c) of the Rules for Enforcement of Lawyer Conduct (ELC), which provides that the record of a civilian criminal conviction is conclusive evidence of the underlying misconduct at an attorney disciplinary proceeding, violates state and federal constitutional requirements. We hold that it does not.
¶2 ELC 10.14(c) states that the court record of an attorney’s criminal conviction is conclusive evidence of his guilt at a disciplinary proceeding. A federal court convicted attorney J. David Smith of conspiracy to commit securities and wire fraud. Based on ELC 10.14(c), a hearing officer concluded that Smith violated several provisions of the Rules of Professional Conduct (RPC) and recommended disbarment. The Washington State Bar Association Disciplinary Board (Board) agreed. Smith appeals, arguing that ELC 10.14(c) is unconstitutional and that there is insufficient evidence to warrant his disbarment. Smith’s appeal is denied, and we disbar him.
¶3 On February 12, 2004, federal prosecutors charged attorney Smith with several violations of federal law.
¶4 The Washington State Bar Association (Association) filed a formal complaint against Smith alleging that his criminal acts violated several RPC provisions.
¶5 On December 10, 2008, the hearing officer conducted a hearing to determine the appropriate sanctions for Smith’s misconduct. At the hearing, despite the adamant protests of Smith’s counsel, the hearing officer refused to
¶6 On January 14, 2009, the hearing officer issued his findings and recommendations. The hearing officer adopted numerous facts from Smith’s plea agreement and statements from his guilty plea colloquy and sentencing proceeding. He determined that Smith’s misconduct violated several RPC provisions.
¶7 The Board filed a unanimous order adopting the hearing officer’s determination that Smith violated RPC 8.4(b), 8.4(c), and 8.4(i) and the hearing officer’s recommendation to disbar Smith. However, the Board dismissed the violations of RPC 1.2(d) and 4.1(a) and (b), finding that the hearing officer could rely only on the formal complaint and answer to determine Smith’s ethical violations. The Board determined that the elements of Smith’s crime did not involve counseling or assisting clients and that there was insufficient evidence to conclude that Smith violated RPC 1.2(d) and 4.1(a) and (b). Smith appealed the Board’s order. We deny Smith’s appeal and adopt the Board’s conclusions that Smith violated RPC 8.4(b), 8.4(c), and 8.4(i). We disbar Smith from practicing law in the state of Washington.
¶8 We hold that the operation of ELC 10.14(c) in Smith’s disciplinary proceedings did not violate his due process rights and that there is sufficient evidence to warrant the Board’s findings. For these reasons, he is disbarred.
1. Standard of Review
¶9 We retain the ultimate responsibility for lawyer discipline in Washington. In re Disciplinary Proceeding Against Vanderveen, 166 Wn.2d 594, 604, 211 P.3d 1008 (2009). However, we give great weight to the hearing officer’s factual findings and will uphold those findings supported by substantial evidence. Id.; In re Disciplinary Proceeding Against Poole, 156 Wn.2d 196, 208-09, 125 P.3d 954 (2006). We review legal conclusions de novo and will uphold legal conclusions supported by the findings of fact. Vanderveen, 166 Wn.2d at 604. While we review recommended sanctions de novo, we generally affirm the Board’s recommended sanction unless we can articulate a specific reason to reject it. Id.; In re Disciplinary Proceeding Against Guarnero, 152 Wn.2d 51, 59, 93 P.3d 166 (2004).
2. ELC 10.14(c) Does Not Violate Constitutional Due Process Guaranties
¶10 In a disciplinary hearing, ELC 10.14(c) provides that a prior criminal conviction is conclusive evidence that an attorney committed the crime that forms the basis of his conviction. An attorney may not dispute “the essential facts regarding a prior criminal conviction for the purposes of a disciplinary proceeding.” Vanderveen, 166 Wn.2d at 608. Though an attorney may present matters in mitigation, he may only “ ‘offer evidence of mitigating circumstances not inconsistent with the essential elements of the crime whose existence is conclusively established by the finding of guilt.’ ” Id. (internal quotation marks omitted) (quoting In re Disciplinary Proceeding Against Perez-Pena, 161 Wn.2d
¶11 Smith challenges the hearing officer’s factual findings and argues that ELC 10.14(c) deprives him of his constitutional rights to due process.
¶12 It is well established under Washington law that a federal criminal conviction is an appropriate basis for disciplinary action against an attorney. See, e.g., In re Disbarment of Hopkins, 54 Wash. 569, 103 P. 805 (1909); In re Proceedings for Disbarment of Wells, 121 Wash. 68, 208 P. 25 (1922); In re Proceedings for Disbarment of Comyns, 132
¶13 Additionally, the historical rules governing attorney discipline in Washington provide that, at a disciplinary proceeding, a criminal conviction is conclusive evidence of an attorney’s guilt. See, e.g., Rem. Comp. Stat. § 139-14; former DRA 1.1(a) (1975); former RLD 4.9 (1983); ELC 10.14(c). Our recent decisions applying ELC 10.14(c) are inapposite. See Vanderveen, 166 Wn.2d 594;Perez-Pena, 161 Wn.2d 820; In re Disciplinary Proceeding Against Day, 162 Wn.2d 527, 173 P.3d 915 (2007).
¶14 As we explained long ago while discussing a predecessor rule to ELC 10.14(c),
[the rule] provides that “the record of conviction shall be conclusive evidence.” The purpose of this last quoted clause is apparent. We have no power to review the judgments of the Federal courts and must accept them as binding on us. The legislature, realizing the futility of going behind the record of conviction in any such case, made that record conclusive evidence and we must accept it as such.
Finch, 156 Wash, at 610 (quoting Rem. Comp. Stat. § 139-14).
¶15 Besides the rule’s historical pedigree in Washington, the vast consensus of modern legal authority supports the constitutionality of rules such as ELC 10.14(c). In addition to Washington, at least 42 other states and the District of
¶16 Further, rule 19(E) of the American Bar Association’s Model Rules for Lawyer Disciplinary Enforcement (2002) states unequivocally that “a certified copy of a judgment of conviction constitutes conclusive evidence that the lawyer committed the crime.” As the high court of Maryland explained:
The requirements of due process having been satisfied at the criminal trial, and the attorney’s guilt having been established beyond a reasonable doubt at that proceeding, a new or other inquiry into the guilt of the attorney for disciplinary purposes is not mandated by either the State or federal constitutions.
Md. State Bar Ass’n v. Rosenberg, 273 Md. 351, 355, 329 A.2d 106 (1974); see also La. State Bar Ass’n v. Wilkinson, 562 So. 2d 902, 903 (La. 1990) (“due process does not require a second opportunity for the lawyer to refute the criminal charges”); Disciplinary Counsel v. McAuliffe, 121 Ohio St. 3d 315, 319, 2009-Ohio-1151, 903 N.E.2d 1209 (2009) (“ ‘a disciplinary proceeding is not an appropriate forum in which to collaterally attack a criminal conviction’ ” (quoting Bar Ass’n of Greater Cleveland v. Chvosta, 62 Ohio St. 2d 429, 430, 406 N.E.2d 524 (1980))); In re Conduct of
fl7 Smith’s attempt to distinguish his federal conviction because it resulted from a guilty plea as opposed to a fully contested trial is unconvincing. “For the purposes of a disciplinary proceeding, a plea of guilty will be treated the same as a jury verdict of guilty.” In re Disciplinary Proceeding Against McGrath, 98 Wn.2d 337, 341, 655 P.2d 232 (1982). In the eyes of the law, a conviction predicated by the defendant’s own plea of guilt is as certain as a conviction based upon a trial on the merits. See State v. Schimmelpfennig, 92 Wn.2d 95, 104, 594 P.2d 442 (1979) (“A plea of guilty should thus be treated no differently than a jury verdict.”); see also Woods v. Rhay, 68 Wn.2d 601, 605, 414 P.2d 601 (1966) (“Unless withdrawn before sentence is pronounced, [a guilty] plea has the same effect in law as a verdict of guilty, for nothing remains to be done save the imposition of sentence.”); Boykin v. Alabama, 395 U.S. 238, 242, 89 S. Ct. 1709, 23 L. Ed. 2d 274 (1969) (“A plea of guilty is more than a confession which admits that the accused did various acts; it is itself a conviction; nothing remains but to give judgment and determine punishment.”); Kercheval v. United States, 274 U.S. 220, 223, 47 S. Ct. 582, 71 L. Ed. 1009 (1927) (stating, “[A guilty plea] is itself a conviction. Like a verdict of a jury it is conclusive. More is not required; the court has nothing to do but give judgment and sentence.”).
¶19 Smith mistakenly refers to the use of his federal conviction in disciplinary proceedings as a “presumption.” The ability of disciplinary counsel to utilize Smith’s felony conviction at the disciplinary proceeding is not a mere “presumption” but is a collateral consequence of his criminal conviction. Convicted felons face a variety of nonpunitive collateral consequences in addition to their punitive criminal sentence. See In re Disciplinary Proceeding Against Walgren, 104 Wn.2d 557, 569, 708 P.2d 380 (1985) (discussing collateral consequences of a felony conviction under Washington law). The lawful judgment of a federal court is not a mere “presumption,” and its use in collateral proceedings is legally unproblematic.
¶20 Lastly, Smith wrongly argues that ELC 10.14(c) rests on the assumption that only guilty people plead guilty. This is not the case. Smith confuses the actual guilt of a defendant with the method used to ascertain whether he is guilty. Were a federal court to wrongly accept an involuntary or coerced guilty plea, the proper remedy is through the appellate review process established in the federal court system. An attorney’s disciplinary proceeding is not the appropriate forum for collateral attacks on a federal conviction.
3. Sufficient Evidence Warrants Smith’s Disbarment
¶22 Based on ELC 10.14(c) and Smith’s federal conviction for conspiracy to commit securities and wire fraud, the Board determined that Smith violated RPC 8.4(b), 8.4(c), and 8.4(i). Sufficient evidence supports all of the Board’s findings.
¶23 Under RPC 8.4(b), it is professional misconduct for a lawyer to “commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects.” Smith’s conspiracy to commit securities and wire fraud is both a criminal act and a criminal act that by its nature involves dishonesty, demonstrating a lack of trustworthiness.
¶24 RPC 8.4(c) prohibits attorneys from engaging in “conduct involving dishonesty, fraud, deceit or misrepresentation.” (Emphasis added.) Smith’s criminal conspiracy to commit fraud violated RPC 8.4(c).
¶25 RPC 8.4(i) prohibits any act “involving moral turpitude ... or other act which reflects disregard for the rule of law.” A felonious conspiracy to commit fraud in violation of federal law is dishonest and immoral conduct that demonstrates a disregard for the rule of law. See Hopkins, 54 Wash, at 572-73 (holding that an attorney’s federal conviction for fraudulent notarizations constitutes a crime of moral turpitude); see also Krogh, 85 Wn.2d at 484 (affirming board conclusion that attorney’s federal conspiracy conviction constitutes a crime of moral turpitude).
¶26 Based on Smith’s ethical violations, disbarment is the appropriate sanction. The American Bar Asso
¶27 Based upon Standards std. 5.11(a), the Board concluded that the appropriate sanction for Smith’s misconduct was disbarment.
¶28 Standards std. 5.11(a) states that disbarment is generally appropriate if a lawyer engages in any “serious criminal conduct a necessary element of which includes ... misrepresentation, fraud, extortion, misappropriation, or theft.” Smith knowingly engaged in a conspiracy to commit fraud that would potentially harm the victims of his fraudulent scheme. Taking into account both Smith’s misconduct and the Standards, the Board properly concluded that the presumptive sanction for Smith is disbarment.
¶29 The hearing officer found one mitigating factor applicable to Smith’s case, i.e., the absence of a prior disciplinary record.
¶30 Disbarment is proportional to Smith’s misconduct and was the unanimous recommendation of both the hearing officer and the Board. “In proportionality review, we compare the case at hand with similarly situated cases in which the same action was either approved or disapproved.” Id. at 616. Disbarment is our general practice when sanctioning attorneys for federal criminal conspiracy convictions; therefore, it is not a disproportionate sanction. See Krogh, 85 Wn.2d at 484 (disbarring attorney based upon federal conspiracy conviction); Wells, 121 Wash, at 74 (disbarring attorney based upon federal conspiracy conviction); Finch, 156 Wash, at 612 (disbarring attorney based upon federal conspiracy conviction); Barnett, 35 Wn.2d 191 (disbarring attorney based upon federal conspiracy conviction). Additionally, the Board unanimously recommended Smith’s disbarment. For these reasons, we affirm the Board and disbar Smith.
Conclusion
¶31 We hold that the operation of ELC 10.14(c) in Smith’s disciplinary proceedings did not violate his due
The United States Attorney’s Office for the Western District of Washington charged Smith with 1 count of criminal conspiracy in violation of 18 U.S.C. § 371; 9 counts of securities fraud in violation of 15 U.S.C. §§ 78j(b) and 78ff(a), 17 C.F.R. § 240.10b-5, and 18 U.S.C. § 2; and 10 counts of wire fraud in violation of 18 U.S.C. §§ 2 and 1343.
The formal complaint alleged violations of RPC 1.2(d), 4.1(a), 4.1(b), 8.4(b), and/or 8.4(c), and/or RPC 8.4(i) (formerly Rules for Lawyer Discipline 1.1(a)).
The hearing officer concluded that Smith’s misconduct violated every provision alleged in the Association’s formal complaint — i.e., RPC 1.2(d), 4.1(a), 4.1(b), 8.4(b), 8.4(c), and 8.4(i).
The hearing officer found the presence of the following aggravating factors: dishonest or selfish motives, a pattern of misconduct, substantial experience in the practice of law, and refusal to acknowledge wrongful nature of conduct.
Smith alleges violations of the Fifth and Fourteenth Amendments to the United States Constitution as well as article I, section 3 of the Washington State Constitution.
See Alaska State Bar R. 26(c); Ariz. Sup. Ct. R. 53(h)(1); Ark. R Regulating Prof’l Conduct op Attorneys § 15(C)(3); Cal. Bus. & Prof’l Code § 6101(a); Colo. R. of P. Regarding Attorney Discipline R. 251.20(a); Conn. Super. Ct. R., Practice Book § 2-41(e); D.C. Bar R. XI, § 10; Fla. State Bar R. 3-7.2(b); Haw. Sup. Ct. R. 2.13(e); Idaho Bar Comm’n R. 512(c); Ill. Sup. Ct. R. 761(f); Iowa Code § 602.10122(1); Kan. R. Regarding Discipline of Attorneys R. 202; La. Sup. Ct. R. § 19(E); Me. Bar R. 7.3(d)(2); Md. R. op P. R. 16.771(g); Mass. Sup. Jud. Ct. R. 4:01, § 12(2); Mich. Ct. R. 9.120(B)(2); Minn. R. on Lawyers Prof’l Responsibility R. 19(a); Miss. State Bar Disciplinary R. 6(a); Mont. R. por Lawyer Discipline Enforcement R. 23(D); Neb. Sup. Ct. R. § 3-326(A); Nev. Sup. Ct. R. 111(5); N.H. Sup. Ct. R. 37(9)(c); N.J. R. of Discipline of Members of Bar R. 1:20-13(c)(1); N.M. Sup. Ct. R. 17-207(0; N.Y. Ct. R. § 603.12(c); N.C. State Bar R. ch. 1, subch. B § .0115(c); N.D. R. for Lawyer Discipline R. 4.1(F); Ohio State Gov’t Bar R. (V) § 5(B); Okla. R. Governing Disciplinary Proceedings R. 7.2; Or. Rev. Stat. § 9.527(2); Pa. R. of Disciplinary Enforcement R. 214(e); R.I. Sup. Ct. R. art. III, R. 12(b); S.C. R. for Lawyer Disciplinary Enforcement R. 16(d); S.D. Codified Laws § 16-19-58; Tenn. Sup. Ct. R. § 14.3; Tex. Gov’t Code Ann. § 81.078(d); Utah R. Governing State Bar R. 14-519(e); W. Va. Lawyer Discipline R. 3.18(e); Wis. Sup. Ct. R. 22.20(5); Disciplinary Code for Wyo. State Bar § 18(d).
We do not reach the issues of whether, under our case law, disbarment is the presumptive sanction for acts of moral turpitude or whether Standards std. 5.11(b) applies to Smith’s misconduct. The Board based its final order solely on Standards std. 5.11(a).
The hearing officer also found the presence of several aggravating factors. Regardless of whether the record supports the presence of these aggravating factors, Smith’s sole mitigating factor would not overcome the presumptive sanction of disbarment.
Reference
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