Matter of Gutman, 43 N.Y.2d 467 (1977)
An attorney’s conviction for criminal conduct deemed a felony by Congress warrants automatic disbarment in New York, even if the corresponding state law doesn’t precisely mirror the federal statute.
Summary
The New York Court of Appeals addressed whether an attorney’s federal felony conviction mandated automatic disbarment under New York Judiciary Law. Gutman was convicted in federal court for making false statements to the Immigration and Naturalization Service. The Bar Association sought his disbarment, arguing the federal crime was equivalent to a New York felony. The Appellate Division denied automatic disbarment, finding the state crime required ‘intent to defraud the state,’ absent in the federal offense. The Court of Appeals reversed, holding that a federal felony conviction, particularly when a substantially similar state felony exists, is sufficient grounds for automatic disbarment to protect the public.
Facts
Respondent Gutman, an attorney, was indicted on 14 counts of federal felonies related to procuring permanent residency for aliens through arranged marriages. He was convicted on 10 counts of violating 18 U.S.C. § 1001 for making false statements and submitting fraudulent documents to the Immigration and Naturalization Service. He received a suspended sentence, probation, and a fine.
Procedural History
The Bar Association petitioned for Gutman’s disbarment based on the felony conviction. The Appellate Division denied the petition for automatic disbarment, appointing a referee for disciplinary proceedings. The Bar Association appealed to the New York Court of Appeals.
Issue(s)
Whether conviction of an attorney for a federal felony, specifically violating 18 U.S.C. § 1001, mandates automatic disbarment under New York Judiciary Law § 90(4), even if the elements of the federal crime and a comparable New York state felony (offering a false instrument for filing) are not identical.
Holding
Yes, because conviction of an attorney for criminal conduct judged by Congress to be a felony is sufficient ground to invoke automatic disbarment, especially when there is a New York State felony of substantially the same elements. The court determined that the purpose of attorney discipline is to protect the public.
Court’s Reasoning
The Court reasoned that the focus of attorney disciplinary proceedings is protecting the public, unlike criminal sentencing which is focused on individual punishment. While acknowledging past reliance on comparisons between federal and state felonies in disbarment cases, the court moved away from requiring an exact mirror image between the federal and state crimes. The Court stated, “When it is the underlying conduct of the attorney which calls for disciplinary response, it makes little sense to say that although that conduct has been defined as felonious throughout the Nation under Federal law, the attorney is not to be automatically disbarred unless our State Legislature has enacted a precisely matching felony statute. To accord determinative significance to such statutory discrepancy would be to elevate insignificance.”
The court found a close parallelism between the federal statute (18 U.S.C. § 1001) and the New York State felony of offering a false instrument for filing (Penal Law § 175.35). Although the state law requires ‘intent to defraud the state,’ the court held that the core of both offenses is the willful filing of a false statement in a governmental office, knowing it to be false. The court effectively lowered the bar, stating: “[W]hatever may have been the proper evaluation of a felony conviction in courts other than those of our own State in 1940 when Donegan was decided, we now perceive little or no reason for distinguishing between conviction of a Federal felony and conviction of a New York State felony as a predicate for professional discipline.”