New York Law Review

Tag: attorney disbarment

  • In the Matter of Klein, 18 N.Y.2d 598 (1966): Disbarment Procedures and Attorney Misconduct

    18 N.Y.2d 598 (1966)

    An attorney facing disbarment must raise triable issues by interposing an answer denying charges of misconduct; otherwise, disbarment is warranted.

    Summary

    This case concerns an attorney, William R. Klein, who was disbarred by the Appellate Division. Klein appealed, arguing he was not properly heard. The Court of Appeals affirmed the disbarment order, noting Klein failed to deny the charges against him in an answer, thus not raising any triable issues before the initial order. However, the Appellate Division granted Klein a chance to file an answer and have a hearing, ensuring he had an additional opportunity to be heard. The Court of Appeals clarified its decision was based solely on the charges in the original petition.

    Facts

    The specific facts regarding the attorney’s misconduct are not detailed in this per curiam decision. The central fact is that disbarment proceedings were initiated against attorney William R. Klein.

    Procedural History

    The Appellate Division ordered Klein’s disbarment. Klein appealed this order to the Court of Appeals. The Appellate Division then granted Klein’s motion to vacate the disbarment order, allowing him to file an answer and referring the matter to a Supreme Court Justice for a hearing and report. The Court of Appeals then affirmed the original order.

    Issue(s)

    Whether the Appellate Division was warranted in ordering the appellant’s disbarment when the appellant failed to interpose an answer denying the charges of misconduct against him, thereby failing to raise any triable issues.

    Holding

    Yes, because the appellant had the opportunity to be heard as per subdivision 2 of section 90 of the Judiciary Law, but did not raise any triable issues before the initial disbarment order by failing to deny the charges against him in an answer.

    Court’s Reasoning

    The Court of Appeals reasoned that under Section 90(2) of the Judiciary Law, Klein had the right to be heard. However, this right requires the attorney to actively engage in the process by raising triable issues, which is done by filing an answer denying the charges of misconduct. Since Klein failed to do so before the initial disbarment order, the Appellate Division was justified in its decision. The court also emphasized that the Appellate Division’s decision to grant Klein an additional opportunity to be heard further supported the fairness of the proceedings. The court explicitly stated that their decision was based solely on the charges contained in the original petition, disregarding any other considerations mentioned in the Appellate Division’s opinion, ensuring the ruling was narrowly tailored to the specific charges properly before the court. This highlights the importance of due process and basing decisions strictly on the evidence presented in the formal charges.

  • In re Donegan, 282 N.Y. 285 (1940): Defining ‘Felony’ for Attorney Disbarment Purposes

    In re Donegan, 282 N.Y. 285 (1940)

    For the purposes of automatic disbarment under New York Judiciary Law, the term “felony” only includes federal felonies that are also felonies under New York law, not federal felonies that would only be misdemeanors under New York law.

    Summary

    An attorney was convicted in federal court of conspiracy to use the mails to defraud, a felony under federal law. New York law, however, generally treats conspiracy as a misdemeanor. The Appellate Division disbarred the attorney, interpreting New York Judiciary Law to require automatic disbarment upon conviction of any federal felony. The New York Court of Appeals reversed, holding that the term “felony” in the Judiciary Law refers only to those federal felonies that would also be felonies under New York law. This interpretation avoids the severe consequence of automatic disbarment for conduct that New York considers a less serious offense. The court emphasized that while disbarment isn’t technically punishment, it carries severe consequences and thus the statute must be strictly construed.

    Facts

    The appellant, an attorney, was convicted in federal court for conspiracy to use the mails to defraud, a violation of federal law. Under federal law, this crime is classified as a felony. However, under New York law, conspiracy is generally classified as a misdemeanor, unless specific provisions dictate otherwise. The Appellate Division, relying on its interpretation of the Judiciary Law, automatically disbarred the appellant based solely on the federal felony conviction.

    Procedural History

    The United States District Court for the Southern District of New York convicted the appellant. The United States Circuit Court of Appeals, Second Circuit, affirmed the conviction. The Supreme Court of the United States denied certiorari, and the President of the United States denied a petition for pardon. The Appellate Division of the Supreme Court, First Department, then disbarred the appellant based on the federal conviction. The New York Court of Appeals granted leave to appeal.

    Issue(s)

    Whether the term “felony,” as used in the New York Judiciary Law sections mandating automatic disbarment upon conviction of a felony, includes an offense defined as a felony by federal statute, but which would only be a misdemeanor under New York law.

    Holding

    No, because the term “felony” in the context of Judiciary Law sections 88 and 477 only includes those federal felonies that are also considered felonies under New York law. Strict construction of the statute requires this interpretation, especially considering the severe consequences of automatic disbarment.

    Court’s Reasoning

    The court reasoned that the term “felony” lacks a universal definition and varies across jurisdictions. While the Judiciary Law references presidential pardons (suggesting inclusion of some federal crimes), it doesn’t explicitly define “felony.” The court noted that historically, New York courts have interpreted similar statutes (e.g., those concerning witness disqualification and fiduciary appointments) to apply only to crimes classified as felonies under New York law. In Sims v. Sims, the court held that disqualification as a witness only applied to convictions within New York State. The court also emphasized that while disbarment isn’t strictly a punishment, it carries significant consequences akin to punishment, requiring strict construction of the statute. The court stated, “Strict construction of section 88, subdivision 3, and section 477 of the Judiciary Law requires that the term ‘felony’ include only those Federal felonies which are also felonies under the laws of this State, and exclude such Federal felonies as are ‘cognizable by our laws as a misdemeanor or not at all.’” Finally, the court clarified that its decision doesn’t limit the Appellate Division’s discretion to discipline attorneys under other provisions of the Judiciary Law, and that the federal conviction serves as prima facie evidence of guilt.