Lead Opinion
Noemi Alessandra Collie, an attorney-at-law, appeals from an order by the district court disbarring her from practice in the United States District Court for the Northern District of Texas until the payment of monetary sanctions imposed upon her and her client for violations of Federal Rule of Civil Procedure 11. Subsequent to filing this appeal, Collie paid the sanctions and was reinstated to practice by the district court. We reverse and vacate the district court’s disbarment order. This appeal is not moot because the disbarment on the attorney’s record may affect her status as a member of the bar and have other collateral consequences. Because the attorney was not given notice of the charges made or opportunity for explanation and defense prior to disbarment, she was deprived of procedural due process required by the United States Constitution and the district court’s own local rules.
I.
Appellant attorney Noemi Collie filed three separate lawsuits on behalf of plaintiff OIlie Dailey against Dailey’s employer, Vought Aircraft Company (Vought). The first lawsuit concerned claims of race discrimination and retaliation in violation of Title VII. After a bench trial, the district court rejected Dailey’s claims and entered final judgment for Vought. On motion by Vought, after considering written responses of the parties, the district court found that Collie and Dailey violated Federal Rule of Civil Procedure 11(b)(1) and (b)(3) by repetitiously asserting essentially the same claims in two other lawsuits. The district court imposed sanctions by ordering Collie and Dailey to pay the costs and attorney’s fees Vought incurred in defending the actions. Dailey appealed the sanctions order. This Court affirmed. See Dailey v. LTV Aerospace & Defense Co., Nos. 95-10156 & 95-10437 (5th Cir.1996).
Subsequently, on June 18, 1996, the district court ordered Collie and Dailey to pay the imposed sanctions of $8,478.92 within eleven days. After the sanctions were not paid timely, the district court, on July 18, 1996, disbarred Collie pending their payment, without giving Collie notice or an opportunity to be heard with respect to her disbarment. Collie moved the district court for reconsideration and petitioned the chief judge of the district for relief under local rules. The district court denied reconsideration but amended its order to allow Collie to continue representing clients in five particular cases. The chief judge denied Collie’s appeal.
Collie appealed to this court from the decisions of the district court and the chief judge of the district on September 19, 1996. The next day Collie moved this court to stay the district court orders. This court denied the stay. Collie paid the monetary sanctions on September 23,1996. The district court, after receiving notice of the payment, issued an order reinstating Collie to practice in the Northern District of Texas on October 7, 1996.
II.
Because Collie paid the monetary sanctions in full and was reinstated to practice before the Northern District of Texas, we consider first whether her appeal is moot.
The justiciability of an issue, in turn, is determined by the doctrines of standing, mootness, and ripeness. Id. § 101.01, 101-13. The Supreme Court has explained that “mootness [is] the ‘doctrine of standing set in a timeframe [.] The requisite personal interest that must exist at the commencement of the litigation (standing) must continue throughout its existence (mootness).’” United States Parole Comm’n v. Geraghty, 445 U.S. 388, 397,
A case may become moot for several reasons. One such reason can be an intervening factual event which causes the plaintiff to no longer have a present right to be vindicated or a stake or interest in the outcome. Calderon,
Even if the plaintiffs primary injury has been resolved, the collateral consequences doctrine serves to prevent mootness when the violation in question may cause continuing harm and the court is capable of preventing such harm. Sibron v. New York,
In Connell v. Shoemaker,
This Court reversed because the “continuing practical consequences of the Army’s determination of discrimination [were] sufficient to negate mootness.” Id. at 486. Specifically, the “imputation of bigotry implicit in the Army’s widely publicized sanctions” could only harm the appellants’ reputations and concomitantly their livelihoods as the success of the businesses in which the appellants held interests depended on the maintenance of a favorable public image. Id. at 487. The moral stigma of the sanction imposed by the appellee harmed the aspirations of Ted Connell as a local politician. Id.
This Court applied the collateral consequences doctrine to defeat a claim of mootness in Umanzor v. Lambert,
As the “mere possibility of adverse collateral consequences is sufficient to preclude a finding of mootness,” Collie’s case was not rendered moot by her payment of the sanctions and reinstatement to practice in the Northern District of Texas. Id. (quoting Sibron v. New York,
Our decision in United States v. Schrimsher (In re Butts),
Conviction for contempt of court could also have serious adverse eareer consequences for Butts. His conviction could provide a basis for disciplinary action by a bar association. Opportunities for appointment to the bench or to other high office might be foreclosed as a result of this blot upon his record. The conviction might damage Butts’ reputation in the legal community, and this in turn might affect his ability to attract clients and to represent them effectively, especially in open court. In light of these possible collateral consequences, Butts’ appeal is not “abstract, feigned, or hypothetical” so as to justify*229 dismissal for mootness. See Sibron, supro,392 U.S. at 57 ,88 S.Ct. at 1899-1900 .
Schrimsher (Butts),
Because of its inapposite and distinctive context, In re Taylor,
This Court in Taylor concluded that the appeal was moot and vacated the judgment below for several reasons. Taylor’s practice related conditions and obligations under the district court’s order ended upon his resignation from the bar. This Court would not condone a self-help type stay which would allow Taylor to avoid the order while challenging it. In addition, this Court concluded that the possible collateral consequences in Taylor’s case were too remote, characterizing his argument on this subject as “insufficient.” Taylor,
The circumstances of the present ease distinguish it categorically from Taylor. Collie did not resign from the bar. She is an active practitioner who suffers from the stigma of a recorded disbarment. Rather than attempt to avoid the district court’s order to pay monetary sanctions, Collie complied with it and now seeks relief from the real and significant threat of adverse consequences to her law practice and career.
III.
Having decided that Collie’s appeal is not moot, we consider whether her disbarment must be set aside because the district court deprived her of procedural due process as she was not afforded notice and an opportunity to be heard prior to being expelled from the bar.
Although disbarment is intended to protect the public, it is a “punishment or penalty imposed on the lawyer.” In re Ruffalo,
Moreover, Local Rule 13.2(b) affords an attorney similar procedural due process protections as part of any disciplinary action taken by a district court. The rule provides:
(b) Grounds for Disciplinary Action. This Court may, after the member has*230 been given an opportunity to show cause to the contrary, take any appropriate disciplinary action against any member of its Bar.
N. Dist. Tex. R. 13.2(b)(1996) (emphasis added). Federal district courts are bound by the disciplinary rules they implement. Matter of Thalheim,
The record unequivocally shows that the district court did not provide Collie with notice or an opportunity to be heard before disbarring her. The court, on June 18,1996, ordered Collie and her client to pay the imposed sanctions within 11 days. Without notifying Collie that the failure to timely pay the sanctions constituted grounds for disbarment, and without affording her an opportunity to be heard on the subject, the district court, on July 18,1996, disbarred Collie until such time as the sanctions were paid.
Collie’s unsuccessful appeal of the disbarment order to the chief judge of the district did not repair the district court’s violation of her rights to due process under the Constitution and the court rules. Prior to an attorney’s disbarment, he or she is entitled to notice of the charges made and an opportunity to explain or defend (except for extreme misconduct occurring in open court, in the presence of the judge). Ruffalo,
Moreover, the Supreme Court in Cleveland Bd. of Education v. Loudermill,
Even if we were to consider this case improperly under the Loudermill standards, instead of appropriately under the Supreme Court’s attorney disbarment eases, we would still conclude that Collie was not afforded the process that she was due for two reasons. First, she was not given notice and an opportunity to respond prior to her disbarment. Second, the review of her disbarment by the chief judge was insufficient even for Louder-mill due process purposes, not only because it was not coupled with a pre-disbarment notice and opportunity to respond, but also because of its own inherent deficiencies. The mere opportunity unsuccessftilly to bring due process violations to the attention of a discretionary appellate-type forum does not constitute the notice and opportunity to be heard that is guaranteed by the Due Process Clause. See Cole v. Arkansas,
Moreover, the hearing with the chief judge did not afford ample opportunity to show cause why Collie should not be disbarred: Collie’s attorney was given only two days’ or less notice of the hearing; the attorney objected to conducting a hearing on such short notice; and the attorney was not granted adequate time to fully prepare and defend his client.
IV.
The district court’s only objective in disbarring Collie was to enforce its order that she or her client pay monetary sanctions to reimburse Vought its costs and attorney’s fees in defending unwarranted actions. The district court’s disbarment order expressly stated that, in order to enforce its monetary sanctions order, it was necessary to bar Collie from practice until the sanctions had been paid in full. The district court did not expressly or implicitly find that Collie was unfit to practice law. On the contrary, the court specifically permitted Collie to continue to represent clients in five particular eases. Moreover, the court fully reinstated Collie to practice when it received notice that she had paid the sanctions in full. Consequently, because the only goal of the district court’s disbarment order has been fully attained, and all of the underlying litigation has been finally resolved, the proper disposition of this case is to reverse and vacate the district court’s order disbarring Collie. See Ruffalo,
Conclusion
Accordingly, this court renders judgment that the district court’s order disbarring Noemi Alessandra Collie is REVERSED and VACATED.
Dissenting Opinion
dissenting:
I respectfully dissent from the majority’s
I.
I agree with the majority that the district court’s failure to give Collie a hearing prior to her suspension was constitutionally infirm because due process requires that an attorney be given notice and an opportunity to be heard before he is suspended or disbarred, not after. The majority and I part company, however, when it comes to whether the district court successfully cured that violation through the subsequent hearing before the chief judge. It is well established that “a procedural due process violation is not complete ‘unless and until the State fails to provide due process.’ In other words, the state may cure a procedural deprivation by providing a later procedural remedy; only when the state refuses to provide a process sufficient to remedy the procedural deprivation does a constitutional violation” become actionable. McKinney v. Pate,
The relevant question, therefore, becomes whether the “subsequent due process hearing was sufficient to cure the defect.” Best v. Boswell,
Unfortunately, the majority’s primary justification for rejecting the later hearing has nothing to do with the cure doctrine. Rather, it concerns what constitutes a procedural due process violation in the first instance. I reiterate that I do not disagree with the majority that Collie was entitled to a hearing before suspension. Had she, for instance, suffered some distinct, quantifiable harm for the period between deprivation and hearing, she would be entitled to a remedy. But see swpra note 2.
But the majority appears to hold that a hearing subsequent to suspension can never act as a cure because the cure comes after the deprivation. The very definition of a “cure,” however, is a procedurally sufficient hearing that comes after a procedural due process violation has occurred, that is, after the deprivation has taken place. For this reason, the cases that the majority cites, see, e.g., Cleveland Bd. of Educ. v. Loudermill,
The majority’s secondary justification for rejecting the chief judge’s hearing—lack of notice—does go to the adequacy of the cure. Unfortunately, here, the majority’s conclusion is unsupported by the facts. Collie was given more than adequate notice of the September 6, 1996, hearing before the chief judge. By July 18, Collie knew of the charges against her and the fact that suspension was being considered. On July 29, she
Collie raised no objection prior to the hearing. She obviously knew it to be an evidentiary hearing, as she brought witnesses and asked to enter testimony.
At that point, Collie had had fifty days to prepare for an evidentiary hearing and to consider the nature of the charges against her and the appropriateness of the suspension. Under our caselaw, this amount of time is more than adequate notice for such proceedings. See Childs v. State Farm Mut. Auto. Ins. Co.,
The hearing before the chief judge was also procedurally sufficient. Collie was able to present witnesses and to develop a record. At that point, the chief judge had “absolute discretion” either to follow the district judge’s order or to chart a different course given his independent findings. See N. Dist Tex. R. 13.2(b). In short, Collie was given an “effective opportunity to rebut” the charges against her. Glenn v. Newman,
II.
The majority’s analysis seems to be driven by its view that this suspension order was unwarranted. I disagree.
When a court imposes sanctions based on its inherent powers, they must be “essential to preserve the authority of the court” and must be the least severe sanctions adequate to achieve that end. Scaife v. Associated Air Ctr. Inc.,
To impose such sanctions, the court must make a specific finding that the attorney acted in “bad faith.” Elliott v. Tilton,
A.
Collie’s conduct meets the legal standard for imposing suspension. The chief judge, after a full and fair hearing, found that Collie “had willfully ignored [the district judge’s] orders.” The chief judge found Collie’s statement that she had “overlooked” the deadline unbelievable, because, “it was a critical deadline,” and “[s]he met one of those deadlines but not another.” I see no ground for finding this factual determination clearly erroneous.
The chief judge, moreover, was justified in finding that suspension was the least severe action available to preserve the court’s authority; forcing attorneys to comply with orders sanctioning them is essential to maintaining that authority. If an attorney fails to pay assessed sanctions, it is difficult to see how any sanction less than suspension can satisfy that end. Certainly, more monetary sanctions would be useless, especially when the attorney lacks the funds to pay them.
B.
The majority’s failure to recognize that before imposing suspension, the district court did “find that Collie was unfit to practice law,” is also incongruent with the existing jurisprudence. Collie’s failure to pay the sanctions made her unfit per se to practice law before the district court.
We have authorized the practice of forbidding a litigant from filing pleadings until he has satisfied a sanction, even if he is unable
Unfortunately, the majority charts a different course. In doing so, its ruling has the effect both of imposing stricter disciplinary requirements upon pro se litigants than upon attorneys, and of removing the only effective deterrent to an indigent attorney’s flaunting of the district court’s authority. Accordingly, I respectfully dissent.
Notes
. Although I am uncomfortable with the majority's justiciability analysis, the issue is foreclosed by binding circuit precedent, and thus we are obliged to reach the merits. See Walker v. City of Mesquite,
. In the usual manifestation of the “cure doctrine,” not present in this case, the plaintiff would be able to recover damages from the governmental actor only for the period between his deprivation-without process and the subsequent sufficient due process hearing. See, e.g., Wheeler v. Mental Health & Mental Retardation Auth.,
. In her brief. Collie admits that her failure to pay the fine was willful: Having insufficient funds, she never intended to satisfy the fine.
. See, e.g., Smith v. Legg (In re United Markets Int'l, Inc.), 24 F.3d 650, 655-56 (5th Cir. 1994) (customary litigant); Coarte v. Ferrara Pan Candy Co.,
. See Cleveland Hair Clinic, Inc. v. Puig,
