Respondent Benjamin, a member of the bars of New York and the District of Columbia, was censured by the New York Supreme Court, Appellate Division, Third Department, for two violations of Disciplinary Rule (DR) 1-102(A)(4) of the New York Code of Professional Responsibility.
In re Benjamin,
I
Respondent Benjamin practices law in Binghamton, New York. In July 1992 a disciplinary proceeding against him was begun in New York after Justice Robert E. Fischer of
After Mr. Benjamin refused to accept a private admonition, the Committee on Professional Standards filed a “petition of charges and specifications” with the Third Department, alleging that Mr. Benjamin had attempted to mislead and deceive the court and opposing counsel in three separate cases, in violation of DR 1-102(A)(4). 2 In the fall of 1993 three days of hearings were held before another New York judge who had been appointed as a referee. Mr. Benjamin participated in those hearings and was represented by counsel. After the hearings ended, the referee made detailed findings of fact and concluded that Mr. Benjamin’s actions, “taken together, demonstrate a course of conduct on the part of Respondent intended to mislead, misguide, misinform, deceive, circumvent and confuse Court and counsel.” The referee’s report was confirmed by the Third Department as to two of the three specifications of misconduct, and Mr. Benjamin was publicly censured.
The two violations for which Mr. Benjamin was censured arose out of two different cases. In the first, Mr. Benjamin represented the plaintiff husband in a divorce proceeding. The defendant wife filed a motion seeking various forms of relief, including an order awarding her exclusive occupancy of the marital home. In an unrecorded proceeding before Justice Fischer, Mr. Benjamin represented to the court that “the issues invоlved had been fully resolved in the Family Court,” so that the wife’s motion was barred by res judicata. Justice Fischer scheduled the matter for an evidentiary hearing and specifically directed Mr. Benjamin, in writing, to produce any Family Court records by a specified date. Benjamin failed to do so, but continued at the hearing to press a claim of res judicata or collateral estoppel. The orders that Mr. Benjamin did produce at the hearing showed only that the Family Court had once granted a petition by the wife for an order of proteсtion from the husband, but that this protection provision was dropped from a later order. In light of this evidence, the Third Department agreed with the referee and found that Mr. Benjamin “attempted to mislead [the] trial court, by asserting a specious res judicata or collateral estoppel defense.”
In the second matter, a wrongful death action, Mr. Benjamin represented the decedent’s estate. He initially sued the county sheriff, claiming that the decedent had died as a result of inadequate and delаyed rescue efforts following a truck accident. He later moved to amend the complaint by adding eight new defendants. Justice Fischer granted the motion and, in a written order, directed that service of the amended complaint be made within twenty days from the date of the order. Mr. Benjamin, however, did not serve the amended complaint or seek additional time to do so. Several months later Mr. Benjamin sought leave to file a second amended complaint. To excuse his failure to serve the first amеnded complaint, he filed an affidavit in which he stated:
Your deponent respectfully submits that the reason the Amended Complaint was not timely filed was that the parties had agreed among themselves to continue the discovery to develop additional facts sothat when the Amended Complaint was served it would not need further amendments.
After counsel for the defendants denied the existence of such an agreement, Mr. Benjamin admitted on the record that there was no “formal” or “express” agreement. 3 On these facts, the Third Department found that Mr. Benjamin had attempted to mislead the trial court “by inaccurately asserting in a sworn affidavit that he had failed to timely serve an amended complaint ... because the parties had agreed among themselves to continue discovery so that the amended complaint, when served, would not require additional amendments.... ”
Despite Mr. Benjamin’s prior disciplinary record,
see In re Benjamin,
Upon receipt of a certified copy of the Third Department’s order, we referred the matter to our Board on Professional Responsibility for a reciprocal disciplinary proceeding. After reviewing the New York record, the Board concluded that identical discipline should be imposed. The Board ruled first that the misconduct found in New York would also constitute misconduct in the Dis-triet of Columbia. It then rejected Mr. Benjamin’s assertion that the referee’s conclusions, which formed the basis of the Third Department’s censure order, were not supported by the record. 5 In so ruling, the Board first addressed the fact that New York uses a lower standard of proof in attorney discipline cases than the District of Columbia. 6 Despite this procedural disparity, the Board reasoned that a “ ‘fair preponderance of the evidence’ standard in an attorney discipline proceeding does not, on its face, present ‘such an infirmity of proof ... [or] such ‘grave injustice’” as to preclude reciprocal discipline.
Turning to the merits, the Board found that Mr. Benjamin had failed to show an infirmity of proof or grave injustice by clear and convincing evidence. According to the Board, Mr. Benjamin’s arguments “reduce[d] to four basic points”:
1. The referee and Appellate Division erred in concluding that Respondent urged res judicata or collateral estoppel on the marital residеnce issue in the divorce case. Respondent contends that his argument was based only on the physical harassment issue, and was supported by New York law establishing that a Family Court decision on spousal abuse or harassment has pre-clusive effect in other New York civil proceedings.
2. The referee and Appellate Division incorrectly concluded that Respondent admitted that there was no agreement among counsel to delay service of the First Amended complaint in the wrongful death сase. Respondent only admitted thatthere was no “formal” or “express” agreement.
3. Disciplinary action based on the statements Respondent made in these instances violates his First Amendment rights, and will have a chilling effect on advocacy for clients.
4. The complaining Justice, according to Respondent, filed the complaint in retaliation for Respondent’s recusal motion.
Responding to Mr. Benjamin’s first argument, the Board pointed out that the New York authorities did not discipline Mr. Benjamin because his legal arguments were weak, but because of “his misstatеment of the fact of what the Family Court had done.” As to his second point, the Board said that “whether Respondent misstated the facts does not rest solely on whether the agreement was ‘express’ or ‘formal.’ ” Rather, “the referee concluded that it simply ‘was not true’ that the parties had agreed among themselves to continue discovery.” The Board accepted this finding, stating that “[t]he evidence available ... show[ed] nothing beyond Respondent’s own claim to support the notion that there was any such agreement.” 7
Having rejected Mr. Benjamin’s first two contentions, the Board concluded that his First Amendment claim resolved itself. The Board explained:
There is no First Amendment right to misrepresent facts to courts. We have weighed this argument with care, however, because discipline based on misrepresentations made in litigation could have the effect Respondent fears. Many contested cases are disputes over conflicting facts. It does not follow that the attorney who represents the losing side has misrepresented facts. The dilemma may be even greater where discipline is based on legal arguments alleged to be “misstatements.” The law grows and evolves, often at the instigation of attorneys making creative arguments that extend existing precedents. This is not such a case.
Finally, the Board determined that “the New York process purged any ‘retaliatory’ motive in the filing of the complaint.” The referee, as an independent fact-finder, “heard the testimony of the complaining Justice and had an opportunity to weigh its credibility.” The Board also noted that the Third Department had found only two instances of misconduct even though the justice’s complaint contained four specifications.
II
Under D.C. Bar Rule XI, § 11(c), reciprocal discipline “shall be imposed” unless the attorney demonstrates by clear and convincing evidence that:
1. The procedure elsewhere was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process; or
2. There was such infirmity of proof еstablishing the misconduct as to give rise to the clear conviction that the Court could not, consistently with its duty, accept as final the conclusion on that subject; or
3. The imposition of the same discipline by the Court would result in grave injustice; or
4. The misconduct established warrants substantially different discipline in the District of Columbia; or
5. The misconduct elsewhere does not constitute misconduct in the District of Columbia.
Absent a showing by Mr. Benjamin that his case falls within one of these five exceptions, there is “a rebuttable presumption that the discipline will be the same in the District of Columbia as it was in the original disciplining jurisdiction.”
In re Zilberberg,
Mr. Benjamin first contends that the evidence presented to the Third Department was insufficient to establish misconduct because it did not show any misstatement of material facts. Instead, the record shows, in his opinion, that he advanced a plausible collateral estoppel defense in the divorce proceeding, and that in the wrongful death action he reasonably believed that opposing counsel had agreed to continue informal discovery. Thus Mr. Benjamin maintains that the referee, the Third Department, and the Board failed to evaluate the evidence properly in determining that misconduct occurred. In the absence of clear and convincing evidence to support these contentions, we hold that they are baseless.
Preliminarily, we note that the difference in evidentiary standards between New York and the District of Columbia in disciplinary cases does not, on its face, establish an infirmity of proof. Bar Counsel states in his brief that such a difference “might give rise to a legitimate issue” under Rule XI, § 11(e)(2), in certain contexts, such as “where the respondent attorney mounts a substantial defense on the merits or the disciplining court’s findings turn upon closely contested issues of credibility.” We neither accept nor reject Bar Counsel’s assessment because this case does not require us to decide the point. If the issue ever presents itself in a future case, we can decide it then, presumably after full briefing and argument.
In New York, unlike most states, misconduct must be proven only by a fair preponderance of the evidence rather than by clear and convincing evidence. See note 6,
supra.
New York’s rationale for adopting the lower standard of proof in disciplinary proceedings is that a clear and convincing standard is required only in cases involving “the denial of personal or liberty rights.”
In re Capoccia, supra
note 6,
The District of Columbia, on the other hand, requires that all disciplinary charges brought by Bar Counsel be proved by clear and convincing evidence.
See
Board on Professional Responsibility Rule 11.4. But this distinction, by itself, provides no basis to avoid reciprocal discipline. The decision to apply a higher standard of proof in this jurisdiction, though its origins are somewhat unclear, does not appear to be constitutionally mandated.
8
We have previously held that “[d]isciplinary proceedings are adversary, adjudicatory proceedings,” and because they are concerned with property rights, “due process safeguards must be observed.”
In re Thorup,
There are two additional reasons for rejecting Mr. Benjamin’s claim of an infirmity of proof. First, “[o]ur role in reciprocal discipline cases differs from that in disciplinary matters originating in our own jurisdiction.”
In re Velasquez,
Having concluded that New York’s use of a preponderance stаndard does not establish an infirmity of proof, we must still address the merits of Mr. Benjamin’s objee-tions. 9 He contends that the Board and the New York authorities erred because his collateral estoppel defense in the divorce proceeding was not “specious.” According to Justice Fischer’s testimony, Mr. Benjamin told him at an unrecorded hearing that the issues involved in the divorce matter had been “fully resolved” in the Family Court, and that the defendant wife was precluded from relitigating these issues in the Supreme Court. Benjamin now argues, however, that he was misinterpreted—that he meant only that the issue of physical harassment was resolved in the Family Court, not the issue of who was entitled to live in the marital residence. 10
Mr. Benjamin’s argument is untenable. The Board clearly stated that its decision was not based on his “weak legal argument,” but rather on his “misstatement of the
fact
of what the Family Court had done.” An attorney’s misrepresentation need not be transcribed in order to violate the disciplinary rules.
See, e.g., In re Ontell,
The referee found as a fact, however, that there was no agreement of any kind between Mr. Benjamin and opposing counsel. Benjamin admitted that there was no express agreement, and that he had simply inferred an agreement from opposing counsel’s failure to object to informal discovery. But that admission was ultimately irrelevant because, as thе Board said, “[t]he referee concluded that it simply “was not true’ that the parties had agreed among themselves to continue discovery.” Apart from Mr. Benjamin’s statement, there was no evidence to support the assertion that any such agreement existed at all. As the Board explained:
While opposing counsel apparently cooperated in providing some voluntary discovery, the record shows that before Respondent signed the affidavit, he received a letter from counsel fоr one group of defendants insisting that an amended complaint be served or the matter dismissed, and terminating further voluntary discovery until Respondent decided how to proceed. The fact that opposing counsel objected in writing to Respondent’s procedure supports the referee’s conclusion that opposing counsel had not at some earlier time agreed that Respondent could postpone service of an amended complaint while he carried discovery so far that he could avoid future complaint amendments.
Mr. Benjamin’s third argument is that his constitutional right to free speech was violated by the New York disciplinary action. We reject this argument out of hand because, simply stated, an attorney has no First Amendment right to lie to a court. On this point we agree with the reasoning of the Board, which we have quoted at page 438, supra. Even if an attorney’s statement of a legal position may be entitled to First Amendment protection, a deliberate misstatement of fact to a cоurt surely is not protected, just as obscenity 11 or “fighting words” 12 are not protected. We know of no case that holds otherwise; indeed, we would be astonished to find one. 13
We may dispose of Mr. Benjamin’s last two contentions fairly quickly. Since he perceives a lack of proof of intentional misrepresentation, he argues that reciprocal discipline should not be imposed because it would result in grave injustice. We do not agree. The sanction recommended here, a public censure, is within the range оf sanctions that might be imposed in a non-reciprocal case in the District of Columbia involving two instances of misrepresentation.
See, e.g., In re Garner,
Finаlly, there is no question that the misconduct found in New York would constitute misconduct in the District of Columbia. Mr. Benjamin contends otherwise on the premise that his so-called “legal arguments” were not misstatements of fact. Once again, Mr. Benjamin’s claim is founded
Because Mr. Benjamin has failed to establish, by clear and convincing evidence, that any of the exceptions set forth in Rule XI, § 11(e) apply to his ease, it is
ORDERED that respondent, Ronald R. Benjamin, is hereby censured for disciplinary violations committed by him in the State of New York.
Notes
. Mr. Benjamin made this request after the justice hired a new law clerk who had previously appeared as opposing counsel in the pending case.
. Under New York’s Code of Professional Responsibility, DR 1-102(A)(4) prohibits a lawyer from engaging in "conduct involving dishonesty, fraud, deceit, or misrepresentation.”
. In mitigation, Mr. Benjamin offered evidence that it was common practice in Broome County (where Binghamton is located) for attorneys to conduct informal discovery. This evidence was disregarded by the referee.
. In the 1988 reciprocal disciplinary proceeding, this court suspended Mr. Benjamin from the practice of law in the District of Columbia for six months because of three violations: (1) conflict of interest, (2) instituting suit and threatening action unwarranted under existing law, and (3) attempting to withdraw from representation without court permission.
. Mr. Benjamin had asserted that the alleged misrepresentations “either were misinterpreted by [Justice Fischer] and New York disciplinary authorities, or were reasonable inferences respondent drew from accurate facts.”
.New York applies a "fair preponderance of the evidence” stаndard.
See, e.g., In re Capoccia,
. With respect to both charges of misrepresentation, the Board also wrote:
Respondent made arguments to New York authorities that were plausible, but those authorities found to the contrary. His argument that a finder of fact could have viewed the facts his way and found that the statements were not misrepresentations does not persuadе us to do so. [Emphasis in original.]
. Because "disciplinary proceedings are quasi-criminal in nature," we have held that “an attorney who is the subject of such proceedings is entitled to procedural due process safeguards.”
In re Williams,
. Before us Mr. Benjamin makes the same arguments that he made before the Board, except that he has apparently dropped his claim that Justice Fischer filed the complaint in retaliation for the recusal motion.
. In support of his position, Mr. Benjamin cites several New York cases dealing with collateral estoppel in domestic relations matters.
See, e.g., Brown v. Keating,
.
Roth v. United States,
.
Chaplinsky v. New Hampshire,
. Contrary to Mr. Benjamin’s contention,
Gentile v. State Bar of Nevada,
