Lead Opinion
The Board on Professional Responsibility has recommended that Matthew J. Marshall, Jr. be disbarred for misappropriation of client funds and for submitting fabricated documents to Bar Counsel during Bar Counsel’s investigation of the allegations of misappropriation. Marshall has excepted to the Board’s recommendation. He contends that a lesser sanction should be imposed because, according to Marshall, his conduct was the result of his addiction to cocaine, an addiction from which he claims to have been substantially rehabilitated. We conclude that the principles of In re Kersey,
I.
THE FACTS
A. Marshall’s misconduct.
Marshall was admitted to practice in the District of Columbia in 1984. He was initially employed by the Council of the District of Columbia, but he was discharged in 1987 for cocaine use. Marshall subsequently became a solo practitioner in the District.
In December 1994, Bar Counsel filed a petition alleging that Marshall had misappropriated the funds of a client, Samuel Warrick,
In November 1992, Marshall settled Warrick’s case for $8,500. Marshall took $100 in cash from the settlement proceeds,
On May 16, 1994, having received nothing from his lawsuit, Mr. Warrick filed a complaint with Bar Counsel, alleging that Mr. Marshall had failed to disburse to Warrick the client’s share of the settlement proceeds. Marshall then met with Warrick and belatedly paid him $2,100 or $2,200. According to Warrick, Marshall also asked him to “be quiet about it.”
During Bar Counsel’s investigation, Marshall submitted fabricated ^checks purporting to show that Marshall had paid Warrick’s treating physician and physical therapist the amounts due to them. Marshall admitted that these checks were never sent to the medical providers, but were created solely to make it appear that the bills had been paid. Marshall also repeatedly lied to his client and to the health care providers regarding why they had not been paid, and he wrote letters to Bar Counsel containing false statements.
B. Marshall’s Kersey defense.
Before the Hearing Committee and subsequently before the Board and before this court, Mr. Marshall admitted his misconduct, but he presented a Kersey defense in mitigation. This defense was based on our holding in Kersey that under some circumstances, alcoholism may be a mitigating factor to be considered in determining the appropriate discipline to be meted out against an attorney who has violated the Rules of Professional Conduct.
1. that he was an alcoholic at the time of his misconduct;
2. that his alcoholism was the cause of his misconduct and substantially affected it; and
3. that there was significant evidence of rehabilitation.
Id. at 325-27. In the present case, Bar Counsel did not contest Marshall’s claim that he was an addict at the relevant times. Bar Counsel maintained, however, that Marshall had failed in his proof of the second and third prongs.
C.The Hearing Committee’s Report.
After finding the facts substantially as recited above, the Hearing Committee concluded that, absent Kersey mitigation, Mr. Marshall’s conduct warranted disbarment. As to the Kersey issue, the Hearing Committee credited the testimony of Dr. Goldman and Dr. Abudabbeh. The Committee found that Marshall had satisfied the “addiction” and “substantial connection” prongs of the Kersey standard.
D. The Board’s initial Report and Recommendation.
On July 2, 1998, the Board issued a unanimous Report and Recommendation
E. The remand.
Marshall filed an exception to the Board’s Report and Recommendation. He argued, inter alia, that the Board had improperly substituted its own factual findings for those of the Hearing Committee. He pointed out that the Committee had heard the witnesses and was in a better position than the Board was to assess their credibility on the issue of causa
F. The Board’s Supplemental Report and Recommendation.
On November 19,1999, the Board, which was once again unanimous, issued a scholarly, thoughtful, and balanced supplemental report in response to this court’s order.
the principles of Kersey should not be applied to eases of cocaine addiction in general and to this case in particular. This is about the least appropriate case we can think of for the extension of Kersey — involving as it does “intentional misappropriation of client funds and dishonesty, fraud, deceit and misrepresentation by a scheme to deceive the Office of Bar Counsel in its investigation through fabricated documents and false statements.”[10]
After surveying the authorities from other jurisdictions,
the courts rejecting cocaine addiction as a mitigating factor have the better of the argument, as a general proposition, for the reasons stated above. We find the reasons relating to the protection of clients especially compelling. From the standpoint of the victimized client, it makes no difference whether the culpable attorney is addicted to cocaine or not.
The Board took special note of decisions of the Supreme Courts of New Jersey
would mean that a lawyer who commits a criminal act by possessing an illegal drug and steals from his client, even if only to feed his habit, would be better off in the disciplinary system than a lawyer who misappropriates client funds but does not commit the additional illegal act of possessing cocaine. We do not think that our disciplinary system should countenance such a paradox.
Notwithstanding its view that Kersey should not be applied to cocaine addiction, the Board recommended that the court avoid an absolutist position:
That does not mean that cocaine addiction is necessarily irrelevant in any and all cases. We can conceive of a situation involving a relatively minor disciplinary offense — not misappropriation of client funds or fabrication of evidence — in which cocaine addiction, its consequences, and a respondent’s efforts to deal with it could be relevant. It is not necessary or desirable for this [cjourt to close the door in every case to consideration of the subject.
For example, we note that even courts rejecting cocaine addiction as a mitigating factor have indicated that recovery from substance abuse, rehabilitation of a respondent, and his or her efforts to help other addicts recover may be proper factors to consider in the mix that goes into fashioning a disciplinary sanetion. [Citations omitted.] We do not think that the [c]ourt should erect a disincentive to recovery or rehabilitation of addicts by adopting too rigid a rule.
Finally, the Board rejected Marshall’s contention that refusal by the court, in his case, to mitigáte the sanction of disbarment would violate the Americans with Disabilities Act (ADA), 42 U.S.C. § 12101 et seq. The Board concluded that Marshall was not a “qualified individual with a disability” within the meaning of the ADA and that he had not been subjected to discrimination on account of his disability. The Board stated:
On the basis of the misconduct shown on this record, [Marshall] is not “qualified” to practice law in the District of Columbia. We cannot and do not believe that Congress intended the ADA to be a shield, much less a sword, to be wielded against appropriate discipline of lawyers who break the disciplinary rules. We cannot and do not believe that Congress intended that a lawyer who misappropriates client funds and fabricates evidence to coverup his wrongdoing should be insulated by the ADA from the efforts of the public authorities of the District of Columbia to protect the public from him.
Nor is it plausible in any sense we can comprehend to say that Respondent is being “subjected to discrimination” if disciplined, up to and including disbarment. With respect to the “discrimination” argument, respondent is not being disciplined because he is or was a cocaine addict. He is not being “discriminated” against “by reason of such disability.” He is being disciplined because he misappropriated client funds and fabricated evidence. This is not “discrimination” against a cocaine addict. Any lawyer not addicted to cocaine, who did the same thing, would be disciplined in the same way, for the same reasons.Disciplining a lawyer for dishonesty is not “discriminating” against someone for a “disability.” No one has yet made the absurd suggestion that dishonesty is itself a “disability” protected by the ADA or any other provision of law. [17]
II.
LEGAL DISCUSSION
A.The standard of review.
Under the applicable rule, this court is required to
adopt the recommended discipline of the Board unless to do so would foster a tendency toward inconsistent dispositions for comparable conduct or would otherwise be unwarranted.
D.C. Bar R. XI, § 9(g). In the present case, the Board has twice unanimously recommended that Marshall be disbarred. We do not believe that disbarment would tend to foster inconsistent dispositions for comparable conduct,
We are confronted here, however, with a case of first impression which implicates important issues of law and disciplinary policy. It is the court, and not the Board, which imposes discipline, and we may not abdicate our responsibility to decide the kinds of questions presented in this case by essentially leaving them to the Board. Cf. In re Abrams,
B. The gravity of Marshall’s misconduct.
We agree with the Board that, if Kersey concerns are put to one side, Marshall’s conduct as reflected in this record warrants disbarment. There can be no question that Marshall’s misappropriation was intentional, and Marshall has suggested no' basis, other than Kersey, for concluding that a lesser sanction should be imposed for that violation. See Addams, supra,
In addition, Marshall’s fabrication of evidence and his other misrepresentations to Bar .Counsel reflect a complete perversion of the appropriate standards for members of our profession. “Honesty is basic to the practice of law.... A lawyer’s word to a colleague at the bar must be the lawyer’s bond. A lawyer’s representation to the court must be as rehable as a statement under oath.” In re Reback,
C. The applicability of Kersey.
Since our decision in Kersey, we have extended the mitigation principles enunciated in that case to an attorney who was addicted to lawfully obtained prescription drugs, see In re Temple,
A cocaine habit, once acquired, is not easily cast off:
Cocaine is a seductive and intensely coercive drug, one of the most powerful pharmacological reinforcers known. Once it has been experienced, the tendency to reuse it is nearly irresistible....
Coke is the only drug laboratory animals prefer to food, water and sex. They will self-administer the drug until they overdose and die, if given free access to it.
LlSKA, DRUGS AND THE HUMAN BODY 145 (2d ed.1985); see also In re Rentel, supra note 13,
But notwithstanding cocaine’s often all-but-irresistible attraction for those who have allowed themselves to become involved with it, the intentional possession of the drug is unlawful in the District of Columbia, see D.C.Code § 33-541(a) (1998), and, indeed, throughout the United States. See 21 U.S.C. § 844. Marshall now asks us to mitigate the sanction, for conduct otherwise warranting disbarment, on the basis of a condition which was brought about, at least initially, by his own intentional violation of the law. This would represent a giant step beyond Ker-sey — a step which would tend, in our view, to create perverse incentives and to undermine the rule of law.
We begin with the obvious. “There are valid and rational differences between addiction to [cocaine] and alcohol.... Alcohol is legal, although regulated, while [cocaine] is prohibited.” Gorham v. United States,
In In re Temer, supra note 14, an attorney who was facing discipline for neglect of numerous matters entrusted to him and for other unprofessional conduct asked the court to consider his cocaine addiction in mitigation. The attorney had sought professional help, but he did not do so until after his misconduct had been discovered. The Supreme Court of New Jersey emphatically rejected the attorney’s claim:
[W]e remain committed to the proposition that such addiction is neither a defense to nor a mitigating factor in attorney discipline.
Nor can we ignore the different legal consequences attendant on the abuse of cocaine as distinguished from alcohol. Attorneys who use cocaine or other controlled dangerous substances necessarily violate the law. We would be remiss in condoning such activity, even to the extent of allowing it to ameliorate the penalty in a disciplinary proceeding.
In In re Demergian, supra, the Supreme Court of California disbarred the respondent for misappropriation, rejecting his request for mitigation based on addiction to cocaine and alcohol:
[Cjocaine use is hardly a mitigating factor. Petitioner became addicted through voluntary use of an illicit drug. (Compare In re Nadrich (1988) [citation omitted], [44 Cal.3d 271 ,243 Cal.Rptr. 218 ,]747 P.2d 1146 (drug addiction resulted from legitimate medical treatment)). Apart from petitioner’s subsequent rehabilitative efforts, his use of cocaine increases the danger he presents to the public, the courts, and the reputation of the legal profession. Logically, therefore, it is a factor in aggravation.
As the Board has correctly pointed out, see p.[534], supra, adoption of Marshall’s position would place an attorney who has misappropriated client funds and who has also violated the criminal law by abusing cocaine, in a more favorable position, for purposes of professional discipline, than the lawyer who commits a like misappropriation but who has scrupulously complied with the drug laws. We agree with Bar Counsel that
[t]o permit mitigation on grounds of illegal drug use effectively would reward the attorney for illegal conduct occurring after he assumes his professional responsibilities. Such a result would adversely affect the perception of the Bar. Simply stated, people go to jail for conduct that Respondent offers as a mitigating factor. An informed public would find it intolerable that such a lawyer be granted special grace.
Marshall’s arguments to the contrary are not persuasive. According to Marshall, “[t]he Board is arguing that Respondent be punished for his misconduct, use of cocaine, rather than to fulfill its duty to recommend [a lesser sanction].” The Board has made it plain, however, that it is recommending discipline because Marshall misappropriated client funds and fabricated documents, and not because he abused an unlawful drug. If Marshall had never used cocaine, the Board’s recommendation would have been exactly the same.
The Lawyer Counseling Committee of the District of Columbia Bar (LCC) has filed an amicus brief in which it argues that the illegality of cocaine possession should not be dispositive.
Relying on the dissenting opinion in In re Rentel,
In sum, we reject Marshall’s attempt to invoke the Kersey principle, and we hold that, at least where an attorney’s misconduct warrants disbarment, addiction to cocaine attributable to the intentional use of that drug does not warrant the imposition of a lesser sanction.
D. The ADA.
Finally, Marshall asserts that the ADA proscribes his disbarment. Substantially for the reasons stated by the Board in its Supplemental Report and Recommendation, see pp. [539 - 540], we find this contention altogether unpersuasive.
To avail himself of the protections of the ADA, Marshall must show that he is a “qualified individual with a disability.” 42 U.S.C. § 12132. This term is defined as “an individual with a disability who, with or without reasonable modifications to rules, policies, or practices ... or the provisions of auxiliary aids and services, meets the essential eligibility requirements for ... participation in programs or activities provided by a public entity.” 42 U.S.C. § 12131(2). “The Bar is a noble calling,” see In re Shillaire,
Moreover, Marshall’s disbarment does not constitute discrimination based on his disability. In Despears v. Milwaukee County,
[R]efusal to ... alleviate the punishment of the disabled person who commits a crime under the influence ... is not discrimination against the disabled; it is a refusal to discriminate in their favor. It is true that the [ADA] ... require[s] the employer to make a reasonable accommodation of an employee’s disability, but we do not think it is a reasonably required accommodation to overlook infractions of law.
Id. at 637; accord, Maddox v. Univ. of Tennessee,
III.
CONCLUSION
“[T]he purposes of attorney discipline are to protect the public and to preserve confidence in the legal system.” In re Rentel, supra,
So ordered.
. See Rule 1.15(a) of the Rules of Professional Conduct.
. See Rules 1.15(a) and 1.17(a) of the Rules of Professional Conduct.
.See Rule 8.4(c) of the Rules of Professional Conduct.
. This sum was apparently used without Mr. Warrick’s knowledge to pay an investigator.
. The record reflects that Marshall used some of the settlement money to pay a telephone bill and a cable television bill, to refund a legal fee, and to compensate his wife for a broken television set.
. The Hearing Committee was of the opinion that the principles of Kersey may properly be applied to cocaine addiction.
. One member of the Board recused himself.
.The Board indicated that it was adopting the Hearing Committee’s findings of eviden-tiary fact but not its findings of “ultimate” fact.
. Both the initial report and the supplemental report were prepared by Daniel Rezneck, Esquire.
10. The language in quotation marks is from the Board’s initial Report and Recommendation.
. The Board stated, accurately in our view, that a slight majority of the courts had rejected cocaine addiction as a mitigating factor and that there was little support in reason or authority for such a defense in cases of misappropriation or comparably serious misconduct.
. E.g., that cocaine addiction may render an attorney “delusional and out of contact with reality,” In re Winston,
. E.g., that the use of and addiction to cocaine increases the danger that an attorney’s misconduct poses to the client and to the public at large, see, e.g., In re Jones,
. See, e.g., In re Terner,
. See, e.g., In re Demergian,
. The Board observed that Marshall “attempted to corrupt the administration of justice — specifically the functioning of the disciplinary system — by presenting fabricated evidence and false statements to Bar Counsel to throw the disciplinary inquiry off track.”-
17. The Board noted that its position was consistent with the views of other courts which had considered the applicability of the ADA in similar cases. See pp. [534] - [535], infra.
. For the reasons stated at pp. [535], infra, we do not believe that cases like this one, in which the addiction was generated by unlawful conduct, are sufficiently comparable to Kersey and its progeny to implicate the "inconsistent dispositions” provision of § 9(g).
. The LCC takes no position on the appropriate discipline for Marshall, but urges that, in general, cocaine addiction should be treated as a mitigating factor in attorney disciplinary proceedings.
. In Rentel, the Supreme Court of Washington held that notwithstanding its recognition of alcoholism as a mitigating factor in some cases, the respondent’s cocaine addiction did not protect him from disbarment because, inter alia, "[t]he use of alcohol is legal; the use of cocaine is not.”
. As suggested by the Board, see p. [540], supra, we do not foreclose the possibility that a respondent’s efforts to rehabilitate himself from addiction to unlawful drugs, and conceivably even the addiction itself, might be relevant with respect to some minor disciplinary cases. We leave any such issues to another day. A respondent’s progress towards rehabilitation would, of course, be logically relevant to his proof of fitness in a reinstatement proceeding.
. We direct Mr. Marshall’s attention to the requirements of D.C.Bar. R. XI, § 14.
. On June 17, 1997, Marshall, who was never admitted to practice in Maryland, was disbarred by consent in that jurisdiction after having falsely represented to a Maryland court that he was a member of the Maryland Bar. The order of disbarment directed that Marshall's name be placed on a list "of non-admitted attorneys who are excluded from exercising in any manner the privilege of practicing law in this State.” Upon being advised of Marshall’s disbarment, this court directed the Board to recommend whether reciprocal discipline should be imposed.
The Board, having recommended that Marshall be disbarred for his District of Columbia violations, suggests that the reciprocal proceeding be dismissed as moot. In light of our decision to disbar Marshall, we also adopt the Board’s recommendation with respect to the reciprocal matter.
Dissenting Opinion
dissenting:
The court holds that where an attorney’s misconduct would warrant disbarment, addiction to cocaine attributable to the inten
The issue raised by the BPR and the Lawyers Counseling Committee of the District of Columbia Bar (LCC) is not whether sanctions should be eliminated where a lawyer’s misconduct is caused by his or her addiction to illegal substances, but whether the presumed sanction should be, and can be, tempered under the circumstances while maintaining the integrity of the profession and protecting the public from unethical or incompetent lawyers. Using a more flexible approach in addressing this complex issue, other jurisdictions seem to manage to do so. See, e.g., In re Phillips,
[t]he misappropriation of a client’s funds “is one of the most serious offenses that a lawyer can commit” and, “absent sufficient mitigating factors, compels the extreme sanction of disbarment.” ... In this case we find that the mitigating factors of cocaine addiction, successful rehabilitation, the lengthy delay in resolving the matter, and the previous consent judgment warrant the imposition of less than the presumed discipline of disbarment.
Id. (internal citation omitted). Similar considerations guided the determinations in each of the cases cited above, resulting
. Although the question was not then before the court, a majority in In re Reynolds,
. See majority opinion at n. 21.
.The opinion expresses agreement with Bar Counsel that “[t]o permit mitigation on grounds of illegal drug use effectively would reward the attorney for illegal conduct occurring after he assumes his professional responsibilities. ... Simply stated, people go to jail for conduct that Respondent offers as a mitigating factor.” See majority opinion at-.
. See Rivkind, supra,
. The BPR denied Marshall’s post-hearing motion to present additional evidence of rehabilitation because it concluded that even if the Kersey rule applied, Marshall had failed to show that his legally cognizable disability caused his misconduct. I agree with the Hearing Committee that causation was adequately established.
