NICKOLAS G. SPANOS v. SHANNON L. TAYLOR
Record No. 0139-22-2
COURT OF APPEALS OF VIRGINIA
MARCH 7, 2023
OPINION BY JUDGE FRANK K. FRIEDMAN
PUBLISHED. Present: Judges Beales, Friedman and Callins. Argued by videoconference.
Timothy K. Sanner, Judge
Nickolas George Spanos, pro se.
Theodore I. Brenner (Freeborn & Peters LLP, on brief), for appellee.
Nickolas G. Spanos filed a legal ethics complaint against Shannon L. Taylor, the Commonwealth‘s Attorney for Henrico County, in the Circuit Court of Louisa County. The circuit court sustained Taylor‘s amended demurrer and dismissed the complaint, ruling that the court lacked jurisdiction to hear the complaint or to grant the relief sought. Spanos challenges the circuit court‘s judgment. For the following reasons, we affirm.
BACKGROUND AND MATERIAL PROCEEDINGS BELOW
Spanos filed a complaint against Taylor seeking “to revoke the Defendant‘s license(s) [to] practice law in the Commonwealth of Virginia, or discipline the Defendant[] consistent with the laws of the Commonwealth of Virginia.” Spanos asserted that the circuit court had jurisdiction under
ANALYSIS
In multiple assignments of error, Spanos presents three basic arguments: (1) that the circuit court‘s dismissal of his complaint violated
I. The Circuit Court Correctly Ruled That it Lacked Jurisdiction to Determine the Matter Raised or to Grant the Relief Requested
The basic premise underpinning Spanos’ claims is that “any person or entity has standing to file a Virginia legal ethics complaint within any court according to [Code] § 54.1-3915.”1 He
Spanos expressly disclaims, however, any reliance on
We are unpersuaded by Spanos’ interpretation of the statutory framework governing attorney discipline. We agree with the circuit court‘s judgment that it lacked jurisdiction under that statutory framework to revoke Taylor‘s license to practice law in Virginia.
A. Virginia‘s Statutory Scheme Does Not Provide a Mechanism Allowing Citizens to File Actions in Circuit Court Seeking to Disbar an Attorney
“Jurisdiction is the power to adjudicate a case upon the merits and dispose of it as justice may require.” Pure Presbyterian Church of Washington v. Grace of God Presbyterian Church, 296 Va. 42, 49 (2018) (ellipsis omitted) (quoting Shelton v. Sydnor, 126 Va. 625, 629 (1920)). “In order for a court to have the authority to adjudicate a particular case upon the merits, to have what we have termed ‘active jurisdiction,’ several elements are needed.” Id. (citation omitted) (quoting Farant Inv. Corp. v. Francis, 138 Va. 417, 427-28 (1924)). Foremost among these elements is subject-matter jurisdiction “which is the authority granted through constitution or statute to adjudicate a class of cases or controversies.” Id. (quoting Morrison v. Bestler, 239 Va. 166, 169 (1990)). “[S]ubject-matter jurisdiction is the paramount consideration in assessing whether a court has authority to enter judgment, and a judgment will always be void without it.” Watson v. Commonwealth, 297 Va. 347, 352 (2019). Subject-matter jurisdiction “can only be acquired by virtue of the Constitution or of some statute. Neither the consent of the parties, nor waiver, nor acquiescence can confer it.” Pure Presbyterian Church, 296 Va. at 49 (quoting Humphreys v. Commonwealth, 186 Va. 765, 772 (1947)). Whether a court has subject-matter jurisdiction presents a question of law an appellate court considers de novo. Knight v. Ottrix, 69 Va. App. 519, 523 (2018); accord Parrish v. Fed. Nat‘l Mortg. Ass‘n, 292 Va. 44, 49 (2016).
1. Distinguishing Discipline Within a Specific Case or Court From Proceedings Involving Disbarment, Revocation, and Suspension
In Moseley, the Supreme Court discussed two separate forms of attorney discipline. First, any court may suspend or revoke an attorney‘s privilege to appear before that court. 273 Va. at 695-96, 698 n.10; Ex Parte Fisher, 33 Va. (6 Leigh) 619, 624-25 (1835). Each court‘s inherent power to discipline attorneys practicing before that court arises directly from the Constitution of Virginia: it is “derived from the separation of powers between the judiciary, as an independent branch of government, and the other branches.” Moseley, 273 Va. at 697 (citing
The second form of attorney discipline involves inquiries into alleged misconduct which may affect the attorney‘s licensure to practice law. “A license to practice law covers the full panoply of actions an attorney can undertake from writing a will to representing a person in a controversy before a court.” Id. at 695. Licensure, and suspension or revocation of a license to
2. Virginia‘s Statutory Scheme Regarding Attorney Discipline.
Under the controlling statutes, the Supreme Court of Virginia has express authority to “[p]rescrib[e] a code of ethics governing the professional conduct of attorneys,” to “[d]efin[e] the practice of law,” and to “[p]rescribe[e] procedures for disciplining, suspending, and disbarring attorneys.”
Disciplinary cases begin when the Virginia State Bar, an agency of the Supreme Court of Virginia, receives a “complaint.” Id. para. 13-1. After the Bar‘s staff “determines that the conduct questioned or alleged [presents] an issue under the Disciplinary Rules,” it investigates the complaint, which proceeds through several preliminary reviews by Bar committees. Id. paras. 13-10 to 13-15. If appropriate, the Bar eventually issues a “charge of misconduct,” which proceeds to a hearing. Id. para. 13-16. If the case involves possible suspension or revocation of the respondent‘s license to practice, the hearing occurs either before the Bar‘s Disciplinary Board or, at the option of the charged attorney, before a
three-judge circuit court. Id. para. 13-18;
Va. Code Ann. § 54.1-3935 (2017). If the charges are proved, the Bar or the three-judge court can suspend or revoke the respondent‘s license. Id.
Spanos v. Vick, 576 F. Supp. 3d 361, 367 (E.D. Va. 2021).
B. Spanos Erroneously Reads Virginia‘s Statutory Scheme to Permit Any Citizen to File and Prosecute Attorney Disbarment Proceedings in a Circuit Court
Spanos insists that
In providing that Supreme Court Rules cannot be “inconsistent with any statute,”
Similarly, there is no merit to Spanos’ attempts to construe
C. The Legislative History of the Commonwealth‘s Statutory Scheme Further Rebuts Spanos’ Construction of the Law
As noted above, in the not-so-distant past, Virginia statutes did allow for individuals to file complaints against lawyers in a circuit court, in a limited form. However, the General Assembly specifically repealed this statutory language, further undercutting Spanos’ claims here.
In 2017, however, the General Assembly amended
Here, the General Assembly‘s actions flatly rebut Spanos’ claims that
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II. The Circuit Court‘s Ruling Does Not Violate the Rules of the Supreme Court of Virginia and Those Rules Do Not Provide Mandatory Jurisdiction to Circuit Courts to Disbar Attorneys
Spanos next argues that the circuit court‘s ruling violated Part 6, Section IV, Paragraph 13-2 of the Rules of the Supreme Court. This rule states:
13-2. AUTHORITY OF THE COURTS
Nothing in this Paragraph shall be interpreted so as to eliminate, restrict or impair the jurisdiction of the courts of this Commonwealth to deal with the disciplining of Attorneys as provided by law. Every Judge shall have authority to take such action as may be necessary or appropriate to protect the interests of clients of any Attorney whose License is subject to a Suspension or Revocation. Every Circuit Court shall have power to enforce any order, summons or subpoena issued by the Board, a District Committee or Bar Counsel and to adjudge disobedience thereof as contempt.
Spanos’ reliance on this rule, in essence, is a reprise of his statutory logic. On appeal, he contends that the rule gives “mandatory jurisdiction to Virginia Courts” to address citizens’ ethics claims against lawyers. He suggests that by allowing courts to deal with disciplining attorneys “as provided by law,” Part 6, Section IV, Paragraph 13-2 of the Rules of the Supreme Court revives his argument that
Moreover, we need not analyze this argument in detail as it was not preserved below. “No ruling of the trial court . . . will be considered as a basis for reversal unless an objection was stated with reasonable certainty at the time of the ruling, except for good cause shown or to enable this Court to attain the ends of justice.” Rule 5A:18. Spanos has not invoked either exception to Rule 5A:18, and we do not consider them sua sponte. Edwards v. Commonwealth, 41 Va. App. 752, 761 (2003) (en banc).
Suffice it to say, Virginia courts retain the power to discipline attorneys practicing before them. Moseley, 273 Va. at 695-96; Nusbaum v. Berlin, 273 Va. 385, 391-93 (2007); Taboada v. Daly Seven, Inc., 272 Va. 211 (2006). The Commonwealth‘s courts also have the power to enforce any orders, summons, or subpoena issued in the disciplinary process. See Va. Sup. Ct. R. Part 6, § IV, ¶ 13-2. The Disciplinary Rules set out the detailed procedures for invoking a three-judge panel to preside over a disciplinary hearing involving an attorney. See Va. Sup. Ct. R. Part 6, § IV, ¶¶ 13-16, 13-18. The Rules simply do not provide any authority or jurisdiction for a circuit court to entertain a disciplinary action filed by a citizen for the purpose of revoking an attorney‘s license.
III. The Circuit Court‘s Ruling Was Not Arbitrary or Capricious
Spanos’ final attack on the circuit court‘s ruling is a claim that the decision was arbitrary and capricious. Spanos alleges that the circuit court previously exercised jurisdiction over a separate ethics complaint he filed against a circuit judge for the Fourteenth Judicial Circuit, so it should have exercised jurisdiction over his complaint in this case. According to Spanos, the circuit court dismissed his ethics complaint against a judge on a plea of judicial immunity, not for lack of jurisdiction. Spanos contends that the court‘s disparate treatment of the two complaints shows its jurisdictional ruling in this case was arbitrary and capricious. We again disagree.
The existence of subject-matter jurisdiction cannot be waived or conferred on the court by agreement of the parties. Morrison, 239 Va. at 169-70. Moreover, the “lack of subject matter jurisdiction can be raised at any time in the proceedings, even for the first time on appeal by the court sua sponte.” Id. at 170; Thacker v. Hubard & Appleby, 122 Va. 379, 386 (1918) (“Objection for want of jurisdiction of the subject-matter may be taken by demurrer, or motion, or in any way by which the subject may be brought to the attention of the court, and, if not brought to the attention of the trial court, it may be taken notice of by the appellate court . . . for the first time.” (emphasis added)); Lucas v. Biller, 204 Va. 309, 313-14 (1963).
The circuit court correctly concluded that it lacked subject-matter jurisdiction in this case, and its ruling to that effect was neither arbitrary nor capricious. See School Bd. of Norfolk v. Wescott, 254 Va. 218, 224 (1997) (arbitrary and capricious connotes “willful and unreasonable” actions and decisions made without consideration or in disregard of facts or law or without a determining principle). Spanos’ attempt to establish jurisdiction by estoppel was properly denied.
CONCLUSION
For the foregoing reasons, we affirm the circuit court‘s judgment.
Affirmed.
Notes
the Supreme Court shall not promulgate rules or regulations prescribing a code of ethics governing the professional conduct of attorneys which are inconsistent with any statute; nor shall it promulgate any rule or regulation or method of procedure which eliminates the jurisdiction of the courts to deal with the discipline of attorneys. In no case shall an attorney who demands to be tried by a court of competent jurisdiction for the violation of any rule or regulation adopted under this article be tried in any other manner.
The Supreme Court may promulgate rules and regulations organizing and governing the Virginia State Bar. The Virginia State Bar shall act as an administrative agency of the Court for the purpose of investigating and reporting violations of rules and regulations adopted by the Court under this article. All advisory opinions issued by the Virginia State Bar‘s Standing Committees on Legal Ethics, Lawyer Advertising and Solicitation, and Unauthorized Practice of Law shall be incorporated into the Code of Virginia pursuant to § 30-154. All persons engaged in the practice of law in the Commonwealth shall be active members in good standing of the Virginia State Bar.
Any attorney who is the subject of a disciplinary proceeding or the Virginia State Bar may elect to terminate the proceeding before the Bar Disciplinary Board or a district committee and demand that further proceedings be conducted by a three-judge circuit court. Such demand shall be made in accordance with the rules and procedures set forth in Part Six, Section IV, Paragraph 13 of the Rules of Supreme Court of Virginia. Upon receipt of a demand for a three-judge circuit court, the Virginia State Bar shall file a complaint in a circuit court where venue is proper and the chief judge of the circuit court shall issue a rule against the attorney to show cause why the attorney shall not be disciplined. At the time the rule is issued by the circuit court, the court shall certify the fact of such issuance and the time and place of the hearing thereon to the Chief Justice of the Supreme Court, who shall designate the three-judge circuit court, which shall consist of three circuit court judges of circuits other than the circuit in which the case is pending, to hear and decide the case. The rules and procedures set forth in Part Six, Section IV, Paragraph 13 of the Rules of Supreme Court of Virginia shall govern any attorney disciplinary proceeding before a three-judge circuit court.
A. If the Supreme Court, the Court of Appeals, or any circuit court of this Commonwealth observes, or if a complaint, verified by
affidavit is made by any person to such court, that any attorney has been convicted of a misdemeanor involving moral turpitude or a felony or has violated the Virginia Code of Professional Responsibility, the court may assign the matter to the Virginia State Bar for investigation. Upon receipt of the report of the Virginia State Bar, the court may issue a rule against such attorney to show cause why his license to practice law shall not be revoked. If the complaint, verified by affidavit, is made by a district committee of the Virginia State Bar, the court shall issue a rule against the attorney to show cause why his license to practice law shall not be revoked.
