Lead Opinion
Hoffman appeals from the district court’s denial of his motion for relief pursuant to 28 U.S.C. § 2255. He contends that he was deprived of his sixth amendment right to effective assistance of counsel. We affirm.
I
Hoffman was indicted with 21 others in a drug conspiracy prosecution. He, along with others, was convicted of conspiracy to possess with intent to distribute narcotics and of using a communication facility to further a conspiracy. The trial in the United States District Court for the District of Arizona began on June 5, 1979 and ended on August 24, 1979. A motion for a new trial was denied on October 2, 1979. He was sentenced on October 15, 1979.
Vernell represented Hoffman in pretrial proceedings to remove Hoffman from Florida, at trial, and in the posttrial motion for a new trial. At the time trial began, Vernell was a member of the Florida State Bar and the bar of the United States District Court for the Southern District of Florida. He was permitted to represent Hoffman in the District of Arizona on the basis of his out-of-state bar membership.
Effective July 16, 1979, which was during the trial, Vernell was suspended from the Florida State Bar for a period of six months. Florida Bar v. Vernell,
On direct appeal, we affirmed the convictions of the seven remaining defendants, including Hoffman, in an unpublished decision but declined to decide Hoffman’s ineffective assistance of counsel claim. Hoffman then filed for section 2255 relief. After an evidentiary hearing on Hoffman's allegation that he was denied the effective assistance of counsel, the district court denied relief. Hoffman again appeals.
II
Under the sixth amendment, Hoffman was entitled to the assistance of counsel unless he knowingly, intelligently, and voluntarily waived his right to counsel. Hoffman makes three arguments in support of his claim that he was denied his right to counsel.
A.
First, Hoffman argues that Vernell was not “counsel” within the meaning of the sixth amendment. As a corollary to this argument, Hoffman asserts that the judge who presided at his trial would have been obligated to suspend Vernell immediately if he had been aware that Vernell had been suspended from the Florida State Bar.
The local rules for the District of Arizona require an attorney subjected to disciplinary action by the bar of another jurisdic
Where it is known to the court that any member of its bar has been suspended or disbarred from practice by any court of competent jurisdiction, that fact will be sufficient ground for his removal or suspension by this court, and he will be forthwith suspended from practice before this court, and unless, upon notice mailed to him at the address shown in the clerk’s records, he shows good cause to the contrary within forty (40) days, he will be disbarred.
Id. 7(c).
Despite the mandatory nature of the language of rule 7(c), the Supreme Court has held that an attorney disbarred from a state bar association may not be summarily disbarred from practice before a federal court even if the state bar membership was the predicate upon which the lawyer was admitted to the federal court. In Theard v. United States,
Therefore, we are confronted with the issue whether representation by an attorney suspended from his home state bar association during trial, but not suspended from practice before the federal district court until after trial, qualifies as representation by counsel within the sixth amendment. Before addressing that issue, however, we wish to make it clear that we in no way condone Vernell’s failure to inform the court of his Florida suspension. Any discipline for that act would occur in a separate proceeding. We are confronted here only with Hoffman’s sixth amendment claim and not consideration of the proper sanctions to be imposed on Vernell.
We start from the premise that the sixth amendment guarantee of counsel means representation by an attorney admitted to practice law. Solina v. United States,
In the related situation where a defendant was unknowingly represented by a person posing as a lawyer, but who had never been admitted to membership in any bar, several courts have applied a per se rule and found that the right to counsel was violated. E.g., Solina v. United States,
Those cases differ from this, a suspension case. Yernell was a duly licensed Florida lawyer at the start of Hoffman’s trial and was not suspended from practice before the District of Arizona until after the trial’s completion, after the motion for a new trial was ruled upon, and after sentencing. The record shows that Vernell subsequently was reinstated to the Florida State Bar. Thus, we are confronted with representation by an attorney suspended for a set term from his home state bar during a federal district court trial, and not, as in the cases cited above, representation by a person never qualified to practice law in any jurisdiction. Notably, the Second Circuit took care to expressly limit its holding in Solina v. United States, stating that:
[W]e do not intimate that any technical defect in the licensed status of a defendant’s representative would amount to a violation of the Sixth Amendment. We limit our decision in this case to situations where, unbeknown to the defendant, his representative was not authorized to practice law in any state, and the lack of such authorization stemmed from failure to seek it or from its denial for a reason going to legal ability, such as failure to pass a bar examination, or want of moral character[.]
In contrast to the cases finding a sixth amendment violation because the defendant’s representative had never been admitted to any bar, other courts will not find a per se violation of the Constitution where there is a defect in counsel’s bar status. For example, in United States v. Bradford,
A decision by the Seventh Circuit also lends support to our conclusion that these facts do not support the application of a per se rule. In United States v. Merritt,
The bar examination failures and the inexperience of appointed counsel create an appearance of inadequate representation that is compounded by the cumulative effect of several incidents which provide reasonable grounds for questioning counsel’s professional judgment and skill. Standing alone none of these incidents would lead us to conclude that counsel had not met “a minimum standard of professional representation.”
Id. at 651 (citation omitted). We read the Seventh Circuit’s opinion as refusing to apply a per se rule. Cf. Solina v. United States,
Hoffman especially relies on McKinzie v. Ellis,
In addition, Hoffman relies upon dicta in United States v. Stockheimer,
B.
Hoffman also argues that he was denied effective assistance of counsel because Vernell had a conflict of interest. Hoffman asserts that Vernell’s failure to notify the District of Arizona judge of his Florida suspension placed Vernell in conflict with Hoffman. Hoffman does not argue that the trial judge was obligated to initiate an inquiry into the alleged conflict and we do not reach that issue.
The Supreme Court set forth the standard to be employed in determining when a lawyer’s conflict of interest violates his client’s sixth amendment right to counsel in Cuyler v. Sullivan,
Although Cuyler addresses conflicts of interest in the context of multiple representation, we agree with Hoffman
Hoffman is not assisted by the Second Circuit’s statement, in deciding that representation without the defendant’s knowledge by a person posing as an attorney but who has never been a member of any bar violated the sixth amendment, that:
The problem of representation by a person like Coleman is not simply one of competence ... but that he was engaging in a crime. Such a person cannot be wholly free from fear of what might happen if a vigorous defense should lead the prosecutor or the trial judge to inquire into his background and discover his lack of credentials. Yet a criminal defendant is entitled to be represented by someone free from such constraints.
Solina v. United States,
Significantly, Vernell’s alleged conflict did not place him in an adversarial position relative to Hoffman. At best, Hoffman has shown only a remote possibility of a conflict and not an actual conflict that adversely affected Vernell’s performance. There is no showing that Vernell actively represented conflicting interests.
The case before us is fundamentally different from Messelt v. Alabama,
C.
Finally, Hoffman argues that he was denied effective assistance of counsel under the standard we enunciated in Cooper v. Fitzharris,
Although Vernell’s representation of Hoffman was certainly not flawless, the district judge was not clearly erroneous in concluding that it met the standard of practice expected of a reasonably competent criminal defense attorney. Hoffman relies upon the testimony of lawyers for his co-defendants to support his contention that Vernell’s representation fell below the required standard of competence. The district judge considered this testimony, in addition to that of another attorney who testified that Vernell’s defense of Hoffman was competent, and concluded that Vernell met the standard of competency. Vernell vigorously represented Hoffman in the pretrial proceedings to remove Hoffman from Florida to Arizona, made numerous motions before and during trial, made objections at trial, some of which were sustained, and attempted to establish the defense of misidentification. He also moved for a new trial.
To attack successfully his conviction under the sixth amendment, Cooper requires he prove both that he was denied effective assistance of counsel and that he was prejudiced thereby. Because Hoffman failed to show incompetent acts under the first prong of the Cooper test, we need not discuss the prejudice requirement.
AFFIRMED.
Notes
. It is unclear from the record whether Vernell was admitted to the bar of the District Court of Arizona or admitted only for the Hoffman case. Our disposition would be the same in either instance.
. The government contends that Hoffman waived his right to counsel. The government’s waiver argument rests upon a statement by the trial judge in his testimony at the evidentiary hearing on the section 2255 petition that he thought Hoffman knew that Vernell had been suspended from the Florida State Bar. The government’s support for a finding of waiver of the right to counsel falls far short of meeting the knowing, intelligent, and voluntary standard for waiver of a constitutional right. See Johnson v. Zerbst,
Dissenting Opinion
dissenting:
A lawyer is admitted to practice before an Arizona federal court solely because he is licensed to practice in Florida. When that lawyer loses his license in Florida, may the Arizona court absolutely ignore Florida's decision? The majority says it may.
I respectfully dissent.
Hoffman argues that a lawyer who has lost his only earned license to practice law should, per se, be deemed ineffective counsel in all jurisdictions that predicate permission to practice on that license. Like the majority, I reject this position.
In rejecting the per se rule, the majority relies heavily on United States v. Merritt,
If the trial court found counsel adequate in the Merritt case, and the Seventh Circuit reversed without disturbing this finding, the lesson of that case is clear: although unlicensed attorneys are not per se ineffective counsel, there is a heavy presumption
At an intuitive level, it seems obvious to me that an attorney’s suspension reflects on his effectiveness as counsel. After all, in the state in which he has been suspended, the attorney is conclusively presumed ineffective for the period of suspension.
At an ethical level, the judicial system must avoid even the appearance of impropriety. Model Code of Professional Responsibility EC 9-6. To uphold a verdict that rests on the performance of a lawyer who, had the facts been known, would not have been allowed into the district court,
At a legal level, every court to address this issue has concluded that unlicensed lawyers are suspect. United States v. Merritt,
The only disturbing question that remains is why the majority stretches to apply the Cooper standard to the case before us. See Cooper v. Fitzharris,
Here, we have no such concerns. Hoffman points to the undeniable fact that the
Official loss of license is a serious sanction, disturbing both to the legal profession and to society as a whole. Unwilling to treat this sanction as lightly as the majority, I would reverse.
. Several circuits do apply a per se rule that unlicensed attorneys are ineffective counsel. E.g., Salina v. United States,
. Some might argue that Vernell, although found unfit to practice law, was not specifically found "incompetent” by the Florida State Bar. Rather, he was suspended for "ethical” reasons. Florida Bar v. Vernell,
As a matter of "competence,” lawyers must understand their "ethical" duties. Thus 24 states now require successful completion of the Multistate Professional Responsibility Examination as a requirement for licensure.
As a matter of "ethics," lawyers owe their clients a duty of "competence.” Model Code of Professional Responsibility DR 6-101, EC 6-3, EC 6-4. Wisely, the majority does not rest its decision on any supposed distinction between suspension for reasons of ethics rather than competence.
. Although, as the majority notes, the district court would not have been legally compelled to suspend Vernell upon notice of Florida’s action, the briefs make clear that the court would voluntarily have chosen to do so. What little Supreme Court guidance is available suggests that this decision would often be proper. See Theard v. United States,
. As a general rule, courts are wary of applying the harmless error rule to denials of effective counsel. The doctrine has been rejected in many circumstances. See, e.g., Cuyler v. Sullivan,
