In the Matter of David B. Jacobs, an Attorney and Counselor at Law Grievance Committee for the Eastern District of New York v. David B. Jacobs, Esq.

44 F.3d 84, 1994 U.S. App. LEXIS 36477
CourtCourt of Appeals for the Second Circuit
DecidedDecember 23, 1994
Docket251, Docket 94-6049
StatusPublished
Cited by43 cases

This text of 44 F.3d 84 (In the Matter of David B. Jacobs, an Attorney and Counselor at Law Grievance Committee for the Eastern District of New York v. David B. Jacobs, Esq.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In the Matter of David B. Jacobs, an Attorney and Counselor at Law Grievance Committee for the Eastern District of New York v. David B. Jacobs, Esq., 44 F.3d 84, 1994 U.S. App. LEXIS 36477 (2d Cir. 1994).

Opinion

FEINBERG, Circuit Judge:

In this appeal, David B. Jacobs challenges the procedure by which the United States District Court for the Eastern District of New York, pursuant to General Rule 4 of the United States District Courts for the Southern and Eastern Districts of New York (Rule 4), disciplines an attorney who previously has been disciplined by a state court in which he is admitted to practice. By order issued January 31, 1994, the Grievance Committee of the United States District Court for the Eastern District of New York (federal grievance committee), a four-judge. committee chaired by the chief judge, suspended Jacobs from the practice of law in that court during his suspension by the Appellate Division of the New York State Supreme Court, Second Department. Jacobs appeals 'from that order, alleging constitutional infirmities in the state court order on which it was based as well as in the procedure followed by the federal grievance committee under Rule 4. For the reasons stated below we affirm the order of the federal grievance committee.

I. Facts and Prior Proceedings

The underlying state disciplinary action arose out of a complaint by Patricia Warm-hold to the Grievance Committee for the Tenth Judicial District of the Appellate Division of the New York State Supreme Court, Second Department (state grievance committee). Jacobs had represented Warmhold in 1987 and 1988 in a divorce proceeding. The state grievance committee initiated an investigation and deposed Jacobs in November 1989. Based on its investigation, the committee charged that (1) Jacobs had overbilled Warmhold on two occasions, (2) he had wrongfully obtained from her and filed in the Office of the Nassau County Clerk two confessions of judgment and (3) he had improperly attempted to limit his own malpractice liability. The committee then brought a petition against Jacobs to the Appellate Division. In May 1991, the Appellate Division appointed a special referee to hear evidence and make a report. The referee held five hearings from June to November 1991, at which Mrs. Warmhold was the only witness called by the state grievance committee. Jacobs testified in his own behalf and called only one other witness.

In June 1992, the referee sustained the charges of misconduct against Jacobs. The state grievance committee then petitioned the Appellate Division to confirm the report of the referee. In an Opinion and Order dated March 8, 1993, and reported at 188 A.D.2d 228, the Appellate Division confirmed the report and suspended Jacobs from practicing law for a three-year period commencing April 12,1993. In imposing this sanction, the court took into consideration three prior disciplinary actions it had taken against Jacobs, two in 1986 and one in 1990. The court further ordered that Jacobs vacate the confessions of judgment against Warmhold. Jacobs’s application for permission to appeal to the New York State Court of Appeals was denied. 82 N.Y.2d 681, 601 N.Y.S.2d 569, 619 N.E.2d 647 (1993).

*87 On April 6, 1993, Chief Judge Thomas C. Platt of the United States District Court for the Eastern District of New York, as chairman of the grievance committee for that court, ordered Jacobs to show cause why he should not be suspended from practice in that court during the period of his state suspension. On June 10, 1993, the Chief Judge appointed a three-member committee (referred to hereafter as the committee of attorneys or the advisory panel) to assist the federal grievance committee. All three attorneys were retired judges. The advisory panel was to determine whether Jacobs should be suspended from practice in that court on the basis of his state court suspension. Under Rule 4, the federal grievance committee would follow the state order unless Jacobs showed by clear and convincing evidence infirmity of proof or of due process in the state proceeding, or that imposition of discipline by the district court would result in “grave injustice.” For the convenience of the reader, we reproduce Rule 4 in full in Appendix A.

In response to the order to show cause, Jacobs sought to defend against suspension in the federal district court and to enjoin enforcement of the state court order of suspension. At a hearing before Judge Platt on June 9, 1993, Judge Platt refused to enjoin the state court order, stating that he lacked the authority to grant that relief. 1

In a series of conferences with Jacobs beginning in August 1993, the advisory panel attempted to determine whether an eviden-tiary hearing would be needed in order for Jacobs to demonstrate constitutional infirmity in the state proceeding or grave injustice that would result from federal discipline. At a hearing held November 11, 1993, Jacobs suggested witnesses to be called at an evi-dentiary hearing. These proposed witnesses included Warmhold, the attorneys who had represented Warmhold’s ex-husband in then-divorce proceeding, the referee from Jacobs’s state disciplinary proceeding and one or more judges of the Appellate Division. The advisory panel found that the information that might be learned from each of these potential witnesses either was already in the record of the state proceeding, could have been presented there or would add little of relevance.

In an opinion dated December 30, 1993, the advisory panel concluded that an eviden-tiary hearing would not be needed to determine whether the federal grievance committee should impose discipline on the basis of the state order. The panel went on to find that the state proceeding had been fair and free of constitutional infirmity and recommended that the federal grievance committee suspend Jacobs from practice in the federal district court. In an order issued on January 31, 1994 and signed by all four judges, the federal grievance committee adopted the opinion of the advisory panel. This appeal followed.

II. Discussion

Jacobs argues that the state disciplinary proceeding violated the federal and New York State constitutions. Jacobs urges us to enjoin enforcement of the state order and to reverse the federal grievance committee’s decision based on that order. Additionally, Jacobs charges that certain aspects of the procedure followed by the federal grievance committee under Rule 4 violated due process.

A. Jurisdiction in this Court

As a preliminary matter, we consider our own jurisdiction to review the district court’s decision to sanction Jacobs. A district court’s authority to discipline attorneys admitted to appear before it is a well-recognized inherent power of the court. See In re Snyder, 472 U.S. 634, 643, 105 S.Ct. 2874, 2880, 86 L.Ed.2d 504 (1985); Theard v. United States, 354 U.S. 278, 281, 77 S.Ct. 1274, 1276, 1 L.Ed.2d 1342 (1957). Precisely because this is an inherent, self-contained power of any court, the power of an appellate court to review a lower court’s decision to *88 sanction an attorney is not self-evident. In an early case, the Supreme Court was asked by a suspended attorney to grant a writ of mandamus to the lower court restoring the attorney “to his place of attorney at the bar” of that court.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Ball v. New York State Dept. of Health
Appellate Division of the Supreme Court of New York, 2026
In Re Raphael Weitzman
Second Circuit, 2024
Robert J. Murphy v.
Third Circuit, 2023
In Re Demetriades
58 F.4th 37 (Second Circuit, 2023)
Gonzalez v. Samuel & Stein
S.D. New York, 2020
Thomas Peter Gannon v.
Third Circuit, 2020
In Re: Terry Silva v.
703 F. App'x 104 (Third Circuit, 2017)
Wilfred Aka v. United States Tax Court
854 F.3d 30 (D.C. Circuit, 2017)
In Re: Michele Simmsparris V.
448 F. App'x 268 (Third Circuit, 2011)
In Re Peters
642 F.3d 381 (Second Circuit, 2011)
In re Winford Kent Bishop
361 F. App'x 200 (Second Circuit, 2010)
In Re: Chadwick
285 F. App'x 974 (Third Circuit, 2008)
In Re Moncier
550 F. Supp. 2d 768 (E.D. Tennessee, 2008)
In Re Lijyasu M. KANDEKORE, Respondent
460 F.3d 276 (Second Circuit, 2006)
Grievance Committee v. Heller
153 F. App'x 783 (Second Circuit, 2005)
In re: Martin v.
400 F.3d 836 (Tenth Circuit, 2005)
No. 02-15113
377 F.3d 934 (Ninth Circuit, 2004)

Cite This Page — Counsel Stack

Bluebook (online)
44 F.3d 84, 1994 U.S. App. LEXIS 36477, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-the-matter-of-david-b-jacobs-an-attorney-and-counselor-at-law-ca2-1994.