John Berry, Jr. v. Michael Schmitt

688 F.3d 290, 40 Media L. Rep. (BNA) 2113, 2012 WL 3047238, 2012 U.S. App. LEXIS 15513
CourtCourt of Appeals for the Sixth Circuit
DecidedJuly 27, 2012
Docket11-5456, 11-5515
StatusPublished
Cited by166 cases

This text of 688 F.3d 290 (John Berry, Jr. v. Michael Schmitt) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
John Berry, Jr. v. Michael Schmitt, 688 F.3d 290, 40 Media L. Rep. (BNA) 2113, 2012 WL 3047238, 2012 U.S. App. LEXIS 15513 (6th Cir. 2012).

Opinions

ROGERS, J., delivered the opinion of the court, in which DAUGHTREY, J., joined. ZOUHARY, D.J. (pp. 305-06), delivered a separate concurring opinion.

OPINION

ROGERS, Circuit Judge.

The balance between an attorney’s right to free political speech and a state’s right to regulate attorney conduct is delicate. States often successfully navigate the tension between these competing interests, permitting open critique while protecting the viability and vitality of judicial institutions. One of the ways that states do this is through ethical rules that prohibit attorneys from making false or reckless statements about judicial officers. Sometimes, however, the balance is upset and the state applies its rules in a way that impinges upon the free interchange of ideas that is vital to self-government. This is especially problematic when the speech is made by attorneys, who are often the citizens best situated to criticize government abuse.

This First Amendment case arose when the Kentucky Bar Association (KBA) issued a written warning against an attorney for criticizing a quasi-judicial state legislative ethics commission. John Berry, an attorney, attended a public session of the Kentucky Legislative Ethics Commission regarding alleged fund-raising violations by Senate President David Williams. Berry was unhappy with how the session was conducted — the Commission closed the session to the public but allowed Williams to remain — and Berry drafted a letter expressing his displeasure. The letter stated that the Commission’s procedures could cause the public to think that the “deck was stacked.” The Commission complained of the letter to the Kentucky Bar Association’s Inquiry Commission. After investigating the matter, the Inquiry Commission issued a letter warning Berry that his conduct violated Kentucky Rule of Professional Conduct 8.2(a), and advising him to refrain from similar conduct in the future. After exhausting his state remedies, Berry brought this First Amendment challenge to Rule 8.2(a). The district court granted summary judgment for the KBA. This decision was improper because Rule 8.2(a) is unconstitutional as applied to Berry’s speech.

I

In 2007, the Kentucky Legislative Ethics Commission received a complaint regarding the fund-raising of Kentucky Senate President David Williams. The Commission conducted a hearing regarding the allegations, which Berry attended. At the [295]*295hearing, the Commission called an executive session and excluded the media, Berry, and other members of the public during its inquiry into the allegations, but allowed Williams to be present. After hearing the evidence, the Commission issued an order dismissing the complaint against Williams.

On October 5, 2007, Berry wrote a letter to the Commission criticizing the Commission’s disposition of the Williams matter:

The inquiry was conducted entirely behind closed doors with the exception of Senator Williams who was allowed to be present throughout the preliminary inquiry. The exclusion of the pub[l]ie and the media was enough to arouse suspicion, but the exclusion of the complainant (except for a brief appearance as a witness) coupled with the inclusion of the alleged violator throughout the proceeding gave cause for some to speculate that the deck was stacked and the Senator would be exonerated. I was not, and am not, willing to go that far, but I do believe that your Order ... that exonerated him, was contrary to the undisputed evidence that was presented.

Berry disseminated copies of his letter to the Commission, members of the public, and the media.

In November 2007, the Inquiry Commission of the Kentucky Bar Association began investigating whether Berry’s letter violated the Kentucky Rules of Professional Conduct. The Inquiry Commission focused on Rule of Professional Conduct 8.2(a), which provides that “[a] lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer.” Ky. Sup.Ct. R. 3.130(8.2(a)). Berry denied any violation.

Following a lengthy investigation, the Inquiry Commission issued a warning letter asserting that Berry’s conduct violated Rule 8.2(a) “by publicly implying that the Legislative Ethics Commission did not conduct its review appropriately.” The letter continued:

The Inquiry Commission voted to issue this warning letter, in connection with its Order of Dismissal, as provided by SCR 3.185, in lieu of either a Private Admonition or a Charge. This letter is to advise you in the future to conform your conduct to the requirements of the Rules of Professional Conduct.
Pursuant to SCR 3.185, the issuance of this warning letter does not constitute a record of formal discipline. The file will be destroyed after one (1) year.

The disciplinary complaint against Berry was dismissed. Berry did not appeal because Kentucky does not provide for an appeal of the Inquiry Commission’s findings.

Berry filed this action in November 2009, alleging that he wished to engage in further criticism of the Commission’s investigation of David Williams. Berry alleged, however, that he has refrained from such speech because he now fears professional discipline. Berry contended that the warning letter contained threats of enforcement that deprived him of his First and Fourteenth Amendment rights. He asked the district court to declare that Rule 8.2(a) is unconstitutional, facially and as applied. Berry also requested injunctive relief preventing the KBA from enforcing the rule against him “for any future distribution of his October 5, 2007 letter” or “future speech [that is] substantially similar.”

The district court granted the KBA’s motion for summary judgment. The district court held that the Rooker-Feldman doctrine barred Berry’s as-ap[296]*296plied challenge. Berry v. Schmitt, No. 03:09-60-DCR, 2011 WL 1376280, at *2-4 (E.D.Ky. April 12, 2011). Turning to the facial challenge, the district court held that Berry had standing and that his claims were ripe, but that Rule 8.2(a) did not reach a substantial amount of protected speech. Id. at *7-8. Berry filed this timely appeal and the KBA filed a cross-appeal challenging Berry’s standing.1

II

A. Article III Standing

The district court properly determined that Berry had standing to pursue his pre-enforcement challenge to Rule 8.2(a) because he alleged an injury in fact. Where a plaintiff alleges that state action has chilled his speech, “it is not necessary that [he] first expose himself to actual arrest or prosecution to be entitled to challenge a statute that he claims deters the exercise of his constitutional rights.” Steffel v. Thompson, 415 U.S. 452, 459, 94 S.Ct. 1209, 39 L.Ed.2d 505 (1974). However, a plaintiff must still satisfy the injury-in-fact requirement by showing: (1) “an intention to engage in a course of conduct arguably affected with a constitutional interest, but proscribed by a statute” and (2) “a credible threat of prosecution thereunder.” Babbitt v. United Farm Workers Nat’l Union, 442 U.S. 289, 298, 99 S.Ct. 2301, 60 L.Ed.2d 895 (1979). Berry has met both requirements.

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688 F.3d 290, 40 Media L. Rep. (BNA) 2113, 2012 WL 3047238, 2012 U.S. App. LEXIS 15513, Counsel Stack Legal Research, https://law.counselstack.com/opinion/john-berry-jr-v-michael-schmitt-ca6-2012.