Schwarz v. Kogan

132 F.3d 1387, 1998 U.S. App. LEXIS 373, 1998 WL 7056
Court of Appeals for the Eleventh Circuit·Decided January 12, 1998·No. 96-3276·Published·Cited by 14 cases

Opinion

MARCUS, Circuit Judge:

This lawsuit arises out of a rule of professional responsibility enacted by the Supreme Court of Florida for the purpose of regulating the conduct of members of the Florida Bar. The rule, in pertinent part, requires Bar members to report their compliance with certain aspirational goals regarding the provision of legal services to the poor. Plaintiff-Appellant Thomas Rowe Schwarz, an attorney and member of the Florida Bar proceeding pro se, filed this action against the Chief Justice of the Supreme Court of Florida, essentially seeking declaratory and injunctive relief precluding enforcement of the rule. Schwarz asserts, among other things, that the rule denies him rights guaranteed by the Equal Protection and Due Process clauses of the Fourteenth Amendment to the United States Constitution. The district court granted a motion for summary judgment filed by Defendant-Appellees Gerald Kogan (the current Chief Justice of the Florida Supreme Court) and the Florida Bar Foundation. Schwarz now appeals that decision, and asks us to vacate the order and remand with instructions to enter summary judgment in his favor. For the reasons stated below, we find his argument unconvincing, and therefore affirm the district court’s rulings.

I.

This appeal concerns Rule 4-6.1 of the Rules Regulating the Florida Bar. The Rule, which is captioned “Pro Bono Public Service,” was adopted by the Florida Supreme Court in June of 1993 after a lengthy review and comment process, pursuant to its exclusive jurisdiction “to regulate the admission of persons to the practice of law and the discipline of persons admitted.” Fla. Const, art. V, § 15. Section (a) of the Rule reads as follows:

Each member of The Florida Bar in good standing, as part of that member’s professional responsibility, should (1) render pro bono legal services to the poor or (2) participate, to the extent possible, in other pro bono service activities that directly relate to the legal needs of the poor. This professional responsibility does not apply to members of the judiciary or their staffs or to government lawyers who are prohibited from performing legal services by constitutional, statutory, rule or regulatory prohibitions [ j. 1

Section (b) of the Rule provides a critical gloss on this provision, by making clear that the obligation recognized by section (a) is “aspirational rather than mandatory in nature,” and therefore “failure to fulfill one’s *1389 professional responsibility under this rule will not subject a lawyer to discipline” (emphasis in original). Nevertheless, section (b) goes on to state that compliance with section (a) may be established in one of two ways: through the annual provision of 20 hours of pro bono legal services to the poor, or an annual contribution of $350 to a legal aid organization.

The crux of this appeal is section (d) of the Rule, which requires Florida Bar members to report, in conjunction with their annual dues statement, whether they have complied with the aspirational goals of section (a) or, in the alternative, qualify for an exemption. Specifically, section (d) begins by stating that “[e]ach member of the bar shall annually' report whether the member has satisfied the member’s professional responsibility to provide pro bono legal services to the poor.” It then explains that “[e]ach member shall report this information through a simplified reporting form that is made part of the member’s annual dues statement.” The form contains the following inquiries, at least one of which must be answered or highlighted by the member:

(1) I have personally provided hours of pro bono legal services;
(2) I have provided pro bono legal services collectively by: (indicate type of case and manner in which service was provided);
(3) I have contributed to: (indicate organization to which funds were provided);
(4) I have provided legal services to the poor in the following special manner: (indicate manner in which services were provided); or
(5) I have been unable to provide pro bono legal services to the poor this year; or
(6) I am deferred from the provision of pro bono legal services to the poor because I am: (indicate whether lawyer is: a member of the judiciary or judicial staff; a government lawyer prohibited by statute, rule or regulation from providing services; retired or inactive).

While a Bar member’s failure, or unwillingness, to honor the aspirational pro bono goals in the manner prescribed in section (b) will not expose him to professional discipline, failure to comply with the reporting. requirement “shall constitute a disciplinary offense under these rules” and may trigger professional discipline by the Florida Supreme Court. Precisely what discipline the lawyer may face is unclear, since no lawyer has actually been sanctioned for violating Rule 4-6.1. A Bar member’s report of his compliance or non-compliance with the aspirational goals of the Rule can be reviewed, upon request, by the public.

In May of 1994, Schwarz filed a petition with the Florida Supreme Court, asking that the pro bono rule be stayed and then revoked. The petition, in two instances, referred to Rule 1-12.1 of the Rules Regulating the Florida Bar. Then-Chief Justice Grimes directed that the petition be returned without filing. The Appellant was notified of this ruling through a letter signed by the Clerk of Court; the letter, dated May 24, 1994, advised Schwarz that he “must comply with Rule l-12.1(f)” of the Rules Regulating the Florida Bar before the petition would be considered. Rule 1 — 12.1(f), among other things, states that “[o]nly the Supreme Court of Florida shall have the authority to amend” the Rules Regulating the Florida Bar. Rule l-12.1(f) also creates certain procedural hurdles that must be cleared before a petition seeking the amendment of- a Rule will be considered by the Florida Supreme Court. A petition may, for example, be filed only by the board of governors of the Florida Bar, or by 50 members in good standing so long as the proposed amendment is submitted beforehand to the Bar. Subsection (i), though, contains a proviso stating that “[o]n good cause shown, the [Florida Supreme Court] may waive any or all of the provisions of [Rule 1.12.1].”

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Schwarz v. Kogan, 132 F.3d 1387, 1998 U.S. App. LEXIS 373, 1998 WL 7056 (11th Cir. 1998).

132 F.3d 1387 (Schwarz v. Kogan) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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