Soares v. Herrick

981 N.E.2d 260, 20 N.Y.3d 139
New York Court of Appeals·Decided November 27, 2012·Published·Cited by 33 cases

Opinion

OPINION OF THE COURT

Ciparick, J.

In this appeal, we are called upon to determine whether respondent Judge of Albany County Court exceeded his authority under County Law § 701 when he disqualified petitioner District Attorney of Albany County and his staff from prosecuting a case against respondents Naomi Loomis, Robert Loomis, Kenneth Michael Loomis, Kirk Calvert and Tony Palladino (collectively the defendants) and appointed a special district attorney to pursue the case. We hold that respondent exceeded his statutory authority and that the Appellate Division’s decision to issue a writ of prohibition proscribing enforcement of his orders was appropriate.

The genesis of this appeal stems from an investigation initiated by petitioner and other agencies in June 2006 relating to the illegal sale of steroids and other prescription drugs over the Internet. As a result of this investigation, an Albany County grand jury returned an indictment against the defendants in early 2007. Petitioner then obtained two successive superseding [143] indictments. The defendants challenged the third indictment and respondent partially granted their motion to dismiss with leave to the People to re-present. After petitioner procured a fourth indictment, respondent, once again, granted the defendants’ dismissal motion, but this time without leave to the People to re-present.

The People appealed respondent’s dismissal of the fourth indictment to the Appellate Division. The court modified respondent’s order by granting the People leave to re-present (see People v Loomis, 70 AD3d 1199, 1201 [3d Dept 2010]). During the pendency of the People’s appeal, the defendants commenced a civil action in the United States District Court for the Middle District of Florida against petitioner and his staff, alleging, among other claims, that their federal constitutional rights had been violated during the prosecution of the criminal case. The defendants further asserted Florida state law causes of action. As the federal civil case proceeded, petitioner obtained a fifth indictment against the defendants. Shortly after this indictment was returned, Federal District Court issued a decision, concluding that petitioner was not entitled to immunity or summary judgment with respect to the constitutional claims lodged against him and his staff. District Court also denied petitioner’s motion for summary judgment on the state common-law claims.

Meanwhile, the defendants moved in County Court to dismiss the fifth indictment. By order dated November 15, 2010, respondent granted the dismissal motion with leave to re-present, but disqualified the Albany County District Attorney’s office “from further prosecution of this matter.” Respondent reasoned that the pending civil lawsuit against petitioner and his staff created “a conflict of interest sufficient to warrant dismissal of the indictment” in that their “personal, professional and financial stake in the outcome of both the civil and criminal cases” establishes a “demonstrable potential for prejudice.” In a subsequent order, dated November 22, 2010, respondent appointed a special district attorney from the community to handle the matter.

As a result, petitioner commenced a proceeding pursuant to CPLR article 78 in the Appellate Division seeking to prohibit enforcement of respondent’s orders (see CPLR 506 [b] [1]). With two Justices dissenting, the Appellate Division granted the petition, vacated the orders and prohibited respondent “from taking any action in reliance on said orders” (Matter of Soares v Herrick, 88 AD3d 148, 157 [3d Dept 2011]). As a threshold [144] matter, the majority determined that respondent’s actions were “reviewable by way of a proceeding in the nature of prohibition” (id. at 152). Addressing the merits, the majority held that respondent exceeded his authority when he disqualified petitioner and appointed a special district attorney under County Law § 701 (see id.). The majority observed that “[t]he appearance of impropriety, standing alone, may not cause the disqualification of a district attorney” (id. at 152) and concluded that the defendants here have failed to “demonstrate [ ] that petitioner’s continued prosecution of their cases would result in actual prejudice” (id. at 154 [internal quotation marks omitted]).

The dissenting Justices would have dismissed the petition. In their view, respondent did not exceed his authority when he disqualified petitioner “on the basis of a conflict of interest” (id. at 154-155). Citing to our decision in Matter of Kavanagh v Vogt (58 NY2d 678 [1982]), the dissenters further opined that the question of whether such conflict warranted disqualification was “a question of law not reviewable by way of prohibition” (Matter of Soares, 88 AD3d at 155). The defendants appeal as of right pursuant to CPLR 5601 (a) and we now affirm.

Our analysis begins with the recognition that a “[djistrict [a]ttorney is a constitutional officer chosen by the electors of a county” (Matter of Dondi v Jones, 40 NY2d 8, 19 [1976], citing NY Const, art XIII, § 13). County Law § 700 vests a district attorney with certain statutory duties including the duty “to conduct all prosecutions for crimes and offenses cognizable by the courts of the county for which he or she shall have been elected or appointed” (County Law § 700 [1]; Matter of Dondi, 40 NY2d at 19). We have observed that a district attorney’s broad statutory authority to prosecute all crimes and offenses within his or her jurisdiction is generally nondelegable (see People v Soddano, 86 NY2d 727, 728 [1995]).

However, there are certain circumstances where a court may substitute the elected district attorney and appoint a special district attorney. As relevant here, County Law § 701 (1) allows a court to appoint a special district attorney in situations where the district attorney is “disqualified from acting in a particular case to discharge his or her duties at a term of any court.” In People v Leahy (72 NY2d 510 [1988]), we stated that the legislature designed this statute “narrowly by its terms and by its purpose to fill emergency gaps in an elected prosecutorial official’s responsibility” (id. at 513). Acknowledging that a court’s [145] authority under County Law § 701 “to displace a duly elected [district [a]ttorney” raises separation of power concerns, we cautioned that “[t]his exceptional superseder authority should not be expansively interpreted” (Leahy, 72 NY2d at 513-514).

With this background in place, the defendants argue that respondent’s decision to disqualify petitioner and appoint a special district attorney was in accordance with County Law § 701. They further contend that, in any event, relief through a writ of prohibition is unavailable to petitioner.

“ It is familiar law that an article 78 proceeding in the nature of prohibition will not lie to correct procedural or substantive errors of law” (Matter of Schumer v Holtzman, 60 NY2d 46, 51 [1983], citing Matter of Morgenthau v Erlbaum, 59 NY2d 143, 147 [1983]). Rather, the extraordinary remedy

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Soares v. Herrick, 981 N.E.2d 260, 20 N.Y.3d 139 (N.Y. 2012).

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