OPALA, V.C.J.
¶ 1 In this disciplinary proceeding against a lawyer, the issues to be decided are: (1) Does the record submitted for our examination provide sufficient evidence for a meaningful
de novo
consideration of the complaint and of its disposition?
(2) Is a public censure an appropriate disciplinary sanction for the breach of professional ethics set forth in count one of the complaint? and (3) Is dismissal without prejudice an appropriate disposition of count two of the complaint? We answer all three questions in the affirmative.
I
INTRODUCTION TO THE RECORD
¶ 2 The Oklahoma Bar Association (the “Bar”) commenced this disciplinary proceeding on 21 March 2003 against Cordes Martin Giger (respondent or Giger), a lawyer whose license to practice law is currently suspended, by filing a formal complaint in accordance with the provisions of Rule 6.1 of the Rules Governing Disciplinary Proceedings (“RGDP”).
The complaint alleges in two
counts violations of the RGDP and of the Oklahoma Rules of Professional Conduct (“ORPC”).
A trial panel of the Professional Responsibility Tribunal (the “trial panel”) conducted a hearing (the “PRT hearing”) on 12 November 2003 to consider the charges. The parties submitted no stipulations.
¶ 3 Upon completion of the hearing and after consideration of the testimony and exhibits on file, two members of the trial panel issued a report finding that respondent engaged in the misconduct alleged in count one of the complaint, but recommended that no additional disciplinary sanction be imposed upon respondent beyond the two-year-and-one-day suspension he is already serving under this court’s order of 10 June 2003 in
State ex rel. Oklahoma Bar Association v. Giger (“Giger
7/”).
The trial panel majority found insufficient evidence to sustain count two of the complaint and recommended that it be “dismissed.” The third member of the trial panel agreed with the majority’s fact findings and with its recommendation as to discipline for respondent’s misconduct in count one of the complaint, but would have continued the hearing on count two until such time as the Bar is prepared to introduce evidence.
II
THE RECORD BEFORE THE COURT PROVIDES SUFFICIENT EVIDENCE FOR A MEANINGFUL
DE NOVO
CONSIDERATION OF ALL FACTS RELEVANT TO THIS PROCEEDING
¶ 4 In a bar disciplinary proceeding the court functions as an adjudicative licensing authority that exercises exclusive original cognizance.
Its jurisdiction rests on the court’s constitutionally vested, nondelegable power to regulate the practice of law, including the licensure, ethics, and discipline of this state’s legal practitioners.
In deciding whether discipline is warranted and what sanction, if any, is to be imposed for the misconduct charged, the court conducts a full-scale, non-deferential,
de novo
examination of all relevant facts,
in which the conclusions and recommendations of the trial panel are neither binding nor persuasive.
In this undertaking we are not restricted by the scope-of-review rules that govern corrective relief on appeal or certiorari, proceedings in which another tribunal’s findings of fact may have to be left undisturbed by adherence to law-imposed standards of deference.
¶ 5 The court’s duty can be discharged only if the trial panel submits a complete record of the proceedings.
Our initial task is to ascertain whether the tendered record is sufficient to permit (a) this court’s independent determination of the facts and (b) its crafting of an appropriate discipline. The latter is that which (1) is consistent with the discipline imposed upon other lawyers who have committed similar acts of professional misconduct and (2) avoids the vice of visiting disparate treatment on the offending lawyer.
¶ 6 Having carefully scrutinized the record submitted to us in this proceeding, we conclude that it is adequate for
de novo
consideration of respondent’s alleged professional misconduct.
Ill
RESPONDENT’S MISCONDUCT ALLEGED IN COUNT ONE OF THE COMPLAINT CALLS FOR DISCIPLINE BY PUBLIC CENSURE
¶7 The Bar alleges in count one of the complaint that respondent violated the provisions of ORPC Rule 8.4(b),
ORPC Rule 8.4(c),
and RGDP Rule 1.3
by committing a criminal act. The Bar alleges that respondent entered a Norman Wal Mart on 15 September 2001, took a package of batteries from the shelf, opened the package, placed the batteries in his pocket, discarded the packaging, and proceeded to leave the store without paying for the batteries. The Bar alleges that respondent was apprehended by store security in the parking lot and charged with petty larceny in Norman Municipal Court where, on 8 November 2001, he pled
nolo contendere
to the charge.
¶ 8 In answer to the complaint, respondent admits only that he entered the store and put the batteries in his pocket. His answer does not specifically deny the Bar’s remaining allegations, but he testified at the PRT hearing that whatever he did, he did inadvertently and without the intent to steal the batteries from the store. Rather than contest the facts, respondent’s answer asserts as a defense that the petty larceny incident cannot serve as the basis for discipline in this proceeding because the court has already dealt with the incident in
Giger II
and disposed of it.
¶ 9 In
Giger II,
the Bar sought to impose additional discipline on respondent for violating the terms of an earlier disciplinary suspension imposed on respondent in
State ex rel. Oklahoma Bar Association v. Giger
(“Giger I
”).
Among the acts of misconduct alleged in
Giger II
as grounds for imposing additional discipline was the same petty larceny episode we are considering today. The Bar presented evidence in
Giger II
that respondent committed the crime and that he pled
nolo contendere
to it, but because both the crime and the plea took place prior to the effective date of the order in
Giger I,
we determined that the incident could not serve as a basis for imposing additional discipline for violating the terms of the earlier order.
Free access — add to your briefcase to read the full text and ask questions with AI
OPALA, V.C.J.
¶ 1 In this disciplinary proceeding against a lawyer, the issues to be decided are: (1) Does the record submitted for our examination provide sufficient evidence for a meaningful
de novo
consideration of the complaint and of its disposition?
(2) Is a public censure an appropriate disciplinary sanction for the breach of professional ethics set forth in count one of the complaint? and (3) Is dismissal without prejudice an appropriate disposition of count two of the complaint? We answer all three questions in the affirmative.
I
INTRODUCTION TO THE RECORD
¶ 2 The Oklahoma Bar Association (the “Bar”) commenced this disciplinary proceeding on 21 March 2003 against Cordes Martin Giger (respondent or Giger), a lawyer whose license to practice law is currently suspended, by filing a formal complaint in accordance with the provisions of Rule 6.1 of the Rules Governing Disciplinary Proceedings (“RGDP”).
The complaint alleges in two
counts violations of the RGDP and of the Oklahoma Rules of Professional Conduct (“ORPC”).
A trial panel of the Professional Responsibility Tribunal (the “trial panel”) conducted a hearing (the “PRT hearing”) on 12 November 2003 to consider the charges. The parties submitted no stipulations.
¶ 3 Upon completion of the hearing and after consideration of the testimony and exhibits on file, two members of the trial panel issued a report finding that respondent engaged in the misconduct alleged in count one of the complaint, but recommended that no additional disciplinary sanction be imposed upon respondent beyond the two-year-and-one-day suspension he is already serving under this court’s order of 10 June 2003 in
State ex rel. Oklahoma Bar Association v. Giger (“Giger
7/”).
The trial panel majority found insufficient evidence to sustain count two of the complaint and recommended that it be “dismissed.” The third member of the trial panel agreed with the majority’s fact findings and with its recommendation as to discipline for respondent’s misconduct in count one of the complaint, but would have continued the hearing on count two until such time as the Bar is prepared to introduce evidence.
II
THE RECORD BEFORE THE COURT PROVIDES SUFFICIENT EVIDENCE FOR A MEANINGFUL
DE NOVO
CONSIDERATION OF ALL FACTS RELEVANT TO THIS PROCEEDING
¶ 4 In a bar disciplinary proceeding the court functions as an adjudicative licensing authority that exercises exclusive original cognizance.
Its jurisdiction rests on the court’s constitutionally vested, nondelegable power to regulate the practice of law, including the licensure, ethics, and discipline of this state’s legal practitioners.
In deciding whether discipline is warranted and what sanction, if any, is to be imposed for the misconduct charged, the court conducts a full-scale, non-deferential,
de novo
examination of all relevant facts,
in which the conclusions and recommendations of the trial panel are neither binding nor persuasive.
In this undertaking we are not restricted by the scope-of-review rules that govern corrective relief on appeal or certiorari, proceedings in which another tribunal’s findings of fact may have to be left undisturbed by adherence to law-imposed standards of deference.
¶ 5 The court’s duty can be discharged only if the trial panel submits a complete record of the proceedings.
Our initial task is to ascertain whether the tendered record is sufficient to permit (a) this court’s independent determination of the facts and (b) its crafting of an appropriate discipline. The latter is that which (1) is consistent with the discipline imposed upon other lawyers who have committed similar acts of professional misconduct and (2) avoids the vice of visiting disparate treatment on the offending lawyer.
¶ 6 Having carefully scrutinized the record submitted to us in this proceeding, we conclude that it is adequate for
de novo
consideration of respondent’s alleged professional misconduct.
Ill
RESPONDENT’S MISCONDUCT ALLEGED IN COUNT ONE OF THE COMPLAINT CALLS FOR DISCIPLINE BY PUBLIC CENSURE
¶7 The Bar alleges in count one of the complaint that respondent violated the provisions of ORPC Rule 8.4(b),
ORPC Rule 8.4(c),
and RGDP Rule 1.3
by committing a criminal act. The Bar alleges that respondent entered a Norman Wal Mart on 15 September 2001, took a package of batteries from the shelf, opened the package, placed the batteries in his pocket, discarded the packaging, and proceeded to leave the store without paying for the batteries. The Bar alleges that respondent was apprehended by store security in the parking lot and charged with petty larceny in Norman Municipal Court where, on 8 November 2001, he pled
nolo contendere
to the charge.
¶ 8 In answer to the complaint, respondent admits only that he entered the store and put the batteries in his pocket. His answer does not specifically deny the Bar’s remaining allegations, but he testified at the PRT hearing that whatever he did, he did inadvertently and without the intent to steal the batteries from the store. Rather than contest the facts, respondent’s answer asserts as a defense that the petty larceny incident cannot serve as the basis for discipline in this proceeding because the court has already dealt with the incident in
Giger II
and disposed of it.
¶ 9 In
Giger II,
the Bar sought to impose additional discipline on respondent for violating the terms of an earlier disciplinary suspension imposed on respondent in
State ex rel. Oklahoma Bar Association v. Giger
(“Giger I
”).
Among the acts of misconduct alleged in
Giger II
as grounds for imposing additional discipline was the same petty larceny episode we are considering today. The Bar presented evidence in
Giger II
that respondent committed the crime and that he pled
nolo contendere
to it, but because both the crime and the plea took place prior to the effective date of the order in
Giger I,
we determined that the incident could not serve as a basis for imposing additional discipline for violating the terms of the earlier order. In a footnote, we suggested that the petty larceny charge might be grounds for independent disciplinary sanctions.
The Bar now asks us to impose such sanctions.
¶ 10 Respondent does not identify the legal principle upon which he rests his contention that the court cannot again consider the petty larceny matter, but we surmise that he is referring to either double jeopardy or one of the preclusion doctrines. In either case, we disagree that the petty larceny incident is now beyond the court’s constitutionally vested authority to discipline wayward practitioners.
¶ 11 Oklahoma’s prohibition against double jeopardy provides that having been acquitted by a jury, no person shall again be “put in jeopardy of life or liberty for that of which he has been acquitted. Nor shall any person be twice put in jeopardy of life or liberty for the same offense.”
Its federal counterpart provides in pertinent part that “no person shall be ... subject for the same offense to be twice put in jeopardy of life or limb....”
The federal guarantee is applicable to the states through the Fourteenth Amendment.
The double jeopardy protections do not prohibit the imposition of all additional sanctions that may “in common parlance” be described as punishment.
They protect only against the imposition of multiple
criminal
punishments for the same offense.
Although to the suspended or disbarred lawyer, a disciplinary sanction may feel like punishment, it is not in law.
Bar discipline is one of three distinct
remedial
tracts to enforce a lawyer’s accountability for practice-related misdeeds.
Because professional disciplinary proceedings are remedial, not punitive, they are not subject to double jeopardy strictures.
¶ 12 The doctrine of claim preclusion, formerly known at common law as res judicata, teaches that a final judgment on the merits of an action precludes the parties from re-litigating not only the adjudicated claim, but also any theories or issues that were actually decided, or could have been decided, in that action.
When claim preclusion is asserted, the court must analyze the claim dealt with in the prior action to ascertain whether it is in fact the same as that asserted in the subsequent action. In
Retherford v. Halliburton
Company,
we defined claim as:
“a legal concept which has no separate existence in the natural order of things. It is what the makers of legal policy, the Legislature and the courts, say it is. It exists to satisfy the needs of plaintiffs for a means of redress, of defendants for a conceptual context within which to defend an accusation, and of the courts for a framework within which to administer justice.”
The claim in
Giger II
was that respondent’s petty larceny at the Norman Wal Mart violated the terms of the conditioned probation imposed on respondent in
Giger I.
That was the only claim decided on the merits in
Giger II.
The Bar cannot re-litigate that claim, but it is not barred by the doctrine of claim preclusion from bringing a separate disciplinary proceeding in which we are asked to determine whether the petty larceny incident warrants independent disciplinary sanctions.
¶ 13 The other preclusion doctrine, formerly known at common law as collateral estoppel, is issue preclusion. Under this doctrine, once a court has decided an issue of fact or law necessary to its judgment, the same parties or their privies may not relitigate that issue in a suit brought upon a different claim.
Issue preclusion prevents relitigation of facts and issues
actually litigated and necessarily determined
in an earlier proceeding between the same parties or their privies.
An issue is actually litigated and necessarily determined if it is properly raised in the pleadings or otherwise, submitted for determination, and in fact determined.
There need not be a judgment on the merits, but only a final determination of a material issue common to both cases.
In
Giger II,
the court did not make any finding of fact regarding respondent’s actions at the Norman Wal Mart. The Bar is hence not precluded from raising the matter in this proceeding.
¶ 14 We find the evidence presented in this proceeding clear and convincing that respondent committed the offense of petty larceny at the Norman Wal Mart as alleged in count one of the complaint. In
State ex rel. Oklahoma Bar Association v.
Bradley,
the court held that a plea of
nolo contendere
is admissible as evidence of a violation of the rules of professional conduct in a proceeding against
a member of the Bar.
Giger filed a response to the Bar’s complaint as required by RGDP Rule 6.4,
but he neither admitted nor denied that he pled
nolo contendere
to the petty larceny charge. RGDP Rule 6.4 provides that failure to answer a complaint constitutes an admission of the charges,
but it is not clear from the language of the rule whether the failure to deny a specific allegation, as distinct from a complete failure to respond, constitutes under the rule an admission of the uncontroverted allegation. Yet, it is unnecessary for us to determine whether Rule 6.4 reaches a respondent’s failure to deny a specific allegation in a bar complaint. This is so because the rules of civil procedure, which apply to bar disciplinary proceedings, clearly extend to that eventuality. The provisions of 12 O.S.2001 § 2008(D) state that failure to deny an averment in a pleading to which a responsive pleading is required, other than those as to the amount of damages, results in the admission of the uncontroyerted averment. Respondent’s admission by omission to deny provides the necessary proof that respondent pled
nolo contendere
to the petty larceny charge. Under the
Bradley
rule, the plea constitutes clear and convincing evidence that respondent violated the rules of professional conduct.
¶ 15 Even if the
nolo contendere
plea were not admissible or not sufficient in and of itself to prove the Bar’s allegations, we would nevertheless find from this record sufficient evidence that respondent committed the alleged petty larceny. Respondent does not deny that he took the batteries off the shelf, put them in his pocket, and left the store without paying for them. His defense is that he did so inadvertently. We are not persuaded. One does not enter a store, remove a product from its packaging, discard the packaging, and place the item in one’s clothing in the absence of an intent to abscond with the merchandise.
¶ 16 We find that respondent’s conduct violated the provisions of ORPC Rule 8.4(b), ORPC Rule 8.4(c), and RGDP Rule 1.3. The trial panel recommended that we impose no discipline for this infraction given that respondent is already serving a two-year-and-one-day suspension. We cannot accede to this recommendation without having it appear that we view shoplifting to be of little consequence. We do not. Shoplifting, even when the items stolen are of little value, is harmful to society. When one engages in such misconduct, it indicates psychological or emotional problems or a lack of respect for the law, or both. For a lawyer, neither mental state is acceptable. In light of respondent’s current suspended status, we believe a public censure suffices to vindicate the interests we are sworn to protect. Because he has already been suspended for two years and one day in
Giger II,
respondent must apply for reinstatement if he is to practice law again.
At that time he will have to
persuade us that he possesses the good moral character that would entitle him to reinstatement as a member of the Bar, that he is free of the impairments indicated by the commission of this petty crime, and that he is again fit to practice law.
IV
COUNT TWO OF THE COMPLAINT IS DISMISSED WITHOUT PREJUDICE
¶ 17 The Bar alleges in count two of the complaint that respondent engaged in some very serious acts of misconduct which, if true, constitute both criminal offenses as well as ethical breaches. The Bar was not prepared to offer evidence at the PRT hearing substantiating the allegations and indicated that it would dismiss the count were that course of action open to it. Two members of the trial panel recommended that the count be dismissed, while the remaining trial panel member recommended that the hearing on count two be continued until such time as the Bar is prepared to present its case.
¶ 18 The provisions of RGDP Rule 6.15 govern the court’s options in disposing of a disciplinary proceeding. They permit the court to “impose discipline, dismiss the proceedings or take such other action as it deems appropriate.” We decline to order the hearing on count two continued in the absence of a properly formulated request by the Bar to do so.
Because of the gravity of the allegations made against respondent in this count, we dismiss it without prejudice to its refiling should proof that he engaged in the alleged misconduct become available.
V
SUMMARY
¶ 19 The Bar has charged respondent with two counts of professional misconduct. We find clear and convincing evidence that respondent committed the offense of petty larceny from a Norman Wal Mart in violation of ORPC Rule 8.4(b), ORPC Rule 8.4(c), and RGDP Rule 1.3. In the circumstances of this case the appropriate disciplinary sanction for respondent’s misconduct is a public censure. We determine that the Bar failed to prove the allegations in count two of the complaint and order that count dismissed without prejudice to its refiling should proof of the alleged misconduct become available.
¶ 20 RESPONDENT IS ORDERED DISCIPLINED BY A PUBLIC CENSURE FOR THE MISCONDUCT ALLEGED IN COUNT ONE OF THE COMPLAINT; COUNT TWO OF THE COMPLAINT IS DISMISSED WITHOUT PREJUDICE.
¶ 21 ALL JUSTICES CONCUR.