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n J o h n Willi ams , pr o s e , S t o r r s , C T FO R A P P E L L E E : Wi c k R . C h ambe r s , o f Wi n n i c k R u ben H o f f n u n g P e abo d y &M e n d e l , L L C , N ew H av e n , C T 1

In li e u o f a s t an d ar d

br i e f , t h e A p p e ll e e f ile d a s t at e me

n t ad o p t i n g th e 1 di s t r i c t c o u r t ’ s f i n di n gs an d c o n c l u si o n s , w h i c h i s a p e r mi s si

bl e s u bs t i tut e f o r a br i e f u n d e r t h i s C o u r t ’ s L o c al R u l e 46.3(b) .P E R

C U R I A M : 1 S t e ph e n J o h n Willi ams ap p e al s f r o m an o r d e r o f t h e U n i t e d S t at e s D i st r i c t 2 C o

u r t f o r t h e D i s t r i c t o f C o n n e c t i c u t ( C h at i gny, J .) r e c ip r o c all y s u sp e n di n g h im 3 f

r o m t h e p r ac t i c e o f l aw be f o r e t h at c o u r t , bas e d o n an o r d e r o f t h e C o n n e c t i c u t 4 S up e r i o r

C o u r t . Fo r t h e f o ll ow i n g r e as o n s , t h e di s t r i c t c o u r t ’ s r e c i p r o c al 5 s

u sp e n si o n o r d e r i s A FFI R M E D . 6 T

h e di s t r i c t c o u r t ’ s r e c ip r o c al

s u sp e n si o n w as bas e d o n a 2005 o r de r

o f t h e 7 C o

n n e c t i c u t S up e r i o r C o u r t , w h i c h s u sp e n d e d Will i ams fo r six mo n t h s , w it h 8 r e admi s si o

n c o n t i n ge n t o n c o mp l e t i n g co u r s e s o n e t h i c s an d C o n n e c t i c u t p r ac t i c e , 9 d

u e t o h i s p u r s u i t o f a me r i t l e s s

man d amu s

mot i o n i n t h at c o u r t an d h i s 10 i

n t imi d at i o

n o f a s t at e c o u r t d ep u ty chi e f

c l e r k “w i t h imp r o p e r

u n s o l i c i t e d 11 ad

v i c e .” T h e s t at e j u d ge e s s e n t i all y f o u n d t h at Willi ams h ad p u r s u e d a 12 di s r up t i

v e c o u r s e w h e n h e s o u gh t t o r e o p e n a s t at e c o u r t p r o c e e d i n g t o c h all e n ge 13 a sp e e di

n g t i c ke t . 14 I . S t an d ar d s of R evi ew 15 T

h e di s t r i c t c o u r t ' s r e c ip r o c al

s u sp e n si o n i s r ev i ew e d f o r an abu se o f 16 di s c r e t i o

n . I n r eE de l s t e i n , 214 F.3d

127, 130- 31 ( 2d

C i r . 2000) . Wh e

n a di s t r i c t 17 c o

u r t i s c o n si d e r i n g r e c ip r o c al

di s c ip li n e , t h e at t o rn e y b e ar s t h e bu r d e n o f

21 d e mo

n s t r at i n g, b y cle ar

an d c o nv i n c i n g e v i d e n c e , t h at a di f f e r e n t di sp o si t i o

n 2 w

o u l d be ap p r o p r i at e

, d u e t o : ( 1) “abs e

n c e o f d u e p r o c e s s ” i

n t h e p r i o r 3 di s c ip li

n ar y p r o c e e di

n g, ( 2) “s u bs t an t i al i n f i r mi ty i n t h e p r o o f o f l ac k o f p r i v at e 4 an d

p r o f e s si o n al c h ar ac t e r

,” o r ( 3) “‘ s o me

o t h e r gr av e r e as o n ’ ” t h at r e c i p r o c al 5 di s c ip li

n e w o u l d be i n c o n si s t e n t w i t h “‘ p r i n c ip l e s o f r i gh t an d j u st i c e .’ ” I

n r e 6 R o m a n , 601 F.3d 189, 193 ( 2d

C i r . 2010) ( qu o t i

n g Se l l i ng v. R a df

o r d, 243 U .S . 46, 51 7 ( 1917) ) ( ad di t i o n al qu o t at i o n mar ks an d c it at i o n o mi t t e d ) . T h e s e s t an d ar d s 8 r e qu i r e

si gn i f i c an t d e f e r e n c e t o bo t h t h e di st r i c t c o u r t an d t h e s t at e c o u r t . In t h e 9 p r e s e

n t ap p e al , Willi ams

h as n o t met h i s bu r d e n u n d e r t h i s dif f i c u lt “d o u bl e 10 d e f

e r e n c e ” s e t o f s t an d ar d s : h e

h as n o t s h ow n t h at t h e d i s t r i c t c o u r t abu s e d i t s 11 di s c r e t i o

n i n imp o si n g r e c ip r o c al

di s c ip li n e af t e r i t f o u n d t h at Willi ams h ad n ot 12 s

h ow n by c l e ar an d c o nv i n c i n g e v i d e n c e t h at r e c ip r o c al

di s c ip l i n e bas e d o n t h e 13 s t at e ’ s

s u sp e n si o n w as u nw ar r an t e d . 14 A

s a p r e limi

n ar y mat t e r

, w e r e j e c t Willi ams

’ s c o n t e n t i o n t h at t h e “c l e ar 15 an d

c o nv i n c i n g e v i d e n c e ” st an d ar d

d o e s n o t ap p l y b e c au s e Se l l i ng d o e s

n ot 16 e x p li c i t l

y u s e t h at ph r as e . P r i o r

p an e l s o f t h i s C o u r t h av e h e l d t h at t h e c l e ar an d 17 c o

nv i n c i n g e v i d e n c e s t an d ar d ap p li e s t o r e c ip r o c al

di s c i p li n e d e t e r mi n at i o n s , s e e 18 R o m a n , 601 F.3d at 193; I n r eFr i e dm a n , 51 F.3d

20, 22 ( 2d

C i r . 1995) , an d

w e ar e n o t 31 f

r e e t o r ev i si t t h o s e h o l di n gs , s e eI n r eZ a r ne l , 619 F.3d

156, 168 ( 2d

C i r . 2010) 2 ( h o l di

n g th at p an e l s o f t h i s C o u r t ar e “bou n d by t h e d e c i si o n s o f p r i o r p an e l s 3 u

n t il s u c h t ime as t h e y ar e ov e r r u l e d e i t h e r by an e n b a nc p an e l

o f o u r C o u r t o r by 4 t

h e S up r e me

C o u r t ” ( i n t e rn al qu o t at i o n mar ks o mi t t e d ) ) . We

al s o r e j e c t t h e 5 s

u gge s t i o n t h at t h e “c l e ar an d c o nv i n c i n g e v i d e n c e ” s t an d ar d

d i s c u s s e d i n R o m a n 6 an d

Fr i e dm a n ap p li e s

o n l y t o r e c ip r o c al

d i s c i p li n e imp o se d u n d e r t h e l o c al r u le s 7 u s e d

i n t h o s e c as e s . T h at s t an d ar d ap p li e s t o all r e c ip r o c al

di s c ip li n ar y 8 p r o c e e di

n gs i n t h e f e de r al c o u r t s o f t h i s c i r c u i t . 9 I I . A l l egat i on s t h at t h e S t at e C ou r t s V i ol at ed D u e P r oces s 10 We

r e j e c t Willi ams

’ s ar gu me n t t h at h e l ac ke d ade qu at e

ad v an c e n ot i c e o f 11 t

h e c h ar ge s agai n s t h im. T h e s t at e c o u r t ’ s o r d e r r e qu i r i n g Willi ams

t o s h ow 12 c au s e

w h y h e s h o u l d n o t be di s c ip li n e d di d n o t d e t ail t h e f ac tu al bas i s f o r t h e 13 c h ar ge s

; i t simp l y s t at e d t h at h i s “p l e adi n gs ” may h av

e v i ol at e d c e r t ai n p r ac t i c e 14 r u l e s . H ow

ev e r , af t e r Willi ams r e qu e s t e d

a bi ll o f p ar t i c u l ar s

, t h e s t at e c o u r t 15 j u d ge

o r all y d e s c r i be d t h e f ac t u al bas i s f o r t h e c h ar ge s . Wh il e

t h at d e s c r ip t i o

n 16 w

as br i e f , i t gav e Willi ams ad e qu at e

n o t i c e o f t h e c h ar ge s , w h i c h w e r e n o t 17 c o mp li c at e d . Se eI n r eP e t e rs , 642 F.3d

381, 386- 87 ( 2d

C i r . 2011) ( “an

at t o rn e y may 18 r e c e i

v e ad e qu at e

n o t i c e o f a mi s c o n d u c t c h ar ge by me an s

o t h e r t h an a s an c t i o n s 41 mot i o

n s e r v e d p r i o r t o t h e s an c t i o n s h e ar i n g”) . H e al s o h ad ade qu at e

t i me t o 2 d e f

e n d h imse l f , as t h e s u sp e n si o n o r d e r w as i s s ue d ap p r ox imat e l

y th r e e mo n t h s 3 af

t e r i s s u an c e o f t h e o r d e r t o s h ow c au s e an d n e ar l y s ix w e e ks af t e r t h e st at e c o u r t 4 j u d ge

o r all y e x p l ai n e d t h e c h ar ge s . 5 T

h e s t at e me n t i n I n r eR uf f a l o , 390 U .S . 544 ( 1968) , t h at a d i s c i p li n ary 6 “c h ar ge

mu s t be kn ow n be f o r e t h e p r o c e e di n gs c o mm e n c e ,” i d. at 551, d o e s

n o t 7 r e qu i r e

a di f f e r e n t r e s u l t . In t h at c as e , t h e S up r e me

C o u r t w as c o n c e rn e d w i t h 8 di s c ip li

n ar y ch ar ge s

t h at w e r e “ame n d e d o n t h e bas i s o f t e s t i mo n y o f t h e 9 ac c u s e d ” p r e s e n t e d i n a h e ar i n g o n t h e o r i gi n al d i s c ip li n ar y ch ar ge s

, w h e r e h e 10 h ad

“n o o p p o r tu n i ty t o e x p u n ge t h e e ar li e r s t at e me n t s an d st ar t af r e s h .” I d. ; s e e 11 a l s o i d. at

550- 51 ( “[ P ] e t i t i o

n e r h ad n o n o t i c e t h at h i s e mp l o yme n t o f O r l an d o 12 w

o u l d be c o n si d e r e d a di s bar me n t o f f e n s e u n t il af t e r bo t h h e an d O r l an d o h ad 13 t e s t i f

i e d at l e n gth o n all t h e mat e r i al f ac t s p e r t ai n i n g t o t h i s p h as e o f t h e c as e .”) . 14 In

t h e p r e s e n t c as e , t h e r e w as n o simi l ar u n f ai r ame n dme n t o f t h e c h ar ge s agai n s t 15 Willi ams

; t h e s t at e c o u r t j u d ge ’ s o r al s t at e me n t r e gar di n g t h e f ac tu al bas i s fo r t h e 16 c h ar ge s

c ame e ar l y e n o u gh t o all ow Willi ams t o p r e p ar e hi s d e f e n s e an d di d n o t 17 o t

h e r w i s e p r e j u di c e h im. 18 In

an y e v e n t , w e r e j e c t Willi ams

’ s s u gge s t i o n t h at , u n d e r R uf f a l o , t h e s t at e 19 c o

u r t c h ar ge s w e r e n o t “kn ow n be f o r e t h e p r o c e e di n gs c o mm e n c e [ d ] ” – i .e . , t

h at 51 t

h e c h ar ge s w e r e n o t p r o p e r l y p r e s e n t e d i n t h e o r d e r t o s h ow c au s e , an d t h at t h e 2 d e f

e c t c o u l d n o t be c u r e d by t h e o r al d e s c r ip t i o

n o f t h e f ac t u al bas i s si n c e t h e 3 p r o c e e di

n gs h ad c o mm e n c e d by t h at p o i n t . We d o n o t be li ev e t h e S up r e me

C o u r t 4 i

n t e n d e d an y s u c h t hi n g. O n e c o u l d ar gu e t h at d i s c i p li n ar y “p r o c e e di

n gs ” 5 c o mm e

n c e w i t h t h e f ili n g o r s e r v i c e o f t h e c h ar ge s , o r ev e n e ar lie r w i t h t h e 6 o p e

n i n g o f an i nv e s t i gat i o n p r i o r t o c h ar ge s be i n g d e t e r mi

n e d ; h ow ev e r , e i t h e r o f 7 t

h e s e i n t e r p r e t at i o

n s o f t h e w o r d “p r o c e e di

n gs ” i n R uf f a l o w o u l d r e n de r t h e 8 S up r e me

C o u r t ’ s s t at e me n t me an i n gl e s s , as t h e y w o u l d r e qu i r e t h e c h ar ge s t o be 9 kn ow

n by t h e at t o rn e y b e fo r e t h e c h ar ge s w e r e f il e d o r s e r v e d . In s t e ad

, t h e 10 qu e s t i o

n o f w h e n di s c ip li n ary “p r o c e e di

n gs ” h av e c o mm e n c e d f o r pu r p o s e s o f 11 R uf

f a l o mu s t be giv e n a p r ac t i c al

an s w e r i n f o r me d by t h e r e qui r eme

n t s o f d u e 12 p r o c e s s . In

Willi ams

’ s c as e , h e w as ad e qu at e l

y i n fo r me d o f t h e f ac t u al bas i s f o r 13 t

h e c h ar ge s agai n s t h im be fo r e

an y r e sp o n s e w as d u e o r an y e v i d e n t i ar y h e ar i

n g 14 w

as h e l d , an d h e h ad a f ai r o p p o r tu n i ty t o r e bu t t h e m. 15 We

al s o r e j e c t Willi ams

’ s ar gu me n t t h at t h e s t at e c o u r t f aile d t o w arn h im 16 t

h at h e c o u l d be s u sp e n d e d fo r a de f i n i t e t ime p e r i o d ( i .e . , six mo

n t h s ) . A 17 r e as o

n abl e p e r s o n w o u l d h av e s e e n t h e w arn i n g h e ac tu all y r e c e i v e d – o f an o p e n 18 e

n d e d s u sp e n si o n p e n di n g co mp l e t i o n o f ap p r ov e d c o u r s e s – as e n c o mp as si

n g a 19 p o t e

n t i al s u sp e n si o n e x t e n di n g b e yo n d six mo n t h s an d , t h u s , Will i ams w as n o t 61 p r e

j u di c e d by t h e l ac k o f mor e sp e c i f i c n o t i c e . 2 Willi ams ’ s o t h e r d u e p r o c e s s c h all e n ge s t o t h e st at e c o u r t p r o c e e di n gs ar e 3 e i t

h e r me r i t l e s s o r , at mo s t , c o n c e rn h ar mle s s e r r o r . 4 I I I . T h e E vi d en t i ar y B as i s f or t h e S t at e C ou r t ’ s D i s c i p l i n ar y O r d er , an d L ac k of 5 A n y “G r ave R eas on ” Wh y D i s c i p l i n e S h ou l d N ot B e I m p osed 6 7 Willi ams al s o h as n o t s h ow n , by c l e ar an d c o nv i n c i n g e v i d e n c e , t h at t h e r e 8 w

as a “s u bs t an t i al i n f i r mi ty i n t h e p r o o f” s up p o r t i n g th e s t at e c o u r t di s c ip li n ar y 9 o r d e r . T

h e c e n t r al c h ar ge w as bas e d o n a l e t t e r t h at Willi ams h ad s e n t t o a s t at e 10 c o

u r t d e p u ty chi e f

c l e r k st at i

n g th at ( a) o p p o si

n g co u n se l i n t e n d e d t o s u bp o e n a 11 h e r

t o t e s t i f y r e gar di n g th e man d amu s

p e t i t i o n an d “t o d e f e n d [ h e r ] s e l f an d [ h e r ] 12 o f

f i c e ”; (b) h e

be li ev e d i t w o ul d be an “e t h i c al v i o l at i o n ” fo r t h e “p r o s e c u t o r ” t o 13 r e p r e s e

n t h e r ; an d ( c ) s h e s h o u l d c o n si d e r o bt ai n i n g i n d e p e n d e n t c o u n s e l . A 14 r e as o

n abl e p e r s o n c o u l d h av e f o u n d t h at l e t t e r “i n t imi d at i n g,” as f o u n d by t h e 15 s t at e

c o u r t . A t t h e v e r y l e ast , a r e as o n abl e p e r s o n i n Will i ams ’ s p o si t i o n w o u l d 16 h av

e kn ow n t h at t h e l e t t e r l ike l y w o u l d c au s e c o n c e rn an d p o s si bl y i n t e r f e r e w i t h 17 t

h e d e p u ty chi e f

c l e r k’ s d u t i e s ( an d , i n f ac t , i t d i d i n t e r f e r e w i t h h e r d u t i e s , as i t 18 c au s e d

h e r t o , i nt e r a l i a , se ek adv

i c e f r o m a ju d ge ) . 19 Willi ams al s o h as n o t s h ow n , by c l e ar an d c o nv i n c i n g e v i d e n c e , t h at t h e 20 s t at e

c o u r t i n c o r r e c t l y f o u n d t h at t h e man d amu s

mot i o n w as u n n e c e s s ar y an d 21 abu si

v e . 71 Fi n all y, th e c i r c ums t an c e s al s o d o n o t s u gge s t t h e p r e s e n c e o f an y “gr av e 2 r e as o

n ” w h y d i s c ip li n e s h o u l d n o t be imp o s e d , p ar t i c u l ar l

y s i n c e t h e i mp o s e d 3 s an c t i o

n w as n o t d r ac o n i an . 4 We

h av e c o n si d e r e d all o f Willi ams

’ s o t h e r ar gume n t s an d f i n d t h at t h e y 5 l ac k me r i t . We t h e r e f o r e af f i r m t h e di s t r i c t c o u r t ’ s o r d e r .

8