Document: 436 U.S. 447 98 S.Ct. 1912 56 L.Ed.2d 444 Albert OHRALIK, Appellant,v.OHIO STATE BAR ASSOCIATION. No. 76-1650. Argued Jan. 16, 1978. Decided May 30, Rehearing Denied Oct. 2, See 439 883, 99 226. Syllabus Appellant, an Ohio lawyer, contacted the parents of one drivers injured in automobile accident after hearing about from another source, and learned that 18-year-old daughter was hospitalized. He then approached at hospital offered to represent her. After visit with her parents, he again visited victim room, where she signed a contingent-fee agreement. In meantime, appellant driver's female passenger—who also had been injured—at home on day released hospital; agreed orally arrangement. Eventually, both young women discharged as their but succeeded obtaining share insurance recovery settlement his lawsuit against for breach contract. As result complaints filed by two bar grievance committee, appellee formal complaint disciplinary Board Supreme Court. The found solicited clients violation certain Disciplinary Rules, rejected appellant's defense conduct protected First Fourteenth Amendments. Court adopted Board's findings, increased recommended sanction public reprimand indefinite suspension. Held: Bar, acting state authorization, constitutionally may discipline lawyer soliciting person, pecuniary gain, under circumstances likely pose dangers State has right prevent thus application Rules question does not offend Constitution. Bates v. Bar Arizona, 433 350, 97 2691, 53 810, distinguished. Pp. 454-468. (a) A lawyer's solicitation business through direct, in-person communication prospective long viewed inconsistent profession's ideal attorney-client relationship posing significant potential harm client. P. 454. (b) lose its power regulate commercial activity deemed harmful simply because speech is component activity. 455-456. (c) procurement remunerative employment only marginally affected Amendment concerns. While entitled some constitutional protection, subject regulation furtherance important interests. 457-459. (d) addition general interest protecting consumers regulating transactions, bears special responsibility maintaining standards among members licensed professions, especially Bar. Protect those aspects involve fraud, undue influence, intimidation, overreaching, other forms "vexatious conduct" legitimate interest. 400-462. (e) Because State's averting prohibiting it occur, absence explicit proof or findings injury person immaterial. appellant, who gain adverse consequences seeks avert, 462-468. 48 St.2d 217, 357 N.E.2d 1097, affirmed. Eugene Gressman, Chapel Hill, N. C., appellant. John R. Welch, Columbus, Ohio, appellee. Mr. Justice POWELL delivered opinion 1 810 (1977), this held truthful advertising "routine" legal services Amendments blanket prohibition State. expressly reserved permissible scope "in-person clients—at room site, any situation breeds influence—by attorneys agents 'runners.' " Id., 366, S.Ct., 2700. Today we answer part so reserved, hold State—or authorization prevent. 2 * member lives Montville, Ohio. Until recently practiced law Montville Cleveland. On February 13, 1974, while picking up mail Post Office, postmaster's brother taken place which Carol McClintock, woman whom casually acquainted, injured. Appellant made telephone call Ms. McClintock's informed him hospital. suggested might Mrs. McClintock assented idea, requested first stop home. 3 During McClintocks, they explained driving family local road when hit uninsured motorist. Both passenger, Wanda Lou Holbert, were response McClintocks' expression apprehension be sued Ohio's guest statute would preclude such suit. When McClintocks hire retorted decision Carol, 18 years old beneficiary successful claim. 4 proceeded hospital, lying traction room. brief conversation condition,1 told asked sign said have discuss matter parents. She did agreement, come see her.2 attempted just App. 98a. departed McClintocks. 5 way detoured scene accident, took set photographs. picked tape recorder, concealed raincoat before arriving residence. Once there, re-examined policy, discussed them applicable passengers, fact driver struck Carol's car discovered policy provide benefits $12,500 each uninsured-motorist clause. acknowledged could sue injuries, recounted "Wanda swore down do it." Ibid. phoned say "go ahead" representation. Two days later returned contract, provided receive one-third recovery. 6 obtained Lou's name address telling wanted ask questions accident. home, without having invited. recorder recorded most Lou.3 brief, unproductive inquiry facts representing "little tip" Lou: contained clause $12,500. woman, age high school graduate time, replied query whether going file claim stating really understand what on. her, also, contingent fee recovery, stated "O. K."4 7 Wanda's mother repudiate daughter's oral assent following day, called speak Wanda. Holbert want anyone them, if decided consult own lawyer. insisted entered into binding month confirmed writing neither nor represented notify company re ease check until so.5 eventually Although concluding company, paid recovery6 contract.7 8 Grievance Committee Geauga County Association. Association referred appellee, Commissioners Grievances Discipline Ohio.8 hearing, violated (DR) 2-103(A) 2-104(A) Code Professional Responsibility.9 Board,10 reiterated protected, 9 handed conclusion proceedings We noted probable jurisdiction case consider protection form speech, aspect authority bar, considered Bates. 434 814, 49, 54 69 (1977). now affirm judgment II 10 client It proscribed organized many years.11 Last Term ruled justifications truthful, "restrained" concerning "the availability terms routine services" are insufficient override society's interest, safeguarded Amendments, assuring free flow information. Bates, U.S., 384, 2709; Virginia Pharmacy Citizens Consumer Council, 425 748, 96 1817, 346 (1976). balance predetermine outcome case. entitlement differs kind approved strength countervailing prohibition. 11 contends indistinguishable, purposes analysis, advertisement Like advertisement, meetings apprised rights pursue claims. According "presumptively exercise rights" cannot curtailed actually caused specific compelling preventing. Brief 39. But professional stand par services, let alone more traditionally within concern Amendment. 12 Expression purely transactions ambit Amendment's recently.12 rejecting notion "is wholly outside Amendment," Pharmacy, supra, 761, 1825, ere careful "that undifferentiable forms" speech. 771 n. 24, 1830. discarded "commonsense""S § S distinction between proposing transaction, occurs area government regulation, varieties To require parity noncommercial alike invite dilution, leveling process, force guarantee respect latter Rather than devitalization, instead afforded limited measure commensurate subordinate position scale values, allowing modes impermissible realm expression. 13 Moreover, "it never abridgment freedom press make course illegal merely initiated, evidenced, carried out means language, either spoken, written, printed." Giboney Empire Storage & Ice Co., 336 490, 502, 684, 691, 93 L.Ed. 834 (1949). Numerous examples cited communications regulated offending Amendment, exchange information securities, SEC Texas Gulf Sulphur 401 F.2d 833 (CA2 1968), cert. denied, 394 976, 89 1454, 22 756 (1969), corporate proxy statements, Mills Electric Auto-Lite 396 375, 90 616, 24 593 (1970), price production competitors, American Column Lumber Co. United States, 257 377, 42 114, 66 284 (1921), employers' threats retaliation labor activities employees, NLRB Gissel Packing 395 575, 618, 1918, 1942, 23 547 (1969). Paris Adult Theatre I Slaton, 413 61-62, 2628, 2637, 37 446 (1973). Each these illustrates whenever Neither norBates purported cast doubt permissibility kinds regulation. 14 In-person transaction essential component. remove lowers level appropriate judicial scrutiny. 15 applied case, First, imparted proposed services. respect, serves much same function issue there differences well. Unlike provides leaves recipient act upon not, exert pressure often demands immediate response, providing opportunity comparison reflection.13 aim effect one-sided presentation encourage speedy perhaps unin ormed decisionmaking; no intervention counter-education agencies supervisory authorities, persons close individual. admonition fitting remedy evil counsels good ones"14 little value all. discourage needing counsel engaging critical "availability, nature, prices" cf. 364, 2699, disserve individual societal identified facilitating "informed reliable decisionmaking." Ibid.15 16 argued remedies. gave "tip" prospect based here prohibited communicating prospects monetary recommending obtain counsel. DR using bait agreement fee. Rule prohibit giving unsolicited advice; proscribes acceptance resulting advice. 17 contend, approaches involved political associational freedom, "employ[ing] privileged secure guaranteed civil rights." NAACP Button, 371 415, 442, 83 328, 343, 405 (1963); Primus, 412, 1893, 417. Nor can compare mutual assistance asserting Transportation Union Michigan 576, 91 1076, 28 339 (1971); Mine Workers Illinois Assn., 389 88 353, 19 426 (1967); Railroad Trainmen 377 1, 84 1113, (1964).16 falls proper sphere economic 439-443, 341-343. B interests implicated particularly strong. professions. Williamson Lee Optical 348 483, 75 461, 563 (1955); Semler Oregon Bd. Dental Examiners, 294 608, 55 570, 79 1086 (1935). "The States lawyers great since primary governmental administering justice, historically 'officers courts.' Goldfarb 421 773, 792, 95 2004, 2016, 44 572 (1975). "self-employed businessmen," "as trusted clients, assistants court search solution disputes." Cohen Hurley, 366 117, 124, 81 954, 958, 156 (1961). true advertising, 371, 2702, appears ban originated rule etiquette rather strictly ethical rule. H. Drinker, Legal Ethics 210-211, (1953). "[T]he rules deeply ingrained feelings tradition, honor service. Lawyers centuries emphasized promotion earning fees, goal profession." Comment, Critical Analysis Against Solicitation Lawyers, 25 U.Chi.L.Rev. 674 (1958) (footnote omitted). original motivation behind today justificati n perpetuation detract continues serve. Cf. McGowan Maryland, 420, 431, 433-435, 444, 1101, 1109-1110, 1114, 393 determined restrained prices professionalism lawyers, postulated connection erosion severely strained." 368, 2701 (emphasis supplied). professionals.17 Indeed, extent linked service further goals "true professionalism." 20 substantive evils over sweeping terms: stirring litigation, assertion fraudulent claims, debasing profession, overcharging, underrepresentation, misrepresentation.18 Association, amicus curiae, defends primarily three broad grounds: prohibitions embodied DR2-103(A) serve reduce likelihood overreaching exertion influence lay persons, protect privacy individuals, avoid situations behalf will clouded self-interest.19 21 need evaluate detail conceded indeed "compelling" preventing conduct." 25. agree III Appellant's concession strong justify enumerates end insistence none present acts solicitation. challenges characterizes "indiscriminate application" attacks validity facially, solicitation.20 And allegations wrongs concedes action, "pure," meaning "soliciting agre ments them," more. therefore argues must decide per se focus conduct. And, urges, mus undertake independent review record determine protected. Edwards South Carolina, 372 229, 235, 680, 683, 697 (1963).21 errs assuming below depends constituted actual inflicted McClintock. His assumption flows premise nothing less proved sufficiently disciplining attorney solicits gain. argument misconceives nature prophylactic measures whose objective prevention occurs. avert. situation, inherently conducive misconduct, adopting enforcing designed licensed. perception presented well founded.22 detrimental face-to-face selling even ordinary consumer products recognized addressed Federal Trade Commission,23 hardly significantly greater trained art persuasion, personally unsophisticated, injured, distressed person.24 Such trust regardless latter's qualifications individual's representation, persuasion uninformed acquiescence. personal valuable apprise misfortune rights, very plight makes vulnerable advice all intrusive. Thus, conditions overtures uninvited distress obtrusiveness invasion privacy,25 materalizes.26 Under circumstances, unreasonable presume injurious solicited.27 26 efficacy effort substantially diminished if, like required prove injury. visible otherwise open Often witness solicited, rendering difficult impossible place. This time recall details date. If view sustained, virtually immune effective oversight profession,28 contravention effective, objective, self-enforcing manner. unreasonable, violative Constitution, respond rule.29 27 basis undisputed record, conclude victims incapable making judgments assessing sought came knowing prior inquiries released. urged used induce K." employed seemingly insure evidence thereby tempting sounded cost-free irresistible offer. refused withdraw initial meeting continued himself Holbert's rested engaged misconduct Rules. our striking example inherent employment. They demonstrate public. 29 Accordingly, 30 Affirmed. 31 BRENNAN consideration 32 REHNQUIST, concurring judgment. 33 For reasons my dissenting 1909, 417, concur affirmance 34 MARSHALL, judgments. 35 majority factual Ohralik's "pose prevent," ante, 449, accordingly disciplined Primus' advising Medicaid patient sterilized Civil Liberties (ACLU) willing doctor proceedings. write separately highlight believe cases decide, express utilized obstruct distribution them. 36 applicati business, arisen disparate settings. Ohralik initially classic "ambulance chasing," fraught obvious misrepresentation overreaching. Ohralik, experienced practice years, shortly traumatic One room; nearly weeks care. pain medication; education. Certainly cautioned hesitation pressing one's women; prudence should carefully condition Note, Advertising, Profession's Duty Make Counsel Available, Yale L.J. 1181, 1199 (1972). foisted clients; acted gross disregard covertly recording, consent knowledge, conversations family. conduct, disputed, itself completely attorney's fiduciary obligation fairly fully disclose affecting Responsibility, Ethical Considerations 4-1, 4-5. unethical compounded pursuing clearly conflict prior-retained client, 451.1 38 What objectionable behavior himself, performed accomplished it. Appropriately, Court's holding 1097 one: circumstances—such record—presenting substantial society itself, join fully. 39 268 S.C. 259, 233 S.E.2d 301, contrast, show "solicitation" accordance highest profession. benefit, promote perceived appreciate able vindicate rights. association committed particular point view, aid available "where litigant assistance, issues case," established. Ades, F.Supp. 467, 475 (Md.1934); 440 n.19, 341, (1963). Judge Soper Ades recite numerous instances including Alexander Hamilton, Luther Martin, Clarence Darrow, volunteered indigent issues. F.Supp., 475-476. Responsibility recognizes "responsibility unable pay ultimately rests lawyer," states "[e]very er, prominence workload, find participate serving disadvantaged."2 40 light tradition representation volunteers, Brother Blackmun's Part VI opinion, unnecessary unfortunate dicta therein. undesirable work fees—from continuing volunteer cases. too strongly that, "political association" involved, 438, 1908, "a guise ignore 439, 341. reasons, troubling dictum insist solicit organizations control ensuing litigation." 1908. proposition self-evident, Court, put presently us. paragraph VI. 41 Our holdings deal opposite poles problem aftermath, courts associations reasonably expected look opinions guidance redrafting apply across spectrum ranging proscribable large number falling instant doubtless occur. considering wisdom constitutionality directed intermediate fellow Bench guided today's decisions, last There, printed private practitioners regarding context directly today—the "benign" attorney.3 lawfully proscribed. Appellee 76-1650, p. 17; 77-56, 19. Primus suggest justification non-solicitation deception, misrepresentation, 432-433, 437-438, 1905, think crystal clear evils. A. 43 impede it—the practicing Many problems fail seek relief system unaware problem, and, "perceive need," "do . inability locate competent attorney." 370, 2702.4 Notwithstanding potentially useful, information-providing solicitation: Motivated desire training knowledge attorney, advised (apparently correctly) although motorist, nonetheless recover policy. provision remedies function, involving overtones. 221-223, 355-356, (1967). Michigan, 585, 1082, (1971). similar functions attorneys, somewhat disturbing suggestion though degree "commercial speech," Bates." Ante, 455.5 informational served solicitation, context, substantial, 45 Not interfere y origin operate discriminatory noted, constraints developed "etiquette" rest reputation community spread word mouth bring worthy lawyer.6 371-372, 374-375 n.30, 2702-2703, 2704; 460-461. social model conception small, cohesive, homogeneous community; anachronistic recognized. See, e. g., B. Christensen, People Moderate Means 128-134 (1970); L.J., 1202-1203; Garrison, Profession Public, Nat. Law. Guild Q. 127-128 (1938). ever generally true, valid move relatively elite educational circles problems, remedies, widely shared. 130; 1203. 674, 684 (1958). 46 impact nonsolicitation rules, moreover, suppliers Just suffer lack lawyers' belong classes society, 473, n.4, fall heavily single-practitioner small-partnership practice7—attorneys typically earn larger, corporate-oriented firms. Shuchman, Ethics: Propriety Canons Group Moral Code, Geo.Wash.L.Rev. 244, 255-266, n.77 (1968); 1204-1208; 130. scholars keep immigrated gravitated toward smaller, practice, entry J. Auerbach, Unequal 42-62, 126-129 history, am inclined be, 460-461, weigh favorably longevity C 47 By discussing mean belittle obviously deceit, invasions privacy. honest, unpressured "commercial" involved—a cases—I warrant restriction results ordinarily protects. may, 457-458, 460-462, advertisements, concededly restrictive total example, Department reworded "so permit except false, misleading, undignified, champertous."8 subjected place, manner "traditionally" banned, Rather, additional restrictions justified attendant increasing relative "strength prohibition," 455. notes, wholeheartedly agree, amply 49 cases, exceptions above. mentioned administrators urging testimony, replied: "Yes, certainly entice That deal." 53a. Despite maintains waited visitors photographs traction. 129a. complete reproduction everything testified contain introductory remarks identity willingness 19a-21a. disputed testimony activate admitted seated living Lou. 58a. indicate "O.K.," did. testified: "I essentially communication. that's law." 81a. explaining arrangement, "cost [her] anything" two-thirds "have [him] otherwise. 120a, 125a. injuries release claimed, Before "disavow claim" letter sum $2,466.66, "conservative" estimate worth 26a-27a. recovered full $4,166.66. second $900 compensation 38a, 42a. abandon contract controversy, arise." Tr. 256. Yet suit $2,466.66 hearing. Case 76-CV-F-66 (Chardon Mun.Ct., County, Feb. 1976). dismissed prejudice January 27, 1977, filed. agent "no whatsoever." Oral Arg. 24. promulgated modeled same-numbered ABA amended proscribe permitted, 2-101(B). (1970) provides: "A shall recommend employment, practitioner, partner, associate non-lawyer lawyer." relevant part: given layman take action accept advice, that: "(1) friend, relative, former (if germane employment), believes client." "were, anything, casual acquaintances" appellant; initiated contact handle claim; Wanda, prepared too. ound abide request leave alone, discharge An informal barratry, champerty, maintenance. 1181-1182, formulated Alabama 1887." "more stringent current rules" 1182; 215. containing 2-104(A), 1969 four study committee revision 1908 Canons, provisions unprofessional Valentine Chrestensen, 316 52, 62 920, 86 1262 (1942); Pittsburgh Press Human Relations Comm'n, 376, 2553, 669 (1973); Bigelow Virginia, 809, 2222, 600 (1975); immediacy imminence factors others. Compare California, 403 15, 1780, (1971), Chaplinsky New Hampshire, 315 568, 766, 1031 Brandenburg 1827, 430 (1969); Schenck 249 47, 247, 63 470 (1919). Whitney 274 357, 641, 648, 71 1095 (1927) (Brandeis, J., concurring). minimize importance low- middle-income individuals adequate aware innovative being implemented, 398-399, 2716 (opinion POWELL, J.). addition, permitted source highlighted difference impinges union members: "Here halt commercialization profession threaten moral fabric administration justice. 'ambulance chasing.' 6, 1117. implicitly characterized colloquially chasing." (1961); N.Y.U.L.Rev. 182 (1955). ruling railroad workers "to gather together lawful purpose helping another" federal statutory 5, 1116, adverted concerned "Injured families fell prey hand persuasive claims adjusters eager quick cheap employers, try lawsuits settle dollar." 3-4, 1115. recognizing paying unmindful related described Trainmen, releases liability defendants insurers. solicitations frequently occur during Where practices Bar; settlements critically courts. Florkiewicz Gonzalez, Ill.App.3d 115, 347 (1976); Cady Mitchell, 208 Pa.Super. 220 A.2d 373 (1966). indisputable "strong interest" pharmacists." 1828. National Society Engineers 435 679, 696, 1355, 1367, 637 (1978). 11, 1184; engages best Even unintentionally, ability merit client's falter affect income. settled quickly, pursued beyond reason. These lapses create charges protected—as is—as unprotected, challenge contention overbroad. rely overbreadth doctrine infringes him. Gooding Wilson, 518, 520-521, 92 1103, 1105, 408 (1972); Robel, 258, 265-266, 419, 424, 508 Dombrowski Pfister, 380 479, 491, 85 1123, (1965); 337-338, Kunz York, 340 290, 312, 280 (1951). Overbreadth Doctrine, Harv.L.Rev. 844 (1970). contrary, observation analysis applies weakly, all, context." 380, 2707. Commercial deterred added approach. speaker mount attack, real, well, judged relation statute's plainly sweep." Broadrick Oklahoma, 601, 615, 2908, 2918, 830 main context. undertaken offers indigents charge. Grievances, Formal Opinion 148 (1935), 169 (1937); 219 440, 19, defined presence ex rel. Chicago Assn. Edelson, 313 Ill. 610-611, 145 N.E. 246, (1924); Ethics, Vand.L.Rev. 677, 687 (1954), "was aimed group announce devote energy citizens believed infringed." wrongdoing proscribe. exclusively speculative. Broadrick, 612, 2915, 2917. Harv.L.Rev., 882-884, 908-910. Time, Inc. Pape, 279, 284, 633, 636 Jacobellis 378 184, 189, 1676, 1678, 793 (1964); York Times Sullivan, 376 254, 285, 710, 728, 686 Napue Illinois, 360 264, 271-272, 1173, 1178, 1217 (1959). runners problems. Commission abuses direct-selling industry. Fed.Reg. 22934, 22937 Project: Direct Selling Industry: Empirical Study, UCLA L.Rev. 895-922 Quoted FTC report Law Center '[t]he door technique strips fundamentals role purchaser, when, where, how marketplace .' Fed.Reg., 22939 44. Most unfamiliar law, ormally procured, typical arrangements sure, time. choice least consultation; chosen confer family, friends, referral agency; accompanied. reader "effectively bombardment [his] sensibilities eyes," 21, 1786, quoted Erznoznik Jacksonville, 422 205, 211, 2268, 2273, 125 Lehman Shaker Heights, 418 298, 320, 94 2714, 2725, 770 (1974) (BRENNAN, dissenting), target difficulty avoiding importuned seeking entirely meaning. Breard Alexandria, 341 622, 1233 2-104(A)(1) exception types injurious. "solicitation superimposed physically mentally ill patient, manage affairs, injures 32. affording evidenced minimized. bars, operating codes pursuant authority, compliance ethics 400,000 States. usually conducted voluntary committees, review. chaired retired Tom C. Clark, reveals difficulties complexities—and inadequacy—of enforcement. ABA, Special Evaluation Enforcement, Problems Recommendations Enforcement No intractable prescribing commentators advocated modification disciplinar allow recognize exploitation contexts continue 1199. get money created risk financial conflict. EC 2-25. forbidding "knowingly assist[ing] organization furnishes pays others use services," participation in, inter alia, defender offices. DR2-103(D)(1). noncoercive, nondeceitful, dignified emotionally capable rational reject frivolous. Louisville W. Hubbard, 282 Ky. 734, 739, 139 S.W.2d 775 (1940) (attorney advantage ignorance, weakness, suffering, human frailties inducements them"); Petition 267 743, 744 (Ky.1954). underutilization 370-371, nn. 22, 23, 2702; Alternatives (July 1977), summarizing Survey Needs. acute middle-class country, affluent qualify government-funded wealthy enough afford fees major firms mostly clients. conducting presents permissibly avoid. infra, 476-477. different speech" differing levels scrutiny, agree. services." comparison, however, advertising. persuasively demonstrated demean increase incidence deceptive interesting note favor "malum se." 211 n.3 Dr. Johnson, venerable commentator mores sorts, expressed prevailing stated: lawyer—not wrong, disdain Pound, Lawyer Antiquity Modern clear, "disdain" inadequate restrict Foundation, 72.7% 1970; these, half practitioners. 1971 Statistical Report Remarks L. Bernstein, Chief, Litigation Section, Antitrust Division, Justice, reprinted CCH Reg. Rep. ¶ 50,197 added). proposals eliminate false misleading statements notice hear Governors District Columbia X Governing Columbia, reproduced Amicus Curiae 810.

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