Document: 486 U.S. 466 108 S.Ct. 1916 100 L.Ed.2d 475 Richard D. SHAPERO, Petitionerv.KENTUCKY BAR ASSOCIATION. No. 87-16. Argued March 1, 1988. Decided June 13, Syllabus Petitioner, a member of the Kentucky Bar, applied to that State's Attorneys Advertising Commission for approval letter he proposed send "to potential clients who have had foreclosure suit filed against them," which, inter alia, advised client "you may be about lose your home," "[f]ederal law allow you . ORDE[R] creditor STOP," call my office FREE information," and "[i]t surprise what I able do you." Although did not find false or misleading, it declined approve on ground then-existing Supreme Court Rule prohibited mailing delivery written advertisements "precipitated by specific event involving relating addressee as distinct from general public." Nevertheless, registered its view violated First Amendment under Zauderer v. Office Disciplinary Counsel Ohio, 471 626, 105 2265, 85 652, recommended amendment State Court. Petitioner then sought an advisory opinion Rule's validity Bar Association's Ethics Committee, which upheld consistent with 7.3 American Model Rules Professional Conduct. On review opinion, held compelled deletion, replaced 7.3, also prohibits targeted, direct-mail solicitation lawyers pecuniary gain, without particularized finding is misleading. The court specify either precise infirmity in Rule, how cured it. Held: judgment reversed, remanded. 726 S.W.2d 299 (Ky.1986), reversed case Justice BRENNAN delivered Parts II, concluding not, Fourteenth Amendments, categorically prohibit soliciting business gain sending truthful nondeceptive letters known face particular legal problems. Such advertising constitutionally protected commercial speech, restricted only service substantial governmental interest, through means directly advance interest. Zauderer, supra. Moreover, this Court's lawyer cases never distinguished among various modes public, recognized 7.3's exemption "distributed generally persons need [the particular] services ., but are so situated they might such useful." below disapproved petitioner's solely basis failure qualify exemption, analogizing Ohralik Ohio Assn., 436 447, 98 1912, 56 444, proposition trained "overwhelmed" his troubles therefore having "impaired capacity good judgment" creates serious undue influence. However, respondent's reliance Ohralik, could ban all in-person solicitation, misplaced, since two factors underlying decision—the strong possibility improper conduct improbability effective regulation—are much less risk context. recipient faced coercive presence advocate pressure immediate yes-or-no answer representation offer, can simply put aside considered later, ignored, discarded. although personalized does present increased risks isolated abuses mistakes, these regulated minimized requiring file state agency authority supervise mailings penalize actual abuses. Scrutiny targeted will appreciably reliable than scrutiny other advertisements, reviewing require prove verify any fact stated explain was discovered, labeled advertisement tell reader report inaccurate misleading matters. That more work one outweigh importance free flow information. Pp. 472-478. BRENNAN, joined MARSHALL, BLACKMUN, KENNEDY, concluded Part III that, turn whether itself exhibited evils at directed, contention particularly overreaching, unworthy protection, must addressed Amendment's overbreadth doctrine apply professional advertising. letter's liberal use underscored, uppercase inclusion subjective predictions satisfaction catch recipient's attention would bland statement purely objective facts small type, presents no overreaching comparable engaged face-to-face solicitation. In light claim interest restricting solicitations those least likely read recipient. absolutely certain types potentially information if presented way, impose restriction, unless asserts, respondent has done case, valid restriction advance. warrant unduly emphasizes trivial relatively uninformative offers overblown assurances satisfaction, argued defects here. arguments raised remand. 478-480. J., announced respects WHITE, STEVENS, JJ., joined, respect III, joined. concurring part dissenting part, post, p. ----. O'CONNOR, REHNQUIST, C.J., SCALIA, Donald L. Cox, Louisville, Ky., petitioner. Frank P. Doheny, Jr., respondent. II KENNEDY join. 1 This issue may, 2 * 1985, petitioner, Kentucky's integrated Association, see Ky.Sup.Ct. 3.030 (1988), Commission1 them." follows: 3 "It come home being foreclosed on. If true, home. Federal keep ORDERING [sic ] STOP give time pay them. 4 "You anytime 8:30 a.m. 5:00 p.m. 5 "Call NOW, don't wait. It you. Just me got letter. Remember FREE, there NO charge calling." 6 proposal occurrence addressees 3.135(5)(b)(i).2 3.135(5)(b)(i)'s specifically principles enunciated 652 (1985)—and amend Rules. See App. Pet. Cert. 11a-15a. Pursuing Commission's suggestion, petitioner petitioned Committee Legal (Ethics Committee) Association validity. 3.530; n. Like Commission, formally adopted Board Governors nonetheless 3.135(5)(b)(i) Conduct (1984). 9a. 7 Committee's felt "compelled decision order [Rule deleted," 299, 300 (1987), ABA's provides entirety: 8 " 'A solicit employment prospective whom family prior relationship, mail, otherwise, when significant motive lawyer's doing gain. term 'solicit' includes contact person, telephone telegraph, writing, communication directed recipient, include circulars distributed kind provided matter, useful.' S.W.2d, 301 (quoting ABA, (1984)). 9 like predecessor, We granted certiorari resolve blanket prohibition Amendment, made applicable States 484 814, 64, 28 now reverse.3 10 Lawyer category speech. Bates Arizona, 433 350, 97 2691, 53 810 (1977). governing regulation familiar: "Commercial speech deceptive concern unlawful activities interest." supra, U.S., 638, S.Ct., 2275 (citing Central Hudson Gas & Electric Corp. Public Service Comm'n New York, 447 557, 566, 2343, 2531, 65 341 (1980)). Since "may extend far serves," Hudson, 565, 2351, rules designed prevent "potential deception confusion broader reasonably necessary the" perceived evil. re R.M.J., 455 191, 203, 102 929, 937, 71 64 (1982). 11 application required we strike rule containing advice, even nondeceptive, regarding problem. advice profit, 444 (1978), ban. "unique features [that] justified prophylactic prohibiting engaging gain," observed, "not present" context advertisements. 641-642, 2277. 12 Our public. See, e.g., Bates, supra (newspaper advertising); id., 372, 26, 2703, 26 (equating directory newspaper (mailed announcement cards treated same advertisements). Thus, mass-mailing population offer represent women injured Dalkon Shield publication local newspapers. Similarly, neither nor deceptive, him large identical opening query, "Is on?," rather observation individuals on." drafters apparently appreciated much, exempts "letters 13 because were "known [the] services" offered letter, 301, group "so Generally, advertiser inept, latter members former. reason disseminate useful" reach actually "need [and advertised] lawyer." But permit merely efficient; theory mail most somehow inherently objectionable. 14 rely theory. Brief Respondent 37 (conceding "targeted direct "—as "solicitation "—"is protected") (emphasis original). Rather, permissible "serious abuse inherent services." 301. By analogy observed: 15 "Such subjects personal way. entirely possible feel overwhelmed basic situation caused seriously impaired judgment, sound natural protective self-interest. condition full influence, intimidation." 16 Of course, equally regardless mails untargeted exposes advertisement—concededly activities—or instead relevant inquiry exist whose "condition" makes them susceptible mode poses danger exploit susceptibility. Cf. 470, 1926 (MARSHALL, judgment) ("What objectionable Ohralik's behavior here solicited himself, circumstances performed accomplished it"). 17 facile suggestion "Ohralik writing" misses mark. 10. assessing difference. turned factors. our characterization "a practice rife possibilities invasion privacy, exercise outright fraud." 641, 457-458, 464-465, 1919-1920, 1922-1923. Second, difficulties," 2277, frustrate attempt short absolute visible otherwise open public scrutiny." 466, 1924. ibid. ("[I]n-person virtually immune oversight profession") (footnote omitted). Targeted, distinguishable each respect. 18 print advertising, letter—and generally—"poses influence" 642, Neither involves "the force advocate" "pressure representation." Ibid. Unlike badgering breathing down neck, "reader 'effectively avoid further bombardment [his] sensibilities averting eyes,' 465, 25, 1923, 25 Cohen California, 403 15, 21, 91 1780, 1786, 29 284 (1971)). A printed (but unlike lawyer), readily drawer short, both "conve[y] [by means] [are] conducive reflection choice consumer attorney." Nor invade privacy substantively mailed large. invasion, any, occurs discovers affairs, confronts discovery. 19 Admittedly, (not targeted) deception, intentional inadvertent. could, circumstances, lead overestimate familiarity implicitly suggest problem dire really is. ABA Amicus Curiae 9. inaccurately believe she or, worse yet, erroneous advice. Leoni 39 Cal.3d 609, 619-620, 217 Cal.Rptr. 423, 429, 704 P.2d 183, 189 (1985), summarily dism'd, 1001, 106 1170, 89 290 (1986). 20 opportunities mistakes justify total 937. regulate minimize restrictive means, obvious agency, 206, 939, giving ample opportunity "regulatory difficulties" "unique" 2277—solicitation scrutiny" "difficult impossible obtain proof took place," 1924—do solicitations. "belie[f] submission blank form [does not] provid[e] suitable protection intimidation private solicitation." Its concerns presumably expressed House Delegates comment 7.3: 21 "State discipline agencies struggle resources investigate complaints, screen lawyers' material. Even examine materials, staff unlikely know anything client's Without knowledge cannot determine representations misleading." Conduct, pp. 93-94 22 record before us furnishes evidence burdensome 379, 2706; 387, 2711 (Burger, part) (objecting "enormous new regulatory burdens called by" ). As evaluating identity problems requires readers. specifies relate recipients (e.g., on"), innumerable options mistakes. might, example, truth (by supplying copies documents material led fact); briefly discovered verified accuracy; bear label identifying advertisement, 384, 2709 (dictum); 20, directing letters. To sure, bar association reviews not. "[o]ur recent decisions been grounded faith valuable enough imposing would-be regulators costs distinguishing false, helpful harmless harmful." 646, 2279. 23 directed. 463-464, 1922-1923, 1923. Since, however, 379-381, 2706-2707 address contentions protection. Id., 381, 2707. regard, identifies view, coalesce convert into "high overbearing solicitation," protected. First, asserts wait"; "it calling") "fairly shouts should employ Shapero." 19. Opposition ("Letters shout commands individual, words underscored capitals different subject proscription"). objects contains assertions you") "stat[e] affirmative fact," constitute "pure salesman puffery, enticement unsophisticated, commits Shapero nothing." 20. 24 pitch style type type. matter big speculates "shou[t] recipient" "gras[p] lapels," 19, overreaching. And long protects right business, limits dictate attorney convey business. "[T]he place way deceptive," "assert[s] interest" similar showing. Aside interests already rejected, none. "relatively fact[s]," 205, 938 (lawyer's statement, "in capital letters, United States"), cf. Von Wiegen, 63 N.Y.2d 163, 179, 481 N.Y.S.2d 40, 49, 470 N.E.2d 838, 847 (1984) (solicitation victims massive disaster informs lawyer's] liability defendants clear"), cert. denied, 472 1007, 2701, 86 717 (1985); 383-384, ("[A]dvertising claims quality restriction"). argue respects. contend raise, courts consider, argument remanded proceedings inconsistent opinion. 27 ordered. STEVENS joins, part. agree am matters left first instance. 30 THE CHIEF JUSTICE SCALIA join, dissenting. 31 Relying primarily holds pernicious case. reasoning supports conclusion reached today. decision, culmination line built defective premises flawed reasoning. today's illustrates, unable unwilling restrain logic analysis within reasonable bounds. resulting interference important policies destructive analytical framework reexamined. 32 forbade attorneys accept 639-647, 2275-2280. dissented holding believed precedents permitted, required, greater deference States' legitimate efforts their attorneys. Emphasizing differences between standardized products, unsolicited analogous samples often used promote sales contexts. typically difficult laypersons evaluate, consequences mistaken evaluation "free sample" serious. For reason, offering enticing relationship superficially practices sale ordinary goods. important, obligation provide complete disinterested contained samples" colored own drumming up result sure undermine standards maintaining. 33 dealt advertisement. Today's decision—which invalidates advertising—wraps mantle Constitution around abuse. somewhat overpower laypeople advice." 678, 2296 (O'CONNOR, part). people formal contacts system infrequent, tend cling just police officers. Unsophisticated citizens, understandably intimidated officers, ignore "personalized" 34 sender some about, for, transparent somebody selling goods stock market tips, belongs profession ethically obliged clients' ahead own. 35 Third, contain tailored serve lawyer. reviewed regulator, rarely seen general. colleagues chance observe desire sell oneself customers balanced duty An attorney's maintaining reputation community, motivated long-term interests, 36 think today easily defended rationale fairly extended cover Targeted advertisements—like banned (1978)—can theoretically prescreening mechanisms. In-person moreover, prone almost communication. limited features" majority applies interpretation us. Attorney falls rubric "commercial speech." Political noted, core Amendment. Boos Barry, 485 312, 318, 1157, ----, 99 333 (1988). One special status political suggested metaphor become familiar principle justify: "[W]hen men realized upset many fighting faiths, ultimate desired better trade ideas—that best test power thought get accepted competition market, upon wishes safely carried out. rate Constitution." Abrams States, 250 616, 630, 40 17, 22, L.Ed. 1173 (1919) (Holmes, J. dissenting). Cf., Hustler Magazine, Inc. Falwell, 46, 50-51, 876, 879, 41 Traditionally, constitutional fence metaphorical marketplace ideas shielded transactions regulation. 38 Virginia Pharmacy Bd. Citizens Consumer Council, Inc., 425 748, 96 1817, 48 346 (1976), following so-called "idea": "I X prescription drug Y price." 761, 1825. economic well informed, satisfactory drawn affairs decisions. 762-765, 1825-1827. dissent observed overstated difficulties "decision purchase another shampoo." 787, 1838 (REHNQUIST, foresaw necessarily physicians 785, 1837. prediction soon proved correct, (1977), subsequent radically curtailed forbid "promote[s] distrust disrespect justice." 394, 2714 (Powell, latest developments, today, confirm discernment shown cases. Decisions support restraint applying held, policy, consistently purported laws regulating significantly deferential standard review. "Expression concerning ambit [First] recently. parity noncommercial alike invite dilution, leveling process, guarantee Rather devitalization, afforded measure commensurate subordinate position scale values, while allowing impermissible realm expression." 455-456, 1918 devised Under test, entitled lawful misleading; protected, government still appropriately purpose. (1980). Applying clear considerable latitude "potentially demonstrably misleading," 202, (1982) added), undermines promoting high ethical profession. 42 Some forms test. Announcing price initial consultation qualify, especially appropriate disclaimers included. here, policing hesitate interfere ensure adequate included suitably restrained. 43 steps prices "routine" uncontested divorces bankruptcies, quite completely. contrary Until becomes problems, dealing divorce bankruptcy. fails inform qualified decide simple handled services. Furthermore, accepts fixed rates solving sometimes after all. promise world flat fee inevitably create incentives (or discovering) complexities conscientious treat routine. devise workable something minimal kinds task, properly certainly fit adjudication. justification banning strictly 44 Solicitation techniques approved deserving supposedly routine preventing effects corrosive standards. Soliciting strangers appear services, always tendency corrupt solicitor's judgment. true sample," does. conclude sweeps broadly 2351. correctly found permissibly reverse 45 roots error products correspondingly inappropriate skepticism justifications regulations. appeared demand conclusive country off allowed retain served inhibit ignorance." 365, 2700. extensive discussion proffered restrictions little bare "we persuaded harm consumers." 368-379, 2701-2706. Dismissing Powell's careful critique implicit legislative factfinding underlay analysis, insisted benefits dangers. Compare 373, 28, 2704, 391-400, 2712-2717 policy derived displace issue. 46 early experiment problematic application. continuing out approach, return function inappropriately taken doctrinal so, confirms reconsider doctrine. 47 agreed take task deciding done. favor permitting advertise founded elementary principles. Hazard, Pearce, Stempel, Why Lawyers Should Be Allowed Advertise: Market Analysis Services, 58 N.Y.U.L.Rev. 1084 (1983). Restrictions artificially ability suppliers transmit consumers, reduce efficiency mechanisms supply demand. Other equal, cause enable (in attorneys) maintain price/quality ratio higher prevail. probably hypothesis empirically, plausible. implausible imagine effect perhaps intended effect, (of given quality) absent restrictions. Assuming, arguendo, removal run provision assume run. ignores delicate role play preserving norms While defend logic, powerful very refuted analysis. 49 feature profession, occupations respectable, membership entails temper one's selfish pursuit success adhering enforced fiat market. There reasons continue pursuing goal traditional life. Both privileges incident advantages earning living transcends accumulation wealth. service, variety forms. rooted romanticism self-serving sanctimony, though course be. understood restraining unique wield ours. 50 worth recalling why all, degree occupations, history littered failed attempts extinguish class. R. Pound, Antiquity Modern Times (1953). Operating efficient tolerably fair accomplished, modern social conditions, specialized body experts. training element mean refer "learned profession." nature available, confers temptation manipulate justice ends. manipulation occur ways. results overly zealous interests; discovery process example causes (if cure) apparent. second, purposes relevant, benefit. Precisely expertise esoteric extremely powerful, unrealistic bargain arm's-length manner buying automobile choosing dry cleaner. physicians, subjected heightened demands towards serve. These needed forces, prohibitions fraud, insufficient protect consumers peculiar professionals possess. 51 Imbuing constant relentless rules, succeed sermonizing strongest tool employed. Tradition number informal mechanisms, none narrow sense) few examples great during century improve breadth education admission bar; concomitant cultivate subclass genuine scholars profession; development associations aspire groups; strict disciplinary conflicts abandonment; promotion expectation voluntary factor selecting judicial candidates. 52 goal. act concrete, day-to-day reminder practicing regard occupation other. guarantee, surely sufficient proper Given inevitable anticompetitive effects, thoughtlessly retained insulated skeptical criticism. Appropriate modifications experience, changes future. severe constraints Whatever exactly scope place, reflect myopic belief "consumers," thus Nation, benefit refuses recognize essence professionalism fragile foundations. Compare, 370-372, 2702-2703, 400-401, 11, 2717-2718, another, uncover folly approach. hope too late worthwhile cure. charged responsibility "regulating prescribed" 3.135(3) appealable 3.135(8)(a), ultimately reviewable 3.135(8)(b). "Any doubt propriety contemplated him" option seeking committee Governors, 3.530. full: "A sent individual class persons, family, time, prompted precipitated reject request dismiss affirm precisely relief requested." 11. did, prayed, "declare [3.135(5)(b)(i) void," Motion Review Advisory Opinion E-310, 86-SC-335 (Sup.Ct.Ky.). court's disposition, adopt defect identified old "affirm deny [petitioner's] request" (1987). said prevailed below. leveled challenge "federal issues [that were] [a] decisio[n]," Cardinale Louisiana, 394 437, 438, 1161, 1162, 398 (1969). parties briefed constitutionality categorical plainly rejected 7.3. 300. decline invitation ongoing proceedings. Younger Harris, 401 37, 746, 669 (1971). Once rendered final longer pending proceeding.

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