Document: 385 U.S. 511 87 S.Ct. 625 17 L.Ed.2d 574 Samuel SPEVACK, Petitioner,v.Solomon A. KLEIN. No. 62. Argued Nov. 7, 1966. Decided Jan. 16, 1967. Lawrence J. Latto, Washington, D.C., for petitioner. Solomon Klein, respondent, pro se. Mr. Justice DOUGLAS announced the judgment of Court and delivered an opinion in which THE CHIEF JUSTICE, MR. JUSTICE BLACK BRENNAN concur. 1 This is a proceeding to discipline petitioner, member New York Bar, professional misconduct. Of various charges made, only one survived, viz., refusal petitioner honor subpoena duces tecum served on him that he refused produce demanded financial records testify at judicial inquiry. Petitioner's sole defense was production his testimony would tend incriminate him. The Appellate Division Supreme ordered disbarred, holding constitutional privilege against self-incrimination not available light our decision Cohen v. Hurley, 366 117, 81 954, 6 156. See 24 A.D.2d 653. Appeals affirmed, 16 N.Y.2d 1048, 266 N.Y.S.2d 126, 213 N.E.2d 457, 490, 267 210, 214 373. case here certiorari we granted determine whether supra, had survived Malloy Hogan, 378 1, 84 1489, 12 2 Hurley five-to-four rendered 1961. It practically all fours with present case. There, as here, attorney relying disbarred. majority allowed construe her own so make it inquiries this character (366 U.S., 125—127, S.Ct., 959, 960) went hold Self-Incrimination Clause Fifth Amendment applicable States by reason Fourteenth. Id., 127—129, 960—962. minority took view full sweep been absorbed into Fourteenth extended its protection lawyers well other persons. 3 In 1964 another held While overruled, indicated principle rested seriously eroded. 11, 1495. One espoused Harlan Clark stated flatly decided (id., 17, 1498) urged be followed. others dissent—Mr. White Stewart—thought facts properly invoked state trial judge should have sustained ruling answers incriminate. 33—38, 1506—1509. 4 distinguished Hogan ground there Bar. A.D.2d, 654. And squarely two grounds affirmance.1 5 question emerges inapplicable because We conclude has Fourteenth, extends individuals, watered down imposing dishonor disbarment deprivation livelihood price asserting it. These views, expounded dissents need elaborated again. said Hogan: 'The secures invasion same guarantees federal infringement—the right person remain silent unless chooses speak unfettered exercise will, suffer no penalty * such silence.' 8, 1493.2 7 context 'penalty' restricted fine or imprisonment. means, Griffin State California, 380 609, 85 1229, 14 106, imposition any sanction makes assertion 'costly.' 614, 1233. Amendment, operating through 'forbids either comment prosecution accused's silence instructions court evidence guilt.' 615, What tradition broad given least since Boyd United States, 116 616, 634—635, 524, 534—535, 29 L.Ed. 746, where compulsory books papers owner goods sought forfeited compelling witness himself. 8 'It may obnoxious thing mildest repulsive form; but illegitimate unconstitutional practices get their first footing way, namely, approaches slight deviations from legal modes procedure. can obviated adhering rule provisions security property liberally construed. A close literal construction deprives them half efficacy, leads gradual depreciation right, if consisted more sound than substance. duty courts watchful rights citizen, stealthy encroachments thereon.' 635, 535. 9 threat loss standing, reputation, are powerful forms compulsion lawyer relinquish privilege. That indeed instrument 'the use process force lips accused individual necessary convict *.' White, 322 694, 698, 64 1248, 1251, 88 1542. As recently Miranda Arizona, 384 436, 461, 86 1602, 1620, 'In Court, consistently accorded liberal construction.' overrule Hurley. find room classifications people deny some extend others. Lawyers excepted words 'No shall compelled criminal himself'; imply exception. Like school teacher Slochower Board Higher Education City York, 350 551, 76 637, 100 692, policemen Garrity Jersey, 493, 562,3 also enjoy first-class citizenship. 10 alternately affirmed disbarring under Shapiro 335 68 1375, 92 1787, required doctrine withheld records. did elaborate point; nor advert At time Rule governing matter entitled 'Preservation actions, claims proceedings.'4 provided cases involving 'contingent fee compensation' attorneys parties preserve pleadings, pertaining action, claim proceeding, data memoranda disposition thereof, period five years after settlement satisfaction final order thereon, dismissal discontinuance action brought.' 11 documents were petitioner's daybook, cash receipts book, disbursements checkbook stubs, petty cashbook vouchers, general ledger journal, canceled checks bank statements, passbooks evidences accounts, record loans payroll records, tax returns worksheets relative thereto. dealt control regulation requiring merchants keep sales called 'public aspects,' private (335 34, 1393); concluded divided vote violate Amendment. asked Shapiro. But unnecessary reach 13 5, keeping general—'the thereof.' detailed aspects contingent-fee litigation might possibly broad, generous brought within intendment. Our problem, however, different. Neither referee inquiry, counsel questioned applicability All proceeded basis could invoke respect pay disbarment. suggest Petitioner, disbarred theory invocation lead His cannot place. Cole Arkansas, 333 196, 201, 514, 517, 644. For procedure opportunity show Rule, fairly construed understood, sweep5 aspects' papers. Reversed. 15 FORTAS, concurring judgment. I agree 156 (1961), overruled. distinguish between lawyer's public employee who questions specifically, directly, narrowly relating performance official duties beliefs matters scope specific undertook faithfully perform part employment State. never held, example, policeman discharged disciplinary proceedings conduct police officer. quite different seeks lash subsequent proceeding. 562. He does responsibility account actions agent obey laws rules generally laid licensing procedures. special responsibilities assumes licensee officer do carry diminution, however limited, rights. Accordingly, Spevack self-incrimination. 18 If presented produce, upon authorized particularized demand, lawfully proper functions relation licensor high calling, feel affirm, although prepared appropriate re-examine 1787 (1948). am indicate doubt essential validity However, issue appropriately reasons my Brother DOUGLAS. On join Court. 19 HARLAN, whom CLARK STEWART join, dissenting. 20 decision, made name Constitution, permits suspected misconduct thwart direct inquiry without fear action. done today will disheartening frustrating bar associations throughout country efforts maintain standards bar. 21 exposes itself possible indignity day admit somehow truth suspicions, investigation applicant previously succeeded blocking. perceive distinction 'admission' 'disbarment' rationale what now held. even lend color support justifying appointment bench who, like prevents behavior. And, still pervasively, hardly fail encourage oncoming generations think calling higher behavior acceptable market-place. soundness carrying denigrating import profession surely suspect face. 22 Six ago 156, set face prevails, bringing bear Court's holding, among things, then-established proposition such. Three later 653, doing cast continuing vitality requires overruling entirety. follow clear not. 23 emphasized plainly 'enjoy citizenship.' Nor deprived self-incrimination, undertaken them. diversionary course remotely suggested York. plurality opinion's vivid rhetoric thus serves obscure issues actually confronted, hinder serious consideration. true instead effect attorneys.1 particular, failure provide information relevant law practice impermissibly vitiated afforded important warrants complete discriminating analysis opinion. reiterated last Term 'has values helps protect suggest.' Schmerber 757, 762, 1826, 1831, 908. Constitution contains formulae calculate areas =full scope' extend, therefore obliged fashion application stemming claims, chiefly derived consideration factors: history purposes privilege, urgency interests involved. See, e.g., Orloff Willoughby, 345 83, 73 534, 97 842; Davis 328 582, 66 1256, 90 1453; 1787. If, suggests, imposed see these factors must less centering claims. event, require Bates Little Rock, 361 516, 80 412, 480. turn assess 25 claimed compendiously aimed 'ambulance chasing' attendant evils, unimportant unrelated legitimate interests. often authority devise both requirements admission those wish enter professions. E.g., Hawker People 170 189, 573, 42 1002; Dent West Virginia, 129 114, 231, 32 623; Barsky Regents University 347 442, 74 650, 98 829. demand qualifications 'a rational connection applicant's fitness capacity,' Schware Bar Examiners Mexico, 353 232, 239, 77 752, 756, 796, exclude fails satisfy good character, place onus applicant. Konigsberg 36, 997, 105. Finally, objection moral condition retention practice. way today's decision. 26 prerequisite continued Division, Second Department, determined actively assist groups prevention detection unethical activities. Department demands file statements retainer certain kinds cases, request information, contingent arrangements cases. intended abuses revealed lengthy series investigations malpractices geographical area represented Department. conditions arbitrary unreasonable, they attorney's English Edward endeavored regulate qualification lawyers, always hope better assure integrity evenhandedness administration justice.2 Very similar 17th century.3 protected systems justice countries abuse, directly contributed confidence systems. Such give recognition accepted England officers fundamental role justice.4 form spirit continuation efforts, accordingly reasonably calculated serve most enduring citizens 27 Without denying significance rules, seemingly enforced consequence renders 'costly' 'instrument infringes offered Apart brief obiter dicta recent opinions entirely hitherto inconsistent principles here. before Federal Government forbidden permit consequences result privilege; recognized vary widely kind intensity, differences warrant examination hazard, any, consequence. far prohibition embraced stake yet guarantee opportunities pursuit values, selecting standard hazards characteristics each 28 already approved seems me situation us. repeatedly permissible status claimant prevented assessment authority. Under rule, decline disclose demonstrate fitness, receive benefits status. interjection diminish obligation establish qualifications, escape exacted obligation. established 842. doctor refused, divulge Communist commission Army officer, apparently satisfied every commission. expressly noted '(n)o believes punished' 'no hesitation' nonetheless rely commissioning authorities appointed position 'honor trust.' 91, 539. 'we President certifying appointing commissioned rank, learn whatever thinks affect fitness.' Ibid. 30 Analogous problems involved Kimm Rosenberg, 363 405, 1139, 1299, alien whose deportation ineligible discretionary permitting voluntary departure. failed affiliated Party, answer about membership Party prevent interposing silence. 31 employed one's self denial removal court, Maryland Soper (No. 1), 270 9, 46 185, 70 449, Fourth Circuit bankrupt's property, disclosure him, discharge bankruptcy. Kaufman Hurwitz, Cir., 176 F.2d 210. applied antedate presumably subject 'federal standards,' until included alone result. fulcrum 692. appellant associate professor Brooklyn College investigating committee Senate, subsequently college occurrence. due Its two: first, attached 'sinister meaning,' imputation guilt, Slochower's second, engaged bona fide effort elicit 'qualifications employees.' 'had possessed pertinent years,' event put 'wholly unrelated' university functions. 558. 33 elements carefully considered several occasions Beilan Public Education, School Dist. Philadelphia, 357 399, 78 1317, 1414; Lerner Casey, 468, 1311, 1423; Nelson Los Angeles County, 362 527, 494. when read Slochower, plain long derive guilt employee's related declines. Identical applicants qualifications. 105; re Anastaplo, 82, 978, 135. sum, adopted congruent 34 contend, suggest, inference disclaimed inferences. faith Due Process constitutionally permissible. 35 pause acknowledge previous handling explain why supposed forbid privileged scarcely surprising, create novel extension exceed needs privilege's purpose inhibit denied penalized use; valid obligations hazard possibility induce involuntary disclosures incriminating materials; precisely eliminate prosecuting materials fruits. has, proof involuntariness, Brown Mississippi, 297 278, 56 682, now, WHITE emphasized, intensified further prohibitory occasion gone step further, likely disclosures, readily distinguishable. They uniformly situations entire thought excessive risks coercion foreign accusatorial system, penalize 106. Both remote None prohibitions relevance us; nothing York's system destroys, inhibits, minimizes There speculate occupation, waived unspecified measure suffices earnestly concerned urgent interest, selected methods interest attainment purposes. 36 manifest neither logic invalidate overturn Today's hamper values.5 37 conclusions, alternative Appeals' 'required doctrine.' 38 affirm djQ WHITE, 39 13, 562, holds imaginable circumstance issued impermissible sufficient render inadmissible some, most, circumstances confrontations infinite variety. Rather inflexible, per se particular us HARLAN findings below overturned. 40 However be, books, compounds error 62, 511, 625, 574. incriminated himself whatsoever. nevertheless so. seem justifiable self-incrimination—to successful attempt admissions. excludes fruits, frustrates advance compel admissions used obtain conviction. little practical terms preventing refuses talk duty.* 41 Murphy Waterfront Comm., 52, 1594, 678, fruits manner officials him.' 79, 1609. To implement ruled prohibited making based desirability accommodating crime. accommodation multiple alone. ridding themselves faithless officers. Admittedly, attempting consultation himself, ask which, given, very useful Garrity, view, protects latter possibility. Consequently, refusing pursue cooperate State's employment. 43 With respect, dissent. 'Order apply oral testimony, kept 1787.' 1050, 127, 457—458. much relied accurately reflected pre-Malloy stop reexamine prior decisions vintage them, silence,' declared 1493. (Italics added.) Whether policeman, invokes proceedings, reach. Special Rules Dept., Division. amended renumbered IV(6). Civil Practice Annual 9—24 (1964). Counsel respondent conceded argument broader 5: 'Q. Is coextensive go beyond? 'A. say goes beyond. reasonable items perhaps argued come talking about. Would you mind us? Tell are. Cash disbursements? coming statute example. How *? Worksheets? Out. You mean item out? Item 12—copies returns, accountants' worksheets, include outside rules? Yes. beyond keep. (T)he Appeals, speaking says suppose produced just required—that keep—that constitute waiver No, Why not? Because that, sure. Are sure that? common understanding produces matter, balance matter. Am wrong that. disagree reason. kept. testimony.' No underlying representing alleged entitle deal premise asserted. outlined Cohen, History Attornatus 1450, 277 et seq., Holdsworth, Law 317, 504 seq.; id., 431 seq. traced Warren, American passim. Evidences found Ex parte Bradley, Wall. 364, 214; Powell Alabama, 287 45, 53 55, 158; Gideon Wainwright, 372 335, 83 792, 799. license refuses, shelter variety statute. U.S.C. § 484; 47 §§ 308(b), 312(a)(4); 2283. professes resolve reasoning equal persuasiveness employees.

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