In Re Caballero
Full Opinion (html_with_citations)
delivered the opinion of the Court,
The issue in this case is straightforward: under the compulsory discipline process set forth in the Texas Rules of Disciplinary Procedure, when an attorneyâs sentence has been fully probated, does the Board of Disciplinary Appeals (BODA) have discretion to disbar that attorney, or may it only suspend him for the length of the probation term? We hold that the rules give BODA discretion to disbar the attorney, and, therefore, affirm BODAâs judgment of disbarment.
I
In 2004, Rolando Caballero was indicted in federal district court for wire fraud and mail fraud. After a plea agreement, he pled guilty to the mail fraud charge. The trial court placed him on supervised probation for five years and ordered him to pay restitution of $57,937.50 plus a mandatory special assessment of $100.00. The prosecutor did not pursue the wire fraud charges further. The Chief Disciplinary Counsel of the Commission for Lawyer Discipline brought a compulsory disciplinary action against Caballero. Following a hearing on March 23, 2007, BODA entered a judgment disbarring Caballero. Caballero moved for a new trial but his motion was denied. Caballero then appealed to this Court. See Tex.R. Disciplinary P. 7.11 (providing for direct appeal to the Supreme Court).
II
The attorney disciplinary process is divided into two types of proceedings: the standard grievance procedure and the compulsory discipline procedure. See In re Lock, 54 S.W.3d 305, 306 (Tex.2001). The standard grievance procedure applies in all instances of alleged attorney misconduct, except where an attorney is alleged to have committed an âintentional crime.â Id. Under the standard grievance procedure, a grievance committee or district court determines violations and sanctions. See Tex.R. Disciplinary P. 2.13-.18, 3.09-.10; In re Mercier, 242 S.W.3d 46, 47 (Tex.2007) (per curiam). The reviewing body may disbar the attorney under the standard grievance process, but also has the ability to assess âa range of lesser sanctions, including various types of suspension and reprimand.â Lock, 54 S.W.3d at 307.
The compulsory discipline procedure applies â[w]hen an attorney licensed to practice law in Texas has been convicted of an Intentional Crime or has been placed on probation for an Intentional Crime.â Tex.R. Disciplinary P. 8.01. An intentional crime is â(1) any Serious Crime[
In this case, the compulsory discipline procedure applies because it is undisputed that Caballeroâs crime is an intentional crime. The issue, then, is to what extent Texas Rules of Disciplinary Procedure 8.05 and 8.06 give BODA discretion to determine Caballeroâs discipline, given that his sentence was fully probated.
When an attorney has been convicted of an Intentional Crime, and that conviction has become final, or the attorney has accepted probation with or without an adjudication of guilt for an Intentional Crime, the attorney shall be disbarred unless the Board of Disciplinary Appeals, under Rule 8.06, suspends his or her license to practice law.
Id. at 8.05.
If an attorneyâs sentence upon conviction of a Serious Crime is fully probated, or if an attorney receives probation through deferred adjudication in connection with a Serious Crime, the attorneyâs license to practice law shall be suspended during the term of probation. If an attorney is suspended during the term of probation, the suspension shall be conditioned upon the attorneyâs satisfactorily completing the terms of probation. If the probation is revoked, the attorney shall be disbarred.
Id. at 8.06.
Ill
In resolving the meaning of these rules, we apply statutory construction principles. See OâQuinn v. State Bar of Tex., 763 S.W.2d 397, 399 (Tex.1988) (instructing that âour disciplinary rules should be treated like statutesâ). Statutory construction is a legal question, which we review de novo. State ex rel. State Depât of Highways & Pub. Transp. v. Gonzalez, 82 S.W.3d 322, 327 (Tex.2002). In doing this, we âgive effect to all [a statuteâs] words and, if possible, do not treat any statutory language as mere surplus-age.â State v. Shumake, 199 S.W.3d 279, 287 (Tex.2006).
Rule 8.05 states that an attorney convicted of an intentional crime, or an attorney put on probation for an intentional crime, âshall be disbarred unless [BODA], under Rule 8.06, suspends his or her license to practice law.â TexR. Disciplinary P. 8.05 (emphasis added). Thus, the starting point is disbarment because BODA is instructed that it âshallâ disbar. Id.; see also Tex. Govât Code § 311.016(2) (â âShallâ imposes a duty.â). But the âunlessâ clause referencing the Rule 8.06 suspension procedure gives BODA some discretion to suspend the attorneyâs license. TexR. Disciplinaiiy P. 8.05. Rule 8.06 then establishes the guidelines for that suspension. First, Rule 8.06 states a condition to its use: âIf an attorneyâs sentence upon conviction of a Serious Crime is fully probated, or if an attorney receives probation through deferred adjudication in connection with a Serious Crime.... â Id. at 8.06. Second, Rule 8.06 dictates the length of the suspension: â[T]he attorneyâs license to practice law shall be suspended during the term of probation.â Id.; see also In re Ament, 890 S.W.2d 39, 40 (Tex.1994) (per curiam). Thus, BODA has discretion under Rule 8.05 to disbar the attorney or to suspend the attorneyâs license under Rule 8.06. But if BODA uses Rule 8.06, it must comply with Rule 8.06âs conditions. See Ament, 890 S.W.2d at 40 (holding that the probationary period is âthe ceiling, above which suspension may not climbâ). We do not accept Caballeroâs argument that Rules 8.05 and 8.06 mandate suspension in the ease of a fully-probated sentence because construing the rules in this manner would not give effect to the second half of Rule 8.05âs language, which gives BODA discretion to use Rule 8.06. Rather, Caballeroâs proposed construction would render it âmere surplusage.â Shumake, 199 S.W.3d at 287. The rules must be read together.
The prior disciplinary rules also gave BODA this discretion, albeit in a different manner.
Our construction here is also consistent with other portions of the rules. See Helena Chemical Co. v. Wilkins, 47 S.W.3d 486, 493 (Tex.2001) (instructing that âwe must always consider the statute as a whole rather than its isolated provisionsâ and â[w]e should not give one provision a meaning out of harmony or inconsistent with other provisions, although it might be susceptible to such a construction standing aloneâ). Rule 11.01, which addresses when an individual can apply for reinstatement after disbarment, describes an attorney who has been âdisbarred or resigned in lieu of discipline by reason of conviction of or having been placed on probation without an adjudication of guilt for an Intentional Crime or a Serious Crime.â Tex.R. DISCIPLINARY P. 11.01 (emphasis added). This language envisions disbarment following a probated sentence. Also, Rule 8.01 instructs that â[t] he completion or termination of any term of incarceration, probation, parole, or any similar court ordered supervised period does not bar [compulsory discipline procedures].â Tex.R. Disciplinary P. 8.01 (emphasis added). This indicates that compulsory discipline procedures can be initiated even after the probation term has ended. See id. If Rules 8.05 and 8.06 did not permit punishment other than suspension during the term of the probation, then Rule 8.01 could not allow the initiation of proceedings after this term was already completed.
Caballero relies on five cases to argue that BODA has no discretion to disbar him. See Lock, 54 S.W.3d 305; In re Birdwell, 20 S.W.3d 685 (Tex.2000); In re Humphreys, 880 S.W.2d 402 (Tex.1994); Sanchez v. Bd. of Disciplinary Appeals, 877 S.W.2d 751 (Tex.1994) (per curiam);
Thus, both the language of the disciplinary rules and our caselaw confirm that BODA has discretion to disbar or suspend in the case of a fully-probated sentence. If BODA decides to suspend an attorneyâs license, the suspension period must equal the length of the probation period. Id.
IV
Caballero was convicted of an intentional crime and received a fully-probated sentence. BODA, therefore, had discretion to either disbar Caballero or suspend his license for the term of the probation. Further, although not briefed in this case, we find nothing in the record to indicate an abuse of discretion on BODAâs part in disbarring Caballero. See In re Filippov, BODA Case No. 30611, at 11-12 (describing factors BODA considers when determining whether to disbar an attorney or suspend his license when the attorneyâs sentence is fully probated). Because we hold that BODA had discretion to disbar Caballero, and that it did not abuse that discretion, we affirm the judgment of disbarment.
. See TexR. Disciplinary P. 7.11, reprinted in Tex. Gov't Code, tit. 2, subtit. G app. A-l. All references to disciplinary rules in this opinion are to these rules, unless otherwise indicated.
. " âSerious crimeâ means barratry; any felony involving moral turpitude; any misdemeanor involving theft, embezzlement, or fraudulent or reckless misappropriation of money or other property; or any attempt, conspiracy, or solicitation of another to commit any of the foregoing crimes.â Tex.R. Disciplinary P. 1.06(Z).
.The Commission for Lawyer Discipline argued in its brief that the special assessment and restitution part of Caballero's sentence renders the sentence not âfully probatedâ for purposes of Rule 8.06. However, at oral argument, the Commission conceded that the sentence was fully probated for purposes of determining the discretionary discipline issue. We also note that BODAâs final judgment made a finding of fact that Caballero's âcriminal sentence was fully probated.â In re Caballero, Judgment of Disbarment, Case No. 38821 (Tex. Mar. 28, 2007). Regardless, because we hold that Rule 8.05 gives BODA discretion to disbar or suspend an attorney whose sentence was fully probated, it is irrelevant whether Caballero's sentence was fully probated. BODA has the power to disbar an attorney whether his sentence was fully probated or not. Whether a sentence was fully probated would be an issue only if BODA decided to suspend an attorney's license under Rule 8.06.
. " âIntentional Crimeâ means (1) any Serious Crime that requires proof of knowledge or intent as an essential element or (2) any crime involving misapplication of money or other property held as a fiduciary.â Tex.R. Disciplinary P. 1.06(T).
. â 'Serious crime' means barratry; any felony involving moral turpitude; any misdemeanor involving theft, embezzlement, or fraudulent or reckless misappropriation of money or other property; or any attempt, conspiracy, or solicitation of another to commit any of the foregoing crimes.â Tex.R. Disciplinary P. 1.06(Z).
. BODA has construed Rules 8.05 and 8.06 in a similar manner. See, e.g., In re Mercier, BODA Case No. 38020 (Nov. 3, 2006); In re Filippov, BODA Case No. 30611, aff'd, 04-0151 (Tex. June 18, 2004). We have affirmed, without opinion, BODA decisions to disbar an attorney who received a fully-probated sentence. See, e.g., Filippov, BODA Case No. 30611; In re Goldberg, BODA Case No. 25757, aff'd, 02-0853 (Tex. Mar. 3, 2003); In re Raynor, BODA Case No. 25458, aff'd, 02-0435 (Tex. Sept. 26, 2002); In re Hartley, BODA Case No. 06052, aff'd, 95-0511 (Tex. Oct. 27, 1995); see also Tex. Gov't Code § 311.023 ("In construing a statute ... a court may consider ... [an] administrative construction of the statute.â); In re State Bar, 113 S.W.3d 730, 732 (Tex.2003) (noting that we have delegated portions of the power to regulate the practice of law to BODA).
. The prior disciplinary rules were previously codified in Article X of the State Bar rules. In 1991, those rules were repealed and replaced by the Texas Rules of Disciplinary Pro
. The dissent claims that our holding, in light of Ament, "leads to a strange gap in discipline.â 272 S.W.3d at 603. But while the rules may provide BODA with the option of imposing two varying degrees of discipline, BODA does not have unfettered discretion to impose discipline disproportionate to the attorneyâs acts. See Tex.R. Disciplinary P. 7.11 ("[a BODA] case shall be reviewed under the substantial evidence rule"); Tex. Gov't Code § 2001.174(2)(E), (F) (directing that under the substantial evidence rule, a court shall reverse on a finding that a decision is "not reasonably supported by substantial evidenceâ or "arbitrary or capricious or characterized by abuse of discretionâ).