PER CURIAM:
Kristan Peters, an attorney admitted to the bars of New York and Connecticut, appeals from the April 10, 2013 Order of the Committee on Grievances for the United States District Court for the Southern District of New York (the "Committee")
This case comes to us on appeal for the second time, after we vacated the Committee's first order suspending Peters for a term of seven years, and remanded with instructions to, inter alia, conduct an independent evidentiary hearing on the charges. On review of the new record, we find no error in the Committee's conclusion that Peters violated the Professional Code. We hold further that the Committee acted well within its informed discretion in ordering a seven-year suspension, notwithstanding the lack of directly analogous precedent, based on its conclusion that Peters's conduct was sui generis.
Accordingly, we
The facts underlying the challenged suspension have been repeated in several opinions, over hundreds of pages, and need not be re-stated here.
We outline the extensive procedural history of this case only insofar as it is relevant to Peters's claims on appeal.
In 2007, after conducting a sanctions hearing regarding Peters's conduct during the Wolters-Kluwer litigation, Judge Baer imposed non-monetary sanctions on Peters for violating the Professional Code, and referred the case to the Committee for further disciplinary proceedings.
In 2009, the Committee issued a final ruling
On appeal from the Committee's 2009 decision suspending Peters for seven years, we applied a "more exacting [standard] than ... the ordinary abuse-of-discretion standard," in light of the fact that the Committee had based its conclusions on the findings of Judge Baer, who had, in the nature of things, acted as "accuser, fact finder and sentencing judge all in one." In re Peters, 642 F.3d 381, 384 & n.
Applying that standard, we vacated the findings regarding the Brackett Allegation on the basis that Peters was entitled to, and had not received, an independent evidentiary hearing. Id. at 390. We also vacated the charge based on the Confidentiality Order Allegation, holding that although Peters violated the Confidentiality Order, the Committee had made insufficient findings as to whether Peters had the requisite culpable state of mind. In vacating that charge, we emphasized that the Committee was "free [on remand] to make a new determination, based on detailed factual findings, of whether Peters acted with a culpable state of mind ... and, if so, to discipline her accordingly."
On remand, Judge Colleen McMahon, acting as Chairman Pro Tempore of the Committee, ultimately referred the matter to Magistrate Judge Lisa M. Smith, who took submissions and heard eleven full days of testimony.
In an April 10, 2013 Order, the Committee adopted the finding that Peters had violated the Professional Code, but concluded that "this case is sui generis — and deserving of [a seven-year suspension]." SPA 155. Peters moved for reconsideration, and relief from judgment, both of which the Committee denied.
It is against this backdrop that we review Peters's appeal.
On appeal, Peters claims principally that: (1) she was denied a full and fair disciplinary hearing in the proceedings before Judge Smith and the Committee, resulting in the erroneous conclusion that she violated the relevant disciplinary rules; and (2) the Committee "abused its discretion" in imposing a seven-year suspension,
In general, we review "[t]he decision whether to impose disciplinary sanctions on an attorney [under] an abuse-of-discretion standard."
The challenges Peters raises with regard to the finding of guilt on the Brackett Allegation relate almost exclusively to Judge Smith's credibility determinations and the assessment of conflicting evidence. As set forth above, Judge Smith conducted an extensive evidentiary hearing, approximately five-and-one-half days of which were devoted to Peters's testimony. Judge Smith also considered testimony from Brackett, and numerous other lawyers and staff members from Dorsey & Whitney, in reaching her conclusions.
The Committee then reviewed the R & R's "extensive, record-based findings," along with Peters's specific objections. SPA 146-47. During the review process, transcripts of the hearing and the parties' exhibits were also available to the Committee. In adopting the R & R, the Committee properly accorded substantial deference to Judge Smith's credibility determinations, Anderson v. City of Bessemer City, 470 U.S. 564, 574-75, 105 S.Ct. 1504, 84 L.Ed.2d 518 (1985), and found them to be "supported by substantial evidence." SPA 148. The Committee also independently concluded that Peters lacked credibility. See SPA 149 (noting that Peters's "effort to minimize her role in the lawsuit and the unfolding events seriously wounded her credibility in the eyes of Judge Smith and of the Committee").
Our review of the record reveals no error, much less clear error, in Judge Smith's findings, which the Committee adopted after its own review of the record. Accordingly, we conclude that Peters's arguments with respect to the Brackett Allegation are without merit.
The only open question regarding the Confidentiality Order Allegation is whether Peters acted with the requisite "culpable state of mind," defined as "venal intent." Peters, 642 F.3d at 394-95. That portentous term, at least in the context of the Professional Code, merely means "scienter, deceit, intent to mislead, or knowing failure to correct misrepresentations."
As evidence of Peters's culpable state of mind, the Committee cited, among other things, "e-mails that demonstrated her familiarity with the terms of the Confidentiality Order," and evidence that other partners told Peters that the Confidentiality Order did not permit her to use materials in a related litigation in Massachusetts.
The Committee's findings are sufficient to establish the requisite culpable intent, and nothing in our review of the record suggests that they were clearly erroneous or that the Committee "abused its discretion" in sustaining Charge Three.
Our review of the sanction imposed in a disciplinary proceeding is analogous to our review of a sentence imposed in an ordinary criminal action. Where, as here, there has been "a very great deal of process," SPA 162, and no procedural error, our "abuse-of-discretion" review is akin to a review for "substantive unreasonableness." United States v. Rigas, 583 F.3d 108, 114, 121-22 (2d Cir.2009). As we have explained, such review "provide[s] a backstop for those few cases that, although procedurally correct, would nonetheless damage the administration of justice because the sentence imposed was shockingly high," results in "manifest injustice," or is "otherwise unsupportable as a matter of law." Id. at 123.
In determining the appropriate sanction, Judge Smith considered mitigating and aggravating factors, the prejudice caused by Peters's actions, and the relevant authorities, as directed by this Court. See Peters, 642 F.3d at 398. Judge Smith recognized Peters's clean disciplinary record and favorable character testimony, but noted her apparent, and continuing, lack of remorse. She also considered: (1) Peters's refusal to acknowledge the wrongful nature of her conduct; (2) the "pattern of providing testimony that placed blame for any and all wrongdoing on all of the other attorneys," SPA 127; (3) "instances in which Peters was untruthful" at the hearing, SPA 132; (4) the fact that Peters came "dangerously close to engaging in bad faith obstruction of the disciplinary proceeding," SPA 137; and (5) Peters's substantial legal experience, SPA 139.
The Committee took Judge Smith's recommendation "quite seriously," SPA 154, but concluded that a seven-year suspension was warranted under the circumstances. SPA 155. The Committee found Peters's "most serious failing" — which it deemed "particularly heinous" — to be her "corruption of a young and inexperienced lawyer, over whom she had power and authority." SPA 154. Additional aggravating factors noted by the Committee were Peters's attempts to "salvage her reputation at the expense of ... Mr. Brackett"; her "habit of twisting the truth"; her "flagrant mischaracterization of the record"; and the fact that, in the Committee's view, Peters had "yet to accept any responsibility for ... serious professional wrongdoing." SPA 154-55. Accordingly, the Committee concluded that the case was sui generis and deserving of a longer punishment.
Our direction that the Committee should consider relevant precedent was intended to inform, not confine, the Committee's exercise of its discretion in determining the appropriate sanction for a violation of the Professional Code. Every such violation is, in some sense, sui generis; that is, it requires a fact-particular inquiry and is not amenable to a rigid calculus based on other cases. It is for that reason that we have a Committee on Grievances that may draw upon the cumulative authority of a panel of experienced judges. In view of the Committee's conclusions regarding the nature of Peters's conduct, we cannot say that its imposition of a seven-year suspension was "substantively unreasonable," shocking to the judicial conscience, or otherwise unsupportable.
To summarize:
For the reasons set forth above, we