BYBEE, Circuit Judge:
Attorney Larry Klayman applied to be admitted pro hac vice in the high-profile criminal trial of Cliven Bundy. The district court denied his application without prejudice. Bundy has now asked this court for a
According to the indictment, in early April 2014, Petitioner Bundy and his codefendants were involved in an armed stand-off around Bunkerville, Nevada, with agents of the Bureau of Land Management ("BLM"). Following a more than twenty-year legal battle over grazing fees on public lands, the federal courts authorized the BLM to remove some 400 head of Bundy's cattle from public lands. See, e.g., United States v. Bundy, 2013 WL 3463610 (D. Nev. July 9, 2013). In response to the BLM's attempts to settle the dispute peacefully, Bundy said that he was "ready to do battle" and "do whatever it takes" to keep the cattle. Over the course of a week, hundreds of Bundy's supporters congregated near Bunkerville to prevent the BLM from removing Bundy's cattle. Many of Bundy's supporters were armed, and the BLM agents ultimately withdrew from the area. The incident attracted national, and even international, attention.
On March 2, 2016, a federal grand jury in the District of Nevada returned a sixteen-count superseding indictment against Bundy, four of his sons, and fourteen others. The indictment charged them with Conspiracy to Commit an Offense Against the United States, 18 U.S.C. § 371; Conspiracy to Impede or Injure a Federal Officer, 18 U.S.C. § 372; Use and Carry of a Firearm in Relation to a Crime of Violence, 18 U.S.C. § 924(c); Assault on a Federal Officer, 18 U.S.C. § 111(a)(1), (b); Threatening a Federal Law Enforcement Officer, 18 U.S.C. § 115(a)(1)(B); Obstruction of the Due Administration of Justice, 18 U.S.C. § 1503; Interference with Interstate Commerce by Extortion, 18 U.S.C. § 1951; and Interstate Travel in Aid of Extortion, 18 U.S.C. § 1952.
Following his indictment, Bundy secured local counsel, Joel Hansen.
On March 22, 2016, Klayman filed a Verified Petition stating that he had been retained by Bundy in connection with the Nevada indictment and requesting pro hac vice admission to practice before the district court. Of relevance to this petition for a writ of mandamus is the fifth question on the district court's form, which reads:
Klayman wrote in response: "The only disciplinary case pending is in the District of Columbia" and that he has "responded to a few complaints." He elaborated in an attached statement.
With respect to the disciplinary case in the District of Columbia, Klayman stated that he had represented clients, pro bono, against his former employer, Judicial Watch.
As to other complaints, he explained that he "agreed to a public reprimand before The Florida Bar" for failing to timely pay a mediated settlement to a client, but that there was "no showing of dishonesty" and he was never suspended from the practice of law. Separately, Klayman revealed that, roughly twenty years ago, "two judges vindictively stated that I could not practice before them after I challenged rulings they had made on the basis of bias and prejudice." He explained that those exclusions applied only to the two judges themselves, Judge William D. Keller of the U.S. District Court for the Central District of California and Judge Denny Chin of the U.S. District Court for the Southern District of New York. Moreover, he advised that the "bars of the District of Columbia and Florida reviewed these rulings and found that I did not act unethically" and that he was currently in good standing in both jurisdictions.
The district court denied the Verified Petition "for failure to fully disclose disciplinary actions and related documents." The district court found that Klayman's statement that the matter regarding Judicial Watch from the District of Columbia "is likely to be resolved in my favor and there has been no disciplinary action" was "misleading and incomplete." Referring to the evidence it had found on its own initiative, the district court pointed out that the District of Columbia Court of Appeals Board on Professional Responsibility had
Klayman filed a "Supplement to and Renewed Petition" on April 7, 2016.
As to the district court's sixth requirement, Klayman disputed the conclusion the district court drew from the documents it had identified. The court, he said, "appears to have misunderstood the nature and current posture of the disciplinary proceeding underway" in the District of Columbia.
He also supplied a copy of a letter opinion prepared by Professor Ronald Rotunda of Chapman University School of Law. Rotunda, who is well known in academic circles for his expertise in legal ethics and constitutional law, stated that it "is [his] expert opinion that in the [D.C. matter] Mr. Klayman has not committed any offense that merits discipline." Klayman attached what he characterized as "a post-hearing brief" that he had filed with the D.C. Bar. Klayman, however, did not explain what the "hearing" was to which he had appended his "post-hearing brief," and the brief itself did not explain the procedural posture of the proceedings before the D.C. Bar. Klayman repeated that he
The district court treated Klayman's renewed filing as a request for reconsideration and denied it on April 19, 2016. The district court said nothing about five of the six conditions it imposed in the March 31 Order. It only discussed the matter before the D.C. Bar. The court noted that Klayman "admits that [the D.C. matter] is still pending," and thus there was "no error with its prior ruling." The court ordered that "Klayman's Verified Petition shall remain denied without prejudice until such time as Klayman can provide proof that the ethical disciplinary proceeding in the District of Columbia has been resolved in his favor."
On July 6, 2016, Bundy filed an emergency petition with this court for a writ of mandamus requesting that the district court be ordered to admit Klayman pro hac vice. Bundy argued that his Sixth Amendment right to counsel would be violated if he were forced to go to trial without his attorney of choice. He claimed that the district court "mechanistically" required that Klayman could not be admitted until the outcome of the D.C. Bar proceeding was known. Bundy represented that Klayman had "correctly informed the judge that the proceeding was underway and would not be finished for another few years and that Mr. Klayman had not been found liable of any ethics violations by the District of Columbia Bar." He further represented that the "slow pace of the District of Columbia Bar should not create any assumption that that case is in any way serious, complex, or difficult." He repeated that Klayman has "continuously been a member in good standing of the District of Columbia Bar for over 36 years and has never been disciplined" and that even if the D.C. Bar complaint were decided against him, "that would still not justify denial of Klayman's application to appear pro hac vice."
We ordered expedited review of the petition and directed the United States, as the real party in interest, to file an answer; we invited the district court to address the petition "if it so desires." We received separate responses from the United States and the district court.
The United States "respectfully decline[d] to opine on the ultimate question whether Klayman should be allowed to represent [Bundy]." The government nevertheless defended the district court's judgment as "within its discretion." It catalogued other cases in which Klayman was reprimanded by various courts for speaking after the judge requested silence, making misrepresentations to the court, ignoring court-imposed procedures and deadlines, pursuing meritless claims, making accusations related to a judge's race, and refusing to comply with local rules.
The district court not only defended the grounds on which it had issued its prior orders, it offered new evidence and grounds for refusing to grant Klayman pro hac vice status. First, the district court reiterated that the still-pending disciplinary proceedings in the District of Columbia raised ethical concerns. The court then challenged the veracity of how Klayman described the current status of the proceedings. Rather than "withdraw[ing] his affidavit because he felt strongly that he had acted ethically," as Klayman claimed, the district court unearthed evidence that
Second, the district court also felt that Klayman had filed an incomplete and inaccurate Verified Petition because he had failed to mention "numerous other courts' findings that he is unfit to practice," and the court cited eight cases in which courts had commented on his "inappropriate and unethical behavior." Third, the district court pointed to a Second Circuit decision in which that court dismissed his challenge to the district court's impartiality because it was "insulting and smacked of intimidation." MacDraw, Inc. v. CIT Grp. Equip. Fin., Inc., 138 F.3d 33, 38 (2d Cir. 1998). The district court then observed that Bundy recently filed a "similar[ ]" civil suit against the district judge individually, President Obama, and Senator Harry Reid, alleging a conspiracy. See Bundy v. Obama, No. 2:16-cv-1047-JCM-GWF (D. Nev. dismissed with prejudice Oct. 12, 2016). The district court thus argued that it did not abuse its discretion because Klayman's record shows a "total disregard for the judicial process" and his admission pro hac vice would thus "impede the orderly administration of justice."
Klayman did not respond to the district court's new evidence that he had misrepresented the proceedings in the District of Columbia, nor did he address the cases cited by the district court or the United States in which he had been reprimanded by the courts for his conduct during the litigation. Instead, he claimed that this evidence was "not on the record before the District Court" and was "simply an ex post facto, non-meritorious attempt to justify the denial now that this Court has granted expedited review of the mandamus petition." Klayman then repeated his claim that the affidavit had been withdrawn and that "he has a strong case for ultimately prevailing on the merits."
We held oral argument on an expedited basis and heard from Klayman and the United States.
Mandamus "is a `drastic and extraordinary' remedy `reserved for really extraordinary causes.'" Cheney v. U.S. Dist. Court, 542 U.S. 367, 380, 124 S.Ct. 2576, 159 L.Ed.2d 459 (2004) (quoting Ex parte Fahey, 332 U.S. 258, 259-60, 67 S.Ct. 1558, 91 L.Ed. 2041 (1947)). "As the writ is one of `the most potent weapons in the judicial arsenal,' three conditions must be satisfied before it may issue." Id. (citation omitted). "First, `the party seeking issuance of the writ [must] have no other adequate means to attain the relief he desires....'" Id. (first alteration in original) (quoting Kerr v. U.S. Dist. Court, 426 U.S. 394, 403, 96 S.Ct. 2119, 48 L.Ed.2d 725 (1976)). Second, the petitioner must show that "[his] right to issuance of the writ is `clear and indisputable.'" Id. at 381, 124 S.Ct. 2576 (alteration in original) (quoting Kerr, 426 U.S. at 403, 96 S.Ct. 2119). "Third, even if the first two prerequisites have been met, the issuing court, in the exercise of its discretion, must be satisfied that the writ is appropriate under the circumstances." Id.
To determine whether mandamus relief is appropriate, we weigh the five factors that we originally enumerated in
Id. at 654-55 (citations omitted).
"The clear error standard is significantly deferential and is not met unless the reviewing court is left with a `definite and firm conviction that a mistake has been committed.'" In re United States, 791 F.3d at 955 (quoting Cohen v. U.S. Dist. Court, 586 F.3d 703, 708 (9th Cir. 2009)). Because, on direct appeal, we "normally review a denial of a motion to appear pro hac vice for abuse of discretion," United States v. Walters, 309 F.3d 589, 591 (9th Cir. 2002), our review in mandamus proceedings is "especially deferential," In re United States, 791 F.3d at 955. On petition for a writ of mandamus, we look to see if the district court abused its discretion in a manner so obvious that the error is "clear" to all.
A criminal "defendant's [Sixth Amendment] right to the counsel of his choice includes the right to have an out-of-state lawyer admitted pro hac vice." United States v. Walters, 309 F.3d 589, 591 (9th Cir. 2002) (citation omitted). But because counsel from other jurisdictions "may be significantly more difficult to reach or discipline than local counsel," United States v. Ries, 100 F.3d 1469, 1471 (9th Cir. 1996), this right is "circumscribed in several important respects." Wheat v. United States, 486 U.S. 153, 159, 108 S.Ct. 1692, 100 L.Ed.2d 140 (1988). Importantly, "[t]here is no right of federal origin that permits [out-of-state] lawyers to appear in state
Federal courts have long had the authority to "establish criteria for admitting lawyers to argue before them." United States v. Gonzalez-Lopez, 548 U.S. 140, 151, 126 S.Ct. 2557, 165 L.Ed.2d 409 (2006). They have "an independent interest in ensuring that criminal trials are conducted within the ethical standards of the profession." Wheat, 486 U.S. at 160, 108 S.Ct. 1692; see Ries, 100 F.3d at 1471 (courts may regulate attorneys appearing before them to "[e]nsur[e] the ethical and orderly administration of justice"); see also In re United States, 791 F.3d 945, 957 (9th Cir. 2015) ("[A] court's decision to deny pro hac vice admission must be based on criteria reasonably related to promoting the orderly administration of justice or some other legitimate policy of the courts." (citation omitted)). Where an out-of-state attorney suggests through his behavior that he will not "abide by the court's rules and practices," the district court may reject his pro hac vice application. Ries, 100 F.3d at 1471.
The Local Rules for the United States District Court for the District of Nevada provide that an attorney who has been retained to appear in a particular case but is not a member of the bar of the district court "may appear only with the court's permission ... by verified petition on the form furnished by the clerk." Nev. Dist. Ct. Local R. IA 11-2. Among other things, that petition must state
Id. 11-2(b)(4)-(6). After receiving this information on a verified petition, "[t]he court may grant or deny a petition to practice." Id. 11-2(h).
The district court here did not abuse its discretion — much less commit clear error — when it denied Klayman's pro hac vice application. In its answer to Bundy's petition for a writ, the district court laid out a compelling case for doubting Klayman's ability to abide by local rules of comportment or ethics. It pointed to three separate categories of activities that made it doubt Klayman's willingness to advance the ethical and orderly administration of justice in Bundy's case: (1) the pending D.C. disciplinary proceedings involving three separate cases of conflict of interest, including the omissions and misrepresentations he made in the verified petition regarding those proceedings; (2) numerous other cases in which federal district courts have cited him for inappropriate and unethical behavior; and (3) his pattern of perverting the judicial process with insults and intimidation against judges personally. The district court concluded, based on these three categories, that Klayman's record shows a "total disregard for judicial process" and his admission pro hac vice would thus "impede the orderly administration of justice." We will address the evidence for each of these grounds.
Before we do so, we must address Bundy's argument about the scope of the record. Bundy points out that a district court "must articulate some reasonable basis for [ethical] doubts before denying the attorney's admissions for pro hac vice admission." In re United States, 791 F.3d at 957; see also Ries, 100 F.3d at 1472 ("In denying a pro hac vice application, the judge
A rule barring after-acquired evidence or later-supplied rationales might well make sense in the ordinary appeal after trial, where the district court has issued its order denying pro hac vice status and is not heard from again on the matter. There, we do not want to allow the opposing party, several months or years down the line, to conjure up reasons that the district court could have given for denying pro hac vice status, but failed to actually give — or even know of. But mandamus proceedings in which the district court chooses to submit an answer detailing the district court's concerns about the attorney's ethical transgressions are quite different. We no longer need to speculate as to the district court's possible motivations or lament over whether to give deference to reasons the district court might not have found persuasive in the first instance. Instead, we know exactly why the district court would deny pro hac vice status. Moreover, allowing Bundy to force us to limit our review only to the matters Klayman revealed in his petition would give attorneys an incentive to mislead the courts — exactly the type of conduct in which Klayman engaged in this case. Confirming our conclusion that we may consider material supplied after the denial of pro hac vice status is the fact that if we thought we were limited to considering only the district court's stated reasons, we would vacate and remand to permit the district court to put its additional findings on the record and amend its order.
This has been a fluid and fast-moving proceeding. We conclude that the entirety of the district court's reasoning — both from its orders denying pro hac vice status as well as its response to the petition for a writ — should be taken into account.
The district court denied Klayman's request "until such time as Klayman can provide proof that the ethical disciplinary proceeding in the District of Columbia has been resolved in his favor." Klayman concedes that he is still the subject of ongoing disciplinary proceedings by the D.C. Bar, but he strenuously argues that they will be resolved in his favor.
The contested proceedings in the District of Columbia may or may not turn out to be serious. Even if we had the full record before us, that question would not be for us to answer. It is enough for us to know that the proceedings have been going on for several years and are current. A committee held hearings in Klayman's case in January 2016, and Klayman submitted additional briefing to the Bar in March 2016 — contemporaneous with his application for pro hac vice status in this case.
We do know that the charges — conflicts of interest — are serious enough that in 2015 Klayman was willing to stipulate to "public censure." More recently, on January 13, 2016, a D.C. Bar Hearing Committee rejected the stipulated censure as "unduly lenient" and, following hearings held that same month, a different Hearing Committee made a preliminary, nonbinding finding that Klayman had violated D.C. Rules 1.9 (conflict of interest) and 8.4(d) (conduct that seriously interferes with the administration of justice) by "clear and
If the only reason the district court had offered was the bare fact of an open disciplinary proceeding in D.C., the district court might have abused its discretion in denying pro hac vice status to Klayman. At a minimum, the district court would have had to make further inquiry — something beyond requiring Klayman to show that the proceedings have been finally resolved in his favor.
But the district court laid out a second, very good reason for its decision: although he had several opportunities to clear the record, Klayman was not forthcoming about the nature and status of those proceedings. In his application, Klayman — properly — disclosed that there was a "disciplinary case pending ... in the District of Columbia," that the charge was conflict of interest, and that he expected the matter to be "resolved in his favor." The district court denied his petition "for failure to fully disclose disciplinary actions and related documents," and the district court supplied documents filed in the proceeding that showed that Klayman had agreed to "public censure." Even then, the district court only denied the application without prejudice to Klayman refiling. At that point Klayman was fully on notice that he needed to be transparent about the D.C. Bar proceedings.
Klayman was not forthcoming with the district court. In his "renewed application," Klayman corrected the record — but only in part. He told the district court that the stipulation was of no effect because he had "thought the better of having signed the affidavit and agreeing to negotiated discipline." Klayman may have had second thoughts about stipulating to his "public censure," but his statement was woefully misleading. In fact, a Hearing Committee for the D.C. Bar had rejected that stipulation on behalf of the Bar because it was "unduly lenient." That prompted the hearings in January 2016, a Hearing Committee recommendation, and Klayman's March 2016 brief to the D.C. Bar.
Klayman thus was on notice in the March 31 Order that his initial disclosure of the facts was "misleading and incomplete," yet Klayman offered only a partial correction of the record. As the district court told us, he was not forthcoming about the status of the D.C. proceedings: "Klayman failed to disclose the actual correct disposition of his pending District of Columbia disciplinary case, and instead provided false information to this Court by stating that he withdrew his affidavit when, in fact, the Hearing Committee rejected it." That finding is not clearly erroneous.
Indeed, Klayman had a full and fair opportunity to correct the record when we allowed him to respond to the district court's filing and when we held oral argument. He offered no explanation whatsoever for his failure to disclose the current status of his case. He never advised the district court that the Hearing Committee rejected the stipulation, that there was a recent hearing in January 2016, and that the Hearing Committee made a recommendation to the D.C. Bar. In fact, we still do not have the most recent documents filed in Klayman's disciplinary case.
Klayman failed to mention, but the district court found quite relevant, "numerous other courts' findings that he is unfit to practice" based on his "inappropriate and unethical behavior." The district court supplied us with a 2007 order of the Supreme Court of New York, which denied Klayman's petition to proceed pro hac vice because "Klayman's record demonstrates more than an occasional lapse of judgment, it evinces a total disregard for the judicial process." Order Denying Pro Hac Vice Application at 4, Stern v. Burkle, 20 Misc.3d 1101A, 867 N.Y.S.2d 20 (Sup. Ct. 2008). The New York court collected examples from other courts, and the district court referred to these instances of Klayman's sanctioned, sanctionable, or questionable behavior:
Of these eight instances of revocations or denial of pro hac vice status, sanctions for ignoring local and federal rules, and complaints of misrepresentations and omissions, Klayman mentioned only two to the district court. And in doing so, the district court noted, Klayman still failed to accept any responsibility for his actions. Instead, he claimed that the judges were being "vindictive" in their orders forever barring him from appearing pro hac vice in their courtrooms. He failed, however, to mention that these two "vindictive" district court judges' orders were affirmed by their respective federal appellate courts, both of which commented on Klayman's inappropriate behavior. See MacDraw, 138 F.3d at 37-38; Baldwin Hardware, 78 F.3d at 555.
The district court went on to highlight specifically a more recent case, which Klayman failed to mention, in which the district court's summary judgment order noted how Klayman "has routinely shown a disregard for [the district court's] Local Rules." Klayman v. City Pages, No. 5:13-cv-143-Oc-22PRL, 2015 WL 1546173, at *8 n.7 (M.D. Fla. Apr. 3, 2015), aff'd, 650 Fed.Appx. 744 (11th Cir. 2016). The Florida district court had "become quite frustrated with [Klayman's] various tactics to avoid Court rules throughout the course of this litigation. Unfortunately, the Court learned early on in this case that this approach to litigation is the norm and not the exception for [Klayman]." Id.
Moreover, a quick Westlaw search has found three additional cases, bringing the grand total to twelve, in which Klayman's ability to practice law in an ethical and orderly manner was called into question:
Klayman has a reputation as a vigorous litigator, but this is not a flattering
We fully acknowledge that "attorney[s] may with impunity take full advantage of the range of conduct that our adversary system allows" — they have "a right to be persistent, vociferous, contentious, and imposing, even to the point of appearing obnoxious when acting in their client's behalf." In re Dellinger, 461 F.2d 389, 400 (7th Cir. 1972). However, the district courts must carefully balance that vigorous advocacy against the need for order and decorum in the proceedings. See In re McConnell, 370 U.S. 230, 236, 82 S.Ct. 1288, 8 L.Ed.2d 434 (1962). Wherever that line lies, Klayman has crossed it more than once, and the district court did not abuse its discretion — and certainly did not come close to committing clear error — in taking account of Klayman's past behavior and denying him pro hac vice status.
Finally, the district court expressed concern that Klayman has shown disregard for district judges in the past by confronting them personally. The district court pointed to the Second Circuit's finding that Klayman had challenged U.S. District Judge Denny Chin's impartiality because he was Asian-American
These lessons have not been learned. After the district court denied Klayman's pro hac vice petition, but before Bundy asked this court for mandamus relief, Bundy filed a Bivens suit against Chief Judge Gloria Navarro, President Barack Obama,
The dissent offers two reasons for why Bundy's request for Klayman to be admitted pro hac vice outweigh the district court's concerns: (1) "the complexity of the proceeding against [Bundy] and his controversial political views raise concerns about his ability to retain competent counsel," Dissenting Op. at 1053, and (2) "denying Klayman admission raises troubling concerns about the fairness of Bundy's coming trial," id. at 1054. We do not think that either of these reasons withstands scrutiny.
First, there is nothing in the record about Bundy's efforts to secure competent counsel. The dissent declares that "only a fraction of the bar nationwide — let alone in Nevada — has the experience and resources necessary to give Bundy a vigorous defense." Id. at 1053 (emphasis added). Additionally, the dissent claims that "[o]ut of that fraction of qualified practitioners, there is likely an even smaller proportion that would actually accept Bundy's representation. Bundy's anti-government views and high-profile status among those who oppose federal hegemony make the prospect of representing him daunting for many seasoned defense attorneys." Id. at 1053.
Nothing in the record remotely supports these statements. For example, we do not have an affidavit from anyone — Bundy, Klayman, Hansen, or anyone else — telling us of unsuccessful efforts to find counsel. The dissent can only state that since the district court's denial in March 2016, "Bundy seems to have failed at finding suitable replacement trial counsel." Id. at 1053 (emphasis added). That is not evidence. And if even there were some evidence to suggest this, the district court could not have anticipated the problem. There is no clear error in the district court's orders.
Second, the dissent has questioned the fairness of the trial before it even begins: but for Klayman's "capable representation, there will be serious doubts about the fairness of the proceeding." Id. at 1054. Again,
The dissent acknowledges that Klayman might have "been selective in his disclosures" to the district court and there might have been a "relevant omission" resulting in Klayman "com[ing] near the line." Id. at 1054, 1055. For the reasons we have described in some detail, supra at 1043-48, Klayman engaged in selective disclosures, made relevant omissions, and crossed the line, but if even the dissent thinks Klayman came "near the line," that is not clear error justifying a writ of mandamus.
Finally, the dissent dismisses the rulings by Judges Keller and Chin because they were "issued 22 and 18 years ago" and may be "poor predictors of Klayman's likely behavior today." Dissenting Op. at 1055. If Klayman had acted responsibly in the time since then, we might be inclined to agree with the dissent that conduct twenty-years in the past is outdated. But, as the district court properly advised us in her filing, Klayman has not changed. Judges have sanctioned, chastised, and rebuked Klayman repeatedly over the past twenty years: in 1997, 1999, 2001, 2003, 2009, 2011, and twice in 2015. As the Middle District of Florida observed last year: "[T]his approach to litigation is the norm and not the exception for [Klayman]." City Pages, 2015 WL 1546173, at *8 n.7. The Eleventh Circuit affirmed that judgment in 2016. 650 Fed.Appx. 744.
Klayman has made misrepresentations and omissions to the district court regarding the ethics proceedings before the District of Columbia Bar; he has shown a pattern of disregard for local rules, ethics, and decorum; and he has demonstrated a lack of respect for the judicial process by suing the district judge personally. By any standard, the district court properly denied his petition to be admitted pro hac vice. Bundy is entitled to a fair trial, defended by competent, vigorous counsel of his choosing. But his right to such counsel does not extend to counsel from outside the district who has made it a pattern or practice of impeding the ethical and orderly administration of justice.
The writ of mandamus is
GOULD, Circuit Judge, dissenting:
We confront in this case an unusual confluence of circumstances. A highly controversial criminal defendant is a few months away from an enormous trial effort in which he and eighteen other individuals are defendants. The defendant's chosen attorney has been denied admission pro hac vice to the district court, raising in my mind serious concerns about the defendant's ability to mount a vigorous defense and receive a fair trial. Despite the majority's expressed apprehensions about the chosen attorney's willingness to follow the rules of professional conduct and the orders of the district court, while recognizing the high standards for mandamus relief, I would hold that the writ should issue. My concerns about the defendant's ability to present a strong defense and receive a fundamentally fair trial are simply too great, leading to my dissent.
On March 2, 2016, Cliven D. Bundy and eighteen others were indicted on various federal charges for their alleged involvement in a "massive armed assault" on federal officials near Bunkerville, Nevada nearly two years prior. The now-unsealed Superseding Indictment alleges that on April 12, 2014, Bundy led "hundreds of
The events that day grew out of a dispute between Bundy and the federal Bureau of Land Management. According to the Superseding Indictment, for over 20 years Bundy, a rancher, had refused to obtain permits or pay the required fees for his cattle to graze on federal public lands. As a result, since 1998 Bundy had been under a federal court order to remove his trespassing cattle. He never complied with the order, and in 2013 federal officials received authorization to seize and remove Bundy's cattle from the land. They began the process of seizure and removal on April 5, 2014.
While the removal process was ongoing, it is alleged that Bundy and his codefendants used the internet and other means of interstate communication to recruit gunmen and "Followers" to travel to Nevada to help Bundy make a show of force against the federal government. The defendants' online communications allegedly included requests for help from members of anti-government militia groups. The content of the communications referred to the federal government as corrupt and to government officials as thieves. Bundy was portrayed as a victim of government abuse whose sovereign rights had been violated. Other statements alleged in the Superseding Indictment show that Bundy viewed himself as involved in a "range war" with federal officials.
By the morning of April 12, 2014, more than 400 people had allegedly shown up to help Bundy, many of them allegedly armed with assault rifles or other weapons. Approaching from two different vantage points, Bundy and these Followers allegedly used firearms to threaten federal officers into giving up Bundy's cattle. The Government also claims that after getting his cattle back, Bundy organized his Followers into armed security patrols and checkpoints for the purpose of protecting his cattle against future government seizures.
A writ of mandamus is an extraordinary writ used "to confine an inferior court to a lawful exercise of its prescribed jurisdiction or to compel it to exercise its authority when it is its duty to do so." Will v. United States, 389 U.S. 90, 95, 88 S.Ct. 269, 19 L.Ed.2d 305 (1967) (internal quotation marks omitted). We have jurisdiction to grant such writs under 28 U.S.C. § 1651.
For a writ of mandamus to issue, the party seeking the writ must satisfy three requirements. First, the petitioner must have no other means of attaining the desired relief. In re United States, 791 F.3d 945, 954 (9th Cir. 2015). Second, the right to issuance of the writ must be "clear and indisputable." Id. (quotations omitted). Third, even if the first two prerequisites are met, we must be satisfied in the exercise of our discretion that the writ is appropriate under the circumstances. Id. at 955. In assessing whether the writ is appropriate, we examine five factors: (1) whether the party seeking the writ has no other adequate means, such as a direct appeal, to attain the relief he or she desires; (2) whether the petitioner will be damaged or prejudiced in a way not correctable on appeal; (3) whether the district court's order is clearly erroneous as a matter of law; (4) whether the district court's order is an oft-repeated error, or manifests a persistent disregard of the federal rules; and (5) whether the district court's order raises new and important problems, or issues of law of first impression. Bauman v. U.S. Dist. Court, 557 F.2d 650, 654-55 (9th Cir. 1977). These factors should be viewed as guidelines, not requirements, and
In my view, both the first and second Bauman factors weigh solidly in favor of granting relief. We have previously recognized that parties denied pro hac vice admission are unable to obtain immediate relief through an appeal because the denial of admission is neither a final appealable order under 28 U.S.C. § 1291 nor an interlocutory order appealable under 28 U.S.C. § 1292. See In re United States, 791 F.3d at 958. Losing counsel of choice through a denial of pro hac vice admission also produces a harm that is not correctable on a later direct appeal. Id. at 959. I view the fourth Bauman factor as weighing against granting the writ. As I discuss below, this case is unusual in that Bundy faces an imminent, massive and complex trial, as well as difficulties in retaining qualified counsel. These circumstances make any error by the district court of a type not likely to be repeated often. And I view the fifth factor as weighing slightly in favor of granting relief. The central issue in this case — whether denying Klayman's admission significantly impairs Bundy's ability to present a strong defense — is vastly important, but is only an issue of first impression in the sense that the circumstances Bundy finds himself in are relatively atypical. I more fully discuss these circumstances below.
The outcome of this case turns not on the first, second, fourth, or fifth Bauman factors, but on the third: whether the district court clearly erred in denying Klayman's pro hac vice application. In assessing this factor, I maintain a keen awareness of the deference we give to the district court. We grant mandamus petitions only sparingly, as writs of mandamus are an "extraordinary or drastic remedy." Calderon v. U.S. Dist. Court for Cent. Dist. of California, 163 F.3d 530, 534 (9th Cir. 1998) (en banc) (internal quotation marks omitted), abrogated on other grounds by Woodford v. Garceau, 538 U.S. 202, 123 S.Ct. 1398, 155 L.Ed.2d 363 (2003). The task of looking for clear error is a manifestation of this deference: "clear error" requires a more significant mistake than "mere error." In addition, a district court's decision to accept or deny a pro hac vice application is itself reviewed only for abuse of discretion. United States v. Walters, 309 F.3d 589, 591 (9th Cir. 2002). We do not find an abuse of discretion unless the district court committed legal error, or made a factual determination that was illogical, implausible, or without support in inferences that may be drawn from the record. United States v. Hinkson, 585 F.3d 1247, 1263 (9th Cir. 2009) (en banc).
We face then a dose of double deference: we review the district court order under the abuse of discretion standard; and we grant mandamus relief in only exceptional circumstances, looking for evidence of clear error. See In re United States, 791 F.3d at 955. There are also pragmatic reasons for deferring to a district court decision denying pro hac vice admission. After all, it is the district court judge, not an appellate panel, that is on the front lines in the courtroom, dealing closely with lawyers and having to do so in a way that ensures the orderly administration of justice.
Yet, even in this highly deferential setting, there are limits on trial court discretion, and there are times when we should act.
An overriding consideration, in my view, is that a little over three months from now,
The trial promises to be especially long and complex. The Superseding Indictment alleges that Bundy led "hundreds of people" in "a massive armed assault."
In addition to its size and complexity, the trial effort against Bundy and his cohorts is unusual in that Bundy's political views, hostile to the United States federal government, will likely be center-stage. The allegations in the indictment portray Bundy as being strongly opposed to the federal government and as considering himself involved in a "range war" with federal officials. The Government alleges that Bundy and his Followers communicated with members of anti-government militias, recruiting them to Bundy's cause. Bundy also allegedly made statements referring to the government's seizure as "abuse," and to government agents as "thieves," among other similar refrains. While Bundy's trial and any potential conviction will not, and must not, be based on politics, it is likely that the evidence at trial will put his controversial political views in the courtroom with him.
The unique circumstances surrounding Bundy's prosecution bring with them a likelihood of constitutional problems. Like any defendant, Bundy's Sixth Amendment "right to the counsel of his choice includes the right to have an out-of-state lawyer admitted pro hac vice." Walters, 309 F.3d at 592 (quotations omitted). While that right is not absolute, it may only be abridged to serve a "compelling purpose." Id. (quotations omitted). We have not specified the factors that a district court must consider in determining what satisfies a compelling purpose for pro hac vice denial. In re United States, 791 F.3d at 957. However, case law on pro hac vice admission indicates that we should evaluate the district court's exercise of discretion in part based on the particular needs of the party seeking representation.
Looking to Bundy's needs and circumstances, both the complexity of the proceeding against him and his controversial political views raise concerns about his ability to retain competent counsel in a timely fashion. With so many defendants, documents, and potential witnesses in the case, only a fraction of the bar nationwide — let alone in Nevada — has the experience and resources necessary to give Bundy a vigorous defense. Out of that fraction of qualified practitioners, there is likely an even smaller proportion that would accept Bundy's representation. Bundy's anti-government views and high-profile status among those who oppose federal hegemony make the prospect of representing him daunting for many seasoned defense attorneys. It is unsurprising, then, that not only has Bundy sought out-of-state counsel, but that he has found himself retaining an attorney with a controversial reputation of his own. It may be the case here that a controversial advocate is the best chance at a competent defense for a controversial defendant.
This point is made stark by the fact that since Klayman's initial pro hac vice denial on March 31, 2016, Bundy seems to have failed to find suitable replacement trial counsel. This is so despite Bundy's impending trial date and Klayman's second pro hac vice denial. Instead, Bundy is currently represented before the district court by his local counsel, Nevada attorney Joel Hansen, who is by Hansen's own admission unable to provide Bundy with an adequate defense. Hansen is part of a small Nevada firm lacking the resources to try this massive case. Moreover, Hansen has attempted to withdraw from Bundy's defense on the ground that he suffers from a spine and neck injury. According to the Government's representations at oral argument before us, Hansen's motion has been granted on the condition that Hansen find replacement counsel. Shortly prior to argument, Nevada attorney Bret O. Whipple filed a notice of appearance on Bundy's behalf, but only for the limited purpose of filing certain pretrial motions. Government counsel stated at argument that Whipple was currently in negotiations with Bundy over his representation. After our oral argument on the mandamus petition, the Government advised us that Whipple entered another appearance on behalf of Bundy, this time "for the purpose of full representation throughout the duration of the trial." But Klayman responded that despite this new language from Whipple, Bundy is still considering whether to hire
Klayman appears ready and qualified to represent Bundy at trial. He is a former federal prosecutor with experience litigating high-profile cases. He has worked, in part during his time at Judicial Watch, in bringing lawsuits over significant public policies. See, e.g., Klayman v. Obama, 957 F.Supp.2d 1 (D.D.C. 2013) (challenge to government telephone metadata collection), vacated and remanded, 800 F.3d 559 (D.C. Cir. 2015). He has almost 40 years of legal experience and is a member in good standing of both the Florida and Washington, D.C. Bars. Though not currently admitted before the district court, Klayman has been in contact with Bundy about this case since around the time of Bundy's indictment. Klayman presumably faces a much shorter learning curve than other potential counsel, including, for example, Whipple.
Given Klayman's present familiarity with this case and the difficulties Bundy likely faces in retaining other capable counsel, denying Klayman admission raises troubling concerns about the fairness of Bundy's coming trial. The right to counsel clause of the Sixth Amendment "was designed to assure fairness in the adversary criminal process." Wheat v. United States, 486 U.S. 153, 158, 108 S.Ct. 1692, 100 L.Ed.2d 140 (1988). In the typical choice of counsel case, concerns about fairness are present, but they do not predominate, because missing out on the defendant's preferred lawyer does not mean missing out on qualified counsel altogether; the normal assumption is that the defendant will be able to retain some other qualified attorney. See id. at 159, 108 S.Ct. 1692. But because of Bundy's practical and predictable problems finding capable representation in the time remaining before trial, the denial of his chosen counsel risks leaving him without fully qualified counsel. The powerful concerns about fundamental fairness that animated landmark right-to-counsel (not merely choice-of-counsel) cases like Powell v. Alabama, 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158 (1932), and Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963), carry particular weight here. If Klayman's denial of admission results in Bundy going to trial without capable representation, there will be doubts about the fairness of the proceeding. This risk of fundamental unfairness supports concluding that the district court acted outside the range of its permissible discretion.
I recognize that the ethical concerns of the majority and the district court, particularly their concern whether Klayman has been candid and forthcoming in his representations seeking pro hac vice admission, have some weight. Klayman properly disclosed the ongoing disciplinary proceeding in his initial application for pro hac vice admission, saying that the proceeding had not yet been resolved. This disclosure was accurate. But then, after the district court discovered his Petition for Negotiated Disposition, he may have come near the line of lack of candor in explaining it away. He stated that the disposition never went into effect because he "later thought the better of having signed the affidavit ... since he feels strongly that he acted ethically at all times." Yet, what had happened was a D.C. Board on Professional Responsibility Hearing Committee had rejected the disposition as too lenient for the bar's tastes.
The other concerns raised by the district court in its briefing in this court and its two orders denying Klayman admission, in my view, carry less weight. First, the allegations underlying the D.C. proceeding are unproven, and we cannot know what their resolution will be. The district court held this uncertainty against Klayman, stating in its two orders denying his admission that Klayman would need to show that the proceeding was resolved in his favor before the court would admit him. This approach is contrary to the our legal tradition's instinct to presume innocence until finding guilt. Of course, the D.C. proceeding involves attorney discipline and not criminal prosecution, but fundamental principles still have weight — at least in terms of evaluating the district court's exercise of discretion. At this time, Klayman is still a member of the D.C. Bar, and has not been disciplined by its Board on Professional Responsibility. Moreover, Klayman has submitted a letter from Professor Ronald Rotunda, an expert on legal ethics, expressing the opinion that Klayman's actions at issue were ethical. This is all the more reason not uncritically to credit unproven bar allegations.
The district court and the majority also point to the two instances of federal judges banning Klayman from their courtrooms. While serious punishments, these orders were issued 22 and 18 years ago. Two decades — half of Klayman's career — is enough time for the incidents to be relatively poor predictors of Klayman's likely behavior today. The district court, as well as the New York state court that denied Klayman pro hac vice admission, noted that other judges, even recently, have in their written orders expressed irritation or disapproval of Klayman's actions. It may be that Klayman is not an attorney whom all district court judges would favor making
I do not dismiss lightly the district court's ethical concerns regarding Klayman, especially the issue of candor. The district court had good grounds to be worried about Klayman appearing before it. But the need to provide a vigorous defense for Bundy is a superordinate concern. Bundy faces a very complex trial on serious criminal charges and a potential lack of qualified representation. If convicted, he may spend the rest of his life in prison. We cannot evaluate ethical concerns without considering this context. The district court did not fully consider this bigger picture, and did not ensure that Bundy's need for a vigorous defense was given due weight. In my view, these circumstances should be controlling in our assessment of whether the district court's decision to deny Klayman pro hac vice admission was an abuse of discretion and clear error.
I also do not suggest that district courts generally must blink over ethical concerns. At least two other circuits have held that the only thing a district court may consider in pro hac vice admission is whether the out-of-state attorney is guilty of conduct so unethical as to justify disbarment. See In re Evans, 524 F.2d 1004, 1007 (5th Cir. 1975); Schlumberger Techs., Inc. v. Wiley, 113 F.3d 1553, 1561 (11th Cir. 1997). Our circuit, by contrast, permits denial of pro hac vice admission based on a broader standard — one that grants district courts leeway to consider the facts pertinent to the particular case. See In re United States, 791 F.3d at 956 ("We need not announce specific factors that should inform a district court's exercise of its discretion to deny pro hac vice admission."). In holding the view that the district court abused its discretion and clearly erred here, I need not suggest that our circuit's law should be disregarded and should conform with that of the Fifth and Eleventh Circuits. I can agree with the principle reaffirmed in In re United States that in appropriate cases, ethical concerns not meriting disbarment may be sufficient to justify pro hac vice denial. 791 F.3d at 956. But the matter before us is not such an appropriate case. Concerns about Bundy receiving a proper defense to ensure a fair criminal trial in my view should be considered controlling by our panel.
I also emphasize that district courts have available to them many tools short of denying admission that allow them to keep unruly lawyers in check. Through the power of sanctions, and in extreme cases even contempt proceedings, district courts can expect to be able to control a lawyer who is considered by the court to be recalcitrant, tricky, or deceptive, subject to the normal legal standards governing sanctions. At oral argument, Klayman advised us that he would follow all orders issued by the district court regarding the orderly administration of justice, and that he would abide by any other orders of the district court. I accept his representation and expect that if he were admitted and then deviated from it, the district court would be well-equipped through its sanction power to take corrective action.
To give a metaphorical example, we would not need a finely-tuned judicial scale to determine that a district court abused its discretion if it found that a mouse outweighed an elephant. That would be an abuse of discretion, and clear error. And here, even if the purported ethical flaws marshaled by the majority and the district court are beyond "mouse" proportions, they are still relatively small in this special context, where the elephant is Bundy's general entitlement to the counsel of his choice and to a vigorous defense at trial. In my view, concerns about whether at this stage Bundy will have adequate and vigorous representation, absent Klayman, out-weigh the ethical concerns that have been expressed by the district court and the majority.
I respectfully dissent.
If Bundy thinks he cannot be prepared for his February 2017 trial, he may ask the court to delay the trial. See 18 U.S.C. § 3161(h)(8)(B)(iv).