spevack klein argued november decided january proceeding discipline petitioner member new york bar professional misconduct failure produce demanded financial records refusal testify judicial inquiry petitioner defended ground production records testimony tend incriminate appellate division new york ordered disbarred holding privilege available light cohen hurley new york appeals affirmed authority cohen hurley ground fifth amendment privilege apply demand oral testimony records required appellate division kept attorney held judgment reversed pp reversed justice douglas joined chief justice justice black justice brennan concluded clause fifth amendment absorbed fourteenth extends protection lawyers watered imposing dishonor disbarment deprivation livelihood penalty asserting cohen hurley supra overruled pp since petitioner disbarred theory privilege applicable demanded records invocation privilege lead disbarment disbarment affirmed ground privilege applicable thereto first place deny opportunity show records demanded outside scope rule requiring attorneys keep records relating contingent fee cases records demanded public aspects pp cohen hurley overruled petitioner disbarred asserting privilege pp right lawyer employee state remain silent distinguished public employee asked questions employer directly relating performance official duties stated justice douglas opinion issue validity scope required records doctrine appropriately presented solomon klein respondent pro se argued cause filed brief briefs amici curiae urging reversal filed israel steingold american trial lawyers association herman gerringer new york state association trial lawyers ralph shapiro new york city chapter national lawyers guild emanuel redfield new york civil liberties union john bonomi filed brief association bar city new york amicus curiae urging affirmance justice douglas announced judgment delivered opinion chief justice justice black justice brennan concur proceeding discipline petitioner member new york bar professional misconduct various charges made one survived refusal petitioner honor subpoena duces tecum served refused produce demanded financial records refused testify judicial inquiry petitioner sole defense production records testimony tend incriminate appellate division new york ordered petitioner disbarred holding constitutional privilege available light decision cohen hurley see app div appeals affirmed case certiorari granted determine whether cohen hurley supra survived malloy hogan cohen hurley decision rendered practically fours present case attorney relying privilege refused testify disbarred majority allowed new york construe privilege make available judicial inquiries character went hold clause fifth amendment applicable reason fourteenth minority took view full sweep fifth amendment absorbed fourteenth extended protection lawyers well persons another decision held clause fifth amendment applicable reason fourteenth malloy hogan cohen hurley overruled majority indicated principle rested seriously eroded one minority view espoused justice harlan justice clark stated cohen hurley flatly decided clause fifth amendment applicable urged followed others dissent justice white justice stewart thought facts case privilege properly invoked state trial judge sustained ruling answers tend incriminate appellate division distinguished malloy hogan ground petitioner member bar app div appeals rested squarely cohen hurley one two grounds affirmance question emerges whether principle malloy hogan inapplicable petitioner member bar conclude cohen hurley overruled clause fifth amendment absorbed fourteenth extends protection lawyers well individuals watered imposing dishonor disbarment deprivation livelihood price asserting views expounded dissents cohen hurley need elaborated said malloy hogan fourteenth amendment secures state invasion privilege fifth amendment guarantees federal infringement right person remain silent unless chooses speak unfettered exercise suffer penalty silence may obnoxious thing mildest least repulsive form illegitimate unconstitutional practices get first footing way namely silent approaches slight deviations legal modes procedure obviated adhering rule constitutional provisions security person property liberally construed close literal construction deprives half efficacy leads gradual depreciation right consisted sound substance duty courts watchful constitutional rights citizen stealthy encroachments thereon appeals alternately affirmed judgment disbarring petitioner ground shapiro required records doctrine duty produce withheld records appeals elaborate point appellate division advert time question rule governing matter entitled preservation records actions claims proceedings provided cases involving contingent fee compensation attorneys parties shall preserve pleadings records papers pertaining action claim proceeding also data memoranda disposition thereof period least five years settlement satisfaction action claim proceeding judgment final order thereon dismissal discontinuance action proceeding brought documents sought subpoena petitioner daybook cash receipts book cash disbursements book checkbook stubs petty cashbook vouchers general ledger journal canceled checks bank statements passbooks evidences accounts record loans made payroll records state federal tax returns worksheets relative thereto shapiro case dealt federal price control regulation requiring merchants keep sales records called records public aspects distinguished private papers concluded divided vote compelled production violate fifth amendment asked overrule shapiro find unnecessary reach rule requiring keeping records broad general pleadings records papers pertaining action claim proceeding also data memoranda disposition thereof detailed financial aspects litigation demanded might possibly broad generous construction rule brought within intendment problem however different neither referee inquiry counsel inquiry appellate division new york questioned applicability privilege records proceeded basis petitioner invoke privilege respect records price might pay disbarment appeals first suggest privilege applicable records petitioner however disbarred theory privilege applicable records invocation privilege lead disbarment disbarment affirmed ground privilege applicable first place cole arkansas procedure deny opportunity trial show rule fairly construed understood given broad sweep make record documents demanded subpoena public aspects within required records rule private papers reversed footnotes kimm rosenberg much relied decision way accurately reflected hogan construction fifth amendment stop prior decisions vintage determine decided way right person remain silent unless chooses speak unfettered exercise suffer penalty silence declared malloy hogan supra italics added whether policeman invokes privilege conduct police officer questioned disciplinary proceedings may discharged refusing testify question reach rule special rules second appellate division rule subsequently amended renumbered special rule iv see civil practice annual new york counsel respondent conceded oral argument subpoena broader rule subpoena coextensive provisions order keeping financial records subpoena go beyond say judgment goes beyond room reasonable argument items called subpoena might perhaps argued come within required records talking mind relating us tell us cash disbursements say come records exclude coming within statute federal state tax returns example worksheets worksheets mean item item copies federal state tax returns accountants worksheets include outside rules yes demand records beyond records required keep new york appeals speaking state new york says required records suppose produced records required required keep might well constitute waiver records records held come within required records doctrine privilege privilege sure sure say common understanding produces records relating given subject matter waiver privilege balance records relating subject matter wrong agree argument made disagree reason doctrine shapiro fifth amendment privilege records required kept fifth amendment privilege records required keep also refusal give oral testimony mr agree cohen hurley overruled distinguish lawyer right remain silent public employee asked questions specifically directly narrowly relating performance official duties distinguished beliefs matters within scope specific duties undertook faithfully perform part employment state never held example policeman may discharged refusal disciplinary proceedings testify conduct police officer quite different matter state seeks use testimony given lash subsequent criminal proceeding garrity new jersey ante lawyer employee state responsibility employee account state actions perform agent state responsibility state obey laws rules conduct generally laid part licensing procedures special responsibilities assumes licensee state officer carry diminution however limited fifth amendment rights accordingly agree spevack disbarred asserting privilege case presented question whether lawyer might disbarred refusal keep produce upon properly authorized particularized demand records lawyer lawfully properly required keep state proper part functions relation licensor high calling feel compelled vote affirm although prepared appropriate case scope principle announced shapiro prepared indicate doubt essential validity shapiro however agree required records issue appropriately presented reasons stated brother douglas basis join judgment justice harlan justice clark justice stewart join dissenting decision made name constitution permits lawyer suspected professional misconduct thwart direct official inquiry without fear disciplinary action done today disheartening frustrating courts bar associations throughout country efforts maintain high standards bar exposes possible indignity may one day admit bar lawyer unless somehow get truth suspicions investigation applicant previously succeeded blocking perceive distinction admission disbarment rationale held decision might even lend color support justifying appointment bench lawyer like petitioner prevents full inquiry professional behavior still pervasively decision hardly fail encourage oncoming generations lawyers think calling imposing higher standards behavior might acceptable general soundness constitutional doctrine carrying denigrating import profession surely suspect face six years ago majority cohen hurley set face doctrine prevails bringing bear support holding among things constitutional proposition fourteenth amendment make applicable fifth amendment three years later another majority malloy hogan decided make fifth amendment applicable cast doubt continuing vitality cohen hurley question whether malloy requires overruling cohen entirety reasons follow think clear first emphasized issue plainly whether lawyers may enjoy citizenship issue whether lawyers may deprived federal privilege whether criminal prosecution undertaken diversionary questions course presented even remotely suggested case either courts new york plurality opinion vivid rhetoric thus serves obscure issues actually confronted hinder serious consideration true question instead proper scope effect privilege fourteenth amendment state disciplinary proceedings attorneys particular required determine whether petitioner disbarment failure provide information relevant charges misconduct carrying law practice impermissibly vitiated protection afforded privilege important question warrants complete discriminating analysis given plurality opinion reiterated last term constitutional privilege never given full scope values helps protect suggest schmerber california constitution contains formulae calculate areas within full scope privilege extend therefore obliged fashion standards application privilege federal cases stemming fifth amendment claims chiefly derived standards consideration two factors history purposes privilege character urgency public interests involved see orloff willoughby davis shapiro malloy hogan supra suggests federal standards imposed fifth amendment extended fourteenth amendment see also griffin california follow factors must less relevant cases centering fourteenth amendment claims event construction consistently given fourteenth amendment require consideration bates city little rock therefore first turn factors assess validity fourteenth amendment petitioner disbarment claimed purposes served new york rules issue compendiously aimed ambulance chasing attendant evils unimportant unrelated protection legitimate state interests often held broad authority devise requirements admission standards practice wish enter professions hawker new york dent west virginia barsky board regents may demand qualifications rational connection applicant fitness capacity schware board bar examiners may exclude applicant fails satisfy particular state may require evidence good character may place onus production upon applicant konigsberg state bar california finally state may without constitutional objection require fashion continuing evidence professional moral fitness condition retention right practice cohen hurley way questioned today decision one prerequisite continued practice new york appellate division second department new york determined attorneys must actively assist courts appropriate professional groups prevention detection unethical legal activities second department demands attorneys maintain various records file statements retainer certain kinds cases upon request provide information relevant use attorneys contingent fee arrangements cases rules intended protect public abuses revealed lengthy series investigations malpractices geographical area represented second department said conditions arbitrary unreasonable unrelated attorney continued fitness practice english courts since edward endeavored regulate qualification practice lawyers always hope might better assure integrity evenhandedness administration justice similar efforts made since century efforts protected systems justice countries abuse directly contributed public confidence systems efforts give appropriate recognition principle accepted england lawyers officers perform fundamental role administration justice rules issue form spirit continuation efforts accordingly reasonably calculated serve enduring interests citizens new york without denying urgency significance public purposes served rules plurality opinion seemingly concluded may enforced consequence claim privilege renders claim costly instrument compulsion impermissibly infringes protection offered privilege apart brief obiter dicta recent opinions broad proposition entirely without support construction hitherto given privilege directly inconsistent series cases indicated principles properly applicable held federal government forbidden permit consequences result claim privilege instead recognized consequences may vary widely kind intensity differences warrant individual examination hazard offered essential purposes privilege public interests protected consequence process far better calculated broad prohibition embraced plurality serve purposes privilege important public values often stake cases assure integrity privilege yet guarantee generous opportunities pursuit public values selecting rule standard appropriate hazards characteristics consequence one rule already plainly approved seems clear rule applicable situation us repeatedly recognized permissible deny status authority claimant privilege claim prevented full assessment qualifications status authority rule applicant may decline disclose information necessary demonstrate fitness yet demand receive benefits status may interjection privilege either diminish obligation establish qualifications escape consequences exacted state failure satisfy obligation rule established orloff willoughby held doctor refused claim privilege divulge whether communist entitled right receive commission army officer although apparently satisfied every prerequisite commission expressly noted one believes punished asserting privilege said hesitation holding petitioner nonetheless rely privilege deny relevant information commissioning authorities demand appointed position honor trust concluded doubt president certifying confidence officer appointing commissioned rank right learn whatever facts president thinks may affect fitness ibid analogous problems involved kimm rosenberg held alien whose deportation ordered ineligible discretionary order permitting voluntary departure alien held ineligible failed establish affiliated communist party refused answer questions membership party grounds answers might incriminate petitioner prevent application sanction imposed result silence interposing privilege basis silence principles also employed hold failure incriminate one self result denial removal one case state federal maryland soper fourth circuit hold bankrupt failure disclose disposition property although disclosure might incriminate requires denial discharge bankruptcy kaufman hurwitz applied similar principles series cases involving claims fourteenth amendment cases antedate malloy hogan thus presumably subject federal standards today standards included principles orloff willoughby malloy hogan therefore alone require different result fulcrum cases slochower board education appellant associate professor brooklyn college invoked fifth amendment privilege investigating committee senate subsequently discharged position college reason occurrence held removal denial due process demanded fourteenth amendment reasons apparently two first board attached sinister meaning form imputation guilt slochower invocation privilege second board engaged bona fide effort elicit information relevant assess qualifications employees state authorities possessed pertinent information years event questions put slochower committee wholly unrelated university functions elements holding slochower subsequently carefully considered several occasions see beilan board education lerner casey nelson los angeles county cases read slochower make plain long state authorities derive imputation guilt claim privilege may course bona fide assessment employee fitness public employment require employee disclose information reasonably related fitness may order discharge declines identical principles applied applicants admission bar refused produce information pertinent professional moral qualifications konigsberg state bar california anastaplo sum cases adopted principles fourteenth amendment plainly congruent applied orloff willoughby supra federal cases fifth amendment claims petitioner contend plurality opinion suggest state courts derived inference guilt petitioner claim privilege state courts expressly disclaimed inferences app div suggested proceedings petitioner effort good faith assess qualifications continued practice new york information sought petitioner reasonably relevant qualifications therefore follow construction consistently given privilege fifth amendment due process clause fourteenth amendment petitioner disbarment constitutionally permissible plurality opinion pause either acknowledge previous handling issues explain privilege must supposed forbid consequences may result privileged silence scarcely surprising plurality opinion create novel entirely unnecessary extension privilege exceed needs privilege purpose seriously inhibit protection public interests petitioner denied privilege penalized use denied authority practice law within state new york reason failure satisfy valid obligations imposed state condition authority hazard process integrity privilege possibility might induce involuntary disclosures incriminating materials sanction precisely calculated eliminate hazard exclude use prosecuting authorities materials fruits upon proof involuntariness consistently forbidden use since brown mississippi brother white emphasized plurality intensified protection still broad prohibitory rule announced today garrity new jersey ante true occasion gone step forbidden practices likely produce involuntary disclosures cases readily distinguishable uniformly involved either situations entire process thought present excessive risks coercion foreign accusatorial system miranda arizona situations possible purpose practice thought penalize accused use constitutional privilege griffin california situations plainly remote issue none reasons thought require prohibitions established cases relevance situation us nothing new york efforts good faith assure integrity judicial system destroys inhibits even minimizes petitioner constitutional privilege therefore need speculate whether lawyers profession occupation waived unspecified fashion measure protection afforded constitutional privilege suffices state earnestly concerned urgent public interest selected methods pursuit interest prevent attainment privilege purposes think manifest required neither logic privilege previous authority invalidate state rules thus overturn disbarment petitioner today application privilege serves hamper appropriate protection fundamental public values view conclusions find unnecessary reach alternative basis appeals decision required records doctrine see shapiro affirm judgment disbarment claim made either state courts underlying facts representing petitioner alleged conduct entitle claim privilege therefore deal case premise claim privilege properly asserted history efforts outlined cohen history english bar attornatus et holdsworth history english law et seq et seq efforts traced warren history american bar passim evidences principle may found opinions see ex parte bradley wall powell alabama gideon wainwright noted principle license status may denied one refuses shelter constitutional privilege disclose information pertinent status privilege adopted variety situations statute see justice white dissenting garrity new jersey apparently holds every imaginable circumstance threat discharge issued one public officer another impermissible compulsion sufficient render subsequent answers questions inadmissible criminal proceeding agree cases proper result circumstances confrontations infinite variety rather inflexible per se rule matter decided facts particular case situation us agree brother harlan findings two courts overturned however may garrity books compounds error spevack klein petitioner case refused testify produce records incriminated way whatsoever nevertheless holds may disbarred refusal rule seem justifiable ground essential measure protect prevent may well successful attempt elicit incriminating admissions garrity excludes statements fruits criminal proceeding therefore frustrates advance effort compel admissions used obtain criminal conviction therefore see little legal practical basis terms privilege protected fifth amendment preventing discharge public employee disbarment lawyer refuses talk performance public murphy waterfront held state witness may compelled give testimony may incriminating federal law unless compelled testimony fruits used manner federal officials connection criminal prosecution implement holding ruled federal government constitutionally prohibited making use compelled testimony fruits holding based desirability accommodating interests state federal government investigating prosecuting crime similar accommodation made although multiple interests involved state alone majority deny state citizens legitimate interest ridding faithless officers admittedly however attempting determine present qualifications employee consultation employee state may ask information given result discharge useful evidence criminal proceeding garrity view protects latter possibility consequently see reason refusing permit state pursue valid interest discharge employee refuses cooperate state effort determine qualifications continued employment view spevack properly disbarred due respect therefore dissent opinion applies also garrity new jersey ante fn opinion brother douglas professes resolve whether policemen may discharged refusing cooperate investigation alleged misconduct however reasoning used reach result case lawyers seemingly apply equal persuasiveness case public employees