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National Center for Prosecution Ethics
National District Attorneys Association
Education Division: National College of District Attorneys
1600 Hampton Street, Suite 414
Columbia, South Carolina 29208
(803) 705-5005
FAX: (803) 705-5301
Email: ethics@law.law.sc.edu |
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The following is a topical listing of attorney disciplinary
opinions, involving or related to disciplinary or ethical
issues of interest to prosecutors, found through research
of opinions issued in each of the fifty states.
Before relying upon or citing to any of the opinions cited
herein, persons should check the rules of the state in which
the opinion was issued to see if citation is allowed and
if the opinion is still valid for a point of law.
This Index does not yet include opinions from all states
or necessarily all opinions in any state. It is a work in
progress, with opinions added on a regular basis by Center
staff. Please notify the Center if an error is discovered
or if you are aware of additional topic headings or disciplinary
opinions that should be included.
ADVICE BY PROSECUTOR, GIVING OF
ADVOCACY (See also Conduct in Trial)
-
In Matter of Peasley, 208
Ariz. 27, 90 P.3d 764 (2004). Prosecutor disbarred for
intentionally presenting perjured testimony through police
detective to establish critical fact in two separate capital
murder trials. Substantial experience, dishonest motive
and repeated misconduct were all aggravating factors.
-
In re Zawada, 208 Ariz. 232,
92 P.3d 862 (2004). Prosecuting attorney suspended for
improper cross-examination of defendant’s expert
in mental defense case. Prosecutor also committed violation
in closing argument by attempting to cause jury to convict
based on fear of future crimes by defendant. Lengthy experience
as prosecutor found to be aggravating factor because prosecutor
knew actions were improper and violations were intentional.
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In re Roose, 69 P.3d 43 (Colo.
2003). Attorney disciplined for walking out of courtroom
during course of trial. Court had specifically ordered
attorney to stay in courtroom.
-
People v. Janiszewski, 901
P.2d 476 (Colo. 1995). Attorney disciplined for asking
questions in jury trial which specifically called for
information ruled to be inadmissible in pretrial hearing.
Attorney also mentioned that evidence in closing argument.
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Disciplinary Counsel v. Armengau,
99 Ohio St. 3d 55, 788 N.E.2d 1068 (2003). Criminal defense
attorney publicly reprimanded for conducting cross examination
of State’s witness in one case using his own personal
experiences and asking questions which had no basis in
fact and, in second case, asking questions disallowed
by trial court’s ruling regarding scope of examination
of informant.
ATTORNEY-CLIENT PRIVILEGE
CAMPAIGNS/CAMPAIGNING
(See also Endorsements/Recommendations
and Relationship and Interaction with Judges)
-
Dowling v. Alabama State Bar,
539 So.2d 149 (Ala. 1988). Attorney cannot use campaign
materials that are misleading. “Judge Brian Dowling
for District Judge” implied that candidate was judge
when was not.
-
In Re Kinsey, 842 So.2d 77
(Fla. 2003). Former prosecutor/judicial candidate’s
platform stressing allegiance to police officers and pledging
to help police by putting criminals where they belong
(“behind bars”) and to “bend over backwards”
to protect victims violated canon of ethics prohibiting
candidate from making statements that commits candidate
with respect to cases likely to come before court.
-
In re Lidov, 129 Ill. 2d
424, 544 N.E.2d 294 (1989). Attorney suspended for making
personal loan to judge seeking election to Supreme Court
when attorney had case pending before judge and loan made
in cash to judge rather than campaign committee.
-
In re Lane, 127 Ill. 2d 90,
535 N.E.2d 866 (1982). Attorney suspended for one year
for personally loaning judge $2,500 to assist judge in
paying campaign expenses, rather than giving money to
campaign fund.
-
In matter of McNally, 901
P.2d 415 (Alaska 1995). Attorney disciplined for failure
to appear on calendar call for two separate criminal cases.
-
In Matter of Conduct of McNabb, 395
P.2d 847 (Alaska 1964). Attorney disciplined for failure
to appear at pretrial conferences in five different cases.
-
Matter of Offenhartz, 173
Ariz. 382, 843 P.2d 1274 (1992). Defense counsel suspended
for ineffective representation, i.e., representation that
was so deficient that was likely different result would
have been obtained by competent counsel.
-
People v. Smith, 74 P.3d
566 (Colo. O.P.D.J. 2003). Attorney disciplined for failure
to adequately supervise non-lawyer staff person who neglected
client’s matter.
-
People v. Bonner, 927 P.2d
836 (Colo. 1996). Defense counsel in criminal case disciplined
for not reviewing police reports, preliminary hearing
transcript or anything else after being retained by defendant.
When court became aware of same, it informed defendant
and allowed him to hire new counsel. Complaint with disciplinary
authority was filed.
-
In re Guy, 756 A.2d 875 (Del.
Supr. 2000). Defense attorney disciplined for failure
to interview known potential defense witnesses, failure
to properly inform defendant of possible consequences
of rejection of plea offer, failure to attend first scheduled
sentencing appearance, and failure to file appeal in timely
manner.
-
Matter of Atkins, 253 Ga.
319, 320 S.E.2d 146 (1984). Defense counsel in capital
murder case disbarred for failure to familiarize himself
with even most basic trial procedures. Counsel was unaware
before commencement of trial that there were two phases
to capital case, presented no mitigation witnesses, and
made closing argument in punishment phase that consisted
of four sentences.
-
Office of Disciplinary Counsel
v. Breiner, 89 Haw. 167, 969 P.2d 1285 (1999). Six
month suspension warranted due to attorney’s behavior
in single trial (consisting of argument during opening
statements, argumentative and disrespectful cross-examination,
and improper comments in presence of jury on two occasions)
which resulted in attorney being convicted of four counts
of criminal contempt of court by trial judge, prolonged
trial itself, and required prosecution and defendant’s
subsequent counsel to expend considerable time on appeal
addressing effect of attorney behavior before trial court.
-
Matter of Price, 238 Kan.
426, 709 P.2d 986 (1985). County Attorney disciplined
for repeated failure to abide by discovery orders issued
by court and repeated misrepresentations to judge and
defense counsel. In second matter, Respondent failed to
represent State’s interest as appellee in appeal
from conviction of forgery due to his failure to file
brief and, on day before oral argument was scheduled in
Court of Appeals, calling defense counsel and offering
to confess error, resulting in reversal and order for
new trial.
-
State ex rel. Nebraska State Bar
Ass'n v. Holscher, 193 Neb. 729, 230 N.W.2d 75 (1975).
County Attorney disciplined for prematurely filing claims
for services rendered in connection with foreclosing tax
sale certificates and for failing to familiarize himself
with law and procedures concerning foreclosing tax sale
certificates.
-
In re Colton Fontan, 28 P.R.
Offic. Trans. 1 (Feb 21, 1991). Group of prosecutors received
varying degrees of discipline for reckless and gross negligence
in investigation of killing by police officers of two
criminals who had participated in various acts of terrorism.
-
Lawyer Disciplinary Bd. v. Turgeon,
210 W.Va. 181, 557 S.E.2d 235 (2000). Attorney disciplined
for incompetent representation of client in murder case
and in separate narcotics prosecution.
-
In re Disciplinary Proceedings
Against Dumke, 248 Wis. 2d 704, 635 N.W.2d 594 (2001).
Attorney disciplined for failure to provide competent
representation in sexually violent predator proceeding.
-
Matter of Disciplinary Proceedings
Against Lindberg, 173 Wis. 2d 588, 494 N.W.2d 421
(1993). Prosecutor disciplined for failure to file journal
entries in numerous cases and for failure to make good
faith effort to locate victim of crime for preliminary
hearing.
CONDUCT IN TRIAL (See also Advocacy)
-
In re Roose, 69 P.3d 43 (Colo.
2003). Attorney disciplined for walking out of courtroom
during course of trial. Court had specifically ordered
attorney to stay in courtroom.
-
Matter of Ramunno, 625 A.2d
248 (Del. 1993). Attorney disciplined for referring to
opposing counsel in “crude, but graphic, anal term”
heard only by court. Court found attorney in contempt
and fined him $150.00. Attorney appeared in same court
following day and asked court to recuse itself, arguing
that judge might be mad at him from previous day. When
court assured counsel that he did not get mad, counsel
responded with, “You get even. Is that what you
are saying?” Court again found counsel in contempt
and fined him again. Ethics complaint followed, and Supreme
Court held that Ramunno’s conduct constituted unprofessional
conduct warranting public censure
-
Matter of Belue, 232 Mont.
365, 766 P.2d 206 (1988). Attorney physically assaulted
another attorney while prosecuting case, attempted to
use information he obtained in his position as county
attorney to institute civil suit, and represented clients
in actions against county while holding position of county
attorney. Supreme Court held that actions constituted
ethical violations warranting three-month suspension and
public censure
-
Disciplinary Counsel v. Jackson,
84 Ohio St. 3d 346, 704 N.E.2d 246 (1999). Attorney disciplined
for yelling obscenity at opposing party and racial slur
at opposing party’s counsel.
-
Ramsey v. Board of Professional
Responsibility of Supreme Court, 771 S.W.2d 116 (Tenn.
1989). Prosecutor disciplined for leaving courtroom and
slamming door while judge was addressing jury and for
willful failure to answer direct questions from judge.
CONFLICTS OF INTEREST (See also Special Prosecutors)
a. In General
b. Dual Employment/Dual Representation
-
In re Miller, 677 N.E.2d 505
(Ind. 1997). Prosecutor publicly reprimanded for unlawfully
using prosecutorial authority to assist private litigant
to collect civil judgment and failing to comply with discovery
orders.
-
Iowa Supreme Court Bd. of Professional
Ethics and Conduct v. Tofflemire, 689 N.W.2d 83 (Iowa
2004). Attorney disciplined for working part-time as public
defender while working full-time state job and using sick
leave from full-time job to make court appearances for
public defender. Also submitted false expense reports
to public defender.
-
Kentucky Bar Ass'n v. Marcum,
830 S.W.2d 389 (Ky. 1992). Prosecutors publicly reprimanded
for accepting private employment in matters they had involvement
in as public employees.
-
Kentucky Bar Ass'n v. Lovelace,
778 S.W.2d 651, 653-654 (Ky. 1989). Attorney suspended
for accepting private employment in matter in which had
responsibility to prosecute and attempting to use promise
of probation in criminal case as leverage to obtain personal
contribution from defendant in civil case. Court also
took opportunity to address propriety of prosecutor’s
engagement in private practice. “By statute, county
attorneys and a majority of Commonwealth Attorneys are
entitled to maintain a private civil practice. While some
may believe such is unwise or contrary to the best interest
of the Commonwealth, nothing in our law or Code of Professional
Responsibility prohibits such practice. It is obvious,
however, that this creates a great potential for conflict
of interest as many criminal acts are subject also to
redress in civil actions. This is particularly true in
rural areas which are served by a small number of lawyers
engaged in the practice of law and in which the public
prosecutor is often one of the more prominent local practitioners.
When an attorney declares his intention to seek elective
office as a Commonwealth Attorney or a county attorney,
it should be with the certain knowledge that his civil
practice will be severely restricted upon assuming the
office and that the public office he holds will take precedence
over his private practice. A prosecutor must decline employment
in any civil action when there is any reasonable probability
that a criminal prosecution might arise from the circumstances
of the case. If, after accepting employment in a civil
matter, a criminal prosecution arises from the circumstances
of the case the prosecuting attorney must withdraw from
the civil proceeding and disqualify himself from handling
the prosecution. While the views expressed above do not
represent a change in the law, we note that in the past
such rules have frequently been observed with a great
degree of flexibility. In the future, however, violations
of the rules reiterated herein will not be tolerated.”
-
In re Toups, 773 So. 2d 709
(La. 2000). Prosecutor disciplined for not withdrawing
from representation of woman in divorce case when she
filed criminal charges against her husband. Prosecutor’s
conduct also included failure to report misconduct of
another ADA who attempted to have husband’s case
continued indefinitely while representing both husband
and State.
-
In re Discipline of Attorney,
422 Mass. 660, 815 N.E.2d 1072 (2004). Attorney disciplined
for giving advice to unrepresented victim of domestic
violence case while representing perpetrator of violence.
Even though both parties wanted matter dismissed, court
found attorney’s conduct to be unethical.
-
Sanders v. Mississippi State Bar
Assn., 466 So. 2d 891 (Miss. 1985). Prosecuting attorney
may not accept employment in civil matter which involves
issues and parties that would likely become subject of
criminal proceedings in which he will have responsibility.
Public reprimand issued.
-
Matter of Belue, 232 Mont.
365, 766 P.2d 206 (1988). Attorney physically assaulted
another attorney while prosecuting case, attempted to
use information obtained in position as county attorney
to institute civil suit, and represented clients in actions
against county while holding position of county attorney.
Three month suspension and public censure issued.
-
In re Truder, 37 N.M. 69,
17 P.2d 951 (N.M. 1932). District Attorney disciplined
for representing State in criminal prosecution and victim
of crime in civil case against same defendant arising
out of same incident at same time.
-
Matter of McDonald, 174 A.D.2d
942, 571 N.Y.S.2d 357 (N.Y.A.D. 3 Dept. 1991). District
attorney censured for representing estates in contravention
of law stating full time district attorney could not otherwise
practice law.
-
In re Conduct of Lawrence,
337 Or, 450, 98 P.3d 366 (2004). Defense attorney disciplined
for advising victim of domestic violence when he represented
perpetrator of violence at same time.
-
In re Complaint of Snyder,
276 Or. 897, 559 P.2d 1273 (1976). Attorney disciplined
for continuing to work and receive fees as private attorney
after becoming District Attorney.
-
Office of Disciplinary Counsel
v. Raiford, 546 Pa. 628, 687 A.2d 1118 (1997). Defense
counsel disbarred for using person to impersonate one
client, have impersonator confess to crime, plead guilty
and be sentenced so that he could use that information
to obtain dismissal against second client charged in same
incident.
-
In Matter of Mike S. Jolly,
269 S.C. 668, 239 S.E.2d 490 (1977). Prosecuting attorney
disciplined for accepting fees in civil case arising out
of reckless homicide case he was prosecuting.
-
In re Bartlett, 47 S.D. 208,
197 N.W. 285 (1924). State’s Attorney publicly reprimanded
for using influence of his office to coerce settlement
in civil cases.
-
In re Wilmarth, 42 S.D. 76,
172 N.W. 921 (1919). State’s Attorney disciplined
for involvement in both criminal and civil cases arising
out of common nucleus of facts.
-
In re Disciplinary Proceeding Against
Michels, 150 Wash. 2d 159, 75 P.3d 950 (2003). Attorney
who served as part-time judge in one jurisdiction and
part-time public defender in another disciplined for presiding
over cases of clients he represented as public defender.
-
Lawyer Disciplinary Bd. v. Farber,
200 W. Va. 185, 488 S.E.2d 460 (1997). Attorney disciplined
for revealing confidential information of client in motion
to withdraw and for threatening same client.
-
In re Disciplinary Proceedings
Against Kremkoski, 277 Wis. 2d 83, 690 N.W.2d 430
(2004). Attorney disciplined for obtaining DV protective
order for one client and representing another charged
with violating same order.
-
In re Ockrassa, 165 Ariz.
576, 799 P.2d 1350 (1990). Prosecutor suspended for representing
State in case against former client. New charge was felony
DUI which required proof of previous DUI convictions,
and prosecutor had represented defendant on previous DUIs.
Defendant denied previous convictions. Defendant’s
new counsel had suggested that prosecutor withdraw, and
prosecutor had refused.
-
Disciplinary Counsel v. Klaas,
91 Ohio St. 3d 86, 742 N.E.2d 612 (2001). Attorney disciplined
for forwarding information that drug raid was about to
be conducted to former client. There is no indication
how attorney got information.
d. Relationships(Other than Former Clients)
-
In re Jett, 180 Ariz. 103,
882 P.2d 414 (1994). Judicial misconduct committed when
municipal court judge called and had her abusive boyfriend
arrested and then, acting in her judicial capacity, went
to detention facility and signed order for his release.
-
People ex rel. Colorado Bar Ass’n
v. ____, Attorney at Law, 90 Colo. 440, 442-443,
9 P.2d 611 (Colo. 1932). Part-time Deputy District Attorney
disciplined for submitting claim for reimbursement of
secretary’s full salary when he only paid half salary,
rest being paid by person with whom he shared office space.
Court also found the district attorney’s filing
of civil suits arising out of same facts for which he
was prosecuting defendant criminally to constitute misconduct.
“This anomalous conduct could not be made to square
with professional ethics by his later withdrawal from
the criminal cases. The merest novice in the profession
should know that civil liabilities may not be enforced
by threats of criminal prosecution any more than they
may be enforced by threats of physical violence, and that
any conduct which has the appearance of a resort to such
course is as bad, in law, as the thing itself. If B did
not use his public office to collect the claims of his
private clients, he put himself in the position of appearing
to do so and justified the charge. If a prosecutor in
this state has a private interest in a criminal case under
his jurisdiction, it is made the court's duty to appoint
another to act for him. In such a case he should not act
even by consent.”
-
People v. Anglim, 33 Colo.
40, 78 P. 687 (1904). District Attorney disbarred for
accepting money from saloon keepers and gamblers in return
for not prosecuting them, as well as demanding money from
victim in theft case to commence prosecution.
-
In re Sims 861 A.2d 1 (D.C.
2004). Attorney for driver’s license administrative
board disbarred for fixing tickets for family members
and friends. Conviction for misdemeanor arising out of
said conduct involved moral turpitude.
-
In re Petition for Review,
140 Idaho 800, 102 P.3d 1119 (2004). Prosecutor disciplined
for obtaining grand jury transcript without order of court
in case he was prosecuting and giving copy of that transcript
to third party engaged in civil litigation against same
defendant.
-
In re Lane, 127 Ill. 2d 90,
535 N.E.2d 866 (1982). Attorney suspended for one year
for personally loaning judge $2,500 to assist judge in
paying campaign expenses, rather than giving money to
campaign fund.
-
In re Disciplinary Action Against
Fridell, 557 N.W.2d 208 (Minn. 1997). Attorney holding
public office disciplined for having sexual relationship
with adult employee of that office; discipline, which
was stipulated to by attorney, consisted of public reprimand,
resignation of public office and payment of costs related
to disciplinary proceeding.
-
In re Disciplinary Action Against
Serstock, 432 N.W.2d 179 (Minn. 1988). Chief Deputy
City Attorney disciplined for dismissing or delaying traffic
ticket brought to him by people to whom he was indebted;
fact that would have done same thing for people not indebted
to him found not to be mitigating factor.
-
State ex rel. Nebraska State Bar
Ass'n v. Rhodes, 234 Neb. 799, 453 N.W.2d 73, 89-90
(1990). County Attorney disciplined for developing and
fostering relationship with person who was defendant in
criminal case as well as subject of several ongoing felony
investigations. Quoting from another opinion, the Court
reviewed the rationale for disqualification of prosecutors:
“Courts around the country recognize two policy
considerations underlying the disqualification of prosecuting
attorneys for a conflict of interest. The first policy
served by the rule is fairness to the accused. It is universally
recognized that a prosecutor's duty is to obtain justice,
not merely to convict.... The second policy served by
disqualification of a prosecuting attorney for conflict
of interest is the preservation of public confidence in
the impartiality and integrity of the criminal justice
system. American courts have consistently held that the
appearance of impropriety is sufficient to justify disqualification
of a prosecuting attorney.” (citations omitted.)
-
In re Ross, 276 A.D.2d 91,
716 N.Y.S.2d 42 (N.Y.A.D. 1 Dept. 2000). Prosecutor and
her attorney husband were both censured when, at husband’s
request, prosecutor tried to use position to undermine
traffic summons issued to husband.
-
In re Madden, 260 A.D. 932,
24 N.Y.S.2d 127 (N.Y.A.D. 2 Dept. 1940). District Attorney
disbarred for accepting bribes from defense counsel to
“go easy” on doctors who were performing illegal
abortions.
-
Matter of McNerthney, 95 Wash.
2d 38, 621 P.2d 731 (1980). Prosecutor learned search
warrant being issued to look for drugs at house of acquaintance
who prosecutor had previously talked to in attempt to
persuade him to stop dealing drugs; prosecutor went out
drinking with office associates, became intoxicated and
went to aquaintance’s house to yell at him, during
which he gave him notice of search warrant. Prosecutor
found to have revealed a confidence of his client, the
State, in violation of disciplinary rules and letter of
admonition issued.
-
Matter of Disciplinary Proceedings
Against Donovan, 211 Wis. 2d 451, 564 N.W.2d 772
(1997). Assistant City prosecutor disciplined for forging
certificate of completion of diversion program for friend
and for dismissing traffic ticket for boyfriend.
-
Matter of Disciplinary Proceedings
Against Penn, 201 Wis. 2d 405, 548 N.W.2d 526 (1996).
County attorney suspended for prosecution of persons with
whom he had personally used illegal drugs thereby creating
conflict of interest.
CONSULTATION WITH ANOTHER ATTORNEY
CONVICTION OF CRIME
-
Bert P. Noojin v. Alabama State
Bar, 577 So. 2d 420 (Ala. 1990). Attorney’s
disciplinary suspension from practice of law due to misdemeanor
contempt conviction overturned and case remanded to Disciplinary
Board for further consideration due to circumstances surrounding
disciplinary process, including improper delay in proceedings
and one-year suspension as part of sentence on misdemeanor
conviction.
-
In re Schuler, 818 P.2d 138,
141 (Alaska 1991). District Attorney’s conviction
for misdemeanor theft warranted two years' suspension,
in light of mitigating circumstances. In rendering its
decision, the Court discussed the injury caused by the
prosecutor’s actions: “…the duty here
was one owed to the public. In light of Schuler's position
as District Attorney, his commission of a crime undoubtedly
undermined confidence in the legal profession. The public
most certainly expects obedience to the law by those with
authority to prosecute others for its violation. It undermines
the foundations of our criminal justice system to uncover
a public servant violating the very statutes he is entrusted
with enforcing. By committing a crime, Schuler violated
his oath of office as District Attorney for the State
of Alaska, and weakened the moral authority of the state
to condemn other violations of the criminal law. We therefore
conclude that Schuler's misdemeanor theft caused "serious"
injury under the relevant ABA Standards.”
-
People v. Tucker, 676 P.2d
680, 681 (Colo. 1983). District Attorney billed two counties
in his district for same expenses related to attendance
of convention in company of female informer. During his
criminal trial for related theft, he testified on cross-examination
that not know the whereabouts of female companion when,
in fact, he had purchased airline ticket for her month
earlier to travel out-of-state under assumed name. Finding
that Tucker’s “conduct while in office not
only contravened Colorado criminal statutes, but also
flagrantly violated minimal standards of candor and honesty
required of all who are admitted to the practice of law
in this jurisdiction”, Court suspended him from
practice of law.
-
In re Feindt, 301 A.D.2d 185,
754 N.Y.S.2d 790 (N.Y.A.D. 4 Dept. 2002). Prosecutor stole
witness fee, was fired and criminally prosecuted. Following
entry into diversion agreement, disciplinary proceedings
instituted and former prosecutor admitted violating disciplinary
rules prohibiting illegal conduct adversely reflecting
on honesty, trustworthiness or fitness as lawyer; conduct
involving dishonesty, fraud, deceit or misrepresentation;
and conduct adversely reflecting on fitness as lawyer.
Court found censure appropriate punishment because attorney
had been suffering from depression for which being treated,
restitution had been made, attorney demonstrated extreme
remorse and community service work had been performed.
-
State ex rel. Oklahoma Bar Ass'n
v. Page, 754 P.2d 878 (Okla. 1988). Attorney resigned
from bar after being convicted of racketeering activities
as district attorney.
DISCIPLINARY PROCESS, DISCIPLINE AND REINSTATEMENT
-
People v. Brown, 726 P.2d
638 (Colo. 1986). District Attorney disbarred after he
was convicted of altering official documents. He prevailed
upon employee of driver control bureau to alter his driving
record by deleting two convictions for speeding because
they were resulting in higher insurance premiums.
-
Runsvold v. Idaho State Bar,
129 Idaho 419, 925 P.2d 1118 (1996). Court held that no
actual harm need be proved for rule violation to have
occurred, and that – because rules are designed
to prevent harm, not just to sanction attorneys after
harm has been done – lawyer can be disciplined whether
or not conduct caused actual harm to another.
DISCIPLINARY RULES, APPLICABILITY AND INTERPRETATION
OF
-
Grievance Committee for the Southern
District of New York v. Simels, 48 F.3d 640 (2d Cir.
1995). Committee on Grievances for Southern District of
New York imposed sanction of censure upon Simels for violating
Disciplinary Rule 7-104(A)(1) of the American Bar Association's
Code of Professional Responsibility (predecessor of current
Rule 4.2, MRPC) by contacting individual, whom Simels
knew (1) to be represented by counsel on charge he participated
in attempted murder of government witness in drug conspiracy
trial in which Simels' client was defendant, (2) had agreed
to cooperate with government, and (3) had implicated Simels'
client in the shooting. Prior to Simels' contact with
individual, prosecution had informed Simels and his client
that it would be filing complaint against individual and
two other codefendants in connection with attempted murder
of government witness (so that soon Simels’ client
and individual would be facing similar charges in same
case). Court of Appeals, disagreeing with Committee’s
interpretation of Rule 7-104(A)(1), found that Simels,
in interviewing individual, was not interviewing “party”
in “same matter,” but rather interviewing
potential witness in drug conspiracy case and potential
codefendant of his client in related but distinct matter,
i.e., attempted murder of witness. Censure was lifted.
Court also, noting that requiring federal courts to follow
various and often conflicting state court and bar association
interpretations of disciplinary rules threatened to “balkanize”
federal law, held that interpretation of DR 7-104(A)(1),
in federal criminal context was matter of federal law.
-
Ex parte Lawhorn, 581 So.2d
1179 (Ala. 1991). New Rules of Professional Conduct applicable
to prosecutors.
-
Brooks v. Alabama State Bar,
574 So. 2d 33 (Ala. 1990). Because prosecutor had reason
to believe conduct not governed by Code of Professional
Responsibility, based on language in prior Supreme Court
opinions dealing with rules governing conduct of attorneys,
due process prohibited imposition of discipline on prosecutor
under Code.
-
Massameno v. Statewide Grievance
Committee, 234 Conn. 539, 663 A.2d 317 (1995). Case
arose from allegations that prosecutor had talked to complaining
witness in unauthorized absence of her attorney in violation
of Rule 4.2, had prosecuted case in absence of probable
cause as required by Rule 3.8, had violated Rules 3.4
and 3.5 by requesting psychiatric assessment of child
witnesses, and Rule 4.4 by improper cross-examination
of defense witness. Proceedings stayed until prosecutor’s
assertion that separated of powers doctrine prohibited
judicial branch from disciplining prosecutors. Court,
thoroughly analyzing the issues involved, held judicial
supervision of attorneys through disciplinary process
does not violate separation of powers doctrine when applied
to prosecutors. [Outcome of disciplinary proceeding not
known.]
-
Runsvold v. Idaho State Bar,
129 Idaho 419, 925 P.2d 1118 (1996). Court held that no
actual harm need be proved for rule violation to have
occurred, and that – because rules are designed
to prevent harm, not just to sanction attorneys after
harm has been done – lawyer can be disciplined whether
or not conduct caused actual harm to another.
-
Matter of Howes, 123 N.M.
311, 940 P.2d 159 (1997). Assistant United States Attorney
disciplined for communicating with represented defendant
concerning incident with which defendant was charged.
Defendant initiated calls while Assistant United States
Attorney, relying upon advice provided by his supervisor,
listened, took notes and told defendant that his lawyer
would not be happy about call. Finding there was no "arguable
question of professional duty’ needing resolution,”
Court first rejected contention that attorney could not
be disciplined because was subordinate attorney and following
guidance of supervisor attorneys; in doing so, Court analyzed
Rule 5.2. Court also held that attorney “communicates”
with person, for purposes of ethics rules, even if just
listens to other person talk. Court distinguished between
constitutional and ethical rules on contact with represented
persons.
DISCOVERY, ISSUES RELATED TO (See also Evidence,
Disclosure, Receipt, or Use of)
-
In re Attorney C, 47 P.3d
1167, 1171 (Colo. 2002). Prosecutor alleged to have violated
Rule 3.8(d) by failing to turn over evidence to defense
prior to preliminary hearing. As a matter of first impression,
Court addressed whether 3.8(d) incorporates a materiality
standard. “We have explicitly adopted a materiality
standard with respect to our procedural [discovery] rules,
and we are disinclined to impose inconsistent obligations
upon prosecutors. We therefore also adopt a materiality
standard as to the latter, such that we read Rule 3.8(d)
as containing a requirement that a prosecutor disclose
exculpatory, outcome-determinative evidence that tends
to negate the guilt or mitigate the punishment of the
accused…. We clarify that the materiality standard
relates not to a specific proceeding in the criminal case,
which could be a hearing on a bond or a hearing on the
admissibility of certain evidence unrelated to the withheld
evidence, but rather to the broader criminal proceeding
itself. Material evidence, in this sense, is any evidence
tending to be outcome determinative at trial. However,
materiality itself is not time-sensitive, and does not
come and go depending upon the nature of the next hearing.
We do not accept the argument that the evidence need only
be disclosed in advance of a proceeding at which that
evidence would be specifically determinative. Rather,
we conclude that if evidence is material to the outcome
of the trial, then the prosecutor must disclose that evidence
in advance of the next critical stage of the proceeding--whether
the evidence would particularly affect that hearing or
not.” Court concluded that while prosecutor not
timely disclose evidence subject to disclosure under 3.8(b),
ethical rule was not clear, as it had not previously been
interpreted by Court, and prosecutor’s actions could
not be held to be intentional. Therefore no violation
of 3.8(d).
-
People v. Mucklow, 35 P.3d
527, 537-538 (Colo. 2000). Prosecutor failed to disclose
fact that complaining witnesses had recanted/changed stories
to defense, in two separate cases, prior to preliminary
hearing; in one case, prosecutor acted on advice of elected
prosecutor. Court, referring to ABA Model Rules of Professional
Conduct, noted that prosecutor’s obligations to
see that accused is accorded procedural justice and that
guilt is decided upon basis of sufficient evidence, including
consideration of exculpatory evidence known to prosecution,
goes beyond corollary duty imposed upon prosecutors by
constitutional law. “The Rules of Professional Conduct,
unlike the rule of law enunciated in Brady, are not premised
upon minimal constitutional conformity. Rather, the Rules
of Professional Conduct are intended to set forth minimum
standards of professional conduct for attorneys licensed
to practice law. In most instances, compliance with the
Rules' provisions is tested against the conduct of the
attorney, not the effect of that conduct upon others.
Because Colo. RPC 3.8(d) focuses only upon the attorney's
conduct, unlike the requirements of Brady and the cases
which apply its constitutional mandate, the effect of
the questioned conduct upon the underlying criminal proceeding
is not relevant for purposes of determining whether a
violation of the rule transpired.” Noting that what
constitutes timely disclosure for purposes of Rule 3.8(d)
depends on facts and circumstances of each case, Court
held prosecutor’s decision to not turn over exculpatory
information in both cases prior to preliminary hearings
because she believed information would not change outcome
of proceedings is not valid reason to circumvent Rule
3.8(d). Interesting dissenting opinion (taking position
that insufficient evidence of violation of Rule 3.8).
-
Tyson v. Florida Bar, 826
So.2d 265, 268 (Fla. 2002). Incarcerated defendant filed
complaint against prosecuting attorney for failure to
disclose evidence and use of perjured testimony; Bar counsel
investigated and found no basis for complaint. Defendant
then petitioned Court to issue writ of mandamus requiring
Bar proceed with disciplinary proceeding. In rejecting
petition, Court reiterated that “purpose of an attorney
disciplinary proceeding is the protection of the public,
not the vindication of private rights: ‘Disciplinary
proceedings against attorneys are instituted in the public
interest and to preserve the purity of the courts. No
private rights except those of the accused attorney are
involved.’ Accordingly, petitioner had no clear
legal right to have the Bar proceed with disciplinary
charges against the assistant state attorney and therefore
is not entitled to the mandamus relief he seeks.”
-
Idaho State Bar v. Gantenbein,
133 Idaho 316, 986 P.2d 339 (1999). Attorney found to
have violated Rule 3.4 and 4.1 as result of redacting
information from medical report during discovery in personal
injury action. Attorney suspended for 24 months.
-
Matter of Price, 238 Kan.
426, 709 P.2d 986 (1985). County Attorney suspended for
repeated failure to abide by discovery orders issued by
court and repeated misrepresentations to judge and defense
counsel in one case and wearing of World War II German
officer's uniform with Nazi insignia while in court prosecuting
another case.
-
In Re Jordan, Opinion No.
2004-B-2397 (La. S. Ct. June 29, 2005). Eyewitness to
murder gave three statements to police – on night
of murder, “visibly shaken” witness said not
get good look and probably could not identify perpetrators;
three days after murder, witness described clothing, height
and hair of the shooter after saying not have contacts
in or glasses on and not sure if imagining some of shooter’s
appearance; and three weeks after the murder, witness
identified someone from photographic lineup. During trial
preparation, prosecutor interviewed eyewitness, who told
him she was nearsighted and only needed glasses or contacts
for nighttime driving and not to see at close distances.
Prosecutor decided not need to tell defense either that
eyewitness not wearing glasses or contacts on night of
crime or about second statement given to police three
days after murder because not exculpatory. Supreme Court
found prosecutor violated Rule 3.8(d) by failing to disclose
second statement to defense. Prosecutor suspended from
practice of law for three months, but suspension was deferred.
-
Feld's Case, 149 N.H. 19,
28, 815 A.2d 383 (2002). Attorney suspended for assisting
in, condoning and making inaccurate and incomplete sworn
responses that he knew were inaccurate in violation of
Rule 3.4 of the Rules of Professional Conduct. Court also
found that attorney invoked attorney-client privilege
during deposition when knew invocation of privilege not
legitimate, but rather bad faith effort to impede opponent's
discovery. “Such conduct violates not only Rule
3.4(d), but also Rule 3.4(c), which requires a lawyer
to obey the rules of a tribunal, including Superior Court
Rule 35(b)(1), which requires compliance with legitimate
discovery requests.” Court also reiterated that,
in disciplinary cases involving dishonesty, lawyer must
admit to professional misconduct to truly demonstrate
remorse for purposes of mitigation.
-
Disciplinary Counsel v. Wrenn,
99 Ohio St. 3d 222, 790 N.E.2d 1195 (2003). Prosecutor
disciplined for failure to disclose exculpatory evidence
in child molestation case, i.e., DNA results which favored
defendant and victim’s change in story. Prosecutor
negotiated plea with defendant without disclosing this
information.
-
Disciplinary Counsel v. Jones,
66 Ohio St. 3d 369, 613 N.E.2d 178, 179 (1993) Exhibits
introduced at first trial of defendant not found before
case was retried; during break in retrial, prosecutor
found exhibits in their exhibit bag and gave them to deputy
clerk of court, telling him what case they belonged to
and that case being tried. When trial resumed, prosecutor
not bring discovery or whereabouts of exhibits to attention
of either judge or defense attorney; just before argument,
bailiff obtained exhibits from clerk’s office and
judge allowed late introduction. In disciplinary proceeding,
prosecutor admitted not tell defense attorney due to acrimonious
relationship. Finding the prosecutor’s actions violated
DR 7-102(A)(3) (concealing or knowingly failing to disclose
that which he or she is required by law to reveal), 7-103(B)
(failing to timely disclose the existence of evidence
that tends to negate guilt, mitigate the degree of the
offense, or reduce the punishment), and 1-102(A)(5) (engaging
in conduct prejudicial to the administration of justice),
the Court characterized role of prosecutor as that of
"standard bearer" of "truth and fairness"
and found that Jone's "deceptive conduct * * * flies
in the face of his public mandate to protect the rights
of all citizens."
-
In re DeRobbio, 604 A.2d 1240
(R.I. 1992). Prosecutor, when providing defense counsel
with short rap sheet on witness, warned that record might
not be complete and said that witness was career criminal.
Court found prosecutor not violate rules because turned
over what was in his possession and notified defense of
probability of further record.
-
In Matter of Donald V. Myers,
355 S.C. 1, 584 S.E.2d 357, 362 (2004). Elected prosecutor
found to have failed to properly supervise deputy prosecutor
to ensure that defense counsel was informed that police
officers and deputy prosecutor eavesdropped on and recorded
privileged conversation between criminal defendant and
his counsel (elected prosecutor told deputy prosecutor
to disclose information to defense, but not follow up
to see if deputy prosecutor did as told). Court, issuing
private reprimand for this failure to supervise, noted
“We hold a [prosecutor] in this state to the highest
ethical standards, for his actions determine a criminal's
fate. We understand that the pressures of the position,
as well as imperfect communication procedures with the
county sheriff's office, may impede the [prosecutor] in
exercising his supervisory authority, but no excuse can
justify actions which prejudice the defendant in a capital
case. A [prosecutor] must implement and manage a system
that enables him to appropriately supervise his deputies
so that when he discovers that they may be violating a
Rule of Professional Conduct, he can immediately ameliorate
any prejudicial effect that the violation may have on
the defense.” Court also issued letter of censure
for improper jury contact in another capital case; in
that case, after it was noticed that potential juror had
two addresses but only one telephone number, investigator
on prosecutor’s jury selection team, in prosecutor’s
presence, telephoned number and asked if potential juror
lived there. That contact was found to have violated Rule
3.5(b) of state’s Rules of Professional Conduct.
-
In Matter of Humphries, 354
S.C. 567, 582 S.E.2d 728 (2003). Prosecutor walked in
as police surreptitiously listening to confidential conversation
between defense counsel and defendant in capital case
and told police to stop; prosecutor left without verifying
police did stop listening. Later heard tape had been made
of the conversation and received discovery request from
defense counsel. Prosecutor’s failure to respond
to defense counsel's discovery requests by reporting rumored
existence of videotape recording of meeting of defendant
and his former attorney, determine whether rumored existence
of tape was correct, and promptly provide defense counsel
with copy of tape once existence verified found to have
violated Rule 3.4(c)(lawyer shall not knowingly disobey
obligation under rules of tribunal except for open refusal
based on assertion that no valid obligation exists), Rule
3.4(d)(lawyer shall not, in pretrial procedure, fail to
make reasonably diligent effort to comply with legally
proper discovery request by opposing party), Rule 8.4(a)
(it is professional misconduct for lawyer to violate the
Rules of Professional Conduct); and Rule 8.4(e) (it is
professional misconduct for lawyer to engage in conduct
that is prejudicial to administration of justice). One-year
suspension ordered.
-
In re Grant, 343 S.C. 528,
541 S.E.2d 540 (2001). Supreme Court held that prosecutor’s
violation of discovery requirements set out in Brady v.
Maryland, 373 U.S. 83 (1963) – he failed to fully
disclose exculpatory material and impeachment evidence
regarding statements given by prosecution's key witness
in murder case – violated Rules 3.4(d)(failing to
make diligent effort to comply with discovery request
of opposing party); Rule 3.8(d)(failing to make timely
disclosure to defense of known evidence or information
that tends to negate guilt of accused or mitigate offense);
Rule 8.4(a)(violating Rules of Professional Conduct);
and Rule 8.4(e)(engaging in conduct that is prejudicial
to administration of justice).
DISHONESTY OR MORAL TURPITUDE
-
Trammell v. Disciplinary Bd. of
Ala. St. Bar, 431 So. 2d 1168 (Ala. 1983). Attorney
disbarred for accepting money to bribe member of Board
of Pardons and Paroles.
-
In matter of Brown, 2 Cal.
State Bar Ct. Rptr. 309 (1993). Attorney, who had been
disbarred for conspiring with clerk of court to lower
DUI charges to reckless driving upon guilty pleas, met
burden of proof required to show that he was rehabilitated
and it was recommended that he be reinstated to Bar of
State of California. Opinion contains review of reinstatement
procedure and burden of proof.
-
Matter of Palmer, 259 Ga.
501, 384 S.E.2d 671 (1989). Attorney disbarred for taking
fee to represent client in court in which not admitted
to practice, neglecting matter entrusted to him, and failing
to cooperate or respond in investigation of grievance
complaint Attorney disbarred.
-
In re Crisel, 101 Ill. 2d
332, 461 N.E.2d 994 (1984). Attorney suspended for fabricating
report that attorney was victim of crime as it showed
dishonesty and misrepresentation.
-
In re Howard, 69 Ill. 2d 343,
372 N.E.2d 371 (1978). Attorney disciplined for, inter
alia, paying $50 to two different police officers in attempt
to influence their testimony, telling office he had things
“set” with judge and telling officer that
would be spending money with prosecutor’ s office.
-
In re Kien, 69 Ill. 2d 355,
372 N.E.2d 376 (1977). Attorney disciplined for offering
bribe to police officer.
-
Iowa Supreme Court Bd. of Professional
Ethics and Conduct v. Tofflemire, 689 N.W.2d 83 (Iowa
2004). Attorney disciplined for working part time as public
defender while working full time state job and using sick
leave from that job to make court appearances for public
defender. Also submitted false expense reports to public
defender.
-
Matter of Sutton, 265 Kan.
251, 959 P.2d 904 (1998). Assistant county attorney issued
public censure for (1) committing traffic violations and
getting into a verbal and physical confrontation with
highway worker which led to tort suit against him, and
(2) failure to reimburse county for seminar expenses it
had paid when he requested and received funds for same
expenses from National Association of Prosecutor Coordinators.
-
State ex rel. Nebraska State Bar
Ass'n v. Cook, 194 Neb. 364, 232 N.W.2d 120, 129
(1975). Attorney given three year suspension for committing
perjury while testifying as witness for United States
in prosecution for obstruction of justice and conspiracy.
Court provided definition of “lie:” “To
lie is to make an untrue statement with intent to deceive.
Webster's Third New International Dictionary, Unabridged.
Even though a statement as to the truth of a fact is mistaken,
the statement is not a lie if the sayer himself honestly
believes it to be true.”
-
O'Meara's Case, 150 N.H. 157,
834 A.2d 235 (2003). Attorney disciplined for false statements
made while appearing pro se in divorce and custody matters.
-
In re Case of Budnitz, 139
N.H. 489, 658 A.2d 1197 (1995). Attorney disbarred for
making false statements in disciplinary proceeding.
-
In re Ross, 716 N.Y.S.2d 42
(N.Y.A.D. 1 Dept. 2000). Assistant district attorney and
her attorney husband were both censured when, at husband’s
request, she tried to use position to undermine traffic
summons issued to husband.
-
Matter of Pollard, 570 N.Y.S.2d
203 (N.Y.A.D. 2 Dept. 1991). Former prosecutor suspended
for, inter alia, submission of fraudulent expense vouchers.
-
Matter of Jelliff, 271 N.W.2d
588 (N.D. 1978). State Attorney received 60 day suspension
for practicing without license and commingling funds and
converting funds to own use.
-
In re Crum, 55 N.D. 876, 215
N.W. 682 (1927). Noting that it is not use to which money
was put, but purpose for which offered that determines
if is bribery, Court found prosecutor accepted bribe.
Six month suspension imposed.
-
Disciplinary Counsel v. Carpenter,
68 Ohio St. 3d 99, 623 N.E.2d 1188 (1993). Village Solicitor
permanently disbarred for, inter alia, conversion of funds
and failing to pay mortgage due on behalf of village.
-
Disciplinary Counsel v. DiCarlantonio,
68 Ohio St. 3d 479, 628 N.E.2d 1355 (1994). City Attorney
disbarred for conspiring to change city’s fire ordinances
in return for solicited bribe.
-
State ex rel. Oklahoma Bar Ass'n
v. Scanland, 475 P.2d 373 (Okla. 1970). Former prosecutor
disbarred for attempting to bribe police investigator
for purposes of destroying arrest record. In reaching
decision, Court reiterated that “a District Attorney,
or his assistant, is a minister of justice to a degree
second only to judges. Accordingly, our views in this
case are similar to those expressed by the Court in Re
Stolen, supra, and, in which, it was said: 'We consider
that upon two grounds the judgment of this court must
be as hereinafter pronounced: First, the offense of respondent
betrays a lack of moral stamina, and therefore a lack
of moral character, which renders the respondent an unfit
person to hold the office of attorney at law; and, second,
the offense is of so grave a character as to call for
serious treatment, not only as a matter of discipline
to the respondent, but for its restraining influence upon
others.'”
-
In re Houchin, 290 Or. 433,
622 P.2d 723 (1981). Deputy District Attorney disciplined
for enrolling in college course in which he was instructor
solely for purpose of maintaining veteran’s benefits.
-
In re Disciplinary Proceeding Against
Romero, 152 Wash. 2d 124, 94 P.3d 939 (2004). Defense
attorney disbarred for, inter alia, requesting fees and
costs from relatives of clients in court-appointed cases.
-
Matter of Disciplinary Proceedings
Against Blask, 216 Wis. 2d 129, 573 N.W.2d 835 (1998).
Former District Attorney publicly reprimanded for, during
time serving as District Attorney, engaging in two physical
confrontations, one with elderly man leaving probate court
and other with referee at high school basketball game,
after which he behaved dishonestly when dealing with police.
DRUGS: POSSESSION, USE OR DISTRIBUTION
-
Matter of Horwitz, 180 Ariz.
20, 881 P.2d 352 (1994). Attorney’s substantial
usage of illegal drugs and reckless conduct while operating
vehicle resulting in two deaths warranted disbarment.
-
In re Parker, 149 Ill. 2d
222, 595 N.E.2d 549 (1992). Attorney reinstated to bar
after nine year disbarred upon conviction of conspiracy
to distribute marijuana. Discusses process for reinstatement
to Bar.
-
Matter of Wolfson, 82 A.D.2d
587, 442 N.Y.S.2d 548 (1981). Former Assistant District
Attorney censured for misdemeanor conviction of criminal
sale of marijuana (had previously resigned from his position).
-
State ex rel. Oklahoma Bar Ass'n
v. Wright, 792 P.2d 1171 (Okla. 1990). Attorney suspended
from practice of law for two years and one day for misconduct,
including conviction for distributing cocaine to friends;
some of acts of misconduct occurred while attorney was
prosecutor.
-
State ex rel. Oklahoma Bar Ass'n
v. Thompson, 781 P.2d 824 (Okla. 1989). District
Attorney received nine month suspension after being convicted
of possession marijuana (had resigned as elected district
attorney after formal criminal charges had been instituted).
-
Matter of Discipline of Olson,
537 N.W.2d 370 (S.D. 1995). Court suspended attorney for
three years where attorney, while state's attorney, used
marijuana and did not seek drug rehabilitation.
-
Matter of Discipline of Johnson,
500 N.W.2d 215 (S.D. 1993). Deputy State’s Attorney
suspended for two years for use of marijuana and cocaine.
In his dissenting opinion, Justice Henderson says, “As
a people, we cannot tolerate or condone drug activity
by prosecutors. The maintenance of a healthy, free society
forbids it. Respect for the courts in our land demands
it. And a respect for the legal profession cannot survive
with its existence.”
-
Committee on Legal Ethics of West
Virginia State Bar v. White, 189 W. Va. 135, 428
S.E.2d 556, 559-560 (1993). Prosecutor received two year
suspension for possession of cocaine, marijuana, and percocet.
Court reiterated that prosecutors facing discipline are
held to higher standard. "We have taken pains to
stress that a lawyer who holds public office is held to
a higher ethical standard simply because of his position
of public trust. The argument was advanced in Committee
on Legal Ethics v. Roark, supra, that an attorney
who was a public official should not be held to any elevated
standard. In rejecting this argument, we said: ‘In
Graf [v. Frame, 177 W.Va. 282, 352 S.E.2d 31 (1986)
], we made this observation: '[A]n attorney who is a public
official is held to a high standard of conduct because
of his or her (1) professional and (2) public trustee
responsibilities.' We went on in Graf to quote from Sanders
v. Mississippi State Bar Ass'n, 466 So.2d 891, 893
(Miss.), cert. denied, 474 U.S. 844, 106 S. Ct. 133, 88
L.Ed.2d 109 (1985): ' ‘Lawyer insensitivity to ethical
impropriety [or perceived ethical impropriety] is one
of the primary sources of this lack of public confidence
in the Bar. The problem is exacerbated when ethical violations
are committed by an attorney holding an important public
office.’’ And in Syllabus Point 3 of Roark,
we stated: "Ethical violations by a lawyer holding
a public office are viewed as more egregious because of
the betrayal of the public trust attached to the office."
(citations omitted.)
ENDORSEMENTS/RECOMMENDATIONS
ETHICAL VIOLATIONS, DUTY TO REPORT OR THREATENING TO REPORT
FOR
-
In re Conduct of Gustafson,
327 Or. 636, 968 P.2d 367 (1998). Deputy District Attorney
disciplined for, inter alia, threatening defense attorney
with criminal or ethical prosecution in order to obtain
favorable testimony.
EVIDENCE, DISCLOSURE, RECEIPT OR USE OF (See also
Discovery, Issues Related to)
-
In re Attorney C, 47 P.3d
1167 (Colo. 2002). Application of rule of professional
conduct regarding special responsibilities of prosecutor
in criminal trial requires court to impose materiality
standard; when prosecutor is aware of exculpatory evidence
before any critical stage of proceeding, it must be disclosed
before proceeding takes place; rule of professional conduct
governing duty of prosecutor to timely disclose exculpatory
evidence includes mens rea of intent; and, under facts
of this case, failure to disclose exculpatory evidence
to counsel for accused until after preliminary hearing
did not violate rules of professional conduct.
-
People v. Mucklow, 35 P.3d
527 (Colo. 2000). Prosecutor violated duty to disclose
when he failed to inform defense, before preliminary hearing
in sexual abuse case, that child victim had recanted portions
of her earlier statements and advanced new and different
version of prior events.
-
The Florida Bar v. Cox, 794
So.2d 1278 (Fla. 2001). Prosecutor suspended for concealing
testifying informant’s true name from defense counsel,
judge and jury. Prosecutor knew informant’s correct
name but, listed her on complaint by name she had used
during Internet child pornography investigation. Witness
had admissible prior convictions. Presumptive penalty
was disbarment.
-
In re Petition for Review of Hearing
Committee of Professional, 140 Idaho 800, 102 P.3d
1119 (2004). Attorney disciplined for obtaining grand
jury transcript without order of court in case he was
prosecuting and giving copy of that transcript to third
party engaged in civil litigation against same defendant.
-
In re Jordan, 278 Kan, 254,
91 P.3d 1168 (2004). Prosecutor’s false statement
to court regarding her participation in securing warrant
for arrest of defense witness resulted in public censure.
Same prosecutor failed to disclose evidence of victim’s
cocaine usage while arguing that defendant secretly caused
her to ingest cocaine at time of commission of crime.
JUDGES, EX PARTE CONTACT WITH
-
The Florida Bar v. Von Zamft,
814 So.2d 385 (Fla. 2002). Prosecutor disciplined for
ex parte communication with judge, personal friend with
whom he was having lunch, regarding motion in capital
murder case after being told by judge not to discuss case.
-
In re Conduct of Burrows,
291 Or. 135, 629 P.2d 820 (1981). Prosecutor disciplined
for, inter alia, improper ex parte communication with
judge about defendant working with police and passing
polygraph.
-
In re Barnes, 281 Or. 375,
574 P.2d 657 (1978). Deputy District Attorney reprimanded
for obtaining search warrant for blood sample, when he
knew hearing had been scheduled to determine if warrant
should issue.
JUDGES, RELATIONSHIP OR INTERACTION WITH
-
Notopoulos v. Statewide Grievance
Committee, 85 Conn. App. 425, 857 A.2d 424 (2004).
Attorney disciplined for making reckless comments in letter
to judge about probate judge’s purported acceptance
of money to perform duties in estate when he had no evidence
of same.
-
Office of Disciplinary Counsel
v. Surrick, 561 Pa. 167, 749 A.2d 441, 449 (2000).
Attorney suspended for five years for reckless allegation,
made in motion to recuse, that two appellate judges had
been “fixed” against Surrick’s case.
In reaching its decision concernng the appropriate sanction
against Surrick, the Court noted, “The purpose of
our system of professional responsibility and disciplinary
enforcement is to protect the public, the profession and
the courts from unfit attorneys. An accusation of judicial
impropriety is not a matter to be taken frivolously. An
attorney bringing such an accusation has an obligation
to obtain some minimal factual support before leveling
charges that carry explosive repercussions. When an attorney
makes an accusation of judicial impropriety without first
undertaking a reasonable investigation of the truth of
that accusation, he injures the public, which depends
upon the unbiased integrity of the judiciary, the profession
itself, whose coin of the realm is their ability to rely
upon the honesty of each other in their daily endeavors,
and the courts, who must retain the respect of the public
and the profession in order to function as the arbiter
of justice. ‘Truth is the cornerstone of the judicial
system; a license to practice law requires allegiance
and fidelity to truth.’ When a lawyer holds the
truth to be of so little value that it can be recklessly
disregarded when his temper and personal paranoia dictate,
that lawyer should not be permitted to represent the public
before the courts of this Commonwealth.” (Citations
omitted.)
JURY COMMUNICATION/SELECTION
a. Selection of Jury
-
In Matter of Donald V. Myers,
355 S.C. 1, 584 S.E.2d 357 (2004). Solicitor disciplined
for failure to properly supervise deputy solicitor to
ensure that defense counsel be informed that police officers
and deputy solicitor eavesdropped on privileged conversation
between criminal defendant and his counsel, and for solicitor's
conduct in permitting member of his jury selection team
to contact member of jury venire.
-
In Matter of Barton, 347 S.C.
278, 554 S.E.2d 680 (2001). City Solicitor accepted discipline
of public reprimand by consent for sending questionnaires
to prospective jurors with cover letter asking jurors
to return questionnaires to city solicitor's office.
b. Statements to or Conduct toward Juror during
Trial
-
Matter of Delgado, 279 S.C.
293, 306 S.E.2d 591, 593 (1983). Attorney talking to two
jurors who had finished serving on jury of case that had
concluded, about how attorney might improve trial skills
when approached by jury who had served on the concluded
case and was then serving on jury in case attorney presently
trying. Attorney allowed him to join in discussion, but
advised that could not talk about trial currently underway.
Conversation continued for another five to twenty minutes
and included attorney's view of lawyer's role in defending
person he knows to be guilty, jury dynamics and attorney’s
life/practice. Court, concluding attorney violated disciplinary
rule prohibiting contact with sitting member of jury,
explained purpose of rule. “The rule is intended
not only to prevent an intentional attempt to bias or
prejudice a juror but to prevent the appearance of impropriety
and the possibility of one attorney gaining advantage
in a trial by befriending or becoming intimate with a
juror through ‘innocent’ conversation.”
Public reprimand issued for this and other violations.
c. Contact after Conclusion of Trial
-
In Matter of Respondent A,
1 Cal. State Bar Ct. Rptr. 255 (1990). Attorney disciplinary
proceedings dismissed where court found attorney communicated
with jurors post-trial, but had no intent to harass, embarrass
or influence further jury service.
-
Commission for Lawyer Discipline
v. Benton, 41 Tex. Sup. Ct. J. 150, 980 S.W.2d 425
(1998). Attorney disciplined for post-trial communication
that was insulting to jury and intended to influence their
future jury service.
-
Matter of Carlson, 268 Ga.
335, 489 S.E.2d 834 (1997). Attorney, convicted of flagrant
failure to pay child support, was held to have committed
crime of moral turpitude and thus violated ethical rules.
License suspended for twelve months or until child support
arrearage was fulfilled, whichever period was longer.
-
In re Discipline of Attorney,
442 Mass. 660, 815 N.E.2d 1072 (2004). Attorney did not
commit ethical violation by delivering copy of state trooper’s
deposition testimony to trooper’s supervisor during
personal meeting in which attorney expressed his opinion
that trooper was incompetent to investigate fires and
explosions.
-
Lorain Cty. Bar Assn. v. Ross,
97 Ohio St. 3d 224, 778 N.E.2d 39 (2002). Failure to cooperate
in investigation of disciplinary complaint warranted public
censure.
-
Disciplinary Counsel v. Booher,
75 Ohio St. 3d 509, 664 N.E.2d 522 (1996). Public defender
disciplined for engaging in sexual activity with client
in jail visitation room.
-
In Matter of McFarland, 360
S.C. 101, 600 S.E.2d 537 (2004). Attorney received public
reprimand for failure to respond to discovery in timely
manner and failure to cooperate with disciplinary investigation.
-
In Matter of Anonymous Member of
SC Bar, 346 S.C. 177, 552 S.E.2d 10 (2001). In disciplining
civil attorney for failure to supervise junior associates,
Court looked to Rule 5.1 and held that (1) supervisory
attorney can be disciplined for failing to take reasonable
measures in supervising attorneys even not know of supervised
attorney's inappropriate behavior, (2) law firm partner
must take action after discovering another attorney in
firm has engaged in ethical misconduct, and (3) attorney
need not be day-to-day supervisor of attorney committing
misconduct to create liability.
MISREPRESENTATION OF FACTS OR LAW
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In Matter of Smith v. Bd. of Commissioners
of Ala St Bar, 284 Ala. 420, 225 So. 2d 829 (1969).
Attorney disciplined for conspiring to prevent true and
accurate records to be kept relating to divorce cases
filed in court.
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In Disciplinary Matter Involving
Walton, 676 P.2d 1078 (Alaska 1984). Attorney given
public censure for creating and admitting document that
purported to be first deed of trust when it actually was
subordinate deed.
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Matter of Stump, 621 P.2d
263 (Alaska 1980), overruled on other ground, Matter of
Buckalew, 731 P.2d 48 (Alaska 1986). Attorney suspended
for five years for manufacturing document for use in his
own behalf in civil case and falsely testifying that it
was authentic.
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In re Zawada, 208 Ariz. 232,
92 P.3d 862 (2004). Prosecutor suspended for improper
cross-examination of defendant’s expert in mental
defense case (despite fact prosecutor aware that all mental
health experts, including prosecution’s, had concluded
criminal defendant mentally ill, prosecutor cross-examined
defense experts intimating that experts made up mental
illness diagnosis). Prosecutor also committed violation
in closing argument by attempting to cause jury to convict
based on fear of future crimes by defendant. Lengthy experience
as prosecutor found to be aggravating factor because prosecutor
knew actions were improper and his violations were intentional.
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Matter of Hansen, 179 Ariz.
229, 877 P.2d 802 (1994). Assistant city prosecutor censured
for telling court and defense counsel that complaining
witness did not appear when in fact witness had appeared
and prosecutor had told her she was free to leave. When
court did not recess until following day as anticipated,
prosecutor told court witness had not appeared to cover
her mistake.
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In re Cardwell, 50 P.3d 897
(Colo. 2002). Defense counsel disciplined for making knowingly
false representations to prosecutor regarding client’s
criminal history to induce plea agreement and to court
for sentencing purposes.
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In re Pautler, 47 P.3d 1175
(Colo. 2002). Deputy District Attorney disciplined for
misrepresenting himself as public defender in attempt
to convince wanted murder suspect to turn himself in.
Court held that ‘[n]o imminent public harm exception
existed to the ethical principle that a lawyer may not
engage in deceptive conduct, and thus deputy district
attorney who deceived a murder suspect in order to encourage
his surrender was not justified in violating the professional
conduct rule prohibiting conduct involving dishonesty,
fraud, deceit or misrepresentation.”
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People v. Reichman, 819 P.2d
1035 (Colo. 1991). Prosecutor disciplined for filing sham
complaint and preparing sham report against undercover
police officer in order to help protect identity of police
officer.
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In re Sims 861 A.2d 1 (D.C.
2004). Attorney for driver’s license administrative
board disbarred for fixing tickets for family members
and friends; conviction for misdemeanor arising out of
said conduct involved moral turpitude.
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The Florida Bar v. Cox, 794
So. 2d 1278 (Fla. 2001). Prosecutor suspended for concealing
testifying informant’s true name from defense counsel,
judge and jury. Prosecutor knew informant’s correct
name but, listed her on complaint by name she had used
during Internet child pornography investigation; witness
had admissible prior convictions.
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Matter of Mitchell, 244 Ga.
766, 262 S.E.2d 89 (1979). Attorney who not only encouraged
witnesses to testify falsely in paternity hearing, but
also called them so could testify falsely was disbarred.
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Idaho State Bar v. Malmin,
139 Idaho 304, 78 P.3d 371 (2003). Attorney disciplined
for violation of 8.4(c) (professional misconduct for lawyer
to engage in conduct involving dishonesty, fraud, deceit
or misrepresentation) due to telling client that papers
had been filed when they had not.
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Idaho State Bar v. Warrick,
137 Idaho 86, 44 P.3d 1141 (2002). Prosecuting attorney
discipline for (1) failing to take timely and reasonable
remedial measures when prosecuting witness gave false
testimony in criminal matter in violation of Rule 3.3(a)(4);
and (2) writing offensive words next to name of inmate
he was prosecuting on inmate board at jail in violation
of Rule .4.4(a).
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Matter of Eliasen, 128 Idaho
393, 913 P.2d 1163 (1996). Eliasen obtained judgment against
patient for dentist; when patient told lawyer unable to
satisfy judgment, lawyer wrote letter telling patient
that if he did not pay within set period of time, he would
report nonpayment to DMV and patient’s driver’s
license would be suspended. Patient contacted lawyer who
told him Eliasen was incorrect and patient wrote letter
to Eliasen telling him what lawyer told him; Eliasen wrote
another letter to patient in which he repeated statement
that patient’s driver’s license would be suspended
if he did not pay judgment. Only after second letter did
Eliasen contact DMV and find out that his understanding
of law was incorrect; he did not contact patient to correct
misstatement. Court held that Eliasen knowingly made false
statement of law in second letter sent to patient in violation
of rules, and public censure was appropriate.
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In re Crisel, 101 Ill. 2d
332, 461 N.E.2d 994, 999 (1984). Crisel, elected prosecutor,
who failed at attempt to kill self with gun, filed false
police report to cover up bullet holes inside car. Court
found that fabrication of report that attorney was victim
of crime showed dishonesty and misrepresentation. “Respondent's
intentional misrepresentations were closely related to,
and in complete contravention of, his responsibility as
a State's Attorney, to enforce the law. These acts were
evidence of his lack of professional and personal honesty,
threatening the integrity of the legal profession and
the administration of ju | |