Case Title: Attorney Grievance v. Ficker

Citation: 349 Md. 13

Docket Number: 35bv/94

State: maryland

Court: Maryland Supreme Court

Date: 1998-03-10T00:00:00Z

Document:
Attorney Grievance Commission v. Robin K. A. Ficker
Misc. No. BV35, Sept. Term, 1994
Misc. No. BV15, Sept. Term, 1995
Attorney Grievance:  Duty to provide competent representation, to assure that subordinate
lawyers provide competent representation, to have in place appropriate case management
procedures. 
IN THE COURT OF APPEALS OF MARYLAND
Misc. Docket (Subtitle BV) No. 35
September Term, 1994
______________________________________
Misc. Docket (Subtitle BV) No. 15
September Term, 1995
______________________________________
ATTORNEY GRIEVANCE COMMISSION
v.
ROBIN K. A. FICKER
______________________________________
Bell, C.J.
Eldridge
Rodowsky
Chasanow
Raker
Wilner
Karwacki, Robert L. (retired,
  specially assigned),
   JJ.
______________________________________
Opinion by Wilner, J.
______________________________________
Filed:  March 10, 1998
 
In two petitions, the Attorney Grievance Commission (AGC), through Bar Counsel,
charged Robin K. A. Ficker (Ficker) with several violations of the Maryland Lawyers’ Rules
of Professional Conduct (MLRPC).  The charges emanated from eight complaints filed
between 1988 and 1992.  Pursuant to former Maryland Rule BV 9 b (current Rule 16-709),
we referred the two petitions to Judge Vincent E. Ferretti, Jr., of the Circuit Court for
Montgomery County, to conduct a hearing and make findings of fact and proposed
conclusions of law.  After hearing evidence over a period of 11 days, Judge Ferretti filed a
45-page opinion in which he made detailed findings of fact and conclusions of law,
culminating in a determination that Ficker had, in one manner or another, violated MLRPC
Rules 1.1, 1.3, 1.4, 3.4, 5.1, and 8.4.  Exceptions were taken by either AGC, Ficker, or both
in five of the eight cases.
DISCUSSION
The complaints against Ficker arise largely from alleged deficiencies in the way he
ran his office — principally in the way he kept track of cases and assigned them to
associates.   In 1990, we reprimanded Ficker for a similar inattention to detail that, as in
some of the instant cases, led to a failure to appear in court for two scheduled trials or
hearings.  Attorney  Griev. Comm’n v. Ficker, 319 Md. 305, 572 A.2d 501 (1990) (Ficker
I).
Ficker was admitted to practice in 1973.  In 1986, when his earlier troubles surfaced,
he was a solo practitioner who operated out of an office in Bethesda and was assisted by a
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clerk with no legal training.  As we pointed out in Ficker I, he maintained no diary or tickler
system, and his only schedule of court dates was a large desk calendar.  Id. at 308.  By 1988,
when the current charges began to arise, he had three offices — one in Bethesda, one in
College Park, and one in Frederick.  His practice was a high-volume one that concentrated
on serious traffic violations, often alcohol-related.  He estimated that, in 1988-91, he handled
between 750 and 850 cases a year.  He had cases throughout the State but practiced primarily
in Montgomery, Prince George’s, and Frederick Counties.  To assist him in maintaining that
practice, Ficker hired various associates, none of whom, according to this record, remained
in his employ very long or consistently.  Stephen Allen was employed as Ficker’s first
associate in June, 1988.  In August, 1989, Ficker hired a second associate, Denise Banjavic.
Banjavic quit five months later, in January, 1990, and was replaced by B. Edward McClellan
and Thomas Mooney.  A month later, Allen left, after 19 months; he was replaced, in March,
1990, by David Saslaw and Noreen Nelligan.  McClellan left in February, 1991 (13 months);
Mooney left in March, 1992 (26 months).  Saslaw and Nelligan left for a time but later
returned.  Ficker apparently did not have a secretary but instead employed one non-lawyer
assistant.  His first assistant was Art Williams; after Mr. Williams, who was then in his
seventies, suffered a stroke in 1989, Ficker employed Alex Burfield, a law student, to replace
him.
Both Allen and McClellan testified as to the way in which Ficker assigned cases and
responsibility.  Allen testified basically that Ficker  would interview most of the clients and
would assign cases to himself and the associates the day before trial.  The attorneys assigned
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the cases would often have never seen the file before and, in 99% of the cases, would never
have met the client.  Allen said that, sometimes when he got to court, he would have to call
out the client’s name in order to make the introduction.  Often, the file did not contain a
police report, and it was not until he got to court that, through discussions with the
prosecutor or police officer, he would learn the facts of the case.  He said, in  explaining why
he ultimately left Ficker’s employ:
“[W ]e had no control over where we were going to go I would
say ninety percent of the time, whether it was going to be a trial
the next day, how many different courts we had to be in.  It was
pretty hectic . . . .  I mean the pace was tremendous and you
were running all over the state morning and afternoon.  If you
got stuck in a court in one county, you might have had two or
three cases in another county in the afternoon that you wouldn’t
know how to get there if you got stuck in a trial or something
happened; so you know we were always continuing cases or
asking for jury trials in cases to meet the deadline, to meet the
other court dates.”
Allen explained that cases set in for morning hearings were specifically assigned, but
that afternoon cases would be handled by whomever was available:
“Everyone would handle cases in the morning, call in when they
were done, and they would be advised because there wasn’t
another attorney to go to that case.  So whoever finished first
would call in . . . . But whenever there were more cases than
attorneys, all attorneys would be assigned one area to go to and
everyone called in when they were done, and the first person
who was done first or who was available would be sent off.  I
mean that happened continuously.”
He added that his appearance and that of Ficker were often entered jointly, with
neither one knowing who would end up actually representing the client.
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Mr. McClellan said that he occasionally received files a week in advance but
sometimes did not receive them until the day before trial.  He confirmed that attorneys were
assigned on a geographic basis and that whoever finished first would handle the “overflow.”
It appears that Burfield (and before him Williams) in addition to his other duties, was
essentially the dispatcher.  As attorneys would call in, Burfield would inform them of where
to go next, with or without a file.  That situation apparently prevailed until March, 1990,
when, as the result of Ficker being found in contempt of court for failing to appear in the
Jordan case, described below, Ficker brought in another attorney, Thomas Heeney, as a
mentor and made a number of changes in his office procedures.  Those changes included the
hiring of an additional attorney, Ms. Nelligan, and a secretary, the purchase of a computer,
the inauguration of weekly meetings between Ficker and his associates, and the development
of two geographically-based calendars, one kept by Ficker and the other by Burfield.
Saslaw agreed that things were “hectic” when he began employment in March, 1990
but said that they got better after the Jordan episode.  He claimed that, in addition to a master
calendar kept by Burfield, each of the lawyers had their own calendar of cases.  The lawyers
were assigned geographically and were able to get files earlier, and he had more time to
review cases.  There was other evidence, however, that the system of dual calendars did not
last longer than a few months.
With this general background, we shall turn to the eight complaints made against
Ficker.
 Ficker explained that, in an effort to be more accessible to the public, he often met and
1
conducted business with clients and prospective clients in hotel lobbies and parking lots, rather than
in his office.
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(1) Theo Dylewski 
In October, 1987, Ms. Dylewski met Ficker in the lobby of the Holiday Inn in
Frederick  and retained him to represent her in connection with a charge of driving while
1
intoxicated.  She paid him $100 toward a $650 fee but received neither a receipt nor a written
retainer agreement.  Trial was scheduled in the District Court in Frederick County for March
2, 1988;  Ficker formally entered his appearance in November, 1987.
 
Ms. Dylewski testified before the AGC Inquiry Panel that she called Ficker’s office
in late January or early February to advise that she would be in Florida on March 2 and to
request that the trial be postponed.  She thought that she spoke to Ficker himself and that he
told her a postponement would not be a problem, but that, if it were, he would let her know.
Ficker said that he had no recollection of speaking with Ms. Dylewski about a postponement.
He testified that, a day or two before the trial date, his assistant Art Williams told him that
Ms. Dylewski had called and said that she wanted to be in Florida on the day of trial.  He had
no recollection of speaking with Ms. Dylewski at that point but said that he “probably” tried
to reach her.  Mr. Williams, who was 81 when he testified in this matter in 1995, said that
he had no recollection of Ms. Dylewski but asserted that he would never, on his own, advise
a client of Ficker’s that a postponement would be granted or that it was all right not to show
up for trial.  He acknowledged that one of his duties was to answer the telephone and take
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messages, and that, if a client called and said that she needed a postponement, he would tell
Ficker about it.
 Ficker appeared in court on the trial date and orally requested a continuance,
informing the court that his employee had informed him that his client wanted to be in
Florida.  He said that he did not file a motion in advance because (1) he had experienced
difficulty in getting postponements in the District Court in Frederick, and (2) he had no idea
of “why she wasn’t going to be in court or indeed if it was a sure thing that she wasn’t going
to be in court.”  When the prosecutor objected to a continuance,  the court denied the request
and issued a bench warrant for Ms. Dylewski.  Ficker said that, upon returning to his office,
he called the number he had for Ms. Dylewski and left a message with “someone” that a
bench warrant had been issued.
Ms. Dylewski testified that her first awareness of the warrant was on April 8, after she
had returned from Florida, when her husband informed her that the State Police had been to
her home to serve the warrant.  She called Ficker, who advised her to surrender herself.
Upon the advice of a District Court clerk, she wrote a letter to the judge explaining the
circumstances, and, eventually, the warrant was withdrawn.  Ms. Dylewski later retained
other counsel.  Ficker never refunded the $100.
AGC charged Ficker with violations of MLRPC Rules 1.1 (requiring the provision of
competent representation), 1.3 (requiring a lawyer to act with reasonable diligence and
promptness), 1.4 (requiring a lawyer to keep a client reasonably informed about the status
of a matter), 5.3 (requiring a lawyer to provide proper supervision over non-lawyer
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assistants), and 8.4(d) (engaging in conduct prejudicial to the administration of justice). 
On the evidence presented, Judge Ferretti said that he could not find by clear and
convincing evidence that Ms. Dylewski spoke personally with Ficker when she called his
office in January or February.  He did find, however, that Ficker was informed of her request
for a continuance at least three or four days before the scheduled trial date.  Judge Ferretti
concluded that, as “a written request for a continuance might have been consented to by the
State,” by failing to file a motion for continuance at that time, Ficker did not act with
reasonable diligence and promptness in representing Ms. Dylewski, in violation of MLRPC
1.3.  He concluded further that, in failing to communicate with his client in a reasonably
prompt manner, he also violated MLRPC 1.4(a) and 1.4(b).  The court found no violation of
MLRPC Rule 1.1 and no violations of MLRPC Rules 5.3 or 8.4(c), by not having a better
management system in place or by not properly supervising Mr. Williams.
  
Ficker filed exceptions to the court’s findings and conclusions with respect to Rules
1.3 and 1.4.  AGC excepted to the court’s failure to find a violation of Rule 5.3.  Ficker’s
exceptions hinge, essentially, on the assertion that there was no clear and convincing
evidence that he was aware of Ms. Dylewski’s plans or request until a day or two before trial
and that, in light of that circumstance, it was reasonable for him to appear in court and move
orally for a continuance rather than attempt to file a written motion.  Judge Ferretti’s finding
that Ficker was aware of Ms. Dylewski’s situation three or four days before trial is not
supported by substantial evidence, he claims, and is therefore clearly erroneous.  AGC, on
the other hand, urges that, if Ficker did not know of his client’s situation until three or four
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days before trial, that was because he did not have in place proper measures to assure that
Mr. Williams would do his job properly, and that that failure constitutes a violation of Rule
5.3.
Ficker’s exceptions have merit and will therefore be sustained.  With respect to
Ficker’s knowledge, the evidence before Judge Ferretti would have allowed either of two
findings:  (1) that Ms. Dylewski in fact spoke with Ficker in late January or early February
and that he therefore knew at that point that she needed a postponement, or (2) that he did
not learn of her situation until a day or two before trial.  The one finding that is not allowed
by the evidence is the one that Judge Ferretti made — that Ficker learned of the situation
three or four days before trial.  There was no evidence to support that finding.  Judge Ferretti
found insufficient evidence to conclude that Ms. Dylewski spoke personally with Ficker, thus
leaving as the only viable  alternative a conclusion that he did not become aware of her
situation until the very eve of trial.
On that premise, we do not believe (1) that, given his prior experiences in seeking
postponements, it was unreasonable for Ficker to choose to appear in court and explain the
situation personally to the judge, rather than filing a written motion, or (2) that, as a practical
matter, Ficker would have been able to contact his client and assure her appearance in court.
With respect to the postponement, it is not at all clear that a written motion filed a day or two
before trial would have been successful or that the prosecutor would have consented to it.
Simple courtesy and a decent respect for a fellow lawyer would, of course, have dictated that
Ficker, even at that late date, call the State’s Attorney’s Office to alert them to the situation
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and to his intent to seek a postponement, but he has not been charged with being
discourteous.  As to communicating with his client, she was in Florida; he did not know
where to reach her; and, when he called the one Maryland number he had upon his return
from court, he had to leave a message with someone else.
We find no merit in AGC’s exception with respect to MLRPC Rule 5.3 in this matter.
That rule provides, in relevant part, that a lawyer having direct supervisory authority over
a non-lawyer shall make reasonable efforts to ensure that the non-lawyer’s conduct is
compatible with the professional obligations of the lawyer.  AGC notes that, if Ms. Dylewski
did not talk to Ficker, she spoke with Mr. Williams, among whose duties were answering the
telephone and taking messages.  Its position is that Ficker should have had in place some
procedure to assure that Williams would, in a timely manner,  relay any message he received
from Ms. Dylewski.  Judge Ferretti found that no tickler or calendaring system would have
prevented the lapse in question.  It was simply a matter of Mr. Williams apparently not
timely relaying a call, which he acknowledged was his duty to do.  There is no evidence in
this record that that was a persistent problem with respect to Mr. Williams, and we are not
prepared to conclude, on this record, that one missed communication, even though
significant, constitutes a violation of MLRPC Rule 5.3.
(2) Dave R. Miller - Burfield
Mr. Miller was charged with an alcohol-related offense in the spring of 1989.  In
response to a written solicitation from Ficker, he contacted Ficker’s office on June 17, 1989.
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Mr. Burfield, who had replaced Mr. Williams as Ficker’s assistant, met Miller on the parking
lot of the Holiday Inn in Frederick.  Ficker was in the vicinity earlier but apparently did not
remain to meet with Mr. Miller.  AGC’s complaint arose from the fact that Burfield, on his
own, charged Miller $60 for the initial interview and took a check for $60 from Miller,
payable to Burfield.  There was evidence that Burfield had done that with respect to other
clients as well.  In its petition, AGC alleged that Burfield “regularly and repeatedly
interviewed and advised [Ficker’s] clients, took money from new clients on his own behalf
and misled and or allowed [Ficker’s] clients to believe he was an attorney.”  AGC further
claimed that “[d]espite [Ficker’s] knowledge of Mr. Burfield’s activities, he took no remedial
action and otherwise failed to supervise him.”  That lapse, it alleged, constituted a violation
of MLRPC Rules 5.3 (failure to supervise a non-lawyer employee) and 8.4(d) (conduct
prejudicial to the administration of justice).
Judge Ferretti found no violation of either rule.  He concluded that (1) at the time of
the Miller matter, Ficker was unaware of what Burfield was doing,  and (2) when, in July,
1989, Ficker discovered that conduct, he reprimanded Burfield, put an immediate stop to the
practice, refunded the money Burfield had charged the various clients, and docked Burfield’s
pay for the cost of the refund.  Because Miller had stopped payment on his check, there was
no need for Ficker to reimburse him.  Judge Ferretti found that, although Burfield did
regularly interview Ficker’s clients, there was no ethical bar to a non-lawyer interviewing
clients.  Judge Ferretti further found that Burfield did not render any legal advice.  Neither
party has excepted to the findings or conclusions in this matter.
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(3) Timothy Jordan
The Jordan case arose from a failure to appear at trial, but it implicated as well
failures in delegation and assignment.  In May, 1989, following a one-car accident in which
he lost control of his car and hit a tree, Jordan was charged, in Washington County, with
driving while intoxicated, driving under the influence, failing to wear a seat belt, and
speeding.  In response to a mailed solicitation from Ficker, Jordan met with Burfield on the
parking lot of a Holiday Inn in Frederick on June 17, 1989, retained Ficker to represent him
for a fee of $999,  and gave Burfield $100 toward the fee.  Shortly thereafter, Ficker entered
his appearance on behalf of Jordan and prayed a jury trial.  That, of course, caused the case
to be transferred to the Circuit Court for Washington County.
Ficker was made aware that Jordan had previously been convicted of driving while
intoxicated, in 1982, resulting in a suspended sentence in favor of probation, and that he was
then facing a separate driving while intoxicated charge in Frederick County.  In his
testimony, Ficker acknowledged that because Jordan had a second and third offense, he was
“looking at lots of jail time, unless we knocked out one of the cases” and that it was
important “to know what the facts were to assess which of the cases, if not both of them,
were winnable in a trial because it is the third offense where they really hammer you.”  The
record before us does not reveal when the Frederick County case was tried.  Ficker
represented Jordan in that case and was pleased that his client escaped incarceration.
Trial in the Washington County case was scheduled for March 6, 1990.  On March
5, a court clerk called Ficker’s office twice to confirm the date and to inquire whether Ficker
 Upon motion for reconsideration, the court struck the contempt finding and Ficker donated
2
the $1,000 and costs to the Washington County Library.
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intended to insist on a jury.  Someone from Ficker’s office called back and informed the
clerk that a jury would be required.  Despite the notice and the fact that Jordan himself was
in court, no one appeared from Ficker’s office when the case was called at about 9:45 a.m.
As a result, after a later hearing, Ficker was held in contempt of court and fined $1,000.2
The Jordan case was assigned to Mr. Saslaw, who had begun employment that week
and had never tried a jury case, although Ficker said that he was unaware of that lack of jury
experience and believed that Saslaw was competent to try the case.  Saslaw was not given
the file until March 5, the day before trial.  In addition to the Jordan case, Saslaw had two
cases to try in the District Court in Frederick.  Ficker said that he called Saslaw that evening
and discussed the  case with him, although their recollections differed as to the extent of the
conversation.  Saslaw said that it consumed only three to five minutes; Ficker said that he
discussed the facts and assumed that Saslaw would be able to handle the matter.  Ficker
regarded it as a “simple case.”  There would be just the police officer and Jordan and the
only question was “could they prove the guy was driving.”  That defense, presumably, was
based on the fact that, after Jordan had driven his car off the road and into a tree, he left the
scene and went to a nearby hospital for treatment, and that the police did not catch up with
him until he was at the hospital.  The police report, however, indicated a strong odor of
alcohol in the car and emanating from Jordan.  Jordan refused to take the breathalyzer test.
Overlooked by Ficker — probably because, according to Jordan, the matter was never
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discussed between them — was the fact that Jordan’s face “was imprinted” in the windshield
of the car.  His hair was stuck to the windshield, and he had glass fragments on him when
he met the officer at the hospital.
It appears that Saslaw misunderstood what he was expected to do.  He admitted that
Ficker had told him that it was a jury trial case, and, indeed, the file reflected that to be so,
yet Saslaw somehow was under the impression that the case was still in the District Court
and that his mission was simply to request a jury trial.  When he arrived at the District Court,
he attempted to locate the Jordan case on the District Court docket, and, finding no record
of the case in that court, he proceeded to try his two District Court cases and then returned
to the office.  It was not until after 4:30 p.m. that he learned that the case was in circuit court
and that no one had appeared.  In “testimony” given at Ficker’s contempt hearing, Saslaw
took full responsibility for the error, attributing it to a “rookie mistake.” Jordan was
eventually tried, convicted, and given a sentence of one year, suspended in favor of three
years probation, and a fine.
On these facts, Ficker was charged with violating MLRPC Rules 1.1, 1.3, 3.4, 5.1,
and 8.4(d).  Judge Ferretti found no violation of Rules 1.3, 3.4, or 8.4.  He did, however,
find a violation of Rules 1.1 and 5.1.  Given the nature of Ficker’s practice, Judge Ferretti
held that Ficker had an obligation to determine the extent of Saslaw’s prior experience in
handling DWI jury trials before assigning him such a case.  He declared “that Mr. Ficker did
not inquire into or ascertain Mr. Saslaw’s experience in jury trials; that Mr. Saslaw did not
expect to try a jury trial; that Mr. Ficker did not discuss a jury trial in depth in the Jordan
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case with Mr. Saslaw; that Mr. Ficker did not prepare Mr. Saslaw nor require Mr. Saslaw to
prepare for a jury trial.”  He found that “there was no procedure in place for checking on the
Jordan case in the Hagerstown Circuit Court.”  From this, Judge Ferretti concluded that
Ficker had violated MLRPC Rule 5.1 “by not making reasonable efforts to insure that a
subordinate lawyer could provide competent representation to the client based upon adequate
legal knowledge, skill and preparation reasonably necessary for the proposed representation
. . . .”  That failure, the judge concluded, also constituted a violation of Rule 1.1.
Ficker filed no exceptions to Judge Ferretti’s findings and conclusions in Jordan.
AGC excepted to his failure to find a violation of Rules 3.4(c) and 8.4(d).  Liability under
Rule 3.4(c), it urges, stems from Ficker’s failure to have in place a system or procedure “to
check on a particular matter,” and that, as a result, Ficker is as responsible as Saslaw for
Saslaw’s failure to appear.  It seeks to fit under Rule 3.4(c) as well the fact that Saslaw was,
in fact, unprepared to try the Jordan case in any event, due to Ficker’s practice of assigning
cases the day before trial.  Ficker’s responsibility for Saslaw’s failings suffices to constitute
a violation of Rule 8.4(d) as well, in its view.
We shall overrule AGC’s exceptions.  Although we do not absolutely reject the notion
that a supervising lawyer may be responsible under Rule 3.4 or 8.4 when a subordinate fails
to appear in court for a scheduled hearing or appears with insufficient knowledge to provide
adequate representation, we believe that, on this record, Judge Ferretti’s analysis of the
problem was essentially correct — responsibility is more appropriately placed under Rule
5.1.  Saslaw was an admitted novice in this area of law, which, according to Ficker,
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constituted 98% of his practice.  If he intended to have Saslaw jump immediately into trying
jury cases involving charges of driving while intoxicated, he had an obligation to determine
whether Saslaw was, in fact, sufficiently trained or experienced to provide competent
representation in that area.  He had no right merely to assume such competence, as he
admittedly did.
Moreover, and, indeed, more important, especially when dealing with a novice, it was
wholly and inexcusably inappropriate for him to assign such cases the day before trial, with
a minimum of instruction.  Saslaw had never met the client, had never talked to the officer,
knew nothing about the case, and obviously was unaware even that the case was to be tried.
Moreover, this was not, as Ficker so cavalierly assumed, a simple case.  According to his
own client, there was ample evidence that Jordan had been driving the car, and this was his
second or third offense, for which a jail sentence was a distinct possibility.  Saslaw’s
appearance had not been entered in the case, and the client was fully expecting Ficker to
appear on his behalf.  The deficiency here was in failing to supervise the associates, such as
Saslaw, exacerbated by the manner in which cases were assigned to them.
(4) Elmer Klein
This charge also emanated from a failure to appear.  Klein was charged with an
alcohol-related offense.  As this was a second offense, Klein prayed a jury trial, which was
scheduled to take place in the Circuit Court for Anne Arundel County, before Judge Robert
Heller, at 9:30 a.m. on February 21, 1990.  Three lawyers from Ficker’s office — Ficker and
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associates Stephen Allen and Denise Banjavic — entered their appearances.  By the time of
trial, Banjavic had left Ficker’s employ.  When the case was called, no one from Ficker’s
office was present.  Someone on Judge Heller’s staff called Ficker’s office and spoke to
Burfield, who advised that Ficker was in District Court in Frederick and that he (Burfield)
had informed the circuit court that Ficker would be late and should arrive around 11:00.
When Ficker did not arrive by 11:00, another call was made.  Burfield reported that Ficker
was still in Frederick, but that another lawyer would be dispatched.  Around noon, Mr.
McClellan, appeared.  McClellan said that he had been in court in Prince George’s County,
that he had never met Mr. Klein, did not have a file, and knew nothing about the case.  
After a break for lunch, Klein told Judge Heller that he wanted to proceed with Mr.
McClellan.   As part of an apparent plea bargain, Klein pled guilty to driving under the
influence, in return for which the prosecutor nol prossed the more serious charge of driving
while intoxicated.  Klein was sentenced to 60 days in jail, which was suspended in favor of
probation and a fine.  Later in the afternoon, Judge Heller spoke with Ficker, who said that
he had three cases in Frederick County and, according to Judge Heller, “seemed cavalier
about the entire matter.”  Ficker testified that he apologized to Judge Heller.
As a result of Judge Heller’s complaint, Ficker was charged with violating MLRPC
Rules 1.3 (reasonable diligence), 3.4(c) (knowingly disobeying an obligation under the rules
of a tribunal), 5.1 (supervising lawyers in the firm), and 8.4(d) (conduct prejudicial to the
administration of justice).
There was a great deal of evidence taken with respect to the Klein case.  Ficker had
 We may be speculating, but it is possible that “NBA” is a typographical error and that what
3
is meant is “MVA,” referring to an administrative hearing before the Motor Vehicle Administration
on a license suspension or revocation.  In the Jordan case, discussed above, there is a reference to
“MBA” hearings.
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no recollection of assigning the case.  He stated that on the schedule for February 21, 1990
were three cases in Frederick, several people to be met in Frederick (including two
prospective clients), three clients to be met in Rockville, a proceeding identified only as an
“NBA” in Rockville,  a case in Rockville, three matters in Prince George’s County, and the
3
Klein case in Annapolis.  It is evident that Ficker handled the matters in Frederick.
McClellan was assigned to the cases in Upper Marlboro.  Allen was sent to District Court
in Hyattsville to obtain a continuance in a case.  He claimed that he was not assigned the
Klein case — that no one was — although he said that he may have driven to Annapolis on
February 20 to file a request for postponement in that case.  This was one of those cases, he
said,  that the first lawyer who finished his morning docket would handle.  He called the
office after completing his assignment in Hyattsville and Burfield told him that McClellan
had been sent to Annapolis.  There was other evidence that Allen was, in fact, assigned the
case but thought it had been postponed.  There was no evidence that he had the file with him
on February 21.
From all of the evidence presented, Judge Ferretti found that Allen was, in fact,
assigned the Klein case and that, as a result, AGC’s charges were unfounded.  Because the
case was assigned to Allen, and because Ficker did nothing to ratify Allen’s failure to appear,
the judge found no violation of MLRPC Rule 5.1.  Nor, he continued, did Allen’s failure to
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appear constitute a violation by Ficker of Rule 1.3 (acting with reasonable diligence), Rule
3.4 (knowingly disobeying an obligation owed to a tribunal), or Rule 8.4 (conduct prejudicial
to the administration of justice).  The underlying basis of his conclusions was that Allen’s
failure to appear was not the product of any conduct by Ficker personally or the result of
procedures that he put in place.
AGC has excepted to those findings and conclusions.  As to Rule 5.1, it argues that
the court reached inconsistent conclusions.  In the Jordan case, discussed above, which
involved a failure to appear in the Circuit Court for Frederick County on March 6, 1990,
Judge Ferretti found that the failure arose from the lack of any procedure designed to avoid
such lapses, and AGC maintains that the same finding should be made with respect to the
Klein case.  Such a finding, it continues, would establish a violation of Rules 3.4 and 8.4 as
well.  More specifically, it contends that the evidence showed that Ficker did not assign the
case to Allen in a timely and proper manner.  Klein was a serious case — a third offender
to be tried before a jury — and neither Allen nor McClellan were prepared to try it.
We shall deny AGC’s exceptions with respect to Rules 1.3., 3.4, and 8.4, but shall
sustain the exception as to Rule 5.1.   On the evidence before him, Judge Ferretti’s finding
that the Klein case had been assigned to Mr. Allen was not clearly erroneous.  It was,
therefore, Allen’s responsibility to be present.  Ficker in no way ratified Allen’s failure to
appear.  He did not fail to act with reasonable diligence or to obey an obligation owed to the
circuit court, and he therefore did not engage in conduct prejudicial to the administration of
justice.
-19-
We do not agree, however, that there was no violation of Rule 5.1.  Section (b) of that
rule requires a lawyer having supervisory authority over another lawyer to “make reasonable
efforts to ensure that the other lawyer conforms to the rules of professional conduct,” and
section (c) makes the supervisory lawyer responsible for the subordinate’s violation if the
supervising lawyer “knows of the conduct at a time when its consequences can be avoided
or mitigated but failed to take reasonable remedial action.”
As AGC points out, the Klein case cannot be viewed in a vacuum.   Although what
happened here is somewhat different from what occurred in Jordan, the two cases, together,
demonstrate the gross deficiencies in Ficker’s operation, deficiencies that almost guaranteed
both kinds of problems.  In Jordan, the problem was in assigning cases at the last minute to
a novice attorney not capable, under the circumstances, of providing competent
representation.  Here, the problem was in assigning too many cases to too few lawyers,
mostly at the last minute.  Accepting Judge Ferretti’s finding that the case was, in fact,
assigned to Allen, it becomes evident that Allen was scheduled by Ficker to be in two courts,
in different counties, at the same time.  When the problem was brought to the attention of
Burfield  — the person authorized by Ficker to deal with it — it was “resolved” by sending
over to try the case a lawyer who knew nothing about the case, whose appearance had not
even been entered, who had not ever met the client, and who did not even have the file.
However bright and experienced the lawyer may be, that kind of system is not conducive to
providing competent representation.  When imposing it on young, inexperienced lawyers,
the problem becomes exponentially worse.
-20-
Ficker essentially operated his practice like a taxicab company, with Williams or
Burfield as the dispatcher.  What he apparently, and inexcusably, failed to realize is that,
while perhaps any competent taxi driver can transport a passenger from one point to another
on a moment’s notice, legal services cannot routinely be dispensed on that basis with an
acceptable degree of competence.  As the direct result of Ficker’s practices, not only was the
court inconvenienced but Klein was faced with the unacceptable prospect of either falling
on his sword or going to trial with a lawyer he never hired and who knew little or nothing
about his case.
(5) Dewayne Phillips
The complaint in the Phillips case was viewed by Judge Ferretti as basically a fee
dispute, arising from the fact that Phillips discharged Ficker after having paid him $1,000
toward a $1,500 fee and before trial.  AGC alleged violations of MLRPC Rules 1.3, 1.4, 1.5,
1.16, 5.1, 5.3, and 8.4.  Judge Ferretti found none of those rules violated, and, by failing to
take exceptions, AGC has accepted that result.
(6) Roger Ruby
Ruby was charged with driving while intoxicated.  Ficker represented him in the
District Court where, on May 25, 1990, he pled guilty.  The judge postponed sentencing until
July 17, 1990, and directed Ficker to arrange for Ruby to be evaluated by the Montgomery
County Pre-Release Center (PRC) to determine his eligibility for a special treatment program
-21-
for repeat offenders, identified in the record as the C.A.T.S. program. At the time, the PRC
would not actually schedule an interview unless (1) the attorney called to “schedule an
interview,” and (2) the client then called personally to schedule an appointment.  There was
some dispute about the lead time necessary for PRC to make a screening report for
sentencing purposes; Judge Ferretti found that the lead time was between four and six weeks.
It is undisputed, and Judge Ferretti found, that, immediately upon leaving court, with
his client still with him, Ficker attempted to contact the PRC but was unsuccessful.  Ficker
claimed that Ruby was due at his home to do some landscaping work the following Friday
—  June 1, 1990 — and decided to call again at that time.  Unfortunately, Ruby did not show
up, and so the call was never made.  Ficker said that he did not call to schedule an
appointment because he did not think that Ruby would keep any appointment that might be
made.  He stated that he called Ruby a number of times and left messages.  On July 12, with
still no appointment set, Ficker had Burfield call PRC to schedule an appointment, and one
was scheduled for July 24.  Being unable to proceed on July 17, the judge postponed
sentencing until July 26.  Ruby apparently attempted to keep his appointment with PRC, but
got lost on the way.  He showed up in court on July 26 under the influence of alcohol.  The
judge denied another request for postponement and imposed a sentence of 179 days
incarceration, without a PRC recommendation.
For failing to call PRC in a timely manner, AGC charged Ficker with violations of
MLRPC Rules 1.3, 3.4, and 8.4(d).  Judge Ferretti found that Ficker had a “continuing
obligation to attempt to contact the PRC in a timely fashion (i.e., at least thirty (30) days
-22-
prior to the sentencing date),” and that had he fulfilled that obligation, the judge would have
been able to proceed with sentencing on July 17 even if Ruby had missed any appointment
scheduled for him.  On that premise, the judge found all three rules violated.
Ficker has excepted to those rulings, contending that there was really nothing more
that he could have done to assure a timely screening of his client.  We find no merit in those
exceptions.  A screener from PRC testified that there was, in 1990, a 30-day lag time for the
screening process and that PRC would not commence the process until an attorney called.
When an attorney called, PRC would begin collecting information but would not schedule
a client interview until the client called.  PRC allowed two weeks for a client to call; because
of pending appointments, it could not schedule an interview within that period in any event.
When Ficker’s office called, on July 12, PRC was unaware that a sentencing date of July 17
had been scheduled.  After Ruby himself called, it scheduled an interview for July 24.  PRC
did not learn that sentencing had been scheduled for July 17 until the judge called that day
to inquire why a report had not been prepared.
Ficker acknowledged his awareness of PRC’s backlog and requirements.  He knew
that there was not much leeway if a report was to be rendered by July 17, and for him to
make no effort to start the process with PRC until July 12 was to guarantee that a report
would not be forthcoming by the date set for sentencing.  It was not the case that an earlier
call from him would have been futile.  As noted, not only would his call have allowed PRC
to begin gathering information necessary for a report, but no interview would have been
scheduled for Ruby without that call.  His lack of diligence did, indeed, constitute a violation
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of MLRPC Rule 1.3.  It also constituted a knowing disobedience of the judge’s instruction
to have his client evaluated in time for sentencing on July 17, in violation of Rule 3.4(c).
(7) Ronald Furey
Like the Phillips case, the Furey complaint is essentially a fee dispute.  Ficker agreed
to represent Furey in two related matters — in District Court and before the Motor Vehicle
Administration.  He charged a fee of $199 for the administrative hearing and a fee of $699
for the District Court case.  Furey made an initial payment of $450, and Ficker and Nelligan
entered their appearances.  The MVA hearing was scheduled for 9:00 a.m. on February 5,
1991.  Somehow, Ficker noted on his calendar that the hearing was scheduled for 1:00, so
he did not appear at the proper time.  After a call from Furey, he showed up at 10:00 and
represented Furey, apparently successfully.  Furey then discharged Ficker, obtained other
counsel for the District Court proceeding, and demanded a refund.  There is some dispute
whether Ficker initially agreed to a refund, but ultimately he refused.  AGC charged him with
violating MLRPC Rules 1.3, 1.5(a), 1.16, and 8.4.  Judge Ferretti found no violation of any
of those rules, and AGC has accepted that decision.
(8) Stuart Schulze
In August, 1991, Schulze was arrested while returning with his wife from a party and
charged with driving while intoxicated, driving under the influence of alcohol, driving with
an expired  license, and speeding.  Trial on the lesser traffic charges was set for December
-24-
18, 1991; trial on the alcohol-related charges was scheduled for January 28, 1992.  In
November, following receipt of a targeted solicitation from Ficker, Schulze called Ficker and
arranged to meet him at the latter’s Bethesda office.  During that first conversation,
according to Ficker, Schulze answered some standard questions about the event.  From those
answers, including Schulze’s assertion that he had not been drinking, Ficker anticipated that
the case would have to proceed to trial — that there would likely be no plea bargain to a
charge of driving while intoxicated when the client claimed that he had not had anything to
drink.
When Schulze arrived at the appointed time, Ficker was not there, but Schulze
discussed the case with Burfield and filled out a brief “Client Information Sheet.”  Burfield
gave him a retainer agreement, which Schulze took with him and later returned, along with
a four-and-a-half page statement giving his version of the facts.  In that statement, Schulze
claimed that he had not been drinking, that the arresting officer had been nasty and abusive
to both him and his wife, and that two other officers at the police station witnessed some of
the arresting officer’s inappropriate behavior.  He did not identify the two officers or give
the names of any other guests at the party who might be able to testify as to his sobriety.  It
is nonetheless clear from the statement that at least Schulze’s wife and possibly the two
officers would or could be important defense witnesses.  Significantly, the statement revealed
that Schulze had refused to take a breathalyzer test.  It also noted that Schulze had a CAT
scan scheduled the next day, although it did not indicate why he was in need of such a
procedure.  At some point, Schulze left with Burfield the two court notices and told Burfield
 In testimony in a collateral case, in which Ficker sued Schulze’s wife for stopping payment
4
on a check, Ficker claimed that Mooney was designated to represent Schulze on the lesser tickets and
that Mooney did not appear because Schulze had decided to pay those tickets.  That does not square
with Ficker’s testimony in this matter.  Before Judge Ferretti, he said that, although he “thought the
tickets had been paid,” he was made aware that Schulze did  not decide to pay those tickets until
February, 1992.  Mooney did not testify with respect to this matter.
-25-
that he wanted the charges consolidated.  Burfield responded that Ficker would see to it.
Schulze made a $300 deposit against a $750 fee, and Ficker entered his appearance in the
District Court.
No motion to consolidate was ever filed.  Although Ficker’s office was notified of the
December 18 trial date on the lesser charges and Mr. Mooney was assigned the case, no one
appeared in court, and, as a result, Schulze received a notice from the Motor Vehicle
Administration that his license was in jeopardy.  Receiving what he believed was an
unsatisfactory explanation from Ficker, Schulze arranged with the court for a new trial date
but eventually decided to pay the tickets.  Although Judge Ferretti discredited much of
Schulze’s testimony concerning conversations he had with Mooney and Ficker, the judge
made no finding as to why no one from Ficker’s office appeared on December 18, despite
knowledge that the tickets were set for trial that day and that no motion to consolidate had
been filed, and despite the fact that  the case was listed on Ficker’s calendar for that day.4
Schulze spoke with Ficker and Mooney on January 27 — the evening before scheduled
trial on the alcohol-related offenses.  According to Schulze, Ficker was unaware that Schulze
had declined to take the breathalyzer test, notwithstanding that that fact was revealed in the
typed statement he had left with Burfield.  Ficker said that he would “talk to people tomorrow
-26-
morning” and then decide on their strategy.  As the two had never met, Ficker instructed
Schulze to be in court by 9:00 and that “I’ll be in the hall calling out your name.”  Based on
his conversation with Mooney, Schulze expected  Ficker to pray a jury trial.  In fact, Ficker
did not appear in court until after the docket was called and court was in session.  During a
recess, Ficker spoke with the police officer who had stopped Schulze and was informed by
him that (1) Schulze had been drinking, and (2) it was Schulze and his wife who were abusive
and uncooperative.  The other two officers were also in court and, according to Ficker, they
laughed when he posited that his client had not been drinking.  Ficker told Schulze that he
was prepared to go to trial but discussed the option of trying the case before a jury in circuit
court.  He told Schulze that if the case were transferred to circuit court, there would be an
additional fee of $599.  Schulze agreed to a jury trial, signed a new retainer agreement, and
gave Ficker a check for $400.
Ficker prayed a jury trial, and the case was transferred to the circuit court.
Unfortunately, through no fault of Ficker’s, the clerk failed to enter his appearance and
instead entered the appearance of the public defender.  As a result of this mix-up, notice of
a readiness conference scheduled for April 16, 1992 and a trial date of June 1, 1992, was sent
to the public defender, rather than Ficker.  Rather than informing the court of the mistake,
which would have been the courteous thing to do, the public defender simply discarded the
notice.  Accordingly, Ficker was never notified of either the conference or the trial date.  As
a result, no one appeared when the case was called on June 1, and as a result of that, a warrant
was issued for Schulze.  Schulze was informed of the warrant on June 16, through a letter
-27-
from the sheriff.  His wife attempted to contact Ficker but was successful only in speaking
with Burfield, who promised that Ficker would call back but he never did.  On June 18,
Schulze surrendered himself and arranged, on his own, for a bail hearing that afternoon.
Ficker was finally contacted.  He appeared at 2:00 and explained that the judge was willing
to accept a guilty plea, enter probation before judgment, and impose a $200 fine.  Schulze
accepted that arrangement and was released.
AGC charged Ficker with violations of MLRPC Rules 1.1, 1.3, 5.1, 5.3, and 8.4.
Judge Ferretti regarded the alleged Rule 1.1 violation as based on the assertion that Ficker
was not prepared for trial on January 28 because he had not sought out and interviewed other
guests at the party as possible defense witnesses.  The judge did not believe that AGC had
established a duty on Ficker’s part to seek out and interview such prospective witnesses,
whose names were never supplied by the client, and, on that basis, found no violation of Rule
1.1.  AGC has excepted to that ruling, pointing out that the problem was not simply the failure
to seek out unidentified witnesses but rather a more fundamental failure to prepare for trial.
Ficker, it contends, did very little to familiarize himself with the case, evidenced most
dramatically by being unaware, even on the scheduled trial date, that Schulze had refused to
take a breathalyzer test.  In his closing argument, Bar Counsel made clear that the real basis
for the complaint was that Ficker waited until the morning of trial to do any discovery or
investigation.
We agree with AGC.  Notwithstanding Ficker’s self-serving statement that he was
prepared for trial, the evidence demonstrated that he was wholly unprepared when he
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appeared in District Court on January 28.  Apart from his not inquiring as to other guests at
the party, prior to the morning of trial he had never talked to Schulze’s wife, who was a vital
witness to most of what occurred, to the arresting officer, or to the other two officers who
were present at the police station.  Indeed, except for an initial conversation two months
earlier and the brief conversation the evening before, he had never had any significant
discussion with his client.  Although presumably aware from the written statement given to
Burfield that Schulze had a CAT scan scheduled for the day after the incident, Ficker did
nothing to investigate the nature of the problem or whether it might have had some relevance
to Schulze’s conduct.  Indeed, given his apparent unawareness that Schulze had refused to
take the breathalyzer test, it is not clear that Ficker even read that statement carefully.
This practice of waiting until the morning of trial to learn  the facts of the case from
last-minute courtroom interviews with police officers, prosecutors, or other witnesses, which
Allen confirmed was more or less the modus operandi with Ficker, does not comport with the
requirements of Rule 1.1.  That rule requires a lawyer to provide “competent representation”
to a client and defines “competent representation” as requiring, among other things,
“thoroughness and preparation reasonably necessary for the representation.”  The Comment
to Rule 1.1 explains, in that regard:
“Competent handling of a particular matter includes inquiry into
and analysis of the factual and legal elements of the problem, and
use of methods and procedures meeting the standards of
competent practitioners.  It also includes adequate preparation.
The required attention and preparation are determined in part by
what is at stake . . . .” 
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The requirement of adequate preparation has long been recognized as part of a
lawyer’s responsibility to provide competent representation, and it is not without significance
that, in the current Code of Professional Responsibility embodied in the MLRPC, the duty to
provide competent representation is given “the place of honor as the first ingredient in the
lawyer-client relationship.”  1 GEOFFREY C. HAZARD, JR. AND W. WILLIAM HODES, THE LAW
OF LAWYERING, 2d ed. § 1.1:101 (1997).  Former DR 6-101(A)(2) precluded a lawyer from
handling a matter “without preparation adequate in the circumstances,” and the failure to
make a proper investigation of the facts of a case prior to trial has led to discipline.  See In
Re Conduct of Chambers, 642 P.2d 286, 291 (Or. 1982); People v. Felker, 770 P.2d 402
(Colo. 1989).  See also Lamar v. American Finance System of Fulton Cty., Inc., 577 F.2d 953,
955 (5th Cir. 1978), noting the duty in a non-disciplinary context.  
This was not a simple, routine case.  The written statement provided by Schulze should
have alerted Ficker that there would likely be a significant dispute as to exactly what occurred
during the roadside encounter and later at the police station.  If Schulze were convicted of
driving while intoxicated, he faced the prospect of incarceration  in either a detention facility
or a DWI facility, a prospect made more likely if the judge were to conclude that it was
Schulze, rather than the officer, who was abusive and uncooperative.  The decision to seek
a jury trial was not made until the morning of trial; indeed, it hinged, among other things, on
Schulze’s willingness to pay an additional fee of $599, which had not previously been
discussed with Schulze.  What would Ficker have done if Schulze had decided not to pay that
additional money?  Presumably, Ficker went to court with the expectation of having to try the
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case that morning, and yet, when he entered the courtroom, late,  he had little idea of what
any of the witnesses would say.  Indeed, only moments before the case would have been
called for trial, he told Schulze that, if trial were to take place then, “[w]e can go into the
anteroom and rehearse all this and go over the facts of the case.”  That is not an acceptable
way to practice law.   See People v. Felker, supra, 770 P.2d 402 (preparing a case in the car
on the way to court constitutes violation of former DR 6-101(A)(2)).  We believe that Judge
Ferretti erred in finding no violation of Rule 1.1.
  AGC charged two independent violations of Rule 1.3.  The first arose from the fact
that, having prayed a jury trial on January 28, 1992, Ficker did nothing to keep track of the
case in the circuit court and, as a result, was unaware (1) that his appearance had not been
entered, and (2) of the scheduled conference and trial dates.  The second alleged violation
arose from Ficker’s failure to return the calls from Schulze’s wife on June 16 and 18.  Judge
Ferretti found merit in the first claim, but none in the second.  Ficker has excepted to the
adverse ruling with respect to not keeping track of the case; AGC has acquiesced in ruling
regarding the telephone calls.
 This Court has long recognized a duty on the part of counsel to keep informed about
the status of a case in litigation.  See Baltimore Luggage Co. v. Ligon, 208 Md. 406, 421-22,
118 A.2d 665, 673 (1955);  Grantham v. Prince George’s County, 251 Md. 28, 36, 246 A.2d
548, 552 (1968); Maggin v. Stevens, 266 Md. 14, 18, 291 A.2d 440, 442 (1972).  Ficker
admitted that he had no tickler or calendar system in place that would cause him to pull files
at particular intervals to check whether court dates had been assigned, but instead relied on
-31-
receiving notice from the court.  He acknowledged that, normally, notices were sent within
two to three months after the filing of a jury demand, although there were occasions when the
notice did not arrive for four or five months.  Ficker saw no need for greater diligence because
this kind of mix-up by the clerk had never happened to him before and he did not anticipate
it.
It is true, as Ficker maintains, that defense counsel has no duty to bring a criminal case
to trial; that is the State’s obligation.  He does have a duty, however, to keep track of his cases
and assure that he does not miss important court dates, especially a trial date.  The need for
periodic review is most acute, of course, with respect to filings or other events that the
attorney is responsible for generating, but it extends as well to filings and events expected
from someone else.  If a pleading, paper, or notice of some kind is due to be filed or sent by
another party or the court and that filing or transmission will engender some duty on the
attorney’s part, the attorney cannot sit blithely by in blissful ignorance, as though the case
doesn’t exist.  There are slips between the cup and the lip; things do get lost in the mail or
misdirected.  Although a lawyer may, in some instances, properly wait in silence for others
to act and be under no obligation to them to call attention to their lapses, the lawyer does have
a duty to his or her client to remain diligent, and that duty is not discharged by placing the file
in indefinite hibernation.  Had Ficker had  a decent tickler system, whether diaried for two
months, three months, four months, or even five months, he would have discovered the
problem.  Under his practice, Ficker would never have looked at the Schulze file again, even
if a year or more elapsed.
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Although no hard and fast rule can be imposed governing the precise details of a
proper tickler system, the need for some system is obvious.  Ficker, by his own admission,
had none.  His exception to the finding of a violation of Rule 1.3 is overruled.
Judge Ferretti found no independent violation of Rule 1.4, and no violation of Rules
5.1 or 5.3.  AGC has acquiesced in those rulings.  The judge found that Ficker’s failure to
maintain a proper tickler system, discussed in the context of Rule 1.3, also constituted a
violation of Rule 8.4.  Ficker has excepted to that ruling, largely for the reasons we discussed
above.  In Ficker I, supra, 319 Md. 305, 315, 572 A.2d at 501, 506, we concluded a failure
to appear caused by the lack of a proper calendar system can constitute conduct prejudicial
to the administration of justice, and thus a violation of Rule 8.4.  His exception is overruled.
CONCLUSION
We have found the following violations by Ficker:  in Jordan, violations of Rules 1.1
and 5.1; in Klein, a violation of Rule 5.1; in Ruby, a violation of Rules 1.3, 3.4, and 8.4(d);
and in Schulze, a violation of Rules 1.1, 1.3, and 8.4(d).  Unquestionably, the most serious
violations were those emanating from Ficker’s practice of assigning and handling cases in
such a manner that  the lawyer ultimately charged with actually representing the client  went
into court unprepared or missed scheduled trial dates entirely.  That was the situation in
Jordan, Klein, and Schulze.  Although some of those instances occurred before we filed our
opinion in Ficker I, they all arose after Ficker became aware, as the result of two of the
instances that led to Ficker I, that he needed to change his method of operation.  What is
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apparent, not just from the facts of these particular incidents but also from the testimony by
Ficker and his associates of how he conducted his practice generally, is that he was running
a high-volume operation without adequate managerial safeguards and that, as a result, clients
were not afforded competent representation.
Lest there be any possible misunderstanding, we make clear that, absent some
compelling extenuating circumstance, it is ordinarily unacceptable for a lawyer to appear in
court for a trial or other proceeding unprepared, and that doing so may constitute a violation
of Rule 1.1.  The degree of preparation required obviously depends on the nature, complexity,
and seriousness of the case, but, in the absence of an extenuating circumstance, appearing for
trial or other proceeding without having a reasonable understanding of the relevant facts and
legal issues and without having made a reasonable effort to gather relevant evidence does not
ordinarily constitute the kind of preparation required by the Rule.  Managing a law office in
such a manner that subordinate lawyers are put in that position does not comport with the
requirements of Rule 5.1, as it subjects those subordinate lawyers to liability under Rules 1.1
and 5.2.
There is no specific rule requiring lawyers to keep a tickler or calendar system.  Such
a system, however, is necessary to assure compliance with other rules, especially Rules 1.1
and 1.3.  When a lawyer has responsibilities under Rule 5.1 for other lawyers, such a system
becomes even more important.  Proper law office management is more than just a matter of
good business.  It has a clear and important bearing on professional responsibility as well.
See Ficker I, supra, 319 Md. 305, 572 A.2d 501; Attorney Griev. Comm’n v. Goldberg, 292
-34-
Md. 650, 441 A.2d 338 (1982); Sanchez v. State Bar, 555 P.2d 889 (Cal. 1976); State ex rel.
Oklahoma Bar Ass’n v. Braswell, 663 P.2d 1228 (Okla. 1983).
For the violations found in these cases, and in light of Ficker’s previous reprimand, we
believe that the appropriate sanction is an indefinite suspension from the practice of law, with
the right to reapply for admission after 120 days from the effective date of suspension.  The
suspension shall commence 30 days from the filing of this Opinion.  On or before the
commencement of the suspension Ficker shall (1) provide to Bar Counsel a list of all clients
by whom he is then retained and provide a copy of a letter to each such client indicating that
he is suspended from the practice of law pursuant to Order of this Court and advising the
clients of their right and need to seek alternative counsel, and (2) notify in writing all courts
of record in which his appearance has been entered that the appearance is withdrawn or
stricken due to his suspension.
As a condition to reapplication, Ficker shall:
 (1) pay all costs assessed by this Court;
 (2) demonstrate to the satisfaction of Bar Counsel that he has in place systems and
procedures necessary to assure that (A) the number of cases accepted does not exceed the
ability of the firm to handle them competently, (B) cases are assigned in a reasonable and
timely manner to allow the attorney assigned to do adequate preparation and to be able to
meet scheduled court appearances, (C) files are reviewed periodically and the responsible
lawyer keeps abreast of the status of his or her cases, and (D) messages and other information
regarding cases are promptly brought to the attention of the responsible lawyer and, when
-35-
appropriate, placed in the case file; and
(3) inform Bar Counsel of the name and address of a monitor, acceptable to Bar
Counsel, who will agree, at Ficker’s expense, to oversee Ficker’s practice of law for a period
of at least two years and to provide to Bar Counsel monthly reports for one year and quarterly
reports for the second year.
IT IS SO ORDERED; RESPONDENT SHALL PAY ALL
COSTS AS TAXED BY THE CLERK OF THIS
COURT, INCLUDING THE COSTS OF ALL
TRANSCRIPTS, PURSUANT TO MARYLAND RULE
16-715c, FOR WHICH JUDGMENT IS ENTERED IN
FAVOR OF ATTORNEY GRIEVANCE COMMISSION
OF MARYLAND AGAINST ROBIN  K. A. FICKER;
SUSPENSION SHALL COMMENCE 30 DAYS FROM
THE FILING OF THIS OPINION.