Title: Disciplinary Counsel v. Simon

State: ohio

Issuer: Ohio Supreme Court

Document:

[Until this opinion appears in the Ohio Official Reports advance sheets, it may be cited as 
Disciplinary Counsel v. Simon, Slip Opinion No. 2016-Ohio-535.] 
 
 
 
 NOTICE 
This slip opinion is subject to formal revision before it is published in an 
advance sheet of the Ohio Official Reports.  Readers are requested to 
promptly notify the Reporter of Decisions, Supreme Court of Ohio, 65 
South Front Street, Columbus, Ohio 43215, of any typographical or other 
formal errors in the opinion, in order that corrections may be made before 
the opinion is published. 
 
 
SLIP OPINION NO. 2016-OHIO-535 
DISCIPLINARY COUNSEL v. SIMON. 
[Until this opinion appears in the Ohio Official Reports advance sheets, it 
may be cited as Disciplinary Counsel v. Simon, Slip Opinion No.  
2016-Ohio-535.] 
Attorneys—Misconduct—Violations of the Rules of Professional Conduct, 
including failing to inform a client of any decision or circumstance with 
respect to which the client’s informed consent is required and failing to keep 
a client reasonably informed about the status of a matter—Conditionally 
stayed six-month suspension. 
(No. 2014-2155—Submitted June 23, 2015—Decided February 17, 2016.) 
ON CERTIFIED REPORT by the Board of Commissioners on Grievances and 
Discipline of the Supreme Court, No. 2014-013. 
_______________________ 
Per Curiam. 
{¶ 1} Respondent, Thomas John Simon of Ashtabula, Ohio, Attorney 
Registration No. 009725, was admitted to the practice of law in Ohio in 1981.  On 
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February 16, 2011, we suspended Simon from the practice of law for one year, fully 
stayed on conditions, for commingling personal and client funds in his client trust 
account and failing to cooperate in the ensuing disciplinary investigation.  
Disciplinary Counsel v. Simon, 128 Ohio St.3d 359, 2011-Ohio-627, 944 N.E.2d 
660. 
{¶ 2} On July 16, 2014, relator, disciplinary counsel, filed an amended 
complaint with the Board of Commissioners on Grievances and Discipline1 
charging Simon with multiple violations of the Rules of Professional Conduct in 
two separate legal matters arising primarily from his alleged failure to reasonably 
communicate with his clients.  In his answer, Simon admitted many of the alleged 
facts and that his conduct violated Prof.Cond.R. 1.4(c) (requiring a lawyer to inform 
the client if the lawyer does not maintain professional liability insurance), but he 
denied the remaining allegations of misconduct. 
{¶ 3} The parties submitted stipulated facts and exhibits and a panel of the 
board conducted a hearing.  Based on the stipulated facts and the testimony of 
Simon and the affected clients, the panel found that Simon failed to keep two clients 
reasonably informed about the status of their legal matters, failed to obtain their 
informed consent about certain aspects of their legal matters, neglected one client’s 
matter, and failed to advise the other client that he did not carry malpractice 
insurance.  The panel also unanimously dismissed allegations that he knowingly 
made a false statement of material fact in connection with his disciplinary matter 
and engaged in conduct that was prejudicial to the administration of justice. 
{¶ 4} The board adopted the panel’s findings of fact and misconduct as well 
as its recommendation that Simon be suspended from the practice of law for two 
years, with 18 months stayed on the condition that he engage in no further 
misconduct.  Simon objects to the board’s findings of fact and recommended 
                                                 
1 Effective January 1, 2015, the Board of Commissioners on Grievances and Discipline has been 
renamed the Board of Professional Conduct.  See Gov.Bar R. V(1)(A), 140 Ohio St.3d CII. 
January Term, 2016 
 
3
sanction, arguing that relator failed to establish the alleged misconduct by clear and 
convincing evidence and that his stipulated misconduct warrants, at most, a fully 
stayed suspension. 
{¶ 5} Having thoroughly reviewed the record, we conclude that relator has 
proven by clear and convincing evidence that Simon engaged in the charged 
misconduct.  Therefore, we overrule Simon’s first objection and adopt the board’s 
findings of fact and misconduct.  Having considered the applicable aggravating and 
mitigating factors, however, we conclude that a six-month suspension, fully stayed 
on the condition that Simon engage in no further misconduct, is the appropriate 
sanction in this case. 
Misconduct 
Count One—Danny Hubbard 
{¶ 6} Following the termination of his employment with the village of 
Jefferson, Danny Hubbard retained Simon to pursue a wrongful-termination claim 
shortly before the applicable statute of limitations expired.  Simon timely filed a 
complaint without requiring Hubbard to pay a retainer. 
{¶ 7} Hubbard went to the courthouse for a scheduled pretrial hearing in 
July 2011 and waited in the hallway outside of the courtroom, but Simon failed to 
appear.  Consequently, the court ordered Hubbard to pay the defendants reasonable 
attorney fees of $150 and scheduled a hearing for Hubbard to show cause why his 
complaint should not be dismissed.  After receiving a copy of the entry, Hubbard 
called Simon, who explained that he had simply forgotten to appear at the hearing.  
Simon appeared at the show-cause hearing, and the court scheduled the matter for 
mediation and a jury trial. 
{¶ 8} Simon did not respond to the defendants’ first set of interrogatories 
and requests for production of documents in early July, their renewed requests in 
September, their October motion to compel discovery, or the court’s order granting 
their motion to compel.  And Hubbard testified that Simon never discussed any of 
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the discovery requests with him.  Rather than oppose the defendants’ motion for 
summary judgment, Simon voluntarily dismissed Hubbard’s complaint, but 
Hubbard testified that Simon never discussed that course of action before taking it.  
Because Hubbard was unable to find new counsel willing to represent him, he did 
not refile the case. 
{¶ 9} Hubbard submitted a grievance to the certified grievance committee 
of the Ashtabula County Bar Association, but the committee decided not to file a 
complaint.  Hubbard appealed that decision to the secretary of the Board of 
Commissioners on Grievances and Discipline.  After investigating Hubbard’s 
grievance, relator filed a formal complaint alleging that Simon’s conduct violated 
Prof.Cond.R. 1.4(a)(1) (requiring a lawyer to inform the client of any decision or 
circumstance with respect to which the client’s informed consent is required), 
1.4(a)(3) (requiring a lawyer to keep the client reasonably informed about the status 
of a matter), and 1.4(c) (requiring a lawyer to inform the client if the lawyer does 
not maintain professional liability insurance and obtain a signed acknowledgment 
of that notice from the client). 
{¶ 10} Simon stipulated that he failed to advise Hubbard that he did not 
carry professional liability insurance and that his conduct violated Prof.Cond.R. 
1.4(c).  But he argued that he kept his client reasonably informed about the status 
of his matter through telephone conversations and letters.  In support of that 
argument, he submitted five letters that he claimed to have sent to Hubbard 
regarding his case—at least three of which Hubbard denied having received. 
{¶ 11} The first disputed letter, dated July 16, 2010, stated that Simon was 
willing to represent Hubbard but that he would require payment of a $3,750 
retainer.  In the second disputed letter, dated February 14, 2011, Simon reiterated 
that he could not continue the representation beyond the filing of the complaint 
unless he received the requested $3,750 retainer.  That letter also suggested that if 
the retainer was not paid and Hubbard could not find another attorney, Hubbard 
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could voluntarily dismiss the complaint to extend the statute of limitations for an 
additional year.  The third disputed letter, dated November 23, 2011, stated that 
Simon filed a notice of dismissal, effectively extending the statute of limitations for 
Hubbard’s claim an additional year; identified the deadline for refiling the case; 
and advised Hubbard that Simon was willing to continue the representation if he 
paid a retainer. 
{¶ 12} But Hubbard testified that he had not received these letters from 
Simon and that he learned that his complaint had been dismissed when he went to 
the courthouse and spoke to the judge’s secretary about the status of his case.  
Moreover, he stated that Simon (1) never informed him that he would need to pay 
a retainer to commence or maintain the representation, (2) never discussed the 
defendants’ discovery requests with him, and (3) never discussed the notice of 
dismissal with him before filing it. 
{¶ 13} While Hubbard admitted that he received as many as three or four 
letters from Simon, he also testified that he is dyslexic and that he had a friend read 
the letters to him to ensure that he fully comprehended them.  The board found that 
under intense cross-examination, Hubbard maintained that he did not receive 
Simon’s July 16, 2010, February 14, 2011, and November 23, 2011 letters, and that 
Simon never informed him that he would dismiss the complaint if he did not pay a 
retainer. 
{¶ 14} The panel found Hubbard’s testimony to be more credible than 
Simon’s.  Therefore, in addition to Simon’s stipulated violation of Prof.Cond.R. 
1.4(c), the panel determined that Simon failed to obtain Hubbard’s informed 
consent before dismissing his complaint and failed to keep Hubbard reasonably 
informed about the status of his legal matter in violation of Prof.Cond.R. 1.4(a)(1) 
and (3).  The board adopted those findings. 
{¶ 15} Simon objects to the board’s findings, arguing that relator failed to 
present clear and convincing evidence—sufficient to produce a firm belief or 
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conviction as to the facts sought to be established—that his conduct in the Hubbard 
matter violated Prof.Cond.R. 1.4(a)(1) and (3).  See Cross v. Ledford, 161 Ohio St. 
469, 120 N.E.2d 118 (1954), paragraph three of the syllabus (defining clear and 
convincing evidence).  The essence of Simon’s argument is that due to 
inconsistencies in Hubbard’s testimony, the panel should have determined that 
Simon’s testimony, supported by copies of the letters that he claimed to have sent 
to Hubbard, was more credible.  Simon therefore urges us to review the deposition 
and hearing transcripts and assess the credibility of the witnesses for ourselves. 
{¶ 16} We have held that this court renders the final determination of the 
facts in disciplinary cases and that we are not bound by the findings of the board.  
Ohio State Bar Assn. v. Reid, 85 Ohio St.3d 327, 708 N.E.2d 193 (1999), paragraph 
one of the syllabus.  We have also acknowledged that the panel members are in a 
better position to assess the credibility of the witnesses, because they are able to see 
and hear the witnesses firsthand.  See, e.g., Cincinnati Bar Assn. v. Statzer, 101 
Ohio St.3d 14, 2003-Ohio-6649, 800 N.E.2d 1117, ¶ 8.  And for that reason, we 
ordinarily defer to the panel’s credibility determinations unless the record weighs 
heavily against those findings.  Id. 
{¶ 17} While there were some inconsistencies in Hubbard’s testimony, 
particularly with regard to the dates he met with Simon, his testimony regarding the 
key elements of relator’s claim remained consistent.  And although the panel did 
not explain why it found Simon’s testimony to be less credible than Hubbard’s, we 
note that Simon’s version of events had even more troubling inconsistencies.  For 
example, in responding to the initial inquiry regarding Hubbard’s grievance, Simon 
did not mention, let alone produce, the letters that are now the key to his defense.  
And when he submitted documents to the certified grievance committee three 
months later, the one letter that Hubbard indisputably received was conspicuously 
absent.  That letter, forwarding a time-stamped copy of the complaint, instructed 
Hubbard to refer all inquiries about the case to Simon and outlined Simon’s plans 
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to commence discovery—without mentioning the need for a retainer or Simon’s 
intent to dismiss the complaint.  While the panel found that this evidence was 
insufficient to prove that any of the letters Simon produced had been fabricated,2 
we find that it is nonetheless sufficient to cast doubt on Simon’s credibility. 
{¶ 18} Therefore, we conclude that the record does not weigh heavily 
against the board’s credibility findings, overrule Simon’s first objection with 
respect to the Hubbard matter, and adopt the board’s findings of fact and 
misconduct with respect to this count. 
Count Two:  The Grippi Matter 
{¶ 19} In April 2010, Louis Grippi retained Simon to represent him in 
connection with a wrongful-termination claim against his former employer, the city 
of Ashtabula, and a related unfair-labor-practice claim against his union for 
refusing to pursue arbitration of that claim.3  He later retained a separate attorney 
to pursue related federal claims. 
{¶ 20} Simon filed a complaint against the Ashtabula city manager and the 
president of the union in the Ashtabula County Court of Common Pleas in 
November 2010.  The following month, the city manager answered the complaint 
and filed a motion for judgment on the pleadings, and the union moved to dismiss 
the complaint.  Although Simon sought and obtained leave to respond to the 
defendants’ dispositive motions by April 15, 2011, he never actually filed a 
response.  Consequently, the judge dismissed Grippi’s case with prejudice on 
August 10, 2011. 
                                                 
2 Based on the insufficiency of the evidence regarding the alleged fabrication of the letters, the panel 
unanimously dismissed alleged violations of Prof.Cond.R. 8.1(a) (prohibiting knowingly making a 
false statement of material fact in connection with a disciplinary matter) and 8.4(d) (prohibiting a 
lawyer from engaging in conduct that is prejudicial to the administration of justice). 
3 Grippi’s claim against the union was dismissed by the State Employment Relations Board on July 
22, 2010. 
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{¶ 21} Unaware that his case had been dismissed, Grippi sent Simon a letter 
by certified mail asking for a status update.  But on August 18, 2011, he read in the 
local newspaper that the case had been dismissed with prejudice.  When Grippi 
inquired about the dismissal, Simon agreed to appeal it.  He timely filed a notice of 
appeal, but when he failed to file an appellate brief after receiving multiple 
extensions of time, Grippi terminated his representation and hired the attorney who 
was handling his federal claims to complete the appeal.  The court of appeals 
ultimately affirmed the dismissal of the action with prejudice.  Grippi v. 
Cantagallo, 11th Dist. Ashtabula No. 2011-A-0054, 2012-Ohio-5589. 
{¶ 22} The panel members heard conflicting testimony from Simon and 
Grippi.  Simon testified that Grippi frequently stopped by his office and received 
updates about his case during those visits.  But the panel members believed that 
Simon failed to keep Grippi informed about the status of the case and that he 
allowed the case to be dismissed with prejudice without even notifying Grippi that 
the defendants had filed dispositive motions.  Therefore, the panel and board found 
that Simon violated Prof.Cond.R. 1.3 (requiring a lawyer to act with reasonable 
diligence in representing a client), 1.4(a)(1), and 1.4(a)(3). 
{¶ 23} Simon objects, arguing that there is insufficient evidence to support 
the board’s findings that he committed any misconduct in the Grippi matter.  First, 
he contends that Grippi admitted to having brief conversations about the 
defendants’ dispositive motions, though Grippi claimed to have not known whether 
Simon intended to respond to those motions.  Simon also argues that Grippi knew 
about the possibility of dismissal because he admitted that Simon had mentioned 
Civ.R. 41 to him at some point during the representation.  But Grippi also testified 
that while he remembered Simon mentioning the rule number, he had not known 
what the rule entailed. 
{¶ 24} We conclude that the testimony identified by Simon does not weigh 
heavily against the panel’s findings that Simon not only failed to keep Grippi 
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reasonably informed about the status of his case but also failed to obtain Grippi’s 
informed consent to allow the defendants’ dispositive motions to remain 
unopposed.  Furthermore, Simon’s performance of what he describes as 
“substantial work” on Grippi’s case cannot excuse (1) his failure to discuss his 
litigation strategy with his client, (2) his failure to obtain his client’s consent before 
letting the defendants’ dispositive motions go unopposed, or (3) his failure to timely 
file an appellate brief.  Therefore, we overrule Simon’s objection with regard to this 
matter and adopt the board’s findings of fact and misconduct with respect to this 
count. 
Sanction 
{¶ 25} When imposing sanctions for attorney misconduct, we consider 
relevant factors, including the ethical duties the lawyer violated and the sanctions 
imposed in similar cases.  Stark Cty. Bar Assn. v. Buttacavoli, 96 Ohio St.3d 424, 
2002-Ohio-4743, 775 N.E.2d 818, ¶ 16.  In making a final determination, we also 
weigh evidence of the aggravating and mitigating factors listed in BCGD Proc.Reg. 
10(B).4  Disciplinary Counsel v. Broeren, 115 Ohio St.3d 473, 2007-Ohio-5251, 
875 N.E.2d 935, ¶ 21. 
{¶ 26} As aggravating factors, the board found that Simon had a prior 
disciplinary offense, engaged in multiple offenses by failing to reasonably 
communicate with two separate clients on multiple occasions, and failed to 
acknowledge the wrongful nature of his conduct.  See BCGD Proc.Reg. 
10(B)(1)(a), (d), and (g).  In mitigation, the board found that Simon did not act with 
a dishonest or selfish motive and presented plentiful evidence of his good character 
and reputation apart from the charged misconduct, including testimony from three 
judges, six current or former law-enforcement officers, and four letters of reference.  
See BCGD Proc.Reg. 10(B)(2)(b) and (e).  The board acknowledged that Simon’s 
                                                 
4 Effective January 1, 2015, the aggravating and mitigating factors previously set forth in BCGD 
Proc.Reg. 10(B) are codified in Gov.Bar R. V(13), 140 Ohio St.3d CXXIV. 
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clients “were arguably not harmed by his inaction in their cases,” though it did not 
attribute any aggravating or mitigating effect to that fact. 
{¶ 27} Having considered Simon’s conduct, the applicable aggravating and 
mitigating factors, and the sanctions imposed for comparable misconduct, the board 
recommended that we suspend Simon for two years, with 18 months stayed on the 
condition that he engage in no further misconduct. 
{¶ 28} The board found that but for Simon’s prior discipline, the facts of 
this case were strikingly similar to Lorain Cty. Bar Assn. v. Godles, 128 Ohio St.3d 
279, 2010-Ohio-6274, 943 N.E.2d 988.  After filing a personal-injury action on 
behalf of a client, Godles elected to voluntarily dismiss the case rather than respond 
to discovery requests, a motion to compel discovery, and a court order to compel 
discovery.  Id. at ¶ 5-6.  Godles claimed that he called and wrote to the client to 
advise him of his intent to withdraw from the representation and voluntarily dismiss 
the case, but the client testified that the conversation never occurred and that he 
never received the letter.  Id. at ¶ 7.  Despite the conflicting testimony and 
credibility issues of the witnesses, we found that Godles did “very little” work and 
failed to fully communicate with the client in violation of Prof.Cond.R. 1.4(a)(1) 
through (5), and failed to advise the client that he did not carry professional liability 
insurance in violation of Prof.Cond.R. 1.4(c).  Id. at ¶ 12, 14.  And we publicly 
reprimanded him for that conduct.  Id. at ¶ 18. 
{¶ 29} In Disciplinary Counsel v. Turner, 140 Ohio St.3d 109, 2014-Ohio-
3158, 15 N.E.3d 851, we imposed a fully stayed two-year suspension on an attorney 
who deposited personal funds into his client trust account, used the account only to 
pay his personal and business expenses, and failed to cooperate in the disciplinary 
process.  While Turner’s misconduct is not similar to Simon’s, the panel noted that 
the aggravating factors of prior discipline and an initial failure to cooperate in the 
disciplinary process are comparable to Simon’s prior discipline and failure to 
acknowledge the wrongful nature of his conduct, see id. at ¶ 16-18. 
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{¶ 30} The panel also noted that while we have imposed actual suspensions 
from the practice of law in cases involving the neglect of client matters, those cases 
involved dishonest conduct, which has not been proven here.  See, e.g., Medina Cty. 
Bar Assn. v. Malynn, 131 Ohio St.3d 377, 2012-Ohio-1293, 965 N.E.2d 299 
(imposing a two-year suspension with six months stayed for misconduct including 
the failure to preserve the identity of client funds, failure to reasonably 
communicate with a client, failure to cooperate in multiple disciplinary 
investigations, 
and 
conduct 
involving 
dishonesty, 
fraud, 
deceit, 
or 
misrepresentation); Toledo Bar Assn. v. Harvey, 141 Ohio St.3d 346, 2014-Ohio-
3675, 24 N.E.3d 1106 (imposing a two-year suspension with six months stayed for 
an attorney’s failure to provide competent representation, failure to reasonably 
consult with a client, several client trust account violations, conduct prejudicial to 
the administration of justice, and failure to cooperate in the ensuing disciplinary 
investigation). 
{¶ 31} Comparing the facts of this case to Godles, Turner, Malynn, and 
Harvey, the panel and board recommend that we suspend Simon from the practice 
of law for two years, with 18 months stayed on the condition that he commit no 
further misconduct. 
{¶ 32} Simon objects to the board’s recommended sanction, arguing that it 
failed to accord any mitigating effect to his clients not suffering harm as a result of 
his misconduct, and that it failed to acknowledge his full and free disclosure in 
connection with this matter.  He also contends that the board should have accorded 
greater weight to his character evidence given the stature of the witnesses who 
testified on his behalf and that he should not receive a sanction greater that a fully 
stayed suspension. 
{¶ 33} We reject Simon’s invitation to reconsider the board’s assessment of 
the applicable aggravating and mitigating factors.  Nonetheless, we conclude that 
the sanction recommended by the board is not consistent with the sanctions 
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imposed in the two cases that the board found to be most instructive—Godles and 
Turner.  Comparing Simon’s misconduct and the applicable aggravating and 
mitigating factors to those cases, we believe that his sanction should be greater than 
the public reprimand imposed in Godles but less than the fully stayed two-year 
suspension imposed in Turner.  Therefore, we conclude that the proper sanction for 
Simon’s misconduct is a six-month suspension, fully stayed on the condition that 
he commit no further misconduct. 
{¶ 34} Accordingly, we overrule Simon’s first assignment of error, sustain 
Simon’s second assignment of error in part, and suspend him from the practice of 
law in Ohio for six months, fully stayed on the condition that he commit no further 
misconduct.  If Simon engages in additional misconduct, the stay will be lifted and 
he will serve the entire six-month suspension.  Costs are taxed to Simon. 
Judgment accordingly. 
PFEIFER, KENNEDY, FRENCH, and O’NEILL, JJ., concur. 
O’CONNOR, C.J., and O’DONNELL and LANZINGER, JJ., dissent and would 
suspend the respondent for 24 months with 18 months stayed. 
_________________ 
Scott J. Drexel, Disciplinary Counsel, and Stacy Solochek Beckman and 
Donald M. Scheetz, Assistant Disciplinary Counsel, for relator. 
Richard C. Alkire Co., L.P.A., Richard C. Alkire, and Dean C. Nieding, for 
respondent. 
_________________