In th e S u p re m e Co u rt o f Ge o rg ia

De c id e d: Oc to b e r 6 , 2 0 1 4

S 1 3 Y1 74 7. IN THE MATTER OF WILLIAM S . VINCENT.

P ER CURIAM.

In Ja n u a r y 2 0 0 7

, Ge o rg ia la wy e r Willia m S

. Vin c e n t (S ta te Ba r No

.

7 2 7 80 1 ) wa s c on v ic te d o f wire fra u d up on a p le a o f g u ilty in th e U n ite d S ta te s

Distric t Co u rt fo r th e Distric t o f S o u th Ca ro lin a

. Ye a rs l a t er

, t h e S ta te Ba r

b e c a m e a wa re o f his c o n v ic tio n a n d c o m me n c e d d isc ip lin a ry p ro c e e d in g s.

V i n c e n t t h e n file d a p e titio n fo r v o lu n ta ry d isc ip lin e

— six y e a rs a fte r h e wa s

c o n v i c te d

— a c k n owle d g in g h is c o nv ic tio n

, a d m ittin g th a t h is c o n v ic tio n

a m o u n ts to a v io la tio n o f Ge o rg ia Ru le o f P ro fe ssio na l Co nd uc t 8 .4 (a ) (2 ), a n d

a g re e in g to su b m it to a su sp e n sio n o f h is lic e n se to p ra c tic e la w fo r a p e rio d o f

six to twe lv e m o n th s. We a p p o in te d Lin d a A. Kle in a s sp e c ia l m a ste r, a n d sh e

re c o m m e n d s th a t we a c c e p t th e p e titio n fo r v o lu n ta ry d isc ip lin e a n d su sp e n d

Vin c e nt fro m

th e p ra c tic e o f la w fo r a p e rio d o f six m o n th s.

Ac c o rd in g to th e pe titio n fo r v o lu n ta ry d isc ip l i n e a n d t h e re po rt o f th e

sp e c ia l m a ste r, Vin c e n t wa s a d m itte d to th e pra c tic e o f la w in G e o rg ia in 1 9 8 2

.Ea rly in h is c a re e r, Vin c e n t se rv e d a s c o un se l to G o v e rn o r Jo e Fra n k Ha rris, wa s

e m p lo y e d a s a n a sso c ia te a t a la rg e Atla n ta la w firm

, a n d wo rk e d fo r th e Un ite d

S ta te s Go v e rn m e n t. H e la te r m o v e d to a c a de m ia

, te a c h in g a t se v e ra l c o lle ge s

a n d u n iv e rsitie s. S in c e jo in in g a c a de m ia

, Vin c e n t h a s m a in ta in e d o n ly a lim ite d

la w p ra c tic e

, o c c a sio n a lly h e lp in g a c q ua in ta n c e s o n a p ro b o n o b a sis a n d d o in g

so m e e sta te p la n n in g a n d b u sin e ss la w wo rk

.

In 2 0 0 3

, wh ile e m

p lo y e d a s a t e a c h e r, Vin c e n t o ffe re d to h e lp a stu d e n t

fin d fin a n c in g fo r a film p ro je c t. As Vin c e nt re se a rc h e d wa y s in wh ic h to ra ise

c a p ita l fo r th e p ro

je c t, h e le a rn e d o f a n in v e s t me n t p ro g ra m th a t in v o lv e d

m e d iu m -te rm

, h ig h -y ie l d n o te s. In h is re se a rc h, h e d id n o t le a rn a n y th in g

u n fa vo ra b le a bo u t th is in v e stm e n t p ro g ra m

, a n d he a p p are n tly b e lie ve d th a t th e

p ro g ra m wa s a le g itim a te o n e

. He a g re e d to p re se n t th e in v e stm e n t p ro g ra m to

p o te ntia l in v e sto rs. As it tu rn e d o u t, h o we ve r, th e in ve st me n t p r o g ra m wa s a

sc a m

, a n d th e p o te n tia l in v e sto rs to wh o m h e p re s e n t e d it we re a g e n ts o f th e

F e d e ra l Bu re a

u o f In v e stig a tio n

. A s a re su lt o f h is p re se nta tio n o f th e in v e stm e n t

p ro g ra m , Vin c e n t wa s c h a rg e d with wire fra u d . Wh e n V in c e n t wa s c o n v ic te d

,

h e wa s se n te n c e d to p ro ba tio n fo r th re e y e ars a n d o rd e re d to p a y a sp e c ia l

a sse ssm e n t o f $ 1 0 0

, a lth o u g h h i s p ro b a tio n wa s te rm in a te d e a rly a fte r o n ly

2e le v e n m o nth s. No ta b ly

, a t h i s p le a h e a rin g

, th e Assista n t Un ite d Sta te s A tto rn e y

sa id :

We b e lie v e th a t [Vin c e n t a n d h is c o -d e fe n d a nt] b o th a c tu a lly

b e lie v e d th e in v e stm e n t wa s re a l, b u t h a d d e m o nstra te d will f u l

b lin dn e ss in n o t d o in g d u e d ilig e n c e a n d a lso a re g u ilty b a se d u p o n

th e ir u se o f fa lse sta te m e n ts to in d u c e in v e stm e n t. T h i s is

p a rtic u la rly tru e a s t o M r

. Vin c e n t, w h o is, in fa c t, a p ra c tic in g

a tto rn e y a n d a n in stru c to r in b u sin e ss c o urse s a t Me rc e r Un iv e rsity

, wh o with th e le a st a m o un t o f re se a rc h wo u ld ha v e fo un d n u m e ro u s

c a se s th a t de m o n stra te th e se p ro g ra m s to b e fra u d u le n t. Th e re wa s

n o a c tu a l lo ss in vo lv e d with th e ir a tte m p t to se ll [th e F BI a g e nts] a

p ro g ra m

. An d w e h a v e in v e stig a te d a n d h a v e fo u n d n o e v id e n c e

th a t e ith e r h a s e ve r o b t a i n e d m o n e y fro m o th e rs in th e pa st. We

d o n ’t b e lie v e th e ir in te n t wa s to c a u se a n y lo ss to a n y o ne

, so th e re

wa s n o in te n d e d lo ss fo r [se nte n c in g ] g u id e lin e c a lc u la tio n s.

Th e re fo re

, th e y a re p ro b a t i o n e lig ib le

. Ju d g e

, th e d a n g e r w ith

p e o p le lik e th e se d e fe n d a n ts is th a t wi t h t h e ir g oo d c re de n tia ls,

p e o p le b e lie v e a n d re ly o n th e m an d th e y win d u p fu n n e lin g

in v e sto rs to t h e r e a l c ro o k s wh o ste a l th e m o n e y in th e se sc a m s.

Bo th d e fe n d a n ts h a v e be e n v e ry c o o p e ra tiv e sin c e th e y we re first

a rre ste d

.

Vin c e nt ne v e r n o tifie d th e S ta te Ba r o f h is c o n v ic tio n a nd m a in ta in e d h is a c tiv e

m e m b e rsh ip in th e Sta te Ba r, b u t h e sa y s th a t h e v o lu n ta rily c e a se d p r a c tic in g

la w im m e d ia te ly a fte r h is c o n v ic tio n a nd d id n o t re su m e th e pra c tic e of la w u n til

a fte r h is p ro b a tio n wa s te rm in a te d

.

Th e sp e c ia l m a ste r fo u nd th a t Vin c e n t v io la te d Ru l e 8

. 4 (a ) (2 ), b u t sh e

a lso fo u n d a n um

b e r o f m itig a tin g c irc u m sta n c e s. A m o n g o th e r th in g s, th e

3s p ec ia l m a ste r n o te d th a t Vin c e nt h a s n o o th e r c rim in a l re c o rd

, th a t h e h a s n o

h isto ry o f p rio r d isc ip lin e

, th a t h e a pp e a rs n o t to h a v e h a d a d ish o ne st o r se lfish

m o tiv e in p ro m otin g a n in v e stm e n t p ro g ra m th a t h e sh o u ld h a v e kn own (b u t d id

n o t k n o w) wa s a sc a m to b e n e fit a stu de n t, th a t n o o n e wa s a c tu a lly in ju re d b y

h is p ro m o tio n o f th e in v e stm e n t p ro g ra m

, th a t h e c o o p e ra te d w ith th e F BI, th a t

h e c o o p e ra te d with th e S ta te Ba r a fte r it le a rn e d o f h is c o n v ic tio n

, an d t h a t h e

p ro fe sse s re m o rse fo r h is wro n g d o in g

. B a se d o n th e a ffid a v its o f se v e ra l

c o lle a gu e s, c l i e n t s

, a

n d a c q u a i n t a n c e s, th e sp e c ia l m a ste r a lso fo un d th a t Vin c e n t

a p p e a rs g e n e ra lly to b e “ a m a n o f v e ra c ity

, in te g rity

, lo y a lty

, an d d e d ic a tio n to

g o o d wo rk .”

We a g re e th a t a nu m

b e r o f m itig a tin g c irc u m sta n c e s a p pe a r in th is c a se

,

e sp e c ia lly c o n sid e rin g th e sta te m e n t o f th e fe d e ra l p r o s e c u to r th a t Vin c e n t

a p p a re n tly b e lie v e d g e nu in e ly th a t th e in v e stm e n t p ro g ra m h e p ro m ote d wa s a

le g itim a te o n e a n d th a t n o p e r s o n a c tu a lly wa s ha rm e d b y h is p ro m o tio n

.

Ne v e rth e le ss, we a re c o n c e rn e d th a t Vin c e n t d id n o t re p ort his c on vic tio n to th e

S ta te Ba r. Alth o u g h h e m a y ha v e c o o p e ra te d with th e S ta te Ba r th ro u g h o u t th e

d isc ip lin a ry p ro c e e d in g s, th a t d o e s n o t c h a ng e th e fa c t th a t Vin c e n t did n o th in g

fo r ne a rly six y e a r s t o a d v ise th e Sta te Ba r o f h is c on vic tio n, a n d h e

4“ c o o p e ra te d ” o n ly a fte r th e S ta te Ba r le a rn e d o f h i s c o n v ic tio n on its o wn

.

Vin c e nt c la im s th a t th e se n te n c in g ju d g e in d ic a te d a t th e p le a h e a rin g th a t th e

ju d g e wo u l d n o t ify th e Sta te Ba r, b u t w e fin d n o th in g in th e p le a tra n sc rip t to

su p p o rt th a t c la im

. An d in a n y e v e n t, wh e n a l a wy e r is c o nv ic te d of a se rio u s

c rim e

, it is h i s o b l i g a t i o n to p ro m p tly a p p rise th e S ta te Ba r o f th e c o n v ic tio n

.

S e e Ga

. R. P ro f. Co nd u c t 9.1 (a ) (2 ) (la w y e r “ sh a ll, with in six ty d a y s, n o tify th e

S ta te Ba r o f Ge o rg iao f . . . b e in g c o n v ic te d o f a n y fe lo n y ” ).

We a c c e p t th e p e titio n fo r v o lu n ta ry d isc ip lin e

, b ut in lig h t o f th e fa ilu re

o f Vin c e n t to tim e ly a d v ise th e S ta te Ba r o f h is c o n v ic tio n

, w e d o n o t th in k th a t

a su sp e n sio n o f o n ly six m o n th s — fiv e m o n th s le ss th an th e te rm o f pro b a tio n

th a t Vin c e n t a c tu a lly se rv e d fo r h is c o n v ic tio n — is a p pro p ria te

. Ac c o rd in gly

,

th e Co u rt d ire c ts th a t W illia m S

. Vin c e nt b e su sp e n d e d fro m th e p ra c tic e o f la w

in th e S ta te o f Ge o rg ia fo r a p e rio d o f twe lv e m o n th s, e ffe c tiv e a s o f th e d a te o f

th is o p in io n

. Vin c e nt is re m in d e d o f h is d u tie s p u rsu a n t to Ba r Ru le 4 -2 1 9 (c ).

Twe lv e -m o n th su sp e nsio n . All th e Ju stic e s c o n c u r.

5