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 2 0 , 2 0 1 4

S 1 5Y0 0 2 9 . IN THE MATTER OF P ERRY DEAN ELLIS

P ER CURIAM.

Th is d isc ip lin a ry m a tte r is b e fo re th e Co u rt o n th e re p o rt o f Sp e c ia l Ma ste r

Mic h a e l S u mne r, re c o m m e n d in g th a t th e Co u rt a c c e p t th e p e titio n fo r v o lu n ta ry

d i s c ip lin e file d b y P e rry De a n Ellis (S ta te Ba r No

. 2 4 5 8 3 6 ) a n d im p o s e a

Re v ie w P a n e l re p rim a nd in c o n n e c tio n with h is fa ilu re to p ro p e rly su p e rv ise a

n o n -la wy e r sta ff m e m

be r.

Afte r th e filin g o f a fo rm a l c o m p la in t, Ellis, wh o wa s a d m itte d to th e Ba r

in 1 9 9 0

, file d a p e titio n fo r vo lu n ta ry d isc ip lin e in lie u o f a n a n s w e r, se e Ba r

Ru le 4 -2 1 2 (d ) a n d 4 -2 2 7 (c ). In h is p e titio n

, Ellis a d m its th e fo llo win g fa c ts:

h is firm wa s re ta in e d to re p re se n t a c lie n t wh o wa s s e e k i n g wo rk e rs’

c o m p e nsa tio n b e n e fits. A v e ry e x p e r i e n c e d a sso c ia te a tto rn e y m e t with th e

c lie n t, o b ta in e d th e c lie nt’s sig n a tu re o n a re p re se n t at i o n a g r e e m e n t

, a n d h a n d le d

th e re p re se n ta tio n. Ellis k n e w th a t th e a sso c ia te wa s h an d lin g th e c lie n t’s c a se

,

b u t d id n o t m e e t with th e c lie n t.Du rin g th e c o u rse o f th e re p re se n ta tio n

, th e a sso c ia te d e te rm in e d th a t a n

e v a lu a tio n b y a re p u ta

b le in d e p e n d e n t o rth op a e dic h a n d sp e c ia list wh o wa s n o t

o n th e e m

p lo y e r’s list o f p h y sic ia n s m ig h t e n h a n c e th e c l i e n t’s c h a n c e s to

re c o v e r m o re c o m

p e n sa tio n i n h i s c la im

. Th e sp e c ia lty o rth op a e d ic p ra c tic e

wh e re th e c lie n t wa s to be e va lu a te d re q u ire d a dv an c e pa y m e n t. E llis’s firm h a d

a u su a l a n d c u sto m a ry p ra c tic e o f a ssistin g c lie n ts in se ttin g a p p o in tm e n ts fo r

d o c to rs wh o we re n o t o n th e e m p lo y e rs’ list o f ph y sic ia n s a n d o f e x pla in in g th a t

if th e do c to r re q u ire d p a y m e n t a t th e tim e o f se rv ic e

, th e firm c o u ld a ssist th e

c lie n t in o b ta in in g fi n an c i n g th ro u g h o n e o r m o re le n d in g c om p a nie s. If th e

c lie n t n e e d e d th is o p tio n a n d a g re e d to o b ta in th e lo a n

, th e firm wo u ld p ro v id e

th e lo a n a g re e m e n t to th e c lie n t fo r th e c lie n t’s sig n a tu re

. It wa s th e f i rm ’s

c u sto m a n d p ra c tic e to h a v e th e c lie n t sig n th e lo a n a g re e m e n t, b u t if th e c lie n t

sp e c ific a lly d ire c te d a n d g a v e a u th oriz a tio n to th e firm to sig n th e c lie nt’s n a m e

,

th e firmwo u ld d o so

.

In th is in sta n c e

, th e a sso c ia te a sk e d he r p a ra le g a l to e x p la in th e fin a n c in g

o p tio n to th e c lie n t a n d to a sk fo r th e c l i e n t ’s a u th o riz a tio n to sig n th e lo a n

a g re e m e n t d u e to th e urg e nc y to ob ta in th e p h y sic ia n ’s fe e p r i o r to th e

a p p o i n tm e n t. T h e p a ra le g a l in tu rn pa sse d th e re sp o n sib ility o ff to an o th e r,

2u n id e n tifie d

, sta ff m e m b e r. Th e sta ff m e m

b e r ta sk e d w ith c o m m

u n ic a tin g with

th e c lie nt wa s n o t fa m ilia r w ith th e firm ’s p ro c e du r e s

, a n d with o u t c o n ta c tin g

th e c lie nt, th e sta ff m e m

b e r c o m p le te d th e a

p p lic a tio n fo r a $1

, 0 0 0 lo a n a n d

sig ne d th e c lie n t’s a n d Ellis’s n a m e o n th e lo a n a p p lic a tio n a n d fo rwa rd e d it to

Glo ba l F in a n c ia l Cre d it (“ GF C” ). Ellis’s firm re c e iv e d th e fu n d s fro m GF C a n d

fo rwa rd e d th e m to th e p h y sic ia n

, wh o e v a lu a te d th e c lie n t a nd issu e d h is re p o rt.

Afte r re c e iv in g th e ph y sic ia n ’s re po rt, wh ic h d id no t e n h a n c e th e c lie n t’s

c h a n c e s o f re c o v e ry

, th e a sso c ia t e n e go tia te d a se ttle m e n t with th e c lie n t’s

e m p lo y e r fo r $2 ,5 0 0

, b u t th e c lie n t re je c te d th e o ffe r. T h e a sso c ia te th e re a fte r

g a v e n o tic e to th e c lie n t a nd th e S ta te Bo a rd of Wo rk e rs’ Co m p e nsa tio n th a t th e

fi r m w a s with d ra w in g fro m re p re se n tin g th e c lie n t. Th e c lie n t la te r se ttle d

d ire c tly with c o u n se l fo r his e m p lo y e r fo r th e a m o un t n e g o t i a te d b y Ellis’s

a sso c ia te

. Afte r GF C so u g h t to c o lle c t its lo an fro m th e c lie n t, th e c lie n t file d

a g rie v a n c e

, a lle g in g th a t h e h a d n o t sig n e d no r a u th oriz e d his sig n a tu re o n th e

lo a n a g re e m e n t. Ellis, h o we v e r, pa id t h e fu ll a m o un t d ue o n th e lo a n o n th e

c lie n t’s b e h a lf.

Ellis a d m its th a t b y th is c o n d u c t th a t h e vio la te d Ru le 5

. 3 (b ) o f th e

G e o r g i a Ru le s o f P ro fe ssio n a l Co n d u c t fo u nd in Ba r Ru le 4 -1 02 (d ). T h e

3m a x im

um v io la tio n fo r th e ] Ru le is d isb arm e nt. E llis o ffe re d a s m itig a tin g

c irc u m sta n c e s th a t h e is re m o rse fu l, th a t h e fu lly c o o p e ra te d with th e Sta te Ba r

in th e d is c i p l i n a r y p ro c e ss, th a t h e h a s a re pu ta tio n fo r g oo d c h a ra c te r in th e

le g a l c o m m

un ity a n d in h is c o m m

u n ity

, th a t h e p a id th e lo a n a m o u n t d u e , th a t

h e h a s n o p rio r d isc ip lin a ry h isto ry

, th a t h e h a d n o se lfish o r d ish o ne st m o tiv e

,

a n d th a t h e ha s issu e d a writte n d ire c tiv e to th e fi rm ’s a tto rn e y s a n d sta ff

m e m b e rs an d o b ta in e d th e ir a c k n o wle d g m e n t th a t it is n o t a p p ro p ria te n o r is

a n y o n e p e rm itte d to sig n th e n a m e of a n oth e r p e rso n w ith o ut in d ic a tin g th a t h e

is s i g n in g with e x p re ss p e rm issio n a n d th a t a p o we r o f a tto rn e y is re q u ire d to

sig n a no th e r p e rso n ’s n a m e o n a le g a l d o c u m e n t. He a sk s fo r th e im p o sitio n o f

a Re v ie w P a n e l Re p rim a n d

.

Th e S ta te Ba r file d a re sp o n se b e fo re th e S p e c ia l Ma ste r, sta tin g th a t it d id

n o t o b je c t to th e d isc ip lin e re qu e ste d

. Th e S pe c ia l M a ste r a c c e p te d th e p e titio n

a n d th e m itig a tin g c irc um sta n c e s p ro ffe re d a n d a g re e s th a t a Re v ie w P a n e l

re p rim a n d is th e a

p p ro p ria te sa n c tio n

.

Ha v in g re v ie we d th e re c o rd

, th e C o u r t c o n c lu d e s th a t a Re v ie w P a n e l

re p rim a n d is th e a p p ro p ria te sa n c tio n in th is c a se

, a n d we th e re fo re a c c e p t th e

p e titio n fo r vo lu n ta ry d isc ip lin e

. Ac c o rd in g ly

, th e Co u rt h e re b y ord e rs th a t Ellis

4re c e iv e a Re v ie w P a n e l re p rim a n d in a c c o rd a n c e with Ba r Ru le s 4 -1 0 2 (b ) (4 )

a n d 4 -2 2 0 (b ) fo r h is a dm itte d v io la tio n o f Ru le 5 .3 (b ).

P e titio n fo r v o lu nta ry d isc ip lin e a c c e p te d

. Re v ie w P a ne l re p rim a n d

. All

th e Ju stic e s c o n c u r. 4

5