Opinion ID: 1258
Heading Depth: 1
Heading Rank: 2

Heading: Roman's Misconduct in this Court

Text: We concur with the Committee's recommendation that a period of suspension also is appropriate for Roman's misconduct in this Court. Lesser sanctions, such as a public or private reprimand or censure, would require either less egregious misconduct or greater mitigating factors. See, e.g., In re Liu, 282 Fed.Appx. 7, 7-8 (2d Cir.2008) (although conduct at issue generally would warrant a significantly greater sanction, public censure was imposed instead, based on mitigating factors and imposition of other, onerous corrective measures); cf. In re Flannery, 186 F.3d 143, 146-49 (2d Cir.1999) (imposing, on four attorneys, discipline ranging from monetary sanctions and public censure to two-year suspension for causing dismissal of clients' direct criminal appeals by failing to file briefs and ignoring subsequent orders to show cause why discipline should not be imposed). We acknowledge Roman's argument that his misconduct in this Court stemmed from the same set of facts and circumstances which led to the original suspension in the Ninth Circuit. Response to Committee Report at 3, 5, 7, 8. Although different cases and courts were involved, we understand this argument to mean that the same case management deficiencies led to Roman's problems in both circuits. We agree, but only in part. As noted by the Committee, several instances of misconduct in this Court post-dated the Ninth Circuit's November 2005 order to show cause why he should not be disciplined for certain similar misconduct in that court. See Report at 14-15. Moreover, neither the Ninth Circuit's analysis nor logic suggests that the Ninth Circuit's sanction was intended to cover, or should cover, any misconduct other than that discussed in the Ninth Circuit's order. In fact, it is quite possible that, had the Ninth Circuit been aware of Roman's additional misconduct in this Court, a longer suspension would have been imposed. Thus, we do not see complete overlap between the conduct addressed by the Ninth Circuit and that addressed in this order. Additionally, the fact that Roman continued to engage in misconduct in this Court after being put on notice by the Ninth Circuit about similar misconduct constitutes a significant aggravating factor. We also are disturbed by Roman's misrepresentations to this Court when he (a) permitted others to sign his name to pleadings that he failed to review prior to their filing in this Court, and (b) permitted materially inaccurate information to be submitted to the Court in those pleadings. Although Roman stated that he wasn't very aware of what was going on, Hearing Tr. at 27:25, we believe that he either knew of the misrepresentations, or was guilty of reckless disregard, since he knew that the cases existed and knew that they could not proceed to briefing and decision without the input, and signature, of counsel of record. See Fed. R.App. P. 32(d) (Every brief, motion, or other paper filed with the court must be signed by the party filing the paper or, if the party is represented, by one of the party's attorneys.). Far too many cases were involved, and far too much time passed, for any reasonable attorney to claim that he did not know how his cases were advancing to final decision. Finally, we also find that the other mitigating factors in this case do not present the type of extraordinary circumstances that might warrant divergence from the sanction called for by Roman's misconduct. Due to the partial overlap between the misconduct in the two circuits, we do not impose a lengthy term of suspension in addition to that imposed by the Ninth Circuit. However, we find that the lack of complete overlap warrants a consecutive, rather than concurrent, additional suspension. We believe that the additional, consecutive, term of suspension should be one month, for a total suspension term of seven months.