Opinion ID: 2615014
Heading Depth: 3
Heading Rank: 2

Heading: Reliance on Prior Judicial Rulings

Text: Respondent next contends that the committee inappropriately relied on and adopted in its findings various prior judicial rulings in the civil lawsuits made in connection with civil sanctions imposed for frivolous or groundless claims. Indeed, the committee quoted at length from various minute entry rulings awarding attorney's fees and sanctions in both the Levine, P.C., litigation and in the Abril v. Harris litigation. However, as bar counsel points out, the committee also tempered its reliance on these prior court rulings, and did not give them preclusive effect. Regarding the P.C. litigation, the committee stated: The Committee has made its own determination as to the lack of merit of these matters; it has not given any legal weight to the quoted findings of the trial court in reaching its findings in this disciplinary matter. Regarding the Abril v. Harris litigation, the committee stated: The Committee has given no legal or preclusive effect to the findings and conclusions of the Superior Court [in Abril v. Harris ] but, rather, after considering the evidence presented at the hearing, and the credibility of the witnesses, agrees with the findings quoted above and finds that they were proved at the hearing of this matter by clear and convincing evidence. (Emphasis added.) In rejecting respondent's objection on review that the committee's admission of these rulings was improper, the commission stated: The Commission understands the need for separate civil and disciplinary systems. Given the voluminous record, the detail contained in the court decisions, Respondent's willingness to rely on these decisions when they supported his position, and the Committee's assurances that it made independent findings of fact and conclusions of law, the Commission finds no fault with the Committee's references to civil court decisions. (Emphasis in original.) On appeal to this court, respondent cites various cases from other jurisdictions to support his proposition that the weight of judicial authority holds that prior judicial findings should not even be admitted into evidence in disciplinary proceedings. We reject this contention for several reasons. First, respondent stipulated to admission of these findings at the start of the proceedings, and introduced several prior judicial rulings in his own exhibits before the committee. Second, the cases respondent cites are either distinguishable or inapplicable to the proceedings before us. Even in the leading Massachusetts disciplinary case respondent cites, In re Santosuosso, 318 Mass. 489, 62 N.E.2d 105 (1945), the court, in discussing the preclusive effect of the proffered evidence, stated: We are unwilling to attach such conclusive effect to a judgment at law or a final decree in equity, based upon alleged corrupt conduct on the part of a defendant attorney, where the judgment or final decree entered rests upon findings that the attorney has been guilty of corrupt conduct. It may be observed that this was the position taken by the single justice in the present case in connection with his action in overruling the demurrer to the respondent's answer. We concur therein. But we are of [the] opinion that the evidence in the proceeding in equity in question is admissible in an inquiry such as the present [disciplinary proceedings], and like any other evidence is to be given such weight as the single justice shall deem proper, when considered together with all other evidence that the respondent may produce at the hearing, in the course of which he must be heard with full opportunity to present all relevant evidence that he may wish to adduce. 62 N.E.2d at 107-108 (emphasis added). Similarly, in other cases cited by respondent, the disciplinary courts merely held that the findings of other courts should not have preclusive effect in the disciplinary proceedings. See, e.g., In re Gygi, 273 Or. 443, 541 P.2d 1392, 1394-95 (1975) (finding of liability in civil securities suit by preponderance of evidence did not establish by collateral estoppel clear and convincing proof of ethical misconduct); In re Strong, 616 P.2d 583, 587-88 (Utah 1980) (hearing committee erroneously accepted findings in civil case of stock fraud and would not allow evidence to impeach or discredit those findings; court remanded for civil evidentiary hearing that could include the record in the prior civil trial); see also Caldwell v. State Bar, 13 Cal.3d 488, 119 Cal. Rptr. 217, 223, 531 P.2d 785, 791 (1975) (pleadings, findings of fact and conclusions of law and judgment in civil case regarding breach of respondent's duty to account for trust funds were admissible in subsequent disciplinary action because of essential identity of the factual issues in both proceedings); In re Wilson, 76 Ariz. 49, 53, 258 P.2d 433, 436 (1953) (transcripts and evidence from trial in underlying criminal action were admissible in disciplinary action). In this case, where respondent stipulated to admission of the civil records before the hearing committee, relied on those rulings where they were favorable to his position, and where he had extensive opportunity to present other evidence and expert witnesses to contradict findings that his claims were groundless or frivolous, including examination of one of the superior court judges regarding her reasoning in ruling against him, we find no error in admission of the prior judicial rulings which accompanied the full documentary history of those civil cases. We find no error because neither the committee nor the commission gave these rulings preclusive effect and because the committee specifically made independent findings and conclusions based on the totality of the evidence before it. The multiple judicial findings, over a course of years, that respondent's various claims were frivolous, groundless, or made in bad faith, were certainly relevant to establish that respondent had notice that some of his theories may not have been considered objectively reasonable or well-founded. In that light, this court will consider those prior judicial rulings as well. We now turn to the individual counts of the bar complaint.