Opinion ID: 854124
Heading Depth: 2
Heading Rank: 2

Heading: Cause 361Counts Two, Three, Four, Five, and Six

Text: Counts Two through Six under this cause all involve, in principal part, assertions of judicial misconduct stemming from Respondent presiding in cases involving parties with whom he had relationships that may give rise to, among other things, an appearance of impropriety or partiality. We have consolidated our discussion of these charges for that reason. Respondent first met Rita Neal in the spring of 1990. On June 1, 1990, Respondent entered an appearance and a plea of not guilty on behalf of Ms. Neal in a criminal misdemeanor proceeding pending in Marion Superior Court. The record is unclear as to whether the attorney-client relationship ended with that one appearance. We must presume so, in the absence of findings to the contrary. However, another form of relationship would later become established. Respondent began an intermittent sexual relationship with Ms. Neal in early 1992. In a statement given in 1996 to law enforcement authorities, Rita Neal described her relationship with Respondent by stating that he had represented her in a legal matter, then started flirting with [her], that she had been seeing him ever since. She further stated that the relationship was sexual in nature. Around March of 1996, Respondent started helping Neal financially. Ms. Neal stayed in various hotels and Respondent often paid for her room. Ms. Neal testified that between May and November, 1996, Respondent gave her between $300.00 and $500.00 most weeks. In November, 1996, Respondent and Rita Neal were stopped by the police in Henry County while they were driving in Respondent's vehicle. Rita Neal was then arrested on an outstanding warrant. In statements made to Henry County law enforcement officers in February, 1997, Respondent admitted to having a sexual relationship with Rita Neal that continued through the November date in 1996 when they were stopped in his vehicle. Against this backdrop of an entangled legal and personal relationship, we examine two instances in which Respondent presided in cases involving Ms. Neal. On October 24, 1991, in his capacity as a part-time commissioner in Henry Circuit Court, Respondent presided over a child visitation dispute in which Ms. Neal was a party, along with her former husband, Allen Neal. Present at the hearing were Ms. Neal, her attorney Jeff Galyen, Allen Neal, and his attorney. The issues remained pending before Respondent for many months. Allen Neal became concerned about why there had been no ruling for a long period of time so he had a conversation with Rita Neal. During that conversation, Ms. Neal advised him that she knew the judge. Allen Neal became frustrated, retained a new attorney, and the case was ultimately decided by Judge John Kellam. Thus, the evidence shows Respondent had an attorney-client relationship with Rita Neal that had been established just a little more than a year prior to Neal appearing before him as a judge. A sexual relationship later developed, but it is not completely clear from the record whether there was overlap between the commencement of the sexual relationship between Respondent and Ms. Neal and his presiding in the child visitation dispute involving her. At no time did Respondent disclose to Allen Neal or his attorney that he had any kind relationship with Rita Neal nor did he disqualify himself from a case in which she was a litigant. This was not the last time that Ms. Neal would appear as a party in a case pending before Respondent. On September 6, 1996, Respondent was presiding in the Henry Circuit Court when a Title IV-D case involving Rita Neal was called. The prosecutor was attempting to collect child support from Rita Neal on behalf of Allen Neal. Rita Neal did not appear on that date and attempts to serve her had been unsuccessful. Respondent commented to the prosecutor in passing that he knew the family and Rita would be hard to find. The case was continued by Respondent due to lack of service on Rita Neal. Other than stating in passing that he knew the family, Respondent made no disclosure to the prosecutor about his relationship with Rita Neal nor did he disqualify or indicate he would disqualify himself from the case. On December 13, 1996, Respondent was presiding in the Henry Circuit Court and was appointed and qualified as judge pro tempore in the same Title IV-D case discussed above. The case against Rita Neal was continued on that date on the prosecutor's motion. Similarly, on this occasion, Respondent made no disclosure to the prosecutor about his relationship with Rita Neal other than having said at one point that he knew the family. The Commission clearly and convincingly proved that Respondent had an intimate sexual and financial relationship with Rita Neal prior to and while presiding over a case involving her in 1996. Respondent also had previously represented Ms. Neal in an unrelated matter in 1990. At no time did Respondent disclose these relationships to the litigants nor did he disqualify himself from the case. The Commission also filed charges against Respondent in connection with another occasion in which Respondent's conduct as judge might be called into question. In 1991, Respondent represented William McDaniel in a support case. Marit McDaniel, William's current wife, testified that she had also consulted with Respondent as her attorney on five to ten occasions in connection with a custody proceeding around 1990 and 1991. The record does not make clear whether Respondent's attorney-client relationship with either William or Marit McDaniel extended beyond 1991. We must assume not for purposes of this opinion. On November 16, 1994, Respondent, in his capacity as part-time commissioner in the Delaware Superior Court 4, presided over an eviction proceeding captioned Gibson v. McDaniel. The plaintiffsCharles and Virginia Gibsonappeared without counsel. The defendants were William and Marit McDaniel. They also appeared without counsel. The McDaniels were ordered by Respondent to relinquish possession of the property and a damage hearing was set for December 14, 1994. Respondent made no disclosure to the Gibsons about any prior relationship with Marit or William McDaniel. On December 14, 1994, the same parties appeared before Respondent and on this occasion the Gibsons were represented by attorney William Lutz, who had entered his appearance that same day. William Lutz submitted evidence to the court on behalf of the Gibsons including a demand letter for $2,841.99 for back rent and damage to the property. Respondent took the case under advisement at the conclusion of the hearing but never ruled on the plea for back rent and damages. Again, no disclosure of any prior representation was made. Respondent admitted at the trial of this cause that when Gibson v. McDaniel came before him, he remembered having previously represented William McDaniel. Respondent denied, however, having ever represented Marit McDaniel. Respondent further claimed he did make a disclosure of the prior representation of William McDaniel and that the parties waived any conflict. The facts proven at trial demonstrate otherwise. Respondent knew he had previously represented William McDaniel and had consulted with Marit McDaniel. He did not disclose this information to the plaintiffs or their counsel nor did he disqualify himself from the case in which the McDaniels were parties.
Respondent had separate attorney-client relationships with Rita Neal, William McDaniel, and with Marit McDaniel. In the absence of clear and convincing evidence to the contrary, we have assumed that the attorney-client relationships with these three individuals ended in 1990, 1991, and 1991, respectively. He later presided over proceedings in which those individuals were parties. We emphasize that the proceedings over which Respondent presided were wholly unrelated to the prior representations. Had it been otherwise, Respondent would almost certainly have been obligated to recuse himself by reason of having served as a lawyer in the matter in controversy or by virtue of having personal knowledge of disputed evidentiary facts. See Jud.Canons 3(E)(1)(a) and (b). Whether it is a breach of a judge's ethical responsibilities to preside over a case involving a former client when the case is unrelated to the prior representation is an issue that has been touched on only peripherally in Indiana. In Hammond v. State, 594 N.E.2d 509 (Ind.App.1992), the Indiana Court of Appeals held that it was not reversible error, absent a showing of prejudice, for a judge to refuse to recuse himself in a criminal case when he had previously represented the defendant in an unrelated criminal matter. Id. at 514. Whether presiding over the case might nevertheless be violative of the Code of Judicial Conduct is, however, a related but separate question from whether it might constitute reversible error. We look to other jurisdictions for guidance. In California, for example, judges are prohibited from presiding in a case if previously employed as attorney for a party within two years prior to the commencement of the suit. Cal.Civ.Proc.Code § 170.1(a)(2). There are reported cases in other jurisdictions in which prior representation of a party by a judge has been found to require recusal. See, e.g., Davis v. Neshoba County Gen. Hosp., 611 So.2d 904, 906 (Miss.1992). However, the much more common and better rule is that prior representation of a party with regard to matters wholly unrelated to the case presently before a judge, or only tangentially related to such matters, does not automatically mandate judicial qualification. Flamm, Judicial DisqualificationRecusal and Disqualification of Judges 319-20 (1996). In our view, the guiding principle applicable to these situations is found in the Code of Judicial Conduct provision stating that a judge shall disqualify himself or herself in a proceeding in which the judge's impartiality might reasonably be questioned. Jud.Canon 3(E)(1). [4] This approach is consistent with the general view expressed in scholarly comment on this topic: Judges may be prohibited from presiding over cases involving former clients whom the judge represented in unrelated matters. Typically, disqualification in this instance will be required because of a general appearance of partiality rather than specific statutory provisions. Shaman, Lubet, and Alfini, Judicial Conduct and Ethics 130 (2nd ed. 1995). We therefore hold that it is not improper per se for a judge to preside over a case involving a former client. Rather, the inquiry should focus on whether the facts are such that the judge's impartiality might reasonably be questioned. Jud.Canon 3(E)(1). The test for determining whether a judge should recuse himself or herself under this particular Canon is whether an objective person, knowledgeable of all the circumstances, would have a reasonable basis for doubting the judge's impartiality. Cf. Perkins v. Spivey, 911 F.2d 22 (8th Cir.1990), cert. denied, 499 U.S. 920, 111 S.Ct. 1309, 113 L.Ed.2d 243 (1991). In the context of a judge who has previously represented a party in an unrelated matter, there are several factors which are relevant to determining whether there exists a reasonable basis for doubting the judge's impartiality. Relevant considerations would include the nature of the prior representation, the duration of the attorney-client relationship, the extent to which the prior representation might in some limited way be related to the current case, and the lapse of time between the prior representation and the appearance of the former client before the judge. See generally Flamm, supra, at 320-21 and cases cited therein. We further note that the commentary to the Code of Judicial Conduct also states: A judge should disclose on the record information that the judge believes the parties or their lawyers might consider relevant to the question of disqualification, even if the judge believes there is no real basis for disqualification. Jud.Canon 3(E)(1) (commentary, in part). This commentary reveals a separate obligation to disclose that is broader than the duty to disqualify. The fact that a presiding judge previously represented one of the parties in an unrelated matter might be considered relevant to the question of disqualification. We therefore hold that a judge faced with such a situation generally should inform the parties and make a factual record of the prior representation. We are reluctant to lay down a hard and fast rule that all prior representations must always be disclosed. There are situations wherein the prior representation was so remote in time and nature that the judge can be confident that the prior representation could not reasonably be perceived as raising any question about the judge's impartiality. However, the better practice if there is any doubt would be for the judge to simply make a record of the prior representation. If a party then makes a motion for disqualification, the judge is not necessarily obligated to recuse. The law presumes that a judge is unbiased in the matters that come before the judge. Smith v. State, 535 N.E.2d 1155, 1157 (Ind.1989). The judge will have to make a determination as to whether an objective person, knowledgeable of all the circumstances, would have a reasonable basis for doubting the judge's impartiality and proceed accordingly. We now apply these holdings to the facts of this case. Respondent had represented Rita Neal for a brief period of time in 1990 as part of a criminal misdemeanor proceeding in Marion County. Then, on October 24, 1991, in his capacity as a part-time commissioner in Henry Circuit Court, Respondent presided over a child visitation dispute in which Ms. Neal was a party. In 1996, Respondent also presided over a case in which the prosecutor was attempting to collect child support from Ms. Neal. Thus, the prior representation was in a criminal misdemeanor proceeding completely unrelated to the support proceedings over which Respondent presided, and appears to have involved only an appearance and the entry of a not guilty plea. The hearings over which Respondent presided were, respectively, one year and five years after the earlier representation. We find that Respondent was not obliged to disqualify himself nor to necessarily disclose the prior representation. We reach a similar conclusion with regard to the prior representations of William and Marit McDaniel. The record reflects that Respondent represented them separately in 1991 with regard to certain child support and custody issues. There was insufficient evidence of any attorney-client relationship beyond that date. Three years later, Respondent presided over a completely unrelated landlord-tenant dispute involving the McDaniels. This evidence does not clearly and convincingly support a finding of a breach of the Code of Judicial Conduct as to this particular count. We note that judges pro tempore are especially susceptible to problems in this area because, unlike full-time judges, they often will have ongoing law practices. We stress that as a general proposition, judges serving pro tempore should disclose prior attorney-client relationships because it may be unclear whether or when any attorney-client relationship with a party may have come to an end. Our final legal conclusion, however, is that Respondent did commit ethical violations in presiding over the 1996 child support proceedings involving Rita Neal. The violations occurred not because of his prior legal representation of Ms. Neal, but because he had a current and ongoing sexual relationship with her and was contributing financially to her support at the time of the proceedings. Respondent's impartiality was certainly open to question for those reasons, and he therefore violated Judicial Canon 3(E)(1). We also find such conduct in violation of Canon 1, which generally requires judges to uphold the integrity and independence of the judiciary and to avoid the appearance of impropriety. Respondent also committed willful misconduct in office and engaged in conduct prejudicial to the administration of justice, grounds for discipline pursuant to Admis.Disc.R. 25(III)(A).