Opinion ID: 1984112
Heading Depth: 1
Heading Rank: 2

Heading: review of board findings by this court

Text: This Court must determine whether the record contains substantial evidence to support the Board's findings. In re Agostini, Del.Supr., 632 A.2d 80, 81 (1993). The Court reviews the Board's conclusions of law de novo. In re Figliola, Del.Supr., 652 A.2d 1071, 1074 (1995); In Re Barrett, Del.Supr., 630 A.2d 652, 656 (1993). The Board determined that Mekler violated DLRPC 1.3 and 5.3, which respectively require each lawyer to act with reasonable diligence and promptness in representing a client, and to make reasonable efforts to ensure that the lawyer's staff conducts itself in a manner which is compatible with the lawyer's professional obligation. Both Mekler and the ODC challenge the Board's findings. Mekler claims that the Board should not have found him in violation of DLRPC 1.3 or 5.3. The ODC contends that the Board erred when it failed to find that Mekler also violated DLRPC 1.4(a) and (b), 1.5(a), 3.3(a)(4) and 8.4(d). Mekler contends that the facts do not support a finding that he violated any disciplinary rules. He claims that his inaction was reasonable under these circumstances and that he had adequately supervised his employees.
DLRPC 1.3 requires that lawyers act in a diligent fashion when representing clients. The record reflects that the Pattersons discussed their situation with Rassman in February 1992 and that Rassman filed the Petition shortly thereafter. Mekler did not look at the Pattersons' file until July 1992, a period of about five months. When he finally did review the file in July, he told the Pattersons that the course of action Rassman had implemented was incorrect. The Board found that the five-month period between the filing of the Petition and Mekler's review of the Patterson file was evidence of a lack of diligence. Mekler claims that, because he did not miss a deadline before the Family Court, his delay in reviewing the Pattersons' file was reasonable under the circumstances. Mekler's argument is unpersuasive. As the Board noted in its well-reasoned report, although the Pattersons failed to give Mekler's office accurate information at their initial consultation, a prompt review of the Court records by Mekler would have revealed [the weakness of the Pattersons' claim] and there appears to be no excuse for not discovering these facts from the Court records prior to July of 1992, approximately five months after the initial consultation. Report at 12-13 (Mar. 16, 1995). Mekler's delay in reviewing the Pattersons' file caused this matter to drag on unnecessarily for five months. The Board's finding that Mekler violated DLRPC 1.3 is supported by substantial evidence. DLRPC 5.3 requires that a lawyer supervise his or her staff to ensure that the staff's actions and work product conform to ethical and legal standards. In this case, LePore testified that Rassman, rather than Mekler, signed the Pattersons' Petition and that she falsely notarized it. LePore also testified that Mekler gave her direct authority to sign his name. Mekler argues that: (1) due to personal problems between Mekler and LePore, LePore might have purposefully misled the Board during testimony; and (2) he had specifically informed his staff prior to the Patterson incident not to sign his name to court documents. Although Mekler and LePore may have had personal problems, there is nothing to indicate that she did not testify truthfully before the Board. Further, LePore testified that, despite Mekler's warning to his staff not to sign his name to court documents, he told her that she nonetheless had authority to do so. Although Mekler was required to make only a reasonable effort to ensure that his staff conformed to professional guidelines, it appears that his behavior did not conform to this requirement. Therefore, the Board did not err when it found that LePore's and Rassman's signing of Mekler's name to two documents filed with the Family Court showed that Mekler did not satisfy DLRPC 5.3 in supervising his staff.

This Court is not precluded from reviewing a finding of the Board in favor of a respondent in a disciplinary proceeding, even though the ODC has not cross-appealed the refusal of the Board to find a violation. It is the exclusive responsibility of this Court to supervise, regulate and discipline members of the Delaware Bar. In re Appeal of Infotechnology, Inc., Del.Supr., 582 A.2d 215, 218 (1990). The Respondent in a disciplinary matter does not appeal. Here, Meckler filed objections to the Report of the ODC. Accordingly, the Court is not bound by the failure of ODC to assert error in the Board's finding. [3] Here, however, the issue is moot because we sustain the Board's findings in Mekler's favor and reject on the merits the ODC's arguments to the contrary. [4]
DLRPC 1.4(a) and (b) provide that a lawyer shall keep clients reasonably informed about the status of a matter and discuss the matter with the clients. Although Mekler did not review the Pattersons' file until five months had passed since their initial visit, the record reflects that Mekler's office did keep the Pattersons informed about their child support case. The Pattersons met with Mekler's law clerk, Rassman, on several occasions and discussed the matter with him. Additionally, Mekler did meet with the Pattersons well before any action was scheduled before the Family Court, discussed strategies and explained available options. While Mekler's actions in delegating improperly may be the subject of other contentions of disciplinary violations, there does not appear to be clear and convincing evidence of a violation sufficient to overturn the Board's findings related to these alleged violations of the DLRPC. DLRPC 1.5 prohibits lawyers from charging a client an unreasonable fee. Here the Board's finding that the total time recorded on the Pattersons' final bill, as well as the total of fees charged, was not unreasonable is supported by the evidence. As the Board noted, this matter could have been handled more efficiently and more diligently, resulting in a lower bill, but Mekler did not charge the Pattersons exorbitant fees for the work done. Hence, the Board's determination that DLRPC 1.5 was not violated is supported by the record. The ODC contests the Board's finding that Mekler did not violate DLRPC 3.3(a)(4), which prohibits a lawyer from offering evidence to a tribunal which the lawyer knows to be false. The record shows that Mekler did not know that his name had been signed without his authority on any of the Patterson documents submitted to Family Court until well after the case had been closed. Although Mekler should have informed the Family Court of the unauthorized signatures, and his failure to do so is unprofessional, [5] it is not necessarily a violation of Rule 3.3(a)(4). We are unable to hold that the Board erred when it found that there was no clear and convincing evidence to support a holding that Mekler knowingly submitted false evidence to the Family Court. DLRPC 8.4(d) provides that a lawyer shall not engage in conduct prejudicial to the administration of justice. Although the motion to withdraw was falsified by LePore, it achieved the Pattersons' objectives and removed the matter from the Family Court. Though the falsified affidavit was improper conduct by Mekler's staff, the Board's determination that the submission of the falsified document did not prejudice the administration of justice is supported by the record.
It is important to understand the distinction between conduct which violates disciplinary rules of the DLRPC and conduct which is unprofessional. Professionalism includes, but is not limited to, compliance with the ethical rules embodied in the DLRPC. Professionalism goes beyond the minimum standards  required of all lawyers... professionalism is a higher standard expected of all lawyers. The Honorable Harold G. Clarke, Chief Justice (Retired), Supreme Court of Georgia, State Bar Journal of Georgia (May 1989) (emphasis in original). The Preamble to the DLRPC provides, in part: In all professional functions a lawyer should be competent, prompt and diligent. A lawyer should maintain communication with a client concerning the representation.       A lawyer should strive to attain the highest level of skill, to improve the law and the legal profession and to exemplify the legal profession's ideals of public service.       The Rules do not, however, exhaust the moral and ethical considerations that should inform a lawyer, for no worthwhile human activity can be completely defined by legal rules. The Rules simply provide a framework for the ethical practice of law. Professionalism embodies an attitude and a dedication to civility, skill, businesslike practices and a focus on service, rather than making money. Professionalism will often be rewarded materially. The defining tension in law practice today is between professionalism and money.... [We] do not have to choose between professionalism and money. Indeed, we do not even have that choice. What we do have to do is decide simply which one comes first. If our first priority is the highest level of service to clients of which we are capable, coupled with our obligations to the legal system and to our society, then everything else falls into place.... If, on the other hand, money is our first priority, if making as much money as we can is our goal and serving clients is seen simply as a means of making money, all kinds of results flow from that, and they are almost all bad. Seth Rosner, Chair of the ABA Standing Committee on Professionalism, Professionalism and Money: A Matter of Priorities, The Professional Lawyer 9-11 (May 1993); see also E. Norman Veasey, Professionalism and Pragmatism  The Future, Delaware Lawyer, at 13 (Winter 1993).