Opinion ID: 451623
Heading Depth: 2
Heading Rank: 3

Heading: The Merits of the Disqualification Motion2

Text: 13 The standards for disqualification of an attorney who may be a witness at trial derive from the applicable disciplinary rules, 3 and the principal considerations under those rules are (1) whether an attorney ought to be called to testify on behalf of his client, Model Code of Professional Responsibility DR 5-102(A), [hereinafter cited as ABA Code]; California Rules of Professional Conduct Rule 2-111(A)(4); [hereinafter cited as Cal.Rules]; see, e.g., Groper v. Taff, 717 F.2d 1415, 1418 (D.C.Cir.1983); General Mill Supply Co. v. SCA Services, Inc., 697 F.2d 704, 708 (6th Cir.1982); Universal Athletic Sales Co. v. American Gym, Recreational & Athletic Equipment Corp., 546 F.2d 530, 538 (3d Cir.1976), cert. denied, 430 U.S. 984, 97 S.Ct. 1681, 52 L.Ed.2d 378 (1977); J.P. Foley & Co. v. Vanderbilt, 523 F.2d 1357, 1359 (2d Cir.1975), or (2) whether the attorney may be called other than on behalf of his client and his testimony is or may be prejudicial to the client, ABA Code DR 5-102(B); Cal.Rule 2-111(A)(5); see, e.g., Kroungold v. Triester, 521 F.2d 763, 766 (3d Cir.1975); Teleprompter of Erie, Inc. v. City of Erie, 573 F.Supp. 963, 965 (W.D.Pa.1983); Davis v. Stamler, 494 F.Supp. 339, 342-43 (D.N.J.1980), aff'd, 650 F.2d 477 (3d Cir.1981); Smith v. New Orleans Federal Savings & Loan Association, 474 F.Supp. 742, 749-50 (E.D.La.1979); Freeman v. Kulicke & Soffa Industries, Inc., 449 F.Supp. 974, 978 (E.D.Pa.1978), aff'd mem., 591 F.2d 1334 (3d Cir.1979). 14 Optyl produced evidence in the district court showing that the extent of its counsel's participation in drafting the letter was limited to giving legal advice. Optyl claimed that any testimony its counsel might be asked to give would be protected by the attorney-client privilege. Optyl further asserted that it had no reason to call its counsel to testify and, even if they were called, their testimony would not be prejudicial to Optyl's case. 15 Style did not point to any evidence to refute Optyl's assertions. In fact, Style did not depose Optyl's counsel prior to moving for disqualification. Style relied entirely upon one interrogatory answer in which Optyl acknowledged that its counsel had participated in drafting the disputed letter. In short, Style offered absolutely no showing that Optyl ought to call its counsel to testify or that counsels' testimony might have been prejudicial if Anten had called Optyl's counsel to testify. See Rosen v. NLRB, 735 F.2d 564, 575 (D.C.Cir.1984) (mere allegations of impropriety are insufficient to compel withdrawal); cf. Rhinehart v. Stauffer, 638 F.2d 1169, 1171 (9th Cir.1979) (per curiam) (before filing an action, attorney has duty to investigate claims to see that they have merit). 16 On appeal, Anten implicitly admits that disqualification was not required under the disciplinary rules that deal specifically with lawyer disqualification, since his sole contention now is that disqualification was required by Canon 9 of the ABA Code, which proscribes even the appearance of professional impropriety. See also Local Rule 2.5.2, Central District of California. 4 We find this argument meritless. 17 Although this court has held that Canon 9 alone can be a sufficient ground for disqualification, the circumstances are extreme, i.e., when the alleged impropriety is clear, affects the public view of the judicial system or the integrity of the court, and is serious enough to outweigh the parties' interests in counsel of their own choice. In re Coordinated Pretrial Proceedings in Petroleum Products Antitrust Litigation, 658 F.2d 1355, 1360 (9th Cir.1981), cert. denied, 455 U.S. 990, 102 S.Ct. 1615, 71 L.Ed.2d 850 (1982); accord Norton v. Tallahassee Memorial Hospital, 689 F.2d 938, 941 (11th Cir.1982). 18 Obviously, preservation of public trust in the legal system is an essential goal. At the same time, however, we must be cautious not to overuse Canon 9 as the basis for attorney disqualification. As the Second Circuit has noted: Canon 9 ... should not be used promiscuously as a convenient tool for disqualification when the facts simply do not fit within the rubric of other specific ethical and disciplinary rules. International Electronics Corp. v. Flanzer, 527 F.2d 1288, 1295 (2d Cir.1975). 19 Anten does not allege any specific improprieties that would result if Optyl's counsel testified in this case. Instead, his theory is that his client, Style, would be prejudiced if Optyl's counsel testified, since Anten would then be handicapped in challenging the credibility of opposing counsel. We find several difficulties with this theory. 20 First, we cannot see why Optyl's counsel need be witnesses. Optyl asserts that it will not call its counsel to testify, and Anten has not offered any reason why Style would or should call them. In fact, he admits that counsels' testimony would be favorable to Optyl and unfavorable to Style. The only reason we can see for Anten's suggestion that he will call Optyl's counsel is to use it as a predicate for the disqualification motion. 21 Second, we find Anten's prejudice argument unpersuasive. It may be awkward to impeach a fellow attorney's credibility, International Electronics Corp. v. Flanzer, 527 F.2d at 1294, but the problem remains since counsel, disqualified or not, still can testify. See Comment, The Rule Prohibiting An Attorney From Testifying at Client's Trial: An Ethical Paradox, 45 U.Cin.L.Rev. 268, 271 (1976). Opposing counsel's duty to represent his client's interests zealously, see ABA Code, Canon 7, DR 7-101(A)(1), should overcome any professional loyalty owed to a colleague. See Greenebaum-Mountain Mortgage Co. v. Pioneer National Title Insurance Co., 421 F.Supp. 1348, 1354 (D.Colo.1976). Nor is there any special reputation for truth-telling reserved to lawyers that would unduly prejudice the opposing side. See Wydick, Trial Counsel as Witness: The Code and the Model Rules, 15 U.C.D.L.Rev. 651, 662-63 (1982). 22 Finally, and perhaps most important, Anten's prejudice theory sweeps overbroadly. The ethical rules strike a balance between the competing interests of a client's right to choose counsel and the inconsistency of an advocate giving testimony. The drafters of the rules clearly contemplated that in some circumstances the balance would tip in favor of the client, and trial counsel would be permitted to testify. See, e.g., DR 5-101(B)(4), 5-102(A) (attorney may continue representation if testimony would be on behalf of client and substantial hardship would result from withdrawal); Cal.Rule 2-111(A)(4) (attorney may continue representation if testimony would be on behalf of client and client consents after full disclosure). Anten's view would preclude trial counsel's ever taking the stand. The prejudice he describes would exist in all cases, and courts would be forced to grant disqualification motions whenever counsel threatens to call opposing counsel. 23