Opinion ID: 1254899
Heading Depth: 2
Heading Rank: 1

Heading: Public Disclosure of Confidential Information.

Text: 1. Background facts and legal framework. On October 27, 2006, Marzen was interviewed by KIMT News Channel 3 of Mason City. Marzen was asked to comment on Doe's allegations and the ongoing disciplinary investigation. Marzen responded, [Doe] stated she had been in a situation with her probation officer. I didn't find out until later that it was sexual misconduct. Marzen further told print reporters that Doe ended his representation when she could not pay her bill. The board alleged this behavior violated Iowa Rule of Professional Conduct 32:1.6(a). See Iowa R. Prof'l Conduct 32:1.6(a) (A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation, or the disclosure is permitted by paragraph (b) or required by paragraph (c).). In contrast to Count I, resolution of Count III presents a legal question. Factually, there is no doubt that Marzen publicly disclosed Doe's prior history with and litigation involving her former probation officer. Further, there is no factual question that Marzen learned this information through a confidential conversation with his client. [2] Doe also testified that she never consented to Marzen's disclosure. The question thus presented is whether an attorney violates the rules of confidentiality by disclosing information learned through client confidences when that information is also available in the public forum. 2. Ethical violation. While Marzen's attempt to evade application of the rule of confidentiality is novel, it cannot be sustained. Although Iowa has no case law directly on point, the Kansas Supreme Court recently dealt with a similar scenario. In In re Bryan, 275 Kan. 202, 61 P.3d 641, 645 (2003), an attorney disclosed to a store manager and to a loss-prevention manager that his former client has a history of making false claims. The attorney defended his disclosure, arguing that information previously disclosed to the general public in court pleadings does not retain any confidentiality that would prohibit subsequent disclosure of that information. Bryan, 61 P.3d at 656. The Kansas Supreme Court rejected the argument. Id. The court noted that the ethical requirement of confidentiality is broader than the narrowly interpreted attorney-client privilege. Id. Thus, the rule of confidentiality must apply to all communication between the lawyer and client, even if the information is otherwise available. This result is consistent with the approach taken in other jurisdictions. See Emle Indus., Inc. v. Patentex, Inc., 478 F.2d 562, 572-73 (2d Cir.1973) ([T]he client's privilege in confidential information disclosed to his attorney `is not nullified by the fact that the circumstances to be disclosed are part of a public record, or that there are other available sources for such information, or by the fact that the lawyer received the same information from other sources.' (quoting Henry S. Drinker, Legal Ethics 135 (1953))); In re Rules of Prof'l Conduct & Insurer Imposed Billing Rules & Procedures, 299 Mont. 321, 2 P.3d 806, 822 (2000) (holding rule of confidentiality extends to all communications between insureds and defense counsel and that this rule is therefore broader in both scope and protection than the attorney-client privilege and the work product doctrine); In re Advisory Opinion No. 544, 103 N.J. 399, 511 A.2d 609, 612 (1986) (concluding this Rule [of Confidentiality] expands the scope of protected information to include all information relating to the representation, regardless of the source or whether the client has requested it be kept confidential or whether disclosure of the information would be embarrassing or detrimental to the client). This result is also consistent with the overall structure of our rules of confidentiality. For instance, our rules prohibit an attorney from profiting on information obtained through client confidences, without an explicit exception for information that is otherwise publicly available. See Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Miller, 568 N.W.2d 665, 667 (Iowa 1997). The reason for this omission is clearthe sanctity of the lawyer-client relationship is necessary to ensure free and unrestrained communication without fear of betrayal. On this issue of first impression, therefore, we hold that the rule of confidentiality is breached when an attorney discloses information learned through the attorney-client relationship even if that information is otherwise publicly available. Marzen argues that, even if his disclosures constituted a breach of confidentiality, that breach was excused by rule 32:1.6(b)(5). That rule provides: A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary: ... to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client[.] Iowa R. Prof'l Conduct 32:1.6(b)(5). Comment ten to the rule makes clear that the ability to defend arises in criminal and civil proceedings, including disciplinary actions. Id. 32:1.6 cmt. 10. However, it is not clear from Marzen's statements to the media that he was attempting to mount a defense; rather, it would appear that he was attempting to defame Doe. See Bryan, 61 P.3d at 658 (concluding disclosure had a negative purpose). The ability to defend, moreover, is not absolute. A lawyer can reveal confidential client information only in the appropriate forum and only to the extent necessary to offer protection. While certainly the revelation of Doe's confidential information to the local media was necessary to defend Marzen's bid for county attorney, it was not necessary to defend him against the allegations of this disciplinary proceeding. We have considered all of Marzen's claims and find his conduct violated rule 32:1.6(a). C. Sanction. There is no standard discipline for a particular type of attorney misconduct.... Iowa Supreme Ct. Att'y Disciplinary Bd. v. Kadenge, 706 N.W.2d 403, 410 (Iowa 2005). [W]e are obliged to tailor disciplinary sanctions to the specific facts and circumstances of each individual case. Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Erbes, 604 N.W.2d 656, 659 (Iowa 2000). Nevertheless, this court tries to achieve a certain level of consistency. Kadenge, 706 N.W.2d at 410. In determining the appropriate sanction, we consider `the nature of the violations, protection of the public, deterrence of similar misconduct by others, the lawyer's fitness to practice, and [the court's] duty to uphold the integrity of the profession in the eyes of the public.' Iowa Supreme Ct. Att'y Disciplinary Bd. v. Iversen, 723 N.W.2d 806, 810 (Iowa 2006) (quoting Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Honken, 688 N.W.2d 812, 820 (Iowa 2004)). Relevant aggravating and mitigating circumstances will also be considered. Iowa Supreme Ct. Att'y Disciplinary Bd. v. Earley, 729 N.W.2d 437, 443 (Iowa 2007). Although the facts and circumstances of this case are unique, the ethical violation is not unprecedented. Our ethics rules are clear, and our cases have consistently and explicitly condemned sexual relationships between an attorney and a client. The rationale is equally clear: The unequal balance of power in the attorney-client relationship, rooted in the attorney's special skill and knowledge on the one hand and the client's potential vulnerability on the other, may enable the lawyer to dominate and take unfair advantage. When a lawyer uses this power to initiate a sexual relationship with a client, actual harm to the client, and the client's interest, may result. Such overreaching by an attorney is harmful in any legal representation but presents an even greater danger to the client seeking advice in times of personal crisis.... Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Furlong, 625 N.W.2d 711, 714 (Iowa 2001) (quoting Iowa Code of Prof'l Responsibility for Lawyers EC 5-25). [3] Consequently, a violation of the governing ethical rule is a serious transgression. Clients figuratively, if not literally, can trust lawyers with their lives, and they have the right to expect, as we demand, the lawyer will treat that trust with care derived from those noble traditions of service, integrity, and commitment found at the heart of the legal profession. See Comm. on Prof'l Ethics & Conduct v. Hill, 436 N.W.2d 57, 59 (Iowa 1989) (Hill I ). Our past cases reveal a broad range of discipline for attorneys who engage in sexual relations with a client. This range is between a public reprimand and a lengthy period of suspension from the practice of law. The wide range of discipline largely results from the presence or absence of circumstances in addition to the sexual relations that make the overall misconduct more serious. For example, in McGrath, we suspended an attorney for three years when the sexual relations involved a client in a case concerning matters of paramount personal importance to the client, included a sex-for-fees arrangement, and the attorney had solicited sex from another client. 713 N.W.2d at 703. On the other hand, we publicly reprimanded a lawyer who had sexual contact with a client during visits with the client in the penitentiary. Comm. on Prof'l Ethics & Conduct v. Durham, 279 N.W.2d 280, 285-86 (Iowa 1979). See generally Iowa Supreme Ct. Att'y Disciplinary Bd. v. Morrison, 727 N.W.2d 115, 120 (Iowa 2007) (suspension from practice for three months where attorney had sexual relationship with dissolution client and had been previously admonished for the same conduct with a different client); Furlong, 625 N.W.2d at 713-14 (eighteen-month suspension for carrying on a sexual relationship with one client, attempting to dissuade her from complaining to disciplinary authorities, and sexually harassing another client); Hill II, 540 N.W.2d at 44-45 (self-described hands-on counselor suspended and reprimanded in two previous disciplinary proceedings was suspended for twelve months for making unwelcome sexual advances toward client in child-custody case); Hill I, 436 N.W.2d at 58-59 (three-month suspension for sexual relationship with client in divorce and custody case). Our prior case containing facts most similar to the facts of this case is Hill I. In Hill I, the attorney had sexual intercourse on one occasion with a client who had sought his representation to obtain a divorce involving custody of children. 436 N.W.2d at 59. At the time, the client was unemployed, drug-addicted, and emotionally unstable. Id. at 58. We suspended the attorney from the practice of law for a period of three months. Id. at 59. The facts of this case are also similar to Morrison, in which we also imposed a three-month suspension. 727 N.W.2d at 120. The discipline imposed for violating the confidences of a client also varies with the particular facts and circumstances. We have not had the occasion in our prior cases to impose discipline based solely on the disclosure of confidential client information, but have only imposed discipline in conjunction with other misconduct. Generally, however, discipline for the violation of client confidence would appear to warrant a modest period of suspension between sixty days and three months when combined with aggravating circumstances. Miller, 568 N.W.2d at 667 (sixty-day suspension imposed on attorney revealing confidential information of client for financial reasons and for attempting to demand withdrawal of ethics complaint); Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Sikma, 533 N.W.2d 532, 537-38 (Iowa 1995) (three-month suspension for entering into a business transaction with a client involving misuse of client's confidential information). A violation would likely result in something less than a suspension without any aggravating circumstances. Nevertheless, disclosure or misuse of a client's confidential information is an especially problematic violation since [a] fundamental principle in the client-lawyer relationship is that, in the absence of the client's informed consent, the lawyer must not reveal information relating to the representation.... This contributes to the trust that is the hallmark of the client-lawyer relationship. Iowa R. Prof'l Conduct 32:1.6 cmt. 2. Because one of the purposes of the rules at issue in this case is to prevent exploitation of vulnerable clients, a violation is even more egregious when the particular client is mentally or emotionally unstable. See McGrath, 713 N.W.2d at 703 (Preying upon this vulnerability [involving custody of and visitation with the clients' children], the respondent manipulated these women ... for his own sexual gratification.). In this case, Marzen's sexual relationship with Doe was particularly offensive to the notions of trustworthiness and professionalism built into the foundation of the rule because Marzen met Doe as a court-appointed attorney for her involuntary mental health commitment proceeding. In addition to her mental instability, Marzen knew Doe was involved in family conflict, including a child-custody dispute. In such circumstances of paramount personal importance, the professional and confidential relationship between attorney and client is critical and a betrayal of the relationship must be sanctioned with that betrayal in mind. Id. While many, if not most, people seek out lawyers for help in matters of personal importance and may, consequently, be vulnerable, the mental health condition of Doe at the time the sexual relationship began is an aggravating circumstance to consider in the imposition of discipline. Considering all the circumstances of this case, we conclude Marzen should be suspended from the practice of law for a period of six months. Although his sexual misconduct was not accompanied by the type of aggravating circumstances that has warranted a suspension for a lengthier period of time in other cases, he exploited the attorney-client relationship for his own sexual gratification to the detriment of his client and the profession. His egocentric attitude was also apparent in the public disclosure of confidential information. Yet, the most serious circumstance is he became sexually involved with his client at a time when she was most vulnerable and the trust of a lawyer was most needed and expected. This case goes well beyond the vulnerability that is inherent in all attorney-client relationships. We conclude Marzen should be suspended from the practice of law in this state for a period of time not less than six months.