Opinion ID: 1201361
Heading Depth: 1
Heading Rank: 4

Heading: the bar association's motion to deem its allegations admitted

Text: The Bar Association filed a motion to have the allegations against the Respondent deemed admitted pursuant to Rule 6.4, because he did not answer the formal Complaints. [20] The trial panel granted the motion. Granting the motion was erroneous, and we disregard the trial panel's action on the motion in the course of our de novo review of the proceeding. In State v. Horton, 561 A.2d 488 (Me. 1989), the Supreme Judicial Court of Maine explained that in Spevack v. Klein, 385 U.S. 511, 514, 87 S.Ct. 625, 627, 17 L.Ed.2d 574 (1967) the plurality opinion and the separate concurring opinion by Justice Fortas agreed that a lawyer could not be disciplined for asserting a Fifth Amendment privilege against self-incrimination. Id. 561 A.2d at 490. This view is consistent with Lefkowitz v. Cunningham, 431 U.S. 801, 805, 97 S.Ct. 2132, 2135, 53 L.Ed.2d 1 (1977), where the Court stated that a State may not impose substantial penalties because a witness elects to exercise his Fifth Amendment right not to give incriminating testimony against himself. When a lawyer is called upon to answer allegations in a grievance that lawyer may refuse to answer upon expressed constitutional grounds. Rule 5.2. Similarly, Rule 6.11(d) expressly provides for a Respondent to invoke a right against self-incrimination in the trial panel proceeding. State ex rel. Oklahoma Bar Association v. Moss, 794 P.2d 403, 408-410 (Okla. 1990). The construction placed upon the Rule by the Bar amounts to a finding of guilty by a Respondent's mere invocation of the Fifth Amendment. We decline to construe the Rule in this manner. When a lawyer timely invokes the Fifth Amendment in response to a formal Bar Complaint we will not deem the Bar's allegations admitted. The Rules require a Respondent to either answer a grievance (Rule 5.2), or testify (Rule 6.11), or expressly state a reliance upon a constitutional ground for not complying with the Rules. The Respondent did not answer the allegation in the grievances nor did he state that he was relying upon the Fifth Amendment or any other constitutional ground as a reason for not answering. Rule 5.2 provides a respondent with a fair opportunity to rely upon the Fifth Amendment and state such reliance in an answer to the Bar Association. Respondent's assertion of the Fifth Amendment at the trial panel hearing was sufficient to invoke the protection of that right in the context of the trial panel proceeding, [21] and was sufficient to prevent the Tribunal from deeming the Bar's complaints admitted. After making his legal arguments before the Tribunal, Respondent and his counsel sought leave to withdraw from further participation in the proceedings. The presiding Master granted their request, and evidence was received on the merits of the complaints in the Respondent's absence. Counsel for the Bar presented the following evidence and then rested.