Opinion ID: 2257578
Heading Depth: 1
Heading Rank: 3

Heading: Exclusion of Bank Records

Text: Respondent excepts to all findings of fact purportedly based on the bank records which he asserts were erroneously admitted into evidence. The background facts concerning Respondent's argument can be gleaned from an examination of oral argument presented at the hearing by both counsel for Respondent and for Petitioner in regard to Respondent's Motion in Limine to exclude the bank records: [COUNSEL FOR RESPONDENT]: [I]t was in relatively short order that I became involved in this case and from that time to when the deposition of Mr. Roberts occurred. During the deposition, opposing counsel perceived Mr. Roberts' testimony as not as forthcoming as he had anticipated. He had also asked at the beginning of the deposition if we would stipulate to the admissibility of certain bank records. What I explained to opposing counsel at the outset of the deposition was that I had just recently gotten involved in the case and I wasn't prepared at that time to enter into any stipulations. . . . [O]pposing counsel stated to me . . . that he was inclined to broaden the investigation of Mr. Roberts to other unrelated matters for which he already had apparently the bank records in question or evidence in question regarding these other unrelated matters. But the reasoning given by opposing counsel was that now we were mounting an aggressive defense, and because we would not stipulate to the admissibility of bank records, he was inclined to broaden the investigation into unrelated matters. I immediately voiced my objection to that statement and to that objective and asked to meet with Bar Counsel. A meeting with Bar Counsel ensued where I stated my position. I thought that that was an abuse of process. I thought it was inappropriate for someone from Bar Counsel's office to state that they would be investigating someone on unrelated matters as a result of their essentially contesting certain matters in an unrelated proceeding. Bar Counsel disagreed with me after a conversation, and that's why I filed a motion. I think it is inappropriate. It puts my client in a position where he can't effectively defend himself.     [BAR COUNSEL]: [Counsel for Respondent] has not accurately characterized my motivation in speaking to him. It was my belief that [Respondent] was not contesting that he had not only deposited Mr. Huggins'[s] funds in his bank account but had spent them on his own purposes prior to disbursing any funds, and, in fact, depleted the funds entirely and used other funds to pay Mr. Huggins. And the bank records would have indicated that and do indicate that. His denial at deposition of what seemed to me a real knowledge of his bank records or his failure to acknowledge his bank records made . . . me believe . . . it might be more difficult to prove what I thought I could prove to begin with. Because I . . . did not have certified copies of the bank records. I hadn't subpoenaed the bank records. Bar Counsel stated that his motive in mentioning the broadening of the investigation was to ensure that, should he no longer be able to bring the proceedings in the instant case, he would then pursue the other violations that he believed had occurred. Bar Counsel also stated that he did not seek a stipulation as to the bank records during his conversation with Respondent's counsel. With regard to the exact words he used with Respondent's counsel, Bar Counsel stated: I believe I said . . . that I was inclined to look into the deposits that [Respondent] made in November 2004 into his operating account of funds which were used to pay the medical providers and the one check which was issued to Mr. Huggins because I believed those deposits represented other personal injury settlements. And that's what I told him. I didn't say it was done because he wouldn't stipulate. That's a matter within his discretion. It's within our discretion to open a file or not open a file. And I was simply telling him that the testimony of his client . . . made the exercise of discretion to open a file the appropriate thing to do in my view. At the time of the oral argument, Bar Counsel had subpoenaed the bank records, but explained that the records still had not been produced due to the bank's difficulty in locating them. Bar Counsel argued that he did not think that bringing the additional unrelated charges was necessary because disbarment is warranted in cases involving the misappropriation of client funds, and he believed that Respondent would likely be disbarred as a result of the charges in the instant case, thus making any additional charges unnecessary. Respondent claims that his ability to challenge the bank records at issue was fundamental to his due process right to defend himself from the charges brought against him in the instant case. Respondent argues that the alleged threat of the institution of additional proceedings to gain advantage in the instant case constituted an abuse of process. Abuse of process is a tort and occurs when a party has wilfully misused criminal or civil process after it has issued in order to obtain a result not contemplated by law. Krashes v. White, 275 Md. 549, 555, 341 A.2d 798, 802 (1975) (citations omitted). The essential elements of the abuse of process, as the tort has developed, have been stated to be: first, an ulterior purpose, and second, a wilful act in the use of the process not proper in the regular conduct of the proceeding. Some definite act or threat not authorized by the process, or aimed at an objective not legitimate in the use of the process is required; and there is no liability where the defendant has done nothing more than carry out the process to its authorized conclusion, even though with bad intentions. Palmer Ford, Inc. v. Wood, 298 Md. 484, 511, 471 A.2d 297, 311 (1984) (citation omitted). A bad motive alone is not sufficient to establish an abuse of process. One Thousand Fleet Ltd. Partnership v. Guerriero, 346 Md. 29, 38, 694 A.2d 952, 956 (1997). In order to establish an abuse of process, there must be a definite act or threat that is not authorized by the process or aimed at an objective not legitimate in the use of the process[.] Id. (quoting W. KEETON, PROSSER & KEETON ON THE LAW OF TORTS § 121, at 898 (5th ed.1984)). In Capitol Elec. Co. v. Cristaldi, 157 F.Supp. 646 (D.Md.1958), the United States District Court for the District of Maryland stated that as abuse of process requires a perversion of court process to accomplish some end which the process was not designed to accomplish; it does not arise from a regular use of process, even with ulterior motives. Id. at 648 (citation omitted). We overrule Respondent's exceptions to the hearing judge's findings of fact and reject his claim of abuse of process. One of the essential elements of the tort of abuse of process is a definite act or threat that is not authorized by the process, or aimed at an objective that is not legitimate in the use of the process. In the instant case, Bar Counsel indicated an intent to bring charges against Respondent that, although unrelated to the current charges against Respondent, were supported by credible evidence in the opinion of Bar Counsel. Subject to any required supervision and approval of the Commission, Bar Counsel has the powers and duties to, inter alia, investigate professional misconduct; file statements of charges and prosecute all disciplinary and remedial proceedings; and perform other duties prescribed by the Commission and the Rules in Title 16, Chapter 600 regarding attorney trust accounts. Md. Rule 16-712(b)(1), (4), (13). Bar Counsel indicated to the hearing judge that he had reason to believe that Respondent had misappropriated client funds on other specific occasions, but anticipated Respondent's disbarment as a result of the charges brought in the instant case, and, thus, chose not to pursue those other charges. When faced with the prospect of having insufficient evidence to proceed in the instant case as a result of the lack of bank records, Bar Counsel indicated to Respondent's counsel that he would be inclined to broaden his investigation. Proceeding with an investigation into other matters by authorized and legitimate means does not constitute an abuse of process. Regardless of any perceived motive, Bar Counsel's threat constituted nothing more than carrying out the attorney grievance process in an authorized manner.