Court Opinion

ID: 9627009
Source: CourtListenerOpinion
Date Created: 2023-08-22 08:31:00.196005+00
Date Added: 2024-06-11T15:25:22.047919
License: Public Domain

*593BELL, Chief Judge,
dissenting in which ELDRIDGE J., joins.
I have no quarrel with the majority’s statement of the purpose of the sanction imposed on an attorney following disciplinary proceedings or the role that the facts and circumstances of the particular case plays in the determination of that sanction. We have long recognized, see Bar Ass’n of Baltimore City v. Marshall, 269 Md. 510, 519, 307 A.2d 677, 682 (1973) (“It must be borne in mind that the purpose of disciplinary actions such as this is not to punish the offending attorney, as that function is performed in other types of legal proceedings, but it is to protect the public from one who has demonstrated his unworthiness to continue the practice of law”), and emphatically stated, most recently in Attorney Griev. Comm’n v. Santos, 370 Md. 77, 88-89, 803 A.2d 505, 511-12 (2002), that it is to protect the public rather than to punish the attorney who engages in misconduct and that the decision as to sanction in a particular case does, and must, depend on the facts and circumstances of that case. Attorney Griev. Comm’n v. Garfield, 369 Md. 85, 98, 797 A.2d 757, 764 (2002). See Attorney Griev. Comm’n of Maryland v. Hayes, 367 Md. 504, 519, 789 A.2d 119, 129 (2002); Attorney Griev. Comm’n of Maryland v. Jeter, 365 Md. 279, 290, 778 A.2d 390, 396 (2001); Attorney Griev. Comm’n of Maryland v. Tolar, 357 Md. 569, 585, 745 A.2d 1045, 1053 (2000); Attorney Griev. Comm’n v. Franz, 355 Md. 752, 761, 736 A.2d 339, 344 (1999); Attorney Griev. Comm’n v. Ober, 350 Md. 616, 631-32, 714 A.2d 856, 864 (1998); Attorney Griev. Comm’n v. Hamby, 322 Md. 606, 611, 589 A.2d 53, 56 (1991); Attorney Griev. Comm’n v. Babbitt, 300 Md. 637, 642, 479 A.2d 1372, 1375 (1984). My disagreement, which involves the application of these principles, is, however, quite basic and sharp.
Relevant to and, indeed, a part of the facts and circumstances that inform the sanction decision is “the nature and gravity of the violations and the intent with which they were committed.” Attorney Griev. Comm’n. v. Awuah, 346 Md. 420, 435, 697 A.2d 446, 454 (1997). See Attorney Griev. Comm’n of Maryland v. Pennington, 355 Md. 61, 78, 733 A.2d *5941029, 1037-38 (1999); Attorney Griev. Comm’n of Maryland v. Milliken, 348 Md. 486, 519, 704 A.2d 1225, 1241 (1998); Attorney Griev. Comm’n v. Montgomery, 318 Md. 154, 165, 567 A.2d 112, 117 (1989). Likewise relevant are whether the objective of the sanction has been achieved, Attorney Griev. Comm’n v. Harris-Smith, 356 Md. 72, 90-91, 737 A.2d 567, 577 (1999), the attorney’s prior grievance history, whether there were prior disciplinary proceedings, the nature of the misconduct involved in those proceedings and the nature of any sanctions imposed, as well as any facts in mitigation, Franz, 355 Md. at 762-63, 736 A.2d at 344; Maryland State Bar Ass’n v. Phoebus, 276 Md. 353, 362, 347 A.2d 556, 561 (1975), the attorney’s remorse for the misconduct, Attorney Griev. Comm’n v. Wyatt, 323 Md. 36, 38, 591 A.2d 467, 468 (1991), and the likelihood of the conduct being repeated. Attorney Griev. Comm’n v. Freedman, 285 Md. 298, 300, 402 A.2d 75, 76 (1979). As to the latter, while we have held that conduct that is an aberration nevertheless can be so egregious as to warrant the imposition of a significant sanction, see Attorney Griev. Comm’n v. Protokowicz, 329 Md. at 252, 263, 619 A.2d at 100, 105 (1993), we have also held that an attorney’s voluntary termination of the charged misconduct, when accompanied by an appreciation of the serious impropriety of that past conduct and remorse for it, may be evidence that the attorney will not again engage in such misconduct. Freedman, 285 Md. at 300, 402 A.2d at 76. See Franz, 355 Md. at 762-63, 736 A.2d at 344. See also Harris-Smith, 356 Md. at 90-91, 737 A.2d at 577 (acknowledging the principal objective of sanction in that case, deterrence of other non-admitted attorneys from undertaking a federal practice from an office in Maryland, was achieved when firm dissolved after bar counsel’s investigation commenced).
To be sure, the misconduct in this case, as the petitioner and the majority maintain, is quite serious. As they appropriately remind us, it is the kind of misconduct, unauthorized practice of law, that this Court, has indicated must be deterred. See Attorney Griev. Comm’n v. Harper and Kemp, 356 Md. 53, 61-64, 737 A.2d 557, 561-63 (1999). Just as troublesome, if not more so, are representations that the *595respondent was found to have made that misled or were false, and knowingly so.
On the other hand, while serious, the respondent’s misconduct does not rise to the level of egregiousness of the misconduct in Harper and Kemp and Attorney Griev. Comm’n v. Johnson, 363 Md. 598, 770 A.2d 130 (2001), on which the petitioner relies and in both of which the ultimate sanction of disbarment was imposed. In Harper and Kemp, we characterized the misconduct as “deliberate and persistent” where the attorney “set up [an] office for the general practice of law in Baltimore City in order to wring whatever value he could out of the inventory of pending cases of a disbarred lawyer who had practiced in Baltimore City.” 356 Md. at 70, 737 A.2d at 566. As the petitioner points out, we also concluded that there was “no reasonable basis on which [the attorney] could have thought his conduct was lawful,” id., observing further “[h]is motive in creating Harper & Kemp was greed. There is no mitigation.” Id.
In Johnson, to be sure, the unauthorized practice of law in Maryland was at the core of the case; however, there were a great many more violations implicating the fitness of the respondent in that case to practice law anywhere, including violations of Rules 8.4(a), (c) and (d),1 363 Md. at 631, 770 A.2d at 150. There, the respondent and another lawyer “forged a professional association when they began sharing office space, equipment, support staff, and expenses in Silver Spring, Montgomery County, Maryland,” practicing under the firm name, “Law Offices of McLemore and Johnson, P.C.” 363 Md. at 604, *596770 A.2d at 134. Although the respondent was admitted to practice only in Virginia and the District of Columbia, not Maryland, the office was located only in Maryland and he did not indicate his jurisdictional limitations on the firm’s letterhead, a fact that the hearing court found, and we affirmed, misled both the public and the respondent’s clients. That the respondent met and advised his clients in his Maryland office and filed a notice of bankruptcy in the Circuit Court for Prince George’s County was determined to be the unauthorized practice of law. In addition to the violations establishing the unauthorized practice of law, the Court had before it violations arising out of the respondent’s representation of clients, in which he acquired the clients’ home, giving rise to questions of dishonesty, fraud, and misrepresentation.
Aware of the factors to be considered when determining the appropriate sanction, we observed that the respondent “neither recognize[d] that his conduct violated the MRPC nor expressed] any regret for the harm he caused.” Johnson, 363 Md. at 632, 770 A.2d at 151. In fact, the hearing judge found that his actions were “without excuse or mitigation.” Id. Then, after acknowledging that the respondent had engaged in “repetitive instances of unauthorized practice of law,” we specifically noted his repeated engagement in conduct involving dishonesty, fraud, deceit, and misrepresentation; “[h]e made false statements to a tribunal, and he acted against the interests of [his clients] during and after the sale of their home to him.” Id. at 633, 770 A.2d at 151.
Taking a slightly different tack, the majority’s analyzes the relatively recent cases in which the flagship violation was the unauthorized practice of law,2 in addition to Johnson and Harper and Kemp; Attorney Griev. Comm’n v. Briscoe, 357 *597Md. 554, 745 A.2d 1037 (2000); Attorney Griev. Comm’n v. James, 355 Md. 465, 735 A.2d 1027 (1999); Attorney Griev. Comm’n v. Kennedy, 319 Md. 110, 570 A.2d 1243 (1990); Attorney Griev. Comm’n v. Harris-Smith, 356 Md. 72, 737 A.2d 567 (1999). 370 Md. at 579, 805 A.2d at 1047. Noting that only in one of the cases, Harris-Smith, in which a 30 day suspension was the sanction, was the sanction other than disbarment, it concludes that “the present case has more in common with the cases that resulted in disbarment than the isolated result of the suspension in Harris-Smith” and that the “evidence of mitigation in this record, such as it is, is insufficient to suggest that disbarment is not the proper sanction here.” Id. at 579, 805 A.2d at 1047. Try as it might, it simply does not make the case.
To be sure, the conduct in this case is more egregious than that in Harris-Smith. Unlike in this case, there, Harris Smith, who was admitted to the bar of the United States District Court for the District of Maryland, did not represent clients in Maryland state court proceedings, and made an effort to conduct her practice in Maryland consistent with her admission to the federal court.3 And the Rule 8.4(b) and (c) *598charges against her were not sustained, as they were, albeit by consent, in the instant case. Indefinite suspension, what I consider the appropriate sanction in this case, is a much more severe sanction than that imposed in Harris-Smith.
It simply is not accurate to say that the facts of this case are close to the facts in the cases on which the majority relies. I have already, in refuting the petitioner’s argument, demonstrated the extreme difference between the case sub judice and Harper and Kemp and Johnson. What the Harris-Smith court had to say about James concisely and accurately describes the situation and clearly differentiates that case from *599this one: “James was an admitted but suspended lawyer who continued to practice law from his Maryland office after he had been suspended.” 356 Md. at 91, 737 A.2d at 577. In fact, the detailed description of that case by the majority, see 370 Md. at 586-587, 805 A.2d at 1051-1052, itself more clearly identifies and demonstrates the significant differences between the cases. That discussion reveals not only “a most tenacious violator,” but one whose unauthorized practice was persistent, willful, unabashed, deceitful and done without remorse or even a hint that he knew or cared that it was wrongful.
Briscoe similarly can be distinguished. This Court pointed out as a most significant factor that Briscoe “has disregarded an order of this Court by continuing to practice law while decertified as a practicing attorney because of his failure to pay Client’s Security Trust Fund dues (and, he has been decertified three times since 1989 for failure to pay these dues).” 357 Md. at 566, 745 A.2d at 1044. By itself, this makes Briscoe a stronger case for disbarment, for it demonstrates both a disregard for an order of court specific in its application to the attorney and in its prohibition against that attorney practicing law. In addition, however, other factors entered into the disbarment decision, as the majority acknowledges, 370 Md. at 587-588, 805 A.2d at 1052:
“Respondent, at least since the February 2, 1999 Inquiry Panel hearing, if not before, has consistently failed to cooperate with Bar Counsel, has practiced law when unauthorized to do so, and has entered into a contingency fee arrangement, but not reduced the same to writing. He has cashed checks from settlements for clients at a time when he did not maintain a trust account and failed to make the appropriate disbursements from those settlements, was unable or unwilling to produce records relating to some of the disbursements, and he failed to refund fees when required to do so. As this Court has noted many times before, these latter violations involving the mishandling of clients’ funds alone warrant disbarment. Id. [Atty. Griev. Com’n v. Milliken] at 519, 704 A.2d at 1241 (“Respondent’s treatment of his trust account in violation of Rules [16-607] and [16-609] *600alone warrants disbarment. As we have repeatedly said, commingling and conversion of client funds, in the absence of mitigating circumstances, ordinarily warrants disbarment.” (citing [Attorney Griev. Comm’n v.] Myers, 333 Md. [440,] 449, 635 A.2d [1315,] 1319 [(1994)]; Attorney Grievance Comm’n v. White, 328 Md. 412, 417, 614 A.2d 955, 958 (1992); Attorney Grievance Comm’n v. Bakas, 323 Md. 395, 403, 593 A.2d 1087, 1091 (1991); Attorney Grievance Comm’n v. Lazerow, 320 Md. 507, 513, 578 A.2d .779, 782 (1990); Attorney Grievance Comm’n v. Ezrin, 312 Md. 603, 608-09, 541 A.2d 966, 968 (1988))). Respondent has presented nothing in mitigation.”
357 Md. at 568, 745 A.2d at 1044.
Kennedy, too, fails to assist the majority. Kennedy consented to disbarment. Attorney Griev. Comm’n v. Kennedy, 319 Md. 110, 570 A.2d 1243 (1990).
Here, the respondent has not heretofore been sanctioned for misconduct and, in fact, has not before been the subject of disciplinary proceedings. He also readily admitted his involvement in the unauthorized practice of law and has never sought to deny or minimize it. Similarly, he has not disputed any of the other violations except the one charging him with making an untruthful statement to the petitioner’s investigator. As the majority has pointed out, dismissal of that violation would not have changed the nature or the seriousness of the violations. Moreover, the respondent terminated the misconduct voluntarily, albeit after his involvement in the Sanchez case was discovered. See Franz, 355 Md. at 762-63, 736 A.2d at 344 (where the respondents self reported, but only after becoming aware that the media intended to do a story about lawyers soliciting clients after a train derailment and that they were among the lawyers who would be mentioned). And the respondent has expressed remorse and regret for having engaged in the misconduct.
To reach the sanction it wishes to impose, the majority pays “mere lip service” to the test that this Court has adopted and it has itself acknowledged, that the appropriate sanction for *601particular misconduct depends on the facts and circumstances of the case; instead, focusing only on the nature of the violation, the fact of the violation and deterrence as one of the goals of a sanction, it attempts to equate the case sub judice with those cases in which this Court previously has imposed disbarment as a sanction. That four of the six cases on which it relies, mentioned deterrence as the objective of the sanction imposed or the fact that suspending the respondent would make him “the first non-admitted attorney to evade disbarment after having represented clients in Maryland state courts in violation of MRPC 5.5(a),” 370 Md. at 589, 805 A.2d at 1053, is an insufficient basis on which to disbar the respondent. This is especially the case when the unauthorized practice engaged in by the respondent does not come anywhere close to that engaged in by Harper and Kemp. Handling five cases over the course of two years does not come close to the conduct condemned in Harper and Kemp, opening a law office in Baltimore City for the express purpose of allowing a non Maryland lawyer to engage in the unauthorized practice of law, “to wring whatever value he could out of the inventory of pending cases of a disbarred lawyer who had practiced in Baltimore City.” 356 Md. at 70, 737 A.2d at 566.
Nor can the respondent’s conduct regarding Mr. Sanchez be equated with that in Johnson or be characterized as “repeatedly engag[ing] in conduct involving dishonesty, fraud, deceit, and misrepresentation.” 370 Md. at 591, 805 A.2d at 1054. The respondent’s conduct with respect to the Sanchez matter was reprehensible and caused damage to a third party, but it was a single instance. Johnson’s conduct, according to this Court, in addition to being appropriately characterized as “repeatedly engag[ing] in conduct involving dishonesty, fraud, deceit, and misrepresentation,” consisted of making false statements to a tribunal and acting against the interests of his clients during and after the sale of their home to him. Johnson, 363 Md. at 633, 770 A.2d at 151. In addition, while Johnson forged the signatures of his purported clients, they disputed having retained him, and the signature of his “part*602ner,” there is no comparable finding that the respondent did the same in this case. Id. at 608, 770 A.2d at 136.
The majority questions the voluntariness of the respondent’s cooperation and the sincerity of his remorse, concluding, as to the latter, “we find it impossible to parse with sufficient certainty whether Respondent’s claimed remorse is sincere, mere lip service, or simply damage control.” 370 Md. at 591, 805 A.2d at 1054. It relies also on the fact that the respondent was found to have violated Rules 8.4(b), (c) and (d), which is consistent with the Harper violation of Rule 8.4(b) and (d), and Johnson’s violation of Rule 8.4(a), (c), and (d). Id.
As we have seen, this Court has stated that the voluntariness of the respondent’s cooperation, even though it occurs after an investigation has begun, is mitigating, as is the respondent’s remorse. Freedman, 285 Md. at 300, 402 A.2d at 76 (“ ‘The Respondent voluntarily terminated his relationship with Williams over seven years ago. He voluntarily made this information known to the Federal investigators and has not used runners since discharging Williams.’ ”). See Franz, 355 Md. at 763-64, 736 A.2d at 344, in which we observed:
“The respondents, within a short time of its occurrence, recognized the impropriety of their having made direct contact with the victims of the train accident and immediately withdrew as counsel for those clients. They subsequently cooperated with those former clients and new counsel of their choice, turning over the results of their investigation in the process. The respondents neither charged, nor accepted, a fee for the time spent investigating the accident or facilitating, with new counsel, a smooth transition. Nor did they seek, or accept, reimbursement for the expenses incurred. Moreover, the respondents self reported their misconduct to the petitioner, prior to the publication of a newspaper article that detailed their and other attorney’s conduct in connection with the train accident. In addition, the respondents cooperated fully with the petitioner in its investigation leading to these charges being filed. As we have seen, the respondents have never denied their misconduct or sought to minimize it; rather, they have taken full *603responsibility and stated repeatedly their regret for having engaged in it.”
We have even recognized that whether the objective of the sanction has been achieved is a legitimate consideration and that the objective may be achieved by voluntary action prompted by the investigation. Harris-Smith, 356 Md. at 90-91, 737 A.2d at 577.
What the majority says about cooperation and remorse can be said about those matters in any case. Rather than a legitimate application of the factors, it seems more an unwillingness to apply factors that the Court already has determined to be appropriate in assessing the sanction in an attorney disciplinary case. In any event, there is an objectivity about both the cooperation and remorse issues that the majority discounts. At all times, the respondent has admitted the serious impropriety, accepted full responsibility, except for disputing the allegation that he made a misrepresentation to the petitioner’s investigator concerning the number of cases he had filed in Maryland courts, and cooperated with the petitioner’s investigation. Quite significantly, the respondent did not dispute the Rule 8.4 violations, quite serious charges, a clear indication both of the acceptance of responsibility and the expression of remorse.
Considering all of the facts and circumstances, not simply some of them, and viewing them objectively, without predetermining what the appropriate sanction should be, I believe that the appropriate sanction is an indefinite suspension from the practice of law.
I dissent.
Judge ELDRIDGE joins in the views expressed herein.

. Maryland Rule of Professional Conduct 8.4, in relevant part, provides:
"It is professional misconduct for a lawyer to:
"(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through acts of another;
% * * *
“(c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
"(d) engage in conduct that is prejudicial to the administration of justice.”
* * * +-

. Another relatively recent case, Attorney Griev. Comm'n v. Brown, 353 Md. 271, 725 A.2d 1069 (1999), involved a violation of Rule 5.5(b), providing that a lawyer may not "assist a person who is not a member of the bar in the performance of activity that constitutes the unauthorized practice of law." In that case, this Court explained why the respondent’s association with an attorney not licensed to practice law *597in the State of Maryland and oral entry of appearance on behalf of a client in an administrative hearing constituí ed "practice of law”:
"None of the court pleadings associated with Ms. Jones’ case contain Mr. Wilder's signature; nevertheless, Mr. Wilder's name appears below respondent’s signature on those pleadings. Responden! also introduced Mr. Wilder as co-counsel on behalf of Ms. Jones to the administrative hearing examiner. The clerk of this Court has certified that Mr. Wilder is not admitted to practice in Maryland and records show that he has moved to practice pro hac vice only once in an unrelated 1995 case. Mr. Wilder’s oral appearance on behalf of Ms. Jones at the administrative hearing constituted a “practice of law,” in which respondent assisted in violation of MRPC 5.5(b)."
353 Md. at 289, 725 A.2d at 1078. That violation plus numerous others, including failure to pursue matters diligently, failure to communicate with clients, failure to cooperate with Bar Counsel and a violation of Rule 8.4(c) (engaging in "conduct involving dishonesty, fraud, deceit or misrepresentation”) resulted in an indefinite suspension, with the right to reapply within one year. Id. at 296, 725 A.2d at 1081.

. This is the "federal overlay,” which the majority views as of significant importance to the determination of the appropriate sanction in this *598case. It was of significance in Harris-Smith, of course, because it was her defense: being admitted to the federal bar in Maryland, if she practiced consistent with that admission, that is, brought cases only in federal court and did not represent clients in State court, any allegation of a deliberate and willful intent to violate the unauthorized practice Rule would be negated. On the other hand, where the attorney is not admitted to the federal bar, or is admitted, but acts inconsistently with that admission, i.e., practices in State court, rather than federal court, it is the quality and quantity of the activity in the court to whose bar the attorney has not been admitted that will control. In other words, the attorney’s intent, would have to be shown by the facts and circumstances of the case.
In none of the cases on which the majority relies, except Harris-Smith, was there a federal overlay in the context of a disciplinary proceeding. That is not because none of the respondents was admitted to the federal bar, both Kemp and Harper were, as the majority itself notes, see 370 Md. 582 n. 16, 805 A.2d 1048, 1049 n. 16, rather, it is because none of them raised that as a defense or could have, given the nature and situs of the activity involved.
The federal overlay issue in Kennedy arose in the context of proceedings to limit an injunction entered against Kennedy and enjoining his unauthorized practice of law, proceedings that preceded disciplinary proceedings being initiated against Kennedy v. Bar Ass’n of Montgomery County, Inc. 316 Md. at 646-650, 561 A.2d at 200-202. As the Harris-Smith court pointed out,
"Kennedy was not admitted to practice in Maryland and did not in fact attempt to limit his practice from his Maryland office to matters before the Maryland District. The federal overlay issue arose in Kennedy only after he had been enjoined from the unauthorized practice of law, and he sought to limit the scope of the state court injunction.”
356 Md. at 91, 737 A.2d at 577. That the case sub judice compares unfavorably to Harris-Smith has been admitted; accordingly, as to it, if there were a federal overlay, it would add nothing. Nor does it add anything when this case, which has no federal overlay, is compared to other cases, which also do not have a federal overlay.