Disciplinary Board Representation

We received a unanimous decision from the Supreme Court of Pennsylvania. This decision both limits the use of offensive collateral estoppel in disciplinary matters and establishes that the standard of proof for disciplinary matters in Pennsylvania is clear and convincing evidence. The Office of Disciplinary Counsel had sought to utilize non-mutual offensive collateral estoppel to preclude the respondent from disputing fact determinations by a bankruptcy judge when she sanctioned the respondent and his client. The Supreme Court determined that the burden of proof for the judge in issuing sanctions was something less than clear and convincing evidence and, therefore, collateral estoppel did not apply. In making its decision, the Supreme Court noted that the previously expressed standard of “preponderance of clear and satisfactory evidence” was confusing and archaic but is the functional equivalent of “clear and convincing.” 

We achieved an informal admonition, the lowest form of discipline which is non-public, for a lawyer client in a matter that involved alleged failures to appropriately represent clients and timely file appeals in six different criminal matters.

We achieved dismissal of a disciplinary complaint brought against our attorney client who was the victim of a sophisticated scam and sent IOLTA (Interest on Lawyers’ Trust Accounts) funds belonging to another client out of the country.

We obtained a dismissal of an ethics grievance against a matrimonial attorney in northern New Jersey. The ethics grievance alleged that money in the grievant’s trust account was improperly handled since the ledger cards were completed incorrectly. Upon interviewing our client, the ethics investigator determined that no ethical violation was present since the money at issue was fully accounted for in the Trust account, despite the allegations by the grievant.

In a highly unusual move in a case with potential national implications, the Office of Disciplinary Counsel filed a petition for allowance of appeal seeking to have the decision of the Disciplinary Board changed from a private reprimand to a public reprimand. The defense successfully defeated this petition, thus maintaining the client’s privacy.

Our client represented a plaintiff in a personal injury action. The personal injury plaintiff had signed a lien letter, agreeing to repay her physical therapist from the proceeds of the personal injury claim. After the case settled, our client reimbursed the physical therapist for less than the amount billed by the therapist, who filed the ethics complaint. We successfully argued that our client was representing the best interests of his client, who claimed the bills were excessive. By doing so, the attorney increased the recovery for his client.

We obtained a dismissal of an ethics grievance filed against our client, a school law attorney who represented a school board and a school district. The grievance included allegations of ex parte communications with the administrative law judge, undue influence over the court, and conflict of interest based on a mediator’s spouse being retained by this attorney’s firm. We successfully argued to the disciplinary investigator that the conversations this attorney had with the administrative law judge’s staff were rudimentary scheduling and routinely conducted in cases across New Jersey. In terms of the conflict of interest alleged, we also argued that this attorney was an associate with the firm and had no interactions or decision-making authority regarding hiring of attorneys in the firm. The disciplinary ethics investigator found by clear and convincing evidence that the testimony of the school law attorney was credible, and that there was no ethical misconduct by our client. 

This case had potential national implications where the allegations by Disciplinary Counsel included 93 paragraphs and alleged violations of multiple Rules of Professional Conduct.

Our attorneys obtained dismissal of an ethics grievance filed against their client, the litigation counsel for a condominium association. In this case, the attorney was able to obtain a multi-million dollar settlement on behalf of the condominium association resulting from various construction defects caused by the developer, among others. After the settlement was reached, the developer’s vice president was able to assume control of the condominium association’s board and brought ethics charges against the attorney, alleging collusion with the board president and a property manager, who acted in concert to abscond with the settlement proceeds. The ethics grievance alleged the attorney should have notified the association board of the conspiracy and should have warned the association of the theft taking place. Upon responding to the ethics grievance filed against the attorney, the defense argued that the attorney had no involvement with the president of the association or the project manager and did not have any knowledge of the conspiracy. The attorney focused on the litigation and did not involve himself in anything related to the association’s business, other than the litigation, and focused on obtaining the best settlement possible for the association against the developer. After investigating this matter, reviewing the attorney’s response, as well as interviewing the attorney, the Office of Attorney Ethics dismissed all allegations against the attorney, finding that the allegations could not be proven by clear and convincing evidence.