Was that Wrong? Tomfoolery and a career marked by a consistent inability to comply with the ethics rules.

It’s rare that a court appearance results in a transcript that, when presented without indicia of being an official record of a judicial proceeding, might pass for comedy.  Whether an Abbot & Costello routine of yesteryear, or a Charlie-scene in the most recent episode of It’s Always Sunny in Philadelphia.

Today’s story brings us one of those rare moments.

But first . . .

. . . Was That Wrong? is a semi-regular column on Ethical Grounds. The column features stories of the absurd & outrageous from the world of legal ethics and attorney discipline. My aim is to highlight misconduct that I hope you’ll instinctively avoid without needing me to convene a continuing legal education seminar that cautions you to do so.

The column is inspired by the “Red Dot” episode of Seinfeld. In the episode, George Costanza has sex in his office with a character known only as “the cleaning woman.”  His boss finds out.  Here’s their ensuing exchange:

(Scene) In the boss’ office.

  • Boss: I’m going to get right to the point. It has come to my attention that you and the cleaning woman have engaged in sexual intercourse on the desk in your office. Is that correct?
  • George: Who said that?
  • Boss: She did.
  • George: Was that wrong? Should I have not done that? I tell you I gotta plead ignorance on this thing because if anyone had said anything to me at all when I first started here that that sort of thing was frowned upon, you know, because I’ve worked in a lot of offices and I tell you people do that all the time.
  • Boss: You’re fired.
  • George: Well, you didn’t have to say it like that.

The full script is HERE.  The scene is HERE.

This morning, I stumbled across an article that ran in the Baltimore Sun earlier this month.  As bar counsel, a basketball fan, and a lawyer who appreciates court opinions that cite to pop culture, the headline caught my eye:

Reflexively, I clicked.

As a basketball fan who went to law school in D.C., I’ve often wondered what happened to the rabid Washington Bullets fan whose incessant heckling of visiting teams secured him some level of fame.  I now have my answer.

In this opinion, the Maryland Court of Appeals disbarred him.

The opinion and the Sun article recount the story far better than I’ll be able to.  The twists, turns, and continual “it can’t get any crazier . . . oh, wait, it just got crazier” are well worth the read.  Still, a few thoughts.

I’ve read my fair share of disciplinary opinions.  It’s not uncommon to want to skip to the end to learn the result.  The Maryland court immediately quashed any interest in missing even a single sentence with this opening line:

  • “While a missed court date by an over-scheduled attorney who relies on office staff to meet the demands of a busy schedule or a good-faith fumble in the filing of a continuance motion would not ordinarily result in disbarment, the circumstances of [the lawyer’s] cases are far from typical.”

Interest piqued, I continued reading.

As I did, I noted statements that aren’t common in disciplinary opinions.  For instance, the court’s observation that the lawyer’s “lengthy disciplinary history since his admission may be unique in the annals of the bar.”  And the court’s remark that the lawyer, over the course of a lengthy career, “may have the unique distinction of having violated three iterations of the rules of professional conduct.”  By then, which was only page 3, I knew we had a potential Was that Wrong? on our hands.

Anyhow, after the court laid out the lawyer’s significant disciplinary history, it turned to the most recent charges.  Here’s what happened.

The lawyer was double-booked in two different courts.  So, the lawyer asked his assistant to file a motion to continue one of the scheduled cases.  The assistant – who was disbarred himself in 2013 – prepared the motion, signed the lawyer’s name, and filed it.  The motion included a statement that opposing counsel, Mr. Palisano, had no objection.  Alas, Attorney Palisano had left opposing counsel’s office months prior.

Understandably, the trial judge wanted an explanation. Eventually, the lawyer appeared. The ensuing exchange is what reminds me of a comedy routine.  It has all the hallmarks of the confusion that Charlie causes on Sunny. It also resulted in the lawyer being charged with making a false statement to the trial court.  Here’s how I envision the screenplay:

*********

Court: We’re going to get right to the point. It has come to our attention that you simply cannot comply with the ethics rules.  We’ve sanctioned you numerous times over the years and now this:  you weren’t exactly candid with the trial court when it asked about the motion that your disbarred assistant filed after signing it as you.

Lawyer: Who said that?

Court:  Well, you admitted to the trial court that you hadn’t signed the motion, but only after this exchange:

  •  TRIAL JUDGE: Sir we received your written motion by consent to continue this matter this morning. Is that right?
  • LAWYER: I believe – that’s what my office manager told me, Judge. He is now in the hospital.
  • TRIAL JUDGE: But this motion is signed by you, Sir.
  • LAWYER: Yes, it is.
  • TRIAL JUDGE: You’re counsel of record in this case?
  • LAWYER: No question about it.
  • TRIAL JUDGE: Correct?
  • LAWYER: Absolutely.
  • TRIAL JUDGE: You signed – you signed this motion though, Sir, instead, that’s what – is this your signature?
  • LAWYER: My name is on it, but my officer manager who’s been my office manager for 10 years.
  • TRIAL JUDGE: Sir?
  • LAWYER: Yes.
  • TRIAL JUDGE: Are you representing to this Court that you did not sign this motion, you had – you authorized someone who is not a member of the bar to sign this motion?
  • LAWYER: I’m saying I signed it, but I didn’t know that – I didn’t talk to Mr. Palisano, I didn’t know that Mr. Palisano’s name was in it, and . . .
  • TRIAL JUDGE: How could you not know if you’re signing it?
  • LAWYER: Mr. Palisano’s name was not in it when I signed it.
  • TRIAL JUDGE: When you signed it?
  • LAWYER: That’s right.
  • TRIAL JUDGE: So, you’re saying this document was altered after you signed it, Sir?
  • LAWYER: No, I’m not saying that. I’m just saying I did not sign anything that had Mr. Palisano’s name in it.
  • TRIAL JUDGE: So, are you saying that this is not your signature on the motion?
  • LAWYER: May I see it again?[1]

 Lawyer: Was that wrong?  Should I have not done that? I tell you I gotta plead ignorance on this thing because if anyone had said anything to me at all when I first started here that that sort of thing was frowned upon, you know, because I’ve worked in a lot of offices and I tell you people do that all the time.

Court: Disbarred.

Lawyer: Well, you didn’t have to say it like that.

***********

As always, be careful out there.[2]

costanza

[1] In real life, on the day after the hearing on the motion to continue, the lawyer’s assistant sent a letter to the trial court apologizing for making a mistake when using an old “template” motion.  He stated that he filed it in a rush, having just left the hospital against doctor’s orders after arriving for a routine exam only to be told that he required an emergency amputation. You can’t make this stuff up.

[2] The Shakespeare quote?  Referring to the lawyer’s prior disciplinary history and its relevance to the decision to disbar, the Maryland court wrote “It has been said that ‘what’s past is prologue,’” a line from Act II, scene 1 of The Tempest.

Prior Was that Wrong? posts:

Prior Entries:

Wellness Wednesday: 40 tips, with at least 1 for everyone.

When it comes to wellness and well-being, the legal profession has made progress.  The topic is now openly discussed, well, everywhere.

Whether at last week’s VBA Mid-Year Meeting, the lunch-time check-ins I’ve organized through the Bar Assistance Program, the VBA COVID-19 Committee’s conversation groups, or even something seemingly so small as the email I received yesterday, soon after a completing an in-house CLE for a local firm.  The CLE had covered a wide variety of issues related to legal ethics, but the follow-up email was, basically, “Mike, thank you.  How can our firm do more on wellness?”

Good question.

Despite the progress, it can be hard to do more, or even to get started.  One reason is that there is so much information so readily available that it can be overwhelming.  In my opinion, the trick is to approach the task as you would any other that, at first, seems daunting: one step at a time.

The ABA Journal recently published 40 wellness tips to help lawyers cope with job pressureI’m usually not a fan of lists that purport to show the way to faster marathons, stronger relationships, or whatever.  But I’m a huge fan of the ABA’s 40 wellness tips.

Each is from a different legal professional and each is easy to understand.  Not to be trite, but among the 40 tips, there’s one for everyone.  Whether beginning the journey to wellness or taking the next step, find the one that works for you and go from there.

wellness

Related Resources

Previous Wellness Wednesday Posts

Monday Morning Honors & Answers: #249

When I woke up, I wasn’t certain whether it was Monday or January.  I’m still not.  Oh well.

Friday’s questions are here.  The answers follow today’s Honor Roll.

Honor Roll

  • Karen Allen, Karen Allen Law
  • Matthew Anderson, Pratt Vreeland Kennelly Martin & White
  • Evan Barquist, Montroll Oettinger Barquist
  • Penny Benelli, Dakin & Benelli
  • Alberto Bernabe, Professor, University of Illinois at Chicago Law
  • Andrew Delaney, Martin Delaney & Ricci
  • Heather Devine, Tarrant Gillies Shems
  • Rick Fadden, Barry Callebaut, Blogger’s Stoolmate
  • Robert Grundstein
  • Anthony Iarrapino, Wilscheck & Iarrapino
  • Glenn Jarrett, Jarrett & Luitjens
  • Elizabeth Kruska, Immediate Past President, Vermont Bar Association Board of Managers
  • Deb Kirchwey, Law Office of Deborah Kirchwey
  • Keith Kasper, McCormick Fitzpatrick Kasper & Burchard
  • Pam Loginsky, Deputy Prosecuting Attorney, Pierce County, Washington
  • Kevin Lumpkin, Sheehey Furlong & Behm
  • Jack McCullough, Project Director, Mental Health Law Project, Vermont Legal Aid
  • Jeffrey Messina, Messina Law
  • Hal Miller, First American Title Insurance, Hawaii Agency State Counsel
  • Herb Ogden, Esq.
  • Margaret Olnek, Divorce Coach; Assistant Professor, Vermont Law School
  • Lisa Penpraze, Assistant United States Trustee, Department of Justice
  • Jim Remsen, Lord Microstrain, Blogger’s Stoolmate
  • Keith Roberts, Darby Kolter & Roberts
  • Stephanie Romeo, Ryan Smith & Carbine
  • Jonathan Teller-Elsberg, Sheehey Furlong & Behm
  • Honorable John Valente, Vermont Superior Judge
  • Jason Warfield, J.D.
  • Thomas Wilkinson, Jr., Cozen O’Connor

 ANSWERS

Question 1

At a CLE later today, I’ll urge lawyers to set reasonable expectations with clients at the outset of the representation. I’ll also remind them that a lawyer’s duty is to provide candid legal advice, even if it’s advice that the client doesn’t want to receive.

During that portion of the seminar, which 2 of the 7 Cs of legal ethics will I mention?

I confess, the two I had in mind were Communication and Competence.  However, several readers mentioned “candor,” so I’ll accept that as well.  As I blogged here, I’m of the opinion that a lawyer’s duty to communicate sufficient information to allow the client to make informed decisions includes setting reasonable expectations at the outset of the representation.  And, as I blogged here, I’m also of the opinion that the duties of competence and communication include providing candid legal advice.  See, Rule 2.1 – Advisor.

Question 2

 With respect to legal ethics, the phrase “going up the ladder” is most often used in connection with the duties of an attorney who:

  • A.  is duty bound to report another attorney to disciplinary authorities.
  • B.  represents an organization. Rule 1.13 – Organization as Client
  • C.  is being paid by someone other than the client.
  • D.  has a side business painting houses.

Question 3

Prospective Client wants to retain Lawyer for representation in a divorce from Spouse.  Spouse’s business deals will be a significant issue in the divorce.  Lawyer’s paralegal used to work at the law office that is representing Spouse.  While there, Paralegal participated personally & substantially on legal matters related to Spouse’s business deals.

Under Vermont’s rules, what’s most accurate?

  • A.  Lawyer may not represent Prospective Client. Paralegal has a conflict and it’s imputed to Lawyer.
  • B.  Lawyer may represent Prospective Client.  Prospective Client knows all about Spouse’s business deals.  Therefore, there’s no risk that Paralegal will share confidential information.
  •  C.  Lawyer may represent Prospective Client, but only if  Spouse gives informed consent, confirmed in writing.
  • D. Lawyer may represent Prospective Client.   Paralegal’s conflict is not imputed to Lawyer.  So that Paralegal does not share any confidential information about Spouse, Lawyer should screen Paralegal from any involvement in the divorce.  Rule 1.10 – Imputation of Conflicts of Interest – General Rule.

Question 4

 Attorney called me with an inquiry. I listened, then replied:

  • “Notice should come from you and the firm. A few years ago, the ABA issued an advisory ethics opinion that stated that it’s preferable to issue a joint notice.  The notice should go to all clients who deal (or who have dealt) directly with you.  What the clients do after that is up to them.”

Given my response, what will Attorney be doing soon?

Leaving the firm.  See my blog posts Leaving a Law Firm – Breaking up is hard to do & Leaving a Law Firm – Update.

Question 5

 I rarely take requests for Question 5.  However, I was recently sitting at McGillicudy’s when Rick, a non-lawyer friend and fellow stool sitter, mentioned that he’d tried a recent quiz and hadn’t gotten any right.  I replied that he shouldn’t because he’s not a lawyer!  Then, my brother told him to try another quiz, but only to worry about Question 5.

Still, I was surprised.  We were sitting in our regular bar talking, however briefly, about legal ethics and professional responsibility?!?!  The word is spreading!  So, I asked Rick his favorite fictional lawyer and promised to dedicate Question 5 to that lawyer.  Rick replied something to the effect “it’s ironic that on an ethics quiz you’ll basically be telling me the answer ahead of time!”

Aha! I did no such thing! I asked his favorite fictional lawyer. I never said that lawyer would be the answer to Question 5!

How lawyerly of me to ruin the moment.

Anyhow, Rick’s favorite fictional lawyer is Seinfeld’s Jackie Chiles.  So, without further ado, here’s to Rick!

In an episode of Seinfeld, Kramer retains Jackie Chiles to sue a woman who Kramer alleges caused him to crash his car.  Here’s a snippet of one of their conversations:

Kramer: And she’s the heir to the ________ candy bar fortune.
Jackie Chiles: Could you repeat that?
Kramer: I said she’s the heir to the ________ candy bar fortune.
Jackie Chiles: _________? That’s one of our top-selling candy bars. It’s got chocolate, peanuts, nougat. It’s delicious, scrumptious, outstanding!

Later, at trial, things go awry after Kramer, on the advice of Stam (a golf caddy) and over Jackie’s objections, asks the judge to order the woman to try something on.

Fill-in-the-blank:  what candy bar?

Bonus:  what did the judge order the woman to try on?

Of course, this was Sue Ellen Mischke, heiress to the Oh Henry! candy fortune.  The judge ordered her to try on a bra, which didn’t fit.  Leading to this exchange and today’s bonus quote from Jackie Chiles:

Judge: This court will come to order. Go ahead, Miss Mischke, try it on.
Sue Ellen: It doesn’t fit. I can’t put it on.
Jackie Chiles: [to Kramer and Stan] Damn fools! Look at that! We got nothing now! Nothing! I’ve been practicing law for 25 years, you’re listening to a caddy! This is a public humiliation! You can’t let the defendant have control of the key piece of evidence. Plus, she’s trying it on over a leotard. Of course a bra’s not gonna fit on over a leotard. A bra gotta fit right up a person’s skin. Like a glove!

Jackie_Chiles_in_The_Maestro_Seinfeld

Five for Friday #249

Welcome to Friday and the 249th legal ethics quiz!

You know what?  249 isn’t 250.  It’s nowhere near as interesting, exciting, or motivating.  In fact, last night, while looking forward to next week’s milestone, I wondered if I’d even find the inspiration to post today.

I like to recognize occasions.  So much so that I tend to lose track of what happens leading up to them.  And by “lose track,” I mean that I often get so caught up in what I consider to be a notable event, occasion, or milestone, that I don’t enjoy the moments along the way.

That’s not good.  Too often, I miss too much.  Especially when, as can happen, the occasion doesn’t match the anticipation and leaves me regretting what I missed leading up to it.

So therein lies my challenge with the introduction to Quiz 249.  Again, 249 ain’t 250. But you know what?  I can’t celebrate #250 without posting #249 first.  So, last night, I resolved to find something about this moment.

I’m training for a marathon.  My current schedule calls for speed work on Thursdays and long runs on Saturdays. For each, I look forward to both the challenge and the sense of accomplishment upon completion.  To me, speedwork and long runs are events, occasions worth noting.

Friday runs? Not so much. Right now, Fridays are “recovery runs.”   Runs that aren’t fast or long.  They’re necessary, but boring.  There’s literally nothing remarkable about them.

But maybe that’s the wrong way to approach them. Maybe the challenge of training for the marathon is to find something special in each and every run.  After all, marathon day can go bad quickly.  So why measure success or appreciation for what happened by the race result instead of by the rewarding moments throughout the training process?

Here’s why.

Because I’m not much into mumbo jumbo about journeys, destinations, and smelling roses.

Still, today, I tried.

Yesterday was 8 miles with speed work mixed in.  It was one of my best workouts in a while.  Tomorrow, I hope to run more than 20 miles, the longest run of the training cycle so far.  Today?  The plan called for a whole lot of “not much.”  Not exactly an occasion.  Plus, between having to drop my car off at the garage this morning and today’s work schedule, there wasn’t much time for a run.  Especially one that didn’t interest me. So, I considered skipping it altogether.

But I didn’t.

Instead of dropping off my car and then hopping the bus to work, I brought it over early and ran home.  Why? To make an otherwise boring “short” run interesting: to turn it into an occasion.  So, nearing home, I focused on my GPS, weaving around the neighborhood, purposefully arriving in my driveway exactly at this moment:

249

Will today’s run make a difference on race day? Nope.  But it made a difference today.

Don’t get lost waiting for life’s 250s.  There are events, occasions, and opportunities in every moment, even the 249s.  Allow yourself to experience as many as you can.

Onto the quiz!

Rules

  •  Open book, open search engine, text-a-friend.
  • Exception:  Question 5.  We try to play that one honest.
  • Unless stated otherwise, the Vermont Rules of Professional Conduct apply
  • Team entries welcome, creative team names even more welcome.
  • E-mail answers to michael.kennedy@vermont.gov
  • I’ll post the answers & Honor Roll on Monday
  • Please consider sharing the quiz with friends & colleagues
  • Share on social media.  Hashtag it – #fiveforfriday

Question 1

 At a CLE later today, I’ll urge lawyers to set reasonable expectations with clients at the outset of the representation. I’ll also remind them that a lawyer’s duty is to provide candid legal advice, even if it’s advice that the client doesn’t want to receive.

During that portion of the seminar, which 2 of the 7 Cs of legal ethics will I mention?

Question 2

 With respect to legal ethics, the phrase “going up the ladder” is most often used in connection with the duties of an attorney who:

  • A.  is duty bound to report another attorney to disciplinary authorities.
  • B.  represents an organization.
  • C.  is being paid by someone other than the client.
  • D.  has a side business painting houses.

Question 3

 Prospective Client wants to retain Lawyer for representation in a divorce from Spouse.  Spouse’s business deals will be a significant issue in the divorce.  Lawyer’s paralegal used to work at the law office that is representing Spouse.  While there, Paralegal participated personally & substantially on legal matters related to Spouse’s business deals.

Under Vermont’s rules, which is most accurate?

  • A.  Lawyer may not represent Prospective Client. Paralegal has a conflict and it’s imputed to Lawyer.
  • B.  Lawyer may represent Prospective Client.  Prospective Client knows all about Spouse’s business deals.  Therefore, there’s no risk that Paralegal will share confidential information.
  •  C. Lawyer may represent Prospective Client, but only if  Spouse gives informed consent, confirmed in writing.
  • D.  Lawyer may represent Prospective Client.   Paralegal’s conflict is not imputed to Lawyer.  So that Paralegal does not share any confidential information about Spouse, Lawyer should screen Paralegal from any involvement in the divorce.

Question 4

 Attorney called me with an inquiry. I listened, then replied:

  • “Notice should come from you and your firm. A few years ago, the ABA issued an advisory ethics opinion that stated that it’s preferable to issue a joint notice.  The notice should go to all clients who deal (or who have dealt) directly with you.  What the clients do after that is up to them.”

Given my response, what will Attorney soon be doing?

Question 5

 I rarely take requests for Question 5.  However, I was recently sitting at McGillicudy’s when Rick, a non-lawyer friend and fellow stool sitter, mentioned that he’d tried a recent quiz and hadn’t gotten any right.  I replied that he shouldn’t, because he’s not a lawyer!  Then, my brother told him to try another quiz, but only to worry about Question 5.

Still, I was surprised.  We were sitting in our regular bar talking, however briefly, about legal ethics and professional responsibility?!?!  The word is spreading!  So, I asked Rick his favorite fictional lawyer and promised to dedicate Question 5 to that lawyer.  Rick replied something to the effect “it’s ironic that on an ethics quiz you’ll basically be telling me the answer ahead of time!”

Aha! I did no such thing! I asked his favorite fictional lawyer. I never said that lawyer would be the answer to Question 5!

How lawyerly of me to ruin the moment.

Anyhow, Rick’s favorite fictional lawyer is Seinfeld’s Jackie Chiles.  So, without further ado, here’s to Rick!

In an episode of Seinfeld, Kramer retains Jackie Chiles to sue a woman who Kramer alleges caused him to crash his car.  Here’s a snippet of one of their conversations:

Kramer: And she’s the heir to the ________ candy bar fortune.
Jackie Chiles: Could you repeat that?
Kramer: I said she’s the heir to the ________ candy bar fortune.
Jackie Chiles: _________? That’s one of our top-selling candy bars. It’s got chocolate, peanuts, nougat. It’s delicious, scrumptious, outstanding!

Later, at trial, things go awry after Jackie asks the woman to try something on and it doesn’t fit.

Question 5 is a fill-in-the-blank:  what candy bar?

Bonus:  what did Jackie ask the woman to try on?

There are reasons to consider not copying a client on an email to opposing counsel.

I’ve long expressed concern about a lawyer copying a client on an email to opposing counsel.  I’m here to do so again.

A few weeks ago, Brian Faughnan posted his reaction to the Washington State Bar Association’s (WSBA) release of Advisory Opinion 202201.  I recommend Brian’s post.

Here’s the scenario presented in the WSBA opinion:

  • Lawyer A represents Client.
  • Lawyer B represents someone else in the same matter.
  • Lawyer A sends an email to Lawyer B.
  • Lawyer A copies the email to Client.

As have most to address the issue, the WSBA opinion focuses on the duties of the receiving lawyer.  That is, does the receiving lawyer violate Rule 4.2  by replying to all?  In a nutshell, the WSBA concluded:

  • “Short answer: It is the opinion of the Committee on Professional Ethics that “Reply All” may be allowed if consent can be implied by the facts and circumstances, but express consent is the prudent approach.”

In its longer answer, the WSBA set out the factors that the receiving lawyer should consider when assessing whether the sending lawyer impliedly consented to a “reply-all.”  Then, the WSBA advised:

  • “To avoid a possible incorrect assumption of implied consent, the prudent practice is for all counsel involved in a matter to establish at the outset a procedure for determining under what circumstances the lawyers involved may “reply all” when a represented party is copied on an electronic communication.”

I don’t necessarily disagree. However, I continue to believe that the sending lawyer’s duties to the client are as important to the analysis. Indeed, as Brian noted in his blog post:

  • “What the opinion does not address is the flip side of the situation – does the first lawyer who decides to loop his client directly into a conversation by cc’ing them on an email to opposing counsel run the risk of an ethical violation in doing so. Given the trend in various ethics opinions addressing the obligations of the receiving lawyer, there seems to be a good measure of safety for the sending lawyer, but I continue to believe that there is almost never a good reason outside of very limited circumstances for proceeding in this fashion.”

I agree!  Here are few reasons why sending lawyers should think twice about the client cc.

Last year, the New Jersey Supreme Court’s Advisory Committee on Professional Ethics issued ACPE Opinion 739.  I blogged about it here.  The Committee concluded:

  • “Lawyers who initiate a group email and find it convenient to include their client should not then be able to claim an ethics violation if opposing counsel uses a ‘reply all’ response. ‘Reply all’ in a group email should not be an ethics trap for the unwary or a ‘gotcha’ moment for opposing counsel. The Committee finds that lawyers who include their clients in group emails are deemed to have impliedly consented to opposing counsel replying to the entire group, including the lawyer’s client.”

The Committee went on:

  • “If the sending lawyer does not want opposing counsel to reply to all, then the sending lawyer has the burden to take the extra step of separately forwarding the communication to the client or blind-copying the client on the communication so a reply does not directly reach the client.”

Now, as far as I know, the New Jersey opinion is the only to conclude that the mere fact of copying a client on an email to opposing counsel is consent for opposing counsel to reply to all. However, other jurisdictions have cautioned that it’s not best practice.

For instance, in Opinion E-442, the Kentucky Bar Association stated:

  • “Avoiding use of ‘cc’ also prevents the client to inadvertently communicate with opposing counsel by hitting the ‘reply all.’ ”

In Ethics Opinion 2018-01, the Alaska Bar Association urged caution, advising that there are situations in which lawyers who cc their clients on emails to opposing counsel risk waiving the attorney-client privilege.

Finally, in Formal Opinion 2020-100, the Pennsylvania Bar Association agreed with Kentucky and noted:

  • “When a client is copied on email (either by carbon or blind copy), the client or its email system may default to replying to all. In doing so, the client may reveal confidential information intended only for his or her lawyer or waive the attorney-client privilege.”

The opinions include helpful examples of how the privilege might be waived. In addition, each concludes that it’s best practice for the sending lawyer not to cc the client and, instead, to forward to the client the email that was sent to opposing counsel.

Of course, I’m sure many lawyers are yelling “but Mike!!!”  I get it.  Indeed, as Brian blogged:

  • “Now transactional lawyers may be screaming at me here for my naivete, but, unless you are truly trying to mimic a situation where lawyers and clients are all sitting around the table and having a discussion, I don’t think including all of those parties on an email thread makes sense. (And, it’s 2022, if that’s what you are trying to do then use some other communications platform at this point whether that be Zoom or WebEx or Teams or something else.) Otherwise, whatever you want your client to see, just forward the email thread to them separately. Doing anything else, absent a clear agreement among the counsel involved about whether communication is permitted is simply an unnecessary risk to take.”

To be clear, I’m not stating that a lawyer violates the Rules of Professional Conduct by cc’ing a client on an email to opposing counsel.  Nor is it my role to do so. That’s a decision left to Disciplinary Counsel, a hearing panel, and, ultimately, the Vermont Supreme Court.  Also, I understand that there will be situations in which the sending lawyer impliedly consents to a reply-all or doesn’t cause any undue risk when copying a client.

Still, my role includes lending guidance. When doing so, I tend to urge lawyers to avoid risk. Hence, I agree with the numerous jurisdictions and commentators who think that it’s best practice not to copy a client on an email to opposing counsel. If only to avoid the risk of the client mistakenly replying to all.

I’ll end with this.  Many will think I’m making it up. I’m not, and I have the time stamps to prove it.

As I was drafting this post, I received an email from a criminal prosecutor.  Here’s what the prosecutor wrote:

  • “Hi Mike – I have a question about when a defense attorney cc’s a client on an email to me.  If memory serves, when responding, I should remove the client from the email chain as that could be considered contact with a represented individual.  Is that still the recommended practice?”

In my opinion, yes.  But in New Jersey? Maybe not.

More importantly, the prosecutor’s scenario demonstrates the risk in copying a client on an email to an opposing counsel.  Can you imagine if a criminal defendant mistakenly replies all and discloses information that is subsequently used against them?

As always, be careful out there.

Related posts:

Advisory Opinions

 

Monday Morning Honors & Answers: #248

Welcome to Monday!

Friday’s questions are here. Today’s answers follow the Honor Roll.

Honor Roll

  • Karen Allen, Karen Allen Law
  • Matthew Anderson, Pratt Vreeland Kennelly Martin & White
  • Penny Benelli, Dakin & Benelli
  • Alberto Bernabe, Professor, University of Illinois at Chicago Law
  • Geoffrey Bok, Esq.
  • Rich Cassidy, Rich Cassidy Law
  • Andrew Delaney, Martin Delaney & Ricci
  • Cary Dube, Bergeron, Paradis, Fitzpatrick
  • Benjamin Gould, Paul Frank + Collins
  • Robert Grundstein
  • Merle Haskins, Assistant Judge, Vermont Superior Court
  • Glenn Jarrett, Jarrett & Luitjens
  • Keith Kasper, McCormick Fitzpatrick Kasper & Burchard
  • Jeanne Kennedy, JB Kennedy Associates, Mother of the Blogger
  • John T. Leddy, McNeil Leddy Sheahan
  • Jordana Levine, Marsicovetere & Levine
  • Kevin Lumpkin, Sheehey Furlong & Behm
  • Jack McCullough, Project Director, Mental Health Law Project, Vermont Legal Aid
  • Jeffrey Messina, Messina Law
  • Hal Miller, First American Title Insurance, Hawaii Agency State Counsel
  • Herb Ogden, Ogden Law
  • Lisa Penpraze, Assistant United States Trustee, Department of Justice
  • Keith Roberts, Darby Kolter & Roberts
  • Jonathan Teller-Elsberg, Sheehey Furlong & Behm
  • Jason Warfield, J.D.
  • Jack Welch, Esq.

the-quiz

 ANSWERS

Question 1

 

Attorney called me with an inquiry.  Attorney said “Mike, I represent Witness.  Lawyer represents Party.  Lawyer keeps contacting my client directly.  I asked Lawyer to stop.   Lawyer insists that the no-contact rule doesn’t apply because Witness isn’t a party. Is Lawyer right?”

What was my response?

  •   A. Yes.
  •   B. The rule is unclear.
  •   C. The rule is unclear, but, by case law, no, Lawyer is wrong.
  •   D. No. The rule is clear. It applies to any “person” who is represented in a matter.  Lawyer is wrong.  V.R.Pr.C. 4.2; See Comment [2] (“This rule applies to communication with any person who is represented by counsel concerning the matter to which the communication relates.)

 Question 2

 Attorney called me with an inquiry about funds. I listened, then replied, “You may.  But only in an amount reasonably necessary to cover reasonably expected bank fees.”

My response accurately  stated the rule.  Therefore, it’s most likely that the funds Attorney asked about belonged to ________:

  •  A. A client.
  • B. AttorneyV.R.Pr.C. 1.15(b).
  • C.  A person who is not a client but who is paying Attorney to represent a client.
  • D. A  third person who has a lien on funds that Attorney recovers for a client.

 Question 3

 Lawyer called me with an inquiry. I listened, then asked:

  • “is the criminal act going to result in substantial bodily harm to your client? Or to someone other than your client?”

Given my response, Lawyer’s inquiry related to the rule on:

  •   A. Client confidences.  V.R.Pr.C. 1.6.  When the harm will result to someone other than the actor, disclosure is mandatory.  V.R.Pr.C. 1.6(b).  When the harm will result to the actor, disclosure is permissive.  V.R.Pr.C. 1.6(c).
  •  B. Withdrawal
  •  C. Conflicts of Interest
  •  D. The Special Responsibilities of a Criminal Prosecutor

Question 4

 There are two rules that impose a duty to take “reasonable remedial” action or measures.  One is the rule on “Candor to a Tribunal.”  It requires a lawyer to take reasonable remedial measures whenever the lawyer learns that a client or witness for a client has offered false evidence, and whenever the lawyer learns that a person has engaged, is engaging, or intends to engage in criminal or fraudulent conduct related to a proceeding.

What’s the other rule address?

  •  A. Advertising.
  •  B. Conflicts involving a current client and a former client.
  •  C. Conflicts involving a current client and a prospective client.
  •   D. A lawyer’s duties when a nonlawyer assistant does something that would violate the rules if the lawyer had done it.  See, V.R.Pr.C. 5.1 and V.R.Pr.C. 5.3.

Question 5

  As history tells it, Cicero was one of the great Roman orators.  He was also a capable & competent lawyer.

Long ago, and at exactly this time of year, Cicero used all his skills to mediate a resolution between two groups: people who conspired to commit (and committed) a brutal act, and people who were supporters of the famous victim.

Shakespeare forever memorialized several lines that are associated with the brutal act.  One of those lines refers to a Roman holiday that took place this week.  The same line includes a word that is associated with the current NCAA basketball tournament.

Who was the victim?  Julius Caesar

Bonus:  what’s the line?  “Beware the Ides of March.” Julius Caesar, Act 1, Scene II

Kudos to Kevin Lumpkin for noting that I could’ve transformed the bonus into a “before and after:”  

Beware the Ides of March Madness

IDES-of-march-adobe-950x505

 

Five for Friday #248

Update:  Original drafts of this week’s quiz were so poorly written that I edited the post after it went up. Then, I recorded this video of me asking the quiz questions.

*****

Welcome to Friday and the 248th legal ethics quiz.

Whether due to spring fever induced writer’s block or some other malady, I can’t think of anything interesting to associate with the quiz number or today’s date.

(Wait a second . . . having read what I just typed, I wouldn’t be surprised if many of you object. To the premise of the statement and to a fact not in evidence.  Alas, while I conceded your points, we digress. So, moving on . . .)

Anyhow, any inspiration I had was used up by yesterday’s story about flags, basketball, and St. Patrick’s Day.  Not only that, my superstitious side has me convinced that, but for those flags-a-flyin’, UVM would still be playing this weekend.  And it’s a conviction that has further sapped any creative thought.

                (Stop objecting. I heard you the first time.)

Therefore, and with a time crunch that was short enough when I commenced this post having shrunk even further . . . onto the quiz!

Have a great weekend.

the-quiz

Rules

  •  Open book, open search engine, text-a-friend.
  • Exception:  Question 5.  We try to play that one honest.
  • Unless stated otherwise, the Vermont Rules of Professional Conduct apply
  • Team entries welcome, creative team names even more welcome.
  • E-mail answers to michael.kennedy@vermont.gov
  • I’ll post the answers & Honor Roll on Monday
  • Please consider sharing the quiz with friends & colleagues
  • Share on social media.  Hashtag it – #fiveforfriday

Question 1

 Attorney called me with an inquiry.  Attorney said “Mike, I represent Witness.  Lawyer represents Party.  Lawyer keeps contacting my client directly.  I asked Lawyer to stop.   Lawyer insists that the no-contact rule doesn’t apply because Witness isn’t a party. Is Lawyer right?”

What was my response?

  •   A.  Yes.
  •   B.  The rule is unclear.
  •   C.  The rule is unclear, but, by case law, no, Lawyer is wrong.
  •  D.  No. The rule is clear. It applies to any “person” who is represented in a matter.  Lawyer is wrong.

 Question 2

 Attorney called me with an inquiry about funds. I listened, then replied, “You may.  But only in an amount reasonably necessary to cover reasonably expected bank fees.”

My response accurately  stated the rule.  Therefore, it’s most likely that the funds Attorney asked about belonged to ________:

  •  A. a client.
  •  B.  Attorney.
  •  C.  A person who is not a client but who is paying Attorney to represent a client.
  •  D.  a third person who has a lien on funds that Attorney recovers for a client.

 Question 3

 Lawyer called me with an inquiry. I listened, then asked:

  • “is the criminal act going to result in substantial bodily harm to your client? Or to someone other than your client?”

Given my response, Lawyer’s inquiry related to the rule on:

  •  A.  Client confidences
  •  B.  Withdrawal
  •  C.  Conflicts of Interest
  •  D.  The Special Responsibilities of a Criminal Prosecutor

Question 4

There are three rules that refer to a lawyer taking “reasonable remedial” action or measures.  One is the rule on “Candor to a Tribunal.”  It requires a lawyer to take reasonable remedial measures whenever the lawyer learns that a client or witness for a client has offered false evidence, and whenever the lawyer learns that a person has engaged, is engaging, or intends to engage in criminal or fraudulent conduct related to a proceeding.

Generally, what’s addressed by the 2 other rules that refer to a lawyer taking “reasonable remedial” action or measures.

  • A.  Advertising.
  • B. Conflicts involving a current client and a former client.
  • C.  Conflicts involving a current client and a prospective client.
  • D.  A lawyer’s duties when supervising others, both lawyers and non-lawyers alike, who either violate the Rules or who act or fail to act in a way that would violate the Rules if the lawyer were to do the same.

Question 5

 As history tells it, Cicero was one of the great Roman orators.  He was also a capable & competent lawyer.

Long ago, and at exactly this time of year, Cicero used all his skills to mediate a resolution between two groups: people who conspired to commit (and committed) a brutal act, and people who were supporters of the famous victim.

Shakespeare forever memorialized several lines that are associated with the brutal act.  One of those lines refers to a Roman holiday that took place this week.  The same line includes a word that is associated with the current NCAA basketball tournament.

Who was the victim?

Bonus:  what’s the line?

Client Confidences, Motions to Withdraw, and Responding to Subpoenas for Client Information

“Of course I’m okay! God didn’t make me Irish for nothing you know!!”

~ Katherine Flynn, aka Aunt Kate

**********************

I’ll get to subpoenas and motions to withdraw in a bit.  First, I’m going to share a story, if only because Aunt Kate would roll in her grave if I failed to acknowledge the day.

I bought my condo in 2018.  When I moved in, I found it a bit curious that the previous owners had installed flagpole mounts on both sides of the garage door.  Don’t get me wrong: I’m a fan of flags, have a bunch of them, and love to fly them as appropriate.  Still, when would I ever need to fly two flags at the same time?

Today!

As most readers know, I’m a fan of all-things Irish and most-things basketball, with the opening weekend of the NCAA tournament among my favorite basketball things. Today, then, is quite a day: the magical and rare alignment of cosmos and calendar that results in March Madness opening on St. Patrick’s Day. Frankly, Younger Me would be shocked to learn that we’re working this morning.

It gets better.

Another of my favorite basketball things is UVM basketball. Tonight, Vermont plays a winnable game in the NCAA tournament.  That alone is something that would’ve fried Younger Me’s brain.  Combine it with playing on Day 1 of the tournament on St. Patrick’s Day?  Well, frankly, Younger Me would be even more shocked to learn that it was only half & half in our coffee this morning.

All that said, I’m sure you’ve figured out what this has to do with flags. Today I’m flying two: my Irish flag and my UVM flag.  So, I’ll transition to the legal ethics portion of this post with an Irish toast to the prior owner who had the foresight to install two pole mounts:

Sláinte and Go Cats Go!

Now, back to our regularly scheduled programming.

Motions to Withdraw & Subpoenas to Disclose Client Information

Over the past few months, I’ve noticed an uptick in inquiries on each of these questions:

  1. How much can I disclose in a motion to withdraw?
  2. How do I respond to a subpoena to produce a former client’s file or to give testimony about my representation of that client?

Here’s the nutshell version of my guidance:

  1. Very little. Cite to whatever provision of V.R.Pr.C. 1.16 applies, then go from there.
  2. Very carefully. Absent client consent to produce or disclose, I suggest raising all non-frivolous defenses against production or disclosure in a motion to quash.  Then, go from there.

After responding to these inquiries, I email these blog posts to the inquirers:

  1. Stop Making Noise.
  2. Subpoenaed to Disclose Client Info?

Now, I can sense that my mother’s French-Canadian mother is not only rolling in her grave, but she’s stomping her feet and smashing her fists.  She’s realized that today’s post is not original, but a rehashing of blogs I posted years ago.  She’s blaming the laziness on my Irish gene.  Nanny, Papa’s wife, has a point.

Nevertheless, since the questions continue to come, I thought I’d share this refresher.

When moving withdraw, remember that “I want to withdraw” is not among the exceptions to V.R.Pr.C. 1.6’s prohibition on disclosing information relating to the representation of the client. That’s why I think it’s best practice for a lawyer to limit a withdrawal motion to citing whatever provision(s) of V.R.Pr.C. 1.16 apply.  Then, if the court orders further disclosure, V.R.Pr.C. 1.6(c) permits a lawyer to respond.  Stop Making Noise includes a cautionary tale of a Tennessee lawyer who clearly had grounds to withdraw, but who was sanctioned for disclosing too much in a motion to do so.

Similarly, “I’ve been subpoenaed” is not among the exceptions to V.R.Pr.C. 1.6’s prohibition on disclosing information relating to the representation of a client.  So, absent the client or former client’s consent to produce the file or to give testimony, I think best practice is to raise all non-frivolous arguments against production/disclosure in a motion to quash. Then, if a court compels production or disclosure, V.R.Pr.C. 1.6(c) permits a lawyer to comply with the court order.[1]  My blog post links to ABA Formal Opinion 473: Obligations Upon Receiving a Subpoena or Other Compulsory Process for Client Documents or Information.

As always, let’s be careful out there.

Happy St. Patrick’s Day!

UVM and Irish

[1] Note: this post assumes that the subpoena issues in a matter that does not involve an allegation involving the lawyer’s representation of the client.  The analysis likely would change if the subpoena issues in connection with a case or controversy involving the lawyer’s representation of the former client.  See, V.R.Pr.C. 1.6(c) or contact me.

Wellness Wednesday: Mentoring

It’s been a bit since my last Wellness Wednesday post.  And, since I already blogged once today, I’m reluctant to do so again.  However, in that this morning’s was about trust accounting, my personal well-being requires a new post to cleanse my palate of my least favorite topic.

So, let’s consider mentoring as an aspect of well-being.

wellness

I’ve long thought that mentoring provides an opportunity to improve well-being. Not only for the mentee and the obvious benefits of wise guidance, but for the mentor.  In fact, a quick search reveals that I’ve posted several blogs in which I urged lawyers to consider serving as mentors.

The first was Resolve to be a Mentor, a post in which I suggested that mentoring can be traced back to the earliest recorded guidelines of attorney conduct.  Next, here and here, I used the Wellness Wednesday forum to encourage lawyers to serve as mentors. The former referenced my tribute to Joan Wing.  Very few, if any, have done more to promote the wellness and well-being of the Vermont legal profession than Joan, with her various efforts including serving as a mentor to many lawyers who still practice today.  This blogger included.

My prior posts focused on the benefits to the mentee. I’ve never been able to articulate my feeling that, at some level, helping others to find their way benefits the helper as well.  Then, today, I saw the ABA Journal’s Mentorship is not all about the menteeIt’s a great post in which Katherine Gustafson reminds us that, yes, while ‘the benefits of being mentored have been extolled in articles everywhere,” when it comes to mentoring “before you reject the idea, consider the benefits that come with such a role.” Among those benefits, wellness.

Referring to the “intrinsic rewards” associated with mentoring, Gustafson notes:

“Let’s face it, the practice of law is difficult, often frustrating, work. Even those of us who love our jobs sometimes feel burned out and unsatisfied. This burnout can affect our physical and mental health as well as our work productivity. We long for something in our daily work that satisfies our soul. Mentorship can be that magic ticket.

We have long known that helping others makes us feel good, but research by the University of Wisconsin—Madison’s La Follette School of Public Affairs proves it. The research concluded that helping others makes us happier. When you do something good for someone else, the pleasure centers in your brain light up and endorphins are released that give you a sensation referred to as a ‘helper’s high.’ So, taking a little bit of time out of our daily life to help a new attorney find their way in the profession can counteract some stress and negativity that naturally accompanies law practice.”

I agree!

So today I’m here to share two mentoring opportunities.

Last month, the Vermont Bar Association announced the Vermont Mentor Advice Program (VMAP).  VMAP aims to pair “experienced Vermont lawyers with new lawyers practicing in Vermont and with lawyers newly-located in Vermont.” The VBA hopes that VMAP “will be a helpful way to welcome new lawyers practicing in Vermont to the Vermont legal community, and for experienced lawyers to be able to share their knowledge and experience with new Vermont lawyers.”  For more info, including answers to frequently asked questions and an application form, please go here.

In addition, the Vermont Judiciary administers a separate program.  The Rules of Admission to the Bar of the Vermont Supreme Court require newly admitted lawyers to complete a mentorship.  More information is available here.  To be added to the list of those willing to serve mentors in the admission program, please email Licensing Counsel Andy Strauss.

Note: the VBA program is NOT for mentees seeking to satisfy the admission requirement.

If I know Joan, she wouldn’t recommend one program over the other.  Rather, I expect that she’d suggest – as only Joan could “suggest” things – that you serve in BOTH.

For now, please consider one.

Here’s to being like Joan and improving our own well-being while helping others.

Previous Wellness Wednesday Posts