Cuyahoga County Bar Ass'n v. Hardiman

100 Ohio St. 3d 260
CourtOhio Supreme Court
DecidedNovember 5, 2003
DocketNo. 2003-0421
StatusPublished
Cited by35 cases

This text of 100 Ohio St. 3d 260 (Cuyahoga County Bar Ass'n v. Hardiman) is published on Counsel Stack Legal Research, covering Ohio Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Cuyahoga County Bar Ass'n v. Hardiman, 100 Ohio St. 3d 260 (Ohio 2003).

Opinion

Francis E. Sweeney, Sr., J.

{¶ 1} On August 12, 2002, relator, Cuyahoga County Bar Association, filed a complaint charging respondent, James L. Hardiman of Cleveland, Ohio, Attorney Registration No. 0031043, with several violations of the Code of Professional Responsibility in connection with his handling of two separate legal matters. Respondent answered, and relator filed an amended complaint on September 20, 2002. The matter was heard before a panel of the Board of Commissioners on Grievances and Discipline of the Supreme Court on December 9, 2002.

{¶ 2} With respect to the first matter, the stipulations and evidence established that on June 26, 2001, Cory Moore met with respondent to discuss appealing an adverse Equal Employment Opportunity Commission (“EEOC”) decision. At the meeting, respondent reviewed documentation and advised Moore about the steps necessary to investigate and prepare the appeal. Although no written fee [261]*261agreement was executed, Moore delivered $1,500 in cash to respondent’s office on July 5, 2001. Moore was given a receipt by respondent’s secretary. The funds were secured in respondent’s office but were not deposited into a bank account.

{¶ 3} Subsequent to Moore’s payment of the $1,500, respondent failed to communicate with him or do any work relating to his appeal. Moore contacted respondent’s offices on September 11, 12, and 13, 2001, and sometime after September 24, 2001, the date by which the statute of limitations on his appeal had run. On each occasion, Moore spoke with a secretary, but respondent never returned any of his phone calls. Moore asked for a return of his money and documents. When they were not returned, Moore filed his complaint with the Certified Grievance Committee of the Cuyahoga County Bar Association. Respondent ultimately returned the funds to Moore by check dated January 9, 2002. Respondent testified before the panel that he had quoted Moore a fee of $3,500 to represent him in the appeal and that he did not believe that he had established an attorney-client relationship with Moore because Moore had not paid the entire retainer.

{¶ 4} As to the second matter, in May 2000, Tyrone White contacted respondent to represent him in a forcible entry and detainer action he had filed against one of his tenants. White then asked respondent to defend him against a counterclaim filed by the tenant. Respondent advised White that he would not represent him in the counterclaim without the payment of a retainer. Respondent nevertheless assisted White with the preparation of answers to interrogatories. Respondent also communicated with and received written correspondence from the tenant’s attorney between June and September 2000. Neither respondent nor White appeared at trial. Judgment was entered against White. Respondent prepared a motion for relief from judgment for White. The parties stipulated that as a result of respondent’s conduct and his limited participation in the action, respondent was aware or should have been aware that the court and opposing counsel believed that respondent was representing White. Nevertheless, respondent insists that he did not intend to be counsel of record in the action.

{¶ 5} With respect to the Moore matter, the panel found that respondent had violated DR 9-102(A)(2) (failing to deposit a client’s retainer into an identifiable bank account). The panel found no violation of DR 6-101(A)(3) (neglecting an entrusted legal matter),1 DR 7-101(A)(2) (failing to carry out a contract for employment), and DR 7-101(A)(3) (prejudicing a client during the course of a professional relationship). As to the White matter, the panel found that respondent had violated DR 1-102(A)(5) (engaging in conduct that is prejudicial to the administration of justice). The panel recommended that respondent be given a [262]*262six-month suspension with the suspension stayed on the condition that no further disciplinary violations occur.

{¶ 6} The board adopted in part the findings, conclusions, and recommendation of the panel. While it agreed that respondent had violated DR 9-102(A)(2) in the Moore matter and DR 1-102(A)(5) in the White matter, it disagreed with the panel’s ruling that no violation of DR 6-101(A)(3) had occurred in the Moore matter. The board adopted the panel’s recommended sanction.

(¶ 7} We agree with the board’s finding that respondent has violated DR 6-101(A)(3), DR 1-102(A)(5), and DR 9-102(A)(2).

{¶ 8} Our finding of a violation of DR 6-101(A)(3) (neglecting an entrusted legal matter) warrants further discussion. Clearly, an attorney’s neglect or inattention to the handling of a client’s legal affairs is subject to disciplinary action under DR 6-101(A)(3). We have previously held that a violation of DR 6-101(A)(3) occurs when an attorney fails to file necessary papers for a client, fails to answer a client’s inquiries, fails to prosecute an action for a client, or mismanages probate proceedings or guardianships. Disciplinary Counsel v. Ball (1993), 67 Ohio St.3d 401, 403, 618 N.E.2d 159. Our prior decisions involving DR 6-101(A)(3), however, concerned neglect of legal matters after the establishment of an express attorney-client relationship. In the present case, the issue is whether an attorney can violate DR 6 — 101(A)(3) absent such relationship. For the reasons that follow, we answer affirmatively and hold that an attorney-client relationship need not be formed by an express written contract or by the full payment of a retainer. Instead, we hold that an attorney-client relationship may be created by implication based upon the conduct of the parties and the reasonable expectations of the person seeking representation.

{¶ 9} Respondent believes that no attorney-client relationship was formed with Moore because Moore provided him with only a partial payment of the requested $3,500 retainer. Moore, however, testified that respondent had never told him that he required a $3,500 retainer to begin working on his case. Instead, Moore was under the impression that the attorney-client relationship was established when respondent accepted the $1,500.

{¶ 10} Contrary to respondent’s view, neither a formal contract nor the payment of a retainer is necessary to trigger the creation of the attorney-client relationship. See, e.g., In re Disciplinary Action Against Giese (N.D.2003), 662 N.W.2d 250. While it is true that an attorney-client relationship may be formed by the express terms of a contract, it “can also be formed by implication based on conduct of the lawyer and expectations of the client.” Guttenburg & Snyder, The Law of Professional Responsibility in Ohio (1992) 62, Section 3.1. The determination of whether an attorney-client relationship was created turns largely on the reasonable belief of the prospective client. See, e.g., Disciplinary Counsel v. Furth (2001), 93 Ohio St.3d 173, 184, 754 N.E.2d 219, where we found, inter alia, a [263]*263violation of DR 6 — 101(A)(3) based upon the reasonable belief of the “client” that the respondent was representing him and his son in a legal matter.

{¶ 11} In this case, the evidence supports Moore’s position that he reasonably believed that he had secured respondent’s representation. After respondent reviewed documents at the initial meeting, respondent’s office accepted Moore’s partial retainer.

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Cite This Page — Counsel Stack

Bluebook (online)
100 Ohio St. 3d 260, Counsel Stack Legal Research, https://law.counselstack.com/opinion/cuyahoga-county-bar-assn-v-hardiman-ohio-2003.