DeCamp v. Douglas County Franklin Grand Jury

752 F. Supp. 340, 1990 U.S. Dist. LEXIS 16505, 1990 WL 193641
CourtDistrict Court, D. Nebraska
DecidedOctober 24, 1990
DocketNo. CV 90-L-345
StatusPublished

This text of 752 F. Supp. 340 (DeCamp v. Douglas County Franklin Grand Jury) is published on Counsel Stack Legal Research, covering District Court, D. Nebraska primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
DeCamp v. Douglas County Franklin Grand Jury, 752 F. Supp. 340, 1990 U.S. Dist. LEXIS 16505, 1990 WL 193641 (D. Neb. 1990).

Opinion

MEMORANDUM AND ORDER

DAVID L. PIESTER, United States Magistrate.

Pending before the court is a motion by Terry C. Dougherty, a defendant in this action who is a practicing attorney, seeking a determination from this court as to whether he may retain his own law firm to represent him in this case, filing #11.

The question presented by this motion is whether an attorney-defendant, who expects to testify at trial in the litigation, is barred by the Code of Professional Responsibility 1 from retaining his own law firm to represent him in litigation. Specifically, resolution of this motion requires analysis of the interrelationship between 28 U.S.C. § 1654, which grants the right to any litigant to either self-representation or the right to be represented by counsel of his or her own choosing, and, under these circumstances, DR 5-101(B)(1)-(4) and DR 5-102, which limit situations in which an attorney and his or her firm may accept or continue representation when that attorney may be called as a witness in the litigation at issue.

28 U.S.C. § 1654 provides:

In all courts of the United States the parties may plead and conduct their own cases personally or by counsel as, by rules of such courts, respectively, are permitted to manage and conduct causes therein.

Disciplinary Rule 5-101(B) of the Model Rules of Professional Responsibility states:

A lawyer shall not accept employment in contemplated or pending litigation if he knows or it is obvious that he or a lawyer in his firm ought to be called as a witness, except that he may undertake the employment and he or a lawyer in his firm may testify:
(1) If the testimony will relate solely to an uncontested matter.
(2) If the testimony will relate solely to a matter of formality and there is no reason to believe that substantial evidence will be offered in opposition to the testimony.
(3) If the testimony will relate solely to the nature and value of legal services rendered in the case by the lawyer or his firm to the client.
(4) As to any matter, if refusal would work a substantial hardship on the client because of the distinctive value of the lawyer or his firm as counsel in the particular case.

DR 5-102 states, in relevant part:

If, after undertaking employment in contemplated or pending litigation, a lawyer learns or it is obvious that he or a lawyer in his firm ought to be called as a witness on behalf of his client, he shall withdraw from the conduct of the trial and his firm, if any, shall not continue representation in the trial, except that he may continue the representation and he or a lawyer in his firm may testify in the circumstances enumerated in DR 5-101(B)(1) through (4).

In the present case the defendant Dough-erty anticipates that he may be called as a [342]*342witness in a trial of this matter. There is no indication from the defendant that any of the exceptions set forth in DR 5-101(B) will be applicable. The defendant wishes, however, to retain members of his law firm to represent him in this matter, an action which a strict application of 5-101(B) or 5-102(A) seemingly may forbid.

Most courts which have addressed these specific factual situations, where a lawyer-litigant who may be a witness in the case retains members of his firm to be his advocate at trial, have concluded that Rules 5-101 or 5-102 do not bar such representation. In Bottaro v. Hatton Associates, 680 F.2d 895 (2nd Cir.1982), the court addressed a factual setting wherein a plaintiff-attorney, as one of several plaintiffs who were holders in a limited partnership, was represented by his law firm in a federal securities action. The court first noted that DR 5-102 “impacts principally upon two situations:”

1) where a lawyer acts both as a witness and as an advocate, and 2) where trial counsel’s law partner is a witness but not a party.

Id. at 897. The court then noted the purposes behind the lawyer-witness rule of DR 5-102:

DR 5-102(A) serves the threefold purpose of avoiding: 1) a situation in which “the public might think that the lawyer [as witness] is distorting the truth for the sake of the client,” 2) the possibility that the lawyer will enhance his or her credibility as an advocate by virtue of having taken an oath as a witness, and 3) the “unfair” and “difficult” situation which arises when an opposing counsel must cross-examine a lawyer-adversary and impeach his or her credibility.

Id. (quoting International Electronics Corp. v. Flanzer, 527 F.2d 1288, 1294 (2nd Cir.1975)).

In discussing the lower court’s order requiring withdrawal of the attorney-litigant’s firm,2 the Second Circuit held that the objectives sought in the Code’s provisions forbidding a lawyer to act as trial counsel as well as witness for his or her client are inapplicable in situations where the “lawyer is a litigant as well as a witness, but not an advocate, even though a member of his firm is trial counsel.” Id. at 897.

The role of the lawyer-litigant-witness is confined to testifying and his or her interest in the outcome of the litigation is clear to the trier of fact. No confusion or undue enhancement of advocacy results where the lawyer-witness’ lack of disinterestedness is evident from his or her status as a party-litigant.

Id. In essence, the court held that DR 5-102(A) was inapplicable to situations such as that presented here.

The Tenth Circuit, in In re American Cable Publications, Inc., 768 F.2d 1194 (10th Cir.1985), relied upon the Bottaro opinion when it held that a lawyer-defendant was not barred by 5-101(B) or the related provision 5-102(A) from hiring his own law partner to represent him in a dispute arising out of contractual dealings. The court also quoted from a Massachusetts case, Borman v. Borman, 378 Mass. 775, 393 N.E.2d 847 (1979), wherein that court held:

DR 5-102 regulates lawyers who would serve as counsel and witness for a party litigant. It does not address that situation in which the lawyer is the party litigant. Any perception by the public or determination by a jury that a lawyer litigant has twisted the truth surely would be due to his role as litigant and not, we would hope, to his occupation as a lawyer.

American Cable, 768 F.2d at 1196 (quoting, Borman 393 N.E.2d at 856) (Emphasis in original). See also, Ramsay v. Boeing Welfare Benefit Plans Committee, 662 F.Supp. 968 (D.Kan.1987) (Law firm with which plaintiff’s wife was associated as an attorney need not withdraw as counsel for [343]

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752 F. Supp. 340, 1990 U.S. Dist. LEXIS 16505, 1990 WL 193641, Counsel Stack Legal Research, https://law.counselstack.com/opinion/decamp-v-douglas-county-franklin-grand-jury-ned-1990.