In re Anonymous No. 32 D.B. 89

13 Pa. D. & C.4th 478, 1992 Pa. LEXIS 595
Supreme Court of Pennsylvania·Decided February 14, 1992·No. Disciplinary Board Docket No. 32 D.B. 89·Published·Cited by 1 cases

Opinion

To the Honorable Chief Justice and Justices of the Supreme Court of Pennsylvania,

LIEBER, Member,

Pursuant to Rule 208(d), Pa.R.D.E., the Disciplinary Board of the Supreme Court of Pennsylvania herewith submits its findings and recommendations to your honorable court with respect to the above petition for discipline.

HISTORY OF PROCEEDINGS

On April 11,1989, the Office of Disciplinary Counsel (petitioner) filed a petition for discipline against attorney [ ] (respondent), charging him with professional misconduct in violation of the Code of Professional Responsibility, 204 Pa. Code 81. The seven-count petition alleged that from January 1984, until August 1987, respondent commingled, converted and otherwise misused for his own use approximately $7,500 in fees intended for and belonging to the law firm where he was employed as a non-shareholder associate. Specifically, the petition for discipline averred that respondent violated the following Disciplinary Rules:

[479] (1) Disciplinary Rule 1-102(A)(3), which prohibits a lawyer from engaging in illegal conduct involving moral turpitude;

(2) Disciplinary Rule 1-102(A)(4), which prohibits a lawyer from engaging in conduct involving dishonesty, fraud, deceit or misrepresentation; and

(3) Disciplinary Rule 1-102(A)(6), which prohibits a lawyer from engaging in any other conduct that adversely reflects on his fitness to practice law.

Respondent filed an answer to petition for discipline. He admitted that he had violated Disciplinary Rules 1-102(A)(4) and (6), but denied that the admitted misconduct involved a violation of Disciplinary Rule 1-102(A)(3). In his answer, respondent raised as new matter a request that the Hearing Committee combine the issues of violations and discipline into a single disciplinary hearing pursuant to Disciplinary Board Rule 89.151.

Respondent offered the testimony of a psychiatrist to establish that a mental and emotional dysfunction had affected his judgment and contributed to his misconduct. He offered this testimony as mitigating evidence. See, Office of Disciplinary Counsel v. Braun, 520 Pa. 157, 553 A.2d 894 (1989). Respondent contended before the Hearing Committee that the proper sanction would be probation in accordance with Disciplinary Board Rule 89.291.

Pursuant to respondent’s request, Hearing Committee [ ] held a combined hearing on the issues of violations and discipline on July 26, 1989, and October 6, 1989. The committee consisted of [ ]. Respondent submitted psychiatric testimony from [A], M.D. to the effect that he suffered from a personality disorder classified in the Diagnostic and Statistical Manual of Mental Disorders, third edition (revised), (hereinafter ZXSM-III-R) [480] published by the American Psychiatric Association. In addition, respondent testified on his own behalf and produced three character witnesses.

Petitioner’s evidence included a stipulation of fact, testimony from partners in respondent’s former law firm, and rebuttal psychiatric testimony from [B], M.D. Dr. [B] did not dispute Dr. [A’s] use of the DSM-III-R classification and opined that respondent suffered from a “passive-aggressive personality disorder,” a condition Dr. [B] characterized as a character defect.

Both parties submitted briefs following the hearing. Respondent’s brief addressed the subject of mitigation. Petitioner’s brief focused on the issue of appropriate discipline and recommended disbarment or a lengthy suspension.

On May 25, 1990, the Hearing Committee filed its report and recommendation. The committee found that the evidence was sufficient to establish that respondent had violated Disciplinary Rules 1-102(4) and (6). In light of his diagnosed condition, however, the committee failed to find the evidence sufficient to show that he had violated Disciplinary Rule 1-102(A)(3). The committee concluded that respondent’s mental disorder should be considered a mitigating factor under Braun and recommended probation for a period of three years conditioned on completion of his psychiatric counseling program and payment of expenses. The committee recommended that any suspension required under Disciplinary Board Rule 89.291 be stayed in whole.

Petitioner filed a brief on exceptions to the report and recommendation of the Hearing Committee on June 14, 1990, objecting to the committee’s findings of disability and recommendation for probation. Petitioner further argued that respondent had demonstrated moral turpitude by his intentional misconduct.

[481] On July 5, 1990, respondent filed a brief opposing ODC’s exceptions to report and recommendation of Hearing Committee [ ]. Respondent urged the Disciplinary Board to affirm the Hearing Committee’s findings of fact and recommendation and to conclude that the record clearly and convincingly established that his misconduct had been caused by a personality disorder which was amenable to treatment. He asked the board to adopt the committee’s findings of fact, conclusions of law and recommended discipline of three years’ probation under Rule 89.291 conditioned on continued psychiatric counseling.

FINDINGS OF FACT

The board makes the following findings of fact.

(1) The stipulation of the parties, which is attached as Appendix A hereto, is accepted and incorporated in total as though fully set forth herein.

(2) The findings of fact of the Hearing Committee is accepted and incorporated as follows.

(3) From in or about 1982 through 1987, respondent received an increase in salary each year.

(4) From in or about 1982 through 1987, respondent received a bonus each year.

(5) In 1986, respondent received a $10,000 increase in salary from $25,000 to $35,000 for the year 1987.

(6) From approximately 1982 through March 1988, respondent suffered from a personality disorder, either narcissistic, passive-aggressive or both.

(7) Respondent’s personality disorder interfered with his functioning as an attorney and contributed to the commission of his misconduct.

(8) Immediately after being confronted by the firm with the diversion of the fee paid by one of the clients, [482] respondent admitted his misconduct with respect to that case and the others. Subsequently, he entered into an agreement for restitution with the firm and has made complete restitution to the firm in the amount of $7,500 for all fees improperly retained by him during the period of his employment.

(9) In March 1988, respondent was referred to [A], M.D. a practicing psychiatrist and professor of psychiatry at the University of [ ] Medical School.

(10) Since March 1988, respondent has seen Dr. [A] on a regular basis (usually weekly) and has made substantial progress in improving his self-image, tolerating tension, maturing and increasing his acceptance of reality.

(11) In the opinion of both expert witnesses, it is unlikely that there would be any repetition of professional misconduct.

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In re Anonymous No. 32 D.B. 89, 13 Pa. D. & C.4th 478, 1992 Pa. LEXIS 595 (Pa. 1992).

13 Pa. D. & C.4th 478 (In re Anonymous No. 32 D.B. 89) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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