In re Finkelstein

706 F. Supp. 1573, 1989 U.S. Dist. LEXIS 1434, 1989 WL 11647
CourtDistrict Court, M.D. Georgia
DecidedFebruary 9, 1989
DocketMisc. Civ. A. No. 89-2-MAC (WDO)
StatusPublished
Cited by1 cases

This text of 706 F. Supp. 1573 (In re Finkelstein) is published on Counsel Stack Legal Research, covering District Court, M.D. Georgia primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Finkelstein, 706 F. Supp. 1573, 1989 U.S. Dist. LEXIS 1434, 1989 WL 11647 (M.D. Ga. 1989).

Opinion

ORDER

OWENS, Chief Judge.

On or about September 6, 1988, the case captioned Ross, et al. v. Buckeye Cellulose Corp. began before Judge Duross Fitzpatrick in the United States District Court for the Middle District of Georgia. The consolidated action involved eleven plaintiffs who were alleging violations of 42 U.S.C. § 1981. After a long and acrimonious trial, the jury returned verdicts on or about December 21, 1988, imposing liability upon defendant for its conduct toward two of the eleven plaintiffs, Mr. Issiah Ross, Jr., and Mr. Gerry Plant. In the other nine cases, the jury returned verdicts in favor of defendant.1 The court set January 6, 1989, as the day on which the damages portion of the case would begin. Judge Fitzpatrick suggested that the parties use the interim to discuss settlement.

During the early morning hours of December 22, 1988, upon returning home following the jury verdicts, attorney for plaintiffs, Mr. James Finkelstein, composed a letter to Mr. Powell McHenry, general counsel for the Procter & Gamble Company.2 Mr. McHenry had not been involved in the trial of the cases. Defendant had been and still was represented by attorneys John Skinner and Steve Jemison. Mr. Finkelstein’s letter, attached as an Appendix to this order, was dated December 24, [1574]*15741988, and was the third letter written by Mr. Finkelstein to Mr. McHenry which bypassed trial counsel, Mr. Skinner and Mr. Jemison. Mr. McHenry responded by letter dated January 3, 1988, copying Judge Fitzpatrick and attaching to Judge Fitzpatrick’s copy a reproduction of Mr. Finkelstein’s letter. Upon being shown the letter by Judge Fitzpatrick, this court issued a show cause order on January 5, 1989, requiring Mr. Finkelstein to appear and show cause why he should not be disbarred from the bar of this court because of the apparent unprofessional conduct exemplified by the December 24 letter.

This court conducted a hearing on February 2, 1989, during which Mr. Skinner and Mr. Finkelstein testified. Mr. Skinner explained that he had served as and remained lead counsel for defendant. His testimony, combined with that of Mr. Finkelstein, established that an absence of professional courtesy had pervaded this litigation. Mr. Finkelstein further explained that his letter of December 24 to Mr. McHenry was an attempt to negotiate a settlement with the individual who he (Mr. Finkelstein) perceived as having the authority to do so. He also stated that he at no time intended his letter to be read as a threat. He testified that he probably would not express his views in a similar fashion if he had the opportunity to rewrite the letter, but Mr. Finkelstein stopped short of expressing regret for the letter or its tone.

The Applicable Law

“Courts have long recognized an inherent authority to suspend or disbar lawyers.” In re Snyder, 472 U.S. 634, 643, 105 S.Ct. 2874, 2880, 86 L.Ed.2d 504, 512 (1985). “This inherent power derives from the lawyer's role as an officer of the court which granted admission.” Id. at 643, 105 S.Ct. at 2880, 86 L.Ed.2d at 512. While a federal court is entitled to charge an attorney with the knowledge of and the duty to conform to the state bar’s code of professional responsibility, that code does not by its own terms apply to sanctions in the federal courts. “Federal courts admit and suspend attorneys as an exercise of their inherent power; the standards imposed are a matter of federal law.” Id. at 645 n. 6, 105 S.Ct. at 2881 n. 6, 86 L.Ed.2d at 513 n. 6.

Respondent’s Conduct

Several aspects of Mr. Finkelstein’s letter trouble this court. First, the December 24 letter from Mr. Finkelstein to Mr. McHenry is the third such letter bypassing defendant’s designated counsel. Though Mr. McHenry is an attorney and is general counsel for Procter & Gamble, this court questions the propriety of “leapfrogging” defendant's trial counsel, Mr. Skinner and Mr. Jemison, particularly in light of Mr. McHenry’s admonition in his response to an earlier letter from respondent Finkelstein. “[I]f you [Mr. Finkelstein] have any desire to pursue settlement, you are quite correct in suggesting that you should talk to Mr. Skinner and Mr. Jemison.” November 16, 1988, Letter from Mr. Powell McHenry to Mr. James Finkelstein. Ethical Consideration 7-18 of the Model Code of Professional Responsibility, as adopted by the State Bar of Georgia, provides that “a lawyer should not communicate on the subject matter of the representation of his client with a person he knows to be represented in the matter by a lawyer....” Disciplinary Rule 7-104(A)(1) states that a lawyer shall not “communicate or cause another to communicate on the subject of the representation with a party he knows to be represented by a lawyer in that matter....” See United States v. Dennis, 645 F.2d 517, 523 (5th Cir.1981) (lawyer representing a party in a controversy is prohibited from directly contacting the opposing party if he knows that opposing party is represented by counsel). Though he is an attorney, Mr. McHenry is also an officer with Procter & Gamble Company, and he made it clear to Mr. Finkelstein that the appropriate persons with whom to conduct settlement negotiations were Mr. Skinner and Mr. Jemison. Without determining whether Mr. McHenry was an “attorney” or a “client” for the purposes of this case, the court believes that respondent’s communication with Mr. McHenry was improper in light of the attendant circumstances.

[1575]*1575A second concern, and one interrelated with the ethical consideration discussed above, goes to the representations made by Mr. Finkelstein to Mr. McHenry regarding the past course of the trial and the forthcoming rulings expected from Judge Fitzpatrick. The prohibition against communicating with an opposing party serves to shield opposing litigants not only from an attorney’s intentionally improper approaches but also from well-intended but misguided advances. See Annotation, Communication with party represented by counsel as ground for disciplining attorney, 26 A.L.R.4th 102, 112 (1983). In his December 24 letter, respondent has represented to Mr. McHenry (1) the significance of the jury’s verdicts, (2) the supposed concession by defendant of plaintiffs’ Title VII claims and Judge Fitzpatrick’s forthcoming favorable ruling to that effect, (3) a recitation of what the evidence purportedly will show in the upcoming portions of the case, and (4) a proposal for injunctive relief with the suggestion that defendant have respondent approve any proposed system for measuring job performance. These observations, representations, and predictions, true or not, are presented to Mr. McHenry in a one-sided fashion which deprives Mr. McHenry of the benefit of the insights and observations of attorneys hired to represent Procter & Gamble, attorneys who have been present during the long trial of these cases and who most likely have valuable input regarding any decisions yet to be made. “The legal system in its broadest sense functions best when persons in need of legal advice or assistance are represented by their own counsel.” Model Code of Professional Responsibility EC 7-18.

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Related

In Re Finkelstein
706 F. Supp. 1581 (M.D. Georgia, 1989)

Cite This Page — Counsel Stack

Bluebook (online)
706 F. Supp. 1573, 1989 U.S. Dist. LEXIS 1434, 1989 WL 11647, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-finkelstein-gamd-1989.