In re Friedman

196 A.D.2d 280, 609 N.Y.S.2d 578, 1994 N.Y. App. Div. LEXIS 2721
CourtAppellate Division of the Supreme Court of the State of New York
DecidedMarch 22, 1994
StatusPublished
Cited by22 cases

This text of 196 A.D.2d 280 (In re Friedman) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Friedman, 196 A.D.2d 280, 609 N.Y.S.2d 578, 1994 N.Y. App. Div. LEXIS 2721 (N.Y. Ct. App. 1994).

Opinion

OPINION OF THE COURT

Per Curiam.

Respondent, Theodore H. Friedman, was admitted to the practice of law in New York by the First Judicial Department on April 1, 1957 under the name Theodore Herzl Friedman. At all times relevant herein respondent has maintained an office for the practice of law within the First Judicial Department.

Respondent was served with a notice and statement of charges which allege 23 separate counts of professional misconduct stretching over a decade and arising out of respondent’s representation of personal injury claimants in three separate matters: (1) Mowen v Yangming Mar. Transp. Corp. (78 Civ 5537 [Counts One-Six]); (2) Estate of Krieger v City of New York (Sup Ct, NY County, index No. 8228/80 [Counts Seven-Seventeen]); and (3) Hill v Soley (Sup Ct, Bronx County, index No. 18762/82 [Counts Eighteen-Twenty-Three]).

Pursuant to 22 NYCRR 603.4 (b) and (d) and the Committee Rules, Honorable Donald J. Sullivan was appointed by this Court to serve as Special Referee.

Hearings were held before the Special Referee on 26 days commencing on July 1, 1990 and ending on May 22, 1992. The transcript of the proceedings runs over 5,000 pages. Thirty witnesses testified, including two preeminent ethics experts (one for each side). During the course of the hearings the following facts were adduced and conclusions reached.

Mowen v Yangming Mar. Transp. Corp.—Counts One-Six

Respondent represented the plaintiff Lorraine Mowen in a wrongful death action arising out of a ship collision in which her husband, Dennis Mowen, lost his life. The respondent was assisted in this matter by his then partner, Jethro M. Eisenstein, and by Frederick J. Cuccia of the firm of Cuccia and Oster. The trial took place before the Honorable Pierre N. Leval of the United States District Court for the Southern District of New York in late 1981 and early 1982. During the [282]*282trial, a report by an expert called by respondent was marked for identification, as PX-337 (B). Judge Leval would not allow PX-337 (B) in evidence, but ruled that the respondent could use it argumentatively in his summation. After the jury commenced their deliberation a note was received from them requesting the trial exhibits. The trial court instructed the exhibits in evidence be collected and delivered to the jury and repeated the admonition about Exhibit 337 (B) which was used in summation but was not in evidence-in-chief. Thereafter, the jury returned a verdict in favor of the plaintiff and shortly after the announcement of the jury’s verdict, it was discovered that PX-337 (B) had been given to the jury. Respondent thereafter submitted an affidavit, sworn to March 8, 1982, in which he placed the entire responsibility for sending PX-337 (B) to the jury room on his co-counsel, Mr. Cuccia. Respondent stated that Mr. Cuccia had sent the exhibit into the jury room, in the mistaken belief that it was part of the evidence received. Respondent, however, made no effort to communicate with Mr. Cuccia before submitting this affidavit, casting the blame on him, and no affidavit was submitted by Mr. Cuccia, who was abroad from March 7 to March 17, 1982 and who knew nothing of respondent’s affidavit at that time.

After a hearing, in an opinion dated December 3, 1982, Judge Leval found respondent to have engaged in the "willful misconduct of * * * tampering with the evidence transmitted to the deliberating jury.” Judge Leval stated that respondent had "surreptitiously included] among the exhibits to be sent to the jury an exhibit marked for identification that he well knew had not been received in evidence.” Judge Leval concluded that when the jurors were deliberating and asked for all evidence in the case, respondent caused the exhibit to be sent to them "intentionally and with full awareness that it was in violation of the court’s order and rulings as to the receipt of the exhibit.” Judge Leval rendered an opinion that, based upon the transcripts, respondent had lied during the hearing claiming that he had left the courtroom for lunch and had entrusted his co-counsel, Mr. Cuccia, to handle the exhibits that were sent to the jury. (Red Star Towing & Transp. Co. v Cargo Ship "Ming Giant”, 552 F Supp 367, 382-386 [1982].)

Pursuant to a letter of complaint from Judge Leval, four separate charges were filed against respondent in a Federal disciplinary proceeding. Thereafter, at the Federal disciplinary hearing on January 9, 1985, respondent, pursuant to a plea bargain agreement, admitted the second charge, namely, [283]*283that he prepared, swore and caused to be served an affidavit without personal knowledge of the facts therein, in exchange for dismissal of the other Federal disciplinary charges. On November 4, 1985, the Committee on Grievances of the Southern District recommended a sanction that a formal letter of reprimand be issued to respondent and that this letter be made a matter of public record. A subsequent letter of censure was written and distributed by Judge Vincent L. Broderick, Chairman of the Committee on Grievances, on June 23, 1986.

Thereafter, the Departmental Disciplinary Committee filed a petition in this Court seeking the imposition of reciprocal discipline pursuant to 22 NYCRR 603.3. Respondent objected to the imposition of discipline greater than that imposed by the Federal disciplinary committee. By order entered February 20, 1987, this Court denied the Committee’s petition and directed that the Mowen matter be referred to the Departmental Disciplinary Committee "for investigation and hearings, if necessary, as to all the issues raised. ”

Count One

The essential elements of Count One are that respondent intentionally caused to be placed into the jury room, during deliberations, an exhibit (PX-337 [B]) when he knew that same had not been received in evidence, and the placing of said exhibit was done with full awareness that it was in violation of the court’s order and ruling as to the receipt of the exhibit in evidence.

Viewing all of the evidence under a "fair preponderance” standard, the Special Referee found that the Committee had failed to establish that respondent intentionally sent Exhibit 337 (B) to the jury room. As such, Count One was not sustained.

Count Two

This count concerned false statements made by respondent in his affidavit dated March 8, 1982, which respondent prepared, swore and caused to be filed in the Mowen action in response to the posttrial motion concerning the discovery of the unauthorized exhibit in the jury room. Specifically, respondent was charged with swearing to facts, to wit, that Cuccia was responsible for sending the unauthorized exhibit into the jury room, about which he had no personal knowl[284]*284edge or factual basis, direct or indirect. Thus, it was alleged that respondent violated Code of Professional Responsibility DR 1-102 (A) (5) (engaging in conduct prejudicial to the administration of justice) and (6) (engaging in conduct that adversely reflects on his fitness to practice law) and DR 7-106 (C) (1) (stating or alluding to any matter that he has no reasonable basis to believe is relevant to the case or that will not be supported by admissible evidence).

The essential elements of Count Two, except for slight modification, are word-for-word identical to the second charge issued by the Federal Committee on Grievances to which respondent admitted and for which he was sanctioned.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Elam v. Eglesias
2025 NY Slip Op 50370(U) (New York Supreme Court, Kings County, 2025)
In Re Raphael Weitzman
Second Circuit, 2024
Matter of Giuliani
2024 NY Slip Op 03561 (Appellate Division of the Supreme Court of New York, 2024)
Matter of Zappin
2018 NY Slip Op 1564 (Appellate Division of the Supreme Court of New York, 2018)
Matter of Kulcsar
123 A.D.3d 251 (Appellate Division of the Supreme Court of New York, 2014)
Rodriguez v. City of New York
721 F. Supp. 2d 148 (E.D. New York, 2010)
In re Fagan
58 A.D.3d 260 (Appellate Division of the Supreme Court of New York, 2008)
STATE EX REL. COUNSEL FOR DISC. v. Mills
671 N.W.2d 765 (Nebraska Supreme Court, 2003)
State ex rel. Counsel for Discipline v. Mills
671 N.W.2d 765 (Nebraska Supreme Court, 2003)
People v. Berroa
287 A.D.2d 88 (Appellate Division of the Supreme Court of New York, 2001)
In re Gadye
283 A.D.2d 1 (Appellate Division of the Supreme Court of New York, 2001)
In re Santangelo
265 A.D.2d 69 (Appellate Division of the Supreme Court of New York, 2000)
In re Gelbwaks
260 A.D.2d 47 (Appellate Division of the Supreme Court of New York, 1999)
Klein v. Seenauth
180 Misc. 2d 213 (Civil Court of the City of New York, 1999)
In Re Benjamin
698 A.2d 434 (District of Columbia Court of Appeals, 1997)
ATTORNEY U v. the Mississippi Bar
678 So. 2d 963 (Mississippi Supreme Court, 1996)
In re Ballinger
211 A.D.2d 6 (Appellate Division of the Supreme Court of New York, 1995)
In re Patel
209 A.D.2d 100 (Appellate Division of the Supreme Court of New York, 1995)

Cite This Page — Counsel Stack

Bluebook (online)
196 A.D.2d 280, 609 N.Y.S.2d 578, 1994 N.Y. App. Div. LEXIS 2721, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-friedman-nyappdiv-1994.