In Re Moak

71 P.3d 343, 205 Ariz. 351, 416 Ariz. Adv. Rep. 19, 2003 Ariz. LEXIS 81
CourtArizona Supreme Court
DecidedJune 16, 2003
DocketSB-03-0007-D
StatusPublished
Cited by10 cases

This text of 71 P.3d 343 (In Re Moak) is published on Counsel Stack Legal Research, covering Arizona Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Moak, 71 P.3d 343, 205 Ariz. 351, 416 Ariz. Adv. Rep. 19, 2003 Ariz. LEXIS 81 (Ark. 2003).

Opinion

OPINION

McGREGOR, Vice Chief Justice.

¶ 1 The State Bar of Arizona charged Respondent Walter E. Moak with three counts of attorney misconduct under the A'izona Rules of Professional Conduct. After the parties stipulated to most of the relevant facts, a hearing officer considered the remaining factual issues, as well as aggravating and mitigating factors. The hearing officer concluded that the State Bar had established all counts and recommended that Moak be suspended for six months and one day. On review, the Disciplinary Commission of the Supreme Court (Commission) accepted the hearing officer’s findings of fact and agreed with his conclusions of law, but recommended a six-month suspension. Athough neither party sought review of the Commission’s decision, we exercised our right of sua sponte review to consider further the appropriate discipline to impose. Ariz. R. Sup.Ct. 53(e)7. We exercise jurisdiction under Article VI, Sections 1, 3, 5.4 and 5.5 of the Arizona Constitution and Rules 31 and 53 of the Arizona Rules of the Supreme Court.

I.

¶ 2 The hearing officer’s report thoroughly and clearly sets out the relevant facts, as stipulated and found after the hearing. The Commission and this court accept the hearing officer’s factual findings unless they are clearly erroneous. In re Alcorn and Feola, 202 Ariz. 62, 64 n. 4, 41 P.3d 600, 602 n. 4 (2002). We find no clear error. Indeed, neither Moak nor the State Bar contests the findings. We therefore hold that the State Bar proved the charges of unethical conduct by clear and convincing evidence. Because our analysis of the appropriate sanction depends upon the facts underlying Moak’s misconduct, we describe them in some detail below.

¶3 The hearing officer concluded that Moak violated multiple ethical rules (ERs). With respect to count one, the hearing officer found the following violations: 1.2 (scope of representation); 1.3 (diligence); 1.4 (communication); 1.9 (conflict of interest: former client); 3.3 (candor toward the tribunal); 8.4(e) (misconduct: dishonesty, fraud, deceit or misrepresentation) and 8.4(d) (misconduct: prejudicial to the administration of justice). With respect to count two, the hearing officer concluded Moak violated ERs 3.3 (candor toward the tribunal); 4.1 (truthfulness in statements to others); 8.4(c) (misconduct: dishonesty, fraud, deceit or misrepresentation); 8.4(d) (misconduct: prejudicial to the administration of justice) and also Rule 51(e) of the A'izona Rules of the Supreme Court (willful disobedience or violation of a rule). Finally, with respect to count three, the hearing officer concluded Moak violated ERs 1.7(b) (conflict of interest); 1.8(a) (conflict of interest: prohibited transactions); 1.8(e) (conflict of interest: financial assistance) and 1.8(3) (acquiring a proprietary interest in the cause of action).

¶ 4 The hearing officer next detei'mined that Moak committed “knowing” ethical violations, that is, he acted with a “conscious awareness of the nature or attendant circumstances of the conduct but [was] without the conscious objective or purpose to accomplish a particular result.” American Bar Association Standards for Imposing Lawyer Sanctions {ABA Standards) at 7 (1991). 1 Ater considering proportionality principles and weighing aggravating and mitigating factors, the hearing officer issued his report.

¶ 5 We review conclusions of law de novo, as does the Commission. Ariz. R. Sup. Ct. 53(d)2, (e)11. The Commission adopted the hearing officer’s conclusions of law and agreed that Moak knowingly violated the Rules of Professional Conduct. 2 We also *353 agree with those conclusions oí law. In exercising its authority to review the hearing officer’s disciplinary recommendation, the Commission reduced Moak’s suspension period to six months. Suspensions of six months or less differ significantly from suspensions of moi-e than six months. An attorney suspended for six months or less may resume his practice when the period of suspension ends by filing an affidavit in lieu of application for reinstatement. Ariz. R. Sup.Ct. 71(e). An attorney suspended from practice for more than six months, in contrast, must complete a formal reinstatement process before being readmitted to the State Bar. Id. 71(d).

II.

¶ 6 We elected to exercise sua sponte review to consider further the appropriate period of suspension. Both parties urge us to adopt the Commission’s recommended six-month suspension, although the State Bar concedes that a suspension of six months and one day falls within the appropriate range of sanctions.

¶ 7 As an attorney licensed to practice in Arizona, Moak is bound by the Rules of Professional Conduct, which exist to protect the public, deter similar misconduct and preserve the public’s confidence in the State Bar and the attorneys licensed under its authority. In re Walker, 200 Ariz. 155, 161 ¶ 26, 24 P.3d 602, 608 (2001).

¶ 8 Once ethical violations are established, we must identify an appropriate sanction. Our decision to impose a particular disciplinary measure is guided by the framework of Standard 3.0, as set forth in the ABA Standards. Id. at 161 ¶ 21, 24 P.3d at 608. Standard 3.0 outlines four determinative factors in selecting appropriate discipline: “(a) the duty violated; (b) the lawyer’s mental state; (e) the potential or actual injury caused by the lawyer’s misconduct; and (d) the existence of aggravating or mitigating factors.” Standard 3.0; accord In re Horwitz, 180 Ariz. 20, 25, 881 P.2d 352, 357 (1994).

A.

¶ 9 When an attorney faces discipline for multiple charges of misconduct, the most serious charge serves as the baseline for the punishment. In re Cassalia, 173 Ariz. 372, 375, 843 P.2d 654, 657 (1992) (adopting Commission report); ABA Standards at 6. We assign the less serious charges aggravating weight. Cassalia, 173 Ariz. at 375, 843 P.2d at 657. The State Bar and Moak stipulated, and we agree, that count two is the most serious charge of misconduct. We ton, therefore, to the facts underlying that count.

¶ 10 Moak’s misconduct detailed in count two arose out of his representation of Julian Reed. Moak represented Reed in two separate actions arising from two car accidents that occurred approximately three years apart. The gravamen of this count involves Moak’s failure to disclose, in the action based upon the first accident, the injuries Reed received in the second accident, and his failure to distinguish appropriately the injuries Reed sustained in the first accident from those he sustained in the second. Those failures misled the defendants from the first accident and deprived them of an opportunity to prove that Reed’s injuries resulted, at *354 least in part, from the second accident.

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Bluebook (online)
71 P.3d 343, 205 Ariz. 351, 416 Ariz. Adv. Rep. 19, 2003 Ariz. LEXIS 81, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-moak-ariz-2003.