In re Rothstein

265 A.D.2d 72, 702 N.Y.S.2d 895, 2000 N.Y. App. Div. LEXIS 1456

This text of 265 A.D.2d 72 (In re Rothstein) 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 Rothstein, 265 A.D.2d 72, 702 N.Y.S.2d 895, 2000 N.Y. App. Div. LEXIS 1456 (N.Y. Ct. App. 2000).

Opinion

OPINION OF THE COURT

Per Curiam.

The respondent was served with a petition containing three charges of professional misconduct against him. The Special Referee sustained all three charges after a hearing. The Grievance Committee now moves to confirm the findings of the Special Referee and to impose such discipline upon the respondent as this Court may deem just and proper. The respondent has neither cross-moved nor submitted any papers in response to the motion.

Charge One alleged that the respondent neglected legal matters entrusted to him, in violation of Code of Professional Responsibility DR 6-101 (a) (3) (see, 22 NYCRR 1200.30 [a] [3]) and DR 1-102 (a) (8) (now [7]) (22 NYCRR 1200.3 [a] [7]). The respondent was entrusted with three legal matters on behalf of Alex Gallery, Ltd., by its president, Jack Hay. One of those matters involved a rug which had been given by Mr. Hay to Middlesex Carpet Cleaners (hereinafter Middlesex), and was stolen while in its possession. The respondent commenced an action against Middlesex on or about August 20, 1993. Although Middlesex defaulted in the action, and the respondent informed Middlesex of its default, he failed to take further action concerning this matter.

The respondent was also entrusted with a claim for money owed by Dr. Ira Kramer for five rugs purchased from Alex Gallery, Ltd. He served a summons and complaint on or about February 5, 1994. Although he received a letter approximately one month later regarding a possible resolution of the matter, the respondent failed to take any further action with respect to this matter.

The third matter entrusted to the respondent by Mr. Hay concerned a claim by the Kimberly Hotel that certain rugs purchased from Alex Gallery, Ltd. were defective. An action was commenced against Alex Gallery, Ltd., among others, on or about April 16, 1993. The respondent failed to serve an answer or to take further action concerning this matter.

Charge Two alleged that the respondent failed to return client inquiries, to keep his client advised of the status of legal matters, and to promptly return client files upon request, in [74]*74violation of Code of Professional Responsibility DR 9-102 (c) (4) (22 NYCRR 1200.46 [c] [4]) and DR 1-102 (a) (8) (now [7]) (22 NYCRR 1200.3 [a] [7]).

In or about 1994, the respondent failed to reply to Mr. Hay’s inquiries, including a letter dated November 11, 1994, concerning the status of these matters. By letter dated December 28, 1994, sent via certified mail, Mr. Hay informed the respondent that he was terminating their relationship and requested the return of his files. Mr. Hay advised the respondent that if he failed to reply within five days, he would file a complaint with the Grievance Committee. The respondent assured Mr. Hay that he would give these matters his attention and bring them to a conclusion.

By letter dated April 18, 1996, Mr. Hay expressed his dissatisfaction with the respondent’s continued neglect of his matters, his false promises, and his failure to respond to his inquiries. Mr. Hay discharged the respondent, demanded the return of hjs files, and advised that he would file a complaint with the Grievance Committee if he did not hear from the respondent within five days. Mr. Hay’s new counsel telephoned the respondent requesting delivery of the files. The respondent failed to return the files notwithstanding a promise to. do so.

Charge Three alleged that the respondent failed to cooperate with the Grievance Committee in its investigation of the complaint filed against him by Mr. Hay, in violation of Code of Professional Responsibility DR 1-102 (a) (5) and (8) (now [7]) (22 NYCRR 1200.3 [a] [5], [7]). By letter dated August 5, 1996, the Grievance Committee informed the respondent of the Hay complaint and requested his response within five days. The respondent indicated that he would surrender the files upon receipt of a substitution of attorney from Mr. Hay. The Grievance Committee received a reply from Mr. Hay again requesting an explanation of the respondent’s services and release of the files. The Grievance Committee forwarded that to the respondent and requested his reply within 10 days. No response was received.

The Grievance Committee sent the respondent a certified letter, dated September 25, 1996, requesting his response within five days and advising him that his failure to cooperate with the investigation could, in and of itself, constitute professional misconduct. By letter dated September 30, 1996, the respondent stated that he would return the files to Mr. Hay immediately.

By letter dated October 7, 1996, the Grievance Committee asked the respondent to specifically address the allegations [75]*75that he had neglected the legal matters entrusted to him by Mr. Hay within 10 days. No response was received.

By certified letter dated November 22, 1996, the Grievance Committee requested the respondent’s answer within five days and again advised him of his obligation to cooperate with the investigation. Again, the respondent failed to reply.

By letter dated December 19, 1996, Mr. Hay informed the Grievance Committee that the respondent still had not turned over the files. Mr. Hay again asked the Grievance Committee to insist that the respondent give a full accounting for his services and return his files without further delay.

By certified letter dated January 2, 1997, the Grievance Committee asked that the respondent confirm release of the files and explain his failure to have done so previously. Grievance Counsel left three telephone messages for the respondent after he failed to respond to the aforementioned letter in an effort to secure his cooperation. On February 4, 1997, the respondent telephoned Grievance Counsel and represented that he would turn over Mr. Hay’s files. He thereafter failed to confirm the turnover or to provide the Grievance Committee with the requested response.

The Grievance Committee served the respondent with a judicial subpoena and a judicial subpoena duces tecum returnable on March 20, 1997. The respondent appeared on that date without the requested materials. He advised Grievance Counsel that he would mail Mr. Hay his files on that day, would provide the Grievance Committee with a receipt for the mailing and would submit his written response to the allegations of the Hay complaint. The respondent further advised that he had been diagnosed with multiple sclerosis and was contemplating retiring from the practice of law.

Mr. Hay informed the Grievance Committee that he had received one file from the respondent which indicated that work had last been done on the matter in 1993. The other files sought were not received. By letter dated April 11, 1997, the Grievance Committee directed the respondent to make swift arrangements to release the subject files and to confirm that with the Grievance Committee. The Grievance Committee informed the respondent that his failure to do so would constitute professional misconduct. The respondent failed to reply either to the letter or the two telephone messages left by Grievance Counsel.

The respondent appeared at the Grievance Committee’s offices on June 30, 1997, in response to a second judicial [76]*76subpoena and judicial subpoena duces tecum. Although the respondent appeared without the subpoenaed files, he advised the Grievance Committee that he had released two files three days earlier and did not have a file concerning the third matter.

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

Related

§ 90
New York JUD § 90

Cite This Page — Counsel Stack

Bluebook (online)
265 A.D.2d 72, 702 N.Y.S.2d 895, 2000 N.Y. App. Div. LEXIS 1456, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-rothstein-nyappdiv-2000.