In re Woods

143 A.3d 1223, 2016 Del. LEXIS 393, 2016 WL 3886148
CourtSupreme Court of Delaware
DecidedJuly 13, 2016
DocketNo. 253, 2016
StatusPublished
Cited by5 cases

This text of 143 A.3d 1223 (In re Woods) is published on Counsel Stack Legal Research, covering Supreme Court of Delaware primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Woods, 143 A.3d 1223, 2016 Del. LEXIS 393, 2016 WL 3886148 (Del. 2016).

Opinion

PER CURIAM:

On October 7, 2015, this Court suspended the Respondent, James J. Woods, Jr. (“Respondent”), from the practice of law, pending the disposition of disciplinary proceedings before the Board on Professional Responsibility (“Board”). The Board has filed a Report on this matter pursuant to Rule 9(d) of the Delaware Lawyers’ Rules of Disciplinary Procedure. The Board recommends that Respondent be publicly reprimanded, reinstated to practice law, and placed on probation for three years with conditions. The Office of Disciplinary Counsel (“ODC”) filed one objection to the Report. ODC does not object to the reinstatement and sanctions recommended by the Board, but does challenge the Board’s determination that ODC did not prove one of the alleged ethical violations asserted in the Petition for Discipline. Respondent, through counsel, fíled no objections.

We have concluded that ODC’s objection is meritorious. We have also determined that, even with that additional violation, reinstatement and the same sanctions recommended by the Board are appropriate.

Petition for Discipline

The Petition alleged five counts of professional misconduct.

Count I: Delaware Lawyers’ Rules of Disciplinary Procedure 7(c)

ODC alleged that Respondent committed professional misconduct by violating Delaware Lawyers’ Rules of Disciplinary Procedure Rule 7(c), which states that it shall be grounds for discipline for a lawyer to “[v]iolate the terms of any private or public disciplinary or disability disposition.” The terms of Respondent’s private probation (to which he consented) unambiguously required Respondent to provide a pre-certification by a licensed certified public accountant for his 2014 and 2015 Certificates of Compliance. Respondent admitted that he failed to comply with this condition of his private probation and stated that he “stipulate[s] to the violation of [Procedural Rule] 7(c) as alleged in Count I of the Petition.” Accordingly, the Board found that Respondent violated Procedural Rule 7(c).

Count II: Delaware Lawyers’ Rules of Professional Conduct 1.15(d)

ODC alleged that Respondent committed professional misconduct in violation of Conduct Rule 1.15(d) by failing to properly maintain his firm’s books and records in 2013. Respondent admitted that he did not fully comply with the relevant books and records requirements as alleged in Count II. Accordingly, the Board found that Respondent violated Conduct Rule 1.15(d).

Count III: Delaware Lawyers’ Rules of Professional Conduct 84(c).

ODC alleged that Respondent committed professional misconduct in violation of Conduct Rule 8.4(c) by filing with the Supreme Court Certificates of Compliance in 2014 and 2015, each of which contained misrepresentations to the Court relating to Respondent’s maintenance of his law office [1225]*1225books and records. Respondent testified that he believed at the time that.his representations were accurate, but admitted that his Certificates of Compliance contained statements that he later learned, after discussions with accountants, were not accurate and admitted that this violates Conduct Rule 8.4(c).. Accordingly, the Board found that Respondent violated Conduct Rule 8.4(c). '

Count IV: Delaware Lawyers’ Rules of Professional Conduct 84(d), With Respect to Certificates of Compliance

ODC alleged that the same conduct underlying Count III (making misrepresentations in Certificates of Compliance) also establishes a violation of Conduct Rule 8.4(d), which provides that it is professional misconduct for a lawyer to “engage in conduct that is prejudicial to the administration of justice.”

Respondent admitted that he filed Certificates of Compliance that contained misrepresentations, but contendéd that those misrepresentations were merely negligent, and argued that his conduct violating Conduct Rule 8.4(c) does not warrant a “dupli-cative” finding of a' violation of Conduct Rule 8.4(d). The Board, quoting In re Wilson,1 noted that “the [Court] relies upon representations made by attorneys in the Certificates filed with their annual- statements each year in the administration of justice governing the practice of law in Delaware.”2 As such, the Board found that an attorney violates Conduct Rule 8.4(d) by filing inaccurate Certificates purporting to comply with other Rules of. the Court.3 Accordingly, the Board found that Respondent violated Conduct Rule 8.4(d) by filing Certificates of Compliance with the Supreme Court in 2014 and 2015 that contained misrepresentations.

Count V: Delaware Lawyers’ Rules of Professional Conduct 84(d), With Respect to Violating Terms of Private Probation

ODC alleged that the same conduct underlying Count I (violation of the terms of a disciplinary disposition) also establishes a violation of Conduct Rule 8.4(d), which provides that it is professional misconduct for a lawyer to “engage in conduct that is prejudicial to the administration of justice.” Respondent admitted that he did not comply with the conditions of his private probation, but argued that this conduct did not' warrant a “duplicative” finding of a violation of Conduct Rule 8.4(d) as “conduct prejudicial to the administration of justice.” The Board’s Report states: “It is clear and admitted that Respondent violated the terms of his private probation. However, thé Board finds that ODC has not proven by clear and convincing evidence that Respondent’s violation of the terms of his private probation was prejudicial to' the administration of justice,' and therefore finds no violation of [Conduct] Rule 8.4(d) on this count.”

ODC’s Objection

ODC contends that the Board erroneously concluded ODC failed to prove a violation of Conduct Rule 8.4(d) because there was not “any precedent in which a violation of the terms of a private probation was held also to violate [Conduct] Rule 8.4(d).” We agree. This Court has held that a lawyer engages in conduct prejudicial to the administration of justice in violation of Conduct Rule 8.4(d) when that lawyer fails to satisfy a condition of a [1226]*1226disciplinary sanction.4 Respondent’s misconduct is identical to the misconduct in In re Holfeld, in.that Respondent failed to comply with the pre-certification condition in his private probation.5

A private disciplinary sanction has the same force and effect as a formal order from this Court.6 Failure to comply with the terms of a private disciplinary sanction violates Procedural Rule 7(c); failure to comply with the terms of a court order violates Conduct Rule 3.4(c). Holfeld is consistent with this .Court’s precedent, of finding a lawyer engages in conduct prejudicial to the administration of justice when that lawyer violates a prior. disciplinary order.7

Conclusion

We hold that Respondent violated Conduct Rule 8.4(d) as alleged in Count V in the Petition for Discipline by clear and convincing evidence. We approve the Board’s findings of Respondent’s violation of Procedural Rule 7(c), and Conduct Rules 1.15(d), 8.4(c), and 8.4(d) as alleged in Counts I-IV in the Petition for. Discipline.

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Cite This Page — Counsel Stack

Bluebook (online)
143 A.3d 1223, 2016 Del. LEXIS 393, 2016 WL 3886148, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-woods-del-2016.