Matter of Complaint Against Smith

872 P.2d 447, 1994 WL 110842
CourtUtah Supreme Court
DecidedMarch 31, 1994
Docket920469
StatusPublished
Cited by2 cases

This text of 872 P.2d 447 (Matter of Complaint Against Smith) is published on Counsel Stack Legal Research, covering Utah Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Matter of Complaint Against Smith, 872 P.2d 447, 1994 WL 110842 (Utah 1994).

Opinion

HOWE, Justice:

Duane R. Smith appeals from the recommendation of the Board of Commissioners of the Utah State Bar that he be disbarred. This court has jurisdiction pursuant to article VIII, section 4 of the Utah Constitution and rule XIV of the Rules of Procedures of Discipline of the Utah State Bar.

On February 17, 1988, Smith filed a verified complaint for divorce in the Third District Court, naming himself as plaintiff and his wife, Mary E. Smith, as defendant. He did so because he was experiencing marital problems and because he had developed a platonic relationship with a third party. Approximately one month later, in an effort to “make the appearance that [he] was proceeding with the divorce,” Smith forged the signatures of his wife and Elaine Colby, a notary public, on an acceptance of service and waiver. On October 28, 1988, he filed this document with the clerk of the district court and appeared before Judge Scott Daniels to obtain a divorce. Judge Daniels entered the decree of divorce approximately two weeks later and awarded Smith temporary custody of the minor children. Smith did not tell his wife about the divorce decree and continued to reside in the family home with her and their two children.

A few months later, Smith recognized the seriousness of his conduct and disclosed it to *448 his wife. He told the third party what he had done and terminated his relationship with her. He also confessed to his religious leaders. He then went to Judge Daniels, disclosed his misconduct, and asked for guidance. After several conversations with him and one with Mrs. Smith, Judge Daniels told Smith to draft an order setting aside the divorce decree. The decree was vacated in April 1990, and Judge Daniels took no further action against Smith.

A short time after Smith went to Judge Daniels, Dennis Poole, a former law partner of Smith, discovered what Smith had done and notified the Office of Utah Bar Counsel and the Salt Lake County Attorney’s office. The Office of Bar Counsel issued a formal complaint in January 1991, alleging that Smith had forged and filed documents in his own divorce action on two occasions, once in 1983 and again in 1988. In his answer, Smith admitted that he forged his wife’s and a notary public’s signatures in 1988 but denied any other misconduct.

On October 5, 1990, the county attorney filed an information charging Smith with recording a false or forged instrument, a third degree felony. About two months later, Smith entered a plea of guilty to the charge of attempted recording of a false instrument. He received a suspended sentence of twelve months’ confinement and was placed on probation. He was also fined $2000 and required to provide 250 hours of community service. Smith stipulated to bar counsel’s amending the disciplinary complaint to include this conviction.

On July 10, 1992, a disciplinary panel held a hearing on the complaint against Smith. Assistant Bar Counsel Wendell Smith submitted the case on his brief and attached exhibits. He did not offer any evidence concerning the alleged misconduct in the 1983 divorce action. In fact, he conceded to the panel that “[t]he only allegations we’re going forward with are those that have been admitted in the formal answer.” Smith appeared pro se and gave a lengthy statement regarding the facts and his belief that he had shown “good cause” why he should not be disbarred. Specifically, he described his psychological therapy, his efforts to rectify the ill effects of his conduct, and his pro bono work for the Minority Housing Assistance Program. 1 In response to the panel’s inquiry, Smith emphasized that his “discussions with Judge Daniels predated the action by [his] former partner [Dennis Poole].” He also admitted that his conduct constituted a crime of moral turpitude.

Three weeks after the hearing, the panel issued its findings and recommendation of discipline. Despite bar counsel’s decision not to pursue the allegations of misconduct in the 1983 divorce action and Smith’s denial of that misconduct in his answer, the panel found that “on or about September 28, 1983, [Smith] forged his wife’s signature on an Acceptance of Service, notarizing that signature himself.” It further found that Smith had forged signatures on the acceptance of service and waiver used in the 1988 divorce action. Finally, the panel determined that Smith’s actions violated several Rules of Professional Conduct: rule 3.3(a)(1) (“A lawyer shall not knowingly ... make a false statement of material fact or law to a tribunal.”); rule 8.4(b) (“It is professional misconduct for a lawyer to ... [c]ommit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects.”); rule 8.4(c) (“It is professional misconduct for a lawyer to ... [e]n-gage in conduct involving dishonesty, fraud, deceit or misrepresentation.”); and rule 8.4(d) (“It is professional misconduct for a lawyer to ... [e]ngage in conduct that is prejudicial to the administration of justice.”).

The panel recommended disbarment, finding that sanction mandatory under rule 23 of the Rules of Integration and Management, which reads in part:

Except for good cause shown, upon conviction of an attorney of a crime involving moral turpitude by any court, the Supreme Court shall enter a judgment of disbarment against the accused.... The clerk of a Utah state court in which any such conviction is had must, within thirty days *449 thereafter, transmit to the Supreme Court a certified copy of the record of conviction, which shall be conclusive evidence thereof.

However, the panel also concluded that if disbarment were discretionary under rule 23, it would recommend that Smith be suspended for two years rather than disbarred. The Board of Bar Commissioners affirmed the findings and recommendations of the hearing panel. Smith appeals.

We will sustain the findings of the Board “unless they are unsupported by the evidence and are arbitrary and capricious.” In re Calder, 795 P.2d 656, 657 (Utah 1990). Recommendations for discipline, on the other hand, are “ ‘advisory’ in the sense that they are not and cannot be binding on this court” and will be rejected if unreasonable. Id.

The finding that Smith forged documents in his 1983 divorce action is not supported by any evidence and is arbitrary and capricious. As explained, Smith denied this allegation of misconduct, and bar counsel admitted to the panel that “the only allegations we’re going forward with are those that have been admitted in the formal answer.” There simply is no evidence on the record that the 1983 forgery ever occurred; therefore, we set this finding aside.

Furthermore, we disagree with the conclusion that disbarment is mandatory under rule 23 of the Rules of Integration and Management.

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872 P.2d 447, 1994 WL 110842, Counsel Stack Legal Research, https://law.counselstack.com/opinion/matter-of-complaint-against-smith-utah-1994.