Matter of Finley

488 S.E.2d 74, 268 Ga. 251, 97 Fulton County D. Rep. 2420, 1997 Ga. LEXIS 358
CourtSupreme Court of Georgia
DecidedJune 30, 1997
DocketS97Y0837, S97Y0838 and S97Y1037
StatusPublished
Cited by8 cases

This text of 488 S.E.2d 74 (Matter of Finley) is published on Counsel Stack Legal Research, covering Supreme Court of Georgia primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Matter of Finley, 488 S.E.2d 74, 268 Ga. 251, 97 Fulton County D. Rep. 2420, 1997 Ga. LEXIS 358 (Ga. 1997).

Opinions

Per curiam.

These disciplinary cases involve three separate proceedings against James M. Finley in which the State Bar brought formal complaints alleging multiple violations of professional standards. The violations include making false statements, employing a disbarred attorney to engage in the unauthorized practice of law, abandoning legal matters, and commingling and mismanaging client funds. In each of these cases the special master held a hearing and made findings of fact, all of which were adopted by the review panel, and which we are bound to uphold, there being evidence to support them.1 In light of the gravity of the infractions, and other aggravating factors including Finley’s prior disciplinary matter, we order Finley disbarred.

1. Case No. S97Y0837

This case involves Finley’s representation of a client regarding a workers’ compensation claim. In its complaint the Bar alleged violations of Standards 4 (engaging in professional conduct involving dishonesty, fraud, deceit, or wilful misrepresentation); 22 (b) (withdrawal from employment without taking reasonable steps to avoid foreseeable prejudice to the client’s rights); 24 (aiding a non-lawyer in the unauthorized practice of law); 44 (wilful abandonment or disregard of a legal matter); and 45 (knowingly engaging in illegal conduct or conduct contrary to a disciplinary rule) of Bar Rule 4-102 (d).

Following an injury at work, the client saw an attorney who referred the client to Finley. The client met with Finley and Oddie Richard,2 an attorney disbarred in 1989, working with Finley. The [252]*252client executed a fee agreement in Finley’s office. Most of the client’s dealings with personnel at Finley’s office were with Richard, and the client believed Richard and Finley were his attorneys. No one in Finley’s office ever told the client that Richard was or was not an attorney. Richard had the client execute a release of information form and instructed the client to keep appointments with his doctor, and to stay in touch with Richard. Finley sent a letter requesting the client’s medical records. At some point Richard told the client he had what was needed to pursue the case and told the client to check back in a few months. Later, he told the client there was nothing that could be done for him. Finley failed to file a workers’ compensation claim within the one-year statute of limitation, failed to inform the client of that statute of limitation, and did not give the client sufficient notice that he was not going to represent him so that the client could avoid losing his right to file a claim.

The review panel, while adopting the special master’s findings of fact, nevertheless rejected the special master’s conclusion that the State Bar had established an attorney-client relationship in this case. The special master, in finding such a relationship, noted the fact that the client’s name was listed in Finley’s records containing the names and addresses of clients, the numerous times the client went to see Finley, the fee agreement the client executed, Finley’s request for the client’s medical records, and the circumstances of the client’s initial meeting with Finley.3 We agree with the special master’s conclusion that there is ample evidence under the current “beyond a reasonable doubt” standard of Bar Rule 4-221 (e) that the client sought and received advice from Finley, and from Finley’s employee Richard, in matters pertinent to Finley’s profession so that an attorney-client relationship is implied. In the Matter of Weber, 266 Ga. 883, 885 (471 SE2d 864) (1996); In the Matter of Dowdy, 247 Ga. 488, 491 (277 SE2d 36) (1981).

Because of the review panel’s erroneous conclusion that an attorney-client relationship did not exist in this case, the review panel rejected the special master’s conclusions that Finley violated Standards 22 (b), 44 and 45. However, we agree with the special master that Finley violated these professional standards by failing to take reasonable steps to avoid prejudice to the client’s rights, by failing to give the client notice so that the client could avoid the running of the statute of limitation, by failing to take action on the client’s behalf for [253]*253over a year, and by allowing a non-lawyer to manage the client’s case. In addition, and contrary to the conclusion of the review panel, we find that Finley violated both Standards 4 and 24 by allowing a non-attorney to manage the client’s case, by failing to inform the client that he was dealing with a non-lawyer, and by failing to notify the client of the statute of limitation.

2. Case No. S97Y0838

In this case, the State Bar in its complaint against Finley alleged the following violations of professional standards of Bar Rule 4-102 (d) in connection with a client and her minor daughter regarding injuries they received in a traffic accident: 61 (failure to promptly notify a client on receipt of client funds and failure to promptly deliver those funds); 63 (failure to maintain records of client funds and render prompt accounts to the client); 65 (D) (failure to adequately maintain trust accounts and improper use of trust account funds); and 45 (knowingly engaging in conduct contrary to a disciplinary rule). The special master granted the Bar’s motion to amend the complaint to add allegations of violations of Standard 65 (A) (commingling client funds with his own) and further violations of 65 (D). When Finley did not file an answer by the date ordered, the special master granted the Bar’s motion for default judgment with respect to the amended portions of the complaint.

The client in this case employed Finley to represent her and her daughter regarding injuries they had received in an automobile accident about a week earlier. The client spoke initially with Oddie Richard, the disbarred attorney employed by Finley, and dealt primarily with Richard regarding the case. The client agreed to a fee arrangement whereby Finley would receive one-third of the proceeds of any award or settlement. The client moved to Texas and promptly informed Finley of her move. Thereafter, Finley telephoned the client, who authorized Finley to settle her claims and those of her daughter. Finley informed the client he would send her certain paperwork and that the claim would be settled within a few days. He received a settlement check on behalf of the client and her daughter, and deposited that check in his escrow account. Several months later one of Finley’s employees called the client and told her she noticed the client had not signed a release of her claims. Thereafter, a Finley employee faxed the client a release which she executed and faxed back. The client called Finley on several occasions but he did not respond, arid she heard nothing from him until she filed a grievance with the State Bar.

After Finley received the Bar’s notice of the client’s grievance, he called her and said he did not know she did not receive the settlement proceeds and that someone had stolen the money that was to have been sent to her. Finley testified that when he received the [254]*254settlement check he did not want to issue an escrow account check because the client was in Texas. He sent someone from his office with cash with instructions to deposit the cash and obtain a cashier’s check for the client, which, apparently, never happened. After the client’s grievance, and his telephone conversation with her, Finley wire-transferred the amount owed her.

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Matter of Finley
488 S.E.2d 74 (Supreme Court of Georgia, 1997)

Cite This Page — Counsel Stack

Bluebook (online)
488 S.E.2d 74, 268 Ga. 251, 97 Fulton County D. Rep. 2420, 1997 Ga. LEXIS 358, Counsel Stack Legal Research, https://law.counselstack.com/opinion/matter-of-finley-ga-1997.