Opinion
THE COURT.
This is a proceeding to review a recommendation of the Disciplinary Board of the State Bar of California that petitioner be publicly reproved. Petitioner presently is 69 years old, was admitted to practice in California in April 1953, and has no prior record of discipline in California or in Illinois, where he practiced law from 1930 to 1953.
The disciplinary board’s. recommendation is based on findings by a local administrative committee of the State Bar that petitioner deliber
ately misled the Los Angeles County Superior Court by concealing the existence of a letter pertinent to a request by petitioner before the court. In the language of the disciplinary board’s findings: “In failing to disclose to the Court the existence or content of the Pick letter, Respondent intended
to
and willfylly
[sic] did
in fact mislead the Court in connection with the Court’s determination of Respondent’s petition for approval of a fifty percent contingency fee with reference to Civil Action No. NEC 2141. In concealing these matters from the Court, Respondent withheld from the Court material facts bearing upon issues which were before the Court for decision.”
The local administrative committee concluded that “[petitioner] violated his oath and duties as an attorney and counselor at law within the meaning of Section 6103 ... of the Business and Professions Code[
] .. .; [he] wilfully violated Section 6128 ... of the Business and Professions Code[
] . . and “[he] committed acts involving moral turpitude and dishonesty within the meaning of Section 6106 . . . of the Business and Professions Code [
] .. . .” The local administrative committee then recommended that petitioner be suspended from the practice of law for a period of 90 days. The disciplinary board resolved merely to publicly reprove the petitioner, however, by a vote of eight to five.
This case springs from a series of actions involving the residence of Mrs. Elizabeth Weber. On March 20, 1957, Mrs. Weber allegedly conveyed her Pasadena home (hereinafter “Brent Avenue Property”) to herself and her sole surviving child, Mrs. Gladys Betty Heitz, by a joint tenancy grant deed. The Brent Avenue Property, valued at about $20,000, was Mrs. Weber’s only substantial asset.
On May 20, 1963, Mrs. Weber, by then 74 years old and in a hospital recuperating from a stroke, signed a request that Reverend Thomas A. Williams be appointed temporary conservator for her. Mrs. Heitz, who herself desired to act as her mother’s conservator, contested the proposed appointment of Williams. On September 6, 1963, the matter of the conservatorship of Elizabeth Weber received -a hearing in Los Angeles Superior Court; petitioner Sullins' represented Williams. Following the hearing, the superior court appointed Mr. Williams permanent conservator. The court also questioned the effectiveness of the 1957 joint tenancy grant deed, on the grounds that it never had been delivered.
On these grounds Mrs. Weber, through her conservator Williams, on November 5, 1963, filed the civil action No. NEC 2141 (hereinafter referred to as the “civil action”) against Mrs. Heitz, seeking to set aside and cancel the purported March 1957 conveyance of the Brent Avenue Property. Petitioner represented the conservator in this civil action, which on December 20, 1963, resulted in a default judgment against Mrs. Heitz. On April 28, 1964, however, through the efforts of Mr. David Daar, her new counsel, Mrs. Heitz succeeded in having this default judgment set aside, and in securing permission to file an answer to the civil action complaint.
Mrs. Weber died on January 8, 1964, leaving a will dated September 19, 1963, drafted by petitioner. The will named Mrs. Weber’s nephew Bradford Pick as sole beneficiary of her estate, specifically disinherited Mrs. Weber’s daughter, and contained a no contest clause
which forms the basis for one of petitioner’s contentions. The will was admitted to probate; the court named Williams (whose conservatorship had terminated with Mrs. Weber’s death) executor; petitioner continued to represent Williams. The court also substituted Williams as plaintiff in the civil action, in place of the deceased Mrs. Weber. Except for the possibility of obtaining the Brent Avenue property through success of the civil action, the assets of the estate were no more than about $350, less than the unpaid debts (funeral expenses, etc.).
Mrs. Heitz, represented by Daar, contested the will in a petition filed on April 30, 1964, alleging (inter alia) that at the time Mrs. Weber executed the will she had been incompetent and unduly influenced by Williams. Petitioner Sullins represented the estate in this will contest action. In addition, on or about June 4, 1964, pursuant to his duties as attorney for the executor, petitioner wrote to Mrs. Weber’s nephew Bradford Pick, then age 56 and living in Chicago, Illinois, informing him of Mrs. Weber’s will and the status of the estate.
Mr. Pick replied promptly in a notarized letter dated June 9, 1964, stating that he wished Mrs. Heitz to have all property under Mrs. Weber’s will, and that he did not wish Mrs. Heitz to contest the will; the letter also asked petitioner to send Pick for signature any papers needed to carry out Pick’s wishes.
Petitioner’s treatment of this letter from Pick is the main basis of the disciplinary board’s findings against petitioner, portions of which findings were quoted above.
In particular, petitioner admits: that he did not reply to this letter of Pick’s or otherwise acknowledge its receipt; that he made no effort to inform Mrs. Heitz of its contents; and that he. never disclosed the letter’s receipt or contents to the superior court, which in June 1964 had before it the civil action to set aside the 1957 conveyance, the probate of the Weber estate, and Mrs. Heitz’s contest of her mother’s will. On September 18, 1967, moreover, still without disclosing Pick’s letter, petitioner sought and secured from the court approval of a 50 percent contingency fee agreement for petitioner’s legal services pending in the civil action, explaining that a prior court-approved 331/3 percent
contingency fee agreement was inadequate because the civil action had been and would continue to be fiercely contested.
Shortly before the civil action was scheduled for trial, Pick came to Los Angeles at Daar’s request
and testified at two depositions, in August and September. 1968. Llis testimony revealed his 1964 exchange of correspondence with petitioner, affirmed that before Daar contacted him in 1968 Pick had never communicated with Mrs. Heitz or Mr. Daar concerning matters connected with Mrs.
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Opinion
THE COURT.
This is a proceeding to review a recommendation of the Disciplinary Board of the State Bar of California that petitioner be publicly reproved. Petitioner presently is 69 years old, was admitted to practice in California in April 1953, and has no prior record of discipline in California or in Illinois, where he practiced law from 1930 to 1953.
The disciplinary board’s. recommendation is based on findings by a local administrative committee of the State Bar that petitioner deliber
ately misled the Los Angeles County Superior Court by concealing the existence of a letter pertinent to a request by petitioner before the court. In the language of the disciplinary board’s findings: “In failing to disclose to the Court the existence or content of the Pick letter, Respondent intended
to
and willfylly
[sic] did
in fact mislead the Court in connection with the Court’s determination of Respondent’s petition for approval of a fifty percent contingency fee with reference to Civil Action No. NEC 2141. In concealing these matters from the Court, Respondent withheld from the Court material facts bearing upon issues which were before the Court for decision.”
The local administrative committee concluded that “[petitioner] violated his oath and duties as an attorney and counselor at law within the meaning of Section 6103 ... of the Business and Professions Code[
] .. .; [he] wilfully violated Section 6128 ... of the Business and Professions Code[
] . . and “[he] committed acts involving moral turpitude and dishonesty within the meaning of Section 6106 . . . of the Business and Professions Code [
] .. . .” The local administrative committee then recommended that petitioner be suspended from the practice of law for a period of 90 days. The disciplinary board resolved merely to publicly reprove the petitioner, however, by a vote of eight to five.
This case springs from a series of actions involving the residence of Mrs. Elizabeth Weber. On March 20, 1957, Mrs. Weber allegedly conveyed her Pasadena home (hereinafter “Brent Avenue Property”) to herself and her sole surviving child, Mrs. Gladys Betty Heitz, by a joint tenancy grant deed. The Brent Avenue Property, valued at about $20,000, was Mrs. Weber’s only substantial asset.
On May 20, 1963, Mrs. Weber, by then 74 years old and in a hospital recuperating from a stroke, signed a request that Reverend Thomas A. Williams be appointed temporary conservator for her. Mrs. Heitz, who herself desired to act as her mother’s conservator, contested the proposed appointment of Williams. On September 6, 1963, the matter of the conservatorship of Elizabeth Weber received -a hearing in Los Angeles Superior Court; petitioner Sullins' represented Williams. Following the hearing, the superior court appointed Mr. Williams permanent conservator. The court also questioned the effectiveness of the 1957 joint tenancy grant deed, on the grounds that it never had been delivered.
On these grounds Mrs. Weber, through her conservator Williams, on November 5, 1963, filed the civil action No. NEC 2141 (hereinafter referred to as the “civil action”) against Mrs. Heitz, seeking to set aside and cancel the purported March 1957 conveyance of the Brent Avenue Property. Petitioner represented the conservator in this civil action, which on December 20, 1963, resulted in a default judgment against Mrs. Heitz. On April 28, 1964, however, through the efforts of Mr. David Daar, her new counsel, Mrs. Heitz succeeded in having this default judgment set aside, and in securing permission to file an answer to the civil action complaint.
Mrs. Weber died on January 8, 1964, leaving a will dated September 19, 1963, drafted by petitioner. The will named Mrs. Weber’s nephew Bradford Pick as sole beneficiary of her estate, specifically disinherited Mrs. Weber’s daughter, and contained a no contest clause
which forms the basis for one of petitioner’s contentions. The will was admitted to probate; the court named Williams (whose conservatorship had terminated with Mrs. Weber’s death) executor; petitioner continued to represent Williams. The court also substituted Williams as plaintiff in the civil action, in place of the deceased Mrs. Weber. Except for the possibility of obtaining the Brent Avenue property through success of the civil action, the assets of the estate were no more than about $350, less than the unpaid debts (funeral expenses, etc.).
Mrs. Heitz, represented by Daar, contested the will in a petition filed on April 30, 1964, alleging (inter alia) that at the time Mrs. Weber executed the will she had been incompetent and unduly influenced by Williams. Petitioner Sullins represented the estate in this will contest action. In addition, on or about June 4, 1964, pursuant to his duties as attorney for the executor, petitioner wrote to Mrs. Weber’s nephew Bradford Pick, then age 56 and living in Chicago, Illinois, informing him of Mrs. Weber’s will and the status of the estate.
Mr. Pick replied promptly in a notarized letter dated June 9, 1964, stating that he wished Mrs. Heitz to have all property under Mrs. Weber’s will, and that he did not wish Mrs. Heitz to contest the will; the letter also asked petitioner to send Pick for signature any papers needed to carry out Pick’s wishes.
Petitioner’s treatment of this letter from Pick is the main basis of the disciplinary board’s findings against petitioner, portions of which findings were quoted above.
In particular, petitioner admits: that he did not reply to this letter of Pick’s or otherwise acknowledge its receipt; that he made no effort to inform Mrs. Heitz of its contents; and that he. never disclosed the letter’s receipt or contents to the superior court, which in June 1964 had before it the civil action to set aside the 1957 conveyance, the probate of the Weber estate, and Mrs. Heitz’s contest of her mother’s will. On September 18, 1967, moreover, still without disclosing Pick’s letter, petitioner sought and secured from the court approval of a 50 percent contingency fee agreement for petitioner’s legal services pending in the civil action, explaining that a prior court-approved 331/3 percent
contingency fee agreement was inadequate because the civil action had been and would continue to be fiercely contested.
Shortly before the civil action was scheduled for trial, Pick came to Los Angeles at Daar’s request
and testified at two depositions, in August and September. 1968. Llis testimony revealed his 1964 exchange of correspondence with petitioner, affirmed that before Daar contacted him in 1968 Pick had never communicated with Mrs. Heitz or Mr. Daar concerning matters connected with Mrs. Weber’s' will, and reaffirmed Pick’s intention to assign his interest in the estate to Mrs. Heitz; indeed Pick executed such an assignment on August 12, 1968.
Alluding to Pick’s testimony, Mrs. Heitz petitioned the superior court for removal of the administrator of the estate
and his attorney (petitioner Sullins). After a full hearing, the court on April 2-3, 1969, ordered the requested removal, and directed the public administrator to administer the estate. The court found that the administrator and petitioner Sullins had “. . . committed a fraud upon the Court, and the Estate . . .” when they presented the new agreement for attorney fees to the court without disclosing the existence of the letter or Pick’s intention to make Mrs. Heitz the assignee of his interest in the estate. The court also found, “That neither petitioner Gladys Betty Heitz or her attorney
learned that Bradford Pick had renounced all interest he had in the Estate in favor of Gladys Betty Heitz until during the month of July of 1968.” The Court of Appeal affirmed the removal order in an unpublished opinion filed April 23, 1970. Petitioner Sullins did not request a rehearing, nor did he petition for a hearing from us.
The disciplinary board’s recommendation rests on the above recital of facts. Petitioner’s numerous lengthy contentions in opposition to the recommendation may be consolidated and summarized as follows: (1) The local administrative committee and the disciplinary board permitted procedural irregularities which denied petitioner due process; in particular, the local administrative committee made findings, adopted by the disciplinary board, which involved matters not included in the State Bar’s notice to show cause, as amended. (2) Mrs. Heitz’s attorney David Daar had himself concealed from the court the existence of Pick’s letter, which Daar had acquired shortly after it was written on June 9, 1964. (3) The no contest clause in the will implied that Pick forfeited his interest in the estate when he wrote petitioner offering to sign his interest over to Mrs. Heitz; alternatively, accepting his inheritance under the will estopped Pick from assigning his interest to Mrs. Heitz and thereby defeating Mrs. Weber’s express disinheritance of her daughter. (4) Petitioner’s duty to the creditors of Mrs. Weber’s estate required him to press the civil action to cancel the deed, irrespective of Pick’s intention to assign his interest in the estate to Mrs. Heitz; indeed, to avoid prejudicing this duty to the creditors, petitioner had to keep Pick’s letter off the court records. These contentions will be examined seriatim.
Our standards of review of State Bar disciplinary recommendations are well established. In determining the appropriate discipline for an attorney’s misconduct, this court independently appraises the evidence and makes its own evaluation, recognizing that the disciplinary board’s findings and recommendations, though not binding, are entitled to great weight
(In re Ellis
(1974) 12 Cal.3d 442 at p. 445 [115 Cal.Rptr. 795, 525 P.2d 699]); however, the burden is on petitioner to show that the board’s recommendation is erroneous or unlawful
(In re Silverton
(1975) 14 Cal.3d 517 at p. 523 [121 Cal.Rptr. 596, 535 P.2d 724]; 7 Cal.Jur.3d Attorneys At Law, § 135, pp. 419-420).
Petitioner’s contentions of procedural irregularities fail to meet this burden. State Bar Rules of Procedure applicable to proceedings before a local administrative committee (rule 29) and before the disciplinary board (rule 75) are identical in substance. Rule 29 provides in relevant part that: “No finding or recommendation of a commitee made in a disciplinary proceeding shall be invalidated ... for error in pleading, or in procedure, . . . unless upon thé whole record . . . the board is of the opinion that error has been committed and has resulted or will result in miscarriage of justice.” In
Linnick
v.
State Bar
(1964) 62 Cal.2d 17 at p. 23 [41 Cal.Rptr. 1, 396 P.2d 33], we interpreted rule 29 to mean that a variance between the board’s findings and the notice to show cause would not be regarded as a miscarriage of justice if the petitioner in fact had sufficient notice to eliminate prejudicial surprise in the preparation of his defense.
There are no grounds for belief that the procedures of the local administrative committee and the disciplinary board in any way prejudiced petitioner’s defense to the charges against him. The hearings of the local administrative committee and the disciplinary board extended from July 12, 1972, to October 10, 1974; during these hearings petitioner was given full opportunity to argue his case and to make his very voluminous exhibits part of the record. All issues involved in the disciplinary board’s findings were thoroughly argued in these hearings, as well as in various memoranda and briefs submitted by petitioner himself
prior to
the local administrative committee’s report of its findings on May 20, 1974. The notice to show cause was twice amended at the urging of petitioner, in conformity with State Bar Rules of Procedure, rule 30. The violations of Business and Professions Code sections 6103, 6106 and 6128, asserted in the conclusions of the local administrative committee, were charged in the notice to show cause. In its original as well as its amended versions! the notice to show cause unmistakably charged that petitioner had concealed the existence of Pick’s letter' from the superior court; this concealment was a major element in the disciplinary board’s findings. We conclude there is no merit to petitioner’s first contention that he was denied due process by variances between the notice to show cause and the board’s findings.
Petitioner’s second contention, that Mrs. Heitz’s attorney David Daar had himself concealed knowledge of Pick’s letter from the court, is irrelevant to the basic issue before this court, namely whether petitioner deserves discipline. As we said in
Demain
v.
State Bar
(1970) 3 Cal.3d 381 at page 386 [90 Cal.Rptr. 420, 475 P.2d 652], “It has been
uniformly held that the purpose of a disciplinary proceeding is not to punish the attorney but to inquire into the moral fitness of an officer of the court to continue in that capacity, and to afford protection to the public, the courts and the legal profession.” Our decision in the present inquiry would not be affected even if it were proved that Daar had concealed knowledge of Pick’s letter. On these grounds alone, petitioner’s second contention is wholly without merit for the purposes of the. instant proceedings. Moreover, in actuality the contention that Daar acquired a copy of Pick’s June 9, 1964, letter shortly after it was written is against the weight of the evidence.
We therefore reject, as pointless and against the evidence, petitioner’s contention that Daar also concealed the existence of Pick’s letter.
Petitioner’s third contention—that Pick’s letter violated the no contest clause in the will, or alternatively that Pick was estopped from assigning his interest to Mrs. Heitz—is used by petitioner as an argument against the disciplinary board’s finding, quoted earlier, that when he sought the 50 percent contingency fee agreement in September 1967 he withheld the material fact of Pick’s letter from the court. Petitioner’s argument is that since either of the above alternatives would prevent Pick from assigning the Brent Avenue Property to Mrs. Heitz, the letter actually was not material to issues before the court in September 1967.
We find this argument much more ingenious than convincing. This third contention of petitioner’s, concerning which the disciplinary board made no specific finding, will not meet the board’s findings and charges that he intentionally deceived the court unless petitioner in September 1967 thought Pick had forfeited his claim to the estate, or believed that Pick was not free to assign his inheritance to Mrs. Heitz. There is no evidence that petitioner so thought or believed in September 1967; there is-good evidence to the contrary.
Therefore, though we question, the
claims that Pick’s letter (see fn. 8,
ante,
p. 615) violated the no contest clause (see fn. 6,
ante,
p. 614), or that the will estopped Pick’s assignment of his interest to Mrs. Heitz, we need not rule on the legitimacy of these claims. We conclude that petitioner’s third contention, embodying these claims, is no defense to the disciplinary board’s findings and charges against him.
Petitioner’s fourth and last contention, that his duty to the estate’s creditors required him to withhold Pick’s letter from the court, is offered as a defense to the local administrative committee’s finding that petitioner . . intended to and did in fact mislead the Court.” The local administrative committee rejected this defense after full discussion, and incorporated into its findings the language that petitioner . . had committed a fraud upon the Court,” used by the court which ordered petitioner’s removal as áttorney for the estate.
The disciplinary board accepted this language, and also accepted the language of the Court of Appeal which in April 1970 affirmed the removal order: “The issue before the court on the petition for removal was not one of reweighing the issue of employment of counsel to recover the property; it was whether material facts bearing on the proposed contingent fee contract had been withheld from the court.” Although the board did not specifically adopt the local administrative committee’s conclusions, petitioner as an attorney is bound by the Business and Professions Code. Business and Professions Code sections 6068, subdivision (d) and 6128, subdivision (a)
unqualifiedly
require an attorney to
refrain from acts which mislead or deceive the court (see fns. 1 and 2,
ante,
p. 613); petitioner admits he did not disclose the letter’s receipt or its contents to the court. We conclude that petitioner’s fourth contention concerning his duty to the estate’s creditors is no defense to the charge that he intentionally deceived the court.
In summary, petitioner’s contentions, taken as a whole, fail to meet his burden
(In re Silverton
(1975) 14 Cal.3d 517, atp. 523 [121 Cal.Rptr. 596, 535 P.2d 724]) of showing that the board’s recommendation is erroneous or unlawful. We still must make our independent evaluation of the appropriateness of the board’s recommended discipline however; petitioner’s only request concerning the degree of discipline is that the charges against him be entirely dismissed. The main finding against petitioner is that he intentionally misled the court. The amended notice, to show cause and the board’s findings imply petitioner misled the court for his own gain, an implication accepted by the State Bar;
petitioner’s fourth contention claims the deception stemmed from his conceived duty to the estate’s creditors.
The rule is: “Charges of unprofessional conduct on the part of an attorney should be sustained by convincing proof and to a reasonable certainty, and reasonable doubts must be resolved in the attorney’s favor”
(Bluestein
v.
State Bar
(1974) 13 Cal.3d 162 at p. 168 [118 Cal.Rptr. 175, 529 P.2d 599]).
We need not pass upon the issue of whether the petitioner misled the court “for his own gain,”
because we have concluded that petitioner’s conduct in misleading the court, in itself, called for discipline. Although in analogous cases the discipline imposed has been more severe,
the disciplinary board, in recommending public reproval, undoubtedly took into account the petitioner’s age, his previous 45-year unblemished record as an attorney, and has had the advantage of personal observation of petitioner.
Under these circumstances we are satisfied that a public reproval constitutes an appropriate discipline. It is therefore ordered that Paul Goodsell Sullins be publicly reproved by publication of this opinion.
Petitioner’s application for a rehearing was denied December 30, 1975.