Oh *!?#@ I Got a Grievance
Jane Gleaves, Esq., Associate, Kegler Brown Hill + Ritter
The Akron Bar Association’s Grievance Committee: A Snapshot of Our Process
Wayne Rice, Esq., Akron Bar Counsel
The Unauthorized Practice of Law: A Trap for the Unwary
Jonathan E. Coughlan, Esq., Coughlan Law Firm LLC
Switching Law Firms: Walking the Tight Rope
Chris Weber, Esq., Managing Director, Kegler Brown Hill +Ritter
Ethical Pitfalls in the Transactional Practice
Jason Beehler, Esq., Kegler Brown Hill + Ritter
Grateful 7 speech thanking everyone that has helped.pdf
2018 Ethics Symposium- Akron Bar
1.
2. Oh *!?#@
I Got a Grievance
Attorney Discipline in Ohio
Presented by
Jane K. Gleaves, Esq.
3. Gov. Bar
Rule V
Allegations of violations of the Rules of
Professional Conduct + the Judicial Canons
Driven by grievances
May be brought by Ohio Disciplinary
Counsel or the Certified Grievance
Committee of a local bar association
Heard by the Board of Professional Conduct
23. Mitigating
Factors
Absence of prior disciplinary record
Absence of dishonest or selfish motive
Timely good faith effort to make restitution
Full + free disclosure in disciplinary process
Character or reputation
Imposition of other sanctions
Chemical dependence or mental disability
30. Jane K. Gleaves
Kegler Brown Hill + Ritter
jgleaves@keglerbrown.com
keglerbrown.com/gleaves
614-462-5484
31. THE AKRON BAR ASSOCIATION’S
GRIEVANCE COMMITTEE:
A SNAPSHOT OF OUR PROCESS
32. The Akron Bar Association maintains a Certified
Grievance Committee in accordance with Gov.
Bar R V, Section 5.
The Grievance Committee investigates
allegations of misconduct by, and mental illness,
alcohol and other drug abuse, or disorder
affecting attorneys who reside or maintain their
principal office in Summit County. We use the
address with which the attorney is registered
with the Supreme Court to determine
jurisdiction.
33. The Grievance Committee does not investigate
allegations of misconduct by judicial officers
(including magistrates), officers and members of
the Board of Trustees of the Bar Association
and members of the Grievance Committee and
its Investigative Subcommittee. Grievances
against any of these individuals are referred to
the Office of Disciplinary Counsel.
34. As required by Gov. Bar R. V, Section 6, the Bar
Association has Bar Counsel who has been certified
by Disciplinary Counsel.
In the past, Bar Counsel was a contract position.
Currently, it is a full-time staff position.
Bar Counsel supervises the receipt and investigation
of grievances and the prosecution of formal
complaints before the Board of Professional Conduct
and the Supreme Court.
35. Grievances must be in writing and may be submitted
by mail, fax or in person.
E-mail submissions are not accepted.
Upon receipt, Bar Counsel reviews the grievance and
determines whether it contains any allegations, which
if proven, would constitute professional misconduct
under the Ohio Rules of Professional Conduct.
36. No allegations of professional misconduct: Bar
Counsel sends a “dismissed on intake” letter to the
grievant with an appropriate explanation as to why no
investigation will be opened. A copy of the letter and
of the grievance are sent to the attorney.
If there appears to be allegations of misconduct, Bar
Counsel has the discretion to resolve the matter (i.e.
call the attorney and ask that he or she contact the
client, return the file, etc.) or assign it for investigation.
37. If assigned for investigation, Bar Counsel notifies both
the grievant and respondent (attorney being
investigated) of the Investigative Subcommittee
member who will be investigating the grievance.
The respondent will be provided a copy of the
grievance and asked to provide a written response as
well as evidence of malpractice insurance or the
communication required by Prof. Cond. R. 1.4, a copy
of the fee agreement, if any, and proof that the
grievant’s retainer was deposited in the respondent’s
IOLTA.
38. The respondent also is provided with a form that he or
she can use to request that we not provide his or her
written response to the grievant (however, the
investigator verbally can summarize the response to
the grievant).
We also advise the respondent that failure to provide a
response and/or cooperate with the investigation is, in
and of itself, a violation of the Ohio Rules of
Professional Conduct and Gov. Bar R. V.
39. Once the respondent has provided a response to the
grievance, the investigator contacts both the grievant
and respondent, generally by telephone, and clarifies
any questions regarding the grievance and/or the
response.
The investigator also reviews the case docket,
pleadings and any other documents provided by the
parties and then prepares written findings and
recommendation to the full Investigative
Subcommittee.
40. The investigation at this point is of a screening nature
to determine if there is probable cause for the
Grievance Committee to conduct a more thorough
investigation.
The Investigative Subcommittee will refer the matter to
the Grievance Committee for further investigation or
recommend the Grievance Committee dismiss the
grievance, either outright or with a referral to Fee
Arbitration.
41. If the matter is referred to the Grievance Committee for
further investigation, Bar Counsel appoints a three
member panel consisting of two attorneys and one lay
person. The chair of the panel has received the certified
grievance training from the Office of Disciplinary Counsel
as required by Gov. Bar R. V so that he or she can
represent the Bar Association before the Board of
Professional Conduct if a complaint is filed.
The panel conducts face to fact interviews of the grievant
and the respondent with a court reporter present. The
panel also might collect additional information and
documentation and interview other parties as it deems
appropriate.
42. The panel will prepare written findings and
recommendations to the full Grievance Committee.
If the panel believes that there is substantial credible
evidence of misconduct and that the Bar Association
will be able to meet the burden of proof of clear and
convincing evidence, it will recommend filing a
complaint against the respondent with the Board of
Professional Conduct. Otherwise, the panel will
recommend dismissal, either outright or with referral to
Fee Arbitration.
43. If the Grievance Committee votes to dismiss a
grievance, either upon the recommendation of the
Investigative Subcommittee or a panel, Bar Counsel
prepares a dismissal letter with an appropriate
explanation as to why the grievance was dismissed. A
copy of the letter is sent to the respondent.
44. When the Bar Association dismisses a grievance, the
grievant is informed of his or her right to have that
decision reviewed by sending a request to the Board
of Professional Conduct. The Board then will ask the
Office of Disciplinary Counsel (or if Disciplinary
Counsel has a conflict, another certified grievance
committee) to review the file in its entirety, including
the findings of the Investigative Subcommittee and/or
the Grievance Committee.
The standard for this review is abuse of discretion or
error of law.
45. If the Grievance Committee votes to file a complaint,
the chair of the panel and Bar Counsel work together
to draft the complaint.
Bar Counsel sends respondent a Notice of Intent to
File along with a copy of the complaint and advises
the respondent that he or she has at least 14 days
from receipt of the Notice to provide a response to the
complaint as drafted.
Bar Counsel and the panel chair review respondent’s
response, if any, and may revise the complaint
accordingly.
46. If significant changes are made to the complaint,
another Notice of Intent to File is sent to respondent
along with a copy of the revised complaint.
Once Bar Counsel and the panel chair are satisfied
with the complaint, it is submitted to the Board of
Professional Conduct along with a Summary of
Investigation (exhibits including the grievance, the
response, transcripts of the interviews, dockets,
pleadings and other documents and information
supporting the allegations contained in the complaint).
If respondent has waived determination of probable
cause, then the Summary of Investigation is omitted.
47. A three member Probable Cause Panel reviews the
complaint and summary of investigation. The
Probable Cause Panel may certify the complaint in its
entirety, dismiss it in its entirety or dismiss it in part, in
which case, the complaint is returned to the Bar
Association to be revised accordingly.
Up until the certification of the complaint by the
Probable Cause Panel, all proceedings are
confidential and only the respondent can waive that
confidentiality. Once the complaint is filed with the
Board of Professional Conduct, the matter becomes
public record.
48. Unauthorized Practice of Law:
A bar to admission ?
Jonathan Coughlan
Coughlan Law Firm LLC
81 Mill Street
Columbus, Ohio 43230
614-934-5677
49. Purpose of UPL
Prohibition
• “protect the public against
incompetence, divided
loyalties, and other
attendant evils that are
often associated with
unskilled representation.”
Cleveland Bar Assn. v.
CompManagement, Inc.,
104 Ohio St.3d 168, 2004-
Ohio-6506
50. For example --
• Kentucky lawyer
• Properly licensed in
Kentucky
• Working on Kentucky
legal matters
• Only for Kentucky
clients
• At Ohio firm with
Kentucky clients
• From firm’s Cincinnati
office
• While living in
Cincinnati
UPL?
This Photo by Unknown Author is licensed under CC BY
51. Or…. What about…..
• Washington DC lawyer
• Partner in DC Firm
• Engaged in Federal Regulatory
Practice
• All large corporate clients
• Working for 6 months from Mom’s
house in Cleveland
• Not working on any Ohio matters
• Nor for any Ohio Corporations
UPL?This Photo by Unknown Author is licensed under CC BY-ND
52. OR.. How about….
• Lawyer licensed in Texas & NY
• Represents clients in both
jurisdictions
• On Tax matters – both state and
federal
• Wife takes a job in Toledo (M.D.)
• Works on client matters from
Toledo home
• Travels to Texas office
occasionally
•UPL?
This Photo by Unknown Author is licensed under CC BY
53. And, finally……
• Indiana Lawyer
• Works out of Cincinnati
law firm
• On Indiana legal
matters
• For Indiana clients
• Occasionally, assists
Ohio licensed partner
on Ohio matters under
her supervision
• Lives and works during
the evenings in Ohio
home
This Photo by Unknown Author is licensed under CC BY-NC-ND
54. Rule 5.5 (b)
• A lawyer not admitted in Ohio
shall not:
(1) Establish an office or other
systematic and continuous
presence in Ohio for the
practice of law;
(2) Hold out to the public or
otherwise represent the
lawyer is admitted to practice
law in Ohio
This Photo by Unknown Author is licensed under CC BY-SA
55. Rule 5.5 (c)
• Lawyer duly licensed in another state may provide legal services on a
temporary basis in this jurisdiction if one or the following apply:
• In association with an Ohio lawyer who participates in the matter;
• Reasonably related to proceeding before tribunal in Ohio or another
state and if the lawyer, or the person lawyer is assisting, is authorized
by law or order to appear or reasonably expects to be so authorized;
• Related to pending/potential mediation, arbitration, ADR, in Ohio or
another state, and services reasonably related to lawyer’s practice
• Lawyer engages in negotiations, investigations, or other nonlitigation
activities that are reasonably related to lawyer’s practice in home
state
• PHEW!
56. ALL of these possibilities are
contingent on one requirement ---
-
TEMPORARY
This Photo by Unknown Author is licensed under CC BY-SA
57. First question --
• Does representing
out-of-state clients in
non-Ohio matters
from an Ohio location
constitute practicing
law in Ohio?This Photo by Unknown Author is licensed under CC BY
58. Gov. Bar R. VII
§2
The rendering of
legal services for
another by any
person not admitted
to practice in Ohio is
UPL
This Photo by Unknown Author is licensed under CC BY-ND
59. So, in Ohio…
The answer to the
question is YES -- it
is UPL for an
licensed out-of-state
lawyer to work on
their home
jurisdiction matters
while physically in
Ohio…
This Photo by Unknown Author is licensed under CC BY
60. And, there are
a series of
exceptions to
Gov. Bar Rule
VII § 2….. The
relevant one
here is Rule
5.5
This Photo by Unknown Author is licensed under CC BY-NC-ND
61. Brings us back to 5.5 (c)
• Lawyer duly licensed in another state may provide legal services on a
temporary basis in this jurisdiction if one or the following apply:
• In association with an Ohio lawyer who participates in the matter;
• Reasonably related to a proceeding before a tribunal in Ohio or another state
and if the lawyer, or the person lawyer is assisting, is authorized by law or
order to appear or reasonably expects to be so authorized;
• Related to pending/potential mediation, arbitration, ADR, in Ohio or another
state, and services reasonably related to lawyer’s practice
• Lawyer engages in negotiations, investigations, or other nonlitigation
activities that are reasonably related to lawyer’s practice in home state
62. Specific cases
– In re Egan
• Egan worked at Cincy law firm
from 2002 – 2013
• Limited her practice to Kentucky
matters
• 2008 – applied for admission on
motion
• Denied – did not have 5 years
practicing in another
jurisdiction
• 2015 – applied to take 2016
Ohio bar exam
63. In re Egan
• Lawyer testified she had no idea she
might be engaged in UPL until she met
with counsel to assist with her application
• And the Cincy bar association lawyers
who interviewed her were equally
unaware this might be an issue so they
approved her application
• C & F board found that lawyer had
engaged in UPL – rec’d admission be
denied
• Noting that the “temporary” exception in
5.5(c) did not apply, the Court found she
engaged in UPL
65. So, had to wait from 2015
until Feb 2018
• Not because she engaged in
some questionable conduct in
a single legal matter
• Not because she represented
an Ohio client when she
wasn’t licensed in Ohio
• Not because she had some
legitimate character issues –
truthfulness, or reliability or
trustworthiness
• Not because she had a
substance issue
• NOPE – just because her office
was located in Cincinnati
66. Another case – Texas/NY Tax Lawyer
• 2014 --Moved to Toledo because of wife’s new
position
• Continuing to represent clients in Texas & NY
• 2016 -- Decided to offer Tax Clinic at Law
School
• 2016 Sought admission on motion to Ohio bar
• Had requisite 5 years in another jurisdiction
• BUT what was the one difference between his
circumstances and Egan’s?This Photo by Unknown Author is licensed under CC BY-NC-ND
67. Rule 5.5 (b)
• A lawyer not
admitted in Ohio shall
not – establish an
office to other
systematic and
continuous presence
in Ohio for the
practice of law
This Photo by Unknown Author is licensed under CC BY-SA-NC
68. His actions violated
the “Boots on the
ground” rule just as
much as Egan’s
BOTH represented
clients from their
home jurisdiction &
both did so from an
Ohio location
This Photo by Unknown Author is licensed under CC BY-NC
69. Latest case …
Alice A. Jones
2009 --Licensed in Kentucky
2009- 2015 Worked in Kentucky
2/2015 – her firm was acquired by Dinsmore
10/2015 – applied to take Ohio bar
11/2015 – moved to Cincy, worked in Cincy
office
ONLY worked on Kentucky matters for
Kentucky clients
Cincy Bar Association approved her application
70. Alice A.
Jones
05/2016 – C & F requested supplemental affidavit
11/2016 – C & F hearing panel appointed
04/2017 – C & F hearing held
08/2017 – Admission denied, order confirmed only
issue was her physical presence in Ohio, requested
an affidavit saying – ceasing practice in Ohio and only
engaging in services of a paralegal.
Jones refused to abandon Kentucky clients and
submit an affidavit with a faulty premise
(that she did not fit under 5.5 (c))
71. And since C & F
order in Aug.
2017
04/2018 – Supreme Court issued show cause order
07/2018 – Case argued to Supreme Court
Since 2015 Jones has –
Worked exclusively on Kentucky matters
Traveled to Kentucky to work on client matters
Maintained Dinsmore’s Kentucky address and phone #,
business cards & professional profile on firm’s website
72. Jones’
argument – in
compliance
with 5.5 (c)
Lawyer duly licensed in another state
may provide legal services on a
temporary basis in this jurisdiction if:
Reasonably related to proceeding before
a tribunal in Ohio or another state and if
the lawyer, or the person lawyer is
assisting, is authorized by law or order
to appear in such proceeding or
reasonably expects to be so authorized;
74. So, which is it?
• Is she an out-of-state lawyer who
established an office with a
systematic and continuous
presence in Ohio for the practice
of law?
OR
• Is she temporarily providing
services related to pending or
potential proceedings before a
tribunal in another jurisdiction
where the lawyer is authorized to
appear?
75. The End
Jonathan E. Coughlan
Coughlan Law Firm LLC
81 Mill St. Suite 300
Columbus, Ohio 43230
614-934-5677
113. Upon death or dissolution of a Member, the other
Members shall have the option to purchase; if the
other Members exercise such option to purchase,
then the affected Member or the personal
representative of the estate of the deceased Member
shall sell all of the Company Units owned by the
Seller. The Purchaser shall exercise such option, if at
all, by written notice of exercise delivered to the
Seller within one hundred eighty (180) days after the
occurrence of the Triggering Event. The purchase
price and terms of payment for such purchase shall
be as provided in Sections 10.5, 10.6, and 10.7 below.
114. RPC 1.7
Conflicts
A lawyer’s acceptance or continuation
of representation of a client creates a
conflict of interest if either:
Representation of client will be directly
adverse to another current client; OR
There’s substantial risk the lawyer’s
ability to consider, recommend, or carry
out an appropriate course of action for
that client will be materially limited by
lawyer’s responsibilities to another
client, a former client, a third person or
by the lawyer’s own personal interests
115. CRITICAL
Questions
Difference in interests between the client
and lawyer or between two clients exists
or is likely to arise?
Whether this difference in interests will
materially interfere with the lawyer’s
independent professional judgment?
116. Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
117. RPC 1.7
Conflicts
Even if clients consent, can’t
accept representation if either:
Prohibited by law; OR
One client will be asserting a claim
against another in the same
proceeding
118. Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
121. Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
123. Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
124. Not prohibited
by division (c)
Is it prohibited by law?
Is one party asserting claim
against another?
Usually arises in litigation,
not transactional
127. CRITICAL
Questions
Difference in interests between the client
and lawyer or between two clients exists
or is likely to arise?
Whether this difference in interests will
materially interfere with the lawyer’s
independent professional judgment?
128. Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
129. IMPORTANCE
of an Engagement Letter
“We understand that our
clients are Don Draper,
Bertram Cooper, Roger
Sterling + Pete Campbell”
130. Define scope
Avoid “Re: Legal
Representation”
Define what you’re
doing
Define what you’re
NOT doing
131.
132.
133. RPC 1.7
Conflicts
Whether the lawyer may
properly request a client to
waive conflicts that might arise
in the future is subject to the
test of division (b)
134. Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
135. RPC 1.7
Conflicts
The effectiveness of such
waivers is generally determined
by the extent to which the
client reasonably understands
the material risks that the
waiver entails
138. RPC 1.7
Conflicts
A lawyer cannot represent
multiple parties to a
negotiation whose interests are
fundamentally antagonistic,
regardless of their consent
145. RPC 4.2
Represented Person
A lawyer shall not communicate
about the subject of the
representation with a person the
lawyer knows to be represented by
another lawyer in the matter, unless
the lawyer has the consent of the
other lawyer or is authorized to do
so by law or a court order
146. YOU
Don, just send me an
email while we’re on the
phone, confirming that
it’s okay we proceed
without your lawyer.
147. RPC 4.2
Represented Person
A lawyer shall not communicate
about the subject of the
representation with a person the
lawyer knows to be represented by
another lawyer in the matter, unless
the lawyer has the consent of the
other lawyer or is authorized to do
so by law or a court order
148. RPC 1.7
Conflicts
The rule applies even though the
represented person initiates or
consents to the communication. A
lawyer must immediately terminate
communication with a person if,
after commencing communication,
the lawyer learns that the person is
one with whom communication is
not permitted by this rule
150. RPC 4.2
Represented Person
A lawyer shall not communicate
about the subject of the
representation with a person the
lawyer knows to be represented by
another lawyer in the matter, unless
the lawyer has the consent of the
other lawyer or is authorized to do
so by law or a court order
151.
152. From: Other party’s lawyer
To: Other party
cc: You
Subject: Why we will destroy the other side
Dear So-and-so:
The other party is weak, but they will get weaker. Their Board is
starting to revolt. We will have a huge opportunity to buy for
pennies if we wait two weeks. I would recommend cooling
negotiations for now. Let’s move when they start to circle the
drain.
Sincerely,
Other party’s lawyer
153. RPC 4.4Respect for Third Parties
A lawyer who receives a
document or ESI relating to the
representation of the lawyer’s
client and knows or reasonably
should know that the document
or ESI was inadvertently sent
shall promptly notify the sender
154. From: Other party’s lawyer
To: Other party
cc: You
Subject: Why we will destroy the other side
ATTORNEY CLIENT PRIVILEGED COMMUNICATION
Dear So-and-so:
The other party is weak, but they will get weaker. Their Board is
starting to revolt. We will have a huge opportunity to buy for
pennies if we wait two weeks. I would recommend cooling
negotiations for now. Let’s move when they start to circle the
drain.
Sincerely,
Other party’s lawyer
157. RPC 4.4Respect for Third Parties
Where a lawyer is not required
by applicable law to do so, the
decision to voluntarily return
such a document or delete ESI is
a matter of professional
judgment ordinarily reserved to
the lawyer
158. From: Me
To: Other party
Subject: Inadvertent communication
Dear Other party’s lawyer:
This morning you inadvertently copied me on what appeared to
be a privileged communication with your client. As soon as I
realized what it was, I stopped reading it and permanently
deleted all copies from all of my electronic mailboxes. If the
communication was intended for me, please re-send it.
Sincerely,
Me
162. RPC 4.1
Truthfulness
In the course of representing a client,
a lawyer shall not knowingly do either
of the following:
Make a false statement of material fact
or law to a third person
Fail to disclose a material fact when
disclosure is necessary to avoid
assisting in an illegal or fraudulent act
by a client
168. RPC 1.5
Fees + Expenses
A fee may be contingent on the
outcome of the matter for which the
service is rendered:
Shall be in writing signed by client +
lawyer, explain terms
Lawyer must prepare closing
statement
169. RPC 1.5
Fees + Expenses
A lawyer shall not make an
agreement for, charge, or collect an
illegal or clearly excessive fee. To
determine if reasonable:
Time and labor, difficulty, skills
required
Amount involved, results obtained,
experience of lawyer, etc.
170. YOU
We spent three hours
and found one (lawful)
change that will save you
$3 million.
173. RPC 1.5
Fees + Expenses
A lawyer shall not make an
agreement for, charge, or collect an
illegal or clearly excessive fee. To
determine if reasonable:
Time and labor, difficulty, skills
required
Amount involved, results obtained,
experience of lawyer, etc.
178. RPC 1.5
Fees + Expenses
A lawyer shall not make an
agreement for, charge, or collect an
illegal or clearly excessive fee. To
determine if reasonable:
Time and labor, difficulty, skills
required
Amount involved, results obtained,
experience of lawyer, etc.
184. RPC 3.4Fairness to opposing counsel
This is all about litigation – no
faking evidence, concealing
evidence, disobeying the court, etc.
185. RPC 4.1
Truthfulness
In the course of representing a client,
a lawyer shall not knowingly do either
of the following:
Make a false statement of material fact
or law to a third person
Fail to disclose a material fact when
disclosure is necessary to avoid
assisting in an illegal or fraudulent act
by a client
186. RPC 4.1
Truthfulness
[1] A lawyer is required to be
truthful when dealing with others
on a client’s behalf.
187. RPC 4.1
Misconduct
It is professional misconduct for a
lawyer to do any of the following:
(c) Engage in conduct involving
dishonesty, fraud, deceit, or
misrepresentation
188. Jason H. Beehler
Kegler Brown Hill + Ritter
jbeehler@keglerbrown.com
keglerbrown.com/beehler
614-462-5452