Att'y Griev. Comm'n of MD v. Shaw
Decision Date | 01 September 1997 |
Parties | (Md.1999) ATTORNEY GRIEVANCE COMMISSION OF MARYLAND V. PAMELA LOUISE SHAW MISC. DOCKET AG NO. 75 |
Court | Maryland Court of Appeals |
[Copyrighted Material Omitted] Argued before Bell, C.J., Eldridge, Rodowsky, Chasanow, Raker, Wilner, Cathell, JJ.
Opinion by Bell, C.J.
The issues we address today are twofold. First, we decide whether an attorney who researches stocks for a disabled person's estate is engaged in the practice of law. Second, we shall determine under what circumstances an attorney may be disciplined for violations of the Rules of Professional Conduct, occurring while not practicing law.
I.
The Attorney Grievance Commission of Maryland, the petitioner, acting through Bar Counsel and at the direction of the Review Board, see Maryland Rule 16-709,1 filed a Petition for Disciplinary Action against Pamela L. Shaw, the respondent, charging her with misconduct, as defined by Rule 16-701 (k),2
in connection with her handling of a tax capital gains and loss analysis for the estate of a disabled person, John Berger. The petition alleged that the respondent, who had virtually no experience in determining the losses and gains of stocks, was hired by Michelle Towson, the guardian of the property of Mr. Berger, to prepare a capital gains and loss analysis, a matter she was not competent to handle, for which she charged the estate an inordinate fee of $20,000, of which she was paid between $18,500 and $19,000. According to the petitioner, the product of her work was "completely and utterly worthless" and incorrect. The petition also alleged that the respondent held herself out as an attorney by using the term "esquire" and charging a "fee for professional services rendered." In addition, the petitioner charged, the respondent knowingly and willfully failed to respond to Bar Counsel's requests for information. Specifically, the petition alleged that the respondent violated the following disciplinary rules: 1.1 (Competence);3 1.5(a);4 8.1 (Bar Admission);5 and 8.4 (a), (c), and (d).6
We referred the case to the Honorable Richard T. Rombro, of the Circuit Court for Baltimore City, for hearing. See 16-711 (a).7 Following the hearing, at which the respondent, who was represented by counsel, was present and testified,8 Judge Rombro made the following findings of fact:
The hearing court concluded as follows as to the charged misconduct:
Unlike the petitioner, who took no exceptions to the hearing court's findings of fact and conclusions of law, the respondent excepted to several of the findings of fact, i.e., that she failed to respond to discovery, that she held herself out as an attorney, that she had little knowledge of the workings of the stock market, that the fee was inordinate, and that she had engaged in the practice of law, arguing that they were clearly erroneous. The respondent also excepted to the hearing court's conclusions of law, similarly contending that they were erroneous. In addition to the conclusions with respect to the Rule violations, she challenges the conclusion that she is subject to discipline as a lawyer, despite being on the inactive list. II.
The respondent's exception to the hearing court's finding and conclusion that she did not respond to discovery requests can be disposed of easily and quickly. Other than stating the exception, the respondent did not further pursue the matter. The exception, therefore, is overruled. As will become clear hereafter, the case is being remanded to the hearing court for further proceedings. Consequently, whether to impose a sanction in respect of this violation and, if so, what the appropriate sanction is, must await our subsequent review of this case.
This Court has original and complete jurisdiction over attorney disciplinary proceedings. Md. Rule 16-709 (b); Attorney Grievance Comm'n v. Adams, 349 Md. 86, 93, 706 A.2d 1080, 1083 (1998); Attorney Grievance Comm'n v. Glenn, 341 Md. 448, 470, 671 A.2d 463, 473 (1996); Attorney Grievance Comm'n v. Kent, 337 Md. 361, 371, 653 A.2d 909, 914 (1995); Attorney Grievance Comm'n v. Powell, 328 Md. 276, 287, 614 A.2d 102, 108 (1992). Accordingly, the ultimate decision as to whether a lawyer has violated the Rules of Professional Conduct rests with this Court. Attorney Grievance Comm'n v. Garland, 345 Md. 383, 392, 692 A.2d 465, 469 (1997); Attorney Grievance Comm'n v. Breschi, 340 Md. 590, 599, 667 A.2d 659, 663 (1995); Attorney Grievance Comm'n v. Joehl, 335 Md. 83, 88, 642 A.2d 194, 196 (1994) . Under our independent review of the record, we must determine whether the findings of the hearing judge are based on clear and convincing evidence. Attorney Grievance Comm'n v. Powell, 328 Md. 276, 287, 614 A.2d 102, 108 (1992); Attorney Grievance Comm'n v. Clements, 319 Md. 289, 298, 572 A.2d 174, 179 (1990). The "hearing court's findings of fact are prima facie correct and will not be disturbed unless they...
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