The following are digests of fact patterns that resulted in the issuance of Letters of Caution and Admonition from the Grievance Committees of the Fourth Judicial Department during the period from January, 2008 to March, 2009. The digests are written in generic terms, as these matters are confidential pursuant to §90(10) of the Judiciary Law. It is hoped this information will be beneficial to the legal community and will assist lawyers in recognizing particular conduct which may result in action by the Grievance Committees.

These digests of Letters of Caution and Admonition may also be viewed at the webpage of the Attorney Grievance Committees, which may be accessed through the Appellate Division, Fourth Department’s website at www.courts.state.ny.us/ad4. Members of the bar may also wish to view the Attorney Grievance website for other useful information related to professional ethics and the attorney disciplinary system. These resources include the new Rules of Professional Conduct at 22 NYCRR Part 1200, effective April 1, 2009, the former Lawyer’s Code of Professional Responsibility, the Fourth Department’s Rules Relating to Attorneys, a description of the Fourth Department Attorney Grievance Committees, office addresses and staff, attorney registration, recent attorney disciplinary decisions by the Fourth Department, and other professional ethics resources.

LETTERS OF CAUTION - A Letter of Caution may be issued by the Chief Counsel after consultation with the Chairperson of the Committee. A Letter of Caution is a non-disciplinary disposition of a complaint which informs the attorney that the attorney has violated the spirit, if not the letter, of an ethical standard. It is meant to educate an attorney with reference to subsequent conduct. Accordingly, Letters of Caution are reserved for minor violations of ethical standards resulting in little or no detriment to the public.

1.         A number of attorneys were cautioned for failing to comply with the Appellate Divisions’ Procedures for Attorneys in Domestic Relations Matters at 22 NYCRR Part 1400, including failures: to provide clients with retainer agreements and Statements of Client’s Rights and Responsibilities, to provide retainer agreements which complied with all requirements of these Rules, to provide itemized billing statements to clients at least every 60 days, to provide notices to arbitrate fee disputes, to obtain Court approval and to give notice to adversary upon taking security interests for legal fees, and used impermissible non-refundable fee provisions in retainer agreements. See also, Disciplinary Rule 2-106.

2.         A number of attorneys were cautioned for failing to timely comply with the attorney registration requirements.

3.         Attorney neglected client’s legal matter, and failed to promptly cooperate with Grievance Committee’s inquiries.

4.         Attorney improperly notarized clients’ signatures on real property eviction Petition.

5.         Attorney neglected client’s legal matter, and failed to provide timely responses to inquiries of Grievance Committee.

6.         Check issued from attorney’s trust account was dishonored due to attorney’s error in issuing the check.

7.         In a child support/custody matter, attorney did not provide client with written retainer agreement or Statement of Client’s Rights and Responsibilities until a month after attorney negotiated client’s retainer fee. Client then discharged attorney and requested refund of unearned fee, which attorney failed to make for three months, ignoring written requests from client. Attorney also failed to provide client with itemized billing statement until after client filed grievance.

8.         In preparing closing statement on a real estate transaction, attorney made error and failed to retain funds to pay for updated title search. When error was brought to attorney’s attention, attorney failed to secure payment from client, resulting in title company filing a judgment against attorney.

9.         In DWI case, attorney’s staff improperly and without authorization charged the balance due for legal fees to credit card of client’s mother. Attorney was cautioned to supervise the conduct of non-lawyer employees.

10.       Attorney cautioned concerning a failure to pay overdue parking fines and penalties totaling several thousand dollars.

11.       Attorney received adjournment in contemplation of dismissal related to arrest for DWI.

12.       In child support/custody matter, attorney failed to issue itemized billings to client every 60 days, and upon completion of the matter, billed client for additional substantial fees. Attorney also failed to provide client with notice of right to mandatory fee dispute arbitration.

13.       In client’s litigation against employer, attorney failed to adequately communicate with client concerning arbitration proceeding and appeal.

14.       In custody matter, attorney failed to adequately communicate with client, and used inappropriate language with client. Attorney also failed to provide client with written retainer agreement, Statement of Client’s Rights and Responsibilities, or itemized billings every 60 days.

15.       Attorney failed to deliver an executed release pursuant to a written agreement.

16.       Attorney neglected to promptly advance client’s requests to obtain an amended birth certificate. When amendment was finally received, it contained errors, which attorney then failed to promptly address.

17.       In execution of land contract, attorney improperly represented both landlord and tenant, and subsequently represented landlord as the seller, when the tenant was the buyer.

18.       Attorney failed to promptly turn over file to successor counsel. Also, during a deposition, attorney fell asleep for a period of time.

19.       Attorney represented grandparents regarding visitation proceeding with granddaughter. When a fee dispute resulted, attorney filed a Small Claims Court action to collect the unpaid balance due, without notifying the clients of their right to arbitrate. Attorney then improperly agreed to drop the Small Claims action and turn over the file if the clients’ grievance was withdrawn.

20.       Dishonored check on attorney’s trust account resulted from attorney’s failure to reconcile bank statements, resulting in a small negative balance.

21.       Following completion of divorce proceeding, attorney neglected to advance client’s Qualified Domestic Relations Order for a lengthy period.

22.       Attorney cautioned for issuing two checks on a real estate transaction from attorney trust account which were presented before the associated deposit was credited. Attorney’s account was also not properly labeled as required by Disciplinary Rule 9-102(B)(2). Attorney also failed to cooperate with the inquiries of the Grievance Committee.

23.       A public defender threatened to call Attorney General’s Office and report a Judge if a client was not released.

24.       Attorney who was a candidate for Town Justice violated the Judicial Canons of Ethics.

25.       Attorney neglected and failed to adequately supervise paralegal in the filing of immigration client’s application for labor certification, resulting in failure to file the application and 16-month delay.

26.       In debt collection practice, attorney improperly shared legal fees with non-lawyer debt collectors, contrary to Disciplinary Rule 3-102(A), by remitting bonus payments to individual collectors, which payments were based upon debt collections realized above the individual collector’s specified quota.

27.       Law firm’s solicitations improperly indicated that firm provides services which are “specialized,” contrary to Disciplinary Rule 2-105(A), which prohibits a lawyer or law firm from stating that the lawyer or law firm is a specialist or specializes in a particular field of law.

28.       Law firm’s website improperly used the term “specialized” in describing the firm’s practice.

29.       Law firm’s print advertisements offering discounted fees for particular legal services improperly failed to also list the full customary fee, which is required so that the offer of discounted fees will be intelligible and not misleading. Disciplinary Rule 2-101(A)(1).

30.       While representing client/buyers in a dispute against the sellers concerning the sale of land, attorney improperly used secret information which had been obtained from sellers during attorney’s prior representation of sellers in unrelated legal matter, to the potential detriment of sellers in the land dispute matter.

31.       In an advertisement published in a telephone directory, law firm improperly used the term “specializing” in describing the firm’s practice areas. DR 2-105(A).

32.       In attorney’s debt collection practice, attorney improperly shared legal fees with non-lawyer debt collectors employed by attorney, contrary to Disciplinary Rule 3-102(A), by remitting bonus payments to individual collectors, which payments were based upon debt collections realized above the individual collector’s specified quota. Attorney no longer engages in debt collection.

33.       On law firm’s website, attorney improperly used the term “specialized” in describing attorney’s practice areas. DR 2-105(A).

34.       Attorney represented client in original construction loan, and as borrower in two subsequent refinances of mortgage. On all three transactions, attorney also represented the mortgage lender, and acted as title agent for the mortgagee’s title insurance, without adequate disclosure to or consent from the client, constituting conflicts of interest, contrary to Disciplinary Rules 5-105(A) & (C). Upon client’s subsequent sale of the house, two defects in title were discovered, requiring corrections which cost the client additional legal and filing fees.

35.       Dishonored Check Report on attorney’s trust account was the result of attorney’s inadvertent failure to deposit a check from a real estate closing into trust account, resulting in a negative balance. Attorney promptly remedied the situation once the Dishonored Check Report was issued.

36.       Attorney neglected to finalize an estate for more than two years, without sufficient cause for the delay, and failed to communicate with the heirs of the estate.

37.       While acting as law guardian in a Family Court matter, attorney used inappropriate and discourteous language when addressing the father of the child.

38.       In client’s immigration matter, attorney failed to timely file client’s appeal from an Order of Removal, and neglected to determine the status of the purported appeal for a period of several years.

39.       Attorney neglected to promptly advance and complete client’s uncontested divorce matter.

40.       In a Worker’s Compensation matter, attorney engaged in conflict of interest by representing employer’s carrier against an employee who had been a former client of attorney’s in prior Worker’s Compensation matters.

41.       Attorney accumulated several thousand dollars in fines assessed for numerous parking tickets. Attorney was also delinquent in payment of attorney registration fees for multiple biennial periods. Attorney also failed to cooperate with the inquiries of the Grievance Committee.

42.       School District attorney created the appearance of impropriety by also representing an employee of the District.

43.       In a Worker’s Compensation matter in which the claimant was acting pro se, attorney for carrier failed to notify the claimant of a subpoena served on claimant’s physician.

44.       Attorney conducting debt-collection practice failed to adequately supervise non-employee debt collectors, resulting in abusive and misleading communications by collectors, in violation of the FDCPA. Attorney also improperly shared legal fees with non-attorney collectors through attorney’s bonus system. Attorney has ceased practice in the debt-collection area.

45.       During a parole revocation hearing in which attorney acted as assigned counsel, attorney directed discourteous and vulgar language toward Parole Revocation Specialist.

46.       Attorney failed to promptly complete the filing of an Executor’s Deed, although attorney had received funds from the client for payment of the required filing fees. Attorney also failed to maintain adequate bookkeeping records concerning attorney’s trust account, and failed to properly identify attorney’s trust account on checks and deposit tickets.

47.       In the closing of a land contract, attorney engaged in improper conflict of interest by representing multiple parties to the contract. Parties insisted on immediate closing, before an updated abstract of title had been obtained. After the closing, liens on the property were discovered.

48.       In a collection matter, law firm froze a bank account with Veteran’s compensation benefits, which were exempt from seizure. Law firm had received a prior Letter of Caution regarding similar conduct.

49.       In a Family Court matter, attorney failed to promptly refund the unused portion of legal fee. Attorney also failed to provide client with 60-day itemized billing statements. Attorney had been cautioned on multiple previous occasions regarding compliance with Procedures for Attorneys in Domestic Relations Matters. 22 NYCRR §1400.3.

50.       Attorney failed to pay multiple parking tickets, and failed to promptly cooperate with the inquiries of the Grievance Committee concerning these failures.

51.       Dishonored Check Report issued on attorney’s trust account, resulting from the disbursement of the proceeds of a real estate transaction which occurred on the day prior to the deposit of the associated funds into the attorney’s trust account.

52.       Dishonored Check Report was issued on attorney’s trust account on which bank had placed a hold, resulting in checks from a real estate transaction being presented for payment without sufficient available funds.

53.       Attorney failed to promptly advance the completion of client’s Qualified Domestic Relations Orders, and failed to provide client with written retainer agreement or Statement of Client’s Rights and Responsibilities, as required by 22 NYCRR §1400.2 & §1400.3.

54.       Attorney engaged in improper conflicts of interest by representing both seller and buyer in series of real estate transactions, without disclosures and without obtaining consents regarding the dual representations.

55.       In connection with an Article 81 guardianship proceeding in which attorney did not represent any of the parties, attorney, without proper authority, obtained certain bank records regarding the subject of the proceeding, who was by then deceased.

56.       Attorney failed to promptly refund unearned portion of legal fee to bankruptcy client, and failed to keep required bookkeeping records concerning the payment of the fee, which attorney subsequently did refund. In two other bankruptcy cases, attorney failed to respond to certain motions filed by the Trustee, resulting in the granting of the motions to the detriment of attorney’s clients. Attorney eventually took remedial actions. Respondent also failed to adequately communicate with these clients.

57.       Attorney neglected to advance or complete divorce client’s Qualified Domestic Relations Order related to former husband’s pension for a lengthy period, and failed to adequately communicate with client. Attorney subsequently took actions to advance the matter.

58.       Attorney represented wife in divorce action, which attorney neglected to promptly advance for a significant period of time. Attorney had also represented both husband and wife in their purchase of the marital residence, the value of which and equity in was a primary issue in the divorce proceeding. Attorney failed to make any disclosures to husband concerning this conflict of interest.

59.       Attorney shared legal fees with non-lawyer debt collectors employed by attorney, contrary to Disciplinary Rule 3-102(A), by remitting bonus payments to individual collectors, which payments were based upon debt collections realized above the individual collector’s specified quota. Attorney also failed to execute written retainer agreements with seven debt collection clients, which were required because attorney was engaged on a contingent fee basis. Disciplinary Rule 2-106(D).

60.       Advertisement of attorney in newspaper improperly used the term “specializing” in describing attorney’s practice areas, contrary to Disciplinary Rule 2-105(A).

61.       In representing a claimant against an Estate on a contingent fee basis, attorney failed to provide client with a written retainer agreement, contrary to Disciplinary Rule 2-106(D).

62.       Attorney made certain misstatements to Court concerning the status of his attorney registration.

63.       Attorney represented wife in a divorce action, in which the parties owned several rental properties, one of which was required to be sold. Attorney improperly arranged for certain improvements to the property, and paid for them from attorney’s own funds, to be repaid to attorney upon closing. This involved the attorney in an improper conflict of interest.

64.       In a residential real estate transaction, attorney failed to promptly provide the closing documents to client, despite numerous requests of client during a lengthy period. Attorney eventually forwarded the requested documents only after the client complained to the Grievance Committee.

65.       Attorney engaged in inappropriate conduct during a trial, including making a misstatement of fact during attorney’s opening statement, and improper questioning during cross-examination of defendant.

66.       Criminal defense counsel, in a §440 motion to vacate client’s conviction, failed to disclose or file certain records obtained by subpoena, which were required to be disclosed to and filed with the Court.

67.       Although underlying complaint by attorney’s criminal defendant client could not be substantiated, attorney failed to promptly comply with inquiries of Grievance Committee.

68.       Attorney improperly placed in operating account certain funds which were subject to a question concerning their ownership resulting from a dispute concerning the amount of the attorney’s fee in a Worker’s Compensation matter.

69.       Attorney neglected to promptly advance client’s civil claims against two corporate defendants, and failed to adequately supervise non-lawyer paralegal concerning the matters.

70.       Upon abandoning attorney’s office space, attorney failed to adequately communicate with client in employment discrimination matter. Attorney also failed to promptly cooperate with inquiries of Grievance Committee.

71.       In a dispute involving the distribution of the proceeds of a wrongful death settlement among various family members who claimed they were entitled to certain portions, attorney represented two of the parties who had conflicting interests.

72.       Attorney failed to promptly advance or complete a Qualified Domestic Relations Order in a divorce action, and failed to return phone calls of both client and opposing counsel.

73.       Attorney represented client on three separate criminal matters, and failed to provide client with written retainer agreements or itemized billing, and then requested additional fees based upon the results achieved by attorney in the criminal matters. Contingent legal fees may not be charged for or collected for representing a defendant in a criminal case, Disciplinary Rule 2-106(C)(1). Attorney also placed yellow page advertisement indicating “free consultation,” however, attorney advised this client that attorney does not give free consultations.

74.       Attorney engaged in conflict of interest by representing the buyer in a real estate transaction, in which attorney also examined title for the mortgage lender and wrote the title insurance as agent for the lender. Upon client’s subsequent sale of the property, errors in the chain of title were discovered, resulting from attorney’s failure to carefully examine title, which also resulted in client having to pay additional costs.

75.       Attorney was assigned trial counsel for criminal defendant, but failed to advise client that filing the Notice of Appeal did not constitute attorney’s agreement to perfect the appeal. When District Attorney filed a motion to dismiss the appeal and notified attorney of the motion, attorney did not respond, because he was not assigned counsel on the appeal.

76.       Two Dishonored Check Reports issued on law firm’s attorney trust account. Law firm acted as lender’s attorney in a real estate transaction, in which attorney’s staff neglected to ascertain availability of the lender’s associated funds at the time of deposit, which were not yet in fact available. Sellers then negotiated the checks, which were then dishonored.

77.       In immigration matter, attorney prepared a motion for reconsideration for client, which attorney then submitted to the wrong address. When motion was resubmitted to the correct address, motion was denied as untimely, resulting in client’s arrest and deportation. Attorney also failed to cooperate with inquiries of the Grievance Committee.

78.       In a collection matter in Small Claims Court in which attorney represented the debtor, attorney engaged in improper ex parte communication with Court by sending a letter to the Judge concerning the debtor’s bankruptcy filing.

79.       In a divorce proceeding, attorney failed to respond to numerous attempts by opposing counsel to communicate concerning the matter.

80.       Municipal attorney engaged in improper conflict of interest by advising municipality concerning a right-of-way issue which also involved two individual landowners, and by then representing one of these landowners in a civil action commenced by the other concerning the same subject matter on which the attorney had advised the municipality.

81.       Attorney improperly attempted to obtain discovery in pending civil litigation by taping a telephone conversation with a customer service employee, who was unaware of the taping.

82.       Attorney failed to adequately communicate with parents of minor client to determine client’s availability for Court appearance.

83.       Non-lawyer debt collectors misrepresented to debtors that they were employed by attorney’s law firm, when in fact the collectors were employed by a non-lawyer debt collection agency.

84.       Client retained attorney for defense in criminal and civil tax matters, and then client discharged attorney a few weeks later, after which attorney failed to promptly refund the unearned portion of the retainer, and failed to respond to client’s requests for a refund. Attorney also failed to provide client with a written letter of engagement, which was required because the initial retainer exceeded $3,000.00, in accordance with 22 NYCRR §1215.

85.       Attorney was a member of a law firm which ceased to exist as a partnership, however, attorney continued to maintain a sign in front of law firm’s former office indicating that the partnership continued to exist, and attorney failed to promptly alter his website to indicate that he was no longer in partnership. Attorney eventually changed website after commencement of Grievance Committee’s investigation.

86.       In a civil matter, attorney failed to promptly deliver files to a client who had retained new counsel, and this failure continued for several additional months after client filed complaint with Grievance Committee. Attorney also failed to promptly cooperate with the inquiries of the Grievance Committee.

87.       In a real estate transaction, attorney failed to promptly pay the surveyor for a survey performed several months earlier. Attorney also failed to cooperate with the inquiries of the Grievance Committee concerning this complaint.

88.       Attorney was cautioned for placing advance earned legal fees in attorney’s trust account absent an agreement with clients classifying such fees as client funds.

89.       Attorney failed to submit a timely Answer in client’s foreclosure action, resulting in a default judgment.

90.       In employment discrimination matter in which attorney represented employee, attorney neglected to timely respond to defendant/employer’s discovery demands, resulting in a monetary sanction by the Court.

91.       Attorney failed to pay fine and surcharge resulting from plea to parking violation, resulting in a judgment entered against attorney, which attorney did not satisfy until after Grievance Committee’s investigation commenced.

92.       Attorney associated self with a website which characterized attorney as “specializing” in certain area of law, which website also improperly indicated that attorney would fully refund fees to those criminal clients who were not successful in their cases. Attorney also improperly received legal fees from website operator and not from actual clients, and shared legal fees with a non-lawyer. Disciplinary Rules 2-105(A), 2-106(C)(1), 5-107(A), 3-102. Attorney discontinued association with website upon commencement of Grievance Committee’s investigation. Attorney also published a website advertisement which failed to include attorney’s name and office address of attorney’s law firm, and which was not labeled “Attorney Advertising.”

93.       Criminal defense attorney engaged in improper conflict of interest by simultaneously representing co-defendants in a criminal matter.

94.       Attorney represented client in sale of residence and purchase of another property, and neglected to provide client with closing documents and net proceeds for a lengthy period of time following the closings, and failed to respond to client’s attempts to communicate. Attorney sent client the proceeds only after client complained to Grievance Committee.

95.       Attorney convicted of misdemeanor DWI by plea.

96.       During a telephone call with real estate client, attorney used intemperate and discourteous language, and then hung up on the client.

97.       Attorney who was engaged in debt collection work for a non-law firm collection entity allowed employees of entity to misrepresent that they were employees of attorney’s firm when making calls to debtors. Attorney subsequently left debt collection practice.

98.       In Workers’ Compensation Board proceeding, employee’s attorney revealed to counsel for the Board confidential legal advice which attorney had given to client.

99.       Two attorneys cautioned for improperly withdrawing from representation of divorce clients without making formal motions to withdraw or obtaining substitutions of counsel, in cases when clients could not afford to pay attorneys’ additional legal fees, thereby leaving the clients without counsel during the subsequent Court proceedings. Also, one of these attorneys attempted to charge an improper excessive fee in a bankruptcy case, by charging a set fee every month during a period of inactivity in which the attorney was not providing any legal services.

100.     In a Family Court custody matter, father’s attorney failed to promptly communicate with opposing counsel concerning computations required to comply with the terms of a settlement, thereby neglecting the matter for a lengthy period of time.

101.     Attorney engaged in an improper conflict of interest resulting from prior representation of mother in custody/visitation matters, and then subsequently representing the mother’s boyfriend in related criminal matters.

102.     Dishonored Check Notice issued on attorney’s trust account, resulting from attorney’s issuance of a check for which the deposit of the associated client funds had not yet been posted to the trust account. Attorney also improperly deposited into attorney trust account earned legal fees received from a client.

103.     Successor counsel in a divorce action failed to take actions to advance or complete former wife’s Qualified Domestic Relations Order, did not have any knowledge of or experience in the preparation of a QDRO, and failed to associate self with another attorney who was familiar with the preparation of a QDRO.

104.     Attorney failed to attend to the details of attorney’s practice, which resulted in attorney providing one client on more than one occasion with documents relating to other unrelated clients’ matters. Attorney also failed to respond to client’s repeated requests for statements of legal fees and professional services rendered, and attorney failed to adequately communicate with client concerning the legal matter.

105.     In an Article 81 guardianship proceeding, attorney charged legal fee in excess of $3,000.00, but failed to provide a written retainer agreement or written letter of engagement to client, as required by 22 NYCRR §1215. Attorney also failed to provide regular billing statements to client, despite client’s numerous requests.

106.     Dishonored Check Report issued on attorney’s trust account, resulting from a check which was dishonored because associated deposit of client funds into trust account was not posted at the time attorney issued check from trust account. Attorney also conducted on-line transfers from trust account to operating account, which is prohibited by Disciplinary Rule 9-102(E), which requires that all withdrawals from attorney trust account be made in the form of checks payable to a named payee. Attorney also made two wire transfers (which are not the same as on-line banking transfers), without prior written authorization, and failed to properly identify checks and deposit tickets for trust account as required by Disciplinary Rule 9-102(B)(2).

107.     A law firm which is engaged in debt collection practice improperly continued to contact a person who was not the actual debtor, and failed to acknowledge person’s attempts to communicate with law firm to advise that law firm was attempting to collect debt from incorrect person.

108.     Attorney engaged in debt collection practice failed to properly supervise non-lawyer debt collectors in their attempts to collect debts from several debtors.

109.     Law firm for a municipality engaged in an improper conflict of interest by also simultaneously representing an employee of the municipality in a dispute against the municipality.

110.     Attorney was convicted of misdemeanor DWI.

111.     Attorney acted as law guardian in a Family Court custody matter, during which attorney made intemperate and discourteous remarks to one of the parties, and to the counsel for one of the parents.

112.     Attorney neglected to promptly advance or complete client’s civil action for a lengthy period of time, and failed to adequately communicate with client.

113.     While representing husband in divorce action, attorney improperly verbally modified the terms of the written retainer agreement, rather than providing client with written amendment as required by Rule 22 NYCRR §1400.3(7). Attorney also failed to provide timely 60-day itemized invoices to client on two occasions, and attorney’s written retainer agreement included minor improprieties.

114.     Attorney’s “flat fee” for client’s “uncontested” divorce was not consistent with the actual terms of attorney’s written retainer agreement. Attorney also failed to provide client with periodic itemized billings every 60 days, which itemized billings are required even if flat fee is charged.

115.     Attorney neglected client’s Chapter 7 bankruptcy matter by failing to communicate with client concerning status of case during a several-month period. Attorney also failed to timely comply with attorney registration requirements.

116.     Attorney convicted of misdemeanor DWI.

117.     Attorney neglected to advance client’s child support matter.

118.     In a claim against a municipality, attorney failed to commence action on behalf of client within applicable statute of limitations, and also failed to file a motion to submit a late Notice of Claim.

119.     Attorney neglected to advance client’s corporate filing matter for a several-month period, and failed to return client’s numerous telephone calls.

120.     Dishonored Check Reports issued on two checks from attorney’s trust account, which were issued prior to associated deposit of client funds being posted to trust account in connection with a real estate closing.

121.     Assistant Public Defender made inappropriate and discourteous remarks in a letter to appellate client

122.     Attorney neglected to promptly advance client’s collection matter, and misrepresented the status of the matter to the client. Attorney also engaged in improper conflict of interest in a separate civil matter, by simultaneously representing parties with adverse interests.

123.     Attorney’s IOLA account check was dishonored resulting from attorney’s inadvertent mathematical errors and inadvertent failure to deposit associated client funds before issuing check.

124.     Attorney neglected client’s Family Court matter for six months, and accepted client’s retainer fee without providing client with the required written retainer agreement.

125.     Attorney represented seller in sale of real property, and delayed in responding to client’s letters requesting the release of the funds due to the purchaser. Attorney failed to adequately supervise a non-lawyer employee who was placing client’s unopened letters in legal file without notifying attorney.

126.     Attorney neglected to complete client’s Qualified Domestic Relations Order for a lengthy period of time, and attorney lost client’s file for several years. Attorney also did not provide client with a written retainer agreement for the QDRO matter, as required by the Appellate Divisions’ Rules at 22 NYCRR §§1400.1 & 1400.3.

127.     During a period of several years, attorney failed to advance client’s civil action against a building contractor, and failed to respond to client’s numerous attempts to communicate. Attorney also failed to promptly turn over file to successor counsel.

128.     Attorney failed to promptly advance or complete the administration of an Estate, which had been pending for several years prior to attorney taking over the file.

129.     In litigation related to construction of client’s residence, attorney failed to provide client with written letter of engagement until more than 10 months after representation commenced, contrary to the requirement of 22 NYCRR §1215.

130.     In two separate divorce matters, attorney failed to promptly advance or complete the matters, and failed to adequately communicate with clients. Attorney also failed to provide clients with written retainer agreements, Statements of Client’s Rights and Responsibilities, or itemized invoices every 60 days.

131.     Following a real estate closing in which attorney represented the sellers, attorney failed to promptly forward the closing documents to the clients during a several-month period in which attorney was requested to do so on numerous occasions by the clients.

132.     Attorney improperly represented both the seller and buyer in a real estate transaction, which conflict of interest was not waivable, as there were title and lien issues prior to closing, which required funds to be held in escrow after the closing. In another real estate matter, attorney failed to provide deed and title search to clients for more than one year following the closing.

133.     Attorney for potential medical malpractice client failed to inform potential client that attorney had decided not to proceed with case, resulting in the expiration of the statute of limitations. Attorney also failed to respond to client’s telephone calls and letters.

134.     Attorney was counsel for a corporation which conducted in-house collection matters. Attorney improperly allowed corporation’s debt collectors to represent themselves as being employees of attorney’s law firm, when in fact they were not, and engaged in improper debt collection practices.

135.     Dishonored Check Report issued on attorney’s trust account, resulting from attorney’s failure to deposit associated client funds prior to issuing trust account check. Attorney’s trust account checks and deposit tickets were also not properly identified, as required by Disciplinary Rule 9-102(B)(2).

136.     In certain post-divorce matters, attorney improperly increased hourly billing rate without incorporating the increase in a written amendment to the retainer agreement, which agreement also included several improper clauses.

137.     Attorney failed to promptly advance client’s domestic relations matter, and failed to adequately communicate with client. Attorney also failed to provide client with a written retainer agreement and Statement of Client’s Rights and Responsibilities, and failed to provide client with itemized invoices every 60 days.

138.     In a wrongful death action, attorney failed to communicate with client for a lengthy period of time concerning the status of the case, despite numerous attempts to communicate with attorney, and despite the fact that case was dismissed during this lengthy period, which dismissal was not communicated to client.

139.     Attorney engaged in improper conflict of interest in a Family Court matter, which was related to a prior matter in which attorney had represented a different party with adverse interests to the client in the pending matter.

140.     Client failed to promptly advance the filing of a wage garnishment on behalf of client as part of the enforcement of client’s Judgment of Divorce. Attorney then filed the wage garnishment with the incorrect Clerk’s office, after which attorney then neglected to promptly attend to re-filing the garnishment with the correct Clerk’s Office. Attorney also failed to promptly respond to the inquiries of the Grievance Committee concerning this complaint.

141.     Dishonored Check Report issued on attorney’s trust account, resulting from attorney’s calculation errors and failures to regularly reconcile trust account transactions, causing an overpayment of client funds.

142.     Attorney neglected to advance client’s legal matter, and failed to promptly respond to inquiries of Grievance Committee concerning this complaint.

143.     In real estate transaction, attorney simultaneously represented differing interests.

144.     Attorney represented defendant in criminal trial. While cross-examining a witness during the trial, attorney inappropriately lost composure, and inappropriately directed an obscenity toward the witness.

 145.     Attorney initiated improper ex parte communication with a judge.

 146.     Attorney entered into two business transactions with a client, in which the client did not have independent counsel. In a domestic relations matter in which the attorney also represented this client, attorney failed to provide a written retainer agreement to client, as required by 22 NYCRR §§1400.1 & 1400.3.

LETTERS OF ADMONITION - A Letter of Admonition is a form of non-public discipline issued by the Committee which declares the conduct of the lawyer improper, but does not limit the lawyer’s right to practice. Admonition is the least serious of the formal disciplinary sanctions, and is the only private sanction.

1.         Attorney seriously neglected clients’ legal matters, resulting in the imposition of sanctions by multiple judges.

2.         Attorney seriously neglected client’s legal matter, and failed to promptly cooperate with the inquiries of the Grievance Committee.

3.         Attorney misused attorney trust account and failed to safeguard the confidentiality of clients’ files.

4.         Attorney engaged in serious neglect of clients’ legal matters.

5.         Attorney neglected to advance or complete two separate divorce matters, and failed to communicate with clients. Attorney also failed to provide client with itemized billing statements at least every 60 days. Attorney had received multiple prior Letters of Caution for similar conduct.

6.         Attorney seriously neglected clients’ legal matters and failed to carry out contracts of employment with clients. In one domestic relations matter, attorney also collected legal fee without providing client with a written retainer agreement.

7.         Attorney seriously neglected clients’ legal matters, and failed to cooperate with the inquiries of the Grievance Committee concerning the clients’ complaints.

8.         Attorney neglected clients’ legal matters, withdrew from representation without proper approval and without taking steps to avoid prejudice to clients, and failed to properly maintain client funds during dissolution of a law partnership.

9.         Suspended attorney attempted to circumvent terms of suspension Order by applying for a position with a law firm, and misrepresenting material facts concerning attorney’s credentials and status as a suspended attorney, both in attorney’s resume and during an interview with a recruiter.

10.       Attorney engaged in improper conflicts of interest in connection with multiple loans made by attorney’s spouse to attorney’s clients.

11.       In an income execution filed by attorney with the employer of an adverse party in a support proceeding, attorney made a misrepresentation. Furthermore, attorney’s initial response to the Grievance Committee concerning this complaint lacked candor.

12.       Attorneys who engaged in debt collection practice lacked meaningful supervision of non-lawyer employees, shared legal fees with non-lawyers, and failed to avoid the appearance of impropriety related to debt collection practice.

13.       Attorney engaged in various improprieties concerning the maintenance of attorney trust account, and neglected three client matters.

14.       Attorney engaged in various improprieties concerning the maintenance of attorney trust account, and overcharged two clients by failing to properly calculate contingent legal fees.

15.       Attorney engaged in multiple conflicts of interest, without any disclosure or consent, arising from attorney’s dual representation of the buyer and seller in a series of real estate transactions during a several-year period.

16.       Attorney engaged in various improprieties concerning the maintenance of attorney trust account, and neglected three client matters.

17.       In a real estate transaction, attorney simultaneously represented differing interests, and failed to properly disburse and account for closing funds. Attorney also failed to keep adequate bookkeeping records for attorney trust account.

18.       Attorney’s former client had obtained a judgment against attorney, resulting from attorney’s failure to refund the unearned portion of attorney’s fee. Attorney failed to satisfy the judgment. Attorney’s conduct was aggravated by the fact that attorney had been previously issued a Letter of Caution for failure to comply with the Appellate Divisions’ Procedures for Attorneys in Domestic Relations Matters regarding the same client.

19.       In two real estate transactions, attorney failed to make proper disbursements from the proceeds, failed to maintain adequate bookkeeping records, and engaged in other attorney trust account improprieties. Attorney also neglected to advance two other client matters, resulting in detriment to the clients.

20.       Attorney admonished for ongoing and repeated course of misconduct regarding failure to provide itemized billing statements to clients in domestic relations matters every 60 days, as required by the Appellate Divisions’ Procedures for Attorneys in Domestic Relations Matters, at 22 NYCRR §1400.3(9).

21.       While testifying as a witness in a criminal matter, attorney gave misleading testimony.

22.       Attorney admonished for conduct in knowingly bringing a concealed prescription drug into a jail for delivery to an inmate.

23.       Attorney represented a client in multiple business transactions which involved an entity in which attorney had a financial interest, without fully disclosing the attorney’s conflicting interests or obtaining client’s written consent.

24.       In an estate proceeding, attorney neglected to promptly advance the matter, and failed to communicate with client. Attorney also failed to cooperate with the inquiries of the Grievance Committee concerning this complaint.

25.       In a domestic relations matter, attorney neglected to advance the matter, failed to communicate with client, failed to provide 60-day itemized billing statements, and failed to refund unearned legal fees over a five-year period. Attorney also failed to promptly comply with attorney registration requirements for multiple biennial periods.

26.       Attorney commenced a personal injury action on behalf of client, and then failed to file a Note of Issue, resulting in the dismissal of the action. Attorney also failed to inform the client that the action had been dismissed, misrepresented the status of the case to the client, and failed to inform client of the potential malpractice.

27.       Attorney failed to provide clients with required written retainer agreements, engaged in various improprieties concerning the maintenance of attorney trust account, and failed to comply with attorney registration requirements. Attorney also failed to provide prompt responses to inquiries by the Grievance Committee to these several complaint matters.

28.       Partners of law firm failed to respond to inquiries of clients after the attorney who had represented them left the firm. Law firm also failed to comply with Disciplinary Rule 9-102(B)(2) requiring the proper identification of attorney trust account on checks and deposit tickets. Partners of law firm also failed to promptly respond to inquiries of the Grievance Committee concerning these complaint matters.

 

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