Justia Legal Ethics Opinion Summaries

Henry Lamar Willis was admitted to the Bar in 2006 and established a law firm. In 2012, he failed to respond to a Formal Complaint by the State Bar regarding his improper handling and conversion of $30,000 in settlement funds. The special master entered a default judgment, and the Supreme Court of Georgia disbarred Willis in 2013 for violations of several Georgia Rules of Professional Conduct, including acting with reasonable diligence, keeping client funds separate, and not engaging in dishonest conduct.Willis sought readmission to the Bar, claiming a twelve-year rehabilitation process. The Board to Determine Fitness of Bar Applicants reviewed his application and recommended granting it. Willis provided a statement of rehabilitation, explaining personal and professional hardships, including a divorce and loss of a city council re-election bid. He detailed his efforts to rebuild his life, including paying all due funds, engaging in various personal development activities, and receiving support from several attorneys and a city council member.The Fitness Board conducted an investigation, including notifying the State Bar, the public, and the judiciary. The State Bar noted a pending grievance at the time of Willis's disbarment, which was declared moot. Willis paid $4,800 owed to the Clients' Security Fund. At an informal conference, Willis took responsibility for his past conduct and demonstrated his rehabilitation.The Supreme Court of Georgia reviewed the record and concluded that Willis had demonstrated rehabilitation by clear and convincing evidence. The Court granted Willis's Application for Certification of Fitness, allowing him to be readmitted to the Bar upon satisfying all requirements, including passing the Georgia Bar Examination. View "In re Willis" on Justia Law

Misael Padron, a Cuban citizen granted asylum in the United States, appealed the denial of his motion to vacate his conviction for carjacking, which he had entered pursuant to a no-contest plea. Padron argued that he did not understand the immigration consequences of his plea, which included mandatory detention, denial of naturalization, and near-certain termination of asylum and deportation. He provided evidence of his mental health challenges related to persecution in Cuba and claimed his defense counsel did not adequately inform him of the immigration consequences.The Superior Court of Los Angeles County denied Padron’s motion, partly because he did not provide a declaration from his defense counsel and had signed a plea form acknowledging potential deportation. The court also noted that there was no alternative, immigration-neutral plea available to Padron.The California Court of Appeal, Second Appellate District, Division Seven, reviewed the case. The court concluded that Padron demonstrated error affecting his ability to understand the immigration consequences of his plea. The court found that Padron’s defense counsel did not adequately advise him of the mandatory immigration consequences, and Padron’s mental health challenges further impaired his understanding. The court also determined that Padron established a reasonable probability he would have rejected the plea had he understood the consequences, given his strong ties to the United States and the severe impact on his asylum status.The Court of Appeal reversed the denial of Padron’s motion and remanded the case with instructions to vacate Padron’s conviction and permit him to withdraw his plea and enter a different plea. View "People v. Padron" on Justia Law

Plaintiff Christian L. Johnson sued his employer, the California Department of Transportation (Caltrans), alleging discrimination, harassment, and retaliation. During the litigation, Caltrans attorney Paul Brown sent an email to Johnson’s supervisor, Nicolas Duncan, which Duncan then shared with Johnson. Johnson forwarded the email to his attorney, John Shepardson, who further disseminated it to several experts and individuals. Caltrans sought a protective order, claiming the email was covered by attorney-client privilege. The trial court granted the order and later disqualified Shepardson and three experts for non-compliance with the order.The Superior Court of San Joaquin County issued the protective order, finding the email privileged. Johnson and Shepardson were ordered to destroy all copies and cease further dissemination. Caltrans later filed a motion to enforce the order and subsequently a motion to disqualify Shepardson and the experts, arguing continued non-compliance and misuse of the privileged email. The trial court granted the disqualification, citing Shepardson’s breach of ethical duties and the potential prejudice to Caltrans.The California Court of Appeal, Third Appellate District, reviewed the case. The court affirmed the trial court’s decision, holding that the Brown email was protected by attorney-client privilege. The court found no merit in Johnson’s arguments that the privilege was waived or that the crime-fraud exception applied. The court also upheld the disqualification of Shepardson and the experts, concluding that Shepardson’s actions violated ethical obligations and posed a risk of unfair advantage and harm to the integrity of the judicial process. The court emphasized the importance of maintaining public trust in the administration of justice. View "Johnson v. Dept. of Transportation" on Justia Law

James Ervin pleaded guilty to possessing a semi-automatic rifle as a convicted felon, violating 18 U.S.C. § 922(g)(1). He later sought to withdraw his guilty plea through a 28 U.S.C. § 2255 motion, claiming ineffective assistance of counsel and that the government provided false inculpatory information about the rifle. Ervin's arguments centered on the interpretation of the phrase “in or affecting commerce” in § 922(g).The United States District Court for the Western District of North Carolina denied Ervin's motion to vacate his plea. The court found that the rifle had traveled in interstate commerce, thus meeting the statutory requirement. Ervin's ineffective assistance claim failed because he could not establish prejudice, as the firearm's interstate travel was sufficient to satisfy the commerce element of § 922(g). The court also denied his motion for reconsideration and his request for a certificate of appealability.The United States Court of Appeals for the Fourth Circuit reviewed the case. The court held that the phrase “in or affecting commerce” in § 922(g) should be interpreted broadly, consistent with the Supreme Court's decision in Scarborough v. United States. The court found that the rifle, which traveled from North Carolina to Louisiana, Georgia, and back to North Carolina, met the interstate commerce requirement. Consequently, Ervin's claims of ineffective assistance of counsel and due process violations were rejected. The court affirmed the district court's denial of Ervin's motion to withdraw his guilty plea, concluding that his interpretation of the statute was incorrect and that his defense would have been meritless. View "United States v. Ervin" on Justia Law

Plaintiffs filed a complaint in Arizona district court challenging the state's voting system, claiming it did not adequately protect voters' rights and should be replaced with a hand-counted paper ballot system. The district court dismissed the complaint for lack of standing, and the Ninth Circuit affirmed the dismissal. Subsequently, the district court imposed sanctions on the plaintiffs' attorneys, including Alan Dershowitz, for filing a frivolous complaint.The United States District Court for the District of Arizona dismissed the plaintiffs' complaint and granted the defendants' motion for sanctions under Federal Rule of Civil Procedure 11. The district court found that the complaint contained false and misleading statements and ordered the plaintiffs' attorneys to pay a portion of the defendants' legal fees. Dershowitz, who signed the complaint as "of counsel," was held jointly and severally liable for a portion of the sanctions.The United States Court of Appeals for the Ninth Circuit reviewed the case and affirmed the district court's holding that "of counsel" attorneys can be sanctioned under Rule 11 for signing frivolous complaints. The Ninth Circuit rejected Dershowitz's argument that the sanctions violated the First Amendment and found that the district court imposed sanctions to deter frivolous actions, not to silence speech. However, the Ninth Circuit reversed the imposition of sanctions on Dershowitz, as the liability of "of counsel" attorneys under Rule 11 had not been clearly articulated in previous case law. The court declined to apply the rule retroactively but stated that it would apply to any signed pleadings after the publication of this opinion. View "Lake v. Gates" on Justia Law

Plaintiffs filed a complaint in Arizona district court challenging the state's electronic voting system, arguing it should be replaced with a system using exclusively hand-counted paper ballots. They also sought a preliminary injunction to prohibit the use of computerized equipment in elections. The district court dismissed the complaint for lack of Article III standing, and the dismissal was affirmed by the Ninth Circuit in Lake v. Fontes. Subsequently, the district court granted the defendants' motion for sanctions against the plaintiffs' lead attorneys, Andrew J. Parker and Kurt Olsen, and their law firms, holding them liable for $122,200.00 in fees.The district court found that the lead attorneys made false, misleading, and unsupported factual assertions in their first amended complaint and motion for preliminary injunction, and did not conduct a reasonable pre-filing inquiry. Key false allegations included claims that Arizona does not use paper ballots and that its voting machines are not tested. The district court concluded that these misleading statements rendered the complaint factually insufficient and open to sanction. Additionally, the court found that the attorneys acted recklessly and in bad faith, particularly in the timing and nature of their motion for a preliminary injunction.The United States Court of Appeals for the Ninth Circuit reviewed the case and affirmed the district court's imposition of sanctions under Federal Rule of Civil Procedure 11(c) and 28 U.S.C. § 1927. The Ninth Circuit held that the district court did not abuse its discretion in awarding attorneys' fees, as the lead attorneys' actions were both baseless and made without a reasonable and competent inquiry. The court also upheld the finding of bad faith, noting that the attorneys' behavior and timing in bringing the motion for a preliminary injunction were reckless. View "Lake v. Gates" on Justia Law

In 1979, Karu Gene White, along with two accomplices, committed a brutal home invasion and murder of three elderly individuals in Kentucky. White, who had known the victims, planned the crime to steal money they had saved. The victims were beaten to death with a crowbar and other weapons. White was subsequently arrested and charged with burglary, robbery, and capital murder.At trial, White's defense initially focused on an alibi, but this strategy collapsed when one of his accomplices agreed to testify against him in exchange for immunity. White's counsel then pursued an insanity defense, presenting evidence of White's abusive and traumatic childhood. Despite this, the jury found White guilty on all counts and recommended the death penalty, which the trial judge imposed.White appealed his conviction and sentence, but the Kentucky Supreme Court affirmed the decision, and the U.S. Supreme Court denied certiorari. White then sought post-conviction relief, arguing ineffective assistance of counsel for failing to investigate and present mitigating evidence. The Kentucky Supreme Court ultimately rejected this claim, finding that counsel's performance was reasonable and that additional mitigating evidence would not have changed the jury's decision.White filed for federal habeas relief, which was denied by the U.S. District Court for the Eastern District of Kentucky. The court found that counsel's investigation and presentation of mitigating evidence were reasonable and that the Kentucky Supreme Court's application of Strickland v. Washington was not unreasonable. The Sixth Circuit Court of Appeals affirmed this decision, holding that White's counsel's performance was within the wide range of reasonable professional assistance and that there was no substantial likelihood that additional mitigating evidence would have changed the jury's recommendation for the death penalty. View "White v. Plappert" on Justia Law

Peyman Roshan, a lawyer and real estate broker, had his law license suspended by the California Supreme Court in 2021 for misconduct. Following this, the California Department of Real Estate (DRE) initiated a reciprocal disciplinary proceeding against his real estate license. Roshan filed a federal lawsuit against the DRE, alleging constitutional violations and seeking to enjoin the DRE's disciplinary action.The United States District Court for the Northern District of California dismissed Roshan's lawsuit, citing the Younger abstention doctrine, which prevents federal courts from interfering with certain ongoing state proceedings. The district court held that the DRE's disciplinary proceeding was quasi-criminal in nature and that Roshan could raise his federal claims during the judicial review of the DRE action.The United States Court of Appeals for the Ninth Circuit reviewed the case and affirmed the district court's dismissal. The Ninth Circuit held that the district court correctly applied the Younger abstention doctrine. The court noted that the state proceedings were ongoing, involved important state interests, and allowed Roshan to raise his federal claims. The court also determined that the DRE proceeding was quasi-criminal because it was initiated by a state agency following an investigation, involved formal charges, and aimed to determine whether Roshan should be sanctioned by suspending or revoking his real estate license.The Ninth Circuit concluded that all the requirements for Younger abstention were met and that Roshan had not demonstrated any bad faith, harassment, or extraordinary circumstances that would make abstention inappropriate. Therefore, the district court's decision to abstain from hearing the case was proper, and the dismissal of Roshan's lawsuit was affirmed. View "ROSHAN V. MCCAULEY" on Justia Law

The case involves defendant Prospero Guadalupe Serna, who was found guilty by a jury of two misdemeanors: knowingly resisting arrest and willfully resisting, delaying, or obstructing a peace officer. The incident occurred when a California Highway Patrol officer encountered Serna walking within traffic lanes. Despite the officer's attempts to guide Serna to safety, Serna resisted multiple times, leading to his eventual detention with the help of additional officers. Serna's defense argued that his mental health issues should have been considered to negate the knowledge requirement for the offenses.The Superior Court of San Bernardino County reviewed the case, where Serna claimed ineffective assistance of counsel. He argued that his attorney failed to introduce his mental health records and did not request a jury instruction regarding mental defects affecting intent. The appellate division held that since the crimes were of general intent, evidence of mental disease was not admissible to show lack of specific intent. The court also noted a split in authority regarding whether the offense required actual knowledge that the person resisted was a peace officer.The California Court of Appeal, Fourth Appellate District, reviewed the case to resolve whether Penal Code section 148(a)(1) requires actual knowledge that the person being resisted is a peace officer. The court found the analysis in People v. Mackreth persuasive, which held that section 148(a)(1) does not require actual knowledge. Instead, it is sufficient for the jury to find that the defendant knew or reasonably should have known the person was a police officer. Consequently, the court affirmed the judgment, concluding that the statute does not necessitate the defendant's actual knowledge of the officer's status. View "People v. Serna" on Justia Law

Christine Sugar filed for Chapter 13 bankruptcy in the Eastern District of North Carolina in September 2019. Her confirmed bankruptcy plan required her to make monthly payments and prohibited the sale of non-exempt property valued over $10,000 without court approval. Despite this, Sugar sold her residence without obtaining prior court authorization, believing it was fully exempt based on her attorney's advice. The sale resulted in proceeds of approximately $94,000.The bankruptcy court found that Sugar's sale of her residence violated the confirmed plan and the local bankruptcy rule. The court dismissed her Chapter 13 case and barred her from filing another bankruptcy application for five years. Additionally, the court imposed monetary sanctions on her attorney, Travis P. Sasser, for advising her incorrectly and for his conduct during the proceedings.The United States District Court for the Eastern District of North Carolina affirmed the bankruptcy court's findings and sanctions. Sugar and Sasser appealed the decision, arguing that the local rule was invalid, the property was exempt, and that paying off the plan balance entitled Sugar to immediate discharge.The United States Court of Appeals for the Fourth Circuit reviewed the case. The court affirmed the bankruptcy court's determination that Sugar violated the local rule by selling her residence without prior court approval. However, it vacated the judgment dismissing Sugar's Chapter 13 case and the five-year filing bar, remanding the case for the bankruptcy court to consider the effect of Sugar's reliance on her attorney's advice. The court affirmed the monetary sanctions against Sasser, finding that his advice and conduct warranted the penalties imposed. View "Sugar v. Burnett" on Justia Law