In the Disciplinary Matter Involving Ivy
In the Disciplinary Matter Involving Ivy
Opinion of the Court
OPINION
I. INTRODUCTION
After remand the Alaska Bar Association Disciplinary Board again recommends disbarring an attorney who testified falsely in private civil litigation and in these disciplinary proceedings. Previously we directed the Board to reconsider sanctions in light of our holding that the attorney violated Alaska Rule of Professional Conduct 8.4 and Alaska Bar Rule 15, but not Rules of Professional Conduct 3:3 and 3.4, because the misconduct did not arise in a representative capacity After independently reviewing the record, we now conclude that the severity of this misconduct warrants disbarment.
II. FACTS AND PROCEEDINGS
We set out the facts and proceedings relevant to this bar matter in In re Ivy.
Deborah Ivy and her brother, David Kyzer, were involved for several years in now-settled litigation over the dissolution and unwinding of business organizations and joint property holdings of Ivy, Kyzer, their two sisters, and others. During that litigation, relations between Kyzer and Ivy grew so acrimonious that a no-contact order was issued in December 2007. This order prohibit, ed in-person or telephone contact between Ivy and Kyzer without an attorney present and prohibited each party from coming within 500 feet of the other's residence. Ivy subsequently testified that Kyzer made improper contact with her on three occasions after this order issued. In response Kyzer filed an ethics grievance with the Alaska Bar Association, claiming that Ivy fabricated these incidents, in violation of the Alaska Rules of Professional Conduct.
Two of the alleged incidents bear on the sanctions inquiry. First, on January 7, 2008, Ivy provided a 80-minute statement to a police officer, claiming that Kyzer had stalked her at a women's clothing store about ten days earlier. Based on Ivy's statement and because Ivy claimed to be in hiding and did not want to come to the courthouse, the officer offered to request a telephonic hearing for a domestic violence restraining order. The day Ivy made the police report was the same day she was scheduled to give a deposition in the litigation with Kyzer, A few days before, on January 8, the superior court had denied Ivy's motion to stay the deposition, and on January 4 we denied Ivy's emergency motion to stay the superior court order denying her request. Ivy did not appear at the January 7 deposition despite having been ordered to do so. In response to a follow-up order to appear for the deposition, Ivy's attorney reported the alleged stalking incident to the superior court. Ivy ultimately was deposed on March 18. At that deposition, Ivy testified about the alleged stalking incident. She described in great detail her movements among the various racks of clothing and the dressing rooms, Kyzer's allegedly menacing use of his vehicle, and her response. The second incident occurred in July 2010 when Ivy claimed that Kyzer assaulted her in a courtroom and that his actions constituted criminal sexual assault. 'To support this claim, Ivy filed a Notice of Sexual Assault with the court accompanied by an affidavit describing the alleged incident. -
In December 2010 Kyzer filed an ethics grievance with the Alaska Bar Association, alleging that Ivy violated several Alaska Rules of Professional Conduct by falsely testifying that Kyzer stalked her and assaulted her in the courtroom. After an investigation by a special bar counsel and a hearing, the Area Hearing Committee found that Ivy knowingly provided false testimony at the deposition, in her affidavit, and during_the disciplinary proceedings.
Specifically the Committee found that Ivy’s testimony about the stalking incident was "not credible," that her description of how Kyzer moved his vehicle in the clothing store parking lot was "not physically possible," and that when confronted 'with this physical impossibility during cross-examination, Ivy "fabricated a new story," continued to testify falsely, and did not acknowledge that her account was flawed. The Committee also found that courtroom video accurately depicted the alleged assault and largely contradicted Ivy's claims. It further found it "not reasonably possible for someone to have experienced the inadvertent and minor bump of a brother attempting to be excused ... and then to honestly or mistakenly behave that they had been sexually assaulted." The Committee also noted that Ivy testified that she had not been mistaken and that she had not imagined or hallucinated the alleged courtroom assault.
Based on clear and convincing evidence, the Committee concluded that Ivy violated Rules of Professional Conduct 8.8(a)(1) and (8); 8.4(b); 8.4(a), (b), and (c); and Bar Rule 15(a)(8). Applying this court's three-step attorney sanctions inquiry,
In that initial appeal we agreed with the Board's findings about both the alleged stalking incident and the alleged courtroom assault.
Upon reconsideration, the Board again recommends disbarment and the same fee and cost award. Ivy again appeals,
III, STANDARD OF REVIEW
We independently review the entire record in attorney disciplinary proceedings, but we give "great weight" to findings of fact made by the Board.
IV. DISCUSSION
A, Ivy's Misconduct Warrants Disbarment,
'When sanctioning an attorney for misconduct, we seek to "ensure a level of consistency necessary for fairness to the pub-lie and the legal system."
The American Bar Association Standards for Imposing Lawyer Sanctions (ABA Standards) and our prior eases guide us.
Ivy contends that her misconduct ' warrants a two-year suspension rather than the Board's recommended sanction of disbarment, Applying our independent Judgment we agree with the Board. ~
1. Step one: ethical violation(s), mental state, and injury
a. Ethical violation(s)
- Previously we concluded that Ivy violated Bar Rule 15 and Rule of Professional Conduct 84.
We conclude, as the Board did, that Ivy violated Rule 8.4(b)-as well as (a) and (c)because her false testimony constitutes a criminal act that reflects poorly on her integrity as an attorney. Under Rule 8:4(b) it is professional misconduct for an attorney to "commit a eriminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects."
Neither the text of Rule 8.4(b) nor the commentary to it requires an underlying eriminal conviction. Rather, as In re Friedman demonstrates,
Under AS 11.56.200 a person commits criminal perjury, a class B felony,
We already concluded that Ivy acted knowingly when she testified falsely, that Ivy's testimony was objectively false, that circumstantial evidence supported the finding that Ivy knew her testimony was untrue, and that Ivy "did not eredibly explain that she mistakenly believed it was true."
We further conclude that Ivy violated Rules of Professional Conduct 8.4(a) and (c) and Bar Rule 15(a2)@8). Our previous decision supports these conclusions: Ivy breached the Rules of Professional Conduct, which constitutes a violation of Rule of Professional Conduct 8.4(a); she engaged in dishonest conduct, which violates Rule of Professional Conduct 8.4(c); and she knowingly misrepresented facts and cireumstances in this grievance proceeding, which violates Bar Rule 15(a)(8).
b. Mental state
The record supports the finding that Ivy acted intentionally when she testified falsely in the litigation with Kyzer and in these disciplinary proceedings. Neither the Rules of Professional Conduct nor the Bar Rules define "intentional" conduct, The ABA Standards, which we follow, define "intent" as "the conscious objective or purpose to accomplish a particular result."
We previously concluded that Ivy acted, at minimum, knowingly when she testified falsely.
Such cireumstantial evidence supports the finding that Ivy sought to manipulate the litigation with Kyzer and these disciplinary proceedings. Therefore we agree with the Board that Ivy acted intentionally.
c. Injury and potential injury
We also conclude that Ivy's misconduct caused serious actual or potential injury to-Kyzer and to the legal system, but not to the public or to the legal profession. The ABA Standards define injury according to the type of duty violated and the extent of actual or potential harm.
Ivy contends that she did not cause serious harm to Kyzer, citing a lack of "clear and convincing evidence" in the record. She further contends that whatever potential injury she caused to him was "limited."
As an initial matter, evidence of injury and potential injury need not reach the clear and convincing evidentiary threshold. The ABA Standards, which guide us in assessing sanctions,
The extreme nature of Ivy's accusations supports our conclusion that Ivy caused Kyzer serious actual or potential injury. Ivy accused Kyzer of criminal sexual assault, a class B felony,
However - incredible, such - accusations threaten to impose a considerable toll on the accused. A class B felony conviction for criminal sexual assault in the second degree carries a presumptive sentence of 5 to 15 years with a maximum sentence of 99 years.
We also conclude that Ivy's mlsconduct caused serious injury or serious potential injury to the legal system. An attorney's duties to the legal system include abiding by the substantive and procedural rules that "shape the administration of justice," not using or creating false evidence, and generally refraining from illegal and other improper conduct.
Ivy argues that neither the deposition nor the affidavit caused serious harm to the legal system because the litigation settled "[sloon after" she testified falsely at the deposition, But Ivy misconstrues the timeline of the litigation. After she testified falsely about the alleged stalking incident at the deposition, the litigation continued for at least.another two years; in mid-2010 she falsely alleged that Kyzer assaulted her in a courtroom. And as explained, Ivy's false testimony about the stalking incident delayed the lltlgatlon w1th Kyzer. This delay, at minimum, threatened to 1mpose a substanhal and unnecessary burden on the judicial system. We recognize that "lengthy and duplicative filings," similar to those here, can impose significant costs.
However the record does not support concluding that Ivy caused serious sctual or potential injury to either the public or the legal profession. Duties that attorneys owe to the public emphasize the public's right "to trust lawyers to protect their property, liberty, and lives" and the expectation that lawyers act honestly and refrain from conduct that interferes with the administration of justice.
We recognize that actions falling below the ABA's standard of conduct diminish the public's confidence in attorneys.
2. Step two: presumptive sanction
If there are multiple instances of misconduct, "(tlhe ultimate sanction imposed should at least be consistent with the sanction for the most serious instance of misconduct ... and generally should be greater than the sanction for the most serious misconduct."
3. Step threé: aggravating and mitigating factors
The ABA Standards provide a nonexclusive list of aggravating and mitigating factors that, on, balance, may counsel in favor of modifying the presumptive sanction.
The Bar Association and Ivy dispute Which aggravating and mitigating factors exist and how the factors affect the appropriate sanction. The Board cited several aggravating factors but only one mitigating factor and accordingly concluded that the aggravating factors outweighed the single mitigating factor.
"We 1ndependently review the entire record in attorney disciplinary proceedmgs, though findings of fact made by the Board are entitled to great weight."
Like the Board, we conclude that the record supports several aggravating factors. As explained, the record establishes that. Ivy acted selfishly, Ivy admits that she acted selfishly in her briefing; her persistent pattern of behavior, the timing of her false accusations, and her failure to acknowledge past wrongs further support the conclusion.
But the record does not support the Board's conclusion that psychological issues made Kyzer vulnerable. Rather the Committee noted that the Committee prevented Ivy from discovering her brother's "personal information." And we find no evidence that might otherwise support the finding. "[Tlhe Bar has the burden of. demonstrating its initial charges against a respondent attorney."
As for mitigating factors the Board found one, no prior disciplinary offenses, And it
We agree with the Board's conclusions on mitigating factors. The record lacks evidence of a disciplinary history; this absence qualifies as a mitigating factor.
We now weigh these aggravating and mitigating factors against the ABA-recommended sanction of disbarment. "[TJhere is no 'magic formula' " for balancing aggravating and mitigating factors.
We conclude, similar to the dissent,
We also account for repetition between the facts supporting an aggravating factor and the facts supporting an element of the presumptive sanction or the underlying ethical violation. But the mere existence of repetition does not mean we ignore the aggravating factor at the balancing stage. "[P Jresumptive terms are intended to be applicable in typical cases, and not in aggravated or mitigated cases."
Ivy's misconduct exceeds the typical case: She lied in a complex lawsuit involving multiple parties, she falsely reported that her brother had committed criminal acts against her, and she lied in these proceedings to evade discipline for that misconduct. Thus though repetition exists between the aggravating factors and the elements of the presumptive sanction (e.g., Ivy's selfish motive)
Acknowledging the risk of double counting, we conclude that the five aggravating factors-Ivy's pattern of misconduct, its illegal nature, her dishonest motive, deceptive practices during the disciplinary process, and refusal to acknowledge the wrongfuiness of her actions-outweigh the single mitigating factor, Ivy's lack of disciplinary record. Therefore we do not reduce the presumptive sanetion of disbarment.
4. Our case law
Our prior cases also support disbarment.
By contrast, when aggravating factors outweigh mitigating factors 'we impose the more severe sanction, including disbarment.
To conclude that disbarment is too severe, the dissent analogizes to our brief order in In re Purdy approving a stipulated
Further the severity, of Ivy's misconduct and the lack of compelling mitigating factors distinguishes In re Purdy,. Purdy lied in an administrative matter involving only herself in an effort to get a personal advantage visA-vis the government.
We demand that attorneys act with integrity whether or not they are representing a client:
Onee admitted [to the bar], the requirement of good moral cHaracter does not cease to exist.... Society allows the legal profession the privilege of self-regulation. Thus, it is of the utmost importance that the public have confidence in the profession's ability to discipline itself . . . . [104 ]
Under the ABA Standards and our case law, Ivy's lack of integrity, self-interested motives, and evident disregard for how her misconduct gravely threatened others and the legal system warrants disbarment. | j
B. The Record Supports The Board's Attorney's Fees And Costs Award.
Ivy contends that, at minimum, the Board's attorney's fees and costs award should be "dramatically reduced." Previously we found "no fault with the attorney's fees award."
As before Ivy does not demonstrate why the Board's award is flawed. Under Bar Rule 16(c)(@8), the amount of an award does not turn on who prevailed on a given issue. Instead the Rule requires the Board to consider, among, other factors, "the reasonableness of the number of hours expended by Bar Counsel and the reasonableness of the costs incurred"
Moreover, under Bar Rule 16(c)@8), the Board also shall consider "the duration of the case,"
Therefore, as before, we'uphold the fee and cost award.
V. CONCLUSION
.Deborah Ivy is DISBARRED from the practice of law effective 80 days from today. Ivy must also comply with the Board's fee and cost award.
. 350 P.3d 758 (Alaska 2015).
. See In re Shea, 273 P.3d 612, 622 (Alaska 2012).
. - Stanparps rog Imposing Lawyer Sanctions, Am. Bar Ass'n (1992) [hereinafter ABA Sramparos], httpy// www.americanbar.org/content/dam/aba/ administrative/professionaLresponsibility/ corrected..standards..sanctions_may20 12... wfootnotes.authcheckdam.pdf.
. In re Ivy, 350 P.3d at 761-62.
. Id. at 762.
. Id. at 759.
. Id. at 766.
. 1d.
. Id.
. In re Miles, 339 P.3d 1009, 1018 (Alaska 2014) (quoting In re Shea, 273 P.3d 612 619 (Alaska 2012)).
. Id.
. 14.
. In re Buckalew, 731 P.2d 48, 52 (Alaska 1986).
. Id. at 56 (citing In re Preston, 616 P.2d 1, 6 (Alaska 1980); ABA Standards, supra note 3, at § III.A.1.1).
. In re Shea, 273 P.3d at 622.
. Id. (citing In re Cyrus, 241 P.3d 890, 893 (Alaska 2010)).
. Id. (citing In re Cyrus, 241 P.3d at 893).
. See In re Wiederholt, 877 P.2d 765, 769 (Alaska 1994) ("[SJanctions in other cases can be no more than indicators of appropriate sanctions in a given case because of inevitable factual differ
. In re Shea, 273 P.3d at 623 (cmng In re Cyrus, 241 P.3d at 892-93).
. In re Wiederholt, 877 P.2d at 769 (first citing In re Buckalew, 731 P.2d at 57 nn. 10-11; then citing Minor, 658 P.2d at 784).
. - In re Ivy, 350 P.3d 758, 759 (Alaska 2015).
. - As relevant here, Rule of Professional Conduct 8.4 provides:
It is professional misconduct for a lawyer to: (a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
(b) commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects; (c) engage in conduct involving dishonesty, fraud, deceit, or misrepresentation.
. Alaska R. Prof. Conduct 8.4(b).
. 23 P.3d 620 (Alaska 2001).
. Id. at 629 n. 32 (alteration in original) (quoting former Disciplinary Rule 1-102(A)).
. Id. at 629 n. 33.
. Id.
. See Alaska R. Prof. Conduct 8.4(b) ("It is professional misconduct for a lawyer to ... commit a criminal act that reflects adversely, on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects. ..."); In re Friedman, 23 P.3d at 629 & nn. 32-33.
. AS 11.56.200(c).
. AS 11.56.200(a).
. LaParle v. State, 957 P.2d 330, 335 (Alaska App. 1998); Alaska Criminal Pattern Jury Instruction 11.56.200 (2009). Pattern Jury Instruction 11.56.200 provides:
To prove that the defendant committed [the] crime [of perjury], the state must prove beyond a reasonable doubt each of the following elements:
(1) the defendant knowingly made a sworn statement;
(2) the statement was false; and
(3) the defendant did not believe the sworn statement to be true.
. AS 11.56.240(2) (defining "sworn statement"); Joseph v. State, 315 P.3d 678, 686 (Alaska App. 2013). AS 11.56.240 broadly defines statements to include "representation(s] of fact[,] . opinion, belief, [and] other state[s] of mind" when the statement "clearly relates to state of rind apart from or in addition to any facts that are the subject of the representation." AS 11.56.240(1). Sworn statements include statements "knowingly given under oath ..., including a notarized statement" and statements "knowingly given under penalty of perjury under AS 09.63,.020." AS 11.56.240(2). AS 09.63.020 governs certified documents.
. Alaska R. Prof. Conduct 9.1(h); see also In re Ivy, 350 P.3d 758, 762. (Alaska 2015) (explaining that " 'knowingly' making false statement for purposes of Rules [of Professional Conduct] requires both that statement be false and that speaker know so").
. In re Ivy, 350 P.3d at 762.
. See id. at 761-62, 766.
. ABA Stanparps, supra note 3, at § III (definitions).
. In re West, 805 P.2d 351, 356 (Alaska 1991) (citing the ABA Standards).
. In re Ivy, 350 P.3d at 762 & n. 11 (citing Adams v. Adams, 131 P.3d 464, 466-67 (Alaska 2006)); In re Friedman, 23 P.3d 620, 626 (Alaska 2001) ("[It is permissible to infer that an accused intends the natural and probable consequences of his or her knowing actions." (quoting In re Triem, 929 P.2d 634, 648 (Alaska 1996))).
. In re Ivy, 350 P.3d at 762.
. Id.
. - ABA Stanparps, supra note 3, at §§ II, III.
. Id.
. Id. at § HIL
. In re Friedman, 23 P.3d 620, 625 (Alaska 2001).
. ABA Stamparps, supra note 3, at § IILA.1.3 (emphasis added).
. Alaska Bar R. 22(e) ("Bar Counsel will have the burden at any hearing of demonstratirig by clear and convincing evidence that the Respondent has ... committed misconduct as provided in [Bar] Rule 15.").
. See Alaska Bar R, 15 (defining grounds for attorney discipline); see also In re Buckalew, 731 P.2d 48, 52 (Alaska 1986) (adopting ABA framework for imposing attorney discipline sanctions).
. AS 11.41.420(b).
. AS 11.41.270(c).
. AS 12.55.125(i)(3).
. AS 12.55.135(a).
. ABA Stamparps, supra note 3, at § II (theoretical framework)
. In re Shea, 273 P.3d 612 622 (Alaska 2012).
. In re Rice, 260 P.3d 1020, 1032 (Alaska 2011).
. ABA Standarps, supra note 3, at § IL
. Id.
. | In re Hanlon, 110 P.3d 937, 947 (Alaska 2005) ("[Elven minor violations of law by a lawyer may tend to lessen public confidence in the legal profession." (quoting In re West, 805 P.2d 351, 355 (Alaska 1991))).
. Id.
. - The Bar Association did not refute Ivy's claim, and no evidence in the record suggests otherwise.
. ABA Stanparps, supra note 3, at § II (theoretical framework).
. The parties dispute whether ABA Standard 5.11(a) also favors disbarment. This dispute is not material to our analysis; the ABA Standards already point to the most severe sanction, See In re Schuler, 818 P.2d 138, 142 (Alaska 1991) (concluding that it made "no difference" whether misconduct violated ABA Standard 5.11(a) or 5.11(b) because both standards recommend disbarment); ABA Stanparps, supra note 3, at § II ('The ultimate sanction imposed should at least be consistent with the sanction for the most serious instance of misconduct.").
. - See Dissent at 389-94.
. See ABA - Stampamos, § 1ILC.9.0. supra note 3, at
. In re Friedman, 23 P.3d 620, 632 (Alaska 2001).
. The Board found aggravating factors including a dishonest and selfish motive; a pattern of misconduct; multiple offenses; Ivy's repeated false statements in the disciplinary hearing; Ivy's failure to acknowledge any wrongful conduct; Ivy's expenence as an attorney (noting her admission in 1984 and her work at a law firm); a failure to make any restitution efforts until Kyzer's motion for them in the disciplinary proceedings; and Kyzer's potential vulnerability as a result of psychological issues. On appeal the . Bar Association claims many of the same factors except it does not claim Ivy's apparent failure to make restitution or Kyzer's vulnerability.
. In re Miles, 339 P.3d 1009, 1018 (Alaska 2014) (quoting In re Shea, 273 P.3d 612, 619 (Alaska 2012)).
. - See supra Part IV.A.1 b.
. See ABA - Stamparps, § 111.0.9.22. supra note 3, at
. In re Rice, 260 P.3d 1020, 1033 (Alaska 2011).
. See ABA - Standards, supra note 3, at § III.C.9.32(a).
. In re Miles, 339 P.3d at 1018 (quoting In re Rice, 260 P.3d at 1027); see also In re Triem, 929 P.2d 634, 640 (Alaska 1996) ("As a general rule ... we ordinarily will not disturb findings of fact made upon conflicting evidence." (quoting In re West, 805 P.2d 351, 353 n. 3 (Alaska 1991))); id. at 643 & n. 12 ("'The committee's finding of dishonesty by Triem during the disciplinary process is adequately supported by the record and we do not find it to be clearly erroneous.").
. In re Miles, 339 P.3d at 1018 (quoting In re Rice, 260 P.3d at 1027).
. See ABA Stamparps supra note 3, at § 1IILC.9.32(g). Ivy also claims several other mitigating factors such as an apparent delay in the filing of the grievance, the attorney's fees and cost award, the fact she likely will not commit similar misconduct again, and the non-representative context in which her misconduct arose. We find no support under our prior cases or in the record for Ivy's claims.
. In re Hanlon, 110 P.3d 937, 942 (Alaska 2005) (quoting In re Friedman, 23 P.3d 620, 633 (Alaska 2001)).
. Id. at 943.
. In re Buckalew, 731 P.2d 48, 54 (Alaska 1986).
. Cf. Juneby v. State (Juneby II), 665 P.2d 30, 36 (Alaska App. 1983) ("[P]resumptive terms are intended to be applicable in typical cases, and not in aggravated or mitigated cases...."); Juneby v. State (Juneby I), 641 P.2d 823, 838-39 (Alaska App. 1982), opinion modified and superseded on reh'g on other grounds, 665 P.2d 30 (Alaska App. 1983) (explaining how to apply aggravating and mitigating factors when imposing criminal sanctions).
. See Dissent at 389-91.
. See ABA - Stawpamps, supra note 3, at § III.C.9.22.
. Cf. Juneby I, 641 P.2d at 842 ("precisely the same acts" should not be used to "doubly aggravate[ ]" offense).
. Juneby II, 665 P.2d at 36.
. For example, ABA Standards 5.11(b) and 6.11 apply only when an attorney acts intentionally. We concluded that Ivy acted intentionally in part because we found she acted selfishly; Ivy's selfish motive is also an aggravating factor. If Ivy's misconduct reflected the typical case, we would not give Ivy's selfish motive any weight at the balancing stage.
. For example, Alaska Rule of Professional Conduct 8.4(c) and Bar Rule 15(a)(3) are violated only when an attorney engages in dishonest conduct. Here such dishonest conduct also supports several aggravating factors, including a pattern of misconduct, multiple offenses, and obstruction of the disciplinary process. But because Ivy's misconduct exceeds the typical case, we give these factors some weight at the balancing stage.
. See In re Friedman, 23 P.3d 620, 632 (Alaska 2001) (when ABA Standards recommend disbarment, aggravating factors are relevant "only to the extent that they neutralize the mitigating factors."}.
. See In re Buckalew, 731 P.2d 48, 52 (Alaska 1986) (We consider our precedents to "ensure a level of consistency necessary for fairness to the public and the legal system.").
. See, e.g., In re Friedman, 23 P.3d at 632-34 (suspending attorney for three years, despite ABA-recommended disbarment, for mismanaging client funds and felony conduct given compelling mitigating factors including remorse, evidence that attorney had taken "significant measures" to remedy the problems caused, and good character); In re Mann, 853 P.2d 1115,
. In re Rice, 260 P.3d 1020, 1033 (Alaska 2011).
. Given the absence of compelling mitigating factors, we find the dissent's reliance on cases like In re Schuler and In re Stump misplaced, Dissent at 392-93. In re Schuler reduced the presumptive sanction of disbarment for a conviction of misdemeanor theft because of the absence of any aggravating factors and the presence of several compelling mitigating factors, including the lack of a prior disciplinary record, personal and emotional problems for which the attorney was treated by a psychiatrist, criminal sanctions that imposed a 1.5-year probation and 100 hours of community service, the attorney's evident remorse, and fact the attorney's misconduct arose from a self-destructive motive-not from a desire for personal gain, as here. 818 P.2d 138, 139-45 (Alaska 1991).
Similarly in In re Stump the attorney admitted to the alleged acts of professional misconduct, and he presented evidence of several mitigating factors, , including emotional concerns arising from his wife's health and notification to counsel of his misconduct, 621 P.2d 263, 263-66 (Alaska 1980). Moreover, though In re Stump cited a preliminary draft of the ABA Standards, as the dissent. notes, dissent at 393 n. 30, the court's reliance on the draft standards was minimal. It . cited. the draft only to frame the respondent attorneys argument zd at 265 & n. 6, and to support the rather fundamental assertion that we consider the facts of each case, Id. at 265-66 & n. 10. We adopted the ABA Standards six years after In re Stump; that 1986 version recommended sanctions based on cases decided between 1980 and 1984, data which post-dates our decision in In re Stump. In re Buckalew, 731 P.2d 48, 51 & n. 10 (Alaska 1986).
. See, e.g. In re Miles, 339 P.3d 1009, 1018-20 (Alaska 2014) (disbarring attorney for defrauding client and' committing criminal theft, per ABA recommendation, when several aggravating factors neutralized the single mitigating factor, cooperation in disciplinary proceedings).
. In re Rice, 260 P.3d at 1036.
. 731 P.2d 48, 53-56 (Alaska 1987) (rejecting five-year suspension as insufficient for knowing conversion of client funds and forging of a judge's signature despite compelling mitigating factors, including mental and emotional problems, given significant risk 'of serious injury to client and legal system); see also In re Rice, 260 P.3d at 1036 (explaning In re Buckalew, 731 P.2d 48).
. See, e.g., In re Buckalew, 731 P.2d at 53-56 (identifying as mitigating factors mental and emotional problems, cooperation and disclosure after law partner discovered misconduct, and no record of prior misconduct). The dissent distinguishes In re Buckalew and other cases in which : we have imposed disbarment on the grounds that the attorneys' conduct in those cases -was far more culpable, Dissent at 393-94, While this may be true, extreme cases do not establish the minimum threshold for imposing a sanction,
. Dissent at 392-93 (citing In re Purdy, No. S-08996 (Alaska Supreme Court Order, Mar. 26, 1999)).
. See supra Part IV.A.3.
. See In re Ivy, 350 P.3d 758, 762-65 (Alaska 2015) (holding that Rules 3.3 and 3.4 did not apply to Ivy's misconduct "because these rules are intended to govern attorneys 'when they are acting as advocates and not in thelr personal capacities").
. See supra Part IV.A.2.
. See, eg., ABA Stanparns, supra note 3, at § IILC.5.11(b)(recommending disbarnient when attorney engages in "intentional conduct involving dishonesty ... that seriously adversely reflects on the lawyer's fitness to practice"); id. § IILC.6.11 (recommending disbarment when attorney, "with the intent to deceive the court, makes a false statement ... and causes serious or potentially serious injury to a party, or causes a significant or potentially significant adverse effect on the legal proceeding"). o
. See supra Part IV.A.1.c.
. Compare ABA Stawparps supra note 3, at § IILC,.5.11(b) (recommending disbarment regardless of whether misconduct presents risk of ~ serious harm), with id. § TII.C.6.11 (recommending disbarment only if mlsconduct presents I‘lSk of serious harm).
. - At most, In re Purdy presents another example of mitigating factors outweighing aggravating factors. The stipulation in In re Purdy, unlike here, found evidence of several mitigating fac» tors, which we prev1ously have found compelling: cooperation in the disciplinary proceedings (assisting bar counsel in its investigation, consenting to discipline), .a good reputation for sound judgment, honesty, and public service (as evidenced by letters of public. support), other sanctions (criminal sentence, extended probation at place of employment, harmful publicity), and evident remorse. - In re Purdy, No. S-08996 (Stipulation for Suspension, filed Mar. 8, 1999, at 10-11). The stipulation cited only three aggravating factors, two of which overlap with the presumptive sanction and the ethical violation: a dishonest/selfish motive, a pattern of misconduct, and a prior private admonition for misconduct. Id.
. In re Purdy, No. S-08156 at 1-4 (Alaska Supreme Court Order, Nov. 18, 1998).
. In re Purdy, No. S-08996. The dissent also points to In re Stepovich, 143 P.3d 963 (Alaska 2006). Dissent at 393-94. But like In re Purdy, the brief decision in In re Stepovich does not provide insight into the court's rationale; thus that case also does not facilitate meaningful comparison.
. In re Buckalew, 731 P.2d at 56.
, In re Ivy, 350 P.3d 758, 766 (Alaska 2015).
. Td. at 765-66 & n. 35.
. Id. at 765-66 & n. 34 (issue of attorney's fees waived because it was not addressed in opening brief).
. Id. at 766.
. Alaska Bar R. 16(c)(3)(C) fiemphases added).
. Id. (H).
. Id. (B).
. Id. (F).
. Id. (G).
. In re Miles, 339 P.3d 1009, 1018 (Alaska 2014) (quoting In re Shea, 273 P.3d 612, 619 (Alaska 2012)).
Dissenting Opinion
dissenting.
I respectfully disagree with the court's decision to disbar Deborah Ivy. I agree that Ivy violated Alaska Rules of Professional Conduct 8.4(a), (b), and (c) by Iying about the stalking incident in the parking lot and the alleged sexual assault by her brother in the courtroom. And she violated Alaska Bar Rule 15 by continuing to maintain her fabricated version of these events before the Board. But it is my view that disbarment of Ivy for being untruthful in the course of her own highly emotional personal family litigation is unnecessarily severe. \
All of the various aggravators applied by the court essentially boil down to this: Ivy was untruthful during her combative personal family dispute and consistently maintained her false account during the Bar proceedings. Thus the very falsehoods that were necessary elements of the two core violations of the rules have impermissibly provided the basis for the aggravating factors.
Moreover, the court has ignored the significant mitigating factor of Ivy's personal and emotional problems, resulting from years of a contentious personal relationship with her brother. And Ivy's falsehoods did not arise in the context of her representation of a client. Finally, there is no example in all of our prior disciplinary decisions that would support disbarment in Ivy's case. Though Ivy's conduct is unworthy of our profession and merits the severe sanction of a five-year suspension, it does not warrant disbarment.
As a separate matter, Ivy's attorney's fee obligation should be reduced in light of the fact that she prevailed on the issue of the application 'of Rules of Professional Conduct 3.3 and 3.4.
I. IVY'S CONDUCT WARRANTS A SUSPENSION OF FIVE YEARS INSTEAD OF DISBARMENT.
A. The Aggravating Factors Applied Against Ivy Were Necessary Elements Of Her Violation.
The court concludes that "five aggravating factors-Ivy's pattern of misconduct, its illegal nature, her dishonest motive, deceptive practices during the disciplinary process, and refusal to acknowledge the wrongfuiness of her actions-outweigh the single mitigating factor, Ivy's lack of disciplinary record."
Both of Ivy's falsehoods are therefore necessary elements of Ivy's two disciplinary violations and the basis of all of the aggravating factors applied by the court. In the-eriminal law context, the legislature has directed that "lf a factor in aggravation is a necessary element of the present offense ..: that factor may not be used to impose a sentence above the high end of the presumptive range."
Other jurisdictions have explicitly applied this reasoning to attorney discipline cases. For example, in People v. Kolhouse, a case from Colorado, the court refused to count a respondent's failure to comply with requests for information and refusal to acknowledge the wrongful nature of her conduct as aggravating factors because those factors were, "based on the same conduct underlylng one of Respondent’s rule violations" and there were "no additional allegations or evidence" that supported application of those factors.
Here, destite "[aleknowledging the risk of double counting,"
B. The Court And The Board Have Ignored A Significant Mitigating Factor: Ivy's Personal And Emotional Problems.
The court is incorrect in concluding that "as the Board found, the record also lacks evidence of [Ivy's] personal or emotional problems."
Here, Ivy was in the midst of contentious family litigation when she lied about her brother's actions, and by her account, the antagonistic relationship with her brother had persisted "for decades."
C. 'Our Prior Decisions Do Not Support Disbarment In This Case.
Finally, the sanction of disbarment in this case is wholly inconsistent with our prior disciplinary decisions. In the past, we have taken into account the fact that attorney misconduct has occurred in a personal, non-
While I agree that attorneys can be subject to disbarment for violations committed outside of a representative capacity, we have approved such a severe sanction in only one case, where an attorney was convicted as an accessory after the fact to a first-degree murder.
And another disciplinary case, In re Purdy, is particularly instructive because the respondent's dishonest conduct and perjured testimony occurred outside of a representative capacity.
Similarly, in In re Stump, we approved a five-year suspension for an attorney who falsified evidence for use on his own behalf in civil litigation in which he was a defendant and subsequently affirmed the authenticity of that evidence under oath.
Further, even when attorneys have committed violations in representative capacities involving dishonest misappropriation of client funds that directly harmed a client, the resulting sanctions have been much less severe than Ivy's. In In re Stepovich, In re Friedman, and In re Mann, all cases involving attorneys who misappropriated client funds, we reduced sanctions from the ABA-recommended disbarment to suspensions of two or three years,
Moreover, a review of cases in which we have approved disbarment of attorneys reveals the extent to which Ivy's disbarment represents a departure from precedent. In In re Buckalew, we recommended disbarment as an appropriate sanction for an attorney who fabricated a false settlement document, forging the signatures of another attorney and a superior court judge, and embezzled $67,000 from two client trust accounts.
We-have -recognized that the ABA Standards promote uniformity and prevent “[fin-consistency of sanctions.”
II. -ATTORNEY’S FEES
Finally, I disagree with the court’s decision to affirm the attorney’s fee award. of $61,282.76 against Ivy. An evaluation of the ten enumerated factors to be considered under Alaska Bar Rule 16 when determining an appropriate award of attorney’s fees does not support the award.
III. CONCLUSION
I respectfully dissent from the court’s decision to 'disbar Ivy. I believe a five-year suspension from the practice of law is the correct sanction for Ivy’s conduct and is most consistent with our prior discipline decisions. And regardless of the sanction, Ivy’s obligation to pay attorney’s fees should be reduced.
(A) the complexity of the disciplinary matter;
(B) the duration of the case;
(C) the reasonableness of the number of hours expended by Bar Counsel and the reasonableness of the costs incurred;
(D) the reásonableness of the number of Bar Counsel used;
(E) Bar Counsel’s efforts to minimize fees;
(F) the reasonableness of the defenses raised by the Respondent;
(G) vexatious or bad faith conduct by the Respondent;
(H) the relationship between the amount of work performed by Bar Counsel and the significance'of the matters at stake; ,
(I) the financial ability of the Respondent to pay attorney’s fees; and
(J) the existence of other equitable factors deemed relevant.
. . Op. at 385.
. Rule 8.4(a) states that it is professional misconduct for a lawyer to "violate or attempt to violate the Rules of Professional Conduct." Here, she allegedly violated the rules only by lying under oath about the alleged incidents with her brother. Rule 8.4(b) designates it misconduct to "commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness, or fitness as a lawyer in other respects." Again, the criminal act reflecting adversely on Ivy's honesty and trustworthiness was her perjury regarding those same incidents. Rule 8.4(c) similarly prohibits attorneys from "engagling] in conduct involving dishonesty, fraud, deceit, or misrepresentation." Yet again, Ivy's alleged lies are the only conduct involving dishonesty. Finally, Bar Rule 15(a)(3) prohibits "knowing misrepresentation of any facts or circumstances surrounding a grievance," Ivy committed this violation by continuing to lie. But for her lying about the incidents with her brother, Ivy could not have been found to have
. Op. at 385.
. AS 12.55.155(e).
. 309 P.3d 963, 966 (Colo.O.P.D.J. 2013).
. 149 Wash.2d 707, 72 P.3d 173, 180 (2003). The appellate level of the State Bar Court of California has also consistently adhered to the "long established principle that it is inappropriate to use the same conduct relied on to establish .a disciplinary Vlolatlon to establish an aggrava- © ting circumstance." In re Silverton, Nos. 95-O-10829, 99-O-13251, 2004 WL 60709, at *16 (Review Dep't of the State Bar Ct. of Cal., Jan. 6, 2004); see also In re Sampson, No. 90-O-17703, 1994 WL 454888, at *12 (Review Dep't of the State Bar Ct. of Cal., Aug. 16, 1994) ("It appears that :the hearing judge used the same conduct constituting the ... violation as a finding in aggravation of the same charge. This is inappropriate."); In re Burckhardt, No. 88-0-15079, 1991 WL 16498, at *6 (Review Dep't of the State Bar Ct. of Cal., Feb. 4, 1991) (holding that because a finding of aggravation for conduct involving bad faith, dishonesty, and concealment "reflect[ed] the same conduct ... that is properly 'the basis for the finding of [the] violation," the "finding in aggravation [was] duplicative"); In re Trillo, No. 85-0-13726, 1990 WL 92610, at *9 (Review Dep't of the State Bar Ct. of Cal., May 3, 1990) (declining to adopt a finding that a respondent made misrepresentations to his clients because the court had "already adopted such a finding of culpability and [did] not believe it 'appropriate to assign aggravation to the identical conduct"); In re Mapps, Nos. 87-0-12533, 87-0-11669, 1990 WL 92624, at *7 (Review Dep't of the State Bar Ct. of Cal., Mar. 27, 1990) (noting that because the court had already concluded that a respondent had embezzled clients' funds, constituting moral turpitude, the same conduct could not be "count[ed] ... again as a separate aggravating factor"). .
. Op. at 385.
. - Op. at 384.
. Stanparps - ror - Imposing - Lawyer - Sanctions § 1IILC.9.32(c) (Am. Bar Ass'n 1992) [hereinafter ABA Stamparps].
. Id. § 111.0.9.32().
. In re Ivy, 350 P.3d 758, 759 (Alaska 2015).
. Id. at 759.
. Bruce Winick, Symposium, Therapeutic Jurisprudence and the Role of Counsel in Litigation, 37 Cat, W.L. Rev, 105, 108 (2000).
. Andrew Schepard, Am Introduction to. the Model Standards of Practice for Family and Divorce Mediation, 35 Fam. LQ. 1, 2 (2001).
. "Although personal or emotional problems . are mitigating factors that may reduce a disciplinary sanction against an attorney, they do - not justify or excuse the attorney's misconduct, Nor do they shield the attorney from professional responsibility. Rather, they are offered and considered merely as explanations of the lawyer's conduct in order to temper the imposed sanction." In re Rau, 533 N.W.2d 691, 694 (N.D. 1995) (internal citations omitted).
. In re Schuler, 818 P.2d 138, 142, 144 (Alaska 1991) (observing that "[i]t is also worthy of note that Schuler's conduct did not take place in connection with ... services performed in the practice of law" and contrasting this case with another in which "[the misconduct occurred in connection with services performed by [the attorney] in the practice of law"); cf. In re Miles, 339 P.3d 1009, 1020 (Alaska 2014) (noting that duplicitous acts by an attorney were "particularly" damaging when committed "while acting in her capacity as an attorney").
. Op. at 386-87.
. - ABA Sranparps, supra note 9, at § IL.
. We have observed that "(there are few more egregious acts of professional misconduct ... than the misappropriation of [a] client's funds held in trust." In re Buckalew, 731 P.2d 48, 55 (Alaska 1986) (quoting In re Beckmann, 79 N.J. 402, 400 A.2d 792, 793 (1979); see also In re Richmond, 996 So.2d 282, 289 (La. 2008) (recognizing that because an attorney "was acting in his personal capacity ... [and there was therefore} no potential for client harm from [his] misconduct, his actions may be viewed as less egregious than the actions at issue" in cases involving attorneys acting in representative capacities).
. Moreover, we have held that the non-representative context of Ivy's conduct rendered Rules of Professional Conduct 3.3 and 3.4 inapplicable and therefore rejected the Board's recommendation of disbarment to the extent that it was based on those rules. In re Ivy, 350 P.3d 758, 762-65 (Alaska 2015). Yet, on remand the Board refused Ivy's request to present additional argument on the proper disciplinary sanction. Instead, it summarily recommended the same 'sanction of disbarmént, despite correspondence from Ivy's attorney indicating that she "wanted to be heard."
. In re Webb, 602 P.2d 408 (Alaska 1979), abrogated by In re Buckalew, 731 P.2d at 48 (adopting the ABA's sanctions standards). Ivy's conduct does not approach the conduct for which the attorney in In re Webb was disbarred.
. 818 P.2d 138 (Alaska 1991).
. No. S-08156 (Alaska Supreme Court Order, Nov. 18, 1998).
. In re Purdy, No. S-08996 (Stipulation for Suspension, filed Mar. 8, 1999, at 2-5).
. Id. at 4.
. Id. at 11.
. In re Purdy, No. S-089996 (Alaska Supreme Court Order, Mar. 26, 1999).
. In re Purdy, No. S-08996 (Stipulation for Suspension, filed Mar. 8, 1999, at 10).
, Id. (emphasis added).
. 621 P.2d 263 (Alaska 1980), abrogated by In re Buckalew, 731 P.2d 48 (Alaska 1986). While In re Stump and other earlier cases were abandoned by our decision in Buckalew to adopt the ABA Standards, our decision in Stump nevertheless relied on the Standards and should be considered instructive here. Id. at 265 n. 6 & n. 10 {referencing the 1979 draft ABA Standards for Lawyer Discipline and Disability Proceedings).
. In re Stepovich, 143 P.3d 963 (Alaska 2006); In re Friedman, 23 P.3d 620 (Alaska 2001); In re Mann, 853 P.2d 1115 (Alaska 1993).
. In re Buckalew, 731 P.2d at 55 (quoting In re Beckmann, 79 N.J. 402, 400 A.2d 792, 793 (1979)).
. 260 P.3d 1020, 1035 (Alaska 2011).
. Id. at 1033.
. Id. at 1035.
. 339 P.3d 1009 (Alaska 2014).
. 877 P,2d 765, 766 (Alaska 1994).
. In re Buckalew, 731 P.2d at 52 n. 13.
. Id.
. ABA Standards, supra note 9, at § I.A.
. Rule 16(c)(3) lists the following factors to be considered:
. Rule J 6(c)(3)(F),
. In re Ivy, 350 P.3d 758, 762-65 (Alaska 2015).
Reference
- Full Case Name
- In the Disciplinary Matter Involving Deborah IVY, Attorney
- Cited By
- 5 cases
- Status
- Published