In Re Lim
In Re Lim
Opinion of the Court
I.
Respondent Edgar Lim obtained his Missouri license to practice law in 1975. The Office of Chief Disciplinary Counsel (CDC) alleges multiple violations of the rules of professional conduct in connection with Respondent’s representation of Gan-esh and Padma Krishnamurthy. The Court finds that Respondent violated Rule 4 — 1.16(d) by withholding property to which his client was entitled upon termination of the representation. A public reprimand is ordered.
II.
The facts are undisputed. Respondent was admitted to the bar in 1975 and has practiced immigration law throughout his career. His disciplinary record contains an admonition in 2003 for violation of Rules 4-1.3 (diligence) and 4-3.1 (frivolous claim). At the time of the disciplinary hearing on the present matter, Respondent maintained a part-time practice in St. Louis.
In 1994, the Krishnamurthys hired Respondent to assist them to obtain a work visa and labor certification enabling Mr. Krishnamurthy to work in the United States and a residency permit for Mrs. Krishnamurthy. Respondent requested a fee of $4500. Respondent could not produce a written fee agreement but testified that one existed providing for late charges of $20 per month plus 9% per year. The Krishnamurthys paid Respondent $1000.
The Krishnamurthys hired Andrew Neill to represent them in Respondent’s collection action. Mr. Neill reported Respondent’s conduct to the CDC in September 2004, and the CDC filed an information against Respondent’s license. The CDC alleged violations of Rules 4-1.16(d) (withholding client property), 4-1.6(a) (disclosure of confidential information without consent), 4-1.9 (use of information to detriment of former client), and 4-7.5 (implying partnership when none exists). Following a hearing in March 2006, the Disciplinary Hearing Panel (DHP) recommended that Respondent be suspended for six months. The CDC now seeks affirmation of the DHP’s recommendations. This Court has jurisdiction because it has the inherent authority to regulate the practice of law.
III.
The findings of fact, conclusions of law, and the recommendations from the DHP are advisory.
Rule 4-1.16(d) requires in pertinent part that “upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a Ghent’s interests, such as ... surrendering papers and property to which the client is entitled ...” The Court agrees with the CDC that Respondent’s November 3 letter to Mr. Krishnamurthy is a bald effort to coerce payment by withholding the labor certification — a document to which the client was entitled-in violation of Rule 4-1.16(d).
The remaining alleged violations arise from Respondent’s letter to the INS. While such vindictive behavior casts shame on the entire profession, the Court is not persuaded that the expression of Respondent’s personal opinion regarding the Krishnamurthys’ character constitutes a disclosure of confidential information under the rules. The cases cited by the CDC are distinguishable in that they involve situations where attorneys divulged substantive facts learned in the scope of representation as opposed to subjective opinions formed thereafter.
IV.
The fundamental purpose of an attorney disciplinary proceeding is to “protect the public and maintain the integrity of the legal profession.”
. In re Mid-America Living Trust Associates, Inc., 927 S.W.2d 855, 856 (Mo. banc 1996).
. In re Snyder, 35 S.W.3d 380, 382 (Mo. banc 2000).
. Id.
. Id.
. In those cases, lawyers attempting to recover their fees threatened to report information learned in the scope of representation such as a client's adultery (Lindenbaum v. State Bar, 26 Cal.2d 565, 160 P.2d 9 (1945)) and clients'
. Section 358.060, RSMo 2000.
. In re Waldron, 790 S.W.2d 456, 457 (Mo. banc 1990).
. In re Cupples, 952 S.W.2d 226, 237 (Mo. banc 1997).
. Id.
Concurring in Part
concurring in part and dissenting in part.
I respectfully concur in part and dissent in part.
I agree with the principal opinion that Mr. Lim did not violate this Court’s disciplinary rules in not registering his law partnership with the secretary of state. I also agree that his inappropriate conduct in attempting to coerce payment from a former client by withholding the labor certification was a violation of Rule 4 — 1.16(d) and that, were this his only rule violation, a public reprimand might be a sufficient sanction for his conduct in light of the mitigating factors noted, including his nearly unblemished record.
I disagree with the principal opinion, however, that Mr. Lim’s reprehensible and vindictive behavior in reporting his clients to the INS is not a rule violation. I believe that, when added to his coercive attempt to collect a questionable amount of fees
Rule 4-1.6 provides that “[a] lawyer shall not reveal information relating to the representation of a client.” Rule 4-1.6(a). Comments to Rule 4-1.6 clarify that the term “relating to representation” has broad application. It “imposes confidentiality on information relating to the representation even if it is acquired before or after the relationship existed.” Rule 4-1.6 comments. The comment specifically notes the greater breadth of the phrase “relating to representation” when compared to the language under the former version of the rule, stating that, unlike “[u]nder the Code, ... DR [Rule] 4-1.6 does not require the client to indicate information that is to be confidential, or permit the lawyer to speculate whether particular information might be embarrassing or detrimental.” Id. Any information “relating to representation” must be kept confidential unless an exception applies.
A lawyer may reveal otherwise confidential information only (1) if the client consents, Rule 4-1.6(a); (2) to prevent the client from committing a crime likely to result in death or substantial bodily harm, Rule 4 — 1.6(b)(1); or (3) “to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer’s representation of the client.” Rule 4-1.6(b)(2). These provisions are limited in that they permit “disclosure only to the extent the lawyer reasonably believes the disclosure is necessary to accomplish one of the purposes specified.” ABA Rule 1.6, comment 12.
Rule 4-1.9 provides that it is a conflict of interest for a lawyer who has formerly represented a client to “use information relating to the representation to the disadvantage of the former client” unless the information may be revealed pursuant to Rule 4-1.6 or because the information has
Although the collection suit against the Krishnamurthys may have publicized the fact that Mr. Lim claimed they owed him money, it did not make “generally known” any information about the Krishnamur-thys’ alleged lying or deception or bad moral character. Yet, the Lims’ February 18, 2004, letter to the INS did not merely inform the agency of the collection action against the Krishnamurthys. It also asserted that they “lack the good moral character needed to obtain immigration benefits. They have lied and deceived our office” and asked that the INS “place this letter in their file to prevent them from obtaining any further immigration benefits.” This goes far beyond merely reporting an unpaid debt. The Lims’ disclosure of such information to the INS, which was specifically intended to disadvantage the Krishnamurthys, violated Rule 4-1.9’s admonition that a lawyer not “use information relating to the representation to the disadvantage of the former client.”
Further, the Lims’ allegations of lying and deception on the part of the Krishna-murthys are admittedly based on statements relating to money allegedly owed to Mr. Lim for his representation, statements made by the Krishnamurthys both during and after the Lims’ representation. Such statements inherently “relate to” Mr. Lim’s representation of the Krishnamur-thys. Even as to those alleged lies made after the Lims’ representation of the Krishnamurthys, the rules impose on the Lims an obligation to keep confidential all information “relating to the representation even if it is acquired before or after the relationship existed.” Rule 4-1.6 comments. But, the Lims admit that at least some of the alleged multiple promises to pay by Mr. Krishnamurthy were made during the course of the representation and that the alleged repeated failure to keep these and later promises is what allegedly led to Mr. Lim’s withdrawal from Mr. Krishnamurthy’s representation.
Finally, the fact that the information revealed concerned the alleged nonpayment by, and amoral and lying character of, the Krishnamurthys does not affect the Lims’ obligation not to undertake conduct detrimental to their former client and not to reveal information relating to the Krish-namurthys. Nothing in Rule 4-1.6 requires that in order for information relating to representation to be confidential it must relate to the “substantive facts” of the representation, as the principal opinion suggests. All information that relates to the representation of the client must be kept confidential under Rule 4-1.6.
Mr. Lim’s decision to send a letter to the INS condemning the moral character of the Krishnamurthys with the stated intent that it prevent them from “obtaining any further immigration benefits” is comparable to a letter sent by a tax attorney to the IRS informing the agency that a former client, who had been seeking certain relief or shelter from tax liability at the time of the representation, is a person of low moral character and failed to pay the attorney for his services and, therefore, should not get a favorable settlement from or should be audited by the IRS. Under the approach taken in the principal opinion, the outcome would be the same in both cases. But just as a tax attorney should never attempt to goad the IRS into auditing or denying beneficial treatment to former
I also agree with the disciplinary hearing panel that a more severe sanction for this conduct is warranted than might otherwise be the case because Mr. Lim refuses to express remorse for his conduct or even to acknowledge its vindictiveness and unprofessional nature. He went so far as to tell the disciplinary hearing panel that “If I had it to do all over again, I possibly would do the exact same thing.” Further, in this Court, Mr. Lim indicated that he still believed his conduct toward the Krish-namurthys was appropriate.
In these circumstances, I agree with the disciplinary hearing panel’s recommendation that Mr. Lira’s license to practice law should be suspended with leave to reapply after six months.
. The Krishnamurthys paid Mr. Lim $1,000 when he was hired. It is unclear that he was entitled to more. Mr. Lim claims that the Krishnamurthys agreed to pay him $4,500 to obtain a labor certification for Mr. Krishna-
Reference
- Full Case Name
- In Re Edgar E. LIM, Respondent
- Cited By
- 4 cases
- Status
- Published