KREMER v. SHOYER
KREMER v. SHOYER
Concurring Opinion
Concurring Opinion by
I concur in the denial of the petition filed herein “for writ of mandamus and/or writ of prohibition”. My reasons, however, differ from those given by my brother O’Brien. In a word, I am satisfied that an action in mandamus does lie in a situation of this sort,
The facts bearing on the remedy problem would appear to be as follows:
Petitioners’ pleading in this Court states essentially a cause of action in mandamus; it requests that this Court enter an order compelling the respondent Judge Shoyer to permit the petitioner-witness Frohlich to be examined with the assistance of any counsel of his choice and, because Frohlich’s choice is Kremer, to permit Kremer to represent Frohlich.®
The writ of mandamus was one of the high prerogative writs of the King’s Bench. As we have often said, it “lies to compel the performance of a ministerial act or mandatory duty where there is clear legal right in the plaintiff, a corresponding duty in the defendant, and a want of any other appropriate and adequate remedy.” Travis v. Teter, 370 Pa. 326, 330, 87 A. 2d 177 (1952).
Assuming for the moment that the petitioners are correct in their claim that Frohlich has a clear
II. This Action Is Not Ripe For Decision
This Court has original jurisdiction over an action brought in mandamus against a court of inferior jurisdiction. Pa. Const, art. Y, §2; Act of July 31, 1970, The Appellate Court Jurisdiction Act of 1970, P. L. 673, No. 223, art. II, §201, 17 P.S. §211.201 (Supp. 1973-74). An action in mandamus is an action at law, the procedure of which is governed by Pennsylvania Rules of Civil Procedure 1091-1099. Rule 1091 provides that “[ejxcept as otherwise provided in this chapter, the procedure in the action of mandamus shall be in accordance with the rules relating to the action of assumpsit”. Those rules, of course, establish the methods of pleading, answering, alleging affirmative defenses in new matter, replying, moving for judgment on the pleadings, summary judgment, etc.
The present original action in mandamus is before the Court through the following pleadings and other
It is clear, therefore, that while the form of action selected by petitioners is in my view proper, the matter is not yet capable of disposition on the merits. We should, in the proper exercise of our original jurisdiction, appoint a master to resolve disputed factual issues, cf. Schubach v. Zoning Board of Adjustment, Pa. ,308 A. 2d 595 (1973).
III. The Court of Common Pleas Violated No Duty and the Writ Is Properly Denied
The dissenters, however, address themselves to the merits of this action. On the basis of the facts which
The starting point in the consideration of this matter must be the code of Professional Responsibility, adopted by the American Bar Association,
The Code, like Gaul, is divided into three parts: canons, ethical considerations, and disciplinary rules. The canon with which we are today concerned is Canon 5: “A lawyer should exercise independent professional judgment on behalf of a client.” The Canons, as the American Bar Association states, are statements of “axiomatic norms”.
Petitioner Kremer points out that Ms conduct in this matter is not barred by the terms of Disciplinary Rule 5-107 (A)
It is important to bear in mind not only that attorney X-l, the lawyer under investigation, agreed to pay for legal services rendered by Mr. Kremer, but also that X-l in fact suggested to Mr. Frohlich that he should have a laAvyer present at the investigation and recommended that Kremer be the lawyer so employed. The initial choice of Kremer as the laAvyer for Frohlich was not Frohlich’s, but that of X-l, and X-l’s undertaking to pay for the services was coupled with the engagement of Kremer as the lawyer. It should be noted that DR 5-107(a), supra, does not deal with the question of selection of counsel; it deals only Avith pay
Canon 5 concerns itself with but one interest: that of the client (here Frohlich) in receiving “independent professional judgment”. Where the fact of payment from a third party is disclosed to the client, the position taken by DR 5-107 would seem to be that the client will be sufficiently apprised of the risk of conflict and will be on guard. But in this case there is at stake an interest other than that of Frohlich; there is the public interest and the need for public confidence in the conduct of this judicial inquiry into unethical practices.
In dealing with the conduct of lawyers and judges, it is a truism that appearances are as important as the actual facts. In the words of the old maxim, “justice should not only be done, but should ... be seen to be done.”
“Courts have an inherent power to make and follow rules governing [the discipline of members of the bar] or to formulate new rules as the case demands so long as no right of the member charged is invaded. ... A court may conduct a general investigation of unprofessional conduct in an effort to rid the practice of undesirable members. . . .” In re Disbarment Proceedings, 321 Pa. 81, 101, 184 A. 59 (1936). A client’s right to a specific lawyer is not absolute, Moore v. Jamieson, 451 Pa. 299, 306 A. 2d 283 (1973). The Philadelphia Court of Common Pleas was fully within its competence in seeking to preserve the integrity of its investigative proceeding by insuring that appearances of impropriety were avoided. The disqualification of Mr. Kremer was appropriate to that end, and did not constitute a violation of either his constitutional rights or those of the client Frohlich.
Although I am of the view that mandamus lies, I agree that prohibition is properly denied. The difference between the two is that the first orders that a certain action be taken or not taken, while the latter orders a court of inferior jurisdiction not to act in the matter further because it lacks jurisdiction altogether. The Court of Common Pleas of Philadelphia (of which respondent Shoyeb is a sitting judge) has jurisdiction to conduct investigations into the conduct of members of the bar of that County, In Re Disbarment Proceedings, 321 Pa. 81, 101, 184 A. 59 (1936); Pa. Sup. Ct. Rule 17-25 (“These [Disciplinary] Rules shall not apply to any special judicial investigation in existence at the time of the adoption of these Rules, which . . . shall be concluded under the procedure established for the conduct of such investigation”), and it would follow that a writ of prohibition would be, for that reason, properly denied.
There are procedural difficulties in establishing the exact facts. See text at note 6 infra. My summary is taken largely from the notes of a hearing held before the respondent Judge Shoves on November 3, 1972 during which testimony was received as to how Frohlich came to be represented by I. Raymond Kremer, Esquire.
Petitioners state their requests for relief in the negative, i.e., they ask that the respondent judge be restrained from interfering with petitioner Kremer’s representation of petitioner Frohlich. The difference is semantical only.
I also note that it is unnecessary for respondents Franck and Stewart to be parties to this proceeding. If petitioners are entitled to prevail in an action in mandamus against Judge Shoyer, then obviously no relief would be needed or warranted against these other two respondents, who are lesser officers of the Court.
The right asserted here is not made unclear by the need for an interpretation of a statute or the announcement of a new principle of law. If there are no other means of review, then novel questions must be and are decided in actions for mandamus. Booz v. Reed, 398 Pa. 172, 157 A. 2d 170 (1960).
The United States Court of Appeals for the Third Circuit in Schlesinger v. Teitelbaum, 475 F. 2d 137 (3d Cir. 1973), entertained a petition for writ of mandamus on the foUowing facts. Schlesinger, an attorney, had been limited by an order of a judge of the District Court of the United States for the Western District of Pennsylvania to an attorney’s fee consistent with the fee schedule approved by the district court in seamen’s eases, a fee lower than that negotiated between Schlesinger and his client, a seaman. Schlesinger brought an action in mandamus against the federal district court judge in the Third Circuit, and that court, while not disputing the propriety of proceeding in mandamus, held that the writ would not issue because the lower court had power to act as it did. The case now at bar seems to me to be on all fours with Schlesinger.
See also Schlagenhauf v. Holder, 379 U.S. 104, 13 L. Ed. 2d 152 (1964); La Buy v. Howes Leather Co., 352 U.S. 249, 1 L. Ed. 2d 290 (1957). See generally Note, Supervisory and Advisory Mandamus Under the All Writs Act, 86 Harv. L. Rev. 595 (1973).
Under Pa. K.O.P. 1017(a), a reply is permissible only if “the answer contains new matter or a counterclaim.” A counterclaim is not permitted in mandamus, Pa. R.O.P. 1096, and none was pleaded. Neither was any new matter (affirmative defenses, see Pa. R.O.P. 1030) asserted. It follows that the Replies filed by petitioners were improperly placed before this Court.
American Bar Association, Code of Professional Responsibility (Pinal Draft, 1969).
See also Pa. Sup. Ct. Rule 17-3, which provides: “Grounds for Discipline: Acts or omissions by an attorney, individually or in concert with, any other person or persons, which violate the Code of Professional Responsibility of the American Bar Association, as from time to time in effect in Pennsylvania, shall constitute misconduct and shall be grounds for discipline, whether or not the act or omission occurred in the course of an attorney-client relationship.”
ABA Code of Professional Responsibility (Pinal Draft, 1969) (Preliminary Statement).
“DR 5-107 Avoiding Influence by Others Than the Client.
“(A) Except with the consent of his client after full disclosure, a lawyer shall not:
“(1) Accept compensation for his legal services from one other than his client.
“(2) Accept from one other than his client anything of value related to his representation of or his employment by his client.”
Rex v. Sussex Justices, 1 K.B. 256, 259 (1924) (Lord Hewart, C. J.).
See also Ethical Consideration 9-1: “Continuation of the American concept that we are to be governed by rules of law requires that the people have faith that justice can be obtained through our legal system. A lawyer should promote public eonfi
The Opinion of the Court states that “the examination of Frohlich must be confined to a determination of whether, in fact, Frohlich had been ‘unethically solicited’. ...” A reading of re
In footnote 1 of the Opinion of the Court, it is suggested that “[i]f the questioning were to branch out into other fields [such as] acts of fraud against an insurance company, . . . then the denial of his right to representation by the attorney of his choice, regardless of who was paying the attorney, might lead us to a different conclusion.” I must note my disagreement with the accuracy of or the necessity for this observation.
Opinion of the Court
Opinion by
Respondents Michael Franck and William P. Stewart are special counsel conducting a special judicial investigation by order of the Court of Common Pleas of Philadelphia County. Franck and Stewart are responsible for the formulation of charges of unethical conduct where the investigation reveals the need therefor, and for the prosecution of the formal charges. Respondent Shoyer is a judge assigned by the President Judge of the Court of Common Pleas of Philadelphia to hear and review testimony presented by the special counsel for the purpose of determining whether formal charges of unethical conduct should be brought.
In the course of the special judicial investigation, Franck and Stewart began to inquire into the activities of attorneys X-l and X-2, identified in a confidential report of the Committee of Censors of the Philadelphia
Petitioners rely heavily upon DR-5-107 of the Code of Professional Responsibility, which states:
“(A) Except with the consent of his client after full disclosure, a lawyer shall not:
“(1) Accept compensation for his legal services from one other than his client. . . .”
Petitioners argue that since Frohlich consented to Kremer’s acceptance of compensation from the attorney under investigation, the Code has not been violated. Stewart and Franck contend that since Frohlich’s interests are not affected by the investigation, if X-l, the attorney under investigation, can pay Kremer to advise Frohlich, he might be able to silence the only source of information to which the investigation can turn. Consequently, they argue, citing Jedwabny v. Phila. Tr. Co., 390 Pa. 231, 135 A. 2d 252 (1957), that the court should be able to prevent Kremer from representing Frohlich, for, as respondents contend, “the impropriety or appearance of impropriety” in Kremer’s representation of
However, as we said in Carpentertown Coal & Coke Co. v. Laird, 360 Pa. 94, 102, 61 A. 2d 426, 430 (1948) : “The writ of prohibition is one which, like all other prerogative writs, is to be used only with great caution and forbearance and as an extraordinary remedy in cases of extreme necessity, to secure order and regularity in judicial proceedings if none of the ordinary remedies provided by law is applicable or adequate to afford relief. It is a writ which is not of absolute right but rests largely in the sound discretion of the court.”
Applying the standard spelled out in Carpentertown, supra, we do not believe that a writ of prohibition would be appropriate in the instant case. Since the examination of Frohlich must be confined to a determination of whether, in fact, Frohlich had been “unethically solicited”, Frohlich need not fear to answer such questions. Preventing him from receiving representation from an attorney paid for by the attorney under investigation does not create a situation of “extreme necessity” so as to justify the issuance of a writ of prohibition.
As for the petitioner’s alternative request for a writ of mandamus, as we have frequently stated: “. . . mandamus lies where there is a clear legal right in the plaintiff and a corresponding duty in the defendant, and the act requested is not discretionary but only ministerial, [but] . . . mandamus will not lie to control an
Under that standard, mandamus does not lie in the instant case.
Petition denied.
If the questioning were to branch out into other fields, so that Frohlieh’s answers could threaten him with the institution of charges against him for acts of fraud against an insurance company, as petitioners contend, then the denial of his right to representation by the attorney of his choice, regardless of who was paying the attorney, might lead us to a different conclusion.
Dissenting Opinion
Dissenting Opinion by
The result reached by the majority today forces me to dissent for the following reasons.
At issue in this proceeding is whether petitioner Krerner, a member of the bar of this Court, should be allowed to represent petitioner Frohlich, a client of attorney X-l. This question arose during the course of a special judicial investigation when Mr. Frohlich was subpoenaed to testify with respect to a certain personal injury case in which X-l had served as his counsel. When Mr. Frohlich appeared before the court with Mr. Krerner as his attorney, Mr. Krerner was disqualified by order of the Court on the ground that there was a conflict of interest due to the fact that Mr. Krerner was being paid by X-l and not Mr. Frohlich.
At the outset, I note that Mr. Frohlich’s right to counsel of his choice is not at issue. In their answer to the petition the respondents specifically admit: “No one has suggested that Petitioner Frohlich may not be
I recognize that an individual’s right to counsel of his choice is not absolute, particularly in light of the state’s interest in establishing standards to control the practice of law in its courts. In the instant case, we have as conflicting interests the right of Mr. Frohlich to retain Mr. Kremer as his attorney and the right of the state to discipline lawyers to prevent unethical and unprofessional conduct. In balancing these conflicting interests, I must conclude that the state’s interest in assuring that the administration of its legal system is properly controlled is not a sufficiently compelling interest to justify the degree of infringement (i.e., disqualification of his attorney) imposed upon Mr. Frohlich’s right to counsel.
Here, it is alleged that petitioner Kremer should be disqualified because of the arrangement whereby X-l referred Mr. Frohlich to Mr. Kremer and undertook to pay Mr. Kremer’s fee. It is averred that this situation necessarily gives rise to a conflict of interest in violation of the Code of Professional Responsibility. However, it is my belief that petitioner Kremer has adhered to the highest ethical standards of our bar.
Disciplinary Rule 5-107 of the American Bar Association’s Code of Professional Responsibility, the standard applicable to the instant case, provides as follows:
“D.R. 5-107 Avoiding Influence By Others Than the Client
“(A) Except with the consent of his cUent after full disclosure, a lawyer shall not:
“(1) Accept compensation for his legal services from one other than his client.
“(2) Accept from one other than his client anything of value related to his representation of or his employment by his client.
The record before us fails to sustain any suggestion that Mr. Frohlich received inadequate or inefficient representation from Mr. Kremer or that the method by which he was retained has in any way influenced his handling of this case. Notwithstanding the absence of actual misconduct and Mi*. Kremer’s complete and voluntary explanation of the entire arrangement to Mr. Frohlich, the respondents maintain that the court below was acting within its discretion in disqualifying Mr. Kremer because “even the appearance of impropriety” cannot be tolerated. However, in my view, a subtle appearance of impropriety is not a sufficiently compelling reason to disqualify an attorney from representing a client who is fully aware of all possible conflicts of interest. As pertinently stated in the Ethical Considerations applicable to Canon 9:
In my estimation, public confidence in our legal system will only be eroded where there is no attempt to disclose potentially conflicting interests. Here, Mr. Kremer by virtue of his voluntary disclosures has upheld the integrity of his profession and, in fact, has exercised proper judgment in competently safeguarding the interests of his client, Mr. Frohlich, to whom he owes a solemn duty. Having found no conduct that would warrant a conclusion that the arrangements between counsel and client in fact have improperly influenced counsel’s handling of the case, I believe the disqualification of counsel was completely arbitrary and constitutes an unreasonable and intolerable burden on the constitutional right to counsel of one’s choice.
I would reverse the order of the court below disqualifying Mr. Kremer as attorney for Mr. Frohlich.
The Order of the court below, dated November 16, 1972, which disqualified Mr. Kremer from representing Mr. Frohlich, provides: “This Order is not to be construed to preclude Messrs. [X] and [Y] from advising clients subpoenaed by the Court, of their rights to be represented by counsel of their choosing if such client’s request advice from them.” (Emphasis added.)
In Powell v. Alabama, it was held that failure to provide effective counsel in a capital case violated the due process clause of the fourteenth amendment. It was determined that in such circumstances the aid of counsel was encompassed within those fundamental principles of Uberty and justice guaranteed by the constitutional requirement of due process of law.
“A Lawyer Should. Avoid Even the Appearance of Professional Impropriety”, ABA Canons of Professional Responsibility No. 9.
Dissenting Opinion
Dissenting Opinion by
I join Mr. Justice Nix's dissenting opinion and agree that the majority incorrectly decides the merits of the issues presented. However, in my view, this controversy may well be resolved without necessarily reaching the merits of the substantive issues.
Respondents, Attorneys Franck and Stewart—counsel for a special judicial investigation—have no standing to challenge Attorney Kremer’s right to represent and advise his client, Mr. Frohlich. If respondents assert professional impropriety by Mr. Kremer, that becomes a matter for the Disciplinary Board which has the power and duty to “consider and investigate the conduct of any attorney. . . .” Rule 17-5 (c) (1) of the Rules of the Supreme Court of Pennsylvania. In the present circumstances respondents are not entitled to interrupt the ongoing investigation of attorney X-l by interposing, as a collateral matter, their assertion of allegedly improper conduct by Mr. Kremer.
It was an obvious abuse of discretion for the court to entertain respondents’ motion to disqualify Mr. Krerner and prejudicial error to order such disqualification.
I dissent.
Reference
- Full Case Name
- Kremer Et Al., Petitioners, v. Shoyer Et Al., Respondents
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- Published