No Military Exemption

A 15-month suspension has been imposed by the New York Appellate Division for the First Judicial Department.

There were eight charges of misconduct that were subject to a joint motion for discipline by consent

The petition alleged that, despite respondent’s claims since January 2010 of exemption from mandatory continuing legal education (CLE) requirements, respondent was neither retired nor an active member of the military, and appeared as the attorney of record in matters before the Supreme Court of the State of New York and the United States District Courts for Colorado and the Southern District of New York.

The petition further alleged that respondent had failed to comply with the Committee’s 2016 Admonition directing him to earn CLE credits in certain topics within nine months and provide it with the certificates of attendance.

The petition further alleged that, in 2019, despite respondent’s receipt and notice of his client’s former attorney’s Judiciary Law § 475 charging lien pertaining to approximately half of the settlement funds received by respondent from opposing counsel in a landlord-tenant matter, respondent disbursed the entirety of the funds to himself and the client.

The petition further alleged that, in 2019 and 2020, respondent maintained an RPC 1.15(b) attorney trust account, the records for which failed to identify the source, description, payee, purpose, person for whom held, and recipient of transacted funds.

The petition further alleged that respondent had failed to comply with a 2021 subpoena the Committee served that sought retainer agreements, letters of engagement, invoices for services rendered and/or notices of appearance for each legal matter, since 2010, in which respondent acted as an attorney and/or provided legal services.

Respondent had stipulated to a number of facts.

Sanction

As to factors in aggravation, the parties note respondent’s disciplinary history. In 2013, respondent received an Admonition for keeping personal funds in an attorney trust account, withdrawing funds from an attorney trust account by use of a debit card, and making withdrawals from an attorney trust account by use of checks made payable to cash. In 2016, respondent received the Admonition referred to above with regard to his commingling of client funds with personal funds, keeping personal funds in an attorney trust account, making withdrawals from an attorney trust account that did not involve a named payee and included a check made payable to cash, failing to timely create and maintain bookkeeping records regarding the activity in an attorney trust account, and failing to comply with the requirement that a written retainer agreement set forth a client’s rights regarding arbitration of fee disputes. Finally, in 2018, respondent received a letter of advisement directing his attention to RPC rule 8.4(d), because he did not voluntarily satisfy a civil judgment obtained against him by a client. In addition, the parties note that the misconduct at issue involved different types of disciplinary violations and, with respect to his failure to comply with mandatory CLE requirements, repeated instances of the same type of violation. The parties further note that respondent had substantial experience in the practice of law at the time that the misconduct occurred.

With respect to mitigation, the parties note that in 2009, respondent and his then-teenage children were devastated by a sudden and unexpected family tragedy, from which they continue to suffer, increasing the children’s reliance on him for psychological support; respondent is the primary caregiver for an elderly parent; and he has presented evidence of good character to the Committee.

(Mike Frisch)