THE STATE OF NEW HAMPSHIRE SUPREME COURT LD-2011-0010 IN THE MATTER OF K. William Clauson, Esquire __________________________________________________________________________________ BRIEF FOR THE NEW HAMPSHIRE SUPREME COURT PROFESSIONAL CONDUCT COMMITTEE __________________________________________________________________________________ New Hampshire Supreme Court Professional Conduct Committee By its counsel: James L. Kruse, Esquire Assistant Disciplinary Counsel NH Bar ID No. 1400 4 Chenell Drive, Suite 102 Concord, New Hampshire 03301 (Oral Argument by James L. Kruse)
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THE STATE OF NEW HAMPSHIRE SUPREME COURTK. William Clauson represented Todd Gray and Brenda Gray in a criminal case filed in Lebanon District Court (State vs. Todd Gray, Docket # 452-2009-CR-90).
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New Hampshire Supreme Court Professional Conduct Committee By its counsel:
James L. Kruse, Esquire Assistant Disciplinary Counsel NH Bar ID No. 1400 4 Chenell Drive, Suite 102 Concord, New Hampshire 03301 (Oral Argument by James L. Kruse)
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TABLE OF CONTENTS
Page(s) Table of Authorities ......................................................................................... ii QUESTIONS PRESENTED ............................................................................... 1 STATEMENT OF THE CASE ......................................................................... 2-3 STATEMENT OF THE FACTS ..................................................................... 4-12 SUMMARY OF ARGUMENT ...................................................................... 13-14 ARGUMENT ............................................................................................. 15-35
I. MR. CLAUSON’S REPRESENTATION OF BOTH BRENDA AND
TODD IN THE CRIMINAL PROCEEDING INVOLVING DOMESTIC ASSAULT VIOLATED N.H. R. PROF. CONDUCT 1.7 AND 1.9 ........ 15-25
II. MR. CLAUSON REPRESENTED TODD IN A CRIMINAL PROCEEDING WITHOUT THE REQUISITE KNOWLEDGE AND SKILL, IN VIOLATION OF N.H. R. PROF. CONDUCT 1.1 ........ 25-28
III. MR. CLAUSON’S MISCONDUCT WARRANTS SUSPENSION .......... 28-35
CONCLUSION ............................................................................................... 35 APPENDIX ............................................................................................... 36-48 A. Text of Authorities...................................................................... 37-48
The Lebanon District Court (Cirone, J., presiding) convened a second
hearing on June 30, 2009, to address the bail issue. Mr. Clauson represented
at the outset that “my client pleads not guilty to the two counts.” PCC 10 (Ex.
13, p. 101); 30 (p. 10).
The court expressed a number of concerns before addressing the no-
contact bail order issue: a) Mr. Clauson had not seen Trooper Hamilton’s
affidavit; b) in view of provisions in the bail statute (RSA 597) regarding no-
contact orders, Mr. Clauson appeared to be in a “dangerous place” while
representing both Brenda and Todd; c) Brenda could be an “enabling” victim, of
the sort frequently encountered by the court, inclined to minimize the
underlying domestic violence; and d) there is a “potential conflict between
counsel for the defendant and counsel for the victim being the same person.”
PCC 10 (Ex. 13, pp. 105-106, 109-111).
Brenda testified at the June 30, 2009, hearing in support of a change in
the no-contact bail condition. She claimed that she instigated the altercation
with her husband, she was not afraid of him, and needed him at home.
Brenda also testified that she had had too much to drink and her memory of
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the events was “clouded a lot,” but she did not dispute the accuracy of Trooper
Hamilton’s affidavit summarizing the evidence of Todd’s violent behavior. (PCC
30 (p. 10); 10 (Ex. 13, pp. 112-116).
On July 1, 2009, the court issued an order modifying the bail conditions
which allowed Brenda and Todd to resume contact and cohabitation. PCC 10
(Ex. 14).
Mr. Clauson proceeded with his representation of Todd in defense of the
two criminal complaints. PCC 30 (p. 10). By letter to the State dated July 7,
2009, Mr. Clauson requested access to the investigative file. PCC 30 (p. 10); 10
(Ex. 15). Later in the month, the State provided Mr. Clauson with statements
and information obtained by the police from Todd, Brenda, and Amber, and
identified Brenda and Amber as witnesses for the prosecution. PCC 10 (Exs.
16 and 17).
After reviewing the State’s file, Mr. Clauson wrote to Todd on July 27,
2009. He offered an assessment of the evidence, concluding that “Brenda’s
charges are mistaken.” PCC 10 (Ex. 20); 30 (p. 11).
On July 28, 2009, Mr. Clauson filed Defendant’s Motion to Recuse Judge
Cirone on grounds of bias, citing Judge Cirone’s past dealings with Mr.
Clauson and with Todd. PCC 10 (Ex. 23). By order dated August 12, 2009,
Judge Cirone recused himself, citing Mr. Clauson’s conflict of interest and
possible violation of the no-contact bail order. PCC 10 (Ex. 24).
The court scheduled trial of the criminal complaints for November 17,
2009. PCC 10 (Ex. 25). In advance of trial, Mr. Clauson agreed to allow the
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prosecutor to meet privately with Brenda. PCC 30 (p. 11). In anticipation of
that meeting, Mr. Clauson wrote a letter on October 8, 2009, addressed to both
Todd and Brenda. Mr. Clauson advised that “the State still has time to change
or amend its complaint against Todd,” and warned Brenda that “[a]nything you
say to [the prosecutor] can be used against Todd at trial.” PCC 30 (p. 11); 10
(Ex. 27).
On November 17, 2009, the court approved an agreement between the
parties to place both criminal matters on file without a finding for one year,
conditioned upon Todd’s good behavior and successful participation in an
anger management program, following which the cases could be dismissed.
PCC 10 (Exs. 28, 29); 30 (pp. 11-12).
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SUMMARY OF ARGUMENT
The Professional Conduct Committee reasonably determined based on
the record in this case that Mr. Clauson represented both the defendant and
the alleged victim in a criminal proceeding involving domestic assault, in
violation of N.H. R. Prof. Conduct 1.7 and 1.9.
Mr. Clauson failed to evaluate or discuss with his clients whether there
was an actual or potential conflict of interest associated with his
representation. The conflict associated with a) protecting the defendant’s
liberty interests pending trial and his right to a defense to the criminal charges,
while, at the same time, b) protecting the victim from further violence, from
being discredited and charged with providing the police with false information,
and from disclosure of privileged information, was obvious and non-waivable.
Mr. Clauson’s belief that he could competently and diligently represent both
clients, while honoring his duty of loyalty to each, was patently unreasonable.
Mr. Clauson ignored the court’s early warning of a conflict associated
with his dual representation and, to this day, persists in his refusal to
acknowledge the conflict.
Mr. Clauson lacked the requisite knowledge and skill to represent his
clients in the underlying criminal matter. His disinclination to acknowledge
such limitations contributed to Mr. Clauson’s failure to understand how to
proceed in pursuit of a change in the no-contact bail order and to appreciate
risks associated with such effort, as well as his failure to conduct an initial
investigation required to assess the divergent interests of his clients. Mr.
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Clauson breached his duty of competence, in violation of N.H. R. Prof. Conduct
1.1.
Mr. Clauson’s misconduct deprived his clients of the competent, loyal
and wholly independent representation to which they were each entitled and
undermined the integrity of, and public confidence in, the judicial system.
In view of Mr. Clauson’s prior disciplinary record, his knowing pursuit of
dual representation under a non-waivable conflict of interest warrants a
suspension from the practice of law.
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ARGUMENT
I. MR. CLAUSON’S REPRESENTATION OF BOTH BRENDA AND TODD IN THE CRIMINAL PROCEEDING INVOLVING DOMESTIC ASSAULT VIOLATED N.H. R. PROF. CONDUCT 1.7 AND 1.9.
A. Rule 1.7.
The Committee correctly found that Mr. Clauson breached his duty of
loyalty by representing both Todd and Brenda in a criminal proceeding in
which Todd was charged with assaulting Brenda. PCC 30 (p. 13). During the
course of his early representation of Brenda and Todd regarding the bail issue,
and when Mr. Clauson undertook shortly thereafter to represent Todd in
defense of the criminal complaints, there was a substantial risk that the
interests of either client would be directly adverse to the other and that the
representation of one client would be materially limited by Mr. Clauson’s
representation of the other. PCC 23 (p. 16); 30 (p.13). The Committee found
clear and convincing evidence that Mr. Clauson’s conduct in this regard
violated N.H. R. Prof. Conduct 1.7(a) and (b). PCC 30 (p. 13).
Mr. Clauson Represented Brenda and Todd regarding the no-contact bail condition
Mr. Clauson undertook initially to represent Brenda and Todd because
they both told him they wanted the no-contact order vacated. Brenda
complained that she had not asked for the no-contact order in the first place
and said she needed Todd at home. PCC 21 (pp. 166-167). However, Mr.
Clauson did not afford either client the benefit of his loyal and independent
judgment. Mr. Clauson did not engage either client in a discussion of the
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advantages, disadvantages, or risks associated with a change in the no-contact
order (PCC 21 (pp. 165-167); 23 (p. 7); 30 (p. 9)) or the possibility that Todd
might be found in violation of the no-contact bail order as a result of Mr.
Clauson’s involvement in facilitating communications between Todd and
Brenda. PCC 30 (p. 9). Nor did Mr. Clauson discuss whether his involvement
as counsel might give rise to a conflict of interest. Id.
Mr. Clauson takes the position that there was no need to address the
issue of conflict because he was “never put on notice that Todd and Brenda’s
interests were not aligned (sic).” Appellant’s Brief, pp. 14-15.
If, indeed, Mr. Clauson did not perceive the conflict issue, it was due, at
least in part, to his failure to read the criminal bail statute and to pay attention
to the express terms of the no-contact order prohibiting Todd from engaging in
indirect (“through third persons”), as well as direct, contact with Brenda. PCC
10 (Ex. 4). While the bail statute would accommodate communications
between counsel for the victim and counsel for the defendant (RSA 597: 2, III-b
(a)), Mr. Clauson’s role as counsel for both Brenda and Todd raised an obvious
question whether the statutory accommodation applied. See State v. Kidder,
150 N.H. 600, 601-603 (2004). Todd faced possible revocation of his release
and detention if he was found to have violated the no-contact order. RSA 597:
7-a, II, III.
Mr. Clauson also failed to consider the facts found by the police in their
investigation of the June 14, 2009, incident. Trooper Hamilton’s affidavit, filed
with the arrest warrant application, was readily available to Mr. Clauson. Had
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he consulted the affidavit, Mr. Clauson would have learned that the violent acts
reported by Brenda, Todd, and Amber at the scene, as well as the level of
Brenda’s fear for her own and her children’s safety due to Todd’s conduct,
differed from what his clients were telling him. PCC 30 (pp. 10, 26). This
insight, along with some recognition of the risk that victims of domestic
violence will dilute or retreat from their account of the trauma they suffer at
the hand of their spouse, should have put Mr. Clauson on notice of the conflict
issue. PCC 21 (pp. 32-33, 87-88); 10 (Ex. 13, p. 110); 23 (pp. 14-15). See
State v. Ray, 325 S.W.3d 500, 508 (Mo. App. E.D. 2010).2
Under these circumstances, the Committee correctly found by clear and
convincing evidence that Mr. Clauson did not evaluate the likelihood that a
conflict would emerge or discuss with either client whether his involvement in
pursuing a change in the bail order would give rise to a conflict of interest. Mr.
Clauson failed to seek or obtain the written, informed consent of either client to
engage in dual representation on the bail issue, and he proceeded with such
representation in violation of N.H. R. Prof. Conduct 1.7(a) and (b). PCC 30 (pp.
9-10, 12-13).
Mr. Clauson represented Todd in defense of the criminal complaints while still representing Brenda Mr. Clauson’s agreement on June 23, 2009, to represent Todd in defense
of the criminal complaints, while continuing to represent Brenda, also ran
afoul of N.H. R. Prof. Conduct 1.7. Mr. Clauson made the commitment to
2 In the course of this disciplinary proceeding, Brenda has even disputed Todd’s written admission to
Trooper Hamilton that he pushed her. PCC 22 (p. 24).
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defend Todd without discussing with either client how their respective interests
might be adverse or the substantial risk that representation of one might
materially limit Mr. Clauson’s representation of the other. PCC 23 (p. 16); 30
(pp. 9-10, 12-13). Mr. Clauson could not reasonably have believed that he
could represent both clients without breaching his duties of loyalty,
competence, and diligence. The conflict was obvious and non-waivable. State
v. Ray, 325 S.W.3d. at 503, 506-508 [representation of the defendant charged
with domestic violence would be “inescapably adverse” to the victim, whom
counsel also represented, despite clients’ consent and victim’s reluctance to
(August 10, 1989); Shillen’s Case, 149 N.H. 132, 137-138 (2003). Under this
objective test, the Committee reasonably concluded that no such consents
should have been signed because the conflict was non-waivable. PCC 30 (pp.
4, 13, 29); N.H. R. Prof. Conduct 1.7(b).
Mr. Clauson admits that he believed he “owed a primary loyalty to [his]
original client, Mrs. Gray” (PCC 3 (p. 5)), and that he continued to represent
her “throughout” the district court proceeding. PCC 3 (p. 6); 30 (p. 12). Yet,
Mr. Clauson anticipated having to cross examine Brenda at the criminal trial, if
necessary on behalf of Todd, to elicit what she had told Mr. Clauson about the
assault. PCC 30 (p. 12). If, as Mr. Clauson pledged, he “was not going to do
anything contrary to her interests,” (PCC 21 (p. 203); 3 (pp. 5-6); 30 (p. 12)), he
could not possibly undertake an effective cross examination without placing
Brenda in jeopardy for providing the police with false information (or lying to
the court). In order to protect Brenda, Mr. Clauson would have had to
compromise his efforts on behalf of Todd. PCC 30 (p. 12). Under these
circumstances, Mr. Clauson’s apparent belief that he could represent both
clients without compromising the interests of either was “patently
unreasonable.” State v. Ray, 325 S.W.3d at 507-508; Doss v. State, 2011 WL
6079247, at 3.
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At no time was the conflict more starkly apparent than in October 2009
when Mr. Clauson agreed to have Brenda meet privately with the prosecutor
and then issued instructions as to how she should conduct herself at that
meeting. In his letter of October 8, 2009, Mr. Clauson cautioned Todd and
Brenda that the State could still change or amend its complaint against Todd,
and then warned Brenda that “[a]nything you say to her can be used against
Todd at trial.” PCC 10 (Ex. 27). A reasonable inference drawn from Mr.
Clauson’s admonition is that Brenda should change her story from what she
reported to Trooper Hamilton at the scene (at Brenda’s peril), lest Todd be
subject to amended or additional charges. PCC 30 (p. 14).3
The Committee correctly found clear and convincing evidence that Mr.
Clauson did not evaluate the conflict issue or discuss it with his clients at any
time during the course of his representation of Todd in defense of the criminal
complaints. Mr. Clauson could not reasonably have obtained knowing
consents to the non-waivable conflict, and his conduct violated N.H. R. Prof.
Conduct 1.7(a) and (b). PCC 30 (pp. 10, 13).
B. Rule 1.9
To the extent Brenda is viewed as a former client when Mr. Clauson
3 Mr. Clauson may or may not have known that, under District Court Rule 2.1, the State could amend the criminal complaint in a timely fashion to define more accurately the methods employed by Todd in his assault. PCC 30 (p. 16). This, of course, would dispose of Mr. Clauson’s defense strategy and his argument that, because Brenda and Todd told Mr. Clauson that Todd did not push her “into a table,” as alleged in the criminal complaint, there was no assault or conflict of interest. Appellant’s Brief, pp. 8, 16-17. The material element of the pending charge against Todd, about which Mr. Clauson apparently lost sight, was that he “knowingly caused unprivileged physical contact to Brenda Gray.” PCC 10 (Ex. 3); 30 (pp. 4-5). All relevant evidence of Todd’s assault of Brenda at the time in question was the subject of the criminal proceeding in which Mr. Clauson undertook to represent both the victim and the assailant. PCC 30 (p. 14); See State v. French, 146 N.H. 97, 100-102 (2001).
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undertook to investigate and prepare Todd’s defense, the Committee correctly
found that Mr. Clauson’s conduct also violated N.H. R. Prof. Conduct 1.9(a).
PCC 30 (pp. 13-14).
In the course of representing Brenda on the bail issue, Mr. Clauson
obtained significant confidential information from Brenda that was protected
by N.H. R. Prof. Conduct 1.6. PCC 30 (p. 14); 10 (Ex. 30). Mr. Clauson’s
subsequent representation of Todd in defense of the criminal complaints
involved representation in the same matter in which Brenda’s and Todd’s
interests were materially adverse, as described above. In the event Mr.
Clauson needed to cross examine Brenda in zealous pursuit of Todd’s defense,
privileged information previously obtained from Brenda would likely be used
and disclosed. PCC 30 (pp. 13-14). See Doss v. State, 2011 WL 6079247, at 3;
State v. Ray, 325 S.W.3d at 510.
Even after the case was resolved, there remained a substantial risk that
a similar conflict would emerge if the State later charged Todd with failing to
comply with conditions of dismissal. PCC 23 (p. 17); 30 (p. 14). When asked at
trial whom he would represent in the event of such a charge, Mr. Clauson said,
“I don’t know that I would have represented anybody.” PCC 21 (p. 188).
However, Mr. Clauson left open the possibility of his further involvement in the
event of more domestic violence or other alleged violation. PCC 21 (pp. 188-
189).
The Committee correctly found by clear and convincing evidence that Mr.
Clauson did not evaluate the likelihood that, having formerly represented
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Brenda, a conflict of interest would emerge in connection with his
representation of Todd in defense of the criminal complaints, in violation of
N.H. R. Prof. Conduct Rule 1.9(a). He did not discuss the issue with either
Brenda or Todd, and he did not seek or obtain a written, knowing consent from
Brenda authorizing his representation of Todd and his use and disclosure of
privileged information in Todd’s defense. PCC 30 (pp. 13-14).
II. MR. CLAUSON REPRESENTED TODD IN A CRIMINAL PROCEEDING WITHOUT THE REQUISITE KNOWLEDGE AND SKILL, IN VIOLATION OF N.H. R. PROF. CONDUCT 1.1.
The Committee correctly found that Mr. Clauson violated his duty to
provide competent representation to Todd in Lebanon District Court by
proceeding without the requisite knowledge and expertise in criminal practice
and without associating with another attorney with the skill and knowledge
required to assure competent representation. PCC 30 (p. 15).
Mr. Clauson lacked competence to handle the no-contact bail issue
Mr. Clauson was ill-prepared to represent Brenda and Todd in pursuit of
a change in the no-contact bail order. Mr. Clauson did not practice much
criminal law and had no recollection of ever handling a bail hearing prior to
this matter. PCC 30 (pp. 9, 15); 21 (p. 148). Mr. Clauson did not understand
that the no-contact bail provision was part of a court “order.” PCC 10 (Ex. 2A,
p. 47). He did not understand the terms of the no-contact order, the
significance of the bail statute in assessing Todd’s position and risks, or the
need to have Todd present at a hearing at which Todd’s liberty interests were at
stake. PCC 30 (p. 15).
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Mr. Clauson apparently failed to understand the difference between a
civil domestic violence restraining order and a criminal order of protection as a
condition of bail. PCC 30 (p. 17). Mr. Clauson has argued, for example, that
“Brenda did not press charges against Todd” and Brenda “did not request
protective assistance.” Appellant’s Brief, pp. 2-3. Further evidence of his
confusion appears on the record of the June 23, 2009, hearing. When the
court asked where Todd was, Mr. Clauson replied, “I don’t know. I represent
Mrs. Gray.” PCC 10 (Ex. 12, p. 94).
As Judge Cirone properly ruled, Brenda was not a party to the criminal
proceeding and did not have standing to independently request a change in
Todd’s bail conditions. PCC 10 (Ex. 12, pp. 94-97); See State v. Kidder, 150
N.H. at 605.
While Mr. Clauson may not have appreciated the precise nature of the
proceeding, he chose to ignore Trooper Hamilton’s advice to make sure Todd
was present. Mr. Clauson’s subsequent assessment that Judge Cirone’s
refusal to proceed in Todd’s absence was “absurd,” along with his suggestion
that Judge Cirone’s rulings were tainted by personal bias and his dislike for
Mr. Clauson and Todd (PCC 10 (Ex. 2A); 3 (p. 5); 30 (p. 24)), reflect Mr.
Clauson’s reluctance to acknowledge the limitations to his knowledge and skill
in criminal practice.
Mr. Clauson did not investigate the facts
Mr. Clauson failed to obtain police investigative information in a timely
fashion. He also declined to talk to Amber who, presumably, would have
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confirmed what she told the police about the June 14 incident: Todd struck
Brenda in the face, threw her into the refrigerator, and picked her up and
threw her into a table and chair. PCC 10 (Exs. 3, 16). Mr. Clauson needed this
information, along with statements attributed to Brenda and Todd at the scene,
in order to understand the respective interests of Brenda and Todd and to
evaluate the possible conflicts of interest associated with his representation.
PCC 30 (pp. 15, 26).
Mr. Clauson excuses his failure in this regard on grounds that because
Trooper Hamilton had no objection to removing the no-contact bail provision,
the court revised the bail order after the June 30, 2009, hearing, and the
prosecutor ultimately agreed to place the matter on file with conditions, the
interests of Brenda and Todd must have been “aligned.” Appellant’s Brief, p.
12.
Mr. Clauson misses the point. A determination by the police and court
that conditions had cooled off between Todd and Brenda and that, pending trial
on the criminal complaints, Brenda was no longer in danger of further assault
by Todd, did not excuse Mr. Clauson from his duty to exercise the care
required of a competent attorney to protect the interests of his client and to
ensure that his duty of loyalty to such client is not compromised. Similarly,
the prosecutor’s ultimate decision to place the matter on file with conditions
does nothing to absolve Mr. Clauson of his duty as counsel to perform
competently in pursuing the results obtained.
The Committee correctly found that, notwithstanding the clients’ support
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of Mr. Clauson’s conduct and the results obtained, Mr. Clauson breached his
duty of competence in violation of N.H. R. Prof. Conduct 1.1.
III. MR. CLAUSON’S MISCONDUCT WARRANTS SUSPENSION.
The Committee undertook a sanction analysis, employing as its guide the
American Bar Association’s Standards for Imposing Lawyer Sanctions (1992)
(“Standards”). The Committee’s recommendation is entirely consistent with the
accepted purposes of attorney discipline: to protect the public, maintain public
confidence in the bar, preserve the integrity of the legal profession, and prevent
similar conduct in the future. Coffey’s Case, 152 N.H. 503, 513 (2005).
Under the first prong of the sanction analysis contemplated by the
Standards, the Committee found that Mr. Clauson violated his duty of loyalty
by representing Brenda and Todd in a criminal matter involving Todd’s alleged
assault of Brenda. Mr. Clauson failed to evaluate or discuss the issue of
conflict with his clients at any time and he proceeded in the face of a non-
waivable conflict in violation of N.H. R. Prof. Conduct 1.7 and 1.9.
The Committee also found that Mr. Clauson breached his duty to provide
competent representation by pursuing a change in the no-contact bail
condition and handling Todd’s defense to the criminal complaints without the
requisite knowledge and expertise in criminal practice and without associating
with a more skilled and knowledgeable lawyer. Mr. Clauson demonstrated no
real comprehension of the scope of representation and responsibilities as a
criminal defense lawyer. PCC 30 (pp. 17-18). Mr. Clauson also breached his
duty by failing, in a timely fashion, to obtain discovery required to evaluate the
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actual or potential conflicts of interest associated with his representation of
both Brenda and Todd. PCC 30 (p. 18)
Pursuant to the second prong of the sanction analysis, the Respondent’s
mental state, the Committee considered whether Mr. Clauson acted with
Mr. Clauson’s disciplinary record is significant. Mr. Clauson received a
reprimand in 1981 for use of persons to perform duties on behalf of a client
that were unauthorized or contrary to law, in violation of Canon 7 and DR 7-
102(A)(8) (illegal conduct or conduct contrary to disciplinary rule). Clauson, K.
William advs. Joseph Cicotte - #793198. A second reprimand was issued in
1987 for deceit, misrepresentation, and threatening a complainant in violation
of Rule 8.4(c). Clauson, K. William advs. Robert Summer - #863641. Mr.
Clauson received a third reprimand in 1996 for representing parties under a
conflict of interest in violation of Rule 1.9(a). Clauson, K. William advs. Ronald
Sears - #94-010. Mr. Clauson received a warning in 2005 to exercise care in
accurately characterizing evidence in support of his position. Clauson, K.
William advs. PCC and Richard Balagur - #02-092. Finally, in 2007, Mr.
Clauson was sanctioned with a public censure with conditions for violating
Rule 1.9(a). Clauson, K. William advs. Attorney Discipline Office - #03-099.
Mr. Clauson was required to take and pass the Multi-state Professional
Responsibility Exam (MPRE), a condition he promptly satisfied. PCC 30, pp.
24-25.
Mr. Clauson’s approach to the conflict issue in the 2007 case (#03-099)
is relevant to the sanction analysis in this matter. Mr. Clauson represented Dr.
Knowles in a contractual dispute with the Family Health Center, P.A., in
Lebanon, N.H. (FHC). Mr. Clauson formerly represented FHC at the inception
of its contractual relationship with Dr. Knowles, and Mr. Clauson and his firm
remained involved as counsel to the medical practice for approximately 15
34
years. When he agreed to represent Dr. Knowles in his dispute with FHC, Mr.
Clauson did not research his records to determine if there was a conflict of
interest. Significantly, when the issue of conflict was raised by FHC’s new
counsel, Mr. Clauson took the position that he did not recall ever representing
FHC. Mr. Clauson continued in pursuit of Dr. Knowles’s claims against FHC
for several months until disqualified by the Superior Court. PCC 30 (p. 25).
Given Mr. Clauson’s history of misconduct involving conflicts of interest,
and evidence in this case that he “turned a deaf ear to the Court’s concerns”
and “cavalierly” ignored the conflict issue, the Committee had cause for
concern that Mr. Clauson continues to exhibit a troubling pattern of behavior
and may not be inclined to modify his approach to conflicts of interest. See
Bruzga’s Case, 162 N.H. at 63. While the Committee’s vote to suspend Mr.
Clauson for six months rather than a longer period was not unanimous, there
is ample support in the record for consensus that, as the dissenters observed,
“Mr. Clauson has not given any indication that he will abide by the Rules of
Professional Conduct that all lawyers must adhere to. His actions and attitude
reflect a firm belief that he knows better than anyone else.” PCC 30 (p. 30); 28
(p. 2).
Considering the clear and convincing evidence of the aforesaid violations,
the baseline sanction, and the aggravating factors, the Committee correctly
found that Mr. Clauson should be suspended from the practice of law for six
months, and that, as conditions of reinstatement, he should be required to
retake and successfully complete an MPRE course and examination, and
provide the ADO with a written plan as to how he will evaluate conflicts of
interest when he resumes practice. PCC 30 (pp. 27-28).
CONCLUSION
In light of the foregoing, the Committee has properly found clear and
convincing evidence of violations of N.H. R. Prof. Conduct 1.7(a) and (b); 1.9(a);
1.1; and 8.4(a). The Committee's sanction of a six-month suspension with
conditions is amply supported by the record; it is in accord with both the
Standards and the purposes of attorney discipline as described by this Court.
Dated: May 3, 2012
Respectfully submitted, New Hampshire Supreme Court Attorney Discipline Office
James L. Kruse, Esquire NH Bar ID No. 1400 4 Chenell Drive, Suite 102 Concord, New Hampshire 03301 (603)224-5828
CERTIFICATION
I, James L. Kruse, as counsel for the New Hampshire Supreme Court Professional Conduct Committee, certify that two copies of the aforesaid Brief of the Professional Conduct Committee is being mailed on this 3rct day of May 2012, to K. William Clauson, Esquire, at Clauson & Atwood, 10 Buck Road, Hanover, New Hampshire 03755-2700, by first class mail postage prepaid.
Page(s) I. Text of Authorities .......................................................................... 37-49
A. New Hampshire Rules of Professional Conduct ...................... 37-39
B. New Hampshire Revised Statutes .......................................... 40-44
C. District Court Rules ................................................................... 45
D. American Bar Association’s Standards for Imposing Lawyer Sanctions ................................................... 46-48
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New Hampshire Rules of Professional Conduct
Rule 1.1. Competence
(a) A lawyer shall provide competent representation to a client.
(b) Legal competence requires at a minimum:
(1) specific knowledge about the fields of law in which the lawyer practices;
(2) performance of the techniques of practice with skill;
(3) identification of areas beyond the lawyer's competence and bringing those areas to the client's attention;
(4) proper preparation; and
(5) attention to details and schedules necessary to assure that the matter undertaken is completed with no avoidable harm to the client's interest.
(c) In the performance of client service, a lawyer shall at a minimum:
(1) gather sufficient facts regarding the client's problem from the client, and from other relevant sources;
(2) formulate the material issues raised, determine applicable law and identify alternative legal responses;
(3) develop a strategy, in collaboration with the client, for solving the legal problems of the client; and
(4) undertake actions on the client's behalf in a timely and effective manner including, where appropriate, associating with another lawyer who possesses the skill and knowledge required to assure competent representation.
Rule 1.6. Confidentiality of Information (a) A lawyer shall not reveal information relating to the representation
of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation, or the disclosure is permitted by paragraph (b).
(b) A lawyer may reveal such information to the extent the lawyer reasonably believes necessary:
(1) to prevent reasonably certain death or substantial bodily harm or to prevent the client from committing a criminal act that the lawyer believes is likely to result in substantial injury to the financial interest or property of another; or
(2) to secure legal advice about the lawyer's compliance with these Rules; or
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(3) to establish a claim or defense on behalf of the lawyer in 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; or
(4) to comply with other law or a court order.
Rule 1.7. Conflicts of Interest: General Rule
(a) A lawyer shall not represent a client if the representation of that client will be directly adverse to another client, unless:
(1) the lawyer reasonably believes the representation will not adversely affect the relationship with the other client; and
(2) each client consents after consultation and with knowledge of the consequences.
(b) A lawyer shall not represent a client if the representation of that client may be materially limited by the lawyer's responsibilities to another client or to a third person, or by the lawyer's own interest, unless:
(1) the lawyer reasonably believes the representation will not be adversely affected; and
(2) the client consents after consultation and with knowledge of the consequences. When representation of multiple clients in a single matter is undertaken, the consultation shall include explanation of the implications of the common representation and the advantages and risks involved.
Rule 1.9. Duties to Former Clients
(a) A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.
(b) A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client:
(1) whose interests are materially adverse to that person; and
(2) about whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) that is material to the matter; unless the former client gives informed consent, confirmed in writing.
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(c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter:
(1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client, or when the information has become generally known; or
(2) reveal information relating to the representation except as these Rules would permit or require with respect to a client.
Rule 8.4. Misconduct
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;
(d) state or imply an ability to influence improperly a government agency or official; or
(e) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.
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New Hampshire Statutes
597:2 Release of a Defendant Pending Trial.
I. Upon the appearance before the court or justice of a person charged with an offense, the court or justice shall issue an order that, pending arraignment or trial, the person be:
(a) Released on his personal recognizance or upon execution of an unsecured appearance bond, pursuant to the provisions of paragraph II;
(b) Released on a condition or combination of conditions pursuant to the provisions of paragraph III; or
(c) Temporarily detained to permit revocation of conditional release pursuant to the provisions of paragraph V.
I-a. Except as provided in RSA 597:1-d, a person charged with a probation violation shall be entitled to a bail hearing. The court shall issue an order that, pending a probation violation hearing, the person be:
(a) Released on his or her personal recognizance or upon execution of an unsecured appearance bond, pursuant to the provisions of paragraph II;
(b) Released on a condition or combination of conditions pursuant to the provisions of paragraph III; or
(c) Detained.
II. The court or justice shall order the prearraignment or pretrial release of the person on his or her personal recognizance, or upon execution of an unsecured appearance bond in an amount specified by the court, subject to the condition that the person not commit a crime during the period of his or her release, and subject to such further condition or combination of conditions that the court may require, unless the court determines that such release will not reasonably assure the appearance of the person as required or will endanger the safety of the person or of any other person or the community. The court may also consider as a factor in its determination under this paragraph or paragraph III that a person who is detained as a result of his or her inability to meet the required conditions or post the required bond is the parent and sole caretaker of a child and whether, as a result, such child would become the responsibility of the division of children, youth, and families.
III. If the court or justice determines that the release described in paragraph II will not reasonably assure the appearance of the
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person as required or, as described in paragraph II or VI, will endanger the safety of the person or of any other person or the community, he shall issue an order that includes the following conditions:
(a) The condition that the person not commit a crime during the period of release; and
(b) Such further condition or combination of conditions that he determines will reasonably assure the appearance of the person as required and the safety of the person or of any other person or the community, which may include the condition that the person:
(1) Execute an agreement to forfeit, upon failing to appear within 45 days of the date required, such designated property, including money, as is reasonably necessary to assure the appearance of the person as required, and post with the court such indicia of ownership of the property or such percentage of the money as the court or justice may specify;
(2) Furnish bail for his appearance by recognizance with sufficient sureties or by deposit of moneys equal to the amount of the bail required as the court or justice may direct; and
(3) Satisfy any other condition that is reasonably necessary to assure the appearance of the person as required and to assure the safety of the person or of any other person or the community.
In considering the conditions of release described in subparagraph III(b)(1) or III(b)(2), the court may upon its own motion, or shall upon the motion of the state, conduct an inquiry into the source of the property to be designated for potential forfeiture or offered as collateral to secure a bond, and shall decline to accept the designation, or the use as collateral, of property that because of its source will not reasonably assure the appearance of the person as required.
III-a. If a person is charged with any of the offenses listed in RSA 173-B:1, I or with violation of a protective order issued under RSA 458:16, III or RSA 173-B, the court or justice may order preventive detention without bail, or, in the alternative, restrictive conditions including but not limited to electronic monitoring and supervision, if there is clear and convincing evidence that the person poses a danger to another. The court or justice may consider, but shall not be limited to considering, any of the following conduct as evidence of posing a danger:
(a) Threats of suicide.
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(b) Acute depression.
(c) History of violating protective orders.
(d) Possessing or attempting to possess a deadly weapon in violation of an order.
(e) Death threats or threats of possessiveness toward another.
(f) Stalking, as defined in RSA 633:3-a.
(g) Cruelty to or violence directed toward pets.
III-b. A no-contact provision contained in any bail order shall not be construed to:
(a) Prevent counsel for the defendant to have contact with counsel for any of the individuals protected by such provision; or
(b) Prevent the parties, if the defendant and one of the protected individuals are parties in a domestic violence or marital matter, from attending court hearings scheduled in such matters or exchanging copies of legal pleadings filed in court in such matters.
IV. In a release order issued pursuant to the provisions of this section, the court or justice shall include a written statement that sets forth:
(a) All of the conditions to which the release is subject, in a manner sufficiently clear and specific to serve as a guide for the person's conduct; and
(b) The provisions of RSA 641:5, relative to intimidation of witnesses and informants.
V. A person charged with an offense who is, and was at the time the offense was committed, on
(a) Release pending trial for a felony or misdemeanor under federal or state law;
(b) Release pending imposition or execution of sentence, appeal of sentence or conviction, or completion of sentence, for any offense under federal or state law; or
(c) Probation or parole for any offense under federal or state law, except as provided in RSA 597:1-d, III may be detained for a period of not more than 72 hours from the time of his arrest, excluding Saturdays, Sundays and holidays. The law enforcement agency making the arrest shall notify the appropriate court, probation or parole official, or federal, state or local law enforcement official. Upon such notice the court shall also direct the clerk to notify by telephone the division of field services, department of corrections, of the pending bail hearing. If
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the official fails or declines to take the person into custody during that period, the person shall be treated in accordance with the provisions of law governing release pending trial. Probationers and parolees who are arrested and fail to advise their supervisory probation officer or parole officer in accordance with the conditions of probations and parole may be subject to arrest and detention as probation and parole violators.
VI. Notwithstanding any law to the contrary, upon the appearance of a person charged with a class B misdemeanor, the court or justice shall issue an order that, pending arraignment, the person be released on his personal recognizance, unless the court determines that such release will endanger the safety of the person or of any other person or the community. The court shall appoint an attorney to represent any indigent person charged with a class B misdemeanor denied release for the purpose of representing such person at any detention hearing.
597:7-a Detention and Sanctions for Default or Breach of Conditions.
I. A peace officer may detain an accused until he can be brought before a justice if he has a warrant issued by a justice for default of recognizance or for breach of conditions of release or if he witnesses a breach of conditions of release. The accused shall be brought before a justice for a bail revocation hearing within 48 hours, Saturdays, Sundays and holidays excepted.
I-a. If a person violates a restraining order issued under RSA 458:16, III, or a protective order issued under RSA 633:3-a, or a temporary or permanent protective order issued under RSA 173-B by committing assault, criminal trespass, criminal mischief, or another criminal act, a peace officer shall arrest the accused, detain the accused pursuant to RSA 594:19-a, bring the accused before a justice pursuant to RSA 594:20-a, and refer the accused for prosecution. Such arrest may be made within 12 hours after a violation without a warrant upon probable cause whether or not the violation is committed in the presence of the peace officer.
II. A person who has been released pursuant to the provisions of this chapter and who has violated a condition of his release is subject to a revocation of release, an order of detention, and a prosecution for contempt of court.
III. The state may initiate a proceeding for revocation of an order of release by filing a motion with the court which ordered the release and the order of which is alleged to have been violated. The court may issue a warrant for the arrest of a person charged with violating a condition of release, and the person shall be brought before the
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court for a proceeding in accordance with this section. The court shall enter an order of revocation and detention if, after a hearing, the court:
(a) Finds that there is:
(1) Probable cause to believe that the person has committed a federal, state, or local crime while on release; or
(2) Clear and convincing evidence that the person has violated any other condition of release or has violated a temporary or permanent protective order by conduct indicating a potential danger to another; and
(b) Finds that:
(1) There is no condition or combination of conditions of release that will assure that the person will not flee or that the person will not pose a danger to the safety of himself or any other person or the community; or
(2) The person is unlikely to abide by any condition or combination of conditions of release.
If there is probable cause to believe that, while on release, the person committed a federal or state felony, a rebuttable presumption arises that no condition or combination of conditions will assure that the person shall not pose a danger to the safety of any other person or the community. If the court finds that there are conditions of release that shall assure that the person will not flee or pose a danger to the safety of himself or any other person or the community, and that the person will abide by such conditions, he shall treat that person in accordance with the provisions of RSA 597:2 and may amend the conditions of release accordingly.
IV. The state may commence a prosecution for contempt if the person has violated a condition of his release.
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Rules of the Circuit Court of the State of New Hampshire - - District Division
Criminal Rules
Rule 2.1. The Complaint
A. The complaint shall be drafted in accordance with the Statute.
B. Unless otherwise permitted by law, the Court may permit a complaint to be amended at any time before finding if no additional or different offense is charged and if substantial rights of the defendant are not prejudiced.
C. Every defendant shall be entitled to a copy of the complaint upon request and without cost to the defendant. In courts without photocopying facilities, the defendant shall be entitled to copy the complaint.
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American Bar Association’s
Standards for Imposing Lawyer Sanctions
Section 3.0: Generally
In imposing a sanction after a finding of lawyer misconduct, a court should consider the following factors:
(a) the duty violated; (b) the lawyer’s mental state; (c) the potential or actual injury caused by the lawyer’s misconduct; and (d) the existence of aggravating or mitigating factors.
Section 4.3: Failure to Avoid Conflicts of Interest
4.31 Disbarment is generally appropriate when a lawyer, without the informed consent of client(s):
(a) engages in representation of a client knowing that the lawyer’s interests are adverse to the client’s with the intent to benefit the lawyer or another, and causes serious or potentially serious injury to the client; or
(b) simultaneously represents clients that the lawyer knows have adverse interests with the intent to benefit the lawyer or another, and causes serious or potentially serious injury to a client; or
(c) represents a client in a matter substantially related to a matter in which the interests of a present or former client are materially adverse, and knowingly uses information relating to the representation of a client with the intent to benefit the lawyer or another, and causes serious or potentially serious injury to a client.
4.32 Suspension is generally appropriate when a lawyer knows of a conflict of interest and does not fully disclose to a client the possible effect of that conflict, and causes injury or potential injury to a client.
4.33 Reprimand4 is generally appropriate when a lawyer is negligent in determining whether the representation of a client may be materially affected by the lawyer’s own interests, or whether the representation will adversely affect another client, and causes injury or potential injury to a client.
4 Section 4.33 uses the term “Reprimand.” The most analogous sanction in New
Hampshire is a Public Censure.
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4:34 Admonition5 is generally appropriate when a lawyer engages in an isolated instance of negligence in determining whether the representation of a client may be materially affected by the lawyer’s own interests, or whether the representation will adversely affect another client, and causes little or no actual or potential injury to a client.
Section 4.5: Lack of Competence
4.51 Disbarment is generally appropriate when a lawyer’s course of conduct demonstrates that the lawyer does not understand the most fundamental legal doctrines or procedures, and the lawyer’s conduct causes injury or potential injury to a client.
4.52 Suspension is generally appropriate when a lawyer engages in an area of practice in which the lawyer knows he or she is not competent, and causes injury or potential injury to a client.
4.53 Reprimand is generally appropriate when a lawyer:
(a) demonstrates failure to understand relevant legal doctrines or procedures and causes injury or potential injury to a client; or
(b) is negligent in determining whether he or she is competent to handle a legal matter and causes injury or potential injury to a client.
4.54 Admonition is generally appropriate when a lawyer engages in an isolated instance of negligence in determining whether he or she is competent to handle a legal matter, and causes little or no actual or potential injury to a client.
Section 9.0: Aggravation and Mitigation
9.1 Generally
After misconduct has been established, aggravating and mitigating circumstances may be considered in deciding what sanction to impose.
9.2 Aggravation
9.21 Definition. Aggravation or aggravating circumstances are any considerations or factors that may justify an increase in the degree of discipline to be imposed.
9.22 Factors which may be considered in aggravation.
Aggravating factors include:
(a) prior disciplinary offenses; (b) dishonest or selfish motive; (c) a pattern of misconduct;
5 Section 4.34 uses the term “Admonition.” The most analogous sanction in New
Hampshire is a Reprimand.
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(d) multiple offenses; (e) bad faith obstruction of the disciplinary proceeding by
intentionally failing to comply with rules or orders of the disciplinary agency;
(f) submission of false evidence, false statements, or other deceptive practices during the disciplinary process;
(g) refusal to acknowledge wrongful nature of conduct; (h) vulnerability of victim; (i) substantial experience in the practice of law; (j) indifference to making restitution; (k) illegal conduct, including that involving the use of controlled
substances.
9.3 Mitigation
9.31 Definition. Mitigation or mitigating circumstances are any considerations or factors that may justify a reduction in the degree of discipline to be imposed.
9.32 Factors which may be considered in mitigation.
Mitigating factors include:
(a) absence of a prior disciplinary record; (b) absence of a dishonest or selfish motive; (c) personal or emotional problems; (d) timely good faith effort to make restitution or to rectify
consequences of misconduct; (e) full and free disclosure to disciplinary board or cooperative
attitude toward proceedings; (f) inexperience in the practice of law; (g) character or reputation; (h) physical disability; (i) mental disability or chemical dependency including alcoholism
or drug abuse when: (1) there is medical evidence that the respondent is affected by
a chemical dependency or mental disability; (2) the chemical dependency or mental disability caused the
misconduct; (3) the respondent’s recovery from the chemical dependency or
mental disability is demonstrated by a meaningful and sustained period of successful rehabilitation; and
(4) the recovery arrested the misconduct and recurrence of that misconduct is unlikely;
(j) delay in disciplinary proceedings; (k) imposition of other penalties or sanctions; (l) remorse; (m) remoteness of prior offenses.