ATTORNEY GRIEVANCE COMMISSION OF MARYLAND v. Anthony Ignatius BUTLER, Jr.
Misc. Docket AG No. 14, Sept. Term, 2011
Court of Appeals of Maryland.
May 21, 2012
44 A.3d 1022
JUDGMENT OF THE CIRCUIT COURT FOR ANNE ARUNDEL COUNTY IS VACATED. CASE REMANDED TO THAT COURT FOR ENTRY OF A DECLARATORY JUDGMENT NOT INCONSISTENT WITH THIS OPINION. COSTS IN THIS COURT TO BE PAID BY APPELLEES.
Kimberly M. Thomas, Esquire of the Law Offices of Kimberly M. Thomas, LLC, Baltimore, MD, for respondent.
BELL, C.J., HARRELL, BATTAGLIA, GREENE, ADKINS, BARBERA, and McDONALD, JJ.
McDONALD, J.
The Attorney Grievance Commission (“Commission“) charged Anthony I. Butler with violating several provisions of the Maryland Lawyers’ Rules of Professional Conduct (“MLRPC“), including
Judge Sfekas made various findings of fact and concluded that Mr. Butler failed to provide competent and diligent
Background1
Mr. Butler was admitted to the Maryland Bar in January 2003. He has also been admitted to practice before the United States District Court for the District of Maryland. After a period in which he served as in-house counsel for a consulting firm, Mr. Butler began a solo practice focused on employment law. Within the three years preceding this action, Mr. Butler was disciplined on several occasions, including two appearances before this Court, and received two reprimands and a 30-day suspension for multiple violations of the disciplinary rules. See Attorney Grievance Comm‘n v. Butler, 419 Md. 626, 20 A.3d 103 (2011); Attorney Grievance Comm‘n v. Butler, 406 Md. 576, 960 A.2d 627 (2008).
The alleged violations in the current action stem from his representation of Ferguson Towing, Inc. (“FTI“) and its owners, Freda Ferguson (“Mrs. Ferguson“) and Keith Ferguson (“Mr. Ferguson“), in litigation beginning in March 2009. In particular, the allegations are based on Mr. Butler‘s failure to
The November 2, 2009, Trial Date
FTI was a defendant in a tort action in the District Court of Maryland, sitting in Baltimore City, arising out of an automobile accident involving one of their employees. GEICO, the insurance company and subrogee of the accident victim, was the plaintiff in that case.2 FTI‘s defense was that the employee was acting outside the scope of his employment at the time of the accident and that the Fergusons had been unaware of the accident. Trial was set for November 2, 2009. On November 1, Mr. Butler, on behalf of another client in a criminal case in the District Court of Maryland, sitting in Baltimore County, requested a jury trial. The case was immediately transferred to the Circuit Court for Baltimore County and, apparently in accordance with standard practice in that jurisdiction, scheduled for a jury trial the next day—November 2, 2009. As a result, Mr. Butler was scheduled to appear on November 2 before both the District Court in Baltimore City and the Circuit Court in Baltimore County.
Mr. Butler anticipated that the criminal matter would be resolved quickly, and so planned to handle both cases as scheduled. He believed that he could appear first for the criminal case in the Circuit Court for Baltimore County and would have sufficient time to travel to the District Court in Baltimore City for the Fergusons’ trial. According to Mr. Butler, on November 1, he called and left a message for GEICO‘s attorney and also called the Fergusons to advise them of the scheduling conflict and his plan for dealing with it. However, according to the Fergusons, they were not told of his scheduling conflict prior to the November 2 trial date.3
While the Fergusons had been waiting for Mr. Butler to arrive, they had a conversation with GEICO‘s counsel. According to Mrs. Ferguson, GEICO‘s counsel told her that the insurance company would drop FTI as a defendant if the Fergusons proffered to the court, with Mr. Butler present, that they had been unaware that the accident had occurred.5 Mrs. Ferguson thus believed that FTI‘s involvement in the case could be concluded at the next court proceeding.
At some time after the November 2 postponement, Mrs. Ferguson received notice from the District Court that the new trial date would be Friday, February 5, 2010. According to Mr. Butler, he did not receive a notice from the court and was thus unaware of the new trial date until he spoke with Mrs. Ferguson shortly before that date.
The February 5, 2010, Trial Date
Early in the week of February 1, Mrs. Ferguson contacted Mr. Butler. When Mrs. Ferguson informed him that the trial was set for that Friday, Mr. Butler told her that he would be in Orlando, Florida, for an American Bar Association (“ABA“)
According to Mr. Butler, he was unable to reach GEICO‘S attorney. He then attempted to secure substitute counsel that week for the Friday court appearance. Although he did not appear to recall precisely the attorneys that he contacted, Mr. Butler stated that he would have made this request to two attorneys with whom he shared office space. He submitted phone records of calls made on February 4 to these attorneys as evidence that he attempted to recruit them as substitute counsel. However, he admitted that neither attorney had confirmed that he would act as substitute counsel in the case before Mr. Butler left for Orlando. In interviews with the Commission‘s investigator, one of the attorneys stated that he had substituted for Mr. Butler in the past, but could not recall whether he had agreed to do so in the FTI case; the other attorney denied that he had ever served as substitute counsel for Mr. Butler. In the end, no attorney attended the District Court on February 5 on behalf of FTI.
Having not received an update from Mr. Butler about the status of their case, the Fergusons went to the District Court on February 5 to see whether their case was on the docket. They discovered that the case had already been called and that a default judgment had been entered against FTI in the amount of $12,213.54. The Fergusons then decided to terminate Mr. Butler as their attorney.
On February 25, Mrs. Ferguson visited Roland Walker, an attorney who worked in the same building as Mr. Butler, to explore hiring him as their new counsel. Mr. Walker called Mr. Butler and asked him to strike his appearance in the case. Mr. Walker also told Mr. Butler that Mrs. Ferguson would be coming to his office to obtain a release. In the meeting that followed, Mr. Butler told Mrs. Ferguson that he would not collect on any outstanding fees they owed him. He then drafted and printed a “Settlement Agreement and Release” (“Agreement“), which they both signed. Under that Agreement the Fergusons purported to waive all potential causes of action against Mr. Butler while Mr. Butler agreed to waive payment of an outstanding bill and to withdraw his appearance in any outstanding matters. The Agreement did not, however, advise the Fergusons that they could seek advice from independent counsel concerning the Agreement. Nor was there any separate written notice to that effect.
Judge Sfekas’ Conclusions of Law and the Commission‘s Exceptions
In a detailed analysis based on these facts, Judge Sfekas concluded that there was clear and convincing evidence that Mr. Butler violated
Exceptions
Mr. Butler did not file exceptions to either the findings of fact or conclusions of law. The Commission also did not except to the findings of fact. However, it did contest those instances in which the hearing judge found that a particular rule had not been violated and also excepted to the judge‘s findings concerning mitigation.
Discussion
We review the hearing judge‘s conclusions of law de novo pursuant to Rule 16-759(b)(1), in light of the exceptions filed by the Commission. In assessing the Commission‘s exceptions to the hearing judge‘s findings as to mitigation, we consider whether the mitigating circumstance was proven by a preponderance of the evidence. Rules 16–759(b)(2)(B), 16-757(b). For the reasons set forth below, we overrule all but one of the Commission‘s exceptions and adopt the conclusions of the hearing judge as to violations and his findings as to mitigation.
MLRPC 1.1
Judge Sfekas concluded that Mr. Butler‘s failure to appear or to provide substitute counsel for the February 5 trial was a violation of
MLRPC 1.2
We also agree with the hearing judge that Mr. Butler violated
MLRPC 1.4
MLRPC 1.8(h)
It is notable that Mr. Butler has been reprimanded in a previous disciplinary proceeding for having a client execute a similar agreement without the requisite written advice to seek independent counsel. Judge Sfekas reasoned that, given that the incident with the Fergusons preceded that reprimand, Mr. Butler “was technically already punished” for his practice of using this settlement and release document—which the judge considered a mitigating factor, together with Mr. Butler‘s assurance that he has now abandoned use of the form.
The Commission‘s exception to this analysis is well taken. Mr. Butler is presumed to be familiar with the rules of professional conduct, as are all lawyers, and the enforcement of those rules, as has been oft said, is for the protection of the public rather than the punishment of the lawyer who violates them. Mr. Butler‘s use of this settlement form with a client on multiple occasions without advising the client in writing on
MLRPC 3.4(c)
MLRPC 4.2, 8.1, and 8.4(c)
No exceptions were filed to Judge Sfekas’ conclusions that Mr. Butler did not violate
Sanction
On the other hand, Judge Sfekas found numerous mitigating circumstances, both in relation to the specific violations and in overall consideration of the appropriate sanction. He concluded that Mr. Butler‘s actions were not the result of a dishonest or selfish motive. And, while Mr. Butler‘s use of a release form to obtain waivers of liability from his clients without the requisite disclaimer and opportunity for the client to seek independent advice, it is a mitigating circumstance that he has corrected this practice since he was first reprimanded about it. Judge Sfekas also noted positive aspects of Mr. Butler‘s character and reputation, such as his commitment to community service, his involvement with the Maryland Volunteer Lawyers’ Service, and his participation in various professional organizations.13
Given Mr. Butler‘s disciplinary history, a stronger deterrent to future misconduct is in order. Were this Mr. Butler‘s first and only transgression, a reprimand would perhaps be appropriate. See, e.g., Attorney Grievance Comm‘n v. Mahone, 398 Md. 257, 271, 920 A.2d 458, 466 (2007) (attorney who failed to appear at court proceedings and was discourteous but had no record of prior disciplinary proceedings given reprimand). Mr. Butler has now been found to have violated
It is so ordered. Respondent shall pay all costs as taxed by the Clerk of this Court, including costs of all transcripts, pursuant to Maryland Rule 16-761, for which sum judgment is entered in favor of the Attorney Grievance Commission against Anthony I. Butler.
HARRELL and BATTAGLIA, JJ., concur and dissent.
HARRELL, J., concurring and dissenting, in which BATTAGLIA, J., joins.
Although I agree with the Majority opinion‘s discussion and resolution of the exceptions, I depart somewhat from its
Considering the relatively narrow window of practice within which Butler‘s overall disciplinary record was formed and the remarkably common subject matter characteristics of the transgressions, two reprimands and a 30-day suspension had no effect. That apparent failure suggests to me that Butler has not yet identified what constitutes the proper conduct of the practice of law. His ongoing “active participation in multiple bar associations,” noted by the Majority (Majority op. at 538-39 n. 13, 44 A.3d at 1032 n. 13), would be deserving ordinarily of approbation, but here implies that it is part of the problem with compliance with his primary duties to clients and our courts.
It is my judgment that a 90-day suspension is at the very least required to persuade Butler (and the Bar) that description of a suspension as “significant” or “a strong deterrent” is more than gainsaid or mere rhetoric.
