67 Ohio St. 3d 401 | Ohio | 1993
DR 6-101 (A)(3) states that “A lawyer shall not * * * neglect a legal matter entrusted to him.” This court has previously interpreted this rule to warrant sanction when an attorney neglects to file necessary legal papers for clients and answer clients’ inquiries, fails to prosecute actions on a client’s behalf, and mismanages probate proceedings and guardianships. Cincinnati Bar Assn. v. Ebel (1983), 5 Ohio St.3d 145, 5 OBR 277, 449 N.E.2d 456; Disciplinary Counsel v. Giegel (1990), 56 Ohio St.3d 58, 564 N.E.2d 84; Disciplinary Counsel v. Oglesby (1992), 64 Ohio St.3d 39, 591 N.E.2d 1214. Neglect of this nature warrants disciplinary action contingent upon the severity and pervasiveness of the conduct. The case at bar concerns the vicarious responsibility of a lawyer for the conduct of the nonlawyer employee and is of first impression in this state.
Respondent argues that, under ABA Model Rules 5.1 and 5.3, a lawyer’s vicarious responsibility in a disciplinary proceeding is limited to those situations where the lawyer orders or with knowledge ratifies, or fails to take reasonable remedial action upon learning of, the employee’s wrongful acts.
“(a) a partner in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person’s conduct is compatible with the professional obligations of the lawyer;
“(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person’s conduct is compatible with the professional obligations of the lawyer.” (Emphasis added.)
Therefore, this court concurs in the board’s finding and in its recommendation, and orders that respondent be suspended from the practice of law in this state for a period of six months.
Costs taxed to respondent.
Judgment accordingly.
. The specific provisions to which respondent makes reference provide as follows:
“Rule 5.1
“Responsibilities of a Partner or Supervisory Lawyer:
“(c) A lawyer shall be responsible for another lawyer’s violation of the Rules of Professional Conduct if:
“(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
“(2) the lawyer is a partner in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.”
“Rule 5.3
“Responsibilities Regarding Nonlawyer Assistants
« * * *
“(c) [A] lawyer shall be responsible for conduct of such a person [nonlawyer] that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if:
“(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or
“(2) the lawyer is a partner in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.”