FindLaw Opinion Summaries - Ethics & PR

Heath v. SEC

Wed, 4 Nov 2009 20:00:02 PDT

(U.S. 2d Cir., Administrative Law, Ethics & Disciplinary Code, Ethics & Professional Responsibility, M&A, Securities Law) Investment banker's petition for review of the SEC's affirmance of the New York Stock Exchange's (NYSE) finding that petitioner violated NYSE Rule 476(a)(6) by disclosing a client's confidential information to a third party, the petition is denied where: 1) a violation of the rule did not require bad faith; 2) mere unethical conduct was sufficient for violation of the rule outside the breach of contract context; and 3) summary judgment was appropriate on the issue of petitioner's guilt.

In the Matter of: Proeducation Int'l. Inc.

Fri, 30 Oct 2009 21:00:02 PDT

(U.S. 5th Cir., Bankruptcy Law, Ethics & Disciplinary Code, Ethics & Professional Responsibility, Sanctions) In an appeal from the district court's affirmance of the bankruptcy court's order disqualifying counsel for a creditor, the order is reversed where: 1) the bankruptcy court should have considered counsel's evidence of his lack of involvement with the debtor while at his prior law firm in making its decision; and 2) counsel presented sufficient evidence to demonstrate that he did not operate under a conflict of interest when he undertook the representation of creditor.

Zhang v. Sup. Ct.

Thu, 29 Oct 2009 21:00:02 PDT

(Cal. App., Commercial Law, Consumer Protection Law, Ethics & Professional Responsibility, Government Law, Insurance Law) In plaintiff's action against her insurer over disputes arising from a fire of her commercial premises, district court's ruling sustaining defendant's demurrer to a cause of action under the Unfair Competition Law (UCL), Business and Professions Code section 17200, is vacated and remanded with directions to reinstate the cause of action as an insurer connected with conduct that would violate Insurance Code section 790.03 can also give rise to a private civil cause of action under the UCL.

In re: Riebesell

Wed, 28 Oct 2009 20:00:02 PDT

(U.S. 10th Cir., Bankruptcy Law, Ethics & Disciplinary Code, Ethics & Professional Responsibility) In a bankruptcy adversary proceeding seeking to prevent the discharge of a debt owed to plaintiff by his attorney (the debtor), judgment for plaintiff is affirmed where: 1) the parties had an attorney-client relationship during the relevant period under Colorado law; 2) the loans to defendant were not "standard commercial transactions" exempt from the requirements of Colo. R. Prof'l Conduct 1.8(a); and 3) the bankruptcy court's finding that defendant had the requisite intent to deceive plaintiff was not clearly erroneous.

In the Matter of: Greater Southeast Cmty. Hosp. Found., Inc.

Tue, 27 Oct 2009 20:00:02 PDT

(U.S. D.C. Cir., Bankruptcy Law, Civil Procedure, Ethics & Professional Responsibility) In an appeal from a district court order striking plaintiff's attorney as counsel of record and terminating his status as an appellant from a bankruptcy court order, the order is affirmed where: 1) counsel was not a licensed attorney; and 2) he lacked prudential standing to appeal from the bankruptcy court's order.

Casey v. FDIC

Tue, 20 Oct 2009 20:00:03 PDT

(U.S. 8th Cir., Banking Law, Civil Procedure, Ethics & Professional Responsibility) In an action against mortgage lenders alleging that the lenders had engaged in the unauthorized practice of law by charging a fee for preparation of loan documents by nonlawyers, judgment for defendant is affirmed where: 1) all claims in a case to which the FDIC was a party had "arising under" federal subject matter jurisdiction; and 2) the document preparation fees at issue constituted loan-related fees, including without limitation, initial charges, as enumerated in 12 C.F.R. section 560.2(b)(5).

White v. Cridlebaugh

Tue, 20 Oct 2009 20:00:02 PDT

(Cal. App., Construction, Consumer Protection Law, Contracts, Ethics & Professional Responsibility, Government Law, Property Law & Real Estate, Remedies) In plaintiffs' action against various defendants including a building contractor involved in the construction of their retirement home, the judgment of the trial court is modified as the corporation that acted as the building contractor on the project violated the California's licensure requirements and, based on that violation, the homeowners are entitled under Business and Professions Code section 7031(b) to recover all compensation paid to the contractor for the unlicensed work. Furthermore, as a matter of statutory construction, the recovery authorized by section 7031(b) may not be reduced by an unlicensed contractor's claim of offset for materials and services provided in connection with the unlicensed work.

In re Jaffe

Mon, 19 Oct 2009 20:00:03 PDT

(U.S. 2d Cir., Ethics & Disciplinary Code, Ethics & Professional Responsibility) The Committee on Attorney Admissions and Grievances' findings of fact and recommendation of public reprimand against an attorney are adopted where there was clear and convincing evidence that the attorney had engaged in conduct unbecoming a member of the bar. Additionally, the attorney is removed from the court's bar.

US v. Evanson

Mon, 19 Oct 2009 20:00:03 PDT

(U.S. 10th Cir., Criminal Law & Procedure, Ethics & Professional Responsibility) Defendant's tax fraud conviction is affirmed where the disqualification of defendant's counsel did not violate his right to counsel under the Sixth Amendment because the district court reasonably assessed the problems that could arise from counsel's continued representation of defendant.

Nordwind v. Rowland

Fri, 16 Oct 2009 20:00:04 PDT

(U.S. 2d Cir., Contracts, Ethics & Professional Responsibility, Injury And Tort Law, Probate, Trusts & Estates, Professional Malpractice) In an action for legal malpractice, summary judgment for defendants is affirmed where plaintiffs failed to show actual injury because, under German law, they would have only been entitled to 50% of the subject inheritance regardless of any malpractice on the part of their counsel.

US v. Ruehle

Wed, 30 Sep 2009 20:00:01 PDT

(U.S. 9th Cir., Civil Procedure, Criminal Law & Procedure, Ethics & Professional Responsibility, Evidence, Securities Law) In an options backdating prosecution of a former Broadcom executive, the district court's order suppressing all evidence reflecting defendant's statements to attorneys from Broadcom's outside counsel regarding the stock option granting practices at Broadcom is reversed where, by approaching the exclusion question with a presumption that the privilege attached, the district court inverted the burden of proof, improperly placing the onus on the government to show what information was not privileged.

Guardianship of K.S.

Wed, 30 Sep 2009 20:00:01 PDT

(Cal. App., Ethics & Professional Responsibility, Probate, Trusts & Estates, Remedies) In an action involving the removal of a trustee of a life insurance trust established to provide for petitioner's son and his brother, trial court's orders denying respondent-trustee's objections, approving a third guardianship accounting petition, and ordering trustee to pay petitioner compensatory damages in the amount of $77,573.40 is affirmed as trial court did not abuse its discretion in overruling trustee's objections, nor in finding unreasonable and bad-faith assertion of meritless objections in awarding the compensatory damages.

Murray v. Metro. Life Ins. Co.

Tue, 29 Sep 2009 20:00:01 PDT

(U.S. 2d Cir., Civil Procedure, Class Actions, Ethics & Professional Responsibility, Insurance Law) In an action alleging fraud in connection with the demutualization of defendant life insurance company, disqualification of defense counsel on the ground that it represented defendant in the underlying demutualization is reversed where: (1) the firm did not have an attorney-client relationship with the policyholders by virtue of its representation of defendant in the transaction; and (2) plaintiffs failed to establish that the purported violation of the witness-advocate rule in this case would warrant disqualification.

Hylton v. Frank E. Rogozienski, Inc.

Wed, 23 Sep 2009 20:00:01 PDT

(Cal. App., Attorney's Fees, Civil Procedure, Contracts, Ethics & Professional Responsibility, Professional Malpractice) In plaintiff's legal malpractice action against his former attorney seeking damages and rescission of a contingency fee contract, trial court's denial of defendant's anti-SLAPP motion is affirmed as: 1) the trial court correctly ruled that defendant had not met his threshold burden of showing that plaintiff's claims arise from petitioning activity within the purview of the anti-SLAPP statute; and 2) this rendered unnecessary any consideration of defendant's arguments that plaintiff failed to show probable success on the merits.

Hearn v. Howard

Wed, 23 Sep 2009 20:00:01 PDT

(Cal. App., Attorney's Fees, Civil Procedure, Ethics & Professional Responsibility, Professional Malpractice) In a claim for legal malpractice, trial court's denial of defendant's motion to vacate entry of default and a default judgment against her on the complaint filed by the plaintiffs is affirmed as there is no basis to conclude that the trial court abused its discretion. However, the judgment is modified to omit $15,000 in attorney fees because that amount was not specified in the complaint.