ACCEPTED
01-13-00635-cv
FIRST COURT OF APPEALS
HOUSTON, TEXAS
4/14/2015 12:46:23 PM
CHRISTOPHER PRINE
CLERK
IN THE COURT OF APPEALS
FOR THE FIRST DISTRICT OF TEXAS
FILED IN
HOUSTON, TEXAS 1st COURT OF APPEALS
HOUSTON, TEXAS
4/14/2015 12:46:23 PM
CHRISTOPHER A. PRINE
Clerk
No. 01 -13-00635-CV
D. PATRICK SMITHERMAN,
Appellant,
v.
COMMISSION FOR LAWYER DISCIPLINE,
Appellee
On appeal from the I 29th Judicial District Court
Of Harris County, Texas
Trial Court Cause No. 2010-10256
Specially Appointed Judge Richard A. Beacom Presiding
APPELLANT'S MOTION FOR EN BANC RECONSIDERATION
D. PATRICK SMITHERMAN
State Bar No. 24027992
1044 W. 25th Street #E
Houston, Texas 77008
Telephone: (832) 712-1842
ProSe
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TABLE OF CONTENTS
PAGE
PROCEDURAL IllS TORY ............................ . .......... ... ...... ... . ....... .. ....3
BASES FOR EN BANC RECONSIDERATION ........................................ .3
ISSUES FOR RECONSIDERATION ...................................................... 8
CONCLUSION ................................. ..... . ... .................................... 10
PRAYER .......... . ............ ....... ................................. .... .................. 11
CERTIFICATE OF SERVICE ............................................................ !!
CERTIFICATION ................. ......... .... ..... ...... .... ....... ...... .... ........ ..... 11
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PROCEDRUAL HISTORY
The Panel's Opinion was issued on February 26, 2015. Appellant timely
filed a Motion for Rehearing before the Panel on March 4, 2015. The Appellee did
not file a response to same. The Motion for Rehearing was overruled on March 31,
2015. This Motion for En Bane Reconsideration is timely filed subsequent to the
decision by the Panel to deny the Motion for Rehearing, and according to the
Texas Rules of Appellate Procedure. Appellant requests a ruling on this Motion
for En Bane Reconsideration within the Court's plenary jurisdiction.
BASES FOR EN BANC RECONSIDERATION
Extraordinary circumstances require en bane consideration of this case.
Appellant will not re-brief herein the argument Appellant has already made in his
Brief, Reply Brief, and Motion for Rehearing - such argument has already been
made. Rather, Appellant cites those same pleadings and incorporates them herein
in their entirety. Appellant requests reconsideration en bane of every single Issue
that he has argued in this appellate proceeding.
Why do extraordinary circumstances exist such that this case should be
reviewed before the entire Court? There are several reasons, any of one of which
the Appellant respectfully submits should result in the Court granting the en bane
consideration requested herein by Appellant:
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1) Appellant won a jury Verdict, which the Opinion does not seem to
address. In fact, the rather one-sided Opinion reveals that the Panel
did not seek to fmd any evidence in support of the Verdict, but rather
sought only to support the Final Judgment. As the Final Judgment
was based upon a claim and argument that was never made at trial (in
fact, the CFLD argued the direct opposite argument to the jury), this
sets a rather troubling precedent not just in disciplinary cases but in all
civil cases. Appellant submits this justifies en bane reconsideration.
2) The Panel inexplicably refused to address several Issues presented by
Appellant it was required to rule upon under the Texas Rules of
Appellate Procedure. Appellant used these omissions as bases for his
request rehearing, but ultimately to no avail. One of the Issues not
addressed in the Opinion - that the Final Judgment was not supported
by the pleadings- was the very first Issue briefed by Appellant and
one of the Appellant's strongest arguments in favor of reversal.
Appellant is at a loss for why the Panel would not address one of his
strongest arguments for why the Final Judgment was obviously
improper. To not rule upon this Issue as well as the other Issues the
Panel did not address suggests the Panel punted in this regard. This
has necessitated en bane reconsideration.
3) The Panel used the incorrect standard for reviewing the granting of a
JNOV, which was involved in this case (the trial court granted the
CFLD's request for a JNOV). Instead, the Panel used the standard for
reviewing the denial of a JNOV. As the Opinion shows, the Panel
consistently addressed what the evidence purported to "conclusively
show" in support of the Final Judgment rather than whether there was
any evidence in support of the Verdict. Appellant used this as a basis
for rehearing, but to no avail. Appellant believes this be somewhat
obvious error, and so respectfully requests en bane reconsideration to
address this error.
4) As alluded to above, the Panel refused to address the evidence in
support of the Verdict, including the testimony of Mr. Perry and
Appellant. The Panel focused exclusively on what evidence it
considered to be in support of the Final Judgment. Appellant used
this as a basis for rehearing, but ultimately to no avail. This justifies
en bane reconsideration.
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5) The Panel avoided review of the sanction on the grounds that
Appellant waived his argument, when clearly Appellant did not. This
justifies en bane reconsideration.
6) The Panel's Opinion regarding the judicial admissions made by the
CFLD should be reversed. Respectfully, the Panel seemed to make
findings on these obvious admissions that were in complete opposite
to the law. This justifies en bane reconsideration.
7) Quite notably, the trial court acknowledged during the sanctions
hearing that the remaining $276,000 in funds (all of the funds
remaining from the Petrosearch settlement that were at issue during
the disciplinary hearing) were clearly disputed, which begs the
question then as to why the trial court granted the JNOV. Given that
the trial court admitted during the sanctions hearing that the entire
basis upon which it granted the JNOV during the evidentiary phase
meant the trial court should have denied the JNOV justifies en bane
reconsideration.
In addition to not addressing - at all - Appellant's Issue that the Final
Judgment did not conform to the pleadings (Point 2, above), the Opinion:
completely ignored Appellant' s argument that the State Bar's own guidelines on
disputed funds state that Appellant's actions were completely ethical and in
accordance with the Rules. Appellant is left to wonder why the Panel sought to
avoid these Issues, especially given a fair treatment of these Issues would lead to
reversal of the Final Judgment.
Moreover, the fact that the trial court acknowledged during the sanctions
hearing that all of the relevant funds were in dispute is particularly deserving of
reconsideration considering that the claim that these funds were not in dispute (less
the $50,000) was the entire foundation of the Rule 1.14(c) violation as alleged by
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the CFLD, and as such the entire foundation for the granting of the JNOV by the
trial court. Admittedly, the Appellant chose to focus on this admission by the trial
court during the sanctions hearing by way of his Motion for Rehearing in manner
in which he had not during his Brief. But the fact remains, the trial court made a
fmding on the record that completely undermines the granting of the JNOV and
indeed the entire basis of the Final Judgment. The trial court found the funds were
all disputed. This alone justifies reversal. Because the trial court would not
address this argument by way of rehearing, Appellant seeks en bane
reconsideration.
The jury in this case vindicated Appellant, and Appellant intends to honor
that and to reclaim the Verdict that was rightfully awarded to him. With all due
respect to the Panel, it seems as though the Panel did not attempt at all to look for
evidence in support of the Verdict, and unfortunately - perhaps unfairly -
discounted all such evidence in favor of Appellant. The Panel's Opinion makes it
seem as though no Verdict was actually ever awarded to the Appellant, when
clearly one was. Given the seriousness involved in disturbing a jury verdict, and
given the onerous standards that must be met for doing so, Appellant seeks en bane
reconsideration.
Appellant requests that entire Court review this matter under the proper
standard and conduct a fair analysis of the evidence in support of the Verdict as
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well as the judicial admissions that were clearly made by the CFLD. Should this
occur, the Appellant is confident that the Court will reach the proper result, which
is reversal of the Final Judgment.
Appellant realizes that as a pro se attorney in the disciplinary process, he
was not expected to prevail at a disciplinary trial. However, Appellant did prevail.
The jury evaluated the sole piece of evidence presented by the CFLD - the
testimony of Brad Perry, and found it lacking because, inter alia, Appellant proved
Mr. Perry was not telling the truth on many material issues at trial. Once the jury
decided Mr. Perry was not a credible witness, the case was effectively over. The
record proved this. The legal gymnastics engaged in by the CFLD since that
adverse jury verdict are just so much attempted deflection from this very salient
and incontrovertible fact: Mr. Perry tried to be untruthful on the stand, and
Appellant impeached him for it. That cannot be glossed over.
Appellant, with the utmost respect, requests this Court to give him his
verdict back. Appellant was rightfully awarded it at trial, and has proved during
the appellate process why it was rightfully awarded to him. Reversing the Final
Judgment will go a long way towards re-instilling respect among the Bar in our
disciplinary system.
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ISSUES FOR RECONSIDERATION
Appellant incorporates each and every Issue and argument briefed by him in
the Appellant's Brief, Reply Brief, and Motion for Rehearing, and requests
reconsideration of same. Should the Court not be inclined to review all the Issues,
the Appellant would ask to the Court pay particular attention to the following
issues, any one of which should result in en bane reconsideration of the Court's
Opinion:
Issue 1: The Court's Opinion did not address Appellant's argument that
the Final Judgment did not conform to the pleadings, even after
this was pointed out in the Appellant's Motion for Rehearing
[see Issue 1, pg. 21 of Brief; Issue 1, Motion for Rehearing].
Issue 2: The Court's Opinion did not address Appellant's argument that
the State Bar Guidelines on disputed funds support the actions
that Appellant took [see Issue 7, pgs. 35-6 of Brief; Issue 7,
Motion for Rehearing].
Issue 3: The Court's Opinion applies the incorrect standard for purposes
of reviewing the granting of a JNOV [see Issue 6, Motion for
Rehearing].
Issue 4: The Court's Opinion did not address Appellant's argument that
the alleged rule violation date of October 16, 2008 was a
controlling fact that should have been submitted to the jury [see
pgs. 6-9, Reply Brief; Issue 4, Motion for Rehearing].
Issue 5: The Court's Opinion did not address Appellant's argument that
the CFLD never alleged prior to the JNOV nor offered any
evidence at trial that only $50,000 of the funds were in dispute
on October 16, 2008, which goes to fair notice [see Issue 2, pgs.
23-26, Brief; Issue 2, Motion for Rehearing].
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Issue 6: That the Court's Opinion holds that up to 40% of Mr. Perry's
recovery was subject to dispute - an argument never advanced
by the CFLD - proves Appellant's point that it was unclear how
much money was in dispute [see Issue 3, Motion for
Rehearing].
Issue 7: The Court's Opinion did not address Appellant's argument that
John Ogren did not receive his settlement funds on October 16,
2008. In fact, the Court's Opinion was based in part on its
mistaken belief that Mr. Ogren did receive settlement funds on
October 16, 2008 [see pgs. 36-7 of Brief; Issue 5, Motion for
Rehearing].
Issue 8: The Court erred in affirming the sanction on the grounds that
"Smitherman violated Rule 1.14(c) continuously and
deliberately for approximately one year" given that no evidence
was adduced at trial beyond what occurred in the Fall of 2008
[see Issue 8, Motion for Rehearing] .
Issue 9: The CFLD made a judicial admission in its request for a JNOV
- relative to the issue of the sanction - that nothing that
occurred after October 16, 2008 bore any relevance to the
determination of the sanction.
Issue 10: The CFLD did not allege "alternate legal theories" in the Third
Amended Disciplinary Petition relative to the alleged violation
date of Rule 1.14(c), rather, it made a judicial admission that
Appellant's obligation to release funds to Perry arose after
Appellant's receipt of the October 22, 2008 letter from Bergner
[see Issue 10, Motion for Rehearing].
Issue 11 : The trial court acknowledged during the sanction hearing that
the funds at issue - including the $276,000 that at first went
undistributed - were all disputed [see pg. 41, Motion for
Rehearing]. This begs the question then as to how the trial
court could have granted the JNOV.
Issue 12: The statement in the Third Amended Disciplinary Petition that
"Since approximately $271,000 was not distributed to
Respondent, Bergner's offer to put $50,000 into escrow meant
that Respondent should have given approximately $221,000.00
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to Perry in late October or early November of 2008" was not a
legal conclusion [see Issue 11, Motion for Rehearing].
Issue 13: The CFLD's remarks during closing regarding how the Rule
violation occurred did not merely state the minimum level of
disbursement that might have been acceptable, but rather were
quite clearly judicial admissions that could not be denied later
in connection with the JNOV [see Issue 12, Motion for
Rehearing].
Issue 14: The Court's Opinion did not address Appellant's argument that
the CFLD took inconsistent and contradictory positions as to
how the Appellant allegedly violated Rule 1.14(c) [see Issue 13,
Motion for Rehearing].
CONCLUSION
The Appellant requests en bane reconsideration because he believes fairness,
justice, and indeed the Texas Rules of Civil Procedure require that the Court
consider all the evidence and argument Appellant presented at trial and presented
to the Panel. Appellant believes en bane review is required because of the
extraordinary circumstances presented by the Panel's Opinion, including the
Panel's refusal to consider that the trial court acknowledged during the sanctions
hearing that all the funds between Perry and Appellant were in fact disputed. This
was clearly not a mistake on the trial court's part. The trial court reiterated this
finding at the sanctions hearing. Given this acknowledgment and admission, the
JNOV should never have been granted. Indeed this disciplinary case never should
have been brought.
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PRAYER
For the foregoing reasons, Appellant respectfully asks the Court to grant en
bane reconsideration, and ultimately enter an order reversing the Final Judgment,
and for all and further relief to which Appellant may be justly entitled.
D. PATRICK SMITHERMAN
1044 W. 25th STREET
HOUSTON, TEXAS 77008
STATE BAR NO. 24027992
/s/ D. Patrick Smitherman
APPELLANT
CERTIFICATE OF SERVICE
This is to certify that the above and foregoing response has been served on the
CFLD on April14, 2015.
Is/ D. Patrick Smitherman
CERTIFICATION
Pursuant to the Texas Rules of Appellate Procedure, the enclosed contains
approximately 2,402 words, which is less than the total words permitted by the
TRAP. Appellant relies on the word count of the computer program used to
prepare this Motion for En Bane Reconsideration.
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