IN THE SUPREME COURT OF IOWA
No. 113 / 05-0575
Filed April 21, 2006
IOWA SUPREME COURT ATTORNEY DISCIPLINARY BOARD,
Complainant,
vs.
JAMES W. MCGRATH,
Respondent.
Appeal from the report of the Grievance Commission.
Grievance Commission recommends suspension of respondent’s
license to practice law based on respondent’s attempted exchange of legal
services for sex. LICENSE SUSPENDED.
Charles L. Harrington and David J. Grace, Des Moines, for
complainant.
David L. Brown and Alexander E. Wonio of Hansen, McClintock &
Riley, Des Moines, for respondent.
2
TERNUS, Justice.
This case is one of troubling contrasts. The respondent, James W.
McGrath, has practiced law for many years in this state and has a good
reputation among the bench and bar. Former female clients have accused
him of attempting to obtain and in fact accepting sexual favors in payment
for his legal services. McGrath’s testimony cannot be reconciled with those
of the complaining witnesses. With no small measure of disappointment in
this respected member of the bar, we are convinced he is guilty of the
misconduct described by his former clients. Therefore, we suspend his
license to practice law in this state indefinitely with no possibility of
reinstatement for three years.
I. Procedural Background.
On December 22, 2003, the Iowa Supreme Court Board of
Professional Ethics and Conduct (now the Iowa Supreme Court Attorney
Disciplinary Board) filed a one-count complaint against the respondent
alleging that on December 30, 2000, McGrath “made sexual advances
toward Heather Williams[, his client,] by proposing an exchange of sex for
fees.” The board claimed this conduct violated the Iowa Code of
Professional Responsibility for Lawyers DR 1-102(A)(5), (6) and (7).
Nearly a year later, on November 3, 2004, the board was allowed to
amend its complaint to add a second count. In Count II, the board alleged
that beginning in 2000, the respondent represented one “Jane Doe” in a
marriage dissolution action. The board asserted that McGrath and Doe
engaged in sexual relations in exchange for legal services. This conduct, the
board alleged, violated DR 5-101(B) and DR 1-102(A)(1), (5) and (6).
After a hearing before a division of the Iowa Supreme Court Grievance
Commission, the commission issued its Findings of Fact, Conclusions of
Law and Recommendations. Four of the five commissioners found the
3
testimony of Heather Williams “credible and compelling” and determined the
board had proven that McGrath offered to represent Williams in a visitation
dispute in exchange for sex, as alleged in count I. A one-year suspension
was recommended. One commissioner dissented, notwithstanding his
conclusion that “Williams believed at the time, and believed as she testified
in the hearing, that respondent made sexual advances to her in a proposed
exchange for legal fees.” This commissioner concluded the board had not
met its burden of proof, however, “[i]n light of the denials of the respondent,
and in light of the extensive and credible character evidence respondent . . .
presented.”
With respect to count II, involving Jane Doe, four of the five
commissioners concluded her testimony “was not sufficiently credible for
the board to meet its burden of proof” in view of Doe’s own admissions of
having lied under oath and being a “compulsive liar.” One commissioner
dissented from this part of the commission’s decision. (This commissioner
was not the same one who had dissented from the commission’s findings on
count I of the complaint.) This dissenting commissioner found Doe to be a
credible witness despite the respondent’s attempts at impeachment. The
dissenter gave numerous reasons for his credibility determination, stating
in summary that Doe’s “testimony rang true,” and he “could find no
reasonable motive for Jane Doe to have lied.”
II. Issues on Appeal.
The respondent has appealed from the commission’s report, raising
several constitutional and evidentiary issues that we will address prior to
considering the merits of the board’s complaint. First, McGrath claims the
commission erred in refusing to allow discovery of the board’s investigative
file and the medical and psychological records of the complaining witness in
count I. He also argues the denial of this discovery violated his rights to
4
due process and equal protection of the laws. The respondent raises similar
issues concerning the commission’s refusal to allow him to depose the
board’s investigator. Finally, McGrath complains about the allowance of the
amendment adding count II, the allowance of testimony from Doe and her
former husband, and the general “unfairness” of the proceedings. 1 We will
discuss each contention separately and then consider whether the board
has proved the allegations made in its complaint.
III. Discovery of Board’s Work Product.
A. Factual background. After the board filed its one-count complaint,
the respondent requested production of the board’s complete investigative
file. The board produced 345 pages of documents, but objected to the
production of “the work product of staff counsel, investigators or
administrators of the board,” pursuant to Iowa Court Rule 34.4. Rule
34.4(2) states that the board’s files “shall be provided to the respondent
within a reasonable time upon the respondent’s request,” “except for the
work product of staff counsel, investigators, or administrators of the board.”
Iowa Ct. R. 34.4(2), para. 2. 2 In response to interrogatories filed by the
1McGrath has also challenged the commission’s decision to admit the testimony of
Shannon Jackson, a former client who testified to prior similar acts by the respondent that
occurred in 1994 when McGrath represented her in a custody dispute. Jackson, who was
young and attractive, testified that when she was unable to pay the respondent’s fees,
McGrath repeatedly asked, “[I]f he did a favor for me, if I would do a favor for him.”
Jackson retained other counsel after McGrath called her prior to an evening appointment
and asked her “to wear something easy to get off” and “don’t bring a crowd.” In addition, to
Jackson’s testimony, a transcript of a record of these incidents made before the judge
hearing Jackson’s dissolution action was also admitted. We do not decide whether this
evidence of prior bad acts may properly be considered in this case to demonstrate that
Williams did not misconstrue McGrath’s statement that “since he was doing something nice
for me that I could do something nice for him” as a reference to sexual favors. Even
without the evidence of prior, similar acts by the respondent, we conclude the board has
proven its allegations by a convincing preponderance of the evidence. See In re Interest of
J.A.L., 694 N.W.2d 748, 753 (Iowa 2005) (declining to decide whether admission of prior-
acts evidence was harmless error because review was de novo and even without prior-acts
evidence, delinquency charge had been established beyond a reasonable doubt).
2Subsequent to the hearing in this proceeding, the following sentence was added to
rule 34.4(2): “For purposes of this rule, “work product” does not include a written
statement signed or otherwise adopted or approved by the person making it or a
5
respondent, the board identified Elayne Sobel, the board’s
paralegal/investigator, as a person involved in the board’s investigation.
After receiving the board’s responses, the respondent sought to
compel production of the withheld work-product materials, claiming the
failure to produce these documents violated his due process right to
“evidence favorable to the accused [that is] material to either guilt or
punishment.” He also claimed his rights under the federal and state Equal
Protection Clauses were violated because similarly situated individuals—
judges subjected to disciplinary proceedings—are allowed to view all records
and papers contained in the investigative file of the Commission on Judicial
Qualifications. See Iowa Ct. R. 52.5(3) (prohibiting disclosure of “[a]ny
records and papers contained in the commission’s investigation file” other
than to “the judicial officer, employee, the attorneys, or the attorneys’
agents involved in the proceeding before the commission”). The respondent
also noticed the deposition of Sobel, the board’s investigator, but the board
objected to the taking of her deposition, claiming her work product was
confidential under court rule 34.4 and Iowa Rule of Civil Procedure 1.503.
See generally Iowa Ct. R. 35.6 (stating discovery shall be permitted in a
disciplinary action as provided in specified rules of civil procedure,
including Iowa Rule of Civil Procedure 1.503).
On April 13, 2004, the commission ruled on the respondent’s motion
to compel and the board’s objections to Sobel’s deposition. Although the
commission ordered the board to furnish a list of persons interviewed by
Sobel, it denied the remainder of McGrath’s motion. The commission also
refused to allow the deposition of Sobel. Both decisions were based on the
protection of work product found in court rule 34.4(2).
__________________________________________
contemporaneous and substantially verbatim transcript or recording of a person’s oral
statement.” Iowa Ct. R. 34.4(2), para. 2.
6
After the board amended its complaint on November 4, 2004, to add a
second count involving Jane Doe, it amended its answers to interrogatories
on December 8, 2004, to indicate that Doe and Doe’s ex-husband would
testify at the hearing and Sobel may be called as a witness “[i]f necessary” to
“testify that on August 17, 2004, [Jane Doe] told her that [Doe] had sex with
respondent in exchange for his legal services.” The respondent then
renewed his request for the board’s investigatory file and for Sobel’s
deposition. On the same day the respondent filed his discovery demands,
the board obtained a signed affidavit from Doe admitting her sex-for-fees
arrangement with McGrath, and so a few days later, the board withdrew
Sobel from its witness list. Thereafter, the commission denied the
respondent’s discovery requests, and the matter proceeded to hearing on
January 11, 2005.
As noted earlier, McGrath claims the commission’s rulings protecting
the board’s work product from discovery were erroneous. He also asserts
the limitations imposed on his discovery violated his due process and equal
protection rights.
B. Correctness of rulings. This court has held that Iowa Court Rule
34.4(2) protects from discovery the board’s investigative reports and the
work product of its counsel and staff. See Comm. on Prof’l Ethics & Conduct
v. Hurd, 375 N.W.2d 239, 241-42 (Iowa 1985) (applying Rule of Procedure
2.1(d) of the Professional Ethics & Conduct Committee, now Iowa Court
Rule 34.4(2)) (Hurd II); Comm. on Prof’l Ethics & Conduct v. Hurd, 360
N.W.2d 96, 100-01 (Iowa 1984) (same) (Hurd I). In essence, such materials
“are made privileged” by the rule. Hurd I, 360 N.W.2d at 101. Because the
board produced its entire file with the exception of work product materials,
the commission properly denied McGrath’s motion to compel. The
additional documents sought by the respondent were clearly privileged and
7
not subject to discovery. See Hurd II, 375 N.W.2d at 242 (holding
commission’s denial of attorney’s request for board’s reports and
investigation was proper because these documents were confidential); Hurd
I, 360 N.W.2d at 101 (holding commission correctly denied respondent
access to board’s investigative report and staff counsel’s work product
because these materials were privileged).
We are also convinced the testimony of the board’s investigator is
protected by the same rule. The privilege accorded the board’s work
product by rule 34.4(2) would have little value if the person preparing that
work product could be compelled to testify. This conclusion is not altered
by the fact Sobel was briefly listed by the board as a potential witness. To
the extent the board waived the protection afforded by rule 34.4(2) by its
short-lived designation of Sobel as a witness, the board’s removal of Sobel
from its witness list prior to the hearing also constituted a withdrawal of
any implied waiver of the work product privilege. See Squealer Feeds v.
Pickering, 530 N.W.2d 678, 685 (Iowa 1995) (holding withdrawal of
designation of prior attorney as an expert witness before the disclosure of
any confidential communications constituted withdrawal of implied waiver
of attorney-client privilege), abrogated in part on other grounds by Wells
Dairy, Inc. v. Am. Indus. Refrigeration, Inc., 690 N.W.2d 38, 47-48 (Iowa
2004). Accordingly, we hold the commission did not err in denying
McGrath’s request to depose investigator Sobel.
C. Due process. Relying on criminal cases holding a defendant has a
right to discover exculpatory evidence, McGrath claims his due process
rights were violated here because the testimony of the board’s investigator
would have impeached Jane Doe. See generally Brady v. Maryland, 373
U.S. 83, 86, 83 S. Ct. 1194, 1196, 10 L. Ed. 2d 215, 218 (1963) (holding
prosecution’s failure to produce exculpatory evidence was a violation of the
8
Due Process Clause of the Fourteenth Amendment); State v. Romeo, 542
N.W.2d 543, 551 (Iowa 1996) (holding “[e]vidence that may be used to
impeach a witness’s credibility is included in [Brady] rule”). It is not
entirely clear what exculpatory evidence McGrath sought from the board’s
investigatory file, but it appears he wanted, at a minimum, documentation
of Sobel’s communications with Doe.
An attorney is entitled to procedural and substantive due process in
disciplinary proceedings. Hurd I, 360 N.W.2d at 100. But a respondent in a
disciplinary proceeding is not entitled “to the unique protections” afforded a
criminal defendant. Hurd II, 375 N.W.2d at 246. We need not determine,
for purposes of the case before us, the precise extent of an attorney’s right
to exculpatory materials. Even if we assume McGrath has the same right to
exculpatory evidence that a criminal defendant has, his due process rights
were not violated by the discovery rulings of the commission.
We first observe that the Due Process Clause does not give the
respondent “a right to rummage through the [board’s] file to search for
exculpatory material.” Hurd I, 360 N.W.2d at 100. Therefore, the
commission’s refusal to order the production of the board’s complete file
was not a due process violation. We focus, then, on the specific material
McGrath apparently viewed as exculpatory: Sobel’s conversations with Doe.
To prove a Brady violation, McGrath must show (1) the board
suppressed the requested evidence, (2) the evidence was favorable to
McGrath, and (3) the evidence was material to whether he was guilty of the
ethical charges. See Romeo, 542 N.W.2d at 551. We do not consider
whether the first two elements are present because we are confident
evidence of Sobel’s conversations with Doe was not “material” as that term
is used for purposes of the Brady rule.
9
Whether . . . evidence [is] material depends on whether
“there is a reasonable probability that . . . the result of the
proceeding would have been different.” A “reasonable
probability” of a different result is shown “when the [board’s]
evidentiary suppression ‘undermines confidence in the
outcome of the [hearing].’ ” The [respondent] need not show
that the disclosure of suppressed evidence would have resulted
in [dismissal of the charges].
Id. (citations omitted).
In Romeo, this court considered the effect of the prosecution’s failure
to disclose impeachment evidence. In that case, the prosecution did not
reveal that the authorities had agreed to drop habitual-offender charges
against a witness testifying against the defendant in exchange for the
witness’s cooperation in the defendant’s prosecution. Id. We held this
evidence was not material because the defendant’s attorney knew the
State’s witness was “testifying under an agreement with the prosecuting
authorities and he cross-examined [him] on this point at trial.” Id. at 552.
Thus, even if defense counsel had brought out the habitual-offender aspect
of the witness’s deal with the government, it was not reasonably probable
that this fact would have changed the jury’s evaluation of the witness’s
credibility. Id.
The Romeo case illustrates the rule that there is no due process
violation when the suppressed impeachment evidence is already, in
substance, in the record or is merely cumulative to other admitted evidence.
See Miller v. Dretke, 431 F.3d 241, 251 (5th Cir. 2005); United States v.
Petrillo, 821 F.2d 85, 90 (2d Cir. 1987). When substantially the same
evidence is already in the record, it can be reliably concluded that the
suppressed impeachment evidence would have had no significant effect on
the witness’s credibility. See McHone v. Polk, 392 F.3d 691, 700 (4th Cir.
2004); Skinner v. Cardwell, 564 F.2d 1381, 1386 (9th Cir. 1977); Rowe v.
Grizzard, 591 F. Supp. 389, 397 (E.D. Va. 1984). Because there is not a
10
reasonable probability that cumulative impeachment evidence would
change the outcome of the proceeding, such evidence is not considered
material. See Brewer v. State, 444 N.W.2d 77, 83 (Iowa 1989) (holding
failure of prosecution to reveal complete details of star witness’s grant of
immunity was not a Brady violation in part because the evidence was not
material).
Applying these principles here, we conclude the evidence sought by
the respondent was not material. Doe testified at the hearing that, at
McGrath’s request, she engaged in sexual relations with him in payment for
his legal services. McGrath’s counsel brought out in his cross-examination
of Doe that she had denied such a relationship on several occasions in the
past. Doe testified her fee arrangements with McGrath became an issue in
the dissolution action in which McGrath was representing her. She
admitted she signed an affidavit that was filed in that matter in which she
denied exchanging sex for fees. In addition, Doe testified that when
McGrath’s attorney telephoned her prior to the hearing in the disciplinary
case, she told him she had never had sex with the respondent. McGrath’s
counsel also brought out the fact that Doe did not want to be involved in the
disciplinary proceedings and had initially refused to cooperate with the
board. Doe admitted that after she had been subpoenaed for a deposition
in the disciplinary case, she told the board’s counsel that she would “say
anything” and that she was a “compulsive liar.” Finally, McGrath’s counsel
obtained admissions from Doe that she had alleged to him and to the
respondent that the board’s investigator harassed her with phone calls in
an effort to obtain her testimony. Clearly, the respondent was able to use
Doe’s prior inconsistent statements and her perception of the board’s
communications with her to call into question the truth of her testimony as
well as the voluntariness of it. We think any testimony by investigator
11
Sobel would have been merely cumulative and would not have added
significantly to the impeachment potential of the evidence already in the
record. Therefore, evidence from the board’s file or from Sobel herself
regarding Sobel’s conversations with Doe was not material.
McGrath’s generalized assertions in his brief that the board’s refusal
to turn over its investigative materials “left McGrath in a situation where he
was unable to fully prepare a defense” and “effectively blindsided” him at
trial does not alter our conclusion. These allegations are unconvincing
because the record shows McGrath undertook no discovery with respect to
count II until less than a month before the hearing. Moreover, he vigorously
resisted the board’s attempt to take Doe’s deposition, a deposition that
would have given the respondent an opportunity for discovery as well. To
the extent McGrath was unprepared for the hearing, he cannot fault the
board for his predicament. McGrath’s allegations of prejudice are also
legally inadequate to establish the materiality of the evidence in question.
“[G]eneralized assertions [that the defense was hindered] are insufficient to
establish a reasonable probability of a different outcome.” State v. Piper,
663 N.W.2d 894, 905 (Iowa 2003). For these reasons, we conclude the
commission’s refusal to order the production of the board’s investigative file
or to compel Sobel’s deposition did not violate McGrath’s due process rights.
D. Equal protection. The respondent argues his right to equal
protection was violated because, with respect to the discovery of
investigative materials, attorneys are treated differently in disciplinary cases
than are judges subjected to similar proceedings. “Equal protection
requires only that those in similar positions be treated alike.” Iowa Supreme
Ct. Bd. of Prof’l Ethics & Conduct v. Wherry, 569 N.W.2d 822, 827 (Iowa
1997). Assuming for purposes of our discussion that lawyers and judges
who are the subject of disciplinary charges are similarly situated, we believe
12
they are treated the same—neither is allowed privileged work product from
the investigation of the prosecuting authority.
Iowa Court Rule 52.5(3) makes all records of the Iowa Commission on
Judicial Qualifications “privileged and confidential,” but with one exception
discussed below, authorizes their release to “[t]he judicial officer . . .
involved in the proceeding before the commission.” Iowa Ct. R. 52.5(3).
Although the broad discovery permitted by rule 52.5(3) appears at first
blush to support McGrath’s contention that attorneys are treated less
favorably than similarly-situated judges, a closer examination of the
disciplinary systems for attorneys and judicial officers reveals that lawyers
and judges are actually treated in the same way.
The commission on judicial qualifications receives complaints
concerning judicial officers and eventually adjudicates the charges. See
Iowa Code §§ 602.2102, .2104 (2005). With respect to its adjudicative role,
the judicial qualifications commission performs the same function as the
grievance commission, which hears and determines attorney disciplinary
charges. See Iowa Ct. Rs. 36.14, .15. Significantly, the judicial
qualifications commission, like the grievance commission, does not
prosecute the charges. That role is performed by the attorney disciplinary
board in the attorney disciplinary system and by the attorney general in the
judicial disciplinary system. Compare Comm. on Prof’l Ethics & Conduct v.
Michelson, 345 N.W.2d 112, 116 (Iowa 1984) (stating the board “stand[s] in
the shoes of a prosecutor”), and Iowa Ct. Rs. 34.3, 35.2 (providing for board
to process complaints, including deciding whether a complaint should be
dismissed or whether it should be prosecuted before the grievance
commission), with Iowa Code § 602.2104 (requiring attorney general to
prosecute charges before judicial qualifications commission).
13
It is apparent that the judicial qualifications commission is not
equivalent to the attorney disciplinary board in terms of the role it performs
in the disciplinary process. The comparable entity to the board is the
attorney general. Notably, there is no rule or statute making the work
product of the attorney general’s office discoverable. In fact, rule 52.12(6)
specifically provides that “[t]he investigative file of the commission does not
include the recommendations of the attorney general to the commission.
The recommendations of the attorney general to the commission are
privileged and are not to be transmitted [to the judicial officer charged in
the complaint].” Iowa Ct. R. 52.12(6) (emphasis added); accord In re Inquiry
Concerning Stigler, 607 N.W.2d 699, 706-07 (Iowa 2000).
As a review of the applicable rules and statutes demonstrates, a
judicial officer who is the subject of a disciplinary complaint is not provided
access to the files of the prosecutor—the attorney general. Attorneys
charged with an ethical violation are treated no differently; the work product
of the prosecutor—the board—is not discoverable. There is no equal
protection violation.
IV. Discovery of Medical Records of Complaining Witness.
McGrath sought to discover the medical records of Heather Williams,
the complaining witness in count I. The board produced a one-page report
from a physician treating Williams for mental health issues, but stated it
did not have possession, custody, or control of any other medical records
concerning Williams. McGrath’s motion to compel was denied by the
commission. Subsequently, the respondent deposed Williams and
questioned her extensively concerning her mental health problems and
treatment. Williams refused to answer questions regarding her treatment or
to voluntarily produce her medical records.
14
McGrath complains on appeal that he was prevented from properly
defending the charges against him because he did not have access to
Williams’ mental health records. Before prejudice becomes relevant,
however, there must a demonstration of error in a commission ruling. The
only ruling before us for review is the commission’s refusal to compel the
board to produce Williams’ medical and mental health records. The
respondent does not indicate how this decision was incorrect other than to
assert that Iowa allows “very liberal access to records, including medical
records.” We find no merit in the respondent’s challenge to the
commission’s ruling.
Iowa Court Rule 35.6 states that discovery shall be permitted in a
disciplinary action as provided in specified rules of civil procedure,
including Iowa Rules of Civil Procedure 1.501 through 1.517. Rule 1.503
permits discovery “regarding any matter, not privileged, which is relevant to
the subject matter involved in the pending action.” Iowa R. Civ. P. 1.503(1)
(emphasis added). Rule 1.512 authorizes the production of documents
“which are in the possession, custody or control of the party upon whom
the request is served.” Iowa R. Civ. P. 1.512(1).
The record before us shows the board did not have possession,
custody, or control of Williams’ mental health records. Therefore, it had no
obligation to produce them for the respondent. Cf. State v. Smith, 522
N.W.2d 591, 594 (Iowa 1994) (holding State, in prosecution of sexual-abuse
charge, had no obligation to produce mental health records of complaining
witness because requested records were not in State’s possession, custody,
or control). In addition, Williams did not waive the physician-patient
privilege when she made a charge of sexual misconduct against McGrath.
Cf. id. at 595 (holding complaining witness had not waived the physician-
patient privilege by asserting she did not consent to the defendant’s sexual
15
acts). Consequently, the commission properly refused to compel the
production of Williams’ mental health records. 3
V. Fairness of Proceedings.
McGrath’s brief contains a division with a heading alleging the
commission erred in allowing the board to amend its petition to add a
second count, in allowing Jane Doe and her former husband to testify, and
“in creating a procedural and trial climate that was fundamentally unfair
and a violation of due process.” We will address each contention separately.
A. Amendment of board complaint. The rules governing attorney
discipline provide that “the commission may permit amendments to the
complaint . . . to raise new matters as long as the respondent has . . . a
reasonable time to prepare a defense thereto prior to the date set for
hearing.” Iowa Ct. R. 35.6. We think McGrath had a reasonable time to
prepare his defense.
In August 2004, the board received an unsolicited complaint from the
ex-husband of Jane Doe, alleging sexual improprieties by McGrath involving
Doe. On August 17, 2004, the board notified McGrath of this additional
complaint and informed him the board would investigate the allegations and
consider the matter at a future meeting. McGrath was asked to respond as
required by Iowa Court Rule 34.7, and he did so, denying any misconduct.
On August 23, 2004, counsel for the board notified the respondent’s
attorney that if the board chose to prosecute this complaint, it would want
3The respondent’s argument concerning discovery of Williams’ mental health
records appears in a division of his brief that asserts in the heading “the grievance
commission erred in failing to properly apply the due process and equal protection
provisions of both the federal and Iowa constitutions.” Notwithstanding this introductory
heading, McGrath makes no argument addressing the due-process or equal-protection
implications of the commission’s ruling on the medical-records issue. Nor does he cite any
authority in his argument on this issue that discusses these constitutional provisions.
Accordingly, we consider the due-process and equal-protection challenges to the medical-
records issue to be waived. See Iowa R. App. P. 6.14(1)(c) (“Failure in the brief to state, to
argue or to cite authority in support of an issue may be deemed waiver of that issue.”); City
of Marquette v. Gaede, 672 N.W.2d 829, 835 (Iowa 2003) (same).
16
to combine it with the current proceeding against McGrath, which had been
scheduled for hearing in January 2005. On October 4, 2004, more than
three months before the scheduled hearing on the Williams charge, the
board filed a motion for leave to amend the complaint pending before the
commission to add a second count, the Doe charge. Over McGrath’s
objections, the commission allowed the amendment, concluding the
respondent had made no showing that he would be unable to adequately
prepare his defense if the amendment were granted. The amendment was
filed on November 4, 2004, and the case proceeded to hearing on January
11, 2005.
As shown by the record, McGrath received a copy of the Doe
complaint nearly five months before the hearing. He knew shortly
thereafter that the board would attempt to have this complaint heard with
the pending Williams matter, so he could hardly have been surprised when
six weeks later the board sought to amend the Williams complaint to add
the Doe charge. Moreover, there was nothing unusual about the timeframe
within which the hearing on the amended complaint was held. The hearing
took place sixty-eight days after the amended complaint was filed. Iowa
Court Rule 35.7(1) states that the hearing before the grievance commission
“shall be held not less than 60 days nor more than 90 days after the service
of the complaint.” Iowa Ct. R. 35.7(1), para. 3. Thus, McGrath received the
amount of time anticipated by our rules to prepare for the hearing. 4
We perceive no unfairness in the schedule set by the commission.
Furthermore, the respondent has not assisted this court in identifying any
unfairness because he has failed to specify why he was unable to
4We note the respondent had already been granted two continuances in this matter.
The Williams charge, which was filed on December 22, 2003, was originally scheduled for
hearing on April 21, 2004. At the respondent’s request, the matter was rescheduled for
July 22-23, 2004. The hearing was subsequently continued a second time at the request of
the respondent and set for trial on January 11-12, 2005.
17
adequately prepare a defense for the January hearing. We hold the
commission did not abuse its discretion in permitting the amendment, and
the prosecution of the additional count did not render the proceedings
unfair.
B. Testimony of the Does. The respondent’s complaint regarding the
Does’ trial testimony is apparently based on his alleged inability to depose
them prior to the hearing. As noted earlier, the respondent sought to quash
the board’s attempt to depose Jane Doe and continued to resist her
deposition as late as December 22, 2004. In addition, although McGrath
eventually requested the Does’ depositions, he did not do so until January
3, 2005, more than thirty days beyond the filing of the amendment and
approximately one week before the scheduled hearing. The commission
denied the attempted discovery as untimely. See generally Iowa Ct. R. 35.6
(providing that discovery must be commenced within thirty days after
service of the complaint). McGrath’s own actions in failing to pursue timely
depositions of the Does cannot serve as a basis to preclude the testimony of
these witnesses at the hearing. 5 There was nothing unfair in the
commission’s allowance of their testimony.
C. General fairness of proceedings. McGrath expends considerable
effort complaining about the unfairness of the proceedings in general. The
majority of these complaints centers on the discovery and scheduling
issues, which we have already determined were correctly resolved and did
not result in an unfair proceeding. We have carefully considered McGrath’s
5 The respondent blames his late request for the Does’ depositions on the timing of
Jane Doe’s affidavit, which was signed on December 17, 2004. He claims he was
“blindsided” by the late filing of this affidavit and the ruling denying him the opportunity to
depose the Does. But Doe’s affidavit was not the first time McGrath was informed of the
nature of the Does’ testimony. The board supplemented its answers to interrogatories on
December 8, 2004, stating Doe was “expected to testify that in connection with her divorce,
she had sex with respondent in exchange for legal services” and that John Doe would
“testify that his ex-wife told him on several occasions that she and respondent exchanged
sex for fees.”
18
additional allegations that the hearing was “procedurally prejudicial and
defective” and that the “entire procedural chain of events” subjected him to
a “trial by ordeal.” Our review of the voluminous pleadings in this case
confirms the contentious nature of this proceeding. Discovery disputes
were ongoing. At one point the respondent even sought to enjoin the board
from continuing its investigation of Williams’ complaint. Few rulings of the
commission were not followed by a motion to reconsider. To the extent this
matter became an “ordeal,” the respondent must assume his share of
responsibility for the tenor of these proceedings. A painstaking review of
the full record in this case persuades us the board acted fairly and
responsibly in investigating the complaints against the respondent, the
respondent had an entirely adequate opportunity to defend himself, and the
hearing was procedurally and substantively fair.
VI. Factual Findings.
A. Standard of review.
We review the findings of the grievance commission de novo. Iowa Ct.
R. 35.11(3). Although we give weight to the commission’s findings,
especially when considering the credibility of witnesses, we are not bound
by those findings. See Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v.
O’Brien, 690 N.W.2d 57, 57 (Iowa 2004). “The burden rests on the [b]oard
to prove the alleged disciplinary violations by a ‘convincing preponderance
of the evidence.’ ” Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v.
Mulford, 625 N.W.2d 672, 679 (Iowa 2001) (citation omitted). “A convincing
preponderance of the evidence is a greater quantum of evidence than that
required in a civil trial, but less than that required to sustain a criminal
conviction.” Hurd II, 375 N.W.2d at 246.
19
B. Williams charge.
1. Evidence. Heather Williams testified that in the fall of 2000, she
was experiencing difficulty obtaining court-ordered visitation with her son,
who was in the physical care of his father. Seeking legal assistance, she
made an appointment with McGrath in early November 2000. On her initial
visit to his office, Williams was accompanied by her mother. McGrath
indicated his retainer was $1500, and Williams agreed to find the money.
McGrath said he would get the pertinent documents from the courthouse.
On December 29, 2000, McGrath called Williams and asked her to
meet him the next day, Saturday, at his office. Williams went to McGrath’s
office on December 30 alone. She gave the respondent $300 in cash, which
McGrath accepted. McGrath told her the only obstacle to him getting
started on her case was her payment of the retainer. In response to her
statement that $1500 was a lot of money, McGrath told her she could just
pay out-of-pocket expenses. Williams testified: “He said that since he was
doing something nice for me that I could do something nice for him.” When
she asked him what he meant, McGrath said, “What do nice girls do for
boys?” At that point, Williams began to get the idea that McGrath was
proposing sex in exchange for fees. Trying to ignore the implication, she
responded, “Cook them dinner?” McGrath laughed, but then asked, “What
wouldn’t you do to get your son back?” According to Williams, McGrath
then asked her if she wanted to fool around on the couch. He also told her
what days his secretary was out of the office, and that she—Williams—could
come in on those days. He said Williams would not have to pay him any
money. When Williams began making excuses for needing to leave,
McGrath told her to take the weekend to think about his proposition.
Upset, Williams immediately left.
20
Shortly thereafter, Williams called the respondent’s office and told his
secretary that she had decided to hire a different attorney. She then went
to McGrath’s office and picked up the papers he had obtained from the
courthouse as well as her $300 payment.
On cross-examination, Williams acknowledged that she suffered from
a bipolar disorder, for which she has been hospitalized and for which she
takes medication. Williams denied that her illness affected her memory or
her ability to tell the truth. Williams also admitted on cross-examination
that she had failed to make court-ordered child support payments.
The respondent’s attorney also questioned Williams concerning a
statement she made in her complaint to the board that McGrath “is known
for doing this and it has been going on for quite some time.” When asked
by McGrath’s attorney about the basis for this statement, Williams could
identify only one person—Vicki Riegel—who had had a similar proposal
from the respondent (sex for fees) when he was acting as Riegel’s attorney.
Attorney Robert Box also testified at the hearing. He agreed to
represent Williams in her visitation dispute after she terminated McGrath’s
representation. Box said Williams told him about McGrath’s proposal in
early January 2001. Box recalled that Williams “appeared . . . somewhat
embarrassed, upset and basically concerned and didn’t know what to do.”
He gave her information for making an ethics complaint against the
respondent. 6
McGrath testified that he was sixty years old and had been practicing
law since 1971, primarily in the personal injury and dissolution areas. At
6 Williams filed her complaint with the board on January 17, 2001. McGrath was
immediately notified of Williams’ complaint and given a copy of it. In his response of
February 7, 2001, he denied that an attorney-client relationship existed between him and
Williams, but he admitted seeing her on three occasions, the last time on December 30,
2000.
21
the time of hearing, McGrath was in his fourth marriage. He was
unmarried during the year 2000 and the first part of 2001.
The respondent recalled Williams first came to his office with her
mother, seeking assistance with a visitation dispute. He told her he would
need to be paid a retainer before accepting her case, but he would at least
take a look at the court file. Upon reviewing the court file, he noted
Williams’ prior attorney had withdrawn due to nonpayment of fees.
McGrath claimed there was a second meeting between him and
Williams after he obtained the court file and before the December 30 visit.
He testified that at this second meeting, Williams told him she was seeing a
therapist for her “problems with men.” She also stated she wanted custody,
not just visitation, and that she was behind in her child support payments.
McGrath told her she would have to start paying child support to have a
chance of getting custody, and that a custody action would be much more
expensive that a modification of visitation.
McGrath testified the third and final meeting between them occurred
on Saturday, December 30, 2000, at Williams’ request. He advised her at
that time that he would handle the visitation issue on a pro bono basis if
she would pay the out-of-pocket expenses. He told her he would not be
willing to represent her on the same basis in a custody dispute due to the
amount of time that would be involved. Finally, McGrath said he would
need to talk to her previous lawyer and her therapist before he would be
willing to start a custody modification action. Williams, he claimed, did not
think it was necessary for him to speak to her former lawyer or her
therapist. According to McGrath, Williams indicated the prior lawyer had
made improper suggestions to her and had used her nonpayment as an
excuse to withdraw after she objected to those suggestions. McGrath says
he concluded this meeting by telling Williams to think about what she
22
wanted to do. The respondent denied that Williams made a payment at this
meeting, but he testified that she apparently must have done so because his
secretary later found three hundred dollars lying on the floor in front of his
desk.
McGrath testified the following week Williams called his office and
said she was going to see another lawyer. Later, she picked up the
documents from his office, and her money was returned to her.
McGrath denied that he ever made any offers to Williams to exchange
sex for legal fees. He specifically denied making any statement about what
nice girls do. The respondent also asserted he did not have a couch in his
office and that his grandson was in another room of his law office on
December 30, 2000. 7 McGrath claimed it was not unusual for him to meet
with clients when his staff was not there.
When asked whether he could explain why Williams would falsely
accuse him of sexual improprieties, McGrath suggested she “came up with a
reason that she could tell somebody about why she didn’t want me involved
in her case.” He said she was upset when he insisted that she make her
support payments before he could do anything on her case, and perhaps
she did not like his advice. But he categorically denied that he ever “said
anything to that woman about sex for fees.”
2. Commission’s findings. Because we give weight to the
commission’s factual findings, particularly with respect to witness
credibility, we set out its findings concerning the Williams charge:
In respondent’s first meeting alone with Heather
Williams, he offered in words or substance that in exchange for
sex he would represent her in her visitation dispute. Words to
7McGrath’s legal assistant also testified there was not a couch anywhere in the
respondent’s entire office. The commission concluded Williams’ credibility was not
“impeached by whether respondent actually had a couch in his office.” It reasoned, “The
statement ‘do you want to fool around on the couch’ could reasonably be interpreted as an
invitation to engage in sex whether or not a couch actually exists.” We agree.
23
the effect that “since he was doing something nice for her, she
could something nice for him,” followed by a question of
whether she wanted “to fool around on the couch” could
reasonably be interpreted to be an offer of legal services in
exchange for sex. This is particularly true where respondent
suggested meeting with Ms. Williams on Tuesday and Thursday
evenings when no one else would be present in the office. Ms.
Williams is young appearing and physically attractive. The
testimony of Heather Williams was credible and compelling.
....
. . . . The respondent’s testimony that he did not make
the improper statements to Heather Williams . . . was not
credible when all of the contrary evidence is considered.
The commission member who dissented from the commission’s
determination that the board had proved count I did not entirely disagree
with the commission’s factual findings with respect to this count. This
commissioner wrote:
I find that the testimony of Heather Williams,
corroborated by the testimony of Attorney Robert Box as to her
statements at a time shortly after the alleged solicitation,
shows that Ms. Williams believed at the time, and believed as
she testified in the hearing, that respondent made sexual
advances to her in a proposed exchange for legal fees. I have
no reason to believe that she was not telling the truth as she
saw it. . . .
....
. . . In light of the denials of respondent, and in light of
the extensive and credible character evidence respondent has
presented, I find that Complainant has not met its high burden
of proof.
3. Our findings. In considering the evidence, as well as the
commission’s findings, we are persuaded the board has proven by a
convincing preponderance of the evidence that McGrath solicited sexual
favors from Williams in payment for his legal services. Like the commission,
we find Williams’ testimony credible. Any possible dissatisfaction with
McGrath’s advice seems to be a very unlikely impetus for the fabrication of
Williams’ accusations. Moreover, there is nothing in the record that would
implicate Williams’ mental health as a factor in her comprehension of
reality. We have considered the testimony of several respected members of
24
the bench, bar, and local community who attested to McGrath’s reliability,
integrity and truthfulness. But the respondent’s generally good character
does not mean he has no flaws or weaknesses. We are convinced Heather
Williams has brought to our attention a flaw or weakness in the
respondent’s character, one that naturally would be hidden from the
professional associates of McGrath who testified at the hearing. In sum, the
character evidence introduced by the respondent is not sufficient to
overcome the credible and compelling testimony of the complainant.
Therefore, we agree with the commission that the board has proven count I
of its complaint.
C. Doe charge.
1. Evidence. In November 2000, Jane Doe engaged the respondent to
represent her in a dissolution case that included a custody fight. Her
husband, John, had obtained money from relatives to pay for his attorney,
but, as Doe told the respondent, she did not have money or assets to pay for
representation. The respondent, she claimed, informed her several times
she “had other things to offer.” She understood that the other things she
had to offer were sexual favors. McGrath told her he “would call [her] when
he wanted to have a meeting . . . and there might be a possibility of [her]
going to his home; when he was done with [her] he was done and [she]
wasn’t to call him.” Doe testified she wanted her children more than
anything, so she agreed.
The respondent and Doe first had sex on the evening of December 5,
2000, when Doe went to McGrath’s office at his request. According to Doe,
they had intercourse on the floor of the library. The respondent did not use
a condom; he told Doe he had no diseases and had had a vasectomy. Doe
also testified the respondent was uncircumcised. She said she wore a
trench coat with lingerie underneath and spiked heels, and her children
25
saw her when she returned home because she had locked herself out of the
house.
Doe testified that, in addition to this incident, the respondent asked
her to accompany him to the courthouse in a neighboring town to obtain
papers filed in a domestic abuse action involving her husband. She brought
her son along, and during the drive, the respondent lamented that he was
“hoping to get road head,” meaning oral sex while he was driving.
Doe told the commission that during an argument with her husband,
John, in the summer of 2001, she told her husband that she had to sleep
with the respondent just to get a divorce. She thought her husband might
have compassion and stop their court battles if he knew what she was going
through to litigate their disputes. Instead, John informed the court that his
wife was having sexual relations with her attorney. Doe testified she falsely
denied this charge in an affidavit prepared by the respondent and filed in
the dissolution action.
Doe had one more sexual encounter with the respondent on Sunday,
May 6, 2001. McGrath called Doe at home and asked her to come to his
office. She did so, and they had sexual intercourse on the floor again. After
this episode, Doe always took one of her children with her to the
respondent’s office or gave the respondent an excuse that she could not
come when he called.
Doe testified she never paid any money to McGrath for his legal
services. Although she received one bill from him after they first had sex,
she complained to him, and she did not receive any further bills after that.
Doe also testified that McGrath gave her $500 cash on two occasions, once
to help her out with bills and once as payment for a used car she sold to
him.
26
Doe never filed an ethics complaint against the respondent. She first
learned that her ex-husband had done so when she was contacted by the
board’s investigator in August 2004. She described her reaction:
I was upset about the whole proceeding because since
this all has passed, my life is very quiet and comfortable; and I
didn’t want this in my life; and I didn’t want to come here. And
I contacted Jim [McGrath] and I asked to speak with him.
He met with me and he told me that just, you know,
follow his lead and do what he tells me and it will be all okay; it
will all be okay.
Doe testified that she did not come willingly to the hearing; she was
subpoenaed by the board.
On cross-examination, Doe admitted she told the respondent’s
attorney in a telephone conversation that she had never had sexual
relations with McGrath and that she was being harassed by the board’s
investigator. (She later testified the investigator called her two to four
times.) Doe said she was very uncomfortable with the whole situation. She
also related a telephone conversation she had with the board’s counsel. In
that conversation, counsel advised Doe that “it was a federal crime to
perjure [oneself],” information that scared her. Doe said she did not want to
testify at the hearing so she told board counsel that she would “say
anything” and that she was a compulsive liar. She denied at the hearing,
however, that she was in fact a compulsive liar. The respondent’s counsel
also sought to impeach Doe by bringing out a romantic relationship Doe
had with another man after she filed for divorce but while she was still
married to John.
Doe’s ex-husband, John, also testified at the hearing. He said he paid
his attorney $25,000 for handling the divorce, and he does not know where
his wife would have gotten any money to pay her attorney because money
was “very tight.” John was ordered to pay $500 toward Doe’s attorney fees,
27
but he never did because he believed she was not paying any fees to
McGrath. (McGrath testified at the hearing that he did not try to collect the
$500 fee from John because he assumed it was uncollectible.) John
recalled his wife telling him early on that she had found a lawyer who would
let her work off her fees. He suspected she was “engaging in non-monetary
compensation of Mr. McGrath” when his children told him that his wife left
to see her lawyer late at night dressed in a trench coat, high heels, and
“nothing but her underwear on.” In addition, on an occasion when Doe was
trying to make him feel guilty about spending his relatives’ money on the
divorce, she asked him how much money he was going to waste before they
could get a divorce because “it wasn’t costing her a dime.” Another time she
complained to him, “At least you don’t have to sleep with a disgusting old
man to keep fighting.”
John Doe also testified that he filed an ethics complaint against
McGrath in August 2004, sixteen months after the dissolution was final.
He explained he was considering seeking a modification of his child support
at the time, and he wanted to prevent his ex-wife from using McGrath if
they went back to court because he thought McGrath “would represent her
for free.” John testified he was unaware of the pending complaint against
McGrath when he filed his ethics complaint, that he did not know Shannon
Jackson, and that he had not been contacted by anyone representing the
board prior to filing his complaint. He said his ex-wife was very upset that
he had filed the complaint, claiming she would have to leave the area “if this
came out.”
On cross-examination, John testified that his ex-wife had told him
many lies, including a statement that she had had an extra-marital affair
while they were still living together, a relationship she denied at the ethics
hearing. John also said he suspected his wife of having had other affairs
28
while they were married. In addition, the respondent’s counsel brought out
allegations made by John in the dissolution case concerning Doe’s
emotional state and mental health at that time, including that she was
manipulative and unstable.
McGrath denied that he had sexual relations with Jane Doe, but he
confirmed he was uncircumcised. He testified that he had a written fee
agreement with Doe, and that agreement was received as an exhibit. A
billing statement was also admitted into evidence. According to this
statement, Doe made three payments, a $750 payment on November 16,
2000, a $150 payment on March 28, 2001, and a $750 payment in the form
of a car on July 18, 2001. McGrath asserted the first two payments were
made in cash. He acknowledged he had not established a trust account
ledger for Doe, and that he had no record of having received these payments
other than the entries made on the bill. The respondent explained that he
customarily distributed cash payments to his office employees as a bonus.
He said he kept track of cash payments from clients on a separate sheet of
paper at the back of his calendar, and then submitted this sheet to his
accountant at the end of each year. He did not produce any documentation
of this practice.
McGrath’s legal assistant at the time of these events also testified
concerning his billing system. She said McGrath kept time slips during the
time he represented Doe, but they were shredded after the bill was
prepared. (He no longer keeps time slips, but rather enters his time on the
computer.) In addition, the office does not keep copies of bills, and the only
billing statement admitted into the record had been printed from their
computer records a few weeks before the hearing. The billing statement
showed Doe had an outstanding balance of $4158.75. This statement also
reflected that bills had been sent to Doe on January 31, February 28,
29
March 29, and May 30, 2001. The typical procedure would be for the
witness to prepare the bills, and then the respondent would decide which
ones to send to clients. When the witness was asked why no bills were sent
after the divorce was final, she responded that “sometimes it’s a save-your-
stamp” situation. This witness had no independent recollection of mailing
any bills to Doe or of receiving the indicated payments. She did recall
getting a $200 cash bonus from McGrath in November 2000, and testified it
was his normal procedure to distribute all cash payments from clients to
the employees. She confirmed there was no trust account ledger for Doe
and no deposit slips for sums paid by Doe. This witness also testified the
respondent has computer access for inputting billing information.
2. Commission’s findings. The commission made the following
comments on the board’s proof regarding the Doe charge:
The testimony of Jane Doe was not sufficiently credible
for the board to meet its burden of proof. Although the
commission found her testimony to be consistent with the
testimony from Heather Williams and Shannon Jackson insofar
as an offer of services in exchange for sex, the commission does
not believe that the [board] met its burden in establishing that
her testimony was believable. The commission finds that Jane
Doe’s credibility was impeached by her own admissions of
having lied under oath and being a “compulsive liar.”
As noted earlier, one commissioner dissented from this finding, stating:
I believe that the board has met its burden of proving by
a convincing preponderance of the evidence that the
respondent violated the Code as charged under count II. I
found the testimony of Jane Doe to be very believable despite
respondent’s attempts at impeaching her credibility. Jane
Doe’s demeanor from the witness stand throughout her direct
and cross examination led me to believe that she was telling
the truth. Furthermore, she testified that she knew the
penalties for perjury and I do not believe that respondent
established any motive as to why Jane Doe would take the
stand and lie under oath. In fact, Jane Doe was a reluctant
witness who did not wish to pursue any complaint against
respondent.
....
30
Jane Doe testified that respondent was uncircumcised.
Respondent confirmed that he was uncircumcised. I believe
that this testimony also supports Jane Doe’s testimony that
she had sex with respondent.
I do not believe that respondent introduced sufficient
evidence to rebut Jane Doe’s testimony that she was never
charged by respondent or that she never paid any money for
respondent’s legal representation. Further, the fact that
respondent’s total bill for his services was one-fifth that
charged by the lawyer representing her husband is consistent
with Jane Doe’s testimony that she was not charged for his
services.
. . . All of her testimony rang true for me and I could find
no reasonable motive for Jane Doe to have lied.
3. Our findings. Notwithstanding the deference this court typically
gives to credibility findings made by the commission, we agree with the
dissenting commissioner. We can understand the commission’s reluctance
to place any reliance on Doe’s testimony at the hearing given the fact that
over the last five years Doe has given two, contradictory versions of her
relationship with McGrath. But while it is clear Doe has not always told the
truth, that conclusion is not the end of the analysis. The critical question
is: was she telling the truth when she said she exchanged sex for fees or
when she denied having done so?
When we view her statements in the context in which they were made,
we are convinced she was telling the truth on the occasions she asserted
she had sex with McGrath in payment for his legal services. Doe’s
motivation to lie in the dissolution proceedings concerning the nature of her
relationship with the respondent is apparent: she wanted the court to order
her husband to pay her attorney fees, and she did not want to be viewed by
the court as an unfit parent, thereby jeopardizing her quest for custody. On
the other hand, we discern no credible explanation for why Doe would lie in
this disciplinary proceeding. By all accounts, she had no complaints with
McGrath’s legal representation of her. She obtained custody of her
children, and even if we believe McGrath’s testimony that she made three
31
payments towards her legal fees, she paid a minimal amount in comparison
to the cost of the divorce to her husband.
McGrath asserted at the hearing that perhaps Doe lied about having
sex with him because she believed her husband had tape-recorded a
telephone conversation in which Doe told her husband that she was
exchanging sex for fees. (John had originally told the board investigator
that he had a tape-recording of a phone conversation in which Doe made
such allegations, but he was unable to locate the tape.) According to the
respondent, Doe might then have felt compelled to testify consistently with
what she had told her ex-husband. But we find this explanation contrary to
human nature. Doe knew when she testified at the hearing that she would
have to acknowledge that she lied at some point. (She told the board
investigator she had sex with McGrath; she told the respondent’s attorney
she did not.) It would have been much easier for her and more protective of
her reputation to say that she lied when she said she and McGrath had a
sex-for-fees arrangement. We cannot imagine that she would perjure
herself at the disciplinary hearing simply to remain consistent with tape-
recorded statements she made to her ex-husband in the heat of a custody
battle. The lack of documented payment of fees by Doe and the consistency
of her testimony with that of Williams also support our credibility
determination. And finally, the respondent has offered no explanation for
how Doe would know that he was uncircumcised.
Although this court does not often disregard the credibility
determinations of the commission, we do so here. We, like the dissenting
commissioner, find Doe’s testimony to ring true, and therefore, we conclude
the board has proven count II by a convincing preponderance of the
evidence.
32
VII. Ethical Violations.
The Iowa Code of Professional Responsibility for Lawyers DR 5-101(B)
provides that a “lawyer shall not engage in sexual relations with a client.” 8
As this court observed in Iowa Supreme Court Board of Professional Ethics &
Conduct v. Furlong, 625 N.W.2d 711 (Iowa 2001):
The vice involved in a lawyer engaging or attempting to
engage in a sexual relationship with a client is clearly identified
in Ethical Consideration 5-25 of the Iowa Code of Professional
Responsibility for Lawyers:
“The unequal balance of power in the attorney-
client relationship, rooted in the attorney’s special
skill and knowledge on the one hand and the
client’s potential vulnerability on the other, may
enable the lawyer to dominate and take unfair
advantage. When a lawyer uses this power to
initiate a sexual relationship with a client, actual
harm to the client, and the client’s interest, may
result. Such overreaching by an attorney is
harmful in any legal representation but presents
an even greater danger to the client seeking advice
in times of personal crisis such as divorce . . . .”
This court has recognized that “the professional
relationship renders it impossible for the vulnerable layperson
to be considered ‘consenting.’ ” Professional responsibility
involves many gray areas, but sexual relationships between
attorney and client is not one of these. Such conduct is clearly
improper.
625 N.W.2d at 714 (citation omitted).
McGrath violated DR 5-101(B). In addition, his conduct was contrary
to DR 1-102(A)(6), making it unethical for a lawyer to “[e]ngage in any . . .
conduct that adversely reflects on the fitness to practice law,” and DR 1-
102(A)(7), making it unethical for a lawyer to “[e]ngage in sexual
harassment.” See Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Steffes,
588 N.W.2d 121, 124 (Iowa 1999) (stating “sexual harassment” is defined
“as including ‘sexual advances [and] requests for sexual favors’ ”).
VIII. Sanction.
8 This prohibition is also found in the new Iowa Rules of Professional Conduct. See
Iowa R. Prof’l Conduct 32:1.8(j).
33
For McGrath’s attempt to obtain sex from Williams in exchange for
legal services, the commission recommended the respondent’s license be
suspended indefinitely with no possibility of reinstatement for one year. We
review this recommendation de novo. Iowa Ct. R. 35.11(3). Although we
give respectful consideration to the discipline recommended by the
commission, “the matter of sanction is solely within the authority of this
court.” Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Sloan, 692 N.W.2d
831, 833 (Iowa 2005). In ascertaining the appropriate discipline, we
consider
the nature and extent of the respondent's ethical infractions,
his fitness to continue practicing law, our obligation to protect
the public from further harm by the respondent, the need to
deter other attorneys from engaging in similar misconduct, our
desire to maintain the reputation of the bar as a whole, and
any aggravating or mitigating circumstances.
Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Kallsen, 670 N.W.2d 161,
164 (Iowa 2003).
The nature of the ethical infractions in this case is very disturbing.
Williams and Doe sought the respondent’s help with matters of paramount
personal importance—custody of and visitation with their children. With
their relationship with their children at stake and with no financial means,
these clients were extremely vulnerable. Preying upon this vulnerability,
the respondent manipulated these women—or, in Williams’ case, attempted
to do so—for his own sexual gratification. He suggested a sex-for-fees
arrangement without ever expressly saying so, carefully choosing his words
in an effort not to get caught.
We think the respondent’s conduct warrants a lengthy suspension.
See Steffes, 588 N.W.2d at 125 (two-year suspension for taking photographs
of partially-clothed client under pretext photos needed to document back
injury); Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Hill, 540 N.W.2d
34
43, 45 (Iowa 1995) (twelve-month suspension for making inappropriate
sexual advances toward client); Comm. on Prof’l Ethics & Conduct v. Barrer,
495 N.W.2d 756, 757 (Iowa 1993) (two-year suspension for making obscene
phone calls to teenage boys); Comm. on Prof’l Ethics & Conduct v. Vesole,
400 N.W.2d 591, 593 (Iowa 1987) (three-year suspension for repeated
instances of indecent exposure to women). McGrath’s behavior was a gross
breach of the trust bestowed on members of the bar and shows he is unfit
to continue to serve as an officer of the court. We think a lengthy
suspension is also necessary to protect members of the public as well as to
discourage similar misconduct by other lawyers.
We suspend James McGrath’s license to practice law in this state
indefinitely with no possibility of reinstatement for three years from the
filing of this opinion. This suspension shall apply to all facets of the
practice of law. See Iowa Ct. R. 35.12(3). In addition, the respondent shall
be prohibited from serving as a judicial magistrate during the period of this
suspension. Upon application for reinstatement, McGrath shall have the
burden to prove he has not practiced law during the period of suspension
and that he has in all other ways complied with Iowa Court Rule 35.21.
Costs are taxed to the respondent. See Iowa Ct. R. 35.25(1).
LICENSE SUSPENDED.