Pappas v. Virginia State Bar

Present: Hassell, C.J., Lacy, Keenan, Koontz, Kinser, and
Lemons, JJ., and Compton,∗ S.J.

NICHOLAS ASTOR PAPPAS

v.   Record No. 052136     OPINION BY JUSTICE DONALD W. LEMONS
                                    April 21, 2006
VIRGINIA STATE BAR

          FROM THE VIRGINIA STATE BAR DISCIPLINARY BOARD

      In this appeal of right, Nicholas Astor Pappas ("Pappas")

challenges the rulings of the Virginia State Bar Disciplinary

Board ("Board") in a proceeding in which the Board suspended

Pappas' license to practice law for a period of six months.

                          I.   Background

      On August 15, 1999, Rochelle McCarl ("McCarl") was

injured in an automobile accident.    Soon thereafter, McCarl

employed Pappas to represent her concerning a personal injury

claim arising from this accident.    On February 28, 2000,

McCarl was injured in another automobile accident, this time

while riding in a car driven by her boyfriend, Kenneth Randall

Poe ("Poe").   Poe was charged with violating Code §§ 18.2-266

(driving while intoxicated), 46.2-324 (failure to notify the

Department of Motor Vehicles of a change in address), 46.2-852

(reckless driving), 46.2-1043 (operating a motor vehicle with

defective equipment), and 46.2-1094 (failure to wear a seat



      ∗
       Senior Justice Compton participated in the hearing and
decision of this case before his death on April 9, 2006.

                                 1
belt).   Poe was directed to appear in the General District

Court of the City of Fredericksburg on March 14, 2000.

     For reasons that are unclear in the record, Poe's hearing

did not occur on March 14.   On or about May 4, 2000, based on

a referral by McCarl, Poe approached Pappas and asked Pappas

to represent him.   Pappas agreed.   At about the same time,

McCarl and Poe, who were living together, moved from Virginia

to New Jersey.    Later that year, McCarl and Poe moved from New

Jersey to Tennessee.

     On June 22, 2000, the hearing on Poe's February 28

violations was held and Pappas appeared on behalf of Poe

before the General District Court of the City of

Fredericksburg.   Pappas entered a plea of guilty on Poe's

behalf and the district court found Poe guilty of driving

while intoxicated under Code § 18.2-266.   All of the other

charges were either dismissed or nolle prossed.    Pappas

informed Poe of the district court's action in a letter dated

June 26, 2000.

     On July 7, 2000, Pappas wrote the Virginia State Police

to request information regarding the February 28 accident.

Pappas stated in the letter that he represented McCarl.     On

September 26, 2000, McCarl signed an agreement with Pappas for

Pappas to represent McCarl in her claim for personal injuries

against Poe.   On September 27, 2000, Pappas had Poe execute a


                                 2
document entitled, "Waiver," stating that Poe was waiving any

possible conflicts that might arise from the representation of

McCarl by Pappas in a suit against Poe regarding injuries

McCarl sustained in the February 28 accident.

     Subsequently, Pappas filed a motion for judgment on

behalf of McCarl against Poe in the Circuit Court for the City

of Fredericksburg on February 27, 2002.   Poe was represented

by John W. Hartel ("Hartel"), and on October 11, 2002, Hartel

requested that Pappas be removed as McCarl's counsel.    On

March 4, 2003, the Circuit Court for the City of

Fredericksburg found that Pappas' conduct violated Rule 1.7 of

the Virginia Rules of Professional Conduct, "Conflict of

Interest: General Rule," and removed Pappas as counsel for

McCarl.   On March 5, 2003, Hartel filed a complaint with the

Virginia State Bar ("Bar") against Pappas.

     On November 30, 2004, the Sixth District Committee

certified its determination to the Board that Pappas' conduct

violated Rule 4.3(b)1 and Rule 8.4(c)2 of the Rules of

Professional Conduct.   As part of the facts cited in support

     1
       "A lawyer shall not give advice to a person who is not
represented by a lawyer, other than the advice to secure
counsel, if the interests of such person are or have a
reasonable possibility of being in conflict with the interest
of the client."
     2
       "It is professional misconduct for a lawyer to: . . .
engage in conduct involving dishonesty, fraud, deceit or



                                3
of its determination, Paragraph 5 of the certification stated,

"Mr. Poe ha[s] moved to Tennessee and did not appear for the

DUI hearing, but Mr. Pappas appeared and, with Mr. Poe's

consent, entered a guilty plea on his client's behalf."     In

his answer, Pappas admitted that Paragraph 5 was correct.

        Pappas' hearing before the Board commenced on April 22,

2005.    In the course of the hearing that day, counsel for the

Bar moved for a continuance in order to obtain the retainer

agreement between McCarl and Pappas in McCarl's suit against

Poe because the date it was signed was a material fact.

Pappas objected, but the continuance was granted.

        Prior to the commencement of the hearing, the Bar had

been unable to locate Poe; however, subsequent to the granting

of the continuance, the Bar located Poe and deposed him.    The

Board re-convened on July 22, 2005.    In addition to the

retainer agreement, Counsel for the Bar sought to introduce

the deposition testimony of Poe and amend the certification

from the Sixth District Committee.    In his deposition, Poe

stated that he did not authorize Pappas to enter a guilty plea

on his behalf.    Because of this testimony, the Bar sought to

amend Paragraph 5 of the certification so that it would read,

"Mr. Poe had moved to Tennessee and did not appear for the DUI



misrepresentation which reflects adversely on the lawyer's
fitness to practice law."

                                  4
hearing, but Mr. Pappas appeared and, allegedly with Mr. Poe's

consent, entered a guilty plea on his client's behalf."

Pappas objected to both the deposition testimony and the

amendment of the certification, but his objections were

overruled.   The Bar was granted leave to amend the

certification and Poe's deposition testimony was received in

evidence.    The hearing concluded on July 22.   The Bar withdrew

the certification of a violation of Rule 4.3(b) and asked the

Board to find Pappas in violation of Rule 8.4(c).

     On August 10, 2005, the Board issued its order finding by

clear and convincing evidence that Pappas violated Rule

8.4(c).   The Board suspended Pappas' license to practice law

in the Commonwealth for six months.   The Board also ordered

Pappas to comply with the requirements of Part Six, § VI,

¶ 13(M) of the Rules of the Supreme Court and assessed costs

against Pappas.

     In this appeal of right, Pappas assigns four errors to

the decision of the Board:   (1) error "in permitting the bar

to amend ¶ 5 of the Certification at the disciplinary hearing

on July 22, 2005"; (2) error "in admitting the deposition

testimony of [Kenneth Randall] Poe with reference to ¶ 5 of

the Certification at the disciplinary hearing on July 22,

2005"; (3) error "in finding that [Pappas] engaged in

professional conduct involving dishonesty, fraud, deceit[,] or


                                 5
misrepresentation which reflects adversely on the lawyer's

fitness to practice law, in violation of Rule 8.4(c) of the

Rules of Professional Responsibility; and (4) error because

the "Board's Findings of Fact do not rise to the level of

proof necessary to establish ethical misconduct."3

                          II.   Analysis

     The standard of review we employ in reviewing a matter of

attorney discipline is familiar and well-settled:

     We conduct an independent examination of the
     entire record. We consider the evidence and
     all reasonable inferences that may be drawn
     from the evidence in the light most favorable
     to the Bar, the prevailing party [below]. We
     accord the [Board's] factual findings
     substantial weight and view those findings as
     prima facie correct. Although we do not give
     the [Board's] conclusions the weight of a jury
     verdict, we will sustain those conclusions
     unless it appears that they are not justified
     by a reasonable view of the evidence or are
     contrary to law.

Anthony v. Virginia State Bar, 270 Va. 601, 608-09, 621 S.E.2d

121, 125 (2005).   See also Pilli v. Virginia State Bar, 269

Va. 391, 396, 611 S.E.2d 389, 391 (2005).

     In reviewing Pappas' first two assignments of error, we

hold that the Board's decision to permit the amendment of




     3
       Pappas also assigned error to the decision of the Board
for "imposing discipline for conduct previously adjudicated
and resolved in circuit court," but withdrew this assignment
of error in his brief before this Court.

                                 6
Paragraph 5 of the certification and its related decision to

admit the deposition testimony of Poe were improper.

     Pursuant to Code § 54.1-3909, this Court "may promulgate

rules and regulations" which define the practice of law,

prescribe "a code of ethics governing the professional conduct

of attorneys," and prescribe "procedures for disciplining,

suspending, and disbarring attorneys."      In accordance with

this statutory authority, we promulgated Part Six of the Rules

of the Supreme Court of Virginia.      Section IV, Paragraph 13 of

Part Six outlines the procedures "for Disciplining,

Suspending, and Disbarring Attorneys."

     Prior to the hearing before the District Committee, the

Bar must serve upon the attorney "by certified mail the Charge

of Misconduct, a copy of the Investigative Report considered

by the Subcommittee and any exculpatory materials in the

possession of the Bar Counsel."       Part 6, § IV,

¶ 13(H)(1)(a)(1).   If, at the conclusion of its hearing, "the

District Committee finds that the evidence shows the

[attorney] engaged in Misconduct by clear and convincing

evidence, then the Chair shall issue the District Committee's

Determination."   Part 6, § IV, ¶ 13(H)(2)(m).        One of the

options available to the District Committee is to certify its

Determination to the Board for its consideration.        Part 6,

§ IV, ¶ 13(H)(2)(n).   A "certification" is "the document


                                  7
issued by a Subcommittee or a District Committee when it has

elected to certify the Charges of Misconduct to the Board for

its consideration, which document shall include sufficient

facts to reasonably notify Bar Counsel and Respondent of the

basis for such Certification and the Disciplinary Rules

alleged to have been violated."       Part 6, § IV, ¶ 13(A).   The

attorney may appeal the District Committee's determination

either to the Board or a three-judge circuit court panel.

Part 6, § IV, ¶ 13 (H)(2)(p)(4).      If, as Pappas did in this

case, an attorney elects to appeal to the Board, the Board

must then follow the procedures outlined in Part 6, § IV,

¶ 13(I).

     Fundamental to any legal proceeding is notice and an

opportunity to be heard.   Tidwell v. Virginia State Bar, 262

Va. 548, 550, 554 S.E.2d 451, 453 (2001); see also Heacock v.

Commonwealth, 228 Va. 235, 241, 321 S.E.2d 645, 649 (1984)

(quoting Grannis v. Ordean, 234 U.S. 385, 394 (1914)).         The

procedures outlined in Part Six provide the notice and hearing

provisions for disciplinary proceedings.      These provisions

ensure the integrity of the disciplinary process and protect

the rights of the attorney.

     There is no mechanism in Part Six that allows the Board

to amend a certification from the District Committee.

Paragraph 5 of the certification stated, "Mr. Poe ha[s] moved


                                  8
to Tennessee and did not appear for the DUI hearing, but Mr.

Pappas appeared and, with Mr. Poe's consent, entered a guilty

plea on his client's behalf."   (Emphasis added.)   In his

answer, Pappas admitted that Paragraph 5 was correct.   Yet,

with no notice and no review by the District Committee, the

Board granted the Bar’s request to amend Paragraph 5 of the

certification so that it would read, "Mr. Poe had moved to

Tennessee and did not appear for the DUI hearing, but Mr.

Pappas appeared and, allegedly with Mr. Poe's consent, entered

a guilty plea on his client's behalf."   (Emphasis added.)

This amendment was tantamount to a new charge.   As such,

Pappas was entitled to the procedural protections outlined in

Part 6, § IV, ¶ 13, including notice, review by the District

Committee, and the opportunity to be heard by the Board or a

three judge panel.   Furthermore, because the Board's decision

to permit the amendment of Paragraph 5 of the certification

was improper and the amended charge was not properly before

the Board, its related decision to admit the deposition

testimony of Poe also was improper.

     In his two remaining assignments of error, Pappas argues

the Board erred in finding that he violated Rule 8.4(c) of the

Rules of Professional Conduct because the Board's "Findings of

Fact" do not prove the ethical misconduct charged by clear and

convincing evidence.   We agree.


                                   9
     The charge properly before the Board was a violation of

Rule 8.4(c).   However, upon review of the Board's findings of

fact, we conclude that none of the Board's findings address a

violation of Rule 8.4(c).   The Board's findings seem to

address a conflict of interest, adverse representation, and a

breach of the duty of loyalty:

          30. A current or former client's consent
     to a conflict of interest in an adverse
     representation is required to be consent after
     consultation. Consultation is defined in the
     Rules of Professional Conduct as "communication
     of information reasonably sufficient to permit
     the client to appreciate the significance of
     the matter in question." Without consultation,
     a client's consent to a conflict of interest is
     not an informed consent and thus is no consent
     at all.
          31. Loyalty is an essential element in
     the lawyer's relationship with a client.
          32. Lawyers have superior knowledge and
     experience in addressing conflicts of interest
     with clients, current or former, and such
     clients justifiably may rely on their lawyer to
     be honest, candid, and thorough in eliciting
     consent to an adverse representation of another
     client.
          33. A client's consent to a
     representation adverse to the client's
     interests, whether in litigation or otherwise,
     is required to be elicited before the adverse
     representation commences.

The only finding that could be considered to have addressed a

violation of Rule 8.4(c) was:

          29. There were conflicts between the
     testimony of [Pappas] and Ms. McCarl, on the
     one hand, and Mr. Poe, on the other hand, in
     material respects. The deposition testimony of
     Mr. Poe is credible. Ms. McCarl's deposition


                                 10
     testimony was marked by uncertainty and
     speculation. [Pappas'] testimony ore tenus, if
     not evasive in material respects, was marked by
     inconsistency and vagueness.

However, this one finding is not sufficient to support the

Board's determination that Pappas engaged "in conduct

involving dishonesty, fraud, deceit or misrepresentation which

reflects adversely on [Pappas'] fitness to practice law" by

clear and convincing evidence.    We hold that the evidence was

insufficient to find by clear and convincing evidence that

Pappas violated Rule 8.4(c).

                       III.    Conclusion

     The Board's decisions to permit the amendment of

Paragraph 5 of the certification and to admit the deposition

testimony of Poe were improper.       On the charge that was before

the Board, the evidence was insufficient to find by clear and

convincing evidence that Pappas violated Rule 8.4(c).      We will

reverse the order of the Board and dismiss the action against

Pappas.

                                             Reversed and dismissed.




                                 11