IN THE MATTER OF THE PETITION FOR REINSTATEMENT TO THE BAR OF MARYLAND OF
THOMAS PAUL RAIMONDI; IN THE MATTER OF THE PETITION FOR REINSTATEMENT TO THE
BAR OF MARYLAND OF FRANCIS X. DIPPEL
Misc. Docket (Subtitle BV) Nos. 3, 15, September Term, 1977
Court of Appeals of Maryland
285 Md. 607;
403 A.2d 1234;
1979 Md. LEXIS 249
July 25, 1979, Decided
PRIOR HISTORY:
[***1]
Petitions for reinstatement to the Bar of Maryland
DISPOSITION:
It is so ordered; petitioners in each instance shall pay all costs, including
all costs of transcripts, pursuant to Maryland Rule BV15 b, c.
HEADNOTES: Attorneys --
Reinstatement To Bar -- Petitioner Must Show His Rehabilitation And Present Character,
Qualifications And
Competence By Clear And Convincing Proof -- Burden Of Proving Fitness For
Readmission Is Heavy Where Original
Misconduct Was Serious --
Maryland Rule BV14.
Attorneys --
Disbarment -- Purpose Of
Disbarment Is To Protect Public -- Petition For
Readmission Involves New Inquiry As To Whether Petitioner Has Become Proper Person To
Practice Law --
Maryland Rule BV14.
Attorneys --
Reinstatement To Bar -- Attorneys
Convicted Of
Embezzlement And Attempted Bribery -- Court Regards Nature And Circumstances Of Crimes As
Most Important Criteria Considered On Application For
Reinstatement -- Seriousness Of Original
Misconduct And Court's Duty To Protect Public Are Weighed Against Petitioner's Subsequent
Rehabilitation, His Present Legal
Qualifications And
Competence And Length Of Time
Elapsed Since
Disbarment. Particularly considering the original
misconduct (deliberate
[***2]
embezzlements from numerous estates) of attorney
disbarred in
1963 and original
misconduct (attempted bribery of legislator) of attorney consenting to
disbarment in 1972, the Court
denied the petitions for
reinstatement of each attorney in unrelated cases.
SYLLABUS: In Misc. (BV) No. 3, petition for reinstatement to the Bar of Maryland of
Thomas Paul Raimondi.
In Misc. (BV) No. 15, petition for reinstatement to the Bar of Maryland of
Francis X. Dippel.
COUNSEL: In Misc. (BV) No. 3,
James A. Frost, Assistant Bar Counsel, for Attorney Grievance Commission of Maryland, and
Jerome A. Dashner for Thomas Paul Raimondi.
In Misc. (BV) No. 15,
John Grason Turnbull, II, for Francis X. Dippel, and
James A. Frost, Assistant Bar Counsel, for Attorney Grievance Commission of Maryland.
JUDGES: Murphy, C. J., and Smith, Digges, Eldridge, Orth, Cole and Davidson, JJ.
Smith, J., delivered the opinion of the Court.
OPINIONBY: SMITH
OPINION:
[*608]
[**1235] We decline in these cases to reinstate Francis X. Dippel and Thomas Paul
Raimondi as members of the Bar of this State. The cases are in no way
connected. Because the same principles of law and policy are applicable in
each case, we
[***3] have consolidated these two matters for the purpose of an opinion.
Maryland Rule BV14 provides that an attorney's petition for
reinstatement to the bar shall be filed in this Court. It must
"set forth facts showing that the petitioner is rehabilitated and is otherwise entitled
to the relief sought." If we reserve judgment until after hearing, as we did here, Bar Counsel is to
"conduct an appropriate investigation and shall refer the petition to an Inquiry
Panel selected by the Chairman of the Inquiry Committee." Thereafter the petition is to be heard and determined in accordance with Rule
BV6 c concerning complaints and investigations and is to be reviewed by the
Review Board in accordance with Rule BV7. Bar Counsel is then to transmit to
us the
recommendations of the
Review Board and any evidence.
Rule BV14 c 3 then provides that Rules BV9 e concerning charges and pleadings
[*609] and Rule BV11 b concerning disposition of charges in subsequent proceedings
are applicable to proceedings under BV14. A person desiring
reinstatement has the burden under
Rule BV14 d 4
"to establish the averments of the petition by clear and convincing proof."
I The law
The four principal factors
[***4] to be considered in evaluating a petition for
reinstatement to the bar were
set forth by Chief Judge Murphy for the Court in
In re Braverman, 271 Md. 196, 199-200, 316 A. 2d 246 (1974), and repeated by Judge Eldridge for the Court in
In re Barton, 273 Md. 377, 379, 329 A. 2d 102 (1974). They are: (1) the nature and
circumstances of the original
misconduct; (2) petitioner's
subsequent conduct and
reformation; (3) his present character; and (4) his present
qualifications and
competence to
practice law. Judge Eldridge noted in
Barton that
"the more serious the original
misconduct was, the heavier is the
burden to prove present fitness for
readmission to the bar."
Id. at 380.
This Court has said repeatedly that the purpose of
disbarment is not to punish, but to protect the public.
See, e.g.,
Barton, 273 Md. at 381;
Maryland St. Bar Ass'n v. Sugarman, 273 Md. 306, 318, 329 A. 2d 1 (1974),
cert. denied,
420 U.S. 974 (1975);
Maryland St. Bar Ass'n v. Frank, 272 Md. 528, 533, 325 A. 2d 718 (1974);
Maryland St. Bar Ass'n v. Callanan, 271 Md. 554, 557, 318 A. 2d 809 (1974);
Maryland St. Bar Ass'n v. Agnew, 271 Md. 543, 549, 318 A. 2d 811 (1974);
[***5]
Bar Ass'n v. Marshall, 269 Md. 510, 519, 307 A. 2d 677 (1973);
Balliet v. Baltimore Co. Bar Ass'n, 259 Md. 474, 478, 270 A. 2d 465 (1970); and
In re Meyerson, 190 Md. 671, 675, 59 A. 2d 489 (1948). Also, see the opinion by Judge Cardozo in
Matter of Rouss, 221 N.Y. 81, 84-85, 116 N. E. 782 (1917), to the same effect.
In
Meyerson Judge Markell said for the Court,
"Whether an application for
reinstatement is called an application to set aside a
disbarment order or an application for admission to practice, its essential nature is the
same." He then went on to
quote from
In re Keenan, 310 Mass. 166, 170, 37 N.E.2d
[*610] 516 (1941), where the Supreme Judicial Court of Massachusetts said,
"A subsequent petition for admission to the bar involves a new inquiry as to
whether, in the interval following the
[**1236] rendering of the judgment of removal, the petitioner has become a proper
person to hold such office." We again quoted that language in
Maryland St. Bar Ass'n v. Boone, 255 Md. 420, 432, 258 A. 2d 438 (1969).
In
Meyerson Judge Markell also said for the Court:
As
disbarment is not punishment, likewise we think due regard for the administration
[***6] of justice does not permit
disbarment and
reinstatement to be made mere adjuncts to reform schools and the parole system. The
authorities that seem to us the best considered take a different view, which is
consistent with the principles recognized in Maryland. [Id. 190 Md. at 678.]
We quoted that language with approval in
Boone, 255 Md. 420, 433.
II Dippel
Dippel was originally admitted to the Maryland Bar in November 1947. He
practiced law until his
disbarment in 1963. n1 During this period he served one year in the House of Delegates
and one term in the Maryland Senate. The inquiry panel summarized the facts
surrounding his
disbarment:
[It] was precipitated by investigations and subsequent criminal
indictments concerning a scheme devised by [Dippel] and an accomplice,
[*611] Henry Edward Wisowaty, who also was a member of the Maryland Bar, whereby they
would file documents with the Orphans' Court of Baltimore City to gain control
of estates of deceased resident aliens, then divest the estates of all capital
assets to their own use, the assets being apportioned between them. The scheme
included in some cases the preparation of forged Wills
[***7] leaving substantial parts of the
estate to fictitious heirs, the payment of fictitious claims, and the filing of
spurious and false documents. As a result of these activities, six
indictments were brought against [Dippel] for
embezzlement, larceny and conspiracy, the total amounts embezzled for the six estates being
$ 71,083.46. Eventually, total
restitution was made of that sum, [Dippel] having made
restitution in the amount of $ 45,083.46, and Wisowaty having made
restitution in the amount of $ 26,000. In the meantime, however, as a result of those
indictments, [Dippel] pleaded guilty to the six
indictments charging
embezzlement, and the State's Attorney stetted the companion charges of larceny and
conspiracy. Judge Charles Harris in the Criminal Court of Baltimore City
sentenced [Dippel] to terms totalling 15 years in the Maryland Penitentiary,
which was later reduced to 5 years after partial
restitution had been made, and after serving approximately 21 months of his sentence,
[Dippel] was paroled after
one previous parole application had been denied.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n1 In his petition for
reinstatement Dippel said that in 1963 while under
indictment he
"voluntarily tendered his
resignation from the Maryland Bar." It is true that he tendered his
resignation to the Supreme Bench of Baltimore City. It, however, refused to accept
Dippel's
resignation, possibly because it thought
"resignation" carried a different connotation than
"disbarment." A complaint was duly filed with it. It held a hearing after which it
disbarred Dippel on September 13, 1963. Reference was made in the order of
disbarment to the convictions mentioned in the panel's opinion here. (Disciplinary
proceedings were handled in the circuit courts of the 23 counties of Maryland
and in the Supreme Bench of Baltimore City prior to the revision of the BV
rules in 1970.)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***8]
T. Hughlett Henry, Jr., Esq., of the inquiry panel, pressed Dippel as to the
reason for his criminal activity. Dippel
replied,
"It wasn't a question of
earning money because I was
earning money -- $ 40,000 to $ 50,000 a year from about 1950. I can't say and I will
not blame it on my wife or anybody except stupidity on my own part." He was then asked whether he thought
"it was just a clever operation," to which he replied,
"Well, it appeared so easy."
Upon his release from
prison Dippel secured employment
[*612] as an insurance consultant through the efforts of friends. Thereafter he
became employed by the Social Security Administration on August 8, 1966. He is
still employed there as a labor relations
[**1237] specialist. He was granted a full pardon on November 10, 1976.
The panel heard numerous witnesses. All of those produced by Dippel praised
him, saying what a fine, outstanding gentleman he is today, and recommending
his
reinstatement. Two attorneys were produced by Bar Counsel in opposition to the
reinstatement. Both had been
actively involved in the extensive investigation into Dippel's wrongdoings, one
as a member of the Grievance Committee of the Bar Association
[***9] of Baltimore City and the other as a representative of true heirs of one of
the estates involved. Each subsequently served as president of the Maryland
State Bar Association. Each of these attorneys strongly opposed
reinstatement.
The panel recognized the criteria for consideration of a petition for
reinstatement set forth in
Barton, Boone, and
Braverman. It addressed itself to each of those criteria. It said relative to the
cause of his
disbarment:
The
misconduct of [Dippel] which led to the various investigations, both civil and criminal,
resulting in
indictments and court proceedings,
disbarment, conviction, and sentencing, was of the most severe nature that an attorney can
be guilty and was not a single, isolated aberration or youthful prank, but a
deliberate plan to scheme and defraud innocent people out of funds belonging to
them.
It concluded that his
conduct
"subsequent to his release from
prison has been exemplary and he has made genuine efforts to reform himself in his
life style, the community, and job." It found
"no indication that [Dippel's] present character has been blemished to any
extent which would in itself prohibit his
reinstatement."
[***10] Concerning his present
qualifications and
competence to
practice law, it observed in pertinent part:
[Dippel] has been away from the active
practice of law since at least June of 1963, a period of over 15
[*613] years, and his efforts to keep current with Maryland law have been very
limited.
* * *
With respect to his
competence to
practice law, there is, of course, always some question in the case of a lawyer who has been
unable to practice for 15 years. The criteria set, however, in grave crimes
require a substantial period for rehabilitation and
reformation and it is unlikely, in a case of such gravity of
misconduct leading to
disbarment as this, that a shorter time than 15 years would ever be acceptable. Hence,
to consider
competence, we must measure this applicant against others forbidden to practice for such a
period.
Dippel has proven his
competence in a specialized field of law -- labor relations, and has participated as an
advocate in many matters where a licensed lawyer was not required. He admits
he has made only casual efforts to keep abreast of the changes in Maryland case
and statute law. He asserts that he would know when he was incompetent and
would
[***11] associate with him a competent lawyer when the occasion arose. If this
competence criterion were the only one standing in the way of
reinstatement, it would point up the need for a rule permitting conditional
reinstatement at the end of a period of refresher legal education.
The primary consideration deals with the gravity of the original
misconduct and the extent that Petitioner has shown his
reformation and the improbability of a repetition of such conduct if reinstated. The
burden of proof is Petitioner's and the graver the
misconduct the greater the burden.
The crimes that he committed are
peculiarly available to unscrupulous lawyers and the fraudulent devices used --
false wills, false claims pursued in Court, and false affidavits to support
them -- fall within the areas of the legal training he
[*614] received at the outset. It is possible, but not probable, that these
fraudulent schemes could have been carried out by one who was not a member of
the Bar.
A lawyer who uses his legal skills to defraud has been put in the position to
victimize the public through the sanction of the bar in its prior approval of
his integrity and morality.
[**1238] [Dippel] committed
[***12] crimes not only against the dignity of the State, but also against his
profession and the Courts of which he was an officer. It is difficult enough
to envision
reinstatement of a lawyer who embezzles funds entrusted to him without the mitigating
circumstances of an irresistible motive. Petitioner did not commit one
embezzlement under the pressure of dire need or duress. He committed a series of carefully
schemed
embezzlements because,
in his words, he was
"stupid -- it appeared so easy." He was apparently an able lawyer at the time of the original
misconduct and some of his schemes were ingenious, so the explanation of stupidity is
unacceptable. That the money was easy to take seems the most reasonable
explanation of his fraudulent acts. He should not have the sanction of the bar
to invite the public to entrust to him more funds that are easy to take. The
Panel has not been persuaded that [Dippel] has met the heavy burden of proof
entitling him to
reinstatement.
Pursuant to
Rule BV14 d 2 the Review Board, for which provision is made in Rule BV7, reviewed the
matter. It unanimously
"concurr[ed] in and adopt[ed] the Inquiry Panel's
recommendation that [Dippel's] Petition
[***13] for
Reinstatement should be denied . . . ."
III Raimondi
Thomas Paul Raimondi was
admitted to practice before this Court on October 15, 1953. We accepted his
resignation with
[*615] prejudice on December 29, 1972. (We now refer to such proceedings as
disbarment by consent. Rule BV12
d.) Raimondi was
convicted in the Criminal Court of Baltimore of attempting to bribe a member of the
General Assembly. This was all an outgrowth of the election of Governor Spiro
T. Agnew as Vice-President of the United States and the fact that the General
Assembly became obliged to elect a Governor of Maryland. The details of his
wrongdoing are
set forth in
Raimondi v. State, 12 Md. App. 322, 278 A. 2d 664 (1971), and
Raimondi v. State, 265 Md. 229, 288 A. 2d 882,
cert. denied,
409 U.S. 948 (1972). He was granted a full pardon on May 27, 1975.
Raimondi was employed in several different places from the time of his release
from
prison in 1973 until the time that he passed a competitive examination and was
selected as a hearing officer in the Insurance Division of the State of
Maryland, a part of the
Department of Licensing and Regulation.
As in Dippel's case, Raimondi was able to
[***14] produce a number of individuals who praised him highly and said what a fine
gentleman he is now.
The Raimondi panel also recognized the criteria for consideration of a petition
for
reinstatement set forth in
Barton, Boone, and
Braverman. It seemed a bit inclined to regard the original
misconduct as not grave in nature. It referred to the fact that the then State's
Attorney
"stated that although his office viewed the crime as serious in terms of its
impact on the governmental structure, 'We did not think that there was too
great an imminent danger of its coming to fruition because it was just a little
bit too bizarre to be -- it was a long, long shot even from the point of view
of those attempting to perpetrate it.'" It said that
"[i]n the final analysis, however, based upon the record before it and its
observation of [Raimondi] during his testimony, the Panel agree[d] with the
remarks of [one witness] who ha[d] known [Raimondi] both socially and professionally for approximately 27
years, that what [Raimondi] did was 'stupid', 'irrational' and 'out of
character.'" It observed that although the crime
"was a serious act, it appear[ed] to have been perpetrated
[***15] for
[*616] purposes of embarrassing [one individual] rather [than] for any apparent
personal gain." The panel
"conclude[d] that insofar as the nature and circumstances of [Raimondi's]
misconduct are concerned, his
reinstatement would not be prejudicial to the interests of the public or the administration
of justice."
The panel went on to consider the other criteria. It referred to Raimondi's
substantial involvement in civic and fraternal affairs. It
"f[ound] that [Raimondi] has met
[**1239] the burden of establishing that his conduct and
reformation since his release from
prison warrant his
reinstatement to the
practice of law." It likewise found that he
"has met the burden of establishing that his present character merits favorable
consideration for his
readmission to the Bar." Concerning his present
qualifications and competency to
practice law, the panel concluded by
saying:
In the instant case approximately 4 1/2 years
elapsed between the acceptance by the Court of Appeals of [Raimondi's]
resignation from the Bar and the filing of his Petition for
Reinstatement, and a further 1 1/2 years has
elapsed since then. During that period, [he] obtained
[***16] a Master's degree in Public Administration and has served for 2 1/2 years as a
Hearing Officer in the Insurance Division for the State of Maryland. According
to the testimony of Insurance Commissioner Birrane, his executive assistant,
Ted Hickman, and several attorneys who have tried numerous cases before him, he
has performed his duties with extreme
competence. We believe that [Raimondi's] accomplishments, as well as his own testimony,
evidence a sound and responsible attitude toward refreshing his professional
skills. We are satisfied that if readmitted to the
practice of law, [he] would abide by the requirements of EC 6-1.
The inquiry panel
recommended Raimondi's
reinstatement.
The matter was reviewed by the Review Board pursuant to
Rule BV14 d 2. It
"concurr[ed] in and adopt[ed] the Inquiry
[*617] Panel's
recommendation that [Raimondi's] Petition for
reinstatement should be granted . . . ."
IV Dispositions
Where there has been a
disbarment for crimes such as were committed by Dippel and Raimondi we regard the nature
of the crimes and the circumstances surrounding them as one of the most
important of the criteria to be considered on an application for
[***17]
reinstatement. Therefore, we focus in these two cases on the nature and circumstances of the
original conduct. In so doing we note that in considering such an application
we must remember that, as it was put in
In re Cannon, 206 Wis. 374, 240 N. W. 441 (1932):
The relation of the bar to the courts is a
peculiar and intimate relationship. The bar is an attache of the courts. The quality
of justice dispensed by the courts depends in no small degree upon the
integrity of its
bar. An unfaithful bar may easily bring scandal and reproach to the
administration of justice and bring the courts themselves into disrepute. [Id. at 383.]
We note relative to
reinstatement the comment in
In re Morrison, 45 S.D. 123, 186 N. W. 556 (1922):
[A court] should endeavor to make certain that it does not again put into the
hands of an unworthy petitioner that almost unlimited opportunity to inflict
wrongs upon society possessed by a practicing lawyer. [Id. at 126.]
There may be a point in time when it is proper to reinstate to the
practice of law even one who has committed a most heinous crime. We are unable to draw a
precise line as to when that might
[***18] be. We point out once again Judge Eldridge's observation for the Court in
Barton, 273 Md. at 380,
"[T]he more serious the original
misconduct was, the heavier is the
burden to
prove present fitness for
readmission to the bar."
It may not have been so labeled, but what courts do when
[*618] faced with any application for
reinstatement from a previously
disbarred lawyer is to engage in a
balancing process. On one side of the scale is placed the seriousness of the
misconduct which produced
disbarment and the court's duty to society at large to see that only those persons who
are worthy of the faith and
confidence of the general public are permitted to handle the affairs of others. In this
regard, it must be remembered as Chief Justice Vinson said in
In Re Isserman, 345 U.S. 286, 289, 73 S. Ct. 676, 97 L. Ed. 1013 (1953),
reversed on other grounds,
348 U.S. 1, 75 S. Ct. 6, 99 L. Ed. 3 (1954),
"There
[**1240] is no vested right in an individual to
practice law. Rather there is a right in the Court to protect
itself, and hence society, as an instrument of justice." On the other side are placed the
subsequent conduct and
reformation of such individual, his present
[***19] character, his present
qualifications and
competence to
practice law, and the fact that the very nature of law practice places an attorney in a
position where an unprincipled individual may do tremendous harm to his client.
In this
balancing process consideration must be given to the length of time which has
elapsed since
disbarment. Also, it must not be
forgotten that a
disbarred attorney was previously found to possess
good moral character. Otherwise, he would not have been
admitted to practice law. Thus, either someone erred in the earlier evaluation of his character or
the weakness of character producing the earlier
misconduct previously failed to manifest itself. For this reason such an applicant must
undergo an even more exacting scrutiny than he did earlier. In evaluating the
statements from others as to the present
good moral character of an applicant for
readmission it must not be
forgotten that a
disbarred lawyer -- like many people
convicted of so-called
"white-collar" crime -- had earlier occupied a position in society where it is probable that
testimonials as to his
good moral character, similar to that elicited in connection with his application for
reinstatement,
[***20] could have been obtained at any point in time prior to knowledge of his
misconduct on the part of those attesting to his good character.
In a number of our prior cases,
e.g.,
Attorney Grievance
[*619] Comm'n v. Green, 278 Md. 412, 415, 365 A. 2d 39 (1976);
Bar Ass'n of Balto. City v. Posner, 275 Md. 250, 257, 339 A. 2d 657,
cert. denied,
423 U.S. 1016 (1975); and
Maryland St. Bar Ass'n v. Sugarman, 273 Md. 306, 317, 329 A. 2d 1 (1974),
cert. denied,
420 U.S. 974 (1975), we quoted from
In re Stump, 272 Ky. 593, 114 S.W.2d 1094 (1938), concerning the petition for
reinstatement of a
disbarred attorney:
The ultimate and decisive question is always whether the applicant is now of
good moral character and is a fit and proper person to be reintrusted with the
confidences and privileges of an attorney at law. This question has a broader
significance than its purely personal aspect. From time immemorial lawyers
have in a
peculiar sense been regarded as officers of the court. It is a lawyer's obligation to
participate in upholding the integrity, dignity, and purity of the courts. He
owes a definite responsibility to the public in the proper administration
[***21] of justice. It is of utmost importance that the honor and integrity of the
legal profession should be preserved and that the lives of its members be
without reproach. The malpractice of one reflects dishonor not only upon his
brethren, but upon the courts themselves, and creates among the people
a distrust of the courts and the bar. [Id. at 598.]
Here Dippel made use of his legal training and knowledge to steal from certain
estates. Without any apparent reason other than sheer greed, Dippel engaged in
a calculated campaign of theft. He testified that he
"was
earning money -- $ 40,000 to $ 50,000 a year from about 1950." Even in this day of inflation such
earnings would be regarded as substantial. Translated into the equivalent of 1979
dollars, however, his
earnings by his account must have been well over $ 80,000 per year. Thus, greed alone
would seem to have been the only reason behind his crime, a point illustrated
by his statement that it was easy to steal by these forgeries and other
manipulations.
Raimondi was
convicted of an attempt to bribe in
[*620] connection with the highly unusual situation in which the General Assembly of
Maryland was obliged to elect
[***22] a Governor to serve a little more than two years of the remaining term of the
Governor previously elected by the people. Such conduct strikes at the very
fundamentals of our government, and the more so when it is perpetrated by a
member of the Bar sworn to support the Constitution and laws of this State.
See Maryland Code (1957) Art. 10,
§ 10.
[**1241] Balancing all of the above mentioned factors and particularly taking into
consideration the conduct for which Messrs. Dippel and Raimondi were
disbarred and the time which has
elapsed since then, we are unwilling to once again constitute them officers of this
Court, thereby placing them in a position where they may handle the affairs of
others. Thus, their petitions for
reinstatement will be denied.
It is so ordered; petitioners in each instance shall pay all costs, including
all costs of transcripts, pursuant to Maryland Rule BV15 b, c.