Justia Professional Malpractice & Ethics Opinion Summaries

James Ervin pleaded guilty to possessing a semi-automatic rifle as a convicted felon, violating 18 U.S.C. § 922(g)(1). He later sought to withdraw his guilty plea through a 28 U.S.C. § 2255 motion, claiming ineffective assistance of counsel and that the government provided false inculpatory information about the rifle. Ervin's arguments centered on the interpretation of the phrase “in or affecting commerce” in § 922(g).The United States District Court for the Western District of North Carolina denied Ervin's motion to vacate his plea. The court found that the rifle had traveled in interstate commerce, thus meeting the statutory requirement. Ervin's ineffective assistance claim failed because he could not establish prejudice, as the firearm's interstate travel was sufficient to satisfy the commerce element of § 922(g). The court also denied his motion for reconsideration and his request for a certificate of appealability.The United States Court of Appeals for the Fourth Circuit reviewed the case. The court held that the phrase “in or affecting commerce” in § 922(g) should be interpreted broadly, consistent with the Supreme Court's decision in Scarborough v. United States. The court found that the rifle, which traveled from North Carolina to Louisiana, Georgia, and back to North Carolina, met the interstate commerce requirement. Consequently, Ervin's claims of ineffective assistance of counsel and due process violations were rejected. The court affirmed the district court's denial of Ervin's motion to withdraw his guilty plea, concluding that his interpretation of the statute was incorrect and that his defense would have been meritless. View "United States v. Ervin" on Justia Law

The plaintiff, Shalome Kaushansky, retained Stonecroft Attorneys, APC, to represent her in a legal action against her landlord due to various issues during her tenancy, including water leaks, mold, electrical problems, and harassment. Stonecroft filed a complaint but failed to advance the case, conduct discovery, or respond to the landlord's discovery requests. Shortly before the trial, Stonecroft withdrew from the case, leading Kaushansky to settle for $2,500.Kaushansky then sued Stonecroft for professional negligence, breach of fiduciary duty, and unfair competition. The Los Angeles County Superior Court found in favor of Kaushansky, awarding her $91,734.29 for professional negligence and $25,000 for breach of fiduciary duty, totaling $116,734.29. The court found Stonecroft failed to plead all applicable causes of action, conduct discovery, and protect Kaushansky from foreseeable prejudice upon withdrawal. However, the court ruled in favor of Stonecroft on the unfair competition claim and declined to award punitive damages.The California Court of Appeal, Second Appellate District, reviewed the case. The court reversed the $91,734.29 award for professional negligence, finding no substantial evidence that Kaushansky could have collected this amount from her landlord. The court noted that Kaushansky failed to prove the landlord's solvency or the collectibility of a hypothetical judgment. However, the court affirmed the $25,000 award for breach of fiduciary duty, finding substantial evidence that Stonecroft's withdrawal constituted intentional misconduct, justifying emotional distress damages. The judgment was affirmed in part and reversed in part, with each party bearing its own costs on appeal. View "Kaushansky v. Stonecroft Attorneys, APC" on Justia Law

Plaintiffs filed a complaint in Arizona district court challenging the state's voting system, claiming it did not adequately protect voters' rights and should be replaced with a hand-counted paper ballot system. The district court dismissed the complaint for lack of standing, and the Ninth Circuit affirmed the dismissal. Subsequently, the district court imposed sanctions on the plaintiffs' attorneys, including Alan Dershowitz, for filing a frivolous complaint.The United States District Court for the District of Arizona dismissed the plaintiffs' complaint and granted the defendants' motion for sanctions under Federal Rule of Civil Procedure 11. The district court found that the complaint contained false and misleading statements and ordered the plaintiffs' attorneys to pay a portion of the defendants' legal fees. Dershowitz, who signed the complaint as "of counsel," was held jointly and severally liable for a portion of the sanctions.The United States Court of Appeals for the Ninth Circuit reviewed the case and affirmed the district court's holding that "of counsel" attorneys can be sanctioned under Rule 11 for signing frivolous complaints. The Ninth Circuit rejected Dershowitz's argument that the sanctions violated the First Amendment and found that the district court imposed sanctions to deter frivolous actions, not to silence speech. However, the Ninth Circuit reversed the imposition of sanctions on Dershowitz, as the liability of "of counsel" attorneys under Rule 11 had not been clearly articulated in previous case law. The court declined to apply the rule retroactively but stated that it would apply to any signed pleadings after the publication of this opinion. View "Lake v. Gates" on Justia Law

Plaintiffs filed a complaint in Arizona district court challenging the state's electronic voting system, arguing it should be replaced with a system using exclusively hand-counted paper ballots. They also sought a preliminary injunction to prohibit the use of computerized equipment in elections. The district court dismissed the complaint for lack of Article III standing, and the dismissal was affirmed by the Ninth Circuit in Lake v. Fontes. Subsequently, the district court granted the defendants' motion for sanctions against the plaintiffs' lead attorneys, Andrew J. Parker and Kurt Olsen, and their law firms, holding them liable for $122,200.00 in fees.The district court found that the lead attorneys made false, misleading, and unsupported factual assertions in their first amended complaint and motion for preliminary injunction, and did not conduct a reasonable pre-filing inquiry. Key false allegations included claims that Arizona does not use paper ballots and that its voting machines are not tested. The district court concluded that these misleading statements rendered the complaint factually insufficient and open to sanction. Additionally, the court found that the attorneys acted recklessly and in bad faith, particularly in the timing and nature of their motion for a preliminary injunction.The United States Court of Appeals for the Ninth Circuit reviewed the case and affirmed the district court's imposition of sanctions under Federal Rule of Civil Procedure 11(c) and 28 U.S.C. § 1927. The Ninth Circuit held that the district court did not abuse its discretion in awarding attorneys' fees, as the lead attorneys' actions were both baseless and made without a reasonable and competent inquiry. The court also upheld the finding of bad faith, noting that the attorneys' behavior and timing in bringing the motion for a preliminary injunction were reckless. View "Lake v. Gates" on Justia Law

In 1979, Karu Gene White, along with two accomplices, committed a brutal home invasion and murder of three elderly individuals in Kentucky. White, who had known the victims, planned the crime to steal money they had saved. The victims were beaten to death with a crowbar and other weapons. White was subsequently arrested and charged with burglary, robbery, and capital murder.At trial, White's defense initially focused on an alibi, but this strategy collapsed when one of his accomplices agreed to testify against him in exchange for immunity. White's counsel then pursued an insanity defense, presenting evidence of White's abusive and traumatic childhood. Despite this, the jury found White guilty on all counts and recommended the death penalty, which the trial judge imposed.White appealed his conviction and sentence, but the Kentucky Supreme Court affirmed the decision, and the U.S. Supreme Court denied certiorari. White then sought post-conviction relief, arguing ineffective assistance of counsel for failing to investigate and present mitigating evidence. The Kentucky Supreme Court ultimately rejected this claim, finding that counsel's performance was reasonable and that additional mitigating evidence would not have changed the jury's decision.White filed for federal habeas relief, which was denied by the U.S. District Court for the Eastern District of Kentucky. The court found that counsel's investigation and presentation of mitigating evidence were reasonable and that the Kentucky Supreme Court's application of Strickland v. Washington was not unreasonable. The Sixth Circuit Court of Appeals affirmed this decision, holding that White's counsel's performance was within the wide range of reasonable professional assistance and that there was no substantial likelihood that additional mitigating evidence would have changed the jury's recommendation for the death penalty. View "White v. Plappert" on Justia Law

Peyman Roshan, a lawyer and real estate broker, had his law license suspended by the California Supreme Court in 2021 for misconduct. Following this, the California Department of Real Estate (DRE) initiated a reciprocal disciplinary proceeding against his real estate license. Roshan filed a federal lawsuit against the DRE, alleging constitutional violations and seeking to enjoin the DRE's disciplinary action.The United States District Court for the Northern District of California dismissed Roshan's lawsuit, citing the Younger abstention doctrine, which prevents federal courts from interfering with certain ongoing state proceedings. The district court held that the DRE's disciplinary proceeding was quasi-criminal in nature and that Roshan could raise his federal claims during the judicial review of the DRE action.The United States Court of Appeals for the Ninth Circuit reviewed the case and affirmed the district court's dismissal. The Ninth Circuit held that the district court correctly applied the Younger abstention doctrine. The court noted that the state proceedings were ongoing, involved important state interests, and allowed Roshan to raise his federal claims. The court also determined that the DRE proceeding was quasi-criminal because it was initiated by a state agency following an investigation, involved formal charges, and aimed to determine whether Roshan should be sanctioned by suspending or revoking his real estate license.The Ninth Circuit concluded that all the requirements for Younger abstention were met and that Roshan had not demonstrated any bad faith, harassment, or extraordinary circumstances that would make abstention inappropriate. Therefore, the district court's decision to abstain from hearing the case was proper, and the dismissal of Roshan's lawsuit was affirmed. View "ROSHAN V. MCCAULEY" on Justia Law

The case involves defendant Prospero Guadalupe Serna, who was found guilty by a jury of two misdemeanors: knowingly resisting arrest and willfully resisting, delaying, or obstructing a peace officer. The incident occurred when a California Highway Patrol officer encountered Serna walking within traffic lanes. Despite the officer's attempts to guide Serna to safety, Serna resisted multiple times, leading to his eventual detention with the help of additional officers. Serna's defense argued that his mental health issues should have been considered to negate the knowledge requirement for the offenses.The Superior Court of San Bernardino County reviewed the case, where Serna claimed ineffective assistance of counsel. He argued that his attorney failed to introduce his mental health records and did not request a jury instruction regarding mental defects affecting intent. The appellate division held that since the crimes were of general intent, evidence of mental disease was not admissible to show lack of specific intent. The court also noted a split in authority regarding whether the offense required actual knowledge that the person resisted was a peace officer.The California Court of Appeal, Fourth Appellate District, reviewed the case to resolve whether Penal Code section 148(a)(1) requires actual knowledge that the person being resisted is a peace officer. The court found the analysis in People v. Mackreth persuasive, which held that section 148(a)(1) does not require actual knowledge. Instead, it is sufficient for the jury to find that the defendant knew or reasonably should have known the person was a police officer. Consequently, the court affirmed the judgment, concluding that the statute does not necessitate the defendant's actual knowledge of the officer's status. View "People v. Serna" on Justia Law

The plaintiffs, two grandchildren and a friend of the decedent, Wisniewski, filed a lawsuit against the defendant attorney, alleging professional negligence and breach of contract in the preparation of Wisniewski's will. They claimed that Wisniewski intended for his TD Ameritrade account to be distributed equally among five individuals, including the plaintiffs, but due to the defendant's failure to ensure the account's beneficiary designation was changed, the entire account was distributed to Wisniewski's daughter, the sole designated beneficiary.The trial court dismissed the professional negligence claim, ruling that the plaintiffs lacked standing because Connecticut law only allows third-party beneficiaries to sue attorneys for errors in drafting or executing a will, not for failing to change a beneficiary designation. The court later dismissed the breach of contract claim, finding it functionally identical to the dismissed negligence claim.The Connecticut Supreme Court reviewed the case. It agreed with the trial court that the plaintiffs did not allege a drafting error in the will. However, it concluded that public policy supports holding attorneys liable for failing to advise clients about the need to change beneficiary designations to effectuate their estate plans. The court held that the plaintiffs had standing to sue for professional negligence based on the defendant's failure to advise Wisniewski about the implications of the beneficiary designation on his estate plan. The court did not recognize a duty for attorneys to ensure that clients actually change beneficiary designations.The court affirmed the dismissal of the breach of contract claim, agreeing that the allegations did not sound in breach of contract but were essentially the same as the dismissed negligence claim. The case was remanded for further proceedings on the professional negligence claim related to the failure to advise. View "Wisniewski v. Palermino" on Justia Law

The appellant was charged with first-degree sexual assault and false imprisonment after an incident involving a 17-year-old victim, A.S., who alleged that the appellant, while intoxicated, forcibly removed her clothes and penetrated her vaginally. The incident occurred after a Fourth of July party at the home of the appellant's then-fiancée, who is also A.S.'s cousin. A.S. reported the assault the next day and underwent a forensic medical examination.The District Court for Hamilton County admitted evidence of the appellant's prior sexual assault conviction involving a 13-year-old victim, M.Z., under Neb. Rev. Stat. § 27-414, which allows evidence of prior sexual offenses to prove propensity. The court found similarities between the two incidents, including the ages of the victims, the use of force, and the presence of alcohol. The court also admitted a Sexual Assault Nurse Examiner (SANE) report prepared during A.S.'s examination, which included statements made by A.S. for medical diagnosis and treatment.The Nebraska Supreme Court reviewed the case and affirmed the lower court's decisions. The court held that the district court did not abuse its discretion in admitting evidence of the prior sexual assault conviction, as the probative value was not outweighed by the danger of unfair prejudice. The court also found that the SANE report was admissible under the business records exception and the medical treatment exception to the hearsay rule. The appellant's claim of ineffective assistance of counsel for failing to object to the SANE report was rejected, as any objection would have been meritless.The Nebraska Supreme Court affirmed the appellant's convictions for first-degree sexual assault and false imprisonment. View "State v. Swartz" on Justia Law

Christine Sugar filed for Chapter 13 bankruptcy in the Eastern District of North Carolina in September 2019. Her confirmed bankruptcy plan required her to make monthly payments and prohibited the sale of non-exempt property valued over $10,000 without court approval. Despite this, Sugar sold her residence without obtaining prior court authorization, believing it was fully exempt based on her attorney's advice. The sale resulted in proceeds of approximately $94,000.The bankruptcy court found that Sugar's sale of her residence violated the confirmed plan and the local bankruptcy rule. The court dismissed her Chapter 13 case and barred her from filing another bankruptcy application for five years. Additionally, the court imposed monetary sanctions on her attorney, Travis P. Sasser, for advising her incorrectly and for his conduct during the proceedings.The United States District Court for the Eastern District of North Carolina affirmed the bankruptcy court's findings and sanctions. Sugar and Sasser appealed the decision, arguing that the local rule was invalid, the property was exempt, and that paying off the plan balance entitled Sugar to immediate discharge.The United States Court of Appeals for the Fourth Circuit reviewed the case. The court affirmed the bankruptcy court's determination that Sugar violated the local rule by selling her residence without prior court approval. However, it vacated the judgment dismissing Sugar's Chapter 13 case and the five-year filing bar, remanding the case for the bankruptcy court to consider the effect of Sugar's reliance on her attorney's advice. The court affirmed the monetary sanctions against Sasser, finding that his advice and conduct warranted the penalties imposed. View "Sugar v. Burnett" on Justia Law