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Full Opinion
Attorney Gary C. Crossen contests an information filed in the county court by the Board of Bar Overseers (board) recommending that Crossen be disbarred for his part in an intricate plan to discredit a Superior Court judge presiding in an ongoing matter in which he represented some of the litigants. The aim of the plan was to influence the outcome of the litiga
Bar counsel alleged that Crossen’s conduct violated S.J.C. Rule 3:07, Canon 1, DR 1-102 (A) (2) and (4)-(6), as appearing in 382 Mass. 769 (1981),
We adopt the board’s recommendation. The record leaves no doubt that Crossen was a willing participant, and at times a driving force, in a web of false, deceptive, and threatening behavior designed to impugn the integrity of a sitting judge in order to obtain a result favorable to his clients. The scope of this misconduct has scant parallel in the disciplinary proceedings of this Commonwealth. This was not conduct on the uncertain border between zealous advocacy and dishonorable tactics, a border about which reasonable minds may differ. It struck at the heart of the lawyer’s professional obligations of good faith and honesty. Crossen’s conduct was so egregious and extensive that no reasonable attorney could have believed it comported with the solemn ethical obligations of attorneys. It caused harm to the orderly administration of justice, as well as to the law clerk, the judge, and their families, and it harmed public confidence in the legal profession.
We reject Crossen’s argument that the prevailing ethical standards at the time were at best ambiguous about the propriety of attorney participation in the kind of “sting” operation at the center of this case. Nor do we credit Crossen’s contentions that the special hearing officer was obligated to accept the testimony of Crossen’s expert on legal ethics; that Crossen was improperly singled out for disciplinary action; that he was otherwise deprived of due process of law; or that the sanction of disbarment is markedly disparate from sanctions for similar conduct. We remand the case to the county court where a judgment of disbarment shall enter.
We turn now to the background of this case. Our recitation of the facts is necessarily lengthy because of the range of the respondent’s claims and the severity of the sanction we impose.
a. Demoulas family litigation. As with its companion case, Matter of Curry, ante 503, 506 (2008) (Curry), this disciplinary proceeding is one more offspring of a family dispute among members of the Demoulas family, recounted at length in Demoulas v. Demoulas Supermarkets, Inc., 424 Mass. 501, 504-509 (1997), and Demoulas v. Demoulas, 432 Mass. 43 (2000). See also Demoulas v. Demoulas, 428 Mass. 555 (1998). For a summary of the issues in these family disputes, see Curry, supra.
The background to this disciplinary proceeding begins in 1994, when Crossen filed an appearance for Frances Kettenbach, daughter of Telemachus Demoulas, in the shareholder derivative suit filed against Telemachus, his wife, and their children
The suspicion of bias on the part of Judge Lopez did not end there. In 1996, Crossen hired a private investigating firm to investigate a rumor that Judge Lopez had been seen dining with the lead counsel for the George Demoulas branch of the family at the Charles Restaurant, a business owned by Judge Lopez’s husband (Charles Restaurant investigation). By late spring of 1997, when the events in this case began to unfold, Crossen was contemplating whether to file a second motion to recuse Judge Lopez from the shareholder derivative case based on the Charles Restaurant allegations. The matter was urgent. This court had upheld Judge Lopez’s decision in the shareholder derivative matter, as well as her denial of the “emergency motion” to recuse, and had remanded the case to the Superior Court where Judge Lopez would preside over further proceedings.
We turn now to the key events in this disciplinary proceeding against Crossen.
b. Preparations for a sham interview. On June 8, 1997,
That same day Crossen met with Arthur T. and another attorney for the defendants, Richard K. Donahue,
Some time after the June 8 meetings, Crossen received a signed affidavit from Curry in which the latter averred that during the Halifax “interview,” the law clerk on four separate occasions had disclosed Judge Lopez’s predisposition against Crossen’s clients; that the law clerk claimed to have written the
Crossen then set about to implement his plan. He directed an associate at his law firm to review the laws of Canada and a Caribbean jurisdiction (either Bermuda or the Bahamas) to determine whether one-party consent to tape recording communications was permitted in either jurisdiction. To assess Curry’s credibility, Crossen also directed the associate to discover what he could about Curry. In addition, Crossen met personally with Curry to discuss the information Curry claimed he had learned from the law clerk, and what to do with it. Among other things, the two men discussed continuing the mse and secretly tape recording the law clerk’s statements in a one-party consent jurisdiction such as New York or Bermuda. At some point in early June, Crossen also discussed the surreptitious tape-recording plan with Donahue. Donahue questioned Crossen about the propriety of such an investigation; he testified before the special hearing officer that Crossen “said he was having [the matter] looked into, and that he was not concerned with it and that basically I shouldn’t be.”
Between June 9 and June 12, Crossen consulted about the planned subterfuge with Donahue, Curry, and others, including two private investigators who were working with Crossen on
The group decided that Reid, resuming his guise as a job consultant, see Curry, supra at 510-511, would contact the law clerk about interviewing with some British Pacific “decision makers.” In New York LaBonte, reprising his role in Halifax as British Pacific employee Richard LaBlanc, would be one of the interviewers. See Curry, supra at 516. The part of “Peter O’Hara,” a “principal” in British Pacific, would be played by Joseph Peter Rush, a private investigator who previously had worked as a United States Secret Service special agent-in-charge in Boston.
Other members of Crossen’s team besides Donahue felt uncomfortable with their intended methods. During the planning process, Rush asked Crossen whether the New York interview was ethical and legal. Rush was particularly concerned to know whether it was permissible for him, as a private citizen, to conduct a sham interview and secretly make a tape recording of the interview with the law clerk, another private citizen. Crossen assured Rush that, in Rush’s words, Crossen “had researched the legalities and ethics of it and that it was legal.” Crossen also reassured Rush that, again in Rush’s words, “it’s been cleared by ethics.” Rush testified that he “took that to believe [Crossen’s] firm had an ethical committee, and it had been run through them and they had okayed it.”
Crossen, Henry, LaBonte, and Rush decided that Rush would carry a concealed tape recorder in the pocket of a spare jacket and that Crossen and Henry would monitor the interview by silent videotape recording in the adjacent room of the suite.
c. The sham interview in New York. Prior to the interview, Reid delivered airplane tickets, one hundred dollars in cash, and O’Hara’s name to the law clerk. When he arrived in New York,
The ruse interview lasted approximately one and one-half hours. Rush, as O’Hara, began by (falsely) explaining the nature of British Pacific’s reinsurance business and its opportunities for travel and interesting work.
Conversation then turned to what Rush called the “Demopolis” case. The law clerk explained that he was able to write the decision on his own because he had sat through the trial and he and Judge Lopez had discussed the witnesses at the end of each day of the trial.
d. Preparations to confront the law clerk. After reviewing the tape recording of the interview, Crossen reported to Arthur T. that it was a “mixed bag,” and that he had not “braced” the law clerk. Upon returning to Boston, Crossen met with Henry, McCain, and Edward Barshak and Susan Hartnett, two other members of the Telemachus Demoulas family defense team who were partners at another Boston law firm, and told them about the New York interview. Once again Crossen was asked whether there was “any issue” related to contact with a judge’s former law clerk. Crossen stated that he did not think so, but would look into the matter. The record does not reveal whether the defense team discussed the appropriateness of contacting a former law clerk regarding an ongoing matter in which their clients were litigants.
On June 20, Crossen asked a second associate at his firm to research whether it was proper to speak with a former law clerk
That same day, June 20, Judge Lopez ordered the long-delayed merger of Demoulas assets to take place. An emergency meeting of the Telemachus Demoulas family defense team, consisting of at least twelve lawyers from leading Boston law firms, was called for June 23 to discuss filing a recusal motion based on the Charles Restaurant investigation. Barshak’s firm had been tasked with drafting the motion to recuse based on affidavits obtained by Crossen and his investigators on the Charles Restaurant matter. Prior to the June 23 meeting, which Arthur T. was also expected to attend, Crossen sent a copy of the tape recording of the New York “interview” and a transcript to Barshak, who reviewed the material with two of his colleagues.
The emergency meeting focused first on the Charles River investigation, but soon turned to the law clerk matter. Attorneys who had not known of the investigation were apprised of it by Arthur T, with Crossen adding further information about the Halifax and New York interviews. Crossen also distributed transcripts of the New York interview to the meeting’s participants. Some attorneys, including Barshak, John P. Sullivan, Judith Dein, and Samuel Adams opined that the information was worthless or should not be pursued further. Adams and Sullivan also voiced reservations about Curry’s credibility based on their prior dealings with him. According to Adams, when Dein asked Crossen whether it was ethical to “approach a law clerk who had been on a case you tried,” Crossen replied that “they had researched that, and, while [there were] issues that related to approaching a juror, that prohibition did not relate to a
At the end of the two-and-one-half hour meeting, the group decided not to include the information obtained from the law clerk in the motion to recuse Judge Lopez. On June 25, the motion to recuse Judge Lopez was filed, based solely on the Charles Restaurant investigation. On July 21, Judge Lopez heard the motion and denied it.
Arthur T., however, told Crossen and Donahue privately that he did not want to let the law clerk matter drop. Crossen suggested that a logical step would be to confront the law clerk and, in the special hearing officer’s words, “ask him to tell the truth about what had happened.” Donahue met separately with Arthur T. and told him that Barshak would leave the defense team if any of the law clerk material was used. Neither Crossen nor Donahue told Barshak or Adams about their subsequent dealings with the law clerk.
On July 24, Reid made reservations for “Peter O’Hara” at the Four Seasons Hotel in Boston for an August 2 meeting with the law clerk. On August 1, Crossen, Curry, Donahue, Arthur T., Rush, Reid, McCain, and Henry met at the offices of Crossen’s law firm to discuss strategy for this upcoming meeting. The participants knew that Reid had told the law clerk that this meeting would be his final “interview” for the British Pacific job.
e. Confrontation of the law clerk. Soon after the law clerk arrived at the appointed suite in the Four Seasons Hotel in Boston, Rush told the law clerk to listen carefully because he would hear something that would send him on the “roller coaster of [his] life” and elicit a range of emotions and “concern for the future.” But, Rush added, “if you cooperate with us, it will be okay.” Rush then laid out for the dumbfounded law clerk the details of the British Pacific ruse. The law clerk almost immediately connected the dupery with the Demoulas decision and with Crossen, whom he had earlier seen in the lobby. Rush explained to the law clerk, who by this time was enraged, who his clients were.
Crossen then entered the room. He and the law clerk had words about the motion to recuse, and the ruse. The law clerk yelled at Crossen for doing nothing to stop the chicanery, and Crossen replied that, while he was not entirely comfortable with the tape recording, he had “inherited the ruse” and it was not something he could stop. He told the law clerk that the present meeting was not being tape recorded because this was not legal in Massachusetts, but that Halifax and New York were one-party consent jurisdictions. Crossen did nothing to dispel the impression conveyed by Rush that tape recordings had been made of both the Halifax and New York sham interviews.
Crossen told the law clerk that he could not control what his clients would do with the information they had; that if the law clerk did not “help him” there would be a “missile” fired “that’s out of my control and it’s off, and I don’t know where it goes and what it ends up doing”; that he, Crossen, needed a
The law clerk asked numerous times to hear the “tapes” or read transcripts of the Halifax and New York tape recordings himself, but Crossen refused to permit this. After some forty minutes, the law clerk got up to leave. Crossen told the law clerk to retain a lawyer, talk the matter over with his wife, and to telephone either Donahue or Crossen on Monday.
f. Further threats and surveillance. The law clerk was so visibly shaken and upset when he left the meeting that McCain, who was following him, thought he might be suicidal. The law clerk went to the offices of his employer where named law partner Robert Sullivan found him alone in a conference room, crying. The law clerk told Sullivan what happened. Sullivan promptly contacted attorney Harry Manion, who agreed to represent the law clerk. The law clerk then went home to see his wife. A delivery person appeared at their door with a pizza the couple had not ordered. The law clerk noticed a man with a mobile telephone sitting on a bench across from his apartment house, the same man who had been there when the law clerk had left for work in the morning.
On Manion’s advice, the law clerk began drafting an affidavit. On August 4, the law clerk met with agents of the Federal Bureau of Investigation (FBI), a meeting Manion had arranged. The law clerk’s affidavit and a supplemental affidavit were given to the FBI and also provided to Judge Lopez and her attorney. The Federal agents told the law clerk that his affidavit
On August 20, after exchanging several telephone calls, the law clerk and Crossen met at the latter’s office. There they had a lengthy conversation, which was secretly tape recorded by the law clerk for the FBI. The law clerk repeatedly asked Crossen whether he could listen to the “tapes,” claiming that he did not recall some of the statements attributed to him in the sham interviews, and that listening to the tape recordings would help him determine his next steps. Crossen adamantly refused, telling him “that is just not going to happen.” Crossen did tell the law clerk that the information about Judge Lopez’s predisposition would “come out one way or the other,” and he again urged the law clerk to have a “candid conversation” with him about Judge Lopez’s predisposition. Crossen told the law clerk that, while he (Crossen) could not guarantee that the false bar application letter would not be made public by other counsel, he would do his best to see that the letter was not introduced in evidence or to minimize the damage if it were. The special hearing officer found that the law clerk understood from Crossen’s comments that “if he helped Crossen, Crossen would not bring up the bar letter.”
The special hearing officer also determined that the “candid conversation” Crossen was urging meant a conversation in which the law clerk stated that Judge Lopez, was predisposed against Crossen’s clients: no other statement from the law clerk would have satisfied Crossen.
The following day, Crossen and the law clerk spoke by telephone. Again, the law clerk secretly tape recorded the conversation at the request of the FBI. The law clerk and Crossen repeated their respective, contradictory demands about the “tapes.” After the law clerk again refused to help Crossen without hearing the tape recordings, Crossen told the law clerk that “you’re going to find yourself in a situation that is gonna be very troublesome to you and the lawyers that recommended you” for admission to the bar. He urged the law clerk to hire independent counsel, saying: “It’s, it’s gonna be a very harmful road for you, you [ought to] talk to somebody before this hits.” After more wrangling about the tape recordings, Crossen offered to let the law clerk listen to a “small segment” to satisfy himself that the tape recordings existed. The law clerk agreed to the proposal. They agreed to meet the next day at Crossen’s office. Prior to the meeting, Crossen and Donahue decided to play the portion of the New York tape recording dealing with the false bar letter because, in the words of the special hearing officer, “they knew that it was [the law clerk’s] Achilles heel, and they intended to use that to pressure and intimidate [the law clerk] into cooperating with them by giving them an affidavit on Judge Lopez’s alleged predisposition in the [shareholder [derivative [c]ase.”
On August 22, a Friday, the law clerk met with Crossen, Donahue, and McCain at Crossen’s office. Crossen played a portion of the tape recording in which the law clerk and Rush discussed the false letter recommending the law clerk for admis
Crossen told the law clerk that the tape recording would be played in the court room on the “best equipment,” to override its poor quality. He told the law clerk that “[w]e’re on a fast moving train here” and that “the train is ready to pull out of the station.” He reiterated the need to have a “full blown discussion” with the law clerk “as soon as possible” about Judge Lopez’s predisposition. They arranged to meet again early the following Monday.
On Monday, August 25, rather than meeting Crossen, the law clerk left a voice mail message telling Crossen that he (the law clerk) was required to be out of town. McCain’s investigators, however, later informed Crossen that the law clerk was actually in Boston that day. On learning the news, Crossen telephoned the law clerk’s home.
The law clerk returned Crossen’s telephone call the following day. Crossen told the law clerk he was “a little bit angry” to learn that the law clerk had been at home on the day of the canceled meeting. The law clerk accused Crossen of having him followed; Crossen denied the charge.
On August 28, the law clerk left Crossen a voice mail mes
2. Bar disciplinary proceedings. In January, 2002, bar counsel filed a three-count petition for discipline against Crossen, Curry, and Donahue in connection with the law clerk matter. Among other things, the petition alleged that Crossen: “plann[ed], execut[ed], and participat[ed] in a scheme to induce a former law clerk to travel to New York under the pretext of a job interview in order to tape record a conversation with him without his knowledge or consent,” in violation of Canon 1, DR 1-102 (A) (2) and (4)-(6), and Canon 7, DR 7-102 (A) (5) and (7); “plan-n[ed], execut[ed], and participat[ed] in a scheme to induce a former law clerk to make damaging or compromising statements about himself or about the judge for whom he clerked with the false inducement of a lucrative employment... in order to force the judge’s recusal or undermine her decisions in an ongoing case,” in violation of Canon 1, DR 1-102 (A) (2) and (4)-(6) and Canon 7, DR 7-102 (A) (5) and (7); “communicat[ed] falsely to [the law clerk] that [he] had in [his] possession a tape of the Halifax meeting,” in violation of Canon 1, DR 1-102 (A) (4) and (6), and Canon 7, DR 7-102 (A) (5) and (7); “attempt[ed] to get [the law clerk] to state under oath that Judge Lopez had predetermined the outcome of the stockholder derivative trial and had told him from the outset how the case was to be decided under the threat of disclosing the supposed contents of the tape and embarrassing and compromising statements [the law clerk] made at the pretext job interviews,” in violation of Canon 1, DR 1-102 (A) (4)-(6), and Canon 7, DR 7-102 (A) (5) and (7); “attempt[ed] to get [the law clerk] to state under oath that Judge Lopez had predetermined the outcome of the stockholder derivative trial and had told him from the outset how the case was to be decided under the threat of disclosing that he and his friends had submitted with his petition for admission to the bar a recommendation from a lawyer whom he personally did not know,” in violation of Canon 1, DR 1-102 (A) (4)-(6), and Canon 7,
Pursuant to S.J.C. Rule 4:01, § 3 (2), as amended, 430 Mass. 1314 (1999), and Rule 3.19 (a) of the Rules of the Board of Bar Overseers (2007, the board designated a special hearing officer to take evidence and make findings of fact, conclusions, and recommendations. Her report issued on May 11, 2005. By a vote of nine to two, the board adopted the special hearing officer’s recommendation that Crossen be disbarred.
3. Standard of review. Our standard of review in bar discipline cases is well established, and is set out in Curry, supra at 519. We apply this settled standard to Crossen’s threefold appeal. He contends, first, that judged by professional standards as they existed in 1997, his actions were not only proper but “required” in order to represent his clients zealously and to protect the integrity of the judicial system. He was acting, he claims, as would any “courageous advoca[te].” Second, he argues that the procedures followed by the special hearing officer deprived him of due process. Last, he claims that the sanction of disbarment is markedly harsher than sanctions imposed for similar conduct. We consider each argument in turn.
4. Violations of the Rules of Professional Responsibility.
a. Contemporary ethical standards. Crossen does not argue, nor could he, that the disciplinary rules forbidding a lawyer from engaging in dishonest or deceitful behavior, through his own professional conduct or through an emissary, are unclear or ambiguous. See DR 1-102 (A) (2) and (4) and DR 7-102 (A) (5) and (7). To the contrary, the disciplinary rules are written in terms that any attorney bound by them should readily understand. See Matter of the Discipline of an Attorney, 442 Mass. 660, 669 (2004), quoting Matter of Keiler, 380 A.2d 119, 126 (D.C. 1977) (because disciplinary rules are written “by and for law
Nor does he argue as a general matter that his conduct in the law clerk matter would be appropriate professional conduct in all circumstances. Rather, Crossen argues that the professional norms prevalent in 1997 obligated him to vindicate his clients’ interests by investigating allegations of judicial misconduct, and, further, that he reasonably believed at the time that as a private attorney he was empowered to use the same investigative techniques that would have been available to government attorneys, including the ploy of a “pretextual” interview where ascertaining the truth by less covert means likely would not be possible. We are not persuaded.
(i) The duty to investigate. Crossen’s first point strikes at a straw man. Contrary to his assertions, the special hearing officer did not conclude that in 1997 Crossen was “ethically prohibited” from investigating the allegations against Judge Lopez as the basis for a potential recusal motion. Rather, she found that Crossen could have pursued, and was aware that he could have pursued, a number of legitimate avenues to investigate the claims against Judge Lopez.
The cases on which Crossen relies to defend his duty to investigate allegations of judicial misconduct avail him little. In Moffat v. Gilmore, 113 F.3d 698, 702-703 (7th Cir. 1997), for example, a prisoner in a habeas petition asserted that the pres
In United States v. Cooper, 872 F.2d 1, 3-4 (1st Cir. 1989), the court held that a judge erred in ruling that a criminal defense attorney had violated Rhode Island’s Code of Professional Conduct in filing his own affidavit supporting a motion to recuse on grounds of judicial prejudice where there was insufficient evidence of the attorney’s lack of good faith in moving to recuse. The court noted, among other things, that the attorney’s sworn averment of good faith was uncontradicted, id. at 5, that the trial judge had expressed a “strong reaction” to the attorney in a related opinion, and that “spirited advocacy” is required in defending one’s client from criminal charges. Id. at 4. At most, these cases confirm an attorney’s obligation to investigate allegations of judicial misconduct in the course of the attorney’s zealous representation of the client, a point not in contention. They say nothing about the ethical propriety of the methods that Crossen employed and directed,
Far less baroque falsehoods have been sanctioned as violating an attorney’s obligation to eschew fraud, dishonesty, and deceit in professional dealings. See, e.g., Matter of Cobb, 445 Mass. 452, 461 (2005) (violation of DR 1-102 [A] [4]; misrepresentation to clients that sanctions had been assessed against them when in fact attorney had been sanctioned personally); Matter of O’Sullivan, 16 Mass. Att’y Discipline Rep. 332, 332-335 (2000) (violations of DR 1-102 [A] [4]; false statements to client that lawyer had appeared at court numerous times on client’s behalf, failure to disclose that attorney’s errors caused delay, failure to notify clients in timely manner that closing on property had occurred; filing of falsified documents in court); Matter of Marshall, 16 Mass. Att’y Discipline Rep. 299, 299-301 (2000) (violations of DR 1-102 [A] [4]; intentional misrepresentations to clients regarding status of matters and failure to respond to requests for file); Matter of Sprei, 10 Mass. Att’y Discipline Rep. 246,