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Access over workers' compensation decisions, including En Banc, Significant Panel Decisions, and writ-denied cases.

Case No. 2019 NY Slip Op 01077
Regular Panel Decision
Feb 13, 2019

Matter of Simon

This disciplinary proceeding concerns attorney Alan Michael Simon, who was previously removed from his judicial position by the New York Court of Appeals for extensive judicial misconduct. The misconduct included bullying, ethnic smearing, poor temperament, engaging in a physical altercation, repeatedly threatening officials with contempt without cause, and improperly interfering in a political election. The Grievance Committee for the Ninth Judicial District brought three charges of professional misconduct against Simon, alleging conduct prejudicial to the administration of justice, conduct adversely reflecting on his fitness as a lawyer, and conduct involving dishonesty, deceit, fraud, and misrepresentation. The court found the charges sustained under the doctrine of collateral estoppel, given the prior findings by the Court of Appeals. Despite Simon's arguments for mitigation, including his good faith and election as mayor, the court deemed his actions "truly egregious" and noted his continued lack of insight. Consequently, Alan Michael Simon was disbarred, effective immediately.

Attorney DisciplineJudicial MisconductDisbarmentProfessional MisconductCollateral EstoppelGrievance CommitteeAppellate DivisionRules of Professional ConductEthical ViolationsAttorney and Counselor-at-Law
References
4
Case No. 2022 NY Slip Op 04223 [208 AD3d 77]
Regular Panel Decision
Jun 30, 2022

Matter of Faillace

This case concerns reciprocal discipline against attorney Michael Faillace, who was admitted to practice law in the First Judicial Department in 1984. The Attorney Grievance Committee for the First Judicial Department sought a two-year suspension for Faillace, based on discipline imposed by the United States District Court for the Southern District of New York. Faillace was charged with serious professional misconduct, including underpaying clients' monies in violation of court orders, making misrepresentations during an investigation, and refusing to honor clients' decisions to settle claims. These actions violated several Rules of Professional Conduct. Faillace admitted to all charges and consented to a two-year suspension, which was implemented by the Southern District Court in November 2021. The Appellate Division, First Department, granted the Committee's motion, imposing a two-year reciprocal suspension effective August 1, 2022, emphasizing the significant weight given to sanctions imposed by the initial jurisdiction and the consistency with prior disciplinary actions for similar misconduct.

Attorney misconductProfessional ethics violationLawyer suspensionReciprocal disciplineClient funds misappropriationMisrepresentation to tribunalFailure to abide by client settlement decisionAttorney Grievance CommitteeAppellate DivisionSouthern District of New York
References
7
Case No. 2018 NY Slip Op 03468 [161 AD3d 132]
Regular Panel Decision
May 10, 2018

Matter of Machado

This case involves reciprocal discipline against attorney Esmeralda Machado. The Attorney Grievance Committee for the First Judicial Department sought to discipline Machado based on a New Jersey Supreme Court order permanently barring her from appearing pro hac vice due to unauthorized practice of law, dishonesty, and conduct prejudicial to the administration of justice. Machado had repeatedly failed to pay required fees, continued to practice in New Jersey despite her pro hac vice admission terminating, misused another attorney's letterhead, and made false statements in a divorce proceeding. The New York Appellate Division, First Department, granted the motion for reciprocal discipline, suspending Machado from the practice of law in New York for two years, effective June 11, 2018. The court found her misconduct in New Jersey would also constitute misconduct in New York.

Attorney MisconductUnauthorized Practice of LawReciprocal DisciplineProfessional EthicsSuspensionNew Jersey Disciplinary ProceedingsFalse StatementsFraudDishonestyAppellate Division First Department
References
10
Case No. 2018 NY Slip Op 05929
Regular Panel Decision
Aug 29, 2018

Matter of Pelsinger

The Grievance Committee for the Ninth Judicial District moved to confirm a Special Referee's report which sustained 13 charges of professional misconduct against attorney Kenneth S. Pelsinger. The charges included dishonesty, fraud, misappropriation of client funds, and failure to cooperate with investigations. Pelsinger sought mitigation due to untreated major depressive disorder and attention deficit disorder, proposing public censure or a monitoring program. The Appellate Division, Second Department, found that Pelsinger failed to establish a causal link between his disorders and the misconduct, noting his extensive disciplinary history, including a prior three-year suspension for similar offenses. The court determined that Pelsinger's conduct was intentional and deceptive, and ordered his immediate disbarment.

Attorney MisconductDisbarmentProfessional ResponsibilityMisappropriation of FundsFraudFailure to CooperateDisciplinary HistoryMitigating FactorsGrievance CommitteeDefault Judgment
References
6
Case No. MISSING
Regular Panel Decision

American Home Assurance Co. v. Levy

This is a declaratory judgment action brought by American Home Assurance Company, an insurer, against Richard Levy, an insured social worker, and Pamela Damian, a patient. American Home sought a declaration that its liability for claims of sexual misconduct against Levy would be limited to $25,000, as stipulated in Levy's professional liability policy, and that it could cease his defense after expending that amount. Damian, who had an underlying malpractice action against Levy, alleged negligence but not explicit sexual misconduct in her judicial complaint, though her NASW complaint did include such allegations. The court denied American Home's motion for summary judgment, concluding that while the sexual misconduct provision was unambiguous, enforceable, and did not violate public policy, the $25,000 sublimit could not be applied at that juncture because Damian had not yet formally alleged erotic physical contact in the judicial proceeding. The court indicated the sublimit would apply if such allegations were made in future pleadings or during trial.

Professional Liability InsuranceSocial Worker MalpracticeSexual Misconduct ExclusionDeclaratory JudgmentSummary Judgment MotionPublic PolicyContract InterpretationInsurance Coverage DisputeTransference PhenomenonProfessional Ethics
References
21
Case No. 2023 NY Slip Op 04454 [219 AD3d 22]
Regular Panel Decision
Aug 30, 2023

Matter of Afra

Attorney Sam Afra faced four charges of professional misconduct, primarily involving escrow-related issues. The Grievance Committee for the Tenth Judicial District filed a petition alleging misappropriation of funds, maintenance of negative escrow account balances, and payment of personal/business expenses from the escrow account. A Special Referee sustained all four charges. The Court considered mitigating factors like personal hardships and remedial actions, but also aggravating factors such as repeated negative balances and unauthorized withdrawals. Ultimately, the Court ordered Sam Afra's suspension from the practice of law for a period of six months, commencing September 29, 2023.

Professional MisconductEscrow Account ViolationsMisappropriation of FundsAttorney SuspensionFiduciary DutyRules of Professional ConductDisciplinary ActionGrievance CommitteeEthical ViolationFinancial Mismanagement
References
1
Case No. 2020 NY Slip Op 07843 [192 AD3d 25]
Regular Panel Decision
Dec 23, 2020

Matter of Hackett

Mark J. Hackett, Jr., a suspended attorney, was found guilty of professional misconduct by the Grievance Committee of the Seventh Judicial District. He neglected a client's workers' compensation matter, failing to advise her properly regarding CMS debt and subsequently not responding to her inquiries. Hackett also failed to cooperate with the Grievance Committee's investigation and defaulted in the disciplinary proceedings. The court suspended him from the practice of law for two years, citing harm to the client and disregard for the disciplinary process.

Attorney misconductprofessional ethicsneglect of client matterfailure to cooperatedisciplinary actionattorney suspensionWorkers' CompensationCMS debtRules of Professional Conductdefault judgment
References
2
Case No. 2020 NY Slip Op 04524 [186 AD3d 23]
Regular Panel Decision
Aug 13, 2020

Matter of Doris

The Attorney Grievance Committee (AGC) initiated a disciplinary proceeding against attorney Lawrence A. Doris following client complaints of professional misconduct, including failure to file a personal injury case and lack of communication. Despite numerous attempts by the AGC through letters, emails, and a judicial subpoena, Mr. Doris failed to respond to the allegations or appear for a deposition. The AGC subsequently moved for his immediate suspension from the practice of law due to his willful noncompliance and failure to cooperate with their investigation. The Appellate Division, First Department, granted the AGC's motion, finding that Mr. Doris's conduct warranted immediate suspension. This decision underscores the importance of attorney cooperation in disciplinary matters and protection of the public interest.

Attorney disciplineProfessional misconductNoncooperation with investigationImmediate suspensionGrievance CommitteeClient complaintFailure to communicateJudicial subpoenaPublic interest threatAppellate Division
References
6
Case No. MISSING
Regular Panel Decision

In re Ciervo

The Grievance Committee for the Second, Eleventh, and Thirteenth Judicial Districts brought a charge of professional misconduct against respondent Ralph E. Ciervo for failing to cooperate with investigations regarding complaints from Herbert S. Gulston and Julie Medina. A Special Referee sustained the charge, and the Grievance Committee moved to confirm the report. The respondent admitted to the non-cooperation, citing personal difficulties including job loss, recession impact on his practice, and severe injuries from accidents leading to depression and impaired judgment due to pain medication. The Court granted the motion to confirm the Special Referee’s report and suspended the respondent from the practice of law for one year, with conditions for reinstatement including medical reports on his physical and mental health.

Professional misconductAttorney suspensionGrievance CommitteeFailure to cooperateRules of Professional ConductMitigationMedical conditionMental healthReinstatement conditionsDisciplinary action
References
0
Case No. 2019 NY Slip Op 01338
Regular Panel Decision
Feb 21, 2019

Matter of Pierre

This case involves W. Marilynn Pierre, a suspended attorney, and the Attorney Grievance Committee for the First Judicial Department. Pierre was previously suspended in 2017 due to admissions of professional misconduct, including commingling client funds, using her escrow account as an operating account, and evading tax liens. She also converted/misappropriated guardianship funds and failed to satisfy a judgment. Now, the parties have filed a joint motion for discipline by consent, stipulating to facts that confirm violations of rules 1.15 (a), (b), (e), and 8.4 (c) of the Rules of Professional Conduct. Mitigating factors include her cooperation, current work as a social worker, restitution efforts, and mental health issues (bulimia, depression, ADD) affecting her practice, for which she is undergoing monitoring. The Court grants the joint motion and imposes a five-year suspension, retroactive to August 8, 2017.

Attorney misconductprofessional ethicsattorney disciplineescrow account misusecommingling fundsmisappropriationtax liensmental healthmitigating factorssuspension
References
8
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