Regulatory meetings

THE REGULATORY ISSUES
The Lawyer was alleged to have defrauded six individuals and a client corporation by using false pretenses to obtain or borrow $1,000,000 in total from them.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

Between 2016 and 2018, the Lawyer borrowed $1,000,000 from six individuals and a client corporation. He was not forthright with them about the purpose for which the money would be used. All funds were returned to the lenders.

The members of the Proceedings Authorization Committee reminded the Lawyer of his obligations under the Rules of Professional Conduct and in particular, the requirement to carry on the practice of law and discharge all responsibilities to clients, tribunals, the public and other members of the profession honourably and with integrity.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future. The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter, and the Notice of Application will be withdrawn.
 
(The Lawyer attended with his counsel, Spencer Bass )

THE REGULATORY ISSUES
The Lawyer was alleged to have failed to be on guard against becoming a tool or a dupe in mortgage transactions, contrary to Rule 3.2-7 and its related Commentary.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

Between April 2018 and March 2020, the Lawyer acted in four private second mortgage transactions which involved the same mortgage broker and the same private lender.

In three transactions, monies were advanced to the borrowers before the second mortgage was registered and before or on the same day that a transfer and first mortgage were registered by another lawyer. The evidence suggests that this was to circumvent the first lender’s prohibition on secondary financing.

In the fourth transaction, the lender advanced funds before the Lawyer registered the second mortgage, the existing first mortgage was discharged, and a new first mortgage was registered by another lawyer. The evidence suggests that the second mortgage monies were used to pay and discharge the existing first mortgage, without the new first lender’s knowledge of the second mortgage.

The Lawyer felt that by registering the second mortgages after her lender clients had already advanced the mortgage monies, she was protecting her private lender clients’ interests. In doing so, she did not realize that she could be circumventing the first lender’s prohibition on secondary financing. The Lawyer has confirmed that she has not acted in similar transactions since 2020 when the Law Society advised her of the issues with the transactions.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct herself similarly in the future. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES 
The Lawyer is alleged to have failed to serve and communicate with a client, failed to conduct himself with honour or integrity and charged excessive or improper fees with respect to a second client, and failed to account to a third client.
 
REGULATORY MEETING OUTCOME 
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

With respect to the first client, the Lawyer prepared an affidavit seeking to introduce new evidence in an appeal to the Divisional Court but failed to communicate to his client that it was not filed. The Lawyer erroneously advised the client regarding the deadline and process to file a further appeal to the Court of Appeal, and then failed to file the appeal at all or rectify this error by bringing a motion to extend the time to file the appeal. The Lawyer failed to communicate with his client for a period of six months regarding the status of the appeal to the Court of Appeal, during which time the client was unaware the appeal had never been filed.

With respect to a second client, the Lawyer failed to advise them of the basis on which fees would be determined within a reasonable amount of time and did not explain the basis for the fees billed once the client raised a concern. The Lawyer retained another lawyer to perform the substantive work, a corporate rollover, without the client’s knowledge or consent and without disclosing how this might affect the amount of the fees billed. Finally, the Lawyer failed to conduct himself with honour and/or integrity by rescinding an offer to accept a partial payment from the client as settlement of his account. When the client attended at the Lawyer’s office to retrieve their corporate minute books, he alleged they were trespassing and called the police. The Lawyer stated the client was threatening and aggressive, but the client denies any basis for this concern.

The Lawyer failed to account promptly to a third client. When the account was issued, it contained charges which the Lawyer could not explain.

The members of the Proceedings Authorization Committee reminded the Lawyer of his obligations under the Rules of Professional Conduct and in particular, the requirement to perform legal services undertaken on a client’s behalf to the standard of a competent lawyer, to communicate effectively at all stages of a matter, to charge fair and reasonable fees which are disclosed to the client in a timely manner, to account promptly and to strive to resolve disputes with clients in a professional manner, with honour and integrity.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future. The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

 (The Lawyer  attended and was unrepresented)

THE REGULATORY ISSUES

The Paralegal was alleged to have:

• Held himself out as entitled to provide legal services beyond the permitted scope of a paralegal license
• Improperly paid and / or received referral fees and / or split fees
• Failed to comply with Law Society requirements regarding referral fees and / or referral fee agreements
• Misled
• Failed to maintain books and records

REGULATORY MEETING OUTCOME

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Paralegal Rules of Conduct. The members of the Proceedings Authorization Committee noted that the evidence raised concerns with respect to the Paralegal’s handling of referral fees, holding himself out as being entitled to provide legal services beyond the scope of a paralegal license, misleading others about his status as an independent contractor with JNR Legal Services, and his record-keeping.

The Proceedings Authorization Committee reminded the Paralegal of the importance of reviewing all documents he signs off on to ensure accuracy, including with respect to his role, to prevent further instances of holding himself out as entitled to provide legal services beyond the scope of a paralegal. The Committee also reinforced that he must remain on guard for situations where others are providing services outside their permitted scopes and act upon any such instances he encounters in the future.

The Paralegal had not fully disclosed to his clients and the Law Society the details of the referral fees he received, nor fully disclosed to his clients how the fees would be split.  The Committee advised the Paralegal to carefully review all requirements related to referral fees and fee splitting, including the provisions of Rule 5.01 subsections 14-16 of the Paralegal Rules of Conduct and By Law 9, s. 19.1 regarding recordkeeping for referral fees. The Paralegal was reminded to ensure that all referral fees meet these requirements and that clients always receive sufficient information about these matters to ensure that they can provide consent.

The Paralegal acknowledged that his actions had breached the Paralegal Rules of Conduct in many respects and that he had not maintained adequate records. He expressed his resolve to be careful to ensure future adherence to the Paralegal Rules of Conduct related to referral fees, fee splitting and out-of-scope practices.

The members of the Proceedings Authorization Committee agree that the discussion was useful, and that the Paralegal is unlikely to become involved in a similar situation in the future. The Proceedings Authorization Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Paralegal attended and was unrepresented)

THE REGULATORY ISSUES
The Lawyer was alleged to have failed to fulfill his Undertaking and to have failed to respond to communications from another licensee.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.
 
The Lawyer failed to take adequate or timely steps to comply with an Undertaking provided by him in the course of a real estate transaction. The Lawyer further agreed to terms in the Undertaking that did not accurately reflect his intended course of action.
 
The Lawyer did not respond to some of the communications received from another licensee and other communications sent by the Lawyer to the other licensee lacked sufficient particularity. Further, the Lawyer’s reliance on law clerks to deal with follow-up communication from the other licensee failed to take into account his obligation both under Rule 7.2-5 of the Rules of Professional Conduct to respond to professional communications and Rule 6.1-1 to directly supervise non-lawyers to whom particular tasks and functions are assigned.
 
The members of the Proceedings Authorization Committee reminded the Lawyer of his obligations under the Rules. In particular, the Committee highlighted for the Lawyer the obligation to fulfill every undertaking given and to ensure he does not enter into ambiguous or unfulfillable terms. The Lawyer was reminded of the central importance of the fulfillment of undertakings to the practice of law and his duty to engage in serious and diligent efforts to fulfill all undertakings given by him. The Lawyer was also reminded of his obligation to directly review incoming correspondence on his files and to provide prompt and meaningful responses to fellow licensees.
 
The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.
 
(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES
In February 2018, the Lawyer entered into a contract with a paralegal firm that had no lawyers working at it. The contract was for the Lawyer to provide legal services for the firm’s clients who had tort claims exceeding the monetary jurisdiction of the Small Claims Court, and therefore beyond the permitted scope of practice of paralegal licensees. The paralegal firm was not permitted to have these clients when the Lawyer entered into the contract. The two paralegal owners of the firm represented to the Lawyer that there were other lawyers working there, but there were not.  Other than reviewing the firm’s website which indicated at least one lawyer was employed by the firm, the Lawyer did not attempt to verify the paralegals’ representations.  When the lawyer discovered there were no lawyers working at the firm, he reported it to the Law Society. 

It was understood between the Lawyer and the firm that the clients were clients of the paralegal firm, not the Lawyer. The Lawyer was to receive a set monthly amount and a percentage of collected fees. The paralegal firm issued accounts and controlled the receipt and disbursement of settlement funds. The Lawyer did not make the disclosure to clients required by Rule 3.4-11.1 of the Rules of Professional Conduct. When the relationship ended in March 2019, the clients stayed with the paralegal firm, although there were no lawyers to work on matters that were beyond the permitted scope of paralegals.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct and bylaws.
 
The members of the Proceedings Authorization Committee noted that the Lawyer engaged in professional misconduct when he facilitated the provision of legal services outside the permitted scope of practice of paralegal licensees, failed to prevent the unauthorized provision of legal services, may have practised law through an improper business structure, and engaged in improper fee splitting.
 
The members of the Proceedings Authorization Committee reminded the Lawyer that he has an important professional duty in ensuring the legitimacy of any agreement he enters into and to ensure he understands and complies with the Rules and bylaws regarding lawyers’ relationships with non-lawyers.
 
The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer recognized that in future he should be mindful not to engage in similar conduct. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.
 
(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES
The Paralegal was alleged to have failed to serve her client, failed to follow her client’s instructions and acted dishonourably by misleading her client about the status of his appeal.
 
REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Paralegal Rules of Conduct.

The Paralegal was retained by a client in an appeal before the Workers Safety and Insurance Board (WSIB) in 2014.  Although the Paralegal appropriately served the client by advancing an appeal until November 2018, she thereafter failed to perform any substantive work on the appeal. The Paralegal failed to finalize and submit the required material, compromising her client’s ability to advance the appeal.

The Paralegal misled her client with respect to the status of the appeal between April and August 2019. She initially advised him that his matter would be proceeding to an appeal hearing in the summer of 2019, and advised him several times thereafter that it was rescheduled. The day before the purported hearing date in August 2019, the Paralegal advised her client he did not need to attend the hearing, that he had won his case and the WSIB would issue cheques shortly.

When the client confronted the Paralegal after learning from the WSIB there was no active appeal, the Paralegal admitted to misleading the client that there was an appeal hearing date when no date had been set.

The Paralegal was under severe personal stress during the retainer, which came to a head in 2019 during the time when she both failed to move the WSIB appeal forward and was not truthful with the client about the status of his appeal hearing.

The Paralegal regrets how she handled this matter and has accepted full responsibility for her actions.

The members of the Proceedings Authorization Committee reminded the Paralegal of her obligations under the Rules. In particular, the Committee highlighted for the Paralegal the importance of appropriately serving clients, including following their instructions and moving  matters along in a timely and competent manner pursuant to Rule 3.01.  The Committee also reminded the Paralegal of her obligations to protect client interests to the best of her abilities, and to act with honour and integrity at all times, which includes being truthful, candid and honest when advising and dealing with clients, despite challenging personal circumstances.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Paralegal is unlikely to conduct herself similarly in the future. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Paralegal attended and was unrepresented)

THE REGULATORY ISSUES
In December 2018 the Paralegal was retained to act in two immigration matters and received retainer funds of $3,300 each. The legal services for which he was retained were outside the permissible scope of his paralegal licence. The Paralegal did not have a trust account and the clients’ retainer funds were not deposited and held in trust. Furthermore, the Paralegal did not provide the clients with final accounts disclosing the amount paid as fees for legal services and disbursements.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable bylaws and Paralegal Rules of Conduct.

The members of the Proceedings Authorization Committee noted that the Paralegal engaged in professional misconduct when he failed to deposit retainer funds received from two clients into a trust account; failed to account to his clients; and provided legal services outside of the scope of his P1 licence.  

The members of the Proceedings Authorization Committee reminded the Paralegal that he has an important professional duty to comply with the requirement to deposit retainer funds into a trust account, to issue accounts disclosing amounts paid for fees and disbursements, and to ensure that all legal services provided are within the scope of his P1 licence.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Paralegal recognized that in future he should be mindful not to engage in similar conduct. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Paralegal attended and was unrepresented)

THE REGULATORY ISSUES
The Lawyer was alleged to have failed to serve his clients to the standard of a competent lawyer, failed to communicate with his clients in a timely and effective manner, failed to deposit retainer monies into trust, failed to comply with record keeping requirements, and failed to properly account to his client.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

The Lawyer failed to serve Client A by failing to take adequate steps to perfect an Appeal prior to the dismissal deadline and to prevent the subsequent dismissal of the Appeal.  The Lawyer also failed to effectively communicate with Client A by failing to take adequate steps to inform him of the imminent dismissal of his Appeal and to seek instructions. Further, the Lawyer failed to deposit retainer monies received from Client A into trust and failed to comply with record keeping requirements for the cash retainer monies received.  

The Lawyer also failed to serve Client B by failing to bring a motion in a timely, cost-efficient and effective manner and by failing to effectively communicate with Client B regarding the status of the motion and an upcoming Scheduling Court date. There was also evidence that the Lawyer failed to properly account to Client B, however, these issues were fully remedied during the course of the retainer. 

The members of the Proceedings Authorization Committee reminded the Lawyer of his obligations under the Rules. In particular, the Committee highlighted for the Lawyer the obligation to keep his clients advised of the status of their matters, to act competently to protect their interests, to perform all functions diligently and in a timely, efficient and cost-effective manner, to deposit client trust monies into a trust account, to ensure Statements of Account are properly delivered to his clients, and to adhere to his record keeping obligations as required by the Rules, the By-Laws and the Act.
 
The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES
During the period from February 1, 2018 and May 2018, the Lawyer failed to serve two clients with respect to their trial matters before the Ontario Court of Justice when he did not attend court due to existing health related issues. The Lawyer also failed to attend court when requested to address his absences and at the time failed to provide a sufficient explanation for his absences, each of which negatively impacted his clients, the Court and the administration of justice.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

The members of the Proceedings Authorization Committee noted that the Lawyer engaged in professional misconduct when he failed to attend court for trial matters involving two clients; failed to take steps to ensure his clients were appropriately served when he did not attend court due to medical issues; and failed to attend court when requested to appear to properly explain his absence. 

The members of the Proceedings Authorization Committee reminded the Lawyer that notwithstanding his health-related issues, he had a professional duty in ensuring both clients were properly represented and a duty to be completely candid with the Court in explaining unplanned absences.  

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer recognized that in future he should be mindful not to engage in similar conduct. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Lawyer attended with his counsel, Nadia Liva)

THE REGULATORY ISSUES
The Lawyer was alleged to have entered into a contingency fee agreement that did not comply with section 28.1 of the Solicitors Act and/or O. Reg. 195/04 (Contingency Fee Agreements); breached his retainer agreement; charged a fee which was neither fair nor reasonable, nor disclosed in a timely fashion; communicated in a manner which was inconsistent with the proper tone of a professional communication from a lawyer; and inadvertently disclosed unrelated client discovery transcripts to another lawyer.

In 2016, the Lawyer entered into a contingency fee retainer with a client that was confusing and inconsistent, which led to him charging a fee that was not clearly disclosed. The retainer agreement contained an error in failing to specify the precise portion of damages to be charged as fees, and also failed to comply with the mandated provisions of the Solicitors Act and Regulation. Additionally, the Lawyer communicated with the client and another lawyer in a manner that was inconsistent with the proper tone of an appropriate and professional communication. Finally, the Lawyer inadvertently disclosed discovery transcripts from two unrelated client files to another lawyer.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct and other legislation. 

The members of the Proceedings Authorization Committee reminded the Lawyer of his obligations to properly and clearly set out and explain his fees to clients both at the outset of their case and upon settlement and to ensure clients understand same. This includes obtaining clear settlement instructions from clients.  The members of the Committee also reminded the Lawyer of the importance and necessity of adhering to mandatory legislation governing contingency fee arrangements in his retainers.

The members of the Committee reminded the Lawyer of the importance of acting with a high level of professionalism and civility with clients and counsel, even in high conflict situations. They also reminded him of the importance of ensuring that he assumes complete professional responsibility for his practice, which includes supervising all aspects effectively, including administrative tasks.

The members of the Committee expressed concern about the Lawyer’s conduct, and also acknowledged and recognized that he had fully cooperated with the Law Society’s investigation, and that he has made efforts to ensure this type of situation does not occur again.

 The members of the Committee agreed that the discussion was useful and that the Lawyer is unlikely to conduct himself similarly in the future.  The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.  
 
(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES
The Lawyer was alleged to have breached her undertaking given to another lawyer, misled another lawyer and failed to assume complete professional responsibility for her practice of law by not properly supervising her staff.

REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct. The Lawyer acted on the sale of her client’s residential property. The Lawyer gave an undertaking to retain 25% of the sale price until receipt of a clearance certificate from the Canada Revenue Agency on the basis that her client was a non-resident of Canada. Prior to the closing of the sale, the Lawyer failed to review the materials prepared by her staff and to obtain sufficient documentation about the client’s residency status. Without having obtained a clearance certificate, the Lawyer released the funds to her client when the client showed her documents suggesting he was a Canadian resident. The Lawyer failed to keep copies of the client’s documents. The Lawyer did not immediately inform the purchaser’s lawyer of the release of the funds and later advised that the clearance certificate had been misplaced before conceding it had not been obtained. At the time, the Lawyer had significant health issues which contributed to the misconduct.

The members of the Proceedings Authorization Committee reminded the Lawyer of her obligations under the Rules. In particular, the Committee highlighted for the Lawyer the importance of determining the basis of an undertaking before giving it. The Committee reminded the Lawyer of her duty to act with integrity in a manner that always reflects favourably on the legal profession and inspire confidence, respect and trust. The Committee also impressed on the Lawyer the importance to know her client’s situation well, record all relevant information in the file and review carefully all materials prepared by her staff to avoid errors. The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct herself similarly in the future. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

The Lawyer attended and was unrepresented

THE REGULATORY ISSUES
The Lawyer is alleged to have assisted in the unauthorized practice of law.
 
REGULATORY MEETING OUTCOME
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

The Lawyer’s spouse is a former lawyer whose licence to practise law was suspended in 2018 and revoked in 2019. The Lawyer assisted him in his provision of legal services after he lost his licence, and thereby facilitated the practice of law by an unauthorized person contrary to section 7.6.1 of the Rules of Professional Conduct. She allowed him to access NUANS reports and file a corporate document, which she billed for through her practice. She also knew he was drafting legal documents, incorporating companies, and assisting in preparing material for a court motion. Her conduct also breached Rule 7.6.1-1, which allows a lawyer to associate with a person whose licence has been suspended or revoked only with the express approval of the Hearing Division of the Law Society Tribunal.

The Lawyer acknowledged that she is professionally obligated to prevent the unauthorized practice of law by persons whose licences to practise law have been suspended or revoked. She also acknowledged the prohibition against associating with these individuals in any capacity having to do with the practice of law or provision of legal services without the express approval of the Law Society Tribunal.

The presiding members of the Committee were satisfied that the discussion was useful, and that the process resulted in the Lawyer clearly understanding the concerns of the Law Society regarding her conduct.  The presiding members of the Committee concluded that, having addressed with the Lawyer the conduct that gave rise to the regulatory issues, there would be no further action regarding this matter.

(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES
The Lawyer is alleged to have engaged in conduct unbecoming when he engaged in discriminatory and offensive conduct toward another lawyer.

On September 13, 2018 the Complainant, a lawyer licensee in good standing, published an opinion in the Toronto Star newspaper which dealt with the possibility of the Premier of Ontario, Doug Ford, invoking the notwithstanding clause and his “critique” of the decision of Justice Edward Belobaba’s ruling. Underneath the opinion the Complainant is identified as a Toronto criminal defence lawyer and political commentator.

In response to this opinion piece, the Lawyer used his Twitter account to make a highly discriminatory and offensive comparison in regard to the Complainant, which was not in keeping with the Lawyer’s special responsibility to respect the requirements of human rights in force in Ontario.

REGULATORY MEETING OUTCOME           
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct (the Rules).

The members of the Proceedings Authorization Committee noted that the Lawyer engaged in conduct unbecoming a lawyer when he posted personal comments on his twitter account that were discriminatory and offensive. He knew or ought to have known that his comments were offensive and would have been unwelcome by the Complainant and other members of the public.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer recognized that in future he should be mindful not to engage in similar conduct. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(The Lawyer attended and was unrepresented)

THE REGULATORY ISSUES

REGULATORY MEETING OUTCOME

The Regulatory Issues

The Lawyer was alleged to have engaged in improper advertising. She fully cooperated with the Law Society to address all advertising issues and was in full compliance by 2018. The Lawyer (who is a sole practitioner practising through a professional corporation) is the senior counsel and named principal in the personal injury litigation law firm “Sokoloff Lawyers”. She has practiced personal injury law, virtually exclusively, for more than 30 years.
 
Some of the Lawyer’s online marketing raised potential concerns regarding the Rules of Professional Conduct as they related to the advertising of second opinion services (which was permitted at the time the content was posted, but later prohibited by a subsequent rule change); comments that the Lawyer specialized in personal injury when she was not a certified specialist in civil litigation (the Lawyer subsequently applied to become a certified specialist, but was refused admission to the Law Society’s certified specialist program so long as the advertising investigation remained outstanding); and also described her firm as “Toronto’s Top Multi-Ethnic Personal Injury Firm”, which might suggest a qualitative superiority to other lawyers.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct. The Lawyer fully cooperated with the Law Society investigation and advised the Proceedings Authorization Committee that the aspects of the firm’s advertising identified above have been removed and that the firm’s website and other online marketing has been fully compliant with the Rules of Professional Conduct since 2018. The Lawyer further advised that some of the content would have been removed much earlier, but the relevant social media accounts were no longer within the Lawyer’s control.
 
The members of the Committee reminded the Lawyer of the prohibition against marketing that does not comply with the Rules of Professional Conduct. They recognized that the Lawyer addressed the Law Society’s concerns immediately after being advised of the investigation, but reminded the Lawyer of her obligation to review and analyze advertisements and marketing prepared by staff and third-party marketing agencies before engaging in mass-marketing practices, directed at the public.
 
The members of the Committee agreed that the discussion was useful, and that the process made it unlikely that there would be improper marketing by the firm in the future. The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.
 
(Counsel for the Society, Tushar Pain / Counsel for the Lawyer, William Trudell and Daniel Goldbloom)

The Regulatory Issues

 The Lawyer was alleged to have engaged in sexual harassment of a staff member, conduct unbecoming, and failing to act with courtesy and civility to his staff.

Regulatory Meeting Outcome 

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place between members of the Proceedings Authorization Committee and the Lawyer concerning the regulatory issues and the applicable Rules of Professional Conduct.
 
With respect to the sexual harassment, the Lawyer was reminded that, as a person in a position of authority, his conduct, including dinners, and other expressions of his feelings, would lead a reasonable person to expect that his conduct would cause “insecurity, discomfort, offence, or humiliation”, contrary to Rule 6.3-3. The Lawyer’s conduct deeply and negatively impacted the health of the staff member who was sexually harassed.
 
With respect to the failure to act with courtesy and civility, the Lawyer’s behaviour involved several colleagues over a period of several months and included striking inanimate objects in frustration and anger, shouting, and making disparaging comments about staff that others found demeaning. This conduct was not in keeping with the Lawyer’s general responsibility under Rule 7.2-1 to be courteous and civil with all persons in the course of his practice.
 
The Lawyer acknowledged the conduct and took responsibility for his actions and the pain he caused the specific staff members. The Lawyer was reminded not to engage in such unbecoming and unprofessional conduct. His conduct was antithetical to the responsibilities set out in the Rules of Professional Conduct.
 
The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future. The members of the Proceedings Authorization Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.
 
(Counsel for the Lawyer, Ian Smith)

The Regulatory Issues

The Lawyer is alleged to have acted contrary to ss. 5.1-5 and ss. 6.3.1-1 of the Rules of Professional Conduct.

While acting as Legal Aid Ontario (“Legal Aid”) duty counsel, the Lawyer had an interaction with a court clerk which made the clerk feel uncomfortable and upset. He made repeated derogatory comments about the clerk in his response to Legal Aid’s investigation of the clerk’s concerns. Some of the comments could be viewed objectively as sexist because they reflected negative stereotypes about women, even if the Lawyer did not intend them to be so. The Lawyer was removed from all Legal Aid Panels in 2018 as a result of the interaction and the nature of his responses to the Legal Aid investigation.
 
The Lawyer believed the clerk harmed him by making unsubstantiated allegations and his responses were justified. However, on reflection, the Lawyer agreed he should have responded differently to Legal Aid and he regretted it.

 Regulatory Meeting Outcome

 Pursuant to the Law Society's policy on Regulatory Meetings, a discussion took place concerning the regulatory issue and the applicable Rules of Professional Conduct.

The Committee communicated their concerns that the Lawyer made the clerk feel uncomfortable and upset. Also, even allowing a substantial degree of latitude to the Lawyer to defend himself against allegations of misconduct, his communications to Legal Aid were unprofessional because they included many gratuitous insulting comments which were not reasonably necessary to respond to the Legal Aid investigation.
 
The Committee noted that the Lawyer acknowledged his approach to the Legal Aid investigation did not help him and that in hindsight he would do it differently. He suffered financially due to his removal from Legal Aid panels. The Lawyer recognized his failure to comply with his professional obligations and has accepted responsibility for his actions.
 
The members of the Proceedings Authorization Committee agreed that the discussion was useful and concluded that having addressed the regulatory issue, there will be no further action regarding this matter.
 
The Lawyer attended and was unrepresented

The Regulatory Issues
The Lawyer made anonymous sexually harassing phone calls to a member of the public (the
“complainant”) between 2004 and 2005. The complainant was also a licensee at the time this conduct
took place.

Regulatory Meeting  Outcome
Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the
regulatory issues and the applicable Rules of Professional Conduct (the “Rules”).

The members of the Proceedings Authorization Committee (the “Committee”) reviewed the Lawyer’s
conduct, as well as evidence including the Lawyer’s admission that he made anonymous sexually
harassing phone calls to other members of the public, in addition to the complainant, prior to June
2005. The Law Society does not have any evidence that the Lawyer engaged in this conduct after June
2005.

The Committee acknowledged the evolution in society with respect to encouraging victims of sexual
harassment to report their experiences to governing authorities and institutions. The Committee
advised the Lawyer that sexual harassment of any kind, to any individual, is unacceptable and runs
contrary to  the professional obligations of a licensee pursuant to Rule 6.3-0 and 6.3-3 of
the Rules. The Committee advised the Lawyer that such conduct committed in a licensee’s personal or
private capacity not only reflects adversely on a licensee, but also brings discredit upon the
legal profession, pursuant to Rule 1.1-1 of the Rules. The Committee also reviewed the negative
impact and lingering effects that the Lawyer’s conduct had on the complainant, including making the
complainant feel unsafe, anxious and upset.

The Lawyer acknowledged that his conduct could have formed the basis of allegations that he engaged
in conduct unbecoming of a licensee and sexual harassment, contrary to the Rules. The Lawyer
acknowledged that his conduct was inappropriate and unacceptable. The Lawyer further acknowledged
that his conduct had a negative impact on the complainant and could have negatively impacted other
individuals to whom he made these sexually harassing phone calls.

The Committee concluded that having addressed the regulatory issue, there will be no further action
regarding this matter.

The Lawyer appeared via videoconference with his counsel Matthew Wilton
Counsel for the Law Society: Jasmeet Kala
 

The Regulatory Issues

The Lawyer, a junior associate at her firm, acted in a conflict of interest when, without consent, she acted against a former client in a related matter involving litigation over the death of a family member. A judge of the Ontario Superior Court of Justice then determined that the Lawyer’s firm acted in a conflict of interest on a motion to return a certificate of estate trustee and that the firm should have refrained from continuing to act against the former client. The principal of the Lawyer’s firm then took immediate steps to retain alternate Counsel at his expense to continue to act for the other family members on the motion to return the certificate of estate trustee.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct. The members of the Proceedings Authorization Committee noted that the evidence showed that the Lawyer acted in a conflict of interest and that this had attracted judicial criticism for being against the administration of justice.

The Proceedings Authorization Committee reminded the Lawyer of her responsibility to ensure she is on guard against, and avoids, conflicts of interest. The Lawyer acknowledged the firm ultimately had acted in a disqualifying conflict of interest. The Lawyer has expressed her resolve to be mindful in the future of potential and actual conflicts and the need for any consents.

The members of the Proceedings Authorization Committee agree that the discussion was useful, and that the Lawyer is unlikely to become involved in a similar situation in the future. The Proceedings Authorization Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

(Counsel for the Society, Paul Pape / Counsel for the Lawyer, William Trudell)
 

The Regulatory Issues

The Paralegal was alleged to have attended Small Claims Court to represent the plaintiff when he was ineligible to provide legal services due to no proof of insurance. The Paralegal was also alleged to have engaged in advertising on his website that was misleading, confusing and deceptive; including content suggesting that he was providing legal services beyond the permissible scope of his P1 licence. 

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable By-laws and Paralegal Rules of Conduct. The members of the Proceedings Authorization Committee (the “Committee”) reminded the Paralegal of his obligation to maintain adequate insurance, only practise when having the requisite status and reminded the Paralegal of the prohibition against marketing and advertising that is misleading, confusing or deceptive or likely to mislead, confuse or deceive.

The members of the Committee agree that the discussion was useful and that the Paralegal is unlikely to conduct himself similarly in the future. The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.\

 (The Paralegal attended via videoconference with his Legal Representative, Frank Alfano)

The Regulatory Issue

 The Lawyer was alleged to have failed to serve his client by failing to notify his client in a timely manner of the Lawyer’s inability to provide services through a Legal Aid Certificate.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issue and the applicable Rules of Professional Conduct.  The Lawyer failed to promptly notify his client of his inability to provide services to the client through a Legal Aid Certificate.  The Lawyer was not on the Legal Aid panel as required for the client’s specific matter.  The Lawyer continued to provide services to the client, eventually billing him privately for this time.
 
The Lawyer acknowledged that he could have been more prompt in letting his client know that he was not approved to be on the Legal Aid panel.  He further acknowledged that he continued to provide legal services for some time while his client had a valid Legal Aid Certificate but he was not approved to be on the panel. He said he did so as he felt he was obliged to be ready for a specific hearing in the event he was not allowed to get off the record by the Court. 
 
The presiding benchers reminded the Lawyer of his duty to perform all aspects of the legal services undertaken on a client's behalf to the standard of a competent lawyer in accordance with Rule 3.1-2. The Lawyer should have clearly communicated his inability to provide services through the Legal Aid Certificate at the earliest opportunity and advised his client of options to retain new counsel who could honour the Legal Aid Certificate, rather than continue to provide services privately.
 
The presiding benchers agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future.  The presiding benchers concluded that having addressed the regulatory issue, there will be no further action regarding this matter.
 
(The Lawyer was unrepresented and appeared in person)

 

The Regulatory Issues

The Lawyer was alleged to have engaged in fee-splitting with a non-licensee, failing to supervise staff and failing to assume complete professional responsibility for his law practice.

From 2008-2011, the Lawyer engaged the services of a non-licensee, who was remunerated for introducing clients to the Lawyer’s firm and processing their accident benefit files.  The non-licensee also met with clients at a satellite office of the firm without the Lawyer’s direct supervision.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.  The Lawyer acknowledged difficulties in being present to supervise his staff while running a busy litigation practice.  The Proceedings Authorization Committee noted that it was improper for the Lawyer to have permitted a non-licensee to meet with clients at the satellite office of the Lawyer’s firm without his direct supervision.  The Committee reminded the Lawyer that fee-splitting arrangements with non-licensees, however characterized, are prohibited.   

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future.  The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(Counsel for the Society, Emma Seth /The Lawyer was unrepresented and appeared in person)

The Regulatory Issues

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicableRules of Professional Conduct. The Lawyer fully cooperated with the Law Society investigation and advised the Proceedings Authorization Committee that the firm’s website now identifies the employee as a spokesperson and non-licensee. A similar disclaimer has been added to the firm’s television advertisements. The firm is in the process of editing videos to include a similar disclaimer, but this process has not yet been completed. He also advised that all TTC ads with the Blue Jays designation have been taken down and the references to the sponsorship in internet advertising (within their control) have been removed.

The members of the Committee reminded the Lawyer of the prohibition against marketing that is misleading, confusing or deceptive or likely to mislead, confuse or deceive. They recognized that the Lawyer addressed the Law Society’s concerns immediately after being advised of the investigation, but reminded the Lawyer that the use of the employee and the sponsorship agreement with the Blue Jays might mislead, confuse or deceive.

The members of the Committee agreed that the discussion was useful, and that the process made it unlikely that there would be marketing by the firm that might mislead, confuse or deceive in the future. The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

 
(Attending for the Society, Gerry McCleary, Division Coordinator/ Counsel for the Paralegal, Nadia Liva and the Paralegal appeared in person)

The Regulatory Issues

The Paralegal was alleged to have provided legal services outside the scope of his license and to have failed to communicate with his client with respect to a construction lien matter.  

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.  The Paralegal had accepted a retainer to act on a construction lien matter of some urgency, but was not initially aware that construction lien matters fall outside the scope of a paralegal licence.  While the Paralegal was reviewing the file, he failed to respond to communications from his client.  Upon realizing he could not act, the Paralegal withdrew from the retainer and later offered a refund to his client.  The client was able to retain new counsel and was not prejudiced. 

The members of the Proceedings Authorization Committee drew the Paralegal’s attention to his obligation to know the limits and restrictions of his licence, because members of the public assume a legal professional is permitted to provide the legal services for which they have been retained.  They also reminded the Paralegal of the requirement that he communicate with his clients in a timely and effective manner.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct herself similarly in the future.  The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

(Attending for the Society, Gord Gregus, Investigator /The Paralegal was unrepresented and appeared in person)

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct herself similarly in the future.  The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter. 

The Regulatory Issues

While subject to a discipline suspension, the Lawyer was alleged to have failed to properly handle and divest himself of his trust account and failed to clearly inform his client that he was suspended and unable to provide legal services.  The Lawyer was also alleged to have failed to accurately disclose receiving trust funds from his client on his 2015 Lawyer’s Annual Report.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.  While he had informed his client of his suspension and referred him to another lawyer, the Lawyer acknowledged that the client likely did not understand what he told him due to a language barrier.  The Lawyer acknowledged he should not have received money in trust while suspended, and the potential misleading statement regarding trust funds on his 2015 Annual Report, but indicated the statement was made in error.

The Proceedings Authorization Committee reminded the Lawyer that licensees who have been found to have engaged in professional misconduct and suspended must divest themselves of the trust funds they hold on behalf of clients in a timely fashion.  Suspended licences must also inform their clients or prospective clients that they are unable to continue with or accept a retainer due to the suspension, while ensuring that any barrier to communication such as language is overcome and that the client fully and completely understands.  The members of the Committee also noted that it is essential that licensees present accurate information in the Annual Report.

The members of the Committee agreed that the discussion was useful, and that the Lawyer is unlikely to conduct himself similarly in the future.  The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

(Attending for the Society, Christopher Wight, Forensic Auditor / The Lawyer was unrepresented and appeared in person)

 The Regulatory Issues

The Lawyer was alleged to have failed to serve clients with applications to the Indian Residential Schools Adjudication Secretariat under the Independent Adjudication Process, and to have failed to be honest and candid with the clients regarding the status of their applications.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.  The Lawyer acknowledged that she did not file applications for compensation with the Indian Residential Schools Adjudication Secretariat for some of her clients, and that she did not submit required documentation necessary for the applications of some of her clients to be considered.   She also acknowledged that she did not provide information with honesty and candour to some of her clients about the status of their applications. 

The members of the Proceedings Authorization Committee reminded the Lawyer of her obligation to perform all functions conscientiously, diligently and in a timely and cost-effective manner, and in particular, the requirement that lawyers recognize limitations in their ability to handle a matter or some aspect of it, and take steps to ensure the client is properly served.   The Committee also noted that the Lawyer’s duty of candour to her clients required her to inform her clients of information known to her that may affect the interests of the client in the matter.

The members of the Proceedings Authorization Committee agreed that the discussion was useful.  In addition to the Regulatory Meeting, the lawyer undertook to surrender her licence effective August 15, 2017.

(Counsel for the Society, Margaret Drent / The Lawyer was unrepresented and appeared in person)

The Regulatory Issues 

The Lawyer was alleged to have failed to comply with her personal undertaking to pay out and discharge a private mortgage following the closing of a commercial real estate transaction, contrary to Rule 7.2-11 of the Rules of Professional Conduct. 

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.  The members of the Proceedings Authorization Committee noted that the Lawyer gave the undertaking and it was not fulfilled, and reminded her of her obligation under the Rules not to give an undertaking that cannot be fulfilled and to fulfil every undertaking given.   They also directed the Lawyer to the Law Society’s Real Estate Practice Guide for Lawyers, which provides that lawyers should not give or accept personal undertakings respecting discharge after closing in the case of private mortgages, in the absence of any express provision to the contrary in the agreement of purchase and sale.

The Regulatory Issues

The Lawyer was alleged to have acted in a conflict of interest.  He represented two clients in separate matrimonial matters.  The two clients began a relationship with each other.  The Lawyer represented both of them in drafting a cohabitation agreement. 

The Lawyer was also alleged to have engaged in conduct unbecoming a lawyer, when, just prior to one of the clients making an assignment in bankruptcy, the Lawyer substantially increased the amount of the legal fees owed to him by the bankrupt client and allowed himself to be appointed an inspector in the bankruptcy in an attempt to maximize his own recovery in the bankruptcy, which would limit the recovery of the bankrupt client’s former spouse, who was also a creditor in the bankruptcy.  The Lawyer’s conduct attracted adverse comment from judges who made decisions in the bankruptcy litigation.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.  The members of the Proceedings Authorization Committee noted that the evidence showed that the Lawyer acted in a conflict of interest, and that the Lawyer’s conduct had attracted judicial criticism. 

The Committee reminded the Lawyer of his obligation to be on guard against conflicts of interest.   The Committee also reminded him of his obligations to conduct himself appropriately when his own financial interests are intertwined with those of his clients.  The Lawyer acknowledged that he had not dealt with the conflict issues in the matrimonial matter as he should have, and expressed his resolve to be mindful in future of the need to balance his own financial interests with his professional obligations.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to misconduct himself similarly in the future.  The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

 (Counsel for the Society, Louise Christofolakos / The Lawyer was unrepresented and appeared in person)

The Regulatory Issues

The Lawyer failed to appear in court on behalf of her client, a young offender. Neither the lawyer nor her client appeared on the next remand date.

The Judge then set a date for the hearing into the Lawyer's conduct.

The Lawyer was late when the Judge rendered judgment with respect to the Lawyer's conduct. The Judge's findings were critical of the Lawyer's deliberate failure to appear for judgment on time.

The Judge later discovered that the Lawyer had been appearing on behalf of clients elsewhere in the Courthouse at the time he rendered judgment.

The Lawyer was alleged to have failed to treat the Court with courtesy and respect, to have failed to comply with a Court Order to appear, to have made ill considered criticisms of the conduct of another lawyer, and to have attempted to mislead the court, contrary to Sub-rules 4.01 (1), (2) & (6), 6.01, 6.01(1) and 6.03(1) of the Rules of Professional Conduct.

Regulatory Meeting Outcome

Pursuant to the Law Society's policy on Regulatory Meetings, a discussion took place concerning the regulatory issue and the applicable Rules of Professional Conduct.  The members of the Proceedings Authorization Committee noted that the Lawyer had changed her practice when dealing with multiple court matters to ensure that the Court is aware of that she is present in the Courthouse and to ensure that she has agents to attend if she is unable and that duty counsel are aware if she unable to attend.

The Committee reminded the Lawyer of her obligations to the Court and her clients when she has multiple matters scheduled on the same day, and of her obligations to be courteous, forthright and respectful to the Court and other counsel at all times.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and that the Lawyer is unlikely to misconduct herself similarly in the future. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(Counsel for the Society,Elaine F. Strosberg/ Counsel for the Lawyer, David Midanik)

The Regulatory Issue

The Lawyer was an Assistant Crown Attorney who was alleged to have failed to conduct himself in such a way as to maintain the integrity of the profession, contrary to Sub-rule 6.01(1) of the Rules of Professional Conduct when he became involved in providing assistance to an accused person facing sexual assault allegations. 

During the winter and spring of 2009, the Lawyer gave advice to a friend, who in turn was helping the accused, who was facing sexual assault charges.  Over the course of several months, the Lawyer had a number of conversations with the friend specifically regarding the criminal case.  In one conversation, the Lawyer implied to his friend that he had influenced the assignment of a favourable judge to the trial, something he had not done. On the morning the verdict was to be rendered, the Lawyer allowed his friend and the accused to wait in his office in the Court House before Court opened.  On one occasion, the Lawyer made telephone contact with a news reporter on behalf of counsel for the accused.

Regulatory Meeting Outcome

Pursuant to the Law Society's policy on Regulatory Meetings, a discussion took place concerning the regulatory issue and the applicable Rules of Professional Conduct.

The Committee noted that the Lawyer has acknowledged that he exercised poor judgment, that his behavior was inappropriate, and that it reflected poorly on him and on the office of the Crown Attorney.  The lawyer has suffered both financially and reputationally.  His conduct resulted in an investigation by the Ministry of the Attorney General during which time he was suspended from his position.  The conclusion of the investigation was ultimately followed by the Lawyer's resigning as Assistant Crown Attorney, a position of which he was proud.  The Lawyer's actions have had a considerable impact on his professional and personal life.  The Lawyer recognized his failure to comply with his professional obligations and has accepted responsibility for his actions.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

(Counsel for the Society, Lisa Freeman/Counsel for the Lawyer, Paul Cavalluzzo, LSM.  Counsel in attendance for the Lawyer at the Regulatory Meeting, Nadia Liva)

The Regulatory Issue

During the spring and summer of 2004, the Lawyer was the lead Assistant Crown Attorney in the prosecution of several co-defendants.  The charges included substantive counts relating to drug trafficking, weapons and criminal organization/conspiracy offences.  During the Preliminary Inquiry, the Lawyer had two ex parte discussions with the presiding Judge which were relevant to the proceedings.  The Lawyer was alleged to have failed to disclose the fact of the meeting and the nature of the conversations to defence counsel, contrary to Rules 4.01(3) and 6.01(1) of the Rules of Professional Conduct.  

At the conclusion of the Preliminary Inquiry, the presiding Judge discharged the defendants with respect to the charges of criminal organization/conspiracy.  Approximately four months later, the criminal organization/conspiracy charges were reinstituted against some, but not all, of the defendants.  The ex parte communications were not disclosed to defence counsel until approximately fourteen months after the communications took place and eleven months after the criminal organization/conspiracy charges were discharged.   

The Judge hearing a stay application brought by defence counsel dismissed it after finding that the circumstances surrounding the Lawyer’s conduct and disclosure issues did not amount to an abuse of process warranting a stay of proceedings.  However, the Judge made several negative comments about the conduct of the Lawyer.  The Law Society became aware of the matter in April, 2009. 

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issue and the applicable Rules of Professional Conduct.

The Lawyer acknowledged that she took part in two ex parte meetings with the presiding Judge, which were not disclosed to the defence during the Preliminary Inquiry.  The Lawyer stated that it is now very clear to her that it was improper and a breach of her disclosure obligation as Crown Counsel not to have immediately disclosed the fact and content of the ex partecomments by presiding Judge to defence counsel.

The Members of the Proceedings Authorization Committee noted that the Lawyer’s conduct had been the subject of an investigation by the Ministry of the Attorney General which found that it was improper and a breach of the Lawyer’s disclosure obligation as Crown Counsel not to have immediately disclosed the fact and content of the ex parte comments to defence counsel.  The Lawyer was disciplined in accordance with the Ministry of the Attorney General’s internal policies.  The Lawyer also advised the Committee that her conduct has fundamentally shaken her professional reputation, has impacted on her family life and has been a source of tremendous regret and angst.

The Committee agreed that the discussion was useful, that the Lawyer has not misconducted herself similarly since 2004, and that the Lawyer is unlikely to misconduct herself similarly in the future.  The Committee further noted that the Lawyer continues to be given responsibility commensurate with her experience as an Assistant Crown Attorney.  The Committee concluded that having addressed the regulatory issue, there will be no further action regarding this matter.

(Counsel for the Society, Lisa Freeman/ Counsel for the Lawyer, Philip Downes.  The Hon. Sydney L. Robins, Q.C., LSM attended as a Bencher at the invitation of the Proceedings Authorization Committee.)

The Regulatory Issue

The Lawyer was alleged to have engaged in conduct unbecoming a lawyer licensee contrary to s.33(1) of the Law Society Actbecause he was convicted by Madam Justice Livingstone, in the Ontario Court of Justice for Ontario in London, Ontario on September 22, 2008 of twice breaching section 239(1)(d) of the Income Tax Act and twice breaching section 327(1)(c) of the Excise Tax Act.

Regulatory Meeting Outcome

Pursuant to the Law Society’s policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct.

The Committee made reference to the fact that the Lawyer’s convictions under the Income Tax Act and the Excise Tax Act reflect negatively on the legal profession as a whole and tend to bring the administration of justice into disrepute.

The Committee drew the Lawyer’s attention to sub-rules 6.11(3), 1.02 and 6.01(1) of the Rules of Professional Conduct. The Committee reminded the Lawyer that he has a duty as a senior member of the Bar to conduct himself in his professional and personal capacity in a manner consistent with the legal profession’s traditions of honesty, integrity and high ethical standards.

The Lawyer acknowledged that he conducted himself in a manner that was inconsistent with the Rules of Professional Conduct. In particular, he acknowledged that his convictions under the Income Tax Act and the Excise Tax Act reflect badly on the legal profession.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(Counsel for the Society, Janice Duggan/the Lawyer attended in person and was unrepresented)

The Regulatory Issues  

The Lawyer was alleged to have engaged in sharp practice on or about July 20, 2007, when he instituted default proceeding in court file no. 07-CV-329949PD3, without notice to the defendant's lawyer.

The Lawyer was also alleged to have written letters dated July 6 and 12, 2007 to the defendant's lawyer and others regarding court file no. 07-CV-329949PD3, in July 2007, in a manner that was uncivil and inconsistent with the proper tone of the professional communication from a lawyer.

Regulatory Meeting Outcome  

Pursuant to the Law Society's policy on Regulatory Meetings, a discussion took place concerning the regulatory issue s and the applicable Rules of Professional Conduct.

The members of the Proceedings Authorization Committee were of the view that it was improper for the Lawyer to institute default proceedings without notice to the defendant in the face of pending motions for orders:

1. to dismiss the action for lack of jurisdiction; and
2. to extend the time for the filing of the Statement of Defence

and contrary to the arrangement not to note the defendant in default, which the defendant's lawyer believed to be in place in mid-May 2007.

The Committee also noted that the Lawyer's conduct was aggravated by the two letters the Lawyer wrote to the defendant's lawyer and copied to other members of the bar.

The Committee made particular reference to the comments on the Lawyer's conduct that were made in two decisions in the underlying litigation by the Hon. Mr. Justice Newbould, who wrote that the Lawyer's actions were "misleading in the extreme" and that ".....the correspondence that I have discussed are actions that should not be condoned but rather censured. The Rules of Professional Conduct and the Principles of Civility adopted by the Advocates' Society are intended to prevent the kind of correspondence that was sent…."

The Committee drew the Lawyer's attention to sub-rules 4.01 (6), 6.01 (1), 6.03 (3) and 6.03 (5) of the Rules of Professional Conduct . The Committee reminded the Lawyer that even in acrimonious, high-profile litigation, a lawyer's obligation is to avoid sharp practice, to act in good faith and to treat opposing counsel and all persons with whom the lawyer has dealings in the course of litigation with courtesy and civility. The Committee noted that the Lawyer is a senior member of the bar with the ability to influence junior lawyers as they develop their practice styles.

The Lawyer acknowledged that he conducted himself in a manner that was inconsistent with the Rules of Professional Conduct. In particular, he acknowledged that it was improper to institute default proceedings without notice to the defendant in the circumstances of this case, and that his letters to the defendant's lawyer were uncivil. In light of his discussions with the Committee, the Lawyer has committed himself to observing the principles of civility.

The members of the Proceedings Authorization Committee agreed that the discussion was useful, and concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

(Counsel for the Society, Amanda Worley/the Lawyer attended in person and was represented by Sylvia Tint)  

The Regulatory Issues  

The Lawyer was alleged to have failed to treat the Ontario Racing Commission (the "ORC") with courtesy and respect, and failed to conduct himself in such a way as to maintain the integrity of the profession, contrary to subrules 4.01(1), 4.01(6) and 6.01(1) of the Rules of Professional Conduct.

While cross examining a witness in a hearing before the ORC's Hearing Panel, the Lawyer addressed the chairman of the panel in terms that were discourteous and disrespectful of the panel and the chairman.

Regulatory Meeting Outcome  

Pursuant to the Law Society's policy on Regulatory Meetings, a discussion took place concerning the regulatory issues and the applicable Rules of Professional Conduct. The Lawyer conceded his conduct fell short of the standard expected of lawyers. He agreed his comments were very unfortunate and he regrets having made them. He indicated that the incident should never have happened, had never happened before and he hopes that it will never be repeated.

The members of the Proceedings Authorization Committee noted that at a meeting of the ORC held to review the Lawyers conduct before the ORC's Hearing Panel, the Lawyer had apologized three times for his remarks at the hearing.

The Committee reminded the Lawyer that while appearances in before tribunals can be stressful, and sometimes challenging, a lawyer's obligation is to maintain a civil and respectful demeanour at all times even if he or she feels provoked or that he or she has been treated unfairly. The Committee concluded that having addressed the regulatory issues, there will be no further action regarding this matter.

The Regulatory Issue  

The Applicant was alleged to have, while a law student working for the defence during the criminal trial of R. v. Richard Wills, contacted a witness on August 30, 2007 and arranged a three-way conversation with the witness and the accused. During the conversation, the accused attempted to prompt the witness's memory. The witness denied making the utterances suggested by the accused and said that he would not repeat them in court.

The Background Issues  

The following incidents that were alleged to have occurred while the Applicant was a law student could have been the subject of a good character hearing, and are relevant as background to the regulatory issue considered:  

• On February 28, 2007, the Applicant disregarded courthouse security procedures and arranged for Mr. Wills' two teenage children to attend within a secured area of the courthouse to visit Mr. Wills, without the knowledge or permission of court staff.  
• On May 31, 2007, the Applicant, who was sitting next to Mr. Wills while court was in session, saw that Mr. Wills had typed a message on a laptop screen indicating that if the press had any questions, the defence lawyers could answer them. The message was visible to the public. The Applicant failed to alert counsel or the court to the incident.
• On June 4, 2007, defence counsel retained a friend of the Applicant as a photographer to reproduce autopsy photographs for defence presentation. On the instructions of counsel, the Applicant instructed the photographer to take confidential autopsy photographs of the murder victim for reproduction at Japan Camera Centre, and the photographer performed that task.

Regulatory Meeting Outcome  

Pursuant to the Law Society's policy on Regulatory Meetings, a discussion took place concerning the regulatory issue and the applicable Rules of Professional Conduct. The Proceedings Authorization Committee noted that the Applicant has many letters of reference from upstanding members of the community, and that his conduct during the trial appeared to be a diversion from his usual character.

During the meeting, a discussion with the Applicant and his counsel took place. The Applicant stated that the process of the Law Society's investigation delayed the consideration of his admission to the bar, and he assured the Committee that he will never engage in similar conduct again. The Committee is satisfied that the Applicant now appreciates that he made errors in judgment during the course of the R. v. Wills trial.

The Committee is satisfied that the discussion was meaningful, and that the Applicant will never misconduct himself in the future. The Committee concluded that there will be no further action in this matter because it has now addressed the regulatory issue.

(Counsel for the Society, Elaine Strosberg/ Counsel for the Applicant, Stephen Traviss)