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Aaron A. Greenlee (2020)
New Hampshire Supreme Court Professional Conduct Committee a committee of the attorney discipline system David M. Rothstein, Chair 4 Chenell Drive, Suite 102 Barbara J. Guay, Legal Assistant Heather E. Krans, Vice Chair Concord, New Hampshire 03301 Elaine Holden, * Vice Chair 603-224-5828 # Fax 228-9511 * non attorney member Greenlee, Aaron A. advs. Attorney Discipline Office - #18-028 ORDER On July 21, 2020, the Professional Conduct Committee (the Committee) deliberated a stipulation entered after a hearing on allegations that the Respondent, Aaron A. Greenlee, violated Rules of Professional Conduct 1.3, 5.3, and 8.1. The Hearing Panel (the Panel) found a violation of Rule 1.3, but found that Rule 8.1 was not applicable to the alleged misconduct, and that the Attorney Discipline Office (the ADO) failed to prove a violation of Rule 8.1 by clear and convincing evidence. Because the Committee had questions about the applicability of Rule 8.1 and the materiality of Mr. Greenlee’s statements, it tabled the matter and requested oral argument. That argument occurred on September 15, 2020. The Committee approves the Panel’s report. Background Rule 8.1 states, in pertinent part, “An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not . . . (a) knowingly make a false statement of material fact.” The basis for the Rule 8.1 violation was alleged false and
material statements made by Mr. Greenlee in a voluntary written response to a grievance filed with the Attorney Discipline Office. The Panel explained its decision to dismiss the Rule 8.1 charge as follows: The Panel . . . concluded that the ADO had not met its burden of proving by clear and convincing evidence a violation of Rule 8.1. The Panel was not convinced that the statements made by Mr. Greenlee in his letter to the ADO, before the Notice of Charges had issued, were statements made “in connection with a disciplinary matter” for purposes of Rule 8.1. Regardless of whether Rule
8.1 applied, however, the Panel found that the ADO had not proven a violation, as it was not convinced that Mr. Greenlee had “knowingly (made) a false statement of material fact, ” because the statement in issue did not appear to be material. The Committee did not agree with the Panel’s conclusion that Rule 8.1 did not apply to false statements made in a voluntary response to a grievance filed with the ADO “before the Notice of Charges had issued, ” because such statements were not made “in connection with a disciplinary matter.” Rather than rejecting the Panel’s Report, the Committee issued an order “allow(ing) the parties an opportunity to address the applicability of Rule 8.1 to Mr. Greenlee’s alleged conduct via oral argument.” The question of whether a lawyer’s voluntary written response to a grievance is a statement made “in connection with a disciplinary matter, ” as that phrase is used in Rule 8.1, is a question of law for the Committee to review de novo. See Appeal of Collins, 171 N.H. 61, 62 (2018) (Court reviews legal
conclusions of administrative board de novo). After considering the record and the parties’ arguments, the Committee determined that Mr. Greenlee’s voluntary response was made “in connection with a disciplinary matter, ” and that the Panel erred as a matter of law in ruling that the statements did not fall within the scope of Rule 8.1. The Panel’s finding that the ADO had failed to prove a violation of Rule
8.1 - that “the statement in issue did not appear to be material” - raises a question of fact that can only be overturned on review if it is clearly erroneous. See Appeal of Farmington School Board, 168 N.H. 726, 730 (2016) (factual findings reviewed for clear error). The Committee did not find clear error, and on this basis alone it upholds the Panel’s finding that the ADO failed to prove a Rule 8.1 violation. The Reach of Rule 8.1 The phrase “in connection with a disciplinary matter” is not defined in Rule 8.1 or Rule 1.0 (the “Definitions” section of the Rules). In construing the language of a rule, the Committee will examine the language of the rule and afford its words of the rule their ordinary meaning. Vector Marketing Corp. v. N.H. Dep't of Revenue Admin., 156 N.H. 781, 783 (2008). The Committee will consider the language of the rule in conjunction with the other Rules of Professional Conduct. Appeal of Morton, 156 N.H. 76, 78 (2008). There is no support in the Rule’s language for the Panel’s conclusion that the phrase applies only to statements made after a formal Notice of Charges is issued by disciplinary counsel. Moreover, such an interpretation would remove
most matters investigated by the ADO from the scope of Rule 8.1, since, as Disciplinary Counsel stated at argument, a significant majority of grievances filed against attorneys are dismissed or resolved before formal charges are issued. In light of the importance placed on honesty and integrity throughout the Rules of Professional Conduct, the Committee does not believe that the Court intended the prohibition of false statements in Rule 8.1(a) to have such a limited application. In addition, the ABA Comments to Model Rule of Professional Conduct 8.1, which is a verbatim predecessor to New Hampshire’s Rule 8.1, indicate that the rule was intended to have a broader reach. ABA Comment (1) states, in relevant part, that “it is a separate professional offense for a lawyer to knowingly make a misrepresentation or omission in connection with a disciplinary investigation of the lawyer's own conduct.” (Emphasis added.) The Committee believes that all investigations carried out by the ADO ~ whether related to grievances or complaints or carried out in conjunction with formal charges against a Respondent — are “disciplinary investigations” within the meaning of the ABA Comment, and fall within the scope of Rule 8.1. The Annotated Model Rules of Professional Conduct, published by the ABA's Center for Professional Responsibility, also describe the reach of Rule 8.1(a) in broad language: “Rule 8.1(a) prohibits a lawyer from making a false statement of material fact to admission or disciplinary authorities.” (Emphasis added.) In New Hampshire, “disciplinary authorities” include members of the Office of General Counsel who review incoming grievances, and who in this
case invited Mr. Greenlee to submit a voluntary response to his client’s grievance. In sum, if an attorney undertakes to file a “voluntary” response to a grievance with the ADO, that lawyer assumes the responsibility to communicate honestly and truthfully with General Counsel. That responsibility is neither greater, nor less, than the responsibility of a lawyer filing an answer to a docketed complaint or an answer to a formal notice of charges. The stage of the investigative or prosecutorial process does not impact either the lawyer’s duty of honesty or the applicability of Rule 8.1. For these reasons, the Committee finds the Panel’s conclusion that Rule
8.1 did not apply to Mr. Greenlee’s voluntary response is erroneous as a matter of law. Materiality of the False Statements The ruling on the scope of Rule 8.1 does not end the inquiry. The Panel also decided that, even if the rule applied, the ADO failed to prove, by clear and convincing evidence, that the false statements were “material.” In his voluntary response, Mr. Greenlee blamed the poor outcome of a Temporary Hearing (the focus of the grievance) on the failure of his para legal to properly prepare a financial affidavit and a proposed order that were necessary filings at the hearing. Mr. Greenlee also stated that from that time forward he did not allow the para legal to work on his files. The Rule 8.1 violation set forth in the Notice of Charges alleged that these statements were knowing, false and material misrepresentations.
The Panel found that “the statement in issue did not appear to be material.” While the Panel did not elaborate on its reasoning, at the arguments before the Committee on September 15, 2020, both parties were heard on this issue. The Committee’s standard of review for factual determinations made below is a deferential one. See State v. Giles, 140 N.H. 714, 718-19 (1996) (Court defers to lower tribunal, which had the chance to see and hear witnesses). The Panel, unlike the Committee, heard substantial testimony that bore on the potential materiality of the misstatements, assessed the weight to be given to the testimony, and concluded that the ADO had not proven this element of a Rule 8.1 violation by clear and convincing evidence. There is no basis in the record for finding that this determination was clearly erroneous. Accordingly, while false statements made by a lawyer in a voluntary response to a grievance are statements “made in connection with a disciplinary matter” and fall squarely within the scope of Rule 8.1(a), the Committee affirms the Panel’s decision that the ADO failed to prove the element of materiality by clear and convincing evidence. Conclusion The Committee approves the Panel's Report within the limits set forth in this Order. It also approves the Parties’ Stipulated Sanction of Reprimand and the Order relating to Costs assessed against Mr. Greenlee. September 23, 2020 David M. Rothstein David M. Rothstein Chair cc. Sara S. Greene, Disciplinary Counsel William C. Saturley, Esquire
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