Charles M. Love, III, Esq.
H. John Rogers, Esq.
The Opinion of the Court was delivered PER CURIAM.
1. 'A de novo standard applies to a review of the adjudicatory record
made before the [Lawyer Disciplinary Board] as to questions of law, questions of application
of the law to the facts, and questions of appropriate sanctions; this Court gives respectful
consideration to the [Board's] recommendations while ultimately exercising its own
independent judgment. On the other hand, substantial deference is given to the [Board's]
findings of fact, unless such findings are not supported by reliable, probative, and substantial
evidence on the whole record. Syl. pt. 3, Committee on Legal Ethics v. McCorkle, 192
W.Va. 286, 452 S.E.2d 377 (1994).' Syllabus Point 2, Lawyer Disciplinary Bd. v. McGraw,
194 W.Va. 788, 461 S.E.2d 850 (1995). Syllabus Point 3, Lawyer Disciplinary Bd. v.
Cunningham, 195 W.Va. 27, 464 S.E.2d 181 (1995).
4. Rule 3.16 of the West Virginia Rules of Lawyer Disciplinary Procedure
enumerates factors to be considered in imposing sanctions and provides as follows: 'In
imposing a sanction after a finding of lawyer misconduct, unless otherwise provided in these
rules, the Court [West Virginia Supreme Court of Appeals] or Board [Lawyer Disciplinary
Board] shall consider the following factors: (1) whether the lawyer has violated a duty owed
to a client, to the public, to the legal system, or to the profession; (2) whether the lawyer
acted intentionally, knowingly, or negligently; (3) the amount of the actual or potential injury
caused by the lawyer's misconduct; and (4) the existence of any aggravating or mitigating
factors. Syllabus Point 4, Office of Lawyer Disc. Counsel v. Jordan, 204 W.Va. 495, 513
S.E.2d 722 (1998).
5. In deciding on the appropriate disciplinary action for ethical violations,
this Court must consider not only what steps would appropriately punish the respondent
attorney, but also whether the discipline imposed is adequate to serve as an effective
deterrent to other members of the Bar and at the same time restore public confidence in the
ethical standards of the legal profession. Syllabus Point 3, Committee on Legal Ethics v.
Walker, 178 W.Va. 150, 358 S.E.2d 234 (1987).
Per Curiam: In this disciplinary proceeding,
the Hearing Panel Subcommittee of the Lawyer Disciplinary Board (Hearing Panel)
recommends that this Court suspend the law license of the respondent, John
G. Sims, and assess the costs of the proceeding against him. The recommendation
follows Sims' removal from the office of prosecuting attorney for Logan County
by this Court in In re Sims, 206 W.Va. 213, 523 S.E.2d 273 (1999) (Sims
I), and is based on the Hearing Panel's conclusion that Sims violated
West Virginia Rules of Professional Conduct 3.6,
(See footnote 1) 3.8,
(See footnote 2) and
8.4 (See footnote
3) prior to and following the circuit court's caution to
refrain from improper behavior. We believe Sims should be reprimanded and
pay the costs of the disciplinary proceeding.
Sims' apparent flagrant disregard for the court's admonishment against making extrajudicial
statements, Grimmett filed a motion for contempt against Sims. Following a hearing on the
matter, the circuit court found that Sims' behavior violated West Virginia Rules of
Professional Conduct 3.6 and 3.8. However, the court dismissed the motion because civil
contempt was not alleged; the special prosecutor was ordered to expand her investigation
to determine whether charges of criminal contempt are warranted against the Respondent for
actions including allegations of disclosure of Grand Jury information in violation of Rule 6
of the Rules of Criminal Procedure.
Even though the three-judge panel failed to remove Sims from office, the panel
concluded that Sims' behavior was so flagrant that it warrant[ed] some suspension from
the practice of law. Consequently, the panel referred the case to the Lawyer Disciplinary
Board for resolution. The entirety of Sims' behavior was submitted to special counsel for
the Office of Disciplinary Counsel. Following an investigation, the Investigative Panel
issued a statement of charges against Sims alleging he violated Rules 3.6, 3.8, and 8.4. The
matter was then brought before the Hearing Panel upon stipulations. The Office of
Disciplinary Counsel and Sims stipulated and submitted for consideration the transcript and
testimony adduced during the removal proceeding; the order of the three-judge panel; the
opinion of this Court, Sims I; the transcript and testimony adduced along with the court's
order in the prohibition proceeding; and the transcript and testimony adduced along with the
court's order in the contempt proceeding. The Hearing Panel found that
while Sims served as prosecuting attorney, he repeatedly made extrajudicial
statements that he knew or should have known would have a substantial likelihood
of materially prejudicing an adjudicative proceeding. The Hearing Panel
also found that following his removal from the investigation involving the
assessor's office, Sims continued on at least two occasions to give interviews
to the press. In both newspaper articles, Sims is quoted as publicly accusing
the assessor of forgery, illegal reduction of property taxes, and fraud.
(See footnote 4)
After making these findings of fact, the Hearing Panel concluded that both
aggravating and mitigating factors existed in this case. The Hearing Panel believed it was
significant that Sims held a position of public trust--that of Prosecuting Attorney--at the
time of the misconduct and that his misconduct involved a pattern of repeated offenses.
Along this same vein, the Hearing Panel believed it was significant that notwithstanding the
fact that the three-judge panel held his behavior had violated the rules, and after he had been
cautioned by the supervising circuit judge, Sims flagrantly repeated the improper behavior.
The Hearing Panel also concluded that Sims' removal from office as prosecuting attorney
was a substantial sanction which was a mitigating factor. The Hearing Panel was not
persuaded that removal from office alone was a sufficient sanction under the circumstances.
Therefore, the Hearing Panel recommends to this Court that Sims' license be suspended for
ninety days and that he be required to pay the costs of the proceedings.
The parties stipulated the facts and the Board submitted to this Court copies
of the latest newspaper articles which quote statements made by Sims. Sims
does not argue that he did not make the public statements or commit the acts
complained of; rather, he argues that his case should be referred back to
the three-judge panel for a decision regarding whether sanctions beyond removal
from office are warranted. In our review of the West Virginia Code and the
Rules, we find that neither provides for such a procedure. We reiterate that
[t]his Court is the final arbiter of legal ethics problems and must
make the ultimate decisions about public reprimands, suspensions or annulments
of attorneys' licenses to practice law. Syllabus Point 3, Committee
on Legal Ethics v. Blair, 174 W.Va. 494, 327 S.E.2d 671 (1984). Trial
courts and three-judge panels simply lack the power or jurisdiction to reprimand
a lawyer or to suspend or annul a lawyer's license to practice law.
(See footnote 5)
In his brief submitted to this Court, counsel for Sims concedes that Sims should
have been removed from office, but he argues that no further sanctions should be imposed
because Sims' actions were protected by free speech and prosecutorial immunity. Counsel
stresses that although he may not have comported himself as one might expect prosecutors
to do, still his heart was pure. In his eyes, he was fighting entrenched political corruption.
As has been noted at several places above, there is nothing in the record to indicate that Mr.
Sims was anything other than a young, unexperienced, and crusading prosecuting attorney.
The Board argues that Sims' license should be suspended, in part, because
lawyers holding public office [are held] to a higher standard of conduct. Syllabus Point
3 of Committee on Legal Ethics v. Roark, 181 W.Va. 260, 382 S.E.2d 313 (1989), states,
Ethical violations by a lawyer holding a public office are viewed as more egregious because
of the betrayal of the public trust attached to the office. The Board believes that Sims'
conduct demonstrated a pattern of blatant disregard for Rules 3.6 and 3.8 both before and
after judicial officers instructed him that his behavior was prejudicial and unethical. The
Board argues that knowingly and repeatedly violating Rules 3.6 and 3.8 falls squarely within
the conduct Rule 8.4 aims to prohibit.
In Sims I, this Court found that the conduct complained of here constitutes
malfeasance and official misconduct; in other words, Sims persistently and deliberately used
pre-hearing publicity to prejudice adjudicative proceedings. This violates Rules 3.6(a) and
3.8(e). Sims' knowing and repeated violation of these rules falls within the ambit of Rule
8.4. We further note that we have not previously considered the statements given by Sims
to two local newspapers wherein he accused the assessor of forgery, illegal reduction of
property taxes, and fraud.
After Sims was cautioned to stop making extrajudicial statements, he
nevertheless deliberately proceeded to do exactly what he had been cautioned by the trial
court to stop doing. The statements he gave to the press approximately a month after he was
ordered to appoint a special prosecutor to investigate the assessor's office had a substantial
likelihood of materially prejudicing the special prosecutor's ability to investigate and
prosecute any wrongdoing. The statements also had a substantial likelihood of materially
prejudicing the assessor's ability to defend any forthcoming charges and receive a fair
adjudication of the same. We simply cannot condone this conduct. The statements made by
Sims during the investigation are unfair to the assessor not only because the statements could
prevent a subsequent fair jury trial, but also because they publicly malign the assessor and
at the same time deny him any forum in which to respond to defend himself.
This Court has said,
In the final analysis, Sims' deliberate practice and pattern of repeatedly making
extrajudicial statements which had a substantial likelihood of materially prejudicing
adjudicative proceedings is clearly an aggravating factor to be considered by this Court in
imposing a sanction. On the other hand, his removal from the office of prosecuting attorney
for this misconduct must in fairness be considered a mitigating factor. Forfeiture of a public
office and removal therefrom is a harsh and drastic sanction indeed.
Logan County's chief law enforcement officer claims he
has point-blank proof that Logan Assessor Rick Grimmett is
signing off on bogus taxpayer documents and costing the county
hundreds of thousands of dollars in tax revenues each year.
Michael J. Halaiko, Esq.
New Martinsville, West Virginia
Special Disciplinary Counsel Attorney for Respondent
Bowles Rice McDavid Graff & Love
Charleston, West Virginia
Attorney for Complainant
CHIEF JUSTICE DAVIS concurs, in part, and dissents, in part, and reserves the right to file
a separate opinion.
JUSTICE McGRAW, deeming himself disqualified, did not participate in the decision of this
case.
JUDGE O'HANLON sitting by special assignment.
2. This Court is the final arbiter of legal ethics problems and must make
the ultimate decisions about public reprimands, suspensions or annulments of attorneys'
licenses to practice law. Syllabus Point 3, Committee on Legal Ethics v. Blair, 174 W.Va.
494, 327 S.E.2d 671 (1984).
3. Ethical violations by a lawyer holding a public office are viewed as
more egregious because of the betrayal of the public trust attached to the office. Syllabus
Point 3, Committee on Legal Ethics v. Roark, 181 W.Va. 260, 382 S.E.2d 313 (1989).
The Hearing Panel bases its recommendation upon many of the same facts
which provided the foundation for the removal proceeding in which Sims was removed by
this Court from the elected office of prosecuting attorney for Logan County. Those facts
were discussed in detail in Sims I, supra. The only facts that we need to enumerate in this
opinion are those which we did not previously consider. After the three-judge panel entered
its order but before this Court filed its opinion, Russell Rick Grimmett, assessor of Logan
County, filed a petition for a writ of prohibition in the Circuit Court of Logan County against
Sims seeking to prevent Sims from investigating the practices of the assessor's office
regarding property tax exonerations or presenting evidence to the grand jury. The circuit
court found that a conflict of interest existed between the two offices and awarded the writ.
In its order, the trial court noted that it was concerned regarding the release
of new[s] stories about the grand jury proceedings[.] The court thereupon strongly
cautioned Sims that he should refrain from making extrajudicial statements to the press
regarding grand jury matters. Nonetheless, articles were subsequently printed in The
Williamson Daily News and in The Logan Banner wherein Sims was directly quoted as
accusing the assessor of forgery, illegal reduction of property taxes, and fraud. Based upon
'A de novo standard applies to a review of the
adjudicatory record made before the [Lawyer Disciplinary
Board] as to questions of law, questions of application of the
law to the facts, and questions of appropriate sanctions; this
Court gives respectful consideration to the [Board's]
recommendations while ultimately exercising its own
independent judgment. On the other hand, substantial deference
is given to the [Board's] findings of fact, unless such findings
are not supported by reliable, probative, and substantial evidence
on the whole record.' Syl. pt. 3, Committee on Legal Ethics v.
McCorkle, 192 W.Va. 286, 452 S.E.2d 377 (1994). Syllabus
Point 2, Lawyer Disciplinary Bd. v. McGraw, 194 W.Va. 788,
461 S.E.2d 850 (1995).
Syllabus Point 3, Lawyer Disciplinary Bd. v. Cunningham, 195 W.Va. 27, 464 S.E.2d 181
(1995).
Rule 3.7 of the West Virginia Rules of Lawyer Disciplinary Procedure states
that [i]n order to recommend the imposition of discipline of any lawyer, the allegations of
the formal charge must be proved by clear and convincing evidence. There is no question
or dispute that the allegations in this case were proved by clear and convincing evidence.
Rule 3.16 of the West Virginia Rules of Lawyer
Disciplinary Procedure enumerates factors to be considered in
imposing sanctions and provides as follows: In imposing a
sanction after a finding of lawyer misconduct, unless otherwise
provided in these rules, the Court [West Virginia Supreme Court
of Appeals] or Board [Lawyer Disciplinary Board] shall
consider the following factors: (1) whether the lawyer has
violated a duty owed to a client, to the public, to the legalsystem, or to the profession; (2) whether the lawyer acted
intentionally, knowingly, or negligently; (3) the amount of the
actual or potential injury caused by the lawyer's misconduct;
and (4) the existence of any aggravating or mitigating factors.
Syllabus Point 4, Office of Lawyer Disc. Counsel v. Jordan, 204 W.Va. 495, 513 S.E.2d 722
(1998). Except for the last two instances, Sims' conduct was sanctioned by removal from
office. We believe that removal of a lawyer from an elected office is an effective, dramatic,
and powerful punishment which serves as a deterrent to other members of the Bar. This
Court has made it very clear that:
In deciding on the appropriate disciplinary action for
ethical violations, this Court must consider not only what steps
would appropriately punish the respondent attorney, but also
whether the discipline imposed is adequate to serve as an
effective deterrent to other members of the Bar and at the same
time restore public confidence in the ethical standards of the
legal profession.
Syllabus Point 3, Committee on Legal Ethics v. Walker, 178 W.Va. 150, 358 S.E.2d 234
(1987).
We, therefore, conclude that
under all the circumstances of this case, including the fact that Mr. Sims was
removed from office, a public reprimand and payment of the costs incurred in
this proceeding
(See footnote 6) are appropriate and adequate sanctions.
Public Reprimand and Costs.
Footnote: 1
Footnote: 2
Footnote: 3
Footnote: 4
Logan Prosecutor John Sims revealed hundreds of
documents Tuesday obtained from Grimmett's office which, he
claims, clearly shows definitive proof that the assessor is
illegally decreasing property taxes on political allies throughout
Logan County.
In some cases, added Sims, taxpayer signatures have been
forged without their knowledge.
We've had several people who have testified they've
never signed a document, or have signed a blank document, he
said. Furthermore there are scads of people out there living in
homes worth hundreds of thousands of dollars only paying taxes
on property tax assessments of $20,000 or $30,000.
Sims said his office has found fraud in every avenue of
its investigation into the assessor's requests for exoneration of
erroneous assessments.
These same quotations appeared in the June 11, 1999 article which was printed in The Logan
Banner.
Footnote: 5
Footnote: 6