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Attorney Grievance Commission of Maryland v. Anthony A. Saridakis , Misc. Docket AG No. 25, Sept. Term 2006. ATTORNEY DISCIPLINE - CONFLICT OF INTEREST WITH CURRENT CLIENT - AN ATTORNEY-DRAFTER OF A WILL IN WHICH HE OR SHE IS A SUBSTANTIAL BENEFICIARY VIOLATES MRPC 1.8(c) WHEN HE OR SHE FAILS TO APPRECIATE THE APPEARANCE OF IMPROPRIETY OF SELECTING AS "INDEPENDENT" COUNSEL FOR THE CLIENT A FRIEND WITH WHOM HE OR SHE SHARES OFFICE SPACE AND OTHER PROFESSIONAL RESOURCES SUCH THAT THE PUBLIC MIGHT PERCEIVE THE CLOSENESS BETWEEN THE TWO ATTORNEYS AS PRESENTING THE POTENTIAL FOR COLLUSION

Circuit Co urt for Mo ntgomery C ounty Case # 2 1292-M

IN THE COURT OF APPEALS OF MARYLAND Misc. Docket AG No. 25 September Term, 2006 ______________________________________ ATTORNEY GRIEVANCE COMMISSION OF MARYLAND v. ANTHONY A. SARIDAKIS ______________________________________ __ Bell, C.J. Raker *Cathell Harrell Battaglia Greene Wilner, Alan M. (Retired, specially assigned), JJ.

Opinion by Harrell, J. Greene and Wilner JJ., dissent. Filed: December 7, 2007 * Cathell, J., now retired, participated in the hearing and conference of this case while an active member of this Court; after being recalled pursuant to the Constitution, Article IV, Section 3A, he also participated in the decision and adoption of this opinion.

The Attorney Grievance Commission ("Petitioner"), acting through Bar Counsel, filed with this Court on 27 July 2006 a Petition for Disciplinary or Remedial Action (the "Petition") against Anthony Alex Saridakis ("Respondent") alleging violations of the Maryland Rules of Professional Conduct ("MRPC") in connection with his preparation of a will on behalf of an unrelated, long-time client, Wylette Speed, in which he was named the beneficiary of a substantial bequest (in excess of $400,000.00). Respondent was charged accordingly with violations of MRPC 1.8(c) (Conflicts of Interest: Current Clients)1 and

The May 1994 version of Rule 1.8(c), which was in effect at the time of its alleged violation by Respondent, in relevant part, stated: (c) A lawyer shall not prepare an instrument giving the lawyer or a person related to the lawyer as a parent, child, sibling, or spouse any substantial gift from a client, including a testamentary gift, except where: (1) the client is related to the donee; or (2) the client is represented by independent counsel in connection with the gift. The current version of Rule 1.8(c), which became effective 1 July 2005, provides: (c) A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client. For purposes of this paragraph, related persons include a spouse, child, grandchild, parent, grandparent or other relative or individual with whom the lawyer or the client maintains a close, familial relationship.

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8.4(d) (Misconduct).2 I. Procedural History Respondent answered the Petition, admitting most of the factual allegations therein, but denying those averments concluding that his actions constituted violations of the MRPC. Pursuant to Maryland Rule 16-752(a),3 we referred the matter to the Honorable Joseph A. Dugan, Jr., of the Circuit Court for Montgomery County, to conduct an evidentiary hearing and render findings of fact and recommended conclusions of law according to Maryland Rule 16-757(c).4 Following an evidentiary hearing, Judge Dugan filed on 1 February 2007
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The May 1994 version of Rule 8.4(d), in pertinent part, read: It is professional misconduct for a lawyer to: * * *

(d) engage in conduct that is prejudicial to the administration of justice.
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Maryland Rule 16-752(a) provides: Upon the filing of a Petitioner for Disciplinary or Remedial Action, the Court of Appears may enter an order designating a judge of any circuit court to hear the action and the clerk responsible for maintaining the record. The order of designation shall required the judge, after consultation with Bar Counsel and the attorney, to enter a scheduling order defining the extent of discovery and setting dates for the completion of discovery, filing of motions, and hearing.

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Maryland Rule 16-757(c) provides: (c) Findings and conclusions. The judge shall prepare and file (continued...) 2

his written findings of fact and conclusions of law, which stated his determination that Respondent did not commit the ethical violations alleged. Petitioner filed timely with this Court its Exceptions to the Findings of Fact and Conclusions of Law. Were Petitioner's Exceptions well-taken, it recommended a sanction of indefinite suspension. Respondent filed a Response to those exceptions and urged dismissal of the Petition. II. The Hearing Judge's Findings of Fact and Conclusions of Law Respondent was admitted by the Court of Appeals and to the District of Columbia Bar in 1974. Respondent, since then, remains a member in good standing in both

jurisdictions. After being employed for several years with the United States Department of State, and later engaged in private practice, Respondent became associated in 1983 with the law firm of DeOrsey & Thompson ("the Firm"). Since 1991, he has been the only lawyer practicing under the Firm name.5 His practice focuses mainly on estate planning, probate and trust administration, and taxation.

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(...continued) or dictate into the record a statement of the judge's findings of fact, including findings as to any evidence regarding remedial action, and conclusions of law. If dictated into the record, the statement shall be promptly transcribed. Unless the time is extended by the Court of Appeals, the written or transcribed statement shall be filed with the clerk responsible for the record no later than 45 days after the conclusion of the hearing. The clerk shall mail a copy of the statement to each party.

DeOrsey & Thompson was composed originally of Mr. DeOrsey; Robert K. Thompson; his brother, William D. Thompson; and Respondent. By 1991, DeOrsey and the Thompson brothers had passed away, leaving Respondent at the helm of the Firm. 3

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When Respondent joined DeOrsey & Thompson in 1983, the Firm had a pre-existing business client named Speed & Briscoe, which operated truck stops along the Interstate 95 corridor. Mr. Speed and Mr. Briscoe, the partners of the business, were close friends. Mr. Lee Speed and his wife, Wylette, the testatrix, did not have any children. Mr. and Mrs. Briscoe had one child, Lee Speed Briscoe. Lee and Wylette were the godparents of the Briscoes' child. Mr. Speed passed away in 1975, leaving a trust estate in favor of his wife. American Security and Trust Company was designated as the trustee. Because Wylette's husband had relied on DeOrsey & Thompson for his legal services, Wylette entrusted Respondent, as an associate of the Firm, to represent her legal interests. Wylette had no immediate family in close proximity to her residential condominium unit in Bethesda, Maryland. Her only relatives consisted of a sister in ill health residing in Baltimore and a niece who lived in Ohio. Her primary social contacts thus were with her trust officers, Marny McCain and her husband, Robert McCain; her godson, Lee Speed Briscoe; and Respondent. Respondent visited with Wylette on a regular basis throughout his legal representation of her. Although Mrs. Speed was a quiet person, and generally kept to herself, she demonstrated a strong will and keen ability to participate in the decisionmaking process concerning recommendations made to her by the trust officers and Respondent. In the late 1980s, Respondent drafted several wills for Wylette, at her request. She also executed a general power of attorney in favor of Respondent and named him as her

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health care agent. As a result, Respondent exercised control over all of her financial and real estate matters. The hearing judge in the present case determined that Wylette was satisfied with Respondent's work and reposed a great deal of trust in him as her attorney. In 1992, Wylette suffered a debilitating stroke. Respondent came to visit Wylette at least once during her stay at Suburban Hospital to bring her clothes, and on one other occasion to facilitate her transfer to a nursing home. Respondent visited Wylette frequently at the first nursing home and undertook to research a more suitable place for her after she complained of her accommodations. As a result of Respondent's efforts, Mrs. Speed was transferred to a facility that paid closer attention to her wants and needs. While in these quarters, Respondent visited Wylette several times a month and continued to manage her trust, estate, and tax matters, in addition to serving as the "family member" at all meetings with the nursing home staff, where her medical care and therapy were discussed and evaluated. After several months in the new nursing home, Wylette repeated her request, made once previously while in the first nursing home, that Respondent draft for her a new will that, for the first time, would include Respondent as a beneficiary of her residuary estate. Respondent reviewed the bequests with her and advised her that he did not feel comfortable composing a will in which he was a beneficiary. Wylette, however, was adamant about her wishes, so Respondent told her that she should consult with another attorney because of his concerns about preparing such a will. Mrs. Speed responded that she did not know any other

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attorneys because of her long-standing reliance on the Firm and Respondent. She asked Respondent to locate another attorney in order to carry out her desired disposition. In the meantime, Wylette informed her godson, Lee Speed Briscoe, of her proposed bequest to Respondent. Her godson reacted to this news as a natural and reasonable decision, given his awareness of the close relationship she had with her attorney. Respondent prepared the will according to Wylette's instructions and consulted with an experienced estates and trusts attorney, Richard Lawlor, who shared office space with Respondent, for the purpose of reviewing the will with Wylette and gauging her competence. Lawlor and Respondent came to know one another initially while representing independent clients in an estate matter in 1988. Several years later, DeOrsey & Thompson relocated its offices into an office suite in Silver Spring, Maryland, shared by the firm for which Lawlor was working. From 1990 until 1995, the firms maintained separate leases for the office suite, but shared a receptionist and a conference room. The firms did not, however, share clients and maintained distinct law practices. Lawlor agreed to meet with Wylette Speed. On the appointed day of 13 May 1994, Lawlor and Respondent traveled separately to Wylette's nursing home. Respondent introduced Lawlor to Wylette and explained the terms of the will he drafted at her request. He then explained to Wylette that Lawlor was going to serve as her attorney for the day in order to discuss and, if necessary, modify the will. Respondent then left the room for Wylette and Lawlor to consult privately. Lawlor, according to the available evidence,

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conversed generally with Mrs. Speed, which allowed him to form the opinion that she was of sound mind and competent to execute a will. Next, Lawlor reviewed all of the items contained in the will drafted by Respondent and verified Wylette's donative intent as to each item, including the bequest to Respondent. Because Mrs. Speed was unable to sign her own name

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