NOT FOR PUBLICATION WITHOUT THE
APPROVAL OF THE APPELLATE DIVISION
SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO. A-310-00T1
GLEN BARSOTTI,
Plaintiff-Appellant,
v.
AURELIO MERCED, MATERIAL ADJUSTMENT
CORP, JONI WALSH ESQUIRE, KARCHER,
SALMOND, RAINONE & BARRETT,
Defendants,
and
JOSE LABOY, ESQUIRE,
Defendant-Respondent.
Argued December 12, 2001 _ Decided January 16,
2002
Before Judges King, Wecker and Winkelstein.
On appeal from Superior Court of New Jersey,
Law Division, Cumberland County, L-1578-93.
Alfred T. Sanderson argued the cause for
appellant.
John P. Morris argued the cause for
respondent.
The opinion of the court was delivered by
WINKELSTEIN, J.A.D.
Defendant Jose LaBoy, Esq. is an attorney who represented
defendant Aurelio Merced personally in a claim against Merced by
plaintiff to recover damages for injuries plaintiff suffered in a
car accident with Merced. Plaintiff claims LaBoy conspired with
Merced to place Merced's assets out of plaintiff's reach as a
potential creditor. Plaintiff appeals an order of the trial judge
granting LaBoy's motion to dismiss plaintiff's complaint at the end
of plaintiff's case pursuant to R. 4:37-2(b). We find no merit to
the appeal and affirm.
I
Plaintiff filed a complaint against defendant Aurelio MercedSee footnote 11
on November 22, 1993, alleging negligence for injuries arising out
of a motor vehicle accident. On June 8, 1995 mandatory arbitration
was held and defendant was found 100% liable. Damages were
assessed at $225,000. Defendant appealed the arbitrators' award.
On August 11, 1995 summary judgment was granted in favor of
plaintiff on the issue of liability.
On October 19, 1995 plaintiff filed an amended complaint
naming as additional defendants Joni M. Walsh, Esq., Merced's
insurance defense attorney; Karcher, Salmond, Rainone & Barrett
("the Karcher firm"), the firm with which Walsh was associated;
Material Damage Adjustment Corp. ("Material Damage"), the adjusting
company for Merced's insurance company; and Jose LaBoy, Esq.,
Merced's personal attorney. The amended complaint alleges that the
defendants, jointly and individually, misrepresented Merced's
insurance policy limits and financial condition in an attempt to
induce plaintiff to settle the case for an artificially low amount.
LaBoy was also alleged to have assisted Merced to place the
proceeds from the sale of his home out of plaintiff's reach as a
creditor in the event plaintiff prevailed in the lawsuit.
The claims against the Karcher firm, Material Damage and Walsh
were dismissed prior to trial. LaBoy is the only remaining
defendant. Plaintiff has been paid Merced's policy limits,
$25,000, for the injuries he received in the automobile accident.
Trial began on May 24, 2000, before Judge Curio and a jury.
At the close of plaintiff's case LaBoy moved for involuntary
dismissal under
R. 4:37-2(b). The judge granted the motion on June
19, 2000. Plaintiff timely filed a
R. 4:49-2 motion for
reconsideration which was denied on August 4, 2000.
II
Plaintiff and Merced were involved in a motor vehicle accident
on June 23, 1992. Plaintiff, who was driving a motorcycle, claimed
that Merced, who was driving an automobile, failed to yield at an
intersection and caused a collision with plaintiff. Plaintiff
sustained serious injuries to his right leg as a result of the
accident. He has undergone at least four surgeries. Plaintiff
filed a complaint alleging negligence on the part of Merced,
seeking damages. Merced was represented by Walsh who was assigned
by Merced's automobile insurance carrier. LaBoy represented Merced
personally for any potential excess liability above the policy
limits.
At trial, plaintiff testified concerning the facts surrounding
the accident and his injuries. LaBoy did not testify in person,
but portions of his deposition were read to the jury.See footnote 22 LaBoy
testified that the Merceds came to his office shortly before a
scheduled settlement for the sale of their home and "asked our
office to prepare a deed and he also asked us to attend
settlement." Merced owned the house jointly, by the entireties,
with Haydee.
At the time LaBoy was hired to prepare the deed for
the sale of the house, he had no conversations with Merced
concerning Merced's assets or the impact that the sale of the house
would have upon the lawsuit. LaBoy had previously been contacted
by Merced concerning representation in the automobile accident.
Merced had brought LaBoy the summons and complaint; LaBoy told
Merced to send it to his insurance carrier who would provide an
attorney to represent him in the lawsuit. The carrier later
contacted Merced and advised him to obtain private counsel since
the claim could exceed his $25,000 policy limits. Merced then
retained LaBoy.
LaBoy testified that although he helped the Merceds convey
title to the property, by preparing the deed and attending
settlement, he did not know what other assets they owned. He said
he never considered that the house was being conveyed to defraud
plaintiff out of the chance to collect a future judgment if
plaintiff was successful in the lawsuit. While it is unclear when
the deed was actually prepared, it was dated November 30, 1994, the
settlement date.
Previously, on July 31, 1993, at the request of plaintiff's
counsel, LaBoy assisted Merced to complete a "fill-in the blank"
affidavit, which stated, in pertinent part, that Merced had not
transferred any assets since the date of the accident and that at
the time of the accident, his insurance coverage was
"$15,000/$30,000." The amount of Merced's coverage was actually
$25,000, which was known to plaintiff as early as January 25, 1993
when the policy limits had been offered and rejected by plaintiff's
counsel.
On November 30, 1994 Merced and Haydee sold their home for
$85,000. LaBoy was not involved in negotiating the contract price
or preparing the contract of sale. There is no evidence that the
sale was other than an arms-length transaction for full value. The
settlement proceeds were disbursed to pay off a $41,537.78 mortgage
loan to Greentree Trust, and for additional closing expenses of
$6,795.91, including a $5,100 real estate commission. The net cash
paid to the Merceds at settlement was $37,017.95. At closing,
LaBoy received a $350 fee for his services.
Subsequent to settlement, the Merceds executed the settlement
check and cashed it in Tampa, Florida. The check was "apparently
negotiated by them," as well as their daughter Elizabeth Hamilton.
They had no bank account in Florida. There is no evidence in the
record that before the check was cashed LaBoy knew of or discussed
with the Merceds what they would do with the sale proceeds.
On May 10, 1995, after the house was sold, but prior to the
arbitration proceedings in June 1995, LaBoy assisted Merced in
completing an affidavit at Walsh's request. The affidavit stated:
1. My name is Aurelio Merced. I am
presently 67 years old. I am married to
Hayd[ee] Merced, who is 66 years old. We are
presently residing at the Buena Vista
Campground Trailer Park, Buena Vista, New
Jersey. We are paying $400.00 in rent a month
for a two bedroom trailer.
2. Our only source of income is social
security. I am receiving $780.00 a month, and
my wife is receiving $400.00 a month for a
total of $1,180.00 a month. From that amount,
I paid the rent, groceries, estimated at
$325.00, electric estimated at $35.00, propane
gas estimated at $50.00 a month. We have no
telephone.
3. My wife and my sole possessions are
the clothes we wear, our 1985 pickup truck,
and a bed that my wife and I sleep in. The
furniture in the trailer was a gift from one
of our children.
4. We own no real estate; have no
savings accounts; no CDS; no stocks; no bonds;
no profit sharing.
5. In addition to the social security
benefits, I am also receiving $136.00 a month
as pension benefit payments from my ex-
employer, Shieldalloy Corporation.
6. I hereby certify that the
aforementioned statements made by me are true
and correct. I am aware that, if any part of
this statement is wilfully false, I am subject
to punishment.
In the amended complaint it was alleged that LaBoy committed
"malpractice and that he deliberately misrepresented to plaintiff
the true financial condition of defendant, Aurelio Merced," that
"he deliberately misrepresented facts with the intention that
plaintiff should rely thereon and should settle this case for
policy limits," that he violated Rule of Professional Conduct (RPC)
1.2(c) in that he assisted Merced in conduct that he knew was
"illegal, criminal or fraudulent," and that he "prepared written
instruments containing items that he knew or should have known are
expressly prohibited by law." Specifically, it was alleged that
LaBoy assisted Merced in preparing and sending false affidavits
concerning his insurance coverage limits and his financial worth,
i.e., the July 31, 1993 and the May 10, 1995 affidavits. Plaintiff
alleged that all of the defendants participated in "a joint effort
in the nature of a conspiracy to defraud plaintiff by false and
fraudulent misrepresentation of facts designed to induce plaintiff
to accept policy limits."
In November 1999 Merced died.
III
At the close of plaintiff's case LaBoy moved for and was
granted an involuntary dismissal pursuant to
R. 4:37-2(b). Our
review of such a motion is the same as that applied by the trial
court.
Tannock v. New Jersey Bell Tel. Co.,
223 N.J. Super. 1, 6
(App. Div. 1988). We "must examine the evidence, together with
legitimate inferences which can be drawn therefrom, and determine
whether the evidence could have sustained a judgment in favor of
the party who opposed the motion."
Ibid.;
see also Pressler,
Current N.J. Court Rules, comment 2 on
R. 4:37-2(b) (2002).
Although we do not completely agree with the trial judge's
analysis, we agree with her conclusion that plaintiff failed to
present a
prima facie case .. that all of the evidence, including
favorable inferences to be drawn therefrom, could not sustain a
judgment in plaintiff's favor.
IV
In assessing plaintiff's claim that LaBoy acted in concert
with Merced to commit a fraud upon plaintiff, we begin with the
allegation that assisting Merced to prepare the July 31, 1993
affidavit, indicating the policy limits were $15,000/$30,000 per
accident, was a fraudulent act. To maintain a cause of action
based upon common law fraud a plaintiff must prove (1) a material
misrepresentation of a present or past fact, (2) with knowledge of
its falsity, and (3) with the intention that the other party rely
thereon, with a result that (4) the other party reasonably relied
thereon, (5) to that party's detriment.
Gennari v. Weichert Co.
Realtors,
148 N.J. 582, 610 (1997) (citing
Jewish Ctr. of Sussex
Cty. v. Whale,
86 N.J. 619, 624-25 (1981);
Model Jury Charge
(Civil) § 3.19 (February 1992). Here, there is no dispute, nor any
allegation for that matter, that plaintiff relied on the
$15,000/$30,000 policy limit figure set forth in the July 31, 1993
affidavit. By that time, plaintiff was already aware of the
$25,000 policy limits and had rejected a settlement for that
amount. In the absence of proofs that plaintiff relied on the
affidavit, common law fraud is not established.
V
We next decide whether assisting the Merceds to transfer the
marital home on November 30, 1994 renders LaBoy liable to
plaintiff. Plaintiff argues that when LaBoy assisted the Merceds
in the transfer of their home, LaBoy conspired with them to place
the property out of plaintiff's reach as a potential creditor. The
trial judge rejected plaintiff's claim, finding that the Uniform
Fraudulent Transfer Act (UFTA),
N.J.S.A. 25:2-20 to -34, does not
apply to transfers of property held as tenancies by the entireties
because property held by the entireties does not qualify as an
asset under the UFTA. Plaintiff claims the trial judge erred,
first by applying the UFTA rather than the Uniform Fraudulent
Conveyance Act (UFCA),
N.J.S.A. 25:2-7 to -19 (now repealed). He
asserts that the latter statute, specifically
N.J.S.A. 25:2-7,
contains a broader definition of "asset" than does the UFTA, and
would include a tenancy by the entireties as an asset for purposes
of fraudulent conveyances. Plaintiff argues that the date the
tenancy by the entireties was created, rather than the date of the
transfer of the property, determines which act applies. And since
the Merceds' tenancy by the entireties was created in 1987, even
though the house was sold after the effective date of the UFTA, the
UFCA applies. Alternatively, plaintiff claims that even if the
UFTA does apply, the trial judge erred by concluding that tenancies
by the entireties are not subject to the UFTA.
The UFTA was made effective January 1, 1989. According to the
Senate, Labor, Industry & Professions Statement, Assembly No. 1265-
L. 1988, Chapter 74, the bill expressly repealed the UFCA and
replaced it with the UFTA. We find no evidence in the UFTA or its
legislative history which would render it inapplicable to an estate
created before it was passed, but transferred after its effective
date. It is the fraudulent transfer that the UTFA was passed to
prevent, not the creation of the tenancy in the first instance.
See Gilchinsky v. National Westminster Bank N.J.,
159 N.J. 463, 475
(1999) (citing
Klein v. Rossi,
251 F. Supp. 1, 2 (E.D.N.Y. 1966),
and
Hearn 45 St. Corp. v. Jano,
27 N.E.2d 814, 816 (N.Y. 1940)).
In support of his argument that the UFCA rather than the UFTA
applies, plaintiff cites
Vander Weert v. Vander Weert,
304 N.J.
Super. 339, 345 (App. Div. 1997), and
Freda v. Commercial Trust Co.
of New Jersey,
118 N.J. 36, 40 (1990). His reliance on
Vander
Weert and
Freda is, however, misplaced. Neither of these cases
involve an analysis of either the UFTA or the UFCA; rather, each
addresses
N.J.S.A. 46:3-17.4, which concerns a spouse's ability to
alienate an interest in a tenancy by the entireties during the
marriage without the written consent of the other spouse. The
Legislature expressly provided when
N.J.S.A. 46:3-17.4 was approved
on January 5, 1988, that it "shall take effect on the ninetieth day
after enactment and shall be applicable to all tenancies by the
entireties which are created on or after the effective date of this
act."
Freda, 118
N.J. at 40 (citing
L. 1987,
c. 57 § 10).
The
UFTA does not contain similar language and is thus not analogous.
Rather, we conclude the UFTA is applied to alleged fraudulent
transfers occurring after the effective date of the UFTA.
See In
re Fleet,
122 B.R. 910 (Bankr. E.D. Pa. 1990). We therefore
analyze plaintiff's claims under the UFTA.
N.J.S.A. 25:2-25 states:
A transfer made or obligation incurred by a
debtor is fraudulent as to a creditor, whether
the creditor's claim arose before of after the
transfer was made or the obligation was
incurred, if the debtor made the transfer or
incurred the obligation:
a. With actual intent to hinder, delay, or
defraud any creditor of the debtor; or
b. Without receiving a reasonably equivalent
value in exchange for the transfer or
obligation, and the debtor:
(1) Was engaged or was about to engage
in a business or a transaction for
which the remaining assets of the
debtor were unreasonably small in
relation to the business or
transaction; or
(2) Intended to incur, or believed or
reasonably should have believed that
the debtor would incur, debts beyond
the debtor's ability to pay as they
become due.
The UFTA "prevent[s] a debtor from placing his or her property
beyond a creditor's reach."
Gilchinsky, 159
N.J. at 475.
(citation omitted). "[A] debtor cannot deliberately cheat a
creditor by removing his property from 'the jaws of execution.'"
Ibid. (quoting
Klein, 251
F. Supp. at 2). To determine whether a
transfer constitutes a fraudulent conveyance, the court looks at
two criteria. First, "whether the debtor [or person making the
conveyance] has put some asset beyond the reach of creditors which
would have been available to them at some point in time 'but for
the conveyance.'"
Ibid. (quoting
In re Wolensky's Ltd. P'ship.,
163 B.R. 615, 626-27 (Bankr. D.C. 1993)). Second, the court looks
at "whether the debtor transferred property with an intent to
defraud, delay, or hinder the creditor."
Id. at 476. The
individual who seeks "to set aside the conveyance bears the burden
of proving actual intent."
Ibid. (citations omitted).
A fraudulent transfer is defined under the UFTA:
A transfer made or obligation incurred by a
debtor is fraudulent as to a creditor whose
claim arose before the transfer was made or
the obligation was incurred
if the debtor made
the transfer or incurred the obligation
without receiving a reasonably equivalent
value in exchange for the transfer or
obligation
and the debtor was insolvent at
that time
or the debtor became insolvent as a
result of the transfer or obligation.
[
N.J.S.A. 25:2-27a (emphasis added).]
Although the trial judge concluded the UFTA does not apply to
tenancies by the entireties and dismissed the complaint, we need
not reach that issue because plaintiff did not present a
prima
facie case of a fraudulent transfer to survive a
R. 4:37-2(b)
motion.
Here, the gross sales price for the Merceds' house was
$85,000. At trial, there was no proof that Merced transferred the
house without receiving a reasonably equivalent value in exchange
for the transfer. There is no indication that the buyer was
related to the Merceds or that the transaction was not otherwise an
arms-length transaction. Thus the test of culpability under
N.J.S.A. 25:2-27a, that the transfer was made without receiving
reasonable value in exchange, has not been met.
Additionally, the sale of the house could not be said to have
caused Merced to become insolvent. After paying off a mortgage and
various settlement expenses, the Merceds received approximately
$37,000. Said another way, there was equity in the house of
approximately $37,000. When the house was sold, the equity was
exchanged for cash in a like amount. There was no net change in
the value of the Merceds' assets; they exchanged a house with a net
equity of $37,000 for $37,000 in cash. The Merceds did not become
insolvent as a result of the transfer. Therefore, even considering
the facts in a light most favorable to plaintiff, the transfer of
the house was not fraudulent as defined under the UFTA.
VI
The next question then becomes whether LaBoy conspired with
Merced to deprive plaintiff of the consideration ($37,000) received
by the Merceds as a result of the sale of the house. There is no
evidence to support this allegation. The Merceds received a check
at settlement for the proceeds from the sale. They took the check
to Florida where it was cashed. There is not one scintilla of
evidence in the record from which a jury could infer that LaBoy
discussed with the Merceds what they would do with the money after
the house was sold. Perhaps the Merceds did intend to hide the
money from plaintiff. However, even assuming they did, there is no
evidence to implicate LaBoy in such a plan. Although the nature of
a conspiracy is such that more often than not the only type of
evidence available to prove the conspiracy is circumstantial,
without speculation, the evidence that LaBoy represented the
Merceds at closing and was aware of the pending lawsuit is not
sufficient from which to draw a reasonable inference that LaBoy
played any part in secreting the money from plaintiff. See Board
of Education of Asbury Park v. Hoek,
38 N.J. 213, 239 (1962) (a
verdict may not be based upon pure speculation) (citations
omitted); Morgan v. Union County,
268 N.J. Super. 337, 364-66
(App. Div. 1993), certif. denied,
135 N.J. 468 (1994).
In the absence of proof that LaBoy was party to a plan to
deprive plaintiff of the proceeds of the sale of the house,
plaintiff appears to take the position that once the house was
sold, LaBoy had an obligation to plaintiff to make sure that the
money was available in the event plaintiff obtained a judgment
against the Merceds. We disagree. While attorneys may have a duty
to third parties under certain circumstances, Petrillo v.
Bachenberg,
139 N.J. 472, 483-84 (1995), the facts in this case do
not support such a duty.
An attorney's defined liability to third parties "comports
with general principles of tort law." Id. at 484. Cases holding
that an attorney owes a duty to a non-client are rather fact
specific. The Petrillo Court, quoting from section 552(1) of the
Restatement (Second) of Torts (1977), determined that pecuniary
liability could be found for negligent misrepresentation "when an
attorney 'supplies false information for the guidance of others in
their business transactions, . . . if [the attorney] fails to
exercise reasonable care or competence in obtaining or
communicating the information.'" Ibid. The Court recognized that
attorneys may owe a limited duty in favor of specific non-clients.
Id. at 479. These cases involve: buyer-seller relationships and
opinion letters, id. at 486-88, (finding that a duty to a non-
client existed where the attorney prepared an incomplete report of
percolation tests and a prospective purchaser relied on it in
deciding to buy a house); the preparation of financial documents,
Atlantic Paradise Assocs., Inc. v. Perskie, Nehmad & Zeltner,
284 N.J. Super. 678 (App. Div. 1995) (holding a duty existed when the
attorney incorrectly prepared amendments to a public offering
statement), certif. denied,
143 N.J. 518 (1996); a breach of a
fiduciary duty, Albright v. Burns,
206 N.J. Super. 625 (App. Div.
1986) (holding an attorney liable to an estate of a decedent where
the attorney had aided in transactions involving a holder of the
decedent's power of attorney); an intent to benefit a third party,
Stewart v. Sbarro,
142 N.J. Super. 581, 593 (App. Div.) (finding a
duty where an attorney for buyers of stock did not advise seller's
attorney that he had failed to obtain necessary signatures),
certif. denied,
72 N.J. 459 (1976). These cases, which describe
when a duty is owed by an attorney to a third party, are
distinguishable from the present case.
Here, plaintiff's claim that LaBoy had an obligation to
somehow protect the proceeds from the sale of the home for
plaintiff's benefit, goes well beyond an attorney's duty to a third
party. Once settlement was completed, the proceeds belonged to his
clients, the Merceds, not LaBoy himself. As long as LaBoy did not
actively conceal or alienate the proceeds from plaintiff, he had no
obligation to report to plaintiff that the Merceds came into
possession of $37,000 in cash from the sale of their home. He did
not supply false information for plaintiff's guidance. The facts
of the case do not evidence reliance by plaintiff upon any action
LaBoy took or failed to take. The trial judge therefore properly
granted defendant's motion for involuntary dismissal on this issue.
VII
The next issue concerns the May 1995 affidavit. Subsequent to
closing, the following May, LaBoy assisted Merced in preparation of
an affidavit in which Merced stated that he owned no real estate,
had no savings accounts, certificates of deposit, stocks, bonds or
profit-sharing plans. There was no evidence at trial from which a
jury could conclude that the affidavit was false. According to
Merced, in May 1995 when the affidavit was executed, he had no
assets. LaBoy testified that he prepared the affidavit based upon
information provided to him by Merced. There are no proofs in the
record to show that Merced had assets in May 1995, or that if he
did, LaBoy was or should have been aware that he did. It may be
that the $37,000 received by the Merceds at closing was expended
between November 30, 1994 and May 10, 1995 for their living
expenses. Moreover, only one-half of the proceeds from the sale of
the house belonged to Merced. See Fort Lee Savings & Loan Assoc.
v. Li Butti,
55 N.J. 532 (1970). And since Haydee was not a party
to plaintiff's lawsuit, at best plaintiff would only have had a
claim to approximately $18,500. Plaintiff failed to prove that
Merced's share of the proceeds was not used for living expenses in
the six-month period between November 30, 1994 and May 10, 1995, or
that Merced did not use the money for some other legitimate
purpose. Plaintiff, in essence, asked the jury to speculate that
LaBoy was aware that Merced was secreting the cash or had disposed
of it with the intent to defraud plaintiff. The proofs are simply
not sufficient to allow a factfinder to draw a reasonable inference
that the funds were disposed of in an effort to defraud plaintiff,
which is a necessary element of plaintiff's cause of action to
survive a motion pursuant to R. 4:37-2(b).
VIII
Plaintiff also argues that the trial judge improperly applied
the clear and convincing standard to his fraud claim, rather than
the preponderance of the evidence standard. Plaintiff's argument
is without merit. It is well established that fraud must be proven
by "clear and convincing" evidence. See Bears v. Wallace,
59 N.J. 444, 450 (1971); Dixon v. Eckert,
117 N.J. Eq. 544, 545 (1935); New
Jersey Econ. Dev. Auth. v. Pavonia Rest., Inc.,
319 N.J. Super. 435, 445 (App. Div. 1998); Stochastic Decisions, Inc. v.
DiDomenico,
236 N.J. Super. 388, 395 (App. Div. 1989), certif.
denied,
121 N.J. 607 (1990); Albright v. Burns,
206 N.J. Super. 625, 636 (App. Div. 1986); Minter v. Bendix Aviation Corp.,
26 N.J.
Super. 268, 274 (App. Div. 1953). The judge properly applied the
clear and convincing standard to this case.
IX
Finally, plaintiff pleads a cause of action based on LaBoy's
alleged failure to comply with RPCs 1.2(d) and 1.6(b)(1). RPC
1.2(d) provides:
A lawyer shall not counsel or assist a client
in conduct that the lawyer knows is illegal,
criminal or fraudulent, or in the preparation
of a written instrument containing terms the
lawyer knows are expressly prohibited by law,
but a lawyer may counsel or assist a client in
a good faith effort to determine the validity,
scope, meaning or application of the law.
Further, RPC 1.6(b)(1) states:
A lawyer shall reveal such information to the
proper authorities, as soon as, and to the
extent the lawyer reasonably believes
necessary, to prevent the client (1) from
committing a criminal, illegal or fraudulent
act that the lawyer reasonably believes is
likely to result in . . . substantial injury
to the financial interest or property of
another.
The judge properly concluded that "[i]nsofar as the plaintiff's
expert attributes responsibility to LaBoy by virtue of violation
of the RPCs that claim is dismissed under the holding in Baxt v.
Liloia." In Baxt v. Liloia,
155 N.J. 190, 197 (1998), the Court
examined "whether a violation of the Rules of Professional Conduct
can be used to provide a basis for civil liability against an
adversary's attorney." The Court declined to hold "that the RPCs
in themselves create a duty or that a violation of the RPCs,
standing alone, can form the basis for a cause of action." Id. at
201. The trial judge therefore properly granted defendant's motion
for involuntary dismissal on this issue.
Affirmed.
Footnote: 1 1Aurelio Merced's wife, Haydee, is not a party to the
lawsuit. References in this opinion to Merced are to Aurelio.
Where necessary, Haydee will be referred to separately.
Footnote: 2 2We have not been provided with the entire trial transcript.
We have received the transcript of the May 24, 2000 proceeding,
as well as a portion of the May 30 transcript which included the
trial judge's decision to dismiss the complaint. Plaintiff has
not supplied the May 26 transcript nor the balance of the
transcript of May 30. Our opinion is based upon the facts set
forth in the transcripts received, as well as the references to
the facts included in the parties' briefs.