HAN Grievance Memorandum Against DAUGHERTY
HAN Grievance Memorandum Against DAUGHERTY
To the Office of the General Counsel of the State Bar of Georgia, Greetings.
Georgia often confirms that our attorneys are, for the most part, honest and
honorable. Yet, today, I find myself lodging this grievance because one
attorney, Mr. Shaun M. Daugherty (Georgia Bar No. 205877), has soiled the
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offer from one or more of his client. Additionally, when confronted about
law professor at the University of Dayton School of Law. Thus, filing this
Having said all of this, I thank you in advance for reviewing this
1
Mr. Daugherty has also violated his ethical obligations to his client by
disregarding an irreconcilable conflict-of-interest, despite being expressly
warned of the existing conflict and despite being reminded of his ethical
obligation to withdraw from representing the conflicted clients. Since a
conflict-of-interest affects both Mr. Daugherty and his entire law firm, that
violation will be the subject of a separate grievance.
2
Comment [1] of Rule 8.3 states that "[r]eporting a violation is especially
important where the victim is unlikely to discover the offense." Here, Mr.
Daugherty still represents the victims, and continues to filter information
from the victims, thereby insulating himself at the expense of his clients.
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was filed on 2009 April 14.3 That lawsuit named, as Defendants:
Mr. Daugherty and his firm undertook joint representation of all Defendants,
all of the named Defendants, asking for a response by 2010 January 8.5
On 2010 May 24, almost six (6) months after Plaintiff's settlement
offer, and with less than forty (40) days to the close of discovery, Plaintiff
deposed Dr. Babalola, one of the named Defendants in the lawsuit. During
her deposition, Dr. Babalola was asked about the settlement offer.6
3
Robinson v. Correctional Medical Associates, et al., Civil Action No.
2009-CV-167587 (Fulton County Superior Court), now transferred to the
United States District Court for the Northern District of Georgia, Robinson
v. Correctional Medical Associates, et al., 1:09-cv-01509-JOF (N.D. Ga.).
4
Id.
5
Settlement Offer, Mailed to Mr. Daugherty on 2009 December 28, attached
hereto as Exhibit A.
6
Deposition of Dr. Cecilia Babalola ("Babalola Depo."), 2010 May 24,
relevant portions attached hereto as Exhibit B.
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Shockingly, Dr. Babalola testified that Mr. Daughery never conveyed to her
When Mr. Daugherty was confronted with this ethical violation, Mr.
Daugherty indicated that Dr. Babalola had no settlement authority,8 and that
Dr. Babalola was then asked about her settlement authority, to which she
7
Babalola Depo., page 33, line 25 through page 34, line 5 ("33:25-34:5"),
referring to the written settlement offer:
Q: Have you ever seen this document before today?
A: No.
Q: Did your attorney ever inform you of any settlement offer in
this case?
A: No.
Babalola Depo., 34:20-25, referring to the written settlement offer:
Q: (By Mr. DeWoskin) You've never seen this document before
today?
A: No.
Q: And your attorney never called you and said they made an offer
to settle?
A: No.
8
Babalola Depo., 35:11-19 (emphasis supplied):
Mr. DeWoskin: Well, for the record we are alleging bad faith and
that will be an exception to the --
Mr. Daugherty: Bad faith of what? This was presented to the
people that have authority to make the decisions. And if
you're questioning my ethics again on my practice of law then
we can take it up later.
9
The conflict-of-interest is manifest from Mr. Daugherty's favoring one
client's authority to make the settlement decision at the expense of his other
clients' rights to make that decision. This, along with a host of other
evidence, will be filed in a separate grievance that addresses Mr.
Daugherty's disregard for an existing impermissible conflict-of-interest.
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responded that she was unaware that she had settlement authority.10
for his ethical obligations may require the filing of a formal grievance, to
which he exclaimed, "Have at it!"11 thereby evidencing scorn for the rules
Thus, Mr. Daugherty's clients have a higher potential for liability. Since the
settlement offer that is as favorable as the initial offer, which was never
10
Babalola Depo., 35:20-23:
Q: (By Mr. DeWoskin) Very Well. Dr. Babalola, are you aware
that you have no authority to settle this case?
A: No.
11
Mr. Daugherty made this exclamation right before Plaintiff commenced
the deposition of Defendants' expert witness, Dr. Lawrence Mendel. Mr.
Daugherty's statement was made in the presence of: (1) Mr. Daniel
DeWoskin, who also represents Mr. Robinson; (2) Ms. Nikisha McDonald,
who represents Sheriff Freeman; and (3) the Court Reporter for Dr. Mendel's
deposition.
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II. STANDARDS OF CONDUCT
Comment [5] to Rule 1.2 specifies that the client's settlement authority
is not met by a blanket consent prior to settlement that the majority decision
12
Rule 1.2(a), Rules of Professional Conduct, State Bar Rules and
Regulations, Georgia, emphasis supplied. The maximum penalty for
violating Rule 1.2(a) is disbarment.
13
Rule 1.8(g), Rules of Professional Conduct, State Bar Rules and
Regulations, Georgia, emphasis supplied. The maximum penalty for
violating Rule 1.8(g) is a public reprimand.
14
Comment [6] to Rule 1.8(g), Rules of Professional Conduct, State Bar
Rules and Regulations, Georgia.
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will rule."15
recites that "[a] lawyer who receives from opposing counsel an offer of
substance."16
Read in conjunction, Rules 1.2(a), 1.4, and 1.8(g) require the attorney
to promptly convey settlement offers to the client, consult with the client,
and abide by the client's decision on whether or not to settle a matter. For an
offer to each client, and is forbidden from settling a matter (or rejecting a
Daugherty's breach is not trivial, as evidenced by the fact that the maximum
15
Id.
16
Comment [1A] to Rule 1.4, Rules of Professional Conduct, State Bar
Rules and Regulations, Georgia, emphasis supplied. The maximum penalty
for violating Rule 1.4 is a public reprimand.
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A. Mr. Daugherty's Violation of the Georgia Rules
In accordance with Rules 1.2(a), 1.4, and 1.8(g), Mr. Daugherty was
Instead, Mr. Daugherty intentionally withheld that offer from some of his
clients, because Mr. Daugherty did not consider those clients to have
clients, Mr. Daugherty allowed someone else to reject the settlement offer on
behalf of some of his clients, without presenting the settlement offer to all of
his clients. Thus, Mr. Daugherty's clients were never provided with any
opportunity to even consider the settlement offer, let alone consent after
consultation.
17
Settlement Offer, Mailed to Mr. Daugherty on 2009 December 28,
attached hereto as Exhibit A.
18
Rules 1.2(a) and 1.8(g), Rules of Professional Conduct, State Bar Rules
and Regulations, Georgia.
19
Babalola Depo., 35:11-19 (Mr. Daugherty exclaiming: "This was
presented to the people that have authority to make the decisions.").
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since Defendants' dispositive motions have now been denied by the Court.
B. Aggravating Circumstances
subsequent behavior evidences an utter disregard for the Georgia Rules. For
example, Mr. Daugherty exclaimed that the settlement offer "was presented
to the people that have authority to make the decisions," showing that: (a) he
scorning the very rules that govern his behavior as an attorney. Specifically,
when warned that his continued violations would result in the filing of a
20
It is worthwhile to note that Mr. Daugherty still represents all of the
named Defendants, despite being warned of an irreconcilable conflict-of-
interest that exists among his clients. Specifically, one of the Defendants
has testified unfavorably against another of Mr. Daugherty's client.
21
Mr. Daugherty made this exclamation right before Plaintiff commenced
the deposition of Defendants' expert witness, Dr. Lawrence Mendel. Mr.
Daugherty's statement was made in the presence of: (1) Mr. Daniel
DeWoskin, who also represents Mr. Robinson; (2) Ms. Nikisha McDonald,
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The evidence in aggravation of his ethical violations requires close
still represents the victims, and continues to filter information from the
IV. CONCLUSION
going so far as to scorn the rules that govern his obligations to his clients.
This, despite being told that a grievance would be filed against him.
I thank the Office in advance for its investigation into this matter.
Should the Office need additional information, please feel free to contact
me.
who represents Sheriff Freeman; and (3) the Court Reporter for Dr. Mendel's
deposition.
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Sincerely,
______________________________
Sam S. Han, Ph.D.
Assistant Professor of Law
Email: [email protected]
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Exhibit A:
Settlement Offer
Mailed to Mr. Daugherty on
2009 December 28
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Exhibit B:
Relevant Portions of the
Deposition of
Dr. Cecilia Babalola
2010 May 24
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