[2021] QCAT 347
General information, not legal advice.
Queensland Civil and Administrative Tribunal
2021-11-09
Margaret Steinberg AM
Original judgment source is linked above.
PROFESSIONS AND TRADES - LAWYERS - COMPLAINTS AND DISCIPLINE - PROFESSIONAL MISCONDUCT AND UNSATISFACTORY PROFESSIONAL CONDUCT - FALSIFICATION OF DOCUMENTS AND TRANSACTIONS - where the respondent was an Australian legal practitioner - where the respondent represented himself as being entitled to engage in legal practice and engaged in legal practice when not entitled - where the respondent made dishonest representations about court dates - where the respondent falsely represented that he was undertaking legal work when purporting to act for individuals and charged costs for this work - where the applicant brought a discipline application against the respondent - where the discipline application contains four charges - where the respondent initially disputed Charges 3 and 4 but has since pled guilty to all - where the respondent has shown little insight into his conduct - where the disciplinary process has been delayed and prolonged - whether the conduct ought be characterised as unsatisfactory professional conduct or professional misconduct - whether the respondent ought be struck off the Roll
Legal Profession Act 2007 (Qld), s 6, , , , , , , , ,
Adamson v Queensland Law Society Incorporated [1990] 1 Qd R 498
Allinson v General Council of Medical Education and Registration [1894] UKLawRpKQB 36; [1894] 1 QB 750
Attorney-General of the State of Queensland v Legal Services Commissioner; Legal Services Commissioner v Shand [2018] QCA 66
Barristers' Board v Darveniza [2000] QCA 253
Legal Services Commissioner v De Fraine [2015] QCAT 292
Legal Services Commissioner v Madden (No 2) [2008] QCA 301
Legal Services Commissioner v McQuaid [2019] QCA 136
NSW Bar Association v Cummins [2001] NSWCA 284; (2001) 52 NSWLR 279
Rice v Asplund [1978] FamCA 84
S Robb (counsel) instructed by Legal Services Commissioner
(a) Charge 1 - Engaging in legal practice when not entitled between 31 July 2018 and 22 September 2018.
The respondent, purporting to act for clients, sent legal correspondence on a "Martin Doyle" letterhead with the signature block of "Martin Doyle, Principal, Martin Doyle law". The correspondence included an "offer to settle" and other legal discussions. The respondent also had a meeting with an Australian legal practitioner where he engaged in legal discussions. The impugned conduct amounts to engaging in legal practice when not entitled.
(b) Charge 2 - Representing or advertising his entitlement to engage in legal practice when not entitled between 9 September 2018 and 22 September 2018.
The respondent advertised his entitlement to engage in legal practice on a website "Doyle Rausch" lawyers. The respondent admitted to an Australian legal practitioner that "Doyle Rausch" lawyers was only himself and was a "play on words". The respondent was also nominated as the "representative" in an unfair dismissal application and represented that he was from "Doyle/Rausch lawyers".
(c) Charge 3 - The respondent engaged in conduct amounting to professional misconduct or unsatisfactory professional conduct on 17 September 2018.
The respondent, purporting to act for Aaron Robinson, emailed Holly Robinson and dishonestly represented that a court date had been set and made representations as to what could occur to make the "whole saga ... end" and what would otherwise occur.
(d) Charge 4 - The respondent failed to maintain a reasonable standard of competence and diligence between 31 July 2018 and 22 September 2018.
The respondent, purporting to act for Aaron Robinson, wrongly stated in a letter to Holly Robinson the legal requirements for an executor. Further, in a meeting with an Australian legal practitioner, the respondent falsely represented that he had spent "around 20 grand costs already" [sic] on the matter and represented that he was going to bring applications which were clearly not legally available in the circumstances.
(1) This chapter applies to Australian lawyers and to former Australian lawyers in relation to conduct happening while they were Australian lawyers (but not Australian legal practitioners) in the same way as it applies to Australian legal practitioners and former Australian legal practitioners, and so applies with any necessary changes.
(1) An Australian legal practitioner is an Australian lawyer who holds a current local practising certificate or a current interstate practising certificate.
(2) A local legal practitioner is an Australian lawyer who holds a current local practising certificate.
(3) An interstate legal practitioner is an Australian lawyer who holds a current interstate practising certificate, but not a local practising certificate.
24 Prohibition on engaging in legal practice when not entitled
(1) A person must not engage in legal practice in this jurisdiction unless the person is an Australian legal practitioner.
Maximum penalty - 300 penalty units or 2 years imprisonment.
25 Prohibition on representing or advertising entitlement to engage in legal practice when not entitled
(1) A person must not represent or advertise that the person is entitled to engage in legal practice unless the person is an Australian legal practitioner.
Maximum penalty - 300 penalty units or 2 years imprisonment.
418 Meaning of unsatisfactory professional conduct
Unsatisfactory professional conduct includes conduct of an Australian legal practitioner happening in connection with the practice of law that falls short of the standard of competence and diligence that a member of the public is entitled to expect of a reasonably competent Australian legal practitioner.
(1) Professional misconduct includes -
(a) unsatisfactory professional conduct of an Australian legal practitioner, if the conduct involves a substantial or consistent failure to reach or keep a reasonable standard of competence and diligence; and
(b) conduct of an Australian legal practitioner, whether happening in connection with the practice of law or happening otherwise than in connection with the practice of law that would, if established, justify a finding that the practitioner is not a fit and proper person to engage in legal practice.
(2) For finding that an Australian legal practitioner is not a fit and proper person to engage in legal practice as mentioned in subsection (1), regard may be had to the suitability matters that would be considered if the practitioner were an applicant for admission to the legal profession under this Act or for the grant or renewal of a local practising certificate.
(a) "we continue to act for Mr Adam Foley in relation to this unfair dismisal (sic) matter currently set down for concillitation (sic) on the 11th October 2018";
(c) an "offer to settle" of $65,000.00 plus costs which were nominated as "approx.. $7,500-$8,000.00";
(e) that the offer is open until a date specified at "which point no further offers will be forthcoming from our client".
Ultimately Holley (sic), Aarons (sic) part in this whole saga can end this Friday if you cut a separate cheque for him...othetwise (sic) next Wednesday we haul everyone including you, your father ...before the Supreme Court to account for their actions.
A date was provided for Holly to advise the respondent of her position.
(a) The respondent wrongly stated, in a letter to Holly Robinson on an unknown date in August 2018, that it was a general requirement under the law for an executor to reside in Queensland. There is no such requirement.
(b) On 21 September 2018, in a meeting with Mr van de Graaff the respondent represented that he was going to bring applications which were not legally available in the circumstances including a Rice v Asplund[1] application and/or application to re-open the consent orders.
(c) In that same meeting, the respondent represented that he had spent "around 20 grand costs already" on the matter. This was clearly false. When questioned further on this issue, the respondent said that it was a "guesstimate" and it was due to time spent on his "research" and "consulting". Later, he said "that's what I'm saying I'm up for."
(a) he was assisting a friend in legal difficulties;
(b) there was evidence of highly suspicious and perhaps fraudulent conduct and he acted to prevent a major injustice;
(c) he wished to place on the record that one of the "beneficiaries" objected to an imminent sale of property which made him feel compelled to act;
(e) he has always been ready to plead guilty to practising without a certificate;
(f) his website was not live at the time, was still under construction and should not have been able to be found under any search engine - Mr van de Graaff must have found his web address from the headers or footers of his correspondence and entered the address into the browser;
(g) the disciplinary process has taken three years to complete and has caused complete ruin to his personal and professional circumstances;
(h) because Mr Doyle was obliged to reveal these disciplinary proceedings to potential employers, he has been unable to obtain any positions during this time;
(i) he has no money or assets and is totally reliant on job seeker payments from Centrelink and has, at times, been homeless or otherwise relied on shared accommodation through aboriginal community services;
(j) Mr Doyle has chronic depression and other stress related health conditions;
(k) a penalty of being struck off the Roll for practising without a certificate for what was a period of six to eight weeks would be crushing and unnecessary;
(l) a private reprimand would be a more balanced penalty in the circumstances; and
The test to be applied is whether the conduct violates or falls short of, to a substantial degree, the standard of professional conduct observed or approved by members of the profession of good repute and competency.
[6] As the respondent's conduct substantially falls short of the reasonable standard of competence and diligence expected of an Australian legal practitioner, it constitutes professional misconduct.
[7] Engaging in legal practice without a legal practicing certificate is a serious violation of the legal and ethical responsibilities of an Australian legal practitioner. A practicing certificate confirms the suitability, in terms of competence and ethics, of the legal professional to practice law. The process of regular certification of lawyers preserves the integrity, ethics and standards of competence and diligence required of legal practitioners.
456 Decisions of tribunal about an Australian legal practitioner
(1) If, after the tribunal has completed a hearing of a discipline application in relation to a complaint or an investigation matter against an Australian legal practitioner, the tribunal is satisfied that the practitioner has engaged in unsatisfactory professional conduct or professional misconduct, the tribunal may make any order as it thinks fit, including any 1 or more of the orders stated in this section.
(2) The tribunal may, under this subsection, make 1 or more of the following in a way it considers appropriate -
(a) an order recommending that the name of the Australian legal practitioner be removed from the local roll;
(b) an order that the practitioner's local practising certificate be suspended for a stated period or cancelled;
(c) an order that a local practising certificate not be granted to the practitioner before the end of a stated period;
(d) an order that -
(i) imposes stated conditions on the practitioner's practising certificate granted or to be issued under this Act; and
(ii) imposes the conditions for a stated period; and
(iii) specifies the time, if any, after which the practitioner may apply to the tribunal for the conditions to be amended or removed;
(e) an order publicly reprimanding the practitioner or, if there are special circumstances, privately reprimanding the practitioner;
(f) an order that no law practice in this jurisdiction may, for a period stated in the order of not more than 5 years -
(i) employ or continue to employ the practitioner in a law practice in this jurisdiction; or
(ii) employ or continue to employ the practitioner in this jurisdiction unless the conditions of employment are subject to conditions stated in the order.
...
(4) The tribunal may, under this subsection, make 1 or more of the following -
(a) an order that the Australian legal practitioner pay a penalty of a stated amount, not more than $100,000;
(b) a compensation order;
(c) an order that the practitioner undertake and complete a stated course of further legal education;
(d) an order that, for a stated period, the practitioner engage in legal practice under supervision as stated in the order;
(e) an order that the practitioner do or refrain from doing something in connection with the practitioner engaging in legal practice;
(f) an order that the practitioner stop accepting instructions as a public notary in relation to notarial services;
(g) an order that engaging in legal practice by the practitioner is to be managed for a stated period in a stated way or subject to stated conditions;
(h) an order that engaging in legal practice by the practitioner is to be subject to periodic inspection by a person nominated by the relevant regulatory authority for a stated period;
(i) an order that the practitioner seek advice from a stated person in relation to the practitioner's management of engaging in legal practice;
(j) an order that the practitioner must not apply for a local practising certificate for a stated period.
(5) To remove any doubt, it is declared that the tribunal may make any number of orders mentioned in any or all of subsections (2), (3) and (4).
(6) Also, the tribunal may make ancillary orders, including an order for payment by the Australian legal practitioner of expenses associated with orders under subsection (4), as assessed in or under the order or as agreed.
(7) The tribunal may find a person has engaged in unsatisfactory professional conduct even though the discipline application alleged professional misconduct.
Generally speaking the quality most likely to result in striking off is conduct which undermines the trustworthiness of the practitioner, or which suggests a lack of integrity or that the practitioner cannot be trusted to deal fairly within the system which he or she practices.
[T]he defects in the respondent's character, revealed by the offences, are incompatible with the qualities, standards and behaviour required of a member of the legal profession. The public could not view with respect, and have complete confidence in, the respondent.
[52] The discretion conferred by s 456 is a broad one and, as noted by the Tribunal, not subject to any express constraint. It is to be exercised for the purposes which are established by the authorities. It is well established that the purpose is not to punish the respondent, but to protect the public.
[53] The protection of the public, of course, is a purpose also served by an order which affects an existing or future practising certificate. By an order affecting a practising certificate, the public is immediately protected from the risks to which those who would encounter an unfit person would be exposed.
[54] However the removal of the name of an unfit practitioner from the Roll serves the interests of the public in more extensive ways. In Attorney-General v Bax, Pincus JA said that the remedies of suspension or striking off are for the protection of the public and of the profession's standing and that further, there is also a deterrent element. And in De Pardo v Legal Practitioners Complaints Committee, French J (as he then was and with whom the other Members of the Full Federal Court agreed) said that:
"[The protection of the public] extends beyond protection against further default by the particular practitioner to protection against similar defaults by other practitioners."
[55] The reference by Pincus JA in Bax to the protection of the profession's standing is important. The community needs to have confidence that only fit and proper persons are able to practise as lawyers and if that standing, and thereby that confidence, is diminished, the effectiveness of the legal profession, in the service of clients, the courts, and the public is prejudiced. The Court's Roll of practitioners is an endorsement of the fitness of those who are enrolled.
(1) A disciplinary body must make an order requiring a person whom it has found to have engaged in prescribed conduct to pay costs, including costs of the commissioner and the complainant, unless the disciplinary body is satisfied exceptional circumstances exist.
1. Pursuant to s 456(2)(a) of the Legal Profession Act 2007 (Qld), an order is made recommending that the name of the respondent be removed from the local roll.
[2] See Legal Services Commissioner v Madden (No 2) [2008] QCA 301, [122]; Attorney-General of the State of Queensland v Legal Services Commissioner; Legal Services Commissioner v Shand [2018] QCA 66; NSW Bar Association v Cummins [2001] NSWCA 284; (2001) 52 NSWLR 279, 284.
[3] Allinson v General Council of Medical Education and Registration [1894] UKLawRpKQB 36; [1894] 1 QB 750.
[4] [1990] 1 Qd R 498, 507.
[6] [2000] QCA 253, [33].
[7] Attorney-General of the State of Queensland v Legal Services Commissioner v Shand [2018] QCA 66, [57] (McMurdo JA, Morrison JA and Brown J agreeing).
[8] Ibid, [52]-[55] (omitting citations and footnotes).
Legal Services Commissioner
Doyle [2021] QCAT 347
(2001) 52 NSWLR 279