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Discipline Corner
RESIGNATION WITH DISCIPLINE PENDING
On December 10, 2003, the Honorable Christine M. Durham, Chief Justice, Utah Supreme Court, entered an Order
Accepting Resignation with Discipline Pending concerning Clay Harrison.
In summary:
The Office of Professional Conduct ("OPC") received nine complaints against Mr.
Harrison. On March 21, 2003, Mr. Harrison entered guilty pleas to charges of securities fraud, misuse of trust account, wrongful appropriation, and unlawful dealing of property by a
fiduciary. Mr. Harrison submitted a Petition for Resignation with Discipline Pending to the Utah Supreme Court on November 12, 2003. Mr. Harrison's petition admits that the facts
constitute grounds for discipline.
Mr. Harrison committed securities fraud by receiving money from a client and failing to inform the client of facts he knew that would have
convinced the client not to invest. Mr. Harrison misused his trust account by commingling personal funds with those being held in trust. Mr. Harrison committed wrongful appropriation by
diverting funds to a use other than that designated as a part of the closing of the transaction, without consent from the bank, and with the intent to temporarily deprive it of the use
and benefit of those funds. Mr. Harrison unlawfully dealt with property in his fiduciary capacity by allowing others to use funds held in his trust, and entrusted to him as a fiduciary,
which involved a substantial risk of loss or detriment to the person for whose benefit the property was entrusted.
ADMONITION
On December 10, 2003, an attorney was
admonished by the Chair of the Ethics and Discipline Committee of the Utah Supreme Court for violation of Rules 1.3 (Diligence), 1.4 (Communication), and 8.4(a) (Misconduct) of the Rules
of Professional Conduct.
In summary:
An attorney represented a client in a DUI matter. The client had previously been represented by another attorney, but when that attorney
was unable to continue representation, the client's file was referred. The attorney failed to explain the circumstances of assuming the file from the previous attorney. The attorney
failed to complete a brief requested by the court. The attorney failed to inform the client of an oral agreement with the prosecutor to delay the filing of the brief requested by the
court.
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