chapter 9: the fundamentals of municipal bankruptcy pg....

The Official publication of theSan Joaquin County Bar Association

July/August 2012

Chapter 9: The Fundamentals of Municipal BankruptcyPg. 6

Also in This Issue:

MCLE Self Study: Don't Wait, Plan Now for Emergencies Pg. 11

Member Spotlight: Gregg MeathPg. 17

AB 109 Roundtable Program,Hosted by the Criminal Law SectionPg. 24

20 North Sutter Street, Suite 300 Stockton, CA 95202(209) 948-0125 Fax: (209) 948-1361 www.sjcbar.org

San Joaquin County Bar AssociationRebekah Burr-Siegel, Executive Director [email protected] Dooley, CAC [email protected] Mussat, CAC Coordinator/ Deputy [email protected] Riggs, MCLE [email protected] Vernon, Communications Coordinator........nvernon@sjcbar.orgLRS...............................................LRSRequest@sjcbar.org

San Joaquin county Bar Association Board of GovernorsJames T.C. Nuss..........................Allan Jose....................................Steven L. Brown.........................Lisa Ribeiro.................................Mary AguirreCatherine L. HustonLisa Blanco JimenezChristine KrogerKerry KruegerACROSS THE BAR COMMITTEE MEMBERS

Michael R. Tener....................... Editor/Chair Janette Rossell Fernanda Pereira Terry Costa Joseph FerraroMoses Zapien Rebekah Burr-SiegelNatalie Vernon

To contact us via email - [email protected]

Across the Bar is published bi-monthly by the SJCBA. Subscription rate is included in membership dues, or $50 per year for non-members.

Across the Bar welcomes letters and article suggestions from readers. The SJCBA reserves the right to edit comments or letters to the editor. Please send e-mail to [email protected].

Submissions and advertising deadline 1st of the month prior to publication. Submit your articles to [email protected].

PresidentPresident-ElectPast PresidentSecretaryMichael Mulvihill, Jr.Stephanie RoundyDavid WellenbrockMoses Zapien

The San Joaquin County Bar Association

Across the Bar July/August 2012

The opinions expressed in this publication are those of the authors only and do not necessarily reflect those of the San Joaquin County Bar Association. The informa-tion contained in this publication is not intended as legal advice and may not be relied upon as such.

July/August 2012 Across the Bar

Editor's NotesMichael R. Tener

Michael R. Tener is an attorney with Neumiller & Beardslee in Stockton practicing civil and bankruptcy litigation. Contact Michael at (209)948-8200 or [email protected].

With the financial problems facing Stockton and other California communities making national news, Across the Bar in this issue delves into the mechanics of a Chapter 9 municipal bankruptcy case. Moses Zapien explains the fundamentals of municipal bankruptcy, which is similar to, but in important respects different from, reorganization of a private entity under Chapter 11 of the Bankruptcy Code. The feature article for this issue begins on page 6. Additionally, on the next page, Thomas White discusses the State Bar’s minimum legal education requirements and the campaign to increase MCLE compliance audits. In that vein, Across the Bar has reprinted an MCLE self-study on planning for emergencies (such as unexpected disability) in law practice on page 11. Jim Nuss details what is happening at the State Bar in his President’s Column on page 22, Humphreys Drivon School of Law announces new inductees to its Hall of Fame on page 23, and Janette Rossell recaps the Criminal Law Section’s AB 109 Roundtable on page 24. Also see page 18 for the announcement of the October 5 dinner honoring past presidents of the San Joaquin County Bar Association. An exciting new feature of Across the Bar this issue is the “Member Spotlight,” the brainchild of guest contributors Elizabeth Mowry Hull and Alissa Harris. The Member Spotlight feature is intended to focus on notable qualities or achievements of Bar Association members outside the legal realm. Liz Hull wrote this issue’s piece on page 17 on Gregg Meath, a past SJCBA president and, presently, an integral member of the local rock band Pushers and Thieves. (I’m not sure which of those applies to Gregg.) Liz and Alissa would love to receive suggestions for members to spotlight in future issues. Member Spotlight articles must conform to the following criteria: 1. The individual that is the subject of the article should be a member of the San Joaquin County Bar Association. 2. The article will focus primarily on the member’s interesting and newsworthy activities or accomplishments. 3. Except in unusual circumstances, the focus will not be on a member’s professional activities. (For those interested, Across the Bar’s advertising rates are very reasonable.) Of course, despite the foregoing criteria, Across the Bar retains all discretion to determine whether and what to publish. The talents and accomplishments of members of the

San Joaquin County Bar Association extend well beyond the courtroom, and the Across the Bar Committee is excited to be able to call attention to those qualities in Across the Bar. The Committee is grateful to Liz and Alissa for their commitment to this project. To nominate a member to be featured, or to express your interest in writing an article spotlighting a member you know, please send an e-mail to [email protected].


Dial "M" for MCLE: The "M" Stands for "Minimum!"Thomas P. White

Thomas P. White is an attorney practicing landlord/tenant litigation. He is also available for contract work. You can contact Thomas at [email protected]

As elite professionals advocating for the little guy (or the big guy, as the case may be), attorneys are mandated to keep up our mental fitness through continuing education. The familiar acronym "MCLE" stands for Minimum Continuing Legal Education. The current minimum standard we must adhere to is 25 hours every three years. However, the State Bar is reviewing these standards and may increase the number of required hours for future compliance groups. In 2011, the Bar randomly audited 635 attorneys, of who, 98, or fifteen percent, were not in compliance. Five of those attorneys were suspended for not being in compliance, and about another 25 were referred to Chief Trial Counsel for disciplinary action. Thirty attorneys from last year’s audit are facing disciplinary measures because they did not complete the minimum requirement for continuing legal education. As lawyers, we all know that laws can be interpreted many different ways. However, the law of averages is tough to dispute. If fifteen percent of a one percent sampling was not in compliance, chances are 15% of the whole will also not be in compliance. In other words, about 9,500 attorneys in last year’s group were not in compliance. This year the State Bar is increasing the number of MCLE compliance audits five-fold. The State Bar intends to randomly audit five percent of attorneys (between 3,000 and 4,000); next year, they will audit ten percent. An attorney’s chance of being audited last year was 1:100. This year that chance is 1:20, and next year it will be 1:10. With a greater increase in the number of audits comes a greater chance that non-compliance attorneys will get caught. Audit letters for 2012 were sent out in June. If you get a letter, and you are not in compliance, be honest and admit you are not in compliance. In other words, do not lie to the State Bar. The penalty for non-compliance is an administrative suspension, whereas the penalty for lying to cover it up is a more severe moral turpitude charge. However, if you are in an audit group and are in compliance, now would be a good time to get your material together. Check to make sure you have all your MCLE certificates easily accessible. If you cannot find all your certificates, check with your MCLE provider to get copies. MCLE providers are required to keep documentation back four years. Attorneys who are not in this year’s compliance group should prepare for the future. As long as the State Bar sees a problem, more and more attorneys will be audited.

Moreover, the advent of technology will make it easier for the State Bar to track MCLE programs and easier conduct audits. Attorneys should maintain their MCLE credits, which are much easier to get these days. The San Joaquin County Bar Association regularly hosts MCLE presentations and sponsors the Masters Series every year. In addition, the MCLE committee is receptive to new ideas for MCLE programs, and encourages members of the local legal community to submit ideas for MCLE presentations. Finally, if you are not in compliance on February 1, 2013, you will have the option of paying a $75 fee for a 60-day extension. While it may be a slight inconvenience, it will be far cheaper than defending yourself in a State Bar investigation. Our duty of competence goes beyond doing what is minimally required. As attorneys, we should always strive to do our best to represent our client, and the noble legal profession of Hamilton, Jefferson and Lincoln. We should maintain the highest standard of professionalism in our work. Spending 8 1/2 hours in training every year is the very least we must do to call ourselves lawyers, and we should seek to do much more.

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Chapter 9: The Fundamentals of Municipal BankruptcyMoses Zapien


Introduction On June 28, 2012, the City of Stockton filed for Chapter 9 municipal bankruptcy protection, making it the largest city in the nation to file.1 The controversial decision made headlines locally, nationally, and interna-tionally. Press from all over the world, including Japan and England, flocked to Stockton to cover the unfolding financial saga. Yet with all the recent press and media attention that municipal bankruptcy has received it still remains an elusive topic, even within the legal profes-sion. While Chapter 7 and Chapter 11 are the more com-mon forms of bakruptcy filing with which attorneys may be familiar, few attorneys actually deal with Chapter 9 municipal bankruptcy. Thus, few attorneys and even fewer non-attorneys really understand the fundamentals of a Chapter 9 bankruptcy. Part of this is also due to the fact that municipal bankruptcies occur so infrequently. Local officials in California have rarely resorted to mu-nicipal bankruptcy protection during the 70 years that has been available to local governments. Prior to Stockton, there had been only three filings statewide for Chapter 9 protection by a city or a county: Orange County in 1994, the City of Desert Hot Springs in 2001, and the City of Vallejo in 2008.2

This article seeks to give a brief overview of the legal process that is involved in municipal bankruptcy and highlight some of the important legal principles sur-rounding it. Some past case examples, including Stock-ton’s, are included to illustrate the Chapter 9 process.

State Sovereignty, the U.S. Constitution, and the Evolution of Chapter 9. Federal bankruptcy law has evolved over the years. Our current Chapter 9 of the bankruptcy code was formulated in response to a legal debate over the separation of powers.3 Chapter 9 was first added to the bankruptcy Code by Congress in 1934.4 The following year, however, the United States Supreme Court struck down the law as unconstitutional, finding that it allowed the federal government to impermissibly interfere with the sovereignty of the states in violation of the Tenth Amendment of the U.S. Constitution (which reserves the powers not delegated to the federal government to the states). Specifically, the law allowed municipalities to file for bankruptcy without being subject to state govern-ment authorization.5 Congress then enacted a new law in 1937, tailoring it to address the constitutional concerns.

It required state authorization3 before any municipality could access federal bankruptcy court. That law was sub-sequently upheld by the Supreme Court.6 State Authorization and AB506. Prior to the enactment of Assembly Bill 506, Gov-ernment Code § 53760 broadly authorized local govern-ments to file for bankruptcy. That meant there were no procedural hurdles that had to be satisfied prior to filing. Eleven other states also broadly authorize bankruptcy filings by its political subdivisions. In comparison, some states limit or prohibit their local governments’ ability to file for bankruptcy protection. There are 22 states that prohibit their local governments from filing for municipal bankruptcy, while 16 other states require specific state authorization, such as state approval, to file.7

With the enactment of AB 506, which became ef-fective January 1, 2012, access to bankruptcy court by local governments became more restrictive. It amended Government Code § 53760 to require that before a local public entity can file for bankruptcy, it must have either: (a) participated in a neutral evaluation process, or (b) declared a fiscal emergency by a majority vote of the governing board.8 Stockton was the first city to go through the AB506 process. The City Council voted in February of 2012 to initiate a neutral evaluation process.9 Under that op-

1 Smith, Scott. "Stockton officially files for Chapter 9." The Record, June 29, 2012.

2 California State Senate Governance and Finance Committee Bill Analysis, AB 506, 09/07/2011, page 9, retrieved from: http://www.leginfo.ca.gov/pub/11-12/bill/asm/ab_0501-0550/ab_506_cfa_20110907_125022_sen_comm.html

3 In re County of Orange (Bankr. C.D. Cal. 1995) 179 B.R. 177, 183.

4 Ashton v. Cameron County Water Improvement Dist. No. 1, (1936) 298 U.S. 513, 524.

5 Ashton v. Cameron County Water Improvement Dist. No. 1,supra, at 532.

6 United States v. Belkins, (1938)304 U.S. 27, 54.7 California State Senate Governance and Finance Com-

mittee Bill Analysis, supra, pg.2.8 2011 Cal. Legis. Serv. Ch. 675 (A.B. 506)9 “Council Approves AB 506.”City of Stockton, Febru ary 28, 2012 [Press Release] retrieved from: http://www.stocktongov.com/files/News_2012_2_28_CouncilAp-provesAB506process.pdf


Fundamentals of Municipal BankruptcyContinued

tion, a local government invites all interested parties to participate in a 60 day non-binding confidential media-tion process with the option of extending it to 90 days if the parties so agree.10 Interested parties include creditors who have claims worth $5 million or more, or whose claims comprise more than 5% of the local government’s debt.11 Stockton went through the 60-day process and ex-tended it another 30 days.12 Unfortunately, the mediation process failed to avert the city from filing for bankruptcy.

The Role of the Bankruptcy Court in Chapter 9. The role and authority of the bankruptcy court in a Chapter 9 proceeding is very limited compared to other types of bankruptcy cases. The court does not take an active role in determining the adjustment of those debts. This was echoed by U.S. Bankruptcy Chief Judge Chris-topher Klein—the judge overseeing Stockton’s bankrupt-cy matter—when he commented to attorneys at the city’s first bankruptcy hearing that they ultimately will resolve the case, not him.13 Outside of ensuring that the Bankruptcy Code is followed, the court has little authority to involve itself in the governmental affairs of municipality. For example, although a municipality submits itself to federal court jurisdiction when filing for Chapter 9, the Bankruptcy Code specifically provides that states retain their power to oversee and control the governance of a municipal-ity.14 Moreover, unless the debtor municipality consents, a judge may not issue an order or otherwise interfere with the way a municipality manages its political or gov-ernmental affairs.15 That means that a municipality in a Chapter 9 proceeding is able to use its own property and assets without court interference. The court cannot ap-point a trustee to manage the bankruptcy proceedings as it typically could in other bankruptcy proceedings.16 Nor is there a mechanism through which a court can compel a municipality to liquidate its assets to pay off its credi-tors.17 Thus, municipalities enjoy much more freedom from court oversight and control than any other type of debtor under any other chapter.

Chapter 9 Eligibility: Only “Municipalities” May File. What distinguishes Chapter 9 most significantly from other Chapters of the Bankruptcy Code is the fact that only municipalities are allowed to file for Chapter 9.18 For purposes of eligibility, a “municipality” is defined as a “political subdivision or public agency or instrumental-ity of a State” and includes cities, counties, towns, school districts, and public improvement districts.19 That means

that no other entity, business, or individual may take advantage of the specific provisions and protections of Chapter 9. Beyond being a qualified municipality, there are other criteria that must be satisfied in order to file for Chapter 9. A municipality must: 1. Be specifically authorized to be a debtor by state law or by governmental officer or organization empowered by State law to authorize the municipality to be a debtor; 2. Be insolvent as defined in 11 U.S.C. Section 101(32)(C). Insolvency in this context means that a municipality is: i. Not generally paying its debts as they become due unless such debts are the subject of a bona fide dispute; or ii. Unable to pay its debts as they become due. 3. Desire to effect a plan to adjust its debts; and 4. Either: i. Obtain the agreement of creditors holding at least a majority in amount of the claims of each class that the debtor intends to impair under a plan; ii. Negotiated in good faith with creditors and fail to obtain the agreement of creditors holding at least a majority in amount of the claims of each class that the debtor intends to impair under a plan; iii. Be unable to negotiate with creditors because such negotiations are impracticable; or iv. Reasonably believe that a creditor may attempt to obtain a transfer that is avoiable under the Bankruptcy Code.20

The municipality has the burden of showing that it is

10 West's Ann.Cal.Gov.Code § 53760.311 West's Ann.Cal.Gov.Code § 53760.112 “AB 506 Mediation Extended”City of Stockton, May 21, 2012 [Press Release], retrieved from: http://www.stocktongov.com/files/News_2012_5_21_AB506Proces-sExtended.pdf13 Smith, Scott. “Day one in court for Stockton's bank-ruptcy case.”The Record, July 07, 2012. 14 11 U.S.C. §90315 11 U.S.C. §90416 11 U.S.C. §926(a)17 "Chapter 9 Case Administration" United States Trustee Program Policy and Practices Manual, Volume 5, October 2011, page 1.18 11 U.S.C. §109(c)19 11 U.S.C. §101(40)


eligible and qualifies for bankruptcy protection.21 If a municipality is unable to demonstrate that it satisfies these requirements, the court has the power to dismiss the petition.22

Chapter 9 Fundamentals: the Automatic Stay. Once a municipality files a petition under Chapter 9, the immediate result an automatic stay which halts all creditor collection actions. 23 The automatic stay in Chap-ter 9 expands the scope of the stay otherwise applicable in all chapters to extend to actions against the officers and residents of the municipality if the action seeks to enforce a claim against the debtor municipality, as well as to enforcement of a lien on or arising out of taxes or assessments owed to the municipality. 24

Chapter 9 Fundamentals: Ability to Reject Executory Contracts and Unexpired Leases. A municipality may avail itself of the federal govern-ment's authority to reject executory contracts and unex-pired leases in a Chapter 9 proceeding. Municipalities are able to utilize this authority as a tool to restructure their debts. This authority is so far-reaching, that it can be used by a municipality to modify or even reject its collective bargaining agreements with employee groups. The United States Supreme Court recognized this in NLRB v. Bildisco & Bildisco, in which it held that a Chapter 9 debtor may reject an unexpired collective bargaining agreement if the debtor shows that: (1) the agreement burdens the estate, (2) after careful scrutiny, the equities balance in favor of contract rejection, and (3) “reasonable efforts to negotiate a voluntary modification have been made, and are not likely to produce a prompt and satisfactory solution.”25 The municipality debtor must demonstrate that these requirements have been sat-isfied in order to reject such an agreement.26 In 2009, the City of Vallejo used this authority to reject its collective bargaining agreement with the International Brotherhood of Electrical Workers (IBEW).27

Chapter 9 Fundamentals: Plan for Adjustment. Ultimately, a municipality must develop and propose a plan to deal with its debts and liabilities once it emerg-es from bankruptcy. This road map is termed a munici-pality's "Plan of Adjustment." Only the municipality may propose the plan; unlike a Chapter 9 bankruptcy, credi-tors in a Chapter 9 case cannot propose an alternative plan of their own.28 The plan may involve extending the maturity of particular debt obligations, an interest rate

reduction or reduction of principal balance. For example, the City of Vallejo’s plan called, among other things, for that city to pay Union Bank the full $46 million principal that the city owed, but reduced the interest rate from a maximum of 7.25 percent down to 2.5 percent.29

The plan of adjustment must be confirmed by the court and there are a variety of confirmation standards that have to be met.30 For example, the plan must be proposed in good faith.31 If the plan impairs the claims or interests of a class of creditors, then that class must accept.32 By contrast, if a class is not impaired, then ac-ceptance by that class is not required as a condition of confirmation.33 However, a plan may still be confirmed even if a class of creditors is impaired and does not ac-cept if the court finds that the plan does not discriminate unfairly against that class and is fair and equitable with respect of the class.34 Upon confirmation of the plan and satisfaction of certain other criteria, the municipal debtor is discharged of all debts other than those excepted by the plan or the order confirming the plan.35

Conclusion The decision for any municipality to file for Chapter 9 bankruptcy is by no means an easy one. Aside from understanding the legal process explored in this article,

20 11 U.S.C. §109(c) 21 In re Valley Health Sys. (Bankr C.D. Cal 2008) 383

B.R. 156 22 11 U.S.C. § 921(c) 23 11 U.S.C. § 922(a) 24 11 U.S.C. § 922(a) (1) 25 NLRB v. Bildisco & Bildisco (1984) 465 U.S. 513, 526. 26 Ibid. 27 See In re City of Vallejo (2009) 403 B.R. 72. 28 Belkins, supra, at 51. 29 Church, Steven.“City Of Vallejo, Califor-

nia, Wins Court Approval Of Reorganization Plan.”Bloomberg,July 28, 2011, retrieved from:http://www.bloomberg.com/news/2011-07-28/city-of-valle-jo-california-wins-court-approval-of-reorganization-plan.html

30 11 U.S.C.A. § 94331 11 U.S.C. § 1129(a)(3)32 11 U.S.C. § 1129(a)(8)(A)33 11 U.S.C. § 1129(a)(8)(B)34 11 U.S.C. § 1129 (b)b) 35 11 U.S.C. § 944 (b)(1)



a number of other separate interests and concerns need to be weighed before any local government makes the decision to file for bankruptcy. For some municipali-ties, Chapter 9 may be the only option for relief. In those cases, bankruptcy court provides a forum where the mu-nicipality can work with its creditors to adjust its debts. “[Municipal Bankruptcy] gives government debtors time to come up with repayment plans, providing them a breathing spell from creditors’ collection efforts.”36

However, there are both significant financial and political costs associated with such a decision. “High legal costs, damaged credit ratings, and a lasting stigma that can deter investment and growth in a community all weigh heavily against a decision to petition for bankruptcy

36 California State Senate Governance and Finance Com-mittee Bill Analysis, supra, page 9.

37 Ibid page 1.

Moses Zapien is an associate with the Law Office of James Morris in Stockton practicing civil litigation. Contact Moses at (209) 474-7872 or [email protected].


protection.”37 Since Stockton’s bankruptcy filing in June of 2012, two other California cities have followed suit: Mammoth Lakes and San Bernardino. Whether this is the start of a state- or nation-wide trend remains to be seen.

The Women Lawyers Section Presents

Roundtable:How to Become a Judge

Featuring~

When: Thursday, August 23, 2012Where: Knowlton Art Gallery

115 S. School Street #14 Downtown Lodi

Time: 5:30 pm to 8:00 pmHors d’oeuvres and wine will be served

Women Lawyers Section Members ~ $35.00Non-Women Lawyers Section Members ~ $50.00*

*Ticket price pays your Section dues for 2012

Checks should be made payable to: The San Joaquin County Bar Association

20 N. Sutter Street, Suite 300, Stockton, CA 95202

Please RSVP by August 17, 2012 to Erin Guy Castillo at [email protected], or

Caitlin Casey at [email protected]

Hon. Consuelo CallahanHon. Robin Appel

Hon. Elizabeth HumphreysHon. Barbara Kronlund

Hon. Linda Lofthus

Hon. Lauren ThomassonHon. Xapuri VillapuduaComm. Cheryl McCannComm. Sheryle Sparks

Open to all members of the San Joaquin County Bar Association


MCLE Self StudyDon't Wait, Plan Now for Emergencies:Succession and Contingency Planning is Essential to Protect Clients and Avoid Discipline or MalpracticeWillis S. Baughman The following story is based on a real case. The names have been changed and events altered, but the malpractice and ethics lessons remain unaltered. It’s three o’clock on a rainy Friday afternoon and Chance Rambo, the successful 55-year-old trial lawyer, is driving home. He just finished one rough month and expects another. But it’s Friday, after all, and he needs a rest. Worried about his problems, Chance probably didn’t notice the large semi spinning out of control before it slammed directly into him. Monday morning, Chance finds himself in Intensive Care, groggy after several hours of surgery. Before drifting back into deep, anesthesia-induced sleep, he is able to mutter to his wife, “Who’s taking care of the office?” Chance, who took a chance with his practice, his clients and his family, has reason to be concerned. He never considered what would happen if an emergency prevented him from tending to his practice and fulfilling his client obligations. Chance never considered the importance of succession planning. It took time, but Chance did recover. However, during his convalescence, he lost all his clients, was sued four times for legal malpractice, had his errors and omissions policy cancelled, and the State Bar took over his law practice and closed it down. Over a one-year period, Chance lost his license to practice law and was on the verge of bankruptcy. Most lawyers never consider that some unforeseen event might prevent them from handling their professional responsibilities. But the reality is that most lawyers will face an interruption in their ability to practice at least once during their careers. The need to effectively address the issue of succession planning is an issue of widespread concern due to the potential for serious harm to clients and a loss of confidence in the legal profession by the general public. It is a challenge that goes to the very core of our profession. While there is no professional obligation requiring lawyers to have succession planning, prudent lawyers should have a contingency plan in place. Both the Business & Professions Code and the Probate Code provide models for succession planning, but with different outcomes. The B&P Code, primarily concerned with client protection, provides for liquidation of a practice, while the Probate Code offers a procedure for

protecting the practice as an asset. Attorneys owe fiduciary duties to their clients: duties of loyalty and confidentiality and the duty to render services competently. There is compelling authority for finding that attorney competence includes anticipating events or circumstances that may adversely affect client representation. (Vapnek, Tuft, Peck & Wiener, California Practice Guide: Professional Responsibility (The Rutter Group 2008) 6:24.3.) Arguably, anticipating events that might pose a risk to a client’s interests is the essence of practice contingency and succession planning. Practice interruption may affect a lawyer’s fiduciary obligations and breaching those duties will produce harsh consequences. A lawyer without a succession or contingent plan is likely to face State Bar discipline as well as legal malpractice exposure. Moreover, a significant interruption in practice continuity may provide a sufficient basis to permit the State Bar to petition the Superior Court to assume jurisdiction over an absent lawyer’s practice under Bus. & Prof. Code § 6180 and § 6190. The court will assume jurisdiction over the practice if it is determined a lawyer is not able to fulfill client obligations because he/she has become incapable of devoting adequate time and of providing the quality of service necessary to protect client interests, and there are unfinished client matters for which no other attorney has agreed to assume responsibility. The State Bar and the Superior Court have the authority to take over management and control, and to close the practice. (B&P. §§ 6180/6190.) While the court may appoint a volunteer attorney, the process often involves a State Bar attorney who takes over and manages the practice until it can be closed. The appointed lawyer can examine files and records, obtaining information as to any pending matters that may require attention. He or she notifies the clients, informing them that it may be in their best interest to obtain other legal counsel (B&P. § 6180.5). Any persons examining files and records of the law practice of the affected attorney shall observe the lawyer-client privilege and make disclosure only to the extent necessary to accomplish the purpose for which the affected attorney was retained. Until new counsel is obtained, the appointed attorney has the authority to control all operations and bank accounts of the practice


(B&P. § 6180.5).

A grim prospect Undoubtedly, having one’s law practice taken over by the State Bar (or a volunteer lawyer appointed by the Superior Court) is a grim prospect for any lawyer. While no substitute for a lawyer’s failure to prepare an advance succession plan, proceeding under Bus. & Prof. Code §§ 6180/6190 may, however, be the only hope for risk management and client protection in the event of an unforeseen practice interruption. Client protection is the goal, but by its very nature the process runs adverse to client interests and threatens destructive consequences for the lawyer as well as the lawyer’s practice, family and friends. However, because the process is under the auspices of the superior court, the appointed lawyer will not be liable to a particular client to whom harm might befall. (B&P. § 6180.11.) Under the Business and Professions Code, the purpose is to terminate client relationships and wind down and close the lawyer’s practice as quickly and efficiently as possible. Consequently, since the practice is often the only or principal asset in the lawyer’s estate, there will most likely be nothing left for either the heirs of a deceased lawyer or for the living expenses of a permanently disabled lawyer. While it is ethical for a lawyer to sell all or most of his/her practice, after the practice is wound down under the Business and Professions Code, there may be nothing to sell. (Cal. Rls. Prof. Cond. rule 2-300.) The protocol under Bus. & Prof. Code §§ 6180/6190 does not contemplate that disabled or incapacitated lawyers often recover from their illness or injury. If the Superior Court acted under §§ 6180/6190, the recovered or recovering lawyer will face a number of serious obstacles. Once the court proceeds under §§ 6180/6190, the lawyer is automatically placed on inactive status and must seek reinstatement to resume practice. (B&P. § 6007(b)(2).) Reinstatement depends on the lawyer’s ability to prove he or she is competent to practice law, a long, tedious process that usually takes a year or more. Once reinstated, the lawyer must petition the court to terminate jurisdiction over the practice. (B&P. § 6190.6.) Since nothing was done to preserve the value of the practice, there will be no practice to return to. This prospect alone should motivate most prudent practitioners to acknowledge the pressing need to have a contingent plan in place.

Multidisiciplinary process Any practice succession plan must be approached as a multidisciplinary process that takes into account lawyers’ unique duties and obligations. Planning should involve various professional advisors, including, for example, an estate planning attorney, an ethics/risk management attorney, accountant, financial advisor and insurance representative. Following is a very general illustration of the planning process as well as some critical issues to consider along the way. The first step is to identify someone to act as a successor attorney. The arrangement with the successor will be defined by the nature of the planning attorney’s practice. As a practical matter, several potential successor attorneys should be made available. Considerations include insuring that the successor attorney understands the magnitude of the role, is willing to undertake that responsibility and is competent in the planning attorney’s area of practice. (Streit v. Covington and Crowe (2000) 82 Cal.App.4th 441.) Moreover, the successor attorney must be someone the planning attorney knows to be trustworthy, responsible, accountable and, of course, covered by current professional errors and omissions liability insurance. Finding the right successor attorney is vital. He or she will not only protect the lawyer’s clients, but the personal, financial and family interests of the disabled or deceased lawyer by preserving the integrity and value of the law practice. Thus, with a proper plan, a lawyer who has sufficiently recovered from a disability may return to active practice full or part time. If that is not possible, the practice may be transferred to another attorney, wound down and closed, or sold.

Advantages of the Probate Code Probate Code provisions provide for court supervision of a deceased or disabled lawyer’s practice while protecting both clients and the integrity of the practice. Pursuant to §§ 2468 and 9764, the conservator of a disabled attorney and the personal representative of a deceased attorney may bring a noticed petition seeking the appointment of the successor attorney to be a practice administrator and to take control of the disabled or deceased attorney’s practice. (Prob. § 2468 (disabled attorney) & §9764 (deceased attorney); Vapnek, Tuft, Peck & Wiener, California Practice Guide: Professional Responsibility (The Rutter Group 2008) 1:38.2, p 1-85.)If the attorney’s estate planning documents include

Don't Wait, Plan Now for EmergenciesContinued


advance health care directives in the event of disability, the authority granted must be sufficiently comprehensive to allow the personal representative to speak for the attorney in matters regarding the law practice, including petitioning the Superior Court for appointment of a practice administrator (Prob. § 2468), thereby avoiding the need to appoint a conservator. While the successor attorney, upon becoming the practice administrator, will be required to post bond before any work may be commenced, the Probate Code has a number of features that are ideal for advance succession or contingent planning. First, the court will generally appoint the attorney named in a written document prepared in advance by the planning attorney, unless to do so would adversely impact on clients or other persons interested in the planning attorney’s practice or estate. (Prob. § 2468(f) and § 9764(f).) Second, the court may waive notice if it determines that immediate appointment of a practice administrator is required to safeguard the interests of the estate or otherwise would be in the best interests of persons interested in the estate or practice. (Prob. § 2468(b) and § 9764(b).) Third, duties and powers of a practice administrator will be specifically listed in the court’s order. (Bus. & Prof. C. § 6185.) The powers provided a practice administrator under the Probate Code differ dramatically from the duties of a court-appointed attorney under Bus. & Prof. C. §§ 6180/6190. Specifically, the practice administrator’s duties are geared toward protecting the value of the practice as an asset of the attorney’s estate. Thus, proceeding under the Probate Code will insure immediate action to protect the practice and persons interested in the practice, and will allow the planning attorney to choose in advance the practice administrator and provide advance directives and instructions as to how the practice will be maintained.For example, if the planning attorney became disabled through accident or illness and is unable to practice, but the prognosis is temporary disability and the attorney’s physicians are able to confidently conclude he/she will be able to return to fulltime practice in a matter of weeks or months, the practice administrator will be able to petition the court, provide evidence that the lawyer has recovered the capacity to resume practice, and the practice administrator “shall forthwith terminate and the disabled attorney shall be restored to his or her practice.” (Prob. § 2468(i).)

If the disability is long term or permanent or the attorney has died, the practice administrator has the authority, subject to approval of the personal representative, to create a plan for disposition of the practice. (Bus. & Prof. C. § 6185(a)(7).) This includes the sale or other transfer of the practice in accord with the attorney’s advance directives. Because the primary goal is to protect the practice and its value, the practice administrator should be authorized to take steps necessary to insure the practice is propitiously maintained, managed or concluded (Bus. & Prof. C. § 6185 (a)(6)), including sale of the practice and its good will (Bus. & Prof. C. § 6185 (a)(7).) Once services are concluded the practice administrator shall render an accounting and petition for discharge. (Prob. C. § 2468(h) and § 9764(h).) While not intended to be exhaustive, this example demonstrates how the Probate Code can be applied to an attorney’s advance plan. Of course, there are many vehicles available to attorneys who want to structure an advance plan. The key point is for practitioners to designate successor counsel to assume responsibility for their practices in the event of their temporary or permanent incapacity or death. The powers outlined at Bus. & Prof. Code § 6185 provide a great source for any plan. (Court supervision may be avoided, for example through a trust instrument along with other documents that will allow for the transfer management of the law practice to a trustee. (See, Prob. C. § 17200(b) (23) & (24) allowing petition to the superior court for the appointment of a practice administrator if necessary at a future time.) A succession plan must be tailored to the uniqueness of the practice. Additionally, the plan must be a fluid and dynamic document that can be utilized as a progressive guide to manage the issues of transition. When a succession plan is in place, it allows the attorney to anticipate and effectively manage any contingency and the practice will be more likely to survive a transitory period of absence. As ethicist and former State Bar Court Judge Ellen Peck expressed so well, “Our clients, for whom we have worked so hard, deserve something better than absolute chaos if we are suddenly disabled or die. Our loved ones do not deserve the headaches and worry of winding up a law practice at a time when they may be feeling emotionally and financially vulnerable, grieving or themselves incapable of handling the stress of business matters.”



2010 Law Day Award Recipient: Honorable Barbara Kronlund

Caution: This material does not establish an attorney’s standard of due care for a particular situation and/or in any particular community. Rather, it is the author’s intent to encourage professionals to act in a manner which may be well above the standard of due care in order to attempt to avoid claims having merit, as well as those without merit. This material does not contain legal advice.Willis S. Baughman is

a solo practitioner in San Luis Obispo, where a portion of his practice focuses on attorney risk management issues. Contact Willis at (805) 461-1878 or [email protected]

To take the MCLE Self Study Test and receive credit, please go to the following website:

http://apps.calbar.ca.gov/mcleselfstudy/mcle_home.aspx?testID=5




The San Joaquin County Bar Association 20 N. Sutter Street, Suite 300, Stockton, CA 95202

Nomination for the 2013 Law Day Award

In commemoration of Law Day 2013 the San Joaquin County Bar Association sponsors an annual Law Day Luncheon held in the Spring. At this event, we present the Law Day Award to an individual who has

made a significant contribution to our local legal community.

The Bar Association is soliciting nominations for the 2013 award from. The established standards for the award are: The performance of some service or services which has greatly

enhanced the prestige of the local bar and/or bench. A contribution of time and effort toward the delivery of more

effective legal services to the general public. A contribution of time and effort toward the education of the bar,

bench or public on important legal issues.

The recipient will be selected by the Board of Governors. All nominations must be in writing and identify the individual(s) making

the nominations. Telephone nominations will be accepted if followed by written confirmation.

I wish to nominate: __________________________________________ Please attach additional pages to explain why you feel that he/she deserves the 2012 Law Day Award and their qualifications. Signature: ___________________________ Date: ________________ Print Name: __________________________

Nominations must reach the SJCBA before 4:30 pm on September 10, 2012.

The announcement of the 2013 Law Day Award Recipient will be made at this year’s Annual Meeting on November 7, 2012.


The Family Law Section of the San Joaquin County Bar Association, in cooperation with the Family Law Section of the Sacramento County Bar Association and Sierra Vista Child and Family Services, present

Challenges for Children and Parents Following Separation and Divorce:

Research Updates on Children’s Adjustment and The Alienated Child

Joan B. Kelly, Ph.D.Dr. Kelly is a clinical psychologist, researcher, teacher, and consultant. For 40 years,

her research, practice, teaching, and publications have focused on research in children’s adjustment to divorce, custody and access issues, divorce mediation,

applications of child development research to custody and access decisions, and Parenting Coordination.

Friday, October 5, 20129 am - 4 pm

Wine & Roses2505 West Turner Road, Lodi, CA 95242

209.334.6988www.winerose.com

This activity has been approved for Minimum Continuing Legal Education credit for psychological and counseling aspects of the law by the State Bar of California in the amount of five (5) participatory hours, of which five (5) hours credit will apply to the General MCLE Requirement as well as: BBS, APA,

CAADAC, and CAARR CE’s and credit for Court Mediators/Evaluators. The SJCBA certifies that this activity conforms to the standards for approved education activities prescribed by the rules and regulations of the State Bar of California governing minimum continuing legal education.


Tickets: $175 per person, in advance or $195 per person, when booked after September 5, 2012

The SJCBA has negotiated a special room rate for the evening: $189 for a King (normally $239).

This workshop meets the following requirements for continuing education hours / credits:•American Psychological Association (APA) - Sierra Vista Child & Family Services is approved by theAmerican Psychological Association to sponsor continuing education for psychologists. Sierra Vista Child & Family Services maintains responsibility for this program and its content. Five (5) continuing education credits for Psychologists. •Board of Behavioral Sciences (BBS) - Five (5) hours of continuing education credits for MFT’s and LCSW’s as required by the Board of Behavioral Sciences (PCE #2994).•California Association of Alcoholism and Drug Abuse Counselors (CAADAC) - Five (5) hours of continuing education credits as approved by CAADAC (Provider #3N-05-523-0807).•California Association of Addiction Recovery Resources (CAARR): This course meets requirements toward the CAARR “Eight Practice Dimensions: as defined in the Federal Government’s Center for Substance Abuse Treatment’s Technical Assistance Publication #21 for five (5) hours of continuing education.•California Rules of Court - The course outline or agenda for this training is pending approval for five (5) hours in correspondence to subject areas specified in California Rules of Court, rule 5.210(f)(1)(A), (B) or (F)(2), and rule 5.225(d)(1)-(21). The views expressed in this training are those of the trainer and do not

necessarily represent the official positions or policies of the Judicial Council of California or the Administrative Office of the Courts.

To Register for this MCLE: Please Call 209.948.0125 or Register Online at www.sjcbar.org

Stay the night and enjoy the spa and local Lodi wine tasting!

Contact Wine and Roses for Wait List

Member Spotlight: Gregg MeathElizabeth Mowry Hull

This column is the first in a potential series of articles spotlighting the significant achievements of members of the local bar, focusing primarily on accomplishments outside the legal realm. Please see this issue's Editor's Notes for details on how to nominate colleagues for future spotlight articles. I was pleased to interview Gregg Meath, a former president of the San Joaquin County Bar Association, for the inaugural member spotlight column for Across the Bar. I had met Gregg in passing but had no idea that he has been so actively involved as to be a past Bar president. Frankly, he didn’t seem to fit that mold. Walking into his office I found the usual array of law books but on the walls were 1960’s psychedelic rock concert posters. Instead of coffee or soda Gregg offered me a freshly brewed cup of hand pressed green tea. The tea arrived recently from China, a gift from an intellectual property client. Gregg is a self-confessed tech geek and during the heyday of the Silicon Valley bubble he rode intellectual and internet law to the heights of Sacramento, San Francisco, Northern Virginia and Palo Alto. If you have aspirations of working for the big and powerful in our profession, go see Gregg. He can explain how to play and win the “game” at the top firms in vivid detail. But when it was time to open a firm with his wife Fernanda Pereira, it was time to come home. Home these days is not just Stockton but the old family homestead too. He and Fernanda bought the farm that his grandfather had owned during Gregg’s youth. He still has fond memories of the truck farm his grandfather worked, but it has Gregg’s flavor now, too. The vegetable crops have been replaced with 10 acres of Cabernet Sauvignon grapes.

Gregg intends to eventually convert part of the barn from traditional agriculture to a welding shop. Welding big metal figures out of cast-off and leftover metal parts is one of his creative plans for the future. Gregg the left brain attorney is fostering a right brain alter ego that will someday burst upon the artistic scene as well as he has applied himself to the law. It is this balance between the creative and intellectual that I found intriguing in Gregg Meath. The welding artist is the future but this creative dynamic goes back to his youth. Growing up, Gregg played tuba and drums. Today he still fosters the musician in himself, to the delight of his fans, as the drummer in the local rock band Pushers and Thieves. (See The Record, Pushing the Limits, June 22, 2012 for details about the band and its name.) When asked what’s left to be done Gregg instantly said “having Pushers & Thieves go viral on YouTube”. I would not be surprised if he achieves this goal, and this leads me back to those posters on the wall and one of the books on the shelf. The book is artwork by artist and client Dennis Larkins of the Grateful Dead Radio City Music Hall poster fame – he painted the covers of the Grateful Dead’s “Dead Set” album and the “Dead Ahead” DVD. With Gregg's mix of creativity and intellect, I have little doubt that one of his appreciative clients or fans may take him ‘viral’ someday soon! For me, being fresh out of law school and a first-year attorney, personal balance is almost completely lost. Gregg has reminded me that now that I have the Bar card I can use my knowledge of the law creatively and continue to nurture the artistic side of my brain. I look forward to the day when I am as versed in the law as Gregg and a client with a similar creative passion walks through my door. When that day comes, I must make sure that there is a good cup of tea ready for the sharing.

Elizabeth Mowry Hull is a sole practitioner and a member of the National Network of Estate Planning Attorneys practicing in estate planning, probate, and unlawful detainer. Ms. Hull can be reached at (209) 910-3870 or via email at [email protected]


Honoring Past Presidents of the SJCBA: 10-5-12Patrick Piggott

The San Joaquin County Bar Foundation raises money for legal educational purposes. Each year the Foundation pays to transport approximately 1,600 students to the Law Day Educational Program at the San Joaquin County Office of Education, field trips for the summer Youth Leadership Academy, text books for high school classes in Constitutional Law, sponsorship of the County Office of Education’s Mock Trial Education program and awards prizes for the art and journalism awards associated with Law Day. Now, the San Joaquin County Bar Foundation is raising money to set up an online legal information system available to the public. This year’s fundraiser addresses a theme that is long overdue: the recognition and honoring of the Past Presidents of the San Joaquin County Bar Association (SJCBA). Without them our excellent SJCBA could not have developed into one of the finest county bar associations in the state. The Association was officially incorporated 72 years ago, in 1940. The fundraiser is on October 5th staring at 6 pm at the Elkhorn Golf Club. Tickets are $50.00 in advance. Adelle Barrette will be on hand and, with the assistance of 2012 SJCBA President Jim Nuss, will give a historical perspective of the Bar in those early days.

The Emcee will be Dean Patrick Piggott of Humphreys College Laurence Drivon School of Law. The Executive Committee of the Foundation includes Richard Oliver, Chairman; Jeff Prag, Treasurer; Adelle Barrette, Secretary Gregg Meath; Fernanda Pereira; Lena Giambruno; Terry Costa; Jim Nuss, in his capacity as resident of the SJCBA; and SJCBA’s Executive Director, Rebekah Burr-Siegel. In 2009 you will recall the Decennial Gala we held recognizing all attorneys who had practiced law over 30 years and more. It was a great time and this will be the same. We don’t have many events where we recognize the legal community and come together to share the successes of our community. We are looking for sponsors at various levels, including: $500, $750 or $1,000. Tables of eight are available for $360 and tables of ten for $450. Bring your friends and family! It is a great way to show appreciation for your staff and employees. Thank you all for your continued support of the San Joaquin County Bar Foundation. For details call any member of the Executive Committee, or Rebekah Burr-Siegel at the SJCBA office (209) 948-0125 or Patrick Piggott at (209) 235-2905.

Place Your Ad Here!

Advertise Your Business to the

Local Legal Community and Beyond

Contact Natalie Vernon at the SJCBA for more [email protected]



Name:____________________________________________________________________________________________________

Phone: ____________________________________________ Email: _________________________________________________

Payment by (choose one): Pay at the door ( ) Check ( ) Credit Card ( )

VISA ( ) M/C ( ) AmEx ( ) Credit Card No.: ______________________________________________Exp.: __________________

Signature:_________________________________________________________________________________________________Please complete this form and return it with your payment to: San Joaquin County Bar Association, Attention: Jennifer Riggs20 N. Sutter Street, Suite 300, Stockton, CA 95202; Fax: (209) 948-1361


This activity has been approved for Minimum Continuing Legal Education credit by the State Bar of California in the amount of one (1) participatory hour, of which one (1) hour credit will apply to the General MCLE Requirement. The SJCBA certifies that this activity conforms to the standards for approved education activities prescribed by the rules and regulations of the State Bar of California governing minimum continuing legal education.

Shirish GuptaShirish Gupta is a tenacious yet creative mediator, specializing in

complex and challenging disputes, yielding an impressive 80% settlement rate. He serves on 15 panels throughout the state,

including the Central District’s mediation panel. He is a three-time Super Lawyers’ Rising Star in Alternative Dispute Resolution, an American Arbitration Association Higginbotham Fellow and a

NAPABA Best Lawyers Under 40 award winner.

Susan ShareSusan B. Share has been an attorney for over 20 years and focuses her

practice on estate planning, trust administration and probate. She is a member of the Beverly Hills Estate Planning Council and the

Trusts & Estates Section of the Los Angeles County Bar Association. She was appointed to and will serve as the Treasurer of the

Executive Committee of the Solo and Small Firm Section of the California State Bar.

September 20, 201212:15 pm - 1:15 pm

SJCBA

The Solo and Small Firm Section of the State Bar of California presents

Setting Up and Streamlining a Solo Law Practice

Members of the Executive Committee of the Solo and Small Firm Section of the State Bar of California will share their insights on setting up a solo or small firm practice as well as ways to make it more efficient.

This MCLE is FREE to all attendants. If you’d like lunch there is a $5.00 fee.

San Joaquin County Bar Association Board of Governors Individual Nomination Form Term: 2013 – 2015

All Nominations Due on October 7, 2012

Each nominee needs 5 nominations in order to be considered.

I, , am a member in good standing with the San Joaquin County Bar Association. I wish to nominate as a nominee for the upcoming Annual Election of the Board of Governors to be held on November 7, 2012. Date: Signature:


San Joaquin County Bar Association Board of Governors Group Nomination Form Term: 2013 – 2015

All Nominations Due on October 7, 2012

I, , am a member in good standing with the San Joaquin County Bar Association. I wish to nominate as a nominee for the upcoming Annual Election of the Board of Governors to be held on November 7, 2012. Date: Signature: I/We are currently members in good standing with the San Joaquin County Bar Association and approve the nomination of the candidate listed above. Signature: Signature: Signature: Signature:


President's ColumnJames T.C. Nuss

James T.C. Nuss James T. C. Nuss is a principal with Neumiller & Beardslee practicing banking and com-mercial law and is the 2012 president of the SJCBA. Contact Mr. Nuss at (209) 948-8200 or [email protected].

Summer in Stockton is back in all its blazing glory, hot today, probably hotter tomorrow. So find a cool location and take a few minutes to read through this issue of Across the Bar to get up to date on some of the latest happenings in the San Joaquin County legal community.

But wait. If you haven’t already noticed, our Executive Director, Rebekah Burr-Siegel, has been busy all year long regularly updating us with her weekly In Brief emails on current Bar Association events. I personally feel that “In Brief” is one of the best, and least intrusive, ways to stay up to date on local legal activities and court announcements. With one click and a quick browse you can stay current on Bar Association matters, and if you want to delve deeper, just one more click will take you to more in-depth information. Enjoy, and if you have suggestions for improvements or added features always feel free to contact Rebekah directly via email or phone.

One of the benefits of being your bar president is the privilege of attending and participating in a monthly “Bar Presidents” telephone conference call initiated by Jon Streeter (the President of the California State Bar) and Joe Dunn, former state Senator and Executive Director of the State Bar. The call is busy with 30 or 40 state bar leaders on the line, but I am amazed at how well Jon and Joe formulate the discussions and keep them moving. Our June call included the following topics:

1. Update on the Strategic Evaluation Committee (SEC) report on the Administrative Office of the Courts (AOC), the administrative arm of the California Judicial Council. The SEC was commissioned by our Chief Justice, Tani G. Cantil-Sakauye, in May of 2011 “to conduct an in-depth review of the Administrative Office of the Courts and its organizational structure to promote transparency, accountability,” and “efficiency in providing services to the courts.” The report is now complete and was received by the Judicial Council on June 21, 2012. It is extensive and contains many recommendations for change. For those readers with the energy (and the time), the report can be found at the Judicial Council website, http://www.courts.ca.gov. The bottom line: the future AOC will be much smaller and will focus on administrative support of the trial courts and facilities management.

2. A task force has been appointed by the State Bar to consider new “pre-admission” skill requirements for California attorney candidates. The task force is inviting commentary and recently conducted panels with law professors from schools across the county. The professors and their law schools are asking the task force to tread lightly because they believe law schools will be addressing the fundamental practice skill needs of new attorneys. The task force will be conducting hearings for the next four to six months.

3. There are opportunities for appointment to the State Bar Board of Trustees. For more information attorneys can contact Carol Madeja, Managing Director, Bar Relations Outreach, California State Bar at [email protected].

4. Discussion of the Sergio Garcia case. Mr. Garcia passed the California State Bar exam in July 2009, and although he was certified by the State Bar, it is the California Supreme Court that will soon decide whether or not he will receive his California law license. The issue: Mr. Garcia is an undocumented immigrant from Mexico whose parents brought him to the United States as a child. The California State Bar supports his admission and the Los Angeles Bar Association, the San Francisco Bar Association, and several other state bar associations have joined in filing an amicus brief in support of Mr. Garcia’s admission.

On a final note, I continue to encourage members of our bar association to take advantage of our fine website at http://sjcbar.org and don’t be shy about exploring the online forum that is available for member access. Also, if you have joined a SJCBA section or are a member of one of our committees you should automatically have access to forums that have been set up to aid communications and discussions among members in your group.

Have a great summer.


Humphreys Drivon School of Law Hall of FamePatrick Piggott

On Saturday, September 8, 2012, Humphreys Drivon School of Law will induct four alumni into its Hall of Fame. The event will be outside in the beautiful courtyard. The cost to attend is $60 per person. Instructors are $40 and students $25. The 2012 inductees are:

1. JOHN SCHICK At his death, John was the Assistant Dean of the Drivon School of Law. He taught at the school for 40 years, longer than any other instructor. He was a graduate of UC Davis King Hall School of Law and President of their Alumni Association. He practiced criminal law in Stockton all those years and had an excellent reputation. The proceeds of this year’s event will go to establishing the John Schick Criminal Law Center.

2. BARBARA FASS Now retired and living in Arizona, (but will return for this event.) Barbara graduated from Humphreys Law School in 1974. With Ann Cerney, Roleen McIlwrath, and Judith Yecies, formed the first all-women law firm in the county. She served on the Stockton Planning Commission, and was elected to the City Council in 1979. In 1985 she became the first woman Mayor of Stockton and served until 1990. She was responsible for setting up the Stockton Magnolia Historical District and setting up the corporation to handle the money received after the Cleveland School shooting. That fund has distributed hundreds of scholarships to Cleveland students.

3. THE HONORABLE GEORGE ABDALLAH JR. Judge Abdallah graduated Humphreys Law School in 1980. He practiced law for seven years until becoming the Manteca Court Commissioner in 1987. In 1995 he became a Municipal Court Judge and in 1998 joined the Superior Court. He served as Presiding Judge from 2002 to 2003. He has extensive teaching experience at Humphreys College, the University of Pacific and the Drivon Law School. He served as a trustee of the Stockton-San Joaquin libraries, on the Judicial Council, and the Commission on Judicial Performance. He is well known for teaching judges in their training programs. He is married to Judge Elizabeth Humphreys.

4. LARRY DRIVON Larry graduated from Humphreys Law School in 1970 and stayed the extra year, then a requirement, to earn the JD in 1971. He began practice in Lodi and after six days in the office of

attorney Leonard Cain tried his first civil trial. In 1972 he was President of the San Joaquin Trial Lawyers. When Judge Grande was sworn in, Drivon and Archie Bakerink took over his Tracy practice. Eventually, Stu Tabak joined as a partner. Larry’s office set up the first law firm in California with computer based records. He holds the record for the longest criminal trial in the county, along with Dean Patrick Piggott. The firm had a partnership with Melvin Belli from 1982 to 1985. He served as President of the California Trial Lawyers (now Consumer Attorneys of California). From 2000 to 2002 Larry volunteered to be the attorney for a Legislative Committee in Sacramento and began the process that brought ENRON to its knees. He was the San Joaquin Attorney of the Year in 2003. His biggest success was his relationship with Jeff Anderson and their remarkably successful civil trial record representing victims of child abuse. He retired in December, 2008.


Janette Rossell is an attorney with the Rossell Law Office in Stockton handling juvenile delinquency (defense) and minor's counsel (guardianships). Contact Janette at (209) 473-1811.

AB109 Roundtable Program Hosted by the Criminal Law SectionJanette Rossell The Public Safety Realignment law popularly known as Assembly Bill 109 is described by the California Department of Corrections & Rehabilitation as “the cornerstone of California’s solution for reducing the number of inmates in the state’s 33 prisons.” AB 109 allows offenders serving sentences for non-violent, non-serious, and non-sex-related offenses to serve their sentences in county jails instead of state prisons. San Joaquin County is a leader in the implementation of AB109, having put a plan in place before “clients” began reporting to probation under this program. On Tuesday, July 12, 2012, the Criminal Law Section of the San Joaquin County Bar Association hosted a brown bag program presented by Stephanie L. James, San Joaquin County’s newly appointed Chief Probation Officer. Ms. James provided those in attendance with information about the AB 109 programs provided to clients who are being sentenced under AB 109. San Joaquin County’s Community Corrections Partnership (CCP), established under Penal Code§section 1230, is responsible for this development and implementation of the local plan for the realingment. The CCP Executive Committee is comprised of:

• Chief of Probation• Chief of Police• Sheriff• District Attorney• Public Defender• Presiding judge of the Superior Court (or his/her designee)• A representative from either the County Department of Social Services, Mental Health, or Alcohol and Substance Abuse Programs, as appointed by the County Board of Supervisors.

Defendants accepting “straight” sentences routinely serve a period of time in custody and then return to the community under the supervision of the San Joaquin County Probation Department. During that period of probation, should an individual violate the terms and conditions of his release on probation, he/she may be returned to custody for an additional period of time for that violation. Alternatively, individuals that accept a “split” sentence would serve an agreed upon period of time in custody and then be released to participate in a variety of programs and services provided under the AB 109 umbrella. These individuals are not released from custody under “terms

and conditions of probation” such that they might be returned to custody for violations of probation. Upon release, they have served their sentences. The Probation Department has set up a center to serve their AB 109 “clients,” coordinating services with other agencies to assist individuals with a host of issues including, but not necessarily limited to, housing, substance abuse, mental health and employment-related issues. The center is currently focused on those individuals entering probation supervision under AB 109. However, it is the goal of the Probation Department to eventually extend these services to all of their clients. While it may still be too early to assess the impact of these services, many inside and outside the Probation Department are hopeful that these programs will reduce the recidivism rate among their participants.


The Paralegal Section of the San Joaquin County Bar Association Presents

A Meet & Greet Mixer

Friday, August 24th6 pm - 9 pm

Misaki Sushi and Bar222 N. El Dorado Street

Stockton, CA

For more information please contact

Sandra Rivera at [email protected]

Please join us and meet the members of the Paralegal Section!


Bar Calendar & Member Announcements

Unless otherwise indicated, all meetings start at 12 noon and are held at the SJCBA office.

New Members to the SJCBA• George R. Gillespie• Raina M. Rochert

Calendar Change for Department 42Beginning January 1, 2013, Case Management Conferences in Department 42 will start at 8:30 am. All Case Management Conferences before that date will be heard at 8:45 am.

2012-2013 Directory UpdateWe are hard at work on the 2012-2013 Desk Refer-ence & Membership Directory. If you have not submitted your current information or photograph to the SJCBA, there's still some time. Please contact Natalie Vernon at 209.948.0125 or [email protected] if you have any questions.

August 2012

Monday Tuesday Wednesday Thursday Friday

1

6 7 8 9

2 3

13 14 15 16

10

17

20 21 22 23 24

27 28 29 30 31

LRS Comm

ATB

Criminal Law Round Table

Women Lawyers Ex Comm

Family Law Ex Comm w/ Bench

Criminal Law Ex Comm LPM&T Ex Comm

Board of Governors MCLE Comm Paralegal Ex Comm 11:30 AM

Judicial/Professional Liaison Comm

CAC Comm

Barristers Ex Comm

Board of Governors Ex Comm

Civil Lit Ex Comm

Program Comm

Judicial Evaluation Comm

MCLE: Women Lawyers Judges RounDtable

5:30 pm at Knowlton Gallery

Barristers Mixer The AVE

5:30 pm-7:30 PM

Paralegals Mixer Misaki

6:00 PM—9:00 PM

Fair Court Funding Comm

SJCBA’s Public Legal Clinic

4:00 PM—6:00 PM SJC Law Library

Board of Governors NominationsEach candidate needs five nominations from SJCBA mem-bers in good standing. All nominations are due to the SJCBA office by October 7, 2012. They can be emailed, faxed or dropped. off. Please see pages 20-21 for the forms.

Law Day 2013 NominationsNominations are due to the SJCBA office by September 10, 2012. Please see page 15 for the form.


Bar Calendar & Member Announcements

Unless otherwise indicated, all meetings start at 12 noon and are held at the SJCBA office.

September 2012

Monday Tuesday Wednesday Thursday Friday

3 4 5

10 11 12 13

6 7

17 18 19 20

14

21

24 25 26 27 28

Civil Lit Ex Comm MCLE Comm

LRS Comm Criminal Law Round Table

Women Lawyers Ex Comm

Family Law w/ Court Mediators

At Family Law Courthouse

Criminal Law Ex Comm LPM&T Ex Comm

Board of Governors

CAC Comm Paralegal Ex Comm ATB

Program Comm

Barristers Ex Comm

Board of Governors Ex Comm

Labor Day Holiday SJCBA and Courts

Closed

MCLE: Setting Up and Streamlining a Small Firm or Solo Practice

FREE

Judicial Evaluation Comm

Super Lawyers in San Joaquin CountySuper Lawyers Magazine has once again recognized many San Joaquin County Bar Association members as 2012 North-ern California “Super Lawyers,” including: Christopher H. Engh, Kroloff Belcher et al.; Joseph H. Fagundes, Cassel Malm Fagundes LLP; Michael D. Hakeem, Hakeem Ellis & Marengo; Steven A. Herum, Herum\Crabtree; Peter J. Kelly, Riggio, Mordaunt & Kelly; Michael C. Kronlund, Quinn & Kronlund, LLP; Michael R. Mordaunt, Riggio, Mordaunt & Kelly; William H. Parish, Parish & Small; Jeffrey E. Prag; Daniel F. Quinn, Quinn & Kronlund; M. Max Steinheimer, Downey Brand LLP; Clifford W. Stevens, Neumiller & Beardslee; and Stewart M. Tabak, Tabak Law Firm.

Additionally, Super Lawyers Magazine has recognized the following as 2012 Rising Stars: Brett S. Jolley, Herum\Crab-tree; Stephen P. Mackey, Law Offices of Stephen Paul Mackey; Nathan R. McGuire, Neumiller & Beardslee; and Matthew J. Weber, Downey Brand LLP.


Classified

Cort Tower Office Space Available343 E. Main Street, Stockton, CA 95202• 10 story classic office tower• National Historic Landmark with all modern amenities• Rental Rate: $.95 psf (+PG&E)• Two high-speed elevators• Secure code access entry• Free use of Executive Conference Room for tenantsFor More Information Please Contact

Mahala Burns, Broker (209) [email protected] • www.cortco.com

Ruhl Building - Reduced Price523 East Main Street, Stockton, CA 95202• Three excellent ground floor suites available with

new building facade• Property Type: Office or Retail• Rental Rate: $0.75 psf negotiable (+PG&E)• Suites 521 - 2,432 sf• Suites 523 & 527 - 2,000 sf• Directly across from the San Joaquin Superior Court Family Law CourthouseFor More Information Please Contact

Mahala Burns, Broker (209) [email protected] • www.cortco.com

Missing WillLooking for the will of Shirley Ann Robinson (DOB 9/18/37). It was probably prepared in 1988. Send your response to Jeffrey Heiser, Esq/Heiser Law Corporation (209) 948.6400.


Classified

Elks Building 42 N. Sutter Street, Stockton, CA 95202• Office space available• Single office to full floor • Newly renovated offices• Lease Rate: starting at $.50 psf • Tenant pays PG&E and janitorial • Professional tenant mix • Located in the Central Parking District • Walking distance to business/government offices

and restaurants

For More Information Please Contact

Mahala Burns, Broker (209) 235-5231 [email protected] • www.cortco.com

Office Space AvailableKress Building - 3rd Floor20 N. Sutter Street, Stockton

• 952 Square Feet• Single office to full floor• Tenant pays PG&E and janitorial• Located in the Central Parking District• Walking distance to business/government offices

and restaurants

For More Information Please Contact

Mahala Burns, Broker (209) 235-5231 [email protected] • www.cortco.com

Professional Offices to be Leased333 E. Channel Street, Stockton• One block from Courthouse• 3,300 square feet - all on first floor• $3750.00 per month• Office furniture in place• Phone system, CAT-5 computer networking• Basement storage • Alarm system• Tenant pays PG&E, janitorial, parking & liability insurance

Please Contact Exclusive Agent

Chuck Lantznester (209) 951-1888 ext. 11 License: DRE#:01260760


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