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Russ Kick [email protected]
Re: OPR FOIA No. F18-00040
Dear Mr. Kick:
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W., Suite 3266 Washington, D.C. 20530 (201) 514-1365
HAR 1 9 2018
This letter responds to your January 13, 2018 Freedom of Information Act (FOIA) request to the Office of Professional Responsibility (OPR) seeking closing memoranda of OPR's investigations with substantiated findings during calendar year 2017. OPR received your request on January 16, 2018. It has been assigned request number FIS-00040. Please refer to that number in any correspondence pertaining to this matter.
By letter dated January 23, 2018, QPR advised you that it would consult with another Department component regarding the 53 pages responsive to your request. That consultation is now complete, and I have determined 53 pages are appropriate for release with excisions made pursuant to Exemptions 3, 5, 6, and 7(C) of the FOIA, 5 U.S.C. §§ 552(b)(3), (b)(S), (b)(6), (b)(7)(C). Exemption 3 pertains to matters specifically exempted from release by statute, in this
· instance, Rule 6e, which pertains to grand jury information. Exemption 5 pertains to certain interand intra-agency communications protected by the deliberative process privilege. Exemption 6pertains to material the release of which would constitute a clearly unwarranted invasion of thepersonal privacy of third parties. Exemption 7(C) pertains to records or information compiled forlaw enforcement purposes the release of which could reasonably be expected to constitute anunwarranted invasion of the personal privacy of third parties.
For your information, Congress excluded three discrete categories of law enforcement and national security records from the requirements of the FOIA. See 5 U.S.C. § 552(c) (2006 & Supp. IV 2010). This response is limited to those records that are subject to the requirements of the FOIA. This is a standard notification that is given to all our requesters and should not be taken as an indication that excluded records do, or do not, exist.
If you have a question, you may contact OPR's FOIA Public Liaison at the telephone number and address listed above. Additionally, you may contact the Office of Government Information Services (001S) at the National Archives and Records Administration to inquire about the FOIA mediation services they offer. The contact information for OGIS is as follows: Office of Government Information Services, National Archives and Records Administration, 8601 Adelphi Road-OGIS, College Park, Maryland 20740-6001, e-mail at [email protected]; telephone at 202-741-5770; toll free at 1-877-684-6448; or facsimile at 202-741-5769.
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If you are not satisfied with my response to this request, you may administratively appeal by writing to the Director, Office of Information Policy (OIP), U.S. Department of Justice, Suite 11050, 1425 New York Avenue, N.W., Washington, D.C. 20530-0001, or you may submit an appeal through OIP's FOJAonline portal by creating an account on the following web site: https://foiaonline.regulations.gov/foia/action/public/home. Your appeal must be postmarked or electronically transmitted within 90 days of the date of my response to your request. If you submit your appeal by mail, both the letter and the envelope should be clearly marked "Freedom of Information Act Appeal."
If you are dissatisfied with the result of any appeal you make,judicial review may thereafter be available to you in the United States dish·ict court for the judicial district in which you reside, or in which you have your principal place of business, or in the District of Columbia.
Sincerely,
Lyn Hardy Special Counsel for Freedom of Information and Privacy Acts
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MEMORANDUM
TO: Monty Wilkinson Director Executive Office for U.S. Attorneys John V. Geise Chief
U.S. Department of Justice
Office of Professional Responsibility 950 Pennsylvania Avenue, N. W., Suile 3266 IVaslzington, D.C. 20530
JUN O 8 2D17
Professional Misconduct Review Unit
FROM: SUBJECT:
Robin C. Ashton � �Counsel Repo11 oflnvestigation into the Conduct of Fo1mer AUSA FAUSA , AUSA
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Based on the results of its investigation, OPR concluded that AUSA intentional professional misconduct by
Based on the results of its investigation, OPR concluded that former AUSA -engaged in intentional professional misconduct by:
•
•
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•
•
-and
•
Finally, OPR concluded that FAUSA did not engage in professional misconduct,
OPR previously informed AUSA .... and former ......... of its conclusion that neither engaged in professioiialiiiisconduct or ex�t in the matter.
Enclosure
cc: Jay Macklin General Counsel Executive Office for U.S. Attorneys (with enclosure)
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MEMORANDUM
TO: Monty Wilkinson Director Executive Office for U.S. Attorneys
John V. Geise Chief
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N.W., Suite 3266 Washington, D.C. 20530
JAN 1 3 2017
Professional Misconduct Review Unit
FROM: Robin C. Ashton Counsel
SUBJECT: Report of Investigation into Professional Misconduct Allegations against Assistant U.S. Attorneys (AUSAs)
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Attached is the Office of Professional Responsibility (OPR) final report of investigation pertaining to Assistant U.S. Attorneys (AUSAs)
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: (1) committed ations, they failed
(2) committed
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Attachments
cc: Scott Schools Associate Deputy Attorney General (with attachment)
Jay Macklin General Counsel, EOUSA (with attachment)
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MEMORANDUM
TO: Monty Wilkinson Director
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W.. Suite 3266 Washington, D.C. 20530
MAY 1 2 :011
Executive Office for U.S. Attorneys
John V. Geise Chief Professional Misconduct Review Unit
FROM:
SUBJECT: Report of Investigation into Allegations of Misconduct against Former Assistant U.S. Attorney
Enclosed is the Office of Professional Responsibility (OPR) Report of Investigation regarding the conduct of former Assistant U.S. Attorney
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exercised poor judgment in failing to
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Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys (with enclosure)
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MEMORANDUM
TO: Monty Wilkinson Director
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W., Suite 3266 Washington, D.C. 20530
NOV 2 8 2017
Executive Office for U.S. Attorneys
FROM:
SUBJECT:
John V. Geise Chief Professional Misconduct Review Unit
Robin C. Ashton Counsel
Enclosed is the Office of Professional Responsibility (OPR) final Report of Investigation into allegations that Assistant U.S. Attorney (AUSA)
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Based on the results of its investigation,
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. OPR concluded, however, that AUSA- acted professional obligations by engaging in a pattern of improper conduct
acted in reckless disregard o
Enclosure
cc: Jay Macklin General Counsel Executive Office for U.S. Attorneys (with enclosure)
Scott N. Schools Associate Deputy Attorney General (with enclosure)
pro ess1ona o 1gattons,
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•• • ·, • • •.-.;;;.-.·:--.•.;;; •• : • .• •-·•.··,· - - - • , -�.- r.r.;-..-r.. • .-.·.;.- •• ., • • · .. ., - , . - • -- •• -· •• -•• •• • .... -c;r- · r-� .,_- ___ ...... -.•. .. ... -�--- r• • " •••• ••·•-·-- •• • ••• , •••• ·;::·.✓-.-
MEMORANDUM
TO: Monty Wilkinson Director Exec-utive Office for U.S. Attorneys
John V. Geise Chief
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, NW., Suite 3266 Washington, D.C. 20530
SEP.O12017
Professional Misconduct Review Unit
FROM: Robin C. Ashton Counsel
SUBJECT: Report oflnvestigation of Assistant United States Attorney Alleged Discovery Violations
into
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OPR further concludes that AUSA engaged in professional misconduct in violation of Rule of Professional Conduct ■by acting in reckless disregard of■ obligation to
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and to contact Professional Misconduct Review Unit Chief Jack V. Geise for information
concerning this matter.
Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (without enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys ( with enclosure)
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U.S. Department of Justice
Office of Professional Responsibility
950 Pe11nsylvania Avenue, N. W., Suite 3266 Washi11gton. D.C. 20530
MEMORANDUM FEB 2 7 2017
TO:
FROM:
SUBJECT:
Monty Wilkinson Director Executive Office for U.S. Attorneys
John V. Geise Chief Professional Misconduct Review Unit
�
Robin C. Ashton V Counsel
Report oflnvestigation into Professional Misconduct Allegations Against Assistant U.S. Attorney
Enclosed is the Office of Professional Responsibility (OPR) Report of Investigation regarding the conduct of Assistant United States Attorney (AUSA)
Upon the completion of its investigation, concluded that AUSAIIII committed professional misconduct by acting in reckless disregard of • obligation to
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and has directed to contact Professional Misconduct Review Unit Chief John V. Geise for further information regarding this matter.
Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys (with enclosure)
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MEMORANDUM
TO:
FROM:
Monty Wilkinson Director Executive Office for U.S. Attorneys
U.S. Department of Justice
Office of Professjonal Responsibility
950 Pennsylvania Avenue. N. II' .. Suite 3266 IVashinglon, D.C. 20530
AUG 1 4 2017
SUBJECT: Repo11 of Investigation into Professional Misconduct Allegations Against Assistant U.S. Attorney
Enclosed is the Office of Professional Responsibility (OPR) Report of Investigation into allegations that Assistant U.S. Attorney (AUSA) committed professional misconduct
Based on the results of its investigation, OPR concluded that - did not commit professional misconduct by knowingly or recklessly violating■ duty o�r to the tribunal.
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With respect to the second misconduct allegation, OPR concluded that committed professional misconduct nor exercised poor judgment
Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys ( with enclosure)
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MEMORANDUM
TO: Monty Wilkinson DLrector Executive Office for U.S. Attomeys
John V. Geise Chief
U.S. Deparhnent of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, NW., Suite 3266 Wnshing1011, D.C. 20530
MAY 1 7 2017
Professional Misconduct Review Unit
FROM: Robin C. Ashton Counsel
SUBJECT: Repor1 of Investigation into the Conduct of AUSA
Enclosed is the final Office of Professional Responsibility (OPR) Report of Investigation into the Conduct of A USA
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- --- ---
Based on the results of its investigation, OPR determined that AUSA-(1) committed professional misconduct in reckless disregard of■ obligation under U�licy to obtain authorization from ■ supervisors before suggestmg to a cooperating defendant that a further downward departure m sentencing was possible; (2) committed professional misconduct in reckless disregard of obligations under Giglio v. United States, 405 U.S. 150 (1972),111111111111
; and (3) c� professional miscon uct m rec ess 1sregar 1gat ons
Enclosure
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cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys ( with enclosure)
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MEMORANDUM
TO: Monty Wilkinson Director Executive Office for U.S. Attorneys
John V. Geise Chief
U.S. Department of Justice
Office of Professional Responsibility
950 Pe11nsylva11iaAvenue. N.W .. Suire 3266 Washing/on, D.C. 20530
J.AN 3 0 2017
Professional Misconduct Review Unit
FROM: Robin C. Ashton Counsel
SUBJECT: Report of Investigation Assistant U.S. Attorney
Enclosed is the Office of Professional Responsibility (OPR) Report of Investigation into of professional misconduct by Assistant United States Attorney (AUSA)III
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, based on the results of its investigation, OPR concluded by a preponderance of the evidence that AUSA did not purposefully or knowingly violate -Rule of Professional Conduc when, during.closing argument,■ improperly vouched for the government's witnesses
and instructed Misconduct Review Unit for further information.
Enclosures
cc: Scott Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel, EOUSA (with enclosure)
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U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W., Suite 3266 Washington, D.C. 20530
SEP 2 8 2017 MEMORANDUM
TO:
Monty Wilkinson Director Executive Office for U.S. Attorneys
FROM: Robin C. Ashton n n' f):sS� Counsel \ \....A./'
Attached is the Office of Professional Responsibility (OPR) Report of Investigation into
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Based on the results of its investigation, OPR concludes that AUSA 11111 did not commit professional misconduct. OPR found that AUSA did not violate a clear and unambiguous standard when
did not engage in professional misconduct by failing
Finally, OPR concludes that AUSA properly handled privileged material
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cc: Jay Macklin
General Counsel Executive Office for U.S. Attorneys (with attachment)
John V. Geise Chief Professional Misconduct Review Unit (with attachment)
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MEMORANDUM
TO: Monty WilkinsonDirector Executive Office for U.S. Attorneys
John V. GeiseChief
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue. N. W .. Suite 3266 Washington, D.C. 20530
SEP 2 6 2017
Professional Misconduct Review Unit
FROM: Robin C. Ashton () _. {M Counsel \ U-,) -
�
SUBJECT: Report of Investigation into Former Assistant U.S. Attorney
Enclosed is the Office of Professional Responsibility (OPR) Report of Investigation intoprofessional misconduct by former Assistant U.S. Attorney
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Enclosure
cc: Scott Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel, EOUSA (with enclosure)
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MEMORM1DUM
TO:
U.S. Department of Justice
Office of Prof essiooal Responsibility
9SO Pennsylvania Avenue, N. W,, Suite 3266 Washingron, D.C. 10530
MAR 2 9 2017
FROM: Robin C. Ashton �
� Counsel
SUBJECT: Report of Investigation into Senior Attorney
Trial Attome
Attached is the Office of Professional Responsibility (QPR) Report of Investigation into Trial
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Based on the results of its investigation, OPR concluded that Trial Attorney Senior Attorneys did not commit professional misconduct.
2
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Attachment
cc: Scott N. Schools Associate Deputy Attorney General (with attachment)
John V. Geise Chief Professional Misconduct Review Unit ( with attachment)
3
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ME:MORANDUM
TO:
John V. Geise . Chief
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue. N. W.. Suite 3266 Washington, D.C 20530
NOV 2 12017
Professional Misconduct Review Unit
FROM: Robin C. Ashton :l!J Counsel \
SUBJECT: Report oflnvestigation into Trial Attorney
The Office of Professional Responsibility (OPR) has completed its investigation regarding allegations that U.S. Department of Justice Trial Attorney made unauthorized disclosures of attorney-client privileged information to a third party
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Based on the results of itc;; investigation, OPR reached the following conclusions. With respect to the unauthorized disclosures of attorney-client privileged information, OPR concluded that did not en a e in rofessional misconduct but that exercised poor judgment.
to contact the Professional Misconduct Review Unit for further infonnation
2
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Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
3
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MEMORANDUM
TO: Monty Wilkinson Director Executive Office for U.S. Attorneys
John V. Geise Chief
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W, Suite 3266 Washington, D.C. 20530
MAR 2 9 2017
Professional Misconduct Review Unit
FROM:
SUBJECT:
Robin C. Ashton � Counsel \
Report oflnvestigation of Former Assistant United States Attomey for Failure to Maintain an Active Bar Membership
The Office of Professional Responsibility (OPR) has completed its investigation into the failure of former Assistant United States Attorney to maintain an active membership with the State Bar from
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Based on the results of its investigation, OPR concludes by a preponderance of the evidence that- engaged in professional misconduct by acting in reckless disregard o9 statuto
i and Department obligations to maintain an active membership in at least one state bar when failed to timely pay■ Bar dues. OPR also concludes by a preponderance of the evidence that - engaged in professional misconduct by acting in reckless disregard of the rulesprohibiting the unauthorized practice of law when■ practiced law during the time that■ was notan active member of the Bar. QPR further concludes by a preponderance of the evidence that
committed intentional professional misconduct when Bar membership had been administratively suspended. Finally,
did not falsely certify that was an active member of the Bar,
I to contact Professional Misconduct Review Unit Chief
Jack V. Geise for information concerning this matter.
Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (without enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys (with enclosure)
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MEMORANDUM
TO:
Jolm V. GeiseChief
U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W., Suite 3266 Washington, D.C. 20530
DEC 1 ;:; ·.r 7 t, LU.
Professional Misconduct Review Unit
�FROM: Robin C. Ashton � I'.�
Counsel \ \jJ" .
SUBJECT: Re ort of Investigation regarding Conduct of Fonner Senior Trial Counsel
Enclosed is the Offic-e of Professional Responsibility (QPR) Report of Investigation into- ... - • ! !
Based on its investigation, QPR has concluded that professional misconduct by violating the duty of candor emboof Professional Conduct
engaged in intentionalRules
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Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
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U.S. Department of Justice
Office of Professional Responsibility
9 50 Pennsylvania Avenue. N. W:, Suite 3266 Washington, D.C 20530
SEP O 1 2017
MEIVIORANDUM
TO:
FROM:
SUBJECT:
Monty Wilkinson Director Executive Office for U.S. Attorneys
Robin C. Ashton�
Cmmsel
Report of Investigation into Allegations of Misconduct against Assistant U.S. Attorneys
Enclosed is the Office of Professional Responsibility (QPR) Report of Investigation regarding the conduct of Assistant U.S. Attomeys (AUSAs)
and former AUSA
i.
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i:
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Based on the results of its investigation, OPR concluded that AUSA violated■ constitutional discovery obligations, Department and USAO policies, Rule of Professional Conduct 3.8, an order by failing to disclose material impeachment information to the defendant.
Although OPR did not :find that AUSA � committed professional misconduct, OPR concluded that AUSA exercised extremely poor judgment whe
demonstrated a lack of candor to the court in the ex
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OPR also concluded that AUSA with respect to the govermnent's violation respect to AUSA lack of candor.
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did not col11Illlt professional misconduct disclose impeachment evidence or \Vith
did not commit professional misconduct
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Attachment
cc: Jay Macklin General Counsel Executive Office for U.S. Attorneys (w/attachment)
John V. Geise Chief, J>rofessional Misconduct Review Unit (w/attachment)
-7-
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U.S. Department of Justice
Office of Professional Responsibility
950 Pennsylvania Avenue, N. W., Suite 3266 Washington, D.C. 20530
APR 1 8 2017
MEMORANDUM
TO:
FROM:
Monty Wilkinson Director Executive Office for United States Attorneys
John V. Geise Chief Professional Misconduct Review Unit
Robin C. Ashton Counsel
SUBJECT: Report of Investigation of Assistant U.S. Attome Failure to Maintain an Active Bar Membership
for
The Office ofl)rofessional Responsibility (OPR) has completed its investigation into the failure of Assist�t U.S. Attorney (AUSA) to maintain an active bar membership for a period of
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OPR further concluded by a preponderance of the evidence that engaged in intentional professional misconduct when, in violation of the rules prohibiting the. unauthorized practice of law, ■ continued fo practice law when ■ was not an active member of a bar. OPR also concluded by a
re onderance of the evidence that committed intentional professional misconduct when that■ was not an active member of at least orie
state bar and not authorized to practice law.
QPR further concluded by a preponderance of the evidence that - engaged iii professional misconduct by acting in reckless disregard of obligation to maintain an active membership in at least one state bar,
OPR also concluded by a preponderance of the engaged in intentional professional misconduct when ■ continued to
, in violation of the rules prohibiting the unauthorized practice of law. Finally, QPR concluded by a preponderance of the evidence that committed intentional professional misconduct
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.;,:.-.:.:; .:1
directed to contact the Professional concerning the disciplinary process.
Enclosure
cc: Scott N. Schools Associate Deputy Attorney General ( with enclosure)
Jay Macklin General Counsel, EOUSA (with enclosure)
·••••• .•..•••••.••.•••. ·.·,:.; .• ,; '.j
and has
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MEMORANDUM
TO: · Monty Wilkinson Director Executive Office for U.S. Attorneys
John V. GeiseChief
U.S. Depa11ruent of Justice
Office of Professional Responsibility
950 Pennsylvania A1,enue, N. W, Suite 3266 Washington, D C. 20530
SEP· 11 2017
Professional Misconduct Review Unit
FROM: Robin C. Ashton \Counsel
SUBJECT: Re ort of Investigation into the Conduct of Assistant U.S. Attorney (AUSA)
Enclosed is the final Office of Professional Responsibility (OPR) Report of Investigationinto the Conduct of AUSA
. . . . . . .. --· . �,.
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Based on the results of its investigation, OPR concluded that in- AUSA committed intentional professional misconduct in violation of obligations under
, and Department
and has directed to contact John V. Geise, Chief of the Professional Misconduct Review Unit, if
!lllllllias any questions about this matter.
Enclosure
cc: Scott N. Schools Associate Deputy Attorney General (with enclosure)
Jay Macklin General Counsel Executive Office for U.S. Attorneys (with enclosure)
- 2.
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· ------- ·---·-:-c:c- '.I
DM 421927
•
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