Alabama
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, • sour 0 • Union Bank \\.Orb closely with many Alaooma attorneys in admi n istratiOn of trusts and estates. We've built our rcpurarion on prudent and progressive trust mrmagcmcnt. As Alabama's largest independent bank, our computerized system gives lIS state-of-the-art capabilities and gives your client total confidentiality, All operational and invesnncm decisions arc made witl'lin ooT o\\'11 TOESt Department. And as a homctcmn bank, we take pride in lx.-ing able to give professional, personalized attention ID every client.
To find out if}UUr client could benefit from Union Bank's rapidly growing Trust Department. conl3Ct lt5 rod.1y.
Member ':1)IC
60 Commerce Street c Montgomery, Alabama 36104 D (205 ) 265-8201
TURN DAMAGE •
Into
DOLLAR$ Determining Disability and
Personal Injury Damage Medical Evaluation for Trial Lawyers by). Sta nley McQuade U.B., M .D., Ph.D.
Many lawyers
pr~ntly
rely on computer services andlor past cases to determi ne compensation
IREWARD YOUR CLIENT and YOURSELF I with this mode rn tool wh ich contains several hundred illustration$. Yo u will be able to uptain the complexities o ( Medical Evide nce: to ultimately achieve TR UE, J UST, and ADEQUATE
COM PE NSATIO N.
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ORDER FOR'"
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'I'W;I':.iIlAHHISON COImINy. PUBUSm:/{s
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THE SEPTEMBER
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FOI'edosare Sale GI' Banknaptcy Court?'
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Pictund in front of tbe newly ~ stored fountain In downtown Mont· pnery IS Walter R. Byars, who be-came prmidenl of the Alabama Slate Bar inJuly•
,
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On the Cover
How to Succ!ed on ..Cert" -",2'70 Compl!lll'!Ce with PI tIII:ecIuralllI!pIit impnbVeinobtaininr_ddrdllionsofcounaolappeall. The-.01 Il!YleW
by ~ it deiaibod in
Rule 39(k) ARAP SiQJ • • 11/81
1984 ISSUE IN BRIEF Correction In tlwJuly issue you metour new oor O)mmissioners: ho"'ever. becalise of a typogr.aJlhic;ol "'~I • ..'~ " 'oold like to rridenlify AJ. Coleman 01 Decatur. We had him l1Slfd
as
. Please excuse our
Upcoming
GoinI for the Gold
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...-
October3 ! -No-'ember I. 1984
Fo:nign Sales Corporation Seminar (~places
Exponers Dl SC) Point Clear
Meet Bob Cunnmatwn. I MoIIiJe laW]'«.1Io hili CIDIJIpded m K¥en hi·
July 25.27,1985 Alabama State Bar
..,.
Ithloaa tince his first lUll: tnt )'ell'
Annual Meetil1@ lIunls"ille
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AIIMelMee' lu. RIf'HII* - ... 302
]'midtnCs Pa,g<! ,. _.. , •.. 2 1-1 EXfCUlive DirfCtor's RepOrt ... 245 1~len to.he EditO'" ...... 246 Ridioa the CiTroi\s . . , •........ 262 r
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Blue SHM SmiIinC?
Mod pnctibon!n ......, bPe little familiaritJ with the AI ........ Securi_Act.~althillrP
lallon .1 Important _ the e!IICt. menl bM .weepi.~
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Bar Blid..................... 2fe CI.E Opportunities ........ 276 rr
••
Young l.awl'ef'5 Stctioo ... 279 Cl ENews ..... , ... , . .•.... 281 About M~mbers. Among r
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Firms , ...... , ......... . 284 Recent Decisions ... " . __ ...... 286 legislative Wrap-Up .......... 293 Opinions allhe
General Counsel __ .......... 306 Di~plinary
Repon .••...••... :J)9
]n Memoriam ..... .. .......... 3]0
Cbssirl«b .................... 3]2
..
<"1~resideJt!:'s ~age
A Year of Challenge .. and of Opportunity
I
n my first repOrt to you as presi. dent of the Alabama Stale Bar. I muSt acknowledge with humility that yoo have bestowed upon me yoor highest honor and my greatest honor by choosing me \0 serve as your president. You also have presented me with an awesome responsibility. and t shall endeavor to cafl')' on in the fine tradition of thOlll! who have sel"\'OO before me with distinct ion. 1 pledge !oJ you my talents and best efforts. with full reali· ~lion thaI [have large shoes to filL
were forty·two committees and task forces in place as a result of. the early appointment by the then president· elect. For the coming )'Car. there are fifty-one which were. again, in place by the time of the Annual Meeting, ac· tively pursuing the Bar's programs for the coming year, The enth usiasm of the l<>adership and membershipof these committees and task foroes was demo onstrated by the attendan<;e of IIlQI"e
The Slate Bar's Annual Meeting in Mobile. under the leadership cI Bill Hairston and the planning and guidance of. Reggie lIamner. was. in my opinion, (IIlr finest con"ention. We had 889 lawyers registeml - Ihe largest ever, T he Riverview Plaza waS an ex· cellent choice of I'hysical facilities. and the Mobile Bar and convention com· mittee provided us with all the best in Mobile hospitality. The Bar program was outstanding from an educational.
business. and sacial standpoint. The 1984-85 I'ear is one of. challenge to lawyer.>. to the bench and bar. and to OUr legal system , I inherit the reinsof a viable. 8Cti"e organization with many exc:ellent ongomg pn::grarns. Still, there is so much to be done. The stakes are high - the preservation oi oor profes· sion and oi our legal system. During the preceding year. there
'"
"As la wyers, we mlls t expect more of orH""Seil:es and "'list condllct Qllrsell;es ethically, professiollally an d competently. "
than three hundred at the <;ommil1ee breakfast held in <;onjunction with the Annual Meeting in Mobile. Each <;om· mittee or task force has an important role in our collective effort toward sue· cess oi oor bar. our profession and oor legal system. Our major challenge is our poor public image - how the public perceives lawyers. Our best opportunity is toproject to the publicour true image -that
lawyers are the proIectOfS of their system of gm'ernment o/laws. rather than '" men. of. their personal and propeny rights and of their freedoms. Much of. the public's cynicism with lawye-rs arises out of its lack of under· standing of our legal system and the lawyer's role in that sYStem. and because of the escalating cost and e x· pense of litigation. A task force has been charged with responsibility of studying and evaluat ing alternati,-e means of dispute resolution. Funher. Ihe Task Forceon AppeliateCouns has been established 10 review the neros in the area of appellale review. to rocom· mend changes in the present system that would benefit the processing and review of cases, and to determine whether or not our rules oi procedure minimize the need of appellate review. Someof our image problem may well come Irom media coverage of the criti· cism of lawyer competency from high places. Your bar has already established a suroessful mandatory continuo ing legal education program . Now it s committees and task forcnare consid· ering and evaluating legal education, preadmission apprenticeshiplintern· ship programs, peer review, specializa· tion. and judicial evaluation of lawyers as means of increasing lawyer com · petency.
&pi".."" 1984
GExecutive <Director's ~port
Conventions Three
" ' " T
Mobile . 198<1 many complimrnt$ tllat have ~n r«Jei\'ed on (lUr Mobile annual meeting plus the
record registration have been gr.ttify· ing. E,'try meeting and prt.lgnIm. wilh one ~ion. ",'as filkd tocapliCil y. The Ri''rrv~ Plaza and ill staff were outstanding. All the planning in the II,orld without a dtdicated hotel staff W<)Uld be useN. This ~ar was even more rftlIarkabie since the bar and the hold were new to each othtr. The Mobile' 8M uhibited ill cuslomary hospitality lhal evokes the u i· ttlnia! inquiry of. "Why can'! we meet in Mobile every year'" President Saie Lyons. local arrangements chairman Chris Hurne. bar au~i]iary president Mortn Riley, and Mobilt bar ex«u.tivt diTtdor Barbal"il RI\odesC(IU1d not ha,~ befon more supportive. They and Ihe many committee members wilh whom they worked a~ due our ooIltctivt thanks. The Mobile Bar has bemcalJed \0 perlonn double duty this 1964 )ur. It ~ntly hosl«d the Eleventh Circuit Judicial Conference in May. The Young Lawyffi' Section Update '84 was the btsl ever! Carol Ann Smith and htr oommillte members. along with MetE Slaff Dirtctor MN)' Lyn' Pike, did a SIIptfb job in coordinating tlleootstanding prestntations, We had over four hundred people present in
each U our RSSions, Socially, the Dtssffl and Nightcap
Party wasltremendous success, This new event, along wit h the Jav: Brunch on Saturday, was ....ell attended, Spann Milner and Insuranet Specialists ,lnc.• hosted the ~l nwmbership oxk. tlil r(U1ltionon Friday eveningbo:f<n dinnt'l', and this new activity pmved to be one cd the more popular. [ was pa rticularly gratified that we " 'ffl:lble to present ABC', Tim O'Brien tooor Beneh and Bar ~II-out audience. I called Tim on Tuesday niehl after arriving at the Riverview to find a call· back from Fred Graham advising me thaI CBS r<'quired his presence al the DeLorean trial in LA, and he W(lUkl bo: unabit 10 kftp his commitmenl with us for Thursday. I had "'Orkfd " 'ith Tim al a Mfdia·Law Confereroce in 1980 and found him to be the real professional he showed himself to bo: in Mobile. Mobilt would normally I1o&t the 1987 annual meeting; ho;r.ro~er, Ilthi! li_, ,,~ are hoping to ",uk MontgOmery back inlo the annual meeting r(J(ation. The convenlion plans for 1987 will be dependent upot! the complelion cd the ntW Town Cenler HOIel which is sche duled for downtown MonlgOmery. Hunt!H'iII e , 1985 Huntsville will ho!!t the 1985 annual
meeting on July 25. 26 and 'no W.H. Griffin , the new president u the HunlS' vil]e.Madison County Bar, has bei'un making appointments to the local aT· rangemenls committee. [t should be noted thatlhe 1985 meeling is a week La ler Ihan nonnal: ho""Ih'er. tllest d.ltel were selectfd to permit t~ per1(WIS desiring to attend the ABA meetingand its london segmentlheopportunily to do!;O. The 1985 ABA annual mettilli coollenesonJuly 4 in Washington. D.C. The meeting then.... Sell and rtCOfI.. "enes in London. The stale bar will offer a two-week [NTRAV Adventure with the itinerary starting in Ireland and a subafquent intermediate Stop in 5coI:land. T he Ad· '"enturecoodudes in London on days2. 3,4 and Sottile ABA ann ...... l meet i...,. Brochures announcing this trip will be mailed in August , Binninghanl , 1986 The Binni...,ham Hilton witt be the headq ...... rters hotel for the 1986 annual
meeting onJuly 16.17, 18and 19. The Ilihon is renovaling a former academic building at lhe University of Alabama in Binningham and this will be coo· n«t~ to the main hotel. giving lhat propert y an excellenl coofereroce beil· ily.
GLetteis to AU is not ~ with tlr Iep1 prd'esIlion We cannot UlUIIIt !hit tRo pubtie·, of laW1ft" IllOUIly Ill· founded or baed ..... upon IllllUn· denu~ar ulIWIfTaIUfd criticism. We IllUSl not fil'Id mmfort in the com· pariIon lhal iIwymIarenowonellwi is IOCiety ua wbale.. Your tv ISpu ..... • irw. and will cmtinue to punue. an
indictment
a1iftpnlJlPld.~"'-"-1ioa
and leIf.uoprovemenl. At IIwym. wt IllUSl expect _
of (ll,lnelve& mel
must condueI ouneIve& ethicaJly. pro. ~ and compKallly. We IhIII mnd above tlr crowd and repin IIr
publit"s respect.
"*'
At Y61" dfafd Ieadtr of tv association, I shaD "nw 10provideyou wit h bold. imagiRlIi~ I9dtrBhip 1(1 meel the challengea. Bill thi~ is no 1I0Io dash toglory: wean suCCftdonly wilh a learn eflm. TOjII"lhtr. we Alabama Iawyen shall m«llhe chal~. We shall _k and provide reahMIC ",~u lion_ to WI' pruhlems. ] am willing. and I am CffIam lhal )'011 are "'ilhng lojoin wnh l1"li'. 10 I.JU .~ 001' bar and (11,11' professIOn 10l'v.ard IS
Til E rL'lI:~t 'IT OF EXCF.I.I.l-:S' ~: sow IS TIlE FI'T1'R~: [J
.""'1)
- Walt ..... II: Rya",
]'oIicing our own ranks lam a 1981 graduate d. Cumber· land Law School and admiuee 10lhe Alabama Bar. l am a major in the Marines and currently en route to Ja· pan where] will serve as military itKl#. At the time of this writing [am 350CKl ftel over middle America and ha~e JUSt finis hed my May issueof Tnt Aklbomo lAwyer. Permit me to say. with the greatest I'eSpe<:I loT:he Board u Commissioners, that the,r d«isions in the Disciplinary Report S«tion are. il $('ems to me. appalling. False Stalemenlunder oalh. willful disobedience of a judicial order. willful negligenl;l:o u adient's Ieg;tl inle.-ests, and the rtSt 5ftIll!ll me 10 be ,,-oe-fully poor standard.bearing: dis~rag. ing 0\11' profession and caSting dIScrtditu[lOli lhoe '"3St majority of (XlIII' petenl. hard''''OI'king proft:SSionals. Alabalnll is not alone (laS! )'e3r an al· 10I'TIf:)' ",nd public servant in ~h Carolina wujiNfi "ltd CF".,.m/ for dnling ilIicil drugs). bul tllat"s no n· cust. Lawyers loday all' not held uni· ''elW.lIy in high nogard by the general public: If we f.. ilto properly police 0111' own ";'no. how can we blamt them? }",." Euge"" V. ""lley, J r.
Concurring wilh 1f:IIU
J "wid like 10 coocur. absolutely. with Ihe wriltr of the Ittler to you. regarding the reo:;ording 01. conversalions by attorneys. that you published on page 188 01. your July 1!:6l issue.
What he uid isoenainly I~. and ] do 001 Ihink it could howt been said any betler.] had imtnded 10 write sur:h a letter myself but can now only )ojn in agreement with him, [uSfd. the transcript of ~uch a I'tcOrd'ng In coon and. in my opinion. il won the rase for me. It is the best way 10 pr~ serve lhe f<l<:l$ 01.1 hoe convel'5<ltion, Mo bil~ J. Oknn wllll. Jr.
LETTERS TO TH1-; I:.:DlTOR T he p!.Il'po!\(' nt 1M I.dttl'll 10 10 "ro\'lde a forum for Ihe e~prt;'Mon I>f r~' 'Ie>" Membc,." nt ,.... Alabama Slate liar are ;n,·,,«1 In 'UOOIlI ,lion len ....... not .. xcc«l ,~ ~:dilor column I~
t""
lAg 250 " .....h. ~~pro:;.inl/ Iht-ir opinion~ VI' gW'1lR I n forma I'OTI a,
to any INIlltl' appranng ,n the publicalion or of COlIC('l'n IOlhe bar ITIftIIbtr.hip. Thr <'duO!" r..sen·"'; the riR/lll .. ""k:c1 ex""I'JII' therdrom to I'IIbh~h. :\11 ~II""" s~ifk1lJl\ addl"-.,......'" a, I... "..,." II> t .... FAilor \\ill be candtda,~ f« pubhcallon in TM Aklba ..... UW1". TlH: pubh«llion of a Itt· Itr does not. however. con~lillilt an aIdorsmttnt of the ,·teW~ n· pressed. I~tt'f'!, should be sent 10: Tilt Ahlbama Lawyer. Ltllers
10 the F..dilOr. P.O. Box 4156.
MonlgOmtry. Alabama 36101.
CODEOF AMA WITH 1984 CUMULATIVE SUPPLEMENTS 11K Moch ieCompany.law I"'blimm ,il'lC( 1855, <\OW )Ct>'et I~WJen. 1q:~10!$ and judg<os ","t.. )lale w& publlOO'ions in OIXlttn ..".eun<! t~ D.... ri" "CoIumboa. TIJndy. ""c..",le aNi .dlJble. 001 code: publlc.tions arc compiled, ."notau:J "nd
indeJ<Cd by an (xIXncnced .taff of bW)~r· N"OIl. 24$,.. 00 by rnodc-m computet 111(:1\·
""""-
The Code of Alah;.. ...... publ",hed in coop<:t"lion "'lit.. the Alob.>ma ~id", " ... Coone,l, indll<kt tho (ollowmg:
• Om,s.i,ullolu of Alabama aM II", United Sma
• c.....,.1 and pntnanornt actJoh~ State l..egiolotUfC
• Rulcsof the Sup!'cmeCourt of Alabama • CoII.t.rnl ,of.renca to Ame,;can Law Report •. AmeTican Juri!pnKkl'lCc, .nd O>rpus Juris Secundum
• Comrie•• croN-,cl",cr>ea • An.",,,1 cum .. l.,;"" pocket·pan supplcmmll
• General Irnkx in (o.",onion! ",,(t-
t.>o.md cdillon, rcvis.ed. upJ;uro and repl",,0<1 annu:llly • Ad""nc. AnnotatIOn Sorvice available by ..."...1 wbK"puon
=
T HE
MICHIE COMPANY
~~~~~=~ L for customer wrvlce conract: JAMES R. SHROYER
P.O. Box 717 Pelham, Alabama ]5124 (205) ]26·9899
The Title Question: Do Bankruptcy Courts Have Jurisdiction Over Mortgaged Alabama Real Property?
_ 73 L. Ed. 2d 598. 102 S. Ct. 2858 ( 1982). bul is baSft! on i!\!lues .,.iSft! by • (act ~ by Congress in drafting the SankruplC)' Code ~nd by the Su· preme Courl 01 the Unit...:l 5t<lles in applying the provisions dtMt 1'OIk: Alaba~ isa lilkatatt. Recognitionof that simplt fact by the bankruplcy (wrlS should. ag:ain in theory. have <In enormous effect on the righls of mort· gagre\t in Al;Jbama whose mortgagors file Chapler 13 bankruptcy after defauiLing in the term s of their mort·
.....
The Scenario Mr. MortgagQr uecUles a mQrtgage to Mortg:age COOl~ny to s«ure an in-
tIebI...:I_ ev1denctd by a flQ(e also execut...:l to Mortgage Company the sarli(' day. The
b, Romaine S. ScQtt III
W
hen tMgaveiSOUndS, will
mortP&ff from proceeding 10 101'«10-
il be the auctioneers al
sure? Theans""'tr. in theory. at leas!. is Ilia! bankrupicycourU do no! have the
the foreclosuRsaltor the judge', in bankruptcy coon ? This is
the question many
~
ask
when. rnon~ goes into default. In Alabama. a diffffl'fli question should be ask~ by the mortgagee when lhe defaultfd nlOI'lgalor file!! Chapter 13
bankru prey: Does Ihe bit II kru pi cy cou rt have jurisdiction o"~r the mortgaged real properly suffi cient to Slop the
jurisdiction O\"eI" rnortgagfd Alabama real proprrty n«aury \0 keep 1M: rnongagee from fQl'l:.'C\osing. T tM, question cI jurisdiction in the mortgaged real estate COOlex! is no!
prfdicalfd
on a challenge ollhe ban k·
ruptcy court's basic powers pursuant \0 N()rlh"" Pipflim Co""lr~cti()" Co. u. Marolh(m
1~'fJt;
Unt Co ..
_~
U.S.
ROmlliM S. Scott fII, " _lIfbtro/ 1M Mobile Is. p ..... of 1IfgIt, T"i/ty. o..ffy & Prilf(t. I'faiMf lois B.A. tht-lrom II'asAi."and 1>« U..iversit,ilf
1974 andllis 1a"'~/ro", C~",/)fflQM St:lwolof 1980. Mr. $rol/ iJ a drarter _",/lei" of lilt Btmk",pt", uml (ommm;iDl l.aw 5«tio" of tilt AklbtJII'" Stule /Jaru"d prostnlly Kroes 0" lite Boord 0/ Edilon o/The Alabama l.<lwyer. I~., i~
,.
note TeOles that if any paYml:nt rtquirei by the no(e is not made when due. Mortgage Company may declare the entire indebt...:lnes!l imm...:liately due and paY<lb\e. The mortgage is a standard form morlgagt deed uSft! in Alabama and provides that Mr. Mortgagor. for and in consideration 01 the indebtedness to and the paYml:nt of ONE DOLLAR ($LOO) by Mortg<Jge Company. "does ~bygt1lnt. bargain. sell. assign and
convey UntO the said mortgagee the following dt$cribed lUI property situ· ated in I'uadise County. Alabama. to-...·it:
Lot SS.lilly Pad Subo:hviilion.lCCOfd· 'III to 1Ib11","", ~ in Map BooII9. P'it 161 of IIIte rtCOJd~ in II!. Office of IIIte JIMlgo of I'robal~. """'d,w CounlY. Alabama.. .. The rnortg<Jge also provides that. in the event of Mr . Mortgagor's default in payment or in the perionnance of any obligation impo$td by the mortgage. Mortga,geCompany has an immediate right to IXI$SeSsion as ""ell as the 0ption to accelerate the indebt...:lness. Mortgage Company is no( rtquirei to notify Mr. MortgagordhisdefaultlJe. fon Mr. Mortgagor loses lIis right to ~ion beau~. under the termsof the mortlagt. the Joss of t .... t right is automatic upon actual default. The IIlOftgag.! further provides that a fort<:losure sale m<lY be held. regardles. of whetller Mortgage Company has taken actual PQSsasion. after no-
tice '" the sale datr. time and pla~ lias been iKlvertised for Illree consecult.·e "'eeks in J ntwspaPeT '" general circu· lation published in Paradiso:> Coonty. Mortgage Company also lias lhe righl. under lhe terms oIlhe mon~. 10 pun; .... ~ the proptrty al the foredoSU~
sa le.
Mr. Mortgagor defaulls in pa)'menl of the indebledness and. before Mort· gageCompanycan hold ils for«losu'~ sale, Mr, Morlgagor files a petition in ban kruptcy court looomrnen~ a Cllap' ter 13caM. Mr. Mortgagor nnw is Mr. Debtor and lias li sled in Schedule S,1, allached to hi . petilion, the TelIl pr0perty de$cribed in the mortgage to Mort· gage Company, indicating he believes he owns lhe proptrty, Mortgage Com· pany is now """""'Ily considered to be Mr. Secured CreditO" in the bankruptcy caR, It is 'I Illis point, however. 1....1 Mortg;agt Company $hoold assert the argument tllal Alabama is a litle stale and, lherefore, lhe bankruptcy court 111$ nn jurisdiction to Stop it fTom PTO' ceeding to for«losu~.
Thc Argumc nt T he inilial quntion is whether 11 U.S.c. ~t. which defines inlerests subjtct to becoming property 01 the debtor's eslale, i, inten.dl'd to pull mortgaged rtal property into theestate in C.... pter 13 wllm the law '" the state in ,,'hich the Tnl property is located provides t ....1 I mortgagor does not have I¢oll title 10 the property unless and until such lime as lhe note secured by the mortgage has betn fully paid. If the mortgagor has no legal title to the mongagtd ~al property when he fi les bankruptcy, it shou ld not beoJme JITOI> erty cI the deblor', tIItate. T herefore. lhe bankruptcy court shou ld lIave 00 jurisdiction O'Ier the Ifgallilie 10 lhe ~al property and thlt automatic st ay im~ by II U,S.C. §362 should not apply \0 prtvel\l the for«losu~ '" a ~ on 1.... 1 property.
l'rolJ<'!rt y o f the Debt o r 's ESla le pnd Jurisdic li on Federal case law dealing with how a bankruptcy court is todetermine what propert y inteffslS are 10 be iocluded in the debtor'l estale under II U.s.C.
§!)41 establishes lWO important prin· ciples: (I) The bankruptcycourt has no 5Ubjtct mailer jurisdiction over P'OP' trty interests not in the debtoc's est· ale. and (2) Slale law determines lhe nalU~ and e~lent of thedebtor's interest in ptOJIerty. See. e.g .. H.dlteT o. U1Iiitd Slota. 440 U.S. 411. 99 S. Ct. 914.59 L. Ed , 2d 136(1919); I" '" Fair lkf>tJrl...,.1I1 Slort. 26 lI.R. 611 (S. D_ Ala. \982); l..m r"'/eT D. Kty. 24 B. R. 897 (E.D. Tenn. 1982); GM,gia Pacific
OJ,p. v. Sigma &rvia CoI'fI .. 22 B.R. 984 (M.D. La. 1982): f~ '" I.u~sford. 12 B.R. 762 (Bkrtcy. Ala. 1981); I~ '" Loml>ffl. 34 8.R. 41 (Bkrtcy. Colo.
]963); I" '" Moss, Auio. T""HSmis· floc .• 3S B.R. 328 (Bkrtcy. Mass. 1963). and I" '" VmNO,,1 R""I Eslo~ /"IJeSI_N' TI't4I. 25 B.R. 813 (Bkrtcy.
.io.....
Vt. 1982). A cooc:ise indication lhal only the debtor's interests in property bca>me proptrty '" lhe debtor'l est ale and. tTl()UimpOrlanlly.lhat lhe bankruptC)' cou rl has jurisdiction lodeal only with lhe actual Inlerest lhe debtor has in Ille prol"',ly is $tt fo,llI by Judge W. Brevard Iland In his decision in I~ '" fIJi, lkpa rlme1l1 Sian. supm. which stalC$:
wm_
As mentionod abcwe. adebtor ""'y
a bf,nkruplCjl <:asoe by r.~ '''II II poIuioro ..... Sltt_ 301 .. , .... Colde. ~ Sllth • pH,tion is filed.I""b:lnI<oopICjle&La~is.,.....tell.
It COTI"st. of, i_I# lin.. ".n 1tpI ... eq .. ,labie inl~' 01 lhe cIrbI ... in property .. 'l/IM """ _ _ _ '1/ 1M lUI," It U.S.C. 541(11) (I) (..... phi ... oupphell~ The Iqi.lalive hi,.. t... y mall .. clrolr the provloion "'as noI inttndftl to txplOnd the debtor', lights >gainst Olhen". In ,Ilort. Slttioo $.II does ""'ex' pond the debtor', inter..t in p<op. rrty.ICitatioro ominellt Oru it wa, ocized.lhedebtor had only. r~idual int~ in the property in 'lues.ion ... oi""" the r.y and ociru .. had lor all pract ....1 PIIrpows tr.r.ndtlrfti """nonhlp 01 the property to the Urnctd Slat.. prior '0 the mioc 01 •he poI~ion In blnkruptq. The • • e. the llankrupto:y Court had "" ito.... diet_ to ~ the tUrnovt'f' 01 tt.. property to the cIrbI ....
26 R.I!. al 613.Judge lIar>d held Ihat a S<!i.ure '" property by Ihe Internal Rev· enue Service which occurred prior 10 lhe filing of Ihe bankruptcy petition
dfKlivtly transferred ownership '" Ihe property 10 lhe United States so tllat I~ property was not in lhe de/). tor's estale and. lherefore. the bank· roptcy court lIad no jurisdiction 0'0't'I' the PfQIItTly. See 26 B.R. at 614·15. The Uniud States SupremeCourt dealt wilh the same basic facl situation in
U"il«/
SkJleJ ,.
Wllili..,. l'rIoh. __
~
76 L. Ed. 2d 515. 103 S. Ct. _ _ (1983) and I\(-Id thaI. in a Chapler II case. S<!"cral bankruptcy code pro. visions read logelher wi th the \egisla· live history may c~pand a debtor's in· tcrests in property under !lOme cir· cumstances. T I\(- courl. howe,'er. did not alter the basic premiso:> that. if the property inlere51t a~ not property'" the estalt. lhe bankroptcy court has nojurisdictim to deal with lhem . Similarl y. a clear statement that the bankruptcy court must look to s tale law to a5Cfftaln what inlerests a de!), lor has in property. and,consequently, what properly is l ubjf(1 to the court's jurisdiction. is Rt lortll in /~ '" lAm· I1trl. s~pro. as follows: "II is clear Ihat Slate law determines lhe nature. ex· tent and effect of Ihe debtor's (and therefore t l\(- Hlate's) interesl in Jl'TOP' eny." /d. a142,Aromt nulne,v. U"ited SkJleJ and I" n Imtcill. ,ufwd_ The United State. District Coort in c..".. gilJ f'lJdj'/C CArp" s~P"". tlalxlrated on this principle '" bankruptcy law. stat· U.s.
ing: Tt.. trult .. In bI"kruptcyluocuds only to the ti,1t and ",hIS in po-op. trt y that the debtor pos~.IC;· tation ontitled~ W~ bankruptcy lawdeal. with property ri8hl$ rtgU. I~ttd by Ilate Ilw. ftd ....! COOlts will look to Ih •• tate law and the .ta~ roult decilion. to dttermi"" whot thooe proptlty rights art.
la. at 9ft5.86.
Finally. the Federal Dis· trict Coort In Tenllefo5ee sets fonlllhe fallowil18 as a policy ronsider.otion whicll. allhough addressed in terms cI t he Intlt ee' s riattts. applies by analogy to lhe jurisdiction cllhe bankruptcy court: Only proprny inttreSll awrotd by the bankrupt .'" hi. proprny and .....1 in the trust .... In f'Nrl""'n •. NtI;"ffCr/lU~"_ Co" theSU\R1M Court set lorth the pIOrlimeterloi tile lru$I ..·• aUlhority. 371 U.S. 132.83
"'
by • ~.lo:I lorecloou,"" $01<. and ."" ~ .. his.~ II IoI't only wull.he Il.u. tory reht 01 mltmp.ion. J6-&ZJO, Codtd Alaboma 1975,
S.CI. 232, 9 I..Ed. 190 (1 91:i2). The IlankrulllCY AcI limply docs no! aUli'lon.e. ["' ..... to <liSlnbule PtOPIo". prop-
00:"""
81y I""",," b.nkrupt'. <Rd. lIon ... propcny rigillo ~';'l' ;l'1li btlOfi: bankrulllCJ in per_ . OI lier 1han the bonk",pI
mu. ! be r«Ojjniztd and ."""It<! in bonk,uptcy.
J69 So. 2d al 534. T he Alabama Suo preme Court. in Mallilry D. AMw, s..pra, wtnt e"en funher in defining lhe re-
*
spoclive interesls a mortgagee and mortgagor ha"e in the mortgaged property, stating-.
Id. II 135-136,83 S.C1. at 23-1-235.
Id. at 898. Thf: HQnonilk Rodney It Steele. bilnkropCcy judge for the Midd(f, District of Alabama. at$(l has held that the bankruptcy court dots not have jurisdiction O'o~ property inleTeslS which are not su bject 10 the debt·
or's estale.
~
/11 ,., i.IlnJ/oni, ."pro.
We mrrdy incidmlally IS I ~", . to the """",pie ClllbiLShed in Alaboma monpge on rnl ""'e p;IO_ to the monPift a f.. ..."pleu,I<. UnlessOlhcrwiwuPl"'M" ly limned. IC'tIIions ","ined) ... .Ie
mer
,ha, •
The mortgagor. bof<nor aft .. <itfault, excePi by <w«m~nl, doH r.ot pos5Ht e_en ,lie rig hl 01 pae.sesaion,
as ll/Iains,.1\e rno<tgagft. A T itle Sla te
... _-_ ,..-_ . .........._.... .. ... -_ .... __ . .. ---_ . _-.................. ,.::.::... _ . ...... ... __ .. __ ....... --_ ... _........ .-"'-.'---'" .--_ .. -_._ _-, .. _ .. _---"-"'-"'-" -_ c.::.--' ..... _.... ,..
"",_~I-
_,.,_ ......"e _ . -~
___ _
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.....
..... 0:- .
Our Steamboat Packi91 Includes:
ThaI Abbam' it a lille stale in which a mortgacor OOIlwys his legal tille \0 the mort~ property to the morl~ when he ex<'CUltS amongage to said mortga,gt'le is beyond ques· tion. See Fr»/u u. I{UdSOll, 437 So. 2d S28 (Ala _Sup, Ct , 1983); Finl Nalional
at
Bank III/Jbik v. GilIMrl Im/lOrlfii lIanl"oods. INC.. 391! So. 2d 2.58 (Ala . Sup. Ct. 1981); Tm/llU'r v. 1..0"'"1. 'J$ So. 2d 531 (Ala. Sup. CI. 197'9);Jomes~• #hI,". 2.86 Ala. 69. 237 So. 2d 460 (1970); lIItC.ry~. C",,,,~ 267 Ala.
484, 103 So. 2d 714 (1958); Garst ~. lohouo ... 251 Ala. 291. 31 So. 2d 183 (1948). and ilia/wry D.
AAu.
22fj
Ala.
596. 147 So. 881 (1932). See also§3S-11). 26. Ala. CQIi~ 1975. The property intCT' ests crfated by a mortg~ art defined geneTal1y in TI'/1/1lU'r D. 1..o",ITY. 5"/11'/1. by tlw: Alabama Suprt~ Coun n follows:
•••••
Alaboma cblSlrlell ,ndl all a -1'110,Ilalt ...·;111 ~rd 10 monpga. ExecuI ion Ii a monpgco p;IOSSCi 1tgall'I I< 10 lhe monpeee. ICilOlion. om;I' led). The mor"Ipgor ;. idl w;lh In equily Ii ~mpllOn bul UpOll pay. menl Ii thedtbl.\taal t;lle revests in the n\Or1.1PJ/OO". 535-10-26, Code Ii ALaboma 197$. TheeqUllyol rtdtmplion may ~CQII.\")'ftI by t,," rnortp11'"". and hi. ",,"1" IfCUmI only an equily d mltmpt .... ICit.lion omit· Ifd~ Thepoymmtol.mon_dobt
bylhe purcha_oIlheequl1y 01 ~ dttnption ,nvell l luch purcha_ ,,·;tb I,," Itpl UlIt.ICil~lion omli' ledl. The .,quity 01 mlemption in either ",... bo"·",,.., i. extinguished
226Ala, al 599-600. 147 So. at 882-883. A lhoroulI:h rmding 01 Alabama cue law and legislation defini", lhe mon o gagor's inl~t in real property makes clear lhat once the mortgage has been exocuted, the 111Oftgagor has no legal inleresl in tlw: properly but has an equil able right of red(omption.
Title and J u risd ic tio n Thetheory thatthebankruplcycwn has no jurisdiction over ~I IHIt 10 Ttal property mortg;a.gl'd by tlw: debtor is based on reasoning supported by the juxtapol!ition 01 Alabama mortgage law agltinSI the requisites of II U.S.C. §54 1 and fl!dera l case law which requires thai t1>e bankruptcy court look to the law 01 the SIal" in which the mon o gaged ral JlI'OIl"tlY is Iocat«i 10 determ;~ tlw: inlereslS Ttmainil18 to tlw: mortpaor afler the mongage is u.,. cuI«i and afler a default in the tenns of llw: mortgage has occurred. In Alabama, when llw: mongllgOr cxeo:::utf"S his mortgage 10 the mortga· gee, he conveys all his right. lille and inlerest in lhe real property to Ilw: 111Oft~ and retains an (,(]uilabif, righlloredeem the property by satisfy, ing the inddltedn.ess. He also roni...". u!lde.' the terms 01 tlw: mongage lhe right to possess lhe real properly. but Iha\ righl of f<lS!leSsion is contingent upon the mortgagor 3vQiding default. When the mortgagOr dQe$ default in
payment. he. Illhe ITIOITIC'nl of default. posvsII tile mort· gagM =1 pt"OJIefty. ~~ny Mal· 10,., II. A#t'. "'(Ira.
Io&t:s hil right to
The RighI of Redemption us n Prol)('rty Int erest The issue remains whethe!' thedebt· redemption prior 10 forKlosur~ is a property interest under Alabnma law. That question has nol betn $pecifically addressed al· lhough Alabama law defines thestatu· lory righl ol redemption alter foredc> ~u~ au ptrSOnal privilegt: and not an inl<'Ttsl in property. ~ §&5-246. Alo. COOt 1975 and Fos/t, SIlP1'lJ. NOIwilh5tanding lile IlI'Of11J bnguage found in IIIe Alabama CI'ldI! whirh Slalts lhal Ihe $Iatulory nehl 0( ~ dernption is a penonal privi,*. lhe United Stale!! SuprtmeCoon, in 1I'm.« ~. Fcdrrall~",d 1111 .... 317 U.S. 325. SI L. ~:d. 273. 6J S. C1. 273(1943}, held, in effecl. lhat there il no difference belween lh~ equitable righl of redemp.lion before fored06ure and the stalU' lory righl ol redemption alter foreclosu re, atleut f()lr bankroptcy purpooes, so Ihal boIh rights of rtdemption may beconsidertd property rights for bank· roptcy law pul"J)05eS. Consider SnlIIIr", &"k '" 1.JIlldrn/,,/r C-"ty,. I,,· 1",",1 Nt,ot"w Stnw. No. CV82·HM · !i2J6.NW{N.D. Ala. February 16, 1964). The mortgagee should assert that. ~rd1ess of whether lhe tquitabk right 0( rtdcmption is property 0( the debtor'sestate, Ihe right ol redemption would nOi bedisturbed byco,weyance of I he legal I itle to the mortgaged real property even if such ronveyanCl' were made P\lI'$Uant to a foreclosure pr<r ~ing. Upon fortclosure. the tquit · able right ol redemption is actually ex· lended by Alabama Stat ute so t"" mort· gagee's forKlo6ure action would ha,'e no pnctical effect on the- "«ht 10 re.wm ~rdless d ..,httlter such 3 righl is an inl~ which is pt"OJIeft}'o( the debtor's tIlate, 5ft genenlly Fos· I", FinJ ,v"lwNJf fla"k '" Mobik. T 1'<I1t~" and Mallll1"J. S"P1'<I. That lhetquiuble right Ii redemption i~ relallled by thtddxor afterexecution of the mortgage and that the right may be a property interest does or'~ equilable right d
'.1f"/Iso,,.
not prevent 1"" mortgagee from con· "eying legal \It Ie 10 the mortgaged real proptrty prior 10 default becaUIoe. in such a conveyanee. a purrhaser takes tille subje<cl 10 the debtor', right 0( redemption , The same is true alter \"" debtor <ldaults becaUIoe e\'en afle!" a foreclosure sale he has a right 10 reIWm the property. Filing a petition in Chapter 13 bankroptcy does nothing to alter the situation. The fOl'O!CIOl!ure sale of the mQTt· gaged ~al property further would not deprive the debtor of any possessory interest III the property hO!Cau~ the righl to $X)IISH&ion was ttrminattd w""n the debtor defaulttd under mortg:qe. ~ aentr311y Mallm:r. SIIp1'<l. T he debtor had the ",ht to po&Sts5 t he premises only for &0 long as "" oomplitd ..,,,h the 1<'T1ltS ol t"" mortgagr and. when he ~std to oomply wilhlhe lerms olthe mortgage. any IM"'OI'}' interest he- had immediately ended. The defaull is the .....·em which giVts Ihe mortgagef! I"" right to p0ssession and, when the default occurs before th~ debtor files his petition. the bankroptcy court should not al10w lhe termlof the mortgage 10 be a ltered to give thoe debtor the rlghl to remain in ~ion. ~ g.;'ntT3l1y II U.S.C. § 1322I.b)(2) and (S).
I""
mortgagor files his petition in Chapter ]3 bankl'\lptcydoes not aher any proptrty nght ()Ir inter~t ht had at t"" lime of the mmmeneement 01 his bank· roptcy cast'. T"" mon~'51ega1 ti· tie and neht 10 JA5e s ion should not be intereslt included in the debtor's estate and. therefore. should not be sUbject 10 the bankruptcy court's ju· risdiction, Not bei!1lJ 5ubjO!Ct to the ju· risdiction of Ihecourt. the mortgaget's rights should be free from any 0( thEconstraints imPOSt'<l by the Bankroptcy Code. including the automatic stay of IIU,S.C.§362. Again, the apprOlll:h espomed by this article Ipprarl to be tl\eoretical in that there are no published opinions dtaling dirKtly with the perlinent iss\Jell. 1nere a~ indications in existIng bankroptcy case law Ihat t~ theory 1$ ..,ell wonh pulling to the test. Fai1u~ 10 allempt to find new soIu· tioris 10 t"" problems confronting a rea! e$t8te-securtd crtditor in Chapter ]3 l!ankroptcy does nothing but in· crease the risk that the sound of the foreclosure auctioneer's gavel will be even more 5eldom heard. 0
The Bottom Line In Alabama. thoe mortgagffacquires tItle when the mortgagor eKecutes lhe m()lrtgagc and funher acquirts lhe righl to p:$$tSS lhe mono gaged JlTOIlI'rty ...'hen the mortgagor defaults under the terms of the mort· gage. A foroclosu re sale held after the ~I
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Circ uils and Res idenl Alabama Lawyers by Circuit and Count y - 1983
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T
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Huntsville, AI. 35804
53,.,000
AmSouth Bank NA POBox 1628 Mobile, AL ..."" Arn$ooJIh Bank NA. P 0. Dfawltl 431 MonlgomefY, AL 36101
834路9500
Meet Walter R. Byars
W
ott8f It 8vors was passed the goveI 01 the conc;k.IsIon of the 1984 AJobomo Stale SOl ~ nuaI MeeTing held in MobIle end. heoce. om. clolly become !he pr6$lden1 of the 0$$(':10Il0l. PresIOanI 9vcn 0 1952 grodoo1e of the Un/YefsIIy of AIobomO SChool of Low,Is 0 portner In the MonlgometV low ftrm 01 STeiner. Crum 8< Boker. A member of The MonlgomEllY. Alabama. ondArne!1can Bar Associations. he has beeI'I oer!ve/y InvoivOO In their Ioodefshlp. He hO$ served 0' president of the A1obomo StoIa Sor's Young l~' Section. and o lso served on the executive council crt the I>BA Young lov.yers. Byors ser.ted as p.esldenl of the Pike COunty Bar As$Oelation In 1~ ClOd 0$ pre$ident of the MonIOOlIIElllV County 8CI' Assocloflon in 1979. o...ing thai yea. unc:Ier his Ieodershlp. !he Montgomery COunty Bar was given the NJA A'MlId of Matif for 0IIer01l &< :': , ICe. 8yarllJo feIowd thelnlernationol SocIatyd BanIsters ~e he i8MId on the board of diroctcn end "-<IS pesldenlOOWlg the 1962-a3 'fOOl. He. 01$0. is 0 fellow of the Al. oec1cOI, College of llIoIlOWf9lS.
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following Interview wlrh f'ra5k1enl 8yotJ WCIS c0nducted by Robert A Huffak9f. edikx of The AIobomo Lawyer and 0 member o f the Mon1aomery low firm of Rushton. Stokely. Jotlmton and GorreN,
Now thai you hove oseencMod to 1M presidency 01 the bar ouoclatlon, wtlaI "Pkifte gool' will ~ II'le Iocol point 01 yow administration?
The numberone gooIls the Improyement of thelmage of Iowygrlond. with thai. lhe~ I IPC'el l enl 01 the prof_ sion. Thlsls not on oosv task. We hOvesome specific Idaa$ In this I9QCIrd lhel we hopewlll piOO'efnJilful1n laffirog the public $00 lawyers In their true role - which Islo protect !helr legal nghts ond their "eedoms. Do you think !hot the perception toot the pubtlc heI$ 01 lawyeflln thl$ $totell wor.. thon Itwollive yeor. ogo Of ten yeofl 01107 Ves. I 00 I beIieYe Ihot there hoJotwovs beeno IockcJ undersIonding on the pal of the public os to the role 01 the k:1wvef. That's rei onytt'Ong~. but I dobeliuw Ihot thepublic parceptloncJthe ta..yerondthelegolprole$lion II rei 05 good os R was some years OQO.
Why 1'101 our perception In Ihe deteriorated?
-ves
of Ihe publle
Some 01 k stems. I think. fron'1 c~tlclsm Ihot nos come
"em Justice Burger ond tormer Pr6$Jdent Corter. 11"115 cr111e1sm hers gained medlo high sources such 05 Chief
ctlenHon ond. In my opnlon. the medic COYeroge oos
hod a gfeat Influence on the public In this country with regc.d 10 lIs p8fCep11on 0I1a'wyen. Fu1tw. the shitllfom pI(lIe$$IOnObm ' ocOO'M'l8rCiolism in lhe pac'a 01 low hos bfOughl on more aI!icbm Irom the public. One oIlhe Is$.I8$ inYoIved is the 1ocI1hCII!he c:ornpet. encv 0I1c:7.o.Wf$ hos been challenged. We hove sellQ11tl some spedtIc task 10f09S IhCII will study and evaluale 01 moons 01 Improving 01 IncreosIng k:rwyer COI l ij)8Iency aJCh as peel f8IIIew and Judk;Iat 8'o<JIuo.
melhocis
lion ~ "'""'" Who' do you ttllnk Ihe orgonlzed bor c on do to correcl or remedy Ihe oppo.ently poor public perception thaI we hove?
Ills roolly a moTter 01 edUCOlion. It Is a moTler 01 edu· cotlng the public as to the tf\JEI role 01 the k:rwyer. os 10 The fQIeI 01 the courts. and The paper pIOCe 01 the judcby wltNn our syStem 01 sapa"OIlon 01 power ond chectuond bolonoe$.l1 01$0 I~ aduco!lng /oWVer$ '0 That they will proctlce ethicotV and with more c0mpetence. Then Iowven .... reIIBct 0 b9tTer imoge 10 !he pubic IhCJn 01 The pe$8fl' Time. AlIIowVeB are naT bad. and all ~ ore not gaocI. Maybeweore no belief Of noworse Thana ClOSS MICTion 01 society In AmerIca, but being no worse Of no better Is nat ocoeptOOle as for os I am concerned. I believe that the legal p olesslon Is the noblest d the polessloN. and thOtlawvert m ust condUCIthemseives ethically. poles· $lQnQ11y ond competently so that the public percelvea the p OQ&r IfTlOQ8 01 klwyers. althe legal poIession and 01 our legal syslem. Wlttl respeclto education. doyou ttllnk!hol the mafldo. 'Of'( Cll progromsttlat we hove hod hav.lMllped In lhe educollonol proceu oI lcrwyefs? I certaWy do. There ore so many Iaw$ being pa$58d The$e daiS bY the Ieg!slatlw! blanch 01 goovEl",mElht. bOIh notionally and in AJoboma. There alSO ore many chonges In CO$6Iow. A Icwyer cOl"V"lOl rood and digest an the materlols OYOi"Jabie. The be$! WOol lor 0 lawYer to educate hlmself on lhese c hanges Is 10 allend Ii&rT'II!"IOfI. ClE s.poI""ISOI1 semina" on specKles Thot O<e more In depth on 0 particular subject ond semina" that bring lawyerS up to dOle on the cUllent dewlopm&nlS In the low. This Is 01 a Tremendous educoIlonol ImpacT on
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We alreociy have In place on outstanding mondcilary CLE pogrom. No! 0#11111 outstanding In Ineontenl. but In 11$ ocoapIonce by the bor. The ITlO5t receol 5UI"II&1 conducIedbY thesuprerl oeCOl.l1 $I""Q,vS Thai 19." CIIlhe ~ In.6Jobama oppro.'9 01 mandOIary CLE. Ooyou_anychongesbelngmodelnthemandotOf'( Clf program. lhalwe hove In ttlls 1IaIe?
The tuI"\I8'f conducTed bY the bor notco1ed ThaI there should be more specialization In seminars so that tcwyars can pick Iopk:s wI1 lch relale ITlO5t closely with the type 01 pacTice tho! those lawyers maintain.
00 you th ink that we will , " In ttle Immedlale future cllfllt lcatlon program lor lawyer spec ia l· ties?
lOme Iypeof a
We hove appoiIlled a task Ioree.la sludV spedcrIirotIon. Some yeas ega when t!"le Boord 01 Bor CQrnrni$~odopted mondoIary CLE IT loak !hoI asonopllon rolhef than $p&ClaIIzoIton. However. the law Is growing more compIioated ond growing in The tieIds of specialties. For this r80$01\ spedoillatlon Is a mailer that needs to be studied ond aneducoled del ....mlnotlon mode os TO whelhef Alaboma iOwy9fs and the Alabamo Slate Bar ora reody lor spocialilatlon. Including whether low· yers. through some fOfm. may OCQUOlnTpatenTiol c llants wiTh the foctlhotThey are engaging In Of IImlling prac:110& to $p&C klHies. Thefe ate ITIOfEI and more tawyerswho o re spedaIlzlng. I don'l know rooltv haw I faeI persanolly abouT specialIzation. I do teel ThalIowyet1Ihou1d specialize Of shauk:l hove self-imposed negative speclotlzollon if they know Itleyore unocquointedwlll"l a parTicular 1IeId. Trio! poetlce lor Insronce. A lawYer w!fhouI IIIaI experience sI"roo.tldnl oTIEIfT'4)IIO Iry (I to.w.JIt without assistance. He can associate 0 lawyer whO does Iry Iawluih. Mer Trial e~ isgolned Ihroughassoclotlon. lhen a Iaw\'ef may bocome a spocIoIlst Of. alleos!. competent 10 try lawsuITs. a- the SOIT"IEt covId be true 01 a federal tox matter. At one li me, I prided myself an kooplng upwilh the faderaltox lows. but I no longer do a nd wou ld not glveony odvlce to orrv c lient on federal lox moilers. I om c ertain we should hOve some se!f·lmpOSEId negoTive speciolizat kln. We'W walt lor lhe to sk IOfee to raporI . Moybe some Iorm do speciolllatlon by Iowyefs. and some tarm 01 noI~ patentlal ctlentsolthlsspeciolizotlon. W(1Iid be appoplote. You seem to be portlculo.ly Inlerelted In loco. bat oc·
tMlles. H.ow do you intend 10 ablaln more invoM!menl In the sIOte bar ouociolion bY the taco! bats? AI the onnual meeting CII lhe 51a te bor In Mobile. we hada mooting wlth ItrcrM pesldenhond otf\cetS 01 toea! borossoc\Otionswhowere known to us. We have hod 0 VfMY d"tfflcuH lime In maintaining a COllect. updaTed lis! of loca l bar 0ff,clols even tnoug h The AJobomo Lawyer provides a sectlan IOf local bar news. I believe !hot by bringing the local bar presIOenlSand otrIcootogathar at the stOle bar meeTing. wearegolng Togoina 10I 0I1npuI from the gtowoo/s IhOI wlM be help/ulto the AIaboma $Iale Bar ond Hs (M3fOI1 pn;iQfOm. Bv the sarno l oIcer\. rnovbe wecon possbock to local ben someolour k::IaoJ and prOgrams Thallhey con 1,.,..:rIemen! besl. The ~ and cooperotlon 01 !he Ior::oI ben Is essenllol '0 the success of the AIatXlI rlO Stole Bor.
SeYtKai Iellen have been pubil lhed In the 1051_01 Issues 01 TIle Alabama Lawyer In which the authors questioned whethe< punlshmenll given for fnlrocllom or our dlfClplinary rule, have been seve.e enough. 00 you think that our I ystem 01 polic ing lawyllr abuses In this 51atllll adequatll?
I beIleYe IhaI we hove a Vf楼Y nne d~1nay system We hI:We an CYI:IIW(lI1(ed d llClpllnc:wy group - the Bccrd d 60' CcnmIS$Icners. As la ...meIhef punlshmenl has been _ e enough. I can'l ccmmenl. I em greatly concemed mot we Ole haYIng more elhicol probiems bfoughl to the oTtenhon oflhe 5tole bor. Movb& tho! Indicates thot we donood to hondoot stemer dioc:ipllne. Maybe thol would havesomedeterrlng effect on et~1 'o1oIoI1ons. I how no 'Nat to gouge whether OOcjpine has or has not boon severe enough. or whether hor$her diK:lpllne would hove or?f enect I do know thol the dlldplinalyprot::>l9mscnd Their J9iOIutlonoreoeltWlQ the OIIentlon cI theAlolX:o .1O Stale 60'. Hov. you aeen on Increoltt In Ihto number 01 corn路 plolm. thai cllenb have rendered ogolnd OIIOmtl'fl7 Ves. Th is was the subject of Presk:lent HolfSton'sl-POOCh ta lhe Montgomery County 60' Iosl veer. He hod documented the stotistk::$. The Incr8O$9ln c;l!sclpjlncry mcTt9l1 or e<:mpIcInts brought to the Nobomo Stote Bor lor dspos/Iion wos oworrong. DQellhere ~ 10 be a c crnrnon thlead In the nctule of IheM ccrnplolnts?
The blggesl problem thot I see f$ the lock of understanding 01 the Code cI Prof9$$k)no l Respon$lbllity In Its appllcalion to the proctica of tow. The General CounseI's ottK:e Is preporing ethical presenlotlons lor The ClE PlOOOOtlS bo$EId on raoIlife ~uotlor4. Th~ $hOuId assI$l iow',o8t$ in undeI$tandng bellEIf Ihe proclical oppIk:olion dthe elhics code. Concn 6 f8Icles 10 tcwvar c0mpetency. I believe we ore seeing more ~b ogainsllowyers In Ihi$ 0f00, The AIobomc State Bor Is ocItveIy 580Iching lor and pur$UIng means to h 1Oe0s8 Io'wyeI competency.
., there something IhoIIIl8 orgonlzed bor con orlhovld do oboullhls OVEKPQ9UloIlon 01' lawyers' Ves. To $OIve Itoi"- I think thot the orgcnlzed bar must. prior to odmIssIon In lOw ~ ocquoint end educate these young people ond their pOfents wift11t1e foci 1!xJT lhere 1$ on overpopuIollorl: t!xJT .....r.en they flnlsh low school they mcv very~ 1 meet with the same jobproblam as those toklng the bot exom todoy - thefe I, not ~ ~I ovoiIobIe lor Them ~ Is oIwoysdilllcu!l. hcMIeYer. 10 lolkoboul oY'9fPOPUIOlion. becao I5e there Is~ /OCIITl althe lop. The out5Iondngwil flnda place. Howooyou ootermlnebe/cofe you go to low schocIthol you OIa not outsfooldlo 001 You mcv ha\lemode on outstonding grade on It1e LSAT. you mcv ha\leoutslandinggrodes in o..ndergroduole schocI. yeTyou mcv root be cul5tondlng In the low oc:hooI. The grodlng system I, The onty objective stOndard thol a ptoctlclng iowyE!( wi ll or will not be gocd In the practice d low. Movbe tholls unfortunate. NoneTheless. it Is the besl stOO'ldord available. We must let potential tow!ludents know In odvonce. not when they Inl&Mew during Itoe senior yea. thai there mcv a mcv not be a k::rNteIoted job ovoiIobIe when !hey tnsh tow school T~e hOWl been some IUWSSllonl In some quon.rl thol peroops thll overpOpUlotlon 01 lawyer. oos r. wiled In the tiling 01 mOle Irlvolous type lowwlli. Vou ole 0 tr lollawyef. Hoye you Men thot In yOUi experience?
Ves. WeOle seeing thalillng cI mora ond more IrM:lIous 1ow$U11s.. I con blame thol on 0YefP0PUI0I1on 10 some
lOll '(iIOlthe bor appointed a talk loree 10 slvely the explO&lon In the number 01 I~I$ In this lIale. Has 11'Ief. beetI ooy report by IhoIloslt /oIC4I7
There has been a report by thai task lorca and the prtmory IhnJsIIs thai the majOItIy. including the public. belle >1'8 thai the supplyollcJwyer$611ceeds It1e demand. The task torce has reconvnended thol 0 slotawlde demogtophlcal $UI'VEIy be condueIed ot least &vet'( live 'fEIOI' and thot all ro exomneesbe suoveyed ot the lime oItoklng their exomlnation. lhe$e $UMtVS have been oppro.oed by !he Scord 01 Sot COnvnI$$IOneB. The task /olea has luriher reconvnended thai 011 prospe<:lIve lOw stuOenli ond their porents be Inlormed d It1e existing O'oEliPOP *rtlon c:ondIlon. A lOIeroI ptocemenl bureau ttvough the AIobomo Stote Bar Is onoIIa' of its recommendoIIons.lhefa isncdoublln my mind mot !haralson overpopUatlon d IawyeIs in foJoi:X)oliCI. AJ It1e Jutv 1964 ro exom. the Iir$I survey ques1lofvlclre was soIk::iIed. wtlh lhe r&$Utt that ontv d thole silting for lhe ro axom did ha\ia empioymet1lln 0 lull lime legal position.
, , A gold MaJteoCard costs you only $15.00 a ~ar_ lns"'ad of $50
for"""", gold card$. Those who qu.alify gd a $.5,000 or hi&t-line of cnodit
automa.tically. And il'l good at 0W1' 3 minion tnI'1'Chanli R~ inl40COtInt...... tal.
~barna.
54'
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degree. HowevElf. I wont 10 make it pjoln thalli i~ nol tolally the young lawyer. the new admlnee. ...00 1$ filing lhe frivolous oowwlts. Hc:/weve(. lhete Is on overpopulalion and lhe needfor livelihood. andweare ~ng more and rr.:::>'e lawsulls - same frtvQIous. There is another reason. and Ihls goes 10 educotior\. The abandonment oIlhe system 01 commonlaw pleadIng (which I do nol advocale be reinstated) In fOllOl 01 nolk:e pleading ho:; token ~ from lhe legal edvcal ionol iawverssolhat they donot undefslond lhe necessary e lements to a winning lawsuit. We ore not talking aboul jusl a dl$pUIe OffOCls. They dorl"1 kllOlN what elements. even if !hey hod the undl$pUledfocls. are nacessary 10 r8COl8!Y. We need 10 relum 10 some system 01 pleading requ iring olloosl enough elemenlsol a IheorY 01 recovery presenllho! a judge can look at the pjeadIng and soy this Is or Is nol a merltor\ooS k;Jw$uil or 00fense.I Ihlnk by having 10 do II1lsthe lawyer will expose hlm~f to the tocllho! he does nol hove a meritorious lawsuit. Alleosl this will old In lhe speedv termination 01 Iho5e wIlk:h ora trivaIO<Js. OOyou pefcelve!flot pori oIlh ls pro blem eon be la id at tha teet of tne educational system In taw !oChoal? Crlti路 clsm Is frequenlly mode Ihol new lawverl don' receive enough practtcoltrolnlng oI lhe law !oChool level. WIth lhe numbers lhey hove In low sct"KlO. I do not kllOlNwhathetlhey could give them the pracl k:o l training thol Is necessary. WithaVI ConderMlng the law schoolsal 011.1 do think thallhe teoal edvcotion loday Is not suffldent for lhe needs 01 the limes. I believe thot looking into the pre-admission apprenliceshlp/lnlernship program os a means of praclk:al education Is a viable addition to lhe current teoal edvcotior\. This mov lake lhe form of on Inlernshlp program otter graduation or on apprenllceship program ...mile In SChool. In the afternoons and during the summers. or a combination. This would bea uniform requ iremenl belore admission 10 lhe bar. SOmethlr'"9 Is locking In our currenl system of legal educalion. I bel ieve lhot the law schools and the Alabama Stote Bar In cooperotk>nwl ilwork lowards sa1vIng lho! problem. AI the bar moollng In Mobile, you mode the remor1c tho1 lfIera wal too much dlvillvenesa betwoorllhe plolntllli
ALABAMA LAWYERS RESEARCH SERVICE The Univ .... ity of AJ.b.>"", School of Low Oinicol
Prov.",
ILCAL MIMCJItA.NOA COM1Df.NTlAJ.ly I'RO'ARID AT RU.5ONABL拢 RATES BY SfJ..ECJ1D LAW S11JtIf.NTS UNDER ATTORNEY SUPlJl.VlSION.
and defense bar In Ihll Itote. How did tllot $lIuatlon comaobou1? I don路t kllOlN how if come abouT. but dMstvenass i$ lhere. The overall pic!l-'"e Is thot iawvers furoction 10 serve clienls. to serve the members oIlhe pUblic. and the only way we can accompli sh our gool 01 being acceptable loour c lients Is lowork together to better the prolession.1 hove no objection 10 the plaintiffs bar. for Instance. dMdlng up for edvcationol purposes. Tho! Is helpful In the represenlation 01 plaintiff$. their clients. The some Is true 01 the defense bar. I do I_llhaI only by pul li ng logether can we be successlulln our CMIIan program. II IIIGfe anything thol you Inlend 10 do 10 heal 11111 dlvlsiv&rnm? Yes. I hove a~nted the pre$ldenYs advisory lask force. 11"$ not solely for Ihls purpose. but lis prlrocipol charge is to solve the problem 01 divisiveness. This lask force is made upalmosl equollyof plaintiff's klwyersand defen$9iowyers. all of whom are outstanding lawyers In Ihlsstole. 10m certain thot working togelher we will end thi~ fragmenlalion 01 the bar. Ilacont Iiollsilci show 1h01 01 hJasl l illy percenl 01 members oIll"Ie bar In 11111 slo1a have been proellclng lalS than live Y8(lrs. What can Ille organized bar oller 10 Ille young practilioner? We can offer to them lellow'shlp. understanding, and profassiooal educalion and advice. The stale bar hos many ongoing programs and same new programs l hal should be 01 Interest la lhe young lawyers. I. frankly. started my Interesl In lhe Alabama Siala Bar In the Young LQWyEIr$' Section when It wos known as the Junior Bar Section. I QO ined my Inlerest allhis time because I found lhatlhe "senior bo(' WOIi recapttlle to Input from lhe younger lawyers. I WQnllO assura lhe younger lowyers oIlha stata of Alabama lhot your PJoboma Slole Bar Is Interested In your input and partlclpalion. The Young lawyersorgaJliZal1on Is probably the most active section of IhaAlabama Slote Bar. Because of this. we hove requested and lhey hove accepted lhe responsibility 01 getting unclerway lhe buddy or silenl partner sy$lem on the Iocoll&vej to be implemenled Ihrough lhe cooperotion of lhe local bar. Under Ihis program. a practicing lawyer wilh experience wil l lake under lIis or her guldoroce a newty admitted lawyer tor lhe pUrpose of not only the prolassiooal aSpeCts of how 10 practice low from the competency standpoint. but a lso from the alhk:al standpoint. The local bar act"'~ies commlnoo prOpOSed and Is ~ thai program. ondwe hoveencou-oged the local barsto Implemenl lt. The Young Lawyers' Section has agreed 10 undertol<e the lead In its lmpJemenlalion because the newlyadmllted iawverswi ll be the bene/lclartes of the program The Alabama Siole Bar is for all IQWyEIr$. The young IQWyEIr$. in my opinion con gain mucl"l from our prog ram, and I kllOlN lhe slate bar can gain much from their participation.
How can the young Iawy&! became more actlye In bar auoclatlon acltYltles? As simple as letting another Iowyer know. There are activeyoung Iowyer o roup$ in all 01 our majorcitles In the state. and there Is a very active young l"""Yer group Of section althe Aloborna Stole Bar. Just approach a lawyer who appears to be under thirty·five and I think you wi ll tind a verywilling partner to assist you In becoming active. Weall hove the some Interest - the betterment oIthe protession and system. The young Iowy'erOfganlzQtion wil l welcome YOU with open arms.
Speaking of young lawyer$. the bar hessponsored leg· Illallon to rBmOYe 1IIe two yoor e~empllon period that exlm exampling new lawverltrom poyIng annual bar ouoclollon dues. Whydoea tile bor association wont to remove this exemption?
The bar association legisiot1ve prop:)SCll! twoIoid. One Is to Increase the exlstlng~. and the other Is to remove this exemption. ~ is simply a matt9( 01 economIc$. There 15 no kl"lO\oll"\ rooson to exempt the young lawyer trom the payment 01 dues. That young lawyer receives the some benefits at the practice 01 low and of the Alabama State Sor. Economically your sta te bar Is running an a verv. very tloht budget and we are hopeful thot we can Improve our program. but without money we are li m~ed. for instance. we hove a commilloo on lawyer a lcol"d and dlUQ abuse. The report at that cammlttee has boon accepted by the Boord at Bar Commissioners but thale are not funds to get this program Implemented. this 15 just 0f)9 at the many examples 0/ very outstanding andworthwllile programs thot are sitting on the bock burner because economically the bar cannot fund them.
nO ire thot permitted the lowyerso/ Alabama to choose the comm illees on 'Nhlch they wish ta $EI!V(l. I bel ieve that this has stimulated a tremendous Interest In the state bar and It$ program Do yO<J thlnkthatft1.e Ille being In Mobile hod onylhlng to do with the lorge numbe!' 01 prereglstrollon? Yes. I shouldn·t hove overlooked thot. 01 course. Mabile is a beautiful city. " has much to offer In the wo-; 01 entertainment, and II hosalways boon that site in .....tIic h the sta te bar dre-w the largest crowd. The hospitali ty of the MabI le Bar has always been outstanding and I am certa in thai thai has a o root dooltodawith It. I believe thot Il lsthe revitalization of the Interest of lowyet$ln their sta te bar coupled with the oulstandil"9 physical pIont and the outstanding Climate and hospitality 0/ Mobile thot brought about this great convention.
Since Mobile seem, 10 be such a popular slle, do you think we should lookat cllonglng our system 01 rotollng sllel fOf the bar meeting? I would certainly be In favor 01 having the convention In Ivloblle In 1985 so!hot I could hove the hospita lity sulle thot our president. BlIt Holm an. hodl SEwiousJv. I hove no rool fool ings. The MiS$isslppi Bar hokis Its annual Convel'">tian In 81loxi each yoot. H might be well thot the Boord 0/ Bar Commlssionefs should consider that we return ta Mobile each yeor or maybe altemote It so that II wou ld be&very other yoor. But then we can·t C>ve1ioak our other
The recent bar convention hod tile 10rg(l$t preregistration by fat of any prtor conyentlons. To whol do you atlrlbllte thll? I attfi bute ~ ta a very active program that has been undertaken by the bar. Let me soy that I Inherited a very viable and actOie bar. a bar thot was rededicated to the committee system and partic ipation at Iowyersan these committees and In the wari< 01 the committees. this was initiated by my predecessor. Bill Holrston. by sending out qL!e$liorlnoires soIicnlng alilowyers to volunteer to $e<VIl on the particular committees in which they had on Int9(est. this helped to line up the participants' desi res with the bo<'s needs. The participants hove boon moreactlve In their cOl'TVTlittee activities because they were working In aroos they had selected. Fvrthal. the committee program was underwoV when Bill Hairston toak office. H commenced at the annual meeting with the commit· tee brookfast. This year we hove dona the some thing. Priar to the bar meeting In Mobile, a ll the committees W9(e appointed. Al l ot the committee assignments. 10gether w it h the scope and p...rpose ot each. went to fNery ccrnmillee member. and ITlO&t of the appointments were mode by v1!TOO at a solicitation question-
Rrst
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~'fr'rna.
In Assistance to the Nation's Legal Profession
Dedicated to service, protection, reliability and reinforced with this valuable experience. call the First American office or agent near you.
good c~ ies such as Birmingham and Huntsville. Of course, I wesa linle facetlous.....nen I mode thscomment about the presidential suite In MobIle. 1i00i< fOlWOrd to ba1ng In Huntsvil le In 1985-
The bar canYentlon II where the offlcerl 101 the allOClo1101'1 are elected. Do you tllink thot we nood to make any cl\anges I" \tie electlOil prace_l?
I think this Is a matter thol needs serious study and serIousconsideiation. Bill Halrstonand I jointly appointed, under the authority of the Board of Bar CommiS$ioners. a stand ing committee on gove<nonca. Thiscommltteewill i0oi< Into the overal l oroanization oItha State Bar and Its govemor.ce. whicllinciudas the election or the manner 01 selection 01 the officers of the Stote Bar. I bel'-thol thaie is a better way than ~ iscu'fently dona. Remember we've mode great st~des Justin very .ecent years witll the provision lor a presidant-alect to ovtornotlcally as-. cend to the office 01 presJdent without furlhai electio"l. This has helped In having continu ity with in the Ieodarsh ip and program 01 the bar. I do baI'- that we are goIno to hove to Improve our mathods of governance. We probably a re galno to bring about a change In the manner 01 the election of the atl'ioors of the State Bar. The merlcan 80. AÂťoclatlOil becomes lleavlly Involved In rating candldate.IOf judgelhlps. Should the Alabama 80r AIIoclalian 11'1111019 on 9yah/atlon program like Ihll? What you are referring to Is the ABA Committee which rates cand idates for Iedeiol Judiciary appointment. Th is has been on oul$landing program I am not certain 01 who! method the State Barshould employ In the evaluation ofcandklateslorjudiclal appointment orelec~on in th is state. There has been a task force studyfng judicial selection. election and retention: It wi ll be active this year alsoon the Issueof Judicial evaluation. There should be $OI'1l9 evaluation of applicants for aither judicial appointmentsor, llwe retain populareleclions In Alabama, Judicial e lectro The Birmingham Bor Association and MontQOmarY County Bar on occasions hove entered Into the evaluation of candidates for judicia l election. Hopefully, this is helpful tothe public in making a se1ection of the most qualnied candidate for office.
II the Sime Bar Assoclallon decided to get 11'110 Ihl. arena, woutd Ihm require legillative enactments? Under theprasent coo$/ltution of Alabama, the governor of lhe state of Alabama by oppolntmentlil ls \IOCOn-
cle$ln the judiciary a lltheway from the d istrict COOrl to the suprema court. and all members of the judiciary me subject to reelection by portlson popular electio"l. AnV chanoewould require that the constitution beomended. It seems to me thot thare would be a beller way II we could have $OI'1l9lorm 01 judicia l commission to propose to the governor three to flve quamied applicants lor any vacancy. Presently Jel'te<son, Madison and Mobile coontle$ hove JudiCial comm iss/ansto assist in filli"l;j Judicial vacancies to the ci rcuit and dlstrlcl courts, the trio l courts
In thc>se counties. These commissions select three quaillied candklates and recommend lhose names to the governor 01 Alabama. The governor then must appoint Irom thol group 01 throo, So the governor retains his power d appointment. TheJudicial commission attempts to prasent the governor with the bast qualified candIdates from which he should make that appoi ntment. We hove dwelled on some 01 the negatiYe a.peell lacing our proleulon, whal do you see to be our .lrong points? Flrsl 01 all, I'm not at all corwinced that iavoIyer1 indMdually are nor tholthe legal protession is nearly os bod as the Image the public has 01 us. No SOge Lyons, president of the MobIle Bar sold before the annual convention, "Lowye<s are Indicted In the minds of the public." I 00,' - that Iawvers prav\dEI a VIl<';worthwl1i le servIooto the public: that they furn ish the backbone for a viable Judicial branch thot Is essential In the system of chocks and balonces which makes our government function In the manner that ~ does. The strang pojnt for the Alabama State Bar Is thol we me looI< ing 10000r,d to a very, very active program this year and In the fuhxe, We are not paving O$trlch. Weare toking a look at 0<Jrsetves. ~ thare are matt8f$ that need correctio"l. we will canect them. We must find rut where the problems are and resoNe lhose problems within the bar. I ba1leve that the lawvars in this stole and In the notion contribute greatly to society, and that without lawyers the public would have more to well about than lhey hove cr~icism 01 the lawyers. 0
Give yourself $5000 in gold. W ith a gold MasterCard from Rr.;r A1~bioma Bank.h', rhecard r.... t automatically co""," with a $5,000 or higher line of ~it -/or only $15 .00 in annual ~_ror those who quali/y. And fmi' additional cards ~rst for f.milymember.;. n
~bama.
CoJ.\iding the Circuits CullOlan Co unty Bar As socia tio n
During Law Week in 1'o1ay. lheCuliman County Bar A5D pandd\hree
Va President: Secretarytrreasurer:
Ralph M. Young WLII~m T. MUsgYO\'t. Jr.
~I~ ",:alquite busy. On Tuesday. Ma y l.a
dIstinguIshed a uomeys fielded qutSlion$ from the WFMII rIIdio audie~. Answering pJlooe.in qutSli(lns .bout the judiN,lsystem, the criminal justice system. and law rtlated I~ in general wtre Circuil Judge Fred Folsom, Deput y D'IInc! Anomey Hugh liarris. and allomey Don L. llarde-
Mo b il e
Bar A ssociation
JOIntly IpoolCfid by the Cullman County Bar.nd theeull· man Lq::al Secrelam Association. was hrid wilh a total 0( !wenty·fivt anending.
During the EIe" enth CircuitJudicial Confenrn that was held in Mobile in May. tho!: W_ Atlorneysof the Mobile Bar Association entertained three of the visiting women judges at an early·morning breakfast in one of Mobile's old historic homes. Twelve Oaks, O"er fony of the fifty·three ,,:,omen allorneys.in Mob!le were present and enjoyed get · ling better acquainted with Judge$ Nesbitl . Kra"itch and Evans. We were veI1' proud and honored to be tho!: host city for tl\f: Trial Coun J udges Annual Conference Jul)' 11·12 as "'ell as theA~~ma State Bar Annual MeetingJuly 12·14. We hope your \'\511 wasa ~5ilnt one and that you enjoyed thewarm hospitality that Mobik and the Mobile Bar A$$OCiation are ooted for.
Dallas Coun t)' Bu r Associatio n
Russell Coun t y Ba r A ssoci a tion
man oi llle law firm of Hardeman. McC~llan & Copeland. Carrol l Eddins. owMTandgenera l managerd WFMII was moderator. The p!"(lgrlIm was a great success. ' On May 3, the ann\lallaw Day Banquet was held with gu~t spea ker Ji m Sullivan. president dIlle Alabama l'ublic Service Commission. lie spokeon Alabama', interest in the AT&~ divt$l~lurt. T~ folJov,-ing day a coo[inuing ~I ~.uauon RIll"',r en\ltled General Practioe and I"rtadUrt.
Officers allhe Dallas County Bar Association for tke YHr are:
I'residcm:
Vice President : Sl:cretary/T reasurer:
John W, Kelly III Roben H, Turner Frank C. Wilson III
T ke Selma Annual Charity I..awyerslDo::tor-. Softball Game was keld onJune 14. 1!lSl wi th tke Ooctorsdefeatilijl tke I..aWya'l for tke firllt \ime in six years by only one point, The defeat "''as a\'rragftI by tke Legal SecretaTits· 23 10 4 victOl1' 0Vff tho!: Nunes, All poOCMls from tke games ".~ don.ated to the Ameriean COUICl'I' Sc:ciety. la ude rdale Coun ty Ba r Associa tion The new offian of Il\f: Lauderdale County Bar ASIOCia· lion for the 1!ISI,ss Yfar art as follows: President:
John B. Holt
The Russdl County Bar Auocialion ei«led officers for the 1984.s5 term altilt rtgular monthl y lunchoon in June, They are: l'resident:
Va !'resident:
SecretarylTrtasurer.
Sam toflin Carolyn Curtis Grtg Waldrep
During Law Week in May. formerGovemor John Paller·
son. now a justa on the Alabama Court d Criminal All' peals. ""'S guest speam II lhe Annual law Day Dinner. Judge Patlerwn diem! XlIlIe insiahtful and often humorous adva on the practice 01 law , llis speech w;t$ enjoyed by all whoauended. Also. al the dinner. the past prtSident5 and past baT rom· missioners wen t..onomI and presented plaques. thankilijl them f,or t~T service to tho!: assoxiation. Additionally. t,,·o Ioc3I hlgh school studentl attended toaro!pt t~r awards as winners of the la w Day Enay Contl'$t s por!!\OI'ed by the Russell County Bar. C
1984-1985 Committees and Task Forces of the Alabama State Bar Committees:
Com ml".,<, II o\I .... ,be ..:
Ad, i.or) Commi""" 10 'h" IkNlrd al ilar .:,..mi~n
' .... __ n' John II. s...,,). -
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Gooy
I ...... It So"' ...... _ "'''''' ......., W.k.. II' Kennedy III -0.-. ... Do:oui\M An .. _ Bonn"",,"_
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Vic" Chai""'a ", David II, C.u ,"" _
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M iddle Di.,ric' Sul>rommi"c<: Nicllonl l!. Gill_ MonlgOm<ry
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Fra"k !t. Iokt"!Odd<n _
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Sou'l>em Di"ric, Su l>ron,m i".,." AI.. T, tlov.-.rd,J, _ Mobilo Ricllord Iloond, - .I-Iobi'" William D. MeI' on _ ['"<1"JII"<eII
Fronk
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Jock Drok. _ Tu,"","""" Jo""", It. froot' - Mob", Joo<-ph 1'. Hughos _ ~'o Roben R, 8'''1<10 - ffinn uI&Ioam
Commi""., on GO"crnancc of 'hc A laba"'a S' a ' e /lar C... inna.: Go')' C Huck.by _ Itun""il", \ ";.:., Chai,,,,,,,,: John F.l'rocto< -
Srui,stooro
n -s Re pro"""',,'i," : S' al[ I";";"",,:
.\bry Lyn Pike - ).t"" ,r<>m<rY M ~ m""",:
Henry H. Hutch,,,,,,,, III - MooijlOrn<ry G, ])a,1d jolm""" _ 1)o<IIon Roy Cra ... ford - I\irmmgh.am G"VJI L. 1n,.... oory.J,. - Mobi", II<"ry B, I"~ - M""\pn<r1 Roben C, Wal,,," II _Bo, m,ngham
I....." H. Aroiero. j,. _ Bmn,,'oV>.m L lim.. Hill - Mon'gorn<ry Roben C. T . ....... _ Tusca"",,", Tl>omu G. M."",oo - M oo' ]IOmtry LB, Fek]_ IIi ,nuflj/,,"m Wil".. m II. 11 ....."<1' - Mobi", Finan"", Co"H"iuec Chai....,a,,: j . m<O L N""h _ B"mi"-llham
ns
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Judicial Co"lerc ,,~ c for 'he S'a'e of Ala b.1ma ~l e ,~"" no:
Fourn"" J.G.", III _ B,r""ngh.m
/oil" S. Cas<)' - IlefIi" Cia""", M. S""II .J,. - 8 i"""'g,,"m
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Law
Da)'
Com mi"c<,
Chai,,, ... ,,: C"," It Wolfe _lIimungium Co·c luoir .... n and VLS He"",.. ,,' .'h' ~:
Alex 1\', New"," _ B,""' ,"gh.am Tu.~
Alon C. L"'flg<''''' -Ilot,,"n
Rit:lIord Y. Hoo..-.. _ Mon\jlom!"ry
S, affLill ......: Heginok] T . llam ....... _ .\ IOII'gorn<ry
Yl-S Rop, • C. roI,,.,. f., 11', 11, - Mobile
Mcm""""
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~ It. !Itd!""'.j" _ Ru~,,"iIle W,II .... O. K,rI:.)r, _ Carroll,,,,, l' ~ k G. I""moi"ll_ MOOIe
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Thom.. ]. Spon, _lIormmgh. m J. An,hoof M,l..o,n - Mon'gorn<ry Wilha'" E. Swat.k _ PeI"'m BLrm",gII. m Y. Way... C•• S<)' _ C.",,,
.lor« t:, May -
Thom.o. It jonro, 1, . - Tuscalooo.o Timothy p, ~kM .hoo _ M oo" 1I",,'. nl M. Mib _ Ilirmingham Sharon 1.0',-,1.aoo _ lIormmghO'" W, M._lloll,,_ Au burn
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Will .... H. BIa",IIonl.J, . _ MonijlOrn<ry Jame. M. llomes, J,. _ M..,.,., Joel L SoiIoI- l'","",Ioooa Charies R. Gillen,.." .... _ Alexonde-r C;'r 8,11 ])a"...,., _ 8,"" i"-llllo'" o.toonh J l.ong _ IIinn,no;ham JOOn K 1(00:""'1 .... - A,hl'nd M.,k W.r ... Sa.,.1 _ M on,~,,.r••'")' L Tu, ......,i lle _ Iton....'OOd Ilom",OII iIn>o'n _ lIimnngh.m Thorn .. t:, Iloich _ En .. .,.., ...
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t:. Munsty -
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Co-cl\aim .... : Koo, AfiO - M ooljll>mer)'
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Alex Jock""" _ Monlgl>m<ry
.\kml>< ... : Judi" G.. y M, I..k Jr. - 1'."",,1<>00> J...... R. FoIo)' _ Hun"""I'"
T_os,}, M, I."...I<I _ lIun",·"'"
A"'La 1.<01", M i l ~ _ Birm ingham 1'<rT}" EliloI.,.,h I'Nror _ lI<mungh.m Richard F. 00;:1e - Hirm,,,,,,",,, I ~' 1 Fri<dman _ B"m lngham
Wil ".m H. Ken"",y _ l'usca"",,",
J)y.'ogh' W. llradloy _ God,..", Danitl G. Sa,~ - Mobi'" G"VJI C. Cot'oo _ lI i mu~om H"IIonl Thogpen - Tuscalooo.o ~Ia .. ha J.... I'.. ,"" - lIirmifllth.1m 110)' II , 1'h,lIi"" - f'Io<on" City T<rT}" Me£lhenr - Birm'fIj/,,"m
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g,." lbohinMY _ _ i.......
""'n E.1Ir<d - Ooo"'n
M~mbe.-.o
Lynn 801oy Ault _ Bir ..i .....'" non L ttvdomo. - Cu"m.n
e;"." S. S<toIoaoior - f'Iortnoo
. . . . "'.F.....,._IIi.......,... ",",aue:IIodow7A. Mn GonId. R. hulll
So"".bor<o John R. t. ... k - Bonnil\ltla.. Janw E. W,lIia. . -
Man......,.
1Ifew'""
!)otrio! Cloy........., _ T ..........
W Shapard AohI<y _ " " " ' " - "
So ...... Map,s - Binnqha..
Ja_A._-Borm, .......
W. StOl1cil sw- - u;.-......... John P. Soot'.Jr. - 80 ...,.......
Char'" W. Wood"''' _ AbIot-;11<:
S,tphtn M. Guda< - Mobil<: Karon O"en Ilooo'd", - IIirm'ceham
ItonUI G, 0. .... ".,.. _ M ..., _ IDid< RIC,,"'" Hynds - llirm ....... D. No.., __ __
t.r.r L
1Ia.., - T , _
u"p."
W;!Iiam G. <"-0" Bi ... RoIIoE.8<d;IU-HtIoN
I.awyer IIcf~rr'" Ser~ice Boord of Tru ~ I U8 Cha ....... n: llrut.... W. CooIo _ T _
Suolf 1..100.R<poaIoIT. I" _ _
"""'~
So:enlAl")'. ..."',... 1t.,,"...1So:"';""
(;aII:SI<,"_-
.\I"mh,,,,,,
M""......,.
S, W'Y'" t·.11or _C.llma. Wilham E. C.....:I, - C.moItn
J....... D. EV2nI_ Bullor 80rd Wl\cIIa" - CIo,IOII
S. ... j.loIurphy _ T,_ ....• T"" Rt1""'" - T "'" Juliuo L Mc:l'hil'~Ir . _ Mon......,. """"'''''' Sopp- T ......... R.oII'h D. Goln<S.lr. _ TIIlIacI<:p _ n W, ao"",, - n:....,.. Br.., ...
w. "'... _ st.:niokl
""''''''h ShtIIOn -
o.ot .. r
J..... E. Oo";".Jr.- Hu"".iile
I'hkllip laord - ~ -..s.n-_Soot ........ WiIIia.. D. S _ - 1Ii_....... C'-Ito Lo ... - """'~
I.e"",
eu"""ittec on Sen'ices For 'he Elderl)' Chalnnan: , ...... V H"""""'-Ir. _ T _ ....
n"., Ourl.......:
Marp... HoImY... rc - ~
YLS R.pr .... n ..."n: K.yo tl. H _ -
JI;rmr~m
S.. ff Li,oi.,."
M. ry Lyn Pik< _ M... ,.,...,ory
,\!c..,t>< ....
.100"" L F.,. - BirnIorcha"'
W;a;... F. Pi,,,dtrpsl _ ~ Marpm M. ~ _ 1Iinn.,.1.."" J.T. _limn, ....... St<$lhrno _ l\i'ou ..... '"
so.-".J,. Mod"""" .. W.CIo'" W>u... _
8rm""...... Cloy''''' 0., ... _ T .... _
Willi< U. llmino _ 1Ii'''''""",,m J.F, J>n«k, - Md,;" Lynn< B. K,"' ....... , , _ W. ~ ,!dIoI- 110_........ Lao",,,, ........ .. V...... L 1I'~bcaom _ _- _ "" Br"","","
.\1001_
iii.......,......
u,..- _
- "'1oyoiIo:
Wi lliam tI. Ir-kDmnol\ - Mobil<: Fi.,. E. SLJohn III _C .. llman
Nobtn H. 1I.m. - o.a" .. ,
C".,""'II« IorOrtprniu.ion of l..it;g,..ion Section Chairman: T....... l.ft 111 _ 11 .......;110:
Vi<c Chairman: "'01 t:, Skid ..... -T.......... s.. rf Uaioon: Mary Ly" Pik. - M... tpntry
M.onI>e ....
Ja_ N. Sr* -
Moll......,.
C.... J.c.ino- Mobrl<: Clor. C__ .... - T - . .
Ktn""'~ W.11oeb _ "'""' ..... rn W, E _ N.. ' ...... _ lIirm'n¢uom
L Va .. , .. S.. bI<:r.J'. _ lI,rm,ngham
C"",mill"" on ,,,,,,,., liar A~I;"iliu and Sen'0«8
""'-
ThonwH.IJo8p.J •. _ Dm .........
\ 'Ic<o Cho,nnan: C..... A, Smi,h - lIr,mon¢uo'"
YI,s lie,...., ••• '.",·., w..1t)- Root, ... - Mon,lIOfIII'f)' S..II I.iai-= J«o Nowell_
~
l.e gi . .... ';,·., LUoi ..... C_,mill""
Chai.ma" Erne';,"",
""'yo
t...,...
o..i. - o.a,,",
Mobtn E. M..,..,...- Sr,ma Will"m I. Grubb It _ E.. tau," H. " " ' - _ M"honI It. Annlot"" Jetty W.»o<o-o
IlobonT. W..... _ ,...... Wi _ O. _ - [ _ T.... K. fInrnIs.,- - ~ L tiki .... J'. - OJooIoka T,.".,. C. ,\to2n, - Mool,....,..-y
R. Em""" ............... 111 - Mool"".......-y Charloo "J. "" __ Ir, - Binn' ..... '" ~"Y T .. """.,... John W Sor-lf _
J. M",1IaeI
AI!'enn'IIJI'" - Mobil<:
W _ :,!,!Ch<II- ,_
M><kr Still<:r _ 0..0,,";11<:
Chairman: Dand Ii "'"'..... _ r \ 'iccChoinnan: Ja ..... K. &lr:t< _ 8orm' .....'"
Wal, ... W. Kooonaly III - 0.-,,,, IIctlliaml, Sr _ Aubum
",,.,.Manlty Ssorudl- T _ John S, c-,- - H<fl," S. W.P"<FuI .... _C .. llman
o.a,...
Fran. H. Ito .... """,,, _
M ed ",al Uaison Con"",lIce
a..I",,,,n, M""'~
YLS It.pre"",n'.';'" CIai .. 1IIor<k - T....."'"
Thomas Ii. K..... _ 101 .........,.
VIc<t a..irma ..:
JohnW . .....,._lIrrm........
llar Com..,;",.;""e",· Uo"""'= IIidrrarrI S. M...1oy - o-op:rI ..
YI.5 R._~ '.' ; .c:
eon",,;"ee _ I.<:g.1 Educ.,;on and Adm;s ''''n.o , h., llar
S..fl l.iai-.: ~kI T .... m..... _ Mool,_
St.Il I.iai-.: Mary L", Pd.., _ Mool"-y
Cha;rn ..", Gordon O. T .n_
,\I"n,Io< ..:
,\Ie n,ber.,
- MotMl<:
G. S. LyOlll _ Mobile
Ii. E.... ~'bo loy _
Br""""""..
CIoUord E"""",,Jr _lIi rm'"II"'m
'"
.1& ... C. Li,,1e _ iii........... fit<...., II' 11'..... 1. _ H...... . .
I'rnleoo;ional Economl"" Commi'lH ~ o-.I R . _a - ~
Tho:imM II·. H. Buck - lion."...... r. ....... DB. HoIo",....," _ " " ·",,.pom II' lloyd _ _ ...." bile ..... rda S)'<!"", _ 1Io,m,,.pom 1)0,.. Corr _ ....obile
V ..... C1woinnon.:
w.
G. Slfpl><1t WiIri> na - Tu",,"-o
VLS Mepnoen,.,I.e:
Joh. D. CIe".,.."" _ 1I""""II""m
1)0.... C. _
Wilham A. S".../oy _ . ..... ,.,.....,.
Comm;"u on M«'inl Cri.icism Of the s.,,,,,h and Couns C1wo_ W. R. . -.... 1e \'1« OO.i....... n:
"u"'....
""'n<II
~,Ken>1H
- God..,..
YLS R.pn: ... n'.'i",: Willia ... A. 1Io"iff _ iii ...........'"
Staff Uoo""""
:.wy l'" Pi ... -
_~
........... "" lo4It Joel 1101111 -
Lo ...,... .. Frod McCaIIum.lr. _ 8o ... ..,.tIam I .B. s...;.,.,. 1Il _ MoIi.. llOd#Aui>«)' FO<d.lr _ T"~ John L. Carroll - .... "",."..,...,. Chanos C...-- - tkmu ...... 1_ H. Star1B _ 1ola<k B. su-. - ~
iii........,....
IL Goaha", G_
_ """"..
Commiuee 01' ,"" 191'15 MidyurM"e'in~
C1woi..... n:
Wdl;'m 1. lIin II _
Mon,.,.....,.
~ E....,..;,"" 0.. ... C. Hobbo _ Moo........,.
,i.,,:
YLS R.p<ae .... Lo ..... I..Cnll" _ loIonc~ Staff Lia ......: R.."",,]d T. Ham... - 101"",."..,...,.
Mem"""" ~ ic hat<!
W. EIoU -
PoIham
Joo<p/Il'bilip II<q _ Montpn<ry 11_A.IIyn... I •. - Mon"-l" T....... K.OOtld<n _ Mon"-l" I . Clifflleotd-loIooI"-y AlIonC. Jonoo _ T..., MdoaoI G. K.:noIri<It _ IIon.n,.pom N. Gun ... G.y.Jr. _
Moo........,.
I,m IwoIi'o.lr. - Mon'i<'fT1<"')' ""illip A. Loin! - J.......
t:.:lwanl 8.lIoy""",, _ T~ iInIj,o",," T. IIow<: _ /oIoboIe I..... T. s.s.... - No<t'-"'l"
.........
Mili,ar... t.. ... Coonmin.,.,
C.V. s.m....mul .... - II .... ,""" ..
I .. 0. ....., - Mon'JOII'<"'1' VI$ lIepn;o<:_I,·. :
- . G. Sou ..... _ lIi,,--,,".
S<olI Liaioon: X<pnMI T . I\.a_ - Mon"-l"
. . ........... G. Sie...... _ Mon,.,.....,. :
W ~hlm
..
CIe".,.."II. Caf1ron _
lIu.".iI"
~
Non_n. M.mbe"" Wil liam H. CI,.",.I _ 1I'..ln""on. D.C. .... .ojor Will;'m L. W. Ui. _ 11'"..
Poi.,.
N<w Yorl< M.ojor "".1 B. """"'"- _ CharIot ... ril\e. Virpl"
MIjot 5onlonl W. FluJk_ - CIwIot_ .... V"qinia G""" S. O'Ootonell - I\rlinaton. V"trpIII c""'."""""'yr.U..... _ ft. Made•
~"~ P"rmancnl Code Commission C","""""n: H... A.S .... _
~
\ -onCloooit.w...... G. Silbrrnwo .. _ ...............
Committee on I' ....!trams. I'riorj,i"" and Long· Ran~" l'la nnlng Ch.oltman: IIardd I.. Spta ... -
_I .....
II,,,,,,,,,,",
Co-dwoimuoa: Thad G. I.oo1I- ~ .. l ' LS R . _ .,. , i.·e: AI ..... "'...on - MoIIilo
Soall lJai_: Alu W.j .,k.... _ .... on ,.,.....,.
Soa" I..iai"",,: RoIi",,1d T . lllm_
"'<mbe ,,:
Me mbers: Sa .. 1oI.)oII_.j •. - Mobile
Wilhlm 8. I\.a,.."", III _ Binni,.pom
StanlqlL MIII'IKJ' _ Tu""' ...... AbnIII L. Phil_J,. - ~ ..
IiArT)" W. G.onblr _
s.t..
C hu\o$W.C_ - Moo~
II-dliaon C. 11·0001 _ Binninllta.. I.owis Poco - iii ..............
M.M. N.,h ....... Jr. _ M"."jIOII><t)' julian Ham. _ Doa,ur Alj . .... 50_ - Menl..,....". ...... C . 1'opo - lIi.mi,.".m
CI'''' 0 __ .1 •. - looP<'
j . WoII;'m _ .Jr. -~ ... C....... E. ti;1... _ UI _ Hu.........
Comm;tt.,., on "repaid I.... llnl Sf!rvic""
- Mon,."..,...,.
.... H.Moorn _ Doa' ..
Wayne I.. 11-" ' " _ TUIl:lIoooo C_ _ I.. IoIdlomwo - IIontiircha'" linin: ~ - 1Jorn>onthuo
Alben C. Boll< 111 - Tu~ Earl F. llillian! - lIi... i""""m Th<lmuA. Smi,h.I'. - Cull ..... Ma,k T.I;'fC1"TO.J, . - Binnn\&hlm ...... W. Killian - Jack .... ,il... F"IoriII
Il.-ot Roboru.Jr. - Hun" ..... lI'dlYm B. IborsI .... I. _ _ ,.po..
Committe .. on s.,.,lions C1woirman:
CI> .... Rout< - M"."romerT
CILoIrmo", IIobrrt E. Saut< _ Mon,i<'fT1<"')'
Vic<: e ","i<n' . .. :
Vic<: ClWnnan: J.,k G. Podm
YLS N. _..... i~ ..:
BM MI.
C..., ... N. Adair.Jr. _ oa.o..;l ..
W. C..... W_
l·LS Rel""'M'd .. 'I ....: S..." Lor....,. - _ I.."...
SufI u.;..",.,
Soafl l..idio.ooo: R......1d T . I\.a.",.,. _ Men,."..,...,.
Members:
M ~ mbe,, :
eo·olLolrma .. :
Bum''1Pwn
.... l1li -
Stolll..idio.ooo: Mary L}'1II'11w -
Tom It ROI'Of _ 1'<lhIm ,....,.,... H. Sh<rk _ lliroU.".." Htrbon ••. Y_ - DoaIUf linin: I.. GonIon _ Bonn ....... '" ...... II. Cnwlq - TOW J W.... Kopr - """'"-l" SooIt T_ William I.. C.......... III _ llo:<:o,ur ..... rt. E. Manl" - 1Ii... lt1(IIIam
F_,.. -
I)oo.¢ul.. Itt)' - Biron ......... ",
_ ....... ',.pom
Mary Ll'" riq - MonIJOlDft"J
Winn s.1.. f.ul~ - Dot .... .
Jona,"". E. Lyerly - Bi... inetoarn C/O ri. Mi,<IodI - 1Ii",;""""m I... " E. Nob. - JoIonI......., Richard Y. _
'--ftIA. W_
. _ Mon,.......,
_ T,...,.,.....
L.~ Wn&h< . jr
iii.........". ..
.....,. EIiuobe1h"""'" - _n&bam Terry M<flh<nJ _ 8omn,.po .. C...... Itoboru - 80 ............
,--
Gary Will;'m E".t.nd _ C..., , " _•
101.",,", WthI.J. -
S""dal [..lal..... , T ax Com miucc f "'" ,1M> Soul h ~ •• 1 }tellion 0..; ..... '"
w~ ..... t.lbnob.lr Suuu.o-,
Mart Lj'ft f'iko. - Non.......,. 'I1'Ioous C _ _ - Non.......,.
t. Fnod ""....to _ IIonn'".......
C..""", ille(' on 11M> U" au,horized I'racli« of I... '"
f.",..-pr;"
C.. ·c"'"i ........ ' II. Lhotaht Md","" _ I:too ....
YLS Rc,....,""n'.oI,·~, So",'. M. F<ll'<'lland _ iii.............'" So • ., u.;.....,
"'·iIba..
H · ~_.lr._~
M ~ mlwno:
So ..... It. en __
"""'*
no.....",.
1Iwm,,.,.,...
R<vt<t _-lliranwham Jolon t-;. l'aIuuo
c-....n.
Ta~k
T,,-~k ~'",,-...
on A"""Uale Cou ... ~
Cka .......:
- . II Ill .... _ o.a"u,
.:m.., C.llornoby _ T . _ I~k.
_
Montrom<r)'
M.",,,.,....II.' 1'",." _ ).~
Gadidrn
/ ..... C. "'i l .... , Jr, - 1Io,m,n&No" W;1I,,"1 WY"" _ 1I_ n
I. C... Alleft _ Mon,~ w. -.rd 0.:.-." III - 1Ionn,ll[II>am I':oul 1\1. H<l1Itr _ Joopor will.... H. Ktnrwooir _ T"....1mu V.,.toan ["nkarol.l. _!\totoiIt Sod...,. W JodooooI III - Mcbilo Ito';u.. Ito·
So _ _ . lr _ Hunts<ilo
Task Forces: Ta~ k f .....,~ Oft
Ahc ,nal;,'h 10
I)j""" " Hm.o lul i,m
C....I"". ..; A.II. Gatdt. Jr, - ""miOllioam Vice Chal." ... ",
IIGtwn O. Coo. - ."Io:ftoa
so<1ll-c
""'"'" M. IIoy<I _ _ ~
G. SowtL,..-MoWo
f"""''''' Cilinn,hil>FA ""a' ion
CIuoi"""n,
Larry II, Chold, _ 110,,,,,,..,,...
\ 'ice CIuoi ..... " , /<nolle M,m. Manb _ TullCllooN
S .. III.lai """, Mory Lyn I ~k. - M... tI<JmOrJ Me","'"",
C"'tIt ' ........ ,.. _ T.1\adep CatnO!' H. ~ - 1\,...,,,,,,,,.. I·...".. S,J>_III - ~ _
D. La ... _ Auburn
8oo-rJ _ _ - Uoc,..,. Nonaa" IIoIoJ - Do<3our .Ie<rT N Qoodt _ T",..,;..
n.... -
Ta, k Force ' 0 Con,ider 1:: . 181>1I <1I",,, n' Of S' andards for Uo~ul /h~i~, ,,m~ ,\"d
Coo.,
lI ~pr.,.~ .. ,.'I>·~,
And,.... J .~_ III - ~""'"
St.1f UoI...." M¥y Lj'ft f'iko. _ M••".,.....,. .\I ~m.......,
C.
W.,.... Aohtu -
[.I e,,()r'c .~
Chairma",
MoIoiIe
Joe S. BoiIeJ - w.., """'". G<cJo-t>a
r - S.Lo....... ,) •. -
Nonlpll«J
_"""ox '''Y
\ 'lot Chair .... '" C. N<al Pope
Sulfu"...,.., :<-lory Lj'ft ",.. -
_~
M • ..-..,
kff"" C. M...., _ lIwmo.,pam I. Allen BrintleJ _ lIun",;l1e
s"",h L Thorn .... _ Gad.., 1..... /, Thornl*!l'.J, . _ lIorm'nah>m
I!obor< It. 1I<l<ld _ lI,rm,,.toam 0.. M.rpr .. Si ....... [lwata..-
RoOm. M. joh ... ,,,,, _ Birmi,..ham
r....I MoIone7 _ n.aour 0Ien_ ........
.........h 1\1. Schuppon.,Ir. - Oo:<:aI~r c..:....,r W""""". lr. _1'nI ...dle GoortIt II"', - ("...won IIobonJ V""," _ Mon~ So.onlty W_ n _ M••"......."
1I'00bom C. V_ _
M oo~
T . .. k ~'or<:e . 0 Conside' lIe"is;on. Of ' he Con" i,u, ion of 1001 C...i ...... ", lI.rdd 1·. II"'''"I_ lIu" "v,11o Vl<eC .... "n.. n; v.... C. Somfonl.I'· - Opolilo.a Slafl u"i""", M.ry Lyn Pi ... _ Moo..,.......,. ~I.no"...,
L a _ llu-.I" -_....,....
.t-Ioh .. ,.,........, - 1\,,",,,,,,,,,,"," ~ ..................... - T·, ...1oou
Jooo,....... -o.,n,.,.
John l' MI. - -........ - . HIli.... _ Do<3ouc
1.._""111 S. ManleJ - 1)0" ...... N, IIon>Id Stophon. _ ituntavill< Joo<ph
It.John..... J•. _ 110,,,,,,,,,,,,,..
AlI-,n T, p;...,..-QOd _ ~
....... C. I_I:'I' -
Mort~
v.n.....
Lou" II. LutI< _ CU" .......,,)o 'llarlot II. Cole _ lIinn''IIIioam I ..... }trry W<l<ld _ M"",pntry John r Kolon - Mort..,.......,. W Ny,n doGroIf"""'" _ Tuocaloou T. ~k forc~ '" ~: ,·.lu"l~ 1'«, [.I."..., .. A • • .'Il ea ... of In~.e."'nlt;
I" " ·r e. Conopcle"q
K W l\Iichad C_btro - ~ II<odno7 A. Mu - 110...."""'.. 11....101 L Coil .... - Ilot........... C.roI I. M ~I ..... _ 1Ionn....,.".. So .......;, Winn' ... Teono')' _ lIummle Itidoard II. c..... _ Ann ......
Jad<CIa,,..- T""",,,-
Mont
Cont.I.M. r ..... "" _ W.., ""'no. <io«qJa ~" Johnooon III - Mob*
Ro","", K. Ib:h - _rwtoam A,Charlmr........ n_ T _ Mlrt".I .... P." ... _ 8onn....,."m II' 101 ..... Dollar_Auburn ludy 1>Oneont.
Il.lrdd r. s.. _ Tu .... kocu
YLS
K_ o\rJIO- M...!pI'l«y _loy 1::.1Iy.... - ",..... I""h S. Critwnoltn - IIonruorcha..
I NaolI r _ , . _ T _
YLS IIc l""""noa ' i'e' I.. u,," I!ooo Cox _ I""""",
_ T.11adtp
1ttci .. 01 TIll",... - Moo<aomrrY
Memlx ..,
"'\11 .... N ''''k _ 1Io.",."p.", M.R. Noct".. ft _ .....".,~
"u'¥i" U. K""
AI""" Roy _ H",,,il'l/ftklm
,;"i""",
11.,• .-.1 of'lar Comml... """,,,, G.ry C 11""... 1:'1' _ lI"n ... ille S,. lf Ual""",
Aln 11'. Ne>.1"" - IIo,m'nKham I!dh Ma_ .. _ .... obole I· ...... k W~i,. - I'i".b<orzh. "'" ntyl,'.noa Jtrry N. Wh". _ Uoc"." John F f'foc1 .. - Se.."oboro
T.,k
~.
tto-no ..... '''''..... - lIorwo....,."m Y1.S II . "... ..,",., i"e, M.lIo!'d Milltr - M""'1e
S'. UI...;..... ' M.ry L,,,
f o«<o Oft E.,abli.hmen, of an Alaban,. SI.'c Ua . 10 LT,\ fu nd o..;n.u.n, C-MA ~ III - MoWt \ "oce Ouol ....... '
\ "!<e ChoI ....... ,
CloveIand . - JoooI>h ""nwll "', ,,.. _ - 1101""" W.II """' .... /r. -C'lIu",boo.. John ~ . F", ..,io)'. Ir _ If'<J<ldJI< IlI...-.I1 G. I"' ... - IIorm'nah>"
S.c, Moddltbrool<, _ MobOIe And ..... 1'. Ca .. pbt\l - llirmincham
Mobilo
a,,,,,"'trioa"
Itw;:hord W;""'" - ~b>'~
-_nKham
.\ I ~ ... ~rw:
Cka;r" .. m 101 ,0.'" Ma"" _
jan" "", ...... -
CIuo ....... '
II' ~
Ru,""- _-.....'"
\"_Owol ........' Lou .. II. F.... _ 1Io""*"llhl'"
r....k M . y"",,..1U - 110.--""'" Hanold 1. Aplb,..q. _ 110 ......... '"
YLS 1I"I""ft"t . .." ,."
I!ooo It. ["'... _ Mon,-" c..:...., sn. ....... - ..........,......,.
S..flLia......, Mary Lyn Pi'" _ M"".."...".
_,ltCoW.lr. _ _
aorm,,,,,,"m
1o
s.:-.. u.:..-no - 110,,,,,,"&,,,,..
M.nolx ..,
I""""",
Culp _ lI"m'nI!ioam S,..,.,." N, 1_ - M oo~
_ n...ban _ u ..... s.1'=y _ !oIotIiI<
So~
T
f ".-.,e "" Y,,·)'e..,. 51""""';'""' ;""
.~~
T.~k
c. MxI..o<Jd Fullor -
I ...... C. Pino _ Al.obo ..... Willi.lmC. V..I _ Ki,m,,,,,,,,m r.5. 11'.. __ Arab
Curt;' 0 w•• III G. Ibo ..... WSsnr _ I M",MoI lI",_ Ibn:W L W _ _
Bi,m,rw\wn Auburn So _ Auburn Ha,.,......
Garr A. T_ _ Moo........,. I. Earl La,..,...,. _ 1Io'''',,,,,,,,m
Mort C. McOonaki _ M""lpT\<ry
lla,id M. lI'ooIdrid&e _ R,"", ...... '"
Tuk Force
' 0 E"alua' "
l' I"<".Ad m;~~ ion A ppn:ntkc~hi ,>
In,,,....,,hip ." • M.,ano 01 Inc'''L~inll
y "
)' ~r
Compt>I.,nc)·
Chairman:
J<lhn A. lkn ... I" _
MonlpT\<ry
Va a..;......n'
William S. It • ...,. •• ', _ An .... ""
Rc_"" SO ......
C.~_T" .........
"'.If u.;...,..,
M.I)' Lrn Pi ... _ MorrlpT\<ry
Mombe .. ,
T1rcmao N. Oolln,y _ MoolpT\<ry H<mran C..... _ n... ... n Joel E. 0iJI0nI - 1Irnr>qha.. D. CoImoan rartoro.rp - Mon~ )lei ..... S. 8ion"", _ llinnrqrlram llrom.o. H. _
_ Bi"",,,,,,"" GI<nda G. C""hran _ Bi,m,,,....,m RoIrm I). Sopll - MoolpT\<ry J. Do.v'ocIllra .... _ lIinni......m IbrboQ L BIodLfonI-AIIan ... ~ Gary P. ....·iIk _ _ I'Ior-onrr
C............ E.I'ftns- Motri ..
Stf1>Ir<tr M. 1Wtuwnor -
Scor.~
Chtn)r L TIromM _ Tuocalooo.l Don II. LooII;.lr. - 110 ..",,,,,,,, .. William Dtnn" McKio ... _ lIi,m,,.,....m Lyoo. Flynl _ Mon...,.,..,-y SOi....,. C. iii"""",,""
s.......,. -
I . .....1IaI _ Cullnran :.I. I.ooI'Itllaolrtt-o _ lI"inf..., I. )I""-IIlnrIroor.J, - _ .. Willia", ~ , M)"tI'I- llinnrqrlram llrom.o. R"'n' .... _ 0.-,,. ~
Ta, k Force " " J .. d k ipl EVQI.. a,i..,n, Elcc. ;"" and Selecti""
"'""""" J, F.........
Gal. In -lIirmu'IcItam
I.....-.:I..' e I' .., Chairman: lion. TborrrM S. Ltr .._. So. -
Moo..."., Vic. Chalnnan, Jolon L Ltr.,1or _ _ ..
,,".'i,·.
_ \"1.$ 1I~_ .....' ••_ _ '1\dIMrO
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r.-.. C. Suropoon -
u .....Be
NI< .... rd II, UorrOll,tr - Mon~
- Scor.,$bonI
E. Iboy Ltr .... - B;nrur1,trom Chor1eo L Dtnobo,. _ 8>nn.,.ha", C.. ...r""'s.~.-...Jr.-~ T. ~k
Fon:e "" J udicial ~: , a h.a,i..,n 01 La,,')'''''' . '. Mean . of ' "",cus inlt I .... yeT Co"'»e'~ ncy ~·.. nIt
r_ -
It . ...
'"_OOOIrman: Wil ..... H. Mills -
Mo'U........,.
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"'011 '_-, Lrn MOl)'
Pike -
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Mor!lpT\<ry
St.1t I.ioj""", M.I'l' Lrn I'iI<t -
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r.oe-.dI T. Slltpard - Hu .. ",·,I" S, R<o.~" G"'yn _ !Ii,m, ... h.m
W. " 'Iwder s.n"h _
!linn,,,,,,,,,,, William LClltNul,!II - Iltgour _ "'" III _ MoIIil< I K<ot1o Go _ _ n...ban
Donold WOO, .. _lIi""rqrIra'" Carolyn L Ouncut _ Sinn, ...... m ",,"'.nI 11' , "" •• .-. ...... - T uocaloooa J,m"'r 11.I'00I - Mon~ ~'""
W.yman G SI>o<nr -
I'>me
a.-ru
....... W'" Ha~ - Hu"".iIIt C~ E.1'ftns- MoIIi"
ttlnnlO. c-tt-- Bi""' .......
T a .k F()I"CC on l.e~a l ScT''-icu To Ihe 1'00. Chairman,
"-_C- - IIormo.....'" \~_Cha
...... n:
Ira "'- Bum.. - """'"-'" ~' LS 1I~".....,n'o' i,c;
M ~ mbeno:
WicbonI M.JonI.on _ Mon,........,.
C"'rles II. !looser _ Tu"",ml.. I ...... Wilborn R. GonIon - Moo-!p>IOI')' Sa ..... W. _ I I - 1Ionn,,,,,,",,, SI.-. F. Sdt",,,, _ I ... [40,...... II. "",0..--, - MoIOI<
n_ I. . . G.H. ....·'vn.J' _ ()poIi ...
J... Suo II. E..... - E-..J"'JoIt .. N.lkyJn.I' _ lItnnmghlm
1...... 1Iobm E,L, K.,- _ E~ Mac M. _ _ B;,rn,,,,,,"m IloIoru W. &0,'<1 - Mor!,_ T.~k
c:..:.-.,. _ -
Pa'rock H. T ... _
(holnnad '
F...-.:e "" Y " ')'er /\k:uhoI and [)nog Abu ....
110.,. -_ -....rill llinnlqlhom
Me ... ""'..., Ga<y I« IIoIIin L ""mil
ttI"',n ElI<In lI~ m~ _ Di ............. 1I<nj:o",," H. ~ ic...., Ru...u.. l10 E_II. V..... - 1Ii""'''IIhom
-
W. r ...-y ",,". rd _ Doo"n L Don !u,bervtl" - 11on .. ~ood T..,.,. M><hatl Pu' ..... -1'Ior-onrr Kat,..,... H..p.s, Ir -llirnlongha.
Kcn<>o1b Coon.'" _ Btnn..,.ham
C....... G. SpndI'''II.J,. - Bt"","IIhom 01",,, Hanly !h.•'';o. - ...,ont.......,.
V•.$ R,,,,,,"'..' a 'i,o:
An", L Moddox _ T .....1000.1
Stoll 1.101..... 0: .... ~'tII-~ M2ry Ll"l ...... - ~ M. mber.:
JactC ......... " - Mort""""""
J...... /Ooh .. S. Mulli •• _lli""'i ..... m 11'. 1,.. J, J>ri.:t, Ir. - lIun",il" CIo.-..n W. SIou,tr' ... _ n...""n Gary 1M Boilrr - Bi""'",...... [)ov;d O. I!>rIt
- _ .. IIGtrtn H. 1Iownin. I,. _ Bt""' ........ ...... ho A. Clrm¢rl -
Btt......,.....
J .....,... ",«'kon. Sole" kor . nd Hd~n'kon
Ti"""hy C. lbl""", _
jo/1n It. Fra"'1qr _ Irond... J. llo}'l< Ful .... - MonlpT\<ry
M",,~
M"hatI D. LtrnrIrn _ SI ....... IIGtrtn Wj'OIh 1«. Ir. - Bi ..........'"
I. Haru '--.Jr.- lit"...........
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I'>mtIo J. Go:dcn _ Mort~ S..ItUOi ..... , MOl)' Lyn l'ik. - .'oIont&<Wr><'l'
Can>l 1 .....anoc. _!ua:a_
Cha ......., J". Val L Iok-Goo. _ Our'k
I. M" ...... C<tna""O)" - Dot"'"
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CMf
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(o.ch.oimuon ,
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Stalt Uoi..,.., M.I)' Lyn Pi ... - M"",1I<W>'<'l' M.m....., Ibol"" I. K_1to - T _ J. 00naId IIonks - Moho .. J... J<ri lIIankotrohop - It...,.... II.II<yon - Anb Ituetr A. !'..... _ 0.-,'0 AIIqr A. K" ch,op, I,. - Uor",inlJham
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MobiIt
"".1)' P. Tl>om'OIl_lIi"",.....m Su.." M. TuaJ<- Hun,O",I"
L Thom ..... ,\1<Mu",ic _ Hu" ,,'"''
_ S. ttli"..... - MoIIi .. jrrry II' ~ _ Birm' ...... m KIck Ha"" - " " " ' " - y
I
I'M"'" top. -
~
It. PftoIOIl BoI'.J,. - MoIIi..
l'n'Sidcn' ·. Ad" ;1KM)" T ask Force Ch.irman, Paul W. """k - _
..
\"_CholntOMO' U: . ~ _ T.'_
Me mbeno:
J. ~ Do, .. _ Birnu"","'" Car<rl Ann s,.,,,h - B'''''ir-chom
M.u,y !l. Sm"h _ Moo'lIOm«"Y Bibb Al .... _ Bi"""'iham '"'" 'II N"""on - ~ H.Vonn .....~_T" ..... Iooo. EwI "'- S<r-rws,J •. - """',...-.e<y ......'" Vineo _ BirmqIwD kidlanlllt:runda _ _ .. Ha ..... F, n.m'lil-Itun,."l" llrom.o, W. Chrillian _ B"minahlm
,....,,,.,
GHar ~riefs T wo recognized fo r out s ta ndin g scn'ice
kee. Wi'iCOflsin to its new location. Suite 5000. at 750 Northlake Shore Drive. Chicago. Illinois
Alabama lawyers H~rold F. Herring of Hun\S"illc and Robert
606ll.
A. Huffaker of Montgomery
Adams honored for s ixt y ·one years a s cit y attorn ey
wffe
awarded the Alabama State Bar Award of Merit at the conclusion of the Alabama State Bar's Annual M~t;ng held in ~1obile in July. The award was established in
1973 and is given for olilstanding and constructive service to the legal profession in Alabama.
During the 1983-84 year. Herring se ....'ed as chairman of the bar's task force, appointed in August 1983. to study and evaluate the prop<ll';ed new state cOIlstiw lion. Herring is a 1951 graduate of the Uni,-ersily of Alabama School
of Law and is a partner in the HUI118ville law firm of Lanier. Shawr and lIerring. He is a Fel· low of lheAmerican College of Trial Lawyers and was president
of the Alabama Defense Lawyers Association in 1979. Momgomery aHorney Robert A. Huffaker was noll'd for his (XIntri· bution to the association as editor of The Alabama l~ u'Y". Before being named editor in 1982. he sened on the publication's Editor· ial Advisory Board for several ;·ears. Huffaker is a 1968 graduate of the University of Alahama School of Law and is a member of the Montgomery law firm of Rush· ton. Stakdy.johnston and Garrell where he has prao:ticed since 1971. OR I makes mo vc The Dden5/! Research Institute. a national association of 12.000 de· fense triallaw)"ers. recently com· pleted the mo,'C of its national headquarters office from Milwau·
jackson cit;· attorney John E. Adams. Sr .. who prohably holds the all·time record fOT municipal service. was =ently honored by his local governing body. MayOT James Arrington and members of the jackson City Council adopted a resolution on May 21. 1984. ex· pressing gratitude to Mr. Adams for his sixty-one years of outstand· ing service and (XIntributians to the city of Jackson as its city attorney . Mr. Adams was admilted to the oor in 1919 and a<;live1;' pra<;tices law in nearb;' Gro,'C Hill where he is senior partner in the law lirm of Adams, Adams & Wilson. His son. John E. Adams.Jr .. is a partner in that law firm. and his brother. Roben F. Adams. is a panner in the Mobile law firm of Johnstone, Adams. Howard. Bailey & Gordon . Congratulations! McKel v e y a ppoin t ed
ci rcui t judge On Thursday.July 26. GO"ernor George C. Wallace's office an· nounced his selection of Anne Far· rell McKelvey to replace reti ring Circuiljudge Edgar P. Russell. Jr .. ~s judge of the five-county Founh Judicial Circuit. The circuit is composed of Wikox. Dallas. Bibb, flale. and Perry Count ies. Judge McKeh'CY IS a native of Wilcox County_She graduated
from Auburn University and earned her law degree at Cumberland School of Law. She was with the attorney general's office prior to being appointed to Ihe Wilcox County District Coun bench in 1979, when Governor Fobjames made the appointment upon the death of Judge Stanley Godbold Judge McKelvey was ek.-...:ted to a full term as district cou rt judge III
1980. Judge McKelvey. at thirty. be· comes the first woman judge in the history of the circuit. She is , also. the first nat ive-born woman Alahamian to se ....·e as a judge in an)" circuit.
~ k K!::I.\' f:Y
Pettwa y ajll)()inted to dist ric t bcn ch On Thursday.ju ly 26. Governor George C_Wall3C<' apllOinted Jo Celeste Pettway as judge of the lI'i\· (XIx County District Coun to replace Judge Anne Farrell ~fcKelvcy upon her appointment to the cir· cuit bench . judge Pettway earned her un· dcrgraduate degree at Auburn University in 1973 and attended graduate school at the University of Alabama where she received her master's degree in social work. She is a 1982 graduate of the U ni· vcrsityof Alaooma School of Law. Prior to her appointment.Pcttway was practicing law in Tuscaloosa.
Complying with Rule 39(k), A.R.A.P. (How to Succeed on "CERT") b, Henry T. Henzel
Y
our appeal 10 Ihe Alabama Court of Civil Appeals or Ihe Alabama Court of Crimi·
nal Appeals results in an unfavorable
decision. ' You are confident that a ground exists under Rule 39(c). Alabama Rules of Appellate Procedure. which permits yQU to seek review of
that decision in the Supreme COUrt of Alabama by writ of certiorari,' bullhe lower appellate court has failed to in-
dude in its opinion aillhe facts nece,..
sary for the supreme court to reach a decision in your favor.1 What should you do? You must C(Imply wilh Rule 39(k). AKA.P .. \0 preserye and pres.
ent vital facts for further review. Oth· erwise. you will lose on procedural grounds. Unlike a direct appeal 10 the supreme court. a review by certiorari or·
dinarily limits the su preme court 10 the facts sialed in the lower appellate
court's opinion: not the entire rf!<'XIrn on appeal. The role states the scope of
for all practical purposes. requires the suprffl'le COUrt, in reaching its deci· sion. toconsider only those facts Stated in the opinion of the lower appellate court. unless others are added or cor· rect ions are made via Rule 39J<;).' Where s uccess of a petition depends on a oon s ideratiOll of facts not stated in the opinion of a lower appellate court. and Rule 39(k) has not been complied with. the petition will fail. Usually. in such cases. the supremeoourt will deny the petitiOJl on preliminary examinatio;}O. often with no reason given. The following examples illustrate the problem. A lower appellate court renders a decisiOJl ad,-erse to your client. The opinion fails to include (OT incorrooly states) facts from the record which. in your opinion, when considered with controlling legal prin ciples, dictate a favorable decision. The omined (or incorrectly stated) facts may involve a clause that estab-
lishes a statute of frauds defense to a contract on which your client was sued successfully. or testimOllY by an interrogating police officer showingan ineffective waiverof your client's Fifth Amendment righl.'l. Whateverthecase. if such essential facts are n01 pre-served and brought to the atlentiOJl of the s upreme court. they cannot beoon· sidered. COJIsequently. )'our client can· not prevail.
Complian ce in the Low e r Appellate Court Compliance with Rule 39(k) begins in the lower appellate cou rt. Before the certiorari process Slarts. a procedural fOundation must be laid. A conditiOJl precedent to review by certiorari is the 0'-eITU Iiog, by the lower appellate court , of an applicatiOJl for rehearing on the pOint advanced as a ground for certiorari. This means that for an issue 10 become a ground for certiorari. it must
review: The revi.w ,hall be thaI ~nerally .mp~ by cmiQrari and will ordi· narily be lim;IO<I 10 lbela.cl' .1.10<1 ;0 lhe opinion <I the particular COUrt of .ppeal •. ' Conceplually. the operation of Rule 39(k) is not difficult 10 grasp. Unfortu· nately. however. as the volume of un· successful petitions implies, it oont in' ues \0 confound a substantial number of petitiOllel'$ for certiorari. The rule.
Henry 1'. " emel. a wk pra,I;I;!),," in Bir· m{'Wham. J'tix;,m hu ll.A. drgr~from Ihe Un;· ,,,,,.;/y of Afoooma and hu }.D.jrom 1m Cumoor. fond School of Law.;n 1977.
havt been presented totllf \ower appelIatt coun and ~ed on application for rellfaring. Rulf 39(1), A.R.A.P" An application for rehearing must be made within fourteen d ay~ after tht lower a ppellatt COIIrt renders its judg· menl. Ru le 40. A. R.A.P.l Before mak· ing application for rehearing, r.,.iew tllf opinion u.> dootermifM' if it c:ootains all theTWtSSary fact5.mrnctly Slated. to $uppon the desired favorable dec,· lion. If it does not. then the seoond sentenct of Rule 39(k) provides the course of action: II potilionrr is not uli,fitd wilh lhe olattmml of laclo. he NY, on .ppI~ calion 100" ",lIrari.. In lhol court. prel<'nl any addillON.l or corrfIC\ed 1111emenl of facto ,rod rtq""'llhol COIII"1 10 add Of' corrtCt IhoAe facts
Its opiniorl {III ",he-rini.'
in
Pursuant to this pan of tllf role. a lIatement offacts needtd tOSllppor1 a favorable decision,s set OUt in lhe application for rehearing. Bfcause the concept of the rule is to supplement the opinion. only omiued and incorrectly Itatfd facts are let OUt . In the allO'le examplts.t~ ...wld be the misquoted clause establishil18 t he statule of frauds defense and that pan of the police offiar's testimony proving an ineffec' tivewaiver of Fifth Amendment rights. Appropriate citations to the record on appeal should be given.' Under the language of the role, the aggrieved pan y apprilies the lower 1 ppellate court 01 dissatisfaction with its 5tatl'll"le1lt of facti. and asks tllal it besupp!emented or CUTtCled. Along wit h the application for rehearing. a new brief i. filed. This is
Leasin~
from Professlonals is a winner.
mandatOI"}'. Rule 40. A.R.A.P. The fOI'W brief must C/tJariYlnd ill/t'U~/J.ydeal ...·ith the alleged error in IIIat opinion. II Rule 39(k) WIllemplates tllat the requested facts will be discussed." As indicated. Rule 39(k) applies to miutatementsof fact. by .Iowt<" appel· latt court as wtll as to omissions of fact. DSome misstalffi1enture<.b..ioos: The misquotation 01 tile clause establishing ~ statute of frauds defense to the rontrnct in our above example. Other misstatementl are more subt le a nd may appe;t r in the form of factual conclusiorul. These occur where lhe lower appellate court stales or sug· itSts a fact ..... ithout lelling forth the phyMal or ob;ecti~ facts from the record on whi<;h the conclusion is drawn. When the court of crimi nal appe;tls staled. wilhout more. in Glrill U. SIJJ"'. " tha t '1the witnt:u's) testimony in all material aspects. was fully CllITOborated." il stated. factual o:n:lusian. The remedy under Rule 39(k) is 10 pr0vide on application for rehearing a suf· flClent and accurale st atement of facts .... hi(h dispro,.e that ronc1usion. If this is 1101 dooe. an aggri.,.ed pany win be stuck with the factual o:n:lusions as Itated. The supreme court ...ill 001 search the ~ 10 vffify or dispnI\-'e a lower appellate coun '5 factual coneIu· sions." Although a lower appellate court may tmploy the device 01 stating facti by way 01 conclusions, a party may 001 . Where an applicanl for rehearing states facts which a~ merely his own conclusions or opinions, there is 00 compliance with Rule 39(k). " The role clearly contemplates specificity, I'erplexing is the sltualion where a lower appellale court renders an ad· verse decision, but give!! no wrillen opinion. T his is called a ·'00 opinion'· decision." Without a stt of facts there C:l.n be no revr..." and. therefore. 110 eff<'Ctive appeal by petition for writ of ct1"Iiorari." The problem. howevt<". is nOl without a remedy. The supreme court explains:
What I"" potllioner should do ...,..",
it in "'...,opinion"' alUM "" ...... nt • • review i5 to fiJ. ( {III ~htarina in Coon of Appt3lo)1 RuleJ9(k).ARAP.
I""
request for additional facto 50 as 10
"'
~t hil POint r... <'tV ....... If that
OOUrt "
rlillto~ to this request."
Con1 llliance in the Supreme
Co."
Rule 19(k). ~ should a:>PY tho .."'"
.u~1 in hispotilion 10thilCourt. TheTUIe flilts "il will bl'mnl~ . . . if found to bI' CllITa:I. " ,"
An applicant requesting fa.ct$ on rehearing must do 110 thoroughly and complet~ly. 110 thatt~ will be $uff! . citnt facti upon which a favOQbI~ decision uhimately can be based. Normally 1M petitioner is required to fi1~ a new brief with the application for rehearing. Rule 40. A, R A.P.ln "no opinion" decisions. the OOUrt of crimi. nal appeals notes an exoeption to Ihi$ l/I'OCKlure. Allowing. in effect. the rtfi!. ing of an original brief. the oourt of criminal appeals has held that a new n f i$ not rtquired.Decisions Ii the ~uprtme<;QUrt under farlier rulel of appellate Jlr(JCedur~ held that Rule 39(k}lype complial'lCe wal nOi always required where the Io ....·tr appellateeourt (eou rt d appeals) rermred a "noopinion" decision. and federal or oonstitutional issues Wert involved." That rl!$ult obtailll'd be. CiI USoe t "" former oou rt d appeals tacked jurisdiction to fully <kal with these questions."" However. no such juris. dictional limitations restrict the pm. ent eourtsd civil or criminal appeals.» This ~tlack of jurisdictional lim. itation in the lower appellale COUrts. a~ lheexpreu langu¥d Rule39('). whICh speaks to petitlonl (or review of federal and constitutional issues. clear. Iy suggest th,lt theeXC!'ption 00 longer exists. Tilt exception. hoIol.'\'ff .....'lIS applit<! recently tn allow rt"'jew of a conslitutional issue not timely rai$l.'d befon It.. Alabama COUrt 01 Crimmal Appeals. Es /JiIT/" 1Jt.1KtI~. [18 A.Il.R. 304.3[ _ So2d _ lAla. 1984) (awli . canon for rehearing pending). Untiltt.. su~ COUrt s pmks to the issue 01 the viabilily of the ~xception. caution dictates thaI a petitiontr for Cffiiorari comply ....·;th Rule 39(k) tQ obtain !"evie ....· 01 federal orcoostitutional issues. Aft~r receiving an adverse decision on ~aring. an awrieo.·ed pany is then in the proper pn:w::mural position to pet ition the supreme court for a writ dCffiiorari. Thi$must btdone .... ithin fourt«n dayufter the lower appellate court's decisinn. Rule 39(b). A.R .A ,P.
m
A petitioner fOf' Cffiiorari rnay be faced with a decision from the lower lIppellale OOUrt that falls intQ one of. threeClt~es. Thefil"$t iSltWllion with an opinion that completely incor. poralet all additi'mal or COfT<'Cted facts IS requested on application fOf' rthear. ing. T'hr $«Ond i$ a decision with an opinion Ihat incorpnrates none. or less than all. oIlhe additionalOf' corrt'Cted facts requested. 1'hoe third is a "00 opinion" decision. Only the first reQuires rIO cootinuing complianct wil h Rule 39(k). 1'hoe second and third demand additional st~ps in the Rule39(k} compliance process at lhe supreme COUrt ~L
" Because Ill e cOl/cllpl of /lit "ule is 10 s II pplem ell { Ill e OPill ioll, Oll/Y omilled alld illcorreclly slated f Uels are sel oul . ..
WMre the lower appellate court in. corporat" all requetted additional or corrected facts on application for rehearing.thisallowltt..ta5~1
review
by certiorari in$(lfar as Rule 39(k) il c:ot'arned. Because all of. the essential (;octs art contained within tlMo body 01 the lower appellate court', opinion as corrtcted. no further complianct wit h the rule i. neoesury. 1'hoe aggrie\'td party can simply petition by using a ground and means provided in Rul~ 39(c). T he supreme court 'J review I:Je. 00tnes one 01 applying ,t.. correct law to Ihe faclS as stated in the lower a p' pellile COUrt's opinion. Rule 39(k)." In Clift w~ the lower appellate <;QUrt fails on rehearing to include all the requesled facts. further complianct with Rule 39(k) is needed. This is true for "opinion" and "110 opinion" deci. lions. Hert. the third sentence of Rule 39(k)applies:
If lhe llower appdlateJ COUrt fails to to tilt requ.st. petitioner
acced~
may COpy tM sta'ement in the ll'tition lO(lhe IlUpr'~1 OJUri. with rd. trmo!:Il~ tOlhe pertinent PJr' lionsol t","cltrl" I'ft)onbnd ~. .,'$ Il';lnl<1ipt. and it .... ill bl'mnsid . .,ed alotl,g with lhe .tat~mtnt 01 flCls in the opinion 01 !~(IoIII"'lap' pdbt~<'OU". if found 10 bI' 1lOOT«t."
Under the rule. the additional or cor· ncted f;octl $ubmitted to I,," lower ap' pellat~ IXIUrt are ('(!pied in the petition for writ of certiorari. with rtfe~~1 to the m:ord on appeal. Form 22. A.R.A.P .. provides the framework for a petition. but il dotS I'lOl illustrale how 10 incor)X)l<lte the requested facls. A con"mient way of. including lhem in a petition i5t0se1 out the requested f;oct$ in groups. one group to each ground ;tdvanced al a basis for certiorari. fie. fon each grouP. include a statement indicati ng ynu presenled lhem 10 the lower appellale<;QUrt on a pplication tOf' rtlwaring. and now ask tt.. Sll~ IXIUrt 10conSider them. This technique helps todearly focus the issu"u they ~Iate to the alleged facts. In conjunction ...ith this t<'Chnique. or alterna. tively. the $latemem of facts contained in the appiicat ion for ~hearing may be copied and attached 10 the petition as an exhibi t. I>etiliontrl (or certiorari often make the mistake of Pf'O\'iding a britt' with a statement 01 facts which contains f;octs not fou nd in the opinion of the lower appellate <XlUrt or submintd 10 thai ~n on a.pplicalion for rthfaring. This lIlotally 'mprnper on petition for wril of certiorari. Unlike a direct appeal fl'Olll I,," trial oourt ....·here tt.. entirt record may be bd'on lIMo supreme wurt for ill consideration. on certi. OI'llri lhe petitioner is reslricted to usina only those facts contained in lhe opinion of the lower appellate court and IIIoso! additional facts brought oot through use 01 Rule 39(k). Other f3CUI a~ prtsenttd only in vain. as they receive nnCOllsi<kration by the supreme oouf\.Documenlalion cI Rule 39(k) facts. by I~ific rt'fe~nce to the record. is reqU1red. A gerIfflIl ref~renoe 10 facts contained over numerous page in a transcript is insufficient romplial'lCe with the rule." By rule, a supporting brief mUll be filed wilh Ihe petition. Rule 39(b). A.R.A.P.lt must adequately rover the
issues niS«! in the petition.1t Deci· sions prtdating the adoption til Rule 39(k) hold tllal issues nor. briefed aTe nor. con$idtr«l, and that filing the same brief submitted to the Io\r.·er appellate court is ine/f«ti'"eIt ~ I pttitionrr hn complelely complied "'ith Rule 39(1c) and properly brought before the supreme OOIlrt the additional oroxncted facts, they will be consider«! along with those contained in the opinion of the lower appellate court. The first"~ in the su· preme OOIlrt's coosidention of Ihe petition is IRlim inaT}' examination. Here, the oxncted Of additional facts al· Ieged in lhe pttition art cons~ on their fa.oe 10 be accurate, because the rtCOrti i. nor. yel before the supreme court. A "probabilily of merit"' mu.sl be fou nd for the petition to rtcei,.., further
considmuion. Rulf 39(g). A.R.A.P. If this occurs, and the writ is preliminar· ily grant«l and the record brought up from the Io\r.'er appellate OOIlrt, lhe second I I . ~kes p/aet'. During lhe sec· ond I I . , the factillated pursuant to Ru1f, 39(1c) are verirled for accuracy from the rtCOrd now before lhe suo preme coort. [f the additional or (:Or. r«te:l facts are accuntely renecled in the record, they will ultimatel)' beron· sidered by the supreme court in reach· ing ils decision.1O
Death Penalt), Case s Where thedeath penalty is imposed, il gTlInt«l a . a matter of right unde!" Rult39(c), A.R.A.P." The blsi sentence of Ru1f, 39(1c) provides that in luch calleS "the supreme court
~iorari
may notice any plain error or defect in the ""oceedina under review, whether or not broua1u to the attention 01 the lrial coort." Such error may be noticed whent\'ft" il "has or probably has ad\oenelyaffected lhe SUbstanliai rights 01 the petitioner:· Rule 39(k~ This prOVi$ion 01 Ru1f, 39(11), for examplt. permits review 01 an issue neither raiS«! by petilioner nor considered by lhe court til criminal appeals." Superficially. Ihe "plain mor" pr0vision 01 Rule 39(kJ might suggest that there is no need tocomply with lhe rule to presenoe addi Iiona I or COfTected facts in dealh penaliycases, That is not the cax. Not all error is "plain error" as defined by lhe lupremecourt." In E:t /NITII Dob.ml,)< lhe supreme coort limiled itl consider.alion tIllhe facts 10 th.ost $UI«Iin the opinion of the court of criminal appeals, " 'here Rule 39(1c) was not employed, I-nd a review of the rtCOrd reveal«l no plain errorordefect in the trial OOIlrt proceeding. Thus, Rule 39(k) must be employed 10 pre-serve facts for theories of reversal which do nOl fall within lhe ambit of the plain error rule.
Conclus ion Complyina with Rule39(k) invulves
a pn:ICHS btginning in the Io\r.·er appel·
; 1
;,
;"
i- I "
lale court. and conlinuing in lhe su· prtrneCOUrt. It toequira planning and foresighl before filing lhe petition for wril til certiorari. Only Ihrough dili· ~nt .nd thorough compliance with the ru1f, can omitted or incorrectly stat«l facti be preseo",ed or corrected to support a theory 01 reversal. Com· pliance with Rule39(k) may mean Ihe difference between success and failure on pelition for wril of certiorari. 0
;
; 1
;
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, 1
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c.pt>r..:onced lC'3m help
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Call
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C«Io lHO. Tit. 13. f98.oriIi ..t<d in Ala. Acto 1911. No. 521. Po 419. , 1. SeCI .... I ,.... ......... tho AlIt. ... Coun of AppoQ from .IIi..... /eoIo:nI _ t Iir$I ot<fotrinl; tho _"'" _ to tho _ _ _ n ...t roooirin!r from tbr
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00 k L ...m-I until 191i8. I. Wt ,... ,ho - ' <Gun' of eml .... crimmol.ppoab_amttd '" Ala. Arts 1!I6IiI. No. 987. Po 1741. wIIicIt tt;aIed ,ho II«> Yisiont undo!' ... Iud> til< """'" _ n of op"",Is IIaoS ....... ,'"', Act.19QI. Po L75t.I3I. "C<do L975.1 L2-3-1.,'"".. wIIictI.""..,'or
'''.Y 0/ 1M I...... .he ""'"' "ppoll.,. cou.llis ..... Tradi,ionall,. "o/wn .... ".; ....
lho oompoot'ion. _ , .... juri«liction of tbr Iowt< apptllst. eauru dots _ "",.. in tile (",.,.,. juritllict.....1 I,mita'''''' under Ala .......1911. '-'0. L21.12: and '-'0. 521. 1 1. s..
by
.... h lower &...,.,10,.....n. haw boon ~
0>IIIcitn •.,... in ;""ludi1li within ,.,.;, opin. ...... full a... ..". .......,. ..... , 01.11< .,.rti· "..rIC toa .. But In ,htoery ... , ... 0/.110 pr0<&&, ."" OOII·prn.ib <'II !*Il _1 t...I that hio """,,"uMy "'" I full and f... wriow tI&o boon ~l«dbr
... i ..... _ · _ ... br ...
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....... in ,"" _ 0/ ,.... hrhor- tho _ ~_l:a<t.... .".. 1iaoncJ. in whi<h~-"_JYOO
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iorin ...IIy ........... io/ot,nl .. • ..............." s.. _16. 'II'*:J9OO, A.IlAP. .~ """"",",'oIlowo ,ht .. ptefIIOODlIn tG ..,.;ew ,lit Ina! ....... - . I 100- .......... ................ 01 .... fotu. Ih." _only 10 .., the "''"'"'''' Qlun in .......andi,. tho ........ oppol\lt. _n', OIIimon. U...... ylhio """''' " ..... I lit facio .re ....I .... n(, "rd..... Of undi.putO<l • ...,.. the portia "", not lully I. ,he 0/ ,he ......... op\><llat<
.,...Ion
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" "n'''liPbdo" col t ho Ia... to, II< .tatocl fatI. i, ind ...... ,n tho o<w< of ...it ...... RuI< 39(11).
... ".., "H_~
•. sao.. :»II $0.. 2d 1070 (Ala. Cr.
"llIo AlIt. ... C...n col Criminal AppoQ ...
...... t ....... _
..... _
... .,.., ..
"""..... _ucol ...... it ...' . . - . _ ..... /Iout • St.m. .. Sk•. 'ITT So. 211 1121 (Ala. Cr. AIoP- 1919). " IN ...... $10.... mAII. ~ 162 So. 211616 (196t)(aPIII}VII "'~ niklOtbt_,
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"Ex J-'" 0. ... 41, !iG. 211 98!1 (Ala.
1982~
"£0.,11 I'IWIIo. 33!1 So. lid ,21 (Ala. 1976).
&..11. 426!iG.U im(Ala. 19IJl). In Ihio .... tho potlt _ _ _ pt<d. without .....piyq wit h R1II< 3!IIk). III triO'll _ ,II< ou_<Ourt Iatt, _ _ _ <lIIIWDOII i.. tho Opi'- of ,ho AllIIo_ Coun of Ci.a ...",..... Tho""- <Ourt ..,....... potitioBor'o ..... latto. ~ <Gun 01 oppeM. we ..., to tho Iatto
'O¥,,, • IuD,,,,,, ... t<d;" tllat """"',,,,,,,,ion un.... potlt ...... .,ill... Ru1t3!/l.k). . ,. ""ott<m\ll ..... modo! . . . t
to in"," Rute 3!IIl<). AltAP. Thtttlo«. we Ita... CCJtololtrod only , _ r.... ,n<hldod in til< "'n ion of tho Coun of Ci"'; I API""'Io. .. 4;.>(;
_t
So.U .. 834.
,.,It "'.........
'-"7. ~ So. 21:1
3011. 1115 So. 2d 8301 (L iI:58) [trieholtuch lO ... bno!'.t 011 io ,nodtq"".. ~ G_ .. . _""
til<
A.8.It. l(i,5.1l _ "" _ (Ala. 1!184~. U ,.... H.,.;" 4S So. 2Id It4 (Ala. 19t1J); Eo ~1iM
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"£0 po,,. op•. U Q So. 2d 1L77 (Ala. 19&J). -n." ltal""'" requittd ~ ........................ to
" •..n. II it "'" • ,ubotiM< 10< """plane< wilh Nule 39(~ ). ~'.. ,1>0 .upre.........,, ', ffilpIo,· ..... , 01 ,hi, ....." _, I;> {IS
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A.IIAP. "Rute 3900. A.IIAf'•
1561/<10. 1911). 'Tbio ......... bootIlho
i...tl"ocioIIt).
39(0).
.. S-... 2tI5 Ala. 1190. ~ So. U 808 ... _ ~ GoooQ- " SAHo. 276 Ala. 518. 150 So. 2d »1 (L963} (f~itIc _ -'"'" <Gun brief in..~
SINo. mAla. m. 15.3 So. 3d 252 (1963); ~ . _ .. 5/M, 21~ AIo. 511. 112 So. HIG(!927\.
( liI51}(iaa.- ... trieW _
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,... ,. /Joulo. tJL So. 2d S63 (Ala 198J~ "For I d,IC\I"'" 01 "'lIot "", .. itu ... "plain """,,,' _ K.. 11'.-*. 0135 So. 2d 1£6 (MI. 1983). IOU ,...~ tlHo ... US So. 2d 13S1 (Ala_ 1983~ . ~;"
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tiadict .... , .... t rtf.......,. be ,uliP"" in 'liPication. f<>r .. """nOli: \ori..... iow<'f oppel· Ia,,_n. OOC- •. Sk". 3110 $0.. U 384 (Ala. Cr. App.
.'.
_--lIS .sa""' ....
r . ....... 431 So.!d 1m (Ala. 198J~
O·u .'1. 417 So. 2d m (Ala. 19I!2~ .. S-". 369 So. 2d 12:51 (Ala. L'119)-.
H.m. .. $/0 ... !S.2 So. 2d 479 (All, 1977).
r«»nI on ._1 r Iut li.... I.liPi.cItion to tbt pt!;,ion filod 10 til< ou......,. .... n . JOOd pro<>
eXPERT WITNESS SERVICES
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"S4t,/fiM. 2!IQ All. w . m So. 211 28.L (1974) ""'""_ brief ";th ..... \hanU.. cole! io
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SMITH-ALSOBROOK & ASSOC.
Rule 39: E .... .. Sk•• 268 ALa,
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MODERN TIME . . . . _ _ UT .. ......
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They've made their move . .. The Alabama State Bar Association has made a decisive move to strengthen the professional liability insurance protection available to Alabama lawyers. The Bar has endorsed a program that significantly expands liability coverage at favorable rates based solely on Alabama lawyer's claims e"perience. Professional Liability Insurance, Inc. will administer the new insurance pro-
gram two major that combines insurers: ance Company
~th:ie~~,es~io~",~ces~~o~f~d~m.
NolV it's your move ... To find out more
effective'
pro-
satisfied a 10"81 msurance three keystones of
KNOWLEDGE. INNOVATION. S';R1m
cle opportunities
..
14 friday INSURANCE
1['C1 ~
I
-
7 friday EMP\.OYE£ RELATIONS CUn'bel13llO Sc:toloI of l.)W, ~ Spa ISO< eo D:t. Cu'nt>eI\itIclInstrtute for Cl.E C/e(I<tS 7.0 Cost $75
For IoIormiIbCn (lOS) 870-2865 INSURANCE
20 thursday P\.AI m Fl'-OEl'ENOA,..,- I'ERSPECTlVE5 ecu.t;V~, MomIlOfllOl)/
SpooISO<e<l tIy; MootgOl'l'lely Cc:uny Sal-
lobitg;>1IOIy
Spa .... e<l D:t. Alabama IWI....tltlM for Cl.E a.drt:I: 6.9 Coste S6S For Intoomauon: (205) 348.(.23()
"'""""
aD Cost, fIO<le'~~ $l51nonmt'mt>ers For InlorTnaUon; (205) 265-l793
~
10-14
2 tuesday MARITAl. OEOOC'llON PlANN ING SctlooI of l.lw, Bo ....... nor.am Spa"""eo t>.J,'. E>1<ItI! PIa"""'Il Cou:>dl at
~
B"m"'I'l'lllm¥ldCum~
hm,tvte 'or CLE Cost: $75 For Infonnatloo: (2OS) 87C-2!:I6S
SOUTHERN f'EOE.RAL TAX INSTlTUTE Hyatt f\eoeOi:)'. Atlallta 5ponsore(I tIy: Sootllem Fe<)efal 18)1 IrIStlWte. In<.
5 friday
Cre<l1tSo 34.0 Cost; $325 F(>'" IrIfom'I3b;Jn; (404) SZ4.52SZ
FAMILY LAW OJmbPr\aniI School 01 Law. BmnangMm Spomonod IIy: ClJmbe!1arld 1!l$tI\Utf!or UE ~S75
f or in/Qnn;lt>on; (205) 871)'z86S
12 friday REAl.. ESTATE School o! \.;0.... , &rmfll1\¥l1 Spoo .... t<l1ly CU~ Inst>tUIe tor Cl.E eo.tc 575 For In!mnman: 12051870-2865 o..~
20-21
12-14
PREPARING I'eISONAL I~RY CASES
TUlANE TAX INSTllVTE KiItOO Hotel. _ 0rIein5 Spool!CltO tIy: 1\1_ ~ Scto<>d CI
...
o.dns: 196 Cost SZ75 For Ir\fonnatJon; (~I 865-5939
"""""Halla,y ImGoIden c..may. Si!n Frroct5m
Sj:G .... eo tIy: PractIsnt,lloJw Insnrute ~ \3.2: Cost, S33S Far IoIormiIDon' (2121 765-5700
13 thursday
21 friday
INSURANCE tlU"ItSInUe SpoI'\sore(I D:t. lliabilma ~r IfI$t!Me for CL.£
COw:cnoNS BIrmIogham.JeffefSOf'l eM< Cenw Sp<ruored D:t. AlilDama Bn InstiMe for CLE
Clf(lttso 6.9 Cost, $65 For loforrNtIoo, (ZOS) J46.623O
OOU=O" "'Spo 'I(..scoCeI1ter. eo AIIOama Bar Irmmnt!or "k\IolQUio.ey
tI)'
Cl£
a.drt:I: 6.J Cost; S6S For lrtIorrnItIo:n (20S1 349-6230
15-16 REO:HT DEVELOPMENTS IN S£C'T10N 1963CIVIL RIGHTS UTIGATlON Hotel In!l'mlntirlMtal, New OrINos ~ by: ~no Law InsIlMe
14 .4 Com , $250
~ 1 t$;63
Cred~
For Ink>rmll!!oo: (2051348-6230
FCO' InfOrmItIm, (2 121765 5700
18 thursday
15 thursday
REALESTATE QJollly Ion. MOO _
LECllSl.ATlVE a CASE LAW UPDATE Von flI1IUIl 0vK CeI1ter. HwtsMIIe Spoo "'" ed by AlINmI Bar IllStItutt for CI.E er.drU; 6.J Cost: $6S
Sponsor8d Ill' Alabama Bilr i!lS!,rur. for ctE CrodrtS,6,e Con,575 For Iniom'\atiI:.o1: :20$134&6230
For Informa\lQII: (lOS) 348-6230
2 friday l£(lIStATlVES CASE LAW UPDATE OI)'mpoan Spa. O<:lti'¥l Sponsortollly AlaO;UTIa Ilir IfI$bMe for ClE CcMiUo 6.3 Cost, S6S
18-19 u>.9OR LAW ItlS1'l'tlITE WestIII Hate.. ();JJos SpooOSOO:ed toy Souttwestem ~I
For 1-'::tmI!K:<l: ·:205) ~
15-16 FEDERAL TAACUNIC F~ Ctnter.lkwvermy 01 A1aDarM Spoo",,"ed by. 1hP U\Jvlotty cI AIaOama. - . . . . SoclI'ty at CetlM! P\ItlII< Accounts"" me - . . . .
= ...
""""'"
For In~, iZ14\ ffJO.'lJn
er.d:tS; 15.0 For I~ (205) 3<IMi<'22. m..46 ESTATE PlANNING IN!m1UTE Dlnltllul'if-OcNn, M,.,. SpOns<nII by f'ractIolog UW Institute
19 friday
CI'td,~
REAL ESTATE CMc Center. MQr\tgorT't'ry SponsorI<I tly: Alabama Ell. IMttute for C\.E CredIIS: 6.8 Cost· 575 For tnrurmrtlon, 12(5)34&6230
11.7 Cost,5325
r.... lnIormmon: 1212) 76S-S700
16 friday LEGISlATlVE& CASE lAW UPDATE CMc Center. 81'''",q\lm
5po'Iwed b'f ~ BirlnstMeforQ.£
22 monday
Cted<ts; 6.3 Cost: S6S FG" InfonnItI(n: 12051 348 6Z3O
AMElIOM£I(f'S TO THE FEDERAL RI/l£S Of CML PAOC£OURE Shnton. St. I.Duis
"'"""'" ~w
Schoa! cl UW. EIIrmir>,toJm Spoo ..... ed by: ClJ~ InsbMe forUE
~
SpQ'\stnd tIy Pr8(tnj"l1 L!w I>m!tw
Cost: 575
Cost: SIBS For 11'!!omliIuoo: :2\2)765-5700
8 thursday
Z5 thursday
1.£QISLATlVE& CASE LAW UPDATE Q.,Iil.ty lno. MobIle Spon$ored by; AIaba "'" Bar IMtltlJ!. forClE CrfiCit$: 6.3 Cost, $6S For InfCII'INllon: (205) 34&6230
FG" 11!fon'nItIofl: :2051870-2865
REAL ESTATE Von er..... eM( Cenll'f. IiLll'!lS>"r. Spao ..... t<I by AtoM"," Bar 11'LttIN'.e!or UE ~
5,8 Ccot; 575
For InbmotIO<'I: ,-205134&6230
9 friday ILGISLATIVE a CASE LAW UPDATE Clv!cConM. hbLl{jOIifiy Spoo ..... '" tly ~Bar InstmJteftrnE
0""116.3 Cost: S6S fer InfcrmItIar\: (205) 3'~"""'''''
26 friday REAL ESTATE BI!T!IIIIg~JelI'er»'l (Me
Center
Spa &liN by Alabama Bar InstItUte for CLE Credits: 6.8 Co.I, $75 For Intam\iruon: (205) 3486230
30 friday
REAL ESTATE SYND4CATIONS CUmDll'llnd Schoo! a/ L!w, IIamIngham SpOo .... by. Il\StiMI!wCtE
END OF YEAR TAX PlANNING CumberIond School cl UW, E!<rmlngtwn SpooOOed b'f Cumber1and II"ISIItl,M forQ.£
$75 For InfcrrNtl(n (Z05) 87().2B6S
Cost: $75 For 11'IformatI0II: (205) 870-2865
ecr cum_
Cost,
Wa l l~r
(harl,,,,
(AI..John~lone,Jr, . Mooi l ~
11.11<'" • Birmingham
W,.,I~r
(;''''1),''' ll..''''erl •
W,lbur
Fi~k
Jam~'S ~kA"drcw
Tuscakx",a
Hugh Kaul _ Birm11lgham
lk>swdl.Jr, . D..-..;alur
Sol E.llrinslield.Jr . _
~lon!g"m~ r y
Jam •., juhnston (arter • Kub<,'rt t, Uingman •
J_ph j.
M"nlgom;.'ry
FL
I)wglas <.: M"d-t'lld . Unl\cr;lly till', L \ IO
Adulph Joseph Eagle _ Muntgun",rj'
W"',I<>I1 B.
Abr~ham Gc~r .
(hark'S L. McGuwen • IILfmingham
Atlanta. GA
~1c(a l1 _
P~lham
Thomas Heflin G<II<OI1 •
Walter J3""-"
~lontgomery
Birmlll.o,:ham
Jt>!"IeS ~lerrLlI • .\Ionigulll,·r),
Jan",., M.I'ilk",n . San 11111(o. CA
~Ii;rrill
_ Ann"lun
Winston Frands Groom _ Mublle
Walter L,les M,lIIs _ 1\"lIIlngham
«k"n Olean lIal1 _ Kochille. MV
HoweliD. NesbLll . ,\lanun. L'I
~lil('S
Manha Orchard O'l!eim,' _ Rockaway. OK
5. lI all _ Montgomery
John O.
Harris _
~lontg<Jmcry
jam •., Allan Parker . Tusk'll''''
Karl t....,il Harrison _ Columbian" Kob<!nl.ulher Ingalls . ~1" rgarN
Hollis II, Parmh.Jr. .
~1(){1tJlUfll\'ry
A. !lell Jaml'>; _ Birmlllgham
John
~l il1 brook
Newton I\cnjamin Pu\\'dl - II<":Jtur lIu~h
R''''<I.Jr. . (entre
Jeff D. Smith. Jr. - Hunts", l1~
Paul William Jc,'nc - Maren!.",. II.
11\
1£\,111 -
{;lytic M. I.o"e . Florala
,\luntg<~"Crj'
jackson"ill~.
jones . Montg<m'crr
Edward
ThOflllon • Mobik
tllr ([ 'lntnt u uiIU . .,§Ia l r alt~ :\:tlilllt . a s II ntrttthn \,f tile j!3af f nf tt wr r tlFllt
Jtfiftt!
cars
is prr s rtth' ~ il!is entifi e.th· hU ~irrrlintl .If ill " ILhl:tr~ .If ([ntttllli ss inHt'fS "f tI] f } l., lllhlltttit .§;lah· )Jar
m
c.Young GLawy:er's ~ection
A
llhe St ale Bar Annual Meding held in Mobile. the Young La ...·yen· 5«lion concluded a "ery active and .....ell·rounded pr1J£r.Im f« the 1983& ~r. To dimu thi! yeaT'sactivilits,oo Thursday the YLS lleld a seminarenlill~ "Update '84: A General Practice Seminar:' Theseminar was very sUroe$Sful due [0 the hard work of Carol Ann Smith. the elE cllairman. and her O)mmi u «. On Thl,lr!llb.y night 01 the COOven· tion. III!. Alabama Young La"i~rs'
Section in conjunction wilh tile Mobile Young La",'Y'!f"S sponilOrl!d an evening
of dancing and soc:ialiting on the fantail of the USS AIDb.m lll. The function was a huge success in lllal il no! only drew large numbersof Young LaW)'ef$ (a pproximaltly T:>O Young La"j~ and IPJUses) bul manylll those a\lendi!\llthe conven\iQn ilself also joined in the festivities. A much deserved noIe
01 approciation should behpressed to Jim Newman and the Mobile VOIlng Lawyrrs for their fine efforts in ooor· dinalilli this r\'ffil. [I ",'as truly an DU15tlnding e\'efI\ and one which fol · lows in tlw: wa~ of a simil~rly sue· ct$Sful function in Birmingham laSI year. lIopefully. thi, precedent will continue in the future and when the State Bar Corwention is held in Hunt s· .. illt next ytar. the YOIIng lawyen ...·ill be able to par1icipat~ in a s imilar function. On Friday aft~rnoon of tile conven· tion, the YOIIng lawytr$' Section met and held its annual business meeting at the Riverview PiaU! in Mobilt. The elect ion of officers of the YOIIng la ....· yrrs' Section ....as held and the folloo>" ingofflarS ....ereeltcted for lhecomina year: P~t. RQbe1"t T. Meadows Ill ; Preidenl-eiecl . Bernie Brannan: Se<:rttary. Claire Black: and. Treas·
Mem/Jmll/IM Y""'IK UswytrJ'Section rtJI· ltd /ic.b for 1M po.rlJ
"" lite USS Abtwna d ..ri", lite Aklba"", SkW I*'r A.."",", Mlltti'IK jll Mobile.
urer. Charlie Mixoo. In order todoa gOOd Iobat anyt hing one must surrQUnd himself with gOOd ~. As president my job should be fl'ialively simple this ytar due to the CIIlibtr of t he offi<.:en who were elected in Mobilt and of the Executive Com· mittee members who have been appointed. They are the type people who will enthusiastically IilJpport and assist mt in fulfilling the fl'Sponsibilities of theoff.ce. [}uring the paSI several year"S lhe presidents of the Young Lawyen' Sec· tion have done a lruly outstanding job. MOilt ~ntly Edmon McKinley served as president. For lhotie of yoo who do nOl know, Edmon devoted an ioomi· nate arooum of t;mt 10 the service of the Young Lawyers and he is to be commended for trn.t effon. This )-ear I hope Irn.l we can invo"'c more Yoong Lawyers throughout the state and thereby make the Young Lawyers' Section mQre visiblt and enla~ the activities of the Section. [}uring the first " '«k of August. lhe Amffican Bar A~tlon held ;IS an· nual meetingin Chicago. TheAlabama Youna lawyers' Sectioo had si x del~ gatel 10 that convent ion. They .... ere: Tom King. Edmon McKinley. Mac G~,·es. Rober1 Eckinger. Maibeth Port ..... andJ. Hobion Presley.Jr. These individuals ,ep u...... ted lhe Alabama Young lawyers" atlhe v~rious """"t· ings of the Young lawyers' Division Assembly. They will I"l!poI"t to the Young law )'ers at the fi rst Executive
CommiHee meeting in tn,., fall of this year. For those of you whoare not aware. Alabama has been. and is. well represented in the Young [..a W)'ers' Division of the American Bar Association. 1Hobson Pr.-s[ey.Jr.. waS last year's fi· nan~ dirt'Ctor of the Young l..aw;·ers· Di"ision and Edmon McKin[ey. our immediate past president, is in his second year as the dis! rin rcpre5<!ntati,'c to the Executive Council of the Young l..awyers· Di"ision for A[abama and Grorgia. II any of you would [ike to participateon committees of t he Young Law)·er' Division. plcase convey that d.-sire to Hobby or \0 Edmon and [am sure either of them will be happy to a~ist you in getting im'olvel! with the Young Lawyers' Division. Simi[arly. if you ha"e a concern which you feel shou ld be addressed by the Young Lawyers' Di"i"ion. [ am certain that either Bobb)' or Edmon would be happy to express that concern to the appro. priatc pcQple. Theupcoming ;'car promises to be a very exciting one based on the proposals and projects which Walter Byars. president of the Alabama State Bar. has in the ....-arks. [n connection with his work wilh the A[abama State Bar, Walter has allowed meas president of the Young Law)'ers' Section toap!Xlint a Young Lawyer as a representative to each of the commit tees which he has appointed towork on beh~lf <If the State Bar. Each of you who areon the State Bar committees as a repres<'ntative of the Young Lawyers' Section should be aware that yours is a highly visible and highly responsible pollition. Each of the membo:.>fS of the committee judges the Young Lawyers by the type effort and enthusiasm which you exhibit on the committee. Therefore. [ ....·ou[d en· courage each of you to participate as fully as you possibly can on your commiLlees. In connection with the acti"ities of the State Bar. several new ideas are expected to generate interest from the Young Lawyers' Section and the Bar as a whole this year. Among those which impact on the Young l..awyers" of the state is the proposal whieh Waf· ter Byars hopes to implement called the "Bmkl}'l'rogram,"ln this program experienced lawyers volunteer to as·
sisl Young La"'yers in their geogra, phica[ area by providing them with practical tips and assista~ in speci· fied areas of practice. Young [..awyers who are not with large firms where this expeni~ is readily avai[able will be able to pair up with that experienced law)'er on certain mall~rs. This program should greatly assist the Young Lawyer and enhance the rela, tionship between the Young Lawyers and the Bar as a whole. For those of you who might beinterested in being a part 01 the "Buddy Program" , I direct your attention to the form adjoining my article. which you can fill out and scnd in to the State Bar if you are in· terested in panicipating in this program. The Young J..awyers" Section's representative on this committee is Wes Romine of Montgomery. Feel free to contact Wes if you ha"e any ques· tions and/or suggestions , Another matter which should im-
pact on t he Young l.aw)·ersof the state is the updaling of the lawyer's lksJi l!.wk. This book. as most of you know. is put out by I he State Bar. In t he paSt it has ill<'lud('d forms. tl"-" Code of Pro. fessional Responsibility. names. ad drCSS<!s and phone numbersof lawyers in the state. and other matters. This book has in the past been given to Young l..aw;'ers and used as a handy reference. Its updating should greatly assist all Young Lawyers. The Yoong LaW)'crs' representative on t his com· mittee is Frank Potts of Florence If any of )'00 have any questions andfor suggestions concerning this part icu [a r projooct. please feel free tocontact Frank. [n the upcoming year a comnlittee formed by Walter Byars named the IOLT A CommiLLee should draw a great dea l of allent ion , [Ol.T A stands for Interest on J..awycrs· Trust Accounts. As some of you may know. Olher state!! have implemented procedures where-
BE A BUDDY With the number 01 new attorneys increasing and the number of jobs decreasing. more and more attorneys are going imo practice on their own and mISS the be11ll' fit of te.., cou'lSCling 01 more expericr>:ed pr<>ctition.,.s_ The Alat>arm State Bar Committee on Local Bar f Activthes and s..rvoces IS sponsor'ng a " Buddy ProI gram" to provide '>eWe\" bar members it fellow:;!. ,[ tawyer they may consuk if they confront it probi<m1, need to ask a question. or s imply want dJrectlOnS to the courthouse
~,
" t
"
.
Yoor panic-
too bar """ who[.,.
local Bar Activities and Services Buddy Program Application N'. . ______________________________________________________ Firm Name (if applicab[e) ____________________________________ Addr..ss _______ _ _ _ _ _ _ _ _ _ _ __ _ _ __ Ci~ y
________________ Stale ___________________ Zip _______________
Te~hone
____ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ ___
o New La..ver Pleas.. rei urn 10: Alabama Siale Bar, P,O. Alabama3610 1.
o
Expo:rienced La ...ver
Bo~
4156. Montgomery,
by \'arious attorneys may panicipate in the program by placing their trust accoum funds imo interest -bearingaccounts and using the int erest gaint<! thereon lor various projects of the State Bar or othcr matters. This is a "cry complex area and one about which j'OU wil l probably be hearing a great deal in the future _ The Young law' yers' representative on this panicular CQmmittee is Boyd Miller of Mobile. If any of you have any questions andlor suggestions regarding this particular maller, please feel free tocontact Boj'd, In addition to the seminars which the Young Lawyers will sponSOT this lear, we wi ll cosponsor the First An· nual Cooperati"e Interviewing Conference with the Univers;t)' of Ala· bama School of Law and Cumberland School of law. This will be held in Montgomery in CQnjunction with the 1985 Mid)'ear Bar Meeti ng, h win en· able young lawyers seeking jlhi to in terview with prospecti"e employers at a place and time convenient to both, As each of you probably know, the Young La",'ers' Section is gOverned by an Executive Commilleeof approx· imately t ,,'cnty Young Lawyers chosen from throughout the state who are responsible for certain significant areas of the Young Lawyers' acti"ities. r ha"e recently appointed the Executive Committee_ lf thereareanyofyou who wou ld like to participate in our func· tions or assist us in our activities. please feel free to contaCt meand r will make e"ery effort to enable you to ,,'ork with usand to become involved. In closing, let me say that it is a distinct privilege and honor for me to serve as President of the Young law· yers' Section during 1984-85. I antici· pate a very active and fulfilling year and r look forward to working not only with members of the Executive Commillee but with as n'any of you as JKlS' sible, It goes without saj'ing that the work and strength of any organilation. is based on the energy and enthusiasm of the various members of the Executive Committee. of those Young law. yers who make up the subcon'mittees. of the officers of the Section and of those others of }'OU who desire to get invol"OO , Based on my knowledge of these individuals it promises to be an eXCll tng year. Cl
CLE <>News by M an I .~n Pike Staff llirl"C'lor. ~ICU·; Cummi~sion
F:
rms for reporting 198-1 CLE compliance are bemll: ma,led to most mem\x>", of the Alabama State Bar this month. Individuals who ha,'e prrviO\lSlr claimed theexemplion a"ailabl~ to 21torners sixtj'·fi ,'e years ot age orolder will not recei,'e reporting forms. Allorne\'S who ar~ subject to the tweke hour requirement should be prepared to report the sponsor. t,tle, date. locat,on, and credits earned for each activitj' attended_ A I;st of appro.'ed ~pon!i(lrs accompani~s this article. Credits carried forward from 1983 are being IX>Sted on the forms prior to maihngof them. Remember ~hat extra credit_ brought forward from 1983may be used to salisf}' the 1984 requirement, Such credits may not , however, be carried Ix'j'ond 1964, Extra credits tamed but not needed in 19&1 may Ix' carried forward to m~'et Ihe 1985 requiTCment, i/they are report<'d in 1984.
Toa",ertain the accr<'ditatlon status
of a seminar ronducted by some other organization. din:c! yoor inquiry to that organi:>-ation. If the acti "ity has not been ~ubmilled tothe ~ClE Com· mission for aPJll"'O'·a1. rt<jues! lhal the organization seek retroactive appro..-al of il. Individuals w hoareexempt from the ClE requirement are required to file reporting forms, claiming their exemplions by checking the aJlllrOPriate OOx. Full·\imejudges. new admittres. ~~. laters, SpeCial meml)('rs. and indh·idu· als sixty·fi.-e year.; of age or older are dearh' exempt from the ""'luiremem. Others who are prohibited from 1ht pri\'ate practiceof law should not claim Ihat JIiIrticular exemptIOn umil or unle..sa ruling has been obtained from the MetE CootmisslOll , Be sur" to call the MCLE Commis· sion staff 31 Bar headquarl en (2(I5J'l69-1515) if we mar be of assistance to you as j·ou.eek to meet )'oor continuing t<!ucation obligation. Cl ptJf{t 311 for tist Qj- aPPr{),wj SCm;· "ors/'or /984,1
rSn
28'
•
Bob gelS oif to II good stan beause swimming is h,s flM>f,te ...... nt -lind 15 also Ills $Ir~5! event. "'Most P<'OJ'Ie have troublo! with the swi""'""ng. says Bob. -"That rtelly is II hang up for a lot of
PROFILES
PROFILES
PROF'II,ES Bob Cunningham, Jr.
-.)'011
-
From MobHe to Maui .••
Swimming, Biking, Running byJeo Nowdl
I
I'S too bad tMl WlItd>tng the 0Iym. pics Illmo$l every night for two....ee~
doos/'-I make one a supe<-..lhkte~ II mo<e wd~rounded ~ fan. WIw. WlIIdIing ~ great $pOrI5mm does.~.~makeoneaw¥eofthe
bme arod dedk/ltion and I~ physc leal ~millil it Lakes 10 co«:eI liS an <!th· loMe. BI.t an lIINeIes wefe r>Olln los ...... geIes las.! month - one ....., in ~ praclicing Law lind no! taking his great athlet,,, abihty thai se"oos~ _at least
unt>1aflef hours. Most peq:e t....e heard oIalrilrIhIon
n _ f'Vm!
have probab/)' ~ 5eoeI1 the
on I. . . .ion. but vel}' few dare to
octually p.lrticipole. Bob CuMingham.
WIth the Mot.~ lawn"" 01 Cunningham, Bounds. y~. Crowder (, Brown. ~ one 01 \ho::JoR /.,.." In fac:t. Bob ' - partId. Pi*<! in MM!n IrimhIons SInce his first on the summer of 19IU Just what 15" triMhlon? Bob expII!ins that the tnathlon IS " tluee eYeI'\t sporI 1'1 11/1,.,-" ,]" 'Y
,......aMng S>oirrvning. bikong and running - in thai ordl!r. h is ~med from the beginnOng of the $'Mm to the end 01 the run. The distances wsy in diifBenl u\athIcns hom the $hortal aoIIedthe --sprIntlJiedl. Ion'- 10 the "ulll'a<lisllln« lnMhlon, such liS the Ironman held IW'Inuall)' in H.,waii.
A/thougt1 most of Bot•• no<:e5 h.sve been mediurn-dislan<:e tr\athIons, in Janlillry of thio year Bob partICipated In II Iong-di""nce tJialhlon in MIIul lhls in~ II 1.2mHe swim in the O<:elIn (which con ~ rlIlher rough). II 56 mile boke ride. Nod .. 13.1 cnIe run. \\'hen asked when he stoppoed to ~ he a
pI/Ilr>I'd. "VOIJ don-r rest Yoo do,'-I stop_ The jdea Is to comple~c I~ without stop pong" _lIft~ you
firush SWlmming)'Oll t\aYe to change into biking ~.. lind
jump on your ~ . _. lind th.ots pM 0( ~~ rae .. 00 you try to do thMas fast as you CM_"' Bob<:OmPl<'ted !hcIt one In Just
--""'"
,j/~ """m ;"/he<><"<,"". _Loka 56mll"'/II "'nng<l,""",c~
/lW!hlon In ~"'''IIII .kIIl"4'Y'
peopIe....-.d «', dific:IAt whft'Ol\O.O hon:lred or so, somet,mes in some 0( the raceo. lind you 1111 h,uh .. Will<"1I11>llCe, If )'OII',e not pnett)' confident in 1M <:¥I gC'I SCiII'ed pretty badly. Bob WOfks out at 1M y~ regularly and swims, bikes, lind runs th,ee to four ~mes II W<'<'k. or ~ mor.. depending on the up(Om'OQ race, ~ IIIso plays racquootb<lll (...tIi<:h. olCideoQly. is not pr<'Sftltly IIInl1th1on ..,~,ul_ k WlIS lit 1h<' Y" that Bobheard cl somebodydoUlg II trillthlon lind he wilnted to """ ,f~ could do It. H<' did - and his wif... .Joanna,
coo,opIeted hoer first sprint tnMhIon PInamiI 0Iy~.
in
". __ after you finish swimming you have to change into biking gear andjump on your bike - and thafs part of the race s o you try to do that as fast as you can. "
What about wonning? Bob o:xpIains that ~ ar .. winners in various age groups, film. women. etc, "1 fI<'YOef have Ihoughtaboul thlII mud> There II'" lad. lhlIt do that -IJU51 try to finish:' says \he thi r\y<'ight ~'" old. ""Wifllling Is not a big thing. I don'l think. to Ih<' vast ..-....;onl)' cl people ...no do it. There "'" pmf~ aIs that do nothing but """'" OUIall diIy every ""y lhq'", th .. ones that win them." I\s for ~ to Ihe ,ndovlduaiwho 11M ~ been nused ..,til Ihe ~ spirit lind fI'lio9ht want to giYe II triathlon a go. . Bob I<lI)'f>. "k s not all tMtd i/fiC\lIt
. ,t'.
Ju.t a mlIue, cl tra,ning for it. put tong in the ~".,... H)'OLI don'llike working out. you wouldn't enj<>y ge-tlIng ready for one beaUS<' rt does take II lot of ~",,", "'nybody ClIn do II if you' ,e WlII,"9 to take the~me:'
0
&\.bout Members &\.mong Firms
About Membe rs John D. SlIxon was recently named by I'resident Reagan to the President's Commission on White House Fdlowships. Former oo,msl'i to the U.S. Senale Select Committee on Ethics. Sa~on is now direcllO'" 01. c;:(M poi ale issues for RCA Corporation. William II. Sau e rlield, formerly
dep!."y solicitor Qiltw;, ~panment 01. the Interior. has been named general counsel of the F~ral Energy Regu. latory Commiuion by Chai rman Raymond]. O'Connor.
Madison County District At torney Hud Cramer has been named "publie ciliun of the yt'llr" by the Na· tional A.!.soxi3lion d. Social Workers. lie WU preSented the national ,,"'ani al amnonits held on Julit II lit the lI y311 R(g('OC)' HOlt! in Washington. Van~ctta
Penn Durant, II fa-
culty mem~of the NalionalJudicial College _nd the National ConfemICe of State I.tgi$laturtS, !'f($'nted 1"" lernity and (hi ld support enfom:·
men\ works~ before tile South Carolina Fa mily Coort Judges Association in Columbia in May and belore a Tuas Legisiali,'c Conference on Child Support Enforttrnent in Aus tin in Jurw:'. Mrs. Durant also participatfd al a panelist at a Sym· posium on Child Suppo;rt EnfQrCl!ment spol1S(11"fd by 1M Stcretary ol Healill and Human Resources in Was hington. D.C•• in August.
Among Finns The Ia ..... finn of Barne ll , T ingl e. Nobl e & Se!ttlln is pleased 10 an· 1KIUr>Ce that James I'. O'Neal has bocome a partner of the firm and Roger I.. 11~,teN has beoJme associated witllthe firm. OfficH are l0cated at Suite 1600. Ci ty Federal Bu ilding. Binnini/ham. Alabama 35203. Phone322-4)471. The finn of Nell ies. Barker and Jan.,.,ky is pIo-ased to announce thai Reggie Copela nd , Jr., has become a member oItM firm and that J . Stuart Wallace, f~rly 01 the Binningham Ba r. has become associated ..... ith the firm. OffICeS are al 3311 First National Bank Building. P.O. IlIIx 2981, Mobile, Alabama 36652. Phone 432-8186.
The law fi rm ol Sirote. Per mull . ,,· n e nd . friedman , lIe ld & A p<>' lins k )', P .C., is pleased 10 announce the mtrgtr ollhe practice of J . Ma· !IIIn Da vis, ..... ho is OO'N a memberol OIlr finn , and that Judit h F. T<>dd . J ohn R. Chil eII-, and C. Paul Da,"" have become members" OIlr finn and Dale B. Stone. Carol Gray Caldwe ll . and T imOlh r 1\. Bu" h have bfoonlC associates of OIlr firm. Offices are Iocat <'<l at 2222 Arlington Avenue South. Birmingham. Alabama 35255. Phone 933-1111.
The members" the finn" Miller, lIamiltlln . S nider & Od<>m are pleased lo a nnounce lhat Rich· a rdl'. Woods, M. Kath ryn Knight , and y rrol l E. Blllw. J r .• hl,'e b«ome auociat<'<l ..... ilh lhe firm. OflicH are located at 254-256 State Street. Mobile, Alabama 36603.
ClITlcr, Monc us, By num & De
BU)"lj, I' .C.. 2100 16th A'-enue South. Ash 1'~. Birmingham. Ala· bama. ukn pk-asure in announcing th3t J ames S. Wa rd has become a member" the firm and Mark S. Mc Kn ight has become an associate 01 tM firm.
TM law firm of St anard & Mills is pleased loannounce that Rllnald Wesley f ltrle)" has become aswcialed with the firm. Offices are 1(>caled at Southtru i l Bank Building. SeVfl1th H :a , Mobile. Alabama 36002 . I~
432.(l701 .
Gen e M. I-I an,by. Jr.• and Roben M. Bake r are pleaSfd to an· nounce the formation ol a partnel'"" ship for the ~tice alia,,' under the firm name" lI amb)" & Baker. Of· fires are It 1205 Sout h Montgomery Avenue. Sheffield. Alabama 35660.
Phone38J.6797.
Bill Thoms->" and Richard Sh""' nlaker art' proud 10 anTlOUnct the relocation of their lawofr~ to historic "Boxwood" Jt 406 :-Iorth Streel Eas\, P.O. Box 1059, Talla· dega. Alabama 35160. Phone
362·8341. The Mobilllaw firm of J ohn· slone, Ada ms, lI oward, Baile)" & Gordon is pleased to announa' IMt BruCil 1'. Ely has become as$(lciated with the firm.
!land , Arendall, Bedsole, Gr.,..·u & J ohn Slon, 30th Floor First National Bank Building. Mobi~. Alabama. takes ~asure in announc' ing that Ne il C. J oh"ilton and Ge o r !!" M. Walker have become part~ in the firm and that Kal h y O. Jon es has been named counsel 10 the firm.
Robert Ea rl Pa tl erson is pIoased toanoounce the relocahon u his of· fil:t$ lo 106 South Side Square. li untsville. Alabam~ 3580l.l'hone
Robert If. Ifood . Che r)'1 A. li uie, and Susan M. Allkenbrand l are pleased 10 anl10llnct the fQrmJ· tion u a part!lffl;hi p for the &eneral pracli~ of law undcr the firm name u 11. -1. lI uie & A llkcn bran dt. Offil:t$ are Iocattd at 22J.I Magnolia A,·enuoe. Bi rmin:gham, AI~1»rna
539':30196.
The law fi rm of Aur, Campbell & Aur ta kes pleasurt' in a nnounc· ing Ih~t Denise Uoone Aur has t«omt an as!;OCiate of lhe firm . Offi. ces are located al 260 Wa shington Avenue. Montgomery, Alabama
35205. Phone 252·2490.
Ge orge E. Tra wick take!! pride in announcing that f.l a)' T . Ke n· ning ton is 00\10' a s hareholder dIlle firm under lhoe nameof Tra wick & Ke nnillgton . Attorney!> P.C. Offi· ctS continue 10 be located at liigh"", y
36103.
5 1 Nonh (Clio Road). I'.O. I~x 47. Ariton, Alabama 363] I. Telcphones are: Ariton 762·2356 and O~lIrk
Annou nce m e nt s lor thi s colul1>n n'us t be recci.-cd by thc HUI da)' of Ih e m o n t h p rior to p ublica tion dale .
m·3175.
The law firm of DaWlOOl"l & MeGint y takes pleasure in annOUr>e-
WE WANT l'OU TO JOIN OUR SPEAKE RS BUREAU!
ing that I'amela McGint y I'arker is now auodated with the firm in lhe practice of law. Offices art' 10calfd at 206 South Broad Strfft. P.O. h 100. Soollsboro. Alabama 35768.
Public Reiallons,lnforllli>tion and I,
~st/l.I~
W ilson , l'umroy & Bryll.n, At · torneys at Law. takes pln sure in an· nouncing that Bruce N. Ad:l nl s has b«ome associated with the fi rm . Of· fices are al 1431 leighton A,·en~. P.O. h 2333. Anniston. Alabama
J6202. ll1u nc h a rd L McLeod, Jr .. and
J. P a l ric k Chc s hi re llTOUdly an· nouroc:e their association for the prac. lice u law under the firm nameof Mel..,od and Ch,,~hi re. Ofr~ are located al 902 Alabama
SPEAKER'S BUREAU APPLICATION N. .. ______________________________________ Firm N<o ..... (if
~ppl ic~ ble J
_ _ _ _ _ _ __ _ _ __ _ _ __
Addre$S _____ _ _ _ _ __ _ __
AVlfIlI(, 1'.0. Box 656. Selma. Ala· bama 36702. Phone 875·2282.
C i'y _ _ _ ___
S l~ t e
_ _ _ _ _ _ •• _ __ __
Telephonc _ _ _ _ __ __ _ _ __ _ _ _ - - - - - - - -
Da nie! M. Gibson, Allomey at Law, is pleased to annoonct that Donna W ess<:>n Snla lley will be a$SOclated wilh him for the prxtice u law as u September 10. 1984. Offi · ces are Iocaled 1112918 7t h St rtel. Tuscaloosa. Alabama 35401. I'hone
758·5521.
PIe_ 1i$1 s ubjeclf On ..·hic h you a.rc ..illing 10 _ k:
" " 3)
~cent
Gf}ecisions by John M. Milli n" , Jr. and Da vid B. lJ)' m e, J r.
Recent Decisions of t he
Alabama Court of Criminal Appeals Th e r ight to withdra ..· II guilty pica AIf,o" ~. SIOlt, 8th !)iv. 952 (June 12. 1964). The def~ndant pled guilty \0 four counts of third~ burglary. The trial court Knl~ the ~fend· anll05;x ye;on' im",isonmenl foreach crlmt. but ordered thai the sentences
adjudged in cases one and 1"'0 wert to run concurrently as
were t he senten-
en in cases three arKI four. lIowe'o'eT, the lalleT sentences ...·ne \0 be con· secutive to the fiTSt ''''0 sente0c6. The net resul\ was. 10111 oIl,,'e"'(' years'imprisonrrnmt.
Judge Harris. writing for a unanimous court of appeals. re-"cued holding thai the lrial court', ~fusal 10 ptTmit the defendant 10 withdraw his guilty plea after the trial muM had reluSftlU) follow the oorpined for !lem~ recommendali<Jn by the Iiale.oonslituled rev~ible err<Jr. The court reasoned lhal. as ont of the inducements for the
defendant's four guilty pleas. the state agrred to recommend and did r«OOl. mend six ~r sent~ to be set'Ved cotan/rrntl/y. The trial cou., did not follow the stale's recommtndation.ln· s tead. the trial cou., S('ntenced tile defendant toa combination d roncurrffit and consecutive si x yC31'$' sentences
whi(:h resulted in a local penitffitiary trml of twelve yurs ralheT tJun the six ytars recommeuded by the stale. Afterv.ards. the Irial courl would not permit the appcllam to withdraw his guilty plea. This refusal to permit the defendant 10 withdraw hi5guilly pleas after the lrial cwrt had refused tofol· low the "bargained for" senteroot recommendation offered the stale constituted revnsibkerror. R ece nt Deci sio n s of the SUllreme Court of
Alabama-Civil Ce rtifie d q ues tio n .••
ho mestead . . . Mo bile home d ee me d a ho m eli\ead First Ala/.>ama &nA 0/ f)othon u.
IItH/ro. 18ABR 1710(May 11.1984).ln a ce.,ified question prOCtCding pursu' ant til Rule 18. ARAP. the supreme cou., was asked whetheT an uoan· achtd mobilt home whi(:h is admit· tedly personalty. but whi(:h isa princi· pie place of residcnct of an individual. shan be d"ffiJed a '"homestead" for purJXl$H of Sections 6-10-3. 6-B)'!;?1. and 6- 10- 122. AI4. Cod, 1975. The supreme court answered Ihisquestion in theaffirmati,~. Coo!lfq~ntly. Section 6-10-3 requires the voluntary sigoature and assent of both husband and wife to any mortgage. deed. or other conveyance of such mobile home. Sec·
tion 6-10-122 requires tJut a wai,·",,01 homesttadunn]llion must be by sepa. "lie wrillffi instrument subscribed by the party and altested by one witness. And. if the subscriber is married. the wife must alsoaign and assent. T he IU~mtcourl n:a$Oflf'd that al· thouah the afonmentioned statutes did not speciflCillly mer til unallached mobile homei. il is Ullrellsonable til conclud.e otherwi$C sintt the I1ome$lead lawil were passed tllsecure to the hou sehllider a hllme for himself and his family. The supreme court abo nottod thai in am..nding 5loction 6-10-2. 511 as til illClude mobile homes. the Ala· bama l.egisbture rectlK"iztod the in· eTtasing number of mobile homes as the principle place IIf residence and. Iherefore. it would be unjust III recog· nite the homestead righli of mobile home dwellers in 5loction 6- 10-2 and then dffiy them the proIfClion cI Seclions 6-10-3 and 6-1(1.122. C iv il proce dure ••. ru le 5 5 (b) (2) recluires lin in quiry t o d ete rmine da mages
J 4- P CoIISInu:lwII Co. P. I',,/Ia (A". IIrwlw.. Co.. 18 ASR 1884 Oune I. 198(~ TIlt plaintiff sued for lnach of contract and claimtod the defendanl ()\\'ed 535.000. T he defendant failed til answer and the plainti ff filed an appli· cation for default with the clerk claim· ing $42.665. Thenafter. lhe plaintiff filed a ll1IMion for default pursuant 10 Rult 55 (b) (2). ARCP. and the COUrt entered a ju~nl by c!f,fauh in the amount 0( $-12.665. The trial cou rt did not COndUCI a hearing todetermine the .mount of damages. The plaintiff filed a Rule 60 (b) motion after the dffiied ils Rule 55 (el motion. On a~ ptal. the supreme coun Iv:1d that the Rul<! 6O(b) motion should ha"e been granled for I....., n:asons. f irst. thcjudg· ment was exCC$;'-c. The complaint sought $35.000 and the judgmenl u , ««led thaI amoont. Adtfault judgment cannol beffiten!d for an amoontgrtater Ihan the amounl claimed in the com· plaillt. S«:ond. sintt theclaim was 001 for a sum cert.in (l.e .• pursuanltllRule 55 (b) (I). Rule 55 (b) (2). ARCP. requires the rourt 10 make .n inquiry intllthe amount of damages. T he suo
COlI"
premerourt rtoJg1lized tllat although. Rule 55 (b) (2) Stalt!! lhat I~ COlIn "may"' hold hearings. the discrdion bestOVo'cc! by the Rut.: is not 80 JTe1t .. to entirely viliate tile IWd for 5OIl\I' son d inquiry into the amount of damage$ claimed.
forth. the defense. T he lrial coun g ... nl~ the defendant's motion fw s ummary j~nl. and lhe plaintiff appealed. The supreme coun noted thai if the defcn<lant had sought to amend tile plea. the trial coun in its discretion could have granted the amendment and t his probt.:m would have been avoided.
Civi l I,roccdur(' ... workme n's eOrll l)(' n sat ion
immun ity mu st be affirmati,'e ly ple d ulldcr nile 8 (c) l1«lrld ~. Cro.:" u"lral I'rlrok,u" C4".. 18 ABR 2018(June I. 1964). In a case d firsl impression in Alabama, the suprM1e court hdd that the ~m· plO)'er', immunity from suit by the emplO)l~ under Section 2a.s-5J. Akl. C«i~ 1975, is an "affirmali"e dcfense"' under lIul~8 (c). ARCP. and. therd~. must be sptCially pled. In this c;lIse.the defend~nt ... i'led the immunily by m0tion for iummary judgmenl but failed 10 plead lhe immunity as ~ special (\e. fense. The plaintiff tiTnely fil~ a molion 10 strike the defense. and the defendant fa iled toamend hi s plea to sel
Domes tic relu tions ... c h ild custody ... 1"'I renl s burden of proof 10 regain custody s laled
F.r /Iilrlt: IV.R. MclL.w(!N (Md.ell · v. Md.endolti, 18ABR3029(luly6. 1984). The supreme court granted cer·
d~n
tiorari to restate the $t andard of proof required a! a noncustodial parent (mottw:..) seekillJi 10 rtgain custody of her child. The $uprM1e court noted lhat fw several ~ars. theCOlln d all" I""'hi has irw;(lr'T«lly Slat~ that the parent SoM!king custody has the burden of showing a changcl in circumstances which IldlJ(l~l, affecl the welfare of the child . The supreme rourt a lso
Imagine: You ' re about to erect a spectacular new office tower. There 's just one small hitch, The site for t he monumental new office bullcllng seemecl
perfm. Except for one thing. The company preferrecl not to have a train running through the lobby. But a ra ilroad held a righ t of way across the property. <lncl t ... in tr.ICks were scattered over pan: of a n otherwise picturesque scene . A numw of othe r probIem5 threatened to s haner everything. They didn' t . Because COmmon wealth worktd WIth counsel and representatives from the railroad. the city and the com pany to keep things on til!! track. SO t he bulldlng-Inst ea<l of the 5 O'ClOCk txprtsS-arrlvecl right on schedule. Whether your project is an office builcllng that's stretching skyward. or 11 slngle·family home that' s sitting pretty. call Commonwealth. Our service really ca n make a difference. We turn obst.cles Into opportunities.
&a
iii
_-
COMt1Cl>/WEAllH WI)'
....... . .
nYU --.o.IQ o::JWNl(
"
164 St. Francis Street . P.O. Bo~ ZZ65 Mobile. AL 36652 • (lOS) 433·ZS34
..
st ated thaL a mere sho",mg that a cha~ " 'as in lhe "best '"teres! dthe chIld" ;s not the appropriate standard. Although the child's best ,nlerest is paramount, the parent's burden i5to pro"c Lhat the change of cust ody "materially pronwln" Ihe child', wl'1 · fa re and best interest, i,e .. "1hat s he produce evidenre to overcome the ·in· herently disrupti"e effecl caused by uprooting the child." •. The supreme court also noted lhat ahhougillhe nat· UTIli parent is presumed to be lhe proper pH'$OII to ha"e custody. this presumption does not apply aher a voluntarily forft'iture of custody /lIT a prior decree removing and awarding custody loa non·parent.
Insu runec .. . su bjec tive s lalldnrd detcrmines whether nn inj u ry is "accide n ta l" AlllboI ..... Fllrm ~M""'M MMIMIlICas· MIlIIy C4.. 11K. D. ~. 18 ABR 1918(June I. 1984). In thisdeclaraLory
"IS.
judgment action. the supreme court was asked to declare the proper stan· dard lOt" determining whether '"bodily injury ... is rithere~ pecled /lIT intended from the &Iand pjnl 01 the insured:' i.e. accidental w intentional. The tvi· ~ fe"aled thaI lhe insured doi'lilltralely pulled a gun from h,s podet. pjnted the gun al his brother. pulled the trigger. and killed his brottw:... Farm Bureau argul'<ithatlhe SUp.-cme court had previously approved an obi«1ive Itandard which amounted loan objective tC!lI of fOt"eseeability. In at her
words. sioct:a reasonableandordinar' ily prudent pom;OI1 IO-ould foresee that pulling Iht Lri8ger of a Ioadtd gun aimed pjnt ·blan k 3t another penon IO-ould re!;ult in injury to that per$On. the injurycoold lheref~ be "uptCted or inlended from the standpoint 011 he insured."' T ~ supreme court rejected Farm Burtau', argumem. although il ac· knowledged that there might be lOme confusion due to languagt in previous cases. The supreme court held Ihal a purely sUb;ecti,"t standard determines whether the injury i5 '"uptCted or in· lended.·· An injury is "imendetl"' from the stand point of the insured if Lh~ insured possessed the specific interttt()
cause the bodily injury. An injury i$ "upecu~d" if the insured subjecti"ely ~KIIsed .. high degree of certainty tnat bodily InjUry tQallOl1ler would rE"sult. Slnct the onsur('d arod the victim ,,'eIl' brut hen a rod enjO)'ed a Iongst"rod· ing amicable ~lationship. arod sinct the gun was only panially loaded arod the insured ~ shocked after the gun discharged. the supreme court determin.ed that the tria l coun cou ld rea· sonably have concluded that the in· su red s ubj«:tivcly neit her " intended " nor "expected" the injury.
Landlord a nd te nant ... " lInbargllinc d fo r" c xc ullmtory clause in
res idcntialllpan meni tCllse "oidcd lJqyrJ ~. Strritt OJ". of Alaboma. (toc.• 18 ABR 2093 Oune 8. 198-1). The suprernerourt was asked to I"f!examine its treatment of eXC\llpatQry clauses in residentia l leases. T he excul patory t la uK relieved the land lord from liabil· ity for fut ure negligent conduct. The leased J)Ttmistt had a def«tive door. Although being warn.ed of th.e def«t. Ihe larodlord refused to remedy th.e defeci. Oneday th.e tenant was assa ulted a rod r;&ptd in her apanment.th.e rnpist ha"ing gain.ed attHS through th.e def«live door. The Iarodlonl pled lhe ex· C\llpatory clause as a defense to the suit. The tenanl argued lhattheseclauses
are t)"pica 11y pan of adllesi ve COOt rae]s. tnal they are no! truly bargain.ed fOl". and thai their enfucement is against public interest. While refusi ng to hold that exculpatory clauses in residential leases are void flU ~, lhe supreme coon did hold tnal when a tenant can show thal.n exculpatory clause in a residenliallease is uncon~bledue to unequal bargaining power of the panies. the cla use is void because il is contrary 10 public p::Ilicy. T he la ndlord seeking to enf~ the clause mUSt show that theclause was explained to the tenant and " t hat there was in fact a real voluntary lllOOingof the mirods.·· T o rt s, ne gli ge nce s urv e ying ... e xpert tes t im o n y no nnall)" re<luired
l'DfflIIO" EtIgi'l«riv. IIK.~. RIwdu. 18ABR 1769(May25, 1984). l na~of finot impression in Alabama. th.e suo prem~ courl WII askl!d to coosider tke standard of care to be exercised by pr0fessional surveyors and wh.ether ex· pen testimony is necessary toestablish the ~ppropriate standard of ca re. Look· ing to other jurisdictions, the supreme coon Slated that a surveyor is boond to exerOw that ~ at care which a skilled SlIrveyor of ordinary prudence would ha"e uen:ised under similar circumstanctS. Ordinarily. therrion. lhe 5tandard of careen be established only by an expert witness. The suo ~coun compared professional sur· "e)'Olll to other te;.rne;t pniessions.
T he supreme ooun added, however. thai a Wltnts!! rwed no! be an expert in the strict t«:hnical sense to gi~ les' timony as to Ihings which he kOO\1o's by study. prncIioe. ex.,menct. or obser.·a· tion on lhe panirular subjtct.
Recent Decisions of the SUI)re m C Court of Alnbnma-Criminal IJI"IIII)' is a li ve in AI:lbama D.mea,,~. Siait. !8A BR 3043 (/ul y6. 1984). TheSupreme Coon of Alabama rev~ the conviction of the defend· ant fOf criminal mischief where the Slate withheld exculpatory tvid.er>o%.
T ho!: ddelldant was convicted of four cha~of criminal m&hiel in the first degree based IIPl1l circumstantial C\i· ~. lie "'as sentenced as a youthful offender to COfICUlTtnt terms of eight· etf1 monthund req uired to make resti· tution of one·third of th.e tOlal a moo nt of damages as a rondition of probation. The conviction was a ffirmed by the Court of Criminal Appeals. and the Suo preme Court of Alabama ftr3 nted certi· orari on lhe basis of the prosecution's failure to prod~ an~in laboratory findings before trial which "'ere uC\ll· patory in nature. The evidenct presented al trial Teo "eaJI!d that the AnniSlon police had Teo ah'l!d callStndlC:al ing that m,,~ ""ere slashing tires at "lInous car dealer· ship$ in Anniston, Alabama. When the
B&W INTERNATIONAL, INC. CONFIDENTIAL INVeSTIGATIONS
$'0 _ TI1 2'ST STREIE"T IIIRto11NGI1AM. Al,.AIIoUtA ~
An ALABAMA firm serving Al.ASAMA·, L ~I Protessionals wiltt . 11.111 , .~ 04 Inve s tigative services and $&T\'ICe 01 procesa. We provide Itte bell 04 l1&f\11ce at reasonable rates. I20S~323 ·7562
I 328·63S5 I 956 -7103
o/rlC('r'S arrivtd al a ust!! car lot, lhey obsoeTved lhe defendanl and Iwoother males Slanding by .. "an which had dam~ lirs, One of lhe subjoects (not Duncan) dropped an oIljo:ct by the ""n. T",'O knives ".~ found ~ il. T heCityd .... nniston's Police laboralOry examined the kniVl!S that ,,"tre taken from lhe SOI'IM'. The Iaboralory euminalion revealed lhal the black sut>ltance on the knivts ....·as inoonsist · enl wilhorwas not rubbe-rfromtheside walls of (he tires. Tilts.! laboratory findings were not produced by the prOIeCUtion bef~ trial. JUSlice Embry held that to allow the conviction d the defendant to stand when lhe . Iale had withheld exculpa· 101)' evidence, ~rdlessd IheRaSOftS invol."ed, would be", tnove5tyof justa. The oou.rt reaffil'JTlfd lhe mandate of the United SI"'les Su~ Court in B>'tId:t p. MlltyIDNd. 373 U.S. 83. 87 (1963) which held:
'11>t suppreuion by
t"'~ ,
tion of e'I~ flV<>n.bit to In a.ocu...:l upon I't'QUHI violates dlli' proCftII w~ the .... ide""" is material tit""," u to SUili or to ~ni,I"T\ent,
irrnl«tive 01 the rood f.ith or bad faith 01 (he I'fI*CUtion.'"
Interestingly,lhe Alab3ma Supreme COUl'l noted lhal allhough B.lldy does not ~uire disdowre of such exculpa· tory evidence befen trill, 3ll a matln of <OUrsl!.5uchearlydisdo5ure is ~uind if rlf(HSIIry 10 ,,",,'ide the defendant wilh a fair trial. U..;W SUlks r. £/4M"Or/ll. 647 F~ 957 (9th Cir. 1981 ). Thc lilllit s of yu ,..lH!-,..
CoHKO V. AIDbomll. IS ABR ZlO7 (lunt S, 1984), The supreme coort granttd <:ertiorari in CoHKO to deter· mine ..... het ... r the Court of Criminal Appeals had correclly applied lhe prin·
ciples of Ex
""rl~
\'" . . . . . 437
So.2d
1330 (Ala. 1983). T he supreme coort rev~ and remanded thecasetothe Court d Criminal Appeals and in !IO doinc. set OUI the limits of the Y"......... decision. In a fh-e 10 four decision. Justice Beatty held: '1Aldeftndlnl who hao ntII'lIialod a pI<I bIorpin ""i1h lhe Slate is not aUlomatically mtitlod to a iud;!"""'l bast<! upon that ogreement . He does
haY<! the right to ha"e il , ubmim:<l to the trial COUrt kif that consid· eration. Tlt.e trial coun .. not bound to a<n1'i t,", The IIO"'f'l" at 1M lrial DOlI" 10 . . docitIe carries
COO"', ajII"'''''''''.
..ith It IMlIO"'f'l"lodtienr"... "iltih· ... or not Mdt an ogr_t btt ..Wft I he State and I,", <Ief<ndant.
es:o.u M
In
eo•. the lrial COUrt found lhat
no agT«ment existoo. Acoon:Iingly. the
d«ision I:A lhe Court I:A Criminal Appeals finding an enforceal* plea bar· gain was tfH,refOfe error.
specifIC principal 0( self-defense in the context of the defmse d one's home. Under lhe circumsl311Ct!1 of this~, it is apparent that lhe ~uesltd ch3rge was a IXITRCt sl"'tement I:A law lind should h3ve been eiven. Liko.-ist, the s upreme court held 11131 it " 'as dear th3t lhe trial judge understood the na· lured lheobjection and rduoOO togive the requestoo written ch3rge. Under such circumst ances, lhe defense coun· sel's inlervention was suffICient to prese ....'e Ihe error on appeal.
How to I'ref1;e n 'e in s tructional e rr(..'
Recent Decisio ns of the Supre me Court of the Unite d S tales
K";PI~,
SID It, ISAB R 2<»11 (lu ... S. 19&1). The Supreme Coort I:A AIab3ma grantoo omiorari in K"igIIl to delft"· mine whether lheobjedions interposed by defense counsel "-ere wfrtcient 10 pre$/:f"'C instTllClional etTOf under lhe Cltel:A Alit.. ~. S/Dk, 414 So.2d 969 (Ala. Crim. App. 19111). Knight " 'as found guilty I:A man· slaughtft". Theev~ ..... as undisputoo that the shooting occurred ootside a nightclub Which Knight and his family .....ere using as lheir residence. At the conclus ion of the evidence, the trial court refused Knigh l's written cha~ on $/'If-defense in the defense of one', ~. Following theclo$tl:A thecourt', oral charge 10 the jury, the oou.n. out· side lhe ptesctlC(' 01 the jury, wm· moned both sides tOlhe bench. Allhat lime, Kniaht"l defffi5ecounstl repeattd his ~ue!oI. 10 h3"e the trial judge charge the jury on "defense of the home." The Coun ci Criminal Appeals upheld the Jov,.ft" court's judgment of convicdoo based UpOrllhe finding th3t lhe defense counsel's objections to lhe coort's chRrgtl were insuffici.-:m to preserve error under Aile" O. Siale. SWPJ'll. In Ihlll case the Court 0( Criminal Appeals held that the ""'omalic =PIi.", to refuse ~uested writlen chaJ'Re5 If/) W"l;'t' t.rulJ .nd th3t the aggriend party mUll ob;ect Ind state his grounds befort the jury retires, in order to pre$H"o'e II~ errors in lhe lrial court', musal 10 10 charge. In revtning,Justitt Almon held Ih3t Knight ' , defense counsel had made an adequate otJ;ection to the coun's oral charge before lhe jury retiroo 10 con· sider il$ verdict by calling to thecourt's attention ils failure to charge on Ihe
The d e n li sc of the fourth
a me nd ment exclusionary ru l. U"iWStllks~. I.N".52 USlW5155 (luly 5, 1964). In the Supnome Coort held that evidence obtained in ~ioIationd the fourth Amendment by officers acting in obj«ti"eiy reasonable reliance on a search warrant issued by a neutral and detached magislrate need not be excludtd, as a maUer of ftdeQl law, from the case-in-chid of ftdenol and slate criminal prostCIJlions. In &0 doing. lhe Supreme Court "'rites yet anot her clupter in Ihe volume of Fourth Amendment law opentd by LI'Mb P.
u..".
U.ikf/ SI<l"" 232 U.s. 3113 0914). Acting on cht basis of information
from _ conrldential informant, offtcel"S the Burbank. California Police Department inilialtd a drug trafrlCking inve5c;gation involvina su ....'cillanoe of the defendants' activities. Bast!! 00 an affidavil summarizing a I>Jlice officers observations, an application was prepared for a !lI'arch warranl to !lI'arch three residencn and the defendants' automobiles for an extcnsi,·t list of items. The .pplication (afrKlavit) .....as m·itv.·oo by se-.wal depuly district at· lomtYsand a facially valid search war· rant was issued by a Slate court judge. Enwina searches produad Iargequan· lilies of drtl&$, dT1lll: panophema.lia and Other t\-'idenoe. The defendanls "'ere indicted for {eden! drug offenses and filed motions to suppress the evidence seiud pursuant to the warranl. After an evidentiary hearing, thedis· trict court granttd the defendants' mil"
ci
tions to suptlftSS, in pan, an:luding that thl- affidavit w;l$ insufficient to establish probable cau~, The district COlIn m:ogniud thai the offar pu"",ring thl- affidavit had acted in good faith but the COlIn rtjecIed thl- go. ~mmf •• ugp'SIion thaI the Foonh Al11I'ndment uclusionary ru~ shoukl 00( apply where evidenoe is smed in reasonable good faith reliaoce on a !iean:h wamlnl, The COlIn of appeals affi I'11l('d a Iso refusing t he government's invitation to I'('C(Ignize a "good faith e xceplion" to the exclusionary rule. After granting ctrtiorari Mr. Just~ White, .... riting for the majority, reo,"ffiIN the judgment eI the Coun of Appeals, In reachingthl- result. the Su preme COUrt held that lhe Founh A~mtnt uclusionary rule JIwto/d ..111 he applied 11035 to bar the U~ in the pro5«Ution's cue-in<hief eI e,·io:!ena obtained by offlCertl loCIi", in reason· able rtliarooeon a starch .... arrant issued by a ddached and neutral magistrate but ultimately found 10 be invalid, The question, whether the exclusionary sanction il appropriately imJX:lSed in a particular ea~, as a judicially crj'lted remedy to safeguard Foorth Amend· men\ right$ through its detcm:nt ef· fOCI, must be rellOh'ed by "'eighing the COIIt and benefits ol preventing the u~ in the prosecution'l ~",<hief ol in· heTently lrust ""U1 hy tangible ""icIenoe. The Supreme Coun an:luded that the i ndi!lCTimll13te applat ion elt he uclusioNry rule impeded the cnmill31 jus· t ice system'. Irut h·fi nding fuflC1ion and allowed _ guilty defendants to go f~.
In appi)'ing the societal balancing tCl!t, the Court concluded "that the marginal or 11OIl-existcnt benefits prodoced by supprtSSing evideoceobtained in objectively rUlIOI1able rdia""" on a subsequently invalidated starch ,,'ar· rant cannot justify thesubiStantial cost d exclusion. "\\'t do not suggest, how· e....:r . that exclusion ,s al"'ays ill3ppropriate in cases whefe an olTar has ~ained a warrant and abided by its terms," Finall y. the Coun attempted to s;g· 1131 some limit to the "good failh exception" by Sl at ing in pert;llffit part as follows: "T~e iood rait~ u<~ption ror ,,"rchef <onducltd purouant to W3r·
rani' i, noI int..-.ltd to 0"",,1 our UnwillUlgnn1l1n<tly lo ....forn the roqUlmnmll allhe F""n~ Amtndmem, Ind ."e do noI bdlt'o"e lhal It .;11 ha>"e ,his tffea, AI . 'e ha"e aI· .my suesresttd. ,hellOOd filth .... ceptiort. lurni,.". I f il doei "" oq.., n>"e JUSONbIeIIeII:, IJ'tould not bt dlffi<ulllo apply In prICIu ... Our wndu.ion is IMlllIe rule', pur.,.,... . 'ill ""Iy rarej·bt io!n'"" by applying 1\ in su<h circum.""",," Th e d oct.rine of i -VJII e x t e nde d Ml1$S(!ch ~5flts~,
Shtp/XJ-rd, 52 USL IV (July 5, 1984). M=huults v, SlwptJani in~oI"ed the application of the rules aniculatoo the &31111' day in Utliltd Sian u, In... IlHlt, toa situation in which pOIict elfictrs seiz.ed ilems pursuant 10 a tean:h ..earnlOt subsequently invalidated because d a loch· nal error on the Piln eI the issuing judge. On the basis ol""'i<\ence galhered in lhe in,-esligation of IIw",irilk in Bos· ton, a polioe detKtiw: drafted an affi· da"i! to support an application for an arrest warrant and a scan:h warrant for the search of the defcndant's residetlC<>, T he affidavit stated Ihat the p0lice wished to lean:h for oenain described items, inclUding clothingel lhe victim and a blunt instrument lhal may hl'"e been used on the ,·ictim. The affillasil wal reviewed and aPl""O"ed by thl- district IU(It11t')'. Btcause it .... as Sunday, the police had a difficult time finding I " 'arrant application form. The ddocti"e fill3l1y foond I warrant form prt\'iou.ly used in lnolhef police district to search for crmlroll«l sNbstaIWS. After making some changes in \ he form, the delecti"e p!"<!$tnted it and the affidavit to a ju~ 31 his residence, informing the judge that the warrant mighl ~ to be changed funhef. The judge then signed the "'arrant and returned it and the affi· davit to the deteclive informing him that tM warrant "'as suffICient aUlhor· ity in form and aJf1tent toearry out the requested search. The enl uing search of tM defend· ant's rt$idenoe by the ddtcti,.., and othtr police olflOtT5 was limited to the items listed in theaffida"it bul did not coincide with the items listed in the scar<;h warrant \0 be seized. Sev~r:ill incriminating pitces of evidence .... ere diSCO\'ered: thereafter, the defendant
sin
was chargro with first«gre.> murder. At a pretrial suppression heating the trial judgle ruled that notwithstanding IhI- deftcl m the ,,",Utant, lhe Incriml' nating e\'KMoROe could be admitted because the police had acted in "good faith" 'n ell«Ultng whal they thought to be. "Ilid ..71 rnml. Tilt Musachu· !letts Su]lf1'fl'le Coun held that lhe e\';' derooe should ha"e been suppressed. Justice White relying upno lilt r:illionale of U"ill'<i 51111'" I'. ILO" re,'ersed and rtmanded, The Court pointed out that the officers took t"cry step that could m50flably he expected of them. At the point wlltre tM judge returned the affidavit and warrant to the detoc· tiw:, a TUlIOI1able police dfioeT woold haw: ((Inc1udotd as tM ddtct;,.., did, that tM warrant authoriud a searchof the m.atmals oothned in his affidavit. The Coon funhef reasoned that a po. licedfari$ 00( reqUIred todisbelic-.-ea judge .... ho has just advised him tha t the warrant he posseiSes is proper au· thoriution for him to conduct the sean:h. Finally, the Supreme Coun concluded that suppressing evidence because the judI((! failed to make all the r.e«sSary clerical corrections despite his assur:iloce that such changes woold Ill' made " 'iI! not sen'e the deterrenl fUflC1ion that thl- exclusionary rule was destgned to achte\lt. The tllin t thllt does n 't rob o ff
Sip", ", UtliW S/tlln. 52 USLW 5128(1uly S, 1984). Acting on informa, tion thai tM defendants probably "-en!' lrafflCkingin cocaiM from their apan· ment, New York DEA agentS began a surveillance of the defendants, Thereafter, the)' observed thedei'endant Colon deli,·tr a bulky package 1<> one Parra at a restaurant parking lot, .... hile the defendants Segura and Vidal visited in· side lhe rtStaurants. The DEA agentS followed the rectI''eTI of the bulky to thetr aPilnrnent wlt.en tlvy "'e«! $lopped and arrested. Qn.., eI the arrestee. admitted thai M had pur· chased cCJcalM from Segura and aJf1' fil'TTl(d the cIeIj,'efY olthe bulky pack· age at the restaurant , T he DEA agents ~aU\horized by an assistant United States allomey to arrest the defendants and were a.hised that a search warrant for lhe defendants' aPllrtlllent probably could IKlI. be
pac'"
oIltaintd unlil the following day. but llIat the 3#flt l s'hookt "secure the prtml!it$M topr~nt destruction of tvi· ~. Pursuant to lilat aUlhol'Uation. the agents arrestfd Se:gu", in the lobby ohhedd'tndant ·. apartment buikting. took lIim to the apartment. knockfdoo the door .nd .....""n it was opened by thedd'tndant Colon. entered tile apart · ment without !'UIuesting or re<:I!i\'ing permission. The agentS roOOuctfd a "limilM I«urity check" of the apart· ment and in Ihe procc$$ obsI:r\·ed. in plain view. various drug parapherna· lia. Two DEA agenl s remained in the apartment awaiting the warrant but because of "adminiSI"'li\'e delay" tile searcll wamtnt was n(ll issued until _ ninttl'tll hours after the initial entry mlothe apartment. In the searcll. pursuanl to lhe wa""nl. lhe agents di!lf.)l)Vered coeai~ and rtronls of ,·an· 005 narcotic transactions. These items ...~ seiz,ed tOfjltther willi those ob!Ier'I'«I durina; the $«urity check. The dislrict court granted the ~ fendan!'$ pretrial mOlion to suppress all the sei~M cvidellC'!. The COIIrt of appeals held that the evidence discovert<:! in plain vie\\'011 the initial entry tn.t Not the evidence seiz,ed during the warrant search must be suppresSed. The Supreme Coort allirmed. Cllief JlIstice Burger llekt tllat tile exclusionary rule dots n(ll apply. lilhe connection be\Wl'tll the illegal police conduct and I"" di!lCO\'U)' and seizure of the~idtnce is "so attenuatfd" as to dissipate the taint. As. for exam~. ...'here lhe police had an independent $(111m:- lor di!lCO>·try of the evidence. Citing. SihWlrthorHt /.MmtJ,-r Co. u. U"iltd 5"'11'$. 251 U.S. 385. The Cllid Just ice loond that there was an independent soum:- for thecllal· lenged evidence; the evidence was di.coveml dllring a searcll of the defendant" apartmenl pursuam 10 a valid wamnt . The ,"formalion 00 ""lIicll the ...·amm "''liS S«\Jrt<:! came from SOlII'US wholly unconnected willi the inilial enuy and ",'liS known 10 lhe agents ...·ell before tllat trltry. lIence. whether the initial trltry was illegal or nO! is jmwl'On/to the admissibility of the evilk-nce. and uc1usioo of the e\'i~ i, noI Wal'T3ntM as derivalive evidence 0<' as "fruit of the poiSQrlOllS t~ . "
"rose c u torin l m isconduct ... t h e Btlillicmion of BlackfMg~ TIl . . . •. RO«r/J. 5.2 US!.\\' 4912 (June'l1. 1984). Thedefendant was invoI~ in an luu::m obile ao:idem in MI ssissippi in wllicll he lost control 01 lIiscar.nd killed, passenger in, pick· up truck. Dtfendam wascllaf&"d in a Mi ssissippi JlIslice d 1M Peace Court. witll =kless driving. driving wllile his license was revoked. driving on the wrong side of tile rood, and driving while intOKkalfd. Following his conviction. hetKercised lIis statlllory right of appeal for a trial de No"o in tile circuit COOrt . Wllile tilt appeal was pending. the defendant wa$ indictfd in the circuit COIIrt f« mansbugllttT arising OIIt of the Hint ..:cidenl. After co.,..ictioo he appealed to the $Iatt Illpreme coort. but IIi. conviction was allirLllt'd. Subsequently. the delendanl brougllt a lederal lIabeas action in the Uniled Statn Di $trict COllrt. T he United Slain Magi strat e r«Ommended tllat lhe writ be gramed based upon B/llCk. I~~. f'crry. 4 17 U.S. 21 (1974). The Supreme Court. in an opinion by Justict White. held tllat the pro!!<!-cUlion of thedefendam for manslaugh· ter follo .... ing lIis IIlvocation of his stat· lIIory- right to appeal lIis misdemeanor (On\'lClions. was unconstitlllional as a viol.llon 01 due process.. CUIng HlMk· /Mgt r. Pmy. 41 7 U.S. 21 (197~ ). Ju stice White reasoned 'llalthis seq~ d t>·tnti iu~tfd ", realistic likeli· hood of ,·indictiveness." UrnkT- s och circumsl'nces. the Coort fearfd tllal the prost'Clltor who 11'1 a considerable stake in discouraging ronvictfd mi s· demeanants from appealing and. thus, obtainins a trial dt Novo would make retaliatory use 01 his power to "up I he ante,'- In reaclling the ronclusion,justice White analogized Perry's plight to the imposition of a stiffer sentence al· ler ~I and r«(wlsiction.
Double jeolmrdy does nOI attach loa hungjur)' I&MI'IboIr~. U,.il«/ Slain. 52 US!.W 4993 (lu~ 29, 1984). The deftrldant was indictfd on ,hrtt COIInts of fede!'31 narcoti~ violations. AI his IriaL the jllry ac(jUillfd lIim on one COIInt but wa5una blc 10 lIgrtton a verdict on the
remaining coonts. T he dislrict coort declared a m~trial a~ to the remaining coont. ,nd scheduled a retrial. The defendant then nIO"fd to bar the re-trial claiming lilat it ""oold "ioIate the double ieoPlrdy clause of the Filth Amtndmtllt . On appeal JustICe l1ellnquist IIdd t lIatthedelendan, did f1O(lIa"ea "alid dooble jeopardy daim. The Court rca· soned Illat the protection of the double jeopardy dause by it s terms applie-;s only ;1 there has be;on some event, such as an acquillal. tllal terminates tile original jeopardy. Neither the lailureof the jury to reach a VmJicl nor a trial COIIrt', declaration or a m;strial follow· ing a lIung jury is an t>'ent tllat lermi · nates tile original jeopardy. Aa:mJ. Ingly. lhe case wu rtlll3ndeci to the District Court for tnal by jllry.
SUI)rem e c ourt a l)lllies Minmdfllo mi s demeanor tra ffic uffe nses
IJerllemuu, McCarty. 52 US!.W 5O'l3 (luly 3. 1964). A IIn~nimous supreme court rilles thaI a person subjected 10 custodi~1 interrogation is entitled to receive the .... arnings set fonll in Mi. ronda v. MiwOlll. 348 U_S. 436 (1966) even when he is $LlSpl'Ct ed of. or ar· rested for. a mi!!demeanor ,raflic of· fense. 1l00.0.'t>'tr. ,he COIIrt critically noIe5 \1I8t roadsidtqutstioningduring a "rouli~ tralflC .top" does not consti· tute custodial interrog:;llion ""kst the officer 'Ubj«:tl ,lie rrKlloriSI 10 ,real, ment tllat renders lIim "in custody for practical purpil6eS,'[J "i': ;H ' CUI;"" '-J);rccl"r'~
"'{Iil'"''
(f _ _ 24S;
Our annllal nwtings aTl' ont of our more visible member servicts. We ....1'1· c:ome your suggestions 10 further ;m· pro-.·t these meetings. Our president is gener1Illy rt:5ponsible for OOr theme and our funttat. The presidential goal ~II year is to build llpon the prior Sl~' Stt.nd aflord ,he members not only a pleasant liOCial activity but a meaninglul opportunity for professional enllancement. 1lItse are j'OUr meet· ings, Wecovet your attendance. 0 _ Reginald T. Hamner
by Rondoll.h P. Rea"es and Ro ben L McCurley. Jr.
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I1y Ralldo/pI,
p, N((Jln
y previous report was wrin~n immediately fol· lowing the abrupt adjournmtnt of the regular session. Si~ that timtoertain ot~ bills ""hich passed Iu\-e been assigned Act numbers and a spoci.al 5eSsion has beffi held. Some of the more impOrllln! bills paSMd are outlintd IItIow:
M
Banking. Commercial and Corporat e The state', interest and usury law s w~re alu~red somewhat during the regular SHSion. C!d~ of AlabtJ lIlD 1975. 5«1ion 8-8-5 was amended twice. 5«1ion S-8-5 (a). relating to loansCO' credit sales towhich usury law,oo not apply. was ammded SOH lored~ ttw:amwnt on which interest ~y lit negotiated 10 $2.000. nw, limit ""11 previously 55.000. 5«1ion (f) was deleted therdly removing lhe Sunset CO' term inat ion date on t tw: PfU"isions ol t tw: $t'CIion as it appl ied to loans 01 $25.000 or more. lbe Acts amending this statute are No, 84·308 and Nn. 84-108 respec1i'·ely.
s.a..s
Criminal Law and Proced ure Some bills relating 10 ttw: Slate', mmillill laws passed during the TflUlar session. Act No. ·s84-285and 844 iO relate 10 clu'll'tS ol child porTI(lgIOIphy. Act No. 84471 amends AlllbtJma 1915. 5«1ion "1· 1&55 relating 10 pmaltie lCO' violations ol the state Pllblic bid law. Act No. 84-658 creates lhe Alabama Crime Victims Compensation Com · mission. Of part icular interest to yOOIlJ! lawyers aroond thestaU~ is
C«le.
A<:I Ne. 84·793 amending Alabama's indigent defense laws. The hourly rates remain the &a1lW'. Hnv.ever. in capital cases CO' in cases ""hich carry a possible sentence ci life ""ithout parole, the limits are now 51,000 lCO' out-<:t"-<ourt work pi.." pa)'mtnt fOl" aU in-<Wrt work at $4OJhr. Counxl shall also be ftllilied 10 be reimbu~ for any expenses reuonably incurred in such defft1w. if approo.<ed in advance by Itw: trial oourt . Retrials of a case are OOI1SideTed a new case. The allowable caps on appeals ha"e also been increased. Now. oounsel may bill up te 51 ,COO for an appeal te the Court of Criminal Appeals. and an additinnal maximum of$I.COO if a-rtiontri is granted 10 the Alabama Supreme Court. Domes tic In ttw:July edition. I repontd the passageolthe 1984 Child ProIeclion Law (Act No. 34·26I}and S.B. 86 relating 1000urt
ordertd OOI1tinuing income ",'ithholding. This Iauer bill is now AcI No. 84445. Also pa ssed in theregularVS$ion were Act No. 84·244 . pt"O\'idillJ! for the enilCtment of the Alabama UnifOl"m Parentage A<:t mating acivil causeof aclion fill" the (\eterm;lliItion of paternity,.nd A<:t No. 84·254 relaling I... adoptions. AlllbtJ_I975. 5fction 26-10-5 to Thi, act amends provide for artain righlsol nalural grandparenls. Now. in (liltS 01 adoption by a stepparent 01" a grandparent onl)'. visitation rights 101" IliItural grandparents may he main· tained or allowed upon petition for modifICation at any lime after the final order of adoption is em..red. Additionally. upnn the death ol an adoptive parent or pa rents. the righ ts of
Code.
'"
the natural grandparents as to marten of custody may be considered by the COlIrt,
The statu~ of the following Institute projects are as follows: Alabam a Hules of Crimi nal Proced u re - These mlts have been pending befon the Alabama Supreme Court since 19n. The mlts ha"e been reviewed by the court and the revised drafts were presented to thecoun in January 1983. During the past ytar, the court adopted Temporary Rule IS entitled "Charges: Indictment. In· formation and Complaint"; Rule 16 "Preparation for Trial: Pleadingll and Motions"; Rule] 7 "AJ>II('al by State From Pre-Trial Ruling'" and Temporary Rule 18 "Discavery,"
J u dic iary
Act No. 84.fj1O sub!;tamially increases the number of cir· cuit judges in the state as of October I. 1984. Nine new circuit ju~ will be appointed by the gm·emor. The 11th. 12th. 13th. 15th and 28th Circuits will get one new judge each and the 10th Circuit will get four. A new district judge slot was al&> cre,l(ed for Russell County. Clerks and registers acT(lS$ the state are much ha!)pier following the passage of Act No. 84-731 in the first sJl':'Cial session. Circuit and district clerks reO!ived 18.35'110 pay raises. Circuit registers ~ived raises ranging from 1Q9!, to
Cond o minium Law Revis ion _ Committee<;hainnan E.B. Peebles, Mobile, reported that after twO )'tars of study. the Revised Condominium law should be com· pleted in early 1985.
"'0.
Law Ins litute Update ~
Rolic/ L Mru.rw"J •.
Eminen t Domain Revis ion - Associate Director Penny Davis reported that the initial draft of the Revised Eminent Domain Code first published in June 198() has been redrafted to take into account recommendation. from various lawyers and intertsted parties. This revi· sion shoold be completed by November 1984.
At the Alabama Law institute Annual Mooing. held on Thursday. July ]2, t984, in Mobile. Finis E. St. John III r:I Cullman was reelected president and Oakley Mehon of Mom~ry was reelected vice president. Members of the Executive Committee for 1984-85 are:
Guardians hip Re vision - Alabama's numerous laws dealing with guardianship of minors and other prulected persons are undergoing revision. The commil1ee is dis· tinguishing between guardianship of the person and con· servator of the estate. thereby elevating the confusion in the present law. It further attempts tosimplify guardianship pr(JlX<lure. Mr. lyman Holland reported that this committee should complete its initial draft in the fall of
Lt. wernor Bill Baxley Speaker Tom Drake Chief Justice C.C. T orbert.Jr. Senator Ryan deGraffenried Representative Jim Campbell Mr. George Maynard Mr. Rick Manley Mr. Yetta Samford
,....
Mr. L.B. Feld of Birmingham was recogniled and pres· ented a certificate for drafting Alabama '$ Non·Profit Corporation law that was passed during the 1984 Regular Session and will become effective January 1, 1985.
Ad opt ion La w Revision - The [nstitut('is reviewing Alabama's adoption laws to detennine their adequacy. Camille Cook of Tuscaloo&a has been named chairman of the committee. This study came at the request of legislators due to the increasing complexities of the law created by stepparent and grandparent visitation rights with respec! to adoption. Mortgage Foreclos ur e a nd Red e n>l)! io n - The InstilUte is presently reviewing the Presl!nt law on this subje<;t and has named Hugh Lloyd of Demopolis as chairman of this review committee. The Institute has just published the third edition of T/w Ugislolive Proct:ss: A ifa ~dlJook loy Ugisilltors. Additional revisions of the Tar Assawrs· Tar CoIltclors ifaM/Jook and CDUllly Commissioners' HaMbook will be made in the fall of
ReplTStnldliPIIS Belh Marielw (k/l) mid MicluMl Omienkmk (right) ... ""' /Jl'fiSI'nkd ""ilh pIaq_ allhe bar'$ annlUllmnli"l1for liJcir $/JI»IS(mhi/J if lhe Awoonll1 NI)II·ProjiI CoTpomlian ACI. Hclllrtd wilh lhem if &h MrCurky. direcwrqf lhe Alilbama I.JJW Instil~le. Also rrceiving pIaq_ u""' RepI'fiSl'"llltiL'CS Jim CDmpbrU aM 5et1(l1or Ryan dcGra/f."riM, ...·/ware >WI picllIred.
,....
•
Senator Ryan deGraffenried and Rcpresentatiyts Beth Marietta.Jim Campbell and Michael Onderdonk were presented with plaques for their sponsorship in 1984 of the Alabama Non·Profit Corporation Act. This presentation was made during the Bench and Bar luncheon at the State Bar Annual Mooing. 0
ties IIClS b«ame known as "Blue Sky l.aws" because they were commonly re{er,..d t<) as legislation designed t(l conlrol "speculat;~t scherll(S II'hieh hl"( no lI"IOI"( basis than 10 many feet of blue sky:' II(JU~. ~"-JOItn Co.,
The Alabama Securities Act Meets the Average Practitioner
242 U.S. 539 (1911). In TdlJ>(In!;f! to the stock market crash 01 ]929. Congrf!5I erNte:! the 5«urities and Exchange Cllmmission ("SEClt(l~IaIf!the stock exchanges
[or "Blue Skies Smiling(?) At Me"] b, R. Fra nk USHcry
and administer the federal Sd"Urities act (Securities Acl of 1933), which pr0hibits offers and sales of $«Urities un· less reg;s ttT"td II'it h the SEC. subject to exemptions for certain Iypes oi securilies or tranSM;tions. The 1933 Act 315(1 prohibiled fra ud and ~plion in the offer or uk of !!«urities. The ~ curilies Excha,.e Act 011934, in addi· tion t<) rtgulalion 01 the exchanges. reQui red dillClosu re 01 publicly·t raded companies ~nd r<'gUlaled brokers and
dealtrs. This short history poinls up tlledi!·
ference in anphasis boo.tll'ffn till' Blue
~ ob;ecti,-e of this articleis \0 point 00\ how lhe Alabama Securities Act (§8-6-1. t! seq Aloo. COik 1975) applit$ 10 some oro;· nary transa:tOonSlhal rome across the de!ik ollhe practicing la.... yer. Securi· Ii" law is complex a nd fortign 10 Ihe average practitioner. Rather Lhan making thf: reader an exptrl. the article will addr6S the "ery basics, wilh a "GO·f OR-IT " or a " WA T CH [T" Ihrown in al intervals 10 either en·
T
laws and how II\.ty imerfatt with the federal securities laws. The first such
alale law was enactfd in 1911 by Kanmost states quickly follm.-td
sas, and
that lead , The
acu
typicall y coolain:
(I ) prohibition s against fraud in li1e
of !!«urit iH, (2) requiremt'TlIS for the registration (licensing) oS brokers, dnlers alld ulesmen, and (3) requireITIC.'fIts for the rtgistration oi !«\Irila 1<) boo. SClId in tile lIalt. The lIalt Sd"Uri· 6a1(
Sky laws and the federal $«Urities acts: a lthough st ates do cover lhe tra· ditional common stocks and bunds lhat are publie]y traclo:d, their primary focus is on the atypical $«Urity and the newly fOl"lTled company or enler· twise. whereas, the SEC diT«(;IS its reS<lu rC($ toward r<'gUlating national markets. Also. there is a fundamental difference in approach 10 rtgulation bet II'een the t 11'<): the fedtrahd~me of regulati<)n of !leCuri t ies is guided by a disdosure standa rd - i.e .. the issue!" of a $«Urity must dillCloee tile termsof the "'I(ril\ll and the risks associaled wilh the in"tstment : whereas. JI1051
cou rage a s hallow wade in these dark
and murky walef'S or 10 warn of the deep holes d,,1 awail t"" u l1$usptCling IICp.
\ '\ 01 un IU\ III .... , \1"1 I/U,I L \Tlll' IJI .... h l KI111 .... 1'1.1 .'dIUI, \")II"'I'n.l~\lllo'
\\1111 FI-.IJU{ \1 .... L( I tHIII-."] \\\
Without getting \00 IKhnical. il will be helpful 10 understand some histQr)' and philO$Ophy behind stale securities
R. Fmd Uwry is d;'f<:IfJrt/IM Alabrll_ Stotri. tits iui9". IItlllklllUd 1M UII;..mit,1i( Ala· Iia...", ~'';''K Iris B.S. drgr~ in 1959 OM law dfgrot i~ 1962 I',.,.,;()u$lo becom;ngdirtXlor of1M Alabama Stc" rilks Q,mmw;o~, 1M NW ill 11M,n· nok pnldict Ii( in ,1/'IIItgr;>_ry /nmt 1966 1'1 1975, ."....gas ;..u.",waco"''''issioMtr/ro", 1969· 70 dMri"l for"'" Goomun' B~ • .,,', iJd ... ;~islm· fum, 11M ~"S 0" assislanl o/llm"" grneml/rom 1980·82.
c.. ......
Ia",
states utilize "merit" regulation, wherein the state, in addition to re. qui ri"l! disclosure, undertakes to proteet its citizens from fraudulent or worthless securities. As a result, thi.> SEC cannot preyent the sale of a security (e"en though the deal is a JXK>r one with litt1e ~han<:eof success)as longas all the material information about Ihe deal isd isclosell. On the other hand, a state administrator has the authority under the "merit"' approach to refuse to allow the PIlblic S<lle of a security in his state if the deal .. tends to work a fraud upon the purchaser:' "involves excessive compensation or profits to the promoters." or is r\Ol "fair.just and equitable" to the in"estor. Although Alabama has had a securi· ties oct since 1919. the Act in its pres. ent form was adopted in 1959 and patt· erned after the Uniform Securities Act. which is the statutory format in the majority of states.
\I Jill \1 \l\nl\SllIIUIII'" \ll I 1111 H I 'I J[
\(llllhIOOI~
The Act begins with a definition sec· lion (§8-6-2). Attention is invited to the definitions of "offer" and "security:' nf which more will be said later ("WATCH IT'"). Secti<m 8-6-3 pro"ides for registration of dealers and salesmen which we' lI overlook for PIlrp0se5 of this anicle. Section 8·6-\ prcwidts that it is unlawful for any person to offer or sell any seocurity in the state unless it is registered (procedures for registration are found in Sections fH>.S to 9) or exempted from regiSlration under Sections 8-6-10 or II. The reomainderoftheAct providesforadmin· ;stration of the Act and oontains anti· fraud prohibitions and liabilities for violations of the Act ("WATCIlIT ).
A. About San ctions It is important to note three particu· lar sections of the Act: Th ~ a,,/i ·/~au.d p~o hjbjl"»1
_
§8·6· , 7. "It i. unlawful for any peT5OTl. in con· neclion with the oIfer, salt or po.lrchase of .ny security.rlir""lly 0.- indirectty ,10: (1) Rmploy any Ikvice. schtme or artilice to defr.ud:
(2l Make any untrue SI.t.ment of a m.leri.t 1a<1 or to omil to st.t. a m.teriat fact ne<:es ... ry in ordtr 10 m.ke th/, slatement s m.lk. in Ihe lighl of Ihe circumSlanceo und .. which Ihey are m.de. nOt mistead· ing; or (3) Eng;<ge in any act. ~a<liceor 00II ..... of busin.,.. which operales or ""ould operate.u fraud ord""eit upon any person," Th~
crimi,ra//iabi/i/y _ §8.6. 18 .
"(a) Any person ,,"'00 willlully violales any PfO'/;.ion 01 Ihi... ticlt shall, UJlO!' conviclion. be fint<l nat more than $t5 ,000.00 or imprisonaloo flIO!"e than len years. or boIh_
...
(e) In . ny proceeding under this arti· eJ., sc;cnler need not be al~ and """oed in )ll"ClSe<utions involving Ihe ...It of unregiSl~r«l _urit~ or in Ihe
failure 10 '<gistor as. deater or man under thiS article," T"~ ci"i/lialJi/i1y
&al....
- §B·6· 19,
'"(.1) Any penon wl>o:
Sell. or af.... 10 $ell a $eOlrity in violation of any """ision a this article 0.- of .ny rule or order im[lOSed unde< Ihis articlo or of any mnciilion im~ unde< Ihis art;' 0..< (2) Off.... or $elisa S<alrity by mea .... of any untrue statement of a maleriallact or any ","iWon to $laIC a matmal fac! ~ry in order to make the S1a!emtnlS made. in lhe light a lhe circumstances unde< which lliey "'" made. nat mislead· ing. the bu~ not knowing a the unlrulh or omission, and whodoes not $uSlain lhe burdena prooI"lhal hed>;t nat know and in thev:ercise a .-.as(In3\l1e "'''' oould not have
(I)
WHAT IN THE WORLD IS MISSISSIPPI VALLEY nnE DOING IN BOSTON? When Timber Realization sold $40 million worth of Mississippi timberland to a Boston firm, the Boston buyer turned to Mississippi Valley Title for title coverage. MVT is the title insurance leader in this area- and beyond. Because we go wherever your business takes you. MIssIssippi VOlleyTltle lnsuronee COmpany
k.-n 01 tho untruth 01""';"';"", IiaIoIo to tho _ buyins tho ~n!1 from him "'ho ....y I;riqI; an . ."'" to _ tho ~ t"", pDllor!lll' ...,..my.""""..... ..;tll intnalll"", pm:nII P"I' ymr from tho date 01 ...,.".. K. cwn II
005lI""'~1I~·ftcs.
leis tho amount 01 any ino:mo ~ OIO,td OIl tho >O:IIrily. U]lOI\ tho I~ 01 tho !If<'\lrity. (It b" dam. .... if ho no Ioneo:'r ","'lIS tho Il«llriI1." The bottom line here is abooJlI~ liabilsales ity. both ctimimlly and civilly , at unregistered !leCUritie:!l by unregis· tered perSOnS. and ronditionat liabilily for saleat III<)' SOCIIrity (tvert though rtg. istertd or exrmpt) if the sale was in viola· tim at theantHraud prohibitim(§8& l7) u nJet.s the stlier or illllV!"t sustains the burdnl at pnxt d 3 "dUl': dil~"
rc.-
""'""B. About Registration of Sec uriti e s The primary ~ult 01 registration undcr t he Act is the devtlopment of a discll)Sure document that tells the pro. sJ)l'Ctive inv<"Stor all material informa· tion about the issuer. ils business and the lerms of the securily being oIfered. Securitld! being ~tertd ",ill be sold to tm, ~neral public and. therefore. both the f«!eral and slate acts ha"e speciflCand voluminous ~uirernenls for the d3ta s upplied. Stalts funher 3pp1y the merit st3ndardS 31luded to "OO-'e to these offerings.
C. Abo ut Exe ml)ti ons From R cgiSlrution
meo:! this rtquirement 01 regislration. Exemptions are allowed at both the fedcr;al and state level. Cenain Iyl""l 01 s«uritld! are eumpted. such as gow. emment HC\Irita. securitiel issued by companies already regulated by other branches 01 go\'ernment {e.g. banks. UI ilities,common carTiers).and. at thestale Ie>'d, tholit $OC'Urities listed on the national exchanges. Further, an exemption exists because 01 Ihe nature of the transaction in which the security is offered and sold . Exa mplts here are certain non·issuer transactions. mergers. and, of panicu· lar note. sa~ to institutional inves· tors and limited oIferings (finally. a "'GO·FOII·IT). It is in the realm of limiled oIferillj:$ thai thea.~ taw· )'rr .... ill come inlO contact with tm, Securities Act. til
.... 111 \110"
132 Adams Aven ue M ontgomery. Alabama 36104
264-6433
B. "WATC H IT! " -
S ection
8·6· 17 A year ago, two fellows came inlo your office and asked that you prepare a simplc. $1,000 capital. corporation ",hieh they would own equally a nd under which they would manufacture and &ell the e,·cr·popular WI[x;ET ",ilh SIO.ooo bor.v...ed from a local bank. Now they return and explain the $10.000 bank loan has run out. the bank hu s.aid "'no"' to further loans. and they !\fed to raiRSlOO.OOO. Your clients believe t~ could ~t s-r-'eral individual SOUn:e!J 01 venlUre capital - friends. distributors. malerial suppliers - through sale of additional slock.
A. Th e Limited Offering
Registered Professiona l Cou rt Repo rt ers
The theay bdtind this exemption is that registration should not be necnsoory for sueh I sma ll. nonpublicoffer· I.... and sueh a common ~rilie!s transaction s hould not prest11t a trap for the unwary businessman who has not retained Itgal counseL So. if the number of persons tn be offered the stock in our e xample above is fewer Ih~n ten , and the conditions of Ihe exemption (purchaSi!rs ha"e in· vtslment intent and no remuneration is paid dir«lly or indirectly for solicit· ing the buyers) are met, then "'00 FOR·IT ·! (Out. see "WATCH IT!§8-6-11." and " WATCII IT! - other considerations," infra).
\ 1)1'll \1 I \ll
Evcry security sold does not have to
Richard Wilson & Associates
tTllUOfI is ~id or ,.Vttl diroctly or indlroctly lor idICLI"'i any proopocti~ buytr:
Exelllllt'(lli Section 8-6-11(a) (9) provides an ex· emption for: "'any t .. nSICI ..... pursuanllnan olin d.roctftl by tho 011..... 10 noI more lhan 10 ponona. aI ..... tl'lan thoao cblgnalftl In • .,bd.vllion (I) (8) d this i1eCIito1 in til .. Itatt d"TlI\8: any 12 COI'I$OCUtive mont1>a .....htlhfr or noI tho oIferor or any 01 lho 0I1nft1 II t hon """",t .n III,. .nt~ il: I. Tholltt ........ fQnlIblybetie>uthat all the buyers arc pureh..;ng fo< ,nves' ment : and b. No o;<.>mm.uinn or other rem un-
Even though you 'veavoided the reg. is t ration 01 sec u ril ies req u i remen! . you musl $Iill be acutely aware of the ant;· fraud provisions of §8-&11. which im· pose liability in the evenl the securities are offt"rtd or sold through use of an unt~ statement 01 a material fact or by omillit18 a matrrial fact neussary 10 nu.ke your statements not mislead· ing. Thi5 1iability to the in''eStor exists and continuts ev~ thOUgh no regis· lration is net:e5IIl1' with the Commis· sion. An attorney practicing in this area willll!COrllmend tllat .even lhough no proSpectus is required. some form 01 di$O;!osure document be prepared that outline!! the facts to which a reason· a ble investor would attach importance in making his in"cstmelll decision. Let·s look al .'lOme of those facts in OUr typical situation. An in"tstor wouLd certainly ""alll to know about the business of WI[x;ET. INC ...... ho IS nu.n.a&\na ,he busiroess and how Ihe ownership is Siructured. Ill' would certainly wanl to know how many shart$ are being sold in tllis transaction, the pria: of caeh share. how thai pricediffers from theamount paid by the insidrr$. and lhe use oIthe proceeds oithe oIlcrina. A "ery simpli· fied informMion slatement might look like thi1:
·WiOgets, Inc. rll1e Company11. heteby oflOOng 10 ,000 ~ share.
ot Its common sIOck SI $10
,m.r"
Tneotlerlnglnvotv"a HIGH DEGREE OF RISK. TMCompan1 is newt)< ''''med. has ope,ating los.ses. and has n011et realozed an1 irl<;O(ne. THESE SECURITIES ARE OFFEREO PURSUANT TO A ClAIM OF EXEMPTION UNDER THE ALABAMA SECURITIES ACT. A REGISTA/l nON STA TEMENTRELAnNG TO THESESECURlTlES HAS NOT BEEN FILED WITH THE ALABAMA SECURrTlES COMMISSION THE COMMISSION DOES NOT RECOMMEND DR ENDORSE THE PURCHASE OF ANY SECURITIES. NOR DOES IT PASS UPON THE ACCURACY OR COMPLETENESS OF THIS PRIVATE PLACEMENT MEMOA/lNDUM. ANY REPRESENT ATION TO THE CONTRARY IS A CRIMINAL OFFENSE. The oflOOng will be made by oHic .... 01 t!1e Compan1. NO ooe will ,ecerve any eith ... dj,ectl'/ Of Ind"ec\ty for ooIiCi1Ing am' ~~ P'U'eha ......
,,,,,,,,,,enI\Ion
eaCh pu,c""",,, musl ,""'.... tond Ihat these securilies a,e be· ing sold 10 him as an inv""""""L 11\01 t!1ere i. no ma,ket lor ... cu"~..s. and thallhe secu,iIi"" au, subJecl to lranSler ..-",. tions which limit the pu,cha ...,.' ability 10 ' ...... 1 Ihio SIOCI<. AIS", FA,CTOIIS: (1) The COmpan1" in the <levelopmenl.tot<l. has Il0l1''' commenC8<l iI. lull busi ness ael"lIies, and i. ",-"d· ent on the prOCiOed, I'em lhe asle 01 secu,ili"" oft ... ed hereby ar>d for funds 10 cafl"l "'" Its plann8<l opera~on.,
(2) AI 1M ptMenl tl"",. mere is no _,kelle' Ihe company's cemmon SICCI<. r>C' can lhe<e be any a..u,anMlhala ma, kel will <level"" althe concl .....,n 01 m I. otIe<lng, ConseQu""tl'/, I nvesl<"" may nol be able 10 !!ell any sm.,et pu,Chased.
(3) Subs",nQal dilu~on ollhe bOOk value 01 newlnV9SlCrs· .ha'et wlilimmedialely occu ,.(SW-OILUTION·), 141 II all !he shares oII ... ed hereb~ Ole scld. 1M pUrCM ...... CI 'he sha,es will ~av8 no veice ,n lhe management ot lhe company ,'ne<o lhe onice,.. <li'ecIO" and promoters will ''''''In VCling con. 11"01 01 the COmpany ar>d lIS bu.i ...... poii"''''' (51 The,e .. nOa$$l;"""8 I~.'!he p'cposed plan ot bu,,"es. e<on be _OIled In II\e man ...... contemplated and ,I nOllnveslers may lose all er a subSlanbal part 01 Il\eir Inveslment (61 TM ptodUCl 10 I>e manulaclUred ""d ma,~_ is " ..... and unique, The,e is no aswrance ot its publ,c aCC8t)tobillty. "wc· ce8$IUI, compeTllor. w ,lI ente, lhe ma,kel which a'e la,9"< IMn the Company ,n .,,,, and finar>eial r9SCU'C,,", USE OF PROCEEDS: The Company Intends to " ... ,ha prOCiOedS 01 mi. On.ing 10 get the bu.in .... going The $100.000 will be wenl a. lollow", R8t)3~ bank lean Build lirS! stamping mach,ne Expenses ot obtaining paler'll In_lory CI raw miller",,, Operating e.pen .... I..... mllled !or I", .1. month.) Spor>ao< •• saia,iet
$10.000 ~.~
'"""" '""""
."'.""
lion •. The Compan1 w,1I anempllO Oblain lundS ~y oo"ow,ng I,om lhe bank base<! upen Iha ,nllial .ucc.... or may I\ove to!!ell me,e slOCk. No "ssu ,anCe '. gIVen 01 the aoeilal)llity 01 finan~ng. Inability 10 flnane<o ,,",ure o~ation. could 'esu" '" an inveslO' losing oil CIa perIoon 01 hi. investrnenl
THE COM PANY: Widgets. Inc. was formed in July, 1gll.J. bV A.N Venier ond DOl" T MecanTc~ nhe SpcMCfs1 for Ihe pu'pose 01 manulaeluring and ..,lIing widgets. The 5pc<1scr. have d""eI· oped a protc!ype .",mp,ng machine thai w ill produce 1.000 w idgets a day, The widgel I. B curved ncol< Ihal can be anaclt8<l 10 Iha nose b<I<!goe 01 a pair ot eyeglasses. laClld8hng the ,emoval 01 the eyegl$ ..... by the w&ll PI' meu to'ly wlt",e only One MOd i, avall$ble, AtIhoog h this i. a new produCL the Spe""," beI'eve Ihall1 will beaccep18<l b11hBayeglaS5-wearlng publi CMd .u~a bIe ma,kets can I>e 6evelOpe(l, [Explain here abOul vour business plan: availabilily 01 'aw maler",ls. negoUalion. wllh eyegla •• manulaclu'e, ... leasibll,t)' oludie •• ma'<etlng sua!eg'et. palenlapplic81,on. and "gnts. etc.1
,er.
MAMAGEMENT, (He,e Include a 'esu"", 01 tl\e IwO sponsorsl The S;>onso" a,e t!1e sole .toc~ h.o"' .... prier Ie Iha otI ... lng. each h.okling 10.000 ohares !or Whoch lhay paid SSOO each. The Spon· do nOlpresently hold any $IOCkOpuon • . Thespensors will be paid 8 $8lary ot S 10.000 .... ch for tne next SIX momh •.
ser.
DESCAIPTION OF CAPITAl. STOCK: Widgel., Inc originally aulhCri.ed 10.000 sMr" 01common Sl""k. $1 par, I.OCIO sha'es we,e i..... 8<lle lhe .;>onson lor $1.000 C8$l1. On June 25, 19114. the .na,eh.olde,. inc,&Ued lhe aumori'8<l stock 10 2O!),0CI0 Wltll 5.05 par. opIifting the oUUl",r>ding ,lOCI< 20·1 Hel""'. 01 Common Stock a,e enlilled 10 one vOle lor each shale held. Sha,eholder. a'e nol entiUed 10 CU m u 131"'8 V{lQng •• 0 Ihe SpensCI'. whO Will hold the majoril}' o1th8 .ha'es al the conc Iu.ion CI th I. olle<ing. 10' III be able 10 elect Ihe ooille Ilea,d 01 Di ,ectorS. Holders ot Common Stock Mve r>C p,eempllve r;ghlS 10 Pu,Cha"'lhell ' espeClive prOPCfllon ot .ha'e. ClanyMu,el •• u8""e CI the Common SIOCI<. Oivlc2er>d. rna y be decla,ed and paid lI"em Ihe Company·, capi. ",I and earned w'plu • . The Company does nol anUcipaledecla,· ing 8 dividend in Ihe lor....,....tlIe luiure, The ofte"ng is made in reliance upen an e.empnon kom Ihe Alabama Securities ACL which _ e l y re",nC1S any lIan.1er 01 Ihe sMa,es by a holder. OI~UTlON :
II all Cl l he sha'e. cIIer8<l hereby a'e SOld, Ihe S;>on-
.."S. ala cOS1lOlhem ot $1 ,000, will own 20.000 5ha, es(approxi-
malely 66·213%) 01 me CompanY$ Ihen OU1$l8ndin9 Common SIOC k, whereas, the new inves!Of1; will own 10.000 $l1are. (ap· P'o' ImalO'iy :J.3 - 113%1 ollha Company".slock ala cosl to Ihem 01 $100,000, Illhe enli,e I$$ue i$ $cId, the nel ",ng'b1e bOOk value Ollhe Spensors· .tock WIll be I"" r&Ued !rem $,05 ~ .ha'e Ie $:3.37 per .ha,e al ne addillonal cosllo them: whe,68S. the new Inv88101$ who w ill pav $10 pe, Share 10' each sIlare acqui'ed b1 tIIem will ha~ 8 bcOI< oal "" 01 $3.3 7. th u. suffering an 1m mediate d,IUllon el $6.1l.J lor each .... are pU,chased
~mo
$100.000 Eoen ~ tna bueOlleU" .""cessl ul In the filSl.,. months. tIIere will be a need ler addibOnal wO,king capital for conlin""'" opera.
ADDITIONAl.INFOAMAnON: AnaChe<! is a COllY 01 the Com· panV', Articlea el Inco'porallen. By -Law s, and hnanclal ."'Ie msnl Prospec1 .... e InV9SlC,' Mve the cp;>ortunity Ie ask lor and rece;"" any l u""er inlorrna~on they deem necessary:'
With all dUl' rHpte:1 10 comedian SIe-.-e Manin and lhe produars d a funny rnoviecalled Th4krit.oor,,·idget company probably ,,·ill nOl gtl off the ground. So. I'd probably go hack O>'er this informalion stalement and double check 10 5e'" if I'd left OUI anything thaI mighl bt malerial. Also. Ihis is a "ery simple uample - as the siluallon becomes moreeomplex. ampliflC;lllon d lhe di!IClosure Sl atement i. mandated. Furlher. you must rfCO!l1lize Ihal mOSI enl repreneurs don't like 10 Ihink ~at;"ely. A.N. Venlor and Durr T . Mecanick. ourer.ll while 1JX)n5Or$. will not want 10 talk ~bout risk factors "'ilhout being s limulaled by probing Q\IeSlions from lheir atlorney whomust ob;ecti\'ely put himself in lhe platt of a polenli~1 in,·est",..
C. " WAT CH IT" -
Ot her
Con s ide ralions
I. 7·h .. hurd.... of ,roof - When pnxw(hng with a lransaclion you belie"" 10 beexemVl from registration. be aware that Ihe burden d proving the
"'ailabilily 01 an exemplion is ujXlfl the ptnOO c1aiming.t (StctIOO 8-&30). 2. r .... ofJ..rut. - The imj)Ol'\aro:e of the burden of proOf is of part icula r importance in the limited offering ex· emplion. If an in"Htor s ues for 3 return 01 his mQl>C'y. interest and allor' ~y fees under §S.&19claiming he " 'as sold an unregistered !leCUrity, you11 h,"e to btablttodocumenlthat stock was r(ftrwl 10 len or ftwtr perlQl'lS. To s how that fewer than ten actually pur· chased the stock i, not l ufficient un· Jess the possibility of other offers can bttliminated. Thedient must btcau· tioMd and instrucled in the need 10 k«p extremely careful rtcords in this
"",,,. The Commission has endorsed proposed legislation to change the limited offering exempli<ln from an "offeree" ronctpt 10) a "purchl$('l''' approach. "'herein the statulory uemption " 'ilI bt ,v"I.bl( if a limited number 01 ,..~ t~J'I result lrom a nonpublic oller· mg. This modification should elimi· nate the confusion as to what consti· tutes an offer and. hopefully. make
Introduce Your Clients toa Valuable Service. Refer-them to Bus iness Valuation Services for expert detelTTlinatlon of fai~ market value of businesses. financial analysis and consulb!ltlon In cases of:
o Estate ~ing
--
o Estate o Marital dissolutions o Recapitalizations o Employee stock ownership plans
o Bankruptcy
o o o
proceedings M ergers or acquisitions Buy·sell agreements Ol 5Sidentstockholder suits
Contact Or. John H. Oavis III. 60 Commerce St., Suite 1407, P.O. Box 2310, Montgomery, AL 36103 (205 )262-6751.
your ",ade inlOthe walers'" securities regulation more f00l:5Ure. 3. Th~ ',.,d.-e. m o .. lh /Wriod The emphasis here i, that the ten offers "in a ny period of t we"'e consecutive months" does IlOl mean a ca· lendar or fi~al year. Thi , in "rolling" t ...·eh-e months. and 0I'ICe the orlering Itartl you should always count b;ockwards twel,~ " ..,x" h, from t~ date 01 the proposed saif, 10 determine if Ihe maximum offeT5 have occurred. l\ I l l l l ' I ' l t \ l l \ l l " Il l \1](1, tll,II'1111 SuppOSe in determining t~ plan of offeri", it aweaT5 ttnain thaI the number or offer~ ",ill ha'-e to exceed ten. There are a couple of further s teps you can la ke toobtain the limited dler· ing exemption. Section 3-6- II(a )(9), af· ter establishi ng the "10 or fewer oIferee" standard . gJIr:!I forwanllo provide that : "(9) ITJIt rnmmiuion may by rule • s to any ~urity or tran· saction or .ny tv.,. 01 ~urity or transaction. withdraw or fu rthtr rond,tion this HM>pbon or docmIst or lrocrmst tM numl...- 01 oIf........ petnuttod. or ",'a,,'e , MOONlit 10M in Plncnphs I . and b. or thlllubeli"" ""'" (9)",;,h or without thuubltitu· t ion oIlt imilll ion on mnu I\tQI ion _" or~ .
A . Regula t ion D The Commission hasadopted a Rule
830-X-&.1 I IOe>Cpand lhe statutory limlIedofferingexemptl(Xl for an dlering thaI complies with I he req uiremen IS of a f~eral securities law exemption called ~egulalion D. Thil exemption allows sales to an unl imi ted number of "accrediled invHtors" (a defin~ term based upon I~rge net worth. incorneor ,mount of purch~) and to not ~ than lhirty·/i, -e purcha~ ",11000001 meet lhe "accredit~" definition but who are cOllsider~ sophi s ticated. Rl:1!ulation D and lhe Alabama Rule which coordinates with it, will be overIook~ for purpOSeS 01 this article.
B. CommissionOrdcrExpand· in g t he Limit ed OUeri ng Exem p t ion Many limi ted offerings will involve
more tllan ten offeree;. but w,lI nol justify theexpenseor spociflCity of disclosu~ of • ltegulation 0 filing for ex· ~mptlOl1. As inoor typ;c.1 nampk. lhe lransaction may ~ an uncomplicated oommon iIlockofferingin\"Olvinga ~la, ti.'ely small amoum of T<'quimi capi· tal. Based upon the PiIInicular facts and circumSlarlCt$ of the trans;oction, the Commission ha s the authority under the last clause of §8-6-Il(a){9) to e~pand the exemption by order for a part;';ular tran saction as well as by rule for a generallype oIlransaction. So, here is another way 10 "GO· FOR ·IT· - if you believe there a~ compelling reuons to a,'aid regist ra' tion procedures for your client. a request ""n be made to the Commission for an "Order Expanding the L,mited Offering ~:xemption" to ao.:omrnod<llt the cornemplaltd $<'CIJriti<!S transac' tion. fn an tffort toease the regulatory burden of the small businessman. the Commission has authorized lhe staff tOl use such exemption authority liber' ally where it appears from the particu· wr factsand circumstances that invest · or protectiOln would not be significant ly advanre:l by I't'quiring registration. The application for such order is informal - an explanatory Lcllcr is sufficient (§8-& I L(c) ~ T<'qulre a filing fl'" <Jl $150).
Some oflhe Pi'nicular facts and dr· cum$lallCtfi consldtrtd by the Com· mission a~ (I)extent of enlargement. (2) characteriution of proposed oIfft"· tell (w,1I the offering be confined to JIt"OOS who IIlr.-ady ha.'e II peT$}na1 or business ~Iationship with the promoters). (3) will In informational doc· ument be used. (4) complexity of the transaction. (5) eXlent O)f tax consequenttS (tax shelters should use Regu· lation 0). (6) amount of capital being raised. (7) whether the offering will result in creation of jobs or similar enhancement of the state's «XlnOI1ly. (8) and the like. \
1111 \01 -.0 L H 'll \1 1 1< \\-. \l I fO\
In additioo to the t}'pical COl polite finance security that we ha"e discuSM'd. there a~ many O(her instruments which arc considered within the
ddinition of a security. If "securiti<!S" onl)' pops into your mind when think· ing ofltocks and bonds. you need to come to lI'"'p!!I wilh th~ ooncepI of an ",n"Ht~nt contract ." This term (which is incillded in §8-&2(IO) defin· i"lll $t'(Umy) ",'as '"terpret~ b}' t~ UllIltd States Supreme Coort in its decision in SEC ... LI'.j.1l1n<'ry Co.. 328 U.S. 293, Z98 (19-16). "'~~ the Coort said; 'lAIn in"estmenl contract. means. cont ract , transaction,or O(her scheme whereby II person in",,:Sts his monry in a common enterprise and is led \0 expoct profiu solely from the efforu of the promOter or a third party:' The lIoMVY cast: invOlh'ed the saLcon an installment basisof narrow. st rip-shaped pam:lsof a piant~dlrus gro'o'e along wIth a vn'icecontract for the raiSing. harvesting and marketi"ll of the fruit on I eommon basis with OIher similar in"estors. T~ SEC ron· tffilkd 5· ........... fully thaI such rontracts ""ere KCUrities, TheAlabamll SupremeCoun adopt· td the /fOIl"Y test in (;Qllion o. Ala· Mma Marlll'l ~~lll'S. /IIC, 282 Ala . 679, 213 So, 2d 841 (1968), holding that founde"$ contracts issutd by the defendant to investors. who in turn deli· "tred discount purchase cards to) l» tential C\lstomen of defendant. geneT' Ittd oomml$Slons to the in,'estors as a result of t~ investors' efforts and thenby fa,ltd to ~t one ~nt of lhe 1101«7 test. Le .. profits derivtd "~y" from the efforts of OIheB. ilo""ever, ,n HI/TIM ... S4J~, 3&i So_ 2d 648 (19!lO).theAlabama Supreme COlIn subsequently modified t~ "solely" element. finding the ~ flexible criteria lObe: ... jW"'ther llIe efforts "",de by lhooo otbtr llIan the in"ester are tile undtrllably lignilicant ones. t~ _1\at rna ........t efforts ...·hich affect ,he faIlure or $l.ICO:$S oI1he er'I1trpr't&e.
8ltrlte in"oh'ed a franchise scheme w~ the in'"C:StQr, as in Galli"" ~. AIiI""_ MarUI ~Mlns. ["e.. was required to eKe'I1 some effort in the lC~me. although the success of the ,'cnture was completely in control of the franchi!lO\'", Thecoort relented from the strict test of (;Qllia" and found that
a S«lIrit)' ,",'as in\'oh'td, Thi s modification of the lIoMVY teit had alrrady OCI.:urrtd at the f~ral le"el in such franchisel~'ramid cases as SEC D. Gk"" lV. TII'NeT E,,'lrpmn.,11Il: .• 474 ftd 2d 476 (9th Cir. 1973) and SEC D. 1(tJ«()IIM/ef1IIa_ry, Iw::.. 497 Ftd 2d 473 (5th CiT. 1974). in which the respect i,"COlIIrt S read I he Supreme Coo n in 11011"1 as adapting a more fkxiblt ~riteria than the st rict application of the term "solely," So, with the four modified lIoltoey elements of (I) investment of mOlney. (2) in ~ common enlerprise.(3) with the expectation of protit. (4) with that profit to be reali~ed substantially through the efforts of ~ 0I1ler than t~ in'"CStor. many investments come within theddinitioo ol a ~r' ity: fractlONll. undivided "''OI"king in· t<'ffSts in oil leases. callLc feeding pr0grams. "mller" rontract5 (where rat". bits, chinchillas. eanhworms. etc .• aff sold \Ol an in,"CStor ..:ith the under· standing that the ~lIer would pro"ide a markcl for progeny. pelts. meat. etc,) mastcr le~sesof an works. recordings. etc" (with the lessor providing distri· bution outlets). the sale ol a condomi. nillm IInit coupled with a mandatory rentallXlQl agreement. are just a few exampie$. Kemtmber. as you develop a feel for t~ in.'estment contract concept. tluit if a panicular in,·estment comes wilhin the definition, registratioo will be requirt<! and tilt antifraud disclosurt:!! impiicattd. Thi sooncepl is important not only to your client who wams to sell these atypical S«lIriti<!S, but tOl a client that might have purchased such an in"l'Stment. The purchaser will ha"e available to him the panoply of civil remtdies which we dis<;ussed prevIOUsly. Wtw:n you represent the plaintiff all "WATCH frs become "GO·fOR·fT",!
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This articLc ""as designed lor gen· enl information and should not be relied upon tOl5Olhe individual problems. Hopefully. the information and sug· gestion s will remind you to "WATCH IT!"' at the proper time. but to "GO· FOR·]T'· when appropriale . Cl
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Opinions of the General Counsel Wjlliom II . Morro".. Jr.
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h' mlW"Q/>Iy d""",;ottI,iuJ, lit an alNq"a',1y .-.pmnllilt i_"mI of_h and if tach ron""nlS to ~"""'IO<I aflt< filII dl..:loourt 0( tilt ,,,,,,,,Il10 tffKl oIllKh "p't",m .. .,., on tilt Um:lJk 0( h" ,ndtptndent pro/t55oIonal Judg. ...... , on bf,half 01 £\lido:" (.... phuit addftI)
UESTION:
~f lin attorne y wl\oac l i"cly re p..., ,,,,nt/O one I"' My in II liligaled mai ler hewmes a INlrtner or a" sociale in a lawlinn representing lhe ad"crse party. mUSI all partne... and UllOciales of t he firm l""l lhe attorney joins ... ithd .....· from the case despite ( I ) the nKllj.! careful KTcening 10 insu", thai the attorney joining the firm has no acces s 10 the files in ,-<II"ing lhe case or d iscU61K'1I Ihe Case w ilh an)' partner or 8HOClllie a nd (2) nll'Nlrties 10 the litigation conse nt to Ihe firm contin uing re "rescnlol ion alter a fuU d isclos ure of Ihe fncts ?"
Disciplinary IMe 5-105(0) provides: ··If a IIwyer II rftIuorcd to doch ... tmploj·"""t or 10 wl1lodraw 1I"11III emplO)·"""t und« 011 ~lQS. or pon ..... QIt a1lOCla1. 0( hIS QIt hIS firm mayacupl or ronl,nut l uch tmplO)·......t.··
The Code of ProfeMional Responsibility under the SKlion Iknominated ··Definitions·· contain! the following: ··Unless tho ront • • t ot htrwi"" "'lUI ..... ",he<. ever in theoc ruin tho <XIOduct 01 a lawyer is prohibited.aUIaWYeri associated with him art .Iso prohibited .. ·
ANSWER: The firm that the attorney joins must witholl'llw from the ca~ and no Panr>eT or associate may participate further tl\ertin,
DISCUSSION: Elhol Consider.olion S-IS in part provides: MA IIwyK lhouJd _ .... _II in bl1P'_ mulu. cliM'$ wilh diffmToil ' ntonsll! and Ihtrt are IrN lIlua1ions;" ..'ho:h t... would be IIlSlifioci in ~lil1lr in 'iligalMIII muluplt CIit>111 ..."h PQter>'illlIy dilfni"ljl ,nttrtlll: (tmphasi. addftI)
Disciplinary Rule 5- IOI(e) provides: "A lawy ... 'hlIli n(I( 'C'P'... m a party to a caus.e hilll>CCfSSOr alt ... hlIving prt'Vioosly rtprtS· fIltfd In ad~ porty QIt imtrtlt in ronne.:\ion Ihtrewith:·
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Disciplin<try Rule 5- HI5(B) provides: ··A 1Iwyft" akaU not rontinut militipit tmploy. _ if tho aorns.e 01 his il"ldtpmdo-nt prole..onaIJ~t ,n JM,halfol.doml ... ~I bf,QltOl likdy to bf, iIdvftvIy IfiKled by 1riI ......lIIa. I.,., oIlnothn" cIitnt. QIt if it would bf, ~kdy to in~ hIm In ~.... tina: differing inttrtlll. nap!. to 1M .xttnt pt1miucd undt. DR ~ I 05(C~··
Disciplinary Rule 5-105(C) in part pro•• ides:
= ....
··In tilt , ;Iual;""" «1 by 011 5.105(A)and (II).• I,wyt< may ,.p~t mu ltipltcl;'nll if
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The initial inquiry addrts.Ses the problem d whether an allorrotyrould represent 00(' party in a litigated mall ... after having preriously acti,·ely reprtlieTlIed an ad'~ party in the 5ilIDe mallet". It is obvious tMt tht: .\tomey could Il0l. Althwgh Disciplinary Rule 5-1051kn 001 s peak specifi· cally of the ··former client" problem. courts and ethics a)m. miuees have expressly « impliedly found that the drafters of tht: Code imended 10 ino:lude the former client problem "ithin Disciplinary Ruk 5-105. E.F. IIMI/rm aM Co. ~. Bro....... 305 F. Supp. 371 (S. D. Tex. 19(9): (It n 113 A~.
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458. 556 P. 2d 792 (I976}. T he Office of tht: General Counsel and the Disciplinary
Commission ha"e made only onecxa'ption to theapplication of the doctrine d ··vicariou$ disqualification:· As will be hereinafter lIOIed. tht: Office d the GeRer.l1 Counsel and I/w, Disciplinary Commission ha~ refused to basea second im· putation of knowledge upon a first imputation dkn(~wledge. In thecased G.A.C. Co,.,~1 Corp.~. MaMMY T~ plplocl. 66 Mich. App. 186. 238 N.W.2d ~15 {l975}. tht: SupremeCoort cI Michia;ton ht:1d that undtr DR 5-105(D)an entire la,,· finn WiI5 dISqualified from ~Iing their client ,,·hen during lhe pendency d litiption it hired an attorney who ~~med the opponent in the same case. In the opinion tht: Supreme Coort of Michigan Slated: ··SHOULD II U\W I'IW:M liE DISQUAUFlEJ) FROM CO~T1NU1~G TO REPW:ESE.'1T II CUENT WIlEW:E. DUlliNG TilE PE~IlENC'( Of THE LlTIGIIT IO!'. fT I!I W:El) A~ AT·
TORNEY WHO REPRESENTED THE OPp(). NENT IN THE SAME CASE?
In Ethics Opinion 81·557 the Disdplinary Commi ssion observed :
IT !he OOllom Iine should always be tl1ls: where II
"Wedo not f... lthal yOUr leavingthe fi'moi A, B
i53 ques'ion of .thics, tk answer is 'no.' T ...... i. no room lor 'do." qUlStions aI. professional !If'OI'I'ietj'. particularly al a lime "'hen public Irusl in and r~pec' lorthe legal prof.... ion is not .t il$ higheit 1e•• I:· (callilalization added by lilt
et al. and bocoming an associate aI. the finn X, Y et al. wwld ~rity r'Quire the 1al1.,. firm to ... itMraw from all cases wherein A. B .t a1. I'<'pre5enl ad • ."... panies. Touocompromi.ingly
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There are a number of other cases wilh holdings similar to that in G.A.C. Cmmnerr:i(J1 C4rp. v. Mahonry Typogrophers, Sl<pra. The Ethic;; Commillee of Ihe Illinois State Bar Associa· tion heretofore held that a partnership that acquires a partner from a firm that it frequ~ntly opposes in litigation must wilhdraw from representation in all cases in which the new member participated or was familiar with while with the Olher firm. However, the Committee further held that the firm may conlinue representatiQn in pending cases that the new partner did not participate in and had no knowledge of. but the new member might not take part in any such matters. Some COIIrts ha" e gi"en a literal and uncompromising interpretation to the m lnof '·vicariousdisqualification. "In the case of Ll'tslinghollSe E~lri, C4rporal;o~ v. Ktrr·McGn: C4rp.. 580 F.2d 1311 (7lh Cir. 1978). the COIIrt held that '"Ihere is no basis lor creating separatediSqualificatio!l rules for large firms e,'en though the burde-n of complying with ethical considerations win naturally Ian more heavily upon lheir shou lders:'" See also &hloett.rv. &iltxoj [ndklna, III'.. 546 F.2d 706 (7th Ci r. 1976): N.C.K. ~"iZiJlion. Ud. v. Hrq(>lIOn. 542 F2d 128{2nd eir. 1976): 111</1 v. Qk",_ Corp .. 513 F.2d 568 (2nd Cir. 1975): Ernk Indl<stries, {nc.. v. Fa· ICIII%, 1m:.. 478 F 2d 562 (2nd Cir. 1973) and Mqlor Marl. }n" Q, SaiJII Mof(ml, Inc.. 359 F. Sup!)' 156 (S.D.N.Y. 1973). Othercourts have taken a mOTe liberal and common sense approach to the problem of "vicarious disqualification." [n denying a molion todisqualify an attorney lheCOUrt in SII,'er Chryskr·Plymouth, Inc. v. Chryskr /I1%rs Corp .. 518 F2d 751 (2nd Cir. 1975) stated: "It i. unquestionably true thaI in the """ .... aI. their work al large la,,' firms. asaociates a.., ent",sted wilh the ronfide"", aI. some Ii their dient •. But it would be absurd locondude that immedialdy u~ their mtry "" duty they become the recipients ot know~e .s 10 lhe namesli allt,," firm 'Sdienls, theronlentsal. all file$ relating to dients. and all ronfidential disdooures bydient officen oremploy_Ioany lawyrr in lbe firm, Obviously. such Itgal oomosis dot!! IlOl oc:ctlr. Their mer. recital of such. _ition should be selfrefuting. And a .... tional int.,.pret.,ion oi the Codeoi Profossional R",ponsibilily does IlOl call lor disqualification 00 the basis aI. such an unrealistic perwption ot the practice of law in large firm. :'
'''''h
See also 1I00ds v. Co/fi"lon C4un/y IJ.mk. 537 F2d 804 (5th Cir. 1976); Internationa{ Elocll'lmi(1j Corp. v. Ftanzv. 527 F2d 1288(2nd Cir. 1975)and Alitgoerl v. Perol. 565 F.2d 246 (2nd Cir. 1977).
apply the ru~ would ''Quire U$ to ba.. a ~ sumpt ion upon a ",,,,umption. In 01 ..... words. .... woold hi,.., to presume ,hat you acquirtd all of the knowledge 1>O$5eS$E<l by •• ery IntmI:>.r and aiiSOCiate of the finn t:i A. fI tl al. (a fact ... hich "'e know to be unt",.). Then ...t v,OI1Id havelo assulnt lhat llii. knowledge(v,hich you do IlOl possess) wwld be irreootably imputed to ~. Intmbtr and 3$$<)Oiatet:i thelinn of X. YIt al. (a fa<:! which we know to I:>. untrue): ' The Office of lhe General Counsel and the Disciplinary Commission ha"e refused to give a literal interpretation to the principle of "vicarious disqualification." We have per· haps adopted a minority, although we regard as a common s<:nse, "icw in this regard. In Ethics Opinion 83-144 the Office of lhe~neral Counsoel and the Disciplinary Commission held thaI where an allor· ney had represented thl! plaintiff and joined the firm repre!l" enling the defendant, the firm represent ing the defendant was required to withdraw from the case. That opinion in· "oj"ed a fact situation where all the parties would resort 10 very careful screening 10 insure that no facts would be diwlged as between the new member of thedefendant firm and the members and associate:!! of the defendant firm.
T he present rt'quest for opinion adds a new element, namely, the dfm rJ. client CXIfISoI'Ilt after a full di9Closu~, Three aignificant facton distingu ish this case fn::wn tl\Oll' cases in which client CXIfISoI'Ilt after full diKlosu~ has reno derftl IimuhanfOUs .~tsellt.ation rJ. parties with conflict· ina intffl$t. ethical. (I) Disciplinary Kule ~ 1000A)(B) " (C) !\jlIe3Ik of the .tl....scntation rJ. multiple part ies having inter· Ht ,,'hich are conflicting, inconsistent or divtr1e. None rJ. these Kule contemplate the Silme allorro.ey ,epr(S£lIti", both the plaintiff and thedtfendant in pending litigation. (2) Di5ciplinary RulE ~I05(C) presuJlllOS'!'S a reasonable deler< mination by tile lawyer tltat hecan adequalely repr~nt the intCl't$t of eac:h mulliple client. Obviously, no such reason· able dctennination could be made to justify an attorney ~presenting both plaintiff and the defendant in a litigated matter .(3) If consenl and waiver after a full dillCloI5u~ is not s ignificant to pennit an altomey to sue a former client on a substantially ~lated malter, /I fOl'IWrl, con!lC1lt and waiver after. full discloilul't would not permit an at\Orl1l')' tosimui· tanfOUsly ,tpr(S£nt both the plaintiff and the defendant. Canon 9 jlI"O\'idc:s "a la"1'er should avoid tvtfI theapJitar· anoe of proieuional impropr iety." Allhough this is an upi· rational p.1 and not a disciplinary rule for ,,'hid! di5cipline can be imlXWd, your request for opinion which you have lenGeraI creatH a classic example of the appearance of i m jl!'OIlritt y. Client conS('nt in conflict of interest s ituations can be a treacherous and dan~rQUs thing. especially. under circum· stances where lhe law~'er could not possibly "~asonably
determine tltat IItcan adtoquatcly rt~nt the interest 01 each." Although all adVtr1e parties to a litigatoo rrullter consoent 10 a law finn', continuing representation of one ad"erst party after btill8 joill(d by an al10rr0.ey who ~ viously ,epo:escnted the oppoIina: party, U'E haVE no assu· ranceth.at ~ turn 01 e'o'tlltS might not prompt one or both parties to u'ithdraw such constrlt. This is illustrated by Informal Opinion 1125 (1969)(/ the American Bar Associa· tion Committeeon Ethics.nd Professional Responsibility. A wife consente:l to an attorro.ey·s ,ej)i¢lloCntJtion of a husband in a divon:e action. which r~presoentation would have been barroo but for such consenl becauseof aconflict of interest s. TheCommiuee held that theattomey mUSI cease 10rtprel' em the husband upon the wife', withdrawal of htroonsem , observing: ' "W~ f<"cl .hat it WlIiI unfair for tho wife 10 giv~ her CltIIUerlt and thon withdnow tMCOIIsmI f... the au(II1"It)' to ~t her husband, t..n evm in ,itw ol tho unfairness ollh .. aaion on lho pan ollbe wilt. lbe COI'I\miltte ,..... thaI IheR could be a poMibit oonIIlcl ol inlereM aro:I undtr tho Opiroiont hemn ciled. lhe CommiltH fHls lhal it wou.kI be 10 Ibe bell inlcra!101 all paniett if I"" auOl"l"ltJ' "';Ihd~ from ' ....... nl.lion 01 the husbond. H
Furthermore, it ....'QU1d be difficult. if not impossible, to UKlvinct lhe party that does not prevail in the liligation thaI the result was IlOI due to information exchang<.<d between the attorneys involved , 0
Cumberland Legal Research Program OHering Practicing Attorneys Assistance With Legal Research Projects PTOjecu are aecepted during the school lerma (including BUmmer! from att.omeYI who, possibly becau.. of limited """"""h materiala or lill"M', are unable to ()l.herwise obtain needed in formation. Each project. is assigned to a RtseMch Counllelor llleOOnd or third year studffttl who, afler thorough .--arch, prepares a memorandum prellenting applicable law. This memorandum i. reviewed by the l~h Board and by the faculty advi!H)r. ""d upon approval, illle1lt to the requesting attorlHly. Generally. three t.o four week . are needed to C<)mplete 8 project. Request. for work shou ld be submitted accordingly . Resean:h reques", will g\'ll\'1"ally not. be accepted within three weeks of final exams. but such requesta will be held unt il the beginning of the nUl school term if acceptab le to the attorney. All projectS should be 8ubmitted in the hypothetical with no indication gi~n of the identity of any actual parties in· volved. To help defray administrati~ cotU. 110 per 1"'8" or a minimum 120 per memorarKIum will be
clutrgtd.
For more informat ion, telephone (205) 870-2714, Write: J im Kee. Research Director Cumberland School of Law Samford University Binningham, Alabama 35229
Disciplinary Report Public Ce nsure OnJuly II . 19M. Mobi~ Iaw)'ff Re)'nok\s T. Alonzo. Jr ....·u publicly censur;!(! fU" having ,,".lIfully ncglecled ~ l(gal m~l!er enlru~l!'d to him and ha"ing failed IQ_k tile lawful oo;octh'es of a chent. by undertaking 10 """ pt"C8enl a client in a workman "s oompensalion disability
Three AtaOOmll and Federat Tllal Prac~iC4 Form Books Availilole lor Immediate Shipment . .
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ALABAMA AND FEDERAL MOTION FORMS
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ALA8AMA AND FEDERAL ORDER AND JUDGMENT FORMS
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ALABAMA AND FEDERAL COMPLAINT FORMS
Part 0 1 II 5(lries 01 uial praclice lorm books bV Robert Sette .. Smith and J Oin Mclnlyr •.
case. and 1hen, after /ailinillo seule tile maner. having failed 10 file $uit on the client's behalf before the statutory period during which ~un rould be filed had ""pired.
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On Mareh 2. 1984. the Supreme COUrt d AIab3ma entffM an Order a.ocepting a Surrende.'of License Itn· dered by Oiffnrd n . W e ntworth of Iloll ywood , ~lor·
ida, Mr. Wentworth's surrendef" was made subsequent 10 his conviction of a feloniQUs violation of Title 18Qf the U.S, Code ,
On July 9, 1984 the Supwne Court of AIab3ma <Ie. orpIed tile Surrenlkr oi Uan!le tendered by Elwood L !logo," of Mobile COUnty. Alabama. ~IUprwieCl,lUrt caln'lled and annulled Mr. ll~n 'J license and pri,-ilege IOpnct~ law. effective a( 12:01 a.m.June 21. 1964. Mr. Hogan had pre"ious1j' been coovic:~ed of a feLonioos ,.jo. lation of ~he Unile<! SI~les C«Ie in the Unile<! SI~tes 1)i51OO Coorl for the Soolh<:rn !listricl of Alabama.
On July 9. 1984 the Suprel1'W! Coorl of Alabam.a ac· cepled lheSurrender ofl..icense tendered by Jam es D. S um "a n of Mobile Coonty. Alabam.l. The Suprnne Court carooel1ed and annulled ~Ir. Sulli"an 'slicense and priviltge 10 Il"'Clice law. effective al 12:01 a.m. June 12. 1984. Mr. Sull"'an had previously twn coovicted aI a felofllous vlOlalion r:J the United States C«Ie in the United States Dislrict Coon for tile Southern District of Alabama , S USI)(: n s ion Mobile lawyer Walee . L. Da vis was suspended from the pQC'IlCeof law in ~he stateal Alabama for a periodof li~ nIOIllhs.dfect"'dune20.1984. based uponanorder" of the o.5ciplinary Board Ii..!i", Mr. i>.:avis guilty of willful ntKlect in ha,~ng failed to pursue II d;,~ m.lt· tto' for a diem for a pe.iod of approximalley eleven months.
223 EAST SIDE SOU ARE HUNTSVILLE, ALA8AMA 35801 (205) 533·5040
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ALA. . . . . SAFE'IY • HEAL'I'H .SSOCIA'I'I"
lEGAL SUPPORT SE RVICES OIVISION
C"",uk,,,,. f .... U<~ ....a~ .. lon. wn"tfI opinion> .nd expen t~«imon1 lor phln,jlf or defend.n,. In ,he ",u, 01 occup"lon.1 •• f.,y ond hul,h (OSH"). ",/fIe .. f"ly. pubWc ..1"'1 .nd kul,h, p,oduc< •• I.t~. "mp~y.bi l ny an<l d,ubH, ty. 1'<01...10",1 ",Ir. Ph.C, '-"tl ' .0 . Bu 47'S Bln"l"Jh_, III U106 (lOS) nOoU44
In Memoriam
emotions surfaa.. sof!~ by his le-
gacy of pre:ious _moo ie5. As was his falher btfore him. IQid BamtS was II giant of tile legal profession. In him "'~re blended II diamood li~ intellect and a wann. gt'nlle personality. He li"ed and worked on a higller moral and ethical plane than most of uS who wert his fellow laborers. His was tIM: firm and unpretentioos Christian faith of II patricia n IlO\ll hcrn ~mlcman , Today he ...wld have uS r.-call the words of Tennysoo:
Kapp;1l. being the li!"llt member ...:Imit· t~ t(l membership whi!.. in law school. and he was. al$o. a member 01 Omicron i">t:lta Kappa. Mr. Barnes "'3 5 I panner in the law
firm ol .... ~, Simpson. Robinson and Somerville wheTe he had pr;K"!~
R.B. Barnes, Jr. Reid Boylston Hames. Jr .. of Bir· mingham died on May 13. 1984. He waseigluy. Mr. Bames born in Opelika. AlabamlonAugusl 4. 1903. Hceamed his undergraduate cicgrff at Auburn UniversiW and gnduat~ from the Universit y ol Alabama School olLaw in 1926. It e was cl..ct~ to Phi Beta
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sira 1930. Barnes iI'''''~ aSI law profeasor at the Birmingham School ol Law from 1936 to 1942 when he en· ter~ military service as a captain in the Litigation Division of the Judge Advocate G<:-neral"s Do:panment. Ht later !ltrv~ as Litigation Oflicer of the fourth Service Command until being discharged from service 3 $ a lieutn>' ant colonel in 1946. for military ser· viet he rttti_'(d the Ugioo ol Merit A..'ard. AI his funeral on May 1~. 1964. the
HOfIOI"1IbIt Seybourn H. Lj'nne spoke thest words ol his lrif,n,j; "When oneo:Ml"leli to bid lare"'cl1 toa dear friend for half a century strong
•
~ '"
"lie ~used townendertot!>e pain and lufferina which he t:ndurtd with (W,..and dignity. Alilhal has pass.ed a"'I )'. llear now the "'ordsof another
"""Wlltn Earth 'Ilut picture is painted and the IUbI's are [W;ltoo and dried,
Wilen the oldest colors have faded. and the youngest cri tic has died. We sha ll res!. and. faith. we shall need itliedown for an ~ or tw(>,
Til the Maste.'of All Good Workmen shall put UIIO ""<Irk anew. ~ SUTV;VOrs include his wife. Nell
Woodall Ba~ 1""odaugtueJ'S. Celeta B.:iornes Man~ and tyndall Barnes lIutchinllOn; and (Inc lIOn. Reid 8. BarrICII 1lI.
Andrews. William Frank.Jr,-AnnistOll Admilt~; 1913 Di«I: July2 1, 1984
MOHIey. Pope Uoyd, III- Sylacauga Admitted: 1949 Died: Apri1 14. 1984
EllIs, WDUam H.wldM-Homcwood
Smlth.RoyldRe' .... pt SeJma Admilted; 1928 Died:J_22, l984 Thmrv ..... h_ ". IJ I Birmingham Admitted: 1920 Died:July 11.1964
Admittft!; 1925
.. ,,
Sun$d and evening Slar. And one clear call for me! And lTI3ythere be nomoaningof the bar, When I put out to sea.
Died:July7. 19S4
ForreM, s.-.--G.d!den Admitted: 1948 Dlcd:June2,19S4 l oftin GwdunBardey. D-HunuviDe Admitted: 19119 Died:J_zt, l981
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TheseIlObl::t8 arc pubtilhed ImmediatdJ alleI" itjlOib. deIah are . . .ftd. BittpapItiatI information rIO! appearifw In thil _ will lit publilltecl aI I IaIer dale If iafG IlIIIiii. is • c iIJIe Wellk thal)'OU pnJiIIpdy I'epoi1 dtedettb . . . Abt..... altOmeJlolheAJabat:lll State liar. and we waukI apJIiitcille)'!lUl" aeeiaIlInoe in ..... idilll biorPPhicaI infl1t1llatiOn for TM AiIrbrII"", u"",.
as thecommunityatlarge. Quoting St. P3ul.Judge Smith d«larrd that jimmy Hinton had "run lhe race and fought t~good fight" in hiscouragetlUs ballit
of his great admiralion and Tt!lpecl for
self. were comptlltd 10 support lhem· selvn through law school by "'orking after clasK5. For that reason. the James Forresl Hinton. ST .. Memorial Schob"J"p h;os been e!it lblisl\OO It the Un;"rrsilyof Alabillma School 01 Law lor desen'ing S«O!Id·year students.. Donations can be made 10 (he scholar. s hip fund by writina the Uni"om;ity of Alabama School of l.a..... Mr. Hinton is survived by his wife. Juanita Wco:ms Hinton. and their Ihrto'! children.J. Forrestllin(on. a prattic· ing attorney in New Orleans: Paula W. lIinton. a pTlICt icing attorney in Hou,.. ton; and Julia A. llinton . a student in
~ privi~
Mobile.
~inst
cancer.
Mr. !linton was a member of the First United Methodi$! Church in Gadsdtn where he taught Sunday School for many years. !lis abiding faith in God, despite a terribly painful and prolonged iIlnt\ls. was an inspira' tion loall who came inloconlact with him. All who knew Jimmy Ilinton knew students .... ho.like him·
J .F. Hinton, Sr. James FOI'TellI Oimmy) Hinton. Sr. Ii Gadsdtfl ditd
onJune 2. 19S1. He was
fihY~1
3Llhe l;~of his deallt. Jimmy Hinton WaSborn in Anniston
Apl)rowd Organi1..alionl:> for 1984
on ~ber 3. ]925. lie anended undergraduate !!Citro! at the University 0( Alabama and oblaint'd his law degree
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from the Un;,-ersity of Alabama School of Law in 19-U!. Aller graduation from
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law IIChooI, he lI1O\'fd \oGadsden where he beg;Jn a legal pnlClia lllal spanned ~ than thint·fiw: YUI"!I. During his
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C31'ftf. Mr . llInton $\'1'\'00 ascily jU'lge f<:K the city 01 Gadsdm, municipal judge for the lown 01 Glencoe and city
... tu.wner for RaInbow City. Through. out his pt'(If6Sional hfe. he maintained an acth'e practioe in ilate and ftderal coorlsand wau member of the bar of the $upremeCoun ollhc- United Slates. lie was a member of Ihe Etowah Coun-
ty, Alabama and American Har Associalion$. Last ~ar. hi s humorous ac· count of 1"'0 cases from his early days of ~Iice. "Pies and ))ogs," was pulJ. lished in Lili#JlioN rn¥Zine. the;oornal ofllle ABA'sUligalion Sectioo. Al Mr. Hinton's funeral service on ju"," I~ fifth in Gadsden. Judge Cyril Smilh ~li,'~ a tulo8Y in which ~ praised JImmy Ilinlon', sel~ness. ime!ligcnct, Wit. comlX'ssion and un· dying oKdicatlon to thl: practioeof bw. Judge Smith ~ed that.despite a gra"e and ~bilitallng illnO!$$. Mr. Hinton continued to practice law and. in doing so. earned even gt't'lteT respect from member, of the bench and bar as wen
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