STATE OF NEW YORK

SUPREME COURT, APPELLATE DIVISION

FIRST JUDICIAL DEPARTMENT
ATTORNEY GRIEVANCE COMMITTEES

)
IN THE MATTER OF: )
ALAN G. GARTEN, )
Respondent )
)
)

MISCONDUCT COMPLAINT AGAINST AN ATTORNEY

INTRODUCTION

1. This is a complaint against Alan G. Garten (“Garten), an attorney licensed to practice law
in New York who is subject to the disciplinary authority this jurisdiction. Garten’s New
York Attorney Registration Number is 2724201. There is probable cause to believe the
allegations of crime and misconduct set forth in this complaint. Garten perpetrated the
misconduct described in this complaint primarily in Manhattan.

2. Garten is an Executive Vice President and the Chief Legal Officer of The Trump
Organization that is located at 725 5th Avenue, New York, New York. Garten has held
this position from January 2017 to the present. He was General Counsel to the Trump
Organization from January 2013 to December 2016.

3. The Trump Organization is a group of over 500 legal entities based in New York that is
owned by Donald Trump through a trust that he controls. The Trump Organization is
currently under the leadership of Trump’s sons, Eric Trump and Donald Trump, Jr. who
both serve as Executive Vice Presidents.

4. One of the entities under the umbrella of The Trump Organization is The Trump
Corporation. Eric Trump is the chief executive officer of The Trump Corporation.
Donald Trump, Jr., as trustee, owns and controls The Trump Corporation through a
Revocable Trust set up for the benefit of Donald Trump. Eric Trump, Donald Trump, Jr.
and another trustee are utterly obedient to Donald Trump such that there is no real
separation in ownership between Donald Trump and The Trump Corporation.

5. Executives in the Trump Organization have been implicated in crimes in filings made by
in the criminal case against Michael Cohen in the United States District Court. High
ranking lawyers and officials in The Trump Organization, including Michael Cohen, an
attorney from New York, have been convicted of crimes. Reports to the Federal Election
Commission and other records point to criminal activity by The Trump Organization, its
lawyers and executives. There is substantial evidence that Garten has participated in, been
 aware of and at the center of a wide range of crimes and misconduct due to his positions
with the Trump Organization. There is also strong evidence that Garten has failed in his
responsibility report serious crimes as required by ethical rules. There is probable cause to
conclude that Garten violated the NY Rules of Professial Conduct by helping Trump,
Michael Cohen and The Trump Organization to commit crimes and fraud. Garten
allowed Trump, Cohen and The Trump Organization to use his knowledge and skill as a
lawyer to commit and cover up crimes and fraud.

Misconduct and Crimes Related to the

Illegal Practice of Law by The Trump Corporation

6. Garten aided and failed to take reasonable steps to prevent The Trump Corporation, its
lawyers and non-lawyers, over whom he had direct supervisory and managerial authority,
from illegally engaging in the practice of law.

7. Garten was and is responsible, as the Chief Legal Officer and Executive Vice President of
The Trump Organization, to ensure that corporations under its umbrella do not engage in
the practice of law. Garten was and is responsible for managing and supervising the
lawyers and other workers in The Trump Corporation with regard to the corporation not
engaging in the practice of law.

8. As a result of Garten’s deliberate actions and negligence, The Trump Corporation was
illegally engaged in the practice of law in 2017 and 2018.

9. Corporations are prohibited from practicing law by N.Y. Jud. L. § 495. N.Y. Jud. L. §
495 also prohibits officers, trustees, directors, agents or employees of corporations from
directly or indirectly assisting corporations to engage in the practice of law. Violating §
495 is a misdemeanor. A person can be sentenced to a year in jail for each violation.

10. The State of New York considers that “[t]he practice of law involves the rendering of
legal advice and opinions directed to particular clients (citations omitted),” Matter of
Rowe, 80 N.Y.2d 336, 590 N.Y.S.2d 179, 604 N.E.2d 728 (1992). Webster’s Dictionary
defines consulting as “providing professional or expert advice.” The practice of law
encompasses legal consulting in New York.

11. Between January 1, 2017 and December 31, 2018 The Trump Corporation provided legal
consulting to Donald J. Trump for President, Inc.. During this period, Donald J. Trump
for President, Inc. made several payments for legal consulting to The Trump Corporation.

12. Donald J. Trump for President, Inc. reported these payments to the Federal Elections
Commission (“FEC”) as required by the Federal Election Campaign Act. In the FEC
reports, Donald J. Trump for President, Inc. described the payments as being for “LEGAL
CONSULTING.” See, FEC Schedules B-P Itemized Disbursements, attached hereto as
Exhibit “A.” All or virtually all of the millions of dollars in other legal consulting

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 payments reported by Donald J. Trump for President, Inc. were paid to lawyers and law
firms, not for-profit business corporations.

13. Donald J. Trump for President, Inc. listed $178,300 in disbursements for legal consulting
to The Trump Corporation in its 2017 and 2018 FEC schedules, including: $89,651 on
June 30, 2017, $25,885 on September 7, 2017, $9,510 on September 10, 2017, $9,510 on
December 1, 2017, $9,510 on December 11, 2017, $7,928 on January 17, 2018, $16,112
on March 12, 2018, $5,544 on May 4, 2018, $1,014 on July 2, 2018, $1,821 on July 16,
2018, $1,821 on August 17, 2018. See, FEC Schedules B-P Itemized Disbursements,
attached hereto as Exhibit “A.” The legal consulting disclosed in the FEC reports
involved the practice of law by The Trump Corporation.

14. Based on reports in the Wall Street journal and other sources, there is probable cause to
believe that on or about February and March of 2018, Garten and The Trump
Organization violated New York and California laws prohibiting corporations from
engaging in the practice of law by furnishing the services of a Trump Organization
attorney to represent Essential Consultants, LLC. The attorney, Assistant General
Counsel Jill Martin, at the direction of Eric Trump, the CEO of The Trump Corporation,
represented Essential Consultants, LLC in arbitration proceedings in California. Garten
was aware that The Trump Corporation was illegally practicing law by furnishing Martin
to Essential Consultants, LLC, yet he failed to report the matter and took actions to
conceal the fact from the public. On information and belief, Garten and Eric Trump took
their actions in NY were their offices are located and where they habitually work. Garten,
along with Eric Trump, violated N.Y. Jud. L. § 495 which provides that a corporation
shall not “furnish attorneys or counsel.” Additional misconduct related to this incident is
explained in greater detail in the following section of this complaint.

15. Rule 5.5 (b) provides: "A lawyer shall not aid a nonlawyer in the unauthorized practice
of law." Garten aided The Trump Corporation in the practice of law. Rule 5.4(d)
prohibits a lawyer from practicing with or in the form of an entity authorized to practice
law for profit if a nonlawyer owns any interest in the entity, is a member, corporate
director or officer of the entity, or has the right to direct or control the professional
judgment of the lawyer. Trump and the Trustee owners of The Trump Corporation are not
lawyers.

16. Rule 5.1 (b) (1) provides: "A lawyer with management responsibility in a law firm shall
make reasonable efforts to ensure that other lawyers in the law firm conform to these
Rules." Rule 5.1 (b)(2) provides: "A lawyer with direct supervisory authority over another
lawyer shall make reasonable efforts to ensure that the supervised lawyer conforms to
these Rules." Garten knew or should have known that Trump Corporation was illegally
engaged in the practice of law. Garten violated Rule 5.1, Rule 5.4, Rule 5.5 and other
Rules of Professional Conduct by aiding, assisting, permitting, and acquiescing in The
Trump Corporation, through its lawyers and non-lawyers, illegally engaging in the
practice of law in violation of N.Y. Jud. L. § 495.

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17. Rule 8.3 provides in relevant part:

(a) A lawyer who knows that another lawyer has committed a violation of the
Rules of Professional Conduct that raises a substantial question as to that lawyer’s
honesty, trustworthiness or fitness as a lawyer shall report such knowledge to a
tribunal or other authority empowered to investigate or act upon such violation.

(b) A lawyer who possesses knowledge or evidence concerning another lawyer or

a judge shall not fail to respond to a lawful demand for information from a
tribunal or other authority empowered to investigate or act upon such conduct.

18. On information and belief, Gartin has violated and is violating Rule 8.3 by failing to
report lawyers in The Trump Corporation under his authority as required by the rule.

Crimes and Misconduct Related to

Michael Cohen’s Payoff of Stormy Daniels

19. There are good grounds to believe that Garten aided, abetted, assisted, and participated in
crimes committed by Donald Trump, executives in the Trump Organization and Michael
Cohen (“Cohen”) who was an Executive Vice President in The Trump Organization and
an attorney for Donald Trump. There are good grounds to believe that Garten attempted
to further and cover up Cohen’s crimes as well as other crimes committed by Trump, The
Trump Organization and the Trump campaign.

20. In October of 2016, at the direction of Donald Trump, Cohen made a $130,000 payment
to Stormy Daniels, an adult film actress, in order to buy her silence about a sexual
encounter she had with Donald Trump years before, so as to aid the Trump campaign in
the upcoming election.1 Complaint for Declaratory Relief, Stephanie Clifford a.k.a.
Stormy Daniels a.k.a. Peggy Peterson v. Donald J. Trump a.k.a. Dennis Dennison,
Essential Consultants, LLC, et. al., attached hereto as Exhibit “B.” Because the payment
to Stormy Daniels was intended to aid the Trump campaign, it was an in-kind
contribution under federal election laws. Cohen’s contribution violated federal election
laws because, among many reasons, it exceeded the $2,700 limit set forth at 52 U.S.C. §
30116(a)(1)(A). Cohen was charged with this felony, pleaded guilty to it in August of
2018 and was thus convicted. Charging Document, United States v. Michael Cohen,
United States District Court for the Southern District of New York, No. 18 CRIM 602
(8/21/2018), attached hereto as Exhibit “C.”

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Stormy Daniels is a stage name. Daniels’ true name is Stephanie Clifford. In a secretive
settlement agreement made with Essential Consultants, LLC, her identity is masked by the
pseudonym Peggy Peterson.

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21. The payment to Daniels was made through a shell company, Essential Consultants, LLC,
that was created by Cohen to conceal the illegal transaction involving Stormy Daniels,
and other illegal transactions, from the public. Although Donald Trump, Alan Garten,
Eric Trump and others in The Trump Organization were made aware of the company and
its illegal purpose, they did not object to Cohen’s actions but rather supported and ratified
them.

22. After Cohen made the illegal payoff as directed by Trump, Trump, Garten, Eric Trump
and others learned that Daniels was violating or intended to violate the settlement
agreement entered into between Trump, Essential Consultants, LLC and Stormy Daniels.
The settlement agreement is part of Stormy Daniels Complaint, attached hereto as Exhibit
“B.”

23. Trump then directed Cohen, in cooperation with Eric Trump, to use arbitration to enforce
the agreement that memorialized the illegal payment made by Cohen, through Essential
Consultants, LLC, to Stormy Daniels.

24. In February of 2018, Jill Martin, an Executive Vice President and Assistant General
Counsel in the Trump Organization, then went to work with Michael Cohen’s attorney so
as to obtain a temporary restraining order against Daniels’ ordering her not speak about
her sexual encounter with Trump. Beginning the arbitration process and obtaining a
temporary restraining order against Stormy Daniels was an illegal effort to cover-up
Trump’s and Cohen’s criminal payoff to Daniels. See, demand for arbitration, attached
hereto as Exhibit “D.”

25. Some of Garten’s involvement in this incident is described in an article published by the
Wall Street Journal. The journal wrote:

Jill Martin, a Trump Organization lawyer, was listed as counsel on the

arbitration paperwork filed in Orange County, Calif., on Feb. 22. Five days
later, an arbitrator privately issued a restraining order against Ms. Clifford,
who ignored it and proceeded with her plans to publicly discuss the
alleged affair.

Ms. Martin was asked to sign off on the arbitration documents by Mr.
Rosen, who told her the request came from Eric Trump, according to the
people familiar with the matter.

Mr. Rosen’s firm had prepared the documents for the arbitration
proceeding, but an attorney licensed in California—one of the venues
stipulated for resolution of any dispute under the contract—had to sign off
on them while Mr. Rosen’s application to participate in the matter as an
out-of-state lawyer was pending, Mr. Rosen said in an interview this week.

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 When the Journal contacted Ms. Martin and the Trump Organization in
March about her involvement in the arbitration, she sought out Eric Trump
for advice on how to respond, according to the people.

Eric Trump then approved a statement to the Journal drafted by Ms.

Martin with input from Mr. Rosen and Alan Garten, the Trump
Organization’s chief legal officer, these people said. The statement said
Ms. Martin had facilitated the filing of the arbitration “in her individual
capacity” and that “the company has had no involvement in the matter.”
[emphasis supplied].2

26. Martin was not acting on her own, as claimed by Garten, but was acting at the direction of
Donald Trump and Eric Trump, one of the top executives in the Trump Organization. In
the arbitration filing she submitted in California, she listed 310-303-3225 on demand for
arbitration. The undersigned called that number. A receptionist answered, “Trump
legal.” Martin listed One Trump National Dr, Rancho Palos Verdes, CA 90275 as her
address on the demand for arbitration. That is the address for Trump National Golf Club
Los Angeles, apparently where the legal offices are kept. The steps taken by Martin to
silence Stormy Daniels were in aid of a cover up of Cohen’s criminal violations of the
Federal Election Campaign Act. Gartin, as Chief Legal Officer of the Trump
Organization, was aware of these crimes and aided in the cover up.

27. The company was actually so deeply involved in Cohen’s illegal payoff of Stormy
Daniels that it reimbursed him for the hush money payment, gave him legal fees and paid
him bonuses totaling $420,000. The $420,000 in payments was obscured by false
accounting that was criminal in nature.

28. In a sentencing memorandum for Cohen, The United States Attorney for the Southern
District of New York described these events as follows:

After the election, Cohen sought reimbursement for

election-related expenses, including the $130,000 payment he had
made to Woman-2. Cohen presented an executive of the Company
with a copy of a bank statement reflecting the $130,000 wire
transfer. Cohen also requested reimbursement of an additional
$50,000, which represented a claimed payment for
campaign-related “tech services.” Executives of the Company
agreed to reimburse Cohen by adding $130,000 and $50,000,
“grossing up” that amount to $360,000 for tax purposes, and
adding a $60,000 bonus, such that Cohen would be paid $420,000

2
Joe Pallazolo, Michael Rothfield, Trump Directed Legal Action to Enforce Stormy
Daniels’s Hush Agreement, Wall Street Journal, October 2, 2018.

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 in total. Executives of the Company decided to pay the $420,000 in
monthly installments of $35,000 over the course of a year. (PSR ¶¶
52-53).

At the instruction of an executive for the Company, Cohen sent

monthly invoices to the Company for these $35,000 payments,
falsely indicating that the invoices were being sent pursuant to a
“retainer agreement.” The Company then falsely accounted for
these payments as “legal expenses.” In fact, no such retainer
agreement existed and these payments were not “legal expenses” –
Cohen in fact provided negligible legal services to Individual-1 or
the Company in 2017 – but were reimbursement payments. Cohen
then received the $420,000 during the course of 2017. (PSR ¶¶
54-56).

29. Donald Trump is “Individual-1,” “Woman 2" is Stormy Daniels, and The Trump
Organization is “the Company” referred to in the sentencing memorandum.

30. The arrangement between Cohen and the Trump Organization where he was reimbursed
for the illegal $130,000 in-kind contribution to the Trump Campaign demonstrates that
Cohen was not making the illegal contribution on his own, but made it on behalf of
Donald Trump and The Trump Organization.

31. Eric Trump was an executive in The Trump Organization who directly or indirectly
requested that his subordinate Jill Martin sign off on the arbitration documents. Eric
Trump’s action contradicts the claim that Jill Martin acted in her individual capacity. As
an executive and superior to Martin, Eric Trump’s instruction meant that Martin was
acting on behalf of The Trump Organization. The claims that the Trump Organization
had no involvement in the matter, and that Jill Martin facilitated the filing of the
arbitration “in her individual capacity” were lies meant to conceal Trump’s involvement
in the matter and the crimes committed by Trump and Cohen. Garten was involved in
covering up the crimes of Eric Trump, Donald Trump and Cohen. Garten joined into the
criminal venture and conspiracy involving Cohen and Trump and was an active
participant. He attempted to aid Trump and Cohen in getting away with very serious
violations of campaign finance laws that were felonies.
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32. Due to his expertise in the law, Garten knew that Cohen had committed a serious crime
by paying off Stormy Daniels on behalf of Trump, The Trump Organization and the
Trump Campaign. Under Rule 8.3, Gartin was required to “report such knowledge to a
tribunal or other authority empowered to investigate or act upon such violation.” Garten
violated Rule 8.3 by failing to report Cohen’s and Martin’s violations.

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33. The falsification of the records of the The Trump Corporation described in paragraph 24,
above, amounted to accounting fraud in violation of state and federal laws, including New
York Penal Law - PEN § 175.10. The accounting fraud was intentionally perpetrated for
the purpose of extending the concealment of hush money payments in violation of federal
election laws. False tax reporting, and other criminal violations, necessarily flowed from
the accounting fraud.

34. These incidents were drawn to Garten’s attention by media inquiries to him, exceptionally
widespread publicity and Garten’s own participation and involvement in the events.
Garten also very likely regularly discussed the events related to these incidents with other
the Trump Organization executives due to his role as Chief Legal Officer. The Trump
Organization is a criminal organization. As the Chief Legal Officer of this criminal
organization, Garten aids, assists and participates in the crimes of the organization by
assisting in the operations of the organization at the highest level.

Crimes and Misconduct Related to Invading a

A Physician’s Office and Unlawfully Seizing Medical Records

35. In February of 2017, according to Harold Borstein, a physician for Donald Trump,
Garten, Trump's bodyguard Keith Schiller, and another large man raided Bornstein's
Manhattan medical office and confiscated medical documents without a signed disclosure
form as required by HIPAA, the Health Insurance Portability and Accountability Act of
1996.

36. Dr. Borstein reported that he felt raped, frightened and sad due to these events. Anna
Schector, Trump doctor Harold Bornstein says bodyguard, lawyer 'raided' his office, took
medical files, NBCNews (May 1, 2018).

37. Garten reportedly participated with others to use threats, intimidation and coercion to
violate Dr. Borstein’s right to be free from an unwarranted invasion of privacy and an
illegal search and seizure within his medical office.

38. Garten reportedly had a letter from Trump’s physician in the White House requesting the
records. As an attorney, Garten would be aware that such a letter did not meet the
requirements of HIPAA.

39. Furthermore, the number of individuals who showed up to demand the records, their
unannounced arrival, their actions in physically entering the physician’s office and going
through his records, backed by the authority of the President of the United States, involve
a degree of threats, intimidation and coercion that is improper for an attorney to use. See
NYC Administrative Code, Ch. 6 §§ 8-602 - 8-603.

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40. Dr. Borstein’s reports indicate that Garten likely engaged in trespass, stealing medical
records, unlawful invasion of building, and other criminal and illegal acts in the course of
invading Dr. Burstein’s office.

41. Garten violated the rights of a third person in representing his client in violation of Rule
8.4. Rule 8.4 prohibits the use of “methods of obtaining evidence that violate the legal
rights of [a third person.]”

Conclusion

42. Garten violated and assisted others to violate the following rules:

a. Rule 1.2(d) - counseling or assisting a client as to conduct that the lawyer knows is
illegal or fraudulent,

b. Rule 4.1- failing to be truthful in dealing with others on a client’s behalf,

c. Rule 4.4 - using methods of obtaining evidence that violate the rights of third
persons,

d. Rule 5.1 - failing to use reasonable efforts to ensure that lawyers under his
supervision conform their conduct to the Rule of Professional Conduct,

e. Rule 5.1 - knowingly ordering, ratifying, accepting, tolerating, encouraging and

failing to prevent lawyers under his supervision and authority from violating these
rules.

f. Rules 5.1. 5.2, 5.3 and 5.5 - assisting The Trump Corporation and The Trump
Organization in the illegal practice of law in violation of N.Y. Jud. L. § 495.

g. Rule 8.3 - knowingly failing to report that another lawyer has committed a
violation of the Rules of Professional Conduct that raises a substantial question of
the lawyers honesty, trustworthiness or fitness as a lawyer.

h. Rule 8.4 - (a) violating or attempting to violate the Rules of Professional Conduct,
knowingly assist or induce another to do so, or do so through the acts of another;

i. Rule 8.4 - (b) engaging in illegal conduct that adversely reflects on the lawyer’s
honesty, trustworthiness or fitness as a lawyer;

j. Rule 8.4 - (c) engaging in conduct involving dishonesty, fraud, deceit or

misrepresentation;

k. Rule 8.4 - (d) engaging in conduct that is prejudicial to the administration of

justice;

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 l. Rule 8.4 - (h) engaging in any other conduct that adversely reflects on the
lawyer’s fitness as a lawyer.

WHEREFORE, the complainant respectfully requests that this matter be fully

investigated, that probable cause for the alleged violations be found and that a public hearing on
this complaint be held. Furthermore, complainant requests that Garten’s license to practice law
be revoked and that other appropriate discipline be imposed.

Respectfully submitted,

J. Whitfield Larrabee
Trial & Appellate Lawyer
14 Searle Avenue
Brookline, MA 02445
jwlarrabee@verizon.net
(857) 991-9894

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