Case Title: Office of Lawyer Regulation v. Steven T. Berman

Citation: 2014 WI 2

Docket Number: 2013AP002126-D

State: wisconsin

Court: Wisconsin Supreme Court

Date: 2014-01-03T00:00:00Z

Document:
2014 WI 2 
 
SUPREME COURT OF WISCONSIN 
 
 
 
 
 
CASE NO.: 
2013AP2126-D 
COMPLETE TITLE: 
In the Matter of Disciplinary Proceedings 
Against 
Steven T. Berman, Attorney at Law: 
 
Office of Lawyer Regulation, 
          Complainant, 
     v. 
Steven T. Berman, 
          Respondent. 
 
 
 
 
 
DISCIPLINARY PROCEEDINGS AGAINST BERMAN  
 
 
OPINION FILED: 
January 3, 2014 
SUBMITTED ON BRIEFS: 
        
ORAL ARGUMENT: 
        
 
 
SOURCE OF APPEAL: 
 
 
COURT: 
        
 
COUNTY: 
      
 
JUDGE: 
      
 
 
 
JUSTICES: 
 
 
CONCURRED: 
        
 
DISSENTED: 
        
 
NOT PARTICIPATING:         
 
 
 
ATTORNEYS: 
 
 
 
 
 
 
2014 WI 2
NOTICE 
This opinion is subject to further 
editing and modification.  The final 
version will appear in the bound 
volume of the official reports.   
No.   2013AP2126-D 
 
 
STATE OF WISCONSIN  
 
 
   : 
IN SUPREME COURT 
 
 
In the Matter of Disciplinary Proceedings 
Against Steven T. Berman, Attorney at Law: 
 
Office of Lawyer Regulation, 
 
          Complainant, 
 
     v. 
 
Steven T. Berman, 
 
          Respondent. 
 
FILED 
 
JAN 3, 2014 
 
Diane M. Fremgen 
Clerk of Supreme Court 
 
 
 
 
ATTORNEY 
disciplinary 
proceeding.   Attorney's 
license 
suspended.   
 
¶1 
PER CURIAM.   We review a stipulation filed pursuant 
to SCR 22.121 by the Office of Lawyer Regulation (OLR) and 
                                                 
1 SCR 22.12 states as follows:  Stipulation. 
 
(1)  The director may file with the complaint a 
stipulation of the director and the respondent to the 
facts, conclusions of law regarding misconduct, and 
discipline to be imposed.  The supreme court may 
consider the complaint and stipulation without the 
appointment of a referee.   
No. 
2013AP2126-D   
 
2 
 
Attorney Steven T. Berman.  In the stipulation, Attorney Berman 
agrees that by engaging in conduct leading to a criminal 
conviction for the felony offense of conspiracy to commit 
securities fraud, he violated the supreme court rules.  He also 
agrees that a two-year suspension of his license to practice law 
in Wisconsin is an appropriate level of discipline for his 
misconduct.  There is no request in this matter for a 
restitution award, nor is there a request for the imposition of 
costs against Attorney Berman. 
¶2 
Following careful review of the matter, we agree that 
a two-year suspension of Attorney Berman's license to practice 
law is a proper sanction.  Since this matter is being resolved 
without the appointment of a referee, we do not impose any costs 
on Attorney Berman. 
¶3 
Attorney Berman was admitted to the practice of law in 
Wisconsin in 1987.  His law license was summarily suspended, 
upon the motion of the OLR, on August 9, 2013.  His license 
                                                                                                                                                             
 
(2)  If the supreme court approves a stipulation, 
it shall adopt the stipulated facts and conclusions of 
law and impose the stipulated discipline. 
 
(3)  If 
the 
supreme 
court 
rejects 
the 
stipulation, a referee shall be appointed and the 
matter shall proceed as a complaint filed without a 
stipulation. 
 
(4)  A stipulation rejected by the supreme court 
has no evidentiary value and is without prejudice to 
the respondent's defense of the proceeding or the 
prosecution of the complaint.   
No. 
2013AP2126-D   
 
3 
 
remains suspended.  Attorney Berman has not previously been the 
subject of professional discipline. 
¶4 
The stipulation states that on April 12, 2013, 
Attorney Berman appeared before the Honorable Nathaniel M. 
Gorton in United States District Court for the District of 
Massachusetts in the matter of United States v. Steven Berman, 
CR No. 11-10415-NMG, and entered a guilty plea to the felony 
offense of Conspiracy to Commit Securities Fraud, in violation 
of 18 U.S.C. §§ 1348, 1349, and 2.  The court adjudged Attorney 
Berman guilty of Conspiracy to Commit Securities Fraud.  On July 
16, 2013, Attorney Berman was sentenced to a prison term of 18 
months in federal prison, plus a term of one year of supervised 
release upon his release from imprisonment. 
¶5 
On September 25, 2013, the OLR filed a complaint 
alleging that by engaging in conduct leading to his conviction 
for the felony offense of Conspiracy to Commit Securities Fraud, 
in violation of 18 U.S.C. §§ 1348, 1349, and 2, Attorney Berman 
violated SCR 20:8.4(b).2   
¶6 
On October 15, 2013, the parties entered into a 
stipulation whereby Attorney Berman agreed that his conduct 
violated SCR 20:8.4(b).  Attorney Berman also agreed that it 
would be appropriate for this court to impose the level of 
                                                 
2 SCR 20:8.4(b) states it is professional misconduct for a 
lawyer to "commit a criminal act that reflects adversely on the 
lawyer's honesty, trustworthiness or fitness as a lawyer in 
other respects; . . . ." 
No. 
2013AP2126-D   
 
4 
 
discipline sought by the OLR director, namely, a two-year 
suspension of his license to practice law in Wisconsin.   
¶7 
Attorney Berman represents that he fully understands 
the misconduct allegation and the ramifications should this 
court impose the stipulated level of discipline.  He also states 
that he fully understands his right to contest the matter and 
his right to consult with counsel.  He states his entry into the 
stipulation is made knowingly and voluntarily.  He also states 
that he is aware that imposition of a two-year suspension of his 
law license would result in his license remaining suspended 
until and unless he successfully petitions for reinstatement 
pursuant to the procedures set forth in SCRs 22.29-22.33. 
¶8 
Having carefully considered this matter, we approve 
the stipulation and adopt the stipulated facts and legal 
conclusion of professional misconduct.  We also agree that, 
given 
the 
serious 
nature 
of 
the 
misconduct, 
a 
two-year 
suspension of Attorney Berman's license to practice law is 
appropriate.  We note that we have previously imposed similar 
suspensions in cases where attorneys have been convicted in 
federal court of "white collar" crimes.  See, e.g., In re 
Disciplinary 
Proceedings 
Against 
Stern, 
2013 
WI 
46, 
347 
Wis. 2d 552, 830 N.W.2d 674; In re Disciplinary Proceedings 
Against 
Henningsen, 
2004 
WI 
119, 
275 
Wis. 2d 285, 
685 
N.W.2d 523.   
¶9 
IT IS ORDERED that the license of Steven T. Berman to 
practice law in Wisconsin is suspended for two years, effective 
the date of this order. 
No. 
2013AP2126-D   
 
5 
 
¶10 IT IS FURTHER ORDERED that Steven T. Berman shall 
continue compliance with the provisions of SCR 22.26 concerning 
the duties of a person whose license to practice law in 
Wisconsin has been suspended. 
 
 
No. 
2013AP2126-D   
 
 
 
1