Case Title: Office of Lawyer Regulation v. Leonard G. Adent

Citation: 

Docket Number: 2015AP002032-D

State: wisconsin

Court: Wisconsin Supreme Court

Date: 2016-03-29T00:00:00Z

Document:
2016 WI 19 
 
SUPREME COURT OF WISCONSIN 
 
 
 
 
 
CASE NO.: 
2015AP2032-D 
COMPLETE TITLE: 
In the Matter of Disciplinary Proceedings 
Against  
Leonard G. Adent, Attorney at Law: 
 
Office of Lawyer Regulation, 
          Complainant, 
     v. 
Leonard G. Adent, 
          Respondent. 
 
 
 
 
DISCIPLINARY PROCEEDINGS AGAINST ADENT 
 
 
OPINION FILED: 
March 29, 2016 
SUBMITTED ON BRIEFS: 
        
ORAL ARGUMENT: 
      
 
 
SOURCE OF APPEAL: 
 
 
COURT: 
      
 
COUNTY: 
      
 
JUDGE: 
      
 
 
 
JUSTICES: 
 
 
CONCURRED: 
      
 
DISSENTED: 
ABRAHAMSON, J., joined by BRADLEY, A.W., J. 
 
NOT PARTICIPATING:          
 
 
 
ATTORNEYS: 
 
 
 
 
 
 
 
 
2016 WI 19
NOTICE 
This opinion is subject to further 
editing and modification.  The final 
version will appear in the bound 
volume of the official reports.   
No.   2015AP2032-D 
 
 
STATE OF WISCONSIN  
 
 
   : 
IN SUPREME COURT 
 
 
In the Matter of Disciplinary Proceedings 
Against Leonard G. Adent, Attorney at Law: 
 
Office of Lawyer Regulation, 
 
          Complainant, 
 
     v. 
 
Leonard G. Adent, 
 
          Respondent. 
 
FILED 
 
MAR 29, 2016 
 
Diane M. Fremgen 
Clerk of Supreme Court 
 
 
 
 
ATTORNEY 
disciplinary 
proceeding.  Attorney 
publicly 
reprimanded.   
 
¶1 
PER CURIAM.   We review a stipulation pursuant to 
Supreme Court Rule (SCR) 22.12 between the Office of Lawyer 
Regulation (OLR) and Attorney Leonard G. Adent.  In the 
stipulation, Attorney Adent agrees with the OLR's position that 
his misconduct warrants the imposition of a public reprimand.  
Attorney Adent also agrees with the OLR's position that various 
conditions be imposed upon his continued practice of law in 
Wisconsin.   
No. 
2015AP2032-D   
 
2 
 
¶2 
After fully reviewing the stipulation and the facts of 
this matter, we accept the stipulation and impose the public 
reprimand jointly requested by the parties.  We further find it 
appropriate to impose the recommended conditions upon Attorney 
Adent's practice of law.  In light of the parties' stipulation 
and the fact that no referee needed to be appointed, we impose 
no costs upon Attorney Adent. 
¶3 
Attorney Adent was admitted to practice law in 
Wisconsin in 1967 and practices in Pewaukee.  Attorney Adent's 
disciplinary history consists of a 2012 consensual public 
reprimand for a conviction of second offense operating while 
intoxicated (OWI) and for failure to provide competent or 
diligent representation to a client, failure to obey an 
obligation under the rules of a tribunal, and failure to make a 
reasonably 
diligent 
effort 
to 
comply 
with 
a 
defendant's 
discovery request.  In addition, Attorney Adent failed to report 
his OWI conviction to the OLR or to the clerk of this court, and 
he failed to fully answer the OLR's inquiries during the OLR's 
investigation.  Public Reprimand of Leonard G. Adent, 2012-19. 
¶4 
On October 9, 2015, the OLR filed a complaint alleging 
five counts of professional misconduct against Attorney Adent.  
On October 26, 2015, Attorney Adent entered into a stipulation 
whereby he agrees that the factual allegations contained in the 
OLR's 
complaint 
are 
accurate 
and 
that 
he 
committed 
the 
professional 
misconduct 
charged 
in 
the 
complaint. 
 
The 
stipulation states that Attorney Adent fully understands the 
nature of the misconduct allegations against him, his right to 
No. 
2015AP2032-D   
 
3 
 
contest those allegations, and the ramifications that would 
follow from this court's imposition of the stipulated level of 
discipline.  The stipulation indicates that Attorney Adent 
understands his right to counsel.  He verifies that he is 
entering into the stipulation knowingly and voluntarily and that 
his entry into the stipulation represents his decision not to 
contest this matter. 
¶5 
The OLR's complaint alleged that, since at least 2009, 
Attorney Adent maintained the "Leonard G. Adent Attorney at Law 
IOLTA Trust Account" at the Waukesha State Bank.  Attorney Adent 
used the trust account for, among other things, holding funds of 
clients and/or third parties.  Until late March 2014, Attorney 
Adent had neither a business bank account nor a personal bank 
account.  He retained earned fees in his trust account and used 
the trust account to pay personal expenses.  In July 2013, the 
Waukesha State Bank advised Attorney Adent that it could no 
longer cash personal checks made payable to Attorney Adent and 
that he must open a personal account.  Attorney Adent opened a 
new account in March 2014.  The account was identified as "Mr. 
Leonard G. Adent" without reference to "Attorney," "Law Office," 
"Business Account," "Office Account," "Operating Account," or 
similar words.  Attorney Adent informed the OLR that the account 
was a personal account and not a business account. 
¶6 
The OLR's complaint also alleged that on November 14, 
2013, Attorney Adent made a cash deposit of $260 into the trust 
account and failed to record any information identifying the 
client or matter on the deposit slip, and he informed the OLR 
No. 
2015AP2032-D   
 
4 
 
that he was unsure as to which client the deposit related.  
Attorney Adent held a $2,735 fee in his trust account and never 
withdrew it.  On January 9, 2014, Attorney Adent deposited a 
$1,500 loan from T.D., a client who Attorney Adent was 
representing in a foreclosure action, into his trust account.  
Attorney Adent failed to record any information identifying the 
client or matter on the deposit slip.  The terms of the loan 
transaction were not transmitted in writing to T.D., nor did 
Attorney Adent advise T.D. in writing of the desirability of 
seeking independent legal counsel.  T.D. did not give his 
informed written consent to the essential terms of the loan 
transaction.  On or about April 26, 2014, after the OLR had 
inquired about the matter, and well over three months following 
the loan, T.D. signed a written statement and promissory note 
with Attorney Adent.  The note was backdated to January 8, 2014.   
¶7 
On February 10, 2011, Attorney Adent was convicted of 
an OWI (second) conviction in Fond du Lac County, Wisconsin.  On 
April 17, 2014, a Door County Sheriff's Department deputy 
observed a vehicle operated by Attorney Adent cross the center 
line and initiated a traffic stop of the vehicle.  Attorney 
Adent was placed under arrest for operating a motor vehicle 
while under the influence of an intoxicant (third offense).  
Attorney Adent reported his arrest to the OLR on July 8, 2014.  
On November 25, 2014, pursuant to a guilty plea, Attorney Adent 
was convicted of misdemeanor OWI (third), sentenced to 150 days 
in jail with Huber privileges, and fined, and his driver license 
was revoked for 33 months. 
No. 
2015AP2032-D   
 
5 
 
¶8 
The OLR's complaint alleged that Attorney Adent 
engaged in the following counts of misconduct: 
[Count One]  By receiving trust funds but failing 
to 
maintain 
a 
business 
account, 
Adent 
violated 
SCR 20:1.15(e)(8).1 
[Count Two]  By commingling his personal funds 
with client funds held in his Trust Account, for 
purposes other than paying monthly bank account 
service charges, Adent violated SCR 20:1.15(b)(3).2 
[Count Three]  By accepting a $1,500 loan from a 
client in January 2014, without any required written 
disclosures or the client's informed consent and no 
documentation of the transaction other than a back-
dated promissory note, Adent violated SCR 20:1.8(a).3 
                                                 
1 SCR 
20:1.15(e)(8) 
provides 
that 
"[e]ach 
lawyer 
who 
receives trust funds shall maintain at least one draft account, 
other than the trust account, for funds received and disbursed 
other than in the lawyer's trust capacity, which shall be 
entitled 
'Business 
Account,' 
'Office 
Account,' 
'Operating 
Account,' or words of similar import." 
2 SCR 20:1.15(b)(3) provides that "[n]o funds belonging to 
the lawyer or law firm, except funds reasonably sufficient to 
pay monthly account service charges, may be deposited or 
retained in a trust account." 
3 SCR 20:1.8(a) provides: 
A 
lawyer 
shall 
not 
enter 
into 
a 
business 
transaction with a client or knowingly acquire an 
ownership, possessory, security or other pecuniary 
interest adverse to a client unless:  
(1) the transaction and terms on which the lawyer 
acquires the interest are fair and reasonable to the 
client and are fully disclosed and transmitted in 
writing in a manner that can be reasonably understood 
by the client;  
(2) the client is advised in writing of the 
desirability of seeking and is given a reasonable 
(continued) 
No. 
2015AP2032-D   
 
6 
 
[Count 
Four] 
 
By 
failing 
to 
maintain 
a 
transaction register, individual client ledgers, a 
ledger for account fees and charges, by disbursing 
checks from his trust account without identifying the 
client matter and the reason for the disbursement on 
the memo line or by using the memo line to attribute 
checks to a client matter when actually disbursing his 
personal funds, by failing to record the client or 
matter associated with each deposit item on his 
deposit slips, and by failing to perform monthly 
reconciliations of his IOLTA checking account, Adent 
violated SCR 20:1.15(f)(1).4 
                                                                                                                                                             
opportunity to seek the advice of independent legal 
counsel on the transaction; and  
(3) the client gives informed consent, in a 
writing signed by the client, to the essential terms 
of the transaction and the lawyer's role in the 
transaction, 
including 
whether 
the 
lawyer 
is 
representing the client in the transaction. 
4 SCR 20:1.15(f)(1) provides: 
Complete records of a trust account that is a 
draft account shall include a transaction register; 
individual client ledgers for IOLTA accounts and other 
pooled trust accounts; a ledger for account fees and 
charges, if law firm funds are held in the account 
pursuant to sub. (b)(3); deposit records; disbursement 
records; 
monthly 
statements; 
and 
reconciliation 
reports, subject to all of the following:  
a. Transaction register. The transaction register 
shall contain a chronological record of all account 
transactions, and shall include all of the following:  
1. the date, source, and amount of all deposits;  
2. the date, check or transaction number, payee 
and amount of all disbursements, whether by check, 
wire transfer, or other means;  
3. the date and amount of every other deposit or 
deduction of whatever nature;  
(continued) 
No. 
2015AP2032-D   
 
7 
 
                                                                                                                                                             
4. the identity of the client for whom funds were 
deposited or disbursed; and  
5. 
the 
balance 
in 
the 
account 
after 
each 
transaction.  
b. Individual client ledgers. A subsidiary ledger 
shall be maintained for each client or 3rd party for 
whom 
the 
lawyer 
receives 
trust 
funds 
that 
are 
deposited in an IOLTA account or any other pooled 
trust account. The lawyer shall record each receipt 
and disbursement of a client's or 3rd party's funds 
and the balance following each transaction. A lawyer 
shall not disburse funds from an IOLTA account or any 
pooled trust account that would create a negative 
balance with respect to any individual client or 
matter.  
c. Ledger for account fees and charges. A 
subsidiary ledger shall be maintained for funds of the 
lawyer deposited in the trust account to accommodate 
monthly service charges. Each deposit and expenditure 
of the lawyer's funds in the account and the balance 
following each transaction shall be identified in the 
ledger.  
d. Deposit records. Deposit slips shall identify 
the name of the lawyer or law firm, and the name of 
the account. The deposit slip shall identify the 
amount of each deposit item, the client or matter 
associated with each deposit item, and the date of the 
deposit. The lawyer shall maintain a copy or duplicate 
of each deposit slip. All deposits shall be made 
intact. No cash, or other form of disbursement, shall 
be deducted from a deposit. Deposits of wired funds 
shall 
be 
documented 
in 
the 
account's 
monthly 
statement.  
e. Disbursement records.  
1. Checks. Checks shall be pre-printed and 
prenumbered. The name and address of the lawyer or law 
firm, and the name of the account shall be printed in 
the upper left corner of the check. Trust account 
checks shall include the words "Client Account," or 
"Trust Account," or words of similar import in the 
(continued) 
No. 
2015AP2032-D   
 
8 
 
                                                                                                                                                             
account name. Each check disbursed from the trust 
account shall identify the client matter and the 
reason for the disbursement on the memo line.  
2. Canceled checks. Canceled checks shall be 
obtained from the financial institution. Imaged checks 
may be substituted for canceled checks.  
3. 
Imaged 
checks. 
Imaged 
checks 
shall 
be 
acceptable if they provide both the front and reverse 
of the check and comply with the requirements of this 
paragraph. The information contained on the reverse 
side 
of 
the 
imaged 
checks 
shall 
include 
any 
endorsement signatures or stamps, account numbers, and 
transaction dates that appear on the original. Imaged 
checks shall be of sufficient size to be readable 
without magnification and as close as possible to the 
size of the original check.  
4. Wire transfers. Wire transfers shall be 
documented by a written withdrawal authorization or 
other documentation, such as a monthly statement of 
the account that indicates the date of the transfer, 
the payee, and the amount.  
f. 
Monthly 
statement. 
The 
monthly 
statement 
provided to the lawyer or law firm by the financial 
institution shall identify the name and address of the 
lawyer or law firm and the name of the account.  
g. 
Reconciliation 
reports. 
For 
each 
trust 
account, the lawyer shall prepare and retain a printed 
reconciliation report on a regular and periodic basis 
not 
less 
frequently 
than 
every 
30 
days. 
Each 
reconciliation report shall show all of the following 
balances and verify that they are identical:  
1. the balance that appears in the transaction 
register as of the reporting date;  
2. the total of all subsidiary ledger balances 
for IOLTA accounts and other pooled trust accounts, 
determined by listing and totaling the balances in the 
individual client ledgers and the ledger for account 
fees and charges, as of the reporting date; and  
(continued) 
No. 
2015AP2032-D   
 
9 
 
[Count Five]  By engaging in conduct leading to a 
criminal conviction of OWI (3rd), Adent violated 
SCR 20:8.4(b).5 
¶9 
In the stipulation, Attorney Adent agrees that it 
would be appropriate for this court to publicly reprimand him.  
He further agrees that it would be appropriate for this court to 
impose the following conditions upon him: 
 Within 60 days of the Court's final order, 
Attorney Adent must provide to OLR signed medical 
releases of confidentiality for each treatment 
provider 
who 
has 
provided 
or 
is 
providing 
alcohol-related 
or 
substance 
abuse-related 
treatment, assessment or services to Attorney 
Adent during the past five years, so that OLR and 
each provider can share pertinent information 
related to Attorney Adent, such releases to 
remain in effect for two years from the date 
Attorney Adent signs the releases; 
 Within 60 days of the Court's final order, 
Attorney 
Adent 
must, 
at 
his 
own 
expense, 
participate in an alcohol and other drug abuse 
(AODA) and mental health assessment by a person 
of OLR's choosing, which shall make specific 
written 
recommendations, 
if 
appropriate, 
for 
Attorney Adent's treatment or maintenance.  The 
assessment must be provided to OLR; 
 Attorney Adent must submit to monitoring within 
30 days of the date of the assessment, as 
                                                                                                                                                             
3. the adjusted balance, determined by adding 
outstanding deposits and other credits to the balance 
in the financial institution's monthly statement and 
subtracting outstanding checks and other deductions 
from the balance in the monthly statement. 
5 SCR 20:8.4(b) provides that 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. 
2015AP2032-D   
 
10 
 
directed by OLR; and for a period of two years 
beginning on the date of his entry into a 
monitoring 
program 
must 
comply 
with 
all 
monitoring 
requirements, 
including 
all 
requirements determined to be appropriate by the 
Wisconsin Lawyers' Assistance Program (WisLAP) or 
OLR's designated monitor; 
 Attorney Adent must refrain from the consumption 
of alcohol and any mood-altering drugs without a 
valid prescription while subject to monitoring; 
 Within 90 days of the Court's final order, 
Attorney Adent must establish a business account.  
Attorney Adent must provide OLR with a copy of 
the 
first 
bank 
statement 
for 
the 
business 
account; 
 For 
a 
period 
of 
one 
year 
following 
his 
establishment of a business account, Attorney 
Adent must provide OLR on a quarterly basis with 
copies of the monthly bank statements for the 
business account; 
 For a period of one year following the Court's 
final order, Attorney Adent must provide OLR on a 
quarterly basis with the monthly bank statements, 
the transaction register, all subsidiary ledgers, 
and the monthly reconciliation reports relating 
to the trust account[.] 
¶10 Having 
considered 
this 
matter, 
we 
approve 
the 
stipulation and adopt the stipulated facts and legal conclusions 
of professional misconduct.  From our independent review of the 
matter, we agree that a public reprimand is an appropriate 
sanction.  We note that the OLR's memorandum in support of the 
stipulation identifies a number of aggravating and mitigating 
factors.  With respect to aggravating factors, the OLR points 
out that Attorney Adent has substantial experience in practicing 
law, having been admitted in 1967.  The OLR also notes that 
No. 
2015AP2032-D   
 
11 
 
Attorney 
Adent 
previously 
agreed 
to 
a 
consensual 
public 
reprimand for lack of diligence and for being convicted of OWI 
(second).  In addition, the OLR says that, during the course of 
its investigation, Attorney Adent represented in two letters to 
the OLR that he had opened a business checking account when in 
fact the account he opened was a personal account.   
¶11 With respect to mitigating factors, the OLR noted that 
Attorney Adent had an absence of dishonest or selfish motive and 
that he suffered from personal or emotional problems which he 
blamed for the issues with his bank accounts.  The OLR also 
noted that Attorney Adent was the subject of penalties, 
including jail time, driver license revocation, and a fine, for 
the third offense OWI.  Finally, the OLR said that Attorney 
Adent fully cooperated with the investigation and expressed 
remorse for his actions. 
¶12 Although no two factual situations are ever precisely 
the same, a public reprimand is generally consistent with the 
sanction this court has imposed in somewhat similar cases, 
including In re Disciplinary Proceedings Against LeSieur, 
2010 WI 117, 329 Wis. 2d 349, 789 N.W.2d 572 (attorney publicly 
reprimanded 
for 
misconduct 
including 
a 
violation 
of 
SCR 20:8.4(b), which stemmed from an OWI (third) conviction); 
Public Reprimand of Scott A. Jackman, 2010-9 (attorney publicly 
reprimanded for convictions of OWI (second) and (third) and 
failure to report convictions to the OLR).  We further find it 
appropriate to impose the recommended conditions upon Attorney 
Adent.  Because Attorney Adent entered into a comprehensive 
No. 
2015AP2032-D   
 
12 
 
stipulation under SCR 22.12, thereby obviating the need for the 
appointment of a referee and a full disciplinary proceeding, we 
do not impose any costs in this matter. 
¶13 IT IS ORDERED that Leonard G. Adent is publicly 
reprimanded. 
¶14 IT IS FURTHER ORDERED that the following conditions 
are hereby imposed upon Leonard G. Adent: 
 Within 60 days of the date of this order, Attorney 
Adent shall provide the Office of Lawyer Regulation 
with signed medical releases of confidentiality for 
each treatment provider who is providing or has 
provided to Attorney Adent within the last five 
years treatment, assessment, or services related to 
alcohol or substance abuse, such releases to remain 
in effect for two years from the date of signature. 
 Within 60 days of the date of this order, Attorney 
Adent shall, at his own expense, participate in an 
alcohol and other drug abuse and mental health 
assessment by a person of the Office of Lawyer 
Regulation's choosing; the assessment shall make 
specific written recommendations, if appropriate, 
for Attorney Adent's treatment or maintenance and 
shall 
be 
provided 
to 
the 
Office 
of 
Lawyer 
Regulation. 
 Within 30 days of the date of the assessment 
specified above, Attorney Adent shall submit to 
monitoring as directed by the Office of Lawyer 
No. 
2015AP2032-D   
 
13 
 
Regulation, and he shall comply with all monitoring 
requirements, 
including 
all 
requirements 
deemed 
appropriate by the Wisconsin Lawyers' Assistance 
Program or other monitor designated by the Office of 
Lawyer Regulation, for a period of two years from 
his entry into a monitoring program.  
 Attorney Adent shall refrain from the consumption of 
alcohol and any mood-altering drugs without a valid 
prescription while subject to monitoring. 
 Within 90 days of the date of this order, Attorney 
Adent shall establish a business account and shall 
provide the Office of Lawyer Regulation with a copy 
of the first bank statement for said account.   
 For a period of one year following the establishment 
of the business account specified above, Attorney 
Adent 
shall 
provide 
to 
the 
Office 
of 
Lawyer 
Regulation, on a quarterly basis, copies of the 
monthly bank statements for said account. 
 For a period of one year from the date of this 
order, Attorney Adent shall provide to the Office of 
Lawyer Regulation, on a quarterly basis, copies of 
the monthly bank statements, transaction register, 
all subsidiary ledgers, and monthly reconciliation 
reports related to his trust account. 
 
 
No.  2015AP2032-D.ssa 
 
1 
 
 
¶15 SHIRLEY S. ABRAHAMSON, J.   (dissenting).  I would not 
accept the stipulation.  Although I agree with the order for 
restitution, payment of costs, and conditions, I conclude that a 
public reprimand is an insufficient sanction.   
¶16 Five counts of professional misconduct were charged in 
the complaint and admitted by Attorney Adent, including trust 
account violations, criminal conviction of operating while 
intoxicated (OWI) (third), and a transaction with a client 
without informed consent or written disclosures.  These are 
serious offenses and in and of themselves require a more severe 
sanction than a public reprimand. 
¶17 The third OWI offense stands out.  Drunk driving is a 
major public safety issue in Wisconsin and across the country.  
All drivers are aware, or should be held to be aware, of the 
dangers of drunk driving.  That drunk driving may be prosecuted 
as a crime is also common knowledge.   
¶18 A criminal conviction for OWI by a Wisconsin licensed 
lawyer does not in and of itself automatically constitute 
professional misconduct.  But the record demonstrates that 
Attorney Adent has alcohol-related problems.  His three OWI 
offenses and his numerous other violations of the Rules of 
Professional Conduct for Attorneys reflect on his honesty, 
trustworthiness, and fitness as a lawyer. 
¶19 Although Attorney Adent has been sober for a number of 
months, his record is not sufficient to warrant a public 
reprimand rather than a suspension.  
No.  2015AP2032-D.ssa 
 
2 
 
¶20 In addition, a public reprimand in the instant case 
does not properly take into account this court's commitment that 
discipline be generally progressive in nature.  See In re 
Disciplinary Proceedings Against Nussberger, 2006 WI 111, 296 
Wis. 2d 47, 719 N.W.2d 501. 
¶21 Attorney 
Adent 
has 
a 
disciplinary 
history 
that 
supports the imposition of progressive discipline.  In 2012, 
Attorney Adent consented to a public reprimand for a number of 
violations, including conviction of second offense OWI, failure 
to provide competent or diligent representation, and failure to 
obey an obligation under the rules of the tribunal.  
¶22 I recognize that several cases have imposed a public 
reprimand for OWI violations.  On reflection, I think some of 
these sanctions were not adequate and should not be followed in 
the instant case. 
¶23 For the reasons set forth, I disagree that the 
imposition of a public reprimand is an appropriate level of 
discipline in the instant case.  I would impose a suspension for 
a minimum of 60 days. 
¶24 I am authorized to state that Justice ANN WALSH 
BRADLEY joins this opinion. 
No.  2015AP2032-D.ssa 
 
 
 
1