Title: STATE EX. REL. OKLAHOMA BAR ASSOCIATION v. SCHRAEDER

State: oklahoma

Issuer: Oklahoma Supreme Court

Document:

STATE EX. REL. OKLAHOMA BAR ASSOCIATION v. SCHRAEDER  STATE EX. REL. OKLAHOMA BAR ASSOCIATION v. SCHRAEDER 2002 OK 51 51 P.3d 570 Case Number: SCBD-4597 Decided: 06/18/2002 THE SUPREME COURT OF THE STATE OF OKLAHOMA STATE OF OKLAHOMA ex rel. Oklahoma Bar Association, Complainant v. FRED M. SCHRAEDER, Respondent BAR DISCIPLINARY PROCEEDING [51 P.3d 570] ¶0 In this disciplinary proceeding against a lawyer, the complainant alleges in four counts numerous instances of unprofessional conduct deemed to warrant disciplinary sanctions. A trial panel of the Professional Responsibility Tribunal found that respondent's actions constitute grounds for professional discipline and recommended a private reprimand with an assessment of the costs of the investigation, record and proceeding. Upon de novo review of the evidentiary material presented to the trial panel and this court's acceptance of the parties' stipulations, RESPONDENT'S LICENSE TO PRACTICE LAW STANDS SUSPENDED FOR THIRTY (30) DAYS AND HE IS DIRECTED TO PAY THE COSTS OF THE INVESTIGATION, RECORD AND PROCEEDING IN THE AMOUNT OF $571.03, WHICH SHALL BECOME DUE NOT LATER THAN THIRTY (30) DAYS AFTER THIS OPINION BECOMES FINAL. Loraine Dillinder Farabow, Assistant General Counsel, Oklahoma Bar Association, Oklahoma City, Oklahoma for complainant William G. LaSorsa, Jones, Givens, Gotcher & Bogan, Tulsa, Oklahoma for respondent. OPALA, J. ¶1 I INTRODUCTION TO THE RECORD ¶2 On 26 January 2001 the Oklahoma Bar Association [Bar] commenced this disciplinary proceeding against Fred M. Schraeder [Schraeder or respondent], a licensed lawyer, by filing a formal complaint in accordance with the provisions of Rule 6 of the Rules Governing Disciplinary Proceedings [RGDP]. ¶3 At the commencement of its hearing on 16 May 2001 a trial panel of the Professional Responsibility Tribunal [panel or PRT] recognized for the record the admission of the parties' stipulations of fact, conclusions of law and an agreed disciplinary recommendation. As for mitigation, the parties agreed that respondent had never before been disciplined (by the Professional Responsibility Commission or by this court) or been the subject of a formal investigation by the Bar's counsel. The parties submit professional burnout syndrome ¶4 Upon completion of the hearing and consideration of the stipulations and testimony on file, the trial panel issued its report (which incorporates the parties' stipulations). The panel recommended that respondent receive a private reprimand and be directed to pay the costs of this proceeding. II THE RECORD BEFORE THE COURT PROVIDES SUFFICIENT EVIDENCE FOR A MEANINGFUL DE NOVO CONSIDERATION OF ALL FACTS RELEVANT TO THIS PROCEEDING ¶5 In a bar disciplinary proceeding the court functions as an adjudicative licensing authority that exercises exclusive original cognizance. ¶6 The court's duty can be discharged only if the trial panel submits a complete record of the proceedings. ¶7 Having carefully scrutinized the record submitted, we conclude that it is adequate for de novo consideration of the respondent's alleged professional misconduct and of the discipline to be imposed. III FACTS ADMITTED BY STIPULATION ¶8 The parties have tendered their stipulations by which respondent admits the facts which serve as the basis of the charges against him. A stipulation of fact is an agreement by the parties that a particular fact (or facts) in controversy stands admitted. It serves as an evidentiary substitute that dispenses with a need for proof of facts that are conceded by the parties' agreement. Stipulations are subject to the approval of the court in which they are entered. A Count I The McMinn Grievance ¶9 Count one is predicated upon a grievance by Perry A. McMinn [McMinn]. McMinn hired respondent to assist in a criminal appeal filed in the United States District Court for the Northern District of Oklahoma. ¶10 After writing McMinn in February, March and May of 1998, respondent ceased communicating with his client and failed to file any motions or briefs in his appeal. Following respondent's inactivity, McMinn filed a motion on his own behalf and wrote respondent a letter, dated 5 May 1999, asking him to review and revise the document. When respondent failed to reply, McMinn wrote him again on 2 June 1999 and enclosed copies of several cases that he wanted him to review. Respondent did not answer the June 2 letter; he claims that he never received the letter or the enclosed cases. By letter dated 27 September 1999 McMinn requested a detailed accounting of all costs and legal services expended on his behalf and a refund of the unearned portion of the $2,800 fee. Respondent failed to answer the September 27 letter. ¶11 Schraeder insists (1) that he filed no briefs or pleadings in the McMinn case because he was waiting to receive pertinent information from McMinn's family to proceed with the appeal ¶12 The Bar and respondent agree that the latter's misconduct violates the mandatory provisions of ORPC Rules 1.4 B Count III The Parsons Grievance ¶13 In Count three of the complaint the Bar charged respondent with failure to communicate with a client and to perform the work for which he was hired. Around 13 February 1999 Loretta Parsons [Parsons] retained Schraeder to represent her grandchildren's interest in her deceased daughter's estate. He was also to represent another granddaughter in both a criminal and a domestic matter. Parsons paid him $1,500.00. She also delivered to him several documents relevant to the estate as well as to possible civil litigation pertaining to her daughter's death. Respondent claims that Parsons paid him the fee to represent two of Parsons' adult children in three legal matters but that he never agreed to represent her in any wrongful death or other civil action. He insists that he completed the criminal and domestic matters for one granddaughter and performed work in the probate case. ¶14 The record is replete with letters from Parsons to respondent in which she insists that her efforts to communicate with respondent and to retrieve from him personal documents relating to a wrongful death suit proved unsuccessful. Schraeder takes the position that he terminated all communications with Parsons because his representation ended after the conclusion of the estate matters for her grandchildren and another family member's criminal case and annulment. ¶15 A constant flow of communication between an attorney and client constitutes a vital part of a lawyer's professional undertaking. C COUNTS II AND IV Failure Timely to Respond to the Bar's Investigative Inquiries into the McMinn and Parsons Grievances ¶17 Counts II and IV address respondent's delay in filing his response to the Bar's investigative inquiries in the McMinn and Parsons grievances. Respondent failed timely to respond to the Bar's three written requests and promptly to take action with respect to statements he made on two occasions to the Bar's investigator. The McMinn Grievance ¶18 The Bar notified respondent by letter dated 16 February 2000 that the McMinn grievance was being opened for formal investigation, invoking the requirement that Schraeder provide a complete response within a twenty-day (20) period. ¶19 The Bar's assigned investigator, Ray Page [Page or investigator] met with Schraeder concerning the McMinn and Parsons grievances. Schraeder assured Page that he would attempt to resolve with McMinn the dispute over the unearned portion of fees. Respondent's undated letter to the Bar, received 22 November 2000, shows that he wrote McMinn asking what portion of the fee he desired to have returned to him. McMinn's November 28 letter to respondent requested a refund of the entire $2,800. ¶20 By a 16 December 2000 facsimile transmission, respondent advised Page of his letter to McMinn and of McMinn's November 28 response. Contrary to respondent's statement that he would send Page a copy of his response to McMinn's November 28 request, the Bar received a December 26 letter from McMinn advising that he had not received a response to his November 28 letter. Respondent concedes that he did not promptly respond to McMinn's November 28 refund request, but claims that the delay was caused by the closing of his private practice and the moving of his law office. Respondent eventually provided McMinn with a full accounting of legal services and has refunded approximately $1.195.00 of the $2,800 fee. The respondent's conduct violates the mandatory provisions of ORPC Rules 8.1(b) The Parsons Grievance ¶21 By letter of 10 May 2000 the Bar advised respondent of Parsons' complaint and directed him to communicate with her within two weeks. Respondent wrote to Parsons and was informed by her letter of May 23 which items she wanted him to return. Because respondent neither returned the requested documents nor responded to her letter, the Bar demanded (by letter of June 5) that respondent return the items to her by June 13 or at least offer an explanation as to why it would have been impossible for him to do so. Respondent was advised by the Bar's letter that failure timely to respond would be grounds for discipline and result in a formal investigation. ¶22 One 14 June 2000 the Bar received a letter from Parsons stating that respondent had neither communicated with her nor returned the requested items. Two days later the Bar received a letter from respondent, dated June 12 and post-marked June 15, which advised that he had previously forwarded all documents to Parsons and that he could find no additional items in his office. ¶23 The Bar notified Schraeder by letter of 10 July 2000 that it was opening the Parsons matter for formal investigation, again invoking the requirement of a written response within twenty days. On August 1 Parsons notified Page, the Bar's investigator, that she had entrusted certain documents to respondent when she retained him to file a wrongful death action. She explained that the documents were needed so that a lawsuit could be filed by another lawyer before it became time barred. Page's August 11 letter to respondent requested that he again search for the items, stressing that a response was needed within 10 days to prevent the statute of limitations from running out. No reply was forthcoming from Schraeder. ¶24 After being advised by Parsons on August 22 that respondent had not contacted her about the missing documents, Page called respondent, leaving a message on his machine to return his call. Schraeder failed to respond. ¶25 Page finally met with respondent at his Drumright office on 7 November 2000. Respondent assured him that he would contact his former secretary to see if she could help him locate Parsons' missing documents. The following day respondent telephoned Parsons, advising her of his plan to enlist the aid of his former secretary. On December 14 respondent advised Page that he had located the missing documents and would mail them to Parsons the next day, as well as send the Bar a copy of the returned mail receipt. Respondent confirmed these plans by December 16 facsimile transmission to Page. The record indicates respondent did not return the remainder of Parsons' files until on or about 21 March 2001. Respondent insists that the delay was due to activity in closing his private practice. ¶26 The terms of RGDP Rule 5.2 provide that the failure of a lawyer to answer the Bar's request for information shall be grounds for discipline. IV FACTORS TO BE CONSIDERED IN MITIGATION OF DISCIPLINE ¶27 Mitigating circumstances may be considered in the process of assessing the appropriate quantum of discipline. ¶28 Respondent submits medical proof that he suffered from occupational burnout ¶29 Shortly after he became aware of his inability fully to serve his clients respondent sought to correct certain deficiencies in the way his office was managed by closing out his private practice and joining an assemblage of practitioners who can assist him. ¶30 Respondent has been a member of the bar for over 19 years and his professional record reflects neither previous blemishes nor a pattern of misconduct. ¶31 We have taken these matters into account in fashioning the appropriate measure of discipline. V RESPONDENT'S MISCONDUCT WARRANTS A LICENSE SUSPENSION FOR THIRTY (30) DAYS TOGETHER WITH PAYMENT OF THE COSTS OF THIS PROCEEDING ¶32 A bar disciplinary process, including that for imposition of a disciplinary sanction, is designed not to punish the delinquent lawyer, but to safeguard the interests of the public, of the judiciary, and of the legal profession. ¶33 A lawyer's failure to respond to the bar's investigative inquiries is a serious offense. This court in State ex rel. Oklahoma Bar Association v. Robb ¶34 The trial panel recommends a private reprimand as a fit discipline for respondent's breach of professional ethics. After a review of the record and the court's acceptance of the tendered mitigating factors, we hold that the appropriate disciplinary measure to be imposed is a thirty-day suspension of license to practice law. Today's decision is based upon the cumulative[51 P.3d 580] effect of the following factors: (1) respondent's utter failure promptly to respond to the bar's investigative inquires, (2) his lack of concern for a client's economic interest by refusal promptly to account for and restore the unearned portion of fees for nearly a three-year period and (3) his disregard for a client's right to know the status of her case. Although we take note that upon his own initiative respondent sought to determine if there was an underlying cause for his apathy and lost sense of career satisfaction and now seeks professional counseling on a continual basis, the standards to be followed are those that best protect the public and not those that shield the offending lawyer. VI SUMMARY ¶35 In sum, the record bears clear and convincing proof that respondent's participation in several episodes of unprofessional conduct violates the rules governing professional ethics. After a thorough review of the record and recognition of the tendered mitigating factors, RESPONDENT'S LICENSE TO PRACTICE LAW STANDS ORDERED SUSPENDED FOR THIRTY (30) DAYS AND HE IS DIRECTED TO PAY THE COSTS OF THE INVESTIGATION, RECORD AND PROCEEDING IN THE AMOUNT OF $571.03, WHICH SHALL BECOME DUE NOT LATER THAN THIRTY (30) DAYS AFTER THIS OPINION BECOMES FINAL. ¶36 HARGRAVE, C.J., OPALA, KAUGER, SUMMERS, BOUDREAU and WINCHESTER, JJ., concur; ¶37 WATT, V.C.J., HODGES and LAVENDER, JJ., concur in part and dissent in part. LAVENDER ¶1 I would administer a public reprimand.[ 51 P.3d 581 ] FOOT