Title: Yolanda Springfield-Woodard v.

State: wisconsin

Issuer: Wisconsin Supreme Court

Document:

No. 96-0885-D 
 
 
 
 
 
 
 
 
 
NOTICE 
This opinion is subject to further 
editing and modification.  The final 
version will appear in the bound 
volume of the official reports.   
 
 
 
 
No.  96-0885-D 
 
STATE OF WISCONSIN             :                IN SUPREME COURT 
                                                                   
 
 
In the Matter of Disciplinary Proceedings 
Against YOLANDA SPRINGFIELD-WOODARD, Attorney 
at Law. 
 
FILED 
 
 
APR 30, 1996 
 
 
 Marilyn L. Graves 
  Clerk of Supreme Court 
  
Madison, WI  
 
                                                                 
  
 
 
 
ATTORNEY 
disciplinary 
proceeding. 
 
Attorney's 
license 
suspended. 
 
PER CURIAM.   We review the stipulation filed with the 
complaint of the Board of Attorneys Professional Responsibility 
(Board) establishing the professional misconduct of Attorney 
Yolanda 
Springfield-Woodard. 
 
That 
misconduct 
consisted 
of 
Attorney Springfield-Woodard's commingling of personal funds with 
client funds in a trust account and using trust account funds for 
personal purposes, failing to keep and preserve complete records 
of transactions in her client trust account and produce those 
records at the Board's request, certifying that she had complied 
with the trust account record-keeping rules, writing trust account 
 
No. 96-0885-D 
 
 
 
2 
checks against funds deposited for the benefit of a client without 
keeping adequate records as to the purpose or recipient of those 
withdrawals and failing to respond to requests from the Board for 
production of information and documents and her contradictory 
statements to the Board in its investigation of these matters.  
The parties stipulated to a 60-day license suspension as 
appropriate discipline for that misconduct and the imposition of 
trust account retention and reporting requirements as a condition 
of reinstatement.   
 
We approve the stipulation and adopt the facts and legal 
conclusions set forth therein establishing Attorney Springfield-
Woodard's professional misconduct.  In view of the parties' 
stipulation that there is no clear and convincing evidence of 
misappropriation of client funds and the fact that Attorney 
Springfield-Woodard 
has 
not 
been 
the 
subject 
of 
a 
prior 
disciplinary proceeding, we determine that the misconduct warrants 
a 60-day license suspension and the imposition of trust account 
conditions.   
 
Attorney Springfield-Woodard was admitted to practice law in 
Wisconsin in 1988 and practices in Madison.  The parties 
stipulated that she engaged in the following professional 
misconduct.   
 
In 
June, 
1993, 
Attorney 
Springfield-Woodard 
paid 
for 
automobile repairs by a check written on her law office trust 
account, which she maintained with her husband, who was her law 
 
No. 96-0885-D 
 
 
 
3 
partner.  When informed that the trust account was overdrawn and 
the check would not be honored, the car dealership attempted 
unsuccessfully to contact Attorney Springfield-Woodard, who did 
not respond.  After being notified that the dealership filed a 
grievance with the Board, Attorney Springfield-Woodard's husband 
replaced the trust account check with a cash payment of $277.75.   
 
Attorney Springfield-Woodard acknowledged that she and her 
husband had used their client trust account for personal purposes, 
making payments from it to a clothing store, a bar and an athletic 
club, and that checks in payment of their legal fees were 
deposited into that trust account.  She and the Board stipulated 
that her commingling of personal funds with client funds and using 
the trust account for personal purposes constituted a violation of 
SCR 20:1.15(a).
1   
 
During its investigation of this matter, the Board made 
several requests for production of Attorney Springfield-Woodard's 
                     
     
1  SCR 20:1.15 provides, in pertinent part:  Safekeeping 
property 
 
(a)  A lawyer shall hold in trust, separate from the lawyer's 
own property, property of clients or third persons that is in the 
lawyer's possession in connection with a representation.  All 
funds of clients paid to a lawyer or law firm shall be deposited 
in one or more identifiable trust accounts as provided in 
paragraph (c) maintained in a bank, trust company, credit union or 
savings and loan association authorized to do business and located 
in Wisconsin, which account shall be clearly designated as 
"Client's Account" or "Trust Account" or words of similar import, 
and no funds belonging to the lawyer or law firm except funds 
reasonably sufficient to pay account service charges may be 
deposited in such an account.  . . .   
 
No. 96-0885-D 
 
 
 
4 
trust account records.  After repeatedly promising to produce 
those records, Attorney Springfield-Woodard gave the Board only a 
few months' bank statements.  She subsequently stated that the 
only record she maintained was a checkbook register but said it 
had been lost.  She also asserted that, following the Board's 
request for the records, she intended to create those records but 
never did so.  It was stipulated that her failure to keep and 
preserve complete records of transactions in her client trust 
account violated SCR 20:1.15(e)
2 and that her failure to produce 
the records at the Board's request violated SCR 20:1.15(f).
3   
                     
     
2  SCR 20:1.15 provides, in pertinent part:  Safekeeping 
property 
 
. . . 
 
(e)  Complete records of trust account funds and other trust 
property shall be kept by the lawyer and shall be preserved for a 
period 
of 
at 
least 
six 
years 
after 
termination 
of 
the 
representation.  Complete records shall include:  (i) a cash 
receipts journal, listing the sources and date of each receipt, 
(ii) a disbursements journal, listing the date and payee of each 
disbursement, with all disbursements being paid by check, (iii) a 
subsidiary ledger containing a separate page for each person or 
company for whom funds have been received in trust, showing the 
date and amount of each receipt, the date and amount of each 
disbursement, and any unexpended balance, (iv) a monthly schedule 
of the subsidiary ledger, indicating the balance of each client's 
account at the end of each month, (v) a determination of the cash 
balance (checkbook balance) at the end of each month, taken from 
the 
cash 
receipts 
and 
cash 
disbursement 
journals 
and 
a 
reconciliation of the cash balance (checkbook balance) with the 
balance indicated in the bank statement, and (vi) monthly 
statements, including canceled checks, vouchers or share drafts, 
and duplicate deposit slips.  A record of all property other than 
cash which is held in trust for clients or third persons, as 
required by paragraph (a) hereof, shall also be maintained.  All 
trust account records shall be deemed to have public aspects as 
related to the lawyer's fitness to practice.   
     
3  SCR 20:1.15 provides, in pertinent part:  Safekeeping 
 
No. 96-0885-D 
 
 
 
5 
 
 
Notwithstanding that she did not keep complete trust account 
records as required under the court's rule, in October, 1993, 
Attorney Springfield-Woodard signed the certification on her State 
Bar annual dues statement that she had complied with the 
requirements of that rule.  It was stipulated that her doing so 
violated SCR 20:1.15(g).
4   
(..continued) 
property 
 
. . . 
 
(f)  Upon request of the Board of Attorneys Professional 
Responsibility, or upon direction of the Supreme Court, the 
records shall be submitted to the board for its inspection, audit, 
use and evidence under such conditions to protect the privilege of 
clients as the court may provide.  The records, or an audit 
thereof, shall be produced at any disciplinary proceeding 
involving the attorney wherever material.  Failure to produce the 
records shall constitute unprofessional conduct and grounds for 
disciplinary action.   
     
4  SCR 20:1.15 provides, in pertinent part:  Safekeeping 
property 
 
. . . 
 
(g)  A member of the State Bar of Wisconsin shall file with 
the State Bar annually, with payment of the member's State Bar 
dues or upon such other date as approved by the Supreme Court, a 
certificate stating whether the member is engaged in the private 
practice of law in Wisconsin and, if so, the name of each bank, 
trust company, credit union or savings and loan association in 
which the member maintains a trust account, safe deposit box, or 
both, as required by this section.  Each member shall explicitly 
certify therein that he or she has complied with each of the 
record-keeping requirements set forth in paragraph (e) hereof.  A 
partnership or professional legal corporation may file one 
certificate on behalf of its partners, associates, or officers who 
are required to file under this section.  The failure of a member 
to file the certificate required by this section is grounds for 
automatic suspension of the member's membership in the State Bar 
in the same manner as provided in SCR 10.03(6) for nonpayment of 
dues.  The filing of a false certificate is unprofessional conduct 
and is grounds for disciplinary action.   . . .    
 
No. 96-0885-D 
 
 
 
6 
 
In late 1992 and early 1993, Attorney Springfield-Woodard did 
some legal work in a matter for which her husband was retained, 
and she was aware of the trust account transactions involving that 
client.  In early 1993, her husband was appointed protective payee 
for the client for purposes of Social Security, SSI and disability 
payments.  Between March and June of that year, eight checks 
totaling $6668.41 were deposited into the law firm's trust account 
for that client.  Attorney Springfield-Woodard and her husband had 
no trust account records for the client other than a few scraps of 
paper signed by her husband or the client, or both, and some 
letters purportedly describing their fee arrangement.   
 
Records obtained by the Board disclosed that of the 
approximately $6700 in checks deposited into Attorney Springfield-
Woodard's trust account on that client's behalf, there were signed 
receipts or checks endorsed by the client for only $2058.  Bank 
records further showed that payments of $3550 were made to 
Attorney Springfield-Woodard's law office, allegedly for fees.  An 
additional $676.91 was disbursed out of the client's funds for 
which there is no documentation.   
 
While the majority of the trust account checks written 
against the client's funds were signed by her husband, at least 
five of them were signed by Attorney Springfield-Woodard, four of 
them payable to "cash" or to a check cashing service.  Because of 
the insufficient records kept by Attorney Springfield-Woodard and 
her husband, it was not possible to determine what portion of the 
 
No. 96-0885-D 
 
 
 
7 
client's funds were turned over to the client or used for his 
benefit and what part was received by the attorneys.  It was 
stipulated that the writing of trust account checks to "cash" or 
to the check cashing service against funds deposited for the 
benefit of the client without keeping adequate records as to the 
purpose 
or 
recipient 
of 
those 
disbursements 
violated 
SCR 
20:1.15(b).
5   
 
In the course of its investigation, the Board made at least 
five requests to Attorney Springfield-Woodard to produce specific 
information and trust account documents, and she repeatedly 
promised to do so but never did.  During two depositions, Attorney 
Springfield-Woodard 
made 
statements 
under 
oath 
directly 
contradicted by other statements she made, some of them in 
connection with bank records the Board had subpoenaed.  For 
example, she stated under oath that the reason she used a trust 
account check to pay for the car repairs was that she mistakenly 
believed the trust account checkbook was her personal checkbook, 
which had the same-colored cover and the same-colored checks.  Two 
                     
     
5  SCR 20:1.15 provides, in pertinent part:  Safekeeping 
property 
 
. . . 
 
(b)  Upon receiving funds or other property in which a client 
or third person has an interest, a lawyer shall promptly notify 
the client or third person in writing.  Except as stated in this 
rule or otherwise permitted by law or by agreement with the 
client, a lawyer shall promptly deliver to the client or third 
person any funds or other property that the client or third person 
is entitled to receive and, upon request by the client or third 
person, shall render a full accounting regarding such property.   
 
No. 96-0885-D 
 
 
 
8 
years later, she acknowledged under oath that she knew she was 
using a trust account check to make that payment, that her 
personal account had been closed several months earlier and was 
unavailable to pay for the car repair, and that her personal 
checks and the trust account checks were of different colors.   
 
Attorney Springfield-Woodard also stated under oath that she 
had not personally written any trust account checks during April, 
May and June of 1993, while bank records showed that she 
personally signed 10 trust account checks during that period.  
Finally, she stated under oath that she had voluntarily closed her 
accounts at a bank, including her trust account, because the 
service fees were too high, while bank records show that all three 
of her accounts had been closed because of overdrafts.  It was 
stipulated that Attorney Springfield-Woodard's failure to respond 
to written requests from the Board for production of information 
and documents and her contradictory statements to the Board's 
investigators violated SCR 21.03(4),
6 22.07(2) and (3).
7   
                     
     
6  SCR 21.03 provides, in pertinent part:  General principles 
 
. . . 
 
(4)  Every attorney shall cooperate with the board and the 
administrator in the investigation, prosecution and disposition of 
grievances and complaints filed with or by the board or 
administrator.   
     
7  SCR 22.07 provides, in pertinent part:  Investigation. 
 
. . . 
 
(2)  During the course of an investigation, the administrator 
or a committee may notify the respondent of the subject being 
investigated.  The respondent shall fully and fairly disclose all 
facts and circumstances pertaining to the alleged misconduct or 
medical incapacity within 20 days of being served by ordinary mail 
 
No. 96-0885-D 
 
 
 
9 
 
As discipline for that misconduct, in addition to a 60-day 
license suspension, the parties stipulated to the imposition of 
the following conditions on reinstatement of Attorney Springfield-
Woodard's license:   
 
--upon reinstatement or immediately upon receipt of any 
client trust property, including any unearned retainer, 
she open a trust account pursuant to SCR 20:1.15 and 
within five days give the Board written notice of the 
location and number of that account;  
 
--three months after opening a trust account, she provide the 
Board a copy of all trust account records required by 
SCR 
20:1.15(e), 
including 
journals, 
monthly 
bank 
statements and a schedule for each client having funds 
on deposit in the account during the months being 
reported;  
 
--if a computer software program is used to generate trust 
account records, she use on a monthly basis the 
checkbook balancing feature of the program and generate 
(..continued) 
a request for response to a grievance.  The administrator in his 
or her discretion may allow additional time to respond.  Failure 
to provide information or misrepresentation in a disclosure is 
misconduct.  The administrator or committee may make a further 
investigation before making a recommendation to the board.   
 
(3)  The administrator or committee may compel the respondent 
to answer questions, furnish documents and present any information 
deemed relevant to the investigation.  Failure of the respondent 
to answer questions, furnish documents or present relevant 
information is misconduct.  The administrator or a committee may 
compel any other person to produce pertinent books, papers and 
documents under SCR 22.22.   
 
No. 96-0885-D 
 
 
 
10 
and retain printed copies of all ledgers and journals 
required under SCR 20:1.15(e);  
 
--that for two years following the opening of a trust 
account, she provide to the Board, at her expense, an 
annual audit of that account prepared by a certified 
public accountant.   
 
We 
adopt 
the 
stipulated 
facts 
and 
legal 
conclusions 
establishing 
Attorney 
Springfield-Woodard's 
professional 
misconduct.  We determine that the 60-day license suspension to 
which the parties agreed is appropriate discipline to be imposed, 
together with the conditions concerning her handling of client 
funds and her client trust account in the future.   
 
IT 
IS 
ORDERED 
that 
the 
license 
of 
Attorney 
Yolanda 
Springfield-Woodard to practice law in Wisconsin is suspended for 
a period of 60 days, commencing June 3, 1996.   
 
IT IS FURTHER ORDERED that, as a condition of reinstatement 
of her license, Yolanda Springfield-Woodard comply with the 
conditions set forth in this opinion.   
 
IT IS FURTHER ORDERED that Yolanda Springfield-Woodard comply 
with the provisions of SCR 22.26 concerning the duties of a person 
whose license to practice law in Wisconsin has been suspended.   
 
 
SHIRLEY S. ABRAHAMSON, J., did not participate.   
 
No. 96-0885-D 
 
 
 
 
SUPREME COURT OF WISCONSIN 
 
                                                              
 
Case No.: 
 
96-0885-D 
                                                              
 
Complete Title 
of Case: 
In the Matter of Disciplinary  
 
 
 
Proceedings Against 
 
 
 
Yolanda Springfield-Woodard, 
 
 
 
Attorney at Law. 
 
 
 
_______________________________ 
 
 
 
 
DISCIPLINARY 
PROCEEDINGS 
AGAINST 
SPRINGFIELD-
WOODARD 
 
                                                              
 
Opinion Filed:  
April 30, 1996 
Submitted on Briefs: 
 
Oral Argument: 
 
 
                                                              
 
Source of APPEAL 
 
COURT: 
 
 
COUNTY: 
 
 
JUDGE: 
 
 
                                                              
 
JUSTICES: 
 
 
Concurred: 
 
 
Dissented: 
 
 
Not Participating: 
ABRAHAMSON, J., did not participate 
                                                              
 
ATTORNEYS: