Title: Office of Lawyer Regulation v. Winston P. Brown

State: wisconsin

Issuer: Wisconsin Supreme Court

Document:

1 
2007 WI 110 
 
SUPREME COURT OF WISCONSIN 
 
 
 
CASE NO.: 
2007AP432-D 
 
 
COMPLETE TITLE: 
 
 
In the Matter of Disciplinary Proceedings 
Against Winston P. Brown, Attorney at Law: 
 
Office of Lawyer Regulation, 
          Complainant, 
     v. 
Winston P. Brown, 
          Respondent.   
 
 
 
 
 
DISCIPLINARY PROCEEDINGS AGAINST BROWN 
 
 
OPINION FILED: 
July 27, 2007   
SUBMITTED ON BRIEFS: 
        
ORAL ARGUMENT: 
        
 
 
SOURCE OF APPEAL: 
 
 
COURT: 
        
 
COUNTY: 
        
 
JUDGE: 
        
 
 
 
JUSTICES: 
 
 
CONCURRED: 
        
 
DISSENTED: 
        
 
NOT PARTICIPATING:         
 
 
 
ATTORNEYS: 
 
      
 
 
2007 WI 110
NOTICE 
This opinion is subject to further 
editing and modification.  The final 
version will appear in the bound 
volume of the official reports.   
No.  2007AP432-D  
 
 
STATE OF WISCONSIN  
 
 
   : 
IN SUPREME COURT 
 
 
In the Matter of Disciplinary Proceedings 
Against Winston P. Brown, Attorney at Law: 
 
Office of Lawyer Regulation, 
 
          Complainant, 
 
     v. 
 
Winston P. Brown, 
 
          Respondent. 
 
FILED 
 
JUL 27, 2007 
 
David R. Schanker 
Clerk of Supreme Court 
 
 
 
 
 
ATTORNEY 
disciplinary 
proceeding.   
Attorney's 
license 
suspended.   
 
¶1 
PER CURIAM.   We review the stipulation filed by the 
Office of Lawyer Regulation (OLR) and Attorney Winston P. Brown 
pursuant to SCR 22.12.1  The parties stipulate that Attorney 
                                                 
1 SCR 22.12 provides in relevant part:  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. 
2007AP432-D   
 
2 
 
Brown admits to the facts and misconduct alleged in the OLR 
complaint and agrees that the appropriate level of discipline is 
a 90-day suspension of his license to practice law.   
¶2 
We approve the stipulation and adopt the stipulated 
facts and conclusions of law.  We agree that the seriousness of 
Attorney Brown's misconduct warrants the suspension of his 
license.  We accept the parties' stipulation that a 90-day 
suspension is appropriate discipline. 
¶3 
Attorney Brown was admitted to the practice of law in 
Wisconsin in 1973 and practices in Milwaukee.  He has not 
previously been the subject of professional discipline.   
¶4 
Attorney Brown's misconduct arises from numerous trust 
account rules violations.  Among his numerous failings, Attorney 
Brown failed to perform a reconciliation of his trust account 
between January 1, 2000, and May 12, 2004; failed to maintain 
complete trust account records; misrepresented to the OLR that 
he made notations on the client's ledger contemporaneously with 
deposits and disbursements; failed to identify on his deposit 
slips the client or matter associated with each deposit item; 
and failed to consistently identify the client matter and the 
reason for the disbursement on the memo line of all checks 
disbursed from the trust account after July 1, 2004.   
¶5 
In addition, between January 1, 2000, and October 31, 
2005, Attorney Brown disbursed funds from his trust account 
                                                                                                                                                             
(2) If the supreme court approves a stipulation, 
it shall adopt the stipulated facts and conclusions of 
law and impose the stipulated discipline. 
No. 
2007AP432-D   
 
3 
 
before the deposit of funds from which the disbursement was 
made.  He also deposited his personal funds in his trust 
account, deposited client funds in his office account, and 
allowed earned fees to remain in trust without disbursing them.  
Attorney Brown failed to hold client and third-party funds in 
trust by using client or third-party funds to pay checks in 
matters relating to other clients.  Additionally, he failed to 
promptly notify clients of receipt of funds in which the client 
had an interest and deliver them to the client.   
¶6 
The parties stipulated that Attorney Brown engaged in 
conduct 
involving 
dishonesty, 
fraud, 
deceit 
and 
misrepresentation by informing the court that guardianship funds 
of a client were held in a separate guardianship account when 
the funds were actually being held in his pooled client trust 
account.  Attorney Brown also dishonestly informed the court 
that he was holding $13,485.31 in trust and had a balance of 
funds in the account totaling $10,016.26, when he did not.  
Attorney Brown also engaged in dishonesty by informing the court 
that a bond payment of $300 was owed to Probate Bond Service 
when the $300 had already been paid.   
¶7 
Attorney Brown and the OLR stipulated that his 
misconduct gave rise to the following ten counts alleged in the 
OLR complaint.  Count 1 charged that Attorney Brown's failure to 
perform 
any 
reconciliation 
of 
his 
trust 
account 
between 
January 1, 
2000, 
and 
May 
12, 
2004, 
violated 
former 
SCR 
No. 
2007AP432-D   
 
4 
 
20:1.15(e) (effective through June 30, 2004).2  Count 2 also 
alleged that Attorney Brown failed to maintain complete records 
of trust account funds in violation of former SCR 20:1.15(e) 
(effective through June 30, 2004).  Count 3 alleged that in the 
course of an investigation, Attorney Brown willfully failed to 
provide relevant information or answer questions fully or 
                                                 
2 Former SCR 20:1.15 applies to misconduct committed prior 
to July 1, 2004.  Former SCR 20:1.15(e) provided:  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. 
No. 
2007AP432-D   
 
5 
 
furnish documents, and made a misrepresentation, contrary to SCR 
22.03(6)3 and 20:8.4(f).4   
¶8 
Count 4 of the OLR complaint alleged that by failing 
to identify the client or matter associated with each deposit 
item 
after 
July 
1, 
2004, 
Attorney 
Brown 
violated 
SCR 
20:1.15(f)(1)d. (effective July 1, 2004).5  Also, by failing to 
identify the client matter and reason for the disbursement on 
checks 
after 
July 
1, 
2004, 
Attorney 
Brown 
violated 
SCR 
20:1.15(f)(1)e.1 (effective July 1, 2004),6 as alleged in Count 
                                                 
3 SCR 22.03(6) provides that "[i]n the course of the 
investigation, 
the 
respondent's wilful failure to provide 
relevant information, to answer questions fully, or to furnish 
documents and the respondent's misrepresentation in a disclosure 
are misconduct, regardless of the merits of the matters asserted 
in the grievance." 
4 SCR 20:8.4(f) provides that it is professional misconduct 
for a lawyer to "violate a statute, supreme court rule, supreme 
court order or supreme court decision regulating the conduct of 
lawyers." 
5 SCR 20:1.15(f)(1)d. provides:  Record-keeping requirements 
for trust accounts. 
 
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. 
6 SCR 20:1.15(f)(1)e.1 provides:  Disbursement records. 
 
(1) Checks.  Checks shall be pre-printed and pre-
numbered.  The name and address of the lawyer or law 
No. 
2007AP432-D   
 
6 
 
5.  Count 6 alleged that by disbursing funds from the trust 
account before the deposit was made on numerous occasions 
between January 1, 2000, and October 31, 2005, Attorney Brown 
failed to hold in trust separate from the lawyer's property, 
that 
property 
of 
clients 
in 
the 
lawyer's 
possession 
in 
connection with representation or when acting in a fiduciary 
capacity, contrary to former SCR 20:1.15(a) (effective through 
June 30, 2004),7 and disbursed funds from the trust account prior 
                                                                                                                                                             
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 
account name.  Each check disbursed from the trust 
account shall identify the client matter and the 
reason for the disbursement on the memo line. 
7 Former 20:1.15(a) provided:  Safekeeping property. 
 
(a) A lawyer shall hold in trust, separate from 
the lawyer's own property, that property of clients 
and third persons that is in the lawyer's possession 
in connection with a representation or when acting in 
a fiduciary capacity.  Funds held in connection with a 
representation or in a fiduciary capacity include 
funds held as trustee, agent, guardian, personal 
representative of an estate, or otherwise.  All funds 
of clients and third persons paid to a lawyer or law 
firm shall be deposited in one or more identifiable 
trust accounts as provided in paragraph (c).  The 
trust account shall be maintained in a bank, savings 
bank, trust company, credit union, savings and loan 
association or other investment institution authorized 
to do business and located in Wisconsin.  The trust 
account shall be clearly designated as "Client's 
Account" or "Trust Account" or words of similar 
import.  No funds belonging to the lawyer or law firm, 
except funds reasonably sufficient to pay or avoid 
imposition 
of 
account 
service 
charges, 
may 
be 
deposited in such an account.  Unless the client 
otherwise directs in writing, securities in bearer 
No. 
2007AP432-D   
 
7 
 
to 
the 
deposit, 
contrary 
to 
current 
SCR 
20:1.15(e)(5)a. 
(effective July 1, 2004).8   
¶9 
Count 
7 
of 
the 
OLR 
complaint 
alleged 
that 
by 
depositing his own personal funds in the trust account on at 
least two occasions between January 1, 2000, and October 31, 
2005, as well as allowing earned fees to remain in trust without 
disbursing them, Attorney Brown failed to hold in trust, 
separate from his own property, that property of clients and 
third 
persons 
in 
his 
possession 
in 
connection 
with 
representation or when acting in a fiduciary capacity, contrary 
to former SCR 20:1.15(a) (effective through June 30, 2004) and 
current SCR 20:1.15(b)(1) (effective July 1, 2004).9   
                                                                                                                                                             
form shall be kept by the attorney in a safe deposit 
box in a bank, savings bank, trust company, credit 
union, 
savings 
and 
loan 
association 
or 
other 
investment institution authorized to do business and 
located in Wisconsin.  The safe deposit box shall be 
clearly designated as "Client's Account" or "Trust 
Account" or words of similar import.  Other property 
of a client or third person shall be identified as 
such and appropriately safeguarded.  If a lawyer also 
licensed in another state is entrusted with funds or 
property 
in 
connection 
with 
an 
out-of-state 
representation, this provision shall not supersede the 
trust account rules of the other state. 
8 SCR 20:1.15(e)(5)a. provides:  "Standard for trust account 
transactions.  A lawyer shall not disburse funds from any trust 
account unless the deposit from which those funds will be 
disbursed 
has 
cleared, 
and 
the 
funds 
are 
available 
for 
disbursement." 
9 SCR 
20:1.15(b)(1) 
provides: 
 
Segregation 
of 
trust 
property. 
(1) Separate account.  A lawyer shall hold in 
trust, separate from the lawyer's own property, that 
No. 
2007AP432-D   
 
8 
 
¶10 Count 8 also alleged that by failing to hold client 
and third-party funds in trust by using client or third-party 
funds to pay checks issued in matters related to other clients 
on numerous occasions between January 2, 2000, and October 31, 
2005, Attorney Brown failed to hold in trust separate from his 
own property, the property of clients and third persons in his 
possession in connection with representation or when acting in a 
fiduciary capacity, contrary to former SCR 20:1.15(a) (effective 
through June 30, 2004) and current SCR 20:1.15(b)(1) (effective 
July 1, 2004).   
¶11 In Count 9, the OLR complaint alleged that by failing 
to promptly notify clients of receipt of funds in which the 
client had an interest, and deliver them to the client, Attorney 
Brown violated SCR 20:1.15(d) (effective July 1, 2004).10  
                                                                                                                                                             
property of clients and 3rd parties that is in the 
lawyer's 
possession 
in 
connection 
with 
a 
representation.  All funds of clients and 3rd parties 
paid to a lawyer or law firm in connection with a 
representation shall be deposited in one or more 
identifiable trust accounts. 
10 SCR 20:1.15(d) provides in relevant part:  Prompt notice 
and delivery of property. 
 
(1) Notice and disbursement.  Upon receiving 
funds or other property in which a client has an 
interest, or in which the lawyer has received notice 
that a 3rd party has an interest identified by a lien, 
court order, judgment, or contract, the lawyer shall 
promptly notify the client or 3rd party in writing.  
Except as stated in this rule or otherwise permitted 
by law or by agreement with the client, the lawyer 
shall promptly deliver to the client or 3rd party any 
funds or other property that the client or 3rd party 
is entitled to receive. 
No. 
2007AP432-D   
 
9 
 
Finally, Count 10 alleged that Attorney Brown's May 12, 2004, 
affidavit to the court in a guardianship matter made certain 
misstatements 
regarding 
a 
guardianship 
trust 
account 
and 
expenses not having yet been paid, demonstrating conduct 
involving 
dishonesty, 
fraud, 
deceit 
or 
misrepresentation, 
contrary to SCR 20:8.4(c).11   
¶12 SCR 22.12 provides that if this court approves the 
stipulation it shall adopt the stipulated facts and conclusions 
of law and impose the stipulated discipline.  We adopt the 
findings of fact and conclusions of law to which the parties 
have 
stipulated 
regarding 
Attorney 
Brown's 
professional 
misconduct.  We determine that a 90-day suspension of Attorney 
Brown's misconduct is warranted.  
¶13 IT IS ORDERED that the license of Winston P. Brown to 
practice law in Wisconsin is suspended for a period of 90 days, 
effective the date of this opinion.   
¶14 IT IS FURTHER ORDERED that Attorney Brown comply with 
the provisions of SCR 22.26 concerning the duties of a person 
whose license to practice law in Wisconsin has been suspended.   
 
                                                 
11 SCR 20:8.4(c) states that it is a professional misconduct 
for a lawyer to "engage in conduct involving dishonesty, fraud, 
deceit or misrepresentation." 
No. 
2007AP432-D   
 
 
 
1