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2014-SC-000664-KB 

JAMES M. CAWOOD 

KBA MEMBER NO. 87653 

TO BE PUBLISHED 

DAT s 

MOVANT 

V. IN SUPREME COURT 

KENTUCKY BAR ASSOCIATION RESPONDENT 

OPINION AND ORDER 

Movant, James M. Cawood, III, moves this Court to impose a suspension 

from the practice of law in the Commonwealth of Kentucky for a period of one 

(1) year, to be probated for a period of three (3) years, subject to conditions. 

Movant was admitted to practice law in the Commonwealth of Kentucky on 

May 3, 1999. Movant's Kentucky Bar Association ("KBA") member number is 

87653 and his bar roster address is 470 Lakeview Drive, Unit 4, Wilder, 

Kentucky 41071. 

KBA File 20173 

In January of 2008, Martha Miller retained Movant to represent her in a 

lawsuit stemming from the death of her son. For approximately one and onehalf years, Movant represented Ms. Miller without issue. However, in the latter 

half of 2009, Movant failed to advance Ms. Miller's case. Movant also failed to 

meet Ms. Miller for scheduled appointments, providing her with no advanced 

notice of his cancellations. Despite Movant's complete abandonment of the 

case, he would not refund Ms. Miller the unearned portion of his fees. 
Consequently, Ms. Miller filed a bar complaint with the KBA. The bar 

complaint was mailed to Movant's bar roster address along with a request for 

additional information, but was subsequently returned to the KBA as 

"Unclaimed." The Office of Bar Counsel attempted to mail the bar complaint 

and request for additional information to an alternative address in November 

and December of 2011. However, both mailings were returned to the KBA 

marked "Unclaimed" and "Unable to Forward." Finally, on February 13, 2012, 

service was made upon Movant via the Executive Director of the KBA pursuant 

to Supreme Court Rule ("SCR") 3.175(2). 

On November 8, 2012, the Inquiry Commission issued a six-count 

Charge against Movant alleging the following violations of the Rules of 

Professional Conduct: Count I, SCR 3.130-1.3 (failure to diligently represent 

client); Count II, SCR 3.130-1.4(a)(2) (failure to reasonably consult with client 

about the means by which the client's objectives are to be accomplished); 

Count III, SCR 3.130-1.4(a)(3) (failure to keep client reasonably informed); 

Count IV, SCR 3.130-1.16(d) (failure to protect client's interest upon 

termination of representation, including refunding any advanced payment or 

fee); Count V, SCR 3.130-8.1(b) (failure to respond to a lawful demand for 

information from a disciplinary authority); and SCR 3.175(a) (failing to 

maintain a current address with the KBA). 

KBA File 20736 

Movant's IOLTA Trust Account ("account") held at Huntington National 

Bank was overdrawn on December 14, 2011, due to a transaction in the 

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amount of $24.50. Thereafter, Movant's account incurred overdraft fees, 

leaving a negative balance of -$115.38. On January 3, 2012, another 

transaction was attempted on Movant's already overdrawn account. At that 

time, Movant's account held a negative balance of -$151.38. On December 29, 

2011, and on January 11, 2012, the Office of Bar Council sent correspondence 

to Movant's bar roster address requesting that he provide the KBA with written 

explanation as to why the account was overdrawn. The letters were returned to 

the KBA marked "Not Deliverable as Addressed" and "Unable to Forward." 

On June 3, 2013, the Inquiry Commission issued a Charge against 

Movant alleging a violation of SCR 3.130-1.15(a) (escrow account violations) 

and SCR 3.175(a) (failing to maintain a current address with the KBA). On 

June 25, 2013, Movant filed his response to the Charge and admitted to 

unknowingly violating the Rules of Professional Conduct. On April 7, 2014, 

KBA Case Files 20173 and 20736 were consolidated. 

Movant admits to the misconduct as described in both Charges. In an 

effort to resolve this consolidated disciplinary action, Movant has negotiated a 

sanction with the Office of Bar Council pursuant to SCR 3.480(2). The 

negotiated sanction suspends Movant from the practice of law in the 

Commonwealth of Kentucky for a period of one (1) year, probated for a period of 

three (3) years, subject to the following conditions: Movant must continue to 

comply with the terms of the Kentucky Lawyer Assistance Program ("KYLAP") 

Supervision Agreement; Movant must sign an authorization, waiver, and 

release form allowing the KBA and Office of Bar Counsel to access and review 

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his KYLAP records and medical and mental health records; Movant shall return 

any documents belonging to Martha Miller along with unearned fees in the 

amount of $256.04; and Movant must attend the Ethics and Professionalism 

Enhancement Program. 

The KBA agrees that the recommended discipline is appropriate and 

supported by similar cases. In support of its position, the KBA directs the 

Court to Kentucky Bar Ass'n v. Gabbard, 172 S.W.3d 395 (Ky. 2005), Kentucky 

BarAss'n v. Koury, 311 S.W.3d 251 (Ky. 2010), and Kentucky BarAss'n v. 

McCartney, 232 S.W.3d 516 (Ky. 2007). In Gabbard, the disciplined attorney 

committed eight counts of disciplinary misconduct, stemming from two 

Charges. 172 S.W.3d at 396. The disciplinary actions were based on 

Gabbard's failure to perform work on behalf of two separate clients. Id. 396-

97. He also failed to return unearned fees and provide the KBA with his 

correct address. Id. at 397. Gabbard received a one-year suspension from the 

practice of law. Id. at 399. 

In Koury, the disciplined attorney was paid a retainer fee of $1,500 to 

represent his client in a traffic matter. 311 S.W.3d at 252. The client was 

unable to contact or recoup his retainer fee after a warrant was issued for his 

arrest due to Koury's failure to appear in court on his behalf. Id. The KBA 

subsequently discovered that Koury provided it with an incorrect address. Id. 

at 253. Ultimately, we sentenced Koury to a one-year suspension. Id. It is 

important to note that the suspension was based on Koury's recent and 

lengthy disciplinary history. Id. 

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Lastly, in McCartney, the attorney was disciplined in two separate 

disciplinary actions. 232 S.W.3d at 516. In both cases, McCartney failed to 

inform his clients that he had abandoned his law practice after being 

suspended from the practice of law for not paying his bar dues. Id. at 516-17. 

McCartney not only failed to return his clients' unearned fees, but he also 

failed to give the KBA a correct address. Id. McCartney was suspended from 

the practice of law for one year. Id. at 518. 

It is in this Court's discretion to accept the negotiated sanction. 

Anderson v. Kentucky Bar Ass'n, 262 S.W.3d 636, 638 (Ky. 2008). All three of 

the aforementioned cases present us with similar misconduct, wherein the 

attorneys failed to adequately represent and communicate with their clients. 

After doing so, the attorneys failed to return unearned fees. Moreover, the 

attorneys did not provide the KBA with correct addresses. In each case, the 

attorney received a suspension from the practice of law for one year. Likewise, 

a one-year suspension is proper in the case before us. However, we agree with 

the Movant and the KBA that a probated suspension is more fitting in this 

situation considering that, unlike in Gabbard and McCartney, Movant's 

misconduct affected only one client. 

In addition, Movant has presented mitigating factors to persuade us that 

a one-year suspension, probated for three (3) years is appropriate. These 

factors illustrate that Movant suffered from an intense addiction to opiates 

during the time period in which the misconduct occurred. He has since sought 

and completed rehabilitative services at Transitions, Inc., in Northern 

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Kentucky. Movant has also executed a Supervision Agreement with the 

Kentucky Lawyer Assistance Program ("KYLAP") and is currently compliant 

with that agreement. 

Based on this mitigating evidence, and in light of similar discipline 

imposed for analogous misconduct, this Court finds that the consensual 

discipline proposed by Movant and agreed to by the KBA is appropriate. 

Therefore, Movant's motion for a probated suspension from the practice of law 

is hereby granted. 

ACCORDINGLY, IT IS ORDERED THAT: 

1. Movant, James M. Cawood, KBA Member No. 87653, is found guilty of 

the above-described and admitted violations of the Rules of Professional 

Conduct. 

2. Movant is hereby suspended from the practice of law in this 

Commonwealth for a period of one (1) year, probated for a period of three 

(3) years. 

3. Movant's probated suspension is conditioned upon him adhering to the 

terms of the KYLAP Supervision Agreement. Within twenty (20) days 

from the date of entry of this Order, Movant must execute and provide 

the KBA and Office of Bar Counsel with an authorization, waiver, and 

release form allowing the KBA and Office of Bar Counsel to access and 

review Movant's KYLAP records and medical and mental health records. 

4. Movant's probated suspension is also conditioned upon his full 

compliance with the terms and recommendations of the KYLAP 

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Supervision Agreement. 

5. Movant shall return any documents belonging to Martha Miller along 

with unearned fees in the amount of $256.04 within thirty (30) days from 

entry of this Order. 

6. Movant must attend and successfully complete the Ethics and 

Professionalism Enhancement Program and may not claim Continued 

Learning and Education credits for attending the program. 

7. Movant shall not receive any additional disciplinary charges during the 

three (3) year probationary period. 

8. If Movant fails to comply with any of the terms of discipline as set forth 

in this Order, upon the Office of Bar Counsel's motion, the Court shall 

impose the one (1) year period of suspension and require client 

notification under SCR 3.390(b). 

9. Pursuant to SCR 3.450, Movant is directed to pay all costs associated 

with these disciplinary proceedings in the amount of $232.17, for which 

execution may issue from this Court upon finality of this Order. 

All sitting. All concur. 

ENTERED: April 2, 2015. 

CHIEF JUSTICE