Opinion ID: 6342537
Heading Depth: 1
Heading Rank: 4

Heading: analysis

Text: A proceeding to discipline an attorney is a trial de novo on the record. State ex. rel. Counsel for Dis. v. Wolfe, 301 Neb. 117, 918 N.W.2d 244 (2018). To sustain a charge in a disciplinary proceeding against an attorney, a charge must be established by clear and convincing evidence. Id. Violation of a disciplinary rule concerning the practice of law is a ground for discipline. Id. - 568 - Nebraska Supreme Court Advance Sheets 311 Nebraska Reports STATE EX REL. COUNSEL FOR DIS. v. CASTREJON Cite as 311 Neb. 560 Based on the record and the undisputed findings of the referee, we find that the above-referenced facts have been established by clear and convincing evidence. Based on the foregoing evidence, we conclude that by virtue of the respondent’s conduct, the respondent has violated §§ 3-501.5(a), 3-501.15, 3-508.1(b), and 3-508.4(a) to (c). We specifically conclude that the respondent has violated her oath of office as an attorney, see § 7-104. Accordingly, we grant the joint motion for judgment on the pleadings. We have stated that the basic issues in a disciplinary proceeding against a lawyer are whether discipline should be imposed and, if so, the type of discipline appropriate under the circumstances. State ex. rel. Counsel for Dis. v. Wolfe, supra. Neb. Ct. R. § 3-304 of the disciplinary rules provides that the following may be considered as discipline for attorney misconduct: (A) Misconduct shall be grounds for: (1) Disbarment by the Court; or (2) Suspension by the Court; or (3) Probation by the Court in lieu of or subsequent to suspension, on such terms as the Court may designate; or (4) Censure and reprimand by the Court; or (5) Temporary suspension by the Court; or (6) Private reprimand by the Committee on Inquiry or Disciplinary Review Board. (B) The Court may, in its discretion, impose one or more of the disciplinary sanctions set forth above. See, also, § 3-310(N). With respect to the imposition of attorney discipline in an individual case, we evaluate each attorney discipline case in light of its particular facts and circumstances. State ex rel. Counsel for Dis. v. Wolfe, supra. For purposes of determining the proper discipline of an attorney, this court considers the attorney’s acts both underlying the events of the case and throughout the proceeding, as well as any aggravating or mitigating factors. Id. - 569 - Nebraska Supreme Court Advance Sheets 311 Nebraska Reports STATE EX REL. COUNSEL FOR DIS. v. CASTREJON Cite as 311 Neb. 560 To determine whether and to what extent discipline should be imposed in an attorney discipline proceeding, this court considers the following factors: (1) the nature of the offense, (2) the need for deterring others, (3) the maintenance of the reputation of the bar as a whole, (4) the protection of the public, (5) the attitude of the offender generally, and (6) the offender’s present or future fitness to continue in the practice of law. Id. The evidence in the present case establishes that there were several types of misconduct, including that the respondent deposited her own funds into her IOLTA to avoid levy by the Internal Revenue Service, failed to respond to the relator’s investigations and requests for information, and failed to provide an accounting to a former client. Mishandling of trust accounts is one of the most serious violations of professional responsibility, and it must be deterred. Absent mitigating circumstances, the appropriate sanction is disbarment. State ex rel. Counsel for Dis. v. Council, 289 Neb. 33, 853 N.W.2d 844 (2014) (noting that we have disbarred numerous attorneys for the misappropriation of client funds). “Mitigating factors may ‘overcome the presumption of disbarment in misappropriation and commingling cases’ where they are ‘extraordinary’ and ‘substantially outweigh’ any aggravating circumstances.” Id. at 45, 853 N.W.2d at 853. When an attorney asserts domestic violence as a mitigating factor, the relator has an obligation to investigate and present evidence, if any, regarding the claim. The burden of proof of a mitigating factor is on the attorney. With respect to the protection of the public, the referee noted that the respondent has demonstrated medical improvement, indicating a repeat of misconduct is extremely unlikely. We note Hecht’s extensive testimony regarding the respondent’s success in therapy, her commitment to continuing therapy, and the potential for ethical future conduct should the respondent return to the practice of law. - 570 - Nebraska Supreme Court Advance Sheets 311 Nebraska Reports STATE EX REL. COUNSEL FOR DIS. v. CASTREJON Cite as 311 Neb. 560 The respondent has admitted wrongdoing and, since her answer to the formal charges, has cooperated with the relator despite her extreme mental and emotional distress. She sought help from professionals for both mental health support and accounting, and she unconditionally agreed to continue in mental health therapy. Although the respondent’s fitness to practice law was significantly impaired, the referee found that the respondent can regain her fitness and capability to practice law. With respect to mitigating factors, the parties agree that the respondent had no prior disciplinary complaints against her. Several letters of support attested to her work ethic, character, and advocacy on behalf of underrepresented and underserved populations. We have not previously addressed the role of domestic violence victimization, including intimate partner violence, coercive control, relationship abuse, and sexual violence in attorney ethical breaches. Specifically, we have not considered the role of being a victim of domestic violence serves as a mitigator in attorney discipline. Compare State ex. rel. Counsel for Dis. v. Thompson, 264 Neb. 831, 642 N.W.2d 593 (2002) (establishing considerations for mitigation involving mental health issues). In the referee’s report, there was no mention of the nascent Nebraska Lawyers Assistance Program’s undertaking that assists and supports lawyers, judges, and law students who experience intimate partner violence. Acknowledging the “alarming trend within the legal profession” in reported domestic violence and sexual assaults, the Nebraska Lawyers Assistance Program now provides resources to legal professionals experiencing intimate partner violence. See Chris Aupperle, Acknowledging Relationship Violence Within the Legal Profession, Neb. Lawyer, Jan.-Feb. 2022, at 47. Further, in a related area, we note the recent creation of Lancaster County’s Safe and Healthy Families Court, a postadjudication court program for families where one of the adjudication issues involved domestic violence. - 571 - Nebraska Supreme Court Advance Sheets 311 Nebraska Reports STATE EX REL. COUNSEL FOR DIS. v. CASTREJON Cite as 311 Neb. 560 As it relates to attorneys, the impact of intimate partner violence has been recognized nationwide, and courts have specifically considered such circumstances to be a mitigating factor in attorney discipline. The Supreme Court of Washington stated in In re Disciplinary Proceeding Against Dornay, 160 Wash. 2d 671, 687, 161 P.3d 333, 341 (2007), that intimate partner violence did not excuse the attorney’s actions, but was “a mitigating factor that merits substantial weight.” Oklahoma has addressed similar mitigation issues in several discipli­ nary matters where the attorney’s misconduct correlated with the years of domestic violence and threats of violence by the attorney’s abuser or where intimate partner violence contributed to the attorney’s extreme emotional distress. See, State ex. rel. Oklahoma Bar Association v. Levisay, 2020 OK 86, 474 P.3d 875 (2020); State ex. rel. Oklahoma Bar Association v. Black, 2018 OK 85, 432 P.3d 227 (2018); State ex. rel. Oklahoma Bar Association v. Hastings, 2017 OK 43, 395 P.3d 552 (2017). In a Georgia disciplinary case, an attorney who admitted that she converted client funds for her own personal use to recover from the financial challenges brought on by her former abusive relationship was found to have done so due to extreme emotional distress stemming from domestic violence. Matter of Saunders, 304 Ga. 824, 822 S.E.2d 235 (2018). In such cases, the impact of the intimate partner violence caused mental distress and emotional problems for the attorney and could be considered as a mitigating factor in determining the appropriate discipline. The record shows that Castrejon’s medical evidence established that she was affected by numerous mental and emotional traumas related to sexual assault and domestic partner violence. The testimonial evidence connected her mental and emotional state as a contributing cause of her misconduct. The testimony of Hecht and the respondent demonstrated that the treatment has been successful, that Castrejon is committed to continuing to work on her treatment, and that future misconduct is highly unlikely. - 572 - Nebraska Supreme Court Advance Sheets 311 Nebraska Reports STATE EX REL. COUNSEL FOR DIS. v. CASTREJON Cite as 311 Neb. 560 With respect to the discipline to be imposed, the referee recommended suspension of the respondent’s license to practice law for a period of 2 years, with credit for her present temporary suspension. We have considered the record, the findings of which have been established by clear and convincing evidence, and the applicable law. Upon due consideration, the court finds extraordinary mitigating factors and finds that a 30-month suspension, retroactive to March 18, 2020, is appropriate. The respondent shall comply with Neb. Ct. R. § 3-316 (rev. 2014), and upon failure to do so, she shall be subject to punishment for contempt of this court. The respondent is directed to pay costs and expenses in accordance with Neb. Rev. Stat. §§ 7-114 and 7-115 (Reissue 2012), § 3-310(P) and Neb. Ct. R. § 3-323(B) within 60 days after an order imposing costs and expenses, if any, is entered by this court. At the end of the 30-month suspension, the respondent may apply to be reinstated to the practice of law, provided that she has demonstrated her compliance with § 3-316 and further provided that the relator has not notified this court that the respond­ent has violated any disciplinary rule during her suspension. Upon reinstatement, the respondent shall complete 2 years of monitored probation. During the period of probation, the respondent will be monitored by an attorney licensed to practice law in the State of Nebraska and approved by the relator. The 2-year monitoring plan shall include, but not be limited to, the following: (1) The respondent shall continue her current regime of therapy with Hecht, and the respondent will remain in therapy with Hecht or another licensed professional for the balance of her supervision or until such time as her therapist or supervising attorney (see below) jointly agree that ongoing therapy is no longer needed. (2) The respondent shall be subject to supervision by an appropriate licensed Nebraska attorney for a 2-year period. - 573 - Nebraska Supreme Court Advance Sheets 311 Nebraska Reports STATE EX REL. COUNSEL FOR DIS. v. CASTREJON Cite as 311 Neb. 560 (3) The respondent shall not engage in a solo law practice, but, rather, she shall work in a setting with other attorneys. (4) The respondent shall not have primary responsibility for managing any law firm operating or trust accounts. Any law firm operating or trust account transactions made by the respondent shall be reviewed and approved by her supervising attorney. (5) The respondent shall complete additional coursework in accounting as directed by her supervising attorney, to ensure the respondent’s future compliance with IOLTA requirements.