Disciplinary Proceedings Against Roethe

2010 WI 19, 780 N.W.2d 139, 323 Wis. 2d 611, 2010 Wisc. LEXIS 21
CourtWisconsin Supreme Court
DecidedMarch 24, 2010
Docket2008AP2366-D
StatusPublished

This text of 2010 WI 19 (Disciplinary Proceedings Against Roethe) is published on Counsel Stack Legal Research, covering Wisconsin Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Disciplinary Proceedings Against Roethe, 2010 WI 19, 780 N.W.2d 139, 323 Wis. 2d 611, 2010 Wisc. LEXIS 21 (Wis. 2010).

Opinion

*613 PER CURIAM.

¶ 1. We review the report and recommendation of the referee, the Honorable Timothy L. Vocke, that Attorney Jeffrey T. Roethe receive a public reprimand and bear the full costs of this proceeding. Because no appeal has been filed, we review the referee's report and recommendation pursuant to SCR 22.17(2). 1 We approve and adopt the referee's findings of fact and conclusions of law. We agree that Attorney *614 Roethe's professional misconduct warrants a public reprimand. We also find it appropriate to require Attorney Roethe to pay the full costs of this disciplinary proceeding, which are $24,630.53 as of December 16, 2009.

¶ 2. Attorney Roethe was admitted to practice law in Wisconsin in 1969. He practices in Edgerton. In 2000 he received a public reprimand for violating conflict of interest rules when he represented a city, a developer, and a farmer in related reed estate transactions without obtaining appropriate conflict waivers, and he also made misrepresentations to the Board of Attorneys Professional Responsibility, the predecessor to the Office of Lawyer Regulation (OLR).

¶ 3. On September 24, 2008, the OLR filed a complaint alleging five counts of misconduct arising out of Attorney Roethe's handling of two informal probate matters. The first probate matter involved the estate of G.W, who died on October 28, 1999. G.W.'s will appointed her niece, A.W., and her sister, M.S., as co-personal representatives. G.W's will named five beneficiaries, including the two co-personal representatives. G.W.'s will gave her sister-in-law an undivided one-half interest in a home that G.W and M.S. owned as tenants-in-common. The will also made special bequests of personal property and provided that the remainder of the estate be divided equally among the five heirs.

¶ 4. On November 4 and 8, 1999, A.W. and G.W.'s sister-in-law met with Attorney Scott McCarthy, one of Attorney Roethe's partners in the law firm then known as Roethe, Krohn, Pope, McCarthy & Hass, LLP M.S. was present at the November 8, 1999, meeting. No fee agreement was signed on either of those dates. On November 10, 1999, Barb Beyer, the firm's probate paralegal assistant, asked A.W and M.S. to meet at the *615 firm's Edgerton office to sign the initial probate documents. On November 11, 1999, G.W's will and an application for informal probate were filed with the Rock County probate court and Attorney McCarthy entered his appearance in the matter. Domiciliary letters were issued to the co-personal representatives on November 22, 1999.

¶ 5. On November 23, 1999, at Ms. Beyer's request, A.W and M.S. again met at the firm's Edgerton office. Attorney Roethe met with the two women and asked them to sign a document entitled, "Legal Services Agreement." The document referred to A.W and M.S. as "Client" and Roethe, Krohn, Pope, McCarthy & Haas, LLfi as "Attorney." The agreement provided:

1. Services: CLIENT retains and employs ATTORNEY to provide legal services in his behalf concerning the probate of the following estate, to-wit [G.W].
2. Fees: CLIENT agrees to pay ATTORNEY on the following basis (check A or B):
XX (A) FIXED FEE. A total fee not to exceed four (4%) three (3%)*** percent of the gross estate not including costs and disbursements to handle the completion of the estate proceedings through to conclusion.
_(B) HOURLY CHARGE. A fee of $_per hour for
all the time spent by ATTORNEY, and a fee of $_ per hour for PARALEGAL time, on the CLIENT'S matter in completing the estate proceedings to conclusion plus costs and disbursements.
***Unless contested issues increase the fees to not exceed four (4%) [percent],

¶ 6. The agreement did not contain an hourly fee. The fixed fee option was selected by inserting "XX" before the document was presented to the co-personal *616 representatives. The co-personal representatives and Attorney Roethe signed the Legal Services Agreement on November 23, 1999. According to Attorney Roethe, the Legal Services Agreement was his standard written probate fee agreement and he made the change from 4 percent to 3 percent with the understanding that the fee would become 4 percent if there were contested issues.

¶ 7. On November 23, 1999, Attorney Roethe asked the co-personal representatives to sign an undated personal representative's deed for the purpose of conveying G.W.'s undivided one-half interest in the house to GW's sister-in-law, pursuant to the special bequest in G.W's will. The co-personal representatives signed the deed. The day and month on the deed were left blank. The deed stated it was drafted by Attorney McCarthy, and his name was typed under the line for authentication of the grantors' signatures, but the signatures were not authenticated or notarized.

¶ 8. A November 24, 1999, memorandum from Ms. Beyer to Attorney McCarthy stated the personal representative's deed had been signed and would be dated December 31, 1999. As of late November 1999 a large volume of personal property was still in the house and needed to be sorted through and either distributed or sold.

¶ 9. On December 8,1999, Attorney Roethe sent a letter to M.S. clarifying her responsibility for one-half of the expenses associated with the house because she owned an undivided one-half interest in it. Ms. Beyer wrote a December 23,1999, memorandum to Attorneys Roethe and McCarthy summarizing a telephone call she had received from AW The memo referred to a household sale and said that after the sale AW was planning to have the house professionally cleaned and treated for *617 mice infestation, and that once the house was cleaned and readied for sale it could be transferred to G.W.'s sister-in-law.

¶ 10. Attorney Roethe sent a letter dated January 17, 2000, addressed to all five heirs saying that a family meeting was scheduled for January 22 to discuss and resolve any problems. M.S. and one of the heirs were the only people to attend the meeting. Attorney Roethe sent a letter dated January 24, 2000, to A.W expressing his regret that she was unable to attend the meeting. The letter stated that M.S. agreed the house could be put up for sale as soon as possible and that a sale of the personal property could be scheduled. The letter also said that M.S. had serious health problems and that her doctor had recommended she not continue as a co-personal representative. Attorney Roethe said he advised M.S. that instead of appointing someone else, they would work to wrap up the estate as quickly as possible. The letter went on to say that all heirs agreed the house could be immediately conveyed to G.W's sister-in-law, and that if repairs needed to be made to the property, those expenses needed to be paid out of the sale proceeds and not paid by the estate.

¶ 11.

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Bluebook (online)
2010 WI 19, 780 N.W.2d 139, 323 Wis. 2d 611, 2010 Wisc. LEXIS 21, Counsel Stack Legal Research, https://law.counselstack.com/opinion/disciplinary-proceedings-against-roethe-wis-2010.