Disciplinary Proceedings v. Rubin

414 N.W.2d 38, 141 Wis. 2d 221, 1987 Wisc. LEXIS 705
CourtCourt of Appeals of Wisconsin
DecidedOctober 22, 1987
DocketNo. 86-1347-D
StatusPublished
Cited by1 cases

This text of 414 N.W.2d 38 (Disciplinary Proceedings v. Rubin) is published on Counsel Stack Legal Research, covering Court of Appeals of Wisconsin primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Disciplinary Proceedings v. Rubin, 414 N.W.2d 38, 141 Wis. 2d 221, 1987 Wisc. LEXIS 705 (Wis. Ct. App. 1987).

Opinion

PER CURIAM.

Attorney disciplinary proceeding; attorney’s license suspended.

This is an appeal from the referee’s findings of fact, conclusions of law and recommendation that the [222]*222license of Larry E. Rubin to practice law in Wisconsin be suspended for 30 days as discipline for professional misconduct consisting of his having notarized a document containing what purported to be the signature of a person who had not appeared and signed the document in his presence and for having represented in a criminal proceeding the person charged with forging the signature on the document he had notarized, when it was apparent that he could be called as a witness in that proceeding. The referee also recommended that Attorney Rubin be required to pay the costs of this disciplinary proceeding.

We determine that the referee’s findings of fact were not clearly erroneous and that the conclusions with respect to Attorney Rubin’s violations of the Code of Professional Responsibility, SCR chapter 20, were proper in light of the facts found. Accordingly, we adopt the referee’s findings and conclusions. We also accept the referee’s recommendation that Attorney Rubin’s license to practice law be suspended as discipline for his misconduct, but we determine that the period of suspension should be 60 days.

Attorney Rubin was licensed to practice law in Wisconsin in 1979 and practices in Madison. He has twice been disciplined for unprofessional conduct: in December, 1983, the Board of Attorneys Professional Responsibility (Board) privately reprimanded him for having engaged in misrepresentations, fraud and improper advertising and solicitation; in 1985 the court suspended his license to practice law for 90 days as discipline for having misrepresented a matter to a court, having threatened a client with legal action, having failed to keep accurate records of client funds and to account for them, having failed to file an action on behalf of a client or inform the client that the [223]*223action lacked legal merit and having misrepresented to his client that he had filed an action. Disciplinary Proceedings Against Rubin, 123 Wis. 2d 518, 367 N.W.2d 219 (1985). The conduct considered in the instant case predated the imposition of the private reprimand and the license suspension. The referee in this proceeding is the Honorable William C. Sachtjen, reserve judge.

Following a hearing, the referee made the following findings of fact. In November, 1983, a client asked Attorney Rubin to prepare a power of attorney to replace one the client had originally obtained from his mother in 1978 and pursuant to which he had sold his mother’s home on a land contract. The original power of attorney had not been recorded, and the client had lost it. The land contract was to be fulfilled in the fall of 1983, with payment of a balance of approximately $48,000, at which time the client was to give the buyer a warranty deed.

At the time the client asked Attorney Rubin to prepare a replacement power, the client’s mother was incompetent and resided in a nursing home, but the client did not tell Attorney Rubin of his mother’s incompetence. Although the mother did not appear at Attorney Rubin’s office, Attorney Rubin had his secretary prepare a power of attorney including signature lines for the mother and the client. The client signed the document and Attorney Rubin notarized it.

The testimony with respect to the execution of the power is in conflict; the client stated that, to his best recollection, he signed both his and his mother’s names in Attorney Rubin’s presence and Attorney Rubin notarized the power; Attorney Rubin, although not recalling the exact circumstances, testified that he [224]*224would not have notarized a document containing the signature of someone who had not actually appeared before him and signed it and that, in this instance, the power he notarized contained only the client’s signature and that he left it to his client to obtain his mother’s signature and have the power notarized again by someone else. Attorney Rubin did not recall whether the notarization form, stating that both signatories appeared before him and executed the document in his presence, was on the power when he notarized it.

After the client gave a warranty deed to the mother’s property and obtained the proceeds of the land contract, he was charged in a three-count criminal complaint with having converted his mother’s money to his own use, having forged his mother’s signature to the November, 1983, power of attorney and having forged a written authorization to obtain money belonging to his mother. Attorney Rubin agreed to represent the client in the criminal matter and appeared at the initial appearance. Shortly thereafter, Attorney Rubin discussed a plea bargain with the district attorney, offering his client’s no contest plea to two of the counts in the complaint in exchange for the dismissal of the count of forgery on the power of attorney which Attorney Rubin had prepared and notarized. The district attorney expressed concern that Attorney Rubin had a conflict of interest in representing his client in the matter, particularly in light of the fact that the count to be dismissed concerned Attorney Rubin’s actions as well as his client’s. Also, Attorney Rubin’s proposal for a plea agreement did not address in specific terms the matter of a recommendation for sentence.

[225]*225Because of those concerns, the district attorney requested a hearing before the trial judge, and at that hearing the judge directed the client’s attention to Attorney Rubin’s conflict of interest. The client decided to continue to retain Attorney Rubin, but shortly thereafter Attorney Rubin himself withdrew from representation. Following that withdrawal, the client was represented by a public defender and pleaded no contest to the conversion count; the remaining two counts were dismissed.

On the basis of these facts the referee concluded that, by notarizing the power of attorney, whether the client had signed his mother’s name in Attorney Rubin’s presence or presented the document to Attorney Rubin without the purported signature of his mother on it, Attorney Rubin engaged in conduct involving dishonesty, fraud, deceit or misrepresentation, in violation of SCR 20.04(4). The referee concluded that under any possible circumstances, Attorney Rubin either directly participated in the notarization of a forged document or created a situation permitting his client to easily forge his mother’s signature on the power and give the appearance that it had been notarized by Attorney Rubin.

The referee also concluded that, by representing the client in the subsequent criminal proceeding, knowing the charges to include a count of forgery of the power of attorney, Attorney Rubin violated SCR 20.24(2), which prohibits a lawyer from accepting employment in litigation if he knows or it is obvious that the lawyer ought to be called as a witness. The referee concluded that Attorney Rubin was at all times aware that he was a potential witness against his client in a criminal proceeding.

[226]*226In this appeal Attorney Rubin first contested the referee’s finding that he "at all times” knew that he was a potential witness against his client in the criminal proceeding.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

In re Disciplinary Proceedings Against Rubin
490 N.W.2d 750 (Wisconsin Supreme Court, 1992)

Cite This Page — Counsel Stack

Bluebook (online)
414 N.W.2d 38, 141 Wis. 2d 221, 1987 Wisc. LEXIS 705, Counsel Stack Legal Research, https://law.counselstack.com/opinion/disciplinary-proceedings-v-rubin-wisctapp-1987.