IA SUPREME CT. ATTY. DISC. BD. v. Box

715 N.W.2d 758
CourtSupreme Court of Iowa
DecidedJune 16, 2006
Docket05-1788
StatusPublished

This text of 715 N.W.2d 758 (IA SUPREME CT. ATTY. DISC. BD. v. Box) is published on Counsel Stack Legal Research, covering Supreme Court of Iowa primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
IA SUPREME CT. ATTY. DISC. BD. v. Box, 715 N.W.2d 758 (iowa 2006).

Opinion

715 N.W.2d 758 (2006)

IOWA SUPREME COURT ATTORNEY DISCIPLINARY BOARD, Appellant,
v.
James M. BOX, Appellee.

No. 05-1788.

Supreme Court of Iowa.

June 16, 2006.

*759 Wendell J. Harms, Des Moines, for appellant.

Kent A. Gummert and Frank A. Comito of Gaudineer, Comito & George, L.L.P., West Des Moines, for appellee.

CARTER, Justice.

Pursuant to Iowa Court Rule 35.11(2), the Iowa Supreme Court Attorney Disciplinary Board was granted permission to appeal from the findings and recommendations of the Grievance Commission concerning alleged disciplinary rule violations by the respondent attorney. The respondent attorney has cross-appealed from those findings and recommendations. Until now the matter has proceeded under the confidentiality provisions of Iowa Court Rule 35.11(2). Because we now conclude that public discipline is warranted, confidentiality is no longer required, and we refer to the respondent attorney by name in our opinion.

The complaint against attorney James M. Box alleged that he violated Disciplinary Rules 7-104(A)(1) and (2) of the Iowa Code of Professional Responsibility for Lawyers. These rules will henceforth be referred to in our opinion as DRs. DR 7-104(A)(1) prohibits communication by a lawyer representing a client with another person involved in the same transaction if it is known that the other person is represented by counsel with respect to that transaction. DR 7-104(A)(2) prohibits a lawyer representing a client from giving advice to another person whose interests are in conflict with those of the lawyer's client. The Grievance Commission found that attorney Box violated DR 7-104(A)(1), but did not violate DR 7-104(A)(2). Attorney Box on his cross-appeal contends that he violated neither of these disciplinary rules. The appeal of the disciplinary board does not challenge the finding concerning DR 7-104(A)(2), but *760 does challenge the Grievance Commission's recommended sanction of a private admonition for the violation of DR 7-104(A)(1). The disciplinary board urges that the violation that was established calls for public discipline in the form of a reprimand. We agree with that contention.

The facts that bear on our inquiry, as gleaned from the record, show the following events. In September 2001 Martha Hillard was an eighty-year-old widow. She was childless and, although she owned a home in Mediapolis, Iowa, she was then residing temporarily with her niece, Shirley Slonaker, in the Ottumwa area.

Martha had previously owned substantial farm real estate in Des Moines County, but after her brother, John, had moved his farming operations from Des Moines County to the Ottumwa area, she effected a tax-free exchange in 1996 of her Des Moines County farm property for agricultural land of like quantity in a tri-county area in Wapello, Mahaska, and Keokuk Counties. In September 2001 the farm property owned by Martha in this tri-county area totaled 315 acres and had a market value of $975,000.

In June 2001 Martha had executed a will prepared by a Burlington attorney. In that will, she devised a life estate in her farmland to her niece, Shirley Slonaker, with the remainder gifted in equal shares to each of Shirley's four children. One of Shirley's four children was Todd Gingrich. Todd, who was married, was farming Martha's land in the tri-county area under lease in partnership with Martha's brother, John Gingrich.

Sometime prior to August 2, 2001, Martha had been approached by two life insurance brokers who influenced her to convert her estate plan into a living trust and, in the process, purchase some additional life insurance. Ultimately, she never purchased the additional life insurance, but she did execute a living trust instrument prepared by a Cedar Rapids lawyer. The trust was accompanied by a pour-over will that, upon her death, distributed all of her assets to the trust that had not previously been transferred there. The pour-over will revoked the will prepared by the Burlington lawyer less than two months before. Under the trust instrument, Shirley was to be the sole beneficiary of the trust assets upon Martha's death. Shirley was nominated as executor under the pour-over will and was designated as a successor trustee of the trust.

Martha's brother, John, and her nephew, Todd, learned of her estate planning activities and convinced her to go with them to attorney Box, who had previously represented both John and Todd, in order that Box might explain to her what the ultimate disposition of her property was to be under the trust instrument. They also sought to have Box counsel Martha as to the purchase of additional life insurance. John arranged for a meeting at Box's office in Ottumwa on September 7, 2001. Martha arranged to have the Burlington attorney fax a copy of her June will to Box's office. John and his wife came to the meeting with Todd. Shirley, who had previously furnished Box with a copy of the trust instrument, came to the meeting alone. There was at once an acrimonious discourse between Shirley and the others concerning Martha's affairs.

John and Todd insisted that the discussion not proceed further until Martha was present and drove to Shirley's home to get her. Eventually, Martha joined the others in Box's office. During the course of the discussion that followed, Box, who had read both the June will and the August trust instrument, advised all persons present, including Martha, concerning the contrasting disposition of Martha's assets under the two instruments. He advised all *761 persons concerning Shirley's status as a successor trustee and what her powers would be. He also advised Martha against purchasing additional life insurance.

On September 10, 2001, Martha, accompanied by Shirley, counseled with attorney Orville Bloethe. She arranged to have attorney Bloethe prepare an amendment to the trust instrument, which provided that upon her death Shirley would have a life interest in the trust assets with the remainder gifted to Shirley's four children in equal shares. This amendment also provided that if one of Shirley's children was farming the agricultural property at the time of Shirley's death that person would have an option to purchase the farm at fair market value. Attorney Bloethe testified before the Grievance Commission that, at the time of the September 10 conference in his office, Martha appeared frightened and told him she was being pressured into granting Todd a five-year lease on the trust farm property and an option to purchase that property for less than market value. Martha had informed Bloethe of the meeting in Box's office three days before. This prompted Bloethe to write attorney Box as follows:

Martha M. Hillard has visited with me concerning her Last Will & Testament and her Revocable Trust, together with other personal matters.
In the event you would want to communicate with Martha, you should contact me instead inasmuch as I will be representing Martha.

This communication was dated September 11, 2001. Concerning the purposes of that letter, Bloethe testified:

I didn't want to send those people home without what I would say was protection. I'm just trying to protect them and see that if something came up, then I would be consulted; and then we can sit down and go from there. That's all I was wanting to do.

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Iowa Supreme Court Attorney Disciplinary Board Vs. James M. Box
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Bluebook (online)
715 N.W.2d 758, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ia-supreme-ct-atty-disc-bd-v-box-iowa-2006.