In Re Complaint as to the Conduct of Koch

198 P.3d 910, 345 Or. 444, 2008 Ore. LEXIS 1125
CourtOregon Supreme Court
DecidedDecember 11, 2008
DocketOSB 06-116, 06-117; SC S055631
StatusPublished
Cited by7 cases

This text of 198 P.3d 910 (In Re Complaint as to the Conduct of Koch) is published on Counsel Stack Legal Research, covering Oregon Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Complaint as to the Conduct of Koch, 198 P.3d 910, 345 Or. 444, 2008 Ore. LEXIS 1125 (Or. 2008).

Opinion

*446 PER CURIAM

In this lawyer disciplinary proceeding, the Oregon State Bar alleged that, in the course of representing two clients, the accused violated Rule of Professional Conduct (RPC) 1.3 (neglect of a client matter); RPC 1.4(a) (failure to keep clients reasonably informed and to respond promptly to reasonable requests for information) (two counts); RPC 1.4(b) (failure to explain matters sufficiently to permit the client to make informed legal decisions); RPC 1.15-l(d) and Code of Professional Responsibility Disciplinary Rule (DR) 9-101(C)(3) 1 (failure to account for client funds and return funds when due) (four counts); RPC 1.16(d) (withdrawing from representation without taking steps to protect the client); and RPC 8.1(a)(2) (failure to comply with demands from the Bar during a disciplinary proceeding) (four counts). We find that the accused did not violate RPC 1.4(b), RPC 1.16(d), and RPC 1.15-l(d) regarding one of her clients. We find that she committed the remainder of the charged violations and suspend her for 120 days from the practice of law.

This case arises in an unusual posture. The Bar entered a default order against the accused because she did not answer the Bar’s complaint. As a result of her default, the allegations in the complaint were deemed true. See Bar Rule (BR) 5.8(a); In re Magar, 337 Or 548, 551-53, 100 P3d 727 (2004). After the default order was entered, the Bar asked that a trial panel be appointed to determine the appropriate sanction. The Bar introduced documentary evidence at the hearing. The accused appeared at the beginning of the hearing. She made a short statement that she was sorry that her personal life had interfered with her practice and then left the room in tears.

After considering the evidence at the hearing, the trial panel did not determine whether the accused had committed the charged ethical violations. Rather, the trial panel appears to have assumed that the accused committed all the charged violations and limited its decision to determining the appropriate sanction. The panel suspended the accused from *447 the practice of law for five months but stayed the suspension pending her completion of a year’s probation. The Bar has petitioned for review of the trial panel’s decision. It argues that the trial panel should have imposed a one-year suspension with no probation.

Before turning to the Bar’s arguments, we note that, at the Bar’s urging, the trial panel appears to have reached the question of sanctions without ever determining whether the accused had committed the charged violations. The fact, however, that the factual allegations in the complaint are deemed true as a result of the accused’s default does not mean that those facts necessarily establish the charged violations by clear and convincing evidence; rather, the trial panel still has to make that finding. See In re Kluge, 332 Or 251, 253, 27 P3d 102 (2001) (describing that two-step process). Only after finding that an ethical violation has occurred may the trial panel determine the appropriate sanction.

Although the trial panel did not make all the necessary findings in this case, we need not remand the case to the trial panel. This court reviews the facts in bar disciplinary proceedings de novo. In re Fitzhenry, 343 Or 86, 88, 162 P3d 260 (2007). Although we give deference to a trial panel’s express credibility findings based on the panel’s observation of the witnesses’ demeanor and manner of testifying, id. at 103, no witness testified in this case regarding the charged violations. Rather, the record on that issue consists solely of the complaint and the exhibits submitted by the Bar. It follows that we may determine on de novo review whether the Bar proved the charged violations by clear and convincing evidence before turning to whether the trial panel imposed an appropriate sanction. We first discuss the charges that arise from the accused’s handling of Mark Dolbeer’s dissolution proceeding and then turn to the charges that arise from her handling of Beth Anne Mahler’s dissolution proceeding.

We take the facts from the allegations in the complaint, which are deemed true as a result of the accused’s default, and from the documents that the Bar submitted to the trial panel. Dolbeer retained the accused in June 2003 to represent him in a dissolution proceeding, and he paid her a $1,500 retainer. The accused worked on Dolbeer’s case over *448 the next few months, and the accused notified Dolbeer of the entry of judgment in the dissolution proceeding in January 2004. After the judgment was entered, the accused did additional work regarding Dolbeer’s dissolution proceeding in August and September 2004.

Beginning in December 2003, shortly before the judgment was entered, Dolbeer “called [the accused] on numerous occasions * * * to find out about refunding the rest of [his] retainer and to have a statement sent with billed hours.” In May 2005, the accused prepared a statement of services, 2 and her office wrote a check to Dolbeer for $397, the unearned balance of his retainer. It is not clear whether the accused’s office failed to put the check and the statement of services in the mail or whether those documents were lost in the mail. In any event, Dolbeer did not receive either the statement of services or the refund check.

On February 27, 2006, Dolbeer called the accused and asked about the balance of his retainer. The accused said that she had sent him a check in May 2005 and was surprised that he had not received it. “She assured [him] that she was extremely embarrassed and promised to get the check to [him] right away.” When Dolbeer had not received the check by March 24, 2006, he filed a complaint with the Bar, and the Bar asked the accused for a response four days later.

The accused sent Dolbeer a check for $397 in April 2006 and sent the Bar a written response to Dolbeer’s complaint on May 22, 2006. The accused acknowledged that Dolbeer had tried to contact her between December 2003 and February 2006. She said that they had spoken “intermittently between December 2003 and May 2005,” that their conversations concerned whether the case was over, and that her office had cut Dolbeer a check in May 2005 for the unearned balance of his retainer. The accused explained that she had not heard from Dolbeer until February 2006, when he called to say that he had not received a refund. The accused acknowledged that, after receiving Dolbeer’s February 2006 call, she had not issued him a refund check immediately. She explained that, because she “had been very *449 ill and then learned that [her] mother was hospitalized,” she had not followed up as quickly as she should have. The accused also provided time sheets, billing statements, and other records to support her explanation.

The Bar did not pursue the matter further until September 14,2006. At that time, the disciplinary counsel for the Bar wrote the accused asking for additional information to verify her earlier explanation.

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

Related

In re Complaint as to the Conduct of Gatti
333 P.3d 994 (Oregon Supreme Court, 2014)
In Re Complaint as to the Conduct of Renshaw
298 P.3d 1216 (Oregon Supreme Court, 2013)
In Re Complaint as to the Conduct of Obert
282 P.3d 825 (Oregon Supreme Court, 2012)
In Re the Reciprocal Discipline of Lopez
252 P.3d 312 (Oregon Supreme Court, 2011)
In Re Complaint as to the Conduct of Groom
249 P.3d 976 (Oregon Supreme Court, 2011)
In Re Complaint as to the Conduct of Snyder
232 P.3d 952 (Oregon Supreme Court, 2010)
In Re Complaint as to the Conduct of Jackson
223 P.3d 387 (Oregon Supreme Court, 2009)

Cite This Page — Counsel Stack

Bluebook (online)
198 P.3d 910, 345 Or. 444, 2008 Ore. LEXIS 1125, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-complaint-as-to-the-conduct-of-koch-or-2008.