In re Disciplinary Proceedings Against Swartwout

342 N.W.2d 406, 116 Wis. 2d 380, 1984 Wisc. LEXIS 2283
CourtWisconsin Supreme Court
DecidedJanuary 27, 1984
DocketNo. 83-545-D
StatusPublished
Cited by22 cases

This text of 342 N.W.2d 406 (In re Disciplinary Proceedings Against Swartwout) 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
In re Disciplinary Proceedings Against Swartwout, 342 N.W.2d 406, 116 Wis. 2d 380, 1984 Wisc. LEXIS 2283 (Wis. 1984).

Opinion

PER CURIAM.

Attorney disciplinary proceeding; attorney publicly reprimanded.

This disciplinary proceeding was commenced on March 25, 1983, when the Board of Attorneys Professional Responsibility filed a complaint alleging that Swartwout neglected his client’s products liability action, failed to keep the client advised of the developments in her case, refused to promptly refund part of the $3,200 retainer she had paid him to represent her in the matter, failed to provide a full and fair disclosure of all facts and circumstances in the matter to the local professional responsibility committee, and misrepresented facts to the members of the committee at its hearing. Swartwout denied any wrongdoing, but he admitted that he missed a deadline in responding to a motion to dismiss in his client’s action, which resulted in the dismissal of the action with prejudice, and admitted his failure to name his client’s co-employes as defendants in the action.

Following a hearing on August 16, 1983, the referee Attorney Robert P. Harland, filed his report in which he [381]*381found that Swartwout, who was admitted to practice in 1958 and who now practices in New Berlin, knew or should have known that the action he commenced on behalf of his client was barred by the Federal Employees Compensation Act, that he neglected to bring an action timely against proper persons and that he permitted the statute of limitations to run before he notified his client of the status of her claim. The referee concluded that Swartwout is not justified in retaining any of the money his client paid him to pursue her claim because his incompetent conduct deprived her of all opportunity to have her rights adjudicated. He also concluded that Swartwout’s lack of diligence and competence in handling his client’s matter, in addition to constituting negligence, “rose to the level of professional misconduct.”

As to the allegations that Swartwout did not fully and fairly disclose all of the facts and circumstances concerning this matter and that he misrepresented facts to members of the local professional responsibility committee, the referee found that the board did not offer sufficient proof, having offered into evidence only the entire transcript of the district committee meeting, without specific references to those portions of Swartwout’s testimony which were allegedly inconsistent with some of his correspondence and other testimony.

By way of mitigation, Swartwout introduced testimony of an alcoholism counselor whom he consulted from October, 1982 to May, 1983. The counselor had diagnosed Swartwout as “an alcoholic in the chronic stages . . .” and testified that his chances for recovery are predicated on his remaining free of alcohol and maintaining his involvement in Alcoholics Anonymous. The counselor did not testify to a causal connection between Swartwout’s neglect of his client’s claim and his alcoholism, nor was she asked to make a determination of whether or not his misconduct was precipitated by alcoholism.

[382]*382The only testimony of a causal connection between the misconduct and Swartwout’s alcoholism was Swartwout’s : when board counsel asked whether he considered his failure to promptly process his client’s case, the problems concerning the dismissal of that case, and the problems concerning the refund of his client’s retainer to have been prompted by his alcoholism, Swartwout responded:

“One of the problems of an alcoholic is his failure to accept and deal well with responsibility and I think that bore on not being responsible about supervising [his associate] , not being responsible about keeping a closer tab on the time limits, not being responsible about taking the case back myself and doing it myself. I think it had much to do with a lot of things. I’m amazed as I look back on it, that, you know, that was really — just happened to. be one case that everything flew apart in. I don’t know why it didn’t happen in other cases.”

The referee found, on the basis of the counselor’s testimony and Swartwout’s testimony cited above, that Swartwout’s failure to deal responsibly with his client was attributable to his alcoholism.

The referee recommended that the court suspend Swartwout’s license for one year but that the suspension be stayed provided Swartwout repay the full retainer to his client within 60 days, continue on a regular basis with a recognized program of alcohol rehabilitation, conduct his practice competently and in compliance with Supreme Court Rules, and certify to the board a sworn statement of his compliance with these conditions. Neither Swartwout nor the board appealed from the referee’s report and recommendation.

In an attorney disciplinary proceeding, we review the referee’s findings of fact and adopt them unless they are clearly erroneous. This is the standard of review by which we review judicial disciplinary proceedings, In Matter of Complaint Against Seraphim, 97 Wis. 2d 485, [383]*383509 (1980), Disciplinary Proceedings Against Guay, 101 Wis. 2d 171, 178 (1981), and the standard made applicable by statute to findings of fact made by a referee appointed by a trial court in an action tried without a jury, sec. 805.06(5) (b), Stats. Any language in our prior opinions to the effect that we conduct a de novo review of the record and independently make factual findings is no longer applicable to attorney disciplinary proceedings.

Here we are not convinced that the referee’s finding that Swartwout’s misconduct was attributable to his alcoholism is adequately supported by the evidence, namely, Swartwout’s own statement that his alcoholism “bore” on his not being responsible for the prosecution of his client’s claim. It is significant that Swartwout did not raise the issue of his alcoholism in the proceeding before the district professional responsibility committee and that he did not seek professional help for his alcoholic condition until a time after the board had advised him that it was investigating his alleged misconduct and after his appearance before the district professional responsibility committee.

However, the issue of whether Swartwout’s misconduct was caused by his alcoholism does not affect the discipline that his misconduct warrants. In a recent disciplinary proceeding we adopted the referee’s conclusion that an attorney’s alcoholism does not afford him a recognizable defense to charges of professional misconduct. Disciplinary Proceedings Against Peckham, 115 Wis. 2d 494 (1983). In that case the referee rejected the attorney’s contention that a one-year stayed suspension of his license and the imposition of conditions on his continued practice of law would be appropriate discipline for the reason that his misconduct was caused by his alcoholism. For the same reason, we do not adopt the referee’s recommendation in this case for a stayed one-year suspension of Swartwout’s license to practice law and the [384]*384imposition of conditions on his continued practice. We do, however, adopt the referee’s recommendation that Swartwout repay the full retainer to his client.

Because we were not satisfied with the discipline recommended by the referee for Swartwout’s misconduct, we invited the parties to submit briefs on the issue of appropriate discipline.

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Bluebook (online)
342 N.W.2d 406, 116 Wis. 2d 380, 1984 Wisc. LEXIS 2283, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-disciplinary-proceedings-against-swartwout-wis-1984.