In re Forman

250 A.D.2d 116, 680 N.Y.S.2d 612, 1998 N.Y. App. Div. LEXIS 12702
CourtAppellate Division of the Supreme Court of the State of New York
DecidedNovember 23, 1998
StatusPublished
Cited by5 cases

This text of 250 A.D.2d 116 (In re Forman) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Forman, 250 A.D.2d 116, 680 N.Y.S.2d 612, 1998 N.Y. App. Div. LEXIS 12702 (N.Y. Ct. App. 1998).

Opinion

OPINION OF THE COURT

Per Curiam.

The petition, as amended, contains 10 charges of professional [117]*117misconduct against the respondent. In his answer, as amended, the respondent admitted the factual allegations contained in the first nine charges, but denied that he was guilty of any intentional misconduct or impropriety. The respondent also denied that he was guilty of the tenth charge. After a hearing, the Special Referee sustained all 10 charges of professional misconduct against the respondent. The Grievance Committee now moves to confirm the Special Referee’s report. The respondent cross-moves to confirm the Special Referee’s report insofar as it sustains Charges One through Eight and to disaffirm the report insofar as it sustains Charges Nine and Ten.

Charge One alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Anthony Crumbley. The respondent settled Mr. Crumbley’s claim for $125,000. On or about December 1, 1992, the respondent deposited the settlement proceeds into his attorney escrow account. Between December 1, 1992 and May 27, 1993, the respondent was required to maintain a balance of at least $79,411.78 in his escrow account on Mr. Crumbley’s behalf. On May 13, 1993, the balance in the respondent’s escrow account was depleted to $5,940.33.

Charge Two alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Clementine Rowell. The respondent settled Ms. Rowell’s claim for $100,000. On or about June 17, 1993, the respondent deposited the settlement proceeds into his attorney escrow account. Between June 17, 1993 and August 17, 1993, the respondent was required to maintain a balance of at least $58,652.82 in his escrow account on Ms. Rowell’s behalf. On August 4, 1993, the balance in the respondent’s escrow account was depleted to $7,433.83.

Charge Three alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Darrell Baptiste. The respondent settled Mr. Baptiste’s claim for $223,700. On or about August 5, 1993, the respondent deposited the settlement proceeds into his attorney escrow account. Between August 5, 1993 and May 18, 1995, the respondent was required to maintain a balance of [118]*118at least $135,345.34 in his escrow account on Mr. Baptiste’s behalf. On April 14, 1994, the respondent’s escrow account was overdrawn by $7,524.71.

Charge Four alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Luz Rodriguez. The respondent settled Ms. Rodriguez’ claim for $225,000. On or about June 10, 1994, the respondent deposited the settlement proceeds into his attorney escrow account. Between June 10, 1994 and September 1, 1994, the respondent was required to maintain a balance of at least $163,282.50 in his escrow account on Ms. Rodriguez’ behalf. On August 29, 1994, the balance in the respondent’s escrow account was depleted to $1,653.60.

Charge Five alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Leif Lewis. The respondent settled Mr. Lewis’ claim for $160,000. On or about September 13, 1994, the respondent deposited $150,000 of the settlement proceeds into his attorney escrow account. Between September 13, 1994 and October 12, 1994, the respondent was required to maintain a balance of at least $96,667 in his escrow account on Mr. Lewis’ behalf. On September 19, 1994, the balance in the respondent’s escrow account was depleted to $8,321.10.

Charge Six alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Gilbert and Elaine Zlatkin. The respondent settled the Zlatkins’ claim for $127,000. On or about October 13, 1994, the respondent deposited the settlement proceeds into his attorney escrow account. Between October 13, 1994 and November 21, 1994, the respondent was required to maintain a balance of at least $84,666.64 in his escrow account on the Zlatkins’ behalf. On October 26, 1994, the balance in the respondent’s escrow account was depleted to $57,821.10.

Charge Seven alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Susan Brooks. The respondent settled [119]*119Ms. Brooks’ claim for $300,000. On or about September 8, 1994, the respondent deposited $50,000 of the settlement proceeds into his attorney escrow account. Between September 8, 1994 and October 21, 1994, the respondent was required to maintain a balance of at least $33,333.33 in his escrow account on Ms. Brooks’ behalf. On September 19, 1994, the balance in the respondent’s escrow account was depleted to $8,321.10.

On November 21, 1994, the respondent deposited $250,000 of Ms. Brooks’ settlement proceeds into his attorney escrow account. Between November 21, 1994 and January 9, 1995, the respondent was required to maintain a balance of at least $166,667 in his escrow account on Ms. Brooks’ behalf. On December 22, 1994, the balance in the respondent’s escrow account was depleted to $130,081.28.

Charge Eight alleges that the respondent failed to safeguard funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (B) (22 NYCRR 1200.46 [b]). The respondent was retained to prosecute a personal injury claim on behalf of Theodore Vlahakis. The respondent settled Mr. Vlahakis’ claim for $205,000. On or about September 27, 1994, the respondent deposited the settlement proceeds into his attorney escrow account. Between September 27, 1994 and March 9, 1995, the respondent was required to maintain a balance of at least $130,020.69 in his escrow account on Mr. Vlahakis’ behalf. On October 26, 1994, the balance in the respondent’s escrow account was depleted to $57,821.10.

Charge Nine alleges that the respondent improperly commingled his personal funds with funds entrusted to him as a fiduciary, in violation of Code of Professional Responsibility DR 9-102 (A) (22 NYCRR 1200.46 [a]). The respondent maintained an escrow account at Fleet Bank into which he deposited funds entrusted to him as a fiduciary, incident to his practice of law. In or about March 1995, the respondent improperly deposited approximately $50,000 of his personal funds into the aforementioned escrow account while funds entrusted to him as a fiduciary were on deposit in that account.

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In re Jones
100 A.D.3d 57 (Appellate Division of the Supreme Court of New York, 2012)
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Bluebook (online)
250 A.D.2d 116, 680 N.Y.S.2d 612, 1998 N.Y. App. Div. LEXIS 12702, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-forman-nyappdiv-1998.