In re Francis

79 P.3d 1285, 276 Kan. 898
CourtSupreme Court of Kansas
DecidedJuly 1, 2003
DocketNo. 90,704
StatusPublished
Cited by1 cases

This text of 79 P.3d 1285 (In re Francis) is published on Counsel Stack Legal Research, covering Supreme Court of Kansas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Francis, 79 P.3d 1285, 276 Kan. 898 (kan 2003).

Opinion

Per Curiam:

This is an original proceeding in discipline. The hearing panel found respondent Donald J. Francis violated Kansas Rule of Professional Conduct (KRPC) 1.4 (communication) (2003 Kan. Ct. R. Annot. 349) and KRPC 1.5 (fees) (2003 Kan. Ct. R. Annot. 362). Francis does not contest these findings.

The formal complaint also alleged Francis violated KRPC 1.15 (safekeeping property) (2003 Kan. Ct. R. Annot. 395), KRPC 8.1 (bar admission and disciplinary matters) (2003 Kan. Ct. R. Annot. 459), and Rule 207(b) (duty to assist investigator) (2003 Kan. Ct. R. Annot. 250). One member of the hearing panel would have found a violation of KRPC 8.1. Otherwise, the panel found no violations of these provisions.

Factual Background

In summary, the hearing panel made the following findings of fact:

In April 1997, Francis was hired to represent Donna Torrez in a personal injury action arising out of a car accident. Francis filed the action and settled the case for $6,000 with the defendant driver s insurance company, Shelter Insurance Company (Shelter).

Torrez was to receive $866.31 from the settlement proceeds after payment of her insurance company’s personal injury protection (PIP) lien and Francis’ fees. Francis had entered into an agreement with the PIP carrier to protect its lien; he was to receive ½ of the lien amount as his fee.

On September 15, 2000, Francis had Torrez sign a Shelter settlement check and gave her a check for $866.31 from a trust ac[899]*899count. He directed her to wait to cash the trust account check for 3 weeks. Torrez deposited the check after 1 month, and the check was returned for insufficient funds.

Francis claimed that he sent three letters to the PIP carrier in late 2000. First, he contended, he sent the Shelter settlement check to the PIP carrier for endorsement. He later sent two more letters asking when he “could expect to receive the endorsed settlement check.” The PIP carrier has no record of these three letters from Francis. Francis’ records include copies of only the second and third letters.

Torrez sent a certified letter to Francis on October 23, 2000. She requested a certified check for her share of the settlement, as well as reimbursement to cover the certified mail fee and the fees she incurred because of the returned trust account check. Francis did not respond promptly.

Frands’ records include copies of two letters he contended that he sent to Torrez: one on February 1, 2001, updating her on the status of the settlement proceeds, and one on March 28, 2001, informing her that the PIP carrier never returned the Shelter settlement check with the carrier’s endorsement. Torrez stated she never received either of these two letters.

An agent of the PIP carrier sent a letter to Francis on February 8, 2001, requesting information regarding the status of the settlement. Francis did not respond.

On March 28, 2001, Francis wrote to Shelter, requesting that it issue a second settlement check.

In May 2001, the PIP carrier wrote a second letter to Francis, requesting information on the status of the settlement. Again, Francis did not respond.

In July 2001, Shelter sent a second settlement check to Francis, which he then forwarded to the PIP carrier. The PIP carrier lost this second check, and Francis wrote a letter to Torrez, updating her on this development. Torrez received this letter.

In August 2001, Shelter sent a third settlement check to the PIP carrier. The PIP carrier endorsed this third check and forwarded it to Francis on August 17, 2001. Francis sent a letter to Torrez on [900]*900the same day, informing her about the third check. She received this letter.

On August 22, 2001, Francis and Torrez met at a bank. Francis gave Torrez a check for $866.31 and a letter describing Francis’ fees. Francis did not inform Torrez “that she had the right to have the Respondent’s fee reviewed by a district court.”

Disciplinary Proceedings

Torrez filed her complaint with the Disciplinary Administrator’s office on April 14, 2001. The Deputy Disciplinary Administrator sent a letter to Francis, which enclosed a copy of Torrez’ complaint. This letter requested a written response within 20 days. Francis did not provide a response within that time frame.

The case was referred to the Johnson County Ethics and Grievance Committee for investigation, and Gregory Kincaid was assigned as the investigator. Kincaid requested a personal interview with Francis several times, and Francis agreed to meet with Kin-caid on June 20, 2001. Francis canceled the interview, and it was rescheduled for June 25, 2001.

Francis did not appear at the interview on June 25 and called on June 26 to inform Kincaid that he had been ill. At that time, Kincaid requested a copy of Francis’ records, including his trust account records for October 2000.

The records were not sent to Kincaid. Kincaid then called Francis, leaving him a message on July 25, 2001. Kincaid said that he thought Francis was not cooperating with the investigation and again requested a copy of Francis’ records and a personal interview. Kincaid followed up this message by sending a letter to Francis. Francis did not send his records to Kincaid.

A Special Investigator for the Disciplinary Administrator’s office contacted Francis on July 17, 2002, requesting a written response to the initial complaint. On July 31, 2002, Francis provided the response.

Relevant Rules and Hearing Panel Conclusions

Rule 1.4 provides that “[a] lawyer shall keep a client reasonably [901]*901informed about the status of a matter and promptly comply with reasonable requests for information.”

The hearing panel concluded Francis violated Rule 1.4 by failing to return Torrez’ telephone calls in a timely way and by failing to respond to her written requests for information. In addition, the panel concluded Francis failed to respond to the written requests of the PIP carrier.

KRPC 1.5(d) provides in pertinent part that “[a] fee may be contingent on the outcome of the matter for which the service is rendered .... Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement . . . [that] shall advise the client of the right to have the fee reviewed.”

The panel concluded that Francis did not inform Torrez of her right to have his fee reviewed, in violation of KRPC 1.5.

One member of the hearing panel also would have concluded Francis violated KRPC 8.1 on bar admission and disciplinary matters. He regarded Francis’ version of events, i.e., that numerous letters were sent and yet undelivered, as incredible. The majority of the panel did not agree the Disciplinary Administrator had established by clear and convincing evidence that Francis falsified his records after the investigation started by inserting letters never sent to Torrez or the PIP carrier into his file. These two members of the panel were content to admonish Francis for a lack of diligence in responding to the Disciplinary Administrator.

None of the members of the hearing panel concluded that Francis violated KRPC 1.15, because he did not commingle funds or convert Torrez’ funds.

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Cite This Page — Counsel Stack

Bluebook (online)
79 P.3d 1285, 276 Kan. 898, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-francis-kan-2003.