In Re: James Carol Worthington

• Court: Kentucky Supreme Court
• Decided: March 20, 2025
• Docket: 2025-SC-0028
• Status: Unpublished

Opinion

TO BE PUBLISHED

Supreme Court of Kentucky 2025-SC-0028-KB

IN RE: JAMES CAROL WORTHINGTON

IN SUPREME COURT

OPINION AND ORDER

This matter is before the Court upon James Carol Worthington’s motion

to resign under terms of permanent disbarment pursuant to SCR 1 3.480(3).

Worthington’s Kentucky Bar Association (“KBA”) Member Number is 88330 and

his bar roster address is 7907 Canonero Way, Apt. A, Louisville, Kentucky

40291. SCR 3.480(3) allows “[a]ny member who has been engaged in unethical

or unprofessional conduct . . . to withdraw his membership under terms of

permanent disbarment . . . .” The Office of Bar Counsel has filed a response

expressing no objection to Worthington's motion. Having reviewed the record

and considered Worthington's admission of unethical conduct, we grant his

motion for permanent disbarment.

I. FACTUAL & PROCEDURAL BACKGROUND

The KBA began investigating Worthington related to his work as the

fiduciary of several client estates and trusts. That investigation led to the

Inquiry Commission on November 8, 2023, filing a Petition for Temporary

1 Rules of the Supreme Court. Suspension pursuant to SCR 3.165(1)(a) and (b). The petition focused on

Worthington’s handling of two client accounts, the Wayne Jones Trust and the

estate of Clarence Stuber, where Worthington was alleged to have converted

over $300,000 in client funds for his personal use. This Court granted the

petition and temporarily suspended Worthington on February 15, 2024.

On September 20, 2024, an information was filed against Worthington in

the United States District Court, Western District of Kentucky. Worthington

entered a plea of guilty to wire fraud one month later, admitting to a violation

of 18 U.S.C. § 1343. 2 Worthington acknowledged unlawfully taking money

from six client accounts totaling $606,004. 3 The federal court sentenced

Worthington to serve 41 months’ imprisonment and ordered him to make

restitution in the amount of $585,028.91. 4 Worthington represents he has

made payment of $340,000 toward this obligation as of the filing of this

motion.

2 18 U.S.C. § 1343 provides, “Whoever, having devised or intending to devise

any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises, transmits or causes to be transmitted by means of wire, radio, or television communication in interstate or foreign commerce, any writings, signs, signals, pictures, or sounds for the purpose of executing such scheme or artifice, shall be fined under this title or imprisoned not more than 20 years, or both If the violation occurs in relation to, or involving any benefit authorized, transported, transmitted, transferred, disbursed, or paid in connection with, a presidentially declared major disaster or emergency (as those terms are defined in section 102 of the Robert T Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5122)), or affects a financial institution, such person shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both.” 3 Of this amount, Worthington had paid back $21,066 at the time of plea.

4 Worthington has been ordered to surrender for service of his sentence “before

2:00 p.m. on the date designated on or after April 8, 2025.” Judgment in a Criminal Case at 3, United States v. Worthington, No. 3:24-CR-104-CRS (W.D. Ky. Feb. 14, 2025).

2 On January 22, 2025, Worthington tendered a Motion to Resign under

terms of Permanent Disbarment. Worthington admits his conduct constituted

unethical behavior that was in violation of the Rules of Professional Conduct

and desires to terminate all pending disciplinary proceedings against him by

resigning. He understands he cannot be reinstated to practice and the

provisions of SCR 3.510 and SCR 3.520 do not apply. He further assures this

Court that upon disbarment he will never again practice law in Kentucky, will

pay all costs associated with this disciplinary investigation and prosecution,

and will comply with the notification provisions of SCR 3.390.

Given the egregious nature of Worthington’s conduct, permanent

disbarment is the appropriate sanction. We have previously ordered

permanent disbarment for theft of smaller sums of client funds by an attorney

serving in a fiduciary capacity. See, e.g., In re Tabler, ___ S.W.3d ___, 2024 WL

5174343 (Ky. Dec. 19, 2024) (theft of over $200,000 by administrator of estate);

Wheeler v. Kentucky Bar Ass'n, 677 S.W.3d 361 (Ky. 2023) (theft of $20,000

from client's trust fund); Kentucky Bar Ass'n v. Edwards, 377 S.W.3d 557 (Ky.

2012) (theft of $78,000 of disabled ward's funds); Kentucky Bar Ass'n v.

Christian, 320 S.W.3d 687 (Ky. 2010) (theft of $13,000 by executor); Kentucky

Bar Ass'n v. Cameron, 262 S.W.3d 643 (Ky. 2008) (misappropriation of $13,490

by court-appointed conservator). Considering Worthington misappropriated

nearly $600,000 from his clients, we have no doubt permanent disbarment is

called for here.

3 ORDER

For the foregoing reasons, it is hereby ORDERED that:

1. James Carol Worthington is permanently disbarred from the practice

of law in the Commonwealth of Kentucky;

2. Pursuant to SCR 3.450, Worthington is directed to pay all costs

associated with these disciplinary proceedings in the amount of

$89.00, for which execution may issue from this Court upon finality of

this Opinion and Order;

3. Pursuant to SCR 3.480(4)(a), Worthington shall take all steps

necessary and practicable to cease all forms of advertisement of his

practice immediately upon entry of this Opinion and Order and shall

report the fact and effect of those steps to the Director of the KBA in

writing within twenty days after this Opinion and Order is entered;

and

4. Pursuant to SCR 3.390, if he has not already done so, Worthington

shall, within twenty days from the entry of this Opinion and Order,

notify all clients, in writing, of his inability to represent them; notify,

in writing, all courts in which he has matters pending of his

4 disbarment from the practice of law; and furnish copies of all letters of

notice to the Office of Bar Counsel.

All sitting. All concur.

ENTERED: March 20, 2024

______________________________________ CHIEF JUSTICE