In Re Rickabaugh

661 N.W.2d 130, 2003 Iowa Sup. LEXIS 100, 2003 WL 21019617
CourtSupreme Court of Iowa
DecidedMay 7, 2003
Docket02-1145
StatusPublished
Cited by7 cases

This text of 661 N.W.2d 130 (In Re Rickabaugh) is published on Counsel Stack Legal Research, covering Supreme Court of Iowa primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Rickabaugh, 661 N.W.2d 130, 2003 Iowa Sup. LEXIS 100, 2003 WL 21019617 (iowa 2003).

Opinion

PER CURIAM.

The Nebraska Supreme Court disbarred attorney William Rickabaugh for various ethical violations, including accepting a legal matter he was not competent to handle, neglect, and creating fictitious legal documents. The Nebraska court forwarded a copy of the decision to our clerk, and we issued a reciprocal discipline notice and order under Iowa Court Rule 35.18. Ric-kabaugh filed a timely objection, and a hearing was held before a panel of this court.

At the hearing, Rickabaugh conceded he could not challenge the merits of the underlying Nebraska judgment, but maintained his acute anemia prevented him from adequately conducting discovery and defending his interests in the disciplinary proceedings. He also asserted a Nebraska disbarment differs from an Iowa disbarment, and an Iowa disbarment would be too severe a sanction. See Iowa Ct. R. 35.18(2).

Upon our review en banc, we conclude the Nebraska proceeding afforded Ricka-baugh an adequate opportunity to defend his interests, a Nebraska disbarment does not differ significantly from an Iowa disbarment, and the appropriate sanction in this case is an indefinite suspension of Rickabaugh’s license to practice law in Iowa, with no possibility of reinstatement for three years.

I. Background Facts and Proceedings.

The Nebraska Supreme Court summarized the relevant findings in this case as follows:

In regard to count I, respondent advised Randall Davis and his business associate David Mutum (the clients) regarding collective bargaining agreements but failed to inform them that he was not qualified, either by experience *131 or training, to give such advice. Respondent also represented the clients and their companies as defendants in a lawsuit concerning the collective bargaining agreements which was filed in federal court. Respondent failed to inform the clients that he was not qualified, either by experience or training, to handle the representation of a lawsuit in federal court. Respondent faded to keep the clients advised of developments in the case, including settlement negotiations, and failed to review settlement documents with the clients or to explain to them the import of such documents.
In regard to count II, respondent created fictitious pleadings and forged a judge’s signature in an attempt to persuade Davis that respondent had filed a lawsuit and obtained a judgment in favor of one of Davis’ companies against another company. The referee rejected respondent’s asserted defense that he had created the fictitious pleadings to appease Davis in order to prevent possible unspecified violence by Davis. Respondent could not identify any specific threat of violence which may have been made.

Nebraska ex rel. Counsel for Discipline v. Rickabaugh, 264 Neb. 398, 399-400, 647 N.W.2d 641, 642 (2002).

The foregoing factual findings from the Nebraska proceeding are conclusive and not subject to readjudication. Iowa Ct. R. 35.18(2); In re Kirshen, 451 N.W.2d 807, 808 (Iowa 1990). Similarly, because neither party filed exceptions to the Nebraska referee’s report and recommendation regarding Rickabaugh, the Nebraska Supreme Court considered the referee’s findings final and conclusive. See Neb. Ct. R. of Discipline 10(L) (rev.2001); Nebraska ex rel. Counsel for Discipline v. Apker, 263 Neb. 741, 748, 642 N.W.2d 162, 169 (2002).

Based on these findings, the court concluded Rickabaugh violated “DR 1-102(A)(1), (4), (5) and (6); DR 6-101(A)(l), (2) and (3); and DR 7-102(A)(3) and (5)” as well as his attorney’s oath of office, and determined he should be disbarred.

II. Rickabaugh’s Challenge to the Findings.

Rickabaugh claims his anemia prevented him from conducting the discovery necessary to acquire evidence supporting his claim that he created the fictitious documents to prevent Davis from committing domestic violence. He also asserts his condition rendered him unable to defend himself against the charges. We reject these claims. Rickabaugh raised the issue of his anemia before the Nebraska referee, and testified at length at the hearing, without seeking breaks or other respite. He failed to file an exception to the referee’s report, and did not assert his anemia defense again before the Nebraska Supreme Court. We will not now allow him to conduct his discovery and retry his case anew in our court. There is no evidence his anemia was so debilitating as to rise to the level of a due process deprivation. See Iowa Ct. R. 35.18(3)(⅛).

Rickabaugh’s actions in accepting a legal matter which he was not competent to handle, neglecting a client’s legal matter, and misrepresenting the status of an action and creating fictitious pleadings, including a forged judge’s signature, constituted clear violations of comparable provisions of our disciplinary rules. We therefore turn to his claims regarding the appropriateness of the sanction.

III. Sanction.

A. Identical discipline. Rickabaugh notes that while Iowa’s reinstatement rule, Iowa Court Rule 35.13, does not provide for reinstatement after disbarment, dis *132 barred attorneys may seek reinstatement in Nebraska after 5 years. See Neb. Ct. R. of Discipline 10(L) (rev.2001). He argues this means that an Iowa disbarment is more severe than a Nebraska disbarment, and therefore does not constitute identical discipline. Counsel for our Board of Professional Ethics and Conduct responds that despite the formal availability of reinstatement after disbarment, a Nebraska disbarment is virtually a permanent revocation. Counsel cites an affidavit by the Counsel for Discipline of the Nebraska Supreme Court that out of 118 attorneys disbarred since 1981, none of them have been reinstated.

We previously noted the distinction Ric-kabaugh makes in our Kirshen case, but we did not definitively resolve the issue at that time. In re Kirshen, 451 N.W.2d 807, 809 (Iowa 1990). We stated:

We recognize that we are unable to conclude with certainty from this difference in procedural rules that disbarment in Iowa is a more severe sanction than disbarment in Nebraska. We do not have significant data as to how Nebraska has treated disbarred attorneys who have sought reinstatement under its rules. Moreover, there is no way to predict how the Supreme Court of Nebraska will treat attorney Kirshen should he seek reinstatement after the five-year period.

Kirshen, 451 N.W.2d at 809.

Although the apparent difference between the reinstatement rules in Nebraska and Iowa renders Rickabaugh’s claim facially appealing, we now conclude that disbarment in the two states is essentially an identical sanction for purposes of rule 35.18. Disbarment or license revocation is the highest available sanction in both states. Compare State ex rel. Neb. State Bar Ass’n v. Miller,

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Related

IA SUPREME CT. ATTY. DISC. BD. v. Thompson
732 N.W.2d 865 (Supreme Court of Iowa, 2007)
Iowa Supreme Court Attorney Disciplinary Board v. Rickabaugh
728 N.W.2d 375 (Supreme Court of Iowa, 2007)
Attorney Grievance Commission v. Whitehead
890 A.2d 751 (Court of Appeals of Maryland, 2006)
Mississippi Bar v. Drungole
913 So. 2d 963 (Mississippi Supreme Court, 2005)

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Bluebook (online)
661 N.W.2d 130, 2003 Iowa Sup. LEXIS 100, 2003 WL 21019617, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-rickabaugh-iowa-2003.