In Re Roy

933 P.2d 662, 261 Kan. 999, 1997 Kan. LEXIS 27
CourtSupreme Court of Kansas
DecidedMarch 7, 1997
Docket77,821
StatusPublished
Cited by8 cases

This text of 933 P.2d 662 (In Re Roy) 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 Roy, 933 P.2d 662, 261 Kan. 999, 1997 Kan. LEXIS 27 (kan 1997).

Opinions

Per Curiam:

This is an original proceeding in discipline filed by the Disciplinary Administrator against Mark Allen Roy, an attorney admitted to practice in Kansas whose business address is Overland Park, Kansas.

The facts are not in dispute and were admitted by the respondent. The hearing panel found by clear and convincing evidence the following:

"1. On January 6, 1994, respondent Mark Roy met with Fred and Tina Fields to discuss representation in a Chapter 13 bankruptcy filing. The Fields filled out new client information forms on that date.
“2. On February 19, 1994, the Fields paid a $150.00 retainer to respondent Roy and gave him a copy of a Notice of Sheriff’s Sale on their residence set for March 17,1994.
“3. On February 23, 1994, respondent Roy sent a letter to his clients stating it was imperative to file the bankruptcy petition prior to March 17,1994, to prevent the sale. He requested that they contact him upon receipt of the letter to discuss their intentions on proceeding.
“4. On March 7, 1994, respondent Roy sent Mr. Fields a form letter listing the information that still needed to be provided and requesting that Mr. Fields call to schedule an appointment upon receipt of the letter. Sometime after March 7, 1994, respondent Roy met with Mrs. Fields and received the $510.00 balance of his fees. He emphasized at that time that the bankruptcy petition would need to be filed by March 16, 1994, to stop the Sheriff’s sale.
“5. Communication between respondent Roy and the Fields deteriorated after that time, and on or about March 16, 1994, Mrs. Fields told respondent in a telephone conversation that she would probably not be able to get to his office to sign the schedules or petition.
[1000]*1000“6. At that point, respondent Roy prepared and signed a basic bankruptcy petition form, forged his client’s signatures on it and filed it with the bankruptcy court on March 16,1994.. He did not have his clients’ express authority to file a petition or to sign it on their behalf. He did not prepare or file the schedules. He did fax a copy of the petition to the attorney handling the foreclosure and the Sheriff’s sale was halted.
“7. Later on March 16, 1994, Mr. Fields called respondent Roy’s office and told respondent they had decided not file for bankruptcy. Respondent Roy told Mr. Fields the petition had already been filed because his wife had indicated she could not get to the office but had not indicated a decision not to file.
“8. Rather than taking steps to correct the unauthorized filing, respondent Roy elected to do nothing for six weeks until filing a motion to dismiss the bankruptcy petition. On its own motion, the bankruptcy court dismissed the petition on May 4, 1994, with the final decree of dismissal filed on September 12, 1994.
“9. In early 1995, Mr. Fields contacted respondent Roy because the bankruptcy showed up on his credit reports and he requested help in clearing this up. At that time respondent Roy self-reported the violation to the Disciplinary Administrator’s Office and subsequently to Judge John Flanagan, United States Bankruptcy Court. The matter was referred to the United States Attorney for criminal investigation, but the U.S. Attorney declined to prosecute. The bankruptcy petition still appears on the Fields’ credit report as of July 24, 1996.”

The respondent admitted and the hearing panel found the respondent had violated Model Rules of Professional Conduct (MRPC) 1.1 (1996 Kan. Ct. R. Annot. 257) (competence), MRPC 1.2 (1996 Kan. Ct. R. Annot. 261) (scope of representation), MRPC 1.3 (1996 Kan. Ct. R. Annot. 264) (diligence), MRPC 1.4 (1996 Kan. Ct. R. Annot. 270) (client communication), MRPC 1.5 (1996 Kan. Ct. R. Annot. 276) (fees), MRPC 1.16 (1996 Kan. Ct. R. Annot. 310) (terminating representation), MRPC 3.1 (1996 Kan. Ct. R. Annot. 318) (meritorious claims), MRPC 3.3 (1996 Kan. Ct. R. Annot. 321) (candor toward the tribunal), and MRPC 8.4 (1996 Kan. Ct. R. Annot. 350) (misconduct).

In considering matters in mitigation and aggravation, the hearing panel found that the respondent had no prior disciplinary record; his conduct demonstrated no dishonest or selfish motive; he returned the fee and arranged for and paid a new attorney to assist the Fields in correcting their credit information; he self-reported his violations and was commended by the Disciplinary Administrator for his level of cooperation; he was inexperienced in the law practice, having been admitted in April 1991, less than 3 years prior [1001]*1001to the violations; and the numerous violations arose out of only one set of facts.

In reaching its decision, the hearing panel reviewed two of our prior disciplinary cases, In re Pomeroy, 252 Kan. 1044, 850 P.2d 222 (1993), and In re Caller, 258 Kan. 250, 899 P.2d 468 (1995). In regard to these two decisions, the hearing panel said:

“The former case [Pomeroy] involved an attorney’s action in forging a judge’s signature on letters testamentary and presenting same to a bank for withdrawal of estate funds. In that case, the attorney had no reason to believe his action was authorized by his client, he was suffering from extreme depression and had previously received four informal disciplinary admonitions. In Pomeroy, the panel recommended suspension from the practice of law for 2 years, followed by 3 years’ supervised practice. The Supreme Court instead imposed indefinite suspension.
“In Caller, the attorney falsified his client’s signature on an affidavit. However, the client had previously signed an earlier version of the affidavit and had verbally authorized the change over the phone. The client failed to meet with the attorney at the scheduled time to sign the affidavit and filing deadlines did not allow for a subsequent meeting. The client later signed an affidavit reaffirming the contents of the affidavit signed by the attorney. The Caller panel ‘agonized over a recommended disposition.’ They found aggravating factors absent. They emphasized that many mitigating factors were present, including no prior disciplinary proceedings, no selfish motive, and extreme remorse. The panel recommended published censure. The Supreme Court accepted the recommendation, stating ‘the unique facts herein warrant imposition of a less severe discipline than would normally be imposed for misconduct in these categories.’ ”

The panel found the respondent’s conduct constituted fraud on the court and eroded everyone’s right to rely on the integrity of filed pleadings. This concern is shared by members of the court who point out that as officers of the court, attorneys must be expected to abide by the substance and procedure which affect the administration of justice. The ABA Standards For Imposing Lawyer Sanctions § 6.1 (1991) states:

“Absent aggravating or mitigating circumstances, upon application of the factors set out in Standard 3.0, the following sanctions are generally appropriate in cases involving conduct that is prejudicial to the administration of justice or that involves dishonesty, fraud, deceit, or misrepresentation to a court:

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In Re Roy
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Cite This Page — Counsel Stack

Bluebook (online)
933 P.2d 662, 261 Kan. 999, 1997 Kan. LEXIS 27, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-roy-kan-1997.