Iowa Supreme Court Attorney Disciplinary Board v. Frank Santiago

869 N.W.2d 172, 2015 Iowa Sup. LEXIS 85, 2015 WL 5239172
CourtSupreme Court of Iowa
DecidedSeptember 4, 2015
Docket15–0024
StatusPublished
Cited by21 cases

This text of 869 N.W.2d 172 (Iowa Supreme Court Attorney Disciplinary Board v. Frank Santiago) 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
Iowa Supreme Court Attorney Disciplinary Board v. Frank Santiago, 869 N.W.2d 172, 2015 Iowa Sup. LEXIS 85, 2015 WL 5239172 (iowa 2015).

Opinion

WATERMAN, Justice.

The Iowa Supreme Court Attorney Disciplinary Board brought a complaint against Frank Santiago, charging him with violating Iowa disciplinary rules in connection with his representation of one client and his failure to follow trust account procedures. A division of the Grievance Commission of the Supreme Court of Iowa found he violated several rules by failing to deposit an advance fee into his trust account, maintain proper trust account records, account for withdrawals, and communicate his hourly rate. The commission recommended a sixty-day suspension, noting as an aggravating factor his failure to correct his bookkeeping practices after a 2011 audit. Santiago admits he violated the trust account rules but argues' the sanction should be no more than a public reprimand. He argues the attorney who reported his misconduct did so out of spite, and his work for underserved, non-English speaking clientele merits greater consideration to mitigate the sanction. On our de novo review, we find Santiago violated the rules and suspend his license to practice law for thirty days.

I. Background Facts and Proceedings.

Santiago has practiced law in Iowa since 1995. He is a solo practitioner with an *174 office in Iowa. City, concentrating in personal injury and criminal defense cases. He frequently represents non-English speaking Hispanic residents. He has no prior disciplinary record, but a 2011 audit of his practice found numerous shortcomings in his bookkeeping and violations of the trust account rules. The 2011 auditor assisted him in complying with record keeping requirements but he failed to take the lessons to heart. This case arose from his representation of one client and the resulting complaint, and the audit conducted in 2013-2014.

A. The 2011 Audit. The Client Security Commission audited Santiago’s trust account in 2011. The auditor, Thomas McGarvey, examined Santiago’s trust account statements from February to August of 2011. McGarvey testified at the 2014 grievance commission hearing that the rules require attorneys to perform a three-way reconciliation of the trust account on a monthly basis, and that Santiago had not performed the required reconciliation since 2007. Santiago admitted to McGarvey he had not been reconciling his account before the audit as required by the rules, but claimed he regularly' performed his own review of the trust account. Santiago produced his bank statements for McGarvey, but had no check register or client ledger to cross-check the bank statements and lacked documentation for some transactions. The bank statements showed Santiago had made prohibited cash withdrawals from the trust account. McGarvey testified at the commission hearing that Santiago’s personal review procedure was inadequate because it would not show when he failed to make trust account deposits. McGar-vey also reported that Santiago made no written accountings to criminal clients when he withdrew funds from the trust account. Instead, Santiago simply withdrew retainer funds from the trust account after performing the work without notifying the clients or identifying the clients for each withdrawal.

McGarvey scheduled a follow-up appointment with Santiago in November of 2011. He found the records in better shape, which McGarvey attributed to the hiring of a new employee. However, Santiago still had not completed a check register, one of the elements necessary for a monthly reconciliation. McGarvey explained the need for individual client ledgers to use in reconciling the accounts each month. He showed Santiago how to complete the required reconciliations. McGar-vey testified he saw no evidence in his review that Santiago misappropriated client funds or acted dishonestly in his bookkeeping. No disciplinary complaint was brought against Santiago as a result of the 2011 audit.

B. Moreno Representation. In early January 2013, Santiago met with Joseph Moreno and agreed to represent him in criminal proceedings. Moreno faced charges for intimidation with a dangerous weapon, reckless use of a firearm, criminal mischief in the first degree, burglary in the first degree, carrying weapons, and operating a motor vehicle while intoxicated (OWI), first offense. According to court filings, Moreno, while severely intoxicated, pointed a loaded Glock 9 mm, semiautomatic handgun at his roommate. Moreno fired shots in their apartment, drove to Coral Ridge Mall, and crashed his Ford Explorer through the glass entrance doors at Scheels All Sports. He then ran to the upper level of the store, smashed the glass case containing ammunition, and passed out there before his arrest by a SWAT team. Moreno paid Santiago $100 for the initial one-hour conference and agreed to pay Santiago $5000 to seek an acceptable plea agreement. On January 3, Moreno gave Santiago $2500 in cash as a retainer. Santiago admittedly never placed that cash *175 retainer in his trust account and, instead, put it in a drawer in his office. Santiago gave Moreno a handwritten receipt on the back of a business card but never discussed his hourly rate with Moreno or entered into a written fee agreement.

Santiago filed his appearance for Moreno in the criminal cases on January 4. According to Santiago, he also advised Moreno on several matters ancillary to the criminal charges, including a restraining order preventing Moreno from entering his apartment, 1 Moreno’s status with the National Guard, and Moreno’s employment with Mercy Hospital. Santiago also discussed Moreno’s case with the assistant county attorney, interviewed witnesses, and performed legal research, all without memorializing his work. By interviewing Moreno’s roommate, Santiago learned that he claimed Moreno had forcibly marched him into the apartment at gunpoint and ordered him to lie down and count to a thousand, before firing shots into a wall. Santiago noted this information was not in the minutes of testimony and would support a charge of kidnapping, a forcible felony. Therefore, Santiago sought a quick plea agreement to forestall that additional felony charge.

Meanwhile, in early February, Moreno contacted Cedar Rapids attorney Maria Victoria Cole and met with her on February 25. On March 7, Moreno decided to dismiss Santiago and retain Cole to represent him. The record is silent about Moreno’s reasons for substituting counsel. Cole called Santiago that day and left him a voicemail. According to Cole, she informed Santiago that Moreno had retained her and requested that Santiago provide Moreno a final accounting of his work and return any unused retainer funds. According to Santiago, Cole demanded the entire $2500 retainer in a threatening manner and did not claim to act as Moreno’s attorney. Cole followed the voicemail with a letter to Santiago dated March 8 informing Santiago of her appearance as counsel for Moreno.

Santiago said he “knew the situation wasn’t going to be good” as soon as he heard Cole’s voice because he believed she carried a grudge from a case they litigated ten years earlier. In 2003, Cole was the assistant county attorney prosecuting Santiago’s client, Raynaro Pirtle, on charges of possession, of marijuana. See State v. Pirtle, No. 03-1655, 2005 WL 67524 (Iowa Ct.App. Jan. 13, 2005). Santiago and Cole’s recollections differ. According to Santiago, at the conclusion of the trial, he asked the judge to inform the jurors that Santiago may contact them.

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Bluebook (online)
869 N.W.2d 172, 2015 Iowa Sup. LEXIS 85, 2015 WL 5239172, Counsel Stack Legal Research, https://law.counselstack.com/opinion/iowa-supreme-court-attorney-disciplinary-board-v-frank-santiago-iowa-2015.