Louisiana State Bar Ass'n v. Carpenter

553 So. 2d 855, 1989 La. LEXIS 2958, 1989 WL 150326
CourtSupreme Court of Louisiana
DecidedDecember 12, 1989
DocketNo. 88-B-0172
StatusPublished
Cited by1 cases

This text of 553 So. 2d 855 (Louisiana State Bar Ass'n v. Carpenter) is published on Counsel Stack Legal Research, covering Supreme Court of Louisiana primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Louisiana State Bar Ass'n v. Carpenter, 553 So. 2d 855, 1989 La. LEXIS 2958, 1989 WL 150326 (La. 1989).

Opinion

LEMMON, Justice.

This disciplinary proceeding against a member of the Louisiana State Bar Association is based on a complaint by a client that the attorney neglected the legal matters entrusted to him and failed to refund to the client the unearned portion of the fee advanced to him.

The evidence at the investigatory hearing held pursuant to the complaint established that respondent was hired by Ellis Taylor in January of 1985 to represent Taylor’s son in a criminal matter and to represent Taylor in a civil suit arising out of the criminal matter, as well as to handle the emancipation of Taylor’s daughter.1 Taylor made a bank loan to pay respondent the agreed sum of $2,500 for services in these three matters. About a month later respondent contacted Taylor and requested a loan of $1,000. Taylor did not have that much money, but gave respondent a $300 check with the notation “loan”.

Respondent attended the arraignment in the criminal proceeding with Taylor's son. However, respondent did not appear for two subsequent court dates, and he refused to accept Taylor’s telephone calls at his office or at his home. Respondent did arrange to have Taylor’s son’s trial continued, but did not appear on the new trial date. The court therefore appointed a public defender who was eventually successful in having the criminal charges dismissed.

Respondent did not perform any services in connection with the civil suit or the emancipation. Respondent also did not refund any of the advanced fee and did not repay the loan.

The Bar Association filed this disciplinary action charging respondent with failing and neglecting to perform services on behalf of his client and failing to refund the fee advanced by the client, in violation of DR 1-102(A), DR 6-101(A)(3), and DR 7-101(A)(2) and (3) of the Code of Professional Responsibility; receiving a loan from the client during the time of representation and failing to repay the client, in violation of DR 1-102; and failing to cooperate with the Committee on Professional Responsibility by not replying to the complaint filed against him and by not appearing before the Committee in response to a subpoena, in violation of DR 1-102.2

[857]*857At the subsequent hearing before the commissioner appointed by this court respondent testified that the $2,500 was a “starting fee”. He asserted that he performed services in obtaining a setting of bail, interviewing Taylor and his son for two to three hours, reviewing the pertinent documents, interviewing the arresting officer and the victim, securing a reduction in two of the charges from illegal carrying of weapons and unauthorized entry of an inhabited dwelling to simple criminal trespass, and appearing at the arraignment. He stated that he asked Taylor for an additional $1,000 to continue working on the case (not for a loan as Taylor testified), and he asked to get out of the case when Taylor did not pay this amount. The commissioner gave respondent twenty days to document the work that he performed in the criminal matter, and respondent supplied his client file which contained documents showing that bail had been obtained in January, 1985 and the arrest charges had been reduced when the bill of information was filed in June, 1985.

The commissioner concluded that respondent neglected a legal matter entrusted to him and failed to carry out a contract of employment with the client for professional services, in violation of DR 6-101(A)(3) and DR 7-101(A)(2) and (3); that respondent failed to refund the unearned portion of the fee upon his client’s request; that respondent, at a time when he represented Taylor on behalf of his son, requested and received a loan from Taylor which he failed to repay, in violation of DR 1-102;3 and that respondent failed to cooperate with the Committee on Professional Responsibility in its investigation of the alleged misconduct, in violation of DR 1-102(A)(1), (4), (5), and (6) and Rule 8.4 of the Rules of Professional Conduct (the latter rules being in effect at the time of the investigation).

After examining the record, we conclude the Bar Association proved by clear and convincing evidence that respondent neglected the legal matters entrusted to him. Neglect of a legal matter often involves consequences beyond mere delay in presenting a claim or defense. While in some cases a client who is dissatisfied with his attorney’s lack of diligence or communication (and who has not paid the complete fee in advance) can simply hire another lawyer and avoid prejudice to his position, neglect more often causes injury or prejudice to the client beyond mere delay. It is this by-product of neglect which frequently warrants more severe disciplinary sanctions.

In the present case respondent, although paid in advance for the services he was to perform, failed to appear on scheduled court dates in the criminal matter and failed to perform any services in the civil suit or the emancipation. While he did perform some services initially, he could not withdraw from his representation without giving notice of his intent to do so in a timely fashion. See DR 2-110(A)(2). Here, respondent simply abandoned the client without notice by failing to appear in court in the criminal matter, and he failed to perform any services in the other matters. Moreover, because Taylor had to borrow money to pay the advanced fee and because respondent did not refund the unearned portion of the fee, Taylor undoubtedly sustained injury or prejudice beyond mere delay.

Although the advanced fee constituted client’s funds which respondent was required by DR 9-102(A) to place in a separate bank account, he was not charged with any violations in this regard. However, respondent was also required by DR 9-102(B)(3) and (4) to account for the advanced fee and to return any unearned [858]*858portion upon request. He did neither, but was only charged for failing to refund the unearned portion of the fee.

The evidence also established that respondent obtained a loan from a client during the course of the representation. The notation on the client’s check refutes respondent’s assertion that the $300 was an additional advanced fee. Furthermore, whether the amount was a loan or an advanced fee, respondent has failed to account for the funds or to repay any amount to the client.

The evidence further established respondent’s failure to cooperate with the Committee. However, respondent did not affirmatively obstruct the investigation or mislead the Committee, and his negligent conduct in failing to reply to the complaint or to appear at hearings is more appropriately considered in the context of this case as an aggravating factor rather than a separate disciplinary violation.4

The commissioner did not make a penalty recommendation. The Bar Association recommended a suspension of three years, emphasizing that respondent has previously been suspended in Louisiana State Bar Association v. Carpenter, 502 So.2d 1023 (La.1987).

The prior disciplinary proceeding was based upon respondent’s neglecting to file a divorce action, deceiving his client by stating he had filed the suit, and failing to refund the fee advanced for the services he neglected to perform. This court suspended respondent for eighteen months and conditioned his readmission upon refund of the fee paid by the client for the matter neglected by respondent.5

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638 So. 2d 641 (Supreme Court of Louisiana, 1994)

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Bluebook (online)
553 So. 2d 855, 1989 La. LEXIS 2958, 1989 WL 150326, Counsel Stack Legal Research, https://law.counselstack.com/opinion/louisiana-state-bar-assn-v-carpenter-la-1989.