Office of Disciplinary Counsel v. Harmon

72 Pa. D. & C.4th 115, 2004 Pa. LEXIS 3405
CourtSupreme Court of Pennsylvania
DecidedAugust 27, 2004
DocketDisciplinary Board Docket no. 15 D.B. 2003
StatusPublished

This text of 72 Pa. D. & C.4th 115 (Office of Disciplinary Counsel v. Harmon) is published on Counsel Stack Legal Research, covering Supreme Court of Pennsylvania primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Office of Disciplinary Counsel v. Harmon, 72 Pa. D. & C.4th 115, 2004 Pa. LEXIS 3405 (Pa. 2004).

Opinion

To the Honorable Chief Justice and Justices of the Supreme Court of Pennsylvania:

CURRAN, Member,

— Pursuant to Rule 208(d)(2)(iii) of the Pennsylvania Rules of Disci[116]*116plinary Enforcement, the Disciplinary Board of the Supreme Court of Pennsylvania herewith submits its findings and recommendations to your honorable court with respect to the above-captioned petition for discipline.

I. HISTORY OF PROCEEDINGS

On February 5, 2003, Office of Disciplinary Counsel filed a petition for discipline against respondent, Gwendolyn N. Harmon, also known as Gwen Norman. The petition charged respondent with violations of the Rules of Professional Conduct and Rules of Disciplinary Enforcement arising from allegations that she engaged in a pattern of mishandling fiduciary funds in four client matters. Respondent did not file an answer to any of the counts enumerated in the petition for discipline.

A disciplinaiy hearing was held on October 20,2003, before Hearing Committee 1.16 comprised of Chair James D. Golkow, Esquire, and Members Theresa M. Italiano, Esquire, and George D. DiPilato, III, Esquire. Respondent received notice of the hearing; however, she failed to appear at the hearing. Respondent was reached via telephone during the hearing at which time she was permitted to make a statement. After respondent made her statement, the Hearing Committee advised her that the hearing would proceed as scheduled. No witnesses appeared on respondent’s behalf.

The Hearing Committee filed a report on April 29, 2004, finding that respondent violated Rules of Professional Conduct 1.4(a), 1.4(b), 1.15(a), 1.15(b), and 8.4(c), and recommending that she be suspended for two years.

[117]*117This matter was adjudicated by the Disciplinary Board at the meeting of July 17, 2004.

II. FINDINGS OF FACT

The board makes the following findings of fact:

(1) Petitioner, Office of Disciplinary Counsel, whose principal office is situated at Suite 1400,200 North Third Street, Harrisburg, Pennsylvania, is invested, pursuant to Rule 207 of the Pennsylvania Rules of Disciplinary Enforcement, with the power and duty to investigate all matters involving alleged misconduct of any attorney admitted to practice law in the Commonwealth of Pennsylvania, and to prosecute all disciplinary proceedings brought in accordance with the various provisions of the rules.

(2) Respondent was bom in 1956 and was admitted to practice law in the Commonwealth of Pennsylvania in 1982. The last known mailing address provided by respondent is 1816 North 26th Street, Philadelphia, PA 19121.

(3) At the time of the hearing, respondent was living in Las Vegas, Nevada.

(4) By order of the Supreme Court dated November 17,2000, effective December 17,2000, respondent was transferred to inactive status for failure to meet her Continuing Legal Education requirements.

(5) Respondent is subject to the disciplinary jurisdiction of the Disciplinary Board of the Supreme Court.

(6) Respondent has no record of prior discipline.

[118]*118Charge I — Mishandling of Fiduciary Funds in General

(7) During a three-year period from March 17, 1998 to January 1, 2001, respondent mishandled fiduciary funds.

(8) Respondent’s escrow account at First Union/ CoreStates Bank was out of trust on 167 separate occasions in amounts ranging from $508.96 to $26,516.08.

(9) The cumulative balances in respondent’s escrow account and her First Union operating account were insufficient to cover the amount of fiduciary funds entrusted to respondent on behalf of her clients.

(10) Respondent made numerous transfers from her escrow account to her operating account, and several transfers were made when the operating account had a negative balance.

Charge II — Demetrius Smith Matter

(11) Demetrius Smith retained respondent to represent him in connection with a July 1999 motor vehicle accident.

(12) On or about September 9, 1999, respondent received a check in the amount of $1,996.89 from Travelers Property Casualty Insurance made payable to her client to settle the property damage claim.

(13) On September 24,1999, respondent deposited the check into her escrow account. At the time of the deposit, respondent had a negative balance of $32.80 in the escrow account.

[119]*119(14) Respondent was required to hold in her escrow account $1,996.89 on behalf of Mr. Smith.

(15) On September 27, 1999, respondent transferred $65 from the escrow account to her operating account.

(16) On September 28, 1999, respondent transferred $ 1,600 from the escrow account to her operating account, leaving a balance of $299.09 in the escrow account.

(17) Prior to both transfers, respondent’s operating account registered a negative balance. Following the $1,600 transfer, respondent’s operating account registered a positive balance of $1,554.17.

(18) On September 29, 1999, respondent issued two checks from her operating account to pay her telephone bills.

(19) Thereafter, respondent converted the balance of Mr. Smith’s funds that were in the operating account by making miscellaneous withdrawals from the account until October 4, 1999, when the account became overdrawn by $417.56.

(20) Respondent attempted to use funds received on behalf of another client to satisfy her obligation to Mr. Smith. On November 7,1999, the balance in respondent’s escrow account was $2.01. On November 8, 1999, respondent deposited into her escrow account an $8,000 check made payable to another client, Vanessa Austin, which was not backed by sufficient funds.

(21) On November 8, 1999, respondent issued a check from her escrow account made payable to Mr. Smith in the amount of $1,996.89 and forwarded that check to Mr. Smith. When Mr. Smith attempted to de[120]*120posit this check into his account, it was returned to him due to insufficient funds in respondent’s client escrow account.

(22) By certified letter dated November 29,1999, Mr. Smith informed respondent that he would be retaining another attorney and that his new attorney would contact her for the transfer of his file.

(23) In December 1999, Mr. Smith received the funds he was entitled to receive after renegotiating the check.

Charge III — Judy Lawson Matter

(24) Respondent was retained to represent Judy Lawson for personal injuries sustained in a June 1996 motor vehicle accident.

(25) In January 1999, respondent settled her client’s case and deposited the settlement check in the amount of $3,500 into the escrow account, which brought the balance in the account to $3,508.93.

(26) Respondent was required to hold in her escrow account approximately $ 1,900 on behalf of Ms. Lawson.

(27) Respondent did not promptly distribute the settlement funds to Ms. Lawson.

(28) On January 25, 1999, respondent transferred $500 from the escrow account to an account at First Union Bank, and $500 from the escrow account to her operating account.

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72 Pa. D. & C.4th 115, 2004 Pa. LEXIS 3405, Counsel Stack Legal Research, https://law.counselstack.com/opinion/office-of-disciplinary-counsel-v-harmon-pa-2004.