State Ex Rel. Oklahoma Bar Ass'n v. Mayes

1999 OK 9, 977 P.2d 1073, 1999 WL 72727
CourtSupreme Court of Oklahoma
DecidedFebruary 23, 1999
DocketSCBD 4335
StatusPublished
Cited by38 cases

This text of 1999 OK 9 (State Ex Rel. Oklahoma Bar Ass'n v. Mayes) is published on Counsel Stack Legal Research, covering Supreme Court of Oklahoma primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State Ex Rel. Oklahoma Bar Ass'n v. Mayes, 1999 OK 9, 977 P.2d 1073, 1999 WL 72727 (Okla. 1999).

Opinion

LAVENDER, J.

¶ 1 Complainant, the Oklahoma Bar Association (complainant or OBA) initiated disciplinary proceedings against respondent, Robert I. Mayes, Jr., pursuant to the Rules Governing Disciplinary Proceedings (RGDP), Rule 6 — Formal Proceedings Before Supreme Court and Professional Responsibility Tribunal, 5 O.S.1991, Ch. 1, App. 1-A, as amended. The parties submitted stipulations of fact, conclusions of law and an agreed recommendation of discipline to a trial panel of the Professional Responsibility Tribunal wherein respondent acknowledged certain violations of the RGDP and the Oklahoma Rules of Professional Conduct (ORPC), 5 O.S.1991, Ch. 1, App. 3-A, as amended. Complainant agreed to recommend to the trial panel and this Court a six month suspension from the practice of law as discipline, and respondent agreed to accept this recommendation. The trial panel held a hearing where respondent testified, numerous exhibits were admitted, and the stipulations, etc. were amplified. After the hearing, the stipulations, etc. were amended to clarify certain matters and to reflect respondent’s testimony. In its written report the trial panel finds respondent guilty of misconduct and recommends a six month suspension. However, the panel also states in the report, a three month suspension would have been recommended but for the stipulation of the parties, complainant’s recommendation and respondent’s agreement to accept a six month suspension.

¶ 2 Although respondent continues to acknowledge his misconduct, he now requests this Court to consider a three month suspension, rather than six months, as the appropriate discipline. We reject his request. The amended stipulations, etc., together with their amplification through evidentiary materials submitted at the hearing, support a determination respondent is guilty of professional misconduct warranting a six month suspension. The costs of these proceedings in the amount of $1291.50 are also charged against respondent. The costs shall be paid within ninety (90) days from the date this opinion becomes final. 1

PART I. PACTS, PROFESSIONAL MISCONDUCT AND MITIGATION.

¶3 Respondent is a licensed attorney, with the majority of his practice consisting of representing persons accused of criminal offenses. 2 He, however, handles some personal injury claims on behalf of injured individuals. At the times giving rise to this matter, respondent did not personally manage his office’s financial activities or watch over his office’s financially related record-keeping requirements. He essentially left the day-today management of both his trust and operating bank account activities to Sharon Vann, his office manager/non-lawyer assistant, who he employed in 1991. Respondent gave Vann authority to use his signature stamp, to deposit money to both his trust and operating accounts and to write checks from both accounts — authority exercised by Vann without much, if any, supervision or oversight from him. Vann also had authority to open respondent’s mail, including his bank statements.

¶ 4 Generally, respondent used an outside accountant to reconcile transactions or activities involving his operating and trust bank accounts only at a year’s end. The record shows respondent gave so little attention to his practice’s financial aspects, that he would rely on Vann to tell him whether he had earned from attorney fees funds which could *1076 be accessed by him for his personal use — i.e. he essentially relied on Vann to decide the appropriateness of placing funds in his operating account and whether or not net proceeds or funds existed in the account. As we will detail, this way of running his law practice and his delegation of other responsibilities to Vann, proved to be serious mistakes on his part.

¶ 5 In April 1996 Mary Stake and Java Collins were injured in an automobile accident. Stake, who was more severely injured, apparently was a Mend of Ms. Vann, and both Stake and Collins hired respondent to represent them in regard to claims arising from the accident. No misconduct is alleged regarding respondent’s representation of Stake or the handling of her claim. The misconduct arises from the Collins representation and the management of her claim by respondent and Vann.

¶ 6 Respondent represented Collins on a contingent fee basis, but no written contingency-fee agreement was signed. Respondent delegated the handling of Collins’ case to Vann — the delegation including authority to negotiate on Collins’ behalf with the relevant insurance company. Evidence in the record is undisputed that: Mary Stake owned the vehicle involved in the accident; Collins was driving the Stake vehicle with Stake as passenger; the accident occurred when another vehicle swerved in front of the Stake vehicle on a highway in Tulsa, causing some type of one-vehicle crash of the Stake vehicle; and neither the vehicle swerving in front of the Stake vehicle, or its owner or driver, were ever apparently located. The insurer negotiated with was, therefore, Stake’s insurance carrier, and Collins’ claim was an uninsured motorist claim. There was also a medical payment claim under the applicable insurance policy.

¶ 7 After negotiation, Vann reached agreement with the insurer’s adjuster, and the carrier issued two checks — one dated August 7, 1996 for $4500 for uninsured motorist benefits (UM) and the other dated July 25, 1996 for $1744.57 for “med-pay”, the latter amount being the exact sum owed on Collins’ medical bills. Both checks were made payable to Collins and Mayes and Associates, and the record shows they were received in respondent’s office about the time of issuance.

¶ 8 Although neither respondent or Vann is charged with fraudulently endorsing Collins’ signature on the checks, Vann apparently endorsed Collins’ signature on the two checks, as Collins did not endorse either check. Respondent believes his office had Collins’ permission to endorse her name, the same type of permission he generally obtained from other clients, in order that settlement monies would be available in a quicker time frame. Further, although there is a conflict in the record as to whether either respondent or Vann sought prior approval of the $4500 UM settlement amount from Collins, the record is undisputed that the total settlement agreement was not communicated to Collins by respondent or Vann prior to Vann’s agreement to settle Collins’ claim— the total settlement agreement being the carrier’s agreement to pay by separate check for Collins’ medical bills and an additional $4500 in UM benefits.

¶ 9 After the insurer’s issuance of the two checks, Vann asked Collins to come to respondent’s office in August 1996 to sign papers agreeing to certain disbursements of the settlement monies. Collins did visit respondent’s office where she dealt with Vann, rather than respondent. Vann presented her with a “settlement sheet” showing receipt of a $4500 gross UM coverage payment with deductions of $1744.57 for medical bills, $1499.85 as respondent’s one-third attorney fee and a balance to Collins of $1255.58. Neither respondent or Vann had notified Collins about receipt of the “med-pay” check when it was received in late July 1996 and Vann continued to withhold from Collins the fact a separate “med-pay” check for $1744.57 had been received from the insurer for payment of the medical bills.

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Bluebook (online)
1999 OK 9, 977 P.2d 1073, 1999 WL 72727, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-ex-rel-oklahoma-bar-assn-v-mayes-okla-1999.