DIGEST OF PROFESSIONAL RESPONSIBILITY BOARD DECISIONS Note: Decisions of the Hearing Panels are subject to appeal or Supreme Court review within 30 days of issue. Updated [13-Oct-2009] DEC DOCKET VIOLATION SANCTION IMPOSED DATE OF PRB NO. NO. OR RECOMMENDED DECISION =============================================================================== 125 In re: Rules 1.3 Admonition by 9/24/09 Anonymous and 1.4 Disciplinary Attorney Counsel PRB Docket No. 2009-148 Summary - Respondent failed to communicate with his client and neglected to address her property tax adjustment claim, all in violation of Rules 1.3 and 1.4. Supreme Court has declined review. 124 In re: Transfer to 9/30/09 Buckley Disability/Inactive PRB Docket Status Nos. 2009-052 & 2009-143 Summary - Respondent transferred to Disability/Inactive Status per Entry Order of the Supreme Court on September 30, 2009, effective immediately. E.O. 2009-338. 123 In re: Rules 1.9(a) Admonition by 9/17/09 Anonymous and 1.7(b) Disciplinary Attorney Counsel PRB Docket No. 2009-117 Summary - Respondent represented both victim and defendant in the same criminal prosecution in violation of the conflict of interest rules, 1.9(a) and 1.7(b). Supreme Court has declined review. 122 In re: Rule 5.5(a) Six Month 6/17/09 Eileen Suspension Hongisto PRB Docket No. 2009-107 Summary - Respondent suspended for practicing law without a license to do so. Supreme Court undertook review on its own motion on July 7, 2009 and consolidated this case with PRB Decision No. 111. Suspension order suspended following Supreme Court review. 121 In re: Rules 1.15 Public Reprimand 6/4/09 Alan Sheredy and 1.15A PRB Docket No. 2008-139 Summary - Respondent was publicly reprimanded for co-mingling client funds by depositing his own funds in his trust account in order to maintain a positive balance and for failing to reconcile trust accounts. No review by Court undertaken. 120 In re: Rule 1.15(d)(2) Admonition 2/26/09 Anonymous Attorney PRB Docket No. 2008-104 118 In re: Rule 1.3 Public Reprimand 12/3/08 John Davis Buckley PRB Docket No. 2008-026 Summary - Respondent was publicly reprimanded for neglecting matters in three different courts by failing to comply with a magistrate’s order in Family Court, failing to request oral argument at the Supreme Court, and failing to attend a status conference in Superior Court. 117 In re: Rule 8.4(b) Three Month 10/31/08 Martha Rule 8.4(h) Suspension and Davis 1 year PRB Docket Probation No. 2008-065 Summary - Respondent was suspended for three months and placed on probation for one year for possession of marijuana and marijuana cultivating equipment. 116 In re: Rule 1.3 Approval of 10/21/08 Anonymous (lack of Admonition by Attorney diligence) Disciplinary PRB Docket Rule 3.2 Counsel No.2007-003 (failure to expedite litigation) Summary - After review on its own motion, the Supreme Court admonished attorney for neglecting to further litigation diligently due to attorney’s lack of experience in handling complex litigation, also noting that it is unacceptable for an attorney to cease work on a case pending receipt from client of compensation. See Vermont Supreme Court entry order at 2009 VT 82 (August 20. 2009). 115 In re: Rule 1.15(a) Approval of 8/21/08 Anonymous Rule 1.15A Admonition by Attorney Disciplinary PRB Docket Counsel & No. 2007-244 6 months Probation Summary - Respondent was admonished for sloppy bookkeeping and failure to reconcile his trust account on a regular basis. 114 In re: Rule 3.1 Approval of 8/18/08 Anonymous Admonition by Attorney Disciplinary PRB Docket Counsel No. 2007-215 Summary - Hearing Panel held that Respondent violated Rule 3.1 when he indicated to the trial court that he had a letter documenting the date of a discovery request when, in fact, he did not have such a document. 113 In re: Rule 8.4(c) Approval of 8/18/08 Anonymous Admonition by Attorney Disciplinary PRB Docket Counsel No. 2008-129 Summary - Respondent misrepresented to the Bankruptcy Court that client-husband had signed a repayment plan, in reliance upon client-wife’s representation to that effect, when, in fact, client-husband did not and would not do so. 112 In re: Rule 8.4(b) 1 Year Suspension 7/28/08 Philip and 8.4(h) van Aelstyn PRB Docket No. 2004-026 Summary - Respondent was suspended for one year for engaging in serious criminal conduct, i.e., extortion and felonious stalking. 111 In re: Rules 1.3, Six Month 5/8/09 Eileen 1.4 (a) Suspension Hongisto and 1.16(d) 2007-082 2007-096 2008-001 Summary - Suspended for failure to cooperate with Disciplinary Counsel in three separate professional conduct complainants and for neglect, failure to communicate and failure to return a client’s file. Suspension pending Supreme Court review. The Supreme Court has ordered review upon their own motion and consolidated this case with PRB Decision No. 122. 110 Unidentified Rule 4.1 Admonition by 5/23/08 Attorney Disciplinary Counsel In re: PRB Docket No. 2007-047 SUMMARY: Respondent disciplined for telling witness she was not recording their conversation when in fact she was. Supreme Court has ordered review on their own motion. Pending before Supreme Court. 109 Unidentified Rule 4.1 Admonition by 5/23/08 Attorney Disciplinary Counsel In re: PRB Docket No. 2007-046 SUMMARY: Respondent disciplined for telling witness she was not recording their conversation when in fact she was. Supreme Court has ordered review on their own motion. Pending before Supreme Court. 108 In re: n/a Petition for 4/17/08 Frederick Reinstatement Lane III 2008-120 SUMMARY - Respondent readmitted to the Vermont Bar per Entry Order of the Supreme Court on May 8, 2008. E.O. 2008-153. 107 In re: Rules 1.3 Approval of 2/26/08 Anonymous (a lawyer shall act Admonition by Attorney with reasonable Disciplinary Counsel 2007-242 diligence & promptness in representing a client) SUMMARY - Respondent failed to promptly obtain a mortgage discharge after a real estate closing, completing the task some seven years after telling his client he would resolve the clouded title issue. No review by Court undertaken. 106 In re: Transferred to Edward Disability/ Seager Inactive Status 2008-066 SUMMARY - Respondent transferred to Disability/Inactive Status per Entry Order of the Supreme Court on November 5, 2007, effective immediately. E.O. 2007-420. 105 In re: Rules 1.15(d)(2) Approval of 2/4/08 Anonymous & 1.3 Admonition by Attorney Disciplinary Counsel 2007-137 & One Year Probation SUMMARY - At a real estate closing, Respondent neglected to collect $10,000 deposit held by realtor, resulting in her disbursing more funds than she had collected, thereby using without authority the funds of other client on deposit in her lawyer trust account to pay the outstanding checks written at closing. 104 In re: Rules 1.2(a) Approval of 1/18/08 Anonymous (failure to abide Admonition by Attorney by client's objectives) Disciplinary Counsel 2007-202 & 1.3 (lack of diligence) SUMMARY - Respondent, hired to obtain financial records because of client's suspicion that his sister had embezzled money from their late mother, took insufficient steps to obtain and review the complete records and failed to advise client of statute of limitations. No review by Court undertaken. 103 In re: Rules 3.5(c) & 8.4(d) Public Reprimand 6/26/07 Lorin Duckman 2005-087 SUMMARY - Respondent was publicly reprimanded after engaging in contemptuous conduct before a tribunal during a sentencing hearing. No review by Court undertaken. 102 In re: Rules 1.3, 1.4(a), Three Year 6/18/07 Matthew 8.4(c) & 8.4(h) Suspension Colburn 2006-200 2006-251 2006-267 SUMMARY - Respondent purposefully avoided or misled three different clients by such actions as reporting the progress of court cases that did not exist and billing for work not done. 101 In re: Rule 1.15 Admonition by 5/30/07 Robert Hearing Panel (Supreme Court decision Farrar 12 Month Probation 3/12/08) 2006-189 (Publicly reprimanded by Supreme Court) SUMMARY - Vermont Supreme Court publicly reprimanded Respondent for regularly depositing non-client funds in his client trust account. E.O. 2007-212. 100 In re: Mary Supreme Court 10/17/2007 Grady Transfers License to 2006-253 Disability/Inactive 2007-143 by Court on 4/12/07 2007-144 2007-176 SUMMARY - Following hearing panel's determination that Respondent is unable to defend due to continuing health problems, the Supreme Court deferred all pending disciplinary proceedings until Respondent's disability has been removed and she returns to active status. Rule 21B(1). E.O. 2006-524 dated November 30, 2007. 99 In re: Transferred to 10/22/07 Christopher O. Disability/Inactive Reis Status by Court 2004-195 on 4/24/07 2006-080 2006-153 2006-154 SUMMARY - Following hearing panel’s determination that Respondent is unable to defend due to continuing health problems, the Supreme Court deferred all disciplinary proceedings against Respondent pending Respondent’s return to active status. Rule 21B(1). E.O. 2006-242 98 In re: W. Rule 8.4(d) 30 Days 4/11/07 Bradney Suspension Griffin followed by 2007-071 90 Days Probation SUMMARY - Respondent's license suspended for 30 days, followed by 90 days of probation, for failing to respond to a petition of misconduct, in violation of V.R.P.C. 8.4(d) (engaging in conduct prejudicial to the administration of justice. 97 In re: Rule 1.3 Admonition by 12/26/06 Unidentified Hearing Panel, Attorney 18 months probation 2006-172 & and 13 conditions SUMMARY - Respondent failed to record mortgages and pay money due in four separate real estate closings. 96 In re: Mary Supreme Court 12/14/1006 Grady Transfers License to 10/17/2007 2006-253 Disability/Inactive by Court on 4/12/07 SUMMARY - See Decision 100 for final status. 95 In re: Rule 3.5(b)(1) Admonition by 10/6/06 Unidentified Disciplinary Attorney Counsel 2006-123 SUMMARY - When opposing counsel was not present, Respondent solicited the legal opinion of a judge on matters pending before that judge. 94 In re: Rule 1.4(a) Admonition by 9/29/06 Unidentified Disciplinary Attorney Counsel 2006-015 SUMMARY - Respondent's purposeful avoidance of her client's 14 phone calls to her placed over a four month period violated the duty to communicate with one's client. 93 In re: Rules 1.15(e(1) & (2) Admonition by 8/9/06 Unidentified Disciplinary Attorney Counsel 2006-241 SUMMARY - Respondent was disciplined for disbursing funds which she erroneously assumed had been wired to her trust fund following a real estate closing. This failure to determine that funds were available or "collected funds" was in violation of Rules 1.15(d)(1) and (2). 92 In re: None Dismissed 7/13/06 Unidentified Attorney 2006-167 SUMMARY - The hearing panel dismissed a case where the parties had stipulated to a violation of V.R.P.C. 1.3, on the grounds that a single act of negligence does not breach the rules of professional conduct absent some compounding factor such as failure to communicate with client, or to take remedial action. Supreme Court's Entry Order dated May 2, 2007, affirms Hearing Panel's decision to dismiss 91 In re: Rules 8.4(d) & Admonition by 6/26/06 Unidentified 8.4(h) Disciplinary Attorney Counsel 2006-127 SUMMARY - Respondent revealed confidential juvenile information in the course of a cross examination. 90 In re: Rule 1.3 Admonition by 03/17/06 Anonymous Disciplinary Attorney Counsel 2005-191 SUMMARY - Respondent failed to file a notice of appearance and to comply with court's scheduling order. 89 In re: Andrew Reciprocal 02/28/05 Lichtenberg Disbarment 2006-141 SUMMARY - Respondent, who had been disbarred by the Hawaii Supreme Court for misappropriation of client funds and other misconduct, was reciprocally disbarred by Entry Order 2006-012 of the Vermont Supreme Court on 2/28/06. 88 In re: John Disbarment 3/10/06 Ruggiero on Consent 2005-058 2005-130 SUMMARY - Respondent, having been convicted of mail fraud arising from a scheme to embezzle money from his trust account, was disbarred by Supreme Court following Respondent's resignation by affidavit. Supreme Court Entry Order 2006 154 entered on 4/20/06. 87 In re: Thomas Disbarment 3/10/06 Daly 2006-001 SUMMARY - Respondent, having been indicted for conspiracy to defraud, interstate transportation of stolen money, and making a false tax return, and having pled guilty to two counts, was disbarred by Supreme Court following Respondent's resignation by affidavit. Supreme Court Entry Order 2006-143 entered on 4/20/06 was made retroactive to April 7, 2003, the date upon which his license to practice law was suspended. 86 In re: Rule 7.1 Admonition by 12/28/05 Anonymous Disciplinary Attorney Counsel 2005-250 SUMMARY - Respondent engaged in false and misleading advertising when she and her partner advertised themselves as the "County's Premier Criminal Defense firm," a statement which she cannot factually establish. See companion case PRB Decision 85. No review by Court undertaken. 85 In re: Rule 7.1 Admonition by 12/28/05 Anonymous Disciplinary Attorney Counsel 2005-188 SUMMARY - Respondent engaged in false and misleading advertising when she and her partner advertised themselves as the "County's Premier Criminal Defense firm," a statement which she cannot factually establish. See companion case PRB Decision 86. No review by Court undertaken. 84 In re: Disability/ Brian P. Dempsey Inactive Status 2005-200 2005-201 SUMMARY - Respondent transferred to Disability/Inactive Status per Entry Order of the Supreme Court on December 20, 2005, effective immediately. E.O. 2005-519. 83 In re: George Rules 1.15(a), 8.4(c) Disbarment 12/6/05 Harwood & 8.4(d) 2005-184 SUMMARY - Respondent commingled and misappropriated client funds and made false statements in his sworn response to Disciplinary Counsel's trust account management survey. Disbarred by Vermont Supreme Court. E.O. 2005-534. 2006 VT 15 82 In re: Rules 1.3 & 1.4(a) Public 11/28/05 Robert Farrar Reprimand 2005-203 SUMMARY - Respondent failed to take any action on his client's behalf from the time of the denial of an appeal by the Supreme Court in October 2001 through the conclusion of contempt proceedings in June 2002. Respondent also failed to communicate with his client during a critical period of time. 81 Unidentified Dismissed by 11/22/05 Lawyer Hearing Panel; 2005-202 Referred to an Assistance Panel SUMMARY - Hearing Panel dismissed case and recommended referral to an Assistance Panel after finding that a single instance of a missed court date due to a calendaring error, without more, does not show a lack of "reasonable diligence or promptness" in violation of Rule 1.3. 80 Unidentified Rules 1.3, 1.4(a) & Admonition by 8/18/05 Lawyer 8.4(c) Hearing Panel 2004-132 1 Year Probation SUMMARY - Respondent neglected client matters, failed to communicate adequately, and deceived a client, for all of which, due to mitigating circumstances, he was admonished by the hearing panel. No review by Court undertaken. 79 In re: Rules 8.4(b), 8.4(c), Disbarment 8/12/05 Howard Sinnott 8.4(d) and 8.4(h) 2002-240 SUMMARY - Respondent, having been convicted of interstate transportation of stolen property in violation of U.S.C. § 2341 by transmitting over $500,000 that he knew had been stolen, converted, or taken by fraud from clients, was disbarred by Supreme Court following Respondent's resignation by affidavit. Supreme Court Entry Order 2005-337 entered on 8/25/05. 78 Unidentified Rule 3.4(f) Admonition by 9/30/05 Lawyer Disciplinary 2004-208 Counsel SUMMARY - Respondent was admonished for "requesting a person other than a client to refrain from voluntarily giving relevant information," Rule 3.4(f), when, after opposing counsel wrote a letter to 31 of Respondent's witnesses asking for an informal interview or a deposition, Respondent wrote to the witnesses stating that it was his client's request "that you not speak with [opposing counsel] or anyone from his office in an informal interview." 77 In re: Rules 8.4(b)(c)(d)(h) Disbarment 6/16/05 E. Michael McGinn 2005-069 2005-080 2005-094 SUMMARY - Respondent misappropriated and diverted to his own use and benefit a portion of the funds that were entrusted to him in the course of his real estate practice. In an attempt to cover up these embezzlements, Respondent used funds he received in connection with later transactions to pay out moneys owed on earlier transactions. Supreme Court Entry Order 2005-237 accepts resignation on 6/28/05. 76 In re: Vaughan H. Rule 8.4(c) 30 Month 5/12/05 Griffin, Jr. Suspension 2004-122 SUMMARY - During a fee dispute with a former client, Respondent created a fictitious fee agreement and forged his client's signature to it, thereby creating a promise to pay which did not, in fact, exist. No further review by Court undertaken. 75 In re: Robert Rule 3.5(c) Public Reprimand 3/28/05 Andres 2004-204 SUMMARY - Respondent made discourteous and inappropriate remarks about a judge in pleadings when he compared her to a crack cocaine user. No further review by Court undertaken. 74 Unidentified Rule 4.5 Admonition by 3/28/05 Lawyer Disciplinary Counsel 2005-117 SUMMARY - As part of his demand letter in a civil dispute, Respondent threatened to report the matter to the State's Attorney if his settlement demand was not met. No further review by Court undertake. 73 In re: James Rule 1.3 Public Reprimand 1/7/05 P. Carroll Rule 1.4(a) by Hearing Panel 2004-059 SUMMARY - In a contested estate matter, Respondent failed to pursue his client's case and failed to respond to his client's inquiries and to keep his client informed over a three year period in which Respondent did little or nothing to advance the client's case despite the client's 83 or more phone calls to Respondent's office, most of which were not returned. No further review by Court undertaken. 72 Unidentified Rule 3.5(c) Admonition by Hearing 12/23/04 Attorney Panel & 1 year probation 2004-007 SUMMARY - Respondent was discourteous to an acting judge during a status conference. No further review by Court undertaken. 71 In re Mark DR 6-101(A)(3) Public Reprimand 9/8/04 Stephen Rules 1.3 & 1.4 2004-053 SUMMARY - Respondent neglected for several years to resolve benefit issues remaining in a worker's compensation case after resolution of the client's permanent disability and failed to communicate with her. No further review by Court undertaken. 70 Unidentified Rules 7.1 & Admonition by 7/27/04 Attorney 7.5(d) Disciplinary Counsel 2002-194 SUMMARY - Respondent used law office letterhead which indicated that he had associates when in fact, he did not. 69 Unidentified Rule 3.5(b)(1) Admonition by 7/26/04 Attorney Disciplinary Counsel 2004-206 SUMMARY - Respondent had an ex parte conversation with an acting judge on the subject of a pending matter. No review by Court undertaken. 68 Unidentified Rules 1.3 & Admonition by 7/23/04 Attorney 1.4(a) Disciplinary Counsel 2004-062 SUMMARY - Respondent neglected to resolve an issue arising out of a real estate closing and failed to communicate with his client in a timely manner. No review by Court undertaken. 67 In re Arthur Rule 8.4(c) Suspension of 3 years 6/15/04 Heald Rule 8.4(h) 2004-104 Rule 8.4(d) SUMMARY - Respondent failed to file state income tax returns, made a false statement on his licensing statement filed with the Board of Bar Examiners and failed to cooperate with disciplinary authorities. No review by Court undertaken. 66 In re Arthur Rule 1.15(a) Public Reprimand 5/14/04 Heald Rule 1.15C(a) 2003-041 SUMMARY - For over five months, Respondent held escrowed funds in his client's file rather than depositing them in his trust account. No review by the Supreme Court. 65 In re Mark Rule 1.3 Public Reprimand 5/5/04 Furlan Rule 1.4(a) 12 Month Probation 2003-048 Rule 1.4(b) 2003-051 SUMMARY - Contract public defender who took no action on behalf of two incarcerated clients and who failed to communicate with those clients or otherwise keep them adequately informed as to the status of their cases was publicly reprimanded and placed on probation for one year. No review by Court undertaken. 64 In re George Rule 1.2(d) 90 Day Suspension 5/3/04 Rice Rule 8.4(c) 9/13/04 2001-168 Rule 4.4 SUMMARY - Respondent, who intentionally hid his client's life insurance benefits in his own name to prevent attachment by known creditors, was suspended from practice for 90 days. Upon appeal, the Hearing Panel amended this Decision on September 13, 2004, to provide for the suspension to commence on December 16, 2004. 63 In re Kenneth Rule 8.4(c) 3 Year Suspension 3/23/04 Levine Rule 3.3(a)(1) 30 day Suspension 9/13/04 2002-246 SUMMARY - Respondent filed a false affidavit in connection with an application to appear pro hac vice in a Vermont proceeding. The Hearing Panel initially imposed a 3 year suspension which was reduced to a 30 day suspension following Respondent filing a Motion to Reconsider. 62 Anonymous Rule 1.15A Admonition by 1/28/04 Attorney Disciplinary Counsel 2004-082 SUMMARY - Respondent disbursed $95,000 in funds in connection with a real estate closing on the assumption that his client's wire transfer of funds had been received when, in fact, it had not, thus causing the use of other client's funds to cover the overdrafts created by the disbursements. No review by Court undertaken. 61 Anonymous Rules 1.15 & Admonition by 1/26/04 Attorney 1.15A Disciplinary Counsel 2004-066 SUMMARY - Respondent deposited client funds in wrong trust accounts and failed to reconcile accounts for over two months. No review by Court undertaken. 60 Anonymous Rules 1.3, Admonition by 10/29/03 Attorney 1.4(a) & 1.5(b) Disciplinary Counsel 2003-202 SUMMARY - Respondent failed to act with diligence, to keep his clients informed of the status of their case and to communicate clearly about his fees in connection with his handling of a collection matter. 59 Anonymous Rule 7.5(d) Admonition by 10/24/03 Attorney Disciplinary Counsel 2003-271 SUMMARY - Respondent used law office letterhead which indicated that he had associates when in fact, he did not. 58 Norman Not Applicable Reinstatement 10/01/03 Blais 2004-010 SUMMARY - Respondent readmitted to the Vermont Bar per Entry Order of the Supreme Court on October 21, 2003. E.O. 2003-444. 57 Anonymous Rules 1.3 & Admonition & 3 Year 07/07/03 Attorney 1.4(a) Probation 2002-219 SUMMARY - Respondent failed to act with reasonable diligence and promptness in the handling of an application for a building permit and failed to keep her client informed of the status of this matter. 56 Anonymous Rule 1.3 Admonition by 06/09/03 Attorney Disciplinary Counsel 2003-183 SUMMARY - Respondent, who was the closing agent, failed to disburse three checks following a real estate closing, one of which was to the clients' credit card company. Such delay resulted in late fees and interest accruing on the clients' account. 55 Anonymous Rule 7.1(c) Admonition by 6/4/03 Attorney Rule 7.1(b) Disciplinary Counsel 2002-093 Amended 11/19/03 SUMMARY - Respondent placed an advertisement in the Yellow Pages stating that the lawyers in the firm were "THE experts in...." enumerated areas of law, thereby impermissibly comparing their services to those of other lawyers and making a misleading statement that could not be proven. Affirmed by Supreme Court Entry Order 2003-159 on January 11, 2005. 2005 VT 2 54 In re Arthur Rule 8.4(d) 30 Day Suspension, 05/05/03 Heald commencing 45 days 2003-141 from date of decision 2003-142 SUMMARY - Respondent, who has a significant disciplinary history, was suspended after he failed to respond to a complaint filed against him and then failed to file an answer to a petition of misconduct. 53 In re Lance DR 1-102(A)(3) 3 Year Suspension 04/14/03 Harrington Rule 8.4(b) effective 1/9/03 2002-144 SUMMARY - Respondent entered into fee agreements that led to a federal investigation. Respondent was subsequently convicted of submitting false information to the Social Security Administration stating that his fee agreements complied with the law, when in fact he knew they did not. 52 In re Robert Rule 8.4(h) 3 Year Suspension 04/07/03 Andres effective 4/28/03 2002-043 2003-031 SUMMARY - Respondent engaged in conduct adversely reflecting on his fitness to practice law in violation of Rule 8.4(h) because his conduct of engaging in simple assault, disregarding terms of his probation and violating a court order demonstrated a pattern of disregard for the law. Supreme Court Entry Order 2003-171 dated September 29, 2004, adopts hearing panel's ruling. 51 In re Charles DR 5-104(a) Public Reprimand 04/07/03 Capriola DR 1-102(A)(7) 1999-035 1999-036 SUMMARY - Respondent borrowed money from two different clients without advising either client that his interests in the loan differed from their interests. 50 In re Anne None Dismissed 03/13/03 Whitten 2000-040 SUMMARY - A Petition of Misconduct alleging a violation of DR 7-104(A)(1) (causing another to communicate with a represented party) was dismissed upon motion of Special Disciplinary Counsel due to failure to meet burden of clear and convincing evidence. 49 In re Thomas Rule 8.4(d) 3 Year Suspension 03/07/03 Daly Effective May 21, 2003 2002-042 SUMMARY - Respondent engaged in conduct prejudicial to the administration of justice by failing to supplement his Petition for Admission to the Vermont Bar to reveal that he was the defendant in a consumer fraud complaint and that his firm was the subject of an inquiry by the New York Committee on Professional Standards. 48 In re Norman Rule 1.3 Six Month Suspension 12/30/02 Blais Rule 1.4(a) 12 Month Probation 2002-108 (Minimum) concurrent with sanction imposed in PRB 31 SUMMARY - Respondent neglected a client's personal injury case and failed to keep his client reasonably informed about the status of her case. 47 Anonymous Rule 1.3 Admonition by 12/12/02 Attorney Disciplinary Counsel 2002-203 SUMMARY - Respondent completed a real estate closing, withheld tax funds, but forgot to file the tax withholding with the Tax Department for seven months until his client brought the error to his attention. 46 Anonymous Rule 4.3 Admonition by 11/20/02 Attorney Disciplinary Counsel 2001-165 SUMMARY - Respondent interviewed a municipal employee against whom he knew he might bring a tort action. Based on Respondent's assurances that he wasn't going to sue the town, the employee obviously understood that there was no liability on his own part either, a misunderstanding which Respondent did not correct. The employee made several incriminating statements which Respondent later used in a suit against the employee personally. No review by Court undertaken. 45 Anonymous DR 7-102(A)(1) Admonition by 10/29/02 Attorney Disciplinary Counsel 1999-065 2000-122 SUMMARY - Respondent filed pleadings containing intemperate language which was unprofessional, uncivil and intended solely to harass and embarrass the opposing party and her counsel. No review by Court undertaken. 44 In re Robert Rule 1.3 Public Reprimand 10/29/02 DiPalma DR 6-101(A)(3) 2 Years Probation 2002-031 SUMMARY - Respondent neglected a client litigation matter for several months, resulting in the suit being dismissed, and failed to keep his client informed about the status of his case. No review by Court undertaken. 43 In re Howard Rule 1.5(a) Public Reprimand 10/22/02 Sinnott & Restitution 04/07/03 2001-190 SUMMARY - Respondent, who voluntarily left the practice of law, was reprimanded and ordered to reimburse $1200 to his client for charging an unreasonable fee when he used a standard flat rate but did nothing to advance his client's cause. Supreme Court E.O. 2003-170 dated 2/12/04 declined to reach the issue of whether respondent's fee agreement was a nonrefundable fee. 42 In re Rule 8.4(b)(c) Disbarment 10/09/02 Frederick S. & (h) Lane III 2002-205 SUMMARY - While serving as Treasurer of the Chittenden County Democrats, Respondent temporarily used the Party's funds under his control for personal purposes. 41 In re Rule 1.3 Two Months 9/18/02 Robert Andres Suspension 2002-110 SUMMARY - Respondent failed to act with reasonable diligence and promptness in a criminal case by failing to attend a pretrial hearing and he intentionally abandoned his client's case by failing to respond to a motion for SUMMARY judgment. Supreme Court Entry Order 2002-428 dated August 6, 2004, adopts hearing panel's ruling. 2004 VT 71 40 Unidentified Rule 1.4(a) Admonition by 9/17/02 Attorney Disciplinary Counsel 2002-201 SUMMARY - Respondent failed to comply with his client's reasonable request for an accounting of his fee. No review by Court undertaken. 39 In re Raymond DR 6-101(A)(3) Public Reprimand 8/14/02 Massucco DR 2-106 1998-050 SUMMARY - Respondent neglected an estate matter that caused the heirs to experience unnecessary stress, anxiety and emotional turmoil as well as extensive litigation in the probate court. In addition, Respondent charged excessive fees. No review by Court undertaken. 38 Unidentified Rule 7.3 Admonition by 7/30/02 Attorney Disciplinary Counsel 2002-214 SUMMARY - Respondent sent written solicitations for legal work not identified as advertising material. No review by Court undertaken. 37 Unidentified Rule 8.4(d) Admonition with 6/14/02 Attorney 18 month Probationary 2000-161 Period SUMMARY - Respondent failed to comply with an agreement reached with a Assistance Panel. No review by Court undertaken. 36 Unidentified Rule 1.4(a) Admonition with 6/14/02 Attorney Rule 8.4(d) 18 month Probationary 2001-117 Period SUMMARY - Respondent who did not return her client's calls regarding the status of a six-month overdue QDRO in a post-divorce matter was disciplined for failing to keep her client reasonably informed. No review by Court undertaken. 35 In re Rule 1.3 Disbarred 5/17/02 Thomas Bailey Rule 1.4 2002-118 Rule 8.4(c) Rule 8.4(d) SUMMARY - Respondent neglected a legal matter entrusted to him by failing to pursue an accident claim for his client, as agreed to, and subsequently allowing the statute of limitations to lapse. Supreme Court Entry Order 02-228 accepts resignation on 5/31/02. 34 In re DR 6-101(A)(3) Public Reprimand 5/14/02 Andrew DR 6-101(A)(1) Transfer to "Inactive" Goldberg DR 1-102(A)(5) Status for 4 Months 2000-081 If license is reactivated; 2 year probation also imposed SUMMARY - A solo practitioner with only three years experience undertook representation in a products liability case in which he had no experience or expertise. He subsequently neglected the case, causing it to be dismissed. Complainant recovered for damages through a legal malpractice action. A public reprimand was imposed due to several mitigating circumstances including Respondent having left the practice of law with no plans to return to Vermont and with strong probationary conditions imposed in the event he should seek to reactivate his license to practice. No review by Court undertaken. 33 In re None Dismissed 05/13/02 Thomas Daly 2001-189 SUMMARY - A petition of misconduct for violating Rules 1.5 and 1.15(b) of the Vermont Rules of Professional Conduct was dismissed because of lack of jurisdiction over the Respondent for conduct alleged to have occurred prior to his admission to the Vermont Bar. No review by Court undertaken. 32 Unidentified Rule 8.4(h) Admonition by 03/25/02 Lawyer Disciplinary Counsel 2001-184 SUMMARY - Respondent was rude and made unjustified comments about another attorney's youth, which presumably implied criticism because of lack of experience. Respondent also inappropriately handled the transfer of a file and the claim of an attorney's lien. No review by Court undertaken. 31 In re DR 6-101(A)(3) 5 Month Suspension 02/14/02 Norman Blais DR 1-102(4) 18 Month Probation 1998-033 1999-043 2000-042 SUMMARY - Respondent neglected five client matters and failed to file claims in court, thereby allowing the statute of limitations to expire in two cases. In addition, Respondent also made misrepresentations to three of his clients. Supreme Court Entry Order filed December 19, 2002. 30 Unidentified Rule 1.3 Admonition by 01/15/02 Lawyer Disciplinary Counsel 2000-167 SUMMARY - Respondent failed to respond to client or to probate court's many requests for action over a two month period due to conflicting trial court responsibilities. No review by Court undertaken. 29 Unidentified None Dismissed 12/12/01 Lawyer 2001-200 SUMMARY - A petition of misconduct for failing to respond to Disciplinary Counsel's request for information in violation of A.O. 9, Rule 7D was dismissed after Respondent provided evidence of reasonable grounds to justify his inaction. No review by Court undertaken. 28 In re David DR 6-101(A)(3) 4 month suspension 12/5/01 Sunshine Rule 1.3 commencing 1/1/02; 2001-001 Rule 8.4(d) followed by 2 year 2001-075 Rule 8.4(c) probation SUMMARY - Respondent neglected two different client's cases, resulting in the dismissal and barring of the client's claims. Respondent also deceived one client by failing to disclose to him that his case had been dismissed and by leading him to believe that the case would soon go to trial. No review by Court undertaken. 27 Unidentified DR 1-102(A)(5) Admonition by 10/15/01 Lawyer Hearing Panel 1998-020 SUMMARY - Respondent negligently failed to disclose to defense counsel or to the Court the fact that Respondent had previously represented the defendant being prosecuted by Respondent's Office. No review by Court undertaken. 26 In re William Disbarment 08/31/01 Frattini 2001-078 SUMMARY - Respondent was convicted of three criminal offenses in the state of Maine for violations of embezzlement from a financial institution, mail fraud and tax evasion. Supreme Court Entry Order 2001-397 accepts resignation on 9/26/01. 25 In re Kjaere Rule 1.5(b) Suspension of 6 mos. 10/01/01 Andrews Rule 1.15(a) and 1 day; Respondent 2001-014 Rule 1.15(A) to reimburse client for Rule 1.16(d) unearned fees SUMMARY - Respondent spent client funds for personal use and attempted to double her agreed upon hourly rate retroactively. No review by Court undertaken. 24 Unidentified Rule 1.3 Admonition by 09/12/01 Lawyer Disciplinary Counsel 2001-176 SUMMARY - Respondent failed to explore with his client whether there might be any defenses to a collection action. Respondent further acted without diligence or promptness when Respondent neglected to file any opposition to a Motion for SUMMARY Judgment. Little or no injury resulted. No review by Court undertaken. 23 Unidentified DR 4-101(B)(1) Admonition by 08/20/01 Lawyer Hearing Panel 2001-022 SUMMARY - Respondent disclosed to a relative of a murder victim an unsolicited letter from the pre-trial detainee charged with that murder. No review by Court undertaken. 22 In re Sigismund Not applicable Reinstatement 08/15/01 Wysolmerski 2001-171 SUMMARY - Respondent readmitted to the Vermont Bar per Entry Order of the Supreme Court on August 30, 2001. E.O. 2001-381. 21 Unidentified DR 6-101(A)(3) Admonition by 07/23/01 Lawyer Hearing Panel 2000-217 SUMMARY - Respondent neglected a foreclosure action entrusted to him. No review by Court undertaken. 20 Unidentified Rule 1.11(c)(1) Admonition by 07/13/01 Lawyer Disciplinary Counsel 2000-091 SUMMARY - Respondent improperly presided at a Town Board meeting during which that Board considered the merits of a matter in which Respondent had served as private counsel. No review by Court undertaken. 19 In re Arthur Rule 1.3 Suspension of 2 months 06/05/01 Heald Rule 1.4(a) & Reimbursement of 2000-197 Rule 8.4(d) Legal Fees and 2001-051 Expenses Incurred by Complainant SUMMARY - Respondent publicly reprimanded and ordered to reimburse legal fees after he neglected to remit his client's withholding taxes in a timely manner, resulting in the assessment of an IRS penalty. Respondent failed to respond to his client's requests for help in rectifying this error. Client incurred substantial expenses in bringing suit against Respondent. Per Supreme Court Entry Order, Hearing panel decision reversed and public reprimand imposed on 1/18/02. 18 Unidentified None Dismissed 05/31/01 Lawyer 1997-011 SUMMARY - Insufficient evidence of misrepresentation or conduct prejudicial to the administration of justice in the way prosecutor answered inquiry from defense counsel re: the identity of person participating in deposition. No review by Court undertaken. 17 In re Rule 1.15(b) Suspension of 1 year 05/24/01 Joseph Wool Rule 1.16(d) and Reimbursement of 2000-164 Rule 8.4(c) Retainers 2000-171 Rule 8.4(h) 2000-196 Rule 1.3 2000-209 SUMMARY - Respondent failed to render an accounting of retainers received from clients, failed to refund advance payments that were not earned, failed to represent clients in a diligent manner and neglected a client's case. No review by Court undertaken. 16 Unidentified Rule 7(D) Admonition 01/24/01 Lawyer of A.O. 9 by Disciplinary 1995-019 Counsel and 6 Month Probation SUMMARY - Respondent did not respond to request from PCB counsel seeking information about Respondent's compliance with conditions imposed by a PCB hearing panel sitting as an alternative dispute resolution (NDR) panel. In fact, Respondent did not comply with NDR panel's conditions. Hearing Panel found that Respondent violated Rule 7(D) by failing to furnish information to Disciplinary Counsel or a Hearing Panel. No review by Court undertaken. 15 Unidentified Rule 8.4(d) Admonition Lawyer by Hearing Panel 10/24/00 2000-019 SUMMARY - Respondent failed to co-operate with Disciplinary Counsel's investigation, ignoring two letters requesting a response to a complaint filed by another lawyer. No review by Court undertaken. 14 In re Craig DR 6-101(A)(3) Six Month Suspension 10/16/00 Wenk DR 7-101(A)(2) 1996-050 DR 1-102(A)(4) SUMMARY - Respondent failed to communicate properly with his client over a three year period and gave his client false information about the status of client's case in court when, in truth, Respondent had never filed the law suit. No review by Court undertaken. 13 In re DR 1-102(A)(5) Public Reprimand 12/04/00 Joseph Wool Rule 8.4(d) 1999-180 Rule 7(D) of A.O. 9 1999-189 2000-050 2000-061 2000-077 2000-082 2000-087 SUMMARY - Respondent failed to comply with probationary terms imposed by the Supreme Court in 1999, requiring Respondent to submit written reports to Disciplinary Counsel every 60 days. Respondent failed to co-operate with Disciplinary Counsel's investigation of four new complaints, all filed after the 1999 probation order requiring that no new disciplinary violations be committed. No review by Court undertaken. 12 Unidentified DR 6-101(A)(3) Admonition 7/25/00 Lawyer by Disciplinary 1997-028 Counsel SUMMARY - Respondent neglected a client's case for two years, missing a statute of limitations, and causing clients' to lose their cause of action. No review by Court undertaken. 11 Unidentified DR 1-102(A)(5) Admonition 7/21/00 Lawyer by Disciplinary 1998-021 Counsel SUMMARY - Prosecutor failed to disclose to defense counsel or the court that prosecutor's deputy had previously represented the defendant in a related matter. No review by Court undertaken. 10 In re Sheldon Hearing Panel found Dismissed 7/05/00 Keitel violations of 1999-121 DR 7-10(C)(6) and DR 7-102(A)(1) by default judgment and recommended public reprimand. Supreme Court ordered further review on its own motion. SUMMARY - Supreme Court declined to find that Respondent, a lawyer on inactive status appearing pro se, violated DR 7-102(A)(1) (prohibiting a lawyer from taking any action "on behalf of his client when he knows or when it is obvious that such action would serve merely to harass or maliciously injure another") or DR 7-106(C)(6)(prohibiting a lawyer "appearing in his professional capacity before a tribunal") when he wrote a letter to the family court stating that the magistrate in his divorce case had his "head up his ass." The Court, nevertheless, required the Board of Bar Examiners to consider this conduct should Respondent ever choose to reactivate his license to practice law. Supreme Court entry order filed March 2, 2001. 9 Unidentified DR 7-104(A)(1) Admonition 6/08/00 Lawyer by Disciplinary 2000-015 Counsel SUMMARY - Respondent communicated with an adverse represented party, on the subject matter of the litigation, without receiving permission from opposing counsel. No review by Court undertaken. 8 Unidentified DR 6-101(A)(3) Admonition 6/01/00 Lawyer by Disciplinary 1999-172 Counsel SUMMARY - Respondent failed to file a Quit Claim Deed which awarded to the client the marital residence, free and clear of her ex-husband's interests. No review by Court undertaken. 7 In re DR 1-102(A)(5) 2-Year Suspension 5/31/00 Katherine Kent DR 1-102(A)(7) 1999-039 DR 2-110(A)(2) 1999-052 DR6-101(A)(3) 1999-053 1999-094 SUMMARY - Respondent neglected her client, failed to return a file to him, improperly withdrew from representation, and abandoned her client. Respondent failed to respond to a request from Disciplinary Counsel for information and failed to advise the Board of Bar Examiners of a correct and current address. No review by Court undertaken. 6 In re David DR 1-102(A)(5) Disbarment 5/31/00 Singiser DR 1-102(A)(7) 1999-020 DR 1-110(A)(2) 1999-038 DR 6-101(A)(3) 1999-051 DR 9-102(B)(3) 1999-054 DR 1-102(A)(4) 1999-090 DR 2-110(C) 1999-104 SUMMARY - Respondent abandoned his clients, failed to provide accountings of client funds, made misrepresentations to the court, and failed to respond to Disciplinary Counsel. No review by Court undertaken. 5 Unidentified DR 6-101(A)(3) Admonition 04/21/00 Lawyer by Disciplinary 1997-049 Counsel SUMMARY - Respondent neglected a legal matter entrusted to him by failing to complete service of a complaint within sixty days of filing, thus resulting in the Court granting a motion to dismiss. Respondent promptly referred client to malpractice carrier. No review by Court undertaken. 4 Unidentified DR 4-101(B)(1) Admonition 04/20/00 Lawyer by Disciplinary 1999-009 Counsel SUMMARY - Respondent disclosed the secrets of one client to a second client without disclosing the first client's name. Respondent provided so many details about the first client's situation that second client was able to identify the first client. When the second client told respondent she thought she knew the person, the Respondent confirmed the first client's identity. No review by Court undertaken. 3 Unidentified DR 4-101(B)(1) Admonition 04/13/00 Lawyer by Disciplinary 1998-028 Counsel SUMMARY - Respondent sold a computer to a non-lawyer, knowing that it contained confidential client files. No review by Court undertaken. 2 Unidentified DR 1-102(A)(7) Admonition 02/28/00 Lawyer by Disciplinary 1999-149 Counsel SUMMARY - Respondent possessed marijuana. No review by Court undertaken. 1 In re Andrew Not Applicable Reinstatement 12/03/99 Lichtenberg 2000-038 SUMMARY - Upon successful petition of Respondent, previous suspension order lifted by the Supreme Court on January 5, 2000. E.O. 99-533. ============================================================================= Note: Decisions of the Hearing Panels are subject to appeal or Supreme Court review within 30 days of issue.