Iowa Supreme Court Attorney Disciplinary Board v. Roscoe A. Ries, Jr.
812 N.W.2d 594
Iowa2012Background
- Ries has been a licensed Iowa attorney since 1994 and began practicing solo in 2006.
- January 23, 2009, Weigel retained Ries with a $500 retainer to represent her in a dissolution action; dissolution petition filed January 29, 2009.
- May 15, 2009, dissolution decree approved; Ries later sent a January 21, 2010 final invoice stating a $1,891.50 total with a $500 retainer credit mentioned in the email but not reflected on the invoice.
- March 2010, the Weigels paid Ries $1,891.50 due to the credit error; the amount due was actually $1,391.50.
- Ries learned of the overpayment later, failed to refund $500, and did not respond to a February 2, 2011 letter or to a small-claims action filed March 3, 2011; a default judgment for $500 was entered April 15, 2011.
- August 16, 2011, Board filed a complaint; Ries acknowledged the overpayment and that he intended to refund but had not done so by the October 24, 2011 hearing; the Grievance Commission found a violation of Rule 32:1.15(d) and recommended a six‑month suspension; the Iowa Supreme Court imposed a thirty‑day suspension.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether Ries violated 32:1.15(d) by failing to promptly refund the overpayment. | Board/Commission found a violation; Ries failed to refund. | Ries argues indigence and lack of intentional deception; he intended to refund when funds were available. | Yes, violated 32:1.15(d). |
| What is the appropriate sanction for the violation. | Commission recommended a six‑month suspension. | Ries contends a lesser sanction may be appropriate; argues mitigating factors. | Thirty‑day suspension warranted. |
| Whether aggravating factors justify discipline beyond the minimal sanction. | Failure to respond, lack of cooperation, and recent reprimand support greater sanction. | Indigence and single instance reduced severity; some factors mitigating. | Aggravating factors acknowledged; still a 30‑day suspension appropriate. |
Key Cases Cited
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Boles, 808 N.W.2d 431 (Iowa 2012) (failure to promptly refund unearned fees; misappropriation not proven)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Parrish, 801 N.W.2d 580 (Iowa 2011) (failure to refund advance payments; unearned fees)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Wagner, 768 N.W.2d 279 (Iowa 2009) (prominent misconduct with other violations; compare for sanction)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Casey, 761 N.W.2d 53 (Iowa 2009) (untimely disbursement of settlement proceeds)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Knopf, 793 N.W.2d 525 (Iowa 2011) (aggravating and mitigating circumstances in sanctions)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Lesyshen, 712 N.W.2d 101 (Iowa 2006) (pattern of neglect; aggravating factors)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Van Ginkel, 809 N.W.2d 96 (Iowa 2012) (prior reprimands as aggravating factor)
- Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Feeney, 657 N.W.2d 454 (Iowa 2003) (sanctions considerations in ethics violations)
- Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Gilliam, 560 N.W.2d 1 (Iowa 1997) (sanctions for trust account irregularities)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Plumb, 766 N.W.2d 626 (Iowa 2009) (refusal to refund unearned fees; sanction guidance)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Ireland, 748 N.W.2d 498 (Iowa 2008) (failure to refund unused retainer; sanction guidance)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. Ramey, 746 N.W.2d 50 (Iowa 2008) (refund of retainer; promptness)
- Iowa Supreme Ct. Att’y Disciplinary Bd. v. D’Angelo, 710 N.W.2d 226 (Iowa 2006) (failure to deliver funds to client; sanction)