Lead Opinion
T1 The Oklahoma Bar Association filed a complaint in this Court alleging that Respondent, Eric B. Bolusky, committed certain acts that violated the Rules of Professional Con-duet, 5 0.8.1991 Ch. 1, App. 3-A, and Rule 5.2 of the Rules Governing Disciplinary Proceedings, 5 0.8.1991 Ch. 1, App. 1-A. The Bar Association struck some of the allegations before the trial panel, Respondent and Bar Association stipulated to some of the facts, and they stipulated that Respondent violated certain rules. A hearing was held before a trial panel of the Professional Responsibility Tribunal. The trial panel recommended a suspension of two years and one day. Respondent states that the proper discipline is either reprimand, public censure, or a short suspension. Counsel for the Bar urges disbarment. We suspend Respondent for two years and one day beginning on the date this opinion is final.
Count I
12 In 1992 Respondent was hired by Wayne Morgan to file and prosecute a suit based upon a loss of property at the hands of his landlord. The case was dismissed in 1996 for failure to prosecute and respond to discovery, but the dismissal was thereafter caused to be vacated by Respondent. A scheduling order issued in 1997, and Respondent failed to comply with its deadlines. Respondent declined to promptly comply with client's requests for information on the status of the case. Respondent told Morgan of hearing dates that were imminent, but this was not true. Morgan delivered to Respondent an inventory and photographs of personal property to be used in the case.
1 3 In 1998 Morgan requested how much it would cost to get the information returned. Respondent replied that he would "think about it" and "get back to him", but he never did. Morgan hired another lawyer. In October 1998 Morgan's new lawyer sent a certified letter to Respondent requesting that Morgan's file be given to him. After the Bar deposed Respondent on this matter in 1999 he provided the file to Morgan's lawyer.
14 The Bar argues that Respondent's conduct violated Rules 1.1, 1.3, 14, 1.16(d) and 8.4(c) of the Rules of Professional Conduct, 5 0.S$.1991 Ch. 1, App. 3-A
Professional competence -_ acting promptly on a matter and communication with a, client-is a mandatory obligation imposed upon attorneys. Albeit high, this obligation is the minimum we expect from a lawyer. It epitomizes professionalism. Anything less is a breach of a lawyer's duty to serve his client. Johnston's failure to maintain these standards-through procrastination and neglectful behavior-warrants imposition of disciplinary sanction
Id.
The record shows herein that over the course of a few years Respondent failed to expedite the case, and this led to the dismissal of an action for failure to prosecute and respond to discovery. Respondent did cause that dismissal to be vacated, and his client ultimately prevailed due to the efforts of different counsel. We agree that Respondent's conduct in representing Morgan violated Rules 1.1, 1.8, and 1.4.
15 Rule 1.16 of the Rules of Professional Conduct provides in part that:
(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which client is entitled and refunding any advance payment of fee that has not been earned. The lawyer may retain papers relating to the client to the extent permitted by law.
Rule 1.16(d), 5 0.8.1991 Ch. 1, App. 83-A.
Respondent simply neglected to act on the request of Morgan's counsel for the return of the information and the file. Morgan eventually received compensation for his claim. The evidence is clear that Respondent knew that his representation was terminated and the new lawyer's request for the file. Respondent raised no defense for failing to deliver possession of the file. The evidence is clear that Respondent violated Rule 1.16(d).
§$6 Upon questioning from the Bar and trial panel members, Respondent testified that he did not withdraw from Morgan's case. The Bar introduced as evidence a certified copy of the appearance docket to show that Respondent did not withdraw after being discharged by Morgan. Rule 1.16(a)(5) requires a lawyer to withdraw if "the lawyer is discharged." Further, we have explained that a lawyer may be disciplined for failing to withdraw as required by Rule 1.16(a)(5). State ex rel. Oklahoma Bar Association v. Glass,
{7 Findings of fact and recommendations of the Professional Responsibility Tribunal are advisory, being neither binding nor persuasive. State ex rel. Oklahoma Bar Association v. Doris,
§8 Although stipulations of the parties do not control this Court's application of ethical rules to a particular act of lawyer misconduct,
19 The parties stipulated that respondent's conduct violated Rule 8.4, and the Complaint alleges a violation of Rule 8.A4(c).
Count II
110 The Bar Association received Morgan's grievance in 1998. On November 16, 1998 the Bar requested a response from Respondent. No response was made. On December 2, 1998 another request for a response was made, with a caution that failing to respond would be grounds for discipline. No response to this letter was forthcoming, but on December 28, 1998 Respondent spoke with an investigator from the Bar and requested an additional time of two weeks to respond. No response was made within that period of time. On January 15, 1999 the Bar Association, by certified letter, requested Respondent to respond in writing to the grievance within five days. He was notified that
1 11 Rule 5.2 of the Rules Governing Disciplinary Proceedings requires a written response to the allegations of misconduct, and the failure to answer within twenty days after service of the grievance "shall be grounds for discipline." 5 0.S8.1991 Ch. 1, App. 1-A, Rules Governing Disciplinary Proceedings, Rule 5.2; In State ex rel. Oklahoma Bar Association v. Taylor,
Count III
112 After Respondent declined to provide a written response to Morgan's grievance he was deposed by the Bar. The Joint Stipulation states that in the deposition of February 9, 1999, Respondent testified that Morgan "had never requested the file" and that he had satisfactorily addressed new counsel's efforts to procure the file from him. The Stipulation further states that "[this testimony was false in that Morgan had repeatedly requested his file." Respondent stipulated that new counsel "repeatedly and unsuccessfully requested the file from the Respondent." After the deposition Respondent "satisfactorily addressed" new counsel's efforts to procure the file.
13 This Court has condemned a lawyer's act in uttering a falsehood in response to a question in a deposition hearing. State ex rel. Oklahoma Bar Association v. Elrod,
Count IV
" 14 In March of 1999 the Bar Association received a grievance from Mary Fields. Two letters, the latter certified, requesting a response from Respondent were sent March 6, 30, 1999. Respondent accepted the certified letter on March 31, 1999. However he did not reply to either letter. A subpoena duces tecum was issued and Respondent's deposition taken on June 9, 1999. The parties stipulate that this conduct violates Rule 5.2. We agree that Respondent's conduct violated Rule 5.2, 5 0.8.1991 Ch. 1, App. 1-A, Rules Governing Disciplinary Proceedings. State ex rel. Oklahoma Bar Association v. Taylor, supra.
Count V
% 15 In March of 1999 the Bar Association received a grievance from Flor McClary. Two letters, the latter certified, requesting a response from Respondent were sent April 8, 28, 1999. Respondent accepted the certified letter on April 29, 1999. However he did not reply to either letter. A subpoena duces tecum was issued and Respondent's deposition taken on June 9, 1999. The parties stipulate that this conduct violates Rule 5.2 We agree that Respondent's conduct violated Rule 5.2, 5 0.8.1991 Ch. 1, App. 1-A, Rules Governing Disciplinary Proceedings. State ex rel. Oklahoma Bar Association v. Taylor, supra.
Count VI and VII
{16 Before the trial panel the Bar Association stated that it "seeks to withdraw the allegations found in paragraphs 6 and 7 of the amended complaint." The Bar Association then announced that it would not present evidence on Counts six and seven of the Amended Complaint. While the Bar may request a dismissal it does not possess the power to dismiss, in part, a complaint filed in
Count VIII
117 In November 1997 Respondent was employed to file suit against the city of Chelsea, Oklahoma. - Respondent informed his client on more than one occasion that suit had been filed, and the case "should be set for trial soon." Respondent never filed the suit. At a later time the client told Respondent to not file the suit. The parties stipulate that Respondent's conduct violated Rules 1.1, 1.3, 4.1, and 84(c). We conclude that Respondent violated Rules 1.1, 1.3, 1.4, and 84(c) of the Rules of Professional Conduct. See our discussion in Cownt I herein of State ex rel. Oklahoma Bar Association v. Johnston, supra, and State ex rel. Oklahoma Bar Association v. Perry, supra.
118 The Amended Complaint, Joint Stipulations, and brief of the Bar Association refer to Rule 4.1, and not to Rule 14. Rule 4.1 involves making a statement to a "third person", that is, someone other than the client.
Count IX
119 In October 1999 the Bar Association received a grievance on behalf of Levi Thet-ford. Two letters, the latter certified, requesting a response from Respondent were sent October 14, and November 3, 1999. Respondent accepted the certified letter on November 8, 1999, but did not reply to either letter. A subpoena was served on Respondent on April 20, 2000, for the purpose of taking his deposition on May 11, 2000. On May 10, 2000, the Bar Association received a letter from Respondent stating that he would be in Rhode Island on May 1lith, would not be present at the deposition, and was uncertain as to when he would return. He did not appear at the deposition and the Bar Association did not agree to continue or cancel the deposition. Parties stipulate that his conduct violates Rules 5.2 of the Rules Governing Disciplinary Proceedings, 5 0.8.1991 Ch. 1, App. 1-A, and Rule 8.1(b) of the Rules of Professional Conduct, 5 0.8.1991 Ch. 1, App. 8-A.
120 We agree that Respondent's conduct violates Rule 5.2. State ex rel. Oklahoma Bar Association v. Taylor, supra. Rule 8.1(b) states that in a disciplinary proceeding a lawyer shall not knowingly fail to respond to a lawful demand for information.
Count X
T21 On March 10, 2000 Respondent was hired by Sam Mahjoub to file suit against a state ageney. Mahjoub wanted a suit filed the next week. When Mahjoub telephoned a few days later Respondent informed him that suit had been filed and "promised him that a court date was impending." Shortly thereafter and upon persistent questioning from Mahjoub, Respondent presented him with a copy of a petition that had purportedly been filed in the matter in the District Court of Tulsa County. Respondent had fabricated the petition, and the number assigned on the fabrication had been assigned to an unrelated action. Respondent did not file a petition or bring suit on behalf of Mahjoub. Mahjhoub learned of the fabrication, confronted Respondent, discharged Respondent as counsel, and obtained the file from Respondent, including information obtained by Respondent in negotiations with the agency. Mahjoub then filed a grievance against Respondent on April 13, 2000. The parties stipulate that Respondent's conduct violated rules 1.1, 1.8, 1.5, 4.1, 8.4(c).
1 22 For the reasons discussed in the prior Counts, we conclude that Respondent's con-duet violated Rules 1.1, 1.3, 1.4, and 8.4(c), of the Rules of Professional Conduct. State ex rel. Oklahoma Bar Association v. Johnston, supra, and State ex rel. Oklahoma Bar Association v. Perry, supra. Because the allegations do not assert that third parties were involved we find no violation of Rule 4.1. See the discussion of Rule 4.1 in Count VIII.
Count XI
123 The Bar Association received the grievance from Mahjoub in April 2000. On April 20, 2000, Respondent was personally served with a letter from the Bar requesting a response to the grievance. No response was made. The parties stipulate that Respondent's conduct violated Rule 8.1(b), Rules of Professional Conduct and Rule 5.2, Rules Governing Disciplinary Proceedings. We agree that Respondent's conduct violated Rules 8.1(b) and 5.2. State ex rel. Oklahoma Bar Association v. Taylor,
DISCIPLINE
124 Respondent was admitted to the bar in 1982. He was employed with various law firms until 1998. No evidence was introduced challenging the quality of his practice prior to 1998. No bar grievances were lodged against him from 1982 to 1998. He is a member of the Maryland Bar and has never been disciplined by that Bar.
125 In 1991 his wife died unexpectedly and suddenly while he was attending continuing legal education. He sought and obtained medical treatment for depression in 1998, and for attention deficit disorder in 1997. He contacted Lawyers Helping Lawyers, and was given advice that he needed to see a physician to help him with his depression. He is currently taking medication for depression, attention deficit disorder, and diabetes. In the last few years anniversaries of events related to his marriage have stimulated episodes of depression that have affected his abilities.
1 26 For a few years Respondent has operated a taxicab company. The majority of his legal work comes from the taxicab company. On the date of the trial panel hearing Respondent was counsel of record in nine cases
127 The Bar Association states that Respondent engaged in three misrepresentations to three different clients. It observes that Respondent failed to respond to the Bar on several occasions during the disciplinary process. The Bar argues that these acts occurred during a period when Respondent's attention deficit disorder was stabilized. On the other hand, no claim of any client was compromised by Respondent's conduct. Counsel for the Bar Association agreed that none of Respondent's clients had been harmed financially from his conduct. Respondent pointed to this fact before the trial panel, stated that he would not be without his medication in the future, and argued that a recommended discipline in similar cases was censure or a short suspension. The Bar seeks to have Respondent disbarred.
128 In crafting discipline we seek to make it consistent with that imposed upon lawyers who have committed similar acts. State ex rel. Oklahoma Bar Association v. Braswell,
29 In State ex rel. Oklahoma Bar Association v. Busch,
I 30 In State ex rel. Oklahoma Bar Association v. Patmon,
{ 31 In State ex rel. Oklahoma Bar Association v. Rennie,
Notes
. 5 0.S.1991 Ch. 1, App. 3-A., Rules of Professional Conduct.
Rule 1.1. Competence
A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.
Rule 1.3. Diligence
A lawyer shall act with reasonable diligence and promptness in representing a client.
Rule 1.4. Communication
(a) A lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests for information.
(b) A lawyer shall explain a matier to the extent reasonably necessary to permit the client to*272 make informed decisions regarding the representation.
. When reviewing the evidence de novo we include stipulations of fact made by the parties, and we may consider as binding on the parties those stipulations to facts made by them. State ex rel. Oklahoma Bar Association v. Abbott,
. We need not, and do not, address the circumstances when this Court may remand a proceeding to the Professional Responsibility Tribunal for further disciplinary proceedings based upon either an incomplete record or an insufficient opportunity of a respondent to be heard on allegations of misconduct.
. 5 0.$.1991 Ch. 1, App. 3-A., Rules of Professional Conduct.
Rule 8.4. Misconduct
It is professional misconduct for a lawyer to:
(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
(b) commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects;
(c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
(d) engage in conduct that is prejudicial to the administration of justice;
(e) state or imply an ability to influence improperly a government agency or official; or
(£) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.
. 5 0.$.1991 Ch. 1, App. 3-A., Rules of Professional Conduct.
Rule 4.1. Truthfulness in Statements to Others In the course of representing a client a lawyer shall not knowingly:
(a) make a false statement of material fact or law to a third person; or
(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited.
. 5 0.$.1991 Ch. 1, App. 3-A., Rules of Professional Conduct.
Rule 8.1. Bar Admission and Disciplinary Matters
An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not:
(a) knowingly make a false statement of material fact; or
(b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority, except that*276 this rule does not require disclosure of information otherwise protected by Rule 1.6.
Dissenting Opinion
dissenting.
T1 I would disbar this Respondent from the practice of law.
