Disciplinary Proceedings Against Hansen
2009 WI 56, 318 Wis. 2d 1, 768 N.W. 2d 1 (2009)
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ATTORNEY disciplinary
proceeding. Attorney's license suspended.
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¶1 PER CURIAM. We review a report and
recommendation filed by Referee John Murphy
recommending the court suspend Attorney
Scott E. Hansen's license to practice law
for a period of six months consecutive to
his present suspension for failure to pay
Wisconsin bar dues, together with the
imposition of restitution, costs, and
certain conditions on reinstatement. No
appeal was filed so this matter is
considered pursuant to SCR 22.17(2).
¶2 We accept the referee's findings of
fact and conclusions of law. We agree that
the recommended restitution is appropriate,
together with imposition of costs and
certain conditions on reinstatement.
However, we have concluded that a suspension
of six months is inadequate to address the
seriousness and scope of Attorney Hansen's
misconduct. His license will be suspended
for a period of nine months.
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¶3 Attorney Hansen was licensed to
practice law in Wisconsin in 1983. In 1995
he received a private reprimand for
misconduct consisting of failing to perform
any work on 58 collection matters for a
period of six months, failing to respond to
a client's telephone and written inquiries
regarding collection matters, failing to
render a full accounting of funds provided
to him by a client, and failing to return a
client's documents and the unearned portion
of the advance on fees upon termination of
the representation. Private Reprimand of
Scott E. Hansen, 1995-32. In October 2007
Attorney Hansen's license was suspended for
nonpayment of bar dues. His license remains
suspended.
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¶4 On April 1, 2008, the Office of
Lawyer Regulation (OLR) filed a complaint
against Attorney Hansen alleging 28 counts
of misconduct involving four different
client matters. Attorney Hansen claims a
depression disorder contributed to his
misconduct. The factual allegations
contained in the complaint were resolved
when the referee granted the OLR's motion
for a default judgment, resulting in a
finding of misconduct on all counts alleged
in the OLR complaint. The parties then
briefed the question of the appropriate
sanction for the misconduct.
¶5 The OLR complaint alleged and the
referee found that in May 2006 R.V. retained
Attorney Hansen to represent him regarding
an anticipated criminal summons. R.V. paid
an advance fee of $1,000. In November 2006,
after R.V. received the summons, he tried to
contact Attorney Hansen regarding his
initial appearance set for December 28,
2006. After a number of unsuccessful
attempts to make contact with Attorney
Hansen, R.V. reached him the second week in
December. Attorney Hansen agreed to make an
appearance on December 28, 2006. However,
Attorney Hansen failed to appear for the
hearing. The court rescheduled the initial
appearance to February 1, 2007, and ordered
R.V. to obtain new counsel. R.V. had no
further contact with Attorney Hansen. R.V.
filed a grievance with the OLR noting that
he had to withdraw money from his IRA in
order to hire a new lawyer.
¶6 Attorney Hansen then failed to
respond to OLR's requests for information
regarding this matter. Neither the fee nor
the promised interest was ever returned.
R.V. was eventually reimbursed by the
Wisconsin Lawyers' Fund for Client
Protection in the amount of $1,000.
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¶7 The OLR's complaint alleged and the
referee found that Attorney Hansen committed
six counts of misconduct in this matter:
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Count One: By failing to take any action
on behalf of [R.V.], or otherwise advancing
[R.V.]'s interests, including failing to
appear at an initial appearance in a
criminal matter, Attorney Hansen violated
SCR 20:1.3.
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Count Two: By failing to respond to
[R.V.]'s telephone calls following [R.V.]'s
receipt of a criminal summons, and, in
addition, by failing to respond to [R.V.]'s
requests for information following Attorney
Hansen's failure to appear at a court
hearing, Attorney Hansen violated former SCR
20:1.4(a).
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Count Three: By accepting and keeping a
$1,000 fee for representation that he did
not complete, Attorney Hansen violated
former SCR 20:1.5(a).
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Count Four: By failing to withdraw from
his representation of [R.V.] when a medical
condition impaired his ability to represent
[R.V.], Attorney Hansen violated SCR 20:1.16
(a)(2).
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Count Five: By failing to refund any
portion of the funds advanced to him for
representing [R.V.] in the criminal matter,
Attorney Hansen violated former SCR 20:1.16
(d).
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Count Six: By failing to provide relevant
information to OLR in a timely fashion, and
in failing to answer questions fully in
response to OLR's investigation until
ordered to do so by the Supreme Court, and,
in addition, in misrepresenting that within
a few days of July 23, 2007, he would refund
[R.V.]'s advance payment of fees, Attorney
Hansen violated SCR 21.15(4), SCR 22.03(2),
and SCR 22.03(6), which are enforceable
through SCR 20:8.4(f).
¶8 The OLR complaint also alleged and
the referee found that in January 2006 W.G.
was convicted and incarcerated for felony
crimes against a child. W.G.'s stepfather
hired Attorney Hansen to represent W.G. on
appeal and paid Attorney Hansen an advance
fee of $5,000. In March 2006 Attorney
Hansen met with W.G. in prison. Following
the meeting, Attorney Hansen failed to file
an entry of appearance, failed to secure a
requested transcript, and failed to file any
motion on behalf of W.G. Multiple attempts
by W.G. and his stepfather to contact
Attorney Hansen were unsuccessful. After
the prison visit Attorney Hansen had no
further contact with either W.G. or his
stepfather. The $5,000 has never been
returned.
¶9 W.G. and his stepfather filed
grievances with the OLR in February 2007.
Attorney Hansen failed to respond to the
OLR's requests for information regarding
these matters. Eventually, he stated that
he had "failed to take the appropriate
actions to protect [W.G.]'s interests in
this appeal, or to return the fee paid to
me." He cited "health problems" as the
reason for not properly representing W.G.
The OLR complaint alleged and the referee
found that Attorney Hansen committed seven
counts of misconduct in this matter:
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Count Seven: By failing to take any
action on behalf of [W.G.], or otherwise
advance [W.G.]'s interests in any meaningful
manner, including failing to enter an
appearance in a criminal matter, secure
transcripts, or otherwise ensure that post-
conviction remedies were protected, Attorney
Hansen violated SCR 20:1.3.
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Count Eight: By failing to inform [W.G.
and his stepfather] in any manner regarding
Attorney Hansen's representation of W.G.,
and by failing to respond to [their]
multiple telephone calls seeking the status
of Attorney Hansen's post-conviction
efforts, Attorney Hansen violated former SCR
20:1.4(a).
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Count Nine: By failing to provide any
meaningful information to [W.G.] regarding
the post-conviction appeal process, thereby
enabling [W.G.] to make informed decisions
regarding Attorney Hansen's representation,
including the need to meet certain deadlines
to secure the right to appeal his
conviction, Attorney Hansen violated SCR
20:1.4(b).
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Count Ten: By accepting a $5,000 fee for
representation that he did not complete,
Attorney Hansen violated former SCR 20:1.5
(a).
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Count Eleven: By failing to withdraw from
his representation of [W.G.] when a medical
condition impaired his ability to represent
[W.G.], Attorney Hansen violated SCR 20:1.16
(a)(2).
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Count Twelve: By failing to refund any
portion of the funds advanced to him for
representing [W.G.] in the criminal matter,
Attorney Hansen violated former SCR 20:1.16
(d).
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Count Thirteen: By failing to provide
relevant information to OLR in a timely
fashion, and in failing to answer questions
fully in response to OLR's investigation
until ordered to do so by the Supreme Court,
Attorney Hansen violated SCR 21.15(4), SCR
22.03(2), and SCR 22.03(6), which are
enforceable through SCR 20:8.4(f).
¶10 The OLR complaint alleged and the
referee found that in November 1990 R.P. was
convicted of a number of serious felonies,
including first-degree intentional
homicide. He was sentenced to prison. R.P.
filed a number of unsuccessful pro se
motions and appeals of his convictions. In
August 2005 R.P.'s wife, Robin P., retained
Hansen to represent R.P. A fee of $2,500
was paid to Attorney Hansen.
¶11 R.P. asked Attorney Hansen to order
a transcript from a March 2005 motion
hearing. Attorney Hansen did not order the
transcript. Attorney Hansen entered his
notice of retainer with the court of appeals
on October 14, 2005, and successfully
obtained a briefing extension. However, he
did not ever file the brief or appendix. He
then failed to comply with the court of
appeals' order to file a brief and missed a
subsequent filing deadline imposed by the
court of appeals. On January 12, 2006, one
of R.P.'s two appeals was dismissed. On the
second appeal, Attorney Hansen filed a
statement on transcript but then failed to
file the brief and appendix despite several
extensions. Eventually, in August 2006,
R.P. asked the court of appeals to discharge
Attorney Hansen as his attorney and to allow
R.P. to proceed pro se. By order dated
September 26, 2006, the court discharged
Attorney Hansen and ordered him to return
R.P.'s papers, property, and any fee advance
not yet earned by Attorney Hansen. Attorney
Hansen eventually returned the files,
although R.P. disputes whether all materials
provided to Attorney Hansen were returned.
Attorney Hansen did not return any portion
of the advance fee.
¶12 Attorney Hansen then failed to
respond to OLR's requests for information
regarding his representation of R.P.
Finally, on June 26, 2007, Attorney Hansen
sent a fax to this court indicating that
a "medical condition" prevented him from
responding to the OLR requests. Attorney
Hansen filed his response to R.P.'s
complaints on September 24, 2007. By this
time, the $2,500 had been returned to R.P.
by payment from the Wisconsin Lawyers' Fund
for Client Protection.
¶13 The OLR complaint alleged and the
referee found that Attorney Hansen committed
10 counts of misconduct in connection with
this matter:
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Count Fourteen: By failing to order a
transcript as requested by [R.P.] and by
failing to properly and timely file
Statements on Transcripts, briefs and
appendices, and otherwise to comply with the
order of the Court of Appeals, Attorney
Hansen violated SCR 20:1.3.
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Count Fifteen: By failing to keep in
contact with his client, [R.P.], and by
failing to advise [R.P.] of the multiple
orders of the Court of Appeals involving
[R.P.]'s appeals and by failing to advise
his client of his multiple failures to
comply with the orders of the Court of
Appeals, Attorney Hansen violated former SCR
20:1.4(a).
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Count Sixteen: By failing to advise
[R.P.] of his medical condition insofar as
that condition interfered with his ability
to properly represent [R.P.]'s legal
interests, Attorney Hansen violated SCR
20:1.4(b).
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Count Seventeen: By accepting and
retaining a $2,500 fee for a representation
that he did not complete, Attorney Hansen
violated former SCR 20:1.5(a).
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Count Eighteen: By depositing the $2,500
advance fee into his business account and
not into his trust account, Attorney Hansen
violated former SCR 20:1.15(b)(4).
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Count Nineteen: By failing to withdraw
from his representation when a medical
condition impaired his ability to represent
[R.P.], Attorney Hansen violated former SCR
20:1.16(a)(2).
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Count Twenty: By failing to promptly
surrender all papers and property to which
[R.P.] was entitled, Attorney Hansen
violated former SCR 20:1.16(d).
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Count Twenty-One: By failing to refund
any portion of the funds advanced to him for
representing [R.P.] in appellate matters,
Attorney Hansen violated former SCR 20:1.16
(d).
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Count Twenty-Two: By providing false
information to the Court of Appeals
regarding the filing of a brief and appendix
by May 30, 2006, and by providing false
information to the Court of Appeals
regarding compliance with Court orders
regarding the return of [R.P.]'s files and
fee, Attorney Hansen violated former SCR
20:3.3(a)(1).
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Count Twenty-Three: By stating in an e-
mail to Robin P. on November 1, 2006, that
Attorney Hansen would forward work product
to [R.P.] with a copy of a brief when, in
fact, no work product or brief existed,
Attorney Hansen violated SCR 20:8.4(c).
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Count Twenty-Four: By failing on multiple
occasions to provide relevant information to
the OLR in a timely fashion and in failing
to answer questions fully in response to
OLR's investigation until ordered to do so
by the Supreme Court, Attorney Hansen
violated SCR 21.15(4), SCR 22.03(2), and SCR
22.03(6), which are enforceable through SCR
20:8.4(f).b
¶14 The OLR complaint alleged and the
referee found that on June 6, 2006, Attorney
Hansen entered an appearance on behalf of
C.E. in a criminal traffic matter. The
initial appearance was handled by the filing
of a written plea of not guilty. Attorney
Hansen appeared on behalf of C.E. at the
pretrial conference and appeared for a no-
contest plea on September 25, 2006. The
matter was set for sentencing on November
17, 2006. Attorney Hansen failed to appear
at the sentencing hearing. The matter was
reset for January 25, 2007. Attorney Hansen
again failed to appear. Attorney Hansen
failed to advise either the court or his
client that he would not be appearing at
these hearings. C.E. requested a new
attorney.
¶15 Attorney Hansen then failed to
respond in a timely fashion to OLR
inquiries. He requested an extension of
time to respond and did not respond until
September 24, 2007, following an order from
this court.
¶16 The OLR alleged and the referee
found that Attorney Hansen engaged in four
counts of misconduct with respect to this
matter:
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Count Twenty-Five: By failing to complete
his representation of [C.E.], or otherwise
advance [C.E.]'s interests in any meaningful
manner, including failing to appear before
the court in two matters, Attorney Hansen
violated SCR 20:1.3.
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Count Twenty-Six: By failing to
communicate with [C.E.] regarding Attorney
Hansen's representation of [C.E.], Attorney
Hansen violated former SCR 20:1.4(a).
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Count Twenty-Seven: By failing to
withdraw from his representation of [C.E.]
when a medical condition impaired his
ability to represent [C.E.], Attorney Hansen
violated SCR 20:1.16(a)(2).
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Count Twenty-Eight: By failing to provide
relevant information to OLR in a timely
fashion and in failing to answer questions
fully in response to an OLR request until
ordered to do so by the Supreme Court,
Attorney Hansen violated SCR 21.15(4), SCR
22.03(2), and SCR 22.03(6), which are
enforceable through SCR 20:8.4(f).
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¶17 As noted, the referee considered the
appropriate sanction for Attorney Hansen's
misconduct. The OLR filed a detailed brief
in proceedings before the referee on August
15, 2008. The OLR indicated it considered
Attorney Hansen's depression a mitigating
factor, but noted that there was
insufficient medical evidence submitted in
this proceeding to substantiate the scope of
his condition. The OLR observed that
progressive discipline was warranted because
of Attorney Hansen's disciplinary history.
It noted that sanctions in other cases
ranged from revocation to a six-month
suspension for comparable misconduct. The
OLR noted further that Attorney Hansen's
failure to return unearned fees and his
failure to cooperate with the OLR were
aggravating factors not easily attributable
to depression. The OLR eventually
recommended a one-year suspension of
Attorney Hansen's license, citing several
cases in support of this recommendation.
The OLR specifically cited three cases
involving lawyers with health or depression
issues. See In re Disciplinary
Proceedings Against Cavendish-Sosinski,
2004 WI 30, 270 Wis. 2d 200, 676 N.W.2d 887;
In re Disciplinary Proceedings Against
Shindell, 2002 WI 133, 258 Wis. 2d 63, 654
N.W.2d 844; In re Disciplinary Proceedings
Against Cotten, 2002 WI 112, 256 Wis. 2d
1, 650 N.W.2d 551.
¶18 The OLR explicitly asserted that a
six-month suspension
seemed "inadequate" "given the multiplicity
of counts, the vulnerability of [Attorney]
Hansen's clients and the need to protect the
public from attorneys incapable of providing
competent and diligent legal
representation." The OLR noted further
that "aggravating factors outweigh
mitigating factors" in this case.
¶19 In his report, the referee
acknowledged that there was no independent
corroboration for Attorney Hansen's claim
that he has suffered from depression since
1994. Attorney Hansen did file a letter
from a nurse that states that he has had
a "major depressive disorder" for the
past "several years."
¶20 Moreover, the referee stated that he
failed to "see how [Attorney Hansen]'s
disorder can explain Attorney Hansen's
attempts to deceive not only his clients but
also the Court of Appeals and the Office of
Lawyer Regulation. Nor can I see how this
disorder would prevent Attorney Hansen from
returning fees which he agrees were unearned
and which he promised to return."
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¶21 The referee then recommended a six-
month suspension of Attorney Hansen's
license describing his depression as "a
partial mitigating factor." The referee
also recommended this court order Attorney
Hansen to make restitution to the Wisconsin
Lawyers' Fund for Client Protection in the
amount of $1,000 for the R.V. matter, $2,500
in the R.P. matter, as well as restitution
in the amount of $5,000 to M.H. and W.G.,
and $1,500 to client C.E. The referee
agreed with the OLR's assertion that a
professional competence assessment should be
a "critical prerequisite" to reinstatement.
The referee rejected Attorney Hansen's
request to select his own consultant to
submit this assessment, but agreed that
Attorney Hansen should be able to submit
an "alternative report" at his own expense.
Finally, the referee rejected Attorney
Hansen's request that the fees and costs of
this proceeding be waived. As of October
22, 2008, the costs of this proceeding total
$2,412.53.
¶22 We have carefully considered the
record in this matter together with the
referee's report and recommendation. The
referee's report is thorough, but this court
remained concerned that a six-month
suspension is inadequate to address the
extensive misconduct committed in these
matters.
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¶23 Accordingly, on December 22, 2008,
this court issued an order directing the
parties to explain why a one-year suspension
was not more appropriate discipline in this
matter.
¶24 The OLR submitted a written response
reiterating its opinion that a one-year
suspension is more appropriate on these
facts. Attorney Hansen filed a pro se
written response asking this court to defer
to the referee's recommendation. He asserts
that it is significant that the referee, who
had the opportunity to observe the
respondent's acceptance of responsibility
and sincerity, recommended a shorter
suspension. He reminds the court that the
OLR did not appeal this recommendation and
he provides examples of cases in which the
court imposed less stringent sanctions for
comparable conduct. See, In re
Disciplinary
Proceedings Against Guenther, 2005 WI 133,
285 Wis. 2d 587, 700 N.W.2d 260 (nine-month
suspension), and In re Disciplinary
Proceedings Against Jones, 2008 WI 53, 309
Wis. 2d 585, 749 N.W.2d 603 (four-month
suspension). He also provided the court
with a personal statement regarding the
proposed discipline in which he expressed
sincere remorse for his misconduct and its
effect upon his clients.
¶25 After having independently reviewed
the record we adopt the referee's findings
of fact. We also agree with the referee
that those factual findings demonstrate that
Attorney Hansen committed each of the 28
counts of professional misconduct alleged in
the complaint. With respect to the
discipline to be imposed, we determine the
appropriate level of discipline given the
particular facts of each case, independent
of the referee's recommendation, but
benefiting from it. See In re
Disciplinary
Proceedings Against Widule, 2003 WI 34,
¶44,
261 Wis. 2d 45, 660 N.W.2d 686. After
careful consideration of the report and
recommendation, the record in this matter,
and the written statements of the parties,
we accept the referee's recommendation
regarding restitution, costs, and conditions
on reinstatement. However, while we
recognize that depression apparently played
a role in Attorney Hansen's misconduct, we
conclude that a six-month suspension is
inadequate in light of the pervasive
misconduct that affected four clients. We
have determined that a nine-month suspension
is necessary to address Attorney Hansen's
misconduct in this matter.
¶26 IT IS ORDERED that the license of
Scott E. Hansen to practice law in Wisconsin
is suspended for a period of nine months,
effective the date of this order.
¶27 IT IS FURTHER ORDERED that within 60
days of the date of this order Scott E.
Hansen shall make restitution to the State
Bar of Wisconsin Lawyers' Fund for Client
Protection in the amount of $1,000 for the
R.V. matter and in the amount of $2,500 for
the R.P. matter, and he shall further make
restitution of $5,000 to M.H. and W.G. and
$1,500 to C.E. If the restitution is not
paid within the time specified and absent a
showing to this court of his inability to
pay restitution within that time, the
license of Scott E. Hansen to practice law
in Wisconsin shall remain suspended until
further order of the court.
¶28 IT IS FURTHER ORDERED that Scott E.
Hansen shall undergo a medical evaluation by
a medical professional selected by the
Office of Lawyer Regulation and a copy of
that evaluation shall be provided to the
Office of Lawyer Regulation as a condition
for reinstatement, with the understanding
that Scott E. Hansen may also submit an
evaluation performed by a medical
professional of his choice. If this
condition is not met, the license of Scott
E. Hansen to practice law in Wisconsin shall
remain suspended until further order of this
court.
¶29 IT IS FURTHER ORDERED that within 60
days of the date of this order, Scott E.
Hansen shall pay to the Office of Lawyer
Regulation the costs of this proceeding. If
the costs are not paid within the time
specified and absent a showing to this court
of his inability to pay those costs within
that time, the license of Scott E. Hansen to
practice law in Wisconsin shall remain
suspended until further order of the court.
¶30 IT IS FURTHER ORDERED that the
restitution to the State Bar of Wisconsin
Lawyers' Fund for Client Protection and the
restitution to M.H. and W.G. and to C.E. are
to be completed prior to paying costs to the
Office of Lawyer Regulation.
¶31 IT IS FURTHER ORDERED that if he has
not already done so, Scott E. Hansen shall
comply with the provisions of SCR 22.26
concerning the duties of a person whose
license to practice law in Wisconsin has
been suspended.
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