Disciplinary Proceedings Against Humphrey
2012 WI 32, 339 Wis.2d 531, 811 N.jW.2d 363 (2012)
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ATTORNEY disciplinary proceeding.
Attorney's license suspended.
¶1 PER CURIAM. Attorney Paul W.
Humphrey appeals a report and recommendation
filed by Referee Russell Hanson,
recommending a public reprimand based on the
referee's conclusion that Attorney Humphrey
committed professional misconduct in his
handling of a criminal prosecution. For the
reasons stated herein, we conclude that
Attorney Humphrey's misconduct warrants a 30-
day suspension of his license to practice
law in Wisconsin along with the imposition
of the full costs of this proceeding.
¶2 Attorney Humphrey was admitted to
practice law in Wisconsin in 1989. He has
no prior attorney disciplinary history
before this court.
¶3 On November 17, 2006, the Office of
Lawyer Regulation (OLR) filed a complaint
against Attorney Humphrey alleging three
counts of professional misconduct relating
to the criminal prosecution of Adam
Raisbeck.
¶4 This disciplinary matter has been
pending a long time and the parties, the
referee, and the public are entitled to know
why. Defense counsel in the Raisbeck
matter, Attorney Joseph Sommers, was also
charged with professional misconduct in
connection with that case. Each
disciplinary case was considered separately
on its own record, briefs, and arguments.
However, both attorneys asserted the conduct
of the other affected their own actions. We
deemed it prudent to hold this case in
abeyance until the Sommers matter was
ready
for a decision. We did not anticipate the
procedural complications that would develop
in the Sommers case or the difficulty we
would face in determining the appropriate
sanction for each lawyer's respective
misconduct. These are difficult cases
stemming from a difficult prosecution, but
our decision today reflects most careful
consideration.
¶5 The factual background relating to
the underlying criminal prosecution will be
discussed only insofar as it is relevant to
this particular disciplinary proceeding. On
September 1, 2001, Adam Raisbeck, then age
17, was involved in a one-car rollover
accident that occurred in the Town of
Medina. One passenger was killed and
another passenger was injured. Dane County
sheriff's deputies investigating the
accident conducted an accident
reconstruction, photographed the scene, and
interviewed witnesses.
¶6 In December 2001 Raisbeck was
charged with one count of homicide by
negligent operation of a motor vehicle and
one misdemeanor charge in connection with
the injuries sustained by the second
passenger. Attorney Humphrey, who is an
assistant district attorney with the Dane
County District Attorney's office, was
assigned to prosecute the case. Raisbeck
retained Attorney Joseph Sommers as his
defense counsel. Raisbeck was later
acquitted.
¶7 At two preliminary hearings on
January 28, 2002, and February 15, 2002,
Attorney Sommers sought to formally subpoena
the photographs of the accident scene. The
subpoena was quashed, as premature, because
it is the policy of the district attorney's
office to provide such information only
after arraignment. At the February 15, 2002
preliminary hearing, Attorney Humphrey
argued that the evidence indicated Raisbeck
was driving about 88 miles per hour, some 33
miles per hour over the posted speed limit.
The defense challenged that assumption,
citing discrepancies in the physical
evidence. Probable cause was found and
Raisbeck was bound over for trial.
¶8 On or about February 11, 2002,
Attorney Humphrey sent his set of 8 by 10
inch accident scene photographs to an
accident reconstruction specialist, Robert
Krenz, for professional analysis. Mr. Krenz
apparently kept this set of pictures until
about April 24, 2002.
¶9 On March 12, 2002, Raisbeck was
formally arraigned. Attorney Sommers then
filed a five-page discovery demand
requesting, among other items, "copies of
all books, papers, documents, photographs,
and tangible objects related to this case"
and "a written summary of all oral
statements of the defendant which the State
plans to use in the course of the trial and
the names of witnesses to the defendant's
oral statements."
¶10 On March 13, 2002, Attorney Humphrey
sent 84 pages of discovery materials to
Sommers in response to the discovery
request. These materials did not include
the accident scene photographs. Sommers had
asserted he told Attorney Humphrey he wanted
to see these photographs numerous times.
Attorney Humphrey has maintained that these
requests were informal, such as while
walking down the hall at the courthouse, and
that he did not remember them or did not
consider them official requests. Attorney
Humphrey has asserted that Sommers stated he
specifically wanted to see Attorney
Humphrey's working set of photos, as
opposed
to a general set of photographs. Attorney
Humphrey asserts the usual procedure for
defense counsel to obtain a set of crime
scene photographs is for the defense
attorney to write a letter to the district
attorney requesting authorization for the
sheriff's department, as the custodian of
the negatives, to release a set of
photographs to the defense. Attorney
Humphrey asserts that Sommers was aware of
this procedure.
¶11 On or about April 25, 2002, Attorney
Humphrey wrote a letter to Sommers regarding
the accident scene photographs. In that
letter he indicated that if Sommers would
stipulate to their foundation, Attorney
Humphrey could give him a set of
photographs. He advised Sommers that,
alternatively, Sommers could obtain copies
of the photographs directly from the Dane
County Sheriff's Department. Sommers
asserted this letter was sent one day after
a verbal exchange where Attorney Humphrey
promised Sommers that Sommers could see
Attorney Humphrey's set of photographs, and
then apparently told Sommers that the photos
were still with the accident reconstruction
expert.
¶12 On May 2, 2002, Attorney Humphrey
wrote a letter to Sommers providing specific
information and specific authorization for
Sommers to obtain accident photographs
directly from the Dane County Sheriff's
Department.
¶13 On May 10, 2002, Sommers wrote to
the Dane County Sheriff's records department
formally requesting a set of accident scene
photographs and including the requisite fee.
¶14 On the morning of the final pretrial
conference on May 21, 2002, Sommers asked
Attorney Humphrey why he had not yet
received the photographs. Sommers said that
his defense expert needed the photographs to
conduct the defense's own accident
reconstruction. Sommers apparently received
his set of 5 by 7 inch photographs later
that same day. The size of the photographs
requested by Sommers is relevant because the
parties later realized that certain relevant
markings were visible on the 8 by 10 inch
photographs but were not visible on the
smaller 5 by 7 inch photographs. There is
no indication either attorney knew in
advance that the size of the photograph
would affect whether the markings were
visible on the photographs.
¶15 On May 22, 2002, Attorney Humphrey
filed a motion to compel discovery of the
defense expert's report. This motion
included Attorney Humphrey's affidavit which
stated in paragraph 8: "[O]ver two months
ago, the State provided over 84 pages of
discovery materials, made the photographs
available to the defendant, and provided
the
scale diagram." (Emphasis added.)
¶16 On May 31, 2002, Sommers wrote to
the presiding judge in the Raisbeck
matter,
the Honorable Paul Higginbotham, and
asserted that paragraph 8 of the Humphrey
affidavit was "a bald-faced lie." Sommers'
letter provided a summary of his
communications with Attorney Humphrey
regarding his efforts to obtain the
photographs. The bottom line, according to
Sommers, was that Attorney Humphrey knew
Sommers had not received copies of the
photographs until May 21, 2002.
¶17 At the June 7, 2002, hearing on the
motion to compel discovery, Attorney
Humphrey stated on the record that the
photos "were made available to Mr. Sommers
way back in March actually." The trial
court asked Attorney Humphrey how he
responded to Sommers' assertion that Sommers
did not truly have access to the photos in
March. Attorney Humphrey replied: "He had
access to the photographs back in April, on
April 25 if you want to come in and look at
them, or if he wanted to stipulate to chain,
he could have taken them out of my office at
any time." Attorney Humphrey suggested that
Sommers was planning a "trial by ambush" by
failing to timely produce an expert report.
¶18 Sommers vehemently maintained that
Attorney Humphrey did not make the
photographs available to him, stating: "That
is just a bald-face lie. He submitted a
false affidavit. Your Honor, that is a big
thing."
¶19 Attorney Humphrey's position has
been that Sommers could have submitted a
written request for authorization to see the
accident scene photographs at any time after
Raisbeck's arraignment, but that he opted
not to do so until May 10, 2002. Attorney
Humphrey maintains Sommers was fully aware
of the typical protocol for obtaining
accident scene photos. Attorney Humphrey
includes in his submissions a form letter
that is often used by defense counsel to
make such requests.
¶20 In the context of the hearing on the
motion to compel, Judge Higginbotham stated
to Attorney Humphrey: "I think you did
fabricate in your affidavit when you stated
that these photos were made available to Mr.
Sommers way back when. . . . [T]hen to
come in here and to claim ambush by Mr.
Sommers is totally disingenuous. It's not
true at all."
¶21 Attorney Humphrey later wrote to
Judge Higginbotham in an effort to clarify
his position, describing paragraph 8 of the
challenged affidavit as "sloppy
draftsmanship." He maintained, however,
that the typical procedure in such cases is
for defense counsel to send a letter to the
prosecutor requesting authorization to
obtain the photographs from the sheriff's
department.
¶22 Sommers moved to dismiss the
criminal prosecution on the ground of
prosecutorial misconduct. At the hearing on
this motion, Judge Higginbotham commented,
with respect to the affidavit: "I
specifically find it has nothing to do with
proper draftsmanship. That you [Attorney
Humphrey] clearly misled the court on that
issue."
¶23 However, in this disciplinary
appeal, Attorney Humphrey claims that the
referee's report fails to note the district
attorney later asked the trial court to
rescind this statement. He contends that
the trial court agreed.
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¶24 In the first count of the
disciplinary complaint the OLR alleges that,
by averring in an affidavit that he had made
the photographs available "over two months
ago," Attorney Humphrey engaged in conduct
involving dishonesty, deceit, or
misrepresentation in violation of former SCR
20:8.4(c) (Count One).
¶25 The remaining counts in the OLR
disciplinary complaint also relate to the
trial preparations in the Raisbeck
matter.
On June 12, 2002, Attorney Humphrey gave
Sommers a synopsis of his expert's accident
reconstruction report. At some date prior
to August 15, 2002, Attorney Humphrey and
his expert met to discuss this report. On
August 15, 2002, Attorney Humphrey and the
expert apparently exchanged e-mails
addressing a summary of the expert's
anticipated trial testimony.
¶26 Meanwhile, Sommers and his defense
expert reviewed the 5 by 7 inch photographs
he received from the sheriff's department.
None of these photographs showed a close-up
of the tire markings. Sommers argued that
without such a close-up view of the tire
markings it was impossible to evaluate the
State's assertion that the tire markings
were "critical speed scuffs" rather
than "brake-induced skid marks." Again, the
defense considered the tire markings highly
relevant evidence for assessing the speed of
Raisbeck's vehicle when taking the curve in
the road before the accident occurred.
¶27 Sommers argued the State expert's
opinion that the tire markings were "speed
scuffs" was vital to the State expert's
conclusion that Raisbeck was driving 88
miles per hour at the time of the accident.
Sommers did not see markings on his set of
photographs and thus moved to dismiss the
prosecution on the ground that the State had
failed to preserve critical tire marking
evidence.
¶28 At the August 22, 2002 hearing on
this motion Sommers subpoenaed sheriff's
deputies together with their copies of the
accident scene photographs. Deputy Sewell
appeared at the hearing. He testified that
he had brought his set of accident scene
photographs to court for a previous court
hearing, but no longer had the photographs
in his possession and did not know where
they were. A discussion among counsel and
the court ensued. The court asked Attorney
Humphrey if he had the photographs.
Attorney Humphrey's response to the court's
inquiry forms the basis for the second
disciplinary count alleged against him.
Attorney Humphrey responded: "I have two
photos. I don't know if these are the ones
he wants. They are the photos of black
marks on the roadway." Sommers
characterized Attorney Humphrey's response
and the State's failure to produce a full
set of photographs at the hearing
as "underhanded." Judge Higginbotham
responded to Sommers that: "Nobody has said
that Mr. Humphrey had [the photographs]."
However, the OLR complaint alleges that at
the time of this exchange, Attorney Humphrey
knew he in fact had, in his office, a
complete set of 8 by 10 inch accident scene
photos but did not disclose this fact to the
trial court. Judge Higginbotham asked
Attorney Humphrey: "Now, Mr. Humphrey, do
you know where the photos are?" Attorney
Humphrey replied: "No, I do not." Attorney
Humphrey has maintained he thought the trial
court was inquiring specifically about the
location of the set of photographs
originally in the possession of Deputy
Sewell.
¶29 The court ultimately used the two 8
by 10 inch photos that Attorney Humphrey had
with him in the courtroom as well as
Sommers' 5 by 7 inch set of photographs.
The motion to dismiss was denied.
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¶30 With respect to this exchange, the
OLR complaint alleges that, by failing to
disclose he knew where the photos were
during the August 22, 2002 hearing, Attorney
Humphrey knowingly made a false statement of
material fact to a tribunal in violation of
SCR 20:3.3(a)(1), and engaged in conduct
involving dishonesty, deceit, or
misrepresentation in violation of SCR 20:8.4
(c) (Count Two).
¶31 The third count of the OLR complaint
involves the timing of disclosure of a
witness statement to Attorney Sommers. When
the sheriff's deputies first investigated
the accident, Kevin McCoy, an acquaintance
of Raisbeck, told investigators that he had
seen Raisbeck's passengers the night before
the accident but that he did not know where
they went after that. This innocuous
statement was included in the discovery
responses sent to Sommers.
¶32 On September 18, 2002, Attorney
Humphrey advised Sommers he intended to call
McCoy as a witness at trial but noted that
he did not have an address for him. On
October 15, 2003, Attorney Humphrey sent
Sommers a witness list that included McCoy's
name together with his address.
¶33 On or about October 21, 2003,
Attorney Humphrey and Detective Greiber of
the Dane County Sheriff's Department met
with McCoy in preparation for trial. At the
time of this meeting, the Raisbeck trial
was
scheduled to commence on October 27, 2003.
Detective Greiber later prepared a
memorandum dated October 27, 2003, that
summarized the meeting. At the meeting,
McCoy apparently stated he had spoken to
Raisbeck in the spring following the
accident, and that Raisbeck had said he was
feeling sad about the accident, that he
admitted to McCoy it was foggy and he was
driving too fast, that he could not see the
sign, and he drove off the road. This
statement was significant because Raisbeck,
who was injured in the accident, had
previously stated he had no recollection of
the accident.
¶34 On October 23, 2003, the trial was
postponed until January 20, 2004. On
November 12, 2003, Attorney Humphrey sought
a bench warrant identifying McCoy as a
material witness who "has already not
appeared on one subpoena and is unlikely to
appear on a subpoena in the future." A
bench warrant directing McCoy's arrest was
issued the same day. On December 11, 2003,
Sommers wrote the court asking how McCoy
could be deemed a "material witness" given
his innocuous statement on September 1,
2001.
¶35 On January 7, 2004, Attorney
Humphrey disclosed McCoy's October 21, 2003
statements to Sommers via a cover letter
stating that "[w]hile it is not
discoverable, I thought I would send these
notes [along] anyway." At the time this
letter was sent, trial was scheduled to
commence on January 20, 2004.
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¶36 The OLR complaint alleges that by
failing to turn over to the defense until
January 7, 2004, an October 21, 2003 witness
statement containing incriminating
declarations, Attorney Humphrey did, in
pretrial procedure, fail to make a
reasonably diligent effort to comply with a
valid discovery request by an opposing party
in violation of SCR 20:3.4(d) (Count Three).
¶37 Attorney Humphrey defends the timing
of his disclosure of the witness statement.
He claims that he initially viewed the
statement as privileged work product because
the statement was not exculpatory, and only
later realized that as a statement of a
party defendant it should be disclosed.
¶38 With respect to the timing, he
asserts that everyone involved assumed the
trial would be delayed again because Sommers
had filed an interlocutory appeal that had
stayed the trial court proceeding.
Moreover, the parties involved were all
aware that the defense expert was going to
be unavailable in January. Attorney
Humphrey notes that the trial did not in
fact occur until April 18, 2005, some 15
months after he disclosed the McCoy witness
statement to Sommers.
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¶39 The OLR sought summary judgment on
Count Three of the complaint based on the
fact that in his answer, Attorney Humphrey
admitted the facts alleged in the OLR
complaint with respect to Count Three. On
June 25, 2007, the referee granted the OLR's
motion for summary judgment on Count Three,
stating: "[t]he respondent having admitted
all factual allegations of Count 3, it,
therefore, appears that there is no genuine
issue as to any material fact."
¶40 Attorney Humphrey sought
reconsideration of this ruling, emphasizing
he did not admit the inferences that the OLR
wanted the trier of fact to draw from the
factual allegations——namely, that he failed
to disclose the witness statement until 13
days before trial. Moreover, he argues that
the summary judgment ruling precluded him
from presenting any affirmative defenses to
the charge.
¶41 The evidentiary hearing in this
disciplinary matter was conducted on July 10
and 11, 2007. The referee denied Attorney
Humphrey's motion for reconsideration of the
summary judgment order at this hearing but
permitted Attorney Humphrey to make an offer
of proof that the Raisbeck trial did not
occur until 15 months after the witness
statement was disclosed.
¶42 On August 2, 2007, the referee
issued his report and recommendation. With
respect to Count One, the referee agreed
that Attorney Humphrey's affidavit "misled
the court" and concluded that Attorney
Humphrey violated SCR 20:8.4(c).
¶43 With respect to Count Two, the
referee was not persuaded by Attorney
Humphrey's claim that he misunderstood which
set of accident scene photographs the court
meant when the court asked if Attorney
Humphrey had a set of photographs. The
referee concluded that Attorney Humphrey
knowingly made a false statement of fact to
a tribunal in violation of SCR 20:3.3(a)(1),
and engaged in conduct involving dishonesty,
fraud, deceit, or misrepresentation in
violation of SCR 20:8.4(c).
¶44 Finally, with respect to Count
Three, the referee recited the factual
allegations in the complaint and reiterated
his granting of summary judgment to the OLR
on this charge.
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¶45 On appeal Attorney Humphrey
challenges the referee's findings and
conclusions and provides context for the
allegations against him. He explains the
usual protocol regarding production of
accident photographs, noting that Sommers
did not follow the usual procedure of
submitting a request letter to the district
attorney immediately after arraignment.
Attorney Humphrey explains that Sommers had
specifically emphasized that he wanted to
see Attorney Humphrey's copies of the
photographs, which had been sent to the
State's accident reconstruction specialist.
He explains that around April 24, 2002,
Attorney Humphrey told Sommers he could come
to Attorney Humphrey's office to see the
photos. At this meeting he realized the
expert witness had not yet returned them.
Attorney Humphrey then wrote Sommers letters
on April 25, 2002, and May 2, 2002,
providing details as to how Sommers could
obtain a set of photographs directly from
the sheriff's department.
¶46 With respect to the affidavit
forming the basis for Count One of the
complaint, Attorney Humphrey defends his use
of the term "available" in the affidavit
where he stated that he made the
photographs "available" to Sommers some two
months prior to the date of his motion to
compel. He reiterates Sommers could have
pursued other strategies to obtain the
accident scene photographs directly from the
sheriff's department.
¶47 With respect to Count Two, Attorney
Humphrey also maintains that during the in-
court discussions about the location of the
accident scene photographs, Attorney
Humphrey thought they were specifically
talking about the location of Deputy
Sewell's missing set of photographs
because
Sommers had stated that he did not trust the
district attorney's office and that is why
he subpoenaed Sewell and his photographs.
¶48 With respect to Count Three,
Attorney Humphrey also emphasizes that the
parties knew in October, when the McCoy
witness statement was taken, that the trial
would be postponed because the court of
appeals had stayed the trial court case by
order dated October 22, 2003, and Sommers
had advised the court that his expert would
be unavailable in January because of a
vacation. He notes again the trial did not
in fact occur until 15 months following
disclosure of the witness statement.
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¶49 We review a referee's findings of
fact subject to the clearly erroneous
standard. See In re Disciplinary
Proceedings Against Eisenberg, 2004 WI 14,
¶5, 269 Wis. 2d 43, 675 N.W.2d 747. We
review the referee's conclusions of law de
novo. Id. Pursuant to our obligation to
supervise and regulate the practice of law
in this state, we determine the appropriate
level of discipline independent of the
referee's recommendation. See In re
Disciplinary Proceedings Against Widule,
2003 WI 34, ¶44, 261 Wis. 2d 45, 660 N.W.2d
686.
¶50 The referee made the following
findings of fact with respect to Count One:
• It appears that tire marks were not
visible on the 5 by 7 inch photographs that
Sommers obtained from the sheriff's
department but were visible on the 8 by 10
inch photographs Attorney Humphrey gave to
his accident reconstruction specialist.
• The Dane County Sheriff's Department
at various times stated there were 33, 45,
46, and 50 photographs.
• It was reasonable for Sommers to be
certain he had seen all photographs.
• On May 2, 2002, Attorney Humphrey
sent a letter to defense counsel which
stated, in part:
At your recent request for your own
copies
of all the photos, I contacted the Court
Officer of the DSCO. Here's what you need
to do.
• It is clear from the record that the
court wanted to be sure discovery had been
timely produced. Trial was then scheduled
for late June.
• On May 22, 2002, Attorney Humphrey
filed an affidavit with the court that
stated in relevant part that photos had been
made "available" to the defense for over two
months.
• On June 7, 2002, Judge Higginbotham
stated to Attorney Humphrey:
Mr. Humphrey, I've not been happy with
your
conduct either. I agree with Mr. Sommers
and that the situation with [Raisbeck]
should never have gone that way. But,
secondly, I think you did fabricate in your
affidavit when you stated that these photos
were made available to Mr. Sommers way back
when. That's not true. Even based on these
letters it's clear to me that those photos
were never made actually available. . . .
• After being told that he
had "fabricated" and was "totally
disingenuous" Attorney Humphrey's response
to the court was tepid at best.
¶51 The referee further notes that on
April 7, 2003, the court stated: "I
specifically find it has nothing to do with
proper draftsmanship. That [Attorney
Humphrey] clearly misled the court on that
issue." The referee adds that "any
reasonable interpretation of the facts
[shows] that for whatever reason [Attorney
Humphrey] deliberately misled the court."
¶52 On this appeal, Attorney Humphrey
takes issue with several of the referee's
findings of fact and the inferences drawn
therefrom. For example, the referee
comments on confusion regarding the number
of accident scene photographs. Attorney
Humphrey points out, however, that as of the
May 2, 2002 hearing, there was no confusion
about the number of accident scene
photographs. He contends the confusion over
the number of photographs did not arise
until the hearing on August 22, 2002.
¶53 Attorney Humphrey also challenges
the referee's finding that Attorney
Humphrey's response to the court's
statements about the veracity of his
affidavit was "tepid." Attorney Humphrey
responds that he consistently stated on the
record that his statements were "true." He
defends his response in the trial court,
describing the colloquy that occurred
immediately after the court made these
statements to Attorney Humphrey. There, the
trial court strongly chastised Sommers for
interrupting him and contradicting the
court. Attorney Humphrey asserts that given
the timing and tenor of the court's remarks
to counsel, he "would have been ill-advised
to have said anything in response to Judge
Higginbotham's statement about him." He
explains that, instead, he filed a motion
asking the court to withdraw his conclusion
and states the court agreed to do so.
Attorney Humphrey also suggests the referee
failed to correctly analyze the requirements
necessary to sustain a claim for
misrepresentation. See In re
Disciplinary
Proceedings Against Marks, 2003 WI 114,
¶50,
265 Wis. 2d 1, 665 N.W.2d 836.
¶54 First, we conclude the referee's
factual findings with respect to Count One
are not clearly erroneous, with one
exception. We conclude the record evidence
before the court supports Attorney
Humphrey's assertion that he has
consistently maintained his affidavit was
correct. As such, the court does not agree
with the referee's finding that Attorney
Humphrey tacitly "conceded" the statements
in his affidavit violated the rules.
However, the other factual findings
regarding Count One are supported by the
record and are not clearly erroneous.
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¶55 Ultimately, the referee was required
to make a credibility determination as to
whether Attorney Humphrey knew or should
have known his statement that he made the
photographs "available" to Sommers was a
fair and accurate representation of
matters. Although there may be technical
merit to Attorney Humphrey's claim the
photos were theoretically available to
Sommers by other means, we agree with the
referee's conclusion that Sommers did not
have the accident scene photos when Attorney
Humphrey filed his motion to compel and
Attorney Humphrey knew it. We are not
persuaded by Attorney Humphrey's assertion
that the referee was required to analyze
each element of a misrepresentation claim in
order to find misconduct here. It is
unnecessary to prove the tort of
misrepresentation in order to establish by
clear and convincing evidence that an
attorney has violated a rule of professional
conduct proscribing attorney conduct
involving dishonesty, fraud, deceit, or
misrepresentation. See Marks, 265
Wis. 2d
1, ¶50; In re Disciplinary Proceedings
Against Schalow, 131 Wis. 2d 1, 12-13, 388
N.W.2d 176 (1986).
¶56 The record indicates both the trial
court in the Raisbeck matter and the
referee
in this disciplinary proceeding were firmly
of the opinion that Attorney Humphrey's
statement that the photographs had
been "available" to the defense for months
constituted misrepresentation within the
meaning of the Rules of Professional Conduct
for Attorneys. We defer to the referee's
credibility determinations and we accept the
referee's conclusion that Attorney Humphrey
violated SCRs 20:8.4(c) and 20:3.3(a)(1)
with respect to paragraph 8 of his affidavit.
¶57 The second count of the OLR
complaint alleges that, by failing to
disclose he knew where the photos were
during the August 22, 2002 hearing, Attorney
Humphrey knowingly made a false statement of
material fact to a tribunal and engaged in
conduct involving dishonesty, deceit, or
misrepresentation.
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¶58 Attorney Humphrey has maintained he
thought the trial court was inquiring
specifically about the location of the set
of photographs originally in the possession
of Deputy Sewell. This, again, called for a
credibility determination. The referee
concluded Attorney Humphrey knew or should
have known that the trial court was
inquiring generally about an 8 by 10 inch
set of photographs at this hearing. Again,
we decline to challenge the referee's
credibility determination, and we accept the
referee's conclusion that by claiming he had
no knowledge of the whereabouts of the set
of photographs in response to the trial
court's inquiry, Attorney Humphrey knowingly
made a false statement of material fact to a
tribunal in violation of SCR 20:3.3(a)(1)
and engaged in conduct involving dishonesty,
deceit, or misrepresentation in violation of
SCR 20:8.4(c).
¶59 Count Three of the OLR complaint
alleges that, by failing to turn over to the
defense until January 7, 2004, an October
21, 2003 witness statement of Kevin McCoy
containing incriminating declarations,
Attorney Humphrey did, in pretrial
procedure, fail to make a reasonably
diligent effort to comply with a valid
discovery request by an opposing party.
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¶60 As noted, the referee granted the
OLR's motion for summary judgment on this
claim concluding that Attorney Humphrey
admitted the factual allegations in the
complaint. Thus, we must consider whether
the admitted factual elements of the
complaint, alone, support the legal
conclusion that Attorney Humphrey violated
SCR 20:3.4(d) by failing to disclose a
witness statement completed on October 21,
2003, until January 7, 2004. We hold that
it was error for the referee to grant
summary judgment on this count.
¶61 Wisconsin Stat. § 971.23 requires
the State to turn over such a statement
within a "reasonable time before trial."
Attorney Humphrey asserts "[i]t is axiomatic
that when an assistant district attorney
complies with Wis. Stat. § 971.23 he cannot
have violated SCR 20:3.4(d) which
states: 'A lawyer shall not . . . in
pretrial procedure, . . . fail to make
reasonably diligent efforts to comply with a
legally proper discovery request.'" He
notes he had over 500 assigned cases at the
time of the belated disclosure.
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¶62 We do not condone the length of time
it took Attorney Humphrey to disclose an
important witness statement to defense
counsel in this case, particularly in view
of the manner in which this prosecution was
handled. However, we must conclude that the
disciplinary complaint, alone, is not an
adequate factual basis to support the
conclusion that Attorney Humphrey violated
SCR 20:3.4(d). The facts set forth in the
complaint do not allege when the actual
trial occurred, nor do they recite whether
there was any harm to the Raisbeck
defense
occasioned by the delay. It is apparent
from submissions this court has received
from Sommers and remarks made by the referee
that there is considerably more to the story
with respect to this witness statement.
However, this information cannot form the
basis of our ruling because this matter was
decided on summary judgment. This court
will not make factual findings that the
referee could have made but did not.
See In
re Disciplinary Proceedings Against Wood,
122 Wis. 2d 610, 615-16, 363 N.W.2d 220
(1985); see also In re
Disciplinary
Proceedings Against Swartwout, 116 Wis. 2d
380, 383, 342 N.W.2d 406 (1984) (court will
not conduct de novo review of record or
independently make factual findings).
Taking, as we must, the undisputed facts
viewed in the light most favorable to
Attorney Humphrey, we must conclude that the
admissions to the facts alleged in the
complaint alone do not establish a violation
SCR 20:3.4(d). We decline to remand this
matter, and we dismiss this charge.
¶63 We now turn to the appropriate
discipline in this matter. The referee
stated he found making a recommendation with
respect to the appropriate discipline in
this matter difficult. He acknowledged
Attorney Humphrey's previously excellent
record, but stated, "the fact that he may
have been driven to them by over work or his
apparent intense dislike of his opponent is
no excuse" and concluded "the least I can
recommend is a public reprimand."
¶64 The record reflects the OLR
considered several cases in recommending its
proposed sanction of a public reprimand.
See, e.g., In re Disciplinary Proceedings
Against Teasdale, 2005 WI 12, 278 Wis. 2d
76, 692 N.W.2d 244 (failure to respond to a
discovery request); In re Disciplinary
Proceedings Against Johann, 216 Wis. 2d
118,
574 N.W.2d 218 (1998) (failing to appear for
deposition); In re Disciplinary
Proceedings
Against Brey, 171 Wis. 2d 65, 490 N.W.2d
15
(1992) (60-day suspension). We have
reviewed these and other cases and conclude
that under the facts presented here, a
public reprimand is insufficient to achieve
the objectives of attorney discipline.
¶65 We agree with the referee's implicit
observation that the acrimonious
relationship between opposing counsel was
likely a contributing factor in Attorney
Humphrey's conduct. However, the law
invests prosecutors with awesome
discretionary powers, particularly over the
nature of the charge and the decision
whether to prosecute. See, e.g., 9
Christine M. Wiseman & Michael Tobin,
Criminal Practice & Procedure § 6:1
(Wisconsin Practice Series, 2d ed. 2011). A
prosecutor is not a mere advocate for a
particular side in a case. Id. The
prosecutor thus serves as "the trustee of
the public's law enforcement conscience."
Thompson v. State, 61 Wis. 2d 325, 332,
212
N.W.2d 109 (1973). Thus, prosecutors must
be ever mindful that they wield significant
authority and must carefully guard against
the temptation to let personal
considerations interfere with their
obligation to seek justice.
¶66 We consider Attorney Humphrey's
ethical violations sufficiently serious to
warrant a suspension of his license to
practice law. The question, then, is the
appropriate length of that suspension.
Typically, this court has adhered to a
policy of imposing a minimum license
suspension of 60 days. See In re
Disciplinary Proceedings Against Osicka,
2009 WI 38, ¶38, 317 Wis. 2d 135, 765 N.W.2d
775; In re Disciplinary Proceedings
Against
Grady, 188 Wis. 2d 98, 108-09, 523 N.W.2d
564 (1994).
¶67 We have concluded that we will
deviate from our usual policy of requiring a
minimum suspension of 60 days, and we hereby
impose a 30-day suspension on Attorney
Humphrey's license to practice law in
Wisconsin. As we stated in the Sommers
case, 2012 WI 33 (No. 2006AP2851-D), this is
an unusual case that calls for an unusual
result.
¶68 We also order that Attorney Humphrey
shall bear the full costs of this proceeding
which total $16,242.59 as of April 11, 2008.
¶69 IT IS ORDERED that the license of
Paul W. Humphrey to practice law in
Wisconsin is suspended for a period of 30
days, effective May 7, 2012.
¶70 IT IS FURTHER ORDERED that Paul W.
Humphrey 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.
¶71 IT IS FURTHER ORDERED that within 60
days of the date of this order, Paul W.
Humphrey shall pay to the Office of Lawyer
Regulation the costs of this proceeding. If
the costs are not paid within the time
specified and Paul W. Humphrey has not
entered into a payment plan approved by the
Office of Lawyer Regulation, then the Office
of Lawyer Regulation is authorized to move
this court for a further suspension of the
license of Paul W. Humphrey to practice law
in Wisconsin.
¶72 ANNETTE KINGSLAND ZIEGLER and
MICHAEL J. GABLEMAN, J.J., did not
participate.
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¶73 SHIRLEY S. ABRAHAMSON,
C.J. (concurring). The lawyer
discipline system, including the work of the
Office of Lawyer Regulation (OLR), the
Preliminary Review Committee, the referees,
and this court, like any system, has its
strengths and also its opportunities for
improvement. Reasonable people can and do
disagree about the virtues, the snags, and
the changes needed.
¶74 But I am disappointed when a justice
of this court unfairly and wrongly
undermines the lawyer discipline system, a
decision of this court, and the actions of
the justices joining the per curiam opinion
with unwarranted, unfounded accusations. I
therefore write in response to Justice
Prosser's concurrence/dissent.
¶75 The concurrence/dissent charges that
the "handling of [the Humphrey] case has
been so irregular that it is unfair to the
attorney and seriously undermines confidence
in the lawyer regulation system, especially
the actions of this court." See
concurrence/dissent, ¶¶132, 159.
¶76 The concurrence/dissent does not and
cannot back up this harsh charge.
¶77 In spite of the storm and fury and
nasty insinuations about the court's
actions, it turns out that the
concurrence/dissent disagrees only with the
imposition of a 30-day suspension. The
concurrence/dissent joins the opinion of the
court in concluding that Attorney Humphrey
violated the Rules of Professional Conduct
twice, by misrepresentations to the trial
court.
¶78 The referee explicitly found that
Attorney Humphrey deliberately
misrepresented matters to the trial
court: "[A]ny reasonable interpretation of
the facts [shows] that for whatever reason
[Attorney Humphrey] deliberately misled the
court." And the court today (including
Justice Prosser) affirms the referee's
findings.
¶79 While attempting to retry the case
and downplay the two counts against Attorney
Humphrey, labeling them "semantic disputes,"
the concurrence/dissent acknowledges
being "not prepared to assert" that the
referee's finding that Attorney Humphrey
deliberately misled the trial court
is "clearly erroneous."
¶80 The concurrence/dissent thus takes
issue with the per curiam opinion only in
preferring to impose a public reprimand
rather than a 30-day suspension and in
seeking to reduce the costs imposed on
Attorney Humphrey.
¶81 When you read the
concurrence/dissent and discard the
hyperbole, inappropriate inferences, and
emotional appeal, the writing amounts
to "nothing more than a disagreement among
justices about whether an attorney should
receive a public reprimand or a relatively
brief suspension," an issue that the
concurrence/dissent writes is worthy
of "little" discussion.
¶82 With the essence of the
concurrence/dissent clearly stated, I turn
to inventory the
purported "irregularities."
¶83 The purported "irregularities"
recounted in the concurrence/dissent are as
follows:
(A) The time elapsing between the beginning
of the OLR proceeding and the imposition of
discipline (the release of this decision);
(B) The failure to keep the Humphrey and
Sommers discipline cases separate;
(C) The change in the membership in the
court during the pendency of the
Humphrey
discipline case;
(D) The dismissal of the third count while
not accepting the lower discipline (public
reprimand) recommended by the referee; and
(E) The failure of the per curiam opinion to
pursue a defense that Attorney Humphrey
claimed but did not prove.
¶84 I will address each in turn.
¶85 The concurrence/dissent describes
the time elapsing between the beginning of
the OLR proceeding and the imposition of
discipline as "unseemly."
¶86 An abbreviated time line of the four
steps in the disciplinary proceedings in the
Humphrey and Sommers cases shows
that the
bulk of the time that has elapsed in the
Humphrey case between the challenged conduct
and the final decision by this court has
been at this court. So what happened
here?
¶87 The two discipline cases,
Humphrey
and Sommers, have their genesis in the
same
criminal prosecution in which Attorney
Humphrey was the prosecutor and Attorney
Sommers was the defense counsel. It was
clear from the very beginning that the
conduct of each attorney affected the
conduct of the other. It was reasonable
that the discipline imposed in the two cases
should, at some point, be considered by this
court in tandem.
¶88 Thus, on July 30, 2008, soon after
the Humphrey oral argument in this
court,
the court, on its own motion, issued a
written order holding Attorney Humphrey's
case in abeyance, anticipating that the
Sommers case would be here soon for oral
argument. No justice dissented from this
order. Justice Prosser belatedly objects
today, some three and one-half years
later.
¶89 Holding the Humphrey matter for
the
Sommers matter was the sound, sensible
thing
to do at the time. No one anticipated that
the Sommers case would take three years
before it came here for oral argument.
Nothing irregular or sinister here. Nothing
to undermine confidence in the lawyer
regulation system, including the actions of
this court.
¶90 Since the Sommers case came to
this
court with oral argument on November 3,
2010, it has taken about 16 months for this
court to release the Sommers and
Humphrey
decisions. This is too long. Decisions in
non-discipline cases in which oral argument
was held in November 2010, as was the
Sommers case, were released before the
end
of July 2011. We do not have time lines for
preparing, circulating, and releasing
decisions in discipline cases (as we do for
decisions in non-discipline cases). We
should. I shall continue to urge the court
to set reasonable time lines for all matters
that come to this court.
¶91 The concurrence/dissent asserts that
the court should have separated the
Sommers
and Humphrey cases, but the
concurrence/dissent does not tell the full
story. The cases were in fact handled
separately, even in this court.
¶92 Each case had its own OLR complaint;
its own files and records; its own referee
(as a result of Sommers' request for
substitution); its own report by its own
referee; its own set of briefs in this
court; and its own oral argument here. The
court deliberated on each case separately.
Separate opinions were written and
considered in each case, but then the court
stepped back to assess the discipline to be
imposed on each lawyer.
¶93 Although the concurrence/dissent
forcefully argues that the two cases be kept
separate, as they were, it simultaneously
suggests that Attorney Sommers' request that
a new referee be substituted for the
Humphrey referee who was originally
assigned
as referee to the Sommers case was
irregular
and worked to Humphrey's disadvantage.
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¶94 A lawyer has the right to ask that
the named referee be substituted. See
SCR
22.13(4). This right has been exercised in
other cases. Nothing irregular about a
substitute referee here.
¶95 Indeed the court granted Attorney
Sommers' request that the referee in the
Humphrey case not be the referee in the
Sommers case, in part so that the two
cases
would be separate.
¶96 The concurrence/dissent recounts at
length the change in the membership of the
court while the Humphrey case has been
pending. It is viewed as
an "irregularity." That a justice retires,
resigns, is defeated in election, dies, or
recuses himself or herself while a case is
pending is not unusual or irregular. Only
justices who participate in a case from its
beginning ordinarily participate in the case
through the end. A justice who declines to
participate in a case cannot be forced to
participate.
¶97 That only five justices participate
in a matter before this court is not an
everyday occurrence, but it is not an
irregularity. A five-justice decision, with
two justices not participating after being
given the opportunity to do so, is valid.
¶98 Nothing irregular or sinister here.
Nothing unfair to Humphrey or Sommers.
Nothing to undermine confidence in the
lawyer regulation system, including the
actions of this court.
¶99 On December 14, 2009, Attorney
Humphrey requested re-argument in this
court, urging that the case should be
reargued because of the change in the
composition of the court. Almost
immediately thereafter, on January 12, 2010,
the court entered a written order,
unanimously holding Humphrey's motion for re-
argument in abeyance. No justice dissented
from this order.
¶100 Nevertheless, with the benefit of
hindsight, the concurrence/dissent asserts
that the court should have granted Attorney
Humphrey's motion for reargument. Yet,
noticeably, the concurrence/dissent does not
request reargument even today.
¶101 The concurrence/dissent records, as
an "irregularity," that the per curiam
opinion dismisses the third count of the
complaint against Humphrey while imposing
discipline in excess of that which the
referee recommended.
¶102 The concurrence/dissent asserts that
it is a "spectacle" that the per curiam
opinion fails to accept the referee's
recommendation to discipline Attorney
Humphrey with a public reprimand while
dismissing count three.
¶103 The third count implicates Attorney
Humphrey in not timely providing information
he was required to give Attorney Sommers.
¶104 What the concurrence/dissent does
not reveal is that count three was dismissed
on a procedural ground even though the count
appears to have potential merit. Moreover,
the remaining two counts of
misrepresentation are more than sufficient
to support a 30-day suspension.
¶105 The per curiam opinion dismisses the
third count on the ground that the referee
erred in granting summary judgment on this
count without holding an evidentiary
hearing. The court could have remanded the
third court to the referee to hold an
evidentiary hearing to determine the merits
of this count. A remand causes delay and
would have increased the costs incurred by
Attorney Humphrey.
¶106 Instead, the court exercised its
discretion to dismiss the count. The per
curiam opinion does not, however, condone
the time it took Attorney Humphrey to
disclose an important witness statement to
Attorney Sommers.
¶107 Dismissal of count three appears to
be advantageous to Attorney Humphrey.
¶108 Dismissal of a count happens with
some frequency in lawyer discipline cases.
The referee and the court are doing their
respective jobs in carefully checking that
the Office of Lawyer Regulation proves each
count. Nothing irregular or sinister here.
Nothing unfair to Humphrey. Nothing to
undermine confidence in the lawyer
regulation system, including the actions of
this court.
¶109 The court considers carefully a
referee's recommendation about discipline
but modifies a referee's recommendation as
too light or too harsh with some frequency.
Both the referee and court are doing their
respective jobs: The referee is to
recommend; the court is to decide.
¶110 The referee acknowledged
that "making a proper recommendation in this
case [is] difficult." The referee recorded
favorable comments about Attorney Humphrey
and his career and then concluded that
Attorney Humphrey violated the Rules of
Professional Conduct and that his conduct
before the referee suggested "a deliberate
attempt not to cooperate in an effort to
find the truth. It must be noted that
absolutely no contrition was expressed by
[Attorney Humphrey]. With all this in mind
the least I [the referee] can recommend is a
public reprimand."
¶111 Many referees oversee the numerous
discipline cases. The court's careful
review of each referee's recommendation for
discipline and the court's careful exercise
of its responsibility to impose discipline
can bring consistency in discipline from one
lawyer discipline case to another.
No "spectacle" here.
¶112 The concurrence/dissent criticizes
the court for not pursuing a defense that
Attorney Humphrey claimed, namely that the
trial court rescinded the statement that
attorney Humphrey clearly misled the trial
court. There is no documentary evidence
showing a change by the trial court. At
Attorney Humphrey's deposition he said, "[W]
hen he [the trial judge] sort of
backtracked, later on and he took it back,
he made——you know, says disparaging
things." It was Attorney Humphrey's
obligation, not the referee's or this
court's, to pursue Humphrey's assertions in
his defense and produce evidence to support
the defense. Nothing irregular or sinister
here. Nothing unfair to Humphrey. Nothing
to undermine confidence in the lawyer
regulation system, including the actions of
this court.
¶113 In sum, the charge of
such "irregularities" that the procedure
used and decision are "unfair to attorney
[Humphrey] and seriously undermine[] the
confidence in the lawyer regulation system,
especially the actions of this court" is not
proven. None of the purported
irregularities holds up under scrutiny.
¶114 Instead, the concurrence/dissent
expresses one justice's opinion about
Attorney Humphrey's credibility and the
facts. It expresses frustration that, as a
matter of law, the concurrence/dissent must
defer to the referee's assessment of
Humphrey's credibility and findings of fact,
although the concurrence/dissent
nevertheless attempts to retry credibility.
¶115 It turns out that the
concurrence/dissent amounts to "nothing more
than a disagreement among justices about
whether an attorney should receive a public
reprimand or a relatively brief suspension,"
an issue that the concurrence/dissent writes
is worthy of "little" discussion.
¶116 I turn to the issue of discipline.
¶117 The 30-day suspension
is "unprecedented," proclaims the
concurrence/dissent.
¶118 A 30-day suspension
is "unprecedented" only in the sense that in
recent years, unlike in years past, the
minimum suspension the court ordinarily
imposes is 60 days. In the present case the
court, like the referee, struggled mightily
on the question of discipline. The court
decided a public reprimand was too light and
a 60-day suspension too severe. The court's
imposing an "unprecedented" 30-day
suspension probably has worked in Attorney
Humphrey's favor.
¶119 In spite of the storm and fury and
nasty insinuations about the court's
actions, when all is said and done, it turns
out that the concurrence/dissent disagrees
merely with the imposition of a 30-day
suspension. Yet, at the same time the
concurrence/dissent concludes that the
decision whether to impose a public
reprimand or a suspension is an issue worthy
of "little" discussion.
¶120 Here again, I must disagree with the
concurrence/dissent. I think the discipline
to be imposed is worthy of a lot of
discussion and very careful thought. The
nature of the discipline has significant
consequences. There is a big difference to
the disciplined attorney, to the public, to
the bench, and to the bar between a public
reprimand and a suspension of any length.
¶121 The court is concerned about the
effect of discipline cases on the litigants
involved, on the bar, on the bench, on the
public, and on the public's trust and
confidence in the legal and judicial
system. For these reasons, the court
struggles to impose what it views as the
appropriate discipline in each case and
tries especially hard to reach unanimous
decisions in discipline cases.
¶122 The concurrence/dissent inveighs
against imposing full costs of the
proceeding against Attorney Humphrey. The
court carefully considers costs in each case
and is fully cognizant of the effect of the
imposition of all or a portion of the costs
on the attorney charged or on all the
attorneys of the state who foot the bill for
the lawyer discipline system. The
concurrence/dissent protests about costs but
does not say what costs it would impose.
¶123 What discipline should the court
impose on a lawyer who violates the Rules of
Professional Conduct in representing the
State in a criminal case?
¶124 The case: Adam Raisbeck, a 17-year-
old driver, was in a single-car roll-over
accident. One passenger was killed.
Another was injured. No drugs or alcohol
were involved. In essence, the legal
question was whether Adam Raisbeck would be
held criminally liable for driving too
fast.
¶125 Attorney Humphrey is a long-time
experienced assistant district attorney.
What explains his conduct? The
concurrence/dissent ruminates, "it is
difficult . . . to imagine what would have
motivated an experienced prosecutor to
promptly turn over 84 pages of discovery
material to the defendant but later insist
to a circuit judge that he also turned over
or actually supplied accident scene
photographs in March when he obviously did
not."
¶126 The referee in the Humphrey
discipline proceeding answers: "Sommers and
Humphrey apparently had a prior unpleasant
history and it appears that Humphrey
determined not to be any more cooperative
with Sommers than absolutely necessary."
Attorney Humphrey "may have been
driven . . . by over work or his apparent
intense dislike of his opponent."
¶127 The justices have struggled
mightily, perhaps too mightily, and for far
too long, to decide the merits of the charge
and the appropriate discipline. The
discipline had to fit the offense,
considering the attorney's conduct and the
mitigating and aggravating circumstances,
and considering the effect on the bar, the
bench, and the public, and trying to ensure
fair, effective judicial and legal
proceedings that produce fair, just
results.
¶128 Each lawyer discipline case,
including the Humphrey and Sommers
matters,
presents a sad and difficult story about
lawyers and clients. The Office of Lawyer
Regulation, the Preliminary Review
Committee, the referees, and the court
understand this and take their respective
roles very seriously——as they should.
¶129 The lawyer discipline system, like
any system, has its strong and weak spots,
and aspects of the system can be commended
and criticized. The handling of any
particular case, including the Humphrey
case, is also subject to both approbation
and disapproval.
¶130 There is no question that the case
took too long. But the handling of the
Humphrey discipline case was
not "irregular," in the sense that the
concurrence/dissent claims, so as to
be "unfair to the Attorney [Humphrey] and
seriously undermine the confidence in the
lawyer regulation system, especially the
actions of this court." No such charge
should be made in the present case to attack
the integrity of the lawyer regulation
system or the justices joining the per
curiam opinion.
¶131 For the reasons set forth, I join
the per curiam and write separately.
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¶132 DAVID T. PROSSER, J. (concurring
in part, dissenting in part). I
respectfully dissent from the level of
discipline imposed by the court. If this
case involved nothing more than a
disagreement among justices about whether an
attorney should receive a public reprimand
or a relatively brief suspension, there
would be little to discuss. But the case
involves much more. In my view, the
handling of this case has been so irregular
that it is unfair to the attorney and
seriously undermines confidence in the
lawyer regulation system, especially the
actions of this court.
¶133 The Office of Lawyer Regulation
(OLR) filed three counts of professional
misconduct against Attorney Paul W. Humphrey
in November 2006. The three counts all
relate to Attorney Humphrey's conduct as a
Dane County Assistant District Attorney in
the State's prosecution of Adam Raisbeck for
a traffic homicide. The three counts read
as follows:
1. By averring in an affidavit
filed with Judge [Paul] Higginbotham on May
22, 2002, "That over two months ago, the
State . . . made the photographs available
to the defendant" and by continuing to
maintain that factual position before Judge
Higginbotham during a hearing held on June
7, 2002, when in fact he knew that he had
informed the defense how to obtain the
accident scene photographs less than one
month prior, and that the defense did not
actually have the photographs as of the
morning prior to May 22, 2002, Humphrey
engaged in conduct involving dishonesty,
fraud, deceit or misrepresentation, in
violation of SCR 20:8.4(c).
2. By indicating to Judge
Higginbotham during a hearing held on August
22, 2002, that he did not know where the
State's accident scene photos were, and by
failing to affirmatively disclose
information concerning the location of the
State's photos, when in fact he possessed a
complete set of the photos at the time of
the hearing, Humphrey knowingly made a false
statement of fact to a tribunal in violation
of SCR 20:3.3(a)(1), and engaged in conduct
involving dishonesty, fraud, deceit or
misrepresentation, in violation of SCR 20:8.4
(c).
3. By failing to turn over to
the defense until January 7, 2004, an
October 21, 2003, witness statement
concerning incriminating declarations that
the defendant allegedly made to Witness
[Kevin] McCoy following the accident,
despite having been served on March 12,
2002, with a valid defense discovery request
for "a written summary of all oral
statements of the defendant which the State
plans to use in the course of the trial and
the names of witnesses to the defendant's
oral statements," Humphrey did, in pretrial
procedure, fail to make a reasonably
diligent effort to comply with a legally
proper discovery request by an opposing
party, in violation of SCR 20:3.4(d).
¶134 At first, the prosecution of
Attorney Humphrey proceeded normally.
Referee Russell Hanson was appointed to hear
the case. Referee Hanson entered summary
judgment on Count Three on June 25, 2007.
He denied Humphrey's motion for
reconsideration on July 10, then heard two
days of evidence. He issued his decision on
August 2, 2007 (less than a year after the
case was filed), finding that OLR had met
its burden on all three counts and
recommending that Attorney Humphrey receive
a public reprimand. This was the same level
of discipline sought by the OLR.
¶135 Humphrey appealed, and this court
heard oral argument in his case on April 10,
2008.
¶136 These facts tell only part of the
story. Attorney Humphrey's case has been
linked to matters involving Attorney Joseph
Sommers from the beginning of the Raisbeck
prosecution, including OLR's subsequent
disciplinary proceedings against Attorney
Sommers. In virtually every respect, this
linkage has worked to Attorney Humphrey's
detriment. Attorney Sommers testified
against Attorney Humphrey at Humphrey's
evidentiary hearing, and then, after Referee
Hanson issued a decision in the Humphrey
matter, Attorney Sommers succeeded in
removing Referee Hanson from Sommers' own
case.
¶137 When Attorney Humphrey's case was
argued on April 10, 2008, Justice Annette
Kingsland Ziegler did not participate. She
did not participate because Attorney Sommers
had been a candidate for the supreme court
against Justice Ziegler in 2007. Justice
Ziegler apparently decided that if she
should not sit in the Sommers case, she
should not sit in the Humphrey case
either.
This reduced the size of Humphrey's court
from seven to six.
¶138 Justice Louis Butler did sit in the
Humphrey case, but when this court
decided
to hold the release of any decision on
Attorney Humphrey until reaching a decision
on Attorney Sommers, it effectively knocked
the departing Justice Butler off the case
and reduced the size of the court to five.
¶139 The decision to hold Attorney
Humphrey's case in abeyance had another
unfortunate effect: Attorney Humphrey was
left twisting in the wind for three and one-
half years while this court struggled to
resolve the intractable Sommers matter.
¶140 Attorney Humphrey played no part in
this delay. He simply paid the price for
it. The court should have separated the two
cases and granted Humphrey's motion for
reargument.
¶141 Beyond the unseemly delay and its
adverse effect on Attorney Humphrey, this
court has created the spectacle of
invalidating one of the three counts against
Attorney Humphrey but nonetheless increasing
his discipline from a proposed public
reprimand to an unprecedented 30-day
suspension (in a case not involving
reciprocal discipline). See SCR 22.22
(3).
¶142 In addition, Attorney Humphrey is
required to pay the full costs of the
prosecution against him, including OLR's
costs in this appeal, even though OLR did
not seek increased discipline on appeal and
even though OLR lost one of its three
counts. The result in this court will send
a chilling message to attorneys in
discipline cases who may wish to defend
their position on appeal.
¶143 But there is more. The two
remaining counts, 1 and 2, involve semantic
disputes about what Attorney Humphrey meant
when he made certain representations to the
circuit court.
¶144 There is no dispute that Attorney
Sommers sought accident scene photographs
from the State in the Raisbeck case.
His
subpoena for these photographs was quashed
by the circuit court on grounds
that "discovery" of the photographs before
the arraignment was premature. After the
arraignment, the defense was entitled to see
the photographs and to acquire its own set.
¶145 It does not follow, however, that
the State was required to give the
defense
its own set of 8 by 10 photographs. The
referee made no such finding and the
majority opinion does not assert that that
is a requirement of the law.
¶146 This case would be simple if
Attorney Humphrey somehow prevented Attorney
Sommers from seeing or acquiring a complete
set of accident scene photographs, but that
is not the issue.
¶147 The facts supporting Count 1 are set
out in ¶¶7-22 of the majority opinion. On
April 25, 2002, Attorney Humphrey sent a
letter to Attorney Sommers that said:
You had requested the photographs
taken in this case. As I mentioned, I had
loaned them out for a Crash Reconstruction
analyst to look at in the course of their
investigation. There are several ways for
you to access the photographs. If you are
willing to stipulate to their foundation,
and agree to return them within a reasonable
time, I can send them to you. If you want
your own copies, you are welcome to contact
the [DCSO] [Dane County Sheriff's Office]
and order them. They will then print them
up and have a bill ready for you to pay when
they are picked up. If you just want to
look at them, then call me up and set up a
time to come in to my office and look at
them. I will have them available at the
front desk.
¶148 On May 2 Humphrey sent Sommers a
second letter that said:
At your recent request for your
own
copies of all the photos, I contacted the
Court Officer of the DCSO. Here's what you
need to do. Call Lt. Baglama at . . . and
request the photos. You will need the
Agency Case Number which is 01-53163. They
will apparently make the copies and have
them ready to pick up upon payment of the
invoice.
¶149 Both of these letters allude to the
established procedure for a defendant to
obtain his own set of case-related
photographs after arraignment. The
majority
opinion acknowledges Attorney Humphrey's
reliance on this procedure:
Attorney Humphrey asserts the usual
procedure for defense counsel to obtain a
set of crime scene photographs is for the
defense attorney to write a letter to the
district attorney requesting authorization
for the sheriff's department, as the
custodian of the negatives, to release a set
of photographs to the defense.
Attorney Humphrey maintains Sommers was
fully aware of the typical protocol for
obtaining accident scene photos. Attorney
Humphrey includes in his submissions a form
letter that is often used by defense counsel
to make such requests.
Majority op., ¶¶10, 19.
¶150 Attorney Humphrey filed an affidavit
with the circuit court on May 22, 2002,
which stated in part: "That over two months
ago, the State provided over 84 pages of
discovery materials, made the photographs
available to the defendant, and provided
the
scale diagram." (Emphasis added.)
¶151 The circuit court and the referee
both read the phrase "made the photographs
available to the defendant" as meaning that
the State gave the defendant the
photographs, which Humphrey did not do.
They rejected an alternative interpretation
of the phrase, that a set of photographs was
accessible to the defendant after the
arraignment in March, if and when Attorney
Sommers sought the photographs by utilizing
the established protocol.
¶152 It is difficult for this writer to
imagine what would have motivated an
experienced prosecutor to promptly turn over
84 pages of discovery material to the
defendant but later insist to a circuit
judge that he also turned over or actually
supplied accident scene photographs in March
when he obviously did not. It is much
easier to accept that Attorney Humphrey's
statements were meant to convey a different
proposition. Of course, the referee decided
otherwise.
¶153 The court is constrained by a very
rigorous standard of review with respect to
the facts found by a referee in an attorney
discipline case. I wrote about this
standard several years ago:
I respect and appreciate the work of the
court's appointed referees in the Lawyer
Regulation System. Their findings of fact
are entitled to great deference and should
not be disturbed unless they are clearly
erroneous. For the court to adopt a
different standard of review would plunge us
into a fact-finding role to which we are not
well suited.
Because it is important to honor the
standard of review, I concur in the decision
of the court. I write separately, however,
to emphasize that if I had a free hand, I
would decide the case differently.
OLR v. Paget, 2003 WI 26, ¶¶19-20, 260
Wis.
2d 604, 660 N.W.2d 255 (Prosser, J.,
concurring).
¶154 I concur here as well, with deep
reservations, because I am not prepared to
assert that the referee's "facts" are
clearly erroneous.
¶155 It should be noted, however, that
other attorneys in the district attorney's
office supported Attorney Humphrey's
explanation and position. For example, then-
Deputy District Attorney Judy Schwaemle
testified at Humphrey's hearing that "it is
the policy of the Dane County DA's
office . . . to make photographs
available
to defense counsel immediately after
arraignment." (Emphasis added.)
¶156 The majority could have removed my
reservations about Count One and eviscerated
Attorney Humphrey in the process by
demolishing his contention "that the
referee's report fails to note the district
attorney later asked the trial court to
rescind this statement [that Attorney
Humphrey 'clearly misled the court on that
issue']" and, more important, that "the
trial court agreed." See majority op.,
¶23. If the circuit court actually changed
its evaluation of Attorney Humphrey's
representations, the validity of Count One
would be undermined. The majority appears
determined not to pursue such a tough
question.
¶157 The reservations I have about Count
One also apply to Count Two. Why would
Attorney Humphrey assert, suggest, or imply
that he did not have a set of accident scene
photographs in his office when he had
previously admitted otherwise in writing
(see ¶147, supra), when he brought
two
photos with him to court, and when he had
already been severely criticized by the
circuit court over his handling of the
photographs? I don't think he did. More
plausible to the writer is that Attorney
Humphrey was speaking about Deputy Sewell's
set of accident scene photographs, not his
own set. Again, the referee decided
otherwise.
¶158 The majority is not only comfortable
with these determinations, but also willing
to create unprecedented discipline to deal
with them.
¶159 I believe a suspension of Attorney
Humphrey is unwarranted and unfair and that
the procedures followed in this case,
especially the long delay in this court, are
so irregular that they undermine confidence
in the lawyer regulation system. Thus, with
respect to the sanction, I respectfully but
strongly dissent.
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