Disciplinary Proceedings Against Gonzalez
2018 WI 104, 11/8/2018 (2018)
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ATTORNEY disciplinary proceeding.
Attorney
publicly reprimanded.
¶1 PER CURIAM. Attorney Jason C.
Gonzalez has appealed a report filed by
Referee James C. Boll, Jr., concluding that
Attorney Gonzalez committed five counts of
professional misconduct and recommending
that he be publicly reprimanded. In his
appeal, Attorney Gonzalez challenges three
of the counts of misconduct found by the
referee. Specifically, he challenges the
referee's findings of fact with respect to
counts five, seven, and nine of the
complaint filed by the Office of Lawyer
Regulation (OLR). He also challenges the
referee's conclusion of law with respect to
count five. Attorney Gonzalez argues that a
private, rather than a public, reprimand is
an appropriate sanction. He also asks that
the costs of the proceeding be reduced.
¶2 Upon careful review of this matter,
we uphold all of the referee's findings of
fact and conclusions of law and conclude
that a public reprimand is an appropriate
sanction for Attorney Gonzalez's misconduct.
In addition, we find it appropriate to
follow our usual custom of imposing the full
costs of this proceeding, which are
$9,733.36 as of April 2, 2018, on Attorney
Gonzalez. The OLR does not seek restitution
and we do not impose a restitution order.
¶3 Attorney Gonzalez was admitted to
practice law in Wisconsin in 2011 and
practices in Madison. He has no prior
disciplinary history.
¶4 On November 3, 2016, the OLR filed a
complaint alleging nine counts of misconduct
with respect to two client proceedings.
Attorney Gonzalez filed an answer on
December 6, 2016. The referee was appointed
that same day.
¶5 Counts one through five of the OLR's
complaint arose out of Attorney Gonzalez's
representation of J.C. In March of 2013,
J.C. was charged with operating while
intoxicated (OWI), third offense. J.C.
hired Attorney Gonzalez to represent him in
April of 2013. J.C. signed a fee agreement,
which required him to pay Attorney Gonzalez
$2,500 in advanced fees. J.C. informed
Attorney Gonzalez that he wanted any
sentencing to occur after September 2013.
In May of 2013, J.C. emailed Attorney
Gonzalez and said he wanted to push any
conviction past late November 2013.
¶6 In July of 2013, the circuit court
set J.C.'s trial for September 19, 2013.
Later that month, J.C. emailed Attorney
Gonzalez several times asking for a status
update and questioning why the court had set
a trial date for September. Attorney
Gonzalez did not respond. In late August of
2013, the circuit court removed the
September trial date.
¶7 On September 5, 2013, J.C. emailed
Attorney Gonzalez with a new mailing
address. In October of 2013, J.C. emailed
Attorney Gonzalez again to remind him to
inform the circuit court of the address
change. Attorney Gonzalez did not inform
the circuit court of the change.
¶8 In late October and early November
2013, J.C. again asked for status updates
from Attorney Gonzalez. Attorney Gonzalez
promised J.C. he would contact him with
information, but he never did.
¶9 On November 12, 2013, J.C. requested
Attorney Gonzalez provide him with documents
and information and with answers to specific
questions about the case. Attorney Gonzalez
responded within a few hours, but he did not
give J.C. the requested information. From
January through May of 2014, J.C.
occasionally sought updates about the case,
but received no substantive responses.
¶10 On May 15, 2014, J.C. emailed
Attorney Gonzalez saying he did not see any
reason to delay the proceeding any longer.
On June 3, 2014, J.C. signed an affidavit
which Attorney Gonzalez had prepared to
collaterally attack one of the prior OWI
convictions. Attorney Gonzalez filed a
motion to collaterally attack one of the
prior convictions on October 13, 2014.
¶11 On October 20, 2014, the circuit
court allowed Attorney Gonzalez to withdraw
from representation, upon J.C.'s request.
The circuit court later appointed counsel
for J.C.
¶12 On October 22, 2014, J.C. requested
a partial refund from Attorney Gonzalez.
Attorney Gonzalez responded that he would
prepare and send J.C. an itemized bill.
¶13 In December of 2014, J.C. pled no
contest to and was convicted of fourth
offense OWI after the State discovered an
additional prior offense.
¶14 On July 5, 2015, Attorney Gonzalez
provided the OLR with a closing letter he
purportedly sent to J.C. on October 30,
2014. The letter used a pre-September 2013
address for J.C. Attorney Gonzalez never
sent J.C. an itemized bill, accounting of
fees, or information on how to dispute the
fee after the representation ended.
¶15 In July 2015, Attorney Gonzalez told
the OLR that J.C. had not requested a refund
or contacted him to indicate that he
believed Attorney Gonzalez had not earned
the entire advanced fee paid
.
¶16 In addition to the OWI matter, the
OLR's complaint detailed an additional
matter involving J.C. While the OWI charge
was pending, in November 2013, the City of
Horicon issued two municipal citations to
J.C. regarding his car. The appearance date
to contest the citations was December 18,
2013.
¶17 J.C. notified Attorney Gonzalez
about the citations, but no representation
agreement was ever signed concerning the
citations.
¶18 On December 1, 2013, Attorney
Gonzalez emailed J.C. that he had entered
not guilty pleas on the City of Horicon
citations. In fact, Attorney Gonzalez had
not done so, nor had he entered an
appearance in the City of Horicon cases. On
December 10, 2013, Attorney Gonzalez told
J.C. he did not have to appear at the
December 18, 2013, hearing because of the
entry of the not guilty pleas.
¶19 On December 18, 2013, the Horicon
Joint Municipal Court found that J.C. had
defaulted on the citations and assessed
fines against him. In late January 2014,
Attorney Gonzalez and J.C. discussed
reopening the City of Horicon citations.
Attorney Gonzalez told J.C. he would not pay
the $50 fee to reopen the citations, and
J.C. subsequently paid the fee to reopen the
matters.
¶20 On February 18, 2014, Attorney
Gonzalez wrote to the municipal court saying
he represented J.C. in the reopened matters
and at that time he also entered not guilty
pleas on J.C.'s behalf. In May 2014, the
Horicon municipal court found J.C. guilty on
both violations. In July 2015, Attorney
Gonzalez wrote to the OLR saying he did not
represent J.C. in connection with the City
of Horicon citations, but had done him a
favor by "assisting" him.
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¶21 The OLR's complaint alleged the
following counts of misconduct with respect
to Attorney Gonzalez's representation of
J.C.:
Count One: By failing to
diligently pursue resolution of the
operating while intoxicated charge against
J.C., Attorney Gonzalez violated SCR
20:1.3.
Count Two: By failing to promptly
respond to J.C.'s requests for information
throughout the representation, Attorney
Gonzalez violated SCR 20:1.4(a)(4).
Count Three: By failing to
provide J.C. a written final accounting and
the notices regarding how to dispute the
fee, Attorney Gonzalez violated former SCR
20:1.15(b)(4m)b.
Count Four: By failing to enter
not guilty pleas to J.C.'s municipal
citations, Attorney Gonzalez violated SCR
20:1.3.
Count Five: By misrepresenting to
the OLR that he had sent J.C. a letter dated
October 30, 2014, accounting for his fee and
providing the notices required under former
SCR 20:1.15(b)(4m), and that he did not
represent J.C. on J.C.'s municipal
citations, Attorney Gonzalez in each
instance violated SCR 22.03(6), enforced via
SCR 20:8.4(h).
¶22 The remaining four counts of
misconduct alleged in the OLR's complaint
arose out of Attorney Gonzalez's
representation of D.J. In January 2013,
D.J. was charged with three counts of sexual
assault of a child. D.J. hired Attorney
Gonzalez to represent him in February 2013.
In March 2013, D.J. was charged with four
felonies, including three for child
enticement. At least one of the child
enticement counts was for an attempt.
Attorney Gonzalez agreed to represent D.J.
in the child enticement case.
¶23 The OLR's complaint alleged that
with respect to the child enticement case,
Attorney Gonzalez did not perform legal
research on whether D.J.'s actions
constituted an "attempt."
¶24 On May 9, 2014, D.J. pled no contest
to one count of attempted child enticement
and one count of exposing a child to harmful
materials in the child enticement case. The
State dismissed the charges in the sexual
assault case. In July of 2014, D.J. was
sentenced to six years in prison, followed
by six years of extended supervision.
¶25 In August 2014, Attorney Gonzalez
filed a Notice of Intent to Pursue
Postconviction Relief on behalf of D.J. In
November 2014, the state public defender
appointed Attorney Cole Ruby to represent
D.J. in the postconviction matter. In
October 2015, Attorney Ruby moved the court
to vacate D.J.'s conviction and withdraw his
guilty plea. One of Attorney Ruby's
arguments was that Attorney Gonzalez had
been ineffective because the attempted child
enticement charges lacked a factual basis
and could have been dismissed.
¶26 On January 12, 2016, Attorney
Gonzalez testified at a hearing on the
postconviction motion that he had not done
any case law research on the meaning of
"attempt." In April of 2016, the circuit
court granted D.J.'s motion to withdraw his
plea, citing as the basis Attorney
Gonzalez's failure to understand and explain
"attempt" to D.J. In May 2016, the circuit
court vacated D.J.'s conviction and reopened
both the sexual assault case and the child
enticement case.
¶27 In 2013, Attorney Gonzalez also
agreed to represent D.J. in an ongoing
paternity and child support matter.
Attorney Alicia Nall represented the
petitioner.
¶28 In January 2015, the circuit court
held a hearing on placement and granted D.J.
telephone contact with his daughter.
Attorney Gonzalez was ordered to prepare a
written order but failed to do so.
¶29 On January 22, 2015, Attorney
Gonzalez and D.J. discussed D.J.'s ability
to telephone his daughter. Attorney
Gonzalez told D.J. he would contact Attorney
Nall.
¶30 In February 2015, D.J. made numerous
attempts to contact Attorney Gonzalez about
having telephone contact with his daughter,
without success. In March 2015, D.J. wrote
to the circuit court requesting a hearing
about telephone contact with his daughter.
¶31 In March 2015, the circuit court
contacted Attorney Nall about the order
which Attorney Gonzalez was supposed to have
prepared. Attorney Nall drafted an order
and submitted it to the court. In May 2015,
Attorney Nall moved the circuit court for
attorney's fees and sanctions against
Attorney Gonzalez for his failure to draft
the order.
¶32 On May 11, 2015, D.J. wrote to
Attorney Gonzalez about his lack of
communication and inquired about setting up
the telephone calls with his daughter.
¶33 D.J. filed a grievance against
Attorney Gonzalez in March 2015. By letter
dated May 19, 2015, the OLR notified
Attorney Gonzalez that his written response
to the grievance was required. Attorney
Gonzalez provided his written response to
the OLR on July 5, 2015. Attorney Gonzalez
said D.J. had not attempted to contact him
since he was incarcerated in 2014 and that
it was up to D.J., not Attorney Gonzalez, to
arrange telephone contact between D.J. and
his daughter.
¶34 Attorney Gonzalez did not disclose
to the OLR his failure to prepare and submit
the written order effectuating the ruling
made in January 2015 that D.J. be allowed
telephone contact with his daughter.
Attorney Gonzalez did not disclose to the
OLR Attorney Nall's motion for sanctions
based upon Attorney Gonzalez's failure to
prepare the order as directed.
¶35 On July 13, 2015, the circuit court
ordered Attorney Gonzalez to pay $100 to
Attorney Nall. The circuit court also
granted Attorney Gonzalez's motion to
withdraw as D.J.'s counsel. Attorney
Gonzalez subsequently paid the $100 sanction
to Attorney Nall.
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¶36 The OLR's complaint alleged the
following counts of misconduct with respect
to Attorney Gonzalez's representation of
D.J.:
Count Six: By failing to research
case law
on the issue of whether D.J.'s actions
constituted an "attempt" at child
enticement, Attorney Gonzalez violated SCR
20:1.1.
Count Seven: By failing to
prepare the
court order to permit D.J. to have telephone
contact with his daughter, Attorney Gonzalez
violated SCR 20:1.3.
Count Eight: By failing to
respond to
D.J.'s inquiries regarding establishing
telephone contact, Attorney Gonzalez
violated SCR 20:1.4(a)(4).
Count Nine: By misrepresenting to
the OLR
that D.J. had not contacted him about the
paternity matter and by failing to disclose
to the OLR that he was responsible for
preparing the court order to facilitate
D.J.'s phone visits with D.J.'s daughter,
Attorney Gonzalez in each instance violated
SCR 22.03(6), enforceable via SCR 20:8.4(h).
¶37 The parties filed a stipulation of
facts on August 29, 2017. A hearing was
held before the referee on August 31, 2017.
The referee issued his report and
recommendation on November 6, 2017. The
referee found that the OLR had met its
burden of proof on counts two, four, five,
seven, and nine of the complaint, but had
not met its burden of proof on counts one,
three, six, and eight.
¶38 With respect to count two, the
referee said based on the long spans of
Attorney Gonzalez having no communication
with J.C. and his failure to respond to
J.C.'s requests in a substantive way, the
OLR demonstrated by clear and convincing
evidence that Attorney Gonzalez violated SCR
20:1.4(a)(4). With respect to count four,
the referee said that Attorney Gonzalez
admitted that he lied to J.C. when he said
he had filed the pleas to the City of
Horicon citations and when he told J.C. he
did not have to appear on the hearing date
because not guilty pleas had been entered.
¶39 The referee said Attorney Gonzalez
did nothing to defend the citations after
the matter was reopened, and J.C. was found
guilty of the two citations. The referee
also said Attorney Gonzalez's testimony at
the disciplinary hearing that he would not
apologize to J.C. for lying to him was a
troubling indication of a lack of remorse.
The referee found by clear and convincing
evidence that by failing to enter not guilty
pleas to J.C.'s municipal citations,
Attorney Gonzalez violated SCR 20:1.3.
¶40 With respect to count five, the
referee noted that J.C. was sometimes
without a phone and at times was not
accessible during regular hours. In
addition, J.C. changed his address several
times during Attorney Gonzalez's
representation. The referee found that
Attorney Gonzalez did not misrepresent to
the OLR that he sent an October 30, 2014
closing letter, and the referee termed this
an administrative error that occurs in all
businesses.
¶41 The referee said there was nothing
in the record to indicate that when Attorney
Gonzalez represented to the OLR that he had
sent the letter he was not being truthful.
The referee found, however, that Attorney
Gonzalez did misrepresent to the OLR that he
was "assisting" as opposed to representing
J.C. regarding the City of Horicon
citations, and the referee said the facts of
record demonstrated that Attorney Gonzalez
was serving the function of representing
J.C., not merely "assisting" him. Thus, the
referee found by clear and convincing
evidence that, when Attorney Gonzalez
represented to the OLR that he "assisted"
J.C. and did not represent him regarding the
citations, Attorney Gonzalez violated SCR
22.03(6), enforced via SCR 20:8.4(h).
¶42 With respect to count seven, the
referee found that Attorney Gonzalez was
working to obtain a facilitator for D.J. to
arrange telephone contact with his daughter.
The referee found that Attorney Gonzalez's
explanation that he could not draft the
order pursuant to the circuit court's
direction because he could not find a
facilitator was not credible. The referee
noted that Attorney Nall was able to draft
the order without obtaining a facilitator.
The referee found that by failing to prepare
the court order to permit D.J. to have
telephone contact with his daughter,
Attorney Gonzalez failed to act with
reasonable diligence and promptness, in
violation of SCR 20:1.3.
¶43 Finally, with respect to count nine,
the referee said Attorney Gonzalez admitted
that his statement to the OLR that D.J. had
not contacted him since he was incarcerated
was untrue. While Attorney Gonzalez argued
this was a misstatement and that he provided
a letter contradicting the statement to the
OLR, the referee said this was not the only
misrepresentation contained in Attorney
Gonzalez's response to the OLR regarding his
representation of D.J. in the paternity
matter.
¶44 The referee said Attorney Gonzalez
stated it was up to D.J. to arrange
telephone contact between D.J. and his
daughter when this was not true. The
referee also said that Attorney Gonzalez
neglected to notify the OLR of his failure
to prepare and submit the written order
effectuating the circuit court's January 13,
2015 order. Finally, the referee said that
Attorney Gonzalez failed to notify the OLR
that Attorney Nall had filed a motion for
sanctions against him for his failure to
file the order and that the motion had been
granted. The referee found, based on these
misstatements and omissions, that Attorney
Gonzalez violated SCR 22.03(6), enforceable
via SCR 20:8.4(h).
¶45 The referee concluded that a public
reprimanded was an appropriate sanction for
Attorney Gonzalez's misconduct. The referee
also recommended that the full costs of the
proceeding should be assessed against
Attorney Gonzalez.
¶46 In his appeal, Attorney Gonzalez
says he concedes count 2, i.e. that he
failed to promptly respond to J.C.'s request
for information. He also concedes the
substance of count 4 and admits that he
failed to enter not guilty pleas for J.C.'s
municipal citations and that he told J.C. he
had done so. However, Attorney Gonzalez
takes issue with the referee's conclusion
that Attorney Gonzalez's invocation of the
phrase "excusable neglect" in his motion to
reopen the municipal citations was an
untruthful statement to the municipal court.
He also challenges the referee's statement
that Attorney Gonzalez's unwillingness to
apologize to J.C. represents a troubling
lack of remorse. He asks the court to take
notice of these points insofar as they bear
on the referee's findings that Attorney
Gonzalez violated SCR 22.03(6), enforceable
via SCR 20:8.4(h).
¶47 Attorney Gonzalez also argues that
the referee's conclusion of law with respect
to count five is without support in the
record. Attorney Gonzalez does not dispute
the referee's conclusion related to his
sending a closing letter to J.C. dated
October 30, 2014. He does dispute the
referee's finding that he misrepresented to
the OLR that he was "assisting" as opposed
to "representing" J.C. with respect to the
City of Horicon citations. Attorney
Gonzalez continues to argue that his
involvement with the citations was a favor
to J.C., and he says neither party viewed
the relationship as an attorney/client
relationship. Attorney Gonzalez asks this
court to overturn the referee's conclusion
that Attorney Gonzalez violated SCR
22.03(6), enforced via SCR 20:8.4(h) when he
stated he did not represent J.C. regarding
the City of Horicon citations.
¶48 Attorney Gonzalez also argues that
the referee's findings of fact with respect
to count seven are clearly erroneous because
they relied on evidence not in the record.
He says that SCR 20:1.3 requires that an
attorney "shall act with reasonable
diligence and promptness in representing a
client." He says the record reflects that
D.J. did not want Attorney Gonzalez's
representation. He says pursuant to a
request by D.J., Attorney Gonzalez filed a
motion to withdraw as D.J.'s counsel. The
motion was granted but the circuit court
subsequently reappointed Attorney Gonzalez
as counsel to avoid a delay. Once D.J.
entered a guilty plea and was sentenced,
Attorney Gonzalez was replaced by Attorney
Cole Ruby. Attorney Gonzalez argues that
once his involvement with D.J.'s criminal
matters ended, so did the need for his
involvement in the paternity action.
¶49 Attorney Gonzalez says he has always
acknowledged that he failed to prepare a
court order regarding D.J.'s telephone
contact with his daughter. He argues that
under the circumstances he believed it was
impossible to complete the task as assigned
since he was unable to find a person
acceptable to the child's mother who was
willing to serve as a chaperone for calls
between D.J. and his daughter. Attorney
Gonzalez says he has conceded he could have
taken some action, but he argues anything he
could have done would not have fulfilled the
court's order.
¶50 Attorney Gonzalez notes the referee
found the explanation that he could not find
a facilitator to be "not credible" since
Attorney Nall was able to draft the order
without obtaining a facilitator. Attorney
Gonzalez argues the referee's finding in
this regard is partially made on facts not
in the record since neither party offered
either the order drafted by Attorney Nall or
any testimony about its contents into
evidence. Attorney Gonzalez argues that
because the referee's conclusion regarding
count seven assumes facts not in evidence,
this court should overturn the referee's
conclusion of law with respect to count
seven.
¶51 Finally, Attorney Gonzalez argues
that the referee's findings of fact with
respect to count nine are clearly erroneous.
He concedes he made misstatements, but he
argues they were never intended to mislead
the OLR and that he corrected them and
complied with any follow up investigation.
He argues his mistakes in disclosing
information, while unfortunate, were not an
attempt to hinder or deceive the OLR.
¶52 Attorney Gonzalez acknowledges that
aspects of the record reflect poorly on him,
but he says that to the extent he is to be
disciplined, the discipline should be on the
basis of legally and factually correct
determinations and should be proportional to
the degree of misconduct actually proved.
He says given his "otherwise untroubled
history" the sanction "should be relaxed."
In his reply brief, Attorney Gonzalez
suggests that a private reprimand would be
an appropriate sanction.
¶53 The OLR argues that the record
supports the referee's findings of fact with
respect to all of the counts on which the
referee found the OLR met its burden of
proof. With respect to count four, the OLR
says the record supports the referee's
factual finding that Attorney Gonzalez
indicated to the Horicon municipal court
that the reason for the default on the
citations was excusable neglect when that
was not true. The OLR says the referee's
finding of fact in this regard is not
clearly erroneous, and it is reasonable for
the referee to infer that Attorney Gonzalez
was being evasive during his testimony at
the disciplinary hearing when he said, "I
don't reference whose neglect it was or
whether it was excusable." The OLR also
says the referee's finding that Attorney
Gonzalez is not remorseful with respect to
his handling of J.C.'s cases is clearly
supported by the record.
¶54 The OLR goes on to argue that the
referee's findings of fact and conclusions
of law with respect to counts five, seven,
and nine are all supported by the record.
The OLR says a public reprimand is an
appropriate sanction. It also asserts that
the full costs of the proceeding should be
assessed against Attorney Gonzalez. The OLR
says although the referee found that the OLR
did not meet its burden of proof on four of
the nine counts alleged in the complaint,
the referee did not find that any of the
counts were improperly brought, and the
referee was troubled by Attorney Gonzalez's
conduct in regard to some of the unproven
counts. The OLR's position is that all of
the litigation costs of the proceeding are
reasonable and were necessarily incurred.
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¶55 A referee's findings of fact are
affirmed unless clearly erroneous.
Conclusions of law are reviewed de novo.
See In re Disciplinary Proceedings
Against
Eisenberg, 2004 WI 14, ¶5, 269 Wis. 2d 43,
675 N.W.2d 747. The court may impose
whatever sanction it sees fit, regardless 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.
¶56 After careful review of the matter,
we conclude there has been no showing that
any of the referee's findings of fact are
clearly erroneous. Accordingly, we adopt
them. We further agree with the referee's
conclusions of law that Attorney Gonzalez
violated the supreme court rules set forth
above.
¶57 With respect to the appropriate
level of discipline, we also agree with the
referee that a public reprimand is an
appropriate sanction. Although Attorney
Gonzalez has no disciplinary history, and
even though the referee found that the OLR
did not meet its burden of proof on all
counts alleged in the complaint, the counts
that were proven are serious enough to
warrant public discipline. We find the
misconduct at issue here somewhat analogous
to the Public Reprimand of Sarah Clemment,
No. 2011-6 (electronic copy available at
https://
compendium.wicourts.gov/app/raw/002365.html)
, in which an attorney was publicly
reprimanded for giving a client an incorrect
date for a removal hearing, making a
misrepresentation in a motion to reopen an
order denying an asylum petition and
ordering the client's deportation, failing
to follow statutory requirements in pursuing
an appeal, and lying to the client.
¶58 Finally, we find it appropriate to
follow our usual practice of imposing the
full costs of the disciplinary proceeding on
Attorney Gonzalez. The OLR does not seek
restitution, and we do not impose any.
¶59 IT IS ORDERED that Jason C. Gonzalez
is publicly reprimanded.
¶60 IT IS FURTHER ORDERED that within 60
days of the date of this order, Jason C.
Gonzalez pay to the Office of Lawyer
Regulation the costs of this proceeding,
which are $9,733.36.
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