Disciplinary Proceedings Against O'Neil
2003 WI 48, 261 Wis. 2d 404, 661 N.W.2d 813 (2003)
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ATTORNEY disciplinary
proceeding. Attorney publicly reprimand.
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1. PER CURIAM. We review the
recommendation of the referee, Konrad T.
Tuchscherer, that Attorney James Paul O'Neil
receive a public reprimand for professional
misconduct consisting of revealing
information relating to his representation
of a client without the client's consent,
and that he be required to pay the costs of
the proceeding.
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2. We determine that a public reprimand is
appropriate discipline for Attorney O'Neil's
misconduct. We also order him to pay the
costs of this proceeding.
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3. Attorney O'Neil was admitted to practice
law
in Wisconsin in 1988 and practices in Green
Bay. On November 21, 1995, this court
suspended Attorney O'Neil's license to
practice law for 12 months as the result of
misconduct involving dishonesty, fraud,
deceit, and misrepresentation. In re
Disciplinary Proceedings Against O'Neil,
197 Wis. 2d 224, 539 N.W.2d 881 (1995).
Attorney O'Neil's license was reinstated on
February 26, 1997.
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4. On May 6, 1999, Attorney O'Neil was
retained by Erik Gracia to file a divorce
action against his wife, Colleen Gracia. Mr.
Gracia paid Attorney O'Neil a $1000 retainer
and provided him with copies of various
financial records. Attorney O'Neil contacted
the Brown County Family Court Commissioner's
Office to schedule a date for a temporary
hearing and prepared the necessary pleadings
to commence a divorce action.
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5. On May 11, 1999, Gracia filed the
divorce petition and gave Attorney O'Neil
the required filing fee. That same day,
before the divorce petition was filed,
Colleen Gracia was found dead. Newspaper
accounts indicated that investigators
initially thought the cause of her death was
suicide, but two weeks later an autopsy
established the cause of death as homicide
by asphyxiation.
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6. On May 12, 1999, Gracia called Attorney
O'Neil to notify him of his wife's death and
to request a refund of his retainer.
Attorney O'Neil was out of the office that
day but learned of Mrs. Gracia's death in a
phone call to his office.
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7. On May 14, 1999, Detective Zittel from
the Green Bay Police Department contacted
Attorney O'Neil's office and spoke to both
Attorney O'Neil and his secretary. The
police report indicates that Attorney O'Neil
told the detective that Erik Gracia said the
reason he wanted a divorce was that his wife
had a boyfriend. The police report also
indicates that Attorney O'Neil told the
detective that Gracia said he and his wife
were splitting up their property and that
Gracia did not want any confrontation in the
divorce and wanted the case to go smoothly.
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8. The police report also indicates that
Attorney O'Neil told Detective Zittel that
when Erik Gracia came into his office his
mother was with him. Attorney O'Neil also
told the detective that when he spoke to
Erik Gracia the day after his wife's death
Gracia told Attorney O'Neil to stop the
divorce and refund the retainer money. The
police report further indicates that the
detective asked Attorney O'Neil if he would
jot down any conversations he might have in
the future with Erik Gracia, and Attorney
O'Neil said he would do so. Although
Attorney O'Neil denied the accuracy of some
statements attributed to him, he admitted
meeting with the detective and discussing
the matter with him. Attorney O'Neil did not
request Gracia's consent to provide
information relating to his representation
of Gracia to the police.
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9. On May 18, 1999, Gracia telephoned
Attorney O'Neil and inquired about
representation in defense of potential
criminal proceedings. Attorney O'Neil
referred Gracia to an attorney not
associated with O'Neil's firm. This was the
last contact Attorney O'Neil had with Gracia.
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10. On June 8, 1999, the Brown County
Circuit Court issued a subpoena for Attorney
O'Neil's file for the Gracia divorce. The
subpoena stated that, pursuant to an
official felony criminal investigation,
Attorney O'Neil was "requested" to furnish
copies of "any file notes, records, and all
other information concerning your work on
behalf of Erik Garcia [sic] in his pending
divorce action with Colleen Garcia [sic]."
In an affidavit supporting the subpoena the
prosecutor stated a belief that Gracia had
provided information to Attorney O'Neil that
was relevant to the circumstances
surrounding Colleen Gracia's death. The
subpoena was served on Attorney O'Neil on
June 10, 1999. Attorney O'Neil did not
request Gracia's consent to turn over the
file or provide information to the police.
On June 14, 1999, Attorney O'Neil turned
over to police investigators the entire
Gracia file, including notes, bank account
records, and other financial information.
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11. The police report indicates that during
a June 14, 1999, interview Attorney O'Neil
told a police investigator that when he
initially met with Gracia, Gracia said he
wanted Attorney O'Neil to set up custody
arrangements and visitation with Colleen
Gracia for their daughter and that Gracia
did not want to talk to Colleen. Attorney
O'Neil told the investigator he thought it
was strange that Gracia could not at least
talk to his wife about these things.
Attorney O'Neil also told the investigator
that Gracia said Colleen had taken a second
job to help pay for daycare for their
daughter and this made Gracia mad.
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12. Attorney O'Neil told the police
investigator that Gracia said he was not
looking for any type of reconciliation with
Colleen and that he just wanted to get
divorced and get it over with. Attorney
O'Neil told police that during his initial
interview with Gracia he probably would have
told Gracia he would be obligated to pay 17
percent of his income for child support,
along with other expenses. Attorney O'Neil
said Gracia neglected to tell him about his
past record of domestic abuse. In looking
over the financial form that Gracia had
filled out Attorney O'Neil noted that Gracia
made approximately $1100 a month after taxes
and that his expenses were almost double his
monthly income. While Attorney O'Neil denied
making some of the statements attributed to
him in the investigator's report, he
admitted meeting with the police
investigator on June 14, 1999, and
discussing the Gracia divorce case.
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13. Police investigators noted that one of
the legal forms in the Gracia file had been
signed by Gracia the day of Colleen's murder
and had been notarized by Attorney O'Neil's
secretary. Attorney O'Neil, without seeking
Gracia's consent, gave the police
investigators permission to talk with his
secretary about the times and dates she had
contact with Gracia in the O'Neil law
office. The investigators did contact
Attorney O'Neil's secretary who supplied
them with the information they requested.
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14. On July 28, 1999, criminal charges were
filed against Gracia. He was subsequently
convicted of first-degree intentional
homicide in the death of his wife and is
currently serving a life sentence.
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15. The complaint filed by the Office of
Lawyer Regulation (OLR) alleged that
Attorney O'Neil never considered asserting
the attorney-client privilege on behalf of
Gracia, that he acknowledged he should have
done so, and that he claimed to have
provided the information to law enforcement
investigators because he felt that by doing
so he was best serving his client's
interests. The complaint alleged that Gracia
contended the statements made by Attorney
O'Neil to law enforcement investigators were
used in the decision to issue criminal
charges and that financial information that
was disclosed from the divorce file was used
by the prosecution to help establish a
motive for the crime.
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16. The referee filed his report and
recommendation on February 19, 2003. The
referee's report notes that prior to the
Gracia murder trial the Brown County
District Attorney agreed not to use any of
the information received from Attorney
O'Neil when filing the original and amended
criminal complaints and, in fact, no
documents received from Attorney O'Neil were
used at Gracia's trial. The referee's report
also notes that neither Attorney O'Neil nor
any member of his staff was called as a
witness at the trial and none of the
information disclosed by Attorney O'Neil was
used in the prosecution of Gracia's case.
The referee also notes that Gracia did not
raise any issues about Attorney O'Neil's
representation in his criminal appeal. In
its opinion affirming Gracia's judgment of
conviction the court of appeals pointed to
the overwhelming circumstantial evidence of
Gracia's guilt, including his inconsistent
statements, DNA evidence, and admissions
against interest.
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17. The OLR's complaint alleged that
Attorney O'Neil violated SCR 20:1.6.1 The
referee's report notes that, in defense of
his admitted violation of the rule, Attorney
O'Neil suggested he was trying to help
Gracia by divulging information in his
client's file which showed that the divorce
was amicable and that the Gracias were
attempting to split up the marital property
without a contest. The referee also notes
that Attorney O'Neil claimed he did not know
he was violating SCR 20:1.6 when he made the
disclosures to police. The referee's report
states that Attorney O'Neil said since the
filing of the grievance he has become
familiar with SCR 20:1.6, has advised his
staff with respect to the importance of
confidentiality, and attended a seminar on
the subject.
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18. The referee concluded that by
disclosing his
client's file and discussing its contents
with the Green Bay Police Department,
Attorney O'Neil revealed information
relating to representation of a client
without the client's consent, in violation
of SCR 20:1.6. The referee concluded that
although Attorney O'Neil was previously
suspended from practicing law for 12 months,
and although the violations committed in the
instant case were unrelated to those
resulting in the previous suspension, and
there did not appear to be a pattern of
misconduct, the time period between Attorney
O'Neil being reinstated to practice and the
commitment of the violation in this matter
was only 27 months.
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19. The referee concluded that although
misconduct occurred, it was not of a
significantly serious nature given the
mitigating circumstances. The referee also
concluded there was no need to protect the
public from Attorney O'Neil since he has
indicated he now understands SCR 20:1.6 and
has said he will conduct his practice
accordingly. The referee also noted that the
referee cooperated fully with the OLR and
for the most part made full and free
disclosures showing a cooperative attitude
toward the proceedings. The referee
recommended that Attorney O'Neil be given a
public reprimand and that he be required to
pay the costs of the proceeding, which
totaled $11,438.82 as of March 12, 2003.
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20. We adopt the referee's findings of fact
and conclusions of law. Attorney O'Neil's
misconduct with respect to his disclosure of
information relating to representation of a
client without the client's consent is a
serious failing. As discipline for the
professional misconduct we impose a public
reprimand and order Attorney O'Neil to pay
the costs of this proceeding, as recommended
by the referee.
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21. IT IS ORDERED that Attorney James Paul
O'Neil be publicly reprimanded for his
professional misconduct.
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22. IT IS FURTHER ORDERED that within 60
days of the date of this order Attorney
James Paul O'Neil shall pay to the Office of
Lawyer Regulation the costs of this
proceeding in the amount of $11,438.82. If
the costs are not paid within the time
specified, and absent a showing to this
court of his inability to pay the costs
within that time, the license of Attorney
James Paul O'Neil to practice law in
Wisconsin shall be suspended until further
order of the court.
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23. WILLIAM A. BABLITCH, DAVID T. PROSSER,
and
DIANE S. SYKES, JJ., dissent as to the
amount of costs and find the costs to be
excessive.
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