Disciplinary Proceedings Against Cavendish-Sosinski
2004 WI 30, 270 Wis. 2d 200, 676 N.W.2d 887 (2004)
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ATTORNEY disciplinary proceeding.
Attorney's license suspended.
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1. PER CURIAM. We review the
recommendation of the referee
that the license of Elizabeth A. Cavendish-
Sosinski to practice law in Wisconsin be
suspended for nine months as discipline for
professional misconduct. That misconduct as
alleged in the Office of Lawyer Regulation
(OLR) complaint involved 25 alleged
violations of the Rules of Professional
Conduct involving 9 separate client matters.
The misconduct allegations include Cavendish-
Sosinski's pattern of inattention to and
failure to act with respect to client
matters and to respond in a timely and
sufficient manner to the OLR inquiries
regarding her alleged misconduct. The
pattern consisted of Cavendish-Sosinski's
repeated violation of the attorney's duty
to: (1) act with reasonable diligence as
required by SCR 20:1.3; (2) keep a client
reasonably informed about the status of a
matter and to properly reply to reasonable
requests for information as required by SCR
20:1.4(a); (3) comply with investigations of
misconduct by the OLR as required under SCR
22.03(2), as well as the district
investigative committee's inquiries as
required under SCR 22.04(1); (4) failure to
act to protect a client's interest as
required by SCR 20:1.16(d); and (5) willful
failure to provide information relevant to
an OLR investigation as required by SCR 22.03
(6).
2. In addition to recommending that
Cavendish-Sosinski's license to practice law
be suspended for nine months, the referee
further recommended that prior to any
reinstatement, Cavendish-Sosinski must
demonstrate that her depression or mental
health problems that might impair her
ability to practice law are under sufficient
control to permit her to practice law in
accordance with accepted professional
standards; also, that Cavendish-Sosinski pay
the costs of these disciplinary proceedings
now totaling $1373.77.
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3. We determine that the misconduct as
established in this proceeding warrants a
suspension of Cavendish-Sosinski's license
for nine months. We also determine that
prior to any reinstatement, Cavendish-
Sosinski shall demonstrate that her
depression or mental health problems that
might impair her ability to practice law are
sufficiently controlled to permit her to
practice law in accordance with accepted
professional standards; and finally, we
determine that Cavendish-Sosinski shall pay
the costs of these disciplinary proceedings
in the amount specified.
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4. The respondent, Elizabeth A. Cavendish-
Sosinski, was admitted to practice law in
this state on January 18, 1994, and has
practiced in Pewaukee. She has never
previously been the subject of a
disciplinary proceeding except, as noted in
footnote one, her license has been
temporarily suspended for her failure to
cooperate in the OLR's investigation of
these alleged disciplinary infractions. Her
license remains temporarily suspended
pursuant to this court's December 16, 2003,
order.
5. The OLR filed a complaint in this
court
on June 26, 2003, alleging 25 violations by
the respondent of the Rules of Professional
Conduct involving 9 separate client matters.
After the complaint was filed, Attorney
Richard M. Esenberg was appointed to act as
referee in this matter. Referee Esenberg
subsequently filed his referee's report
detailing the OLR's attempts and repeated
failures to contact and serve Cavendish-
Sosinski who had informed the OLR that she
was abandoning her practice and moving to
Louisiana. Although many of the attempts to
serve Cavendish-Sosinski with the various
documents related to this disciplinary
proceeding proved futile, ultimately service
of the OLR complaint and order to answer was
completed on July 29, 2003.
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6. After Cavendish-Sosinski failed to
answer
the complaint or otherwise appear within 20
days as required by SCR 22.14(1), the OLR
filed a motion for default judgment which
was served by mail on Cavendish-Sosinski at
her last known address. Again, she did not
respond to that motion, nor did she then
answer the complaint or appear in the
action. Because of the numerous futile
attempts to engage Cavendish-Sosinski in
this disciplinary proceeding, the referee
recommended that she be found in default and
that the allegations of the OLR complaint be
deemed to be established.
7. Neither the OLR nor the respondent
has
appealed from the referee's report.
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8. We agree that Cavendish-Sosinski is in
default and accordingly, we deem the
referee's findings to be established and
supported by the allegations in the OLR
complaint. See In re Disciplinary
Proceedings Against Jackson, 221 Wis. 2d
616, 585 N.W.2d 151 (1998). The complaint's
allegation of 25 violations of the Rules of
Professional Conduct and the rules
concerning lawyer regulation will be briefly
discussed.
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9. Cavendish-Sosinski was appointed in July
2000 in federal court to represent J.V.P. in
a habeas corpus matter. Respondent and
J.V.P. subsequently disagreed about the
representation and the respondent's failure
to communicate with him. J.V.P.'s initial
complaints to the OLR concerning these
problems were dismissed but that
investigation was subsequently reopened
focusing on Cavendish-Sosinski's alleged
failures to communicate with J.V.P. after
March 2001.
10. J.V.P. wrote to Cavendish-Sosinski
on
April 11, 2001, asking her questions about
his case, but she did not respond. Then, on
April 30, 2001, a staff member at the
Wisconsin Department of Corrections (DOC)
attempted to set up a telephone conference
between Cavendish-Sosinski and J.V.P.;
although the DOC staff member left a message
and number for Cavendish-Sosinski to call,
she did not return his call. On May 2, 2001,
the staff person again tried calling her,
but Cavendish-Sosinski's voice mailbox was
full.
11. On May 21, 2001, on June 19, 2001,
and
again on June 26, 2001, an OLR staff member
wrote to Cavendish-Sosinski regarding her
failure to respond to J.V.P.'s request for
information. Cavendish-Sosinski failed to
respond to the OLR investigative letters.
12. On July 26, 2001, a fourth OLR
investigative letter was sent to Cavendish-
Sosinski. This time she responded in a
letter dated August 7, 2001, stating that
she had not answered J.V.P.'s April 11,
2001, letter because "I was trying to
professionally deal with his blatant
accusation that I had lied to him in this
office."
13. The OLR subsequently referred this
matter
to the district committee for investigation.
On May 23, 2002, and again on June 5, 2002,
the district committee investigator wrote to
Cavendish-Sosinski requesting that she
contact him; on May 29, 2002, the
investigator attempted to contact her by
telephone. Cavendish-Sosinski did not
respond to these letters or return the phone
call; she did not cooperate with the
district committee's investigation until
after she had personally been served with a
notice to appear.
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14. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violations asserted in Counts 1 and 2 of
the complaint. Specifically, the referee
concluded that Cavendish-Sosinski's conduct
constituted a failure to respond to
reasonable requests by a client for
information, in violation of SCR 20:1.4(a)
and failure to cooperate with an OLR
investigation and with a district committee,
in violation of SCR 22.03(2) and 22.04(1).
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15. The OLR complaint alleged that
Cavendish-
Sosinski represented J.A.E. in a matter in
Waukesha Municipal Court. Cavendish-Sosinski
informed J.A.E. on August 9, 2000, that
J.A.E. need not appear at a pretrial
conference then set for August 21, 2000.
That pretrial was subsequently rescheduled
for August 23, 2000, but Cavendish-Sosinski
was not notified of the new date.
16. When neither J.A.E. or Cavendish-
Sosinski
appeared at the rescheduled pretrial
conference, a default judgment was entered
against J.A.E. in the Waukesha Municipal
Court. On September 6, 2000, Cavendish-
Sosinski asked the court to reopen the
default judgment asserting lack of notice.
That request was granted and a new pretrial
was scheduled for October 10, 2000.
17. On September 20, 2000, Cavendish-
Sosinski
wrote to J.A.E. informing her of that new
date, but telling J.A.E. that she need not
appear. Cavendish-Sosinski also informed
J.A.E. that informal negotiations were
ongoing with the city attorney.
18. Neither Cavendish-Sosinski nor her
client
J.A.E. appeared at that October 10, 2000,
pretrial; as a result, a default judgment
was again entered against J.A.E. who had not
appeared based on the respondent's
information. Cavendish-Sosinski did not
inform J.A.E. of that default judgment.
19. The OLR complaint further alleged
that
during her representation of J.A.E.
Cavendish-Sosinski failed to respond to
various requests for information about the
status of the case. Cavendish-Sosinski later
explained her failure on the ground that she
had no legal assistant and her office
systems were in disarray at the time.
20. In April of 2001 J.A.E. filed a
grievance with the OLR against Cavendish-
Sosinski. The OLR staff on April 24, 2001,
wrote a letter to Cavendish-Sosinski
requesting her written response to the
J.A.E. grievance. Cavendish-Sosinski did not
respond nor did she respond to a second OLR
request sent to her on May 24, 2001. After
personal service of the OLR's third request
requiring a response by June 14, 2001,
Cavendish-Sosinski finally responded on June
22, 2001. Thereafter, however, she failed to
respond to two additional letters from OLR
staff seeking supplemental information.
21. After the matter was referred to the
OLR's district committee, the district
committee's investigator on May 23, 2002,
and June 5, 2002, wrote to Cavendish-
Sosinski requesting that she contact him; on
May 29, 2002, the investigator also
attempted to contact her by telephone.
Cavendish-Sosinski did not respond to the
investigator's letters or to his phone call;
she did not cooperate with the district
committee's investigation until after she
had been personally served with a notice to
appear.
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22. Based on this course of conduct, the
referee
concluded that respondent had committed the
violations alleged in Counts 3, 4, and 5 of
the OLR complaint. Specifically, the referee
concluded that Cavendish-Sosinski's conduct
violated the attorney's duty to act with
reasonable diligence as prescribed by SCR
20:1.3; constituted a failure to keep a
client informed as required by SCR 20:1.4
(a); and was a failure to cooperate with an
OLR investigation and with a district
committee as required by SCR 22.03(2), SCR
22.03(6) and SCR 22.04(1).
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23. The OLR complaint alleged that in March
1998
Cavendish-Sosinski was appointed by the
state public defender (SPD) to represent
E.B. in a postconviction criminal matter.
Between April 1998 and January 1999 the
respondent failed to meet with E.B. even
though she had repeatedly promised she would
do so once she had obtained his court file
and other information and documents.
Cavendish-Sosinski later scheduled a
personal meeting with E.B. for January 1999
but then cancelled it, citing the need for
more information.
24. Although Cavendish-Sosinski had
written
to E.B. 11 times after her appointment in
March 1998 to April 27, 2000, most of those
letters were in direct response to the state
public defender's demands that she write to
E.B. On May 10, 2000, in response to one of
those SPD demands, Cavendish-Sosinski had an
hour-long telephone conference with E.B.
That was the first and only time she ever
talked with E.B.
25. Between January 2001 and August 2001
the
SPD's office wrote several messages to and
left several telephone messages for
Cavendish-Sosinski; however, she called back
only once and then only left a message. In
August 2001 the SPD's office wrote to
Cavendish-Sosinski informing her that she
was being replaced in the E.B. matter, that
steps were being taken to decertify her from
further SPD appellate appointments and that
the matter would be referred to the OLR.
E.B. had, however, in June 2001 already
filed his own grievance with the OLR
concerning Cavendish-Sosinski. After E.B.'s
grievance, the OLR wrote to Cavendish-
Sosinski three times asking her to respond
and supply information about the situation.
She did not respond until she had been
personally served with the OLR's fourth
letter requesting information. In her
response to that fourth request, Cavendish-
Sosinski admitted that her representation in
the E.B. matter had been "lax"; she
explained that she had been suffering from
depression.
26. E.B.'s grievance was subsequently
referred to the OLR's district committee for
investigation. The district's investigator
wrote to Cavendish-Sosinski on May 23, 2002,
and again on June 5, 2002, requesting that
she contact him. In addition, on May 29,
2002, the investigator attempted to contact
her by telephone. Again, Cavendish-Sosinski
did not respond to the letters or phone
call, and did not cooperate with the
district committee's investigation until
after she had been personally served with a
notice to appear.
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27. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violations as alleged in Counts 6, 7,
and 8 of the OLR complaint. Specifically,
the referee concluded that Cavendish-
Sosinski's conduct constituted a failure to
act with reasonable diligence and
promptness, in violation of SCR 20:1.3; a
failure to promptly respond to reasonable
requests for information, in violation of
SCR 20:1.4(a); and a failure to cooperate
with an OLR investigation and a district
committee's request for information, in
violation of SCR 22.03(2) and 22.04(1).
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28. The OLR complaint alleged that on July
25,
2000, R.G. retained Cavendish-Sosinski to
represent him in a criminal matter.
Approximately two months later, however,
R.G. retained successor counsel. Then, on
August 22, 2001, R.G. filed a grievance with
the OLR against Cavendish-Sosinski alleging
professional misconduct. The OLR staff, on
two separate occasions, requested that
Cavendish-Sosinski supply information
regarding the R.G. matter but she failed to
do so. On November 14, 2001, she finally
responded to the R.G. grievance as requested
by the OLR.
29. Thereafter, the R.G. matter was
referred
to the district committee for investigation.
Again, Cavendish-Sosinski did not respond to
the first two letters and telephone call
from the district's investigator; and again
she did not cooperate with the district
committee until she had been personally
served with a notice to appear.
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30. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violations as alleged in Count 9 of the
OLR complaint. Specifically, the referee
found that Cavendish-Sosinski's conduct
violated the attorney's duty to cooperate
with an OLR and district committee
investigation as required by SCR 22.03(2)
and 22.04(1).
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31. The OLR complaint alleged that in April
2001
Cavendish-Sosinski was appointed by the SPD
to represent R.T. on his appeal from a
felony conviction. Cavendish-Sosinski
initially made several contacts with R.T.
promising to visit him to personally discuss
his case. R.T., who was incarcerated, then
made several attempts to contact Cavendish-
Sosinski including several telephone calls.
He also sent nine or ten letters to her to
which she did not respond. Although R.T.
could only place collect calls from prison,
Cavendish-Sosinski instructed her legal
assistant not to accept any collect
telephone calls.
32. Beginning on July 10, 2001, R.T.
made
several requests to Cavendish-Sosinski for
his transcripts; however, she never provided
the transcripts to him. Although Cavendish-
Sosinski claimed that she had ordered the
transcripts, she never followed up with the
court reporter to obtain the transcripts in
a timely manner. As a result of her failure
to file the transcripts with the court of
appeals in a timely manner, R.T.'s right to
appeal was thwarted.
33. R.T. filed a grievance with the OLR.
The
OLR staff subsequently sent Cavendish-
Sosinski three requests that she respond to
the R.T. grievance; she did not respond to
any of the OLR's requests. After a fourth
request was personally served on her, she
finally submitted a response to R.T.'s
grievance.
34. Subsequently, the R.T. matter was
referred to the OLR's district committee for
investigation. The district's investigator
wrote two letters to Cavendish-Sosinski
requesting that she contact him and he also
made one attempt to contact her by
telephone. Cavendish-Sosinski did not
respond to the letters or the telephone
call; she only cooperated with the district
committee's investigation after she had been
personally served with a notice to appear.
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35. The referee, describing the R.T.
grievance
as "the most serious matter" in the OLR
complaint, concluded that Cavendish-Sosinski
had committed the violations as alleged in
Counts 10, 11, 12, and 13 of the OLR
complaint. Specifically, the referee found
that Cavendish-Sosinski's conduct
constituted a failure to act with reasonable
diligence and promptness in a client matter
as required by SCR 20:1.3; a failure to
respond to reasonable requests for
information as required by SCR 20:1.4(a); a
failure to protect a client's interest as
required by SCR 20:1.16(d); and a failure to
cooperate with an OLR investigation and with
the district committee as required under SCR
22.03(2) and 22.04(1).
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36. The OLR complaint alleged that in late
summer of 2000 L.C. hired Cavendish-Sosinski
to represent him after a bench warrant for
L.C.'s arrest had been issued. Cavendish-
Sosinski thereafter sent L.C. a retainer
agreement and obtained from him payment of
an additional $750 fee telling L.C. that she
would attempt to quash the warrant. However,
Cavendish-Sosinski thereafter took no action
in the L.C. matter.
37. L.C. attempted to contact her on
several
occasions to learn the status of his case
but was unsuccessful. Cavendish-Sosinski did
not speak with L.C. until March of 2001.
L.C. wrote to her in April and June 2001
informing her that the continued existence
of the bench warrant was interfering with
his livelihood as an over-the-road trucker,
and with his plans to marry and have his new
wife join him in the trucking business.
38. L.C. subsequently filed a grievance
against Cavendish-Sosinski with the OLR in
January of 2002; he later submitted written
materials substantiating his allegations
against Cavendish-Sosinski.
39. Thereafter, Cavendish-Sosinski
failed to
respond to two OLR requests for information
concerning L.C.'s grievance. Finally, she
acknowledged that she had done no work on
the L.C. matter and attributed that failure
to her depression. The respondent thereafter
refunded L.C. the $750 fee he had paid her.
40. Based on this course of conduct, the
referee concluded that the respondent had
committed the violations as alleged in
Counts 14, 15, and 16 of the OLR complaint.
Specifically, the referee concluded that
Cavendish-Sosinski had failed to act with
reasonable diligence and promptness in
representing a client, in violation of SCR
20:1.3; had failed to promptly respond to
reasonable requests for information and to
keep her client informed about the status of
the matter, in violation of SCR 20:1.4(a);
and had failed to cooperate with an OLR
investigation, in violation of SCR 22.03(2).
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41. The OLR complaint alleged that on
November
8, 2001, A.J. retained Cavendish-Sosinski to
represent him after he had been charged with
a Town of Brookfield ordinance violation and
two Waukesha County misdemeanor criminal
counts. A.J.'s mother paid $500 to Cavendish-
Sosinski as an initial retainer to represent
him. Cavendish-Sosinski sent notices of the
retainer to each court and filed discovery
requests.
42. On December 17, 2001, Cavendish-
Sosinski
told A.J.'s mother that A.J. did not have to
be present for a hearing in the Town of
Brookfield Municipal Court scheduled for
December 20, 2001; as a result, A.J. did not
attend that hearing nor did Cavendish-
Sosinski. On December 22, 2001, A.J.
received notice that a default judgment had
been entered against him for his failure to
appear at the December 20 hearing.
43. The OLR complaint further alleged
that on
December 27, 2001, a hearing was scheduled
in the Waukesha County cases. When A.J.'s
mother called Cavendish-Sosinski for the
location for that hearing, Cavendish-
Sosinski told her that an adjournment had
been requested and granted. Because of the
experience with the prior default judgment
in the municipal court matter, A.J. called
the Waukesha Court to confirm that the
hearing had been adjourned. A.J. was
informed that the matter was still on the
court's calendar and that no adjournment had
been requested or granted. A.J. appeared at
the hearing pro se and was then told
that had he not appeared, a bench warrant
for his arrest would have been issued. The
court rescheduled that hearing to January 8,
2002.
44. On December 27, 2001, the day of the
Waukesha County hearing, the court's
calendar clerk called Cavendish-Sosinski.
Cavendish-Sosinski told the clerk that she
believed that that hearing had been
adjourned. Cavendish-Sosinski thereafter
left on a trip to Louisiana but did not
check the court file in order to confirm
whether or not A.J.'s hearing had been
adjourned.
45. On January 7, 2002, A.J. retained
new
counsel. By certified letter, A.J. requested
a refund of his retainer from Cavendish-
Sosinski and she thereafter withdrew as his
counsel.
46. On January 14, 2002, A.J. and his
mother
filed a grievance with the OLR, and
subsequently provided further written
materials to substantiate their allegations
against Cavendish-Sosinski. On April 3,
2002, the OLR staff requested Cavendish-
Sosinski's written response to A.J.'s
grievance; she failed to respond. Then on
April 29, 2002, the OLR staff, via first-
class, certified mail, sent Cavendish-
Sosinski a second request for a response
noting that she had failed to respond to the
OLR's initial letter. Cavendish-Sosinski's
secretary signed the certified receipt on
May 7, 2002; however, again Cavendish-
Sosinski did not respond to the OLR's
request.
47. Subsequently, on May 13, 2002, the
OLR
staff, via certified letter and personal
service, requested that Cavendish-Sosinski
submit her written response, in person, at
the OLR offices on May 20, 2002. Instead,
Cavendish-Sosinski submitted a response via
fax on that date. She also sent A.J. a copy
of her response along with a $500 fee refund
check. That refund was not made until May
21, 2002. Because Cavendish-Sosinski had not
refunded A.J.'s fee immediately upon
termination of the representation, A.J. had
difficulty paying successor counsel.
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48. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violations as alleged in Counts 17, 18,
and 19 of the OLR complaint. Specifically,
the referee concluded that Cavendish-
Sosinski had failed to act with reasonable
promptness and diligence, in violation of
SCR 20:1.3; had failed to protect a client's
interest, in violation of SCR 20:1.16(d);
and had failed to cooperate with an OLR
investigation, in violation of SCR 22.03(2).
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49. The OLR complaint alleged that in
December
of 2001 S.H. retained Cavendish-Sosinski to
represent her on a Town of Lisbon municipal
charge, and that on December 20, 2001, S.H.
paid Cavendish-Sosinski a retainer of $750.
50. Subsequently, Cavendish-Sosinski
appeared
in court on behalf of S.H. on two occasions
and forwarded to S.H. copies of relevant
police reports. S.H. also met with Cavendish-
Sosinski several times including a meeting
at Cavendish-Sosinski's office on March 11,
2002.
51. In April 2002, S.H. received a
letter
from the municipal court stating that a
default judgment had been entered against
her for her failure to appear at a scheduled
March 15, 2002, hearing. Thereafter, S.H.
and her husband repeatedly tried to contact
Cavendish-Sosinski about the default
judgment; Cavendish-Sosinski never returned
their calls.
52. On May 24, 2002, S.H. sent a
certified
letter asking Cavendish-Sosinski why she had
not appeared on S.H.'s behalf at the March
15, 2002, hearing. In that letter, S.H.
stated that she had tried to call Cavendish-
Sosinski several times regarding the status
of the case including its disposition, but
that Cavendish-Sosinski failed to return any
of the calls. S.H. also noted that Cavendish-
Sosinski had told her that she (Cavendish-
Sosinski) had sent a letter to the court
regarding resolution of S.H.'s case;
however, according to S.H., her court file
contained no such a letter. In addition, in
her certified letter, S.H. pointed out she
and Cavendish-Sosinski had discussed
favorable factors that could be pointed out
to the court in S.H.'s case. S.H. wrote that
Cavendish-Sosinski had not followed through
on those items.
53. The OLR complaint further alleged
that
Cavendish-Sosinski was aware that S.H.'s
husband had attempted to contact her several
times about the case. Cavendish-Sosinski
told him, however, that confidentiality
rules prevented her from speaking to him
about S.H.'s case; she also asserted that
she had been unable to speak with S.H.
directly. Cavendish-Sosinski also claimed
that she thought S.H. had agreed to a
resolution and sentence in her case at the
March 11, 2002, meeting in Cavendish-
Sosinski's office. Consequently, Cavendish-
Sosinski considered S.H.'s file closed and
had not associated S.H.'s May 24, 2002,
certified letter with any necessity to act
on S.H.'s case.
54. S.H. thereafter filed a grievance
with
the OLR. Again, the OLR requested a written
response from Cavendish-Sosinski, and again
Cavendish-Sosinski did not respond. Then by
certified letter on September 17, 2002, the
OLR again requested Cavendish-Sosinski to
provide information regarding S.H.'s
grievance. The certified mail receipt was
returned showing that that second letter had
been received and signed for by Cavendish-
Sosinski's secretary on September 25, 2002.
55. Even though the OLR's certified
letter
directed Cavendish-Sosinski to file her
written response to S.H.'s grievance no
later than September 27, 2002, it wasn't
until October 18, 2002, that Cavendish-
Sosinski faxed a request to the OLR for an
extension of time to respond to S.H.'s
grievance. The OLR granted that request
giving the respondent until November 8,
2002, to respond. Cavendish-Sosinski,
however, did not respond by that deadline.
56. The OLR complaint further alleged
that on
November 22, 2002, Cavendish-Sosinski was
personally served with another OLR request
for a response; on November 29, 2002, she
faxed the OLR acknowledging that she had
received the requests and she again asked
for an extension of time to respond. She was
granted another extension and finally, on
December 12, 2002, Cavendish-Sosinski faxed
her formal response to the OLR.
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57. In that December 12, 2002, response
Cavendish-Sosinski explained that during the
time S.H. had attempted to contact her by
certified letter, Cavendish-Sosinski was
recovering from a year long clinical
depression. She further reported that she
had taken S.H.'s file home so she could work
on it because she considered S.H.'s case,
along with others, as one that needed to be
dealt with "delicately" because the problems
had been created or exacerbated by Cavendish-
Sosinski's depressed state. According to
Cavendish-Sosinski's response, those cases
involved clients who were persistent or
involved issues that had caused Cavendish-
Sosinski to have panic attacks. This
response further reported that there had
been a fire at Cavendish-Sosinski's home in
June of 2002 and that S.H.'s file had been
destroyed in that fire, including the
unopened May 24, 2002, certified letter from
S.H. According to Cavendish-Sosinski, when
S.H.'s husband began contacting her, her
depression then manifested itself into
an "ignore the situation as the case is
closed" attitude.
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58. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violations as alleged in Counts 20 and
21 of the OLR complaint. Specifically, the
referee concluded that Cavendish-Sosinski
had failed to respond promptly to a client's
request for information, in violation of SCR
20:1.4(a) and had failed to cooperate with
an OLR investigation, in violation of SCR
22.03(2).
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59. The OLR complaint alleged that in June
2001
Cavendish-Sosinski was appointed by the
state public defender to represent J.K. in
two postconviction appeal matters. Later
J.K. complained to the SPD office that
Cavendish-Sosinski had failed to respond to
his repeated inquiries regarding the status
of his cases and that she had had no contact
with him for almost a year. J.K. also
contacted the court of appeals reporting his
concerns about Cavendish-Sosinski's
representation.
60. On May 9, 2002, and again on June
13,
2002, the SPD's office wrote to Cavendish-
Sosinski about her lack of contact with J.K.
Cavendish-Sosinski failed to respond to
either letter. She also failed to respond to
telephone calls from the SPD's office on
August 6, 2002, and September 5, 2002.
61. The court of appeals subsequently
ordered
the SPD to file a report with the court
addressing J.K.'s eligibility for
appointment of substitute counsel in his two
cases. In its response, the SPD's office
advised the court that it believed J.K. was
entitled to new postconviction counsel and
that the SPD would appoint new counsel for
him. In addition, the SPD asked the court to
order Cavendish-Sosinski to immediately
forward copies of J.K.'s court records and
transcript to the SPD's appellate division
so that that material could then be provided
to his new counsel.
62. On September 9, 2002, and again on
September 10, 2002, the court of appeals
issued orders granting the SPD's request and
ordering Cavendish-Sosinski to file
affidavits of service with the court no
later than September 20, 2002, proving that
she had forwarded the requested items in
both of J.K.'s cases. In these orders, the
court of appeals warned that if she failed
to provide the requested items, sanctions
would be imposed. Cavendish-Sosinski mailed
the requested items to the SPD on October
18, 2002.
63. After the SPD's office forwarded to
the
OLR a copy of the SPD's report filed in the
court of appeals regarding Cavendish-
Sosinski, the OLR commenced an informal
inquiry into the matter and requested that
Cavendish-Sosinski provide a written
response on or before October 16, 2002. She
did not respond.
64. Thereafter, by certified letter on
October 18, 2002, the OLR again requested
that Cavendish-Sosinski provide information
regarding her conduct in the J.K. matter.
That certified letter was signed for by
Cavendish-Sosinski's secretary on October
21, 2002, but Cavendish-Sosinski did not
respond to that request.
65. On November 22, 2002, Cavendish-
Sosinski
was personally served with the OLR's third
request for a response in the J.K. matter.
On November 29, 2002, Cavendish-Sosinski
contacted OLR by fax acknowledging that she
had received the requests and she asked for
an extension of time to respond. The OLR
granted her an extension until December 13,
2002.
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66. On that date, Cavendish-Sosinski faxed
her
formal response to the OLR's investigation
of the J.K. matter. In that response,
Cavendish-Sosinski asserted that when she
accepted the appointment to represent J.K.,
she was overworked and exhausted and
suffering from clinical depression. She also
acknowledged that she should not have
accepted new clients during that period; she
claimed that during the time of her
appointment in the J.K. matter, she had
relied too heavily on a new assistant to log
in and file documents as they were received
in the mail. According to Cavendish-
Sosinski's response, had she been operating
at her normal mental capacity during that
time, she would have been "on top" of the
situation and would have ensured that all
time limits were recorded and met; however,
because she was so overextended with other
cases and scheduled court hearings, she said
she had not paid proper attention to cases-
like J.K.'s-that she thought did not
require immediate attention.
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67. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violations as alleged in Counts 22, 23,
and 24 of the OLR's complaint. Specifically,
the referee concluded that Cavendish-
Sosinski had failed to act with reasonable
diligence and promptness in representing a
client, in violation of SCR 20:1.3; also,
she had failed to promptly respond to
reasonable requests for information and to
keep her client informed about the status of
a matter, in violation of SCR 20:1.4(a); and
finally she had failed to cooperate with an
OLR investigation, in violation of SCR 22.03
(2).
NONCOOPERATION WITH OLR INQUIRY-COUNT
25
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68. The OLR complaint noted that based on
information concerning Cavendish-Sosinski's
personal situation that potentially impaired
her ability to practice law-including her
depression, and events like her secretary
quitting, her spouse filing for divorce, her
house being destroyed by fire, and her need
for medical treatment-the OLR had opened an
investigative file regarding Cavendish-
Sosinski's situation. The OLR staff sent her
its initial investigative letter on November
15, 2001, but Cavendish-Sosinski did not
respond within the 20 days as directed. The
OLR then sent her a second request on
December 17, 2001, and again, she failed to
respond. The OLR's third investigative
request was served on Cavendish-Sosinski on
January 7, 2002. On January 13, 2002,
Cavendish-Sosinski responded stating that
she would provide the requested information
addressing the issue of her depression and
its effect on her ability to practice law;
however, she never submitted such a written
response. According to the OLR, the matter
was then referred to the district committee
for investigation.
69. The district investigator, as had
occurred in the other matters, attempted to
contact Cavendish-Sosinski three times
including one attempt to contact her by
phone. Again, she did not respond to the
letters or the phone call; she only
responded after being personally served with
a notice to appear.
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70. Based on this course of conduct, the
referee
concluded that the respondent had committed
the violation as alleged in Count 25 of the
OLR complaint. Specifically, the referee
concluded that Cavendish-Sosinski had failed
to cooperate with an OLR investigation and
with a district committee, in violation of
SCR 22.03(2) and 22.04(1).
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71. Finally, the OLR complaint noted that
on
February 5, 2003, the OLR received a letter
from Cavendish-Sosinski stating that due to
her depression, she was abandoning the
practice of law and moving to Louisiana to
pursue an alternate graduate degree. In this
letter, Cavendish-Sosinski claimed that she
had, in effect, closed her law practice;
however, she reported that she still
employed a staff person to forward legal
mail and messages and to retrieve items from
her files to permit Cavendish-Sosinski to
respond to other requests for information.
In addition, Cavendish-Sosinski informed the
OLR that as of January 2003, her practice
was limited to six clients with active
files, and that four of those files would be
resolved by March 2003. The remaining two,
Cavendish-Sosinski claimed, were proceeding
through the criminal postconviction system.
Cavendish-Sosinski also asserted that she
did not intend to apply for a license to
practice law in Louisiana.
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72. With respect to Cavendish-Sosinski's
claim
that her conduct was attributable to her
chronic clinical depression, the referee
wrote:
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Her failure to participate in this matter
makes it impossible to place much, if any,
weight on this as a mitigating factor. There
is no way to determine what role such
depression may have played in her
misconduct. However, claimed depression,
combined with, not only neglect of clients'
interest, but of her own interest in
cooperating with the OLR to avoid
exacerbation of her situation, suggests an
inability to conform her conduct to that
required of her. In this light, protection
of the public dictates that she be required
to address any mental health issues she
might have prior to resuming the practice of
law. I recommend, therefore, that the OLR's
request that she demonstrate, as a condition
of reinstatement, that any mental health
problems that might impair her ability to
practice law in accordance with accepted
professional standards are appropriately
controlled, be granted.
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73. We adopt the findings of fact and
conclusions of law set forth in the
referee's report and we determine that the
seriousness of Cavendish-Sosinski's
misconduct as established in this proceeding
warrants the suspension of her license to
practice law in this state for a period of
nine months. We also determine that prior to
any reinstatement of her license, Cavendish-
Sosinski must demonstrate that her
depression or mental health problems that
might impair her ability to practice law are
under sufficient control so that she would
be able to practice law in accordance with
accepted professional standards. Finally, we
direct that Cavendish-Sosinski be ordered to
pay the costs of these disciplinary
proceedings now totaling $1373.77.
74. IT IS ORDERED that the license of
Elizabeth A. Cavendish-Sosinski to practice
law in Wisconsin is suspended for a period
of nine months commencing as of the date of
this opinion.
75. IT IS FURTHER ORDERED that as a
condition
of reinstatement of her license to practice
law following the period of suspension,
Elizabeth A. Cavendish-Sosinski be required
to submit a report from a psychiatrist
approved by the Office of Lawyer Regulation
concerning her mental condition and
demonstrating that her depression or mental
health problems that might impair her
ability to practice law are sufficiently
controlled so that she would be able to
practice law in accordance with accepted
professional standards.
76. IT IS FURTHER ORDERED that within 60
days
of the date of this order Elizabeth A.
Cavendish-Sosinski pay to the Office of
Lawyer Regulation the costs of this
proceeding totaling $1373.77, provided that
if the costs are not paid within the time
specified and absent a showing to this court
of her inability to pay the costs within
that time, the license of Elizabeth A.
Cavendish-Sosinski to practice law in
Wisconsin shall remain suspended until
further order of this court.
77. IT IS FURTHER ORDERED that if she
has not
already done so, Elizabeth A. Cavendish-
Sosinski must comply with the provisions of
SCR 22.26 concerning the duties of a person
whose license to practice law in Wisconsin
has been suspended.
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