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ATTORNEY disciplinary
proceeding. Attorney's license
suspended.
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1. PER CURIAM. We review the findings of
fact, conclusions
of law, and recommendations of Referee
Timothy L. Vocke for sanctions pursuant to
SCR 22.17(1) and (3). Attorney Alan D.
Eisenberg was found to have engaged in
unprofessional conduct in the course of his
practice of law in violation of the Rules of
Professional Conduct. The referee
recommended revocation of Attorney
Eisenberg's license to practice law and the
payment of the costs of the Office of Lawyer
Regulation (OLR).
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2. We approve the findings and conclusions
of
the referee and determine that the
seriousness of Attorney Eisenberg's
misconduct warrants the imposition of a
sanction. However, we do not follow the
referee's recommendation as to the sanction
and instead impose a one-year suspension of
Attorney Eisenberg's license to practice
law.
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3. Attorney Eisenberg was licensed to
practice
law in Wisconsin in 1966. In 1970 he was
suspended from the practice of law for one
year for vindictive and reckless harassment
of a judge. See State v. Eisenberg,
48 Wis. 2d 364, 180 N.W.2d 529 (1970). In
1988 he was suspended from the practice of
law for two years for conflict of interest,
offensive personality, and dishonesty,
fraud, deceit, and misrepresentation.
See In re Disciplinary Proceedings
Against Eisenberg, 144 Wis. 2d 284, 423
N.W.2d 867 (1988). In 1996 he received a
public reprimand for activity occurring
during the 1988 suspension consisting of a
failure to close out a trust account and
failing to advise the Board of Attorneys
Professional Responsibility upon his
reinstatement that he had not closed the
account.
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4. On February 8, 2002, the OLR issued a
complaint against Attorney Eisenberg
alleging eight counts in violation of the
Rules of Professional Conduct. These counts
involved five separate matters. Attorney
Eisenberg answered the complaint and
proceedings before the referee followed.
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5. The standard of review before this court
is
that the referee's findings of fact are
affirmed unless clearly erroneous but
conclusions of law are reviewed on a de novo
basis. See In re Disciplinary
Proceedings Against Kalal, 2002 WI 45, 252
Wis. 2d 261, 643 N.W.2d 466. The referee's
credibility determinations are intertwined
with his findings of fact. See In re
Disciplinary Proceedings Against Charlton,
174 Wis. 2d 844, 498 N.W.2d 380 (1993).
DIVORCE RETAINER AND FILE
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6. Count One alleges a violation of SCR
20:1.16
(d) (upon termination of representation the
lawyer must take steps to protect the
client's interests). Count Two alleges a
violation of former SCR 22.07(2) (an
attorney has to disclose all relevant
information to the OLR), and SCR 20:8.4(c)
(prohibits conduct involving dishonesty,
fraud, deceit, or misrepresentation).
7. These two counts involve B.S., a
divorce
client, who elected to have one of Attorney
Eisenberg's associates continue to represent
her after that attorney left his firm.
However, there was a dispute between the two
attorneys on how much of the $5000 retainer
should be forwarded on along with the file.
The associate claimed $2775.69 of the
retainer was unearned whereas Attorney
Eisenberg claimed that all of the retainer
had already been earned by his office.
Attorney Eisenberg signed an affidavit
seeking the entire retainer plus additional
funds which he presented to the Milwaukee
County Circuit Court presiding over the
divorce. That court did not take action to
resolve the fee dispute.
8. The referee took testimony on these
counts from Attorney Eisenberg, his legal
secretary, another of his employees, and the
former attorney. Based on this testimony the
referee found that Attorney Eisenberg had
his staff "fabricate . . . bogus billings"
which he incorporated into his court
affidavit and which misrepresented the
amount of the retainer that was earned. The
referee also found that he failed to timely
surrender the divorce file and the unearned
retainer to the former associate.
9. Accordingly, the referee concluded as
a
matter of law that Attorney Eisenberg had
violated the rules specified in the two
counts.
10. In defense, which the referee
rejected,
Attorney Eisenberg claimed that: (1) the
associate's testimony should not have been
deemed credible; (2) the referee should have
given greater weight to the testimony of his
secretary who testified that she made a good
faith effort at reconstructing the billings;
and (3) while it was accurate to
characterize the recreation of billings as
a "guesstimate" this did not rise to the
level of a fabrication.
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11. We adopt the findings of fact and
conclusions of law of the referee with
respect to these two counts. Although
mindful of Attorney Eisenberg's defense, we
cannot conclude that the referee's findings,
particularly since they rely heavily on the
credibility of the witnesses, are clearly
erroneous. Furthermore, assuming the
findings to be accurate, they clearly
support the conclusion that there was a
violation of the rules specified in these
two counts.
PRO HAC VICE APPLICATION
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12. Count Three alleges that Attorney
Eisenberg
again violated SCR 20:8.4(c). Count Four
alleges a violation of SCR 20:3.3(a)(1) (a
lawyer shall not knowingly make a false
statement of fact to a tribunal).
13. These counts arose out of an
incident in
which Attorney Eisenberg submitted an
affidavit in support of an application to
appear pro hac vice in California which
indicated he had never been previously
suspended from legal practice. The referee
took testimony from Attorney Eisenberg, his
secretary, and the California attorney who
had prepared the affidavit and faxed it to
Attorney Eisenberg's office.
14. The testimony of the three indicated
that California rules only required an
attorney to verify that he was not currently
under suspension, although the application
and affidavit prepared by the California
attorney did require Eisenberg to verify
whether he had ever been suspended or
disbarred by any court. The secretary
testified that she took the application and
affidavit into Attorney Eisenberg's office,
he was busy with another matter, and only a
few minutes were spent in the process of
having him sign it. Attorney Eisenberg
conceded that he should have read the
application and affidavit before signing it
but contended that he was busy and it was
simply an inadvertent error and he did not
intentionally misrepresent his disciplinary
history.
15. However, the referee found that
since
Attorney Eisenberg regularly has appeared on
a pro hac vice basis in other states, he
should have known the importance of accuracy
in this application process. He did not find
Attorney Eisenberg's testimony to be
credible and stated that his claim of
inadvertent error "rings hollow and is
absolutely unbelievable" and
therefore "actual dishonesty and deceit" was
involved. Accordingly, the referee further
concluded as a matter of law that there was
a violation on both counts.
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16. In reviewing the record of this matter,
we
concede that there is no direct evidence of
an intent to misrepresent. We further
concede the possibility that a different
trier of fact might have reached different
findings and conclusions on this matter.
However, the law typically recognizes that
it is unable to look into a person's mind to
find intent and it must be determined from
the person's acts and words and the
circumstances of the situation. We also are
constrained by the clearly erroneous
standard and cannot conclude that the
referee's findings and conclusions, based
heavily on his assessment of Attorney
Eisenberg's lack of credibility, meets the
standard. Accordingly, we adopt the
referee's findings of fact and conclusions
of law with respect to these counts.
DEPARTMENT OF TRANSPORTATION
HEARING
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17. Count Six involves a violation of SCR
20:3.5
(c) (a lawyer shall not engage in conduct
intending to disrupt a tribunal) and SCR
20:3.9 (appearances before administrative
tribunals are covered under SCR 20:3.5(c)).
Count Seven alleges a violation of SCR 20:8.4
(g) (attorney shall not violate the
attorney's oath), and SCR 40:15 (that
portion of the attorney's oath which
requires abstention from all offensive
personality).
18. These two counts arise out of
Attorney
Eisenberg's appearance before a Wisconsin
Department of Transportation hearing
examiner in which he is alleged to have
essentially taken over the hearing, refused
to obey the procedural rules of the
tribunal, and then left with his client
before the hearing was over, all deemed to
be conduct intending to disrupt the hearing.
19. The referee took testimony from the
hearing examiner and Attorney Eisenberg, and
also admitted into evidence the tape of the
hearing. The referee concluded that Attorney
Eisenberg was "rude, abusive, controlling,
disrespectful," had "essentially high-jacked
the hearing by ignoring [the examiner's]
instructions, telling her to be quiet, and
doing what he wanted to do," and "act[ed]
much like a spoiled child." Accordingly, the
referee concluded as a matter of law that
there had been a violation in accord with
the two counts.
20. We adopt the referee's findings of
fact
and conclusions of law with respect to these
two counts. We note in particular that
Attorney Eisenberg in his arguments to this
court has not specifically attacked any of
the findings or conclusions with respect to
these counts. Rather, he has conceded that
his behavior was "combative" for which he
has expressed apology.
BUSINESS TRANSACTION WITH CLIENT
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21. Count Eight alleges a violation of SCR
20:1.8
(a) (a lawyer is not to enter into a
business transaction with a client except
under certain circumstances).
22. This count involves Attorney
Eisenberg's
attorney/client relationship with a client
on a building code violation matter which
was followed by the client entering into a
listing contract to sell the property
through his alternate persona of Alan
Eisenberg Real Estate Company. Attorney
Eisenberg introduced the client to one of
his employees, who was serving in a dual
role both as a legal assistant for Attorney
Eisenberg's law firm and also as an employee
of the real estate company. The client was
not advised of the conflict of interest, was
not given an opportunity to seek independent
advice, and did not waive the conflict in
writing.
23. The employee testified that he knew
the
client was one of Attorney Eisenberg's law
clients but that there was no office policy
forbidding real estate transactions with law
clients. However, Attorney Eisenberg
testified that the real estate listing
contract which the client signed was not
binding until he approved it, which he never
did.
24. The referee found that there was no
indication that the listing contract was
invalid until Attorney Eisenberg approved
it, there was no evidence to support a
finding that Attorney Eisenberg had no
direct knowledge of the listing contract
under these circumstances, and Attorney
Eisenberg's defense that he simply failed to
properly supervise his support staff was not
persuasive.
25. We adopt the findings of fact and
conclusions of law of the referee. Once
again, given the duty imposed on the referee
to assess the credibility of the witnesses,
we cannot conclude that the findings of fact
are clearly erroneous. Furthermore, without
question, those findings support the legal
conclusion that there was a violation of
these two counts.
OREGON POLICE DISPATCH
COMMUNICATIONS
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26. Count Nine alleges the violation of SCR
20:4.4 (a lawyer shall not use means which
have no substantial purpose other than to
embarrass, delay, or burden a third person
in the course of representing a client).
Count Ten alleges another violation of SCR
20:8.4(g) in conjunction with SCR 40.1.
Count Eleven involves another violation of
SCR 20:8.4(c) and also 20:4.1(a) (in the
course of representing a client a lawyer
shall not knowingly make a false statement
of material fact or law to a third person).
27. These counts arise out of a series
of
telephone calls to a police dispatcher made
by Attorney Eisenberg from a bar/restaurant
in Corvallis, Oregon, where he was appearing
pro hac vice for a criminal client. The
client had been given a message from a
police detective to call him on what turned
out to be an unrelated matter. Attorney
Eisenberg, allegedly believing the detective
was harassing his client, called the number
several times eventually reaching the police
dispatcher. He told the dispatcher that this
was a "life or death emergency," used vulgar
language, and demanded to talk to the
detective. He did not cooperate with the
dispatcher and claimed "I am going to have
his [detective's] badge." He also referred
to the detective as an "asshole" and
a "thug."
28. The referee took testimony from
Attorney
Eisenberg with respect to these counts and
also listened to the tape of the
communications. The referee found as a
matter of fact that Attorney Eisenberg
(1) "threatened, lied, demanded, swore,
insulted . . . acted in a rude and obnoxious
manner;" (2) knew that there was no
emergency of any sort; and (3) had no
purpose other than to "just embarrass or
burden the dispatchers." The referee further
concluded as a matter of law that this
situation "evinced the epitome of an
offensive personality" and also violated the
other two rules.
29. Attorney Eisenberg has conceded that
the
call was "contentious" but basically submits
it was simply the result of overzealous
representation of his client.
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30. We adopt the referee's findings of fact
and
conclusions of law with respect to these
counts. We have previously rejected the
argument that the "offensive personality"
language of the Attorney's Oath is
unconstitutionally vague or overbroad when
applied to an attorney's professional
conduct, to the extent Attorney Eisenberg
may so contend. See In re Disciplinary
Proceedings Against Beaver, 181 Wis. 2d
12, 510 N.W.2d 129 (1994). We further note
that State v. Heilprin, 59 Wis. 2d 312,
207 N.W.2d 878 (1973) found an offensive
personality to have been present under
circumstances, although different from those
in this case, which also involved generally
rude, discourteous, abusive, aggressive, and
hostile statements like the case here.
Accordingly, we hold that the conclusions of
law of the referee with respect to these
three counts are correct.
SANCTIONS
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31. The referee noted as a mitigating
factor
that Attorney Eisenberg has performed work
with community and civic groups. However, as
aggravating factors the referee noted his
substantial disciplinary history and what
the referee characterized as: (1) a
propensity to lie under oath; (2) a
propensity to minimize culpability by trying
to place blame on others, portraying himself
as the victim, and claiming there was no
real injury; and (3) no demonstration of
remorse. The referee further stated:
Eisenberg is exactly the type of attorney
that brings disrepute and dishonor on the
legal profession. . . . [T]he fact that
Eisenberg has continued to conduct himself
in a way that violates these standards is
simply an indication of his distain [sic]
for the appropriate means of conducting
oneself as an attorney. . . . [H]e has
absolutely no intention of changing.
The referee analogized this case to In re
Disciplinary Proceedings Against Heilprin,
168 Wis. 2d 1, 482 N.W.2d 908 (1992)
(revocation ordered where attorney,
previously disciplined for offensive
personality, directed sexually explicit and
suggestive comments to women clients).
Accordingly, the referee has recommended
revocation of Attorney Eisenberg's license
even though the OLR only asked for a one-
year suspension.
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32. Attorney Eisenberg submits that
revocation
is wholly disproportionate to these
violations and, in particular, his "ancient"
disciplinary history should be largely
disregarded. He distinguishes this situation
from Heilprin which he believes involved
extremely serious charges of sexual
impropriety, unlike here. He further notes
that in some instances attorneys have
repeatedly violated the same disciplinary
rules without suffering disbarments. See
In re Disciplinary Proceedings Against
Grapsas, 230 Wis. 2d 751, 602 N.W.2d 526
(1999). He again cited his civic work as a
mitigating factor, although that does not
necessarily warrant a reduction in reduced
sanction. See In re Disciplinary
Proceedings Against Jones, 160 Wis. 2d
564, 466 N.W.2d 890 (1991). Accordingly, he
has asked this court to impose only a public
reprimand.
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33. We cannot so easily dismiss Attorney
Eisenberg's disciplinary history. It has
spanned four decades and demonstrates a
clear pattern of inappropriate behavior.
Indeed, two of the matters involved here,
concerning the Wisconsin Department of
Transportation hearing and the Oregon police
dispatch incident, would reflect a pattern
even without the behavior leading to the
discipline imposed in 1970 and 1988. We must
express the highest concern over Attorney
Eisenberg's continued and persistent
inability to comport himself with the
behavior that is expected of attorneys.
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34. While these latest violations,
particularly
coupled with the extensive prior
disciplinary history, would certainly
warrant revocation, we will not impose that
sanction. Given Attorney Eisenberg's age,
revocation might effectively prohibit him
ever practicing law again. Age is not
necessarily a mitigating factor. See
In re Disciplinary Proceedings Against
Fennig, 227 Wis. 2d 379, 595 N.W.2d 710
(1999) (60-day suspension imposed for 70+-
year-old attorney rather than public
reprimand). But under these circumstances we
hope that a shorter period of forfeiture
will suffice to deter other attorneys from
engaging in similar misconduct and motivate
Attorney Eisenberg, if he ever returns to
the practice of law, to conduct himself in
an ethical manner, without exception.
Accordingly, we impose a one-year suspension
of Attorney Eisenberg's license.
35. In conclusion, we adopt the findings
of
fact and conclusions of law of the referee.
Attorney Eisenberg's misconduct represents a
serious failure to comply with the Rules of
Professional Conduct. However, in lieu of
the referee's recommendation of revocation,
we believe that a one-year suspension is
appropriate discipline for this conduct and
under these unique circumstances.
36. IT IS ORDERED that the license of
Attorney Alan D. Eisenberg to practice law
in Wisconsin is suspended for a period of
one year, effective April 6, 2004.
37. IT IS FURTHER ORDERED that within 60
days
of the date of this order Attorney Eisenberg
shall refund to B.S. the unearned retainer
of $2775.69.
38. IT IS FURTHER ORDERED that Attorney
Eisenberg comply with the provisions of SCR
22.26 concerning the duties of an attorney
whose license to practice law has been
suspended.
39. IT IS FURTHER ORDERED that within 60
days
of the date of this order Attorney Eisenberg
shall pay to the OLR the costs of this
proceeding.
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