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The Respondent, Barbara A. Cadwell, 52,
practices in White Lake, Wisconsin. This
reprimand is based on the following conduct.
Respondent was appointed by State Public
Defender (SPD) as appellate counsel for two
different clients and the facts pertaining
to each client are set forth separately.
Client #1 (L)
Respondent was appointed by the SPD as L’s
appellate counsel on February 28, 2003. On
June 19, 2003 L sent a letter to the SPD
informing them that he had not heard from
Respondent, despite having sent Respondent
two letters and having tried to call her.
By letter dated June 24, 2003, the
Attorney
Manager (Manager) for the Appellate
Division of the SPD asked Respondent to
respond to L’s June 19, 2003 letter and
send a copy of her response to the SPD.
The Manager received no response from
Respondent.
The Manager contacted Respondent by
phone
on August 7, 2003 and Respondent said she
would send him a letter regarding the
status of L’s matter. In a letter received
by the Manager on August 20, 2003,
Respondent stated that she had made an
appointment to meet with L prior to
receiving the Manager’s June 24, 2003
letter, that she had met with L, and that
she was in the process of preparing a no
merit report.
On September 15, 2003 the SPD received
another letter from L stating that
Respondent had not responded to three of
his letters and that he was very worried
about his appeal or post-conviction
relief. L’s September 15, 2003 letter
enclosed a copy of a letter he had sent to
Respondent outlining the reasons he
believed he had a viable ineffective
assistance of counsel claim.
After the Manager requested that
she respond to L’s September 15, 2003
letter, Respondent informed L, by letter
dated September 17, 2003, that she was in
the process of preparing a no merit report
and explained why she believed there were
no issues of arguable merit. Respondent’s
letter concluded with a statement that when
her no merit report was completed, L would
receive a copy of it and the court file,
but Respondent did not explain the effect
of a no merit report or that L would have
an opportunity to respond to it.
Subsequently, the Manager received
a copy of a September 22, 2003 letter from
L to Respondent, in which L stated that he
wished to proceed pro se and asked for his
file and the transcripts in his case.
In a September 26, 2003 letter to
L, the Manager explained that if a no merit
report were filed, L would have an
opportunity to respond to it. The letter
further explained that L had the option of
discharging Respondent and proceeding pro
se, but then no other attorney would be
appointed by the SPD to represent him.
In a letter to Respondent dated
September 29, 2003, L stated:
i (sic) have read the letter that (the
Manager) has sent me and i have decided i
do want to go forward with the no merit-
report please and i am sorry for any
distruptions (sic) i may have caused, i was
not on my medication that day and was not
thinking clearly. so yes please i would
like to proceed with the no merit report.
please respond soon.
The deadline for filing the no
merit report with the Court of Appeals
(Court) was December 2, 2003.
On October 15, 2003, two weeks
after L told her he wanted her to file a no
merit report, Respondent closed her SPD
file for L on SPD’s online website. By
letter dated October 17, 2003, Respondent
informed the circuit court clerk that L
wished to proceed pro se. By letter dated
October 20, 2003, three weeks after L’s
September 29, 2003 letter stating that he
wished to have Respondent file a no merit
report, Respondent transmitted the
transcripts and court file to L.
After receiving copies of
Respondent’s October 17 and 20, 2003
letters, the Manager wrote to Respondent on
November 4, 2003 asking her if she had
received L’s September 29, 2003 letter, and
enclosing a copy of it. The Manager’s
letter asked for a response stating whether
L had changed his mind again after his
September 29, 2003 letter. The Manager
received no response from Respondent to his
November 4, 2003 letter.
On November 13, 2003 the Manager
received a letter from L stating that he
had not heard from Respondent since he sent
her his September 29, 2003 letter, except
to receive the transcripts. L asked the
Manager, “…should i (sic) send these
transcripts back to Respondent so she can
proceed with my no merit report?”
By letter dated November 25, 2003
and enclosing a copy of L’s November 13,
2003 letter, the Manager asked Respondent
to respond immediately to L and to him,
explaining how she intended to fulfill her
responsibilities to L since he clearly
wanted her to file a no merit report and
did not want her to withdraw.
In a December 1, 2003 letter to L,
Respondent stated that she understood L now
wanted her to file a no merit report and
asked that L return the case materials to
her.
In a February 19, 2004 letter, L
told the Manager that he was still waiting
to hear from Respondent and that he needed
to know when the no merit report was due so
he could gain access to the prison law
library to prepare his response. The
Manager forwarded L’s letter to Respondent
on February 23, 2004 and asked her to
inform L when the report was due.
L wrote letters to Respondent on
February 25, 2004 and March 12, 2004 asking
for information about when the no merit
report was due. Respondent did not respond
to the Manager’s February 23, 2004 letter
or to L’s two letters.
The Manager sent an April 13, 2004
letter to Respondent enclosing L’s letters
and asking that she immediately inform L
and the SPD of when she intended to file
the no merit report. The Manager received
no response from Respondent.
On April 19, 2004, over four months
after the December 2, 2003 deadline for
filing the no merit report, Respondent
filed with the Court a motion to extend the
time for filing the report. In her
affidavit in support of the motion,
Respondent stated that L advised her that
he wanted the court file and transcripts
and wanted her to close her file on his
case. She stated that she then closed her
file and sent L the documents pursuant to
his request. Respondent’s affidavit
further attested that:
L subsequently advised me that he
had
changed his mind and did in fact wish for
me to file a no merit report, however, L
did not return the court file and
transcripts to me until after the due date
of the no merit report, making it
impossible for me to prepare a no merit
report on a timely basis.
(Emphasis added)
On May 6, 2004, the Court denied
Respondent’s motion, stating, “The
defendant’s change of heart at this late
date does not constitute good cause for
granting the motion.”
In a May 18, 2004 telephone
conversation , L told the Manager that he
had not heard from Respondent and did not
know about the May 6, 2004 Court order.
On May 20, 2004, the Manager filed
a motion with the Court to extend the time
for filing a post-conviction motion or a
notice of appeal on behalf of L. The
Manager’s motion stated Respondent’s
affidavit misrepresented the true sequence
of events, and argued that the true facts
did not support a conclusion that L had
a “change of heart at this late date.” The
Manager pointed out that it was not L’s
fault that Respondent did not receive the
transcripts from L until after the December
2, 2003 due date because Respondent had not
requested them from him until December 1,
2003, despite the fact that L had asked her
to file a no merit report two months
previously.
The Court subsequently reversed its
May 6, 2004 order, granted the Manager’s
motion for an extension, and the SPD
appointed successor counsel.
With respect to the timing of the
sequence of events, Respondent stated, in
her initial response to the grievance, that
while L first said he wanted her to file a
no merit report,
He then changed his mind and indicated
that
he wished to proceed pro se. I provided
him with the court file and transcripts.
He then changed his mind and requested a no
merit report. I indicated that I would
have to have the court file and transcripts
back if I were to prepare a no merit
report. He sent me the transcripts back,
but did not send back the court file. At
that point I believe I hoped that he did
not want me to proceed any further. I did
not receive the court file until December
8, 2004, after the due date for the no
merit report.
OLR then asked Respondent to file a
supplemental response addressing the
Manager’s allegation that she sent L his
file three weeks after he had recanted his
intention to proceed pro se and asked her
to file a no merit report. Additionally,
OLR asked Respondent to address the issue
of whether the statement in her affidavit
to the Court that L changed his mind and
asked her to file a no merit report
subsequent to the time she provided him
with the court file and transcripts was a
misrepresentation.
In response to OLR’s request for a
supplemental response, Respondent stated
that L “changed his mind several times
regarding whether or not he wanted a no
merit report.” Respondent further stated,
My statement to the Court of Appeals
that I
sent him his transcripts and court files
during one of the periods he indicated he
wished to proceed pro se was not a
misrepresentation.
Client #2 (S)_
Respondent was appointed by the SPD
as S’s appellate counsel on December 4,
2002. S wrote a May 23, 2003 letter to the
SPD complaining that he had written several
letters to Respondent which had gone
unanswered and that Respondent had failed
to show up for two scheduled visits with
him without explanation or notification.
By letter dated May 30, 2003, the Manager
asked Respondent to respond to S’s letter
within ten days and send a copy of her
response to the SPD. The Manager received
no response from Respondent.
By letter dated June 28, 2003, S told
the
SPD that Respondent had met with him but he
didn’t think she was prepared and she gave
him no information regarding the grounds
for his appeal. Respondent and S agree
that at their meeting in June 2003,
Respondent said she would again review the
transcripts and the discovery for possible
issues of arguable merit. S states that
Respondent told him “we would be speaking
in the future after she had the opportunity
to review discovery.” In her response to
OLR, Respondent stated that although she
did not believe there were any issues of
arguable merit, “I advised S that I would
review the transcripts and discovery and
the motions filed by his co-defendant
before I made a final decision.”
After receipt of S’s June 28, 2003
letter, the Manager wrote to S on July 3,
2003 and explained S’s various options,
including that if a no merit report were
filed, S would have an opportunity to
respond to it. The letter further
explained that L could discharge Respondent
and proceed pro se, but then no other
attorney would be appointed by the SPD to
represent him. By copy of the letter to
Respondent, the Manager asked that she
respond to S’s letters so that the Manager
could determine “whether further action is
needed by our office.” The Manager
received no response from Respondent.
The Manager contacted Respondent by
phone on August 7, 2003, and Respondent
said she would send the Manager a letter
regarding the status of S’s matter. In a
letter received by the Manager on August
20, 2003, Respondent stated that she was in
the process of preparing a no merit
report. Respondent did not send a copy of
this letter to S.
By order dated September 11, 2003,
the Court granted a motion made by
Respondent to extend the time for filing
the no merit report to November 1, 2003.
In a letter to Respondent dated
October 8, 2003, S complained that
Respondent never responded to any of his
letters, and stated that he wanted to know
what was going on with his case and “what
direction you plan on taling (sic) it.” On
October 24, 2003, S wrote the SPD that he
only found out that Respondent was planning
to file a no merit report when he called
her on October 22, 2003. S said Respondent
told him that it “was not necessary for her
to notify me” of her intention to file a no
merit report.
By letter dated November 3, 2003,
the Manager asked Respondent to respond
with specificity to S’s complaints,
including S’s assertions that she never
responded to his letters, that she did not
speak with S after her initial contact with
him, and that she failed to inform S of her
intent to file a no merit report until
October 22, 2003, and failed to consult
with him about her decision to do so. The
Manager also asked Respondent for a copy of
the no merit report, which he assumed she
had filed since it had been due on November
1, 2003. Respondent did not respond to the
Manager’s November 3, 2003 letter.
In an order dated November 6, 2003,
the Court noted that the time for filing a
no merit report had elapsed and that the
Court had received two letters from S. The
Court ordered Respondent to respond
regarding the status of the matter.
In response to the Court’s November
6, 2003 order, Respondent stated that in an
October 22, 2003 telephone conversation, S
said he did not want her to file a no merit
report and asked her to send him the court
file and transcripts, which she did that
day. Respondent said S called her the next
day to say he did want her to file the no
merit report after all, but she told him
she could not because she had already sent
him the case-related documents.
In a November 12, 2003 letter to
the Manager, Respondent said that she
believed S had terminated her services, and
stated that she had advised S of upcoming
deadlines and told S that he should request
an extension from the Court. Respondent
did not send a copy of her November 12,
2003 letter to S, nor did she offer to
assist S in securing an extension.
The Court issued a November 18,
2003 order stating that, while Respondent
believed S had terminated her services, S,
according to letters he sent the Court, did
not. The Court ordered Respondent to
either file a motion to withdraw with the
trial court or file a letter with the Court
stating that she would represent S in a no
merit report.
On November 24, 2003, Respondent
filed a motion with the trial court to
withdraw as S’s attorney. The motion
stated that S “initially indicated that he
wished for me to file a no merit report,”
but then told her on October 22, 2003 that
he did not want her to do so and asked her
for his documents. The motion further
stated that on October 23, 2003, S again
called her and said he did want the no
merit report after all, but Respondent
advised the trial court that S had already
terminated her representation and stated
that the Court of Appeals had “directed
that I file a motion to withdraw in this
court.”
In a December 2, 2003 letter
response to Respondent’s motion to
withdraw, the Manager told the circuit
court he did not believe S had waived his
right to counsel, and argued that because
Respondent was still the attorney of record
she should not have allowed the Court of
Appeals deadline to expire. Additionally,
the Manager pointed out that the facts did
not support Respondent’s statement that S
had initially asked her to file a no merit
report, and that her statement that the
Court of Appeals had “directed” her to file
a motion to withdraw was not accurate
because the Court had order her to either
continue representing S or file a motion to
withdraw. The trial court issued an order
denying Respondent’s request to withdraw.
Respondent obtained two additional
extensions from the Court for filing the no
merit report, with the second deadline
being April 15, 2004. However, on February
26, 2004, Respondent filed with the circuit
court another motion to withdraw, stating
that S had recently asked her to again
cease work on the no merit report. After
first summarily granting Respondent’s
request, the circuit court vacated its
order when it realized neither S nor the
SPD had been given an opportunity to
respond. After receiving their input, the
court ultimately entered an order on May
17, 2004 permitting Respondent to withdraw
because her relationship with S “has
deteriorated to the point that it
materially impairs S’s representation,” but
not because S had waived his right to
counsel. The Court subsequently granted
the Manager’s motion for an extension and
the SPD appointed successor counsel.
Applicable Disciplinary Law
L’s matter:
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By informing L that she was in the process
of preparing a no merit report without
first consulting with L about that
decision, Respondent violated SCR 20:1.2
(a), which states, in part,
A lawyer shall abide by a client’s
decisions concerning the objectives of
representation …and shall consult with the
client as to the means by which they are to
be pursued.
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By failing to timely file either a no merit
report or a request for an extension in L’s
matter, and by failing to respond to
numerous requests from the Manager about
the status of the matter, Respondent
violated SCR 20:1.3, which requires a
lawyer to act with reasonable diligence and
promptness in representing a client.
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By failing to respond to numerous requests
for information from L, including several
letters, and by failing to notify L of the
Court’s May 6, 2004 order denying an
extension, Respondent violated SCR 20:1.4
(a), which states, “A lawyer shall keep a
client reasonably informed about the status
of a matter and promptly comply with
reasonable requests for information.”
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By failing to explain to L the effect of a
no merit report and that he would have an
opportunity to respond to it, Respondent
violated SCR 20:1.4(b), which states, “A
lawyer shall explain a matter to the extent
reasonably necessary to permit the client
to make informed decisions regarding the
representation.”
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By misrepresenting in her affidavit to the
Court that L changed his mind and asked her
to file a no merit report after she had
already provided him with the court file
and transcripts, and further, by
misrepresenting that L’s failure to return
the documents until after the due date for
the report was the cause of her failure to
file the report on a timely basis,
Respondent violated
SCR 20:3.3(a)(1), which states, “A lawyer
shall not knowingly make a false statement
of fact or law to a tribunal.”
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By stating in her responses to OLR that L
changed his mind and asked her to file a no
merit report subsequent to the time she
provided him with the court file and
transcripts, by stating that L changed his
mind several times, and by stating that her
statement to the Court was not a
misrepresentation, Respondent violated SCR
22.03(6), which provides, in part, that in
the course of an investigation a
respondent’s misrepresentation in a
disclosure is misconduct.
S’s matter
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Respondent violated SCR 20:1.3 by failing
to respond to numerous requests from the
Manager about the status of S’s matter and
by failing to timely file either a no merit
report or a request for an extension in S’s
matter.
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Respondent violated SCR 20:1.4(a) by
failing to respond to numerous requests for
information from S, including several
letters.
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Respondent violated SCR 20:1.2(a) by
failing to inform S of her intent to file a
no merit report until October 22, 2003,
just ten days before the report was due,
and by failing to consult with S about that
decision.
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By stating to S on October 23, 2003 that
her services had been terminated and she
would not file a no merit report for him,
and further, by telling S that the report
was due on November 1, 2003 and placing the
responsibility for seeking an extension on
S, and by allowing the November 1, 2003
deadline to expire without seeking an
extension for S, Respondent violated SCR
20:1.16(d), which states, in part,
Upon termination of representation, a
lawyer shall take steps to the extent
reasonably practicable to protect a
client’s interests, such as giving
reasonable notice to the client, allowing
time for employment of other counsel,
surrendering papers and property to which
the client is entitled and refunding any
advance payment of fee that has not been
earned…
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By stating in her November 24, 2003
withdrawal motion in the trial court that S
had initially asked her to file a no merit
report, and by further stating in that
motion that the Court of Appeals had
directed her to file a motion to withdraw
with the trial court, Respondent violated
SCR 20:3.3(a)(1).
Respondent has no prior discipline.
In accordance with SCR 22.09(3), Attorney
Barbara A. Cadwell is hereby publicly
reprimanded.
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