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ATTORNEY disciplinary proceeding.
Attorney's license suspended.
¶1 PER CURIAM. We review a stipulation
pursuant to Supreme Court Rule (SCR) 22.12
between the Office of Lawyer Regulation (OLR)
and Attorney Diane R. Caspari. The
stipulation provides that Attorney Caspari
committed six counts of professional
misconduct arising out of four client
representations and requests that the court
impose a sixty-day suspension of Attorney
Caspari's license to practice law in this
state.
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¶2 After carefully reviewing this
matter, we accept the stipulation and impose
the requested discipline. Pursuant to the
stipulation and because Attorney Caspari has
already reimbursed the Office of the State
Public Defender (SPD) for fees she did not
earn, we do not order any restitution.
Because this matter has been resolved by a
stipulation under SCR 22.12 without the need
for the appointment of a referee, we also do
not impose any costs on Attorney Caspari.
¶3 Attorney Caspari was admitted to the
practice of law in Wisconsin in January
2004. She maintains a private law practice
in Milwaukee.
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¶4 Attorney Caspari has been the
subject of professional discipline on one
prior occasion. In 2015 she was privately
reprimanded for her misconduct in two client
representations. In the first matter,
Attorney Caspari failed to file a petition
for a writ of certiorari on behalf of an
incarcerated client within the statutory
time period, in violation of SCR 20:1.3.
She also failed to respond to that client's
multiple inquiries about the status of the
matter, in violation of SCR 20:1.4(a)(3) and
(a)(4). Further, she charged that client
legal fees for preparing the certiorari
petition even though she never filed it, and
she failed to refund those fees upon
termination of the representation, in
violation of SCRs 20:1.5(a) and 20:1.16(d).
In the second matter, Attorney Caspari again
violated SCR 20:1.4(a)(3) and (a)(4) by
failing to respond to the client's requests
for information about the status of his
matter.
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¶5 In the stipulation in the present
case, Attorney Caspari states that she fully
understands the allegations against her and
her right to contest those allegations. She
represents that she also understands her
right to consult with counsel and the
ramifications of the imposition of the
requested level of discipline. Finally she
affirms that her entry into the stipulation
is knowing and voluntary and that it was not
the product of negotiation for any reduction
in charges or requested level of discipline.
Attorney Caspari admits all of the
allegations of misconduct and assents to the
level of discipline requested by the OLR.
¶6 The first matter addressed in the
stipulation is Attorney Caspari's
representation of M.W. The SPD appointed
Attorney Caspari in July 2012 to represent
M.W. in postconviction proceedings. Over
the next nearly three years, Attorney
Caspari failed to advance M.W.'s case
through the postconviction proceedings into
an appeal of his conviction. She filed
multiple motions seeking extensions of time,
but then often failed to meet the new
deadline. She did not file a postconviction
motion for over a year. Even after she
filed the motion, she did not schedule a
hearing date with the circuit court for
another five months. In that intervening
time period, she failed to provide a status
report to the court of appeals as she was
ordered to do. After the circuit court
conducted the hearing and denied M.W.'s
postconviction motion, Attorney Caspari
failed to ensure that a written order was
submitted to the circuit court for
approximately nine months.
¶7 Once the order was finally
submitted, the court of appeals extended the
deadline for filing a notice of appeal.
Attorney Caspari, however, failed to file a
notice of appeal or a further extension
motion by the new deadline, causing M.W.'s
appeal rights to lapse. When the SPD
communicated with her about this matter, she
stated that she had developed a new theory
of the defense for appeal and that she was
now planning to file a second postconviction
motion and to request a further extension of
the deadline for filing an appeal so she
could pursue the second postconviction
motion. She still failed, however, to file
any second postconviction motion or to seek
a further extension of time from the court
of appeals.
¶8 In May 2015 the court of appeals
issued an order stating that it could
"discern no reason for inaction in this
matter" and referred the case to the SPD for
a response as to whether Attorney Caspari
should remain counsel for M.W. The SPD
filed a response that acknowledged that some
of the delay in M.W.'s case had been the
result of late transcripts and of needed
investigation, but also concluded that
Attorney Caspari had not acted with
diligence or competence and had not
communicated properly with M.W. The SPD
further stated that it would appoint new
counsel for M.W. Attorney Caspari also
filed a response admitting that her conduct
had "unreasonably and improperly held up
[M.W.'s] appeal." As a result of the
responses, the court of appeals discharged
Attorney Caspari from her representation of
M.W. and directed the SPD to appoint new
counsel.
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¶9 Attorney Caspari stipulates that her
conduct in failing to pursue postconviction
or appellate relief for M.W. in a timely
manner constitutes a violation of SCR
20:1.3.
¶10 The second matter stems from
Attorney Caspari's appointment to represent
M.W. in a criminal case pending against him
in the circuit court. After M.W. was found
guilty and sentenced, the SPD appointed
Attorney Diane Erickson in May 2014 to
represent M.W. in postconviction proceedings
and on appeal. Attorney Erickson made
several requests to Attorney Caspari for her
complete file on M.W.'s case. Eventually,
Attorney Caspari produced only some of the
materials requested by Attorney Erickson.
Various materials that should have been in
the file were missing, including various
items of discovery. Attorney Erickson was
forced to obtain some of these items from
the investigator who had worked on M.W.'s
case and to reconstruct other parts of the
discovery and case file from the files of
the police department and the district
attorney's office. The failure of Attorney
Caspari to provide a complete file and the
time and effort required to reconstruct the
file resulted in substantial delays to
M.W.'s postconviction proceedings and
appeal.
¶11 As a result of M.W.'s allegations
and the OLR's review of M.W.'s criminal case
file during its investigation, it became
evident that Attorney Caspari had billed the
SPD and had received payment for several
jail visits to M.W. that did not occur.
Attorney Caspari failed to correct her
invoices to the SPD and did not refund the
payments for those entries for years until
February 2016, just prior to the filing of
the OLR's complaint in this disciplinary
proceeding. In addition, Attorney Caspari
billed the SPD for a visit to M.W.'s mother
and brother. Attorney Caspari acknowledged,
however, that she merely went to the
mother's house, knocked on the door a couple
of times without receiving a response,
waited for a while, then placed her business
card in the door, and left.
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¶12 In the stipulation, Attorney Caspari
agrees that her failure to deliver her case
file for M.W. to successor counsel
constituted a violation of SCR 20:1.16(d).
She also agrees that her submission of
invoices containing charges for tasks that
she did not actually perform and her failure
to correct her invoices or refund those fees
for years constituted a violation of SCR
20:8.4(c).
¶13 Count 4 of the stipulation relates
to Attorney Caspari's appointment in 2014 to
represent I.W. in a criminal case in the
Racine County circuit court. On the day
that I.W.'s trial was to start, the circuit
court judge asked Attorney Caspari and the
prosecutor whether there had been a
negotiated resolution to the charges against
I.W. Attorney Caspari responded that there
was no negotiated resolution and asked for
an adjournment of the trial "due to the fact
that we have a material witness, an
important witness for our case, unknown to
me left the state on Friday." The judge
asked Attorney Caspari whether the witness
had been under subpoena, and Attorney
Caspari responded, "Yes." The witness
referenced by Attorney Caspari was I.W.'s
mother, who had not been subpoenaed.
Moreover, as evidenced by a subsequent email
she sent to an SPD director, Attorney
Caspari had known prior to the trial date
that I.W.'s mother had intended to leave the
state. Thus, her statements to the circuit
court had been false.
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¶14 In Count 4 of the stipulation,
Attorney Caspari admits that her false
statements to the circuit court, which she
failed to correct, violated SCR 20:3.3(a)
(1).
¶15 The final matter addressed in the
stipulation is Attorney Caspari's
representation of A.H. in postconviction
proceedings. Attorney Caspari was appointed
to serve as A.H.'s postconviction counsel in
January 2013. When an SPD representative
subsequently spoke with Attorney Caspari
about the status of A.H.'s case, she
confirmed that she had received the final
transcript in the case on April 13, 2013,
which established a deadline of June 11,
2013, for Attorney Caspari to file either a
postconviction motion or a notice of appeal
on A.H.'s behalf. Attorney Caspari,
however, failed to file either a
postconviction motion or a notice of appeal.
She also did not file a motion for an
extension of the deadline, thereby allowing
A.H.'s appeal rights to lapse. Attorney
Caspari did not inform A.H. that she had
failed to meet the deadline. Ultimately,
the SPD appointed another attorney as
successor counsel for A.H. and successfully
moved the court of appeals to extend the
deadline for A.H. to file a postconviction
motion, thereby reinstating his appeal
rights.
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¶16 Attorney Caspari stipulates that her
failure to pursue postconviction or appellate
relief on A.H.'s behalf in a timely manner
constituted a lack of diligence, in violation
of SCR 20:1.3. She also stipulates that her
failure to inform A.H. that she had allowed
his postconviction and appellate rights to
lapse constituted a violation of SCR 20:1.4(a)
(3).
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¶17 The stipulation requests that the
court suspend Attorney Caspari's license to
practice law in Wisconsin for a period of 60
days, which is the level of discipline
initially sought by the OLR. In its
memorandum in support of the stipulation,
the OLR points to two prior decisions in
which this court imposed 60-day suspensions
for analogous conduct. In re Disciplinary
Proceedings Against Callahan, 2016 WI 8,
366 Wis. 2d 503, 874 N.W.2d 98 (imposing 60-
day suspension for professional misconduct
that included failing to perform necessary
work, advancing a settlement offer not
authorized by client, misrepresenting
settlement authority, and failing to keep
client informed of status of her matter);
In re Disciplinary Proceedings Against
Fitzgerald, 2008 WI 101, 314 Wis. 2d 7,
752 N.W.2d 879 (accepting stipulation for
60-day suspension for misconduct that
included appearing in court on behalf of
clients during license suspension, billing
the SPD for court appearances during license
suspension, misleading a county clerk about
the status of her license, and failing to
cooperate with the OLR's investigation).
The OLR further notes that there are both
aggravating and mitigating factors here.
The aggravating factors include the fact
that Attorney Caspari has been privately
reprimanded on a previous occasion, some
evidence of a dishonest motive, multiple
offenses, and two patterns of misconduct.
On the mitigating side of the ledger are the
fact that the overcharge to the SPD was a
small amount and was ultimately repaid,
Attorney Caspari's cooperation with the
OLR's investigation, and her prompt entry
into a comprehensive stipulation that admits
her misconduct and resolves this
disciplinary proceeding. Thus, the OLR
believes that a 60-day suspension,
consistent with Callahan and
Fitzgerald, would be an appropriate
level of discipline in this matter.
¶18 After carefully reviewing this
matter, we accept the stipulation and impose
the requested 60-day suspension. In light
of the fact that Attorney Caspari has
recently refunded the overcharges to the
SPD, we do not impose any restitution
obligation. Finally, given the filing of a
stipulation at the outset of this proceeding
that avoided litigation costs and the need
to appoint a referee, we do not impose any
costs on Attorney Caspari.
¶19 IT IS ORDERED that the license of
Diane R. Caspari to practice law in
Wisconsin is suspended for a period of 60
days, effective August 8, 2016.
¶20 IT IS FURTHER ORDERED that Diane R.
Caspari shall comply with the provisions of
SCR 22.26 concerning the duties of a person
whose license to practice law in Wisconsin
has been suspended.
¶21 IT IS FURTHER ORDERED that
compliance with all conditions of this order
is required for reinstatement. See SCR
22.28(2).
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