REGULATION OF THE LEGAL PROFESSION IN WISCONSIN FISCAL YEAR 2012-2013 Report of the Lawyer Regulation System Keith L. Sellen, Director Office of Lawyer Regulation Attorney Rod Rogahn, Chairperson Board of Administrative Oversight 110 East Main Street, Suite 315,, WI 53703 (608) 267-7274 www.wicourts.gov/olr
ANNUAL REPORT FISCAL YEAR 2012-2013 Introduction Pursuant to Supreme Court Rule (SCR) 21.03(6)(n) and 21.10(2)(e), the Office of Lawyer Regulation and Board of Administrative Oversight are filing this fiscal year 2012-2013 report on the lawyer regulation system. Composition of the Lawyer Regulation System The lawyer regulation system is established to carry out the Supreme Court s constitutional responsibility to supervise the practice of law and protect the public from misconduct by persons practicing law in Wisconsin. SCR Chapter 21, Preamble. The composition and organization of the lawyer regulation system is depicted in Appendix 1. The persons currently serving in these organizations are identified in Appendix 2. Following is a description of the components. Supreme Court The Supreme Court supervises the lawyer regulation system, determines attorney misconduct and medical incapacity, and imposes discipline or directs other appropriate action in proceedings filed with the Court. Office of Lawyer Regulation The Office of Lawyer Regulation (OLR) consists of the Director, investigative and support staff, litigation counsel, and retained counsel. The office has the following duties. To receive and to respond to inquiries and grievances relating to attorneys. To investigate allegations of attorney misconduct or medical incapacity. To divert matters into an alternative to discipline program. To prosecute misconduct or medical incapacity proceedings. To investigate license reinstatement petitions. District Committees District Committees exist in each of the sixteen state bar districts, and consist of lawyers and public members appointed by the Supreme Court. District Committees perform the following duties under the supervision of the Director. To educate the bar and the public about the legal profession and ethical practice of law. To refer to the Director possible misconduct or medical incapacity matters. To assist in the investigation of possible misconduct or medical incapacity. To recommend to the Director the appropriate disposition of matters it investigated. To monitor an attorney s participation in an alternatives to discipline program or an attorney s compliance with conditions on practice. To assist in resolving minor disputes between an attorney and a client. 1
Preliminary Review Committee The Preliminary Review Committee consists of fourteen members, nine lawyers and five public members appointed by the Court. The Committee is comprised of two seven-member panels, each having at least four lawyers and at least two public members. The panels have the following duties. To review the results of OLR and District Committee investigations and to determine whether there is cause to proceed in the matter. To review, upon request by a grievant, decisions by the Director to dismiss a grievance after investigation. To confer with the Board of Administrative Oversight and to suggest improvements in the operation of the Committee and its panels. Board of Administrative Oversight The Board of Administrative Oversight consists of twelve members, eight lawyers and four public members appointed by the Court. The Board has the following duties. To monitor the fairness, productivity, effectiveness, and efficiency of the system. To monitor the implementation of new procedures. To assess public and bar perceptions of the integrity of the system. To report its findings to the Supreme Court. To review the operation of the system with the Court, and to file an annual report. To propose substantive and procedural rules. To inform and educate the public and bar about the system. To propose an annual budget. Special Investigative Panel The Special Investigative Panel is composed of lawyers appointed by the Supreme Court who are not currently participating in the lawyer regulation system. The Director refers allegations of misconduct against attorneys currently participating in the system to a special investigator. In a referred matter, the special investigator performs the functions that the Director would normally perform, which may include evaluating, investigating, dismissing, diverting, or prosecuting the matter. Special Preliminary Review Panel The Special Preliminary Review Panel is composed of four lawyers and three public members appointed by the Supreme Court. In matters involving allegations against current participants in the lawyer regulation system, the panel reviews the special investigator s decision to close a matter without investigation or dismiss a matter after investigation, and reviews an investigative report to determine whether there is cause to proceed. 2
Referees Referees are attorneys or reserve judges appointed by the Supreme Court to perform the following duties. To conduct hearings in proceedings alleging misconduct or medical incapacity. To conduct hearings on petitions for license reinstatement. To review consensual public or private reprimands submitted by the Director. Overview of the Lawyer Regulation System The Wisconsin Supreme Court created the lawyer regulation system to carry out the Court s constitutional responsibility to supervise the practice of law and protect the public from misconduct by persons practicing law in Wisconsin. The Court has adopted standards of professional conduct for attorneys. The Court confers the privilege to practice law on an attorney conditioned on his or her compliance with those standards. SCR 21.15(2). A failure to comply with the Court s standards may constitute misconduct or may be evidence of a medical problem. The Director of the Office of Lawyer Regulation (OLR) is required to investigate any possible misconduct or medical incapacity of an attorney licensed to practice in the State of Wisconsin. SCR 21.03(6)(a). Communications with OLR alleging lawyer misconduct are privileged, and no lawsuit predicated on those communications may be instituted against any grievant or witness. SCR 21.19. Attorneys and grievants may consult with and be represented by counsel at any stage of an investigation. Prior to the filing of a formal complaint or petition, all papers, files, transcripts and communications in an OLR investigation must be kept confidential by OLR. SCR 22.40(1). OLR may, however, provide relevant information to the respondent and the grievant. SCR 22.40(2). Although the Supreme Court Rules provide no sanction for disclosure of a grievance by the respondent or the grievant, OLR requests that those involved in an OLR investigation keep confidential all documents generated by the investigation. Initially, OLR staff screens all inquiries and grievances concerning attorney conduct. If the allegations made are not within OLR s jurisdiction, or if the allegations are not supported by a sufficient factual basis, staff will close the file. The grievant may make a written request for the Director s review of the closure. The Director s decision is final. After preliminary evaluation, staff may also forward the matter to another agency; attempt to reconcile the matter between the grievant and attorney if it is a minor dispute; or refer the matter to the Director for diversion or investigation. Before or after investigation, the Director may divert the matter to an alternative to discipline program, providing that nothing more than minor misconduct is involved, the respondent agrees, and the respondent is eligible to participate. Alternatives to discipline are usually educational programs or monitoring arrangements designed to assist an attorney in improving the quality of his or her practice. If the grievance sets forth sufficient information to support an allegation of misconduct or medical incapacity, OLR initiates an investigation. OLR sends a letter to the respondent enclosing the grievance and requesting a response within 20 days. In most instances, OLR will forward the attorney s response to the grievant for comments. Although OLR staff investigates most matters, OLR refers many matters for investigation by district committee. The committee chairperson can assign the matter to one of the committee s 3
investigators. Pursuant to SCR 22.04(2), the respondent may request a substitution of a district committee investigator within 14 days of receiving notice of the assignment of the investigator. The respondent shall be granted one such substitution as a matter of right, and any other requests for substitution shall be granted by the committee chairperson for good cause shown. If the committee decides to take sworn testimony regarding a grievance at an investigative meeting, the respondent and the grievant will receive timely notice of the meeting. Committee members elicit pertinent information from witnesses at such a meeting. In any matter referred to committee, the committee will prepare a report summarizing the facts and potential disciplinary violations. That report will be sent to the respondent and grievant for comment. After the investigation is completed, the Director may dismiss the matter for lack of sufficient evidence of cause to proceed, divert the matter to an alternatives to discipline program, obtain respondent s consent to a private or public reprimand, or present the matter to the Preliminary Review Committee for a determination of whether there is cause to proceed. In those cases in which the Director dismisses, the grievant has 30 days after receiving written notice of the dismissal to make a written request for review of the decision by the Preliminary Review Committee. The decision of the Preliminary Review Committee is final. If the Preliminary Review Committee determines that the Director has established cause to proceed, the Director may file a complaint with the Supreme Court alleging misconduct. OLR, rather than the grievant, is the complainant in such a matter. If the Director files a complaint, an answer is required within 20 days of service of the complaint. Upon proof of service, the Supreme Court appoints a referee to hear the matter pursuant to SCR 22.13(3). The referee holds a scheduling conference to define the issues and to determine the extent of discovery. The referee then presides at a public hearing which is conducted as a trial of a civil action to the court. SCR 22.16. OLR must prove misconduct or medical incapacity by clear, satisfactory and convincing evidence. SCR 22.38. Within 30 days after the conclusion of the hearing, the referee will submit his or her report to the Supreme Court, including findings of fact, conclusions of law, and a recommendation of dismissal or imposition of discipline. OLR or a respondent may file an appeal of the referee's report within 20 days after the report is filed. If no appeal is timely filed, the Supreme Court reviews the referee's report and determines appropriate discipline in cases of misconduct and appropriate action in cases of medical incapacity. The Supreme Court's final dispositions of disciplinary and medical incapacity proceedings are published in the Wisconsin Reports and in The Wisconsin Lawyer. The Year in Review Significant Lawyer Regulation System Developments The caseload decreased this year despite budget constraints because fewer grievances were filed than last year. At the end of the fiscal year, there were a total of 1086 matters (including 514 formal investigations), down from 1170 (including 589 formal investigations) at the end of last year. Processing times increased. The average processing time for intake matters increased from 58 days last year to 63 this year. The average processing time for formal investigations decreased from 414 days last year to 382 this year. Overall average processing time increased 4
from 142 days last year to 157 days this year. The percentage of matters completed within 90 days decreased from 70% last year to 67% this year. The percentage of matters completed within 180 days decreased from 85% last year to 84% this year. There was an increase in the number of older matters during the past year. The number of matters over a year old increased from 414 last year to 445 this year. This increase will likely affect processing times next year. The Supreme Court met with the Board of Administrative Oversight, the Preliminary Review Committee, Special Investigators, and the Special Preliminary Review Panel on April 9, 2013, to discuss current developments in the lawyer regulation system. The Preliminary Review Committee elected Attorney Edward Hannan of Brookfield chairperson and Attorney Robert Asti of Cedarburg vice chairperson. The Committee met to consider matters on September 14, 2012, December 14, 2012, March 8, 2013 and June 14, 2013. The Committee considered whether cause to proceed existed in 163 matters, and reviewed the Director s dismissals in 27 matters. The Board and Office of Lawyer Regulation appreciate the Committee s exceptional service this past year. Committee meetings will continue quarterly. The Board of Administrative Oversight elected Attorney Rod Rogahn of Waukesha chairperson and Attorney Mark A. Peterson of vice chairperson. The Board held meetings on September 7, 2012, December 7, 2012, March 8, 2013 and June 7, 2013. The Board made recommendations concerning the budget and presented several petitions to the court designed to improve the fairness, effectiveness and timeliness of the processing of grievances. Information about these petitions is available on the Supreme Court s website: www.wicourts.gov. In addition, the Board received and reviewed the report of the study committee appointed to review the grievance process. The Board is considering proposals recommended by the study committee. The District Committees continue to make a valuable contribution to the system, and are instrumental in resolving matters requiring a depth and breadth of legal and other professional expertise. While the committee s work involves a significant commitment of time and talent, the results are beneficial and worthwhile. Special Investigators and the Special Preliminary Review Panel process matters involving allegations against attorneys who serve with the regular components of the regulation system. During fiscal year 2012-2013, special investigators received 38 matters and resolved 25 matters. The Special Preliminary Review Panel met on September 7, 2012, December 7, 2012, March 1, 2013 and May 23, 2013. The Panel considered 0 matters for cause and 13 matters on review. The alternative to discipline program provides an effective way to improve an attorney s ability to practice in accordance with high professional standards. Frequently, this is a more effective measure than professional discipline. The Court has authorized diversion to an alternative program in situations where the program will likely benefit the attorney, and where the attorney will not likely harm the public. Alternative programs may include mediation, fee arbitration, law office management assistance, evaluation and treatment for alcohol and other substance abuse, psychological evaluation and treatment, medical evaluation and treatment, monitoring of practice or trust account procedures, continuing legal education, ethics school, and 5
the multi-state professional responsibility examination. During the fiscal year, 200 attorneys were diverted to alternative programs and 218 attorneys completed diversions. The central intake program provides for the receipt of inquiries and grievances concerning attorney conduct, and for the preliminary evaluation of grievances prior to any formal investigation. Inquiries and grievances may be received by telephone; callers may use a toll free number to contact the Office of Lawyer Regulation. After the preliminary evaluation, the Central Intake staff may forward the matter to another appropriate agency, attempt to reconcile the matter if it is a minor dispute, close the matter if it does not present sufficient information to support an ethical allegation, or refer the matter for investigation or diversion to an alternative to discipline. Central Intake received 2,324 inquiries and grievances. This is 353 less than the prior year. Of the matters evaluated in Central Intake this past year, approximately seventeen (17%) were forwarded for formal investigation. Twelve percent (12%) involved the resolution of minor disputes or grievances that were withdrawn. Twelve (12%) involved diversion programs. The remaining fifty-nine percent (59%) were closed for lack of sufficient information to suggest an allegation of potential ethical misconduct. 6
Trust Account Program (formerly, Overdraft Notification Program) The Trust Account Program is responsible for the administration of Wisconsin s overdraft notification rule, SCR 20:1.15(h), which requires attorneys to authorize their financial institutions to notify the Office of Lawyer Regulation of overdrafts on their trust accounts and fiduciary accounts. In addition, the Trust Account Program provides education and resources for lawyers and financial institutions regarding trust account regulations and the management of trust and fiduciary accounts. During Fiscal Year 2013, 101 overdrafts were reported to the OLR, and overdraft notifications resulted in the following dispositions: Revocation 1 1 30 Month Suspension 2 1 Public Reprimand 3 1 Closed pending Reinstatement Petition 2 Diversion 13 T Dismissal after Diversion Program Successfully Completed 7 Dismissal after Investigation 26 Dismissal after Investigation/Advisory Letter 30 Closed without Investigation Bank Errors 19 Closed without Investigation Bank Errors/Advisory Letter 14 Closed without Investigation Real Estate (R.E.) Exception 1 Closed without Investigation R.E. Exception/ Advisory Letter 1 Closed without Investigation Collection Account Exception 4 Overdraft investigations occasionally lead to the discovery of record-keeping deficiencies and other concerns that do not warrant the imposition of discipline. In such situations, an advisory letter is sent to the lawyer or law firm, explaining the concerns and providing information and guidance on the requirements of SCR 20:1.15. During Fiscal 2013, OLR sent 44 advisory letters, which included guidance on one or more of the following issues and record keeping requirements: Availability of Funds for Disbursement 5 Check/Signatory and Endorsement Issues 9 Maintenance Account (to cover bank charges) 16 Monthly Reconciliation Deficiencies 2 Software and Internet Transactions 4 Transaction Register/Client Ledger Deficiencies 17 Other 2 1 This disposition was based upon multiple trust account violations, stemming, in part, from an overdraft investigation. 2 This disposition was based upon multiple counts of misconduct, including a failure to cooperate with an overdraft investigation. 3 This disposition was based, in part, upon violations discovered in an overdraft investigation. 7
Mary Hoeft Smith, OLR s Trust Account Program Administrator and Travis Stieren, OLR s Overdraft Investigator, presented ½-day seminars on trust account management on September 28, 2012, and April 26, 2013. Attorneys Edward Hannan (Brookfield) and Mark A. Peterson () assisted OLR at these seminars by providing a practitioner s perspective on the recordkeeping requirements. These seminars are open to lawyers and law office staff members, and are required in connection with trust account diversions. Trust account management was also one of the topics covered at: UW-Law School October 17, 2012 WACHA Convention (WI Automated Clearing House Ass n) April 8, 2013; WALA Meeting (WI Ass n of Legal Administrators) May 15, 2013 Finally, OLR began work last year on modifications to the trust account rule that will enable lawyers to utilize electronic banking in connection with their trust accounts. Safeguarding funds and assuring auditable electronic records maintained by both the financial institution and the lawyer are of primary concern. A Committee on E-Banking was established for this endeavor, consisting of representatives of the banking industry, the State Bar, the Wisconsin Association of Law Firm Administrators, the Wisconsin Trust Account Foundation, lawyers from various practice areas, the Board of Administrative Oversight, the Preliminary Review Committee and the Office of Lawyer Regulation. The Committee met on June 19, 2012; November 1, 2012; January 24, 2013; March 13, 2013; and May 7, 2013. The informationgathering stage is nearly complete and the drafting phase should begin early in FY 2014. The members of the E-Banking Committee are: Atty. Kristine Cleven (WI Bankers Association); Atty. Diane Diel (Family Law); Atty. Dean Dietrich (Ethics/Defense Counsel); Claire Fowler (PRC); Mary Gilmeister (WI ACH Ass n); Mary Hoeft Smith (OLR); Matthew Katz (WI Ass n of Legal Administrators) Rick McGuigan (Community Bankers of Wisconsin); Atty. John McNamara (BAO); Robert Mueller (Estates and Trusts); Atty. Gerry Mowris (Criminal Law); Atty. Tim Pierce (State Bar) Keith Sellen (OLR); Atty. Tom Shellander (Real Estate); Atty. Bill Sturm (Collections); De Ette Tomlinson (WI Trust Account Foundation); Atty. Adam Wiensch (Estates and Trusts); and Atty. Jo Whiting (WI Credit Union League). Further information regarding the Trust Account Program is available on the Office of Lawyer Regulation s web page: www.wicourts.gov/olr. 8
Survey of Matters Overall Processing The pending caseload is 1086 matters, 84 fewer than a year ago. Processing times increased. The average processing time was 157 days. The percentage of matters resolved within 90 days decreased from 70% to 67% and those resolved in 180 days decreased from 85% last year to 84% this year. The number of pending matters over a year old increased significantly this year, from 414 to 445, and will affect processing times next year. Grievances In an effort to inform the Supreme Court, the Bar, and the public of the source and nature of the grievances received and the areas of practice from which grievances arise, Appendices 8A 8C break down by category the grievances received between July 1, 2012 and June 30, 2013. In describing the nature of the grievances, only the most serious allegation is reflected. While most grievances allege various acts of misconduct, it is not practical to list all allegations. The allegations most commonly made in a grievance were lack of diligence by the lawyer entrusted with the legal matter (24.19%), improper advocacy (14.41%), and lack of communication (10.4%). See Appendix 8A. The two areas of practice that produced the largest number of grievances during the year were criminal law and family law (see Appendix 8B). It is important to point out that while clients file the majority of grievances, anyone can file a grievance. Appendix 8C illustrates the sources from which grievances were received during the fiscal year. Discipline In fiscal year 2012-2013, 58 attorneys received a public disciplinary sanction, including 5 revocations, 3 revocations by consent and 19 suspensions. There were 13 public reprimands imposed by the Supreme Court and 18 consent reprimands issued by Supreme Court Referees. Additionally, the court temporarily suspended 10 attorneys, and dismissed 1 disciplinary complaint. At the end of the year, 159 formal disciplinary matters were pending in the Supreme Court, up from 110 last year. Appendix 9 shows the numbers and percentages of attorneys receiving public discipline since fiscal year 1978-1979. Appendix 10 shows the type of misconduct found in public discipline decisions. Appendix 11 shows the areas of practice in which discipline was found in public decisions. A Referee has authority, under SCR 22.09(3), to issue private reprimands pursuant to an agreement between the Director and the attorney. Typically, a private reprimand is imposed for an isolated act of misconduct that caused relatively minor harm. The Director does not enter an agreement for a private reprimand if public disclosure of the attorney s misconduct is necessary to protect the public. Private reprimands are retained permanently and are available as an aggravating factor on the issue of sanction if the attorney commits subsequent misconduct. As a means of educating the Bar, summaries of private reprimands, without any reference to or identification of the attorney involved, are printed every six months in the Wisconsin Lawyer magazine. 9
During this fiscal year, 19 attorneys received private reprimands. The Supreme Court issued 1 private reprimand. Two Hundred attorneys entered the alternatives to discipline program and Two Hundred Eighteen attorneys completed an alternative program. Other dispositions included: 1791 inquiries that did not warrant investigation. These matters were closed after the initial intake evaluation because there was insufficient information to support an allegation of misconduct or were disputes that were resolved without investigation. 95 dismissals after investigation in cases where there was insufficient evidence of a violation. 55 dismissals with an advisory letter. This disposition occurs in cases where the evidence is insufficient to prove a violation, but where practical advice would be helpful to an attorney. 20 closed pending petition for reinstatement. 10
Following is a summary of public discipline cases for fiscal year 2012-2013 SUMMARY OF PUBLIC DISCIPLINE Office of Lawyer Regulation July 1, 2012 to June 30, 2013 Attorney Admitted Location Decided Effective Revocation Kotz, James C. Bielinski, Thomas E. Weigel, Joseph W. Hahnfeld, Donald A. Engl, Joseph M. 2-8-1994 5-20-1985 6-6-1960 5-18-1987 5-20-2002 Munster, IN Brookfield, WI, WI West Allis, WI Sheboygan, WI 9-25-2012 12-18-2012 12-19-2012 1-30-2013 1-30-2013 9-25-2012 12-18-2012 2-1-2013 1-30-2013 1-30-2013 Revocation by Consent Stokes, David G. Boyd, Joan Marie Brown, Anne E. 10-17-1978 5-22-1989 9-18-1984, WI Gillett, WI Eau Claire, WI 8-17-2012 2-21-2013 5-17-2013 8-17-2012 2-21-2013 5-17-2013 Four Year Suspension Webber-Hicks, Lisa A. 6-17-1991 Chicago, IL 7-19-2013 7-19-2013 Two Year Suspenion Eisenberg, Alan D Stern, Walter W. III Cooper, Patrick M. 6-6-1966 5-20-1974 9-21-1993, WI Kenosha, WI Mequon, WI 5-2-2013 5-21-2013 6-26-2013 4-1-2015 5-21-2013 3-23-2010 One Year Suspension Siderits, Matthew C. 5-20-1996 Pewaukee, WI 1-4-2013 2-4-2013 Thirty Month Suspension Schreier, Maria J. 8-7-1997 Montello, WI 4-30-2013 4-30-2013 Ten Month Suspension Reitz, Jeffrey A. 5-18-1981, WI 3-23-2013 5-3-2013 Six Month Suspension Hooker, Daynel L. Payne, Tommy D. Soldon, Naomi E. Wood, Everett E. Goluba, David A. 6-18-2001 6-18-1990 8-6-1990 6-17-1992 8-28-1984 Missouri, TX Chicago, IL Shorewood, WI Hubertus, WI Ripon, WI 7-18-2012 10-9-2012 12-7-2012 1-25-2013 4-17-2013 3-1-2012 10-9-2012 10-16-2010 3-1-2013 4-17-2013 Five Month Suspension Stockman, Louis A. Harris, Benjamin J. 8-24-1999 6-18-1996 Duluth, MN Thiensville, WI 10-10-2012 1-23-2013 10-10-2012 1-25-2013 Sixty Day Suspension Guenther, Arik J. 9-14-1981 8-21-1970 Jackson, WI, WI 11 11-21-2012 11-27-2012 11-21-2012 1-1-2013
Kostich, Nikola P. Dade, John R. Mross, William F. 1-11-1983 8-27-1975 Whitewater, WI Racine, WI 2-21-2013 5-17-2013 2-21-2013 6-14-2013 Thirty Day Suspension Stanek, Jon E. 7-19-2005 Eau Claire, WI 5-16-2013 6-13-2013 12
SUMMARY OF PUBLIC DISCIPLINE Office of Lawyer Regulation July 1, 2012 to June 30, 2013 Attorney Admitted Location Decided Court Public Reprimand Martin, Reed James Edwin Gende, James II Kovac, Peter J. Phillips, Mark A. Gorokhovsky, Vladimir M. Read, Evan Riordan, Timothy J. Ritter, Eva E. Webber Hicks, Lisa A. Hackbarth, Sherman W. Smead, Robert J. Arellano, Victor M. Brittain, Eric Shane 6-19-1995 8-4-2000 8-28-1973 5-18-1981 6-11-2002 5-21-2007 6-16-1978 4-20-1993 6-17-1991 6-21-2005 9-29-1998 9-27-1985 6-26-2003 Wauwatosa, WI Pewaukee, WI, WI Elm Grove, WI Thiensville, WI, WI, WI Woodbury, MN Chicago, IL, WI Larsen, WI Middleton, WI Taupo, NZ 7-10-2012 9-25-2012 11-21-2012 11-29-2012 11-30-2012 12-4-2012 12-27-2012 1-4-2013 1-23-2013 1-25-2013 2-20-2013 3-21-2013 3-22-2013 Consent Public Reprimand O Brien, John N. O Neill, Sean William Gouty-Yellow, Tina F. Kurzman, Marc G. Moldenhauer, James G. Foley, Kirk J. Bergman, Sara L. Toran, James Edgar Humphrey, Paul W. Thompson, Ronald J. Adent, Leonard G. Bear, Peter D. Locke, Colleen J. Shikora, Ronald C. Thomey, Richard E. II Dudley, Donald C. Dahlberg, Philip J. IV Brown, Alexander 8-1-1963 9-5-1997 10-26-1987 1-14-2003 12-23-1982 9-13-1982 5-20-2002 1-11-1983 5-31-1989 9-15-1978 8-18-1967 6-12-1979 6-17-1992 6-5-1967 9-7-1977 9-25-2002 5-22-2000 11-3-1992 Delavan, WI Onalaska, WI Shawano, WI Minneapolis, MN Eau Claire, WI Superior, WI Cedarburg, WI, WI, WI Charleston, IL Pewaukee, WI Monona, WI Jefferson, WI, WI, WI, WI Jackson, WI, WI 7-12-2012 7-13-2012 8-8-2012 8-14-2012 8-30-2012 9-14-2012 11-1-2012 11-3-2012 11-28-2012 12-10-2012 12-25-2012 1-6-2013 1-24-2013 1-24-2013 1-24-2013 1-31-2013 2-18-2013 2-19-2013 13
Reinstatements During fiscal year 2012-2013, the Court completed action on twenty-three reinstatement petitions, eighteen administrative and five disciplinary. Following is a summary of reinstatements. SUMMARY OF REINSTATEMENTS Office of Lawyer Regulation July 1, 2012 June 30, 2013 Attorney Location Received Decided Outcome Administrative Brown, Geneva O. Valparaiso, IN 12-19-2011 8-1-2012 Granted Neiberg, Forrest Claremont, CA 4-11-2012 8-10-2012 Dismissed Butler, Benjamin C. Chicago, IL 5-25-2012 8-10-2012 Granted Pagel, Matthew E., WI 7-26-2011 8-30-2012 Granted Stephens, James C., WI 9-20-2011 9-5-2012 Granted Griffin, Richard G., WI 5-8-2012 10-19-2012 Granted Owen, Robert H. Jr. Middleton, WI 7-18-2012 11-8-2012 Granted Morstad, Steven P. Monroe, WI 8-6-2012 11-28-2012 Granted Selmer, James C. Minneapolis, MN 5-31-2012 11-30-2012 Granted Pruhs, Nicholas C., WI 7-16-2012 11-30-2012 Granted Cassidente, Ronald B. Racine, WI 7-6-2012 12-6-2012 Granted Allen, Paula D. Green Bay, WI 7-25-2012 12-10-2012 Granted Mohan, Daniel J. La Grange, IL 8-9-2012 1-28-2013 Granted Bruner, Shawn T. Altoona, Wi 11-4-2010 5-13-2013 Denied Roan, Peter M. Los Angeles, CA 2-4-2013 5-13-2013 Granted Washburn, Amy I. West Allis, WI 12-27-2012 5-14-2013 Granted Diamond, James D. Stamford, CT 2-26-2013 5-14-2013 Withdrawn Weaver, Karrie G. Hudson, WI 2-12-2013 6-19-2013 Granted Disciplinary Chavez, John A. Hobbs, NM 12-23-2010 7-10-2012 Granted w/conditions Wenzel, William H. Stoughton, WI 8-18-2010 9-17-2012 Withdrawn Langford, Ronald E. Des Moines, IA 11-6-2012 2-11-2013 Withdrawn Compton, Stephen M. Williams Bay, WI 3-13-2012 5-17-2013 Granted w/conditions Ouchakof, Boris V., WI 12-13-2011 5-29-2013 Granted w/conditions 14
Finances The legal profession is unique in assuming the costs for policing itself. An assessment on every member of the State Bar of Wisconsin pays the costs and expenses of the lawyer regulation system, including all the costs and expenses of the Office of Lawyer Regulation, District Committees, Preliminary Review Committee, and Board of Administrative Oversight. To help offset the costs, the Office of Lawyer Regulation collects costs from attorneys disciplined in formal court proceedings and collects fees on petitions for reinstatement. Collections for fiscal year 2012-2013 were approximately $142,300. The budget for fiscal year 2013-2014 is $3,588,100, up from $3,399,500 last year. The assessment will remain $155.00. The assessment accounts for the need to replace a total of $177,100 that may be lapsed to the State General Fund during the fiscal year. The assessment is in line with disciplinary assessments for neighboring jurisdictions: $200.00 for Illinois, $164.00 for Iowa, $120.00 for Michigan, and $122.00 for Minnesota. The assessment for Colorado, which has a similar program and lawyer population, is $185.00. 15
APPENDIX I ORGANIZATIONAL CHART OF THE LAWYER REGULATION SYSTEM SUPREME COURT PRELIMINARY REVIEW COMMITTEE BOARD OF ADMIMISTRATIVE OVERSIGHT OFFICE OF LAWYER REGULATION SPECIAL INVESTIGATIVE PANEL SPECIAL PRELIMINARY REVIEW PANEL REFEREES CENTRAL INTAKE FORMAL INVESTIGATIONS TRUST ACCOUNT PROGRAM LITIGATION DISTRICT COMMITTEES 16
APPENDIX 2 COMPOSITION OF THE LAWYER REGULATION SYSTEM WISCONSIN SUPREME COURT Chief Justice Shirley S. Abrahamson Justice Ann Walsh Bradley Justice N. Patrick Crooks Justice David T. Prosser, Jr. Justice Patience D. Roggensack Justice Annette Kingsland Ziegler Justice Michael J. Gableman OFFICE OF LAWYER REGULATION Keith L. Sellen, Director William Weigel, Litigation Counsel Julie M. Spoke, Assistant Litigation Counsel Sheryl St. Ores, Assistant Litigation Counsel Jonathan E. Hendrix, Assistant Litigation Counsel John K. O Connell, Deputy Director-Investigations Elizabeth Estes, Deputy Director-Intake Mary Hoeft Smith, Trust Account Program Administrator Heidi T. Johnson, Office Manager Investigative Staff: Mary A. Ahlstrom Kori Anderson Kenneth E. Broderick Nelson Donovan Lorry Eldien Cathe Hahn John Hickey Emily Kokie Beth M. Kugler Alice O Mahar Sarah Peterson Melody Rader-Johnson Cynthia Schally Travis Stieren Robert F. Weber Karl Wyler Jonathan Zeisser 17
Support Staff: Janet Byrne Maura Ekstrom Jennifer Hanrahan Mary McMillan Annette Smith Susan Stock Sara Unruh Deborah White RETAINED COUNSEL Matthew F. Anich Wayne A. Arnold Thomas J. Basting, Sr. William F. Bedker, Jr. Gregg M. Herman Kim M. Kluck Robert G. Krohn Ronald P. LeFever Anne MacArthur Matthew J. Price James C. Reiher Paul W. Schwarzenbart Gregory P. Seibold Denis R. Vogel Ashland Rice Lake Watertown Janesville Brookfield Waukesha Florence DISTRICT COMMITTEE MEMBERS *Public Members District No. 1 (Jefferson, Kenosha, Walworth Counties) (Chairperson) F. Mark Bromley Whitewater (Vice Chair) Timothy J. Geraghty Kenosha Patrick J. Anderson Kenosha Robert I. DuMez Kenosha *John G. Braig Kenosha *William J. Brydges Kenosha *Dr. Randall J. Hammett Kenosha *Jerome Honore Kenosha C. Bennett Penwell Whitewater Brenda J. Dahl Kenosha *Charles F. Taylor Whitewater Christine Tomas Lake Geneva *Jerome K. Laurent Whitewater District No. 2 ( County) (Chairperson) Julie A. O Halloran (Vice Chair) Robert C. Menard 18
*William Ward Robin Dorman *J. Stephen Anderson Eliot M. Bernstein Raymond E. Schrank II David W. Simon Rebecca K. Blemberg Bradley S. Foley Michele M. Ford Thomas A. Merkle *DeeDee Rongstad Colleen D. Ball James B. Gehrke Frank R. Terschan *Neiland Cohen *Holly Patzer *Frank Valentine Bialek *Richard Ippolito *Gary Nosacek Monte Weiss William T. Stuart Sarah Fry Bruch Lynn Laufenberg *Carlos A. Buritica *J. Dain Maddox *Danica Olson Brett Ludwig Joseph Welcenbach *John E. Sundeen James Moczydlowski Cedric Cornwall Heather Gatewood Jacques C. Condon *Arlyn Adams Thomas Whipp *James C. Wenzler *Ron Blazel *Keith J. Roberts Robert E. Nailen Christopher J. MacGillis David B. Karp Michael Laufenberg District No. 3 (Winnebago, Fond du Lac, Green Lake Counties) (Chairperson) Steven R. Sorenson David Schultz Kristi L. Fry John S. Zarbano Elizabeth J. Nevitt Beth Osowski 19 Bayside Wauwatosa Wauwatosa West Allis West Allis Whitefish Bay Wauwatosa Wauwatosa South Sturtevant Shorewood Cudahy Greendale Wauwatosa Ripon Oshkosh Fond du Lac Oshkosh Neenah Oshkosh
*Kristy Bradish *Mary Jo Keating Timothy R.Young Peter Culp Kennard N. Friedman *Susan T. Vette *Thomas E. Kelroy *John Fairhurst Katherine Seifert Oshkosh Fond du Lac Oshkosh Oshkosh Oshkosh Oshkosh Fond du Lac Fond du Lac Menasha District No. 4 (Door, Kewaunee, Manitowoc, Calumet, Sheboygan Counties) (Chairperson) Natasha Torry-Morgan Sheboygan (Vice Chair) Roberta A. Heckes Adell *Susan J. McAninch Sturgeon Bay Susan Schleisner Elkhart Lake Judge Robert Landry Egg Harbor Mary Lynn Donohue Sheboygan *Dr. Alan V. White Manitowoc *Rev. Richard York Plymouth *Donald A. Schwobe New Holstein Barry S. Cohen Elkhart Lake *James Stecker New Holstein William F. Fale Sheboygan *Suzanne J. Wegner Plymouth District No. 5 (Crawford, LaCrosse, Richland, Vernon, Monroe, Trempealeau, Jackson, Clark, Buffalo, Pepin Counties) (Chairperson) Kara M. Burgos La Crosse Paul B. Millis Black River Falls Jon D. Seifert Durand Michael C. Ablan LaCrosse *Paul R. Lorenz Fountain City *Reed Pomeroy West Salem Bruce J. Brovold Arcadia *James W. Geissner La Crosse *Larry D. Wyman Richland Center *Richard Kyte La Crosse Stephanie M. Hopkins Viroqua Daniel C. Arndt Sparta Christopher Doerfler La Crosse *James Hanson Viroqua *Richard A. Mertig Black River Falls David Russell La Crosse *David Campbell La Crosse District No. 6 (Waukesha County) (Chairperson) Gary Kuphall Rosemary June Goreta 20 Waukesha Brookfield
Professor Ramon A. Klitzke Daniel P. Murray *John Schatzman *Robert F. Hamilton Martin Ditkof Michael J. Jassak Linda S. Coyle Margaret G. Zickuhr Paul E. Schwemer Brad A. Markvart Nelson E. Shafer *Richard Gasso *Theresa M. Peterman Waukesha Waukesha Waukesha Hartland Brookfield Waukesha Grafton Delafield Brookfield Menomonee Falls Brookfield Waukesha District No. 7 (Wood, Portage, Waupaca, Waushara, Adams, Juneau, Marquette, Sauk, Columbia Counties) (Chairperson) Thomas M. Kubasta Wautoma *David A. Korth Marshfield *LaVinda L. Carlson Reedsburg Leo L. Grill Baraboo Hon. John Adam Kruse Marshfield Kaye E. Anderson Waupaca Stephen D. Chiquoine Reedsburg *Alan K. Peterson Mauston *Susan G. Martin Portage *Philip Baebler Lodi District No. 8 (Dunn, Eau Claire, Pierce, St. Croix Counties) (Chairperson) Robert L. Loberg Ellsworth *Edward Hass Ellsworth *Paul W. Schommer Hudson Tracy N. Tool River Falls Jay E. Heit Eau Claire Carol N. Skinner Hudson Phillip M. Steans Menomonie R. Michael Waterman Hudson *John DeRosier Eau Claire *William O Gara Eau Claire Gregory S. Nicastro Altoona *Theresa Johnson Hudson Mark N. Mathias Eau Claire *Kristen Ainsworth River Falls District No. 9 (Dane County) (Chairperson) Thomas Shellander (Vice Chair) Thomas S. Hornig Bruce A. Schultz Andrew Clarkowski Lawrence P. Peterson 21 Stoughton
Jesus G. Q. Garza *Theron E. Parsons IV *Dr. Consuelo Lopez Springfield Anne M. Blood *Patrick Delmore Jennifer E. Nashold *Dr. Kenneth H. Yuska *Professor Larry Nesper Robert J. Kasieta Aaron N. Halstead Janice K. Wexler Jennifer Sloan Lattis *Dr. Robert G. Owens *Dr. Norman Jensen *Larry McCray *Kathleen M. Raab Megan A. Senatori Dennis M. Sullivan *John Zerbe David Minko Michele Perreault James R. Troupis Briane F. Pagel Jr. *Patricia Bass *Barbara Mortensen *Richard C. Seaman *Lynn M. Leazer Middleton Middleton Fitchburg Verona District No. 10 (Marinette, Menominee, Oconto, Outagamie, Shawano Counties) (Chairperson) Gale Mattison Marinette (Vice Chair) Michael F. Brown Appleton *Guy T. Gooding Sobieski *Stephen C. Ware Appleton *John W. Hill Shawano Gerald L. Wilson Marinette Laura C. Smythe Appleton *Connie M. Seefeldt Coleman Tony A. Kordus Bonduel Robert Sisson Appleton *Terry Hilgenberg Shawano District No. 11 (Douglas, Bayfield, Iron, Ashland, Sawyer, Washburn, Burnett, Price, Polk, Barron, Rusk, Taylor, Chippewa Counties) (Chairperson) Craig Haukaas Washburn *Mary Ann King Chippewa Falls *Diane Fjelstad Chetek *Gene Anderson Bloomer Timothy T. Sempf Amery 22
*Elizabeth Esser Deborah Asher *Ms. Erny Heiden Annette M. Barna John R. Carlson Amanda L. Wieckowic *John Bennett Parrish J. Jones Spooner Chippewa Falls Conrath Ladysmith Washburn Chetek Washburn Superior District No. 12 (Green, Rock, Lafayette, Iowa, Grant Counties) (Chairperson) James A. Carney Thomas H. Geyer Jody L. Cooper *Dennis L. Everson *Michael L. Furgal Melissa B. Joos Carolyn L. Smith Margaret M. Koehler *Mr. William Hustad James D. Wickhem Robert Howard *Sheriff Robert D. Spooden *Larry Wolf *Lori R. Bienema Dan D. Gartzke Janesville Platteville Janesville Monroe Monroe Beloit Dodgeville Mineral Point Monticello Janesville Janesville Janesville Lancaster Janesville New Glarus District No. 13 (Dodge, Ozaukee, Washington Counties) (Chairperson) Joseph G. Doherty *Bonnie L. Schwid Daniel L. Vande Zande Christine Eisenmann Knudtson *Mark L. Born Michael P. Herbrand John A. Best *Mr. Robert Blazich *Ramona Larson Annamarie A. Wineke West Bend Mequon Waupun West Bend Beaver Dam Grafton West Bend Thiensville Mequon Watertown District No. 14 (Brown County) (Chairperson) Bruce R. Bachhuber Terry Gerbers Mark A. Pennow *Richard Allcox Thomas V. Rohan *Debra L. Bursik Edward J. Vopal *Joseph Neidenbach 23 Green Bay Green Bay Green Bay Green Bay Green Bay DePere Green Bay Green Bay
Robert Gagan *Jim Marshall District No. 15 (Racine County) (Chairperson) Mark F. Nielsen (Vice Chair) Robert Keller *Rev. Thomas Chryst *Mark M. Gleason *Patricia Hoffman Mark Hinkston Peter Smet John J. Buchaklian Patricia J. Hanson Timothy J. Pruitt Robert K. Weber *Frank Konieska Kristin Cafferty Green Bay Green Bay Racine Racine Racine Sturtevant Burlington Racine Burlington Racine Racine Racine Racine Burlington Racine District No. 16 (Forest, Florence, Langlade, Lincoln, Marathon, Oneida, Vilas Counties) (Chairperson) William D. Mansell Wausau Dawn R. Lemke Merrill Douglas J. Klingberg Rothschild *Diane M. Weiler Athens Ginger Murray *Yvonne H. Weiler Edgar Laura K. Fitzsimmons Ringle Lisa Brouillette Florence *Monty Raskin Wausau *John P. Coleman Rothschild 24
PRELIMINARY REVIEW COMMITTEE Attorney Edward Hannan, CHAIRPERSON Brookfield, WI Edward A. Hannan was awarded a J.D. by the University of Wisconsin- in 1976. He is the founding member of Hannan & Associates, LLC, a civil trial and appellate practice law firm emphasizing the representation of litigants in the following subjects: professional liability, licensing and ethics involving architects, engineers, accountants, attorneys, and real estate brokers; construction law; and claims and disputes arising under professional liability policies and comprehensive general liability policies. Among other professional organizations, he is an active member of the ABA (House of Delegates 2004-2006), and the Wisconsin State Bar (OLR Preliminary Review Committee, August 2008 September, 2011; Standing Committee on Professional Ethics, June 2002-August 2008; OLR District II Investigative Committee (), September 2001 August 2008, Chair 2007). He lectures frequently on professional ethics and responsibility. Attorney Robert J. Asti, VICE CHAIRPERSON Cedarburg, WI After practicing in, Attorney Robert J. Asti joined the Cedarburg law firm of Levy & Levy, S.C. in 1983 where he focuses primarily on litigation. He is a past member of the Wisconsin State Bar s Board of Governors (2005 to 2009), and a current member of the Wisconsin State Bar s Board of Bar Examiners Review Committee (1997 to present) and Chair (2004 to present). He is a former member of the State Bar s Alternative Disputes Resolution Section Board of Directors (1996 to 2003) and a past Secretary. He is admitted to practice before all Wisconsin State Courts, the Federal Courts for the Eastern and Western Districts of Wisconsin, the 7 th Circuit Court of Appeals, and the U.S. Supreme Court. Attorney Asti is a member of the Wisconsin Association for Justice, the American Association for Justice, and the Ozaukee County Bar Association (past president). Attorney Asti received a B.B.A. in 1971 from the University of Wisconsin-, a J.D. in 1974 from Marquette University Law School, and a M.B.A. in 1975 from Marquette University. Mr. Dennis Blasius Waukesha, WI Dennis Blasius is currently the Director of Field Operations in the U.S. Consumer Product Safety Commission s (CPSC) Office of Compliance and Field Operations. He has been with CPSC for 21 years, serving in a variety of supervisory and management roles in both the Compliance and Field Investigations Directorates. Dennis is responsible for working with the compliance, epidemiology and legal staffs to coordinate civil and criminal product safety investigations nationwide. He is responsible for CPSC s nationwide field staff and also coordinates the CPSC s internet surveillance unit. Dennis is a frequent trainer and speaker throughout the U.S. and internationally regarding consumer product safety compliance and enforcement topics. Before moving to the federal government, Dennis was a Detective with the Waukesha County Sheriff s Department. Dennis has a B.S. degree in Criminal Justice, a Master s degree in Managerial Communication and a Certificate in Executive Leadership from Cornell University. He served a three year term as a commissioner on the City of Pewaukee 25
Police and Fire Commission (2008-2010) and also served on the committee that developed the city s current ethics policies for employees and elected officials. Dennis is a previous volunteer with the Office of Lawyer Regulation, serving as a member of the District Six Investigative Committee from 2003-2005. Attorney John W. Campion Racine, WI Attorney Campion is a criminal defense practitioner in Racine. Previously, he was a public defender in New Hampshire and then in Sheboygan and Racine for seven years. He entered private practice in 1995. He is a member of the Wisconsin Association of Criminal Defense Lawyers Board of Directors and a member of the National Association of Criminal Defense Lawyers. Mr. Campion is a 1988 graduate of the University of Wisconsin Law School. He also has an undergraduate degree from UW-. Mr. John Flannery Green Bay, WI John Flannery has served as a law enforcement officer for the past twenty years, starting his career as a reserve police officer with the Village of Saukville, WI. In 2009, he retired from the Brown County Sheriff s Department, Green Bay, to accept a full time faculty position at Northeast Wisconsin Technical College. Presently John instructs police recruits in legal, tactical and relational components of the law enforcement profession. His duties also include performing as a law enforcement planner for 4 th Class Cities and Villages. John advises smaller departments on issues ranging from policy development, crime analysis, emergency management, crime prevention and grant funding. John retains his sworn policing certification, working as a police officer for the Village of Pulaski and the University of Wisconsin Green Bay Public Safety Department. During his tenure at the Brown County Sheriff s Department, John performed as a lead officer for a contract municipality, the Village of Allouez. He was responsible for the preparation of budget reports, review of legal documents and RFPS, ordinance development and reporting of crime trends in the village. In 2001 John was awarded the Wisconsin Law Enforcement Officer of the Year by then Attorney General, James Doyle. In 2009, the Wisconsin League of Municipalities recognized John with the Good Government Award for his development of the police cadet program that currently serves local communities in northeastern Wisconsin. John presently serves on the Police Training and Standards Advisory Committee for the Wisconsin Department of Justice. For the past four years he has been actively collaborating with Professor Michael Scott of UW- Law School to promote problem oriented policing strategies to the Wisconsin law enforcement community. John created the first Financial Abuse Specialist Team (FAST) in Brown County; a committee of service professionals dedicated to protecting senior citizens from financial abuse and fraud. From 2005 to the present, John has served as a member of the Bishop s Independent Review Board for the Catholic Diocese of Green Bay. 26
Ms. Claire Fowler Hubertus, WI Claire Fowler is a retired business owner who sold her business to her daughter who now runs the multi-million dollar business. She volunteers for SCORE/SBA, counseling business start up and expansion as well as teaches Junior Achievement business principles. She was founder of the Wisconsin Business Women s Coalition, served on the State Job Training Council and WOW Private Industry Council. Previously she served on the Lawyer Regulation Board of Administrative Oversight. Attorney Martin W. Harrison Whitewater, WI Martin Harrison received his undergraduate degree at the University of Wisconsin-, and attended Marquette Law School. He has been licensed in Wisconsin as an attorney for 42 years. He belongs to the Wisconsin State Bar, Jefferson County Bar, Walworth County Bar, as well as the Wisconsin Association for Justice. His primary focus has been in trial work and he is also an attorney for the city of Whitewater. He has volunteered with regard to legal educational programs for high school students, and provided pro bono legal services. He previously served as Chairperson for the Wisconsin Supreme Court s Professional Responsibility Committee for District I. Currently he is volunteering as a mediator in the Walworth County Foreclosure Mediation program. He presently is serving on the Board of Directors for Rainbow Hospice of Jefferson County, Wisconsin. Mr. Michael Kindschi Cottage Grove, WI Mike Kindschi received a Computer Technology degree from School of Engineering in 1963. He retired from the I.T. division of American Family Insurance in 2004. He has been working as a Realtor with First Weber Group Realty since 1995. He is a member of Greater Board of Realtors, Wisconsin Realtors Association, National Association of Realtors, Multiple Listing Service, PHH Real Estate Network, Cottage Grove Chamber of Commerce, and Cottage Grove Town Board. He has served on the Cottage Grove Town Board (1983-1993; 2008-present), Director of Dane County Towns Association (1990-1993), and Director of Cottage Grove Chamber of Commerce (2006-2007). Attorney Frank Lo Coco, WI Frank Lo Coco is a share holder in the office of Whyte, Hirschboeck, Dudek, S.C. where he is a Practice Group Leader for the firm s litigation group. He is a 1983 graduate of the University of Dallas (B.A. Philosophy) and a 1986 graduate of the University of Wisconsin law school. He practices primarily in the area of civil litigation and he has tried cases to verdict in Wisconsin and across the country. For nine years he served as an investigator for the District 2 Investigative committee of OLR in. Thereafter, he served for six years as a Special Investigator for the Wisconsin Supreme Court. He has also been actively involved in the community serving as a member of the board of directors for Marquette University High School 27