Disciplinary Action Against Haugen, In re
| Citation | 543 N.W.2d 372 |
| Decision Date | 16 February 1996 |
| Docket Number | No. C6-85-1544,C6-85-1544 |
| Court | Supreme Court of Minnesota (US) |
| Parties | In re Petition for DISCIPLINARY ACTION AGAINST Marlon O. HAUGEN, an Attorney at Law of the State of Minnesota. |
Syllabus by the Court
Respondent's misconduct warrants indefinite suspension from the practice of law.
Kenneth L. Jorgensen, St. Paul, for appellant.
George R. Ramier, Minneapolis, for respondent.
Heard, considered, and decided by the court en banc.
Respondent, Marlon O. Haugen, is an attorney who has been practicing law in Minnesota since 1954.
This disciplinary proceeding was initiated by the Director of the Office of Lawyers Professional Responsibility (Director) after the Director received notice that Haugen's trust account was overdrawn on December 18, 1991. The Director commenced an audit of Haugen's trust account. That audit identified a number of trust account violations. As a result, the Director filed this petition for disciplinary action.
The petition alleges two counts of unprofessional conduct warranting public discipline. The first count alleges that Haugen improperly handled his trust account and failed to maintain adequate trust account books and records. The second count alleges that Haugen failed, on two occasions, to pay court reporter fees. A hearing was held on June 23, 1995, before Referee Michael H. Seibel.
On the first count, the referee found that from January 1990 through May 1994, Haugen failed to: (1) maintain adequate client subsidiary ledgers, cash receipts and cash disbursements journals, and duplicate deposit slips; (2) adequately attribute trust account deposits and disbursements to individual clients; and (3) perform monthly trial balances and reconciliations. In addition, the referee found that: (1) Haugen issued numerous trust account checks when there were insufficient funds in the account; (2) paid business and personal expenses from the trust account; (3) issued checks to himself without attributing payment to a client matter; (4) commingled earned attorney fees with client funds in the trust account; and (5) falsely certified to this court that he maintained his books and records as required by Minn.R.Prof.Conduct 1.15(g). The referee further found that while Haugen's trust account violations did not directly harm any client, all of the client funds in the account were at risk. Finally, the referee found that Haugen did not intentionally violate the rules with respect to maintaining trust account books and records and has a "sincere desire" to comply with the trust account rules. The referee noted, however, that Haugen has practiced law for nearly 40 years and should have been fully aware of the bookkeeping requirements, that he continued to violate the trust account rules after the Director's Office pointed out these violations, and that his trust account books and records were still inaccurate at the time of the disciplinary hearing. Based on these findings, the referee concluded that Haugen's "continued violations and his failure to comprehend the trust fund accounting requirements makes it highly probable that future violations will occur." Ultimately, the referee determined that Haugen had engaged in a pattern of conduct from 1990 through May 1994 that violated Minn.R.Prof.Conduct 1.15(a), (g), and (h) and 8.4(c), in addition to Lawyers Professional Responsibility Board Amended Opinion No. 9.
On the second count, the referee found that on two occasions Haugen failed to timely pay court reporter fees. In each case, the court reporter complained to the Director's Office. In the Linton matter, Haugen failed to fully pay a $141 court reporter bill until after a judgment had been obtained against him and the court reporter had filed the complaint with the Director's Office. In the Snyder matter, Haugen failed to pay a $294 court reporter bill until shortly after Snyder complained to the Director's Office.
The referee concluded that Haugen's pattern of conduct in failing to pay the court reporters' fees indicates a lack of concern for the rights of others and was a violation of Minn.R.Prof.Conduct 8.4(d).
Haugen has a disciplinary history that includes being publicly reprimanded and placed on 2 years of supervised probation by this court in September of 1985 for failure to comply with discovery orders, neglect of a client matter, and failure to respond to probate court orders (see In re Haugen, 373 N.W.2d 600, 600-01 (Minn.1985)); being admonished in May of 1986 for failing to "maintain or render an appropriate accounting to his client regarding $3,000 held in trust"; 1 being suspended in July of 1988 for 60 days and placed on probation for 2 years by this court for failure to timely file income tax returns and submitting an answer in a personal injury action denying factual allegations in a pleading on behalf of a client when he knew the answer was false (see In re Haugen, 425 N.W.2d 835, 836 (Minn.1988)); 2 and being admonished in May of 1991 for using a false and misleading advertisement.
By operation of Rule 14(e), Rules on Lawyers Professional Responsibility (RLPR), the referee's findings of fact and conclusions of law are considered conclusive because neither party requested a transcript. Therefore, the only issue before the court involves the appropriate discipline to be imposed. The referee recommends a 2-year suspension with 1 year stayed and 5 years of supervised probation. The Director seeks indefinite suspension for a minimum of 3 years. Haugen requests a sanction of 100 hours of pro bono attorney services and 2 years of supervised probation. The "final responsibility to determine the appropriate discipline" rests with this court. In re Boyd, 430 N.W.2d 663, 664 (Minn.1988).
Attorney discipline proceedings are intended to "protect the public from attorneys who are unable to properly discharge their duties." In re Montpetit, 528 N.W.2d 243, 246 (Minn.1995). Attorney discipline proceedings are also intended to deter future attorney misconduct. Id. In determining the appropriate sanction, we weigh the specific facts of the case in addition to any mitigating or aggravating circumstances. In...
To continue reading
Request your trial
-
In re Tigue, A19-1603
...supervise a suspended attorney, improper fee sharing, and failing to maintain trust account books and records).14 See In re Haugen , 543 N.W.2d 372, 375–76 (Minn. 1996) (suspending the attorney for 12 months for trust account violations and failure to pay court reporters when the attorney h......
-
In re Disciplinary Action Against Montez , A11–0125.
...unintentionally fail to exercise care in handling client funds.” In re Hoedeman, 620 N.W.2d 714, 718 (Minn.2001) (quoting In re Haugen, 543 N.W.2d 372, 375 (Minn.1994)); see also In re Ganley, 549 N.W.2d 368, 370–71 (Minn.1996) (explaining that lawyers are “charged with the knowledge that [......
-
In re Disciplinary Action Against Gherity, No. C5-87-1684.
...prior disciplinary history is relevant when determining sanctions. In re Grzybek, 567 N.W.2d 259, 262 (Minn.1997) (citing In re Haugen, 543 N.W.2d 372, 375 (Minn.1996)). After a disciplinary proceeding, we expect "offenses involving to comprehensive ethical and professional behavior and whe......
-
In re Order Regarding the Report & Recommendations of the Am. Bar Ass'n Standing Comm. on Prof'l Regulation on the Minn. Lawyer Discipline Sys.
...re Milloy, 571 N.W.2d 39, 45, 47 (Minn. 1997) (suspending a lawyer for 90 days and requiring a petition for reinstatement); In re Haugen, 543 N.W.2d 372, 375 (Minn. 1996). We enforce this expectation because we impose discipline to protect the public, protect the judiciary, and deter future......