Disciplinary Bd. v. Rickabaugh
| Decision Date | 05 March 2007 |
| Docket Number | No. 05-1467.,05-1467. |
| Parties | IOWA SUPREME COURT ATTORNEY DISCIPLINARY BOARD, Complainant, v. William Porter RICKABAUGH, Respondent. |
| Court | Iowa Supreme Court |
Charles L. Harrington and Laura M. Roan, Des Moines, for complainant.
William Porter Rickabaugh, Tabor, respondent, pro se.
In this attorney disciplinary action, William P. Rickabaugh is charged with making false statements, neglecting his clients' legal matters, collecting an illegal fee, practicing law while his license is suspended, and failing to cooperate with the Iowa Supreme Court Attorney Disciplinary Board ("Board"). We find Rickabaugh violated numerous provisions of the Iowa Code of Professional Responsibility for Lawyers.1 We agree with the Grievance Commission's recommendation to revoke Rickabaugh's license to practice law.
Rickabaugh was admitted to the Iowa bar in 1992. He is sixty years old and lives in Tabor, Iowa. Rickabaugh's license to practice law is currently suspended. See In re Rickabaugh, 661 N.W.2d 130 (Iowa 2003). On May 7, 2003, we suspended his license indefinitely with no possibility of reinstatement for three years. Id. at 133. This suspension was reciprocal discipline in response to Nebraska's disbarment of Rickabaugh. See Nebraska ex rel. Counsel for Discipline v. Rickabaugh, 264 Neb. 398, 647 N.W.2d 641 (2002). The Nebraska Supreme Court disbarred Rickabaugh for various ethical violations, including accepting a legal matter he was not competent to handle, neglect, creating fictitious pleadings, and forging a judge's signature. Id. at 642.
The present disciplinary action concerns a four-count complaint filed against Rickabaugh on March 14, 2006 by the Board. Rickabaugh did not file an answer. On July 21, 2006, the parties filed a joint stipulation of facts and waiver of hearing. Rickabaugh recognized his wrongdoing and stated he has no plans to practice law again. The Grievance Commission recommends we revoke Rickabaugh's license to practice law.
We review the findings of the Grievance Commission de novo. Iowa Ct. R. 35.10(1). We give weight to the Commission's findings but we are not bound by those findings. Iowa Supreme Ct. Attorney Disciplinary Bd. v. McGrath, 713 N.W.2d 682, 695 (Iowa 2006). The Board has the burden to prove disciplinary violations by a convincing preponderance of the evidence. Iowa Supreme Ct. Attorney Disciplinary Bd. v. D'Angelo, 710 N.W.2d 226, 230 (Iowa 2006). This burden is "`less than proof beyond a reasonable doubt, but more than the preponderance standard required in the usual civil case.'" Id. (quoting Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Lett, 674 N.W.2d 139, 142 (Iowa 2004)).
Rickabaugh did not file an answer to the Board's complaint. Pursuant to Iowa Court Rule 36.7, the allegations of the complaint are deemed admitted. In lieu of a hearing, the parties agreed to a stipulation of facts and admission of exhibits. Thus, we find convincing evidence to prove the following:
A. Grosse Estate
In early 2001, Glenda Shelton hired Rickabaugh to assist her in probating the estate of her mother, Maxine Grosse. Grosse's will appointed Shelton to serve as executor. On July 30, 2001, Rickabaugh sent Shelton a report and inventory which listed all of the assets in the Grosse estate. He requested she sign the report and inventory and return it to him so he could file it with the probate court. Shortly thereafter, Shelton wrote to Rickabaugh explaining she would not sign the report and inventory "because the numbers are not correct." Specifically, she was concerned Rickabaugh had not included the interest which had accrued on Grosse's United States savings bonds. She provided the correct figures and asked Rickabaugh to "[p]lease make the corrections for me as soon as possible and send them to me to sign." Rickabaugh never made the requested changes. Shelton sent letters to Rickabaugh on March 10, 2002 and January 20, 2003, urging him to send her the corrected report and inventory so the estate could be closed. Exasperated, Shelton finally contacted another attorney to help her close the estate. Unbeknownst to Shelton, Rickabaugh had forged her signature on the report and inventory and filed it with the court on January 31, 2002.
Additionally, while Rickabaugh was representing Shelton and the estate, the clerk of court issued two probate delinquency notices for failure to file an interlocutory report.
B. Benedict Estate
Rickabaugh was hired by W. Edward Thompson to probate the estate of Ruth Benedict. Benedict's will appointed Thompson, a banker, to be the executor. Rickabaugh opened the estate in September 2000. In April 2001, Thompson gave Rickabaugh a signed check for $8607 made payable to the Iowa Department of Revenue for inheritance taxes due. Rickabaugh did not file the inheritance tax return or the fiduciary return nor did he pay the taxes. As a result, the estate had to pay $3,104.24 for penalty and interest.2
The Benedict estate was still open when we suspended Rickabaugh's law license on May 7, 2003. Rickabaugh did not notify Thompson of the suspension nor did he withdraw as counsel.
On December 1, 2003, Thompson received a notice of delinquency from the clerk of court indicating an interlocutory report for the estate was overdue. Thompson contacted another attorney to look into the matter and subsequently hired him to finish the administration of the estate.
On January 29, 2004, Thompson discovered a package in his bank's night deposit box. It contained an interlocutory report and an envelope addressed to the clerk of court. Rickabaugh later called Thompson and said he dropped off the package so Thompson could sign the report and file it with the clerk of court.
C. Ross Estate
In March 2002, James Ross hired Rickabaugh to probate the estate of his mother, Wilma Ross. Although much of the work for the estate remained to be done, Ross (a co-executor) wrote a check payable to Rickabaugh for $7386. This amount represented 100% of Rickabaugh's fees and expenses. Rickabaugh did not file an application with the probate court for allowance and payment of fees.
After we suspended Rickabaugh's license, he did not withdraw as counsel nor did he notify the executors of his suspension. In a letter dated June 3, 2004, Rickabaugh informed a co-executor that "[d]ue to declining health I will not be able to finish the estate." In the same letter, Rickabaugh stated he would "make an appropriate refund of the fee ASAP." Rickabaugh refunded the estate $5675 in March 2005.
D. Failure to Cooperate
The executor of the Grosse estate filed a complaint against Rickabaugh on August 4, 2003. The Board personally served Rickabaugh with notice of the complaint. He did not respond as required by Iowa Court Rule 34.6(4).
Rickabaugh committed the following ethical violations:
A. Misrepresentations and False Statements
Rickabaugh made at least two misrepresentations.3 In the Grosse estate he forged the executor's name on the report and inventory and filed it with the probate court. In the Ross estate, Rickabaugh misrepresented the basis for his inability to close the estate. Instead of informing the executor of his recent license suspension, he represented he could not complete the work due to health problems. In both incidents, Rickabaugh violated a number of ethical rules, namely DR 1-102(A)(4) (); DR 1-102(A)(5) (); DR 1-102(A)(6) (); DR 7-102(A)(5) (); and DR 1-102(A)(1) ().
B. Practicing Law While Suspended
We suspended Rickabaugh's license to practice law on May 7, 2003, and he remains under suspension. Rickabaugh did not notify the executors of the Benedict and Ross estates of his suspension as required by Iowa Court Rule 35.21(1)(a). This violated DR 1-102(A)(5) () and DR 1-102(A)(6) (). While suspended, Rickabaugh prepared an interlocutory report for the Benedict estate and delivered it to the executor for his signature. This violated DR 3-101(B) () and DR 7-106(A) ().
C. Neglect
"Professional neglect involves `indifference and a consistent failure to perform those obligations that a lawyer has assumed, or a conscious disregard for the responsibilities a lawyer owes a client.'" Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Honken, 688 N.W.2d 812, 821 (Iowa 2004) (quoting Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Kennedy, 684 N.W.2d 256, 259-60 (Iowa 2004)). "Neglect is more than ordinary negligence and usually involves multiple acts or omissions." Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Moorman, 683 N.W.2d 549, 551-52 (Iowa 2004) (citing Comm. on Prof'l Ethics & Conduct v. Rogers, 313 N.W.2d 535, 536 (Iowa 1981)).
Rickabaugh committed professional neglect on several occasions. He received three probate delinquency notices for failure to file an interlocutory report in two estates. See Iowa Code § 633.32 (2001). In the Benedict estate, Rickabaugh failed to file the inheritance tax return after the executor gave him a check for the taxes due. As a result, the estate accrued over $3000 in penalty and interest. Moreover, Rickabaugh's neglect delayed the administration of all three estates and required the executors of each...
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