IOWA SUPREME COURT v. Beckman

• Decision Date: 22 January 2004
• Docket Number: No. 03-1101.,03-1101.
• Citation: 674 N.W.2d 129
• Court: Iowa Supreme Court
• Parties: IOWA SUPREME COURT BOARD OF PROFESSIONAL ETHICS AND CONDUCT, Complainant, v. Mark S. BECKMAN, Respondent.

674 N.W.2d 129

IOWA SUPREME COURT BOARD OF PROFESSIONAL ETHICS AND CONDUCT, Complainant, v. Mark S. BECKMAN, Respondent.

No. 03-1101.

Supreme Court of Iowa.

January 22, 2004.

Norman G. Bastemeyer and David J. Grace, Des Moines, for complainant.

Mark S. Beckman, Dubuque, pro se.

TERNUS, Justice.

The Iowa Supreme Court Grievance Commission has filed a report with this court recommending that we revoke the respondent's license to practice law based on the Commission's finding that the respondent has again committed multiple violations of the Iowa Code of Professional Responsibility for Lawyers. We agree with this recommendation.

The respondent, Mark S. Beckman, has received ample warning—in the form of prior discipline—that his conduct must conform to the ethical standards governing his chosen profession. Despite these warnings, he has failed to modify his behavior. We surmise from his current infractions that he is unable or unwilling to do so. The respondent has demonstrated that he is unfit to serve as an attorney. Therefore, we revoke his license to practice law in this state.

I. Scope of Review.

This matter is before the court for review of the Commission's report and for final disposition of the charges lodged against the respondent by the Iowa Supreme Court Board of Professional Ethics and Conduct. See Iowa Ct. Rs. 35.9,.10(1). The Board bears the burden to prove the alleged ethical violations by a convincing preponderance of the evidence. See Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Kallsen, 670 N.W.2d 161, 164 (Iowa 2003).

We review the Commission's report de novo. See Iowa Ct. R. 35.10(1). Under this standard of review, we give weight to the factual findings of the Commission, especially with respect to witness credibility, but we find the facts anew. See Kallsen, 670 N.W.2d at 164. Similarly, while we give respectful consideration to the Commission's recommended discipline, this court must decide upon the appropriate sanction. Id.

II. Factual Findings.

A. Background. Mark Beckman graduated from law school in 1976 and was admitted to practice law in Iowa that same year. In 1979 he settled in Dubuque, Iowa and has practiced law in that community ever since. His legal career has not been without blemish. In 1991, Beckman's license was suspended because he failed to make the required annual filings with the Client Security and Attorney Disciplinary Commission and the Commission on Continuing Legal Education. See Iowa Ct. Rs. 39.8, 41.4. Although the required forms were eventually filed and Beckman's license was reinstated, his disciplinary history was only in its infancy.

Beginning in 1992, Beckman accumulated no less than five public reprimands and another suspension. On April 10, 1992, he was reprimanded for distribution of a direct mail advertisement that violated the Iowa Code of Professional Responsibility for Lawyers in five different particulars. He was reprimanded for a similar type of infraction on July 13, 1995. On July 18, 1996, Beckman was reprimanded for failing to deposit a $500 cash advance in a trust account, for falsely stating on his Client Security Combined Statement and Questionnaire that he kept all funds of clients in trust accounts, and for permitting his trust account to incur a shortage. Later that year, in December 1996, we suspended Beckman's license for three months because he violated the disciplinary rules governing lawyer advertising and made a false statement to the Iowa Supreme Court Grievance Commission. Iowa Supreme Ct. Bd. of Prof'l Ethics & Conduct v. Beckman, 557 N.W.2d 94, 96-97 (Iowa 1996) (finding Beckman violated the attorney advertising rules by sending a marketing letter to nonclients without the required disclosure and then falsely told the Commission that the recipients were his current clients when the letter was sent). Not even a year later, he was publicly reprimanded on September 12, 1997, for two separate ethical violations: (1) he failed to notify a client with a pending legal matter of his suspension from the practice of law; and (2) he again deposited a $500 retainer into his office account rather than into his trust account. Beckman's most recent public reprimand occurred in April 1999 when he was sanctioned for advertising that he practiced primarily in domestic relations and family law without having certified his eligibility to do so as required by our advertising rules.

That brings us to the current proceeding, which involves Beckman's representation of four different clients. We will summarize our factual findings with respect to each matter separately and then briefly review Beckman's explanations for his conduct.

B. Roling estate. Beckman was employed in September 1997 to assist Marjorie Roling in probating the estate of her deceased son. Beckman opened the estate that month and worked with Roling, who served as the estate administrator, to publish notice to creditors and pay debts owed by the estate. On November 3, 1997, less than two months after the estate had been opened, Beckman presented a bill for services rendered to Roling, who then issued a check to Beckman in the sum of $1282. Beckman deposited these funds in his office account.

After Beckman was paid, he did very little work on the estate for nearly three years. Roling became increasingly anxious to have the matter concluded. In May 2000, the clerk of court sent a notice of delinquency, prompting Roling to make numerous calls to Beckman in an effort to get him moving forward on the estate. Roling was finally able to meet with Beckman for several minutes in his office on June 8, 2000. At that time, she provided him with all the documentation and information she had. Thereafter, she continued to write and call Beckman, vainly urging him to wrap up the probate proceeding. On June 30, 2000, Beckman obtained an extension of the delinquency deadline to September 29, 2000. On the latter date, Beckman orally requested a second extension. In view of the prior extension, the court set the matter for hearing on October 11, 2000, stating that "[b]oth Attorney Beckman and Ms. Roling shall be present at that hearing." The clerk sent a copy of the court's order to Roling. Roling then wrote to the clerk of court, reviewing her dealings with Beckman, including her payment of attorney fees, and complaining about his delay in finalizing the estate.

When the district court judge assigned to hear Beckman's request for an extension reviewed the file in preparation for the hearing, she discovered Roling's letter and learned that Beckman had already been paid more than $1200 for his work on the estate. The judge could find no application for compensation and no court order allowing attorney fees as required by the Iowa Code and our court rules. See Iowa Code § 633.198 (1999); Iowa Ct. R. 7.2. In addition, she verified that the inheritance tax return had not yet been filed, nor had a tax clearance been issued, such being a necessary predicate to the allowance of fees. See Iowa Ct. R. 7.2(4).

At the time for the scheduled hearing, Beckman and Roling were present. The court took the opportunity to ask Beckman how he had come to be paid already for his work. Beckman told the judge that he had taken the payment as a retainer, and he led the court to believe he had deposited the funds in his trust account. The court ordered the immediate return of the payment to Roling, who indicated she preferred that Beckman put a check in the mail rather than hand deliver the refund to her. The court specifically instructed Beckman that he would have to make an application for his fees and secure a court order approving them, as required by statute. Subsequently, the judge reported Beckman's misconduct to the Board of Professional Ethics and Conduct.

The next day Beckman personally delivered a check for $1282 to Roling. At the same time, he presented to her another statement for services rendered in the amount of $1970. Roling paid this sum to Beckman and he deposited the funds in his office account. Beckman had not made application to the court for authorization of this payment; he had not obtained a court order approving his fees; and he had not yet secured an inheritance tax clearance from the Iowa Department of Revenue.

In the written order entered after the October 11 hearing, the court scheduled a status review hearing for later that month. This order was sent to Beckman and Roling, and stated: "The status of this case will be reviewed by the Court with the administrator and Attorney Beckman on the 27th day of October, 2000." On October 17, Beckman sent Roling an affidavit to sign, verifying his return of the $1282 payment. The affidavit made no mention of Roling's $1970 payment. After receiving this letter Roling spoke with Beckman by phone. He told her she did not need to attend the hearing on the 27th. When she pointed out that the notice specifically stated the matter would be reviewed with the "administrator," Beckman told her that reference was to the court administrator, not the estate administrator. Roling was skeptical and attended the hearing anyway.

At the October 27 hearing, the presiding judge learned that Beckman had again taken advance fees. Noting Beckman was no more entitled to the second payment than he was to the first payment, the court ordered him to refund the $1970 payment to Roling within seven days. Once again Beckman was admonished that he was not to take fees "to be held in escrow" and that payment of attorney fees must await approval of the final report. In addition, the court pointed out that the amount of attorney fees had not been calculated correctly. Finally, the court noted several deficiencies remaining in the estate and he gave Beckman thirty days to complete the necessary tasks. Subsequently, the estate was closed and attorney fees in the amount of $1749 were approved.

C. Simon criminal matter. In August 2000, Beckman was retained by Carl Simon...