Miss. Bar v. Caldwell
| Decision Date | 04 March 2021 |
| Docket Number | NO. 2020-BD-00483-SCT,2020-BD-00483-SCT |
| Citation | 326 So.3d 414 |
| Parties | The MISSISSIPPI BAR v. Kathleen L. CALDWELL |
| Court | Mississippi Supreme Court |
EN BANC.
GRIFFIS, JUSTICE, FOR THE COURT
¶1. The Mississippi Bar seeks reciprocal discipline against attorney Kathleen L. Caldwell after the Board of Professional Responsibility of the Supreme Court of Tennessee (Tennessee Board) imposed a public censure. Because of Caldwell's history of misconduct, this Court finds a harsher discipline is warranted. Accordingly, this Court finds that Caldwell should be suspended from the practice of law for six months and that she should reimburse the Mississippi Bar for all costs and expenses incurred in this proceeding.
FACTS AND PROCEDURAL HISTORY
¶2. Caldwell is a member of the Mississippi Bar and was first licensed to practice law in Mississippi on September 29, 1983. She is also licensed to practice law in Tennessee, where she resides.
¶3. A complaint was filed against Caldwell in Tennessee alleging certain acts of misconduct. On April 1, 2020, the Tennessee Board considered the matter and found as follows:
Ms. Caldwell verbally agreed to represent a client in a post-conviction criminal case and on appeal for a flat fee of $7,500.00. Ms. Caldwell's office received $3,500.00 toward the fee and deposited the refundable fee directly into an operating account without a written fee agreement signed by the client. Ms. Caldwell met with the client in the Shelby County Jail but had not reviewed materials related to the client's criminal case, had not filed any post-trial motions, had not entered an appearance with the criminal court, and had not begun the appeal process. Less than one month after the representation began, Ms. Caldwell's representation was terminated, and the client requested a refund of the unearned portion of the fee. Ms. Caldwell only offered to refund $950.00 to the client and provided an invoice for services billed at the rate of $300.00 per hour which Ms. Caldwell acknowledged had never previously been discussed with the client.
¶4. The Tennessee Board determined that Caldwell had violated Rules 1.2, 1.4, 1.5, and 1.15 of the Tennessee Rules of Professional Conduct, and it ordered a public censure as a result of the misconduct. The Tennessee Board further ordered that Caldwell reimburse her former client $2,750 in fees.
¶5. On May 12, 2020, the Mississippi Bar filed a formal complaint against Caldwell under Rule 13 of the Rules of Discipline for the Mississippi State Bar. In the complaint, the Mississippi Bar requested that Caldwell be "appropriately disciplined" and that she pay all costs and expenses associated with the proceeding.1 Caldwell was personally served with a copy of the complaint. No response was filed by Caldwell or on her behalf.
¶6. Caldwell has a history of violations of the Rules of Professional Conduct. In October 2003, the Tennessee Supreme Court suspended Caldwell from the practice of law for ninety days. Miss. Bar v. Caldwell , 890 So. 2d 855, 856-57 (Miss. 2004). Caldwell's suspension in Tennessee was based on "eighteen separate complaints of misconduct." Caldwell v. Miss. Bar , 118 So. 3d 549, 551 (Miss. 2012). "Her " ‘chronic ethical misconduct’ " included: (1) failing to file pleadings and documents, (2) losing evidence; (3) allowing a statute of limitations to run; and (4) neglecting to keep her clients informed." Id. (quoting Caldwell , 890 So. 2d at 856 n.1 ). Additionally, Caldwell "had been admonished informally four times prior to 2004—three times by the Supreme Court of Tennessee and once by this Court." Id. (citing Caldwell , 890 So. 2d at 856 ).
¶7. In May 2004, this Court suspended Caldwell from the practice of law for ninety days as reciprocal discipline based on the suspension of equal length imposed by the Tennessee Supreme Court. Caldwell , 890 So. 2d at 857.
¶8. In March 2005, the Tennessee Board filed a petition for discipline against Caldwell alleging client neglect. Caldwell , 118 So. 3d at 551. Specifically, the Tennessee Board alleged:
¶9. The Tennessee Board filed a supplemental petition for discipline six months later and alleged that Caldwell "had failed to properly supervise a nonlawyer assistant, that she had neglected a client's case, that she had engaged in misrepresentation, and that she had failed repeatedly to respond in a timely manner to an ethics complaint against her." Id. at 551-52.
¶11. Caldwell pled guilty to the petition and supplemental petitions for discipline. Id. "[I]n March 2009, the Supreme Court of Tennessee suspended Caldwell from the practice of law for twenty-four months—an actual suspension of six months, followed by a probation period of eighteen months." Id.
Id. Caldwell pled guilty to this petition and was publicly censured in June 2011. Id.
¶13. "[T]he Mississippi Bar filed a complaint requesting that Caldwell be disciplined reciprocally based on the Supreme Court of Tennessee's March 2009 and June 2011 disciplinary orders." Id. In October 2012, this Court suspended Caldwell from the practice of law in Mississippi for six months, followed by eighteen months of probation, and issued a public reprimand. Id. at 558.
DISCUSSION
¶14. "In bar disciplinary matters, this Court has exclusive and inherent jurisdiction." Miss. Bar v. Dolan , 987 So. 2d 921, 923 (Miss. 2008) (citing Miss. Bar v. Abioto , 987 So. 2d 913, 914 (Miss. 2007) ). "We review matters of attorney discipline de novo." Id. (citing Miss. Bar v. Hodges , 949 So. 2d 683, 685 (Miss. 2006) ).
¶15. Under Rule 13 of the Rules of Discipline for the Mississippi State Bar, when sanctions are imposed against an attorney by another jurisdiction, such sanctions are grounds for disciplinary action in this state. Miss. R. Discipline 13(a). "A final adjudication in another jurisdiction that an attorney admitted to practice in the State of Mississippi has been guilty of misconduct shall establish conclusively the misconduct for purposes of a disciplinary proceeding in the State of Mississippi." Miss. R. Discipline 13(b). As a result, it is "unnecessary for this Court to pursue any further fact-finding, and the sole issue before this Court is the extent of the discipline to be imposed upon [Caldwell] for h[er] actions." Dolan , 987 So. 2d at 923.
¶16. "[T]he sanction imposed in this State generally mirrors the sanction imposed in the sister state, absent extraordinary circumstances which compel, justify or support variance from the foreign jurisdiction's sanction." Miss. Bar v. Ishee , 987 So. 2d 909, 911 (Miss. 2007) (citing Miss. Bar v. Drungole , 913 So. 2d 963, 970 (Miss. 2005) ). But "[w]e may impose sanctions less than or greater than those imposed by another jurisdiction." Id. (citing Miss. Bar v. Gardner , 730 So. 2d 546, 547 (Miss. 1998) ). When determining reciprocal discipline, this Court has established nine criteria to consider:
(1) the nature of the misconduct involved; (2) the need to deter similar conduct; (3) the preservation of the dignity and reputation of the profession; (4) protection of the public; (5) the sanctions imposed in similar cases; (6) the duty violated; (7) the lawyer's mental state; (8) the actual or potential injury resulting from the misconduct; and (9) the existence of aggravating and/or mitigating factors.
Id. at 911-12 (quoting Hodges , 949 So. 2d at 686 ).
¶17. Caldwell violated Rules 1.2, 1.4, 1.5, and 1.15 of the Tennessee Rules of Professional Conduct. The corresponding Mississippi Rules of Professional Conduct state the following:
To continue reading
Request your trial