IN THE SUPREME COURT OF MISSOURI
En Banc
May Session, 1998
REPORT OF THE OFFICE OF CHIEF DISCIPLINARY COUNSEL FOR THE YEAR 1997 TOGETHER WITH THE FINANCIAL REPORT OF THE TREASURER OF THE ADVISORY COMMITTEE FUND FOR 1997.
To the Honorable Judges of Said Court:
Comes now JOHN E. HOWE, Chief Disciplinary Counsel, duly appointed under section 5.06 of Rule 5 to fairly and impartially administer Rules 4, 5 and 6 of this Court and respectfully reports to the Court on matters concluded during calendar year 1997 or pending on December 31, 1997.
I.
The following disciplinary actions were taken by the Court during 1997 based on proceedings prosecuted by the office of Chief Disciplinary Counsel:
In re: STEVEN A. COX, Chesterfield, Missouri Bar #21532: Information filed on May 19, 1994. Public Reprimand by order of the Court on February 25, 1997.
In re: RICHARD L. COLBERT, Kansas City, Missouri Bar #20528: Information filed on September 8, 1994. Public Reprimand by order of the Court on September 30, 1997.
In re: DANIEL D. LANE, Raytown, Missouri Bar #29073: Information filed on September 27, 1994. Public Reprimand by order of the Court on November 25, 1997.
In re: GWEN CARANCHINI, Kansas City, Missouri Bar #27077: Information filed on December 16, 1994. Disbarred by order of the Court on December 24, 1997.
In re: THOMAS P. MCBRIDE, St. Joseph, Missouri Bar #25391: Information for Show Cause and Motion for Discipline filed on October 24, 1995. Public Reprimand by order of the Court on February 25, 1997.
In re: MADELINE FRANKLIN, St. Louis, Missouri Bar #29330: Default Information filed on December 18, 1995, disbarred by order of the Court on December 19, 1995; disbarment set aside by Court on February 29, 1996. Default Information filed on September 23, 1996. Suspended indefinitely by order of the Court and cannot apply for reinstatement for two years from June 11, 1997. (Conditions set by the Court to be met prior to submitting any application for reinstatement.)
In re: ALLEN S. RUSSELL, Kansas City, Missouri Bar #23147: Information filed on January 18, 1996. Surrendered license and disbarred by order of the Court on January 21, 1997.
In re: DAN K. PURDY, Osceola, Missouri Bar #18694: Default Information filed on February 16, 1996. Public Reprimand by order of the Court on April 29, 1997.
In re: THOMAS E. KLINGINSMITH, Carthage, Missouri Bar #28276: Information filed on February 29, 1996. Public Reprimand by order of the Court on January 21, 1997.
In re: HAL WALLS, JR., Bragg City, Missouri Bar #26491: Information for Show Cause and Motion for Discipline filed April 26, 1996. Disbarred by order of the Court on January 21, 1997.
In re: GARY M. CUPPLES, Kansas City, Missouri Bar #27250: Information filed on June 18, 1996. Public Reprimand by order of the Cort on August 19, 1997.
In re: CHRISTOPHER S. SWIECICKI, St. Louis, Missouri Bar #38402: Information filed on June 19, 1996. Suspended indefinitely by order of the Court on March 25, 1997, may apply for reinstatement after two years. (Conditions set by the Court to be met prior to submitting any application for reinstatement.)
In re: WILLIAM J. GERARD, Chicago, Illinois, Missouri Bar #22934: Information for Show Cause and Motion for Discipline filed July 12, 1996. Suspended by order of the Court on January 21, 1997.
In re: DAVID BO MATTSON, Morton, Illinois, Missouri Bar #37160: Information for Show Cause and Motion for Discipline filed August 29, 1996. Disbarred by order of the Court on January 24, 1997.
In re: JOHN T. GUNTHER, II, Lees Summit, Missouri Bar #37267: Information filed on September 10, 1996. Public Reprimand by order of the Court on January 21, 1997.
In re: JEFFREY J. SPAINHOWER, Jefferson City, Missouri Bar #36093: Default Information filed on October 4, 1996. Mr. Spainhowers license was suspended by order of the Court on April 3, 1997, pursuant to Rule 5.23 (fitness). (A disciplinary case involving allegations of Rule 4 violations remained pending at the end of 1997.)
In re: EDWIN B. BRZEZINSKI, JR., Oakland, Florida; Missouri Bar #29689: Medical surrender filed on October 8, 1996. Surrendered license and disbarred by order of the Court on January 21, 1997.
In re: TERRASITA CUFFIE, St. Louis, Missouri Bar #39806: Stipulation of Concurrence filed on December 17, 1996. Suspended by order of the Court with leave to apply for reinstatement six months from January 21, 1997.
In re: GREGORY S. BROWN, Overland Park, Kansas, Missouri Bar #39991: Information for Show Cause Order and Motion for Discipline filed on January 14, 1997. Reciprocal disbarment by order of the Court on April 14, 1997.
In re: JOHN LEE WHITE, Kansas City, Missouri Bar #35704: Information for Show Cause Order and Motion for Discipline filed on January 17, 1997. Disbarment by order of the Court on March 4, 1997.
In re: MICHAEL LEROY LYONS, Branson, Missouri Bar #30572: Order to Show Cause filed on January 23, 1997; Motion to Revoke Probation and Execution of Suspension filed on April 21, 1997. Suspended by order of the Court and may not apply for reinstatement until he establishes compliance with the conditions for reinstatement as set out in the stipulation for revocation of probation.
In re: WARREN W. WEAR, Kansas City, Missouri Bar #23006: Application for Surrender filed on January 24, 1997. Surrendered license and disbarred by order of the Court on April 29, 1997.
In re: DONALD R. COOLEY, Springfield, Missouri Bar #21172: Information for Show Cause Order and Motion for Discipline filed on January 24, 1997. Surrendered license and disbarred by order of the Court on March 25, 1997.
In re: CHRISTOPHER M. SMITH, St. Louis, Missouri Bar #24865: Order and Stipulation of Concurrence of Parties filed on February 21, 1997. Public Reprimand by order of the Court on March 25, 1997.
In re: LARRY GRIMES, Blue Springs, Missouri Bar #25051: Default Information filed on March 20, 1997. Disbarred by order of the Court on March 27, 1997.
In re: JOEL EISENSTEIN, St. Charles, Missouri Bar #21476: Information for Show Cause Order and Motion for Discipline filed on April 10, 1997. Suspended by order of the Court with leave to apply for reinstatement not sooner than six months from May 27, 1997 on June 17, 1997.
In re: GREGORY A. SWARTZ, Kansas City, Missouri Bar #20598: Default Information filed April 10, 1997. Disbarred by order of the Court on April 16, 1997.
In re: EARL EDWIN PITTS, Alexandria, Virginia, Missouri Bar #31141: Information for Show Cause and Motion for Discipline based on conviction of a crime filed on April 15, 1997. Suspended pending the final disposition of any disciplinary proceedings based upon guilty pleas or finding of professional misconduct that resulted in the plea or finding pursuant to Missouri Supreme Court Rule 5.21(a) by order of the Court on May 23, 1997. Disbarred by order of the Court on September 29, 1997.
In re: HENRY THOMAS, St. Peters, Missouri Bar #24871: Information for Show Cause and Motion for Discipline filed on April 17, 1997. Disbarred by order o the Court on August 15, 1997.
In re: CAROL A. COE, Kansas City, Missouri Bar #25240: Information for Show Cause and Motion for Discipline filed on May 1, 1997. Disbarred by order of the Court on December 23, 1997.
In re: JOSEPH S. CANNAVO, St. Louis, Missouri Bar #24337: Information for Show Cause and Motion for Discipline based on conviction of a crime filed on May 13, 1997. Suspended on July 15, 1997 by order of the Court pending the final disposition of any disciplinary proceeding based upon the misconduct which resulted in said convictions. It was further ordered by the Court on September 30, 1997, that Mr. Cannavo be suspended with leave to apply for reinstatement twelve months after the effective date of his suspension of July 15, 1997.
In re: MARSHALL G. SHAIN, JR., Fisk, Missouri Bar #24745: Information filed on May 13, 1997. Suspended until further order of the Court on July 18, 1997.
In re: BRIAN T. HAYDEN, St. Louis, Missouri Bar #42226: Application for surrender of license filed on May 14, 1997. Surrendered license and disbarred by order of the Court on June 4, 1997.
In re: YVONNE SMITH, St. Louis, Missouri Bar #32251: Default Information filed on May 15, 1997. Disbarred by order of the Court on June 17, 1997.
In re: JAMES R. DORAN, Springfield, Missouri Bar #24504: Information for Show Cause Order and Motion for Discipline filed on June 5, 1997. Application for surrender of license filed on July 21, 1997. Surrendered license and disbarred by order of the Court on July 23, 1997.
In re: STEPHEN J. NANGLE, St. Louis, Missouri Bar #23618: Stipulation of Concurrence of Parties filed on June 26, 1997. Suspended for a period of one year by order of the Court on August 19, 1997.
In re: DIANA L. WEBB, Lees Summit, Missouri Bar #38925: Information for Show Cause Order filed on June 24, 1997. Application for surrender filed on July 8, 1997. Surrendered license and disbarred by order of the Court on July 15, 1997.
In re: JAMES R. MCHANEY, Cape Girardeau, Missouri Bar #17607: Default Information filed on July 10, 1997. Disbarred by order of the Court on July 18, 1997.
In re: AMIEL CUETO, Belleville, Illinois, Missouri Bar #36224: Information for Show Cause Order and Motion for Discipline based on conviction of a crime filed on July 11, 1997. Suspended pending the final disposition of any disciplinary proceeding based upon the misconduct which resulted in said convictions on August 19, 1997.
In re: DONALD DOREI, Grandview, Missouri Bar #16258: Default Information filed on July 29, 1997. Disbarred by order of the Court on August 19, 1997.
In re: ROGER M. HIBBITS, Florissant, Missouri Bar #17678: Stipulation of Concurrence and Order filed July 29, 1997. Public Reprimand by order of the Court on August 6, 1997.
In re: TIMOTHY F. RUDDY, Cape Girardeau, Missouri Bar #18254: Stipulation of Concurrence of Parties filed July 21, 1997. Public Reprimand by order of the Court on August 19, 1997.
In re: DENIS M. NEILL, Bethesda, Maryland, Missouri Bar #20157: Information for Show Cause and Motion for Discipline based on conviction of a crime filed August 18, 1997. Suspended pending the final disposition of any disciplinary proceeding based upon such conviction or misconduct which resulted in said conviction on September 25, 1997.
In re: BOB F. GRIFFIN, Cameron, Missouri Bar #17268: Application for Surrender filed August 20, 1997. Surrendered license and disbarred by order of the Court on August 25, 1997.
In re: ROBERT C. WOLHAR, JR., Georgetown, Deleware, Missouri Bar #25298: Information for Show Cause Order and Motion for Discipline filed September 25, 1997. Disbarred by order of the Court on November 13, 1997.
In re: JOHN A. PICERNO, Kansas City, Missouri Bar #41861: Stipulation of Concurrence of Parties filed October 3, 1997. Public Reprimand by order of the Court on October 21, 1997.
In re: GARRY E. CHAMPION, Springfield, Missouri Bar #24895: Application for Surrender filed October 15, 1997. Surrendered license and disbarred by order of the Court on October 27, 1997.
In re: THOMAS J. KAVANAUGH, St. Louis, Missouri Bar #19512: Stipulation of Concurrence of Parties filed September 22, 1997. Public Reprimand by order of the Court on October 21, 1997.
In re ROBERT J. THOMAS, St. Louis, Missouri Bar #21795: Application for Surrender filed October 27, 1997. Surrendered license and disbarred by order of the Court on November 18, 1997.
In re: TIMOTHY M. GARDNER, Clayton, Missouri Bar #27546: Default Information filed November 5, 1997. Disbarred by order of the Court on November 17, 1997.
In re: J. ANDREW WALKER, St. Louis, Missouri Bar #30521: Default Information filed November 5, 1997. Disbarred by order of the Court on November 10, 1997.
In re: WALKER LABRUNERIE, Kansas City, Missouri Bar #16099: Application for Surrender filed November 6, 1997. Surrendered license and disbarred by order of the Court on November 25, 1997.
In re: BRADLEY J. FISHER, Springfield, Missouri Bar #24910: Information and Joint Stipulation of Facts filed November 7, 1997. Suspended indefinitely with leave to apply for reinstatement after three years and said suspension stayed and Respondent placed on probation for a period of three years by order of the Court on November 25, 1997.
In re: STEVEN C. MANDLMAN, Clayton, Missouri Bar #34446: Stipulation of Concurrence filed November 10, 1997. Suspended and may not apply for reinstatement for a period of seven months by order of the Court on November 26, 1997.
II.
The following matters were pending before the Court at the close of this reporting period:
In re: SALVATORE MIRABILE, Kansas City, Missouri Bar #30660: Information filed on March 20, 1995; pending before the Court on December 31, 1997.
In re: JAMES P. MORONEY, Kansas City, Missouri Bar #23377: Information filed on March 20, 1995; pending before the Court on December 31, 1997.
In re: JEFFREY J. SPAINHOWER, Jefferson City, Missouri Bar #36093: a disciplinary case involving allegations of Rule 4 violations remained pending before the Court on December 31, 1997. (Mr. Spainhowers license was suspended by the Court on April 3, 1997, pursuant to Rule 5.23 [fitness]).
In re: ROBERT G. COSTANTINOU, St. Louis, Missouri Bar #30476: Information with Notice of Failure to Request a Hearing filed on January 24, 1997; pending before the Court on December 31, 1997. (Public Reprimand by order of the Court on January 27, 1998).
In re: WILLIAM Z. SHOHET, Cape Girardeau, Missouri Bar #43245: Information for Show Cause and Motion for Discipline filed on April 21, 1997; pending before the Court on December 31, 1997. (Public Reprimand by order of the Court on May 28, 1998.)
In re: RANDALL WOOD, Springfield, Missouri Bar #27976: Information for Show Cause Order filed on June 23, 1997; pending before the Court on December 31, 1997.
In re: CHARLES E. FOEHNER III, St. Louis, Missouri Bar #25163: Information with Notice of Answer But Failure to Request a Hearing filed on August 15, 1997; pending before the Court on December 31, 1997. (Indefinite suspension by order of the Court on May 13, 1998, and no application for reinstatement can be filed for three years.)
In re: VICTOR C. STRAUSS, JR., St. Louis, Missouri Bar #34170: Record filed on December 2, 1997; pending before the Court on December 31, 1997. (Public Reprimand by order of the Court on March 24, 1998.)
In re: DENNIS G. BONNER, Denver, Colorado, Missouri Bar #20502: Information and Motion for Discipline filed on December 3, 1997; pending before the Court on December 31, 1997. (Public Reprimand on February 4, 1998, and placed on inactive status in office of the Clerk of the Supreme Court.)
III.
At the beginning of the year seven (7) Missouri lawyers who had previously been disciplined had applications for reinstatement pending processing by the Chief Disciplinary Counsel. During the year eight (8) additional applications for reinstatement were filed and referred to the Chief Disciplinary Counsel for processing.
Five (5) petitions were denied by the Court, eight (8) applications were pending in the Chief Disciplinary Counsels office for investigation, report, and recommendation to the Court, one (1) petition was dismissed, and one (1) petitioner was reinstated by the Supreme Court:
Gerald L. Warren, St. Louis, Missouri Bar #27615 reinstated on October 21, 1997.
Six (6) lawyers whose licenses were automatically suspended for nonpayment of enrollment fees for a period in excess of three years filed applications for reinstatement and said applications were referred to the Chief Disciplinary Counsels office. One (1) application was pending before the Chief Disciplinary Counsels office from the previous year. Recommendations were made and reinstatement granted on six (6) applications. One (1) application is pending before the Chief Disciplinary Counsels office.
IV.
The Chief Disciplinary Counsels office opened nine hundred thirty-five (935) complaint files. Six hundred seventeen (617) files were sent to circuits for investigation and three hundred eighteen (318) files were investigated by the office of Chief Disciplinary Counsel. The office received and responded to eight hundred twenty-four (824) complaints over which there was no jurisdiction, or which were referred to other agencies. The Chief Disciplinary Counsel responded to two hundred forty-seven (247) complainants who requested a review of their initial complaint, and provided a more detailed explanation of the handling of their complaint.
The office of Chief Disciplinary Counsel handled fifty-one (51) informal resolution complaints which were resolved by intake counsel without the necessity of opening a complaint file.
V.
The Chief Disciplinary Counsel referred seventy-seven (77) complaints to the Missouri Bar Complaint Resolution Program for resolution outside of the disciplinary process in accordance with Rule 5.10. The report of the Complaint Resolution Program on the results of their efforts to resolve those complaints is attached and made a part of this annual report.
VI.
The office of Chief Disciplinary Counsel investigated and responded to complaints of approximately forty (40) individuals and organizations alleged to have engaged in the unlawful practice of law.
Many of these cases were referred to local police and prosecuting attorneys or to the Consumer Protection Division of the Missouri Attorney Generals office. Others were resolved through communication with the company or individual.
VII.
The office of Chief Disciplinary Counsel issued two hundred thirty-eight (238) written informal advisory opinions interpreting Rules 4, 5 and 6 of this Court. In addition, one thousand sixty-eight (1,068) telephone inquiries requesting ethical guidance were handled by the Chief Disciplinary Counsel staff.
VIII.
The office of Chief Disciplinary Counsel administered seventy-seven (77) written admonitions and the Circuit Bar Committees administered seventy-six (76) written admonitions which were accepted by members of the Missouri Bar.
No hearings were held by the Advisory Committee during the year on Proposed Informations which were filed prior to the effective date of Rule changes on January 1, 1996. There are presently four (4) Proposed Informations pending. Twenty-six (26) Informations were filed with the Advisory Committee during the year. Twenty-one (21) hearings were held before Disciplinary Hearing Panels and five (5) Informations were awaiting Disciplinary Hearing Panel hearings at the close of the period.
During 1997 seventy-one (71) complaint files were referred to the Advisory Committee wherein complainants were seeking review by the Advisory Committee. Twenty-eight (28) of the files have been dismissed by the Advisory Committee during the year and one (1) complaint file was referred to a Circuit Bar Committee for investigation and is presently pending.
IX.
During the year the Kansas City Metropolitan Bar Association and the Bar Association of Metropolitan St. Louis continued to provide assistance to the CircuitBar Committees for the 16th, 21st and 22nd Circuits. The committees, and the office of Chief Disciplinary Counsel are grateful to these voluntary Bar Associations for their cooperation and assistance.
Cir. Compls. Compls. Compls. Admonitions
Pending Referred Disposed
1/1/97 1997 in 1997
-------------------------------------------------------------------------
16th 169 238 158 35
21st 139 215 158 33
22nd 74 164 117 7
25th 1 1 1
SUMMARY
During 1997 twenty-seven (27) lawyers were disbarred, sixteen (16) lawyers were ordered suspended, and thirteen (13) public reprimands were issued by the Court. This resulted in one hundred thirty-eight (138) complaint files being closed due to disbarment or suspension of attorneys; additional complaint files that were still in the process may have been closed due to disbarment of the attorneys. One hundred fifty-three (153) written admonitions were administered by the Circuit Bar Committees and the office of Chief Disciplinary Counsel. The above includes proceedings begun by all committees and the office of Chief Disciplinary Counsel.
The total number of complaints opened during 1997 was nine hundred thirty-five (935). In analyzing the nature of the complaint and the field of practice most likely to produce complaints, the results are as follows:
NO. Nature of Violations NO. Area of Practice
663 Rule 1.4 (Communication) 208 Domestic
612 Rule 1.3 (Diligence) 138 Torts
230 Rule 1.16 (Terminating Representation) 133 Criminal Law
214 Rule 8.4(c) (Dishonesty, Fraud, Deceit, 124 Litigation
Misrepresentation) 71 Estate/Probate/
Wills/Trust
124 Rule 1.5 (Fees) 41 Other
122 Rule 1.15 (Safekeeping Property) 39 Bankruptcy/Receivership
66 Rule 1.1 (Competence) 39 Workers Comp
NO. NATURE OF VIOLATIONS NO AREA OF PRACTICE
57 Rule 1.7 (Conflicts) 28 Traffic
30 Rule 5.5(c) (MCLE Non-Compliance) 25 Real Property
26 Rule 3.4 (Fairness to System/Obstruction) 15 Administrative/
Governmental
18 Rule 7.2 (Advertising) 15 Collections
16 Rule 8.4(g) (Bias and Prejudice) 14 Labor Law
15 Rule 3.3 (Candor to Tribunal) 8 Corporate/Banking
15 Rule 8.4(b) (Criminal Conduct -
fitness to practice) 6 Consumer Law
12 Rule 1.6 (Confidentiality) 6 Contracts
14 Rule 3.5 (Impartiality) 5 Civil Rights
13 Rule 1.8 (Conflict/Transactions) 4 Insurance
10 Rule 4.1 (Truthfulness) 4 Juvenile
9 Rule 1.9 (Conflict/Former Clients) 4 Securities
9 Rule 5.5 (Unauthorized Practice of Law) 3 Commercial Law
8 (Other) 3 Landlord/Tenant
6 Rule 1.2 (Scope of Representation) 1 Guardianship
6 Rule 1.9 (Conflict/Former Clients) 1 Immigration/
Naturalization
6 Rule 7.3 (Direct Contact with
Prospective Clients) 1 Patent/Trademark
/Copyright
6 Rule 8.4(d) (Prejudice to Justice) 1 Taxation
5 Rule 1.7(b)(Material Limitation Conflict)
5 Rule 8.1(b) (Failure to Respond to Disciplinary
Authority)
4 Rule 4.2 (Communication with Represented Person)
3 Rule 8.4 (Misconduct in Justice)
2 Rule 1.10 (Imputed Disqualification)
2 Rule 1.11 (Successive Government & Private Employment)
2 Rule 1.16(d) (Withdrawal Protection)
2 Rule 3.8 (Prosecutor Responsibilities)
2 Rule 4.3 (Unrepresented Persons)
2 Rule 5.3(b) (Supervisor Responsibility)
2 Rule 8.1 (Bar Admission)
2 Rule 8.2 (Judicial and Legal Officials)
1 Rule 3.1 (Meritorious Claims)
1 Rule 3.2 (Expediting Litigation)
1 Rule 3.6 (Trial Publicity)
1 Rule 4.4 (Respect for Third Persons)
1 Rule 5.1 (Partner/Supervisor Responsibility)
1 Rule 5.3 (Responsibility for Non-Lawyer Staff)
1 Rule 7.1(a) (Misrepresentation of Fact or Law)
1 Rule 7.1(b) (Material Omission)
1 Rule 7.1(c) (Unjustified Expectation)
1 Rule 7.5(a) (Firm Name/Letterhead Violation)
Dated at the office of Chief Disciplinary Counsel at Jefferson City,
Missouri this 31st day of May, 1998.
Respectfully Submitted,
JOHN E. HOWE
Chief Disciplinary Counsel
MISSOURI BAR
COMPLAINT RESOLUTION PROGRAM
ACTIVITY REPORT
Year-to-date
1/1/97 to 12/31/97
Cases Referred from OCDC 77
Conferences Held with Parties 44
Agreements Reached 33
Agreement Not Reached 6
Complainant Did Not Appear 4
Parties Resolved the Matter Themselves
Without a Conference 12
Complainant Did Not Agree to
Participate in Conference 13
Lawyer Did Not Agree to Participate
or Answer Complaint 5
Pending Conference Report 8
Cases Pending Receipt of Response
and Consent Forms 8
TYPES OF MATTERS NATURE OF COMPLAINTS
Other 20 Diligence 22
Domestic 17 Client Communication 20
Workers Comp. 8 Other 12
Personal Injury 7 Competence 9
Estate/Probate 4 Client's Directive 5
Criminal Law 4 Rude Behavior 4
Bankruptcy 3 Conflicts 2
Real Estate 3 Confidentiality 1
Traffic 3 Fees 1
Litigation 3 Improper Withdrawal 1
Corporate/Banking 2
Insurance 1
Labor Law 1
Landlord/Tenant 1
LOCATION OF LAWYERS INVOLVED IN COMPLAINT
Branson 1 Joplin 1 Paris 1
Cape Girardeau 2 Kansas City 17 Pleasant Hill 1
Carrollton 1 Kearney 1 Potosi 2
Cassville 1 Leawood, KS 1 Sikeston 1
Chesterfield 1 Lebanon 1 Springfield 5
Clayton 5 Liberty 2 St. Charles 2
Creve Coeur 1 New London 1 St. Genevieve 1
Hermitage 1 O Fallon 1 St. Joseph 1
House Springs 1 Overland Park,KS 1 St. Louis 19
Independence 3 Ozark 1