Office of Lawyer Regulation v. Joseph M. Capistrant

2015 WI 88
SUPREME COURT OF WISCONSIN
CASE NO.: 2014AP2535-D
COMPLETE TITLE: In the Matter of Disciplinary Proceedings
Against
Joseph M. Capistrant, Attorney at Law:
Office of Lawyer Regulation,
Complainant,
v.
Joseph M. Capistrant,
Respondent.
DISCIPLINARY PROCEEDINGS AGAINST CAPISTRANT
OPINION FILED: August 18, 2015
SUBMITTED ON BRIEFS:
ORAL ARGUMENT:
SOURCE OF APPEAL:
COURT:
COUNTY:
JUDGE:
JUSTICES:
CONCURRED:
DISSENTED:
NOT PARTICIPATING:
ATTORNEYS:
2015 WI 88
NOTICE
This opinion is subject to further
editing and modification. The final
version will appear in the bound
volume of the official reports.
No. 2014AP2535-D
STATE OF WISCONSIN : IN SUPREME COURT
In the Matter of Disciplinary Proceedings
Against Joseph M. Capistrant, Attorney at Law:
Office of Lawyer Regulation, FILED
Complainant,
AUG 18, 2015
v.
Diane M. Fremgen
Clerk of Supreme Court
Joseph M. Capistrant,
Respondent.
ATTORNEY disciplinary proceeding. Attorney's license
suspended.
¶1 PER CURIAM. We review Referee Daniel L. Icenogle's
recommendation that the court suspend the Wisconsin law license
of Attorney Joseph M. Capistrant for a period of 90 days for
professional misconduct. The referee also recommended that
Attorney Capistrant pay the costs of the proceeding, which total
$574.94 as of June 1, 2015.
No. 2014AP2535-D
¶2 Because no appeal has been filed, we review the
referee's report pursuant to Supreme Court Rule (SCR) 22.17(2).1
After conducting our independent review of the matter, we agree
with the referee that, based on Attorney Capistrant's failure to
answer the complaint filed by the Office of Lawyer Regulation
(OLR), the OLR is entitled to a default judgment. We further
agree with the referee that Attorney Capistrant's professional
misconduct warrants a 90-day suspension of his Wisconsin law
license, and that he should be ordered to pay the full costs of
the proceeding.
¶3 Attorney Capistrant was admitted to practice law in
Wisconsin in 2007. Attorney Capistrant is also licensed to
practice law in Minnesota.
¶4 According to the OLR's complaint, Attorney
Capistrant's Wisconsin law license is currently suspended for
his failure to comply with mandatory continuing legal education
(CLE) reporting requirements, failure to pay bar dues and
assessments, and failure to file the required trust account
certification.
1
SCR 22.17(2) provides:
If no appeal is filed timely, the supreme court
shall review the referee's report; adopt, reject or
modify the referee's findings and conclusions or
remand the matter to the referee for additional
findings; and determine and impose appropriate
discipline. The court, on its own motion, may order
the parties to file briefs in the matter.
2
No. 2014AP2535-D
¶5 According to the OLR's complaint, Attorney
Capistrant's Wisconsin law license was suspended during certain
periods in the years 2010 through 2012 for his failure to comply
with mandatory CLE reporting requirements.
¶6 The OLR filed the current complaint against Attorney
Capistrant in October 2014. The complaint alleges eight counts
of professional misconduct in connection with Attorney
Capistrant's work in seven legal matters during the years 2010
through 2012.
¶7 Repeating the allegations of each separate matter here
is not necessary. Attorney Capistrant's conduct followed a
common theme. He practiced law with a suspended law license and
without telling clients, courts, and opposing counsel about his
license suspension. He failed to diligently pursue certain
cases, including matters that he allowed to languish after the
circuit court or opposing counsel voiced concerns about his law
license status. He used letterhead that stated he was "admitted
in the State of Wisconsin" when his Wisconsin law license was
suspended.
¶8 The complaint also alleges that in April 2011,
Attorney Capistrant filed a petition for reinstatement of his
Wisconsin law license, in which he failed to disclose all
incidents of practice during his period of suspension.
¶9 Based on this course of conduct, the OLR alleged in
its complaint that Attorney Capistrant:
• practiced law on behalf of various clients despite
the fact that his Wisconsin law license had been
3
No. 2014AP2535-D
suspended, contrary to SCR 31.10(1)2 and
SCR 22.26(2),3 enforced via SCR 20:8.4(f)4 (Count
One);
2
SCR 31.10(1) provides:
If a lawyer fails to comply with the attendance
requirement of SCR 31.02, fails to comply with the
reporting requirement of SCR 31.03(1), or fails to pay
the late fee under SCR 31.03(2), the board shall serve
a notice of noncompliance on the lawyer. This notice
shall advise the lawyer that the lawyer’s state bar
membership shall be automatically suspended for
failing to file evidence of compliance or to pay the
late fee within 60 days after service of the notice.
The board shall certify the names of all lawyers so
suspended under this rule to the clerk of the supreme
court, all supreme court justices, all court of
appeals and circuit court judges, all circuit court
commissioners appointed under SCR 75.02(1) in this
state, all circuit court clerks, all juvenile court
clerks, all registers in probate, the executive
director of the state bar of Wisconsin, the Wisconsin
State Public Defender’s Office, and the clerks of the
federal district courts in Wisconsin. A lawyer shall
not engage in the practice of law in Wisconsin while
his or her state bar membership is suspended under
this rule.
3
SCR 22.26(2) provides:
An attorney whose license to practice law is
suspended or revoked or who is suspended from the
practice of law may not engage in this state in the
practice of law or in any law work activity
customarily done by law students, law clerks, or other
paralegal personnel, except that the attorney may
engage in law related work in this state for a
commercial employer itself not engaged in the practice
of law.
4
No. 2014AP2535-D
• failed to act with reasonable diligence and
promptness in several client matters, contrary to
SCR 20:1.35 (Count Two);
• failed to advise clients, courts, and opposing
counsel of the suspension of his Wisconsin law
license, and thereby failed to explain matters to
the extent reasonably necessary to permit his
clients to make an informed decision regarding
representation, contrary to SCR 20:1.4(b)6 (Count
Three); engaged in conduct involving dishonesty,
fraud, deceit, or misrepresentation, contrary to
SCR 20:8.4(c)7 (Count Four); failed to notify his
clients by certified mail of his license suspension
and failed to advise them to seek legal advice
4
SCR 20:8.4(f) provides that it is professional misconduct
for a lawyer to "violate a statute, supreme court rule, supreme
court order or supreme court decision regulating the conduct of
lawyers."
5
SCR 20:1.3 provides that "[a] lawyer shall act with
reasonable diligence and promptness in representing a client."
6
SCR 20:1.4(b) provides that "[a] lawyer shall explain a
matter to the extent reasonably necessary to permit the client
to make informed decisions regarding the representation."
7
SCR 20:8.4(c) provides that it is professional misconduct
for a lawyer to "engage in conduct involving dishonesty, fraud,
deceit or misrepresentation."
5
No. 2014AP2535-D
elsewhere, contrary to SCR 22.26(1)(a) and (b),8
enforced via SCR 20:8.4(f) (Count Five); and failed
to provide written notification of his suspension
and inability to act as an attorney to the courts
and to opposing counsel, contrary to
SCR 22.26(1)(c),9 enforced via SCR 20:8.4(f) (Count
Six);
• failed to keep his clients reasonably informed and
to explain matters to the extent reasonably
necessary to permit his clients to make an informed
decision regarding representation, contrary to
8
SCR 22.26(1)(a) and (b) provide that, on or before the
effective date of license suspension, an attorney whose license
is suspended shall "[n]otify by certified mail all clients being
represented in pending matters of the suspension or revocation
and of the attorney's consequent inability to act as an attorney
following the effective date of the suspension or revocation"
and "[a]dvise the clients to seek legal advice of their choice
elsewhere."
9
SCR 22.26(1)(c) provides that, on or before the effective
date of license suspension, an attorney whose license is
suspended shall:
Promptly provide written notification to the
court or administrative agency and the attorney for
each party in a matter pending before a court or
administrative agency of the suspension or revocation
and of the attorney's consequent inability to act as
an attorney following the effective date of the
suspension or revocation. The notice shall identify
the successor attorney of the attorney's client or, if
there is none at the time notice is given, shall state
the client's place of residence.
6
No. 2014AP2535-D
SCR 20:1.4(a)(3)10 and SCR 20:1.4(b) (Count Seven);
and
• made false or misleading communications about
himself and his legal services, contrary to
SCR 20:7.1(a)11 and SCR 20:7.5(a)12 (Count Eight).
¶10 The OLR personally served the complaint and an order
to answer on Attorney Capistrant. Attorney Capistrant failed to
file an answer, and the OLR moved for default judgment.
¶11 The referee sent notice of a hearing on the OLR's
motion for default judgment by certified mail to Attorney
Capistrant, who signed for the certified letter but failed to
appear for the hearing.
¶12 The referee issued a decision recommending that this
court grant the OLR's motion for default judgment. In so doing,
10
SCR 20:1.4(a)(3) provides that a lawyer shall "keep the
client reasonably informed about the status of the matter."
11
SCR 20:7.1(a) provides that a lawyer shall not make a
false or misleading communication about the lawyer or the
lawyer's services, such that it "contains a material
misrepresentation of fact or law, or omits a fact necessary to
make the statement considered as a whole not materially
misleading."
12
SCR 20:7.5(a) provides:
A lawyer shall not use a firm name, letterhead or
other professional designation that violates SCR
20:7.1. A trade name may be used by a lawyer in
private practice if it does not imply a connection
with a government agency or with a public or
charitable legal services organization and is not
otherwise in violation of SCR 20:7.1.
7
No. 2014AP2535-D
the referee implicitly incorporated by reference the allegations
in the OLR's complaint and deemed them established. The referee
also recommended a 90-day suspension of Attorney Capistrant's
Wisconsin law license and the imposition of the full costs of
this proceeding against him.
¶13 Attorney Capistrant did not appeal from the referee's
report and recommendation. Thus, we proceed with our review of
the matter pursuant to SCR 22.17(2). We review a referee's
findings of fact subject to the clearly erroneous standard. See
In re Disciplinary Proceedings Against Eisenberg, 2004 WI 14,
¶5, 269 Wis. 2d 43, 675 N.W.2d 747. We review the referee's
conclusions of law de novo. Id. We determine the appropriate
level of discipline independent of the referee's recommendation.
See In re Disciplinary Proceedings Against Widule, 2003 WI 34,
¶44, 261 Wis. 2d 45, 660 N.W.2d 686.
¶14 We agree with the referee that Attorney Capistrant
should be declared in default. Although the OLR effected
personal service of its complaint, and although Attorney
Capistrant was given notice of the hearing on the motion for
default judgment, he failed to appear or present a defense.
Accordingly, we deem it appropriate to declare him in default.
¶15 We agree with the referee that the allegations in the
OLR's complaint have been established and that Attorney
Capistrant engaged in the eight counts of misconduct alleged in
the complaint. We further agree that a 90-day license
suspension is an appropriate sanction for Attorney Capistrant's
misconduct. See, e.g., In re Disciplinary Proceedings Against
8
No. 2014AP2535-D
Grady, 2003 WI 144, 267 Wis. 2d 115, 671 N.W.2d 649 (imposing a
90-day license suspension for attorney's representation of
clients for two years after license suspension and his
subsequent denial of this conduct to OLR staff). Finally, we
agree that Attorney Capistrant should pay the full costs of the
proceeding.
¶16 IT IS ORDERED that the license of Joseph M. Capistrant
to practice law in Wisconsin is suspended for a period of
90 days, effective September 17, 2015.
¶17 IT IS FURTHER ORDERED that within 60 days of the date
of this order, Joseph M. Capistrant shall pay to the Office of
Lawyer Regulation the costs of this proceeding.
¶18 IT IS FURTHER ORDERED that Joseph M. Capistrant shall
comply with the provisions of SCR 22.26 concerning the duties of
a person whose license to practice law in Wisconsin has been
suspended.
¶19 IT IS FURTHER ORDERED that compliance with all
conditions of this order is required for reinstatement. See
SCR 22.28(2).
9
No. 2014AP2535-D
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