January 1, 2003, through December 31, 2003 SCBD #4884

Pursuant to the provisions of Rule 14.1, Rules Governing Disciplinary Proceedings, 5 O.S. ch. 1, app. 1-A (2003), this is the Annual Report of complaints received and processed for 2003 by the Professional Responsibility Commission and the Professional Responsibility Tribunal.

The Oklahoma Rules of Professional Conduct, 5 O.S. ch. 1, app. 3-A (2003), is the standard of conduct adopted and enforced by the Supreme Court of the State of Oklahoma, and provide guidelines by which all attorneys are to practice law in Oklahoma. The Rules Governing Disciplinary Proceedings provide the rules and procedures governing disciplinary proceedings.

THE PROFESSIONAL RESPONSIBILITY COMMISSION:
The Commission is composed of seven persons - five lawyer and two non-lawyer members. The attorneys are selected on rotating three-year terms by the President of the Association, subject to the approval of the Board of Governors. The non-lawyers are appointed, one each, by the Speaker of the Oklahoma House of Representatives and the President Pro Tempore of the Oklahoma Senate. No member can serve more than two consecutive terms. Terms expire on December 31st at the conclusion of the three-year term.

Lawyer members serving on the Professional Responsibility Commission during 2003 were Donald Benson, Alva; Ellis Cabaniss, Clinton; Norma Eagleton, Tulsa; Tom Riesen, Oklahoma City; and W.G. "Gil" Steidley, Jr., McAlester. Non-Lawyer members were Louise Brown, Lawton; and Richard Lundy, Claremore. Bernice Shedrick, Stillwater, was appointed to fill the unexpired term of Donald Benson.

W.G. "Gil" Steidley, Jr., served as Chairperson and Louise Brown served as Vice-Chairperson. Commission members serve without compensation but are reimbursed for actual travel expenses.

Responsibilities:
The Professional Responsibility Commission considers and investigates any alleged ground for discipline, or alleged incapacity, of any lawyer called to its attention, or upon its own motion, and takes such action as deemed appropriate, including holding hearings, receiving testimony, and issuing and serving subpoenas.

Under the supervision of the Professional Responsibility Commission, the Office of the General Counsel investigates all matters involving alleged misconduct or incapacity of any lawyer called to the attention of the General Counsel by grievance or otherwise, and reports to the Professional Responsibility Commission the results of investigations made by or at the direction of the General Counsel. The Professional Responsibility Commission then determines the disposition of grievances or directs the instituting of a formal complaint for alleged misconduct or personal incapacity of an attorney with the Oklahoma Supreme Court. The attorneys in the Office of the General Counsel prosecute all proceedings under the Rules Governing Disciplinary Proceedings, supervise the investigative process, and appear at all reinstatement proceedings.

PROFESSIONAL RESPONSIBILITY TRIBUNAL:
The Tribunal is composed of twenty-one persons -- fourteen lawyers and seven non-lawyers. The attorneys are selected on rotating three-year terms by the President of the Association, subject to the approval of the Board of Governors. The non-lawyers are appointed by the Governor of the State of Oklahoma. Terms expire on June 30th at the conclusion of the three-year term.

The Supreme Court has established a panel of Masters designated to preside over and conduct hearings on formal disciplinary and incapacity hearings, as well as applications for reinstatement to the practice of law. Following the filing of a formal disciplinary complaint with the Supreme Court, a three-member panel of the Professional Responsibility Tribunal is appointed by the Chief Master, and is composed of two attorney and one non-lawyer members. The Trial Panel presides at the hearing and prepares a report including findings of fact, conclusions of law, and a recommendation to the Supreme Court as to discipline, if such is indicated.

The lawyer members of the Professional Responsibility Tribunal who served during 2003 were: Stephen Beam, Weatherford; B. Wayne Dabney, Oklahoma City; Kenneth L. Delashaw, Jr., Marietta; William R. Grimm, Tulsa; Robert Hert, Jr., Stillwater; Pat Kent, Frederick; Ronald Main, Tulsa; J. Daniel Morgan, Tulsa; David Pomeroy, Oklahoma City; Nancy Pruitt, Tulsa; Cheryl Ramsey, Stillwater; Cynthia Sparling, Oklahoma City; Peggy Stockwell, Norman; and Sidney K. Swinson, Tulsa.

Julie Bates, Oklahoma City, was appointed to fill the unexpired term of William R. Grimm, and Jan Grant Johnson, Norman, was appointed to fill the unexpired term of David Pomeroy. David L. Cummins, Hollis, and John J. Gardner, II, Ponca City, were appointed to replace Robert Hert, Jr., and B. Wayne Dabney whose terms expired June 30, 2003.

The non-lawyer members were: Jim Ambrose, Mangum; Kaye Black, Weatherford; Dale Cabbiness, Edmond; Mike Gragg, Muskogee; Herman Hackett, Enid; Rick Nagel, Norman; and Renee Warning, Edmond. Neil McElderry, Purcell; and William J. Pettit, Broken Arrow, were appointed to replace Herman Hackett and Kaye Black whose terms expired June 30, 2003.

At their annual meeting on July 1, 2003, the Professional Responsibility Tribunal voted to reappoint Dan Morgan to serve a one-year term as Chief Master and Sidney K. Swinson was reappointed to serve a one-year term as Vice Chief Master.

VOLUME OF GRIEVANCES:
The Office of the General Counsel received 453 formal grievances involving 334 attorneys, and 1,122 informal grievances involving 835 attorneys, totaling 1,575 grievances received against 1056 attorneys for 2003. The total number of attorneys differs because some attorneys received both formal and informal grievances. In addition, the Office handled 297 items of general correspondence, which is mail not considered to be a grievance against an attorney.

The Oklahoma, Tulsa and LeFlore County Bar Associations assist in the investigation of grievances against attorneys practicing in those counties and assist in arbitration of fee disputes. Those grievances thought to be in violation of the Oklahoma Rules of Professional Conduct are forwarded to the Office of the General Counsel for further investigation.

On January 1, 2003, 175 formal grievances were carried over from the previous year. During 2003, 453 formal grievances were opened for investigation. The carryover accounted for a total caseload of 628 formal investigations pending throughout 2003. Of those grievances, 452 investigations were completed by the Office of the General Counsel and presented for review to the Professional Responsibility Commission. Therefore, 176 investigations were pending on December 31, 2003.

The time required for investigating and concluding each grievance varies depending on the seriousness and complexity of the allegations and the availability of witnesses and documents. The Professional Responsibility Commission requires the Office of the General Counsel to report monthly on all informal and formal grievances received and all investigations completed and ready for disposition by the Commission. In addition, the Commission receives a monthly statistical report on the pending caseload.

DISCIPLINE BY THE PROFESSIONAL RESPONSIBILITY COMMISSION:
During 2003, the Commission voted the filing of formal disciplinary charges against 16 lawyers involving 41 grievances.

Pursuant to Rule 5.3(c) of the Rules Governing Disciplinary Proceedings, the Professional Responsibility Commission has the authority to impose private reprimands, with the consent of the attorney, in matters of less serious misconduct or if mitigating factors reduce the sanction to be imposed. During 2003, the Commission issued private reprimands to 14 attorneys involving 16 grievances.

In addition, 39 grievances were dismissed with a letter of caution that the conduct of the attorney was dangerously close to a violation of a disciplinary rule which the Commission believed warranted a warning rather than discipline and three cases were referred to the newly established Diversionary Program. The Commission dismissed 350 grievances due to lack of merit or loss of jurisdiction of the respondent. Loss of jurisdiction includes the death of the attorney, resignation pending disciplinary proceedings, lengthy suspension or disbarment or due to the attorney being stricken from membership for non-compliance with MCLE requirements or non-payment of dues.

DISCIPLINE IMPOSED BY SUPREME COURT:
In 2003, 21 cases were acted upon by the Supreme Court. There were two private reprimands and one order of dismissal issued by the Supreme Court. The public sanctions are as follows:

There were 38 cases pending before the Supreme Court on January 1, 2003. There were 17 new formal complaints filed, one Rule 7 criminal judgment and two resignations pending disciplinary proceedings filed for a total of 58 cases before the Court during 2003. There were 12 reinstatements pending on January 1, 2003, and 17 petitions for reinstatement were filed in 2003. The Supreme Court approved 13 reinstatements, denied one, and three were withdrawn by the petitioner. On December 31, 2003, there were 12 petitions for reinstatement and 37 formal complaints pending with the Supreme Court.

SURVEY OF GRIEVANCES:
In order to better inform the Supreme Court, the bar and the public of the nature of the grievances received, the numbers of attorneys complained against, and the areas of attorney misconduct involved, the following information is presented.

Total membership of the Oklahoma Bar Association as of December 31, 2003, was 15,062 attorneys. Considering the total membership, the receipt of 1,575 formal and informal grievances during 2003, involving 1,056 attorneys, constituted seven percent of the attorneys licensed to practice law by the Oklahoma Supreme Court.

A breakdown of the type of attorney misconduct alleged in the 453 formal grievances received by the Office of the General Counsel is as follows:

Of the 453 grievances registered, the area of practice is as follows:

The number of years in practice of the 334 attorneys receiving formal grievances is as follows:

The largest number of grievances received were against attorneys who have been in practice for 25 years or more. Considering the number of practicing in-state attorneys, the largest number have been in practice 25 years or more.

Of the 453 formal grievances filed against 334 attorneys in 2003, 194 are attorneys in urban areas and 125 attorneys live and practice in rural areas. Fifteen of the grievances were filed against attorneys licensed in Oklahoma but living out of state.

ACTION TAKEN BY THE PROFESSIONAL RESPONSIBILITY TRIBUNAL:
The Professional Responsibility Tribunal hears disciplinary cases filed by the General Counsel. The Tribunal also hears petitions for reinstatement filed by attorneys seeking reinstatement to the Bar Association. Both of these proceedings are filed with the Clerk of the Supreme Court.

As of January 1, 2003, 26 cases were pending before the Tribunal. In 2003, 17 cases were presented to the Tribunal by the Supreme Court for a total of 43 cases pending throughout the year. Of those, the Tribunal heard and filed reports on 16 cases and in two cases the respondent resigned pending disciplinary proceedings. On December 31, 2003, 25 cases were pending before the Tribunal.

On January 1, 2003, eight petitions for reinstatement were pending with the Tribunal and 17 new petitions were filed throughout the year. Of these 25 petitions for reinstatement, 15 cases were heard or reports were filed by the Tribunal and four were withdrawn by the petitioner, leaving six cases pending before the Tribunal on December 31, 2003.

ETHICS AND EDUCATION:
At the direction of the Professional Responsibility Commission, the attorneys in the Office of the General Counsel provided informal ethics counseling to members of the Oklahoma Bar Association. This service assisted attorneys in considering the ethical rules prior to the occurrence of any potential misconduct. This task will now be handled by the newly created position of Ethics Counsel.

During 2003, the General Counsel, his staff, and the Professional Responsibility Tribunal and Commission members spoke to county bar association meetings, Continuing Legal Education classes, law schools classes and various civic organizations. In these sessions, disciplinary and investigative procedures, case law, and ethical standards within the profession were discussed. This effort directs lawyers to a better understanding of their ethical requirements and the disciplinary process, and informs the public of the efforts of the Oklahoma Bar Association to regulate the conduct of its members. In addition, the General Counsel and assistants were regular contributors to The Oklahoma Bar Journal.

Respectfully submitted this 19th day of February, 2004, on behalf of the Professional Responsibility Tribunal, the Professional Responsibility Commission, and the Office of the General Counsel of the Oklahoma Bar Association.

Dan Murdock, General Counsel
Oklahoma Bar Association