January 1, 1999, through December 31, 1999
CBD # 4530

Pursuant to the provisions of Rule 14.1, Rules Governing Disciplinary Proceedings, 5 O.S. ch. 1, app. 1-A (1991), this is the Annual Report of complaints received and processed for 1999 by the Professional Responsibility Commission and the Professional Responsibility Tribunal.

The Oklahoma Rules of Professional Conduct, 5 O.S. ch. 1, app. 3-A (1991), is the standard of conduct adopted and enforced by the Supreme Court of the State of Oklahoma, and provides guidelines by which all attorneys are to practice law in Oklahoma. The Rules Governing Disciplinary Proceedings, provides the rules and procedures governing disciplinary proceedings.

THE PROFESSIONAL RESPONSIBILITY COMMISSION:

The Commission is composed of seven persons - five lawyers 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 1999 were Donald Benson, Alva; J. Duke Logan, Vinita; Ronald Main, Tulsa; Patrick J. Morgan, Oklahoma City; Mart Tisdal, Clinton. Non-Lawyer members were Louise Brown, Lawton; and Ami Shaffer, Claremore. Ellis Cabaniss was appointed to complete the unexpired term of Mart Tisdal, Clinton, effective February 19, 1999.

J. Duke Logan 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 attorneys and one non-lawyer member. The Trial Panel presides at the hearings 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 1999 were: Carolyn Cummins, Oklahoma City; B. Wayne Dabney, Oklahoma City; Michael D. DeBerry, Idabel; Mark Dixon, Tulsa; David B. Donchin, Oklahoma City; M. Ellen Feaver, Norman; Robert L. Hert, Jr., Stillwater; Carolyn Gregg Hill, Oklahoma City; D. William Jacobus, Jr., Tulsa; Leonard Logan, IV, Vinita; Dan Morgan, Tulsa; Cynthia Sparling, Oklahoma City; Tom R. Stephenson, Watonga; and Phillip K. Thompson, Jay. Millie Otey, Tulsa, and Harry Woods, Jr., Oklahoma City, were appointed to replace expired terms of M. Ellen Feaver, Norman, and Philip K. Thompson, Jay; and Carolyn C. Cummins, David B. Donchin and Carolyn Gregg Hill were reappointed to serve a second term. The non-lawyer members were: Charles Burton, Oklahoma City; Ann Holloway, Ardmore; Gene Moses, Sayre; Gene Olson, Oklahoma City; Dean Thomas, Tulsa; Herman Hackett, Enid; and Richard Palmer, III, Oklahoma City. Ann Holloway was reappointed to a second term to expire in 2002. On July 1, 1999, Mark Dixon was reappointed to serve a one-year term as Chief Master; and Robert L. Hert, Jr. was reappointed to serve a one-year term as Vice Chief Master.

VOLUME OF GRIEVANCES:

The Office of the General Counsel received 415 formal grievances, involving 320 attorneys, and 1,068 informal grievances involving 762 attorneys, totaling 1,483 grievances received against 959 actual attorneys complained against for 1999. The total number of attorneys differs because some attorneys received both formal and informal grievances. In addition, the Office handled 311 items of general correspondence, which is mail not considered to be a grievance against an attorney.

The Oklahoma County and the Tulsa 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, 1999, 274 formal grievances were carried over from the previous year. During 1999, 415 formal grievances were opened for investigation. The carryover accounted for a total caseload of 689 formal investigations pending throughout 1999. Of those grievances, 354 investigations were completed by the Office of the General Counsel and presented for review to the Professional Responsibility Commission. Therefore, 335 investigations were pending on December 31, 1999.

The time required for investigating and concluding each grievance fluctuates 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. The Board of Governors is also provided a numerical report each month concerning the activity of the Office of the General Counsel.

DISCIPLINE BY THE PROFESSIONAL RESPONSIBILITY COMMISSION:

During 1999, the Commission voted the filing of formal disciplinary charges against 21 lawyers involving 59 grievances.

Pursuant to Rule 5.3(c) of the Rules Governing Disciplinary Proceedings, the Professional Responsibility Commission has the authority to impose private reprimands to attorneys, with the consent of the attorney, in matters of less serious misconduct or if mitigating factors reduce the sanction to be imposed. During 1999, the Commission issued private reprimands to 9 attorneys involving 16 grievances.

In addition, 33 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. The Commission dismissed 246 grievances due to lack of merit or loss of jurisdiction of the respondent.

DISCIPLINE IMPOSED BY SUPREME COURT:

In 1999, 28 cases were acted upon by the Supreme Court. Three cases were dismissed, two attorneys were privately reprimanded, and two attorneys were suspended indefinitely under a Rule 10 proceeding. The public sanctions are as follows:

Disbarment:

Resignations Pending Disciplinary Proceedings Approved by Court:

Disciplinary Suspensions:

Public Censure:

There were 30 cases pending before the Supreme Court on January 1, 1999. 22 formal complaints, two judgment and sentences, and five resignations pending disciplinary proceedings that were not otherwise accounted for were filed during 1999. There were six reinstatements pending on January 1, 1999, and eight petitions for reinstatement were filed in 1999. The Supreme Court approved five reinstatements, denied one, one was dismissed, and three were withdrawn by the petitioner. On December 31, 1999, there were four petitions for reinstatement and 31 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, 1999, was 14,605 attorneys, with an active in-state membership of 11,304. Considering only the 11,304 active in-state attorneys, the receipt of 1,483 formal and informal grievances during 1999, involving 959 attorneys, constituted approximately 8.5 percent of the active in-state lawyers.

A breakdown of the type of attorney misconduct alleged in the 415 formal grievances received by the Office of the General Counsel is as follows: 

Of the 415 grievances registered, the area of practice is as follows:

 Of the 320 attorneys receiving formal complaints, the number of years they have practiced is as follows:

The largest number of grievances were against those in-state attorneys who have been in practice from 25 years or more. The largest number of attorneys practicing in one of the specified groups have been in practice 25 years or more.

Of the 415 formal grievances filed against 320 attorneys in 1999, 181 are urban attorneys and 139 attorneys live and practice in rural areas.

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, 1999, 17 cases were pending before the Tribunal. In 1999, 21 cases were presented to the Tribunal plus one case was remanded back to the Tribunal by the Supreme Court for a total of 39 cases pending throughout the year. Of those, the Tribunal heard and filed reports on 18 cases. In two cases the respondent resigned pending disciplinary proceedings, one case was consolidated with a case that was pending, one case was filed asking for an interim suspension, and a Motion to Dismiss was filed in one case therefore eliminating any further action by the Tribunal. On December 31, 1999, 16 cases were pending before the Tribunal.

On January 1, 1999, four petitions for reinstatement were pending with the Tribunal and eight new petitions were filed throughout the year. Of these 12 petitions for reinstatement, seven cases were heard or reports were filed by the Tribunal and three were withdrawn by the petitioner, leaving two cases pending on December 31, 1999.

ETHICS AND EDUCATION:

At the direction of the Professional Responsibility Commission, the attorneys in the Office of the General Counsel provide informal ethics counseling to members of the Oklahoma Bar Association. This service assists attorneys in considering the ethical rules prior to the occurrence of any potential misconduct.

During 1999, the General Counsel, his staff, and the Professional Responsibility Tribunal and Commission members spoke to county bar association meetings, Continuing Legal Education 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 the disciplinary process, and informs the public of the efforts of the Oklahoma Bar Association to regulate the conduct of its members.

Respectfully submitted this 28th day of April, 2000, 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