STATEWIDE GRIEVANCE COMMITTEE

Grievance Complaint #97-0723

Paula Smith Leo

Complainant :

vs.

Judith A. Dos Santos

Respondent :

DECISION

Pursuant to Practice Book '2-35, the undersigned, duly-appointed reviewing committee of the Statewide Grievance Committee, conducted a hearing at the Superior Court, 235 Church Street, New Haven, Connecticut on September 2, 1998. The hearing addressed the record of the complaint filed on March 6, 1998, and the probable cause determination filed by the Waterbury Judicial District Grievance Panel on May 1, 1998, finding that there existed probable cause that the Respondent violated Rule 1.4(a) and (b) and Rule 1.15(b) of the Rules of Professional Conduct and Practice Book Sections 2-27(d) and (e).

Notice of the hearing was mailed to the Complainant and to the Respondent on July 22, 1998. Neither the Complainant nor the Respondent appeared. A subpoena issued on the Respondent was not served by the sheriff. The reviewing committee took the matter on the papers.

This reviewing committee finds the following facts by clear and convincing evidence:

The Respondent handled a real estate closing for the sale of the Complainant's residence on October 31, 1997. In order to pay an outstanding mortgage to Great Western Mortgage Company, the Respondent needed a payoff figure. The Complainant indicated in her complaint that the Respondent had the figures by October 29, 1997 and was provided with the payoff figures again two weeks later. The Respondent, however, did not pay off the mortgage until December of 1997. The Complainant also did not receive from the Respondent approximately $6,000.00 in net proceeds from the closing. The Respondent did not return the Complainant's telephone calls. The Respondent did not file a written reply to the grievance complaint.

This reviewing committee finds the following violations of the Rules of Professional Conduct by clear and convincing evidence:

This reviewing committee concludes that the Respondent has not provided an accounting to the Complainant of the proceeds of the October 31, 1997 closing, in violation of Rule 1.4(a) and (b) of the Rules of Professional Conduct. In addition, the Respondent's failure to promptly pay off the mortgage constituted a violation of Rule 1.15(b) of the Rules of Professional Conduct. The Respondent did not promptly disburse or account to the Complainant for approximately $6,000.00 net proceeds to the Complainant from the closing, in violation of Rule 1.15(b) of the Rules of Professional Conduct. We also find that the Respondent violated Practice Book Section 2-27 by not properly complying with the attorney registration requirements. It is our decision to PRESENT the Respondent to the Superior Court for whatever discipline the court deems appropriate.

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Attorney Kerry A. Tarpey

___________________________________

Attorney Lorraine D. Eckert

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Mr. Marcus R. McCraven