Robert J. Fogle, Complainant vs. Mark Warren, Respondent
Grievance Complaint #97-0443
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, 95 Washington Street, Hartford, Connecticut on June 4, 1998. The hearing addressed the record of the complaint filed on November 25, 1997, and the probable cause determination filed by the Fairfield Judicial District Grievance Panel on February 27, 1998, finding that there existed probable cause that the Respondent violated Rules 1.4(a) and (b), 1.15(b), and 5.3(b) of the Rules of Professional Conduct.
Notice of the hearing was mailed to the Complainant and to the Respondent on April 21, 1998. The Complainant did not appear at the hearing. The Respondent appeared and gave testimony.
This reviewing committee finds the following facts by clear and convincing evidence:
The Complainant hired the Respondent to represent him in an accident case. The Respondent settled the case for $8,000.00 and represented to the Complainant that his outstanding bill with Bridgeport Physical Therapy and his bill with Dr. Eric Katz would be paid. The Respondent did not pay Dr. Katz or Bridgeport Physical Therapy.
This reviewing committee also considered the following:
In his answer to the grievance complaint and in testimony during our hearing, the Respondent asserted that during the period of time in question his secretary, unbeknownst to him, was embezzling funds. The Respondent testified that upon learning that the Complainant's outstanding bills with Dr. Katz and Bridgeport Physical Therapy had not been paid, he contacted Dr. Katz and Bridgeport Physical Therapy, made some payments to them, and made arrangements to pay the Complainant's outstanding balances. The Respondent, although subpoenaed to do so, did not produce any records at our hearing in support of his assertions. The Respondent testified that he would produce the records in question after the hearing. In spite of his assertion that he would do so, the Respondent did not provide this reviewing committee with any proof of payment to Dr. Katz or Bridgeport Physical Therapy or any proof that he had made arrangements with them to pay the Complainant's outstanding bills.
It is the opinion of this reviewing committee that there exists clear and convincing evidence that the Respondent violated Rules 1.15(b) and 8.1(1) of the Rules of Professional Conduct. In failing to safeguard the proceeds of the settlement of the Complainant's accident case, the Respondent violated Rule 1.15(b) of the Rules of Professional Conduct. It is also our opinion that there exists clear and convincing evidence that the Respondent misrepresented to us in the course of our hearing that he had made payments to Dr. Katz and Bridgeport Physical Therapy and that he had made arrangements to pay the Complainant's outstanding balances, in violation of Rule 8.1(1). In view of the seriousness of the misconduct, it is our decision that the Respondent be presented to the Superior Court.
Attorney Robert J. Kor
Attorney Kerry A. Tarpey
Ms. Cynthia Oneglia