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In re Henderson5/26/2000
ATTORNEY DISCIPLINARY PROCEEDINGS
This attorney disciplinary proceeding arises from seven counts of formal charges filed by the Office of Disciplinary Counsel ("ODC") against respondent, Edward L. Henderson, an attorney licensed to practice law in the State of Louisiana.
UNDERLYING FACTS
The Rendina Matter
Dr. Robert C. Rendina, a Ruston, Louisiana chiropractor, treated many of respondent's clients in connection with personal injury cases. In late 1994 and early 1995, respondent reached settlements in the cases of four such clients, and retained funds from these settlements to pay Dr. Rendina. However, respondent failed to maintain these funds in his trust account and failed to promptly pay them to Dr. Rendina. Dr. Rendina eventually filed a complaint with the ODC. Thereafter, between June 1995 and June 1996, respondent paid the funds retained from the settlements of these four clients to Dr. Rendina.
In addition, the ODC requested that respondent provide evidence concerning settlements in the cases of five other clients who were treated by Dr. Rendina. Respondent failed to provide the requested information to the ODC regarding these clients.
The Humphrey Matter
Bertha Humphrey retained respondent to handle her late husband's succession. In February 1993, Mrs. Humphrey gave respondent a money order in the amount of $11,891.49, representing an advance deposit against attorney's fees and costs in the succession matter. Respondent failed to account to Mrs. Humphrey for these funds.
Earlier, in April 1992, Mrs. Humphrey had also entrusted $9,055 in cash to respondent for safekeeping. Respondent did not place these funds in a trust account, and did not make full restitution to Mrs. Humphrey until March 1996.
DISCIPLINARY PROCEEDINGS
Formal Charges
After investigation, the ODC filed seven counts of formal charges against respondent. Four of these counts involved respondent's failure to maintain the settlement funds of the four clients in the Rendina matter in a trust account, and his failure to remit these funds to the health care provider. Additionally, respondent was charged with one count of failure to cooperate due to his refusal to produce the records of the other clients in the Rendina matter. Finally, respondent was charged with two counts of commingling and conversion in the Humphrey matter.
Hearing Committee Recommendation
A formal hearing was conducted before the hearing committee. After considering the witness testimony and documentary evidence, the hearing committee found the ODC proved the factual allegations of the formal charges by clear and convincing evidence. It found respondent admitted to conversion, because he acknowledged that on several occasions, his trust account fell below the amount he should have retained for Dr. Rendina. The committee determined that respondent's delay in paying Dr. Rendina and in handling the Humphrey matter evidenced a failure to act with diligence and promptness. The committee also found that respondent failed to keep client and third-party funds in a separate trust account. However, the committee found the failure to cooperate charge was not proven because respondent had asserted a Fifth Amendment privilege and this assertion "arguably justified his refusal to furnish certain information."
Turning to the issue of an appropriate sanction, the committee recognized as aggravating factors multiple offenses, substantial experience in the practice of law, and vulnerability of the victim, in particular Mrs. Humphrey. As mitigating factors, the committee recognized that respondent has
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