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In re Galloway6/9/2000
DISCIPLINARY ACTION
The respondent, David K. Galloway, Sr., admits that he neglected the legal affairs of clients and that he failed to abide by a federal court order, an act which resulted in his being held in contempt of court. He also agrees that those acts violate the Rules of Professional Conduct for Attorneys at Law.
This attorney disciplinary matter is now before us for approval of a Statement of Circumstances and Conditional Agreement for Discipline presented to us by the respondent and the Disciplinary Commission in resolution of this matter, pursuant to Ind. Admission and Discipline Rule 23, Section 11(c). The parties' agreement calls for the respondent's suspension from the practice of law for a period of three years, without automatic reinstatement. The respondent's admission to the bar of this state on June 1, 1984, confers jurisdiction on this Court.
As to each count, the parties have stipulated to the following facts:
Count I
In July 1992, a client, serving as executrix of her grandmother's estate, hired the respondent to handle the estate proceedings. The estate was relatively small, consisting of a checking account, a savings account, a certificate of deposit, a mutual fund, and Northern Indiana Public Service Company stock. The respondent opened the estate on August 28, 1992. The client asked the respondent to file a qualified disclaimer on the checking and savings accounts and the mutual fund because her name was on those accounts, but she wanted the money to go into the estate. During the next several months, the client attempted to contact the respondent regarding the disclaimer form, but he never returned her calls.
In January 1993, the respondent advised the client that the necessary documents would be ready for her signature in one week. However, the respondent did not thereafter contact the client, and she again tried to telephone him without success. Finally, in May 1993, the respondent met with the client and presented to her documents which she signed. Among the documents was the disclaimer form. The respondent advised the client that she would receive copies of the documents in one week. Again, contrary to his assertions, the respondent did not perform. In July 1993, upon contacting the court, the client learned that the only documents on file in her grandmother's estate were those opening the estate in August 1992. Further, the court advised her that it was by then too late to file any disclaimer.
On August 4, 1993, the client advised the respondent that she was terminating the representation and she retained another attorney to close the estate.
Indiana Professional Conduct Rule 1.3 requires lawyers to act with reasonable diligence and promptness while representing clients. The respondent's failure to file with the court the disclaimer before the filing expiration violated the rule.
The respondent's failure to respond to the client's repeated telephone calls or provide her with information in response to her numerous requests for information about the estate matter violated Ind.Professional Conduct Rule 1.4(a), which requires lawyers to keep clients reasonably informed about the status of matters and promptly comply with reasonable requests for information.
Count II
From 1990 through 1996, the respondent was a partner in the law firm of Galloway and Jackson. In July 1991, an attorney associated with the respondent in the law firm filed suit for back wages on behalf of a client against the client's former employer. On June 1, 1995, the suit was dismissed for lack of prosecution pursuant to Ind.Trial Rule 41(E). The law firm did not not
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