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In re Disciplinary Proceedings Against Konnor3/25/2005
1996, 1997, 1998, and 1999. Although penalties and interest had resulted from the late filing of the returns, Konnor failed to advise the heirs about the penalties or interest.
. On May 25, 2001, Konnor liquidated the estate's mutual funds and deposited the proceeds in a noninterest-bearing account having a balance of over $61,000. In May 2001 Konnor wrote to the heirs for the first time since October 1997, informing them that all of the tax returns had been filed except for the 2001 returns which Konnor wrote would be filed in the near future.
. Konnor later advised the heirs that he would be making distributions and closing the estate. On January 15, 2002, Konnor filed a Department of Revenue form required for a fiduciary closing of an estate; he also asked the accountant to complete the final tax return for the estate. The information he provided revealed that for an extended period of time, more than $58,000 of the estate's funds had remained in a non-interest bearing account.
. Subsequently the probate court ordered Konnor to file the final account by April 8, 2003; he did not do so. At an April 15, 2003, hearing, Konnor told the court that he had problems balancing the final account.
. Konnor finally filed the final account on May 15, 2003, and distributions were made to the various heirs in July 2003.
. This course of conduct led to Count Six of the OLR complaint which alleged that by failing to provide the heirs with a copy of the inventory, by failing to notify the heirs of the misappropriation of the estate funds, and by failing to notify the heirs of the penalties the estate had incurred with respect to the late tax filings, Konnor had failed to explain a matter to the extent reasonably necessary to permit the heirs to make informed decisions regarding the representation, in violation of SCR 20:1.4(b).
. Similarly, in Count Seven, OLR alleged that by depositing large sums of the estate's assets into a noninterest-bearing checking account for extended periods of time, Konnor had violated SCR 20:1.15(c)(1)a. . Finally, in Count Eight, OLR alleged that by failing to close the estate for more than five years, Konnor had failed to act with reasonable diligence and promptness, in violation of SCR 20:1.3.
. After determining that OLR had proven by clear and convincing evidence all eight counts of misconduct as alleged in its complaint, the referee then turned to an appropriate sanction to be recommended for Konnor's misconduct. In his report, the referee identified several aggravating factors including the number of rules violations Konnor had committed, his serious neglect of the probate matter, Konnor's lack of concern in keeping the heirs advised of the status of the matter over a number of years, and his lack of proper handling of estate assets. Balanced against those aggravating factors, the referee noted several mitigating factors including Konnor's cooperativeness with OLR, his lack of a history of prior professional discipline, the fact that Konnor had not misappropriated any of the estate's assets for his own use, his good faith effort to restore the assets stolen by his brother, and finally, his remorse. The referee recommended, in light of prior cases with similar facts, that a public reprimand was an appropriate sanction for Konnor's professional misconduct. The referee also recommended that Konnor be required to pay all the costs of the disciplinary proceeding now totaling $11,365.06.
. As noted, the only matter in dispute before this court is Konnor's request that he be absolved from paying all of the costs; he maintains that he should only pay those costs incurred before the referee's
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