2020 WI 49
SUPREME COURT OF WISCONSIN
CASE NO.: 2019AP1175-D
COMPLETE TITLE: In the Matter of the Disciplinary Proceedings
Against Diane R. Caspari, Attorney at Law:
Office of Lawyer Regulation,
Complainant,
v.
Diane R. Caspari,
Respondent.
DISCIPLINARY PROCEEDINGS AGAINST CASPARI
OPINION FILED: MAY 28, 2020
SUBMITTED ON BRIEFS:
ORAL ARGUMENT:
SOURCE OF APPEAL:
COURT:
COUNTY:
JUDGE:
JUSTICES:
Per Curiam
NOT PARTICIPATING:
ATTORNEYS:
2020 WI 49
NOTICE
This opinion is subject to further
editing and modification. The final
version will appear in the bound
volume of the official reports.
No. 2019AP1175-D
STATE OF WISCONSIN : IN SUPREME COURT
In the Matter of the Disciplinary Proceedings
Against Diane R. Caspari, Attorney at Law:
Office of Lawyer Regulation, FILED
Complainant, MAY 28, 2020
v. Sheila T. Reiff
Clerk of Supreme Court
Diane R. Caspari,
Respondent.
ATTORNEY disciplinary proceeding. Attorney's license
suspended.
¶1 PER CURIAM. We review a stipulation pursuant to
Supreme Court Rule (SCR) 22.12 between the Office of Lawyer
Regulation (OLR) and Attorney Diane R. Caspari. The stipulation
states that Attorney Caspari committed three counts of misconduct
arising out of her failure to make payments to Clinical Psychology
Associates, which conducted evaluations into criminal cases which
had been assigned to Attorney Caspari by the Office of the State
Public Defender (SPD). The stipulation requests that this court
impose a 90-day suspension of Attorney Caspari's license to
No. 2019AP1175-D
practice law in Wisconsin and that she be ordered to pay
restitution.
¶2 Upon careful review of the matter, we accept the
stipulation, impose the requested discipline and order
restitution. Because the matter has been resolved by means of a
stipulation, without the need for the appointment of a referee, we
impose no costs on Attorney Caspari.
¶3 Attorney Caspari was admitted to the practice of law in
Wisconsin in 2004 and practices in Milwaukee. In 2015, she
received a consensual private reprimand for misconduct involving
two client matters in which she failed to respond to clients'
inquiries regarding the status of their matter and in which she
charged a client for legal fees even though she did not perform
the work. She also failed to refund unearned fees upon termination
of the representation. Private Reprimand No. 2015-21 (electronic
copy available at https://compendium.
wicourts.gov/app/raw/002809.html).
¶4 In 2016, pursuant to another SCR 22.12 stipulation, this
court suspended Attorney Caspari's law license for 60 days for
misconduct arising out of four client matters and involving various
counts of misconduct, including billing the SPD for tasks that she
did not actually perform and failing to correct invoices or refund
those fees for years. In re Disciplinary Proceedings Against
Caspari, 2016 WI 72, 371 Wis. 2d 567, 882 N.W.2d 852.
¶5 The OLR filed a three-count complaint against Attorney
Caspari on June 28, 2019. The parties' stipulation was filed on
February 10, 2020.
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¶6 The stipulation states that on December 19, 2013, the
SPD appointed Attorney Caspari to represent J.P. on felony criminal
charges in Kenosha County. A competency hearing was scheduled for
January 10, 2014.
¶7 The SPD also appointed Attorney Caspari to represent
K.W. in a juvenile matter in Kenosha County.
¶8 Attorney Caspari hired Dr. David Thompson's office,
Clinical Psychology Associates, to conduct an evaluation of J.P.
and a legal competency evaluation for K.W.
¶9 Dr. Thompson submitted invoices to Attorney Caspari for
services he provided on behalf of J.P. and K.W. The SPD authorized
payment to Dr. Thompson for the evaluations.
¶10 On September 21, 2016, the Wisconsin Department of
Administration (DOA) issued payment to Attorney Caspari, in care
of Daniels Capital Corporation (Daniels), a financing company that
provides advance payments to government-appointed criminal defense
attorneys, for Dr. Thompson's services related to J.P. Daniels
issued payments to Attorney Caspari. She did not deposit the funds
into a trust account, instead depositing them into her business
checking account. Attorney Caspari did not promptly provide Dr.
Thompson with notice of her receipt of the funds, nor did she
promptly deliver the funds to him.
¶11 On November 23, 2016, the DOA issued a payment to
Attorney Caspari, in care of Daniels, for Dr. Thompson's services
related to K.W. Daniels issued payment to Attorney Caspari. She
did not deposit the funds into a trust account, instead depositing
them into her business checking account. Attorney Caspari did not
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promptly provide Dr. Thompson with notice of her receipt of the
funds, nor did she promptly deliver the funds to him. She used
the funds for her own purposes.
¶12 In June 2017, Dr. Thompson's office contacted the SPD
regarding problems in collecting payments for work completed for
Attorney Caspari's SPD clients. Attorney Caspari sent
Dr. Thompson an email acknowledging that she owed him $3,642.50
for J.P. and $1,320 for K.W. She said, "I had thought that I paid
the latter but did not." She proposed a payment plan that would
commence in July 2017 and conclude with full reimbursement to Dr.
Thompson by November 2017.
¶13 On or about July 21, 2017, Attorney Caspari made a $50
payment toward Dr. Thompson's bill in the J.P. matter. She paid
Dr. Thompson an additional $50 on or about June 7, 2019 and has
paid nothing further to Dr. Thompson since that time.
¶14 By virtue of the stipulation, Attorney Caspari
stipulates to the following counts of misconduct:
Count 1: By failing to deposit into a trust account
funds intended for payment to Dr. Thompson, Attorney
Caspari violated SCR 20:1.15(b)(1).1
Count 2: By failing to promptly notify Dr. Thompson of
her receipt of funds intended for payment of his
1 SCR 20:1.15(b)(1) provides:
A lawyer shall hold in trust, separate from the
lawyer's own property, that property of clients and 3rd
parties that is in the lawyer's possession in connection
with a representation. All funds of clients and 3rd
parties paid to a lawyer or law firm in connection with
a representation shall be deposited in one or more
identifiable trust accounts.
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services, and by failing to promptly disburse those
funds to him, Attorney Caspari violated
SCR 20:1.15(e)(1). 2
Count 3: By converting to her own use State-issued funds
intended for payment to Dr. Thompson, Attorney Caspari
violated SCR 20:8.4(c).3
¶15 Attorney Caspari represents that she fully understands
the misconduct allegations; she fully understands the
ramifications should this court impose the stipulated level of
discipline; she fully understands her right to contest the matter;
she fully understands her right to consult with counsel and says
she has retained and consulted with counsel; she states her entry
into the stipulation is made knowingly and voluntarily; and
represents her decision not to contest the misconduct alleged in
the complaint or the level and type of discipline sought by the
OLR's director.
¶16 Attorney Caspari further avers that from December 2013
through June 2017, she believed she was suffering from severe
anxiety and chronic depression which was causing severe emotional
2 SCR 20:1.15(e)(1) provides:
Upon receiving funds or other property in which a
client has an interest, or in which a lawyer has received
notice that a 3rd party has an interest identified by a
lien, court order, judgment, or contract, the lawyer
shall promptly notify the client or 3rd party in writing.
Except as stated in this rule or otherwise 148 permitted
by law or by agreement with the client, the lawyer shall
promptly deliver to the client or 3rd party any funds or
other property that the client or 3rd party is entitled
to receive.
SCR 20:8.4(c) provides: "It is professional misconduct for
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a lawyer to engage in conduct involving dishonesty, fraud, deceit
oar misrepresentation."
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No. 2019AP1175-D
dysfunction; that she was under the care of a healthcare
professional for those conditions; and that if a hearing had been
held she would have been prepared to admit evidence that the
condition contributed to the misconduct described in the
stipulation.
¶17 In its memorandum in support of the stipulation, the OLR
points to prior decisions in which this court imposed 90-day
suspensions for somewhat analogous conduct. In re Disciplinary
Proceedings Against Alfredson, 2019 WI 17, 385 Wis. 2d 565, 923
N.W.2d 869 (imposing 90-day suspension for professional misconduct
in two client matters and failure to cooperate with the OLR's
investigation. The misconduct included failing to hold a client's
funds in trust and failing to promptly deliver funds collected in
connection with the attorney's representation of a client to the
client's ex-wife's lawyer); In re Disciplinary Proceedings Against
Wood, 2013 WI 11, 345 Wis. 2d 279, 825 N.W.2d 473 (imposing 90-
day suspension for seven counts of misconduct including failing to
hold client's settlement funds in trust; failing to provide the
client with a written fee agreement; failing to keep a client
informed about the status of their matter; and withdrawing funds
from a client trust account via teller transactions).
¶18 After careful review of this matter, we accept the
stipulation and impose the requested discipline. Although no two
disciplinary proceedings are identical, the misconduct at issue
here is somewhat analogous to Alfredson and Wood, in which 90-day
suspensions were imposed. We agree with the OLR's comments in its
memorandum in support of the stipulation that Attorney Caspari's
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misconduct is aggravated by the fact that she has been disciplined
on two prior occasions. In mitigation of her misconduct, the OLR
says Attorney Caspari has been cooperative in the investigation
and prosecution of this matter. She has shown remorse. She has
acknowledged her misconduct and entered into the stipulation. She
also asserts that she suffered from personal or emotional problems
during the time the misconduct occurred.
¶19 Upon consideration of the misconduct and the aggravating
and mitigating factors, we agree that a 90-day license suspension
is an appropriate sanction for Attorney Caspari's misconduct. We
also agree that she should be ordered to pay $4,862.50 in
restitution to Dr. David Thompson. Because this matter was
resolved by means of a stipulation, without the need for the
appointment of a referee, we impose no costs on Attorney Caspari.
¶20 IT IS ORDERED that the license of Diane R. Caspari to
practice law in Wisconsin is suspended for a period of 90 days,
effective July 9, 2020.
¶21 IT IS FURTHER ORDERED that within 60 days of the date of
this order Diane R. Caspari shall pay to Dr. David Thompson the
sum of $4,862.50.
¶22 IT IS FURTHER ORDERED that Diane R. Caspari shall comply
with the provisions of SCR 22.26 concerning the duties of a person
whose license to practice law in Wisconsin has been suspended.
¶23 IT IS FURTHER ORDERED that compliance with all
conditions of this order is required for reinstatement. See
SCR 22.28(2).
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