State
Bar Court of California
Hearing
Department
STIPULATION
RE FACTS, CONCLUSIONS OF LAW AND DISPOSITION AND ORDER APPROVING
ACTUAL SUSPENSION
Case Number(s): 09-N-14901
In the Matter of: John Patrick Carter, Bar # 60763 , A
Member of the State Bar of California, (Respondent).
Counsel For The State Bar: Donald R. Steedman, Bar # 104927,
Counsel for Respondent: In Pro Per, Bar #
Submitted to: Settlement Judge – State Bar Court Clerk’s
Office San Francisco.
Filed: November 5, 2009
<<not>> checked. PREVIOUS STIPULATION REJECTED
Note: All information required by this form and any
additional information which cannot be provided in the space provided, must be
set forth in an attachment to this stipulation under specific headings, e.g.,
"Facts," "Dismissals," "Conclusions of Law,"
"Supporting Authority," etc.
A. Parties' Acknowledgments:
1. Respondent is a member of the State Bar of California,
admitted December 18, 1974.
2. The parties agree to be bound by the factual
stipulations contained herein even if conclusions of law or disposition are
rejected or changed by the Supreme Court.
3. All investigations or proceedings listed by case
number in the caption of this stipulation are entirely resolved by this
stipulation and are deemed consolidated. Dismissed charge(s)/count(s) are
listed under "Dismissals." The stipulation consists of 9 pages, not
including the order.
4. A statement of acts or omissions acknowledged by
Respondent as cause or causes for discipline is included under
"Facts."
5. Conclusions of law, drawn from and specifically
referring to the facts are also included under "Conclusions of Law".
6. The parties must include supporting authority for the
recommended level of discipline under the heading "Supporting
Authority."
7. No more than 30 days prior to the filing of this
stipulation, Respondent has been advised in writing of any pending
investigation/proceeding not resolved by this stipulation, except for criminal
investigations.
8. Payment of Disciplinary Costs-Respondent acknowledges
the provisions of Bus. & Prof. Code §§6086.10 & 6140.7. (Check one
option only):
checked.
Until costs are paid in full, Respondent will remain actually suspended from the
practice of law unless relief is obtained per rule 5.130, Rules of Procedure.
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checked. Costs are to be paid in equal amounts prior to February 1 for the
following membership years: . (Hardship, special circumstances or other good
cause per rule 5.132, Rules of Procedure.) If Respondent fails to pay any
installment as described above, or as may be modified by the State Bar Court,
the remaining balance is due and payable immediately.
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checked. Costs are waived in part as set forth in a separate attachment
entitled "Partial Waiver of Costs".
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checked. Costs are entirely waived.
B. Aggravating
Circumstances [for definition, see Standards for Attorney Sanctions for
Professional Misconduct, standard 1.2(b)]. Facts supporting aggravating
circumstances are required.
checked. (1) Prior record of discipline [see standard 1.2(f)]
checked. (a) State Bar Court
case # of prior case 07-O-13860
checked. (b) Date prior
discipline effective June 10, 2009.
checked. (c) Rules of
Professional Conduct/ State Bar Act violations: Rule 4-100(A)
checked. (d) Degree of prior
discipline One year suspension, stayed, probation for one year subject to
conditions including 90-day suspension
checked. (e) If Respondent
has two or more incidents of prior discipline, use space provided below. .
<<not>> checked. (2) Dishonesty: Respondent's misconduct
was surrounded by or followed by bad faith, dishonesty, concealment,
overreaching or other violations of the State Bar Act or Rules of Professional
Conduct.
<<not>> checked. (3) Trust Violation: Trust funds or
property were involved and Respondent refused or was unable to account to the
client or person who was the object of the misconduct for improper conduct
toward said funds or property.
<<not>> checked. (4) Harm: Respondent's misconduct harmed
significantly a client, the public or the administration of justice.
<<not>> checked. (5) Indifference: Respondent demonstrated
indifference toward rectification of or atonement for the consequences of his
or her misconduct.
<<not>> checked. (6) Lack of Cooperation: Respondent
displayed a lack of candor and cooperation to victims of his/her misconduct or
to the State Bar during disciplinary investigation or proceedings.
<<not>> checked. (7) Multiple/Pattern of Misconduct:
Respondent's current misconduct evidences multiple acts of wrongdoing or demonstrates
a pattern of misconduct.
<<not>> checked. (8) No aggravating circumstances are
involved.
Additional aggravating circumstances: .
C. Mitigating Circumstances [see standard 1.2(e)]. Facts supporting
mitigating circumstances are required.
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checked. (1) No Prior Discipline: Respondent has no prior record of
discipline over many years of practice coupled with present misconduct which is
not deemed serious.
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checked. (2) No Harm: Respondent did not harm the client or person who was
the object of the misconduct.
checked.
(3) Candor/Cooperation: Respondent displayed spontaneous
candor and cooperation with the victims of his/her misconduct and to the State
Bar during disciplinary investigation and proceedings.
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checked. (4) Remorse: Respondent promptly took objective steps
spontaneously demonstrating remorse and recognition of the wrongdoing, which
steps were designed to timely atone for any consequences of his/her
misconduct.
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checked. (5) Restitution: Respondent paid $ on in restitution to without
the threat or force of disciplinary, civil or criminal proceedings.
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checked. (6) Delay: These disciplinary proceedings were excessively
delayed. The delay is not attributable to Respondent and the delay prejudiced
him/her.
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checked. (7) Good Faith: Respondent acted in good faith.
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checked. (8) Emotional/Physical Difficulties: At the time of the stipulated
act or acts of professional misconduct Respondent suffered extreme emotional
difficulties or physical disabilities which expert testimony would establish
was directly responsible for the misconduct. The difficulties or disabilities
were not the product of any illegal conduct by the member, such as illegal drug
or substance abuse, and Respondent no longer suffers from such difficulties or
disabilities.
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checked. (9) Severe Financial Stress: At the time of the misconduct,
Respondent suffered from severe financial stress which resulted from
circumstances not reasonably foreseeable or which were beyond his/her control
and which were directly responsible for the misconduct.
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checked. (10) Family Problems: At the time of the misconduct, Respondent
suffered extreme difficulties in his/her personal life which were other than
emotional or physical in nature.
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checked. (11) Good Character: Respondent's good character is attested to by a
wide range of references in the legal and general communities who are aware of
the full extent of his/her misconduct.
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checked. (12) Rehabilitation: Considerable time has passed since the acts of
professional misconduct occurred followed by convincing proof of subsequent
rehabilitation.
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checked. (13) No mitigating circumstances are involved.
Additional mitigating circumstances:
D.
Discipline:
<<not>> checked. (1) Stayed Suspension:
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checked. (a) Respondent must be suspended from the practice of law for a period
of .
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checked. i. and until Respondent shows proof satisfactory to the State Bar
Court of rehabilitation and present fitness to practice and present learning
and ability in the law pursuant to standard 1.4(c)(ii) Standards for Attorney
Sanctions for Professional Misconduct.
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checked. ii. and until Respondent pays restitution as set forth in the
Financial Conditions form attached to this stipulation.
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checked. iii. and until Respondent does the following: .
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checked. (b) The above-referenced suspension is stayed.
<<not>> checked. (2) Probation: Respondent must be placed
on probation for a period of , which will commence upon the effective date of
the Supreme Court order in this matter. (See rule 9.18, California Rules of
Court.)
checked. (3) Actual Suspension:
checked.
(a) Respondent must be actually suspended from the practice of law in the State
of California for a period of 30 days.
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checked. i. and until Respondent shows proof satisfactory to the State Bar
Court of rehabilitation and present fitness to practice and present learning
and ability in the law pursuant to standard 1.4(c)(ii), Standards for Attorney
Sanctions for Professional Misconduct
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checked. ii. and until Respondent pays restitution as set forth in the
Financial Conditions form attached to this stipulation.
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checked. iii. and until Respondent does the following: .
E. Additional Conditions of Probation:
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checked. (1) If Respondent is actually suspended for two years or more, he/she
must remain actually suspended until he/she proves to the State Bar Court
his/her rehabilitation, fitness to practice, and learning and ability in the
general law, pursuant to standard 1.4(c)(ii), Standards for Attorney Sanctions
for Professional Misconduct.
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checked. (2) During the probation period, Respondent must comply with the
provisions of the State Bar Act and Rules of Professional Conduct.
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checked. (3) Within ten (10) days of any change, Respondent must report to the
Membership Records Office of the State Bar and to the Office of Probation of
the State Bar of California ("Office of Probation"), all changes of
information, including current office address and telephone number, or other
address for State Bar purposes, as prescribed by section 6002.1 of the Business
and Professions Code.
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checked. (4) Within thirty (30) days from the effective date of discipline,
Respondent must contact the Office of Probation and schedule a meeting with
Respondent's assigned probation deputy to discuss these terms and conditions of
probation. Upon the direction of the Office of Probation, Respondent must meet
with the probation deputy either in-person or by telephone. During the period
of probation, Respondent must promptly meet with the probation deputy as
directed and upon request.
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checked. (5) Respondent must submit written quarterly reports to the Office of
Probation on each January 10, April 10,
July 10, and October 10 of the period of
probation. Under penalty of perjury, Respondent must state whether Respondent
has complied with the State Bar Act, the Rules of Professional Conduct, and all
conditions of probation during the preceding calendar quarter. Respondent must
also state whether there are any proceedings pending against him or her in the
State Bar Court and if so, the case number and current status of that
proceeding. If the first report would cover less than 30 days, that report must
be submitted on the next quarter date, and cover the extended period.
In addition to all quarterly reports, a final report, containing the same information,
is due no earlier than twenty (20) days before the last day of the period of
probation and no later than the last day of probation.
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checked. (6) Respondent must be assigned a probation monitor. Respondent must
promptly review the terms and conditions of probation with the probation
monitor to establish a manner and schedule of compliance. During the period of
probation, Respondent must furnish to the monitor such reports as may be
requested, in addition to the quarterly reports required to be submitted to the
Office of Probation. Respondent must cooperate fully with the probation
monitor.
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checked. (7) Subject to assertion of applicable privileges, Respondent must
answer fully, promptly and truthfully any inquiries of the Office of Probation
and any probation monitor assigned under these conditions which are directed to
Respondent personally or in writing relating to whether Respondent is complying
or has complied with the probation conditions.
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checked. (8) Within one (1) year of the effective date of the discipline
herein, Respondent must provide to the Office of Probation satisfactory proof
of attendance at a session of the Ethics School, and passage of the test given
at the end of that session.
checked. No Ethics School
recommended. Reason: Respondent was ordered to take Ethics School in case
number 07-O-13860.
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checked. (9) Respondent must comply with all conditions of probation imposed in
the underlying criminal matter and must so declare under penalty of perjury in
conjunction with any quarterly report to be filed with the Office of Probation.
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checked. (10) The following conditions are attached hereto and
incorporated:
<<not>> checked. Substance
Abuse Conditions.
<<not>> checked. Law Office
Management Conditions.
<<not>> checked. Medical
Conditions.
<<not>> checked. Financial
Conditions.
F. Other Conditions Negotiated by the Parties:
<<not>> checked. (1) Multistate Professional
Responsibility Examination: Respondent must provide proof of passage of the
Multistate Professional Responsibility Examination ("MPRE"),
administered by the National Conference of Bar Examiners, to the Office of
Probation during the period of actual suspension or within one year, whichever
period is longer. Failure to pass the MPRE results in actual suspension
without further hearing until passage. But see rule 9.10(b), California Rules
of Court, and rule 5.162(A) & (E), Rules of Procedure.
checked. No MPRE recommended. Reason: Respondent
was ordered to take the examination in case number 07-O-13860.
<<not>> checked. (2) Rule 9.20, California Rules of
Court: Respondent must comply with the requirements of rule 9.20, California
Rules of Court, and perform the acts specified in subdivisions (a) and (c) of
that rule within 30 and 40 calendar days, respectively, after the effective
date of the Supreme Court's Order in this matter.
<<not>> checked. (3) Conditional Rule 9.20,
California Rules of Court: If Respondent remains actually suspended for 90
days or more, he/she must comply with the requirements of rule 9.20, California
Rules of Court, and perform the acts specified in subdivisions (a) and (c) of
that rule within 120 and 130 calendar days, respectively, after the effective
date of the Supreme Court's Order in this matter.
<<not>> checked. (4) Credit for Interim Suspension
[conviction referral cases only]: Respondent will be credited for the period
of his/her interim suspension toward the stipulated period of actual
suspension. Date of commencement of interim suspension: .
<<not>> checked. (5) Other Conditions: .
Attachment language (if any):.
PENDING
PROCEEDINGS.
The
disclosure date referred to, on page 2, paragraph A(6), was October 1, 2009.
FACTS:
Respondent
admits that the following facts are true and that he is culpable of violations
as specified:
1. June 10,
2009, the California Supreme Court filed a disciplinary order in State Bar
Court 07-013860 (Supreme Court Case Number S 172304). The order was based upon
a disciplinary stipulation that respondent had signed while represented by
counsel.
2. The
disciplinary order required respondent to comply with California Rule of Court
9.20 and to perform the acts specified in subdivisions (a) and (c) of that rule
within 30 and 40 days, respectively, after the effective date of the order. The
order also suspended respondent from the practice of law.
3. The
disciplinary order became effective thirty days after it was filed (California
Rules of Court, rule 9.18(a)), and at all times subsequent has remained in full
force and effect.
4. Notice of
the disciplinary order was properly served upon respondent in the manner
prescribed by California Rule of Court 9.18(b) at the address respondent
maintained with the State Bar in accordance with Business and Professions Code
section 6002.1, subdivision (a).
5. The
deadlines for complying with rule 9.20(a) and rule 9.20(c) expired on or about
June 2, 2009 and June 12, 2009, respectively. Respondent did not file his Rule
9.20(c) compliance declaration prior to the deadline.
6. Respondent
did not receive timely notice of the Supreme Court’s order because he was not receiving
mail at the address he had listed with the State Bar and was living at an
address in Santa Cruz, California. As a result, the mailings addressed to
respondent from the Supreme Court and the Office of Probation (the latter dated
July 2, 2009) were returned as undeliverable. Previously, respondent had communicated
with the State Bar through counsel. Before that, respondent had received a
letter from the State Bar Office of the Chief Trial Counsel at his new address
in Santa Cruz. However, because respondent had not changed his official address
with the State Bar, neither the Office of Probation, nor the Supreme Court knew
about respondent’s Santa Cruz address. One of the conditions of probation,
contained in the stipulation that respondent signed, required as follows:
"Within
ten (10) days of any change, Respondent must report to the Membership Records
Office of the State Bar and to the Office of Probation of the State Bar of
California ("Office of Probation"), all changes of information,
including current office address and telephone number, or other address for
State Bar purposes, as prescribed by section 6002.1 of the Business and
Professions Code."
7. On August
21, 2009, respondent’s counsel mailed respondent a copy of the Supreme Court
order. Respondent filed his Rule 9.20(c) compliance declaration on September 2,
2009. Respondent stated that he had no clients at the time the suspension order
was filed.
CONCLUSION OF
LAW
Respondent
wilfully violated the rule 9.20 order and Business and Professions Code section
6103 by failing to file proof of compliance as required by rule 9.20(c) prior
to the deadline.
SUPPORTING
AUTHORITY
The agreed
disposition (30 days of suspension, with no additional period of stayed
suspension and no additional probation) was the disposition recommended by the
Review Department in In the Matter of Friedman (Review Dept. 1993) 2 Cal. State
Bar Ct. Rtpr. 527, which involved essentially identical facts.
SIGNATURE OF THE PARTIES
Case Number(s): 09-N-14901
In the Matter of: John Patrick Carter
By their
signatures below, the parties and their counsel, as applicable, signify their
agreement with each of the recitation and each of the terms and conditions of this
Stipulation Re Facts, Conclusions of Law and Disposition.
Signed by:
Respondent: John
Patrick Carter
Date: October
17, 2009
Respondent’s
Counsel:
Date:
Supervising Trial
Counsel: Donald R. Steedman
Date: October
14, 2009
ACTUAL SUSPENSION ORDER
Case Number(s): 09-N-14901
In the Matter of: John Patrick Carter
Finding the
stipulation to be fair to the parties and that it adequately protects the
public, IT IS ORDERED that the requested dismissal of counts/charges, if any is
GRANTED without prejudice, and:
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checked. The stipulated facts and disposition are APPROVED and the DISCIPLINE
RECOMMENDED to the Supreme Court.
checked.
The stipulated facts and disposition are APPROVED AS MODIFIED as set forth
below, and the DISCIPLINE IS RECOMMENDED to the Supreme Court.
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checked. All Hearing dates are vacated.
1.
The heading and page 9---Respondent’s name is Patrick John Carter, NOT John
Patrick Carter.
2.
On page 2--B (1)(b) - The effective date of respondent’s prior discipline is
July 10, 2009, NOT June 10, 2009.
The parties
are bound by the stipulation as approved unless: 1) a motion to withdraw or
modify the stipulation, filed within 15 days after service of this order, is
granted; or 2) this court modifies or further modifies the approved
stipulation. (See rule 135(b), Rules of Procedure.) The effective date of this
disposition is the effective date of the Supreme Court order herein, normally
30 days after the file date. (See rule 9.18(a), California Rules of Court.)
Signed by:
Judge of the
State Bar Court: Pat E. McElroy
Date: November
5, 2009
CERTIFICATE OF SERVICE
[Rules Proc. of State Bar; Rule
5.27(B); Code Civ. Proc., § 1013a(4)]
I am a Case
Administrator of the State Bar Court of California. I am over the age of
eighteen and not a party to the within proceeding. Pursuant to standard court
practice, in the City and
County of San
Francisco, on November 5, 2009, I deposited a true copy of the following
document(s):
STIPULATION
RE FACTS, CONCLUSIONS OF LAW AND DISPOSITION AND ORDER APPROVING
in a sealed
envelope for collection and mailing on that date as follows:
checked. by first-class mail, with
postage thereon fully prepaid, through the United States Postal Service at San Francisco,
California, addressed as follows:
PATRICK JOHN CARTER
JANUS OF SANTA CRUZ, INC
200 7TH AVE STE 150
SANTA CRUZ, CA 95062-4669
checked. by interoffice mail through a
facility regularly maintained by the State Bar of California addressed as
follows:
DONALD STEEDMAN, Enforcement, San
Francisco
I hereby
certify that the foregoing is true and correct. Executed in San Francsico,
California, on November 5, 2009.
Signed by:
Lauretta
Cramer
Case
Administrator
State Bar
Court