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Georgina D. Sierra (WSBA No. 16854, admitted 1987), of Redmond, stipulated to two reprimands, followed by two-year probation, approved by order of the hearing officer on August 28, 2010. This discipline was based on trust account irregularities, failure to properly supervise a non-lawyer assistant, and failure to cooperate during a Bar Association investigation. Ms. Sierra stipulated to the discipline without affirmatively admitting the facts and misconduct herein.
In February 2007, the Association began conducting a random examination of Ms. Sierra’s trust account. Ms. Sierra did not respond to the Bar Association auditor’s request to schedule an appointment. Between March and August 2007, the auditor tried repeatedly to schedule an appointment with Ms. Sierra’s then-law office manager to begin the random examination. Ms. Sierra’s law office manager asked repeatedly for delays. At an August 15, 2007, meeting with Ms. Sierra, the auditor examined her trust account records. Because the records were incomplete, Ms. Sierra and the auditor agreed that an outside bookkeeper recently hired by Ms. Sierra should be given an opportunity to complete her ongoing organization of the records. After receiving the bookkeeper’s completed work, the auditor requested further information. In subsequent telephone calls and correspondence, Ms. Sierra did not provide the auditor with all the information requested. Based in part on her failure to cooperate, the auditor recommended an investigation of Ms. Sierra’s trust account practices.
On May 20, 2008, Ms. Sierra was deposed by Disciplinary Counsel regarding the Association’s investigation of her trust account practices. Ms. Sierra produced some of the information subpoenaed for the deposition, but not all of it. Much of the information subpoenaed for the deposition had previously been requested by the auditor. On August 5, 2008, another Association auditor wrote a letter to Ms. Sierra’s counsel requesting further documents relating to her trust account practices from 2006 onwards. Ms. Sierra did not provide the requested documents despite repeated requests. The Association issued a subpoena duces tecum for Ms. Sierra’s deposition because she had failed to cooperate. At the deposition, or shortly after, she provided the previously requested documents.
An audit of Ms. Sierra’s trust account records was completed on October 28, 2009, covering two time periods: one during which her law office manager maintained her trust account records and the other during which Ms. Sierra personally maintained her trust account records. During both periods, Ms. Sierra did not maintain adequate records, did not reconcile her trust account bank statements with her trust account check register, and did not reconcile her trust account bank statements with the combined total of all client ledgers. When Ms. Sierra’s law office manager maintained her account, Ms. Sierra delegated all aspects of her law practice, including management of the trust account, to him. Although Ms. Sierra was the only person with signing authority on the account, her law office manager would prepare checks for her to sign. During this period, Ms. Sierra frequently had shortages in her trust account. She used funds of clients with positive balances on behalf of other clients with negative balances to cover the shortages. Ms. Sierra also disbursed funds to herself that could not be identified to specific clients. When Ms. Sierra personally maintained the account, she overdrew it on one occasion.
Ms. Sierra’s conduct violated former RPC 1.14 and current RPC 1.15A(c)(1), requiring that all funds of a client paid to a lawyer be deposited into an identifiable interest-bearing trust account and that no funds belonging to the lawyer be deposited therein except as permitted by rule; RPC 1.15A(h)(2), requiring a lawyer to keep complete records of his trust account; RPC 1.15A(h)(6), requiring trust account records to be reconciled as often as bank statements are generated or at least quarterly and requiring the lawyer to reconcile the check register balance to the bank statement balance and to the combined total of all client ledger records; RPC 1.15A(h)(8), prohibiting trust account disbursements on behalf of a client or third person from exceeding the funds of that person on deposit and prohibiting the funds of a client or third person from being used on behalf of anyone else; RPC 5.3(b), requiring a lawyer having direct supervisory authority over a non-lawyer make reasonable efforts to ensure that the non-lawyer’s conduct is compatible with the professional obligations of the lawyer; and RPC 8.4(l), prohibiting a lawyer from violating a duty or sanction imposed by or under the Rules for Enforcement of Lawyer Conduct in connection with a disciplinary matter (here, ELC 5.3(e) and ELC 15.2).
Kevin M. Bank represented the Bar Association. Kurt M. Bulmer represented Ms. Sierra. Terence M. Ryan was the hearing officer. |