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Lawyer James J. Caplinger (WSBA No. 1588, admitted 1953) was disbarred pursuant to a stipulation for discipline, approved January 28, 1998, by the Washington Supreme Court. The discipline is based upon his neglect of a probate matter and violation of a court order by failing to turn over estate or trust funds and records and by paying himself additional attorney’s fees and costs from estate funds.
Caplinger was named personal representative with non-intervention powers of an estate; he also served as attorney for the personal representative. The principal beneficiary of the estate was a trust. When the institutional trustee refused to serve in 1984, Caplinger was named interim trustee; he never sought a permanent trustee in violation of RPC 1.3 (diligence). Decedent’s 22 year-old daughter was the sole beneficiary of the trust. In 1984, the daughter filed a request for special notice; beginning in 1991, she requested accountings of the estate and trust. Between August 1985 and January 1994, Caplinger made no accounting, paid monies to himself (without notice to the daughter) and took no steps to close the probate of the estate in violation of RPC 1.3 (diligence) and 1.4 (communication).
In November 1993, Caplinger was removed as trustee and personal representative by court order, for cause, and was ordered to immediately turn over all trust and estate property including records in his possession. In addition, he was ordered to account in both the estate and the trust.
In January 1994, Caplinger signed and filed with the court a "Report and Accounting of Personal Representative/Trustee & Final Account" and an affidavit regarding his fees as personal representative, trustee and attorney. Although the trust had received more than $200,000 in liquid assets, Caplinger turned over the sum of only $13,317.04. The report states that the bulk of the estate and trust assets and income were expended for the use and benefit of the daughter, but the records were inadequate to verify this statement. In addition, Caplinger paid himself $14,755.25 from the estate as attorney’s fees or costs without court approval after the November 1993 order.
In August 1994, Caplinger was held in contempt of court for his failure to provide required records and for paying himself with estate funds in violation of the November 1993 order. Caplinger’s actions violated RPC 1.14(b)(3) (requiring a lawyer keep records of client funds; RPC 1.14(b)(4) (requiring a lawyer to promptly deliver funds belonging to a client); RPC 8.4 (c) (requiring a lawyer to refrain from acts involving dishonesty, deceit or misrepresentation); and RPC 8.4 (d) (requiring a lawyer to refrain from conduct prejudicial to the administration of justice).
Respondent was represented by Michael R. Garner. The Bar Association was represented by Disciplinary Counsel William G. McGillin and Linda B. Eide.
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