THE FLORIDA BAR, IN THE SUPREME COURT OF FLORIDA (Before a Referee) v. Complainant, Case No. SC07-663 TFB No. 2006-10,833 (6A) LAURIE L. PUCKETT, Respondent. / REPORT OF REFEREE I. Summary of Proceedings: Pursuant to the undersigned being duly appointed as referee to conduct disciplinary proceedings herein according to the Rules Regulating The Florida Bar, a Conditional Guilty Plea for Consent Judgment was signed on October 24, 2007. Any pleadings, notices, motions, orders, transcripts, and exhibits are forwarded to The Supreme Court of Florida with this report and constitute the record in this case. The following attorneys appeared as counsel for the parties: For The Florida Bar: Jodi A. Thompson For The Respondent: Laurie L. Puckett, Pro se II. Findings of Fact as to Each Item of Misconduct With Which the Respondent Is Charged: After considering all the pleadings and evidence before me, I adopt as my findings those facts set forth in the Conditional Guilty Plea for Consent Judgment, as follows: Respondent has two minor children. The children inherited money from a relative of their father, David W. Puckett. Mr. Puckett was appointed as guardian of the property of the wards and SunTrust Bank was designated as the depository for the wards assets. On or about December 28, 1999, a little over $30,000.00 was deposited into SunTrust Bank on behalf of each ward. On or about September 23, 2002, Respondent, acting as the guardian s attorney, filed a petition on behalf of the guardian to transfer the wards assets to a different depository. An order was entered 1
designating USAA Federal Savings Bank as the depository of the wards assets which totaled $63,014.00. The guardian deposited the wards assets into USAA Federal Savings Bank and subsequently withdrew the assets. Respondent failed to file the required receipt of depository from USAA resulting in an Order to File Required Documents or To Show Cause being issued on February 17, 2004. The guardian utilized the wards money to make improvements to the family home. On September 27, 2004, the Respondent filed a Petition for Order Approving Investment in Loan Secured by Mortgage to have the loan retroactively approved. In the petition, Respondent represented to the court that the wards money was loaned at an interest rate of 10% per annum and with a principle and interest balloon payment due on October 28, 2006. Respondent represented to the court that the loan was secured by a mortgage on the family home. Respondent s petition to approve the loan retroactively was approved on or about September 29, 2004. After the loan was approved by the court, Respondent failed to file any documents pursuant to the court's Order to Produce Documents. An order to show cause hearing was held on September 28, 2005 and Respondent and the guardian failed to appear. Respondent failed to advise the guardian of the hearing and failed to advise him to attend. Respondent failed to advise the guardian of other orders to show cause or his need attend the hearings. During this period of time, the Respondent and guardian were experiencing marital problems that ultimately resulted in divorce. On November 28, 2005 the guardian was removed. During the course of Respondent s representation of the guardian, she was employed at a law firm. Respondent was confronted by the managing partner of the firm, regarding Respondent s chronic failure to comply with the probate court's orders. Respondent was pressed to produce the note and mortgage. Respondent could not locate the note and mortgage. Respondent created duplicate documents, used an administrative assistant s notary stamp, forged the notary s signature, and back dated documents. On August 9, 2006, Respondent recorded the forged documents in the Official Records of Pinellas County, Florida. The Florida Bar sent an inquiry letter to respondent via US mail. The Bar did not receive a response from Respondent within the time requested. The Florida Bar sent another inquiry letter to Respondent via certified mail. Again, the Bar did not receive a response from Respondent within the time requested. As a result, the Inquiry/Complaint against Respondent was sent to the grievance committee. After the case was sent to the grievance committee, Respondent alleged that she had sent a response to the Bar s written inquiry and produced a copy of same to the investigating member of the committee. III. Recommendations as to Whether or Not the Respondent should Be Found 2
Guilty: Based on the Conditional Guilty Plea for Consent Judgment, I recommend that the Respondent be found guilty of violating the following Rules Regulating The Florida Bar: Rule 4-1.1 (A lawyer shall provide competent representation to a client.); 4-1.3 (A lawyer shall act with reasonable diligence and promptness in representing a client.); 4-1.4 (Communication); 4-3.3(a) (A lawyer shall not knowingly make a false statement of material fact or law to a tribunal); 4-3.4 (c) (A lawyer shall not knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists); 4-4.1 In the course of representing a client a lawyer shall not knowingly (a) (make a false statement of material fact or law to a third person); (b) (fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by rule 4-1.6); 4-8.4 A lawyer shall not (a) (violate or attempt to violate the Rules of Professional Conduct); (b) (commit a criminal act that reflects adversely on the lawyer s honesty, trustworthiness, or fitness as a lawyer in other respects); (c) (engage in conduct involving dishonesty, fraud, deceit, or misrepresentation); and 4-8.4(g) (Failure to respond, in writing, to any official inquiry by bar counsel or a disciplinary agency). IV. Recommendation as to Disciplinary Measures to Be Applied: The Respondent consents to the following discipline: Suspension from the practice of law for a period of two (2) years. V. Personal History and Past Disciplinary Record: After the finding of guilty and prior to recommending discipline to be recommended pursuant to Rule 3-7.6(m)(l), I considered the following personal history and prior disciplinary record of the respondent, to wit: Year of Birth: 1/7/1966 Date Admitted to Bar: 8/15/1994 Prior Disciplinary convictions and Disciplinary Measures Imposed Therein: None The referee notes that the Respondent is not certified in any area of practice. Aggravating Factors: (b) dishonest or selfish motive; and (d) multiple offenses Mitigating Factors: 3
(a) (c) (g) (k) (l) absence of a prior disciplinary record; personal and emotional problems; character or reputation; imposition of other penalties or sanctions; and remorse. VI. Statement of Costs and Manner in Which Costs Should Be Taxed: I find the following costs were reasonably incurred by The Florida Bar: Administrative costs pursuant to Rule 3-7.6(q)(1)(I) $1,250.00 The Florida Bar Out of Pocket Expenses: Grievance Committee Level: Copying Costs 197.50 Referee Level: Michael B. Lundsford, Staff Investigator 317.50 Investigator Expenses 63.08 Clark Reporting Service 145.50 Copying Costs 477.90 TOTAL $2,464.18 Respondent agrees to pay all costs associated with this case pursuant to Rule 3-7.6(q) of the Rules Regulating The Florida Bar, in the amount of $2,464.18. These costs are due in full upon acceptance of the plea. In addition, Respondent will be required to pay any additional costs pertaining to this matter, not included in the above amount. Respondent further acknowledges her obligation to pay the costs of this proceeding and that payment is evidence of strict compliance with the conditions of any disciplinary order or agreement, and is also evidence of good faith and fiscal responsibility. Respondent understands that failure to pay the costs of this proceeding will reflect adversely on any reinstatement proceedings or any other bar disciplinary matter in which the respondent is involved. It is apparent that other costs have or may be incurred. It is recommended that all such costs and expenses, together with the foregoing itemized costs, be charged to the respondent and that interest at the statutory rate shall accrue and be payable beginning 30 days after the judgment in this case becomes final unless a waiver is granted by the 4
Board of Governors of The Florida Bar. Dated this 28 th day of November, 2007. Copies (via U.S. Mail) to: Claudia Rickert Isom Claudia Rickert Isom, Referee Jodi A. Thompson, Assistant Staff Counsel, The Florida Bar, 5521 W. Spruce Street, Suite C-49, Tampa, Florida 33607-5958 Laurie L. Puckett, Respondent, 6249 Bobby Jones Court, Palmetto, FL 34221 Kenneth Lawrence Marvin, Staff Counsel, The Florida Bar, 651 E. Jefferson Street, Tallahassee, Florida 32399-2300 5