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Summary of Opinion: In the Matter of the Discipline of Patrick J. Kirby, No. 13835 (S.D. July 13, 1983)

Factual and Procedural Background

The Disciplinary Board of the State Bar filed findings of fact and a proposed recommendation concerning respondent Patrick J. Kirby on June 9, 1982, along with respondent's proposed findings and objections. Pursuant to SDCL 16-19-67, the Supreme Court directed the Board to file a formal accusation. Respondent failed to file an answer to the formal accusation, so the court determined it unnecessary to refer the matter to a referee and set the matter for hearing before the court.

The formal accusation charged respondent with violating Canon 6, DR6-101(A)(3) of the South Dakota Code of Professional Responsibility by neglecting a legal matter in his representation of the heirs of Theodore Helland for a period in excess of three years, and with violating SDCL 16-19-54 by failing to promptly and appropriately respond to letters from the Board concerning a complaint.

Substantive facts: Respondent completed probate proceedings for the Helland estate in December 1973. In 1976 attorney John Cogley concluded there was a title defect because the widow's name had not been included in the probate notice. In December 1977 Cogley and respondent agreed respondent would redo the probate proceedings. Respondent did not promptly do so. On December 14, 1978, one heir, Mrs. Lillian Kelsey, filed a complaint with the Board. The Board wrote to respondent on December 20, 1978, and April 24, 1979, requesting a response. Respondent replied on April 30, 1979, explaining a three-week absence from the United States and stating he would move with "continuous progression of events" to conclude the matter.

Respondent appeared before the Board on September 7, 1979. The Board advised on February 19, 1980, that the complaint would be dismissed if respondent satisfactorily completed new probate proceedings by April 15, 1980. Respondent stated in March 1980 that he had initiated new proceedings, and on June 17, 1980 said the estate was ready for distribution, although subsequent correspondence indicated that was not the case. On December 3, 1981 respondent promised to obtain title insurance instead of completing new probate proceedings; he ultimately purchased title insurance and apparently satisfied the title objection.

At the hearing before the Supreme Court respondent admitted making a mistake in the probate proceedings and conceded he had probably not responded promptly to the Board. He explained personal problems, including a divorce, and referenced a personality conflict with a Board member. Respondent later closed his Mitchell office (October 1, 1982) and moved to Sioux Falls.

Legal Issues Presented

  1. Whether respondent violated Canon 6, DR6-101(A)(3) of the South Dakota Code of Professional Responsibility by neglecting a legal matter entrusted to him in the Helland estate probate proceedings.
  2. Whether respondent violated SDCL 16-19-54 by failing to promptly and appropriately respond to the Board's inquiries regarding the complaint filed by Mrs. Kelsey.
  3. What discipline, if any, is appropriate for respondent's misconduct.

Arguments of the Parties

Complainant / Disciplinary Board

  • The Board charged respondent with neglecting the Helland estate matter for more than three years and with failing to respond promptly to Board inquiries, citing Canon 6, DR6-101(A)(3) and SDCL 16-19-54.
  • The Board recommended that public censure be imposed as appropriate discipline.

Respondent (Patrick J. Kirby)

  • Admitted he made a mistake in the Helland estate probate proceedings and probably did not respond promptly to the Board.
  • Explained mitigating circumstances including personal problems and a divorce.
  • Alluded to a personality conflict with a Board member and described his failure to answer as possibly a "mental aberration," and suggested the Board was involving itself in a dispute between lawyers over title law.
  • Represented that he had taken steps to resolve the matter (initiated new probate proceedings, later obtained title insurance) and that he had closed his Mitchell office and relocated.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
In re Rude, 88 S.D. 416, 221 N.W.2d 43 (1974) Cited in connection with the duty to respond to Board inquiries under SDCL 16-19-54. The court cited In re Rude alongside SDCL 16-19-54 to support the proposition that an attorney has a duty to respond promptly to disciplinary inquiries.
In re Discipline of Rensch, 333 N.W.2d 713 (S.D. 1983) Example supporting the purpose of disciplinary proceedings: protecting the public rather than punishing the attorney. The court cited Rensch as one of several authorities demonstrating that the purpose of discipline is protection of the public from further wrongdoing by an attorney.
In re Discipline of Kintz, 315 N.W.2d 328 (S.D. 1982) Principle that discipline must protect the public from future neglect by the respondent; guidance on assessing appropriate discipline. The court quoted Kintz's statement that action must be taken to protect the public from future neglect and relied on that principle in selecting appropriate discipline.
In re Looby, 297 N.W.2d 487 (S.D. 1980) Example of case law addressing purpose and scope of disciplinary proceedings. The court cited Looby among cases illustrating the protective purpose of discipline.
In re Kunkle, 88 S.D. 269, 218 N.W.2d 521 (1974), cert. denied, 419 U.S. 1036, 95 S.Ct. 521, 42 L.Ed.2d 312 (1974) Example of disciplinary jurisprudence; part of the court's survey of precedent on disciplinary purposes. The court cited Kunkle as another precedent supporting the protective purpose of disciplinary proceedings.
In re Walker, 254 N.W.2d 452 (S.D. 1977) Illustration that probationary continuance has been conditioned on demonstrable mitigating conduct (e.g., abstention from intoxicating liquor). The court referenced Walker to show that particular mitigating facts (abstention from alcohol) have been relevant in imposing probationary discipline in other cases.
In re Jaynes, 66 S.D. 427, 285 N.W. 130 (1939) Authority cited regarding consideration of whether financial loss resulted from the attorney's delay. The court cited Jaynes when noting there had been no showing of financial loss as a result of respondent's delay and in considering mitigation of discipline.

Court's Reasoning and Analysis

The court proceeded as follows:

  1. Procedural posture: The Board filed findings and the court directed the Board to file a formal accusation. Because respondent did not answer, the court could have entered judgment on the accusation under SDCL 16-19-68 but chose instead to hear the matter to give respondent an opportunity to be heard.
  2. Charges considered: The formal accusation alleged neglect of the Helland estate matter (Canon 6, DR6-101(A)(3)) and failure to respond to Board inquiries (SDCL 16-19-54).
  3. Fact-finding: The court summarized the probate chronology and correspondence showing delays, the Board's conditions for dismissal (completion of probate by April 15, 1980), respondent's inconsistent representations about progress, and respondent's eventual procurement of title insurance to satisfy the title objection.
  4. Admissions and mitigation: Respondent admitted the probate mistake and likely tardiness in responding. He offered personal problems (including a divorce) and a perceived personality conflict as explanations, and noted remedial steps taken (title insurance, closure of his Mitchell office and relocation).
  5. Legal analysis: The court held that once respondent agreed to remedy the title defect and represented he would do so promptly, he had a duty to complete the agreed remedial steps. His failure to do so constituted neglect of a legal matter. The court also found respondent breached the duty under SDCL 16-19-54 to respond to Board inquiries, citing In re Rude in this context.
  6. Purpose of discipline and selection of sanction: The court reiterated that disciplinary proceedings are designed to protect the public, not to punish, citing multiple precedents. Considering the seriousness of the misconduct, the risk of repetition, and mitigating circumstances (including no showing of financial loss), the court agreed with the Board that public censure was appropriate.
  7. Statutory basis for relief: The court ordered imposition of public censure pursuant to SDCL 16-19-35(4).

Holding and Implications

Holding: The court concluded that respondent was guilty of professional misconduct for neglecting a legal matter entrusted to him and for failing to respond promptly to disciplinary inquiries, and the court ordered discipline accordingly.

Disposition: A judgment of public censure will be entered against respondent Patrick J. Kirby.

Implications: The direct effect is that respondent receives a public censure pursuant to SDCL 16-19-35(4). The opinion frames the discipline as protective rather than punitive and explains that the degree of discipline was selected after considering the seriousness of the misconduct, the likelihood of repetition, mitigating circumstances (including no showing of financial loss), and relevant disciplinary precedents. The opinion does not announce a broader new rule of law beyond applying existing disciplinary principles to the facts of this case.


Concurrence: DUNN and HENDERSON, JJ., concurred. FOSHEIM, C.J., and MORGAN, J., did not participate, deeming themselves disqualified.

In the Matter of the DISCIPLINE OF Patrick J. KIRBY, as an Attorney at Law.

WOLLMAN, Justice.

On June 9, 1982, the Disciplinary Board of the State Bar (Board) filed findings of fact and proposed recommendation with respect to respondent attorney, together with respondent's proposed findings and conclusions and his objections to the Board's findings and proposed recommendation. SDCL 16-19-62.

Pursuant to SDCL 16-19-67, we directed the Board to file a formal accusation against respondent. Inasmuch as respondent failed to file an answer to the formal accusation, we deemed it unnecessary to refer the matter to a referee for the taking of testimony and the making of findings and recommendations, see SDCL 16-19-68, and set the matter for hearing before this court.

The formal accusation charges that respondent violated Canon 6, DR6-101(A)(3) of the South Dakota Code of professional Responsibility, in that he neglected a legal matter in connection with his representation of the heirs of Theodore Helland, deceased, for a period of in excess of three years. Further, the accusation charges that respondent violated SDCL 16-19-54 by failing to promptly and appropriately respond to letters sent to him by the Board with respect to a complaint filed with the Board. The accusation asks that we find respondent guilty of misconduct and that respondent be disciplined by public censure.

South Dakota Code of Professional Responsibility Canon 6 provides that: "A Lawyer Should Represent a Client Competently." Disciplinary Rule 6-101 provides in part that:
(A) A lawyer shall not:


SDCL 16-19-54 provides that:

It shall be the duty of every attorney to promptly and appropriately respond to any complaint or letter forwarded to him by any member of the disciplinary board. In the event he shall fail to do so, he may be subject to private reprimand by the disciplinary board, or, after hearing upon order to show cause, disciplined by the Supreme Court.

In the light of respondent's failure to file an answer to the accusation, we could have proceeded to render such judgment as the case required on the basis of the formal accusation. SDCL 16-19-68. We deemed it appropriate, however, to give respondent an opportunity to state his position with respect to the Board's allegations.

With respect to the Helland Estate matter, it appears that respondent completed the probate proceedings in December of 1973. In 1976, attorney John Cogley of Mitchell concluded that there was a defect in the title to the real estate inasmuch as respondent had failed to include the name of Theodore Helland's widow in the notice of probate proceedings. In December of 1977, Mr. Cogley and respondent agreed that respondent would have to re-do the probate proceedings. Respondent apparently did nothing to go forward with new probate proceedings, and on December 14, 1978, Mrs. Lillian Kelsey, one of the heirs of the Helland Estate, filed a complaint with the Board. On December 20, 1978, and again on April 24, 1979, the Board wrote to respondent requesting a response to Mrs. Kelsey's complaint. On April 30, 1979, respondent sent the Board a letter in which he set forth as a reason for his late reply his three-week absence from the United States. Further, the letter stated that respondent would "move in a continuous progression of events for concluding the matter at the earliest date."

Pursuant to the Board's direction, respondent appeared before the Board on September 7, 1979, with respect to the Kelsey complaint. On February 19, 1980, the Board advised respondent by letter that the Kelsey complaint would be dismissed if respondent satisfactorily completed the new probate proceedings by April 15, 1980. In March of 1980, respondent stated in a letter to the Board that he had initiated new probate proceedings. On June 17, 1980, respondent advised the Board that the estate was ready for distribution. This apparently was not the case, however, for there followed further correspondence between the Board and respondent that culminated in respondent's appearing before the Board on December 3, 1981, at which time he promised to obtain title insurance in lieu of completing new probate proceedings. Respondent ultimately purchased such title insurance and apparently satisfied Mr. Cogley's objection to the title to the land in question.

Respondent was admitted to the practice of law in this state on July 28, 1966. He admitted at the hearing before us that he had made a mistake in the Helland Estate probate proceedings. Further, he admitted that he had probably not responded promptly to the Board's inquiries regarding Mrs. Kelsey's complaint. By way of mitigation and explanation, respondent advised us that he had been experiencing personal problems during at least a portion of the time in question, culminating in a divorce that ended a twenty-two year marriage.

By way of further explanation for his dilatoriness in responding to the Board's requests and conditions, respondent alluded to a personality conflict between himself and one of the members of the Board. In response to a question from the bench regarding his failure to answer the Board's inquiries, respondent replied that "[i]t must be a mental aberration," and stated that he thought that the Board was involving itself in a dispute between two lawyers over a matter of title law that had never been presented to or decided by this court.

Respondent advised us that he had closed his Mitchell law office on October 1, 1982, and had moved to Sioux Falls, where he is attempting to confine his practice to serving his former clients in the Mitchell area.

We conclude that respondent has indeed been guilty of professional misconduct. Whatever his disagreement may have been with Mr. Cogley over the alleged title defect, once having agreed to remedy the defect by completing new probate proceedings and having represented to the Board that he would complete such proceedings with dispatch, respondent was under a duty to do so. His failure to promptly remedy the title defect constituted neglect of a legal matter entrusted to him. Likewise, respondent was under a duty to respond promptly to the several inquiries that he received from the Board. SDCL 16-19-54; In re Rude, 88 S.D. 416, 221 N.W.2d 43 (1974).

As we have stated many times, the purpose of disciplinary proceedings is not to punish an attorney but to protect the public from further wrongdoing from an attorney. See, e.g., In re Discipline of Rensch, 333 N.W.2d 713 (S.D. 1983); In re Discipline of Kintz, 315 N.W.2d 328 (S.D. 1982); In re Looby, 297 N.W.2d 487 (S.D. 1980); In re Kunkle, 88 S.D. 269, 218 N.W.2d 521 (1974), cert. denied, 419 U.S. 1036, 95 S.Ct. 521, 42 L.Ed.2d 312 (1974). What is appropriate discipline in any given case necessarily depends upon the seriousness of the misconduct by the attorney and the likelihood of repeated instances of similar misconduct. As we said in In re Discipline of Kintz, supra, "we must take such action as is necessary to protect the public from future neglect by respondent." 315 N.W.2d at 331. In In re Walker, 254 N.W.2d 452 (S.D. 1977), our decision to permit respondent attorney to continue in the practice on a probationary basis was based in large part upon the attorney's demonstrated abstention from the use of intoxicating liquor for a substantial length of time prior to the hearing before this court.

Considering all of the circumstances, then, including the fact that there has been no showing of financial loss as a result of respondent's delay in remedying the title defect, see In re Jaynes, 66 S.D. 427, 285 N.W. 130 (1939), we agree with the Board's recommendation that public censure would be the appropriate discipline to be imposed upon respondent. Accordingly, pursuant to SDCL 16-19-35(4), a judgment of public censure will be entered against respondent.

DUNN and HENDERSON, JJ., concur.

FOSHEIM, C.J., and MORGAN, J., deeming themselves disqualified, did not participate in this decision.

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MATTER OF DISCIPLINE OF KIRBY
(Jul 13, 1983)