STATEWIDE GRIEVANCE COMMITTEE

Hartford/New Britain Judicial District Geographical Areas 12, 15, 16 and 17 Grievance Panel, Complainant  vs. William A. Ankerman, Respondent

Grievance Complaint #98-0143

DECISION

Pursuant to Practice Book §2-35, the undersigned, duly-appointed reviewing committee of the Statewide Grievance Committee, conducted a hearing at the Superior Court, 1 Court Street, Middletown, Connecticut on April 9, 1999. The hearing addressed the record of the complaint filed on August 20, 1998, and the probable cause determination filed by the Hartford/New Britain Judicial District, Geographical Areas 13 and 14 Grievance Panel on October 1, 1998, finding that there existed probable cause that the Respondent violated Rules 1.15(b) and 8.4(b) and (c) (now 8.4(2) and (3))of the Rules of Professional Conduct.

Notice of the hearing was mailed to the Complainant and to the Respondent on March 9, 1999. At the hearing Attorney Atherton B. Ryan appeared on behalf of the Complainant. The Respondent appeared represented by Attorney Walter Bass and testified before this reviewing committee. Exhibits were admitted into evidence.

This reviewing committee finds the following facts by clear and convincing evidence:

In a letter to the Statewide Grievance Committee dated July 6, 1998, the Respondent reported his mishandling of money related to Elizabeth Forbes. The Respondent represented Elizabeth Forbes, a minor, in a personal injury action. The probate court in Wallingford established a guardianship to assist in the resolution of the case. A settlement of approximately $100,000.00 was reached and approved by the probate court in December of 1993. The Respondent retained possession and control of the assets subject to the guardianship estate. The Respondent acknowledged that he overdrew the probate estate account by approximately $35,000.00. The Respondent also deducted $9,000.00 in attorney’s fees that were not formally approved by the court. The Respondent attempted to secure a method of repayment of the $44,000.00. In a probate court order/decree the Respondent was ordered to pay the sum of $64,344.14 plus interest to the co-guardians.

This reviewing committee also considered the following:

The reviewing committee noted the Respondent’s candor in reporting his conduct. The Respondent indicated that he had medical/personal problems during the time at issue.

This reviewing committee finds the following violations of the Rules of Professional Conduct by clear and convincing evidence:

The Respondent’s conduct in connection with the handling of the Elizabeth Forbes probate matter involved a breach of the Rules of Professional Conduct. The Respondent violated Rule 1.15(b) of the Rules of Professional Conduct by failing to promptly deliver to the co-guardians the funds to which they were entitled to receive in connection with the $100,000.00 settlement. The Respondent also violated Rule 8.4(2) and (3) in connection with his misappropriation of settlement funds. Since we conclude that the Respondent violated the Rules of Professional Conduct and in light of the seriousness of the misconduct, we order that the Respondent be presented to the Superior Court for whatever discipline the court deems appropriate.

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Attorney Kerry A. Tarpey

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Attorney Lorraine Eckert

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Mr. Terrence Nichols