State Bar Court of California
Hearing Department
STIPULATION RE FACTS, CONCLUSIONS OF LAW AND
DISPOSITION AND ORDER APPROVING
STAYED
SUSPENSION; NO ACTUAL SUSPENSION
Case Number(s): 09-O-13446
In the Matter of: Adam Mark Ruben, Bar #200986, A Member of
the State Bar of California, (Respondent).
Counsel For The State Bar: Adriana M. Burger, Bar #92534
Counsel for Respondent: DAVID CAMERON CARR, Bar# 124590
Submitted to: Settlement Judge, State Bar Court Clerk’s
Office - Los Angeles.
Filed: September 1, 2010
<<not>> checked. PREVIOUS STIPULATION
REJECTED
Note: All information required by this form and
any additional information which cannot be provided in the space provided, must
be set forth in an attachment to this stipulation under specific headings, e.g.,
"Facts," "Dismissals," "Conclusions of Law,"
"Supporting Authority," etc.
A. Parties' Acknowledgments:
1. Respondent
is a member of the State Bar of California, admitted June 4, 1999.
2. The
parties agree to be bound by the factual stipulations contained herein even if
conclusions of law or disposition are rejected or changed by the Supreme Court.
3. All
investigations or proceedings listed by case number in the caption of this
stipulation are entirely resolved by this stipulation and are deemed
consolidated. Dismissed charge(s)/count(s) are listed under
"Dismissals." The stipulation consists of 8 pages, not
including the order.
4. A
statement of acts or omissions acknowledged by Respondent as cause or causes
for discipline is included under "Facts."
5. Conclusions
of law, drawn from and specifically referring to the facts are also included
under "Conclusions of Law".
6. The
parties must include supporting authority for the recommended level of
discipline under the heading "Supporting Authority."
7. No
more than 30 days prior to the filing of this stipulation, Respondent has been
advised in writing of any pending investigation/proceeding not resolved by this
stipulation, except for criminal investigations.
8. Payment
of Disciplinary Costs-Respondent acknowledges the provisions of Bus. &
Prof. Code §§6086.10 & 6140.7. (Check one option only):
<<not>>
checked. Costs are added to membership fee for calendar year following
effective date of discipline.
checked. Costs are
to be paid in equal amounts prior to February 1 for the following membership
years: 2013 and 2014. (Hardship, special circumstances or other good
cause per rule 5.132, Rules of Procedure.) If Respondent fails to pay any
installment as described above, or as may be modified by the State Bar Court,
the remaining balance is due and payable immediately.
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checked. Costs are waived in part as set forth in a separate attachment
entitled "Partial Waiver of Costs".
<<not>>
checked. Costs are entirely waived.
B. Aggravating Circumstances
[for definition, see Standards for Attorney Sanctions for Professional
Misconduct, standard 1.2(b)]. Facts supporting aggravating circumstances are
required.
<<not>>
checked. (1) Prior record of discipline [see standard 1.2(f)].
<<not>> checked. (a) State Bar Court case # of prior case
<<not>> checked. (b) Date prior discipline effective
<<not>> checked. (c) Rules of Professional Conduct/ State Bar
Act violations:
<<not>> checked. (d) Degree of prior discipline
<<not>> checked. (e) If Respondent has two or more incidents of
prior discipline, use space provided below or a separate attachment entitled
“Prior Discipline”.
<<not>>
checked. (2) Dishonesty: Respondent's misconduct was surrounded by or
followed by bad faith, dishonesty, concealment, overreaching or other
violations of the State Bar Act or Rules of Professional Conduct.
<<not>>
checked. (3) Trust Violation: Trust funds or property were involved and
Respondent refused or was unable to account to the client or person who was the
object of the misconduct for improper conduct toward said funds or property.
<<not>>
checked. (4) Harm: Respondent's misconduct harmed significantly a client,
the public or the administration of justice.
<<not>> checked. (5)
Indifference: Respondent demonstrated indifference toward rectification
of or atonement for the consequences of his or her misconduct.
<<not>> checked. (6) Lack of
Cooperation: Respondent displayed a lack of candor and cooperation to
victims of his/her misconduct or to the State Bar during disciplinary
investigation or proceedings.
<<not>> checked. (7)
Multiple/Pattern of Misconduct: Respondent's current misconduct evidences
multiple acts of wrongdoing or demonstrates a pattern of misconduct.
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(8) No
aggravating circumstances are involved.
Additional aggravating circumstances:
C. Mitigating Circumstances
[see standard 1.2(e)]. Facts supporting mitigating circumstances are required.
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(1) No Prior
Discipline: Respondent has no prior record of discipline over many years
of practice coupled with present misconduct which is not deemed serious.
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(2) No
Harm: Respondent did not harm the client or person who was the object of
the misconduct.
<<not>> checked. (3) Candor/Cooperation:
Respondent displayed spontaneous candor and cooperation with the victims of
his/her misconduct and to the State Bar during disciplinary investigation and
proceedings.
checked.
(4)
Remorse: Respondent promptly took objective steps spontaneously
demonstrating remorse and recognition of the wrongdoing, which steps were
designed to timely atone for any consequences of his/her misconduct.
<<not>> checked. (5)
Restitution: Respondent paid $ on in restitution to
without the threat or force of disciplinary, civil or criminal
proceedings.
<<not>> checked. (6)
Delay: These disciplinary proceedings were excessively delayed. The
delay is not attributable to Respondent and the delay prejudiced him/her.
<<not>> checked. (7) Good Faith:
Respondent acted in good faith.
<<not>> checked. (8)
Emotional/Physical Difficulties: At the time of the stipulated act or
acts of professional misconduct Respondent suffered extreme emotional
difficulties or physical disabilities which expert testimony would establish
was directly responsible for the misconduct. The difficulties or
disabilities were not the product of any illegal conduct by the member, such as
illegal drug or substance abuse, and Respondent no longer suffers from such
difficulties or disabilities.
<<not>> checked. (9) Severe
Financial Stress: At the time of the misconduct, Respondent suffered from
severe financial stress which resulted from circumstances not reasonably
foreseeable or which were beyond his/her control and which were directly
responsible for the misconduct.
<<not>> checked. (10) Family
Problems: At the time of the misconduct, Respondent suffered extreme
difficulties in his/her personal life which were other than emotional or
physical in nature.
<<not>> checked. (11) Good
Character: Respondent's good character is attested to by a wide range of
references in the legal and general communities who are aware of the full
extent of his/her misconduct.
<<not>> checked. (12)
Rehabilitation: Considerable time has passed since the acts of
professional misconduct occurred followed by convincing proof of subsequent
rehabilitation.
<<not>> checked. (13) No
mitigating circumstances are involved.
Additional mitigating circumstances:
D. Discipline:
checked.
(1) Stayed
Suspension:
checked.
(a)
Respondent must be suspended from the practice of law for a period of 90 days.
<<not>>
checked. i. and until
Respondent shows proof satisfactory to the State Bar Court of rehabilitation
and present fitness to practice and present learning and ability in the law
pursuant to standard 1.4(c)(ii) Standards for Attorney Sanctions for
Professional Misconduct.
<<not>>
checked. ii. and until
Respondent pays restitution as set forth in the Financial Conditions form
attached to this stipulation.
<<not>>
checked. iii. and until Respondent
does the following: .
<<not>> checked.
(b) The above-referenced
suspension is stayed.
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(2)
Probation: Respondent must be placed on probation for a period of 2
years, which will commence upon the effective date of the Supreme Court order
in this matter. (See rule 9.18, California Rules of Court.)
E. Additional Conditions of Probation:
checked.
(1) During the
probation period, Respondent must comply with the provisions of the State Bar
Act and Rules of Professional Conduct.
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(2) Within
ten (10) days of any change, Respondent must report to the Membership Records
Office of the State Bar and to the Office of Probation of the State Bar of
California ("Office of Probation"), all changes of information,
including current office address and telephone number, or other address for
State Bar purposes, as prescribed by section 6002.1 of the Business and
Professions Code.
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(3) Within
thirty (30) days from the effective date of discipline, Respondent must contact
the Office of Probation and schedule a meeting with Respondent's assigned
probation deputy to discuss these terms and conditions of probation. Upon the
direction of the Office of Probation, Respondent must meet with the probation
deputy either in-person or by telephone. During the period of probation,
Respondent must promptly meet with the probation deputy as directed and upon request.
checked.
(4)
Respondent must submit written quarterly reports to the Office of Probation on
each January 10, April 10, July 10, and October 10 of the period of probation.
Under penalty of perjury, Respondent must state whether Respondent has complied
with the State Bar Act, the Rules of Professional Conduct, and all conditions
of probation during the preceding calendar quarter. Respondent must also state
whether there are any proceedings pending against him or her in the State Bar
Court and if so, the case number and current status of that proceeding. If the
first report would cover less than 30 days, that report must be submitted on
the next quarter date, and cover the extended period.
In addition to all quarterly reports, a final report, containing the same
information, is due no earlier than twenty (20) days before the last day of the
period of probation and no later than the last day of probation.
<<not>> checked. (5) Respondent
must be assigned a probation monitor. Respondent must promptly review the terms
and conditions of probation with the probation monitor to establish a manner
and schedule of compliance. During the period of probation, Respondent must
furnish to the monitor such reports as may be requested, in addition to the quarterly
reports required to be submitted to the Office of Probation. Respondent must
cooperate fully with the probation monitor.
checked.
(6) Subject
to assertion of applicable privileges, Respondent must answer fully, promptly
and truthfully any inquiries of the Office of Probation and any probation
monitor assigned under these conditions which are directed to Respondent
personally or in writing relating to whether Respondent is complying or has
complied with the probation conditions.
checked. (7)
Within one (1) year of the effective date of the discipline herein, Respondent
must provide to the Office of Probation satisfactory proof of attendance at a
session of the Ethics School, and passage of the test given at the end of that
session.
<<not>> checked. No Ethics
School recommended. Reason:
<<not>> checked. (8) Respondent
must comply with all conditions of probation imposed in the underlying criminal
matter and must so declare under penalty of perjury in conjunction with any
quarterly report to be filed with the Office of Probation.
<<not>> checked. (9) The
following conditions are attached hereto and
incorporated:
<<not>>
checked. Substance Abuse Conditions.
<<not>>
checked. Law Office Management Conditions.
<<not>>
checked. Medical Conditions.
<<not>>
checked. Financial Conditions.
F. Other Conditions Negotiated by the Parties:
checked.
(1)
Multistate Professional Responsibility Examination: Respondent must provide
proof of passage of the Multistate Professional Responsibility Examination
("MPRE"), administered by the National Conference of Bar Examiners,
to the Office of Probation within one year. Failure to pass the MPRE
results in actual suspension without further hearing until passage. But see
rule 9.10(b), California Rules of Court, and rule 5.162(A) & (E), Rules of
Procedure.
<<not>>
checked. No MPRE recommended. Reason:
<<not>> checked. (2) Other
Conditions: .
Stayed Suspension
FINDINGS
OF FACTS AND CONCLUSIONS OF LAW
Rules
of Professional Conduct, rule 4-100(B)(3)
[Failure
to Maintain Client Funds in Trust Account]
3.
On or about June 3, 2009 Respondent maintained a client trust account
("CTA"), at Wells Fargo Bank, account number: 0632936357. On that
same date the balance of the CTA was $2,862.33.
4.
On or about June 4, 2009, check number i 191, previously issued to pay a client
expense, in the amount of $3,750 was presented and paid by Respondent’s bank,
causing the balance to drop to a negative balance of approximately $887.57.
5.
Respondent had failed to keep an accurate record of the transactions in the
CTA; Check number 1191 had been issued on April 23, 2009, but had not been
promptly presented to the bank for payment. On June 4, 2009, Respondent had
erroneously paid himself attorney fees prior to realizing that there was one
outstanding check yet to be paid.
6.
Respondent immediately replenished his CTA account. No person was harmed or
impacted by the oversight.
7.
By not maintaining sufficient records to account for funds in the CTA to pay
outstanding checks issued on behalf of clients, Respondent willfully failed to
maintain client funds records in a trust account.
SUPPORTING
AUTHORITY
In
the Matter of Lazarus (Review Dept. 1991) 1 Cal. State Bar Ct. Rptr. 387
Failure
to render a timely and appropriate accounting upon withdrawal in addition to
unilateral payment of attorney fees merited more than public reproval. No
actual suspension was necessary because the attorney had taken corrective
measures and there was no harm to the client.
DISMISSALS
The
following allegations are dismissed in the interests of justice:
Rules
of Professional Conduct, rule 4-100(A)
Client
Trust Accounting School
Respondent
has successfully completed Client Trust Accounting School on December 4, 2009,
as evidenced by the attached Certificate No. 658307 issued by the California
State Bar.
Certificate
No: 658307
STATE
BAR OF CALIFORNIA
Office
of Chief Trial Counsel
This
is to certify that
Adam
M. Ruben
State
Bar No. 200996
has
completed Client Trust Accounting School
giver;
by the State Bar of California on
Friday,
December 4, 2009
This
Course has been Certified for 3 .hours of
Minimum
Continuing Legal Education in Ethics
Dated:
December. 11,2009
Djinna
M. Gochis
Assistant
Chief Trial Counsel
SIGNATURE OF THE PARTIES
Case Number(s): 09-O-13446
In the Matter of: Adam Mark Ruben
By their signatures below, the parties and their counsel, as
applicable, signify their agreement with each of the recitation and each of the
terms and conditions of this Stipulation Re Facts, Conclusions of Law and
Disposition.
Signed by:
Respondent: Adam Mark Ruben
Date: July 30, 2010
Respondent’s Counsel: David Cameron Carr
Date: August 3, 2010
Deputy Trial Counsel: Adriana M. Burger
Date: August 7, 2010
STAYED SUSPENSION ORDER
Case Number(s): 09-O-13446
In the Matter of: Adam Mark Ruben
Finding the stipulation to be fair to the parties and
that it adequately protects the public, IT IS ORDERED that the requested
dismissal of counts/charges, if any, is GRANTED without prejudice, and:
checked. The stipulated facts
and disposition are APPROVED and the DISCIPLINE RECOMMENDED to the Supreme
Court.
<<not>> checked. The
stipulated facts and disposition are APPROVED AS MODIFIED as set forth below,
and the DISCIPLINE IS RECOMMENDED to the Supreme Court.
<<not>> checked. All
Hearing dates are vacated.
The parties are bound by the stipulation as approved
unless: 1) a motion to withdraw or modify the stipulation, filed within 15 days
after service of this order, is granted; or 2) this court modifies or further
modifies the approved stipulation. (See rule 5.58 (E) & (F), Rules of
Procedure.) The effective date of this disposition is the effective date of the
Supreme Court order herein, normally 30 days after the file date. (See rule
9.18(a), California Rules of Court.)
Signed by:
Judge of the State Bar Court: Richard A. Platel
Date: September 1, 2010
CERTIFICATE OF SERVICE
[Rules Proc. of State
Bar; Rule 5.27(B); Code Civ. Proc., § 1013a(4)]
I am a Case Administrator of the State Bar Court of
California. I am over the age of eighteen and not a party to the within
proceeding. Pursuant to standard court practice, in the City and County of Los
Angeles on September 1, 2010, I deposited a true copy of the following
document(s):
STIPULATION RE FACTS, CONCLUSIONS OF LAW AND
DISPOSITION AND ORDER APPROVING
in a sealed envelope for collection and mailing on that date
as follows:
checked. by
first-class mail, with postage thereon fully prepaid, through the United States
Postal Service at Los Angeles, California, addressed as follows:
DAVID C. CARR
LAW OFFICE OF DAVID CAMERON CARR
530 B ST STE 1410
SAN DIEGO, CA 92101
checked. by
interoffice mail through a facility regularly maintained by the State Bar of
California addressed as follows:
Adriana Margaret Burger, Enforcement
I hereby certify that the foregoing is true and correct.
Executed in Los Angeles, California, on September 1, 2010
Signed by:
Johnnie Lee Smith
Case Administrator
State Bar Court