THE FLORIDA BAR, COMPLAINANT,
v.
LANCE E. WOOTEN, RESPONDENT

Fla. | 1984-06-14
No. 63817
ALDERMAN, C.J., and OVERTON, MCDONALD, EHRLICH and SHAW, JJ., concur.
452 So. 2d 547 Florida Supreme Court (1984) Positive Treatment
Cited by 2 cases

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Synopsis

The Florida Bar disciplined attorney Lance Wooten for violating professional responsibility rules by advancing over $20,000 to a client for personal living expenses, not litigation costs, thereby acquiring an impermissible financial interest in the client's pending litigation. The court rejected the referee's dismissal recommendation and imposed a public reprimand.


Holding

The attorney violated Disciplinary Rule 5-103(B). An attorney may only advance money to a client for reasonable expenses of litigation. Advancing funds for client maintenance and family support, even if secured by promissory notes, constitutes acquisition of an impermissible financial interest in the client's litigation.


Headnotes

[1] An attorney violates Disciplinary Rule 5-103(B) by advancing funds to a client for the client's maintenance and support, which are to be repaid from the proceeds of the c…

[2] An attorney may not advance money to a client except for the reasonable expenses of litigation.

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Key Quotes

“This Court has repeatedly held that an attorney may not advance money to a client except for the reasonable expenses of litigation.”

Establishes the governing rule that attorneys are limited to advancing funds only for reasonable litigation expenses.

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Facts & Procedural History

Wooten represented a client in a personal injury and workers' compensation claim over a two-year period. During this time, Wooten advanced the client …

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Opinion of the Court
PER CURIAM.

PER CURIAM.

This attorney discipline proceeding is before us on the complaint of The Florida Bar and the report of the referee. The Florida Bar has petitioned for review pursuant to article XI, Rule 11.09(1) of the Integration Rule of The Florida Bar. We have jurisdiction. Art. V, § 15, Fla. Const. Respondent was charged with violation of Disciplinary Rule 5-103(B) of The Florida Bar Code of Professional Responsibility for giving financial assistance to a client and thereby acquiring a financial interest in the client’s contemplated or pending litigation. The referee found that respondent did not acquire any interest in his client’s litigation and recommended that the complaint be dismissed. The Florida Bar now petitions for review of the referee’s recommendation. The Bar seeks a finding of guilt and the imposition of a public reprimand. The facts of this case are as follows. Respondent was employed to represent an individual with regard to a personal injury action and workers’ compensation claim. During a period of over two years, respondent advanced his client in excess of $20,-000. Some of this money was used for the client’s medical bills, but a substantial portion was used for the maintenance and support of the client and his family. The majority of this money was secured by promissory notes and was to be repaid from the proceeds of the personal injury action or the workers’ compensation claim. Respondent was discharged prior to any recovery and, consequently, none of the funds advanced by respondent have been repaid. Respondent has made no effort to recover the money.

We reject the findings and recommendation of the referee and find that the facts of this case, on their face, demonstrate a clear violation of Disciplinary Rule 5-103(B). This Court has repeatedly held that an attorney may not advance money to a client except for the reasonable expenses of litigation. See The Florida Bar v. Rogowski, 399 So. 2d 1390 (Fla.1981); The Florida Bar v. Abagis, 318 So. 2d 395 (Fla.1975). By respondent’s own admission, the funds advanced in this case were for the maintenance and support of the client and his family and were to be repaid from the proceeds of the client’s litigation.

The referee’s finding that respondent did not acquire an interest in his client’s litigation is clearly erroneous. The mere fact that respondent advanced more than $20,-000, which was not connected to the expenses of litigation and which was to be repaid from the proceeds of the litigation, is sufficient evidence of respondent’s acquisition of an interest in the client’s litigation.

We hold that respondent violated Disciplinary Rule 5-103(B) and that the appropriate punishment is a public reprimand. The publishing of this opinion in Southern Reporter shall constitute the public reprimand.

The cost of these proceedings in the amount of $695.31. is assessed against respondent.

It is so ordered.

ALDERMAN, C.J., and OVERTON, MCDONALD, EHRLICH and SHAW, JJ., concur.


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Citator

Cited By

  • …ions of rule 4-1.8, thus creating possible conflicts of interest. This Court has disciplined members of the Bar for advancing funds to clients or assisting others to do so. The Fla. Bar v. Hastings, 523 So. 2d 571 (Fla.1988); The Fla. Bar v. Wooten, 452 So. 2d 547 (Fla.1984); The Fla. Bar v. Dawson, 318 So. 2d 385 (Fla.), cert, denied, 423 U.S. 995, 96 S.Ct. 422, 46 L.Ed.2d 369 (1975). [*970] Lawyers should not be encouraged or allowed to do indirectly what they cannot do directly. The majority of states like…

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