In the Matter of William G. Broderick (1994)
Overview
In the Matter of Broderick is a comprehensive Review Department decision addressing probation revocation and a concurrent original disciplinary proceeding. The case analyzes failures to comply with restitution, reporting, and therapy conditions of probation, misuse of a client trust account for personal purposes, loss of client settlement checks, and failure to communicate with both a client and the State Bar.
The decision is also frequently cited for its discussion of inactive enrollment under Business and Professions Code section 6007(d) and the interaction between probation revocation and concurrent discipline.
Facts
William G. Broderick was admitted to the California Bar in 1970. In a prior disciplinary matter, he received a stayed suspension with probation that required quarterly reporting, monthly restitution payments totaling $4,466.50 to former clients, and evidence of ongoing treatment by a licensed mental health professional.
Broderick failed to file any quarterly probation reports, made no restitution payments to the clients, and did not submit evidence of treatment by a duly licensed psychologist or psychiatrist. Although he made several $100 payments to the State Bar, he lacked any reasonable basis for believing that such payments satisfied his restitution obligation to the clients.
In a separate client matter, Broderick misused his client trust account as a personal account, allowing it to become overdrawn, lost a client’s settlement checks, failed to protect the client’s personal injury claim from the statute of limitations, and ignored repeated client inquiries and correspondence from successor counsel. He also failed to respond to letters from a State Bar investigator.
Charges
- Bus. & Prof. Code §§ 6068(k), 6103 — Failure to comply with probation and court orders
- Bus. & Prof. Code § 6093(b) — Probation violations
- Rule 4-100(A) — Misuse of client trust account
- Rule 3-500 — Failure to communicate with client
- Rule 3-110 — Failure to perform competently
Aggravation and Mitigation
- Prior record of discipline
- Multiple acts of misconduct
- Significant harm to a client
- Uncharged probation violations
- Good faith attempts to make partial restitution
- Efforts to obtain mental health treatment
- Candor and cooperation after formal proceedings began
Discipline Imposed
| Proceeding | Discipline |
|---|---|
| Probation Revocation | Three years stayed suspension; four years probation; one-year actual suspension |
| Original Discipline | Same discipline, concurrent; actual suspension until rehabilitation and fitness proven |
| Additional Conditions | Restitution, therapy, ethics school, probation monitor, office management |
Key Takeaways
- Substantial compliance is not a defense to probation violations.
- Restitution and reporting requirements are core rehabilitation tools.
- Mental health issues mitigate discipline only upon proof of sustained recovery.
- Inactive enrollment should be sought to protect the public where suspension is recommended.
Facing Probation Revocation or Trust Account Discipline?
Probation violations, trust account misuse, and failure to cooperate with the State Bar can quickly escalate to lengthy suspension. If you are under investigation or facing revocation, contact East Bay Law P.C. for experienced California State Bar defense representation.