Nick Steffens Suspension

7/27/2019 Nick Steffens Suspension

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IN THE SUPREME COURT OF FLORIDA(Before a Referee)

THE FLORIDA BAR,Com plainant, Supreme Court CaseNo. SC 11-521

v.The Florida Bar FileNICHOLAS THEODORE STEFFENS, Nos. 2011-50,539(17F)2011-50,776(17F) andRespondent. 2011-51,226 (17F)

REPORT OF THE REFEREE ACCEPTING CONSENT JUDGMENTI. SUMMARY OF PROCEEDINGS

Pursuant to Court Order dated June 29, 2011, the undersigned was dulyappointed as referee to conduct disciplinary proceedings herein according to Rule3-7.6, Rules of D iscipline. Accordingly, the following proceedings occurred:

On March 15, 2011, The Florida Bar filed its Petition for ontempt and Orderto Show Cause in these proceedings. All of the aforem entioned pleadings,responses thereto, and this Report constitute the record in this case and areforwarded to the Supreme Court of Florida.


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II. FINDINGS OF FACTA. Jurisdictional Statement. Respondent is, and at all times mentioned

during this investigation was, a member of The Florida Bar, subject to thejurisdiction and disciplina ry rules of the Supreme Court of Florida.

B. Narrative Summ ary of Case. As to Florida Bar File No. 2011-50,329(17F), the respondent wrote a letter to opposing counsel agreeing to thewithdrawal of a B ar complaint by his client, if a settlement was reached. A B argrievance was filed, as a result. The respondent failed to respond to The FloridaBar inqu iries concerning his improper letter. As to Florida Bar File No . 2011-50,776(17F), the respondent represented Stewart Huffaker concerning a mortgageaudit m atter and received a fee of $5,000.00. The respondent did not perform anyservices and was discharged. Desp ite m ultiple requests, the respondent failed toreturn the fee and a B ar grievance was filed. The respondent failed to respond toBar inquiries concerning his lack of diligence and failure to return a fee. As toFlorida Bar File No. 2011-51,226(17F)OSC, as indicated in the aforementionedcases, the respondent failed to respond to official inquiries by bar counsel.III. RECOM MEN DAT IONS AS TO GUILT

I recommend that Respondent be found guilty of violating the followingRules Regulating The Florida Bar: R. Regulating Fla. Bar 4-1.3 (A lawyer shall


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ac t with reasonable diligence and promptness in representing a client), 4-1.4(a)(3)(A lawyer shall keep the client reasonably informed abou t the status of the m atter);4-1.4(a)(4) (A lawyer shall comply with reasonable requests for information); 4-1.5 (a) (An attorney shall not entered into an agreement for, charge, or collect anillegal, prohibited, or clearly excessive fee ...); 4-8.4(d) (A lawyer shall not engagein conduct in connection with the practice of law that is prejudicial to theadministration of justice ...); and 4-8.4(g) (A lawyer shall not fail to respond, inwriting, to any official inquiry by bar counsel or a disciplinary agency, as definedelsewhere in these rules, when bar counsel or the agency is conducting aninvestigation into the lawyer's conduct.).IV. STANDARDS FOR IMPOSING LAWY ER SANCTIONS

I considered the following Standards prior to recomm ending discipline:4.42 Suspension is appropriate when:(a) a lawyer know ingly fails to perform

services for a client and causes injury or po tential injury to a client; or (b) a lawyerengages in a pattern of neglect and causes injury or potential injury to a client.

7.2 Suspension is appropriate when a lawyer know ingly engages in conductthat is a violation of a duty owed as a professional and causes injury or potentialinjury to a client, the public, or the legal system.


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V. CASE LAWI considered the following case law prior to recomm ending discipline:In The Florida Bar v. Maier. 784 So.2d 411 (Fla. 2001), the respondent

neglected a matter and failed to respond to the Bar. Maier was suspended for 60days. Maier, however, had a disciplinary history and M r. Steffens does not. A 10-day suspension and the o ther requirem ents is appropriate.VI. RECOMMEN DATION AS TO DISCIPLINARY MEASUR ES TO BE

APPLIEDI recommend that Respondent be found guilty of misconduct justifying

disciplinary measures, and that he be disciplined by:A. 10-day suspensionB. In Florida Bar File No. 2011-50,776(17F), restitution in the

amount of $5,000 to Steward Huffaker within 60 days of execution of thisconsent judg m ent, that being not later than November 7, 2011.

C. Payment of The Florida Bar's disciplinary costs in theseproceedings.

D. Respondent shall be referred to Florida Lawyers Assistance,Inc. (FLA, Inc.) and com ply with the following requirements:

W ithin 30 days of his acceptance of this consent judgm ent, therespondent shall make an appointment for an evaluation to be


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conducted by FLA, Inc. The respondent shall be evaluated by FLA,Inc. and shall thereafter follow any and all recommendations thatFLA, Inc. deems appropriate. W ithin 10 days of FLA , Inc. notifyingthe respondent of its recommendations, the respondent shall notifyThe Florida Bar of same. If a rehabilitation contract is recommendedby FLA, Inc., the respondent shall enter into such contract for a termto be determined by FLA, Inc. and shall be subject to any and allconditions recommended by FLA, Inc. The respondent shall waiveconfidentiality with FLA, Inc. so that FLA, Inc. is authorized, andindeed required, to notify The Florida Bar of the respondent'sevaluation and progress during the terms of any treatmentrecommended by FLA, Inc. Based on this waiver of confidentialitybetween FLA, Inc. and The Florida Bar, any breach of therespondent's rehabilitation contract with FLA, Inc. regardless of howsubstantial or insubstantial such breach may be, shall be immediatelyreported to The Florida Bar. All of the foregoing shall be at therespondent's expense.

VII. PERSONAL HISTORY AND PAST DISCIPLINARY RECORDPrior to recommending discipline pursuant to Rule 3-7.6(m)(l)(D), I

considered the following personal history of Respond ent, to wit:


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Age: 32Date admitted to the Bar: April 21, 2005Prior Discipline: None

VIII. STATEMENT OF COSTS AND MANNER IN WH ICH COSTS SH OULDBE TAXEDI find the following costs w ere reasonably incurred by The Florida Bar:

Adm inistrative Costs $ 1,250.00Court Reporters Fees $75.00Bar Counsel Travel $-0-Investiga tive Costs and Expenses $-0-Photocopying Costs $-0-TOTAL $1,325.00

It is recomm ended that such costs be charged to Respondent and that interest at thestatutory rate shall accrue and that should such cost judgment not be satisfiedwithin thirty days of said judgment becoming final, Respondent shall be deemeddelinquent and ineligible to practice law, pursuant to R. Regulating Fla. Bar 1-3.6,unless otherwise deferred by the Board of Governors of The Florida Bar.

Dated this day of , 2011.SIGNED & DATED

SEP 1 9 20 t tJ U D G E M A R N I A . B R Y S O NHonorable Marni Anne BrysonReferee


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CERTIFICATE OF SERVICEI HEREBY CERTIFY that the original of the foregoing Report of Refereehas been mailed to The Honorable Thomas D. Hall, Clerk, Supreme Court ofFlorida, Supreme Court Building, 500 South Duval Street, Tallahassee, Florida32399-1927, and that copies were furnished by regular U.S. Mail to Respondent,Nicholas Theodore Steffens, whose record bar address is Nicholas T. Steffens &Associates, 5571 N. University Dr., Ste .101, Coral Springs, FL 33067-4653;Kenneth Lawrence Marvin, Staff Counsel, The Florida Bar, 651 E. JeffersonStreet, Tallahassee, Florida 32399-2300 and Randi Klayman Lazarus, Bar Counsel,The Florida Bar, Lake Shore Plaza II, 1300 Concord Terrace, Suite 130, Sunrise,Florida 33 323 on this day of .20 .

SRJNED & DATEDS E P 1 9 2 0 1 1

J U D G E M A R N I A . B R Y S Q NH onorable Marni Anne Bryson


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IN THE SUPREME COURT OF FLORIDA(Before a Referee)

THE FLORIDA BAR,Complainant, Supreme Court Case

No. SCI 1-521v. The Florida Bar File

Nos. 2011-50,329(17F),NICHOLAS THEODORE STEFFENS, 2011-50,776(17F) and2011-51,226(17F)OSCRespondent.

CONDITIONAL GUILTY PLEA FOR CONSENT JUDGMENTCOMES NOW, the undersigned respondent, Nicholas Theodore Steffens,

and files this Conditional Guilty Plea pursuant to R. Regulating Fla. Bar 3-7.9.1. The respondent is, and at all times mentioned herein was, a member of

The Florida Bar, subject to the jurisdiction of the Supreme Court of Florida.2. The respondent is 32 years of age and was admitted to The Florida

Bar on April 21,2005.3. The respondent is currently the subject of a contempt action which has

been assigned The Florida Bar File No. 2011-51,226(17F)OSC (Supreme CourtCase No. SCI 1-521) which is pending before the Honorable Marni Anne Brysonas referee. This matter concerns the respondent's failure to respond to The FloridaBar in File Nos. 2011-50,329(17F) and 2011-50,776(17F).

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4. The respondent also is currently the subject of two Florida Bardisciplinary matters which have been assigned The Florida Bar File Nos. 2011-50,329(17F) and 2011-50,776(17F), the underlying grievances in the contemptaction. The respondent waives the right to a probable cause hearing before agrievance committee and stipulates to findings of probable cause in reference tothese matters. The respondent also agrees that the referee assigned in SC I 1-521may adjudicate these matters.

5. The respondent is acting freely and voluntarily in this matter, andtenders this Plea without fear or threat of coercion. Respondent is not representedin this matter.

6. The disciplinary measures to be imposed upon the respondent are asfollows:

A. 10-day suspensionB. In Florida Bar File No. 2011-50,776(17F), restitution in the

amount of $5,000 to Steward Huffaker within 60 days of execution of thisconsent judgm ent.

C. Payment of The Florida Bar's disciplinary costs in theseproceedings.

D. Respondent shall be referred to Florida Lawyers Assistance,Inc. (FLA, Inc.) and comply with the following requirements:


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Within 30 days of his acceptance of this consent judgm ent, therespondent shall make an appointment for an evaluation to be

conducted by FLA, Inc. The respondent shall be evaluated by FLA,Inc. and shall thereafter follow any and all recommendations thatFLA, Inc. deems appropriate. W ithin 10 days of FLA, Inc. notifyingthe respondent of its recommendations, the respondent shall notifyThe Florida Bar of same. If a rehabilitation contract is recommendedby FLA, Inc., the respondent shall enter into such contract for a termto be determined by FLA, Inc. and shall be subject to any and allconditions recommended by FLA, Inc. The respondent shall waiveconfidentiality with FLA, Inc. so that FLA, Inc. is authorized, andindeed required, to notify The Florida Bar of the respondent'sevaluation and progress during the terms of any treatmentrecommended by FLA , Inc. Based on this waiver of confidentialitybetween FLA, Inc. and The Florida Bar, any breach of therespondent's rehabilitation contract with FLA, Inc. regardless of howsubstantial or insubstantial such breach may be, shall be immediatelyreported to The Florida Bar. All of the foregoing shall be at therespondent's expense.


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7. The followin g allegations and rules provide the basis for responden t'sguilty plea and for the discipline to be imposed in this matter:

As to Florida Bar File No. 2011-50,329(17F)8. The respondent wrote a letter to opposing counsel agreeing to the

withdrawal of a bar complaint by his client, if a settlement was reached . A Bargrievance was filed, as a result.

9. The respondent failed to respond to The Florida Bar inquiriesconcerning his improper letter.

As to Florida Bar File No. 2011 50J76(17F)10. The respondent represented Stewart Huffaker concerning a mortgage

audit matter and received a fee of $5,000.00.11. The respondent did not perform any services and was discharged.12. Despite multiple requests, the respondent failed to return the fee and a

Bar grievance was filed.13. The respondent failed to respond to Bar inquiries concerning his lack

of diligence an d failure to return a fee.14. By reason of the foregoing, the respondent has violated R. Regulating

Fla. Bar 4-1.3 (A lawyer shall act with reasonable diligence and promptness inrepresenting a client); 4-1.4(a)(3) (A lawyer shall keep the client reasonablyinformed about the status of the matter); 4-1.4(a)(4) (A lawyer shall comply with


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reasonable requests for information); 4-1.5(A) (An attorney shall not entered intoan agreement for, charge, or collect an illegal, prohibited, or clearly excessive fee...); and 4-8.4(d) (A lawyer shall not engage in conduct in connection with thepractice of law that is prejudicial to the administration of justice ...); and 4-8.4(g)(A lawyer shall not fail to respond, in writing, to any official inquiry by barcounsel or a disciplinary agency, as defined elsewhere in these rules, when barcounsel or the agency is conducting an investigation into the lawyers conduct.)

15. In mitigation, the responden t would state that:A. D ue to economic strain resulting from his spouse's loss of

employment, the respondent suffered from severe anxiety.B. Respondent's anxiety led him to ignore the requests of The

Florida Bar and his client, Stewart Huffaker.C. The respondent is remorseful for his conduct and his

willingness to m ake restitution to M r. Huffaker is one way of showing thathe is sorry for his lack of diligence.16. The Florida Bar has approved this proposed plea in the manner

required by Rule 3-7.9.17. If this plea is not finally approved by the referee and the Supreme

Court of Florida, then it shall be of no effect and may not be used by the parties inany way.


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18. If this plea is approved, then the respondent agrees to pay allreasonable costs associated with this case pursuant to R. Regulating Fla. Bar 3-7.6(q) in the am ount of $1,325.00. These costs are due within 30 days of the courtorder. The respondent agrees that if the costs are not paid within 30 days of thiscourt's order becoming final, the respondent shall pay interest on any unpaid costsat the statutory rate. The respondent further agrees not to attempt to discharge theobligation for payment of the Bar's costs in any future proceedings, including butnot limited to, a petition for bank ruptcy. The respondent shall be deemeddelinquent and ineligible to practice law pursuant to R. Regu lating Fla. Bar 1-3.6 ifthe cost judgment is not satisfied within 30 days of the final court order, unlessdeferred by the B oard of G overnors of The Florida Bar.

19. The respondent acknowledges the obligation to pay the costs of thisproceeding (and any agreed restitution) and that payment is evidence of strictcompliance with the conditions of any disciplinary order or agreement, and is alsoevidence of good faith and fiscal responsibility. The respondent understands thatfailure to pay the costs of this proceeding or restitution will reflect adversely onany reinstatement proceedings or any other bar disciplinary matter in which therespondent is involved. In the event the person to whom restitution is owed cannotbe located after a diligent search, respondent shall execute an affidavit of diligentsearch and provide same to The Florida Bar and shall pay the full amount of the


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restitution to the Clients' Security Fund of The Florida Bar within 30 days of thedate of the affidavit of diligent search.

20. This Conditional Guilty Plea for Consent Judgment fully complieswith all requirements of The Rules Regulating The Florida Bar.

D ated this 7 day of Sg|p"P m er ? 20|/_-

Dated this day of

Nicholas Theodore SteffensNicholas T. Steffens & Associates5571 N. University Dr., Ste. 101Coral Springs, FL 33067-4653(954) 323-8956Florida Bar ID No. 10873

, 2 0 / A

Randi Klayman Lazarus, Bar CounselThe Florida BarLake Shore Plaza II1300 Concord Terrace, Ste. 130Sunrise, Florida 33323(954) 835-0233Florida Bar ID No. 360929


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Nick Steffens Suspension