SUPREME COURT, STATE OF COLORADO

Case Number: 10PDJ027

FILED APR 20 2010

ORIGINAL PROCEEDING IN DISCIPLINE BEFORE THE PRESIDING DISCIPLINARY JUDGE 1560 Broadway, Suite 675

Denver; Colorado 80202

rHESIDING DISCIPLINARY JUDGE SUPREME COURT OF COLORADO

Complainant:

THE PEOPLE OF THE STATE OF COLORADO

... COURT USE ONLY ...

Respondent:

STEVEN JAY ROZAN

Nancy L. Cohen, ·#11'846 ,.

Chief Deputy Regulation Counsel Attorney for Complainant

1560 Broadway, Suite 1800 Denver, Colorado 80202

Telephone: (303) 866-6400 ext. 6577 Fax No.: (303) 893-5302

Steven Jay Rozan, #10381 2777 Allen Parkway

io« Floor

Houston; Texas 77019-2165 Telephone: (713) 927-3608

STIPULATION, AGREEMENT AND AFFIDAVIT CONTAINING THE RESPONDENT'S CONDITIONAL ADMISSION OF MISCONDUCT

On this I. '1 ~ day of Aft>. I / , 2010, Nancy L. Cohen, Chief

Deputy Regulation Counsel and at orney for the complainant, and Steven Jay Rozan, the respondent; enter into the following stipulation, agreement, and affidavit containing the respondent's conditional admission of misconduct (11 stipulation") and submit the same to the Presiding Disciplinary Judge for his consideration.

RECOMMENDATION: 2 Year Served Suspension and the Requirement that Respondent Pay the Restitution Ordered in the Texas Discipline Case.

1. The respondent has taken and subscribed the oath of admission,

was admitted to the bar of this court on September 16, 1980, and is registered

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as an attorney upon the official records of this court, registration no. 10381. The respondent is subject to the jurisdiction of this court and the Presiding Disciplinary Judge in these proceedings.

2. The respondent enters into this stipulation freely and voluntarily.

No promises have been made concerning future consideration, punishment, or lenience in the above-referenced matter. It is the respondent's personal decision, and the respondent affirms there has been no coercion or other intimidating acts by any person or agency concerning this matter.

3. This matter has become public under the operation of C.R.C.P.

251.31(c) as amended.

4. The respondent is familiar with the rules of the Colorado Supreme

Court regarding the procedure for discipline of attorneys and with the rights provided by those rules. The respondent acknowledges the right to a full and complete evidentiary hearing on the above-referenced complaint. At any such hearing, the respondent would have the right to be represented by counsel, present evidence, call witnesses, and cross-examine the witnesses presented by the complainant. At any such formal hearing, the complainant would have the burden of proof and would be required to prove the charges contained in the complaint with clear and convincing evidence. Nonetheless, having full knowledge of the right to such a formal hearing, the respondent waives that right.

5. The respondent and the complainant specifically waive the right to

a hearing pursuant to C.R.C.P. 251.22(c)(1).

6. The respondent has read and studied the complaint denominated

as People v. Steven Jay Rozan, 10PDJ027 and is familiar with the allegations therein. A true and correct copy of the complaint is attached to this stipulation as Exhibit A. With respect to the allegations contained in the complaint, the respondent affirms under oath that the following facts and conclusions are true and correct:

a. On December 29, 2009, the Evidentiary Panel of the State Bar District No. 4 Grievance Committee of Texas ("Evidentiary Panel") entered its Judgment and Order ("the order") suspending the respondent from the practice of law for a period of five years, beginning January 1, 2010 and ending December 31, 2014. The order provides that the respondent shall be actively suspended from the practice of law for a period of two years beginning January 1, 2010 and ending December 31, 2011. The three year period of probated (stayed) suspension begins on January 1,

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2012 and ends on December 31, 2014. A copy of the Evidentiary Panel's Judgment and Order is attached hereto as Exhibit B.

b. The parties in the Texas case submitted an Agreed Judgment of

Partially Probated Suspension to the Evidentiary Panel.

c. The Evidentiary Panel imposed the discipline agreed to by the

parties.

d. The respondent did not notify the Colorado Office of Attorney Regulation Counsel ("OARC"} that he had been suspended in Texas, as required by Rule 251.21(b}. OARC learned of the respondent's discipline from the State Bar of Texas.

e. Respondent also did not notify OARC of a separate one-year suspension that was entered on August 31, 2009. The effective date of that suspension was January 1,2010.

f. The procedures followed by the Evidentiary Panel comported with

the requirements of due process.

g. This Court's proceedings involving the respondent can

appropriately be based upon the proceedings held in Texas.

h. The respondent was suspended in Texas for violating the Texas ethical rules regarding his representation of 111 clients in criminal matters.

Each of the client matters is listed below:

1. On March 5, 2009, Amuir Clausell ("Clausell"} hired respondent to appeal his federal criminal conviction. Clausell paid respondent $15,000 for the representation. Respondent drafted and filed an extensive writ of habeas corpus on behalf of Clausell, which was denied by the court. Respondent then filed a notice of appeal but the court ruled it was late. Respondent failed to file a motion to reopen or take other corrective action.

ii. On May 25, 2004, Juana Garcia hired respondent to file for post-conviction relief on behalf of Miguel Botello. Respondent was paid $15,000 for the representation. Respondent filed the writ of habeas corpus, which was subsequently denied. Upon

I Ms. Cabezuela retained respondent for her two sons on two separate matters.

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appeal, respondent failed to pay the docketing fee and the appeal was dismissed. The case was reinstated after respondent paid the docketing fee; but the case was later dismissed for want of prosecution.

iii. c. On May 1~ 2007, Domingo Campos e'Campos") hired respondent to file a motion to reduce his sentence in a federal criminal matter. Respondent was paid a retainer in the total amount of $10,000. Respondent failed to file the motion for reduction of sentence. By letter dated December 6, 2007, Campos terminated respondent's services, requested a billing statement, and requested a refund of any unearned fees. Respondent agreed to refund a portion of the fees, but failed to do so. Respondent has also failed to comply with Campos' request for an accounting.

iv. In March 2007, Gary Vaughn ("Vaughn") hired respondent to seek a reduction in his sentence in a federal criminal matter. Respondent was paid $11,000 for the representation. By letter dated December 17, 2007, Vaughn terminated respondent's services. Vaughn requested a refund of unearned fees and the return of his file. Respondent failed to comply with either request.

v. On June 9~ 2006, Terrance Veltman ("Veltman") hired respondent for representation in filing a §2255 in a federal case and a writ of habeas corpus in a state case. Both representations included appeals, if necessary. Veltman paid respondent a total amount of $15,000 for the representations. Respondent filed the §2255 motion, which the magistrate recommended be denied. The case was dismissed. Additionally, respondent failed to reasonably communicate with Veltman regarding the status of his cases. Respondent failed to respond to the grievance filed by Veltman.

vi, In November, 2005, Napoleon Randall ("Randall") hired respondent for representation in an appeal of his criminal conviction. Randall paid respondent $7,500 for the representation. Respondent timely filed the notice of appeal, but failed to file the brief and record excerpts, even after receiving an extension of time. During the course of the representation, Randall made numerous attempts to contact respondent to ascertain the status of his case; however,

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respondent failed to communicate with Randall. Randall also made a written request to respondent for the return of his client file, as well as any unearned attorneys' fees. Respondent failed to comply with Randall's request for a fee refund.

Vll. In December 2005, Rosalinda Cabezuela ("Cabezuela") hired respondent to represent her sons, Hashim and Steven Thomas, on their respective criminal appeals. Cabezuela and her sons terminated respondent's services. Respondent failed to file a response to the grievance filed by Cabezuela.

viii. On April 16, 2006, respondent was hired by Rebecca Dunn ("Dunn") to represent her brother, Philip Cooper ("Cooper") in the filing of a writ of habeas corpus. Responden t was paid $7,500 for the representation. Respondent failed to me the writ or take any action on Cooper's behalf. In response to a letter from Dunn, respondent explained that recently decided case law would be helpful and that he would file the writ within the next 20 days. Respondent failed to do so.

ix. On March 23, 2007, Juan Licea-Cedillo ("Licea-Cedillo") hired respondent to file a §2255 writ of habeas corpus. Licea-Cedillo paid respondent $10,000 for the representation. Respondent failed to timely me the writ and as a result, the case was dismissed.

x. In January 2005, Taj Smith ("Smith") hired respondent for representation in his federal criminal trial. After he was convicted, Smith hired another attorney for post-judgment representation. Smith made numerous requests for his client file, but respondent has been unable to locate it.

i. The respondent stipulated in the Texas disciplinary matter that he neglected client matters; failed to communicate with his clients or the client's family members; failed to return unearned fees and failed to return files upon termination of his services; and failed to timely furnish to the Chief Disciplinary Counsel's Office a response or other information as required by the Texas Rules of Disciplinary Procedure.

j. Respondent was suspended in Texas for a period of 5 years, 2 years served and 3 years stayed, with the requirement of restitution in the amount of $40,120.00 to be paid during the term of the served suspension, subject to 3 years probation. The basis for the discipline

5

was for violating the following: Rule 1.01(b)(1) (neglect), Rille 1.03(aHfailing to communicate), Rule 1.15(d)(failing to return unearned retainers and client files upon termination) and Rule S.4(a){S) (failing to timely furnish to the Chief Disciplinary Counsel's Office or a District Grievance Committee a response or other information as required by the Texas Rules of Disciplinary Procedure).

k. Under C.R.C.P. 251.21(a) a final adjudication in Texas of misconduct constituting grounds for discipline of an attorney, shall for purposes of these disciplinary proceedings, conclusively establish such misconduct.

1. The respondent's conduct in his representation of his 11 clients as described in Exhibit B, was misconduct that, according to precedent in Colorado, results in violations of Colo. RPC 1.3 (neglect), 1.4 (failure to communicate), 1.16(d)(failing to return unearned fees and client files upon termination of the representation) and 3.4(c) (knowing violation of the tribunal). The respondent's misconduct in Texas warrants a two-year served suspension in Colorado.

m. Through the respondent's conduct described in the Evidentiary Panel's Order attached as Exhibit B, respondent has engaged in conduct constituting grounds for the imposition of discipline pursuant to C.R.C.P. 251.5 and 251.21(a).

n. Respondent failed to notify OARC within 10 days of January 1, 2010, the effective date of the respondent's suspension of his license in Texas.

o. As a result of his failure to so notify OARe, respondent violated Colo. RPC 3.4(c) that provides that a lawyer shall not knowingly disobey an obligation under the rilles of a tribunal except for an open refusal based on an assertion that no valid obligation exists. Respondent made no open refusal based on assertion that no valid obligation exists.

7. Reciprocal discipline should be imposed against respondent

pursuant to C.R.C.P. 251.21.

8. Pursuant to C.R.C.P. 251.32, the respondent agrees to pay costs in

the amount of $91.00 (a copy of the statement of costs is attached hereto as Exhibit C) incurred in conjunction with this matter within thirty (30) days after acceptance of the stipulation by the Presiding Disciplinary Judge, made payable to Colorado Supreme Court Attorney Regulation Offices. The

6

respondent agrees that statutory interest shall accrue from the date that the Presiding Disciplinary Judge accepts this stipulation. Should the respondent fail to make payment of the aforementioned costs and interest within (30) days, the respondent specifically agrees to be responsible for all additional costs and expenses, such as reasonable attorney fees and costs of collection incurred by the complainant in collecting the above stated amount. The complainant may amend the amount of the judgment for the additional costs and expenses by providing a motion and bill of costs to the Presiding Disciplinary Judge, which identifies this paragraph of the stipulation and the respondent's default on the payment.

9. This stipulation is premised and conditioned upon acceptance of

the same by the Presiding Disciplinary Judge. If for any reason the stipulation is not accepted without changes or modification, then the admissions, confessions, and stipulations made by the respondent will be of no effect. Either party will have the opportunity to accept or reject any modification. If either party rejects the modification, then the parties shall be entitled to a full evidentiary hearing; and no confession, stipulation, or other statement made by the respondent in conjunction with this offer to accept discipline of two-years served suspension may be subsequently used. If the stipulation is rejected, then the matter will be heard and considered pursuant to C.R.C.P. 251.18.

10. There is no complaining witness.

PRIOR DISCIPLINE

11. None in Colorado.

ANALYSIS OF DISCIPLINE

12. Pursuant to American Bar Association Standards for Imposing Lawyer Sanctions 1991 and Supp. 1992 ("ABA Standards"), §3.0, the Court should consider the following factors generally:

(a) The duty violated: Under C.R.C.P. 251.21(d), this court shall issue a decision imposing the same discipline as was imposed by the State Bar of Texas unless it is determined that:

i. The procedure followed in Texas did not comport with the requirements of due process of law;

ii. The proof upon which the Evidentiary Panel based its determination of misconduct is so infirm that this court cannot, consistent with its duty, accept as final the determination of Texas;

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iii. The imposition by this court of the same discipline as was imposed by Texas would result in grave injustice; or

iv. The misconduct warrants that a substantially different form of discipline be imposed.

The parties stipulate that none of the four circumstances exist in this case, and that a two year served suspension is an appropriate discipline under these circumstances.

b. The lawyer's mental state: knowing.

c. The actual or potential injury caused by the lawyer's misconduct: the clients were injured by the respondent's failure to complete their cases and his failure to return funds he had not earned.

d. The existence of aggravating or mitigating factors: Factors in aggravation which are present include: prior disciplinary offenses in Texas; dishonest or selfish motive; multiple offenses; vulnerability of the victims; substantial experience in the practice of law, ABA Standards §9.22(a),(b),(d),(h),(k). Factors in mitigation include: none.

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RECOMMENDATION FOR AND CONSENT TO DISCIPLINE

Based on the foregoing, the parties hereto recommend that a two-year served suspension with the requirement of restitution be paid to the clients listed in the Evidentiary Panel's order before the respondent applies for reinstatement, be imposed upon the respondent. The respondent consents to the imposition of discipline of a two-year served suspension. The parties request that the Presiding Disciplinary Judge order that the effective date of such discipline be immediate since the respondent is already suspended from the practice of law by the State Bar of Texas and is not allowed to practice law under the Evidentiary Panel's order.

e

S ven Jay Rozan 2777 Allen Parkway

10th Floor

Houston, Texas 77019-2165 Telephone (713) 627-3608

STATE OF TEXAS

ss.

COUNTY OF __ H_a_rr_l_' _5_

of

10 # ft¥b~cribed and sworn to before me this

___!_:M~J._J\tl./,,;.__ , 2010, by Steven Jay Rozan, respondent.

Witness my hand and official seal.

My commission expires: iJ~t~tk ~¥

'fJ Not Public

~lvf/-=.

~C~hen,#11846 ~ Chief Deputy Regulation Counsel 1560 Broadway, Suite 1800 Denver, Colorado 80202

(303) 866-6400 x 6577

Attorney for Complainant

GINA RODRIGUEZ Nota/y Public, State Of Texas My Commission Expires Sept.mber 13, 2011

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SUPREME COURT, STATE OF COLORADO
ORIGINAL PROCEEDING IN DISCIPLINE ~FILED
BEFORE THE PRESIDING DISCIPLINARY JUDGE
1560 Broadway, Suite 675 MAR if i! 2010
Denver, Colorado 80202 ~RESIDrl'lGmSCfl>L1NrdGr JtJDGi;
Complainant: 5VP.REME COURT OF COLORIIDO
THE PEOPLE OF THE STATE OF COLORADO
.COURT USE ONLY ..
Respondent:
STEVEN JAY ROZAN Case Number:
Nancy L. Cohen, # 11846 10PDJ027
Chief Deputy Regulation Counsel
John S. Gleason, #15011
Regulation Counsel
Attorneys for Complainant
1560 Broadway, Suite 1800
Denver, Colorado 80202
Telephone: (303) 866-6400 x 6577
Fax No.: (303) 893-5302
COMPLAINT THIS COMPLAINT is filed pursuant to the authority of C.R.C.P. 251.21 and it is alleged as follows:

Jurisdiction

1. The respondent has taken and subscribed the oath of admission,

was admitted to the bar of this court on September 16, 1980, and is registered upon the official records of this court, registration number 10381. He is subject to the jurisdiction of this court in these disciplinary proceedings. The respondent's registered business address is 2777 Allen Parkway, 10th Floor, Houston, Texas 77019-2165.

General AllegatioDs

2. On December 29, 2009, the Evidentiary Panel of the State Bar

District No.4 Grievance Committee of Texas ("Evidentiaxy Panel"), entered its Judgment and Order ("the order") suspending the respondent from the practice of law for a period of five years, beginning January 1, 2010 and ending December 31, 2014. The order provides that the respondent shall be

EXHIBIT

A

actively suspended from the practice of law for a period of two years beginning January 1, 2010 and ending December 31-, 2011. The three year period of probated (stayed) suspension begins on January 1, 2012 and ends on December 31, 2014. A copy of the Evidentiary Panel's Judgment and Order is attached hereto as Exhibit A.

3. The parties in the Texas case submitted an Agreed Judgment of

Partially Probated Suspension to the Evidentiary Panel.

4. The Evidentiary Panel imposed the discipline agreed to by the

parties.

5. The respondent did not notify the Colorado Office of Attorney

Regulation Counsel ("OARe") that he had been suspended in Texas, as required by Rule 251.21(b). OARe learned of the respondent's discipline from the State Bar of Texas.

6. Respondent also did not notify OARe of a separate one-year

suspension that was entered on August 31, 2009. The effective date of that suspension was January 1,2010.

7. The procedures followed by the Evidentiary Panel comported with

the requirements of due process.

8. This Court's proceedings involving the respondent can

appropriately be based upon the proceedings held in Texas.

CLAIM I

[Reciprocal Discipline - C.R.C.P. 2S1.21(d)]

9. Paragraphs 1 through 8 are incorporated herein as if fully set

forth.

10. C.R.C.P. 2S1.21(d) provides: "Upon receiving notice that an attorney subject to these Rules has been publicly disciplined in another jurisdiction, the Regulation Counsel shall obtain the disciplinary order and prepare and me a complaint against the attorney as provided in C.R.C.P. 251.14."

11. The respondent was suspended in Texas for violating the Texas ethical rules regarding his representation of 111 clients in criminal matters.

t Ms. Cabezuela retained respondent for her two sons on two separate matters.

2

Each of the client matters is listed below:

a. On March 5, 2009, Amuir Clausell ("Clausell") hired respondent to appeal his federal criminal conviction. Clausell paid respondent $15,000 for the representation. Respondent drafted and filed an extensive writ of habeas corpus on behalf of Clausell, which was denied by the court. Respondent then rued a notice of appeal but the court ruled it was late. Respondent failed to me a motion to reopen or take other corrective action.

b. On May 25, 2004, Juana Garcia hired respondent to file for post-conviction relief on behalf of Miguel Botello. Respondent was paid $15,000 for the representation. Respondent rued the writ of habeas corpus, which was subsequently denied. Upon appeal, respondent failed to pay the docketing fee and the appeal was dismissed. The case was reinstated after respondent paid the docketing fee; but the case was later dismissed for want of prosecution.

c. On May 1, 2007, Domingo Campos ("Campos") hired respondent to file a motion to reduce his sentence in a federal criminal matter. Respondent was paid a retainer in the total amount of $10,000. Respondent failed to file the motion for reduction of sentence. By letter dated December 6, 2007, Campos terminated respondent's services, requested a billing statement, and requested a refund of any unearned fees. Respondent agreed to refund a portion of the fees, but failed to do so. Respondent has also failed to comply with Campos' request for an accounting.

d. In March 2007, Gary Vaughn ("Vaughn") hired respondent to seek a reduction in his sentence in a federal criminal matter. Respondent was paid $11,000 for the representation. By letter dated December 17, 2007, Vaughn terminated respondent's services. Vaughn requested a refund of unearned fees and the return of his file. Respondent failed to comply with either request.

e. On June 9, 2006, Terrance Veltman ("Veltman") hired respondent for representation in filing a §2255 in a federal case and a writ of habeas corpus in a state case. Both representations included appeals, if necessary, Veltman paid respondent a total amount of $15,000 for the representations. Respondent filed the §2255 motion, which the magistrate recommended be denied. The case was dismissed. Additionally, respondent failed to reasonably communicate with Veltman regarding the status of his cases. Respondent failed to respond to the grievance filed by Veltman.

3

f. In November, 2005, Napoleon Randall ("Randall") hired respondent for representation in an appeal of his criminal conviction. Randall paid respondent $7,500 for the representation. Respondent timely filed the notice of appeal, but failed to file the brief and record excerpts, even after receiving an extension of time. During the course of the representation, Randall made numerous attempts to contact respondent to ascertain the status of his case; however, respondent failed to communicate with Randall. Randall also made a written request to respondent for the return of his client file, as well as any unearned attorneys' fees. Respondent failed to comply with Randall's request for a fee refund.

g. In December 2005, Rosalinda Cabezuela ("Cabezuela") hired respondent to represent her sons, Hashim and Steven Thomas, on their respective criminal appeals. Cabezuela and her sons terminated respondent's services. Respondent failed to file a response to the grievance filed by Cabezuela.

h. On April 16, 2006, respondent was hired by Rebecca Dunn ("Dunn") to represent her brother, Philip Cooper ("Coopec") in the filing of a writ of habeas corpus. Respondent was paid $7,500 for the representation. Respondent failed to file the writ or take any' action on Cooper's behalf. In response to a letter from Dunn, respondent explained that recently decided case law would be helpful and that he would file the writ within the next 20 days. Respondent failed to do so.

i. On March 23, 2007, Juan Licea-Cedillo ("Licea-Cedillo") hired respondent to file a §2255 writ of habeas corpus. Licea-Cedillo paid respondent $10,000 for the representation. Respondent failed to timely file the writ and as a result, the case was dismissed.

j. In January 2005, Taj Smith ("Smith") hired respondent for representation in his federal criminal tria1. After he was convicted, Smith hired another attorney for post-judgment representation. Smith made numerous requests for his client me, but respondent has been unable to locate it.

12. The respondent stipulated in the Texas disciplinary matter that he

neglected client matters; failed to communicate with his clients or the client's family members; failed to return unearned fees and failed to return files upon termination of his services; and failed to timely furnish to the Chief Disciplinary Counsel's Office a response or other information as required by the Texas Rules of Disciplinary Procedure.

4

13. Respondent was suspended in Texas for a period of 5 years, 2 years served and 3 years stayed, subject to 3 years probation for violating the following: Rule 1.01(b)(1) (neglect), Rule 1.03(a)(failing to communicate), Rule 1. 15(d)(failing to return unearned retainers and client files upon termination) and Rule 8'A(a)(8) (failing to timely furnish to the Chief Disciplinary Counsel's Office or a District Grievance Committee a response or other information as required by the Texas Rules of Disciplinary Procedure).

14. Under C.R.C.P. 2S1.2 1 (a) a final adjudication in Texas of misconduct constituting grounds for discipline of an attorney, shall for purposes of these disciplinary proceedings, conclusively establish such misconduct.

15. The respondent's conduct in his representation of his 11 clients as described in Exhibit A, was misconduct that, according to precedent in Colorado, results in violations of Colo. RPC 1.3 (neglect), 1.4 (failure to communicate), 1.16(d)(failing to return unearned fees and client files upon termination of the representation) and 3.4(e) (knowing violation of the tribunal). The respondent's misconduct in Texas warrants at least a two-year served suspension in Colorado.

16. Through the respondent's conduct described in the Evidentiary Panel's Order attached as Exhibit A, respondent has engaged in conduct constituting grounds for the imposition of discipline pursuant to C.R.C.P. 251.5 and 251.21(a).

17. Reciprocal discipline should be imposed against respondent pursuant to C.R.C.P. 251.21.

WHEREFORE, the complainant prays at the conclusion hereof.

CLAIM II

[A Lawyer Shall Not Knowingly Disobey an Obligation Under the Rules of a Tribunal - Colo. RPC 3.4(c)1

18. Paragraphs 1 through 17 are incorporated herein as if fully set

forth.

19. C.R.C.P. 2S1.21(b) provides that any attorney subject to these Rules against whom any form of public discipline has been imposed by the authorities of another jurisdiction ... shall notify the Regulation Counsel of such action in writing within 10 days thereof.

5

20. Respondent failed to notify Regulation Counsel within 10 days of January 1, 2010, the effective date of the respondent's suspension of his license in Texas.

21. As a result of his failure to so notify Regulation Counsel, respondent violated Colo. RPC 3.4(e) which provides that a lawyer shall not knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists. Respondent made no open refusal based on assertion that no valid obligation exists.

22. By such conduct, respondent violated Colo. RPC 3.4(c).

WHEREFORE, it is prayed that the respondent be found guilty of violations of various rules of conduct which establish grounds for discipline as provided in C.R.C.P. 251.5 and 251.21, and the Colorado Rules of Professional Conduct and that he be appropriately disciplined and assessed the costs of these proceedings.

~

Dated this r day of March, 2010.

ancy L. ohen, #11846

Chief Dep ty Regulation Counsel John S. Gleason, #15011 Regulation Counsel

Attorneys for Complainant

6

CERTIFICATE OF MAILING

I hereby certify that one copy of the foregoi~ Complaint was placed in the United States mail, postage prepaid, this r day of March, 2010, and addressed to:

Steven Jay Rozan

2777 Allen Parkway, 10th Floor . . 'J_.

Houston, TX 77019 ~£ t~

7

BUSINESS RECORDS AFFIDAVIT OF J.G. MOLLESTON

Before me, the undersigned authority, personally appeared J.G. MOLLESTON who, being by me duly sworn, deposed as follows:

My name is J.G. MOLLESTON, I am of sound mind, capable of making this affidavit, and personally acquainted with the facts herein stated.

I am employed as Houston Regional Counsel for the STATE BAR OF TEXAS. I am the custodian of records of the Houston Regional Office of the STATE BAR OF TEXAS. Attached hereto are twenty-five (25) pages of records kept by the STATE BAR OF TEXAS concerning disciplinary actions against the law license of STEVEN JAY ROZAN, State Bar No. 17357000.

These said twenty-five (25) pages of records are kept by the STATE BAR OF TEXAS in the regular course of business, and it was the regular course of business of the STATE BAR OF TEXAS for an employee or representative of the STATE BAR OF TEXAS, with knowledge of the act, event, condition, or opinion recorded to make the record or to transmit information thereof to be included in such record; and the record was made at or near the time or reasonably soon thereafter. The records attached hereto are the original or exact duplicates of the original.

OL TON

Hous n Regional Counsel Jefferson, Suite 1000 Houston. Texas 77002

Phone: (713) 758-8200

Fax: (713) 758-8292

SIGNED AND SWORN TO before ·me on the60 ~y of February, 2010.

~~~

Notary Public in and for the State of Texas

BAR OF TEXAS

Chief Disciplinary Counsel

SHAWN MARIE LESLIE

, MY COMMISSION EXPIRES FEBRUARY8,201D

Business Records Affidavit of J. G. MollestonlSteven Jay Rozan g:\generallcdc_closedcases\Closed_09-10\rozan.s_sbs\business_TeCords_aff_jgm.doc

·,

,BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICf NO. 4 GRIEVANCE COMMITTEE

Petitioner,

§ H0080827386, H0050622484, H0040826442, § HOO40B2654S, 110040928605, HOOl 0928146~ § H00609291 07, HOOS0928936, H0090929S34~ § and HOO90929550

§

§ BARRIS COUNTY, TEXAS §

§

§

§

COMMISSION FOR LAWYER DISCIPLINE,

v.

STEVEN JAY ROZAN,

Respondent.

AGREED JUDGMENT OF PARTIALLY PROBATED SUSPENSION

Parties and Appearance

On this day; came to be heard the above styled and numbered cause. Petitioner and Respondent, Steven Jay Rozan, Texas Bar Number 17357000, announce that ,an agreement has

been reached on all matters including the imposition of a Partially Probated Suspension.

Jurisdiction and Venue

-, '

TheBvidentiery Panel 4A having been duly appointed to hear this complaint by the chair

of the Grievance Committee for State Bar of Texas District 4, finds that it has jurisdiction over

, ,

the parties and the subject matter oftbis action, and that venue is proper .

. Professional Misconduct

The Evidentiary Panel, having considered the pleadings) admissions, stipulations and

agreements of the parties, finds Respondent has committed Professional Misconduct as defined

by Rule 1.06(V) of the Texas Rules of Disciplinary Procedure,

}findings of Fact

Petitioner and Respondent, agree to -the following findings of fact. Accordingly, the Evidentiary Panel :finds:

CFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

1. Respondent is an attorney licensed to practice law in Texas and is a member of the State Bar of Texas.

2. Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On March 28, 2005, Amuir Clausell hired Respondent to appeal bis federal criminal conviction. Clausell paid Respondent $15,000,00 for tho representation. Respondent drafted and filed an extensive writ of habeas corpus on behalf of Clausell, which was denied by the Court. Respondent then filed a notice of appeal but the Court ruled it was late. Respondent failed to file a motion to reopen or take other corrective action.

4. On May 2S, 2004, Juana Garcia hired Respondent to file for post-conviction relief on behalf of Miguel Botello. Respondent was paid 515,000.00 for the representation. Respondent flIed the writ of habeas: corpus, which was subsequently denied. Upon appeal. Respondent failed to pay the docketing foe and the appeal was dismissed. The case was reinstated after Respondent paid the docketing fee; but the case was later dismissed 'for want of prosecution.

5. On May 1, 2007, Domingo Campos hired Respondent to file a motion to reduce his sentence in a federal criminal matter. Respondent was paid a retainer in the total amount of $1 0,000.00. Respondent failed to file the motion for reduction of sentence. By letter dated December 6, 2007, Campos terminated Respondent's services, requested a billing statement, and requested a refund of any uneamed fees. Respondent agreed to refund a portion of the fees, but failed to do so. Respondent has also failed to comply with Campos' request for an accounting.

6. In March 2007. Gary Vaughn hired Respondent to seek a reduction in his sentence in a. federal criminal. matter. Respondent was paid $11,000.00 for the representation. By letter dated December 17. 2007. Vaughn terminated Respondent's services. Vaughn requested a refund of unearned fees and the return of his file. Respondent

failed to comply with either request .

7. On June 9, 2006, Terrance Vel1lnan hired Respondent for representation in filing a §2255 in a federal case and a writ of habeas corpus in a state case. Both representations included appeals, if necessary. Veltman. paid Respondent a total

. amount of $15,000.00 for the representations. Respondent filed the §22S5 motion, which the magistrate recommended be denied, The case was dismissed. Additionally, Respondent failed to reasonably communicate with Veltman regarding the status of his cases. Respondent failed to respond to the grievance filed by Veltman.

8. In. November 2005, Napole~n Randall hired Respondent for representation in an appeal of his criminal conviction. Randall paid Respondent $7,500.00 for the representation. Respondent timely filed the notice of appeal, but failed to file the brief and record excerpts, even after receiving an extension of time. During the course C!f the representation, Randall made numerous attempts to contact Respondent to ascertaln the status of his. case; however, Respondent failed to communicate with Randall. Randall also made a written request to Respondent for the return of his client file; as: well as any uneamed attorneys' fees. Respondent failed to comply with

Randall's request for a fee refund. .

9. In December 200St Rosalinda Cabezuela hired Respondent to represent her SODS, Hashim and Steven Thomas, on their respective criminal appeals, Cabezuela and her

Page2of9

.'

,

CFLD v. Steven Jay Rozan AgreedPartially Probated Suspension

sons terminated Respondent's servicee, Respondent failed to file a response to tho

grievance filed by Cabezuela. .

10. On April 16, 2006, Respondent was hired by Rebecca Dunn to represent her brother, Philip Cooper in the filing a writ of habeas corpus. Respondent was paid $7,500.00 . for the representation. Respondent failed to file the writ or take any action on Cooper's behalf. In response to a letter from Dunn, Respondent explained that recently decided case law would be helpful and that he would file the writ within the next 30 days, Respondent failed to do so.

11. On March 23, 2007, Juan Licea-Cedillo hired Respondent to file a §22SS writ of habeas COJ:P118. Licea-Cedillo paid Respondent $10,000.00 for the representation. Respondent failed to timely file the writ arid as a result, the case was dismissed.

12. In January 200', Taj ''Smith hired Respondent for representation in his federal criminal trial. After he was convicted, Smith hired another attorney for postjudgment representation. Smith made numerous requests for his client file, but

Respondent has been unable to locate it. '

13. The Chief Disciplinary Counsel of the State Bar of Texas has incurred reasonable attorneys' fees and direct expenses associated with this Disciplinary Proceeding in the amount of$5,84O.00.

14. Respondent o~es restitution in the amount of$40,120.00 payable to:

CaseNo ' CompJainant ' Restitution
HOO80827386* A Clausell s 5,000.00
HOOS0622484* I. Garcia (Botello) s 3,500.00
HOQ40826442* D. Campos $ 61700.00
H0040826545* G. Vaughn $7,370.00
HOO40928605 T. Veltman, $ 3,500.00
HOOI0928146 N. Randall $ 5,025.00
HOO60929107 R Cabezuela NJA
HOOS0928936 R.Dunn $ 5,025.00
(Cooper)
,HOO90929S34 1. Licea-Cedillo $ 4JOOO.OO
HOO909295S0 T. Smith NfA
TOTAL s 40,120.00 Page 3 of9

CFLD v. Steven Jay Rozan.

Agreed P~tia1ly Probated Susp,ension

Conclusions of Law

Petitioner and Respondent agree that) 'based on the foregoing findings of fact, the

following Texas Disciplinary Rules of Professional Conduct have been violated. Accordingly, the Evidentiary Panel concludes the following, rules of the Texas Disciplinary Rules of

Professional Conduct have been violated: Rules 1.01(b)(1), 1.03(a), 1. 15(d), and 8.04(a)(8),

§anction

It is AGREED and ORDERED that the sanction of a Partially Probated Suspension sha1l

be imposed against Respondent in accordance with the Texas Rules of Disciplinary Procedure.

Accordingly, it is ORDERED, ADJUDGED and DECREED that Respondent be suspended from the practice of law for a period of five (5) years, beginning January 1, 2010 and ending December 31, 2014. Respondent shall be actively suspended from the practice of law for a period of two (2) years beginning January 1, 2010 and ending December 31,2011. The three (3) year period. of probated suspension shall begin on January 1. 2012 and shall end on

December 31, 2014.

'terms of Active Suspension

It is further ORDERED that during the term of active suspension ordered herein, or that

may be imposed upon Respondent by the Board of Disciplinary Appeals as a result of a

probation revocation proceeding, Respondent shall be prohibited from practicing law in Texas;' holding himself out as an attorney at law; performing any legal services for others; accepting any

fee directly or indirectly for legal services; appearing as counsel or in any representati.ve capacity

in any proceeding in any Texas or Federal court or before any administrative body; or holding

himself out to others or using his name, in any manner, in conjunction with the words "attorney

at law," "attorney," "counselor at law," or "lawyer,"

Page 4 of9

eFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

It is further ORDERED that, on or before January It 2010. Respondent Shall notify each

. of-Respondent's current clients in writing of this suspension.

In addition to such notification, it is further ORDERED Respondent shall return any files,

'. .

papers, unearned monies and other property belonging to current clients in Respondent's

It is further ORDERED Respondent shall file with the State Bar of Texas. State, P.O.

Box 12487, Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200, Austin Texas 78701). on or before February 1, 2010, an affidavit stating all current clients have been notified of

Respondent's suspension and that all files. papers, monies and other property belonging to all

current clients have been returned as ordered herein.

It is further ORDERED Respondent shall, on or before January I, 2010, notify in writing

each and every justice: of the peace, judge, magistrate, administrative judge or officer and chief justice of each and every court or tribunal in which Respondent has any matter pending of the

. .

terms of this judgment, the style and cause number of the pending matter(s), and the name •.

address and telephone number of the client(s) Respondent is representing.

It is further ORDERED Respondent shall file with the State Bar of Texas. P.O. Box

12487~ Austin, Texas 78711-2487 (l414 Colorado Street) Suite 200, Austin Texas 78701), on or

before February I, 20101 an. affidavit stating Respondent has notified in writing each and every justice of the peace, judge, magistrate. and chief justice of each and every court in which

Respondent.has any matter pending of'the terms of this judgment, the style and cause number of

the pending matter(s), and the name, address and telephone number of the client(s) Respondent is

representing in Court.

PageS of9

CFLD v. Steven Jay Rozan

Agreed P~/ially Probated Suspension

It is further ORDERED that, on or before January IS, 2010, Respondent shall surrender

his . law license and permanent State Bar Card to the State Bar of Texas, Chief Disciplinary . Counsel, P.o. Box 12487~ Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200, Austin

Texas 78701), to beforwarded to the Supreme Court of Texas.

Terms of PrObation

It is further ORDERED that during all periods of suspension, Respondent shall be under

the following terms and conditions:

1. Respondent shall not violate any term. of this judgment.

2. Respondent shall not engage in professional misconduct as defined by Rule 1.06(V) of the Texas. Rules of Disciplinary Procedure.

3. Respondent shall not violate any state or federal criminal ~tatutes.

4. . Respondent shall keep State Bar of Texas membership department notified of current . mailing) residence and business addresses and telephone numbers.

5. Respondent shall comply with Minimum Continuing Legal Education requirements,

6. Respondent shall comply with Interest on Lawyers Trust Account (IOLTA) requirements.

7. Respondent shall prom.ptly respond to any request for information from the Chief n·isciplinary Counsel in connection with any investigation of any allegations of professional misconduct.

8; Respondent shall pay all reasonable and necessary attorney's fees and direct expenses to the State Bar of Texas in the. amount of $5,840,00 The payment shall be due and paYable on or before June 30, 2014 and shall be made by certified or cashier's check or money order. Respondent shall forward the funds, made pa.yable to the State Bar of Texas, P.O. Box 12487~ Austin; Texas 78711-2487 (1414 Colorado Street, Suite

200~ Austin Texas 78701). .

9. Respondent shall pay restitution in the amount of $40,120.00, to be paid by monthly installments in the amount of $1,671.67 beginning January 31, 2010 and 'ending December 31, 2011, by certified or cashier's check or money order, made payable to the State Bar of Texas; and delivered to the State Bar of Texas, P.O. Box 12487, Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200. Austin Texas 78701).

Probation Revoeation

It is further ORDERED that) if Respondent violates any tenn of this judgment, the Board

of Disciplinary Appeals (HBODA") shall enter an order revoking the probation and imposing the

active suspension of Respondent from the practice of law to commence on the date of revocation.

Page6of9

,~

CFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

Upon detennination that Respondent has violated any term of this judgment, the Chief

Disciplinary Counsel may, in addition to all other remedies available, file a motion to revoke

probation with BODA and serve a photocopy of the motion on Respondent pursuant to

Tex.R.Civ.P.21a.

BODA shall conduct an evidentiary hearing. Ai the hearing, BODA shall determine by a

preponderance of the evidence whether Respondent has violated any term of this Judgment If BODA fmds grounds for revocation, BODA shall enter an order revoking probation and placing Respondent on active suspension from the date of such revocation order. Respondent shall not

be given credit for any term ofprob~tion served prior to revocation.

It is further ORDERED that any conduct on the part of Respondent which serves as the

basis for a motion to revoke probation may also b~ brought as independent grounds for discipline as allowed under the Texas Disciplinary Rules of Professional Conduct and Texas Rules of

Disciplinary Procedure.

Restitution. Attorney's Fees and Expenses

It is furthe» ORDERED Respondent shall pay restitution on or before December 31,

2011. to be paid by monthly installments in the amount ofSl,671.67 beginning January 31,2010

and ending December 31, 2011, by certified or cashier's check or money order, made payable to

the State Bar of Texas; and delivered to the State Bar of Texas, P.O. Box 12487, Austin, Texas

78711-2487 (1414 Colorado Street. Suite 200, Austin Texas 78701) for distribution to the

Complainants entitled to restitution.

It is further ORDERED Respondent shall pay all reasonable and necessary attorney's fees and direct expenses to the State Bar of Texas in the amount of in the amount of $5,840.00. 'The

payment shall be due and payable on or before June 30, 2014 and shall be made by certified or

Page7of9

CFLD v. Steven-Jay Rozan

Agreed Partially Probated Suspension

cashier's check or money order. Respondent shall forward the funds, made payable to the State

Bar of Texas, P.O. Box 12487, Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200,

. .

Austin Texas 78701).

It is further ORDERED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule 1.06(y) of the Texas

Rules of Disciplinary Procedure. Any amount not paid shall accrue interest at the maximum legal rate per annum until paid and the State Bar of Texas shall have all writs· and other post-

judgment remedies against Respondent in order.to collect all unpaid amounts.

·Publication

This. suspension shall be made a matter of record and appropriately published in

accordance with the Texas. Rules ofDiscip~ Procedure . . Other Relief

All requested relief not expressly granted herein is expressly DENIED.

SIGNED this ~ay of, ~ter- , 20~.

EVIDENTIARY PANEL' DISTRICT NO. 4A . STATE BAR OF TEXAS

fkj?p,~

DAVID HODGE

District 4A Presiding Member

Page 8 of9 .

cno v, SNvtn Jay Rolan Ap.dP/ll1ltJly Probaw $uspnuion

AGIlIJ:[) MTO IQIIlFOI!MMo MSWQ:

,·ntd~ .. ~ --.

StcW:n Jay Rozan ~ ~ ShJn.non Breaux S.ucoda

State Bar No. 17357000 Assistant Disciplinary Counsel

llespoDdart State Bar No. 24002896 Cou_l for Pttitloaer

State Bar No. 12137400 COllllC! for Rapolldeat

.. '

BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4A GRIEVANCE COMMITTEE

COMMISSION FOR LAWYER DISCIPLINE, § S0020819730 [ANTONIO SANCHEZ] §

Petitioner, §

§

v, § HARRIS COUNTY, TEXAS §

STEVEN JAY ROZAN, §

§

Respondent. §

JUDGMENT OF ACTIVE SUSPENSION

Parties and Appearance

On August 20, 2009, came to be heard the above-styled and numbered cause. Petitioner, the

COMMISSION FOR LAWYER DISCIPLINE, appeared by and through its attorney of record,

Shannon Breaux Sauceda, Assistant Disciplinary Counsel, and announced ready. Respondent,

STEVEN JAY ROZAN (hereinafter referred to as "Respondent"), Texas Bar Number 17357000,

appeared in person and announced ready.

Jurisdiction and Venue

The Evidentiary Panel 4A having been duly appointed to hear this complaint by the chair of

the Grievance Committee for STATE BAR OF TEXAS District 4, finds that it has jurisdiction over the

parties and the subject matter of this action and that venue is proper.

Professional Misconduct

The Evidentiary Panel, having considered all ofthe pleadings, evidence, stipulations, and

argument, finds Respondent has committed Professional Misconduct as defined by Rule 1.06(V) of

THE TExAs RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF ACTIVE SUSPENSION Page 1 of6

Findings of Fact

The Evidentiary Panel, having considered the pleadings, evidence and argument of counsel,

makes the following findings of fact and conclusions of law:

1. Respondent is an attorney licensed to practice law in Texas and is a member of the STATE BAR OF TEXAS.

2. Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On April 20, 2006, Antonio Sanchez (Sanchez) hired Respondent to defend him in an asset forfeiture case styled United States of America v. Waxwing Circle P. et ai, Civil No. 5:06-CV-00124-0LG, In the United StatesDistrict Court for the Western District of Texas, San Antonio Division.

4. Sanchez paid Respondent Seven Thousand Five Hundred and No/IOO Dollars ($7,500.00) for the representation.

5. During the course ofthe representation, Respondent failed to communicate with Sanchez about the status of the case and failed to respond to reasonable requests for information.

6. After filing a verified claim on behalf of Sanchez, Respondent failed to take any further action and in effect. abandoned the representation. Respondent did not withdraw from the case.

7. A defaultjudgrnent was entered against Sanchez on December 19,2007.

8. Respondent failed to notify Sanchez of said default judgment.

9. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable attorneys' fees associated with this Disciplinary Proceeding in the amount of One Thousand Nine Hundred Twenty-Five and No/1 00 Dollars ($1,925.00).

10. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable direct expenses associated with this Disciplinary Proceeding in the amount of Eight Hundred Thirty-Six and 70/100 Dollars ($836.70).

11. Respondent owes restitution in the amount of Two Thousand Five Hundred and Noll 00 Dollars ($2,500.00) payable to Antonio Sanchez.

JUDGMENT OF ACTIVE SUSPENSION Page 2 of6

Conclusions of Law

The Evidentiary Panel concludes that, based on foregoing findings of fact, the following

TEXAS DISCIPLlNARY RULES OF PROFESSIONAL CONDUCT have been violated: Rules 1.01 (b )(1) [in

representing a client, a lawyer shall not neglect a legal matter entrusted to the lawyer]; 1.03(a) [a

lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with

reasonable requests for information]; 1.1S(a)(1) [a lawyer shall decline to represent a client or, where

representation has commenced, shall withdraw from the representation of a client if the

representation will result in violation of Rule 3.08, other applicable rules of professional conduct or

other law]; and 1.1S(d) [upon termination of representation, a lawyer shall take steps to the extent

reasonably practicable to protect a client's interests, such as giving reasonable notice to the client,

allowing time for employment of other counsel, surrendering papers and property to which the client

is entitled and refunding any advance payments of fee that has not been earned].

Sanction

The Evidentiary Panel, having found that Respondent has committed professional

misconduct, heard and considered additional evidence regarding the appropriate sanction to be

imposed against Respondent. After hearing all evidence and argument and after having considered

the factors in Rule 2.18 of the TEXAS RULE OF DlSCIPLINARY PROCEDURE, the Evidentiary Panel

finds said findings and conclusions support a Judgment of Active Suspension.

Accordingly. it is ORDERED, ADJUDGED and DECREED that Respondent shall be

actively suspended from the practice oflaw for a period of twelve (12) months beginning September

21,2009, and ending September 20,2010.

JUDGMENT OF ACTIVE SUSPENSION Page 3 of6

Terms of Active Suspension

It is further ORDERED that during the term of active suspension ordered herein, Respondent

shall be prohibited from practicing law in Texas; holding himself out as an attorney at law;

performing any legal services for others; accepting any fee directly or indirectly for legal services;

appearing as counselor in any representative capacity in any proceeding in any Texas or Federal

court or before a~y administrative body; or holding himself out to others or using his name, in any

maimer, in conjunction with the words "attorney at law," "attorney," "counselor at law," or "lawyer."

It is further ORDERED that, on or before September 21, 2009, Respondent shall notify each

of Respondent's current clients in writing of this suspension.

In addition to such notification, it is further ORDERED Respondent shall return any files,

papers, unearned monies and other property belonging to current clients in Respondent's possession

to the respective clients or to another attorney at the client's request.

It is further ORDERED Respondent shall file with the STATE BAR OF TEXAS, Chief

Disciplinary Counsel, P.O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St.,

Austin, Texas 78701), on or before September 21, 2009, an affidavit stating all current clients have

been notified of Respondent's suspension and that all files, papers, monies and other property

belon~ng to all current clients have been returned as ordered herein.

It is further ORDERED Respondent shall, on or before September 21,2009, notify in writing

each and every justice of the peace, judge, magistrate, administrative judge or officer and chief

justice of each and every court or tribunal in which Respondent has any matter pending ofthe terms

of this judgment, the style and cause number of the pending matter(s), and the name, address and

telephone number of the client(s) Respondent is representing.

JUDGMENT OF ACTIVE SUSPENSION Page 4 of6

"

.'

It is further ORDERED Respondent shall file with the STATE BAR OF TEXAS, Chief

Disciplinary Counsel, P.O. Box 12487, Capitol Station. Austin. Texas 78711 (1414 Colorado St.,

Austin, Texas 78701), on or before September 21, 2009, an affidavit stating Respondent has notified

in writing each and every justice ofthe peace, judge, magistrate, and chief justice of each and every

court in which Respondent has any matter pending of the terms ofthis judgment, the style and cause

number of the pending matter(s). and the name, address and telephone number of the cIient(s)

Respondent is representing in Court.

It is further ORDERED that, on or before September 21.2009, Respondent shall surrender

his law license and permanent State Bar Card to TRE STATE BAR OF TEXAS, Chief Disciplinary

Counsel, P.O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas

78701). to be forwarded to the SUPREME COURT OF TEXAS.

Restitution, Attorneys' Fees and Expenses

It is further ORDERED Respondent shall pay restitution on or before September 21, 2009, to

Antonio Sanchez in the amount of Two Thousand Five Hundred and Noll 00 Dollars ($2,500.00).

Respondent shall pay the restitution by certified or cashier's check or money order made payab le to

Antonio Sanchez and delivered to the STATE BAR OF TEXAS, Chief Disciplinary Counsel, P.O. Box

12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas 78701).

It is further ORDERED Respondent shall pay all reasonable and necessary attorneys' fees to

the STATE BAR OF TEXAS in the amount of One Thousand Nine Hundred Twenty-Five and Noll 00

Dollars ($1,925.00). The payment shall be due and payable on or before September 21,2009, and

shall be made by certified or cashier's check or money order. Respondent shall forward the funds,

made payable to the STA 1E BAR OF TEXAS, to the STATE BAR OF TEXAS, Chief Disciplinary Counsel,

JUDGMENT OF ACTIVE SUSPENSION Page 5 of6

P,O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas 78701).

It is further ORJ)ERED Respondent shall pay all reasonable and necessary direct expenses to

the STATE BAR OF TEXAS in the amount of Eight Hundred Thirty-Six and 7011 00 Dollars ($836,70).

The payment shall be due and payable on or before September 21, 2009, and shall be made by

certified or cashier's check or money order. Respondent shall forward the funds, made payable to

the STATE BAR OF TEXAS, to the STATE BAR OF TEXAS, Chief Disciplinary Counsel, P. O. Box 12487,

Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas 78701).

'It is further ORDERED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule 1.06(y) of the TEXAS

RULES OF DISCIPLlNARY PROCEDURE, Any amount not paid shall accrue interest at the maximum

legal rate per amlUm until paid and the STATE BAR OF TEXAS shall have all writs and other post-

judgment remedies against Respondent in order to collect all unpaid amounts.

Publication

This suspension shan be made a matter of record and appropriately published in accordance

with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Other Relief

AU requested relief not expressly granted herein is expressly DENIED.

SIGNED this z.g1t. day of Auptc$f ,2009.

EVIDENTIARY PANEL DISTRICT NO. 4A STATE BAR OF TEXAS

y~.~

DA VIJ;) HOpGES

District 4A Presiding Member

JUDGMENT OF ACTIVE SUSPENSION Page 6 of6

.. ~ .

, ,

BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4Al GRIEVANCE COMMITTEE §

COMMISSION FOR LAWYER DISCIPLINE, § H0040519931 [VENI W. FONOTII §

Petitioner, §

§

v. § HARRIS COUNTY, TEXAS §

STEVEN JAY ROZAN, §

§

Respondent. §

JUDGMENT OF PUBLIC REPRIMAND

. .

Parties and Appearance

On October 18, 2007, came to be heard the above styled and numbered cause. Petitioner, the

COMMISSION FOR LAWYER DISCIPLINE, appearedby and through its attorney of record,

Shannon Breaux Sauceda, Assistant Disciplinary Counsel, and announced ready. Respondent,

STEVEN JAY ROZAN, Texas Bar Number 17357000, appeared pro se and announced ready.

Jurisdiction and Venue

The Evidentiary Pan~14Al having been duly appointed to hear this complaint by the chair of

the Grievance Committee for State Bar of Texas District 4A, finds that it has jurisdiction over the

parties and the subject matter of this action and that venue is proper.

Professional Misconduct

The Evidentiary Panel, having considered all of the pleadings, evidence, stipulations, and

argument, finds Respondent has committed Professional Misconduct as defined by Rule 1.06M of

the TEXAS RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF PUBLIC REPRIMAND Page 1 ofS

·

, I

Findings of Fact

The Evidentiary Panel, having considered the pleadings, evidence and argument of counsel,

makes the following findings of fact and conclusions of law: ,

1. 'Respondent is an attorney licensed to practice law in Texas and is a member of the STATE BAR OF TEXAS.

2 . Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On September 6, 20.0.4, Veni W. Fonoti ("hereinafter referred to as Fonoti") wrote to Respondent exploring possible representation for post-conviction relief.

4. On September 17, 200.4, Respondent wrote to Fonoti that he would undertake the representation for Fifteen Thousand and No/IOO Dollars ($15,000), and Respondent described specifically what services he would provide.

5. After not hearing from Fonoti, Respondent wrote to him on October 13, 2004, indicating that he would provide the same services for Ten Thousand and No/IOD Dollars ($10.,00.0.).

6. Fonoti retained Respondent and paid him Ten Thousand and No/IOO Dollars ($10,000).

7. On November 20, 20.0.4, Respondent wrote to Fonoti and outlined his plan of action regarding his legal matter, including what steps would be undertaken in November and December of2D04.

8. Respondent did not thereafter undertake any legal work for Fonoti,

9. Respondent further did not communicate with Fonoti until June 1, 20.05, despite repeated attempts by Fonoti to contact Respondent by phone and mail in November 20.04, December 2004, and January 20.0.5.

10.. On January 27,20.0.5. Fonoti wrote to Respondent terminating the legal representation and demanding the return of unearned legal fees.

11. Respondent failed to returned unearned legal fees to Fonoti.

12. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable attorneys' fees and direct expenses associated with this Disciplinary Proceeding in the amount of Two Thousand Eight Hundred Ninety-Three and 7511 00 Dollars ($2,893.75).

JUDGMENT OF PUBLIC REPRIMAND Page 2 of5

'.<

13. Respondent owes restitution in the amount of Ten Thousand and No/IOO Dollars ($10,000.00) payable to Veni W. Fonoti, This award of restitution does not in anyway preclude Veni W. Fonoti from using the restitution to re-hire Respondent to represent him.

Conclusions of Law

The Evidentiary Panel concludes that, based on foregoing findings of fact, the following

TEXAS DISCIPLINARY RULES OF PROFESSIONAL CONDUCT have been violated: Rules 1.01 (b )(2) [in

representing a client, frequently failing to carry out completely the obligations owed to a client or

clients]; 1.03( a) [failing to keep a client reasonably informed about the status of a matter and failing

to promptly comply with reasonable requests for information]; and 1.1S(d) [upon termination of

representation, failing to take steps to the extent reasonably practicable to protect adient's interests,

such as giving reasonable notice to the client to seek other counsel, surrendering papers and property

to which the client is entitled and refunding any advance payments of fee that has not been earned].

Sanction

The Evidentiary Panel, having found Respondent has committed Professional Misconduct,

heard and considered additional evidence regarding the appropriate sanction to be imposed against

Respondent. After hearing all evidence and argument and after having considered the factors in Rule

2.18 of the TEXAS RULE OF DISCIPLINARY PROCEDURE, the Evidentiary Panel finds said findings and

conclusions support a Judgment of Public Reprimand.

. Accordingly, it is ORDERED, ADJUDGED and DECREED that a Public Rep~and be

imposed against Respondent in accordance with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF PUBLIC REPRIMAND Page30f5

RestitutIon, Attorneys' Fees and Expenses

It is further ORDERED Respondent shall pay restitution to VENI W. FONOTI in the

amount ofTen Thousand and Noll 00 Dollars ($10,000.00), by no later than ninety (90) days after the

. .

signing of this Judgment. Respondent shall pay the restitution by certified or cashier's check or

money order made payable to VENI W. FONOTI and delivered to the STATE BAR OF TEXAS, Chief

Disciplinary Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752. This award of restitution in

this Judgment does not in any way restrict o~ prevent Respondent from entering into a new

contract/agreement concerning' representation of FON OT!.

It is further ORD~RED Respondent shall pay all reasonable and necessary attorney's fees and direct: expenses to the STATE BAR·OF TEXAS in the amount of Two Thousand Eight Hundred

. .

Ninety-Three and 751100 Dollars ($2,893.75). The payment shall be due andpayabJe by no later

than sixty (60) days after the signing of this Judgment, and shall be made by certified or cashier'

.. check or money order. Respondent shall forward the funds, made payable to the STATE BAR OF

TEXAS, to the STATE BAR OF TEXAS, CbiefDisciplinary Counsel, 6300 La Calma, Suite 300, Austin,

Texas 78752.

It is further ORDERED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule 1.06(y) of the TEXAS

RULES OF DrSCIPLlNARY PROCEDURE. Any amount not paid shall accrue interest at the maximum

legal rate per annum until paid and the STATE B~R OF TEXAS shall have all writs and other post-

judgment remedies against Respondent in order to collect all unpaid amounts.

JUDGMENT OF PUBLIC REPRIMAND Page 40f5

Publication

This reprimand shall be made a matter of record and appropriately published in accordance

with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Other Relief

All requested reli.efnot expressly granted herein is expressly DENIED.

SIGN}?D this 38ay of C)c.:~ be~

,2007.

EVIDENTIARY PANEL DISTRICT NO. 4Al

STATE ROFTEXAS

-a._/

JUDGMENT OF PUBLIC REPRIMAND Page 5 of5

BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4Al GRIEVANCE COMMITTEE §

COMMISSION FOR LA W.YER DISCIPLINE I § H0040622285 [MORRISON·LOWE] §

Petitioner, §

§

v. § HARRIS COUNTY, TEXAS §

STEVEN JAY ROZAN, §

§

Respondent. §

JUDGMENT OF PUBLIC REPRIMAND

Parties and Appearance

On October 18, 2007, came to be heard the above styled and numbered cause. Petitioner, the

COMMISSION FOR LAWYER DISCIPLINE, appeared by and through its attorney of record,

'Shannon Breaux Sauceda, Assistant Disciplinary Counsel, and announced ready. Respondent,

STEVEN JAY ROZAN, Texas Bar Number 17357000, appeared pro se and announced ready.

Jurisdiction and Venue

The Evidentiary Panel4A 1, having been duly appointed to hear this complaint by the chair of

the Grievance Committee for State Bar of Texas District 4A, finds that it has jurisdiction over the

parties and the subject matter of this action and that venue is proper.

Professional Misconduct

The Evidentiary Panel, having .considered all of the pleadings, evidence, stipulations, and

argument, finds Respondent has committed Professional Misconduct as defined by Rule 1.06(V) of

the TEXAS RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF PUBLIC REPRIMAND Page 1 er s

Findings of Fact

The Evidentiary Panel, having considered the pleadings, evidence and argument of counsel,

makes the following findings of fact and conclusions of law:

1. Respondent is an attorney licensed to practice law in Texas and is a member of the STATE BAR OF TEXAS.

2. Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On or about April 6, 2005, Jo Ann Morrison-Lowe (hereinafter referred to as "Complainant") hired Respondent to represent her son, Cyron Morrison (hereinafter referred to as "Morrison"), in a criminal appeal styled United States o(America v. Cyron Dondell Morrison, No. 05-50025, before the United States Court of Appeals for the Fifth Circuit and to handle Rule 35 proceedings by which Morrison would receive credits toward his sentence for his cooperation with authorities in a separate matter.

4. Respondent was paid Seven Thousand Five Hundred and NolDollars ($7,500.00) for the representation.

5. On or about July 12, 2005, Respondent filed the appellant's brief on behalf of Morrison.

6. The Court's opinion, affirming the lower court's decision, was entered on October 27, 2005.

7. Beginning in June of2005, Morrison wrote to Respondent on more than one occasion; however, Respondent did not respond to any of these communications.

8. As of March 29, 2006, neither Morrison nor Complainant had received any communications and/or updates on the status of the case from Respondent.

9. DUring the . course of the representation, Complainant, on Morrison's behalf, and . Morrison requested the client file in order to continue with Morrison's case; however, Respondent failed and refused to comply with said requests.

10. On or about April 11, 2006, Respondent received notice from the STATE BAR OF TEXAS of the pending grievance which required that Respondent file a written response to the allegations of professional misconduct within thirty (30) days of receipt.

11. Respondent's response was due on or about May 11, 2006; however Respondent did not file a response until June 26, 2006.

JUDGMENT OF PUBLIC REPRIMAND .

Page20fS

12. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable attorneys' fees and direct expenses associated with this Disciplinary Proceeding in the amount of One Thousand Six Hundred Sixty-Five and 90/100 Dollars ($1,665.90).

13. Respondent owes restitution in the amount of One Thousand and NollOO Dollars ($1,000.00) payable to Joarm Morrison-Lowe.

Conclusions of Law

The Evidentiary Panel concludes that, based on foregoing findings of fact, the following

TEXAS DISCIPLINARY RULES OF PROFESSIONAL CONDUCT have been violated: Rules 1.03( a) [failing

to keep a client reasonably informed about the status of a matter and failing to promptly comply with

reasonable requests for information]; 1.03(b) [failing to explain a matter to the extent reasonably

necessary to permit the client to make informed decisions regarding the representation]; 1.1S(d)

[failing, upon termination' of representation, to take steps to the extent reasonably practicable to

protect a client's interests, such as giving reasonable notice to the client, allowing time for

employment of other counsel, surrendering papers and property to which the client is entitled and

refunding any advance payments of fee that has not been earned]; and 8.04(a)(8) [failing to timely

furnish to the Chief Disciplinary Counsel's Office a response or other information as required by the

TEXAS RULES OF DISCIPLINARY PROCEDURE].

Sanction

The Evidentiary Panel, having found Respondent has committed Professional Misconduct,

heard and considered additional evidence regarding the appropriate sanction to be imposed against

.. Respondent. After hearing all evidence and argument and after having considered the factors in Rule

2.18 of the TEXAS RULE OF DISCIPLINARY PROCEDURE, the Evidentiary Panel finds said findings and

conclusions support a Judgment of Public Reprimand.

JUDGMENT OF PUBLIC REPRIMAND Page 3 of5

Accordingly, it is ORDERED, ADJUDGED and DECREED that a Public Reprimand be

imposed against Respondent in. accordance with the TEXAS RULES OF DrSCIPLlNARY PROCEDURE.

Restitution, Attorneys' Fees and Expenses

It is further ORDERED Respondent shall pay restitution to JO ANN MORRISON-LOWE

in the amount of One Thousan,d and Noll 00 Dollars ($1,000.00), by no later than thirty (30) days

after the signing of this Judgment. Respondent shall pay the restitution by certified or cashier's

check or money order made payable to JO ANN MORRISON-LOWE and delivered to the STATE

BAR OF TEXAS, Chief Disciplinary Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752. .

It is further ORDERED that Respondent shall tender his client file regarding Morrison to

Joann Morrison-Lowe by no later than thirty (30) days after the signing of this Judgment.

Respondent shall provide proof of completion to the STATE BAR OF TEXAS, Chief Disciplinary

Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752, contemporaneouslywith the return of the

client file.

It is further ORDERED Respondent shall pay all reasonable and necessary attorney's fees

and direct expenses to the STATE BAR OF TEXAS in the amount of One Thousand Six Hundred Sixty-

Five and 901100 Dollars ($1,665.90). The payment shall be due and payable byno later than thirty

(30) days after the signing of the Judgment, and shall be made by certified or cashier's check or

money order. Respondent shall forward the funds, made payable to the STA TEBAR OF TEXAS, to the

STATE BAR OF TEXAS, Chief Disciplinary Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752.

It is further ORDERED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule. 1.06(y) ofthe TEXAS

RULES OF DISCIPLINARY PROCEDURE .. Any amount not paid shall accrue interest at the maximum

JUDGMENT OF PUBLIC REPRIMAND Page 4 015

.. '

legal rate per annum until paid and the 8TA TE BAR OF TEXAS shall have all writs and other post-

judgment remedies against Respondent in order to collect all unpaid amounts.

Publication

This reprimand shall be made a matter of record and appropriately published in accordance

with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Other Relief

All requested relief not expressly granted herein is expressly DENIED.

SIGNED this ~ay of C)c.... Lob.e.r

,2007.

EVIDENTIARY PANEL DISTRICT NO. 4Al

STAT OF TEXAS

OHN CHAPOTON, istrict 4Al Presiding Member

JUDGMENT OF PUBLIC REPRIMAND Page 5 of5

BUSINESS RECORDS AFFIDAVIT OF J.G. MOLLESTON

Before me, the undersigned authority, personally appeared J.G. MOLLESTON who, being by me duly sworn, deposed as follows:

My name is J.G. MOLLESTON. I am of sound mind, capable of making this affidavit, and personally acquainted with the facts herein stated.

I am employed as Houston Regional Counsel for the STATE BAR OF TEXAS. I am the custodian of records of the Houston Regional Office of the STATE BAR OF TEXAS. Attached hereto are twenty-five (25) pages of records kept by the STATE BAR OF TEXAS concerning disciplinary actions against the law license of STEVEN JAY ROZAN, State Bar No. 17357000.

These said twenty-five (25) pages of records are kept by the STATE BAR OF TEXAS in the regular course of business, and it was the regular course of business of the STATE BAR OF TEXAS for an employee or representative of the STATE BAR OF TEXAS, with knowledge of the act, event, condition, or opinion recorded to make the record or to' transmit information thereof to be included in such record; and the record was made at or near the time or reasonably soon thereafter. The records attached hereto are the original or exact duplicates of the original.

OL TON

HOllS n Regional Counsel Jefferson, Suite 1000 Houston, Texas 77002

Phone: (713) 758-8200

Fax: (713) 758-8292

SIGNED AND SWORN TO before 'me on th~ ~y of February, 2010.

~~~

Notary Public in and for the State of Texas

BAR OF TEXAS

Chief Disciplinary Counsel

SHAWN MARIE LESl.IE

*i MY COMMISSION EXPIRES

f

FEBRUARY 8. 201()

Business Records Affidavit of J. G. Mo/leslon/Steven Jay Rozan

g:\generaJ\cdc_ ctosedcases'ctosed _ 09·[ O\rozan.s _sbs\business _records _ aff.Jgm.doc

EXHIBIT

:B

.BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4 GRIEVANCE COMMITtEE·

Petitioner,

§ H0080821386, H0050622484, H0040826442, § H004082654S, H0040928605, HOOl 0928l46~ § II0060929107,IlOOS0928936,ll0090929534, § and H0090929550

§

§ HARRIS COUNTY, TEXAS §

§

§

§

COMMISSION FOR LA WYERDISCIPLINE,

v.

STEVEN JAY ROZAN,

Respondent.

AGREED JUDGMENT OF PARTIALLY PROBATED SUSPENSION

Parties and Appear8D.£e

On this day; came to be heard the above styled an~ numbered cause. Petitioner and

Respondent, Steven Jay Rozan, Texas Bar Number 17357000, announce that. an agreement has

been reached on all metters inoluding the imposition of a Partially Probated Suspension.

Jurisdiction and Venue

~ .

The Evidentiary Panel 4A having been duly appointed to hear this complaint by the chair

of the Grievance Committee for State Bar of Texas District 4~ finds that it has jurisdiction over

. .

the parties and the subject matter of this action, and that venue is proper .

. ProfessiDnal Misconduct

The Evidentiary Panel, having considered the pleadings, admissions, stipulations and

agreements of the parties, finds Respondent has committed Professional Misconduct as defined

by Rule l.06(V) of the Texas Rules of Disciplinary Procedure,

Findings of Fact

Petitioner and Respondent agree to- the following findings of fact. Accordingly, the Evidentiary Panel finds:

CFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

1. Respondent is .an attorney licensed to practice law in Texas and is a member of the State Bar of Texas.

2. Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On March 28, 2ooS, Amuir Clausell bired Respondent to appeal bis federal criminal conviction. Clausell paid Respondent $15,000.00 for the representation. Respondent drafted and filed an extensive writ of habeas corpus on behalf of Clausell, which was denied by the Court. Respondent then filed a notice of appeal but the Court ruled it was late. Respondent failed to file a motion to reopen or take other corrective action.

4. On May 25, 2004, Juana Garcia hired Respondent to file for post-conviction relief on behalf of Miguel Botello. Respondent was paid $15,000.00 for the representation. Respondent moo the writ of habeas .corpus, which was subsequently denied. Upon appeal, Respondent failed to pay the docketing fee and the appeal was dismissed. The case was reinstated after Respondeat paid the docketing fee; but the case was later dismissed for want of prosecution.

5. On May 1, 2007, Domingo Campos hired Respondent to :file a motion to reduce his sentence in a federal criminal matter. Respondent was paid a retainer in the total amount of $1 0,000.00. Respondent failed to file the motion for reduction of sentence. By letter dated December 6, 2007, Campos terminated Respondent's services, requested a billing statement, and requested a refund of any unearned fees, Respondent agreed to refund a portion of the fees, but failed to do so. Respondent has also failed to comply with Campos' request for an accounting.

6. In March 2007, Gary Vaughn hired Respondent to seek a reduction in his sentence in a federal criminal matter. Respondent was paid $11~OOO.OO for the representation. By letter dated December 17. 2007. Vaughn terminated Respondent's services. Vaughn requested a refund of unearned fees and the return of his file. Respondent .failed to comply with either request

7. On June 9, 2006, Terrance Veltman hired Respondent for representation in filing a §22S5 in a federal case and a writ of habeas corpus in a state case. Both representations included appeals, if necessary. Veltman paid Respondent a total

. amount of $15,000.00 for the representations. Respondent filed the §22SS motion, which the magistrate reconunended be denied. The case was dismissed. Additionally, Respondent failed to reasonably communicate with Veltman regarding the status of his cases. Respondent failed to respond to the grievance filed by Veltman.

8. In November 2005, -Napole~n Randall hired Respondent for representation in an appeal of his criminal conviction. Randall paid Respondent $7,500.00 for the representation. Respondent timely filed the notice of appeal, but failed to file the brief and record excerpts, even after receiving an extension of time. During the· course ~f the representation, Randall made numerous attempts to contact Respondent to ascertain the status of his. case; however, Respondent failed to communicate with Randall. Randall also made a written request to Respondent for the return of his client file, as well as any unearned attomeys' fees. Respondent failed to comply with

Randall's request for a fee refund. .

9. In December 2005, Rosalinda Cabezuela hired Respondent to represent her sons, Hashim and Steven Thomas, on their respective cr:im1nal appeals, Cabezuela and her

Page2Qf9

"

CFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

sons terminated Respondent's servicea, Respondent failed to file a response to tho

grievance filed by Cabezuela. .

10. On April 16, 2006, Respondent was hired by Rebecca Dunn to represent her brother.

Philip Cooper in the filing a writ of habeas COIpUS. Respondent was paid $7,500.00 for the representation. Respondent failed to file the writ or take any action on Cooper's behalf. In response to a letter from Dunn, Respondent explained that recently decided case law would be helpful and that he would file the writ within the next 30 da.ys. Respondent failed to do so.

11. On March 23, 2007, Juan Licea-Cedillo hired Respondent to file a §225S writ of habeas corpus. Licea-Cedillo paid Respondent $10,000.00 for the representation. Respondent failed to timely file the writ arid as a result, the case was dismissed.

12. In January 2005, Taj'Smith hired Respondent for representation in his federal criminal trial. After he was convicted, Smith hired another attorney for postjudgment representation. Smith made numerous requests for his olient file, but

Respondent has been unable to locate it. .

13. The Chief Disciplinary Counsel of the State Bar of Texas has incurred reasonable attorneys" fees and direct expenses associated with this Disciplinary Proceeding in the amount of$5,840.00.

14. Respondent owes restitution in the amount of $40, 120.00 payable to:

Case No Complainant . Restitution
HOO80827386* A Clausell s 5,000.00
HOO50622484* J. Garcia (Botello) $ 3,500.00
H0040826442* D. Campos s 6,700.00
H0040826S45* G. Vaughn $7,370.00
H0040928605 T. Veltman. s 3,500.00
HOO10928146 N. Randall s 5,025.00
HOO60929107 R Cabezuela NlA
HOOS0928936 R.Dunn $ 5,025.00
(Cooper)
. H0090929534 J. Ucea-CednIo s 4)000.00
HOO90929550 T. Smith N/A
TOTAL s 40,120.00 Page 3 of9

· ."

CFLD v. Steven Jay Rozon

Agreed Po/tially Probated Susp_ension

Conclusions of Law

Petitioner and Respondent agree that) 'based on the foregoing findings of fact, the following Texas Disciplinary Rules of Professional Conduct have been violated. Accordingly, the Evidentiary Panel concludes the following, rules of the Texas Disciplinary Rules of

Professional Conduct have been violated: Rules 1.01(b)(1). 1.03(a), 1.15(d), and 8.04(a)(8).

Sanction

It is AGREED and ORDERFD that the sanction of a Partially Probated Suspension shall

be imposed against Respondent in accordance with the Texas Rules of Disciplinary Procedure.

Accordingly, it is ORDERED, ADJUDGED and DECREED that Respondent be suspended from the practice oflaw for a period offive (5) years, beginning January 1,2010 and

ending December 31, 2014. Respondent shall be actively suspended from the practice of law for a period of two (2) years beginning January 1,2010 and ending Deceinber 31,2011. The three

(3) year period of probated suspension shall begin on January 1. 2012 and shall end on December 31,2014.

Terms or Active Suspension

It is further ORDERED that during the term of active suspension ordered herein, or that

may be Jmposed upon Respondent by the Board of Disciplinary Appeals as a result of a

probation revocation proceeding, Respondent shall be prohibited from practicing law in Texas; holding himself out as an attorney at law; performing any legal services for others; accepting any

fee directly or indirectly for legal services; appearing as counselor in any representative capacity

in any proceeding in any Texas or Federal court or before any administrative body; or holding

himself out to others or using his name. in any manner, in conjunction with the words "attorney

at law," "attorney," "counselor at law, l' or "lawyer. II

Page 4 of9

eFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

It is further ORDERED that, on or before January 112010, Respondent shall notify each

'of-Respondent's current clients in writing of this suspension.

In addition to such notification, it is further ORDERED Respondent shall return any files,

" .

papers, unearned monies and other property belonging to current clients in Respondent's

possession to the respective clients or to another attorney at the client's request.

It is further ORDERED Respondent shall tile with the State Bar of Texas, State, P.O.

Box 12487; Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200, Austin Texas 78701).

on or before February 1, 2010, an affidavit stating all current clients have been notified of

Respondent's suspension and that all fifes, papers, monies and oilier property belonging to all current clients have been returned as ordered herein.

It is further ORDERED Respondent shall, on or before January 1,2010, notifY in writing

each and every justice of the peace, judge, magistrate, administrative judge' or officer and chief justice of each and every court or tribunal in which Respondent has any matter pending of the

. .

terms of this judgment, the style and cause number of the pending matter(s); and the name;

address and telephone number olthe client(s) Respondent is representing,

It is further ORDERED Respondent shall file with the State Bar of Texas, P.O. Box 12487, Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200, Austin Texas 78701)~ on or

before February 1, 2010~ an, affidavit stating Respondent has notified in writing each and every

justice of the peace, judge, magistrate, and chief justice of each and every court in which

Respondent.has any matter pending of'the terms of this judgment, the style and cause number of

the pending matter(s), and the name, address and telephone number of the client(s) Respondent is

representing in Court.

Pagc50f9

CFLD v. Steven Jay Rozan

Agreed P~Jial1y Probated Suspension

It is further ORDERED that, on or before January IS, 2010, Respondent shall surrender

his . law license and permanent State Bar Card to the State Bar of Texas, Chief Disciplinary . Counsel, P.O. Box 12487, Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200, Austin

Texas 78701). to be. forwarded to the Supreme Court of Texas.

Terms of Probation

It is further ORDERED that during all periods of suspension, Respondent shall be under

the following tenns and conditions:

1. Respondent shall not violate any term of this judgment.

2. Respondent shall not engage in professional misconduct as defined by Rule 1.06(V) of the Texas Rules of Disciplinary Procedure.

3. Respondent shall not violate any state or federal eriminalatatutes.

4. . Respondent shall keep State Bar of Texas membership department notified of current

mailing) residence and business addresses and telephone numbers.

5. Respondent shall comply with Minimum Continuing Legal Education requirements.

6. Respondent shall comply with Interest on Lawyers Trust Account (IOLTA) requirements.

7. Respondent shall promptly respond to any request for information from the Chief Discip1ina.ry Counsel in connection with any investigation of any allegations <>f professional misconduct.

8, Respondent shall pay all reasonable and necessary attorney's fees and direct expenses to the State Bar of Texas in the. amount of $5,840.00 The payment shall be due and payable on or before June 30~ 2014 and shall be made by certified or cashier's check or money order. Respondent shall forward the funds, made payable to the State Bar of Texas, P.O. Box 12487~ Austin; Texas 78711-2487 (1414 Colorado Street,. Suite

200, Austin Texas 78701). .

9. Respondent shall pay restitution in the amount of $40,120.00) to be paid by monthly installments in the amount of $1,671.67 begint;ling January 31~ 2010 and ·ending December 31) 2011, by certified or cashier's check or money order, made payable to the State Bar of Texas; and delivered to the State Bar of Texas, P.O. Box 12487, Austin, Texas 78711-2487 (1414 Colorado Street, Suite 200, Austin Texas 78701).

Probation RevoCation

It is further ORDERED that, if Respondent violates any term. of this judgment, the Board

of Disciplinary Appeals (''BODN') shall enter an order revoking the probation and imposing the

active suspension of Respondent from the practice of law to commence on the date of revocation.

Page6of9

CFLD v, Steven Jay Rozan

Agreed Partially Probated Suspension

Upon determination that Respondent ~ violated any term of this judgment, the Chief

Disciplinary Counsel may. in addition to all other remedies available, file a motion to revoke

probation with BODA and serve a photocopy of the motion on Respondent pursuant to'

Tex.R.Civ.P.21a.

BODA shall conduct an evidentiary hearing. At the hearing, BODA shall determine by a

preponderance of the evidence whether Respondent has violated any term of this Judgment If BODA fmds grounds for revocation, BODA shall enter an order re~oking probation and placing Respondent on active suspension from the date of such revocation order. Respondent shall not

be given credit for any term crprobanon served prior to revocation.

It is further ORDERED that any conduct on the part of Respondent which serves as the

basis for a motion to revoke probation may also be brought as independent grounds for discipline

as allowed WIder the Texas Disciplinary Rules of Professional Conduct and Texas Rules of

Disciplinary Procedure,

Restitution. Attorney's Fees and Expenses

It is further ORDERED Respondent shall pay restitution on or before December 31,

2011. to be paid by monthly installments in the amount of $1 ,671.67 beginning January 31 ~ 2010

and ending December 31, 2011, by certified or cashier's check or money order, made payable to

the State Bar of Texas; and delivered to the State Bar of Texas, P.O. Box 12487, Austin, Texas

78711-2487 (1414 Colorado Street. Suite 200, Austin Texas 78701) for distribution to the

Complainants entitled to restitution.

It is further ORDERED Respondent shall pay all reasonable and necessary attorney's fees and direct expenses to the State Bar of Texas in the amount orin the amount of$5.840.00. The payment shall be due and payable on or before June 30. 2014 and shall be made by certified or

Page7of9

CFLD v. Steven Jay Rozan

Agreed Partially Probated Suspension

cashiers check or money order. Respondent shall forward the funds, made payable to the State

Bar of Texas, P.O. Box 12487, Austin, Texas 78711·2487 (1414 Colorado Street, Suite 200, Austin Texas 78701).

It is further ORDBRED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule 1.06(Y) of the Texas

Rules of Disciplinary Procedure. Any amount not paid shall accrue interest at the maximum.

legal rate per annum until paid and the State Bar of Texas shall have all writs· and other post-

judgment remedies against Respondent in order.to collect all unpaid amounts.

Publication

This suspension shalt be made a matter of record and appropriately published in

accordance with the Texas Rules ofDiscip~ Procedure . . Other Relief

All requested relief not expressly granted herein is expressly DENIED.

SIGNBDtbis~ayof ,~C~

,2009.

EVIDENTIARY PANEL' DISTRICT NO. 4A . STATE BAR OF TEXAS

~,~

DAVID HODGE

Distriet 4A Presiding Member

Page 8 of9 .

,';. .

CFLD v. SIMn Jay RoIaII

Agrwd ParJltJI) Pt'Dba1ld &.topmslon

AGllIQ MTO JIOlllFOBM Arm SllBSTANC.&:

@.f!i/tP7J

State Bar No. 17357000 lteqKmdad

.. /4

ShMnon Breaux Sauceda Assistant Disoiplbwy CoWl$tl State Bar No. 24002896

Cou ... , for Petitioner

e'"

State Bat' No. 12137400 C01lltei for hlpolldeat

."

.,

BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4A GRIEVANCE COMMITTEE

COMMISSION FOR LAWYER DISCIPLINE, § S0020819730 [ANTONIO SANCHEZ] §

Petitioner, §

§

v. § HARRIS COUNTY, TEXAS §

STEVEN JAY ROZAN, §

§

Respondent. §

JUDGMENT OF ACTIVE SUSPENSION

Parties and Appearance

On August 20,2009, came to be heard the above-styled and numbered cause. Petitioner, the

COMMISSION FOR LAWYER DISCIPLINE, appeared by and through its attorney of record,

Shannon Breaux Sauceda, Assistant Disciplinary Counsel, and announced ready. Respondent,

STEVEN JAY ROZAN (hereinafter referred to as "Respondent"), Texas Bar Number 17357000,

appeared in person and announced ready.

Jurisdiction and Venue

The Evidentiary Panel4A having been duly appointed to hear this complaint by the chair of

the Grievance Committee for STATE BAR OF TEXAS District 4, finds that it has jurisdiction over the

parties and the subject matter of this action and that venue is proper.

Professional Misconduct

The Evidentiary Panel, having considered all of the pleadings, evidence, stipulations, and

argument, finds Respondent has committed Professional Misconduct as defined by Rule 1.06(V) of

THE TExAs RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF ACTIVE SUSPENSION Page 1 of6

...

Findings of Fact

The Evidentiary Panel, having considered the pleadings, evidence and argument of counsel,

makes the following findings offact and conclusions of law:

1. Respondent is an attorney licensed to practice law in Texas and is a member ofthe STA 1E BAR OF TEXAS.

2. Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On April 20, 2006, Antonio Sanchez (Sanchez) hired Respondent to defend him in an asset forfeiture case styled United States o(America v. Waxwing Circle P. et ai, Civil No. 5:06-CV-00124-0LG, In the United StatesDistrict Court for the Western District of Texas, San Antonio Division.

4. Sanchez paid Respondent Seven Thousand Five Hundred and Noll 00 Dollars ($7,500.00) for the representation.

5. During the course of the representation, Respondent failed to communicate with Sanchez about the status of the case and failed to respond to reasonable requests for information.

6. After filing a verified claim on behalf of Sanchez, Respondent failed to take any further action and in effect, abandoned the representation. Respondent did not withdraw from the case.

7. A default judgment was entered against Sanchez on December 19,2007.

8. Respondent failed to notify Sanchez of said default judgment.

9. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable attorneys' fees associated with this Disciplinary Proceeding in the amount of One Thousand Nine Hundred Twenty-Five and No/I 00 Dollars ($1,925.00).

10. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable direct expenses associated with this Disciplinary Proceeding in the amount of Eight Hundred Thirty-Six and 70/100 Dollars ($836.70).

11. Respondent owes restitution in the amount of Two Thousand Five Hundred and Noll 00 Dollars ($2,500.00) payable to Antonio Sanchez.

JUDGMENT OF ACTIVE SUSPENSION Page 2016

Conclusions of Law

The Evidentiary Panel concludes that, based on foregoing findings of fact, the following

TEXAS DISCIPLlNARY RULES OF PROFESSIONAL CONDUCT have been violated: Rules 1.01(b)(1) [in

representing a client, a lawyer shall not neglect a legal matter entrusted to the lawyer]; 1.03(a) [a

lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with

reasonable requests for information]; 1.IS( a)(l) [a lawyer shall decline to represent a client or, where

representation has commenced, shall withdraw from the representation of a client if the

representation will result in violation of Rule 3.08, other applicable rules of professional conduct or

other law]; and 1.IS(d) [upon termination of representation, a lawyer shall take steps to the extent

reasonably practicable to protect a client's interests, such as giving reasonable notice to the client,

allowing time for employment of other counsel, surrendering papers and property to which the client

is entitled and refunding any advance payments of fee that has not been earned].

Sanction

The Evidentiary Panel, having found that Respondent has committed professional

misconduct, heard and considered additional evidence regarding the appropriate sanction to be

imposed against Respondent. After hearing all evidence and argument and after having considered

the factors in Rule 2.iS of the TEXAS RULE OF DlSCIPLINARY PROCEDURE~ the Evidentiary Panel

finds said findings and conclusions support a Judgment of Active Suspension.

Accordingly, it is ORDERED, ADJUDGED and DECREED that Respondent shall be

actively suspended from the practice oflaw for a period of twelve (12) months beginning September

21, 2009t and ending September 20,2010.

JUDGMENT OF ACTIVE SUSPENSION Page 3 of6

Terms of Active Suspension

It is further ORDERED that during the term of active suspension ordered herein, Respondent

shall be prohibited from practicing law in Texas; holding himself out as an attorney at law;

performing any legal services for others; accepting any fee directly or indirectly for legal services;

appearing as counselor in any representative capacity in any proceeding in any Texas or Federal

court or before ~y administrative body; or holding himself out to others or using his name, in any

maimer, in conjunction with the words "attorney at law," "attorney," "counselor at law:' or "lawyer."

It is further ORDERED that, on or before September 21, 2009, Respondent shall notify each

of Respondent's current clients in writing of this suspension.

In addition to such notification, it is further ORDERED "Respondent shall return any files,

papers, unearned monies and other property belonging to current clients in Respondent's possession

to the respective clients or to another attorney at the client's request.

It is further ORDERED Respondent shall file with the STATE BAR OF TEXAS, Chief

Disciplinary Counsel, P.O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St.,

Austin, Texas 78701), on or before September 21,2009, an affidavit stating an current clients have

been notified of Respondent's suspension and that all files, papers, monies and other property

belonging to all current clients have been returned as ordered herein.

It is further ORDERED Respondent shall, on or before September iI, 2009, notify in writing

each and every justice of the peace, judge, magistrate, administrative judge or officer and chief

justice of each and every court or tribunal in which Respondent has any matter pending of the terms

of this judgment, the style and cause number of the pending matter(s), and the name, address and

telephone number of the client(s) Respondent is representing.

JUDGMENT OF ACTIVE SUSPENSION Page 4 of6

It is further ORDERED Respondent shall file with the STATE BAR OF TEXAS, Chief

Disciplinary Counsel, P.O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St.,

Austin, Texas 78701), on or before September 21, 2009, an affidavit stating Respondent has notified

in writing each and every justice ofthe peace, judge, magistrate, and chief justice of each and every

court in which Respondent has any matter pending ofthe terms of this judgment, the style and cause

number of the pending matter(s), and the name, address and telephone number of the client(s)

Respondent is representing in Court.

It is further ORDERED that, on or before September 21, 2009, Respondent shall surrender

his law license and permanent State Bar Card to THE STATE BAR OF TEXAS, Chief Disciplinary

Counsel, P.O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas

78701), to be forwarded to the SUPREME COURT OF TEXAS.

Restitution, Attorneys' Fees and Expenses

It is further ORDERED Respondent shall pay restitution on or before September 21, 2009, to

Antonio Sanchez in the amount of Two Thousand Five Hundred and No/I 00 Dollars ($2,500.00).

Respondent shall pay the restitution by certified or cashier's check or money order made payable to

Antonio Sanchez and delivered to the STATE BAR OF TEXAS, Chief Disciplinary Counsel, P.O. Box

12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas 78701).

It is further ORDERED Respondent shall pay all reasonable and necessary attorneys' fees to

the STATE BAR OF TEXAS in the amount of One Thousand Nine Hundred Twenty-Five and Noll 00

Dollars ($1,925.00). Thepayment shall be due and payable on or before September 21, 2009, and

shall be made by certified or cashier's check or money order. Respondent shall forward the funds,

made payable to the STATE BAR OF TEXAS, to the STATE BAR OF TEXAS, Chief Disciplinary Counsel,

JUDGMENT OF ACTIVE SUSPENSION PageS of6

,.'

P.O. Box 12487, Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas 78701).

It is further ORDERED Respondent shall pay all reasonable and necessary direct expenses to

the STATE BAR OF TEXAS in the amount of Eight Hundred Thirty-Six and 7011 00 Dollars ($836.70).

The payment shall be due and payable on or before September 21,2009, and shall be made by

certified or cashier's check or money order. Respondent shall forward the funds, made payable to

the STATE BAR OF TEXAS, to the STATE BAR OF TEXAS, Chief Disciplinary Counsel, P.O. Box 12487,

Capitol Station, Austin, Texas 78711 (1414 Colorado St., Austin, Texas 78701) .

. It is further ORDERED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule 1.06(y) of the TEXAS

RULES OF DISCIPLINARY PROCEDURE. Any amount not paid shall accrue interest at the maximum

legal rate per annum until paid and the STATE BAR OF TEXAS shall have all writs and other post-

judgment remedies against Respondent in order to collect all unpaid amounts.

Publication

This suspension shall be made a matter of record and appropriately published in accordance

with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Other Relief

All requested relief not expressly granted herein is expressly DENIED.

SIGNED this z.g~ day of Aw,4Af ,2009.

EVIDENTIARY PANEL DISTRICT NO. 4A STATE BAR OF TEXAS

X?~.~

DA VIJ;) HOpGES

District 4A Presiding Member

JUDGMENT OF ACTIVE SUSPENSION Page 6 of6

· 'I, .

v

BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4Al GRIEVANCE COMMITTEE §

COMMISSION FOR LAWYER DISCIPLThTE, § H0040519931 [VENI W. FONOTIJ §

Petitioner, §

§

v. § HARRIS COUNTY, TEXAS §

STEVEN JAY ROZAN, §

§

Respondent. §

JUDGMENT OF PUBLIC REPRIMAND

Parties and Appearance

On October 18, 2007, came to be heard the above styled and numbered cause. Petitioner, the

COMMISSION FOR LAWYER DISCIPLINE, appeared.by and through its attorney of record,

Shannon Breaux Sauceda, Assistant Disciplinary Counsel .. and announced ready. Respondent,

STEVEN JAY ROZAN, Texas Bar Number 17357000, appearedpro se and announced ready.

Jurisdiction and Venue

The Evidentiary Panel d.Al having been duly appointed to hear this complaint by the chair of

the Grievance Committee for State Bar of Texas District 4A, finds that it has jurisdiction over the parties and the subject matter of this action and that venue is 'proper.

Professiona1 Misconduct

The Evidentiary Panel, having considered all of the pleadings, evidence, stipulations, and

argument, finds Respondent has committed Professional Misconduct as defined by Rule 1. 06(V) of

the TEXAS RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF PUBLIC REPRIMAND Page 1 of5

Findings of Fact

The Evidentiary Panel, having considered the pleadings, evidence and argument of counsel,

makes the following findings of fact and conclusions of law;

1. Respondent is an attorney licensed to practice law in Texas and is a member of the STATE BAR OF TEXAS.

2 . Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On September 6,2004, Vern W. Fonoti ("hereinafter referred to as Fonoti") wrote to Respondent exploring possible representation for post-conviction relief.

4. On September 17, 2004, Respondent wrote to Fonoti that he would undertake the representation for Fifteen Thousand and NollOO Dollars ($15,000), and Respondent described specifically what services he would provide.

5. After not hearing from Fonoti, Respondent wrote to him on October 13, 2004, indicating that he would provide the same services for Ten Thousand and Noll 00 Dollars ($10,000).

6. Fonoti retained Respondent and paid him Ten Thousand and Noll 00 Dollars ($10,000).

7. On November 20,2004, Respondent wrote to Fonoti and outlined his plan of action regarding his legal matter, including what steps would be undertaken in November and

December of 2004. . .

8. Respondent did not thereafter undertake any legal work for Fonoti.

9. Respondent further did not communicate with Fonoti until June 1, 2005, despite repeated attempts by Fonoti to contact Respondent by phone and mail in November 2004, December 2004, and January 2005.

10. On January 27,2005, Fonoti wrote to Respondent terminating the legal representation and demanding the return of unearned legal fees.

11. Respondent failed to returned unearned legal fees to Fonoti.

12. The Chief Disciplinary Counsel oftlie STATE BAR OF TEXAS has incurred reasonable attorneys' fees and direct expenses associated with this DIsciplinary Proceeding in the amount of Two Thousand Eight Hundred Ninety-Three and 7511 00 Dollars ($2,893.75).

JUDGMENT OF PUBLIC REPRIMAND Page 2 of5

..

13. Respondent owes restitution in the amount of Ten Thousand and NollOa Dollars ($10,000.00) payable to Veni W. Fonoti. This award of restitution does not in anyway preclude Veni W. Fonoti from using the restitution to re-hire Respondent to represent him.

Conclusions of Law

The Evidentiary Panel concludes that, based on foregoing findings of fact, the following

TExAs DISCIPLINARY RULES OF PROFESSIONAL CONDUCT have been violated: Rules 1.01 (b )(2) [in

representing a client, frequently failing to cany out completely the obligations owed to a client or

clients J; 1.03( a) [failing to keep a client reasonably informed about the status of a matter and failing

to promptly comply with reasonable requests for information]; and 1.1S(d) [upon termination of

representation, failing to take steps to the extent reasonably practicable to protect a client's interests,

such as giving reasonable notice to the client to seek other counsel, surrendering papers and property

to which the client is entitled and refunding any advance payments of fee that has not been earned].

Sanction

The Evidentiary Panel, having found Respondent has committed Professional Misconduct,

heard and considered additional evidence regarding the appropriate sanction to be imposed against

Respondent. After hearing all evidence and argument and after having considered the factors in Rule

2.18 of the TEXAS RULE OFDISCIPL1NARY PROCEDURE, the Evidentiary Panel finds said findings and

conclusions support a Judgment of Public Reprimand.

- Accordingly, it is ORDERED, ADJUDGED and DECREED that a Public Reprimand be

imposed against Respondent in accordance with the TEXAS RULES OF DISClPLINARY PROCEDURE.

JUDGMENT OF PUBLIC REPRIMAND Page 30[5

" .

RestitutIon, Attorneys' Fees and Expenses

It is further ORDERED Respondent shall pay restitution to VENI W. FONOTI in the

amount ofTen Thousand and Noll 00 Dollars ($10,000.00), by no later than ninety (90) days after the

. .

signing of this Judgment: Respondent shall pay the restitution by certified or cashier's check or

money order made payable to VENI W. FONOTI and delivered to the STATE BAR OF TEXAS, Chief

Disciplinary Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752. This award of restitution in

this Judgment does not in any way restrict or prevent Respondent from entering into a new

contract/agreement concerning representation of FON OTl

It is further ORDERED Respondent shall pay all reasonable and necessary attorney's fees

and direct expenses to the STATE BAR-OF TEXAS in the amount of Two Thousand Eight Hundred

. .

Ninety-Three and 75/100 Dollars ($2,893.75). The payment shall be due and payable by no later

,

than sixty (60) days after the signing of this Judgment, and shall he ma~e by certified or cashier'

. check or money order. Respondent shall forward the funds, made payable to the STATE BAR OF

TEXAS, to the $TATEBAR OF TEXAS, Chief Disciplinary Counsel, 6300 La Calma, Suite 300, Austin,

Texas 78752.

It is further ORDERED that an amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule 1.06(Y) of the TEXAS

RULES OF DrSCIPLWARY PROCEDURE. Any amount not paid shall accrue interest at the maximum

legal rate per annum. until paid and the STATE BAR OF TEXAS shall have all writs and other post-

judgment remedies against Respondent in order to collect all unpaid amounts.

JUDGMENT OF PUBLIC REPRIMAND Page 4 of 5

" .. ,

,.

Publication

This reprimand shall be made a matter of record and appropriately published in accordance

with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Other Relief

All requested relief not expressly granted herein is expressly DENIED.

r:t.l ,_~ rf:\,. ~l _

SIG~D this ~day of__;::L.I=-_'-- __ 'Ce__,,'--_, 2007.

EVIDENTIARY PANEL DISTRICT NO. 4Al

STATE R OF TEXAS

~I

J HN CHAPOTON, JR. Di ict 4Al Presiding Membe

JUDGMENT OF PUBLIC REPRIMAND Page 5 of 5

· .

I I

BEFORE THE EVIDENTIARY PANEL OF THE STATE BAR DISTRICT NO. 4Al GRIEVANCE COMMITTEE §

COMMISSION FOR LA W.YER DISCIPLINE, § H0040622285 [MORRISON-LOWE] §

Petitioner, §

§

v. § HARRIS COUNTY, TEXAS §

STEVEN JAY ROZAN, §

§

Respondent. §

JUDGMENT OF PUBLIC REPRIMAND

Parties and Appearance

On October 18, 2007, came to be heard the above styled and numbered cause. Petitioner, the

COMMISSION FOR LAWYER DISCIPLINE, appeared by and through its attorney of record,

'Shannon Breaux Sauceda, Assistant Disciplinary Counsel, and announced ready. Respondent,

STEVEN JAY ROZAN, Texas Bar Number 17357000, appeared pro se and announced ready.

Jurisdiction and Venue

The Evidentiary Pane14A 1, having been duly appointed to hear this complaint by the chair of

the Grievance Committee for State Bar of Texas District 4A, finds that it has jurisdiction over the

parties and the subject matter of this action and that venue is proper.

Professional Misconduct

The Evidentiary Panel, having.considered all of the pleadings, evidence, stipulations, and

argument, finds Respondent has committed Professional Misconduct as defined by Rule 1.06(V) of

the TEXAS RULES OF DISCIPLINARY PROCEDURE.

JUDGMENT OF PUBLIC REPRIMAND Page 1 of 5

·.

Findings of Fact

The Evidentiary Panel, having considered the pleadings, evidence and argument of counsel,

makes the following findings of fact and conclusions oflaw:

1. Respondent is an attorney licensed to practice law in Texas and is a member ofthe STATE BAR OF TEXAS.

2. Respondent resides in and maintains his principal place of practice in Harris County, Texas.

3. On or about April 6, 2005, Jo Ann Morrison-Lowe (hereinafter referred to as "Complainant") hired Respondent to represent her son, Cyron Morrison (hereinafter referred to as "Morrison"), in a criminal appeal styled United States of America v. Cyron Donde!! Morrison, No. 05-50025, before the United States Court of Appeals for the Fifth Circuit and to handle Rule 35 proceedings by which Morrison would receive credits toward his sentence for his cooperation with authorities in a separate matter.

4. Respondent was paid S even Thousand Five Hundred and NolDollars ($7,500.00) for the representation.

5. On or about July 12, 2005, Respondent filed the appellant's brief on behalf of Morrison.

6. The Court's opinion, affirming the lower court's decision, was entered on October 27, 2005.

7. Beginning in June of2005, Morrison wrote to Respondent on more than one occasion; however, Respondent did not respond to any of these communications.

8. As of March 29, 2006, neither Morrison nor Complainant had received any communications and/or updates on the status of the case from Respondent.

9. During the . course of the representation, Complainant, on Morrison's behalf, and .Morrison requested the client file in order to continue with Morrison's case; however, Respondent failed and refused to comply with said requests.

. .

10. On or about April 11, 2006, Respondent received notice from the STATE BAR OF TEXAS

of the pending grievance which required that Respondent file a written response to the allegations ofprofes~ional misconduct within thirty (30) days of receipt.

11. Respondent's response was due on or about May 11, 2006; however Respondent did not file a response until June 26, 2006.

JUDGMENT OF PUBLIC REPRIMAND .

Page2of5

.

1)

12. The Chief Disciplinary Counsel of the STATE BAR OF TEXAS has incurred reasonable attorneys' fees and direct expenses associated with this Disciplinary Proceeding in the amount of One Thousand Six Hundred Sixty-Five and 90/100 Dollars ($1,665.90).

13. Respondent owes restitution in the amount of One Thousand and No/lOO Dollars ($1,000.00) payable to Joann Morrison-Lowe.

Conclusions of Law

The Evidentiary Panel concludes that, based on foregoing findings of fact, the following

TEXAS DISCIPLINARY RULES OF PROFESSIONAL CONDUCT have been violated: Rules 1.03(a) [failing

to keep a client reasonably informed about the status of a matter and failing to promptly comply with

reasonable requests for information]; 1.03(b) [failing to explain a matter to the extent reasonably

necessary to permit the client to make informed decisions regarding the representation]; 1.15(d)

[failing, upon termination' of representation, to take steps to the extent reasonably practicable to

. .

protect a client's interests, such as giving reasonable notice to the client, allowing time for

employment of other counsel, surrendering papers and property to which the client is entitled and

refunding any advance payments of fee that has not been earned]; and 8.04(a)(8) [failing to timely

furnish to the Chief Disciplinary Counsel's Office a response or other information as required by the

TEXAS RULES OF DISCIPLINARY PROCEDURE].

Sanction

The Evidentiary Panel, having found Respondent has committed Professional Misconduct,

heard and considered additional evidence regarding the appropriate sanction to be imposed against

.' Respondent. After hearing all evidence and argument and after having considered the factors in Ru1e

2.18 of the TEXAS RULE OF DISCIPLINARY PROCEDURE, the Evidentiary Panel finds said findings and

conclusions support a Judgment of Public Reprimand.

JUDGMENT OF. PUBLIC REPRIMAND Page 3 ers

· .

'\,

Accordingly, it is ORDERED, ADJUDGED and DECREED that a Public Reprimand be

imposed against Respondent in. accordance with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Restitution, Attorneys' Fees and Expenses

It is further ORDERED Respondent shall pay restitution to JO ANN MORRISON-LOWE

in the amount of One Thousand and No/IOO Dollars ($1,000.00), by no later than thirty (30) days

after the signing of this Judgment. Respondent shall pay the restitution by certified or cashier's

check or money order made payable to JO ANN MORRISON-LOWE and delivered to the STATE

BAR OF TEXAS, Chief Disciplinary Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752. .

It is further ORDERED that Respondent shall tender his client file regarding Morrison to

Joann Morrison-Lowe by no later than thirty (30) days after the signing of this Judgment.

Respondent shall provide proof of completion to the STATE BAR OF TEXAS, Chief Disciplinary

Counsel, 6300 La Calma, Suite 300, Austin, Texas 78752, contemporaneously with the return of the

client file.

It is further ORDERED Respondent shall pay all reasonable and necessary attorney's fees

and direct expenses to the STATE BAR OF TEXAS in the amount of One Thousand Six Hundred Sixty-

Five and 901100 Dollars ($1,665.90). The payment shall be due and payable by no later than thirty

(30) days after the signing of the Judgment, and shall be made by certified or cashier's check or

money order. Respondent shall forward the funds, made payable to the STA 1EBAR OF TEXAS, to the

STATE BAR OF TEXAS., Chief Disciplinary Counsel, 6300 La Calma. Suite 300, Austin, Texas 78752.

It is further ORDERED that all amounts ordered herein are due to the misconduct of

Respondent, are assessed as a part of the sanction in accordance with Rule.l.06(y) of the TEXAS

RULES OF DISCIPLINARY PROCEDURE.. Any amount not paid shall accrue interest at the maximum

JUDGMENT OF PUBLIC REPRIMAND Page 4 of5

"I '

(

legal rate per annum until paid and the STATE BAR OF TEXAS shall have all writs and other post-

judgment remedies against Respondent in order to collect all unpaid amounts.

Publication

This reprimand shall be made a matter of record and appropriately published in accordance

with the TEXAS RULES OF DISCIPLINARY PROCEDURE.

Other Relief

All requested reliefnot expressly granted herein is expressly DENIED.

SIGNED this ~ay of C)c:..~b..e..r

,2007.

EVIDENTIARY PANEL DISTRICT NO. 4Al

STAT OF TEXAS

OHN CHAPOTON, istrict 4Al Presiding Member

JUDGMENT OF PUBLIC REPRIMAND PageS ofS

.. '

3/30/2010

Statement of Costs

Steven J. Rozan

09-00241

Administrative Fee

91.00

Amount Due

$

91.00

SUPREME COURT, STATE OF COLORADO
ORIGINAL PROCEEDING IN DISCIPLINE BEFORE
THE OFFICE OF THE PRESIDING DISCIPLINARY JUDGE
1560 BROADWAY, SUITE 675
DENVER, CO 80202
Complainant: Case Number:
THE PEOPLE OF THE STATE OF COLORADO, IOPDJ027
Respondent:
STEVEN JAY ROZAN.
ORDER APPROVING CONDITIONAL ADMISSION OF MISCONDUCT
AND IMPOSING SANCTIONS PURSUANT TO C.R.C.P. 251.22 This matter is before the Presiding Disciplinary Judge ("the Court") on a "Stipulation, Agreement and Affidavit Containing the Respondent's Conditional Admission of Misconduct" filed by Nancy L. Cohen, Office of Attorney Regulation Counsel ("the People"), and Steven Jay Rozan ("Respondent") on April 20, 2010. In this stipulation, the parties waive their right to a hearing under C.R.C.P. 251.22(c).

The Court, having reviewed the case file and the stipulation, and being fully advised of the issues presented, ORDERS the following:

1. The stipulation is accepted and approved.

2. STEVEN JAY ROZAN, Attorney Registration No. 10381, is SUSPENDED from the practice of law for a period of TWO (2) YEARS.

3. Pursuant to C.R.C.P. 251.32, Respondent shall pay costs incurred in conjunction with this matter in the amount of $91.00 within thirty (30) days of the date of this order. Costs are payable to the Colorado Supreme Court Attorney Regulation Offices. Statutory interest shall accrue from the date of this order. Should Respondent fail to make payment of the aforementioned costs and interest within thirty (30) days, Respondent shall be responsible for all additiorial costs and expenses, including reasonable attorney fees, incurred by the People in collecting the above-stated amount. The People may amend the amount of the judgment for additional costs and expenses by providing a motion and bill of costs to the Court.

1

4. Respondent SHALL pay restitution to his former clients as ordered by the Evidentiary Panel in the Texas discipline case before he applies for reinstatemen t.

THIS ORDER IS ENTERED THE 22ND DAY OF APRIL, 2010. THE EFFECTIVE DATE OF THE SUSPENSION IS THE 22ND DAY OF APRIL, 2010.

r . 17 o :

!/J/(>t<tL~l.-- i::-_ .. tu.~r)

WILLIAM R. LUCERO

PRESIDING DISCIPLINARY JUDGE

2

Respondent Steven Jay Rozan

2777 Allen Parkway, 10th Floor

Houston, TX 77019-2165 .

Via First Class Mail

Office of Attorney Regulation Counsel Nancy L. Cohen

1560 Broadway, Suite 1800 Denver, CO 80202

Via Hand Delivery

American Bar Association c/o Nadine Cignoni

Office of Attorney Regulation Counsel 1560 Broadway, Suite 1800

Denver, CO 80202

Via Hand Delivery

Board of Continuing Legal Education Karen Bradley

Assistant Executive Director 1560 Broadway, Suite 1820 Denver, CO 80202

Via Hand Delivery

Colorado Attorney Registration Elvia Mondragon

1560 Broadway, Suite 1810 Denver, CO 80202

Via Hand Delivery

Colorado Bar Association Charles Turner

Executive Director

1900 Grant Street, Suite 950 Denver, CO 80203-4309

Via First Class Mail

Colorado Supreme Court Susan Festag

101 West Colfax Avenue, Suite 800 Denver, CO 80202

Via Hand Delivery

IRS, Office of Professional Responsibility Attn: Kathy Gibbs

SE: OPR, 1111, Constitutional Ave., N.W. Washington, DC 20224

Via First Class Mail

Martindale Hubbell Law Directory Attn: Joe Rudy, Rating Consultant P.O. Box 31

New Providence, NJ 07974

Via First Class Mail

Metro Lawyer Referral Service

3000 South Jamaica Court, Suite 120 Aurora, CO 80014

Via First Class Mail

Supreme Court of the United States Perry Thompson

Admissions Office

1 First Street Northeast Washington, D.C. 20543

Via First Class Mail

United States Bankruptcy Court Brad Bolton

721 19th Street, Room 117 Denver, CO 80202-2508

Via First Class Mail

United States Court of Appeals for the Tenth Circuit

Byron White United States Courthouse 1823 Stout Street

Denver, CO 80257

Via First Class Mail

United States District Court, District of Colorado

Alfred A. Arraj U.S. Courthouse Mark Fredrickson

901 19th Street, Room A-lOS Denver, CO 80294-3589

Via First Class Mail

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