IN THE SUPREME COURT OF FLORIDA (Before a Referee)

THE FLORIDA BAR, Complainant,

v.

Supreme Court Case No. SC11-521 The Florida Bar File Nos. 2011-50,539(17F) 2011-50,776(17F) and 2011-51,226 (17F)

NICHOLAS THEODORE STEFFENS, Respondent.

REPORT OF THE REFEREE ACCEPTING CONSENT JUDGMENT I. SUMMARY OF PROCEEDINGS Pursuant to Court Order dated June 29, 2011, the undersigned was duly appointed as referee to conduct disciplinary proceedings herein according to Rule 3-7.6, Rules of Discipline. Accordingly, the following proceedings occurred: On March 15, 2011, The Florida Bar filed its Petition for ontempt and Order to Show Cause in these proceedings. All of the aforementioned pleadings,

responses thereto, and this Report constitute the record in this case and are forwarded to the Supreme Court of Florida.

II.

FINDINGS OF FACT A. Jurisdictional Statement. Respondent is, and at all times mentioned

during this investigation was, a member of The Florida Bar, subject to the jurisdiction and disciplinary rules of the Supreme Court of Florida. B. Narrative Summary of Case. As to Florida Bar File No. 2011-

50,329(17F), the respondent wrote a letter to opposing counsel agreeing to the withdrawal of a Bar complaint by his client, if a settlement was reached. A Bar grievance was filed, as a result. The respondent failed to respond to The Florida Bar inquiries concerning his improper letter. As to Florida Bar File No. 201150,776(17F), the respondent represented Stewart Huffaker concerning a mortgage audit matter and received a fee of $5,000.00. The respondent did not perform any services and was discharged. Despite multiple requests, the respondent failed to return the fee and a Bar grievance was filed. The respondent failed to respond to Bar inquiries concerning his lack of diligence and failure to return a fee. As to Florida Bar File No. 2011-51,226(17F)OSC, as indicated in the aforementioned cases, the respondent failed to respond to official inquiries by bar counsel. III. RECOMMENDATIONS AS TO GUILT I recommend that Respondent be found guilty of violating the following Rules Regulating The Florida Bar: R. Regulating Fla. Bar 4-1.3 (A lawyer shall

act with reasonable diligence and promptness in representing a client), 4-1.4(a)(3) (A lawyer shall keep the client reasonably informed about the status of the matter); 4-1.4(a)(4) (A lawyer shall comply with reasonable requests for information); 41.5 (a) (An attorney shall not entered into an agreement for, charge, or collect an illegal, prohibited, or clearly excessive fee ...); 4-8.4(d) (A lawyer shall not engage in conduct in connection with the practice of law that is prejudicial to the administration of justice ...); and 4-8.4(g) (A lawyer shall not fail to respond, in writing, to any official inquiry by bar counsel or a disciplinary agency, as defined elsewhere in these rules, when bar counsel or the agency is conducting an investigation into the lawyer's conduct.). IV. STANDARDS FOR IMPOSING LAWYER SANCTIONS I considered the following Standards prior to recommending discipline: 4.42 Suspension is appropriate when:(a) a lawyer knowingly fails to perform services for a client and causes injury or potential injury to a client; or (b) a lawyer engages in a pattern of neglect and causes injury or potential injury to a client. 7.2 Suspension is appropriate when a lawyer knowingly engages in conduct that is a violation of a duty owed as a professional and causes injury or potential injury to a client, the public, or the legal system.

V.

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

neglected a matter and failed to respond to the Bar. Maier was suspended for 60 days. Maier, however, had a disciplinary history and Mr. Steffens does not. A 10day suspension and the other requirements is appropriate. VI. RECOMMENDATION AS TO DISCIPLINARY MEASURES TO BE APPLIED I recommend that Respondent be found guilty of misconduct justifying disciplinary measures, and that he be disciplined by: A. B. 10-day suspension In Florida Bar File No. 2011-50,776(17F), restitution in the

amount of $5,000 to Steward Huffaker within 60 days of execution of this consent judgment, that being not later than November 7, 2011. C. proceedings. D. Respondent shall be referred to Florida Lawyers Assistance, Payment of The Florida Bar's disciplinary costs in these

Inc. (FLA, Inc.) and comply with the following requirements: Within 30 days of his acceptance of this consent judgment, the respondent shall make an appointment for an evaluation to be

conducted by FLA, Inc. The respondent shall be evaluated by FLA, Inc. and shall thereafter follow any and all recommendations that FLA, Inc. deems appropriate. Within 10 days of FLA, Inc. notifying the respondent of its recommendations, the respondent shall notify The Florida Bar of same. If a rehabilitation contract is recommended by FLA, Inc., the respondent shall enter into such contract for a term to be determined by FLA, Inc. and shall be subject to any and all conditions recommended by FLA, Inc. The respondent shall waive confidentiality with FLA, Inc. so that FLA, Inc. is authorized, and indeed required, to notify The Florida Bar of the respondent's evaluation and progress during the terms of any treatment recommended by FLA, Inc. Based on this waiver of confidentiality between FLA, Inc. and The Florida Bar, any breach of the respondent's rehabilitation contract with FLA, Inc. regardless of how substantial or insubstantial such breach may be, shall be immediately reported to The Florida Bar. All of the foregoing shall be at the respondent's expense. VII. PERSONAL HISTORY AND PAST DISCIPLINARY RECORD Prior to recommending discipline pursuant to Rule 3-7.6(m)(l)(D), considered the following personal history of Respondent, to wit: I

Age: 32

Date admitted to the Bar: April 21, 2005 Prior Discipline: None VIII. STATEMENT OF COSTS AND MANNER IN WHICH COSTS SHOULD BE TAXED I find the following costs were reasonably incurred by The Florida Bar: Administrative Costs Court Reporters Fees Bar Counsel Travel Investigative Costs and Expenses Photocopying Costs TOTAL $ 1,250.00 $75.00 $-0$-0$-0$1,325.00

It is recommended that such costs be charged to Respondent and that interest at the statutory rate shall accrue and that should such cost judgment not be satisfied within thirty days of said judgment becoming final, Respondent shall be deemed delinquent and ineligible to practice law, pursuant to R. Regulating Fla. Bar 1-3.6, unless otherwise deferred by the Board of Governors of The Florida Bar. Dated this day of , 2011.

SIGNED & DATED

SEP 1 9 20tt JUDGE MARNI A. BRYSON Honorable Marni Anne Bryson Referee

CERTIFICATE OF SERVICE I HEREBY CERTIFY that the original of the foregoing Report of Referee has been mailed to The Honorable Thomas D. Hall, Clerk, Supreme Court of Florida, Supreme Court Building, 500 South Duval Street, Tallahassee, Florida 32399-1927, and that copies were furnished by regular U.S. Mail to Respondent, Nicholas Theodore Steffens, whose record bar address is Nicholas T. Steffens & Associates, 5571 N. University Dr., Ste .101, Coral Springs, FL 33067-4653; Kenneth Lawrence Marvin, Staff Counsel, The Florida Bar, 651 E. Jefferson Street, Tallahassee, Florida 32399-2300 and Randi Klayman Lazarus, Bar Counsel, The Florida Bar, Lake Shore Plaza II, 1300 Concord Terrace, Suite 130, Sunrise, Florida 33323 on this day of . 20 .

SRJNED & DATED

SEP 1 9 2011
JUDGE MARNI A. BRYSQN Honorable Marni Anne Bryson

IN THE SUPREME COURT OF FLORIDA (Before a Referee) THE FLORIDA BAR, Complainant, v. NICHOLAS THEODORE STEFFENS, Respondent. CONDITIONAL GUILTY PLEA FOR CONSENT JUDGMENT COMES NOW, the undersigned respondent, Nicholas Theodore Steffens, and files this Conditional Guilty Plea pursuant to R. Regulating Fla. Bar 3-7.9. 1. The respondent is, and at all times mentioned herein was, a member of Supreme Court Case No. SCI 1-521 The Florida Bar File Nos. 2011-50,329(17F), 2011-50,776(17F) and 2011-51,226(17F)OSC

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

Bar on April 21,2005. 3. The respondent is currently the subject of a contempt action which has

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

\\

4.

The respondent also is currently the subject of two Florida Bar

disciplinary matters which have been assigned The Florida Bar File Nos. 201150,329(17F) and 2011-50,776(17F), the underlying grievances in the contempt action. The respondent waives the right to a probable cause hearing before a grievance committee and stipulates to findings of probable cause in reference to these matters. The respondent also agrees that the referee assigned in SCI 1-521 may adjudicate these matters. 5. The respondent is acting freely and voluntarily in this matter, and

tenders this Plea without fear or threat of coercion. Respondent is not represented in this matter. 6. follows: A. B. 10-day suspension In Florida Bar File No. 2011-50,776(17F), restitution in the The disciplinary measures to be imposed upon the respondent are as

amount of $5,000 to Steward Huffaker within 60 days of execution of this consent judgment. C. proceedings. D. Respondent shall be referred to Florida Lawyers Assistance, Payment of The Florida Bar's disciplinary costs in these

Inc. (FLA, Inc.) and comply with the following requirements:

Within 30 days of his acceptance of this consent judgment, the respondent shall make an appointment for an evaluation to be conducted by FLA, Inc. The respondent shall be evaluated by FLA, Inc. and shall thereafter follow any and all recommendations that FLA, Inc. deems appropriate. Within 10 days of FLA, Inc. notifying the respondent of its recommendations, the respondent shall notify The Florida Bar of same. If a rehabilitation contract is recommended by FLA, Inc., the respondent shall enter into such contract for a term to be determined by FLA, Inc. and shall be subject to any and all conditions recommended by FLA, Inc. The respondent shall waive confidentiality with FLA, Inc. so that FLA, Inc. is authorized, and indeed required, to notify The Florida Bar of the respondent's evaluation and progress during the terms of any treatment recommended by FLA, Inc. Based on this waiver of confidentiality between FLA, Inc. and The Florida Bar, any breach of the respondent's rehabilitation contract with FLA, Inc. regardless of how substantial or insubstantial such breach may be, shall be immediately reported to The Florida Bar. All of the foregoing shall be at the respondent's expense.

7.

The following allegations and rules provide the basis for respondent's

guilty plea and for the discipline to be imposed in this matter: As to Florida Bar File No. 2011-50,329(17F) 8. The respondent wrote a letter to opposing counsel agreeing to the

withdrawal of a bar complaint by his client, if a settlement was reached. A Bar grievance was filed, as a result. 9. The respondent failed to respond to The Florida Bar inquiries

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

audit matter and received a fee of $5,000.00. 11. 12. The respondent did not perform any services and was discharged. Despite multiple requests, the respondent failed to return the fee and a

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

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

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

reasonable requests for information); 4-1.5(A) (An attorney shall not entered into an agreement for, charge, or collect an illegal, prohibited, or clearly excessive fee ...); and 4-8.4(d) (A lawyer shall not engage in conduct in connection with the practice of law that is prejudicial to the administration of justice ...); and 4-8.4(g) (A lawyer shall not fail to respond, in writing, to any official inquiry by bar counsel or a disciplinary agency, as defined elsewhere in these rules, when bar counsel or the agency is conducting an investigation into the lawyers conduct.) 15. In mitigation, the respondent would state that: A. Due to economic strain resulting from his spouse's loss of

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

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

willingness to make restitution to Mr. Huffaker is one way of showing that he is sorry for his lack of diligence. 16. The Florida Bar has approved this proposed plea in the manner

required by Rule 3-7.9. 17. If this plea is not finally approved by the referee and the Supreme

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

18.

If this plea is approved, then the respondent agrees to pay all

reasonable costs associated with this case pursuant to R. Regulating Fla. Bar 37.6(q) in the amount of $1,325.00. These costs are due within 30 days of the court order. The respondent agrees that if the costs are not paid within 30 days of this court's order becoming final, the respondent shall pay interest on any unpaid costs at the statutory rate. The respondent further agrees not to attempt to discharge the obligation for payment of the Bar's costs in any future proceedings, including but not limited to, a petition for bankruptcy. The respondent shall be deemed

delinquent and ineligible to practice law pursuant to R. Regulating Fla. Bar 1-3.6 if the cost judgment is not satisfied within 30 days of the final court order, unless deferred by the Board of Governors of The Florida Bar. 19. The respondent acknowledges the obligation to pay the costs of this

proceeding (and any agreed restitution) and that payment is evidence of strict compliance with the conditions of any disciplinary order or agreement, and is also evidence of good faith and fiscal responsibility. The respondent understands that failure to pay the costs of this proceeding or restitution will reflect adversely on any reinstatement proceedings or any other bar disciplinary matter in which the respondent is involved. In the event the person to whom restitution is owed cannot be located after a diligent search, respondent shall execute an affidavit of diligent search and provide same to The Florida Bar and shall pay the full amount of the

restitution to the Clients' Security Fund of The Florida Bar within 30 days of the date of the affidavit of diligent search. 20. This Conditional Guilty Plea for Consent Judgment fully complies

with all requirements of The Rules Regulating The Florida Bar. Dated this 7 day of Sg|p"P^m ^er
?

20|/_-

Nicholas Theodore Steffens Nicholas T. Steffens & Associates 5571 N. University Dr., Ste. 101 Coral Springs, FL 33067-4653 (954) 323-8956 Florida Bar ID No. 10873 Dated this
day of

,20/A

Randi Klayman Lazarus, Bar Counsel The Florida Bar Lake Shore Plaza II 1300 Concord Terrace, Ste. 130 Sunrise, Florida 33323 (954) 835-0233 Florida Bar ID No. 360929