annual-report-2022-2023.pdf (2022)

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Board of Professional Responsibility

42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Board of Professional Responsibility
Organization and Composition

The Tennessee Supreme Court regulates and supervises the practice of law in Tennessee
pursuant to Tennessee Supreme Court Rule 9. The Court appoints twelve members to the Board of
Professional Responsibility (the Board) to effectuate Tenn. Sup. Ct. R. 9 and the Court’s disciplinary
enforcement.

The Board consists of nine (9) attorneys and three (3) public (non-attorney) members who serve
three-year terms and geographically represent the entire state. In 2022-2023, Board members
volunteered 564 hours and received no compensation for their service. Members of the Board include:

Jennifer S. Hagerman (Chair)
Floyd Flippin (Vice-Chair)
Richard Briggs (Lay Member)
Ginger Wilson Buchanan
Jimmy Dunn
Stacey B. Edmonson
Charles K. Grant
Dr. Carol Johnson-Dean (Lay Member)
Barbara Medley
Juanita Patton (Lay Member)
Jody Pickens
R. Culver Schmid

The Court appoints a Chief Disciplinary Counsel who reports to the Board. The Board also
employs attorneys as Disciplinary Counsel and support staff to assist with attorney registration;
consumer assistance; investigation and litigation. A staff directory is attached as Exhibit A.

District Committee Members

The Tennessee Supreme Court appoints attorneys to serve as district committee members from
each disciplinary district in the state. In 2022-2023, 185 attorneys assisted the Court and the Board as
district committee members reviewing Disciplinary Counsel’s recommendations on investigative files
and sitting on hearing panels conducting formal disciplinary charges. Of the 185 members, 139 reported
volunteering 2,423 hours in 2022-2023 for which they received no compensation for their services. A
roster of current district committee members is attached as Exhibit B.
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Tennessee Attorney Information
The Board of Professional Responsibility provides an easy-to-use online registration system
that allows lawyers to fulfill their annual registration requirements. Public registration information is
displayed on the Board’s website to allow the judiciary, lawyers and the public to access licensing,
registration and contact information about lawyers.

Active Attorneys by Disciplinary District: 23,934*

Disciplinary District 1: 1,073 Active TN attorneys
Disciplinary District 2: 2,696 Active TN attorneys
Disciplinary District 3: 1,614 Active TN attorneys
Disciplinary District 4: 1,406 Active TN attorneys
Disciplinary District 5: 6,069 Active TN attorneys
Disciplinary District 6: 2,585 Active TN attorneys
Disciplinary District 7: 502 Active TN attorneys
Disciplinary District 8: 285 Active TN attorneys
Disciplinary District 9: 3,476 Active TN attorneys
*4,228 Out of State Active TN attorneys

Active Attorney Statistics:

 Years Licensed: <5 yrs: 18% ● Age: 21-29 yrs: 6%
6-15 yrs: 27% 30-39 yrs: 22%
16-25 yrs: 23% 40-49 yrs: 24%
26-35 yrs: 15% 50-59 yrs: 21%
36-45 yrs: 11% 60-69 yrs: 16%
46+ yrs: 6% 70+ yrs: 11%

 Gender: Male: 62% ● In-state Attorneys: 81%
Female: 37% ● Out-of-state Attorneys: 19%
Unreported: 1%

2
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Inactive Attorneys

Pursuant to Tennessee Supreme Court Rule 9, Section 10.3, inactive attorneys include
attorneys serving as justice, judge or magistrate of a court of the United States of America or
who serve in any federal office in which the attorney is prohibited by federal law from engaging
in the practice of law; retired attorneys; attorneys on temporary duty with the armed forces;
faculty members of Tennessee law schools who do not practice law; and attorneys not engaged
in the practice of law in Tennessee. In 2022-2023, 5,964 attorneys on inactive status were
registered with the Board of Professional Responsibility.

 Non-disciplinary/Administrative Suspensions:
Pursuant to Supreme Court Rules, the Supreme Court suspends attorneys who fail to
pay their annual fee (Tenn. Sup. Ct. R. 9 § 10.6); fail to complete annual continuing legal
education requirements (Tenn. Sup. Ct. R. 21 § 7); fail to comply with Interest on Lawyers
Trust Account requirements (Tenn. Sup. Ct. R. 43 § 15); fail to pay the Tennessee professional
privilege tax (Tenn. Sup. Ct. R. 9 § 26); or default on student loans (Tenn. Sup. Ct. R. 9 § 37).
No attorney suspended pursuant to these Rules may resume practice until reinstated by Order
of the Supreme Court. Attorneys were administratively suspended during fiscal year 2022-
2023 as follows:

Non-payment of Annual Fee: 229
Continuing Legal Education non-compliance: 159
Interest on Lawyer’s Trust Accounts non-compliance: 97
Professional Privilege Tax non-compliance: 68
Default on a Student Loan: 0
Total: 553

3
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Assistance, Investigation and Prosecution

 Consumer Assistance Program (CAP)

Non-frivolous complaints against attorneys submitted by clients, lawyers, judges and the public
are referred to the Board’s Consumer Assistance Program (CAP) for assistance or opened and assigned
to Disciplinary Counsel for investigation. CAP answers questions, provides information, informally
mediates disputes, and refers matters to Disciplinary Counsel for investigation.

Caseload

Number of Cases Opened 2,291

Timeliness of Resolution

0 to 15 days 83.0%
16 to 30 days 9.2%
31 to 60 days 6.4%
61 or more days 1.3%

Actions Taken

Mediate 33.8 %
Advise 42.8%
Referrals 15.9%
Provide Information 7.5%

 Trust Account Overdraft Notifications

Pursuant to Tennessee Supreme Court Rule 9, Section 35.1(b), financial institutions report to
the Board whenever any properly payable instrument is presented against an attorney trust account
containing insufficient funds. After receiving notification of an overdraft, Board Staff request financial
information and explanation from the attorney.

Total Notifications: 78

Actions Taken

Referred to Investigations: 24
Resolved without Investigation: 42

4
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

 Investigation

Disciplinary Counsel investigate complaints alleging unethical conduct. After investigation,
Disciplinary Counsel recommend dismissal of the complaint if there is insufficient proof of a violation
of the Rules of Professional Conduct. If the investigated complaint reflects a violation of the Rules of
Professional Conduct, Disciplinary Counsel recommend diversion, private informal admonition,
private reprimand, public censure, or the filing of formal disciplinary charges. A district committee
member reviews and approves or disapproves Disciplinary Counsel’s recommendation for dismissal,
diversion, and private informal admonition. The Board of Professional Responsibility reviews and
approves or disapproves Disciplinary Counsel’s recommendation for private reprimand, public
censure, and the filing of formal disciplinary charges.

A. Nature of Complaints

Trust Violations Conflict of Interest Criminal Convictions
Relationship with 8% 4% 2%
Client or Court Fees
14% 7% Improper
Communications
Personal Behavior 6%
1%
Misrepresentation
Other or Fraud
1% 7%

Neglect or Failure to
Communicate
50%

5
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

B. Investigative Complaint Caseload

Complaints Received: 1,029
Complaints Pending at beginning of Fiscal Year: 516

Total Complaints: 1,545

C. Investigative Complaint Disposition:

Administrative Dismissals: 541
Investigative Dismissals: 445
Diversions: 60
Private Informal Admonitions: 21
Private Reprimands: 14
Informal Public Censures: 22
Transfer to Disability Inactive: 9
Transferred to Litigation: 92
Complainant Appeal: 27
Placed on Retired Status: 26
Other: 1 18

Total: 1,275

1
Abated by death; complaint withdrawn; duplicate file.
6
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

 Formal Disciplinary Proceedings:

After the Board of Professional Responsibility authorizes Disciplinary Counsel to file formal
disciplinary charges (i.e., a petition for discipline) against an attorney, the matter is assigned to three
district committee members who constitute a hearing panel. The Hearing Panel sets the disciplinary
proceeding for a hearing which is open to the public unless a protective order has been entered. The
Tennessee Rules of Evidence and Rules of Civil Procedure apply unless Tennessee Supreme Court
Rule 9 provides otherwise.

The Board of Professional Responsibility must prove an attorney’s ethical misconduct by a
preponderance of the evidence. Hearing Panels may recommend dismissal, public censure, suspension
or disbarment.

A. Caseload

Formal cases filed during Fiscal Year: 80
Formal cases pending at beginning of Fiscal Year: 81

Total formal proceedings: 161

Public hearings conducted in Fiscal Year: 36

B. Formal Disciplinary Proceedings Disposition:

Dismissals: 4
Public Censures: 5
Suspensions: 11
Permanent Disbarments: 8
Transfer to Disability Inactive: 18
Temporary Suspensions: 11
Retired: 1
Reinstatements: 7
Other 2: 6

Total: 71

2
Abated by death; voluntary non-suited; denied; withdrawn; nonserious crime.

7
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Resolution of Formal Disciplinary Proceedings

18

11 11
8 7
6
4 5
1

8
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

 Education and Information

The Board issues Formal Ethics Opinions and staff respond to informal ethics questions by
phone and internet. Disciplinary Counsel present continuing legal education seminars and workshops,
publish Board Notes, a bi-annual newsletter, and update the Board’s website with rule changes,
disciplinary decisions and news for attorneys, judges and the public.

A. Ethics Opinions

i. Informal Opinions

Ethics Counsel and Disciplinary Counsel responded to a total of 2,150 phone
and internet inquiries from attorneys seeking ethical guidance. 3

ii. Formal Opinions

2022-F-168: The Board of Professional Responsibility issued a Formal Ethics
Opinion regarding circumstances that establish a systematic and continuous
presence in Tennessee for the practice of law as in-house counsel. A lawyer who
resides and is domiciled outside of Tennessee, who is working remotely as full-
time, in-house counsel for an organization that has its principal place of business
in Tennessee (and offices in other states), who is admitted to the practice of law
only in a jurisdiction other than Tennessee, and who is not registered as in-house
counsel in Tennessee is not engaging in the unauthorized practice of law because
these circumstances alone do not establish a “systematic and continuous
presence in Tennessee for the practice of law” as in-house counsel unless the
lawyer is engaging in conduct that would evidence an indicia of a presence in
Tennessee for the practice of law.

B. Continuing Legal Education (CLE) Presentations:

Between July 1, 2022, and June 30, 2023, Disciplinary Counsel presented forty-three
(43) CLE seminars, attended by approximately 2,964 attorneys.

3
Tennessee attorneys may submit ethics inquiries to the Board by calling 615-361-7500, ext. 212, or via the Board’s website
at www.tbpr.org.

9
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

C. Board Notes:

In 2022-2023, the Board emailed both Fall and Spring issues of Board Notes, the
Board’s semi-annual newsletter to all attorneys and judges and published it on the Board’s
website.

D. Workshops

a. The Board of Professional Responsibility hosted its annual Ethics Workshop on November
4, 2022, with 773 attorneys attending both virtually and in person. This year’s Ethics
Workshop is scheduled for November 3, 2023.

b. The Board of Professional Responsibility has offered two trust account workshops in
2022/2023, with 360 attorneys attending both virtually and in person. The next trust account
workshop is scheduled for September 13, 2023.

E. Tennessee’s Proactive Management-Based Regulation (Voluntary Self-
Assessment)

Tennessee’s Proactive Management-Based Regulation (PMBR) program is an
interactive law office management self-assessment course. The ten self-assessments are
designed to mitigate risk, elevate competence, and enhance the quality of legal services
delivered to clients. The goal of the program is to prevent problems within a law firm before
they arise, enabling attorneys to spend more time on cases. Attorneys receive 3 Dual CLE
Credits after completion of the course. The ten self-assessments are as follows:

1. Developing Competent Practices
2. Communicating in an Effective, Timely, Professional Manner
3. Ensuring That Confidentiality Requirements Are Met
4. Avoiding Conflicts of Interest
5. Retaining and Managing Secure Files
6. Managing the Law Firm/Legal Entity and Staff
7. Charging Appropriate Fees and Making Appropriate Disbursements
8. Ensuring the Use of Reliable Trust Account Practices
9. Access To Justice and Client Development
10. Promoting Wellness
10
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Since the implementation of the course in August 2019, 1,151 Tennessee attorneys have
completed the self-assessment.

Access the Tennessee PMBR program by following this link: http://tbpr.prolearn.io.

11
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

Board of Professional Responsibility
Staff Directory
Name Title Extension
Doug Bergeron Disciplinary Counsel 247
Melissa Boyd Executive Assistant 204
Michael Brett Disciplinary Counsel 237
Julie Brown Administrative Payables Clerk 215
Andrew B. Campbell Disciplinary Counsel 246
Laura Chastain Ethics Counsel 212
Steve Christopher Deputy Chief Disciplinary Counsel - Investigations 203
Jesús Del Campo Legal Assistant - Litigation 249
Dana Dunn Assistant Director 209
Eric Fuller Disciplinary Counsel 243
Sandy Garrett Chief Disciplinary Counsel 211
Reynold Gaulden, Jr. Registration Assistant II 244
Elizabeth Gray Administrative Assistant-Registration/ Scanning 202
Kelly Heflin Legal Assistant - Investigations 242
McKenzie Hollars CAP Legal Assistant 255
Maureen Hughes Disciplinary Counsel 234
Katherine Jennings Executive Secretary 206
Molly Liens Registration Manager 220
Carol Marsh Receptionist 200
Jim W. Milam Disciplinary Counsel 245
Caroline Poore Disciplinary Counsel 235
Nicholas Price CAP Legal Assistant (Intake) 257
Tony Pros Network Administrator 205
Liz Radford Legal Assistant – Investigations and Litigation 238
Beverly Rooks Lead Legal Assistant – Investigations 233
Beverly Sharpe Director of Consumer Assistance Program 226
Pennye Sisk Paralegal 248
Eileen Burkhalter Smith Disciplinary Counsel 210
Candis Stigall Case Manager 229
Logan Thornton Support Technician 207
Suzie Thurber Administrative Receivables Clerk 241
Cheri Weaver CAP Paralegal 208
Lani White Registration Assistant II 227
Russ Willis Deputy Chief Disciplinary Counsel - Litigation 236
12
Exhibit A
42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023

District Committee Member Roster
District First Name Last Name District First Name Last Name District First Name Last Name
1 Dan E. Armstrong 4 Philip Duane Burnett 6 Tracy (Mr.) Moore
1 Jeremy D. Ball 4 Michael R. Giaimo 6 James Y. Ross, Sr.
1 Melissia Ball 4 Mary Beth Hagan 6 Raymond Runyon
1 Guy W. Blackwell 4 Moody Wesley Hall, IV 6 Michael L. Russell
1 Jeffrey A. Cobble 4 Trisha L. Henegar 6 M. Stuart Saylor
1 McKenna L. (Ms.) Cox 4 W. Garrett Honea 6 Liz Sitgreaves
1 Erwin (Lynn) Dougherty 4 Rachel M. Moses 6 Rodger D. Waynick
1 Andrew E. Farmer 4 Daniel Rader, IV 6 Beverly White
1 Jeffery S. Greene 4 Thomas S. Santel 6 Timothy Wills
1 Scott D. Hall 4 Ginger Bobo Shofner 6 Jake Wolaver
1 William B. Harper 4 Donna S. Simpson 7 Andy Anderson
1 Richard E. Ladd, Jr. 4 Megan K. Trott 7 Shaun Brown
1 William B. Marsh 4 Willie F. Wallace, III 7 Lisa Houston
1 Cecil Mills 5 Adam Barber 7 Robert A. Jowers
1 Polly A. Peterson 5 Keene W. Bartley 7 Lisa Miller
1 William O. Shults 5 Robert E. Boston 7 William J. Milam
1 Mark A. Skelton 5 Jad A. Duncan 7 (William) Josh Morrow
1 Jeffrey L. Stern 5 Johnny Ellis 7 Ryan K. Porter
2 Wm. Dale Amburn 5 Christopher B. Fowler 7 Vincent Seiler
2 Robyn J. Askew 5 Matthew Harris 7 Michelle Shirley
2 Maha (Ms.) Ayesh 5 William J. Haynes 7 Terica Smith
2 Heidi Barcus 5 Candi R. Henry 7 Neil Thompson
2 Amanda M. Busby 5 Adam Hill 7 Joe VanDyke
2 R. Scott Carpenter 5 Lucas Jerkins 8 Dean Dedmon
2 Loretta G. Cravens 5 Raymond Leathers 8 Rachele D. Gibson
2 Shannon (Ms.) Egle 5 Russell B. Morgan 8 Jeff Lay
2 Steve Erdely 5 Anthony (Tony) Orlandi 8 Julie W. Palmer
2 Matthew A. Grossman 5 Steven D. Parman 8 Amber Shaw
2 Lisa J. Hall 5 Barbara Perutelli 8 David A. Stowers
2 Josh Hedrick 5 Brant Phillips 8 Joseph E. Tubbs
2 Howard B. Jackson 5 Lee (Mr.) Pope 8 Vanedda Webb
2 Michael S Kelley 5 Raymond G. Prince 8 Allison S. Whitledge
2 Michael J. King 5 Daniel H. Puryear 9 Jeremy G. Alpert
2 Mary Elizabeth Maddox 5 Kristina A. Reliford 9 Taurus M. Bailey
2 Stephen A. Marcum 5 Peter C. Robison 9 William R. Bradley, Jr.
2 Chris McCarty 5 Christopher C. Sabis 9 S. Keenan Carter
2 Carl P. McDonald 5 (Denise) Billye Sanders 9 Margaret Chesney
2 Ben Mullins 5 Michael J. Sandler, Sr. 9 Kevin E. Childress
2 Marshall H. Peterson 5 Jennifer Lynne Sheppard 9 Brian Coleman
2 P. Edward Pratt 5 Lesa Skoney 9 David M. Cook
2 Wayne A. Ritchie, II 5 Jeffrey Spark 9 Anne B. Davis
2 Garrett P. Swartwood 5 M. Clark Spoden 9 Laura Deakins
2 Victoria B. Tillman 5 Taylor C. (Mr.) Sutherland 9 Nicole Grida
2 Hanson R. Tipton 5 David J. Tarpley 9 Greg Grisham
2 Brian Wanamaker 5 James Patrick Warfield 9 Jonathan C. Hancock
2 Shelly Wilson 5 Luther Wright, Jr. 9 Jennifer S. Harrison
3 Peter Alliman 6 Casey Ashworth 9 Rebecca Hinds
3 Ariel Anthony 6 Evan P. Baddour 9 Lauren Holloway
3 John H. (Cam) Cameron, Jr. 6 Richard Boehms 9 Earl W. Houston, II
3 John M. Carson III 6 Jessica N. Borne 9 Robbin (Ms.) Hutton
3 Larry Cash 6 Jim Catalano 9 Adam Johnson
3 Sam D. Elliott 6 Marci McClellan Curry 9 Tressa V. Johnson
3 Rachel Fisher-Queen 6 Thomas B. Dean 9 E. Patrick (Pat) Lancaster
3 John F. Kimball 6 Hilary Duke 9 Melisa Moore
3 Jeffrey Maddux 6 James L. Elkins 9 Zachary Moore
3 Jennifer A. Mitchell 6 Mary Katharine Evins 9 Will Perry
3 Lance W. Pope 6 Jennifer F. Franks 9 Steve Ragland
3 H. Chris Trew 6 David R. Grimmett 9 Marc Reisman
3 Carmen (Ms.) Ware 6 Robert H. Hassell, II 9 Holly J. Renken
3 Ronald D. Wells 6 Cameron R. Hoffmeyer 9 Zayid Saleem
3 Elizabeth L Williams 6 Patricia Holder 9 Emmett L. Whitwell
4 William "Howie" Acuff 6 Eric Larsen

13
Exhibit B

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