Board of Professional Responsibility of the Supreme Court of Tennessee

annual-report-2022-2023.pdf (2024)

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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:
6-15 yrs:
16-25 yrs:
26-35 yrs:
36-45 yrs:
46+ yrs:

18%
27%
23%
15%
11%
6%

●

Age:

21-29 yrs:
30-39 yrs:
40-49 yrs:
50-59 yrs:
60-69 yrs:
70+ yrs:

6%
22%
24%
21%
16%
11%

Gender:

Male:
Female:
Unreported:

62%
37%
1%

●

In-state Attorneys:
Out-of-state Attorneys:

81%
19%

●

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 20222023 as follows:

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

3

229
159
97
68
0
553

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
16 to 30 days
31 to 60 days
61 or more days

83.0%
9.2%
6.4%
1.3%

Mediate
Advise
Referrals
Provide Information

33.8 %
42.8%
15.9%
7.5%

Actions Taken

 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:
Resolved without Investigation:
4

24
42

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

Relationship with
Client or Court
14%

Trust Violations
8%

Conflict of Interest
4%

Personal Behavior
1%

Criminal Convictions
2%
Fees
7%
Improper
Communications
6%
Misrepresentation
or Fraud
7%

Other
1%

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:
Complaints Pending at beginning of Fiscal Year:

1,029
516

Total Complaints:

1,545

C.

Investigative Complaint Disposition:
Administrative Dismissals:
Investigative Dismissals:
Diversions:
Private Informal Admonitions:
Private Reprimands:
Informal Public Censures:
Transfer to Disability Inactive:
Transferred to Litigation:
Complainant Appeal:
Placed on Retired Status:
Other: 1
Total:

1

Abated by death; complaint withdrawn; duplicate file.

541
445
60
21
14
22
9
92
27
26
18
1,275

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.

B.

2

Caseload
Formal cases filed during Fiscal Year:
Formal cases pending at beginning of Fiscal Year:

80
81

Total formal proceedings:

161

Public hearings conducted in Fiscal Year:

36

Formal Disciplinary Proceedings Disposition:
Dismissals:
Public Censures:
Suspensions:
Permanent Disbarments:
Transfer to Disability Inactive:
Temporary Suspensions:
Retired:
Reinstatements:
Other 2:

4
5
11
8
18
11
1
7
6

Total:

71

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
4

7

5

1

8

6

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 fulltime, 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
Assessment)

Management-Based

Regulation

(Voluntary

Self-

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
Doug Bergeron
Melissa Boyd
Michael Brett
Julie Brown
Andrew B. Campbell
Laura Chastain
Steve Christopher
Jesús Del Campo
Dana Dunn
Eric Fuller
Sandy Garrett
Reynold Gaulden, Jr.
Elizabeth Gray
Kelly Heflin
McKenzie Hollars
Maureen Hughes
Katherine Jennings
Molly Liens
Carol Marsh
Jim W. Milam
Caroline Poore
Nicholas Price
Tony Pros
Liz Radford
Beverly Rooks
Beverly Sharpe
Pennye Sisk
Eileen Burkhalter Smith
Candis Stigall
Logan Thornton
Suzie Thurber
Cheri Weaver
Lani White
Russ Willis

Title
Disciplinary Counsel
Executive Assistant
Disciplinary Counsel
Administrative Payables Clerk
Disciplinary Counsel
Ethics Counsel

Deputy Chief Disciplinary Counsel - Investigations

Legal Assistant - Litigation
Assistant Director
Disciplinary Counsel
Chief Disciplinary Counsel
Registration Assistant II

Administrative Assistant-Registration/ Scanning

Legal Assistant - Investigations
CAP Legal Assistant
Disciplinary Counsel
Executive Secretary
Registration Manager
Receptionist
Disciplinary Counsel
Disciplinary Counsel
CAP Legal Assistant (Intake)
Network Administrator
Legal Assistant – Investigations and Litigation
Lead Legal Assistant – Investigations
Director of Consumer Assistance Program
Paralegal
Disciplinary Counsel
Case Manager
Support Technician
Administrative Receivables Clerk
CAP Paralegal
Registration Assistant II
Deputy Chief Disciplinary Counsel - Litigation
12

Extension
247
204
237
215
246
212
203
249
209
243
211
244
202
242
255
234
206
220
200
245
235
257
205
238
233
226
248
210
229
207
241
208
227
236

Exhibit A

42nd Annual Discipline Report
Fiscal Year July 1, 2022 – June 30, 2023
District Committee Member Roster
District

1

First Name
Dan E.
Jeremy D.
Melissia
Guy W.

Last Name
Armstrong
Ball
Ball
Blackwell

1

Jeffrey A.

Cobble

1

McKenna L. (Ms.) Cox

1
1
1

1

District
4

First Name
Philip Duane

4

Michael R.

Last Name
Burnett
Giaimo

4

Mary Beth

Hagan

Moody Wesley

Hall, IV

6

Trisha L.

Henegar

6

4

W. Garrett

Honea

4

Rachel M.

Moses

5

Daniel
Thomas S.
Ginger Bobo
Donna S.
Megan K.
Willie F.
Adam
Keene W.
Robert E.
Jad A.

5

Johnny

5

Christopher B.
Matthew
William J.
Candi R.
Adam
Lucas
Raymond
Russell B.

Rader, IV
Santel
Shofner
Simpson
Trott
Wallace, III
Barber
Bartley
Boston
Duncan
Ellis
Fowler
Harris
Haynes
Henry
Hill
Jerkins
Leathers
Morgan

5

Anthony (Tony)

Orlandi

5

Steven D.
Barbara
Brant

5

Lee (Mr.)

Dougherty

4

1

Farmer
Greene
Hall
Harper
Ladd, Jr.
Marsh

1

Cecil

Mills

5

1

Polly A.

Peterson

5

1

William O.

Shults

Mark A.
Jeffrey L.
Wm. Dale
Robyn J.

2

Lisa J.
Josh

Skelton
Stern
Amburn
Askew
Ayesh
Barcus
Busby
Carpenter
Cravens
Egle
Erdely
Grossman
Hall
Hedrick

5

2

Howard B.

Jackson

1
1
1

1
1
2
2
2

Maha (Ms.)

2

Heidi
Amanda M.
R. Scott
Loretta G.

2

Shannon (Ms.)

2
2
2

2

Steve

6
6

4

Erwin (Lynn)

1

6

4

Andrew E.
Jeffery S.
Scott D.
William B.
Richard E.
William B.

1

District

4
4
4
4
4

5
5
5
5
5
5
5

First Name
Tracy (Mr.)
James Y.
Raymond

Last Name
Moore
Ross, Sr.
Runyon

Michael L.

Russell

6

M. Stuart
Liz

Saylor
Sitgreaves

6

Rodger D.

Waynick

6

Beverly

White

6

Timothy

Wills

Jake
Andy
Shaun
Lisa
Robert A.
Lisa
William J.
(William) Josh

Wolaver
Anderson
Brown
Houston
Jowers
Miller
Milam
Morrow

Ryan K.

Porter

7

Vincent
Michelle
Terica
Neil
Joe

8

Dean

Seiler
Shirley
Smith
Thompson
VanDyke
Dedmon

Rachele D.

Gibson

6
7
7
7
7
7
7
7
7
7
7
7
7

8
8

Jeff

Lay

8

Julie W.

Palmer

8
9

Amber
David A.
Joseph E.
Vanedda
Allison S.

Shaw
Stowers
Tubbs
Webb
Whitledge

Michael S

Kelley

King
Maddox
Marcum

5

Raymond G.
Daniel H.

Jeremy G.

Alpert

5

Kristina A.

Reliford

9

Taurus M.

Bailey

2

Michael J.
Mary Elizabeth
Stephen A.

Parman
Perutelli
Phillips
Pope
Prince
Puryear

9

William R.

Bradley, Jr.

2

Chris

McCarty

Carter

2

McDonald
Mullins
Peterson

9

S. Keenan

Carl P.
Ben
Marshall H.

5

2

P. Edward

Pratt

Margaret
Kevin E.
Brian
David M.
Anne B.
Laura
Nicole
Greg
Jonathan C.

Chesney
Childress
Coleman
Cook
Davis
Deakins
Grida
Grisham
Hancock

Jennifer S.

Harrison

6

Peter C.
Christopher C.
(Denise) Billye
Michael J.
Jennifer Lynne
Lesa
Jeffrey
M. Clark
Taylor C. (Mr.)
David J.
James Patrick
Luther
Casey
Evan P.

6

Richard

6

Jessica N.

2
2

2
2
2

Matthew A.

5
5

5

8
8
8
8

2

Wayne A.

Ritchie, II

5

2

Garrett P.

Swartwood

Tillman
Tipton
Wanamaker
Wilson
Alliman
Anthony
Cameron, Jr.
Carson III
Cash

5

3

Victoria B.
Hanson R.
Brian
Shelly
Peter
Ariel
John H. (Cam)
John M.
Larry

5

6

Jim

Robison
Sabis
Sanders
Sandler, Sr.
Sheppard
Skoney
Spark
Spoden
Sutherland
Tarpley
Warfield
Wright, Jr.
Ashworth
Baddour
Boehms
Borne
Catalano

3

Sam D.

Elliott

Marci McClellan

Curry

Rachel
John F.
Jeffrey

Fisher-Queen
Kimball
Maddux

6

9

6

9

2
2

2
2
2
2
3
3
3
3

3
3
3
3

Jennifer A.

Mitchell

3

Lance W.
H. Chris
Carmen (Ms.)
Ronald D.

Pope
Trew
Ware
Wells

3

Elizabeth L

Williams

4

William "Howie"

Acuff

3
3
3

5
5
5
5
5

5
5
5

6

Thomas B.

Dean

6

Hilary

Duke

6

James L.

Elkins

6

Mary Katharine
Jennifer F.

Evins
Franks

6

6

David R.

Grimmett

6

Robert H.

Hassell, II

6

Cameron R.

Hoffmeyer

Patricia
Eric

Holder
Larsen

6
6

13

9
9
9
9
9
9
9
9
9
9
9
9
9
9
9

9
9
9
9
9
9
9
9

Rebecca
Lauren
Earl W.

Hinds
Holloway
Houston, II
Hutton
Robbin (Ms.)
Adam
Johnson
Tressa V.
Johnson
E. Patrick (Pat) Lancaster
Melisa
Moore
Zachary
Moore
Will
Perry
Steve
Ragland
Marc
Reisman
Holly J.
Renken
Zayid
Saleem
Emmett L.
Whitwell

Exhibit B

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