Board of Professional Responsibility of the Supreme Court of Tennessee

Annual_Report_-_2015_to_2016_FINAL.pdf (2015)

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Board of Professional Responsibility

35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

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 2015-2016, Board members
volunteered 770 hours and received no compensation for their service. Current members of the Board
include:

Michael King (Chair)
Joe Riley (Vice-Chair)
Kenneth Blackburn (Lay Member)
Michael Callaway
Margaret Craddock (Lay Member)
Wade Davies
Dana Dye
Odell Horton, Jr.
John Kitch
Joe Looney
Jon Lundberg (Lay Member)
Jimmie Miller

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 2015-2016, 176 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 176 members, 154 reported volunteering 2,226 hours in 2015-
2016 for which they received no compensation for their services. A roster of current district
committee members is attached as Exhibit B.
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

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 2,743

Timeliness of Resolution

0 to 15 days 30.5%
16 to 30 days 13.4%
31 to 60 days 19.5%
61 or more days 36.6%

Actions Taken

Mediate 31%
Advise 44%
Referrals 15%
Provide Information 10%

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.

2
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

A. Nature of Complaints

B. Investigative Complaint Caseload

Complaints Received: 1,086
Complaints Pending at beginning of Fiscal Year: 420

Total Complaints: 1,506

3
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

C. Investigative Complaint Disposition:

Administrative Dismissals: 293
Investigative Dismissals: 514
Diversions: 20
Private Informal Admonitions: 42
Private Reprimands: 14
Informal Public Censures: 35
Transfer to Disability Inactive: 27
Placed on Retired Status: 19
Other:1 11

Total: 975

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: 139
Formal cases pending at beginning of Fiscal Year: 102

Total formal proceedings: 241

Public hearings conducted in Fiscal Year: 75

1
Abated by death; complaint withdrawn; duplicate file.
4
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

B. Formal Disciplinary Proceedings Disposition:

Dismissals: 2
Public Censures: 8
Suspensions: 27
Disbarments: 19
Transfer to Disability Inactive: 20
Temporary Suspensions: 17
Retired: 10
Reinstatements: 11
Other2: 6

Total: 120

Non-disciplinary/Administrative Suspensions:

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

5
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

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 2014-2015 as follows:

Non-payment of Annual Fee: 152
Continuing Legal Education non-compliance: 91
Interest on Lawyer’s Trust Accounts non-compliance: 63
Professional Privilege Tax non-compliance: 54
Default on a Student Loan: 4
Total: 364

Current Number of Tennessee Attorneys

Active Attorneys: 22,442
Inactive Attorneys: 4,473
Pro hac vice Attorneys: 745

*Attorneys not included in this chart: Inactive attorneys (4,473); Pro hac vice attorneys (745).

6
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

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, 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

Disciplinary Counsel responded to 2,190 phone and internet inquiries from
attorneys seeking ethical guidance.3

ii. Formal Opinions

2015-F-159: A lawyer may ethically allow confidential client information to be
stored in "the cloud" if the lawyer takes reasonable care to assure that: (1) all
such information or materials remain confidential; and (2) reasonable safeguards
are employed to ensure that the information is protected from breaches, loss, and
other risks. Due to rapidly changing technology, the Board doesn’t attempt to
establish a standard of care, but instead offers guidance from other jurisdictions.

2015-F-160: Lawyers have ethical obligations to preserve client files and to
return them or permit access to them by the client if requested. There is no Rule
of Professional Conduct in Tennessee that requires a lawyer to retain client files
for more than five (5) years following termination of representation; however,
the type of representation and file contents may require a longer retention time.

2015-F-160(a): The Board of Professional Responsibility recommends a lawyer
retain client files for five (5) years after termination of representation; however,
this is merely a guideline and may be altered by client agreement or the type of
representation and contents of the file.

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.

7
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

B. Continuing Legal Education (CLE) Presentations:

Between July 1, 2016 and June 30, 2016, Disciplinary Counsel presented sixty-one (61)
CLE seminars, attended by approximately 3,058 attorneys.

C. Board Notes:

In 2015-2016, the Board emailed Board Notes, the Board’s semi-annual newsletter to
all attorneys and judges and published it on the Board’s website. The Board also
partnered with the Tennessee Lawyers Assistance Program in publishing a Special
Edition Board Notes focusing on addiction and mental health issues facing attorneys.

8
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

Board of Professional Responsibility
Staff Directory
Name Title Extension
Kristi Astafan Registration Manager 213
Kevin Balkwill Disciplinary Counsel 223
Eileen Burkhalter Smith Disciplinary Counsel 210
Patty Burton Assistant Manager 216
Melanie Cail Legal Assistant - Litigation 237
Peyton Carr Legal Assistant - Investigations 201
Steve Christopher Disciplinary Counsel 203
Sandy Garrett Chief Disciplinary Counsel 211
Reynold Gaulden, Jr. Registration Assistant II 244
Elizabeth Gray Administrative Scan Clerk 202
Candis Grooms Case Manager 229
Krisann Hodges Deputy Chief Disciplinary Counsel 214
Alan Johnson Disciplinary Counsel 207
Soumya Kademakki Lead Legal Assistant - Investigations 218
Jason Keeton Registration Assistant 1 227
Mary McKnight Paralegal 224
Carol Marsh Receptionist 200
Bill Moody Disciplinary Counsel 217
Tony Pros Network Administrator 230
Suzanne Saucier Lead Legal Assistant - Litigation 221
Zuzu Savage Administrative Receivables Clerk 219
Jessica Schraw CAP Intake Assistant 228
Beverly Sharpe Director of Consumer Assistance Program 226
Preston Shipp Disciplinary Counsel 222
Julie Turner Executive Assistant 209
Joy Vaughn Legal Assistant - Investigations 242
Cheri Weaver CAP Legal Assistant 208
Rita Webb Executive Secretary 206
Lani White Registration and Scan Clerk 234
Russ Willis Disciplinary Counsel 236
Beverly Yousefzadeh Administrative Payables Clerk 241

Exhibit A
9
35th Annual Discipline Report
Fiscal Year July 1, 2015 – June 30, 2016

District Committee Member Roster
District Last Name First Name District Last Name First Name District Last Name First Name
1 Canter Julie 4 Bobo S. Todd 6 Underwood Timothy
1 Chitwood Kent 4 Hagan, Jr. A. Ensley 6 Vandivort Kirk
1 Evans Curtis 4 Heckman Kyle B. 6 Walker Jeffery
1 Haynes, Jr. Olen 4 Henry Jeffrey 7 Finney Lowe
1 Herndon, IV Charles 4 O'Mara Thomas M. 7 Floyd Matthew A.
1 Johnstone Frank 4 Taylor John C. 7 Gray Bob
1 Pierce Nikki C. 4 Thompson Tommy 7 Hessing Paul
1 Smith M. Neil 4 Tucker Adam F. 7 Maddox, III Dwayne
1 Stone Danny 4 Wright, Jr. Phillip A. 7 Marshall Teresa
1 Terry Braxton 5 Aden Gareth S. 7 McLean, Jr. Hugh
1 Terry Steve 5 Bigelow Robert C. 7 Reynolds Jay
1 Woods Laura 5 Campbell Andrew 7 Scott Clint
2 Adams Oliver D. 5 Carpenter Brigid 7 Thorne Leanne A.
2 Alley Keith 5 Castellarin Michael M. 7 Townsend, Jr. Edwin C.
2 Barcus Heidi 5 Dowlen Zale 7 Wilkinson Guy T.
2 Berez Ellen 5 Gabbert, Jr. Craig V. 8 Bivens Phillip
2 Cole R. Deno 5 Grant Charles 8 Dedmon Dean
2 Coleman Greg 5 Harris Matthew 8 Flippin Floyd
2 Compher-Rice Sara E. 5 Kinslow Rhonda 8 Jenkins, Jr. William L.
2 Cone James C. 5 Kweller Stanley A. 8 Maness Tony
2 Couch Virginia 5 McGee Richard 8 McEwen Jennifer D.
2 Crutchfield Karen 5 McLemore C.K. 8 Taylor, IV Jasper
2 Draper David A. 5 Mendes Robert 8 Unger, Jr. Langdon
2 Dreiser John P. 5 Milam James W. 8 Washburn Jeffery
2 Dyer Alyson 5 Ney, Jr. Paul 9 Babaoglu Rehim
2 Ford Joe 5 O'Bryan Bill 9 Beard Craig
2 Gaby Gene P. 5 Perry Andrea P. 9 Bearman David
2 Hall Christopher 5 Potempa Matthew 9 Branch Thomas
2 Irvine, Jr. Kenneth 5 Raney Aaron 9 Campbell Karen M.
2 Johnson Russell 5 Sales Peter 9 Canale Stuart
2 King Michael J. 5 Shockley Gary 9 Cassidy, Jr. Tom
2 Krumm Brian K. 5 Shulman Rebekah 9 Click Rick
2 Morrison Eric J. 5 Simmons Janelle 9 Diggs Asia
2 O'Kane James 5 Sowell Alan M. 9 Elder Alex
2 O'Rear Carrie 5 Sweeney Matthew 9 Ferrante Jessica
2 Stackhouse Mary Ann 5 Todd Daniel 9 Floyd Amber
2 Stephens Mark 5 Welch Bernadette 9 Halmon Harriett
2 Ward Hugh B. 5 Wigger Gerald C. 9 Jones Les
2 Winters John 6 Bateman Robert 9 Jordan Trey
2 Woodfin Clint 6 Bates, III Douglas T. 9 Kellum Timothy
2 Young Broderick 6 Baugh, Jr. Joseph 9 Mangrum Gregory
3 Blevins Melissa 6 Boston Ben 9 Mathis Andre
3 Buchanan Ginger 6 Bryan Vanessa 9 McNabb Leland
3 Cannon Blair 6 Burlison Greg 9 Mullins Kimbrough
3 Cash Larry 6 Coffinberry Anita Lynn 9 Patton Michael C.
3 Crump Stephen D. 6 Durham Ryan P. 9 Podesta Eugene
3 Easterly Alan 6 Fahey, II Michael 9 Quinn Arthur
3 Greer Stephen 6 Flynn Patrick 9 Reisman Marc
3 Hill, Sr. Cameron S. 6 Free Mark 9 Savory Russell
3 Hill Rosemarie 6 Garner Samuel 9 Sink Jennifer
3 Jacobs Philip 6 Helper Kim 9 Tauer Michael
3 Jenne Michael 6 Henry, Jr. Joseph 9 Turner Kamilah
3 Killian Bill 6 Holt Charles 9 Vincent Scott
3 Smith W. Holt 6 Jack Claudia 9 Waddell Amanda
3 Swafford Lynne 6 Kozlowski David 9 Walsh John Kevin
3 Weiss Tyler 6 Plant Paul 9 Wellford Buckner
3 Willhite Bridget 6 Schell Edward 9 Wharton Andre
4 Aaron Doug 6 Smith Jerry V.
4 Bean Melanie 6 Spitzer Michael

Exhibit B
10

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