annualreport24th.pdf (2000)
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TWENTY-FOURTH ANNUAL REPORT
November 1, 1999 thru October 31, 2000
A performance audit of the activities of the Board of Professional Responsibility was released in May 2000 by the
Comptroller of The Treasury, Division of State Audit. Eighteen issues or objectives were identified by the Supreme
Court for audit. The audit report concluded that the operations of the Board...are efficient, effective and are achieving
the results desired by the Tennessee Supreme Court. In 1976, the Court designated its Board to assist in supervising the
ethical conduct of attorneys. Since then, the program has broadened to include other facets: published ethics opinions, an
ethics hotline, ethics seminars, an attorney trust account overdraft notification program and professional enhancement
instruction. The program has helped assure a high level of ethical conduct by Tennessee attorneys.
Tennessee attorneys have contributed $16.5 million in annual Court assessments to finance the program, with no
contributions from other sources. In 2000, 15,242 attorneys paid the annual registration fee, providing revenue of
$1,371,780. Additional revenues of $95,505 have been received from interest, reimbursement of costs of disciplinary
proceedings and prior fees and penalties, providing total Board revenue in 2000 of $1,467,285. Expenditures for 2000
arepr ojec t
edt obe$1, 475,300.Th eBoa rdalsoc ollecteda ndr emitt
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Lawyer Assistance Program; and an additional $144,420, totaling $1.5 4mi li
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for Client Protection.
The Board has received 28,977 complaints during the past twenty-four years, resulting in 124 disbarments, 307
suspensions, 329 public censures and 2,172 private reprimands or admonitions. There were 1,499 files opened during the
past year. This is a decrease of 0.33% over the same period last year when 1,504 files were opened. The nature of the
files created and areas from which they arose during the past two years are shown on the reverse of this page.
The ethics opinion service, implemented in 1980 as a proactive program to prevent ethical misconduct, has resulted in
152 formal ethics opinions and 731 advisory opinions. Disciplinary Counsel have responded to 35,501 hotline phone
inquiries from attorneys seeking ethical guidance, including 3,632 inquiries during the past year. Disciplinary Counsel
also participated in 42 bar sponsored ethics seminars this year attended by approximately 2,816 attorneys.
Attorneys are continuing to become more proficient in the appropriate maintenance of trust accounts, as evidenced by a
70.8% decline in overdraft notices from 288 in 1995 to 84 in 2000. The overdraft notice program was implemented in
December 1994, requiring trust accounts to be maintained in financial institutions which agree to report overdrafts to the
Board. More than 300 banks are participating in the program.
The practice and professionalism enhancement program was implemented in 1997. One hundred sixty-four attorneys
have completed the program as an alternative to discipline (diversion), or in connection with discipline concurrently
imposed.
Four hundred sixty-five attorneys have been designated by the Court to implement the discipline program by serving as
Board members or Hearing Committee members. The Board is also comprised of public members for an enhanced
perspective of the professional responsibilities of the legal profession.
REGISTRATION INFORMATIONm DISCIPLINARY INFORMATIONm
General Active Exempt Suspended Total DISCIPLINARY Number of Public Private Private Disability
Populationj Attorneys Attorneys Attorneysk Attorneys DISTRICTSl Complaints Disbarments Suspensions Censures Reprimands Admonitions Inactive
1999 2000 1999 2000 1999 2000 1999 2000 1999 2000 1999 2000 1999 2000 1999 2000 1999 2000 1999 2000 1999 2000
705,511 834 842 67 72 42 44 943 958 I 87 108 0 1 0 1 2 2 5 6 6 5 1 1
II
357,667 413 418 38 38 18 19 469 475 Excluding Knox Co. 58 67 0 0 2 1 0 0 0 0 7 2 0 0
II
376,039 1,493 1,510 129 120 56 63 1,678 1,693 Knox County 122 147 0 0 4 1 0 1 3 0 6 12 1 1
III
282,185 237 245 20 19 4 4 261 268 Excluding Hamilton Co. 30 44 0 0 0 0 0 0 0 1 1 1 0 0
III
294,720 1,017 1,010 74 83 35 35 1,126 1,128 Hamilton County 100 83 0 0 0 0 1 1 1 1 5 3 0 0
736,012 844 856 78 85 32 33 954 974 IV 123 115 0 0 1 0 0 2 9 2 2 5 0 0
V
530,050 3,437 3,443 277 295 153 176 3,867 3,914 Davidson County 282 265 0 3 5 4 2 5 2 4 8 14 0 3
745,543 1,069 1,129 98 109 51 55 1,218 1,293 VI 143 126 0 0 1 4 5 3 2 2 6 12 0 0
318,655 403 412 40 38 18 17 461 467 VII 70 58 0 1 0 0 0 1 0 1 1 2 0 0
264,153 241 238 27 25 8 11 276 274 VIII 26 29 0 0 0 1 1 2 0 0 3 2 0 0
IX
873,000 2,927 2,953 259 271 170 194 3,356 3,418 Shelby County 450 434 0 5 3 2 6 7 12 6 17 19 2 1
2,304 2,429 677 703 527 573 3,508 3,705 Out of State 13 23 0 1 0 1 0 0 0 0 1 0 0 0
5,483,535 15,219 15,485 1,784 1,858 1,114 1,224 18,117 18,567 --- TOTALS --- 1,504 1,499 0 11 16 15 17 24 34 23 63 77 4 6
NOTES: NATURE OF COMPLAINTS: 1999 2000
jU.S. Bureau of the Census, 1999 estimated County Population for Tennessee Counties. TRUST VIOLATIONS:
Recordkeeping, Embezzlement, Conversion, Commingling 90 97
kThis total includes suspensions for: non-payment of fee (587), non-compliance with
CLE (181), disciplinary actions (156) and multiple suspensions (300). CONFLICT OF INTEREST:
Personal, As Public Official, Appearance of Impropriety,
75 60
lThe Disciplinary Districts contain the following counties pursuant to Rule 9(2): Business with Clients, Multiple Representation
District I - Johnson, Carter, Cocke, Greene, Hancock, Grainger, Jefferson, NEGLECT:
Sullivan, Washington, Unicoi, Hawkins, Claiborne, Hamblen and Sevier Counties. Preparation, Failure to Communicate, File, Appear or Perform 589 630
District II - Campbell, Anderson, Roane, Blount, Morgan, Union, Knox, MISREPRESENTATION OR FRAUD:
Loudon and Scott Counties. False Documents, Attestation, Statements, Failure to Clarify 99 106
District III - Polk, Hamilton, Sequatchie, Bledsoe, Meigs, Monroe, Bradley, RELATIONSHIP WITH CLIENT:
Marion, Grundy, Rhea and McMinn Counties. Limiting Liability, Discussing Confidence, Improper Withdrawal,
Not Releasing Documents, Extortion, Harassment, Failure to 454 375
District IV - White, Van Buren, Pickett, Putnam, Overton, Clay, Franklin, Protect Client's Interest
Moore, Bedford, Rutherford, Wilson, Trousdale, Warren, Fentress, Cumberland,
Smith, Jackson, Coffee, Lincoln, Marshall, Cannon, DeKalb and Macon Counties. FEES:
Overreaching, Excessive, Splitting Fee with Non-Lawyer,
62 61
District V - Davidson County. Improper Division, Failure to Refund, Improper Fee
District VI - Giles, Wayne, Lewis, Maury, Humphreys, Cheatham, Houston, IMPROPER COMMUNICATIONS:
Montgomery, Robertson, Lawrence, Perry, Hickman, Dickson, Stewart, Advertising, Solicitation, Trial Publicity, Contact with Witnesses,
103 141
Sumner and Williamson Counties. Officials, Jury, Opposing Party
District VII - Henry, Carroll, Henderson, Hardeman, Hardin, Benton, Chester, CRIMINAL CONVICTION:
Decatur, Fayette, McNairy and Madison Counties. Felony, Misdemeanor, Other 6 5
District VIII - Weakley, Lake, Gibson, Haywood, Tipton, Obion, Dyer, PERSONAL BEHAVIOR:
Crockett and Lauderdale Counties. Competence, Mental Disability, Aiding Unauthorized Practice,
25 20
Ineffective Assistance
District IX - Shelby County.
OTHER:
mTwelve month period from November 1 of previous year thru October 31 of applicable year. Reciprocal Discipline, not available 1 4
TOTAL FILES OPENED: 1,504 1,499
ALL ATTORNEYS ARE REQUIRED TO FILE WRITTEN NOTICE OF ANY CHANGE FRIVOLOUS MATTERS ADMINISTRATIVELY DISMISSED
IN RESIDENCE ADDRESS, OFFICE ADDRESS OR STATUS WITHIN 30 DAYS PURSUANT TO RULE 9(7.2)(c): 420 418
OF SUCH CHANGE AS REQUIRED BY SUPREME COURT RULE 9(20.5).
TOTAL MATTERS RECEIVED: 1,924 1,917
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