Board of Professional Responsibility of the Supreme Court of Tennessee

Annual_Report_-_2016_to_2017_FINAL.pdf (2016)

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Board of Professional Responsibility

36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

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 2016-2017, Board members
volunteered 1,019 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)
Dana Dye
Ruth Ellis
Odell Horton, Jr.
John D. Kitch
Joe Looney
Jon Lundberg (Lay Member)
Jimmie Miller
Tyreece Miller (Lay Member)
Bridget Willhite

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 2016-2017, 168 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 168 members, 159
reported volunteering 2,463 hours in 2016-2017 for which they received no compensation for their
services. A roster of current district committee members is attached as Exhibit B.
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

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 2,676

Timeliness of Resolution

0 to 15 days 46.0%
16 to 30 days 14.9%
31 to 60 days 17.1%
61 or more days 21.9%

Actions Taken

Mediate 34%
Advise 44%
Referrals 15%
Provide Information 7%

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
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

A. Nature of Complaints

B. Investigative Complaint Caseload

Complaints Received: 1,552
Complaints Pending at beginning of Fiscal Year: 610

Total Complaints: 2,162

3
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

C. Investigative Complaint Disposition:

Administrative Dismissals: 510
Investigative Dismissals: 504
Diversions: 30
Private Informal Admonitions: 60
Private Reprimands: 35
Informal Public Censures: 46
Transfer to Disability Inactive: 46
Placed on Retired Status: 13
Other:1 10

Total: 1,254

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: 136
Formal cases pending at beginning of Fiscal Year: 109

Total formal proceedings: 245

Public hearings conducted in Fiscal Year: 55

1
Abated by death; complaint withdrawn; duplicate file.
4
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

B. Formal Disciplinary Proceedings Disposition:

Dismissals: 4
Public Censures: 10
Suspensions: 18
Disbarments: 23
Transfer to Disability Inactive: 37
Temporary Suspensions: 13
Retired: 12
Reinstatements: 5
Other2: 9

Total: 131

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Abated by death; voluntary non-suited; denied; withdrawn.

5
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

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 2016-2017 as follows:

Non-payment of Annual Fee: 40
Continuing Legal Education non-compliance: 112
Interest on Lawyer’s Trust Accounts non-compliance: 54
Professional Privilege Tax non-compliance: 0
Default on a Student Loan: 1
Total: 207

Current Number of Tennessee Attorneys

Active Attorneys: 22,832
Inactive Attorneys: 4,560
Pro hac vice Attorneys: 690

*Attorneys not included in this chart: Inactive attorneys (4,560); Pro hac vice attorneys (690).
6
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

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

Ethics Counsel and Disciplinary Counsel responded to 2,408 phone and
internet inquiries from attorneys seeking ethical guidance.3

ii. Formal Opinions

2016-F-161: To the extent settlement provisions require attorneys to turn over
documents protected by the lawyer work product doctrine, the provisions may
be prohibited by Tennessee Rule of Professional Conduct 5.6(b). That is, a
lawyer may not propose or agree to a settlement agreement that requires a lawyer
to turn over any work product materials as part of the settlement if that action
will restrict his representation of other clients.

2017-F-162: The Board of Professional Responsibility has been requested by
the State of Tennessee Bureau of Workers’ Compensation Department of Labor
and Workforce Development to issue a Formal Ethics Opinion regarding the
extent to which an ombudsman attorney may provide “limited legal advice”
within the meaning of Tenn. Code Ann. Section 50-6-216(e)(3) which provides
that “[a]n ombudsman who is not a licensed attorney shall not provide legal
advice however, an ombudsman who is a licensed attorney may provide limited
legal advice however, an ombudsman who is a licensed attorney may provide
limited legal advice but shall not represent any party as the party’s attorney. No
ombudsman shall make attorney referrals.”

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
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

B. Continuing Legal Education (CLE) Presentations:

Between July 1, 2016 and June 30, 2017, Disciplinary Counsel presented fifty-one (51)
CLE seminars, attended by approximately 2,967 attorneys.

C. Board Notes:

In 2016-2017, 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.

8
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

Board of Professional Responsibility
Staff Directory
Name Title Extension
Kevin Balkwill Disciplinary Counsel 223
Carol Bershatsky Receptionist 200
Patty Burton Assistant Director 216
Melanie Cail Legal Assistant - Litigation 237
Laura Chastain Ethics Counsel 212
Steve Christopher Disciplinary Counsel 203
Sandy Garrett Chief Disciplinary Counsel 211
Reynold Gaulden, Jr. Registration Assistant II 244
Elizabeth Gray Administrative Assistant – Registration and 202
Scanning
Candis Grooms Case Manager 229
Kelly Heflin Legal Assistant - Investigations 242
Krisann Hodges Deputy Chief Disciplinary Counsel 214
Alan Johnson Disciplinary Counsel 207
Soumya Kademakki Lead Legal Assistant - Investigations 218
Cheryl Lang Administrative Scan Clerk 234
Mary McKnight Registration Manager 213
Bill Moody Disciplinary Counsel 217
Dana Patrick Paralegal 224
Tony Pros Network Administrator 230
Suzanne Saucier Lead Legal Assistant - Litigation 221
Jessica Schraw CAP Paralegal 240
Beverly Sharpe Director of Consumer Assistance Program 226
Preston Shipp Disciplinary Counsel 222
Diane Thompson Legal Assistant - Investigations 201
Suzie Thurber Administrative Receivables Clerk 219
Julie Turner Executive Assistant 209
Cheri Weaver CAP Legal Assistant 208
Rita Webb Executive Secretary 206
Lani White Registration and Scan Clerk 234
Meghan Williams CAP Intake Assistant 228
Russ Willis Disciplinary Counsel 236
Beverly Yousefzadeh Administrative Payables Clerk 241

Exhibit A
36th Annual Discipline Report
Fiscal Year July 1, 2016 – June 30, 2017

District Committee Member Roster
District Last Name First Name District Last Name First Name District Last Name First Name
1 Canter Julie 4 Aaron Douglas 6 Kelly Clinton
1 Chitwood Kent 4 Bobo Stephen 6 Kozlowski David
1 Evans Curtis 4 Corley William 6 McWherter James
1 Haynes Olen 4 Duncan Christina 6 Mounger Dalton
1 Herndon, IV Charles 4 Gothard Joy 6 Plant Paul
1 Johnstone Frank 4 Hagan, Jr. Anthony 6 Schell Philip
1 Pierce Nikki 4 Heckman Kyle 6 Smith Jerry
1 Smith, Jr. Marvin 4 Henry Jeffrey 6 Spitzer Michael
1 Stone, III Lee 4 Newman Robert 6 Underwood Timothy
1 Terry Steven 4 Omohundro Lynn 6 Walker Jeffery
1 Terry Fred 4 Thompson, Jr. Tom 7 Finney, III Richard
1 Woods Laura 4 York Randall 7 Floyd Matthew
2 Adams Oliver 5 Aden Gareth 7 Hessing Paul
2 Alley Gordon 5 Bigelow Robert 7 Maddox, III Dwayne
2 Butler John 5 Boyd Martha 7 Marshall Teresa
2 Cole Robert 5 Bryant Kenneth 7 Reynolds William
2 Coleman Gregory 5 Campbell Andrew 7 Scott Clinton
2 Cone James 5 Carpenter Brigid 7 Thorne Candace
2 Couch Virginia 5 Castellarin Michael 7 Townsend, Jr. Edwin
2 Crutchfield Karen 5 Dowlen Nathan 8 Bivens Charles
2 Draper David 5 Gabbert, Jr. Craig 8 Bowen William
2 Dreiser John 5 Grant Charles 8 Jenkins, Jr. William
2 Dyer Alyson 5 Kinslow Rhonda 8 Maness Charles
2 Eldridge John 5 Kweller Stanley 8 Unger, Jr. Langdon
2 Ford Joseph 5 McGee Richard 8 Warner, III John
2 Gaby Gene 5 McLemore, III Claiborne 9 Abdullah Imad Al-Deen
2 Hall Christopher 5 Mendes Robert 9 Bearman David
2 Irvine, Jr. Kenneth 5 Milam James 9 Branch Thomas
2 Johnson Lawrence 5 Ney, Jr. Paul 9 Campbell Karen
2 King Michael 5 O'Bryan, Jr. William 9 Canale Stuart
2 Krumm Brian 5 Perry Andrea 9 Cassidy, Jr. Thomas
2 Morrison Eric 5 Potempa Patrick 9 Childress, Jr. Edward
2 O'Kane, Jr. James 5 Raney Aaron 9 Click Ricky
2 O'Rear Carrie 5 Rubenfeld Abby 9 Diggs Asia
2 Stackhouse Mary 5 Shockley Gary 9 Donelson Vivian
2 Stephens Mark 5 Shulman Rebekah 9 Ferrante Jessica
2 Teeters Kevin 5 Simmons Janelle 9 Floyd Amber
2 Tonkin Elizabeth 5 Sowell Alan 9 Halmon Harriett
2 Ward, Jr. Hugh 5 Sweeney, III Matthew 9 Isaacman Leslie
2 Winters John 5 Todd Daniel 9 Jones, Jr. William
2 Woodfin Clinton 5 Welch Mary 9 Jordan, III Loys
2 Young Broderick 5 Wigger Gerald 9 Kavanagh Julia
3 Bennington Cannon Lindsay 6 Bateman Robert 9 Kellum Timothy
3 Blevins Melissa 6 Bates, III Douglas 9 Mathis Andre
3 Buchanan Ginger 6 Brown Nathan 9 Morrow Charles
3 Cash Larry 6 Bryan Vanessa 9 Mullins Kimbrough
3 Crump Stephen 6 Burlison John 9 Patterson Ashley
3 Easterly Alan 6 Coffinberry Anita 9 Patton Michael
3 Hill Rosemarie 6 Durham Ryan 9 Podesta, Jr. Eugene
3 Hill Cameron 6 Fahey, II Michael 9 Reed Terrence
3 Jacobs Philip 6 Flynn Patrick 9 Savory Russell
3 Jenne Michael 6 Free Mark 9 Sink Jennifer
3 Killian William 6 Garner Samuel 9 Turner Kamilah
3 Smith William 6 Helper Kim 9 Wellford Buckner
3 Swafford Lynne 6 Henry, Jr. Joseph 9 Wharton Andre
3 Weiss William 6 Holt Charles

10 Exhibit B

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