Annual_Report_-_2013_to_2014_FINAL_approved_by_Board_on_12-12-14_CAP_REVISED_1-13-15.pdf (2013)
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Board of Professional Responsibility
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
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 Courtâs 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 2013-2014, Board members
volunteered 962 hours and received no compensation for their service. Current members of the Board
include:
J. Russell Parkes (Chair)
Michael King (Vice-Chair)
Michael Callaway
Margaret Craddock (Lay Member)
Wade Davies
Francis Guess (Lay Member)
Lela Hollabaugh
Odell Horton, Jr.
Susan Emery McGannon
H. Scott Reams
Joe G. Riley
Eleanor Yoakum (Lay Member)
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 2013-2014, 165 attorneys assisted the
Court and the Board as district committee members reviewing Disciplinary Counselâs
recommendations on investigative files and sitting on hearing panels conducting formal
disciplinary charges. Of the 165 current members, 125 reported volunteering 1,708 hours for
which they received no compensation for their services. A roster of current district committee
members is attached as Exhibit B.
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
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 Boardâs 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.
Caseload1
Cases Opened 3,788
Cases Closed 3,737
Activities Opened 8,252
Activities Closed 8,252
Actions Taken
Mediate 32%
Advise 55%
Referrals 13%
Total: 100%
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 Counselâs recommendation for dismissal,
diversion, and private informal admonition. The Board of Professional Responsibility reviews and
approves or disapproves Disciplinary Counselâs recommendation for private reprimand, public
censure, and the filing of formal disciplinary charges.
1
Each case number involves a client and a particular attorney, but within that case, there can be multiple activities. For
example, a case is first opened and a minor communication problem is successfully mediated. Later, there may be a question
about a returned file, which is mediated. These are two separate activities within the same case.
2
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
A. Nature of Investigated Complaints
B. Investigative Complaint Caseload
Complaints Received: 1,277
Complaints Pending at beginning of Fiscal Year: 518
Total Complaints: 1,795
3
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
C. Investigative Complaint Disposition:
Administrative Dismissals: 400
Investigative Dismissals: 551
Transfer to Formal Charges: 199
Diversions: 41
Private Informal Admonitions: 56
Private Reprimands: 13
Informal Public Censures: 30
Consent to Disbarment: 1
Transfer to Disability Inactive: 4
Placed on Retired Status: 23
Other:2 8
Total Complaints processed: 1,326
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 attorneyâs ethical misconduct by a
preponderance of the evidence. Hearing Panels may recommend dismissal, public censure, suspension
or disbarment.
A. Caseload
Formal cases filed: 74
Formal cases pending at beginning of Fiscal Year: 71
Total formal proceedings: 145
Public hearings conducted in Fiscal Year: 41
2
Abated by death; complaint withdrawn; duplicate file.
4
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
B. Formal Disciplinary Proceedings Disposition:
Dismissals: 5
Public Censures: 10
Suspensions: 25
Disbarments: 14
Transfer to Disability Inactive: 18
Temporary Suspensions: 17
Reinstatements: 2
Other3: 4
Total: 95
3
Abated by death; voluntary non-suited.
5
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
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 administratively
suspended during fiscal year 2013-2014 are as follows:
Non-payment of Annual Fee: 32
Continuing Legal Education non-compliance: 130
Interest on Lawyerâs Trust Accounts non-compliance: 27
Professional Privilege Tax non-compliance: 0
Default on a Student Loan: 0
Total: 189
Current Number of Tennessee Attorneys
Active Attorneys: 21,537
Inactive Attorneys: 4,128
Pro hac vice Attorneys: 674
Number
Historical of Active
Numbers Tennessee
of Active Attorneys*
Tennessee Attorneys
21,537
19,622
18,117
11,605
8,267
1979 1989 1999 2009 2014*
*Attorneys not included in this chart: Inactive attorneys (4,128); Pro hac vice attorneys (674).
6
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
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 Boardâs website with rule changes, disciplinary decisions and
news for attorneys, judges and the public.
A. Ethics Opinions
1. Formal Ethics Opinions: In Fiscal Year 2013-2014, the Board issued two Formal
Ethics Opinions:
• 2013-F-157 addressing whether a lawyer appointed guardian ad litem
(GAL) has a conflict in subsequently representing another interest in a
matter regarding the child for which the attorney was GAL;
• 2014-F-158 regarding whether a lawyer who represented a testator can
refuse to honor a court order or subpoena to disclose, prior to the clientâs
death, a Will or other testamentary document executed when the testator
was competent on the basis that the document is protected against disclosure
by the attorney-client privilege or confidentiality.
2. Advisory Opinions: Disciplinary Counsel responded to 2,290 phone and internet
inquiries from attorneys seeking ethical guidance.4
B. Continuing Legal Education (CLE) Presentations:
Between July 1, 2013 and June 30, 2014, Disciplinary Counsel presented fifty-three (53)
CLE seminars, attended by approximately 3,729 attorneys.
C. Board Notes:
In 2013-2014, the Board emailed Board Notes, the Boardâs bi-annual newsletter to all
attorneys and judges and published it on the Boardâs website.
4
Tennessee attorneys may submit ethics inquiries to the Board by calling 615-361-7500, ext. 212, or via the Boardâs website
at www.tbpr.org.
7
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
D. Website at www.tbpr.org:
The Board continues to enhance its website with current rule changes, disciplinary
decisions and news for the bar and the public. The Board routinely posts disciplinary
Judgments and has uploaded all Hearing Panel Judgments in concluded matters; and
Circuit, Chancery and Supreme Court decisions from 2008 to the present.
E. Resources for When an Attorney is Unable to Practice Law:
In April, 2014, Disciplinary Counsel prepared and emailed to bar associations and
judges and posted on the Boardâs website resources for when an attorney is unable to
practice law. These resources include sample pleadings and checklists for closing a law
office and notifying clients.
8
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
Board of Professional Responsibility
Staff Directory
Exhibit A
9
33rd Annual Discipline Report
Fiscal Year July 1, 2013 – June 30, 2014
Board of Professional Responsibility
District Committee Member Roster
Exhibit B
10
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