Annual_Report_-_2014_to_2015_corrected_8-30-2016.pdf (2014)
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Board of Professional Responsibility
34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
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 2015, Board members volunteered
894 hours and received no compensation for their service. Current members of the Board include:
Michael King (Chair)
Eleanor Yoakum (Vice-Chair; Lay Member)
Kenneth Blackburn (Lay Member)
Michael Callaway
Margaret Craddock (Lay Member)
Wade Davies
Dana Dye
Odell Horton, Jr.
John Kitch
Susan Emery McGannon
H. Scott Reams
Joe G. Riley
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 2014-2015, 162 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 162 current members, 115 reported volunteering 2,008 hours in
2015 for which they received no compensation for their services. A roster of current district
committee members is attached as Exhibit B.
34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
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.
Caseload
Number of Cases Opened 3,484
Timeliness of Resolution
0 to 15 days 37.8%
16 to 30 days 03.8%
31 to 60 days 26.6%
61 or more days 31.9%
Actions Taken
Mediate 28%
Advise 61%
Referrals 11%
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.
2
34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
A. Nature of Complaints
B. Investigative Complaint Caseload
Complaints Received: 1,204
Complaints Pending at beginning of Fiscal Year: 475
Total Complaints: 1,679
3
34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
C. Investigative Complaint Disposition:
Administrative Dismissals: 346
Investigative Dismissals: 491
Diversions: 20
Private Informal Admonitions: 51
Private Reprimands: 22
Informal Public Censures: 30
Consent to Disbarment: 1
Transfer to Disability Inactive: 3
Placed on Retired Status: 20
Other:1 20
Total Complaints Processed: 1,004
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 during Fiscal Year: 132
Formal cases pending at beginning of Fiscal Year: 85
Total formal proceedings: 217
Public hearings conducted in Fiscal Year: 54
1
Abated by death; complaint withdrawn; duplicate file.
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34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
B. Formal Disciplinary Proceedings Disposition:
Dismissals: 8
Public Censures: 9
Suspensions: 33
Disbarments: 10
Transfer to Disability Inactive: 16
Temporary Suspensions: 17
Retired: 1
Reinstatements: 16
Other2: 1
Total: 111
2
Abated by death; voluntary non-suited.
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34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
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 2014-2015 as follows:
Non-payment of Annual Fee: 39
Continuing Legal Education non-compliance: 132
Interest on Lawyerâs Trust Accounts non-compliance: 27
Professional Privilege Tax non-compliance: 0
Default on a Student Loan: 2
Total: 200
Current Number of Tennessee Attorneys
Active Attorneys: 21,980
Inactive Attorneys: 4,251
Pro Hac Vice Attorneys: 788
*Attorneys not included in this chart: Inactive attorneys (4,251); Pro hac vice attorneys (788).
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34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
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
Disciplinary Counsel responded to 2,156 phone and internet inquiries from attorneys
seeking ethical guidance.3
B. Continuing Legal Education (CLE) Presentations:
Between July 1, 2014 and June 30, 2015, Disciplinary Counsel presented fifty-nine (59)
CLE seminars, attended by approximately 3,698 attorneys.
C. Board Notes:
In 2014-2015, the Board emailed Board Notes, the Boardâs bi-annual newsletter to all
attorneys and judges and published it on the Boardâs website.
3
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.
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34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
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
Peyton Carr Legal Assistant - Investigations 201
Betsy Garber 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
Harlene Labrum Paralegal 220
Carol Marsh Receptionist 200
Mary McKnight Lead Legal Assistant - Litigation 224
Bill Moody Disciplinary Counsel 217
Tony Pros Network Administrator 230
Suzanne Saucier 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
Russ Willis Disciplinary Counsel 236
Beverly Yousefzadeh Administrative Payables Clerk 241
Exhibit A
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34th Annual Discipline Report
Fiscal Year July 1, 2014 – June 30, 2015
Board of Professional Responsibility
District Committee Member Roster
Exhibit B
9 Exhibit B
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