annualreport26th.pdf (2002)
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TWENTY-SIXTH ANNUAL REPORT
November 1, 2001 thru October 31, 2002
The Boardâs Consumer Assistance Program (CAP), implemented in February, 2002, has proven
to be an effective method to resolve consumer concerns without opening complaint files. The
program is designed to quickly resolve concerns that do not rise to the level of serious ethical
violations. During the past nine months, CAP has addressed 3,175 consumer concerns. The
highest frequency of actions taken have been providing general information and 1,874 instances
of informal mediation. The areas of practice receiving the most assistance are criminal, domestic,
personal injury and bankruptcy. The program has also made 1,221 referrals to other
organizations for assistance, including fee dispute committees, lawyer referral agencies, legal aid
societies, or to disciplinary counsel when problems cannot be quickly resolved by mediation. The
effective resolution of consumer concerns is reflected by a 16.1% decrease in disciplinary
complaint files, as reported below.
The Board has received 32,280 complaints during the past twenty-six years, resulting in 141
disbarments, 333 suspensions, 368 public censures and 2,397 private reprimands or admonitions.
There were 1,171 files opened during the past year. This is a decrease of 16.1% over the same
period last year when 1,397 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 159 formal ethics opinions and 766 advisory opinions. Disciplinary
Counsel have responded to 42,943 hotline phone inquiries from attorneys seeking ethical
guidance, including 3,425 inquiries during the past year. Disciplinary Counsel also participated
in 44 bar sponsored ethics seminars this year, attended by approximately 3,114 attorneys.
Attorneys are continuing to be proficient in the appropriate maintenance of trust accounts. There
were 43 overdraft notices in 2002, the same number as 2001, representing an 85% decline in
overdraft notices from 288 in 1995. The overdraft notice program was implemented in 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 Board's practice and professionalism enhancement program was implemented in 1997. Two
hundred-seven attorneys have completed Board sponsored ethics workshops as an alternative to
discipline (diversion), or in connection with discipline concurrently imposed.
Tennessee attorneys have contributed $19.5 million in annual Court assessments to finance the
Boardâs programs, with no contributions from other sources. In 2002, the annual attorney
registration fees provided revenue of $1,606,816. Additional revenues of $96,981 have been
received from interest, reimbursement of costs of disciplinary proceedings and prior fees and
penalties, providing total Board revenue in 2002 of $1,703,797. Expenditures for 2002 are
projected to be $1,970,000. The Board also collected and remitted an additional $161,280 to the
Supreme Courtâs Lawyer Assistance Program; and an additional $152,660, totaling $1.83 million
since 1990, to the Courtâs Lawyersâ Fund for Client Protection.
REGISTRATION INFORMATION DISCIPLINARY INFORMATIONµ
General Active Exempt Suspended Total DISCIPLINARY Number of Public Private Private Disability
PopulationÏ Attorneys Attorneys Attorneysκ Attorneys DISTRICTSλ Complaints Disbarments Suspensions Censures Reprimands Admonitions Inactive
2001 2002 2001 2002 2001 2002 2001 2002 2001 2002 2001 2002 2001 2002 2001 2002 2001 2002 2001 2002 2001 2002
740,043 845 849 72 67 40 39 957 955 I 110 91 0 0 0 0 2 2 4 5 7 8 0 0
II
372,013 424 429 44 45 21 21 489 495 Excluding Knox Co. 46 59 1 0 0 0 1 1 1 3 3 4 0 0
II
385,572 1,552 1,581 122 126 62 65 1,736 1,772 Knox County 136 101 0 0 0 1 2 0 0 4 6 14 0 0
III
300,750 242 252 20 19 4 6 266 277 Excluding Hamilton Co. 26 27 0 0 0 0 0 0 2 1 1 1 0 0
III
307,378 1,016 1,023 77 76 37 40 1,130 1,139 Hamilton County 81 58 0 0 1 1 2 0 2 7 2 3 0 1
789,689 882 878 82 92 34 39 998 1,009 IV 103 107 1 0 2 1 1 0 5 3 1 3 0 1
V
565,352 3,553 3,606 279 277 172 183 4,004 4,066 Davidson County 268 230 0 2 3 4 6 3 9 7 10 5 0 0
776,924 1,190 1,220 106 112 60 66 1,356 1,398 VI 97 119 0 3 1 1 2 4 2 6 5 5 0 0
332,100 415 433 37 40 18 20 470 493 VII 81 59 0 0 0 2 0 0 3 2 5 3 0 1
274,187 234 236 26 23 10 13 270 272 VIII 27 26 0 0 0 0 0 0 0 0 3 2 0 0
IX
896,008 3,001 3,006 268 272 198 215 3,467 3,493 Shelby County 396 270 5 3 6 3 7 3 10 11 11 32 2 1
2,604 2,713 747 743 598 672 3,949 4,128 Out of State 26 24 1 1 2 0 3 0 0 1 1 2 0 0
5,740,016 15,958 16,226 1,880 1,892 1,254 1,379 19,092 19,497 --- TOTALS --- 1,397 1,171 8 9 15 13 26 13 38 50 55 82 2 4
NOTES: NATURE OF COMPLAINTS: 2001 2002
ÏU.S. Bureau of the Census, 2001 estimated County Population for Tennessee Counties. TRUST VIOLATIONS:
Recordkeeping, Embezzlement, Conversion, Commingling 102 83
κThis total includes suspensions for: non-payment of fee (540), non-compliance with
CLE (263), disciplinary actions (153) and multiple suspensions (423). CONFLICT OF INTEREST:
Personal, As Public Official, Appearance of Impropriety,
67 62
λThe 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 579 401
District II - Campbell, Anderson, Roane, Blount, Morgan, Union, Knox, MISREPRESENTATION OR FRAUD:
Loudon and Scott Counties. False Documents, Attestation, Statements, Failure to Clarify 99 71
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 357 391
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,
73 55
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,
100 80
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 4 2
District VIII - Weakley, Lake, Gibson, Haywood, Tipton, Obion, Dyer, PERSONAL BEHAVIOR:
Crockett and Lauderdale Counties. Competence, Mental Disability, Aiding Unauthorized Practice,
16 26
Ineffective Assistance
District IX - Shelby County.
OTHER:
0 0
µTwelve month period from November 1 of previous year through October 31 of applicable year. Reciprocal Discipline, not available
TOTAL FILES OPENED: 1,397 1,171
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): 399 336
OF SUCH CHANGE AS REQUIRED BY SUPREME COURT RULE 9(20.5).
TOTAL MATTERS RECEIVED: 1,796 1,507
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