Title: In Re: Amendments to the Rules Regulating The Florida Bar (Biennial Petition)

State: florida

Issuer: Florida Supreme Court

Document:

Supreme Court of Florida 
 
 
____________ 
 
No. SC14-2088 
____________ 
 
 
IN RE:  AMENDMENTS TO THE RULES REGULATING THE FLORIDA 
BAR (BIENNIAL PETITION). 
 
[June 11, 2015] 
 
PER CURIAM. 
 
This matter is before the Court on the petition of The Florida Bar proposing 
amendments to the Rules Regulating the Florida Bar (Bar Rules).  See R. 
Regulating Fla. Bar 1-12.1.  We have jurisdiction.  See art. V, § 15, Fla. Const. 
 
The Bar’s petition in this case proposes amendments to the following Bar 
Rules: 1-3.3 (Official Bar Name and Contact Information); 1-3.7 (Reinstatement to 
Membership); 3-5.1 (Types of Discipline; Generally); 3-5.2 (Emergency 
Suspension and Interim Probation or Interim Placement on the Inactive List for 
Incapacity not Related to Misconduct); 3-5.3 (Diversion of Disciplinary Cases to 
Practice and Professionalism Enhancement Programs); 3-7.10 (Reinstatement and 
Readmission Procedures); 4-1.6 (Confidentiality of Information); 4-1.17 (Sale of 
Law Practice); 4-5.3 (Responsibilities Regarding Nonlawyer Assistants); 5-1.1 
 
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(Trust Accounts); 5-1.2 (Trust Accounting Records and Procedures); 6-12.3 
(Requirement); and 10-7.2 (Proceedings for Indirect Criminal Contempt).  The 
proposals were approved by the Board of Governors, and formal notice of the 
proposed amendments was published in The Florida Bar News.  The notice 
directed interested persons to file their comments directly with the Court.  The 
Court did not receive any comments.   
After fully considering the Bar’s petition, we adopt most of the proposed 
rule amendments.  However, as addressed in this opinion, we do not adopt portions 
of the proposed amendment to Bar Rule 3-5.1(h) (Types of Discipline; Generally; 
Notice to Clients), nor do we adopt the amendments to Bar Rule 5-1.2 (Trust 
Accounting Records and Procedures), subdivisions (d)(5) (Minimum Trust 
Accounting Procedures) and (g)(1) (Audits).  Additionally, the Court, on its own 
motion, amends Bar Rule 3-7.9 (Consent Judgment).  We discuss the more 
significant amendments in this case below. 
 
First, in Bar Rule 3-5.1 (Types of Discipline; Generally), subdivision (e) 
(Suspension) is amended, as proposed by the Bar, to delete existing language in the 
rule providing that a lawyer may be suspended for an indefinite period of time, and 
to instead provide that a lawyer may be suspended for a specified period or until 
further order of this Court.  Additionally, subdivision (h) (Notice to Clients) is 
amended to require a lawyer, upon being served with a notice of disbarment, 
 
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disbarment on consent, disciplinary revocation, suspension, emergency suspension, 
emergency probation, or placement on the inactive list for incapacity not related to 
misconduct, to provide a copy of the Court’s order imposing the discipline on all 
state, federal, or administrative bars of which the respondent is a member.  
Subdivision (j) (Restitution) is amended to require a lawyer to provide the Bar with 
telephone numbers and current addresses for all individuals or entities to whom the 
lawyer is ordered to pay restitution. 
 
The Bar also proposes amending Bar Rule 3-5.1(h) to provide that when a 
lawyer begins serving a required period of suspension before the issuance of an 
order from this Court approving the suspension, the lawyer must furnish a copy of 
the Court’s order, or notice of commencement of the suspension, to all of the 
lawyer’s clients, opposing and co-counsel, and all courts, tribunals, or adjudicative 
agencies before which the lawyer is counsel of record.  The Bar’s proposed 
amendment is made in response to the Court’s decision in Florida Bar v. 
Townsend, 145 So. 3d 775 (Fla. 2014), where the respondent, acting pursuant to a 
consent judgment with the Bar, began and completed serving his full thirty-day 
suspension before the Court issued an order approving the suspension; because the 
“triggering” date in Bar Rule 3-5.1(h) for determining which clients, lawyers, and 
courts should be notified of the suspension was the date the respondent is served 
with the Court’s order imposing the discipline, the respondent in Townsend was 
 
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not required to notify any clients, lawyers, or courts of the thirty-day suspension 
until after he completed serving it.  After considering the Bar’s proposal to amend 
Bar Rule 3-5.1(h) in order to address this issue, we decline to adopt the proposed 
amendment.  Consent judgments between a respondent and the Bar are not final 
until this Court issues an order approving the judgment.  See R. Regulating Fla. 
Bar 3-7.9(c).  Accordingly, we conclude that a better practice in cases involving a 
conditional plea and consent judgment entered into between the Bar and a 
respondent is that the consent judgment may not permit the respondent to begin 
serving a period of suspension or disbarment until this Court issues an order 
approving the discipline.  Thus, the Court, on its own motion, amends Bar Rule 3-
7.9(d) (Consent Judgment; Content of Conditional Pleas) to prohibit this practice. 
 
Next, Bar Rule 3-5.2 (Emergency Suspension and Interim Probation or 
Interim Placement on the Inactive List for Incapacity not Related to Misconduct), 
is amended, as proposed by the Bar, to outline new procedures authorizing referees 
to determine entitlement to, and to oversee disbursement of, funds frozen in a 
lawyer’s trust account pursuant to an emergency suspension or interim probation 
order.  These new procedures are described in several subdivisions.  Subdivision 
(c) (Trust Accounts) will provide that, upon an order of emergency suspension or 
probation that restricts a lawyer’s access to his or her trust account, Bar counsel 
will serve a copy of the order freezing the trust account on all banks where the 
 
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lawyer maintains a trust account.  The suspension or probation order will serve as 
an injunction to prevent the bank from allowing further payments from the trust 
account except in accordance with restrictions imposed by the court through 
subsequent orders issued by a court-appointed referee.  Additionally, new 
subdivision (c)(1) provides that the Court’s order appointing a referee in a case 
involving an emergency suspension or probation may authorize the referee to 
determine entitlement to funds in a frozen trust account.  Any client or third party 
requesting release of frozen funds must file a written petition with the referee, 
along with proof of entitlement to the funds.  Under new subdivision (c)(2), Bar 
counsel and Bar auditors are also required to provide any information to the 
referee, collected during a Bar audit, identifying persons who may be entitled to 
trust account funds.  Bar staff will then send written notice to each of these persons 
making them aware of their possible interest in the trust account money; the notice 
will include a copy of a form “Petition Requesting Release of Frozen Trust 
Account Funds,” as well as instructions for completing the petition.  The Bar will 
also publish a notice in the local newspaper informing the public that the lawyer’s 
trust account has been frozen, and instructing those with possible claims on the 
funds to contact the Bar.  In some circumstances, the referee will be authorized to 
appoint a receiver, paid from the corpus of the trust account funds, to determine 
those who are rightfully entitled to the money. 
 
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New subdivision (d) (Referee Review of Frozen Trust Account Petitions) of 
Bar Rule 3-5.2, provides that the referee, after reviewing the Bar’s audit report, the 
trust account records, any petitions filed by interested persons, or any 
recommendations from an appointed receiver, will determine when and how to pay 
the claim of any person asserting an entitlement to funds in the frozen trust 
account.  The referee may hold a hearing on the matter.  Significantly, subchapter 
3-7 (Procedures) will not apply to this proceeding—no pleadings will be filed, only 
petitions requesting release of trust account funds; the parties will be only those 
persons filing a petition requesting release of funds, and will not include the Bar; 
and the referee’s order will be treated as a final order unless one of the parties 
petitions for review in this Court.  The referee will determine the percentage of 
monies missing from the trust account and the amounts owed to the parties, and 
will implement a “pro rata distribution” of funds if there is not sufficient money in 
the account to pay all of the claims in full.  The parties may file a petition for 
review within 60 days of the referee’s final order. 
 
New subdivision (e) (Separate Funds in Frozen Trust Accounts) of Bar Rule 
3-5.2 is also adopted to direct the referee to order the return of any “separate 
funds” to the rightful owner of those funds.  Separate funds are defined as monies 
deposited into the lawyer’s trust account after the misappropriation took place, 
which are not affected by the misappropriation, and funds that have been placed 
 
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into a separate segregated individual trust account under the individual client’s tax 
identification number. 
 
Next, we amend Bar Rule 3-5.3 (Diversion of Disciplinary Cases to Practice 
and Professionalism Enhancement Programs) to provide that a lawyer is not 
eligible for diversion to a practice and professionalism enhancement program if he 
or she has been the subject of a prior diversionary program for the same type of 
rule violation within the past five years (rather than seven years).  A lawyer who 
has been the subject of a prior diversion for one type of rule violation, and is 
alleged to have violated a completely different type of rule at least one year after 
the initial diversion, would be eligible to attend a diversionary program. 
 
We make several amendments to Bar Rule 3-7.10 (Reinstatement and 
Readmission Procedures), as proposed by the Bar.  The most notable of these is 
subdivision (b) (Petitions; Form and Contents), which is amended to provide that a 
petition for reinstatement to Bar membership may not be filed until the petitioner 
has completed at least 80 percent of his or her suspension.  We also amend Bar 
Rule 3-7.10 to require: that a petition for reinstatement be filed with the Court in 
compliance with the filing requirements in the Florida Rules of Civil Procedure 
and the Florida Rules of Judicial Administration; and that a petition for 
reinstatement filed by a petitioner who has been ineligible to practice for more than 
five years, and who is consequently required to retake the Florida Bar Examination 
 
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and the Multistate Professional Responsibility Examination, must provide proof in 
the petition that the petitioner has passed both exams. 
 
Bar Rule 4-1.6 (Confidentiality of Information) is amended to authorize a 
lawyer to reveal confidential information in order to detect and resolve conflicts of 
interest between lawyers in different firms, which may arise when lawyers change 
employment or change the composition or ownership of a firm, provided that the 
revealed information would not compromise the attorney-client privilege or 
prejudice the client.  This amendment is consistent with recent changes to the 
American Bar Association’s model rules.  Rule 4-1.6 is also amended to provide 
that, as technology continues to evolve, lawyers must make reasonable efforts to 
prevent the inadvertent or unauthorized disclosure of confidential information 
relating to the representation of a client. 
 
Bar Rule 5-1.1 (Trust Accounts) is amended to add new language 
authorizing a lawyer to deposit his or her own personal funds into the trust account 
to address a shortage in the account.  However, any deposits made by the lawyer to 
cover trust account shortages must be no more than is needed to cover the shortage 
(and may be less).  If a lawyer does deposit personal funds to cover a shortage, the 
lawyer must immediately notify the Bar’s lawyer regulation department, and 
identify the cause of the shortage and the amount deposited into the account to 
cover it.  This amendment is intended to encourage lawyers to take action to 
 
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identify and replenish shortages in their trust accounts (whether the shortage is 
caused by misappropriation or error) without risking further disciplinary action for 
commingling funds, and the Bar states that the rule is consistent with rules 
governing lawyer conduct in several other states.  We emphasize, however, that the 
lawyer must immediately notify the Bar of any shortage in the trust account and 
any money deposited to correct the shortage, so that the Bar can investigate 
whether any ethical violations occurred and take the appropriate actions necessary 
to protect the public. 
 
In Bar Rule 5-1.2 (Trust Accounting Records and Procedures), the Bar 
proposes amendments to subdivision (d)(5) (Minimum Trust Accounting 
Procedures), and a corresponding amendment to subdivision (g)(1) (Audits) to 
remove the current requirement that lawyers must file with the Bar every year a 
certificate of compliance with the trust accounting rules.  The Bar indicates that a 
“significant minority” of Bar members currently do not file the yearly trust account 
certificates, and that this has led to inconsistent discipline for lawyers who engage 
in minor trust accounting violations—sometimes resulting in harsher discipline for 
lawyers who did submit a yearly trust account certificate than for those who did 
not.  Nonetheless, we do not adopt these amendments to rule 5-1.2.  We believe 
that the requirement that lawyers submit a yearly trust account certificate is an 
important and useful tool in ensuring that lawyers are aware of the trust accounting 
 
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requirements, and that they affirm their compliance with those requirements.  
Accordingly, we take this opportunity to make clear that, as required in Bar Rule 
5-1.2(d)(5), every member of The Florida Bar must file each year a trust 
accounting certificate showing his or her compliance with the trust accounting 
rules.  The failure to file the trust accounting certificate will result in the lawyer 
being deemed delinquent and ineligible to practice. 
 
We do amend Bar Rule 5-1.2, subdivision (f) (Record Retention), as 
proposed by the Bar to state that, on the dissolution of a law firm or on the sale of a 
law practice, the partners or the seller of the practice shall make reasonable 
arrangements for the maintenance and retention of trust account records.   
 
Finally, we amend Bar Rule 6-12.3 (Basic Skills Course Requirement Rule; 
Requirement), as proposed by the Bar, to remove the requirement that lawyers 
newly admitted to the practice of law must attend the Practicing with 
Professionalism program in person.  Instead, the Young Lawyers Division of the 
Bar may develop a program to allow these newly-admitted lawyers to attend the 
course electronically. 
Accordingly, the Court adopts the amendments to the Rules Regulating the 
Florida Bar as set forth in the appendix to this opinion.  New language is indicated 
by underscoring; deletions are indicated by struck-through type.  The comments 
are offered for explanation and guidance only and are not adopted as an official 
 
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part of the rules.  The amendments shall become effective on October 1, 2015, at 
12:01 a.m. 
It is so ordered. 
LABARGA, C.J., and PARIENTE, LEWIS, QUINCE, CANADY, POLSTON, 
and PERRY, JJ., concur. 
 
THE FILING OF A MOTION FOR REHEARING SHALL NOT ALTER THE 
EFFECTIVE DATE OF THESE AMENDMENTS. 
 
Original Proceeding – Rules Regulating The Florida Bar 
 
John F. Harkness, Jr., Executive Director, Gregory William Coleman, President, 
Mary Ellen Bateman, DEUP Division Director, and Elizabeth Clark Tarbert, Ethics 
Counsel, The Florida Bar, Tallahassee, Florida,  
 
 
for Petitioner 
 
 
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APPENDIX 
 
RULE 1-3.3 
OFFICIAL BAR NAME AND CONTACT 
INFORMATION 
 
(a) Designation.  Each member of The Florida Bar shallmust designate an 
official bar name, mailing address, business telephone number, and business e-mail 
address, if the member has one.  If the physical location or street address is not the 
principal place of employment, the member must also provide an address for the 
principal place of employment.  The Florida Bar may excuse a bar member from 
the requirement of providing an e-mail address if the bar member has been excused 
by the court from e-service or the bar member demonstrates that the bar member 
has no e-mail account and lacks Internet service at the bar member’s office. 
 
(b) Changes.  Each member shallmust promptly notify the executive 
director of any changes in any information required by this rule.  The official bar 
name of each member of The Florida Bar shallmust be used in the course of the 
member’s practice of law.  Members may change their official bar name by 
sending a request to the Supreme Court of Florida.  The court must approve all 
official bar name changes. 
 
 
RULE 1-3.7 
REINSTATEMENT TO MEMBERSHIP 
 
(a) [No Change] 
 
(b) Petitions Required.  A member seeking reinstatement must file a 
petition with the executive director setting forth the reason for inactive status, 
retirement, or delinquency and showing good cause why the petition for 
reinstatement should be granted.  The petitioner must beinclude all required 
information on a form approved by the board of governors and the petitioner will 
furnish such information on such form as the board of governors may require.  The 
petition must be accompanied by a nonrefundable reinstatement fee of $150 and 
payment of all arrearages unless adjusted by the executive director with 
concurrence of the executive committee for good cause shown.  Inactive members 
are not required to pay the reinstatement fee.  No member will be reinstated if, 
from the petition or from investigation conducted, the petitioner is not of good 
moral character and morally fit to practice law or if the member is delinquent with 
the continuing legal education or basic skills course requirements. 
 
 
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If the executive director is in doubt as to approval of a petition the executive 
director may refer the petition to the board of governors for its action.  Action of 
the executive director or board of governors denying a petition for reinstatement 
may be reviewed upon petition to the Supreme Court of Florida. 
 
(c) Members Who Have Retired or Been Delinquent for Less Than 5 
Years, But More Than 3 Years.  Members who have retired or been delinquent 
for less than 5 years, but more than 3 years, must have completed 10 hours of 
continuing legal education courses for each year or portion of a year that the 
member had retired or was deemed delinquent. 
 
(d) Members Who Have Retired or Been Delinquent for 5 Years or 
More.  Members who have retired or have been deemed delinquent for a period of 
5 years or longer will not be reinstated under this rule and must be readmitted upon 
application to and approval by the Florida Board of Bar Examiners and approval 
by the Supreme Court of Florida. 
 
(e) [No Change] 
 
(f) 
Members Delinquent 60 Days or Less.  Reinstatement from 
membership fees delinquency for payment of membership fees or completion of 
continuing legal education or basic skills course requirements 
accomplishedapproved within 60 days from the date of delinquency relates back to 
the dateis effective on the last business day before the delinquency.  Any member 
reinstated within the 60-day period is not subject to disciplinary sanction for 
practicing law in Florida during that time. 
 
(g) [No Change] 
 
 
RULE 3-5.1 
GENERALLY 
 
A judgment entered, finding a member of The Florida Bar guilty of 
misconduct, shallwill include one1 or more of the following disciplinary measures: 
 
(a) Admonishments.  A Supreme Court of Florida order finding minor 
misconduct and adjudging an admonishment may direct the respondent to appear 
before the Supreme Court of Florida, the board of governors, grievance committee, 
or the referee for administration of the admonishment.  A grievance committee 
report and finding of minor misconduct or the board of governors, upon review of 
 
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suchthe report, may direct the respondent to appear before the board of governors 
or the grievance committee for administration of the admonishment.  A 
memorandum of administration of an admonishment shall thereafterwill be made a 
part of the record of the proceeding after the admonishment is administered. 
 
(b) Minor Misconduct.  Minor misconduct is the only type of misconduct 
for which an admonishment is an appropriate disciplinary sanction. 
 
(1) 
Criteria.  In the absence of unusual circumstances misconduct 
shallwill not be regarded as minor if any of the following conditions exist: 
 
(A) – (F) 
[No Change] 
 
(2) 
Discretion of Grievance Committee.  Despite the presence of 1 
or more of the criteria described in subdivision (1) above, aA grievance committee 
may recommend an admonishment for minor misconduct or diversion to a practice 
and professionalism enhancement program when unusual circumstances are 
present, despite the presence of 1 or more of the criteria described in subpart (1) of 
this rule.  When the grievance committee recommends an admonishment for minor 
misconduct or diversion to a practice and professionalism enhancement program 
under suchthese circumstances, its report shallwill contain a detailed explanation of 
the circumstances giving rise to the committee’s recommendation. 
 
(3) 
Recommendation of Minor Misconduct.  If a grievance 
committee finds the respondent guilty of minor misconduct or if the respondent 
shall admits guilt of minor misconduct and the committee concurs, the grievance 
committee shallwill file its report recommending an admonishment, the manner of 
administration, the taxing of costs, and an assessment or administrative fee in the 
amount of $1,250 against the respondent.  The report recommending an 
admonishment shallwill be forwarded to staff counsel and the designated reviewer 
for review.  If staff counsel does not return the report to the grievance committee to 
remedy a defect therein the report, or if the report is not referred to the disciplinary 
review committee by the designated reviewer [as provided in rule 3-7.5(b)], the 
report shallwill then be served on the respondent by bar counsel.  The report and 
finding of minor misconduct shall becomes final unless rejected by the respondent 
within 15 days after service of the report.  If rejected by the respondent, the report 
shallwill be referred to bar counsel and referee for trial on complaint of minor 
misconduct to be prepared by bar counsel as in the case of a finding of probable 
cause.  If the report of minor misconduct is not rejected by the respondent, notice 
 
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of the finding of minor misconduct shallwill be given, in writing, to the 
complainant. 
 
(4) 
Rejection of Minor Misconduct Reports.  The rejection by the 
board of governors of a grievance committee report of minor misconduct, without 
dismissal of the case, or remand to the grievance committee, shall beis deemed a 
finding of probable cause.  The rejection of sucha report by a respondent shall beis 
deemed a finding of probable cause for minor misconduct.  UponAt trial before a 
referee following rejection by a respondent of a report of minor misconduct, the 
referee may recommend any discipline authorized under these rules. 
 
(5) 
Admission of Minor Misconduct.  Within 15 days after a finding 
of probable cause by a grievance committee, aA respondent may tender a written 
admission of minor misconduct to bar counsel or to the grievance committee 
within 15 days after a finding of probable cause by a grievance committee.  An 
admission of minor misconduct may be conditioned upon acceptance by the 
grievance committee, but the respondent may not condition the admission of minor 
misconduct upon the method of administration of the admonishment or upon 
nonpayment of costs incurred in the proceedings.  Such aAn admission may be 
tendered after a finding of probable cause (but before the filing of a complaint) 
only if such an admission has not been previously tendered.  If the admission is 
tendered after a finding of probable cause, the grievance committee may consider 
suchthe admission without further evidentiary hearing and may either reject the 
admission, thereby affirming its prior action, or accept the admission and issue its 
report of minor misconduct.  If a respondent’s admission is accepted by the 
grievance committee, the respondent may not thereafterlater reject a report of the 
committee recommending an admonishment for minor misconduct.  If the 
admission of minor misconduct is rejected, suchthe admission shallmay not be 
considered or used against the respondent in subsequent proceedings. 
 
(c) Probation.  The respondent may be placed on probation for a stated 
period of time of not less than 6 months nor more than 5 years or for an indefinite 
period determined by conditions stated in the order.  The judgment shallwill state 
the conditions of the probation, which may include but are not limited to the 
following: 
 
(1) – (2) 
[No Change] 
 
(3) 
the making ofrequired reportsing to a designated agency; 
 
 
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(4) 
the satisfactory completion of a course of study or a paper on 
legal ethics approved by the Supreme Court of Florida; 
 
(5) 
such supervision over fees and trust accounts as the court may 
directs; or 
 
(6) 
[No Change] 
 
The respondent will reimburse the bar for the costs of supervision.  Upon 
failure of a respondent to comply with the conditions of the probation or a finding 
of probable cause as to conduct of the respondent committed during the period of 
probation, tThe respondent may be punished for contempt on petition by The 
Florida Bar, as provided elsewhere in these Rules Regulating The Florida Bar., on 
failure of a respondent to comply with the conditions of the probation or a finding 
of probable cause as to conduct of the respondent committed during the period of 
probation.  An order of the court imposing sanctions for contempt under this rule 
may also terminate the probation previously imposed. 
 
(d) Public Reprimand.  A public reprimand shallwill be administered in 
the manner prescribed in the judgment but all such reprimands shallwill be 
reported in the Southern Reporter.  Due notice shallwill be given to the respondent 
of any proceeding set to administer the reprimand.  The respondent shallmust 
appear personally before the Supreme Court of Florida, the board of governors, 
any judge designated to administer the reprimand, or the referee, if required, and 
suchthis appearance shallwill be made a part of the record of the proceeding. 
 
(e) Suspension.  The respondent may be suspended from the practice of 
law for a definite period of time or an indefinite period thereafter to be determined 
by the conditions imposed by the judgment or order or until further order of the 
court.  During suchthis suspension the respondent shall continues to be a member 
of The Florida Bar but without the privilege of practicing.  A suspension of 90 
days or less shalldoes not require proof of rehabilitation or passage of the Florida 
bar examination and the respondent shallwill become eligible for all privileges of 
members of The Florida Bar upon the expiration of the period of suspension.  A 
suspension of more than 90 days shall requires proof of rehabilitation and may 
require passage of all or part of the Florida bar examination and the respondent 
shallwill not become eligible for all privileges of members of The Florida Bar until 
the court enters an order reinstating the respondent to membership in The Florida 
Bar.  No suspension shallwill be ordered for a specific period of time in excess 
ofmore than 3 years. 
 
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Unless waived or modified by the court on motion of the respondent 
showing good cause, aAn order or opinion imposing a suspension of 90 days or 
less shallwill include a provision that prohibits the respondent from accepting new 
business from the date of the order or opinion until the end of the term of the 
suspension and shallwill provide that the suspension is effective 30 days from the 
date of the order or opinion so that the respondent may close out the practice of 
law and protect the interests of existing clients., unless the court orders otherwise. 
 
Unless waived or modified by the court on motion of the respondent 
showing good cause, aAn order or opinion imposing a suspension of more than 90 
days shallwill include a provision that prohibits the respondent from accepting new 
business from the date of the order or opinion until the date of the court’s order of 
reinstatement and shallwill provide that the suspension is effective 30 days from 
the date of the order or opinion so that the respondent may close out the practice of 
law and protect the interests of existing clients., unless the court orders otherwise. 
 
(f) 
Disbarment.  A judgment of disbarment terminates the respondent’s 
status as a member of the bar.  Permanent disbarment shall precludes readmission.  
A former member who has not been permanently disbarred may only be admitted 
again upon full compliance with the rules and regulations governing admission to 
the bar.  Except as might be otherwise provided in these rules, no application for 
readmission may be tendered within 5 years after the date of disbarment or sucha 
longer period asordered by the court might determine in the disbarment order and 
thereafteror at any time after that date until all court-ordered restitution and 
outstanding disciplinary costs have been paid. 
 
Disbarment is the presumed sanction for lawyers found guilty of theft from a 
lawyer’s trust account or special trust funds received or disbursed by a lawyer as 
guardian, personal representative, receiver, or in a similar capacity such as trustee 
under a specific trust document.  A respondent found guilty of such theft shallwill 
have the opportunity to offer competent, substantial evidence to rebut the 
presumption that disbarment is appropriate. 
 
Unless waived or modified by the court on motion of the respondent, an 
order or opinion imposing disbarment shallwill include a provision that prohibits 
the respondent from accepting new business from the date of the order or opinion 
and shallwill provide that the disbarment is effective 30 days from the date of the 
order or opinion so that the respondent may close out the practice of law and 
protect the interests of existing clients. 
 
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(g) [No Change] 
 
(h) Notice to Clients.  Unless the court orders otherwise, Uponwhen 
service on the respondent is served with of an order of disbarment, disbarment on 
consent, disciplinary revocation, suspension, emergency suspension, emergency 
probation, or placement on the inactive list for incapacity not related to 
misconduct, the respondent shallmust, unless this requirement is waived or 
modified in the court’s order, forthwithimmediately furnish a copy of the order to: 
 
(1) 
[No Change] 
 
(2) 
all opposing counsel or co-counsel in the matters listed in (1), 
above; and 
 
(3) 
all courts, tribunals, or adjudicative agencies before which the 
respondent is counsel of record.; and 
 
(4) 
all state, federal, or administrative bars of which respondent is a 
member. 
 
Within 30 days after service of the order the respondent shallmust furnish 
bar counsel with a sworn affidavit listing the names and addresses of all persons 
and entities that have been furnished copies of the order. 
 
(i) 
[No Change] 
 
(j) 
Restitution.  In addition to any of the foregoing disciplinary sanctions 
and any disciplinary sanctions authorized elsewhere in these rules, the respondent 
may be ordered or agree to pay restitution to a complainant or other person if the 
disciplinary order finds that the respondent has received a clearly excessive, illegal, 
or prohibited fee or that the respondent has converted trust funds or property.  In 
such instances tThe amount of restitution shallwill be specifically set forth in the 
disciplinary order or agreement and shallwill not exceed the amount by which a fee 
is clearly excessive, in the case of a prohibited or illegal fee shallwill not exceed 
the amount of suchthe fee, or in the case of conversion shallwill not exceed the 
amount of the conversion established in disciplinary proceedings.  The disciplinary 
order or agreement shallwill also state to whom restitution shallmust be made and 
the date by which it shallmust be completed.  Failure to comply with the order or 
agreement shallwill cause the respondent to become a delinquent member and will 
 
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not preclude further proceedings under these rules.  The respondent must provide 
the bar with telephone numbers and current addresses of all individuals or entities 
to whom the respondent is ordered to pay restitution. 
 
 
RULE 3-5.2 
EMERGENCY SUSPENSION AND INTERIM 
PROBATION OR INTERIM PLACEMENT ON THE 
INACTIVE LIST FOR INCAPACITY NOT RELATED 
TO MISCONDUCT 
 
(a) 
Petition for Emergency Suspension. 
 
(1) 
Great Public Harm.  On petition of The Florida Bar, authorized 
by its president, president-elect, or executive director, supported by 1 or more 
affidavits demonstrating facts personally known to the affiants that, if unrebutted, 
would establish clearly and convincingly that an attorneya lawyer appears to be 
causing great public harm, the Supreme Court of Florida may issue an order 
suspending the said attorneylawyer on an emergency basis. 
 
(2) 
Discipline by Foreign Jurisdiction.  On petition of The Florida 
Bar, authorized by its president, president-elect, or executive director, supported by 
a certified copy of an order of a foreign disciplinary jurisdiction suspending or 
disbarring an attorneya lawyer from the practice of law, the Supreme Court of 
Florida may issue an order suspending the attorneylawyer on an emergency basis.  
See subdivision (l) of rule 3-7.2. 
 
A petition for emergency suspension shallwill also constitute a formal 
complaint.  The respondent shallwill have 20 days after docketing by the Supreme 
Court of Florida of its order granting the bar’s petition for emergency suspension 
in which to file an answer and any affirmative defenses to the bar’s petition. 
 
(b) Petition for Interim Probation or Interim Placement on the 
Inactive List for Incapacity Not Related to Misconduct.  On petition of The 
Florida Bar, authorized by its president, president-elect, or executive director, 
supported by 1 or more affidavits demonstrating facts personally known to the 
affiants that, if unrebutted, would establish clearly and convincingly that 
conditions or restrictions on a lawyer’s privilege to practice law in Florida are 
necessary for protection of the public, the Supreme Court of Florida may issue an 
order placing said lawyer on interim probation, the conditions of which shall be as 
provided in rule 3-5.1(c); or placing the lawyer on the inactive list for incapacity 
 
- 20 - 
not related to misconduct as provided in rule 3-7.13.  The Supreme Court of 
Florida may issue an order placing a lawyer on interim probation, under the 
conditions provided in subdivision (c) of rule 3-5.1 or placing the lawyer on the 
inactive list for incapacity not related to misconduct as provided in rule 3-7.13.  
Such order may be issued upon petition of The Florida Bar, authorized by its 
president, president-elect, or executive director, supported by 1 or more affidavits 
demonstrating facts personally known to the affiants that, if unrebutted, would 
establish clearly and convincingly that conditions or restrictions on a lawyer’s 
privilege to practice law in Florida are necessary for protection of the public.  This 
petition shallwill also constitute the formal complaint.  The respondent shallwill 
have 20 days after docketing by the Supreme Court of Florida of its order granting 
the bar’s petition for interim probation in which to file an answer and any 
affirmative defenses to the bar’s petition. 
 
(c) Trust Accounts.  Any order of emergency suspension or probation that 
restricts the attorney in maintaining a trust account shall, whenwill be served on 
the respondent and any bank or other financial institution maintaining an account 
against which said attorneythe respondent may make withdrawals,.  The order will 
serve as an injunction to prevent saidthe bank or financial institution from making 
further payment from suchthe trust account or accounts on any obligation except in 
accordance with restrictions imposed by the court through subsequent orders 
issued by a court-appointed referee.  Bar counsel will serve a copy of the Supreme 
Court of Florida’s order freezing a lawyer’s trust account via first class mail on the 
bank(s) in which the respondent’s trust account is held. 
 
(1) 
The court’s order appointing a referee under this rule may 
authorize the referee to determine entitlement to funds in the frozen trust account.  
Any client or third party claiming to be entitled to funds in the frozen trust account 
must file a petition requesting release of frozen trust account funds with the referee 
appointed in the case, accompanied by proof of entitlement to the funds. 
 
(2) 
Bar counsel and bar auditors will provide information to the 
appointed referee from bar audits and other existing information regarding persons 
claiming ownership of frozen trust account funds.  The bar will notify persons 
known to bar staff  in writing via regular first class mail of their possible interest in 
funds contained in the frozen trust account.  The notices will include a copy of the 
form of a petition requesting release of frozen trust account funds, to be filed with 
the referee and instructions for completing the form.  The bar will publish, in the 
local county or city newspaper published where the lawyer practiced before 
suspension, a notice informing the public that the lawyer’s trust account has been 
 
- 21 - 
frozen and those persons with claims on the funds should contact listed bar counsel 
within 30 days after publication whenever possible. 
 
(A)  If there are no responses to the notices mailed and 
published by the bar within 90 days from the date of the notice or if the amount in 
the frozen trust account is over $100,000, a receiver may be appointed by the 
referee to determine the person rightfully entitled to the frozen trust funds.  The 
receiver will be paid from the corpus of the trust funds unless the referee orders 
otherwise. 
 
(B)  In all other instances, a referee shall determine who is 
entitled to funds in the frozen trust account, unless the amount in the frozen trust 
account is $5,000 or less and no persons with potential entitlement to frozen trust 
account funds respond to the bar’s mailed or published notices within 90 days from 
the date of the notice.  In such event, the funds will be unfrozen. 
 
(d) Referee Review of Frozen Trust Account Petitions.  The referee will 
determine when and how to pay the claim of any person entitled to funds in the 
frozen trust account after reviewing the bar’s audit report, the lawyer’s trust 
account records, the petitions filed or the receiver’s recommendations.  If the bar’s 
audit report or other reliable evidence shows that funds have been stolen or 
misappropriated from the lawyer’s trust account, then the referee may hold a 
hearing.  Subchapter 3-7 will not apply to a referee hearing under this rule.  No 
pleadings will be filed, only petitions requesting release of frozen trust account 
funds.  The parties to this referee proceeding will be those persons filing a petition 
requesting release of frozen trust account funds.  The bar will not be a party to the 
proceeding.  The referee’s order will be the final order in the matter unless one of 
the parties petitions for review of the referee’s order to the Supreme Court of 
Florida.  The sole issue before the referee will be determination of ownership of 
the frozen trust account funds.  The referee will determine the percentage of 
monies missing from the respondent’s trust account and the amounts owing to 
those petitioners requesting release of frozen trust account funds.  A pro rata 
distribution is the method of distribution when there are insufficient funds in the 
account to pay all claims in full.  The referee’s decision is subject only to direct 
petition for review of the referee’s final order by a party claiming an ownership 
interest in the frozen trust funds.  The petition for review must be filed within 60 
days of the referee’s final order.  The schedule for filing of briefs in the appellate 
process will be as set forth in subchapter 3-7 of these rules. 
 
 
- 22 - 
(e) Separate Funds in Frozen Trust Accounts.  The referee will order 
return of any separate funds to their rightful owner(s) in full upon their filing a 
petition requesting release of frozen trust account funds with proof of entitlement 
to the funds.  Separate funds are monies deposited into the respondent’s trust 
account after the misappropriation, which are not affected by the misappropriation, 
and funds that have been placed into a separate segregated individual trust account 
under the individual client’s tax identification number. 
 
(df) New Cases and Existing Clients.  Any order of emergency suspension 
issued under this rule shallwill immediately preclude the attorney from accepting 
any new cases and unless otherwise ordered permit the attorney to continue to 
represent existing clients for only the first 30 days after issuance of suchan 
emergency order.  Any fees paid to the suspended attorney during the 30-day 
period shallwill be deposited in a trust account from which withdrawals may be 
made only in accordance with restrictions imposed by the court. 
 
(eg) Motions for Dissolution.  The lawyer may move at any time for 
dissolution or amendment of an emergency order by motion filed with the Supreme 
Court of Florida, a copy of which will be served on bar counsel.  SuchThe motion 
shallwill not stay any other proceedings and applicable time limitations in the case 
and, unless the motion fails to state good cause or is procedurally barred as an 
invalid successive motion, shallwill immediately be assigned to a referee 
designated by the chief justice.  The filing of suchthe motion shallwill not stay the 
operation of an order of emergency suspension or interim probation entered under 
this rule. 
 
(fh) Appointment of Referee.  UpoOn entry of an order of suspension or 
interim probation, as provided above, the Supreme Court of Florida shallwill 
promptly appoint or direct the appointment of a referee.  On determination that 
funds have been misappropriated from a lawyer’s trust account as provided above, 
the Supreme Court of  Florida will promptly appoint or direct the appointment of a 
referee. 
 
(gi)  
Hearing on Petition to Terminate or Modify Suspension.  The 
referee shallwill hear a motion to terminate or modify a suspension or interim 
probation imposed under this rule within 7 days of assignment and submit a report 
and recommendation to the Supreme Court of Florida within 7 days of the date of 
the hearing.  The referee shallwill recommend dissolution or amendment, 
whichever is appropriate, to the extent that bar counsel cannot demonstrate a 
 
- 23 - 
likelihood of prevailing on the merits on any element of the underlying rule 
violations. 
 
(hj) Successive Motions Prohibited.  Successive motions for dissolution 
shallwill be summarily dismissed by the Supreme Court of Florida to the extent 
that they raise issues that were or with due diligence could have been raised in a 
prior motion. 
 
(ik)  
Review by the Supreme Court of Florida.  UpoOn receipt of the 
referee’s recommended order on the motion for dissolution or amendment, the 
Supreme Court of Florida shallwill review and act upon the referee’s findings and 
recommendations regarding emergency suspensions and interim probations.  This 
subdivision does not apply to a referee’s final order to determine ownership of 
funds in frozen trust accounts.  These final orders of referee are reviewable by the 
Supreme Court of Florida only if a party timely files a petition for review pursuant 
to this rule.  Briefing schedules following the petition for review will be as set 
forth in subchapter 3-7 of these rules. 
 
(jl)  
Hearings on Issues Raised in Petitions for Emergency 
Suspension or Interim Probation and Sanctions.  Once the Supreme Court of 
Florida has granted a petition for emergency suspension or interim probation as set 
forth in this rule, the referee appointed by the court shallwill hear the matter in the 
same manner as provided in rule 3-7.6, except that the referee shallwill hear the 
matter after the lawyer charged shall havehas answered the charges in the petition 
for emergency suspension or interim probation or when the time has expired for 
filing an answer.  The referee shallwill issue a final report and recommendation 
within 90 days of appointment.  If the time limit specified in this subdivision is not 
met, that portion of an emergency order imposing a suspension or interim 
probation shallwill be automatically dissolved, except upon order of the Supreme 
Court of Florida, provided that any other appropriate disciplinary action on the 
underlying conduct still may be taken. 
 
(km) 
Proceedings in the Supreme Court of Florida.  Consideration of 
the referee’s report and recommendation shallregarding emergency suspension and 
interim probation will be expedited in the Supreme Court of Florida.  If oral 
argument is granted, the chief justice shallwill schedule oral argument as soon as 
practicable. 
 
 
- 24 - 
(ln)  
Waiver of Time Limits.  The respondent may at any time waive 
the time requirements set forth in this rule by written request made to and approved 
by the referee assigned to hear the matter. 
 
 
RULE 3-5.3 
 
DIVERSION OF DISCIPLINARY CASES TO PRACTICE 
AND PROFESSIONALISM ENHANCEMENT 
PROGRAMS 
 
(a) – (b) 
[No Change] 
 
(c) Limitation on Diversion.  A respondent who has been the subject of a 
prior diversion within 7 years shall not be is not eligible for diversion for the same 
type of rule violation for a period of 5 years after the earlier diversion.  However, a 
respondent who has been the subject of a prior diversion and then is alleged to 
have violated a completely different type of rule at least 1 year after the initial 
diversion, will be eligible for a practice and professionalism enhancement 
program. 
 
(d) – (l) [No Change] 
 
COMMENT 
 
As to subdivision (c) of 3-5.3, a lawyer who agreed to attend the Advertising 
Workshop in 1 year would not be eligible for another such diversion for an 
advertising violation for a period of 5 years following the first diversion.  
However, that same lawyer would be eligible to attend the Advertising Workshop 
1 year and a Trust Account Workshop for a completely different violation 1 year 
after the first diversion is completed. 
 
 
RULE 3-7.9 
 
CONSENT JUDGMENT 
 
 
(a) – (c) 
[No Change] 
 
 
(d) 
Content of Conditional Pleas.  All conditional pleas shall show 
clearly by reference or otherwise the disciplinary offenses to which the plea is 
made.  All conditional pleas in which the respondent agrees to the imposition of a 
suspension or disbarment shall include an acknowledgment that, unless waived or 
modified by the court on motion of the respondent, the court order accepting the 
 
- 25 - 
conditional plea will contain a provision that prohibits the respondent from 
accepting new business from the date of the order or opinion and shall provide that 
the suspension or disbarment is effective 30 days from the date of the order or 
opinion so that the respondent may close out the practice of law and protect the 
interests of existing clients.  A conditional plea may not permit a respondent to 
begin serving a suspension or disbarment until the Supreme Court of Florida issues 
an order or opinion approving the recommended discipline. 
 
 
(e) – (f) 
[No Change] 
 
 
RULE 3-7.10  
REINSTATEMENT AND READMISSION 
PROCEDURES 
 
(a) [No Change] 
 
(b) Petitions; Form and Contents. 
 
(1) 
Filing.  The original petition for reinstatement and 1 copy must 
be in writing, verified by the petitioner, and addressed to and filed with the 
Supreme Court of Florida in compliance with the Florida Rules of Civil Procedure 
and the Florida Rules of Judicial Administration.  A copy must be served on Staff 
Counsel, The Florida Bar, 651 East Jefferson Street, Tallahassee, Florida 32399-
2300in compliance with applicable court rules.  The petition for reinstatement may 
not be filed until the petitioner has completed at least 80% of the term of that 
lawyer’s period of suspension. 
 
(2) 
Form and Exhibits.  The petition must be in suchthe form and 
accompanied by suchthe exhibits as provided for elsewhere in this rule.  The 
information required concerning the petitioner may include any or all of the 
following matters in addition to suchany other matters asthat may be reasonably 
required to determine the fitness of the petitioner to resume the practice of law: 
criminal and civil judgments; disciplinary judgments; copies of income tax returns 
together with consents to secure original returns; occupation during suspension and 
employment related information; financial statements; and statement of restitution 
of funds that were the subject matter of disciplinary proceedings.  In cases seeking 
reinstatement from incapacity, the petition must also include copies of all 
pleadings in the matter leading to placement on the inactive list and all such other 
matters as may be reasonably required to demonstrate the character and fitness of 
the petitioner to resume the practice of law. 
 
- 26 - 
 
(c) Deposit for Cost.  The petition must be accompanied by proof of a 
deposit paid to The Florida Bar in suchthe amount as the board of governors 
prescribes to ensure payment of reasonable costs of the proceedings, as provided 
elsewhere in this rule. 
 
(d) Reference of Petition Forfor Hearing.  The chief justice will refer the 
petition for reinstatement to a referee for hearing; provided, however, that no such 
referencereferral will be made until evidence is submitted showing that all costs 
assessed against the petitioner in all disciplinary or incapacity proceedings have 
been paid and restitution has been made. 
 
(e) Bar Counsel.  When a petition for reinstatement is filed, the board of 
governors or staff counsel, if authorized by the board of governors, may appoint 
bar counsel to represent The Florida Bar in the proceeding.  The duties of such 
lawyers arelawyer’s duty is to appear at the hearings and to prepare and present to 
the referee evidence that, in the opinion of the referee or such lawyer, shouldwill 
be considered in passing upon the petition. 
 
(f) 
Determination of Fitness by Referee Hearing.  The referee to whom 
the petition for reinstatement is referred must conduct the hearing as a trial, in the 
same manner, to the extent practical, as provided elsewhere in these rules.  The 
matter to decide isreferee must decide the fitness of the petitioner to resume the 
practice of law.  In determining the fitness of the petitioner to resume the practice 
of lawmaking this determination, the referee will consider whether the petitioner 
has engaged in any disqualifying conduct, the character and fitness of the 
petitioner, and whether the petitioner has been rehabilitated, as further described in 
this subdivision.  All conduct engaged in after the date of admission to The Florida 
Bar is relevant in proceedings under this rule. 
 
(1) 
Disqualifying Conduct.  A record manifesting a deficiency in 
the honesty, trustworthiness, diligence, or reliability of a petitioner may constitute 
a basis for denial of reinstatement.  The following are considered disqualifying 
conduct: 
 
(A) – (N) 
[No Change] 
 
(O) 
any other conduct that reflects adverselyadversely 
reflects upon the character or fitness of the applicant. 
 
 
- 27 - 
(2) 
Determination of Character and Fitness.  In addition to other 
factors in making this determination, the following factors shouldwill be 
considered in assigning weight and significance to prior conduct: 
 
(A) – (J) 
[No Change] 
 
(3) 
Elements of Rehabilitation.  Merely showing that an individual 
is now living as and doing those things that should be done throughout life, 
although necessary to prove rehabilitation, does not prove that the individual has 
undertaken a useful and constructive place in society.  Any petitioner for 
reinstatement from discipline for prior misconduct is required to produce clear and 
convincing evidence of such rehabilitation including, but not limited to, the 
following elements: 
 
(A) – (G) 
[No Change] 
 
The requirement of positive action is appropriate for persons seeking 
reinstatement to the bar as well as for applicants for admission to the bar because 
service to one’s community is an essential obligation of members of the bar. 
 
(4) 
Educational Requirements. 
 
(A) 
[No Change] 
 
(B) 
A petitioner who has been ineligible to practice for 5 
years or more will not be reinstated under this rule until the petitioner has re-taken 
and provided proof in the lawyer’s petition for reinstatement that the lawyer has 
passed both the Florida portions of the Florida Bar Examination and the Multistate 
Professional Responsibility Examination (MPRE). 
 
(g) 
Hearing; Notice; Evidence. 
 
(1) 
Notice.  The referee to whom the petition for reinstatement is 
referred will fix a time and place for hearing, and notice of the hearing will be 
provided at least 10 days prior to the hearing to the petitioner, to lawyers 
representing The Florida Bar, and to such other persons aswho may be designated 
by the appointed referee to whom the petition is referred. 
 
(2) 
[No Change] 
 
 
- 28 - 
(3) 
Failure of Petitioner to be Examined.  For the failure of the 
petitioner to submit to examination as a witness pursuant to notice given, the 
referee will dismiss the petition for reinstatement unless good cause is shown for 
suchthe failure. 
 
(4) 
Summary Procedure.  If after the completion of discovery bar 
counsel is unable to discover any evidence on which denial of reinstatement may 
be based and if no other person provides sameany relevant evidence, bar counsel 
may, with the approval of the designated reviewer and staff counsel, stipulate to 
the issue of reinstatement, including conditions for reinstatement.  The stipulation 
must include a statement of costs as provided elsewhere in these Rules Regulating 
the Florida Bar. 
 
(5) 
[No Change] 
 
(h) – (i) 
[No Change] 
 
(j) 
Recommendation of Referee and Judgment of the Court.  If the 
petitioner is found unfit to resume the practice of law, the petition will be 
dismissed.  If the petitioner is found fit to resume the practice of law, the referee 
will enter a report recommending, and the court may enter an order of, 
reinstatement of the petitioner in The Florida Bar; provided, however, that the 
reinstatement may be conditioned upon the payment of all or part of the costs of 
the proceeding and upon the making of partial or complete restitution to parties 
harmed by the petitioner’s misconduct that led to the petitioner’s suspension of 
membership in The Florida Bar or conduct that led to the petitioner’s incapacity; 
and further provided, however, if suspension or incapacity of the petitioner has 
continued for more than 3 years, the reinstatement may be conditioned upon the 
furnishing of such proof of competency as may be required by the judgment in the 
discretion of the Supreme Court of Florida,. which pProof may include 
certification by the Florida Board of Bar Examiners of the successful completion 
of an examination for admission to The Florida Bar subsequent to the date of the 
suspension or incapacity. 
 
(k) Successive Petitions.  No petition for reinstatement may be filed within 
1 year following an adverse judgment upon a petition for reinstatement filed by or 
on behalf of the same person.  In cases of incapacity no petition for reinstatement 
may be filed within 6 months following an adverse judgment under this rule. 
 
(l) 
Petitions for Reinstatement to Membership in Good Standing. 
 
- 29 - 
 
(1) 
[No Change] 
 
(2) 
Style of Petition.  Petitions must be styled in the Supreme Court 
of Florida and an original and 1 copy filed with the courtSupreme Court of Florida 
in accordance with the court’s filing requirements, including e-filing requirements 
where applicable.  A copy must be served on Staff Counsel, The Florida Bar, 651 
East Jefferson Street, Tallahassee, Florida 32399-2300. 
 
(3) 
Contents of Petition.  The petition must be verified by the 
petitioner and accompanied by a written authorization to the District Director of 
the Internal Revenue Service, authorizing the furnishing of certified copies of the 
petitioner’s tax returns for the past 5 years or since admission to the bar, whichever 
is greater.  The authorization must be furnished on a separate sheet.  The petition 
must have attached as an exhibit a true copy of all disciplinary judgments 
previously entered against the petitioner.  It must also include the petitioner’s 
statement concerning the following: 
 
(A) 
[No Change] 
 
(B) 
the conduct, offense, or misconduct upon which the 
suspension or incapacity was based, together with the date of such suspension or 
incapacity; 
 
(C) 
the names and addresses of all complaining witnesses in 
any disciplinary proceedings that resulted in suspension; and the name and address 
of the referee or judge who heard suchthese disciplinary proceedings or of the trial 
judge, complaining witnesses, and prosecuting lawyer, if suspension was based 
upon conviction of a felony or misdemeanor involving moral turpitude; 
 
(D) 
the nature of the petitioner’s occupation in detail since 
suspension or incapacity, with names and addresses of all partners, associates in 
business, and employers, if any, and dates and duration of all suchthese relations 
and employments; 
 
(E) 
a statement showing the approximate monthly earnings 
and other income of the petitioner and the sources from which all such earnings 
and income were derived during saidthis period; 
 
 
- 30 - 
(F) 
a statement showing all residences maintained during 
saidthis period, with names and addresses of landlords, if any; 
 
(G) – (I) 
[No Change] 
 
(J) 
a statement as to whether any applications were made 
during the period of suspension for a license requiring proof of good character for 
its procurement; and, as tofor each such application, the date and the name and 
address of the authority to whom it was addressed and its disposition; 
 
(K) 
a statement of any procedure or inquiry, during the 
period of suspension, covering the petitioner’s standing as a member of any 
profession or organization, or holder of any license or office, that involved the 
censure, removal, suspension, revocation of license, or discipline of the petitioner; 
and, as to each, the dates, facts, and the disposition, and the name and address of 
the authority in possession of these records; 
 
(L) 
a statement as to whether any charges of fraud were 
made or claimed against the petitioner during the period of suspension, whether 
formal or informal, together with the dates and names and addresses of persons 
making suchthese charges; 
 
(M) [No Change] 
 
(N) 
a statement showing the dates, general nature, and final 
disposition of every civil action in which the petitioner was either a party plaintiff 
or defendant, together with dates of filing of complaints, titles of courts and causes, 
and the names and addresses of all parties and of the trial judge or judges, and 
names and addresses of all witnesses who testified in saidthis action or actions; and 
 
(O) 
a statement showing what amounts, if any, of the costs 
assessed against the accused lawyer in the prior disciplinary proceedings against 
the petitioner have been paid by the petitioner and the source and amount of funds 
used for this purpose. 
 
(4) 
Comments on Petition.  UpoOn the appointment of a referee 
and bar counsel, copies of the petition will be furnished by the bar counsel to local 
board members, local grievance committees, and to such other persons as are 
mentioned in this rule.  Persons or groups that wish to respond must direct their 
comments to bar counsel.  The proceedings and finding of the referee will relate to 
 
- 31 - 
those matters described in this rule and also to those matters tending to show the 
petitioner’s rehabilitation, present fitness to resume the practice of law, and the 
effect of suchthe proposed reinstatement upon the administration of justice and 
purity of the courts and confidence of the public in the profession. 
 
(5) 
[No Change] 
 
(m) – (n) 
[No Change] 
 
COMMENT 
 
[No Change] 
 
 
RULE 4-1.6 
CONFIDENTIALITY OF INFORMATION 
 
(a) [No Change] 
 
(b) When Lawyer Must Reveal Information.  A lawyer must reveal 
suchconfidential information to the extent the lawyer reasonably believes 
necessary: 
 
(1) – (2) [No Change] 
 
(c) When Lawyer May Reveal Information.  A lawyer may reveal 
suchconfidential information to the extent the lawyer reasonably believes 
necessary: 
 
(1) – (2) [No Change] 
 
(3) 
to establish a defense to a criminal charge or civil claim against 
the lawyer based upon conduct in which the client was involved; 
 
(4) 
to respond to allegations in any proceeding concerning the 
lawyer’s representation of the client; or 
 
(5) 
to comply with the Rules Regulating The Florida Bar.; or 
 
(6) 
to detect and resolve conflicts of interest between lawyers in 
different firms arising from the lawyer’s change of employment or from changes in 
 
- 32 - 
the composition or ownership of a firm, but only if the revealed information would 
not compromise the attorney-client privilege or otherwise prejudice the client. 
 
(d) Exhaustion of Appellate Remedies.  When required by a tribunal to 
reveal suchconfidential information, a lawyer may first exhaust all appellate 
remedies. 
 
(e) Inadvertent Disclosure of Information.  A lawyer must make 
reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or 
unauthorized access to, information relating to the representation of a client. 
 
(ef) Limitation on Amount of Disclosure.  When disclosure is mandated 
or permitted, the lawyer must disclose no more information than is required to 
meet the requirements or accomplish the purposes of this rule. 
 
COMMENT 
 
The lawyer is part of a judicial system charged with upholding the law.  One 
of the lawyer’s functions is to advise clients so that they avoid any violation of the 
law in the proper exercise of their rights. 
 
This rule governs the disclosure by a lawyer of information relating to the 
representation of a client during the lawyer’s representation of the client.  See rule 
4-1.18 for the lawyer’s duties with respect to information provided to the lawyer 
by a prospective client, rule 4-1.9(c) for the lawyer’s duty not to reveal information 
relating to the lawyer’s prior representation of a former client, and rules 4-1.8(b) 
and 4-1.9(b) for the lawyer’s duties with respect to the use of suchconfidential 
information to the disadvantage of clients and former clients. 
 
A fundamental principle in the client-lawyer relationship is that, in the 
absence of the client’s informed consent, the lawyer must not reveal information 
relating to the representation.  See terminology for the definition of informed 
consent.  This contributes to the trust that is the hallmark of the client-lawyer 
relationship.  The client is thereby encouraged to seek legal assistance and to 
communicate fully and frankly with the lawyer even as to embarrassing or legally 
damaging subject matter.  The lawyer needs this information to represent the client 
effectively and, if necessary, to advise the client to refrain from wrongful conduct.  
Almost without exception, clients come to lawyers in order to determine their 
rights and what is, in the complex of laws and regulations, deemed to be legal and 
 
- 33 - 
correct.  Based upon experience, lawyers know that almost all clients follow the 
advice given, and the law is upheld. 
 
The principle of confidentiality is given effect in 2 related bodies of law, the 
attorney-client privilege (which includes the work product doctrine) in the law of 
evidence and the rule of confidentiality established in professional ethics.  The 
attorney-client privilege applies in judicial and other proceedings in which a 
lawyer may be called as a witness or otherwise required to produce evidence 
concerning a client.  The rule of client-lawyer confidentiality applies in situations 
other than those where evidence is sought from the lawyer through compulsion of 
law.  The confidentiality rule applies not merely to matters communicated in 
confidence by the client but also to all information relating to the representation, 
whatever its source.  A lawyer may not disclose suchconfidential information 
except as authorized or required by the Rules Regulating The Florida Bar or by 
law.  However, none of the foregoing limits the requirement of disclosure in 
subdivision (b).  This disclosure is required to prevent a lawyer from becoming an 
unwitting accomplice in the fraudulent acts of a client.  See also Scope. 
 
The requirement of maintaining confidentiality of information relating to 
representation applies to government lawyers who may disagree with the policy 
goals that their representation is designed to advance. 
 
 
Authorized disclosure 
 
A lawyer is impliedly authorized to make disclosures about a client when 
appropriate in carrying out the representation, except to the extent that the client’s 
instructions or special circumstances limit that authority.  In litigation, for 
example, a lawyer may disclose information by admitting a fact that cannot 
properly be disputed or in negotiation by making a disclosure that facilitates a 
satisfactory conclusion. 
 
Lawyers in a firm may, in the course of the firm’s practice, disclose to each 
other information relating to a client of the firm, unless the client has instructed 
that particular information be confined to specified lawyers. 
 
 
Disclosure adverse to client 
 
The confidentiality rule is subject to limited exceptions.  In becoming privy 
to information about a client, a lawyer may foresee that the client intends serious 
harm to another person. However, to the extent a lawyer is required or permitted to 
 
- 34 - 
disclose a client’s purposes, the client will be inhibited from revealing facts that 
would enable the lawyer to counsel against a wrongful course of action.  While the 
public may be protected if full and open communication by the client is 
encouraged, several situations must be distinguished. 
 
First, the lawyer may not counsel or assist a client in conduct that is criminal 
or fraudulent.  See rule 4-1.2(d).  Similarly, a lawyer has a duty under rule 4-
3.3(a)(4) not to use false evidence.  This duty is essentially a special instance of the 
duty prescribed in rule 4-1.2(d) to avoid assisting a client in criminal or fraudulent 
conduct. 
 
Second, the lawyer may have been innocently involved in past conduct by 
the client that was criminal or fraudulent.  In such athis situation the lawyer has not 
violated rule 4-1.2(d), because to "counsel or assist" criminal or fraudulent conduct 
requires knowing that the conduct is of that character. 
 
Third, the lawyer may learn that a client intends prospective conduct that is 
criminal.  As stated in subdivision (b)(1), the lawyer must reveal information in 
order to prevent suchthese consequences.  It is admittedly difficult for a lawyer to 
“know” when the criminal intent will actually be carried out, for the client may 
have a change of mind. 
 
Subdivision (b)(2) contemplates past acts on the part of a client that may 
result in present or future consequences that may be avoided by disclosure of 
otherwise confidential communications.  Rule 4-1.6(b)(2) would now require the 
lawyer to disclose information reasonably necessary to prevent the future death or 
substantial bodily harm to another, even though the act of the client has been 
completed. 
 
The lawyer’s exercise of discretion requires consideration of such factors as 
the nature of the lawyer’s relationship with the client and with those who might be 
injured by the client, the lawyer’s own involvement in the transaction, and factors 
that may extenuate the conduct in question.  Where practical the lawyer should 
seek to persuade the client to take suitable action.  In any case, a disclosure adverse 
to the client’s interest should be no greater than the lawyer reasonably believes 
necessary to the purpose. 
 
 
Withdrawal 
 
 
- 35 - 
If the lawyer’s services will be used by the client in materially furthering a 
course of criminal or fraudulent conduct, the lawyer must withdraw, as stated in 
rule 4-1.16(a)(1). 
 
After withdrawal the lawyer is required to refrain from making disclosure of 
the client’s confidences, except as otherwise provided in rule 4-1.6.  Neither this 
rule nor rule 4-1.8(b) nor rule 4-1.16(d) prevents the lawyer from giving notice of 
the fact of withdrawal, and the lawyer may also withdraw or disaffirm any opinion, 
document, affirmation, or the like. 
 
Where the client is an organization, the lawyer may be in doubt whether 
contemplated conduct will actually be carried out by the organization.  Where 
necessary to guide conduct in connection with the rule, the lawyer may make 
inquiry within the organization as indicated in rule 4-1.13(b). 
 
 
Dispute concerning lawyer’s conduct 
 
A lawyer’s confidentiality obligations do not preclude a lawyer from 
securing confidential legal advice about the lawyer’s personal responsibility to 
comply with these rules.  In most situations, disclosing information to secure 
suchthis advice will be impliedly authorized for the lawyer to carry out the 
representation.  Even when the disclosure is not impliedly authorized, subdivision 
(c)(5) permits suchthis disclosure because of the importance of a lawyer’s 
compliance with the Rules of Professional Conduct. 
 
Where a legal claim or disciplinary charge alleges complicity of the lawyer 
in a client’s conduct or other misconduct of the lawyer involving representation of 
the client, the lawyer may respond to the extent the lawyer reasonably believes 
necessary to establish a defense.  The same is true with respect to a claim involving 
the conduct or representation of a former client.  The lawyer’s right to respond 
arises when an assertion of such complicity has been made.  Subdivision (c) does 
not require the lawyer to await the commencement of an action or proceeding that 
charges such complicity, so that the defense may be established by responding 
directly to a third party who has made such anthe assertion.  The right to defend, of 
course, applies where a proceeding has been commenced.  Where practicable and 
not prejudicial to the lawyer’s ability to establish the defense, the lawyer should 
advise the client of the third party’s assertion and request that the client respond 
appropriately.  In any event, disclosure should be no greater than the lawyer 
reasonably believes is necessary to vindicate innocence, the disclosure should be 
made in a manner that limits access to the information to the tribunal or other 
 
- 36 - 
persons having a need to know it, and appropriate protective orders or other 
arrangements should be sought by the lawyer to the fullest extent practicable. 
 
If the lawyer is charged with wrongdoing in which the client’s conduct is 
implicated, the rule of confidentiality should not prevent the lawyer from 
defending against the charge.  Such aA charge can arise in a civil, criminal, or 
professional disciplinary proceeding and can be based on a wrong allegedly 
committed by the lawyer against the client or on a wrong alleged by a third person; 
for example, a person claiming to have been defrauded by the lawyer and client 
acting together.  A lawyer entitled to a fee is permitted by subdivision (c) to prove 
the services rendered in an action to collect it.  This aspect of the rule expresses the 
principle that the beneficiary of a fiduciary relationship may not exploit it to the 
detriment of the fiduciary.  As stated above, the lawyer must make every effort 
practicable to avoid unnecessary disclosure of information relating to a 
representation, to limit disclosure to those having the need to know it, and to obtain 
protective orders or make other arrangements minimizing the risk of disclosure. 
 
 
Disclosures otherwise required or authorized 
 
The attorney-client privilege is differently defined in various jurisdictions.  
If a lawyer is called as a witness to give testimony concerning a client, absent 
waiver by the client, rule 4-1.6(a) requires the lawyer to invoke the privilege when 
it is applicable.  The lawyer must comply with the final orders of a court or other 
tribunal of competent jurisdiction requiring the lawyer to give information about 
the client. 
 
The Rules of Professional Conduct in various circumstances permit or 
require a lawyer to disclose information relating to the representation.  See rules 4-
2.3, 4-3.3, and 4-4.1.  In addition to these provisions, a lawyer may be obligated or 
permitted by other provisions of law to give information about a client.  Whether 
another provision of law supersedes rule 4-1.6 is a matter of interpretation beyond 
the scope of these rules, but a presumption should exist against such a 
supersession. 
 
 
Detection of Conflicts of Interest 
 
Subdivision (c)(6) recognizes that lawyers in different firms may need to 
disclose limited information to each other to detect and resolve conflicts of interest, 
for example, when a lawyer is considering an association with another firm, two or 
more firms are considering a merger, or a lawyer is considering the purchase of a 
 
- 37 - 
law practice.  See comment to rule 4-1.17.  Under these circumstances, lawyers 
and law firms are permitted to disclose limited information, but only once 
substantive discussions regarding the new relationship have occurred.  Any 
disclosure should ordinarily include no more than the identity of the persons and 
entities involved in a matter, a brief summary of the general issues involved, and 
information about whether the matter has terminated.  Even this limited 
information, however, should be disclosed only to the extent reasonably necessary 
to detect and resolve conflicts of interest that might arise from the possible new 
relationship.  The disclosure of any information is prohibited if it would 
compromise the attorney-client privilege or otherwise prejudice the client (e.g., the 
fact that a corporate client is seeking advice on a corporate takeover that has not 
been publicly announced; that a person has consulted a lawyer about the possibility 
of divorce before the person’s intentions are known to the person’s spouse; or that 
a person has consulted a lawyer about a criminal investigation that has not led to a 
public charge).  Under those circumstances, subdivision (a) prohibits disclosure 
unless the client or former client gives informed consent.  A lawyer’s fiduciary 
duty to the lawyer’s firm may also govern a lawyer’s conduct when exploring an 
association with another firm and is beyond the scope of these rules. 
 
Any information disclosed under this subdivision may be used or further 
disclosed only to the extent necessary to detect and resolve conflicts of interest.  
This subdivision does not restrict the use of information acquired by means 
independent of any disclosure under this subdivision.  This subdivision also does 
not affect the disclosure of information within a law firm when the disclosure is 
otherwise authorized, for example, when a lawyer in a firm discloses information 
to another lawyer in the same firm to detect and resolve conflicts of interest that 
could arise in connection with undertaking a new representation. 
 
 
Acting Competently to Preserve Confidentiality 
 
Paragraph (e) requires a lawyer to act competently to safeguard information 
relating to the representation of a client against unauthorized access by third parties 
and against inadvertent or unauthorized disclosure by the lawyer or other persons 
who are participating in the representation of the client or who are subject to the 
lawyer’s supervision.  See rules 4-1.1, 4-5.1 and 4-5.3.  The unauthorized access 
to, or the inadvertent or unauthorized disclosure of, information relating to the 
representation of a client does not constitute a violation of paragraph (e) if the 
lawyer has made reasonable efforts to prevent the access or disclosure.  Factors to 
be considered in determining the reasonableness of the lawyer’s efforts include, 
but are not limited to, the sensitivity of the information, the likelihood of disclosure 
 
- 38 - 
if additional safeguards are not employed, the cost of employing additional 
safeguards, the difficulty of implementing the safeguards, and the extent to which 
the safeguards adversely affect the lawyer’s ability to represent clients (e.g., by 
making a device or important piece of software excessively difficult to use).  A 
client may require the lawyer to implement special security measures not required 
by this rule or may give informed consent to forgo security measures that would 
otherwise be required by this rule.  Whether a lawyer may be required to take 
additional steps to safeguard a client’s information in order to comply with other 
law, for example state and federal laws that govern data privacy or that impose 
notification requirements on the loss of, or unauthorized access to, electronic 
information, is beyond the scope of these rules.  For a lawyer’s duties when 
sharing information with nonlawyers outside the lawyer’s own firm, see the 
comment to rule 4-5.3. 
 
When transmitting a communication that includes information relating to the 
representation of a client, the lawyer must take reasonable precautions to prevent 
the information from coming into the hands of unintended recipients.  This duty, 
however, does not require that the lawyer use special security measures if the 
method of communication affords a reasonable expectation of privacy.  Special 
circumstances, however, may warrant special precautions.  Factors to be 
considered in determining the reasonableness of the lawyer’s expectation of 
confidentiality include the sensitivity of the information and the extent to which 
the privacy of the communication is protected by law or by a confidentiality 
agreement.  A client may require the lawyer to implement special security 
measures not required by this rule or may give informed consent to the use of a 
means of communication that would otherwise be prohibited by this rule.  Whether 
a lawyer may be required to take additional steps in order to comply with other 
law, for example state and federal laws that govern data privacy, is beyond the 
scope of these rules. 
 
 
Former client 
 
The duty of confidentiality continues after the client-lawyer relationship has 
terminated.  See rule 4-1.9 for the prohibition against using such information to the 
disadvantage of the former client. 
 
 
RULE 4-1.17  
SALE OF LAW PRACTICE 
 
 
- 39 - 
A lawyer or a law firm may sell or purchase a law practice, or an area of 
practice, including good will, provided that: 
 
(a) [No Change] 
 
(b) Notice to Clients.  Written notice is served by certified mail, return 
receipt requested, upon each of the seller’s clients of: 
 
(1) – (3) [No Change] 
 
(c) Court Approval Required.  If a representation involves pending 
litigation, there shallwill be no substitution of counsel or termination of 
representation unless authorized by the court.  The seller may disclose, in camera, 
to the court information relating to the representation only to the extent necessary 
to obtain an order authorizing the substitution of counsel or termination of 
representation. 
 
(d) Client Objections.  If a client objects to the proposed substitution of 
counsel, the seller shallmust comply with the requirements of rule 4-1.16(d). 
 
(e) Consummation of Sale.  A sale of a law practice shallmay not be 
consummated until: 
 
(1) 
with respect to clients of the seller who were served with 
written notice of the proposed sale, the 30-day period referred to in subdivision 
(b)(3) has expired or all suchthese clients have consented to the substitution of 
counsel or termination of representation; and 
 
(2) 
court orders have been entered authorizing substitution of 
counsel for all clients who could not be served with written notice of the proposed 
sale and whose representations involve pending litigation; provided, in the event 
the court fails to grant a substitution of counsel in a matter involving pending 
litigation, that matter shallmay not be included in the sale and the sale otherwise 
shallwill be unaffected.  Further, the matters not involving pending litigation of 
any client who cannot be served with written notice of the proposed sale shallmay 
not be included in the sale and the sale otherwise shallwill be unaffected. 
 
(f) 
Existing Fee Contracts Controlling.  The purchaser shallmust honor 
the fee agreements that were entered into between the seller and the seller’s clients.  
The fees charged clients shallmay not be increased by reason of the sale. 
 
- 40 - 
 
COMMENT 
 
The practice of law is a profession, not merely a business.  Clients are not 
commodities that can be purchased and sold at will.  In accordance with the 
requirements of this rule, when a lawyer or an entire firm sells the practice and 
other lawyers or firms take over the representation, the selling lawyer or firm may 
obtain compensation for the reasonable value of the practice as may withdrawing 
partners of law firms.  See rules 4-5.4 and 4-5.6. 
 
The requirement that all of the private practice, or all of an area of practice, 
be sold is satisfied if the seller in good faith makes the entire practice, or area of 
practice, available for sale to the purchasers.  The fact that a number of the seller’s 
clients decide not to be represented by the purchasers but take their matters 
elsewhere, therefore, does not result in a violation.  Similarly, a violation does not 
occur merely because a court declines to approve the substitution of counsel in the 
cases of a number of clients who could not be served with written notice of the 
proposed sale. 
 
Sale of entire practice or entire area of practice 
 
The rule requires that the seller’s entire practice, or an area of practice, be 
sold.  The prohibition against sale of less than an entire practice area protects those 
clients whose matters are less lucrative and who might find it difficult to secure 
other counsel if a sale could be limited to substantial fee-generating matters.  The 
purchasers are required to undertake all client matters in the practice, or practice 
area, subject to client consent or court authorization.  This requirement is satisfied, 
however, even if a purchaser is unable to undertake a particular client matter 
because of a conflict of interest. 
 
Client confidences, consent, and notice 
 
Negotiations between seller and prospective purchaser prior to disclosure of 
information relating to a specific representation of an identifiable client do not 
violate the confidentiality provisions of rule 4-1.6 any more than do preliminary 
discussions concerning the possible association of another lawyer or mergers 
between firms, with respect to which client consent ordinarily is not required.  See 
rule 4-1.6(c)(6).  Providing the prospective purchaser access to client-
specificdetailed information relating to the representation, for example, and to the 
file, however, requires client consent or court authorization.  See rule 4-1.6.  Rule 
 
- 41 - 
4-1.17 provides that the seller must attempt to serve each client with written notice 
of the contemplated sale, including the identity of the purchaser and the fact that 
the decision to consent to the substitution of counsel or to make other arrangements 
must be made within 30 days.  If nothing is heard within that time from a client 
who was served with written notice of the proposed sale, that client’s consent to 
the substitution of counsel is presumed.  However, with regard to clients whose 
matters involve pending litigation but who could not be served with written notice 
of the proposed sale, authorization of the court is required before the files and 
client-specific information relating to the representation of those clients may be 
disclosed by the seller to the purchaser and before counsel may be substituted. 
 
A lawyer or law firm selling a practice cannot be required to remain in 
practice just because some clients cannot be served with written notice of the 
proposed sale.  Because these clients cannot themselves consent to the substitution 
of counsel or direct any other disposition of their representations and files, with 
regard to clients whose matters involve pending litigation the rule requires an order 
from the court authorizing the substitution (or withdrawal) of counsel.  The court 
can be expected to determine whether reasonable efforts to locate the client have 
been exhausted, and whether the absent client’s legitimate interests will be served 
by authorizing the substitution of counsel so that the purchaser may continue the 
representation.  Preservation of client confidences requires that the petition for a 
court order be considered in camera.  If, however, the court fails to grant 
substitution of counsel in a matter involving pending litigation, that matter 
shallmay not be included in the sale and the sale may be consummated without 
inclusion of that matter. 
 
The rule provides that matters not involving pending litigation of clients who 
could not be served with written notice may not be included in the sale.  This is 
because the clients’ consent to disclosure of confidential information and to 
substitution of counsel cannot be obtained and because the alternative of court 
authorization ordinarily is not available in matters not involving pending litigation.  
Although suchthese matters shallmay not be included in the sale, the sale may be 
consummated without inclusion of those matters. 
 
If a client objects to the proposed substitution of counsel, the rule treats the 
seller as attempting to withdraw from representation of that client and, therefore, 
provides that the seller must comply with the provisions of rule 4-1.16 concerning 
withdrawal from representation.  Additionally, the seller must comply with 
applicable requirements of law or rules of procedure. 
 
 
- 42 - 
All the elements of client autonomy, including the client’s absolute right to 
discharge a lawyer and transfer the representation to another, survive the sale of 
the practice or an area of practice. 
 
Fee arrangements between client and purchaser 
 
The sale may not be financed by increases in fees charged the clients of the 
practice.  Existing agreements between the seller and the client as to fees and the 
scope of the work must be honored by the purchaser.  This obligation of the 
purchaser is a factor that can be taken into account by seller and purchaser when 
negotiating the sale price of the practice. 
 
Other applicable ethical standards 
 
Lawyers participating in the sale of a law practice or a practice area are 
subject to the ethical standards applicable to involving another lawyer in the 
representation of a client for all matters pending at the time of the sale.  These 
include, for example, the seller’s ethical obligation to exercise competence in 
identifying a purchaser qualified to assume the practice and the purchaser’s 
obligation to undertake the representation competently (see rule 4-1.1); the 
obligation to avoid disqualifying conflicts, and to secure the client’s informed 
consent for those conflicts that can be agreed to (see rule 4-1.7 regarding conflicts 
and see the terminology section of the preamble for the definition of informed 
consent); and the obligation to protect information relating to the representation 
(see rules 4-1.6, 4-1.8(b), and 4-1.9(b) and (c)).  If the terms of the sale involve the 
division between purchaser and seller of fees from matters that arise subsequent to 
the sale, the fee-division provisions of rule 4-1.5 must be satisfied with respect to 
suchthese fees.  These provisions will not apply to the division of fees from matters 
pending at the time of sale. 
 
If approval of the substitution of the purchasing attorney for the selling 
attorney is required by the rules of any tribunal in which a matter is pending, such 
approval must be obtained before the matter can be included in the sale (see rule 4-
1.16). 
 
Applicability of this rule 
 
This rule applies, among other situations, to the sale of a law practice by 
representatives of a lawyer who is deceased, disabled, or has disappeared.  It is 
possible that a nonlawyer, who is not subject to the Rules of Professional Conduct, 
 
- 43 - 
might be involved in the sale.  When the practice of a lawyer who is deceased, is 
disabled, or has disappeared is being sold, the notice required by subdivision (b) of 
this rule must be given by someone who is legally authorized to act on the selling 
lawyer’s behalf, such asfor example, a personal representative or a guardian.  This 
is because the sale of a practice and transfer of representation involve legal rights 
of the affected clients. 
 
Bona fide admission to, withdrawal from, or retirement from a law 
partnership or professional association, retirement plans and similar arrangements, 
and a sale of tangible assets of a law practice, do not constitute a sale or purchase 
governed by this rule. 
 
 
RULE 4-5.3 
 
RESPONSIBILITIES REGARDING NONLAWYER 
ASSISTANTS 
 
(a) [No Change] 
 
(b) Supervisory Responsibility.  With respect to a nonlawyer employed or 
retained by or associated with a lawyer or an authorized business entity as defined 
elsewhere in these Rules Regulating The Florida Bar: 
 
(1) 
a partner, and a lawyer who individually or together with other 
lawyers possesses comparable managerial authority in a law firm, shallmust make 
reasonable efforts to ensure that the firm has in effect measures giving reasonable 
assurance that the person’s conduct is compatible with the professional obligations 
of the lawyer; 
 
(2) 
a lawyer having direct supervisory authority over the nonlawyer 
shallmust make reasonable efforts to ensure that the person’s conduct is compatible 
with the professional obligations of the lawyer; and 
 
(3) 
a lawyer shall beis responsible for conduct of such a person that 
would be a violation of the Rules of Professional Conduct if engaged in by a 
lawyer if the lawyer: 
 
(A) 
the lawyer orders or, with the knowledge of the specific 
conduct, ratifies the conduct involved; or 
 
 
- 44 - 
(B) 
the lawyer is a partner or has comparable managerial 
authority in the law firm in which the person is employed, or has direct supervisory 
authority over the person, and knows of the conduct at a time when its 
consequences can be avoided or mitigated but fails to take reasonable remedial 
action. 
 
(c) Ultimate Responsibility of Lawyer.  Although paralegals or legal 
assistants may perform the duties delegated to them by the lawyer without the 
presence or active involvement of the lawyer, the lawyer shallmust review and be 
responsible for the work product of the paralegals or legal assistants. 
 
COMMENT 
 
Lawyers generally employ assistants in their practice, including secretaries, 
investigators, law student interns, and paraprofessionals such as paralegals and 
legal assistants.  Such assistants, whether employees or independent contractors, 
act for the lawyer in rendition of the lawyer’s professional services.  A lawyer must 
give such assistants appropriate instruction and supervision concerning the ethical 
aspects of their employment, particularly regarding the obligation not to disclose 
information relating to representation of the client.  The measures employed in 
supervising nonlawyers should take account of the level of their legal training and 
the fact that they are not subject to professional discipline.  If an activity requires 
the independent judgment and participation of the lawyer, it cannot be properly 
delegated to a nonlawyer employee. 
 
Subdivision (b)(1) requires lawyers with managerial authority within a law 
firm to make reasonable efforts to establish internal policies and procedures 
designed to provideensure that the firm has in effect measures giving reasonable 
assurance that nonlawyers in the firm and nonlawyers outside the firm who work 
on firm matters will act in a way compatible with the Rules of Professional 
Conductprofessional obligations of the lawyer.  See comment to rule 1.1 (retaining 
lawyers outside the firm) and comment to rule 4-5.1 (responsibilities with respect 
to lawyers within a firm).  Subdivision (b)(2) applies to lawyers who have 
supervisory authority over the work of a nonlawyernonlawyers within or outside 
the firm.  Subdivision (b)(3) specifies the circumstances in which a lawyer is 
responsible for conduct of a nonlawyernonlawyers within or outside the firm that 
would be a violation of the Rules of Professional Conduct if engaged in by a 
lawyer. 
 
 
- 45 - 
Nothing provided in this rule should be interpreted to mean that a nonlawyer 
may have any ownership or partnership interest in a law firm, which is prohibited 
by rule 4-5.4.  Additionally, this rule woulddoes not permit a lawyer to accept 
employment by a nonlawyer or group of nonlawyers, the purpose of which is to 
provide the supervision required under this rule.  SuchThis conduct is prohibited 
by rules 4-5.4 and 4-5.5. 
 
Nonlawyers Outside the Firm 
 
A lawyer may use nonlawyers outside the firm to assist the lawyer in 
rendering legal services to the client.  Examples include the retention of an 
investigative or paraprofessional service, hiring a document management company 
to create and maintain a database for complex litigation, sending client documents 
to a third party for printing or scanning, and using an Internet-based service to 
store client information.  When using these services outside the firm, a lawyer must 
make reasonable efforts to ensure that the services are provided in a manner that is 
compatible with the lawyer’s professional obligations.  The extent of this 
obligation will depend on the circumstances, including the education, experience 
and reputation of the nonlawyer; the nature of the services involved; the terms of 
any arrangements concerning the protection of client information; and the legal and 
ethical environments of the jurisdictions in which the services will be performed, 
particularly with regard to confidentiality.  See also rules 4-1.1 (competence), 4-1.2 
(allocation of authority), 4-1.4 (communication with client), 4-1.6 (confidentiality), 
4-5.4 (professional independence of the lawyer), and 4-5.5 (unauthorized practice 
of law).  When retaining or directing a nonlawyer outside the firm, a lawyer should 
communicate directions appropriate under the circumstances to give reasonable 
assurance that the nonlawyer’s conduct is compatible with the professional 
obligations of the lawyer. 
 
Where the client directs the selection of a particular nonlawyer service 
provider outside the firm, the lawyer ordinarily should agree with the client 
concerning the allocation of responsibility for monitoring as between the client and 
the lawyer.  See Rule 1.2.  When making this allocation in a matter pending before 
a tribunal, lawyers and parties may have additional obligations that are a matter of 
law beyond the scope of these rules. 
 
 
 
- 46 - 
RULE 5-1.1  TRUST ACCOUNTS 
(a) 
Nature of Money or Property Entrusted to Attorney. 
(1) Trust Account Required; Location of Trust Account; Commingling 
Prohibited.  A lawyer shallmust hold in trust, separate from the lawyer’s own 
property, funds and property of clients or third persons that are in a lawyer’s 
possession in connection with a representation.  All funds, including advances 
for fees, costs, and expenses, shallmust be kept in a separate bank or savings 
and loan association account maintained in the state where the lawyer’s office 
is situated or elsewhere with the consent of the client or third person and 
clearly labeled and designated as a trust account except:  
(A) 
A lawyer may maintain funds belonging to the lawyer in the 
lawyer’s trust account in an amount no more than is reasonably sufficient 
to pay bank charges relating to the trust account; and 
(B) 
A lawyer may deposit the lawyer’s own funds into trust to 
replenish a shortage in the lawyer’s trust account.  Any deposits by the 
lawyer to cover trust account shortages must be no more than the amount 
of the trust account shortage, but may be less than the amount of the 
shortage.  The lawyer must notify the bar’s lawyer regulation department 
immediately of the shortage in the lawyer’s trust account, the cause of the 
shortage, and the amount of the replenishment of the trust account by the 
lawyer. 
(2) Compliance Withwith Client Directives.  Trust funds may be separately 
held and maintained other than in a bank or savings and loan association 
account if the lawyer receives written permission from the client to do so and 
provided that written permission is received before maintaining the funds other 
than in a separate account. 
(3) Safe Deposit Boxes.  If a member of the barlawyer uses a safe deposit 
box to store trust funds or property, the memberlawyer shallmust advise the 
institution in which the deposit box is located that it may include property of 
clients or third persons. 
(b) Application of Trust Funds or Property to Specific Purpose.  [no 
change] 
(c) Liens Permitted.  [no change] 
 
- 47 - 
(d) Controversies as to Amount of Fees.  [no change] 
(e) Notice of Receipt of Trust Funds; Delivery; Accounting.  [no change] 
(f) Disputed Ownership of Trust Funds.  [no change] 
(g) 
Interest on Trust Accounts (IOTA) Program. 
 (1) Definitions.  As used hereinin this rule, the term: 
(A) 
[no change] 
(B) 
[no change] 
(C) 
[no change] 
(D) 
"Eligible Institution" means any bank or savings and loan 
association authorized by federal or state laws to do business in Florida and 
insured by the Federal Savings and Loan Insurance CorporationFederal 
Deposit Insurance Corporation, or any successor insurance corporation(s) 
established by federal or state laws, or any open-end investment company 
registered with the Securities and Exchange Commission and authorized by 
federal or state laws to do business in Florida, all of which must meet the 
requirements set out in subdivision (5), below. 
(E) 
[no change] 
(h) Interest on Funds That Are Not Nominal or Short-Term.  [no change] 
(i) Unidentifiable Trust Fund Accumulations and Trust Funds Held for 
Missing Owners.  [no change] 
(j) Disbursement Againstagainst Uncollected Funds.  [no change] 
(k) Overdraft Protection Prohibited.  [no change] 
COMMENT 
[no change] 
 
- 48 - 
RULE 5-1.2 
 
TRUST ACCOUNTING RECORDS AND PROCEDURES 
 
(a) (c) 
[No Change] 
 
(d) Minimum Trust Accounting Procedures.  The minimum trust 
accounting procedures that must be followed by all members of The Florida Bar 
(when a choice of laws analysis indicates that the laws of Florida apply) who 
receive or disburse trust money or property are as follows: 
 
(1) 
The lawyer is required to make monthly: 
 
(A) 
[No Change] 
 
(B) 
a comparison between the total of the reconciled balances 
of all trust accounts and the total of the trust ledger cards or pages, together with 
specific descriptions of any differences between the 2 totals and reasons for these 
differences. 
 
(2) – (5) 
[No Change] 
 
(e) [No Change] 
 
(f) 
Record Retention.  A lawyer or law firm that receives and disburses 
client or third-party funds or property must maintain the records required by this 
chapter for 6 years subsequent to the final conclusion of each representation in 
which the trust funds or property were received. 
 
(1) 
On dissolution of a law firm or of any legal professional 
corporation, the partners shall make reasonable arrangements for the maintenance 
and retention of client trust account records specified in this rule. 
 
(2) 
On the sale of a law practice, the seller must make reasonable 
arrangements for the maintenance and retention of trust account records specified 
in this rule consistent with other requirements regarding the sale of a law firm set 
forth in Chapter 4 of these rules. 
 
(g) Audits.  Any of the following are cause for The Florida Bar to order an 
audit of a trust account: 
 
(1) – (7) 
[No Change] 
 
- 49 - 
 
(8) 
upon court order; or 
 
(9) 
upon entry of an order of disbarment, on consent or otherwise. 
 
(h) – (i) 
[No Change]  
 
 
RULE 6-12.3  
REQUIREMENT 
 
(a) Course Components.  Compliance with BSCR shall includes: 
 
(1) 
in-person attendance at a 1-daycompletion of a Practicing with 
Professionalism program sponsored by the YLD; and 
 
(2) 
[No Change] 
 
(b) Time for Completion.  BSCR shallmust be completed as follows: 
 
(1) 
the Practicing with Professionalism program shallmust be 
completed no sooner than 12 months prior to or no later than 12 months following 
admission to The Florida Bar; and 
 
(2) 
the 3 elective, basic, substantive continuing legal education 
programs shallmust be completed during the member’s initial 3-year continuing 
legal education requirement reporting cycle assigned upon admission to The 
Florida Bar.  
 
 
RULE 10-7.2  
PROCEEDINGS FOR INDIRECT CRIMINAL 
CONTEMPT 
 
(a) Petitions for Indirect Criminal Contempt.  Nothing within these 
rules prohibits or limits the right of the court to issue a permanent injunction in lieu 
of or in addition to any punishment imposed for an indirect criminal contempt. 
 
(1) 
[No Change] 
 
(2) 
The respondent, personally or by counsel, may move to dismiss 
the order to show cause, move for a statement of particulars, or answer suchthe 
 
- 50 - 
order by way of explanation or defense.  All motions and the answer must be in 
writing.  A respondent’s omission to file motions or answer will not be deemed an 
admission of guilt of the contempt charged. 
 
(b) Indigency of Respondent.  Any respondent who is determined to be 
indigent by the referee is entitled to the appointment of counsel. 
 
(1) 
[No Change] 
 
(2) 
Determination.  After reviewing the affidavit and questioning 
the respondent, the referee must make one of the following determinations:will 
determine whether the respondent is indigent or the respondent is not indigent. 
 
In making this determination, the referee must consider the applicable 
statutory criteria used by the clerk of court when determining indigent status and 
the applicable statutory factors considered by a court when reviewing that 
determination. 
 
(c) Proceedings Before the Referee.  Proceedings before the referee must 
be in accordance with the following: 
 
(1) – (2) 
[No Change] 
 
(3) 
The respondent will be arraigned and enter a plea at the time of 
the hearing before the referee, or prior upon request.  A subsequent hearing to 
determine the guilt or innocence of the respondent will follow a plea of not guilty.  
The date and time of the subsequent hearing will be set at the arraignment.  The 
respondent is entitled to be represented by counsel, have compulsory process for 
the attendance of witnesses, and confront witnesses against the respondent.  The 
respondent may testify in the respondent’s own defense.  No respondent may be 
compelled to testify.  A presumption of innocence will be accorded the respondent.  
The Florida Bar, which will actacting as prosecuting authority, must prove guilt of 
the respondent beyond a reasonable doubt. 
 
(4) 
Subpoenas for the attendance of witnesses and the production 
of documentary evidence will be issued in the name of the court by the referee 
upon request of a party.  Failure or refusal to comply with any subpoena is a 
contempt of court and may be punished by the court or by any circuit court where 
the action is pending or where the contemnor may be found, as if saidthe refusal 
were a contempt of that court. 
 
- 51 - 
 
(5) 
[No Change] 
 
(6) 
At the conclusion of the hearing, the referee will sign and enter 
of record a judgment of guilty or not guilty.  There should be included in a 
judgment of guilty a recital of the facts constituting the contempt of which the 
respondent has been found and adjudicated guilty, and the costs of prosecution, 
including investigative costs and restitution, if any, will be included and entered in 
the judgment rendered against the respondent.  The amount of restitution must be 
specifically set forth in the judgment and must not exceed the amount paid to 
respondent by complainant(s).  The judgment must also state the name of the 
complainant(s) to whom restitution is to be made, the amount of restitution to be 
made, and the date by which it shallmust be completed.  The referee has discretion 
over the timing of payments, over how those payments are to be distributed to 
multiple complainant(s), and whether restitution will bear interest at the legal rate 
provided for judgments in this state.  In determining the amount of restitution to be 
paid to complainant(s), the referee will consider any documentary evidence that 
shows the amount paid to respondent by complainant(s), including cancelled 
checks, credit card receipts, receipts from respondent, and any other documentation 
evidencing the amount of payment.  Nothing in this section precludes an individual 
from seeking redress through civil proceedings to recover fees or other damages. 
 
(7) 
Prior to the pronouncement of a recommended sentence upon a 
judgment of guilty, the referee will inform the respondent of the accusation and 
judgment and afford the opportunity to present evidence of mitigating 
circumstances.  The recommended sentence will be pronounced in open court and 
in the presence of the respondent. 
 
(d) 
Record. 
 
(1) 
Contents.  The record must includes all items properly filed in 
the cause including pleadings, recorded testimony, if transcribed, exhibits in 
evidence, and the report of the referee. 
 
(2) 
[No Change] 
 
(3) 
Supplementing or Removing Items from the Record.  The 
respondent and The Florida Bar may seek to supplement the record or have items 
removed from the record by filing a motion with the referee for suchthat purpose, 
provided suchthe motion is filed within 15 days of the service of the index.  Denial 
 
- 52 - 
of a motion to supplement the record or to remove an item from the record may be 
reviewed in the same manner as provided for in the rule on appellate review under 
these rules. 
 
(e) Review by the Supreme Court of Florida.  The judgment and 
recommended sentence, upon a finding of “guilty,” together with the entire record 
of proceedings must be forwarded to the Supreme Court of Florida for approval, 
modification, or rejection based upon the law.  The petitioner or the respondent 
may file objections, together with a supporting brief or memorandum of law, to the 
referee’s judgment and recommended sentence within 30 days of the date of filing 
with the court of the referee’s judgment, recommended sentence, and record of 
proceedings, or in the case where a party seeks review of a referee’s denial to 
supplement or remove an item from the record, within 30 days after the court 
issues its ruling on that matter.  Denial of a motion to supplement the record or to 
remove an item from the record may be reviewed in the same manner as provided 
for in the rule on appellate review under these rules. 
 
The Florida Bar may file a responsive brief or memorandum of law within 
20 days after service of respondent’s brief or memorandum of law.  The 
respondent may file a reply brief or memorandum of law within 20 days after 
service of The Florida Bar’s responsive brief or memorandum of law.A responsive 
brief or memorandum of law may be filed within 20 days after service of the initial 
brief or memorandum of law.  A reply brief or memorandum of law may be filed 
within 20 days after service of the responsive brief or memorandum of law. 
 
(f) – (g) 
[No Change]