Supreme Court of Florida

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No. SC18-1683

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IN RE: AMENDMENTS TO THE RULES REGULATING THE FLORIDA 

BAR—BIENNIAL PETITION.

January 4, 2019

CORRECTED OPINION

PER CURIAM.

This matter is before the Court on the petition of The Florida Bar (Bar) 

proposing amendments to the Rules Regulating the Florida Bar (Bar Rules). We 

have jurisdiction. See art. V, § 15, Fla. Const.

The Bar’s petition in this case proposes amendments to the following 

existing Bar Rules: 1-3.7 (Reinstatement to Membership); 2-3.11 (Quorum); 2-9.2 

(Standing Board Policies); 2-9.4 (Ethics); 2-9.6 (Rules of Order); 2-9.7 (Insurance 

for Members of Board of Governors, Officers, Grievance Committee Members, 

UPL Committee Members, Clients’ Security Fund Committee Members, and 

Employees); 3-7.2 (Procedures upon Criminal or Professional Misconduct; 

Discipline upon Determination or Judgment of Guilt of Criminal Misconduct; 

Discipline on Removal from Judicial Office); 3-7.10 (Reinstatement and 
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Readmission Procedures); 3-7.11 (General Rules of Procedure); 4-1.2 (Objectives 

and Scope of Representation); 4-1.5 (Fees and Costs for Legal Services); 4-1.10 

(Imputation of Conflicts of Interest; General Rule); 4-1.19 (Collaborative Law 

Process in Family Law); 4-5.8 (Procedures for Lawyers Leaving Law Firms and 

Dissolution of Law Firms); 4-6.5 (Voluntary Pro Bono Plan); 4-8.3 (Reporting 

Professional Misconduct); 6-1.2 (Public Notice); 6-10.3 (Minimum Continuing 

Legal Education Standards); 14-6.1 (Binding Nature; Enforcement; and Effect of 

Failure to Pay Award); 14-7.1 (Immunity and Confidentiality); 18-1.2 

(Definitions); 20-3.1 (Requirements for Registration); 20-5.2 (Duty to Update); 20-

6.1 (Generally); 20-8.3 (Complaint Processing); and 20-8.6 (Disposition of 

Complaints). Additionally, the Bar proposes deleting Bar Rules 2-9.8 (Practice 

Resource Institute) and 3-7.15 (Amendments) in their entirety because they are 

duplicative of subdivisions of other Bar Rules. The proposals were approved by 

the Board of Governors and formal notice of the proposed amendments was 

published in The Florida Bar News, which invited comments from interested 

parties. No comments were received.

After having fully considered the Bar’s petition, we adopt most of the 

amendments as proposed by the Bar and delete rules 2-9.8 and 3-7.15 in their 

entirety, as proposed by the Bar. However, as discussed below, we decline to 
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adopt portions of the amendments proposed to rule 3-7.2, and we adopt modified 

amendments to rule 20-3.1. We discuss the more significant amendments below.

First, we amend Bar Rule 1-3.7 to increase the required number of 

continuing legal education hours in subdivision (c) for retired or delinquent 

attorneys seeking reinstatement from ten to eleven hours for each year or partial 

year of retirement or delinquency. Subdivision (g)(2) is also amended to require 

inactive members who are seeking reinstatement to complete thirty-three hours of 

continuing legal education, rather than thirty hours. These changes are made 

following this Court’s opinion in In re Amendments to Rules Regulating the 

Florida Bar 4-1.1 & 6-10.3, 200 So. 3d 1225 (Fla. 2016), in which the three-year 

continuing legal education requirement was increased from thirty hours to thirtythree hours.

Next, we amend Bar Rules 2-3.11, 2-9.2, and 2-9.6 to allow the Bar, and 

divisions thereof, to conduct electronic meetings. Specifically, Bar Rule 2-3.11 is 

renamed to “Electronic Meetings” and is rewritten to explicitly allow the Bar and 

divisions thereof to conduct electronic meetings. The title of Bar Rule 2-9.2 is 

amended to read “Adoption, Amendment, and Waiver of Standing Board Policies 

and Rules of Order,” and the text of the rule is amended to provide that in addition 

to standing board policies, the Board of Governors may adopt “special rules of 

order governing parliamentary procedures.” The text of Bar Rule 2-9.6 is amended 
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to provide that Robert’s Rules of Order is the parliamentary authority that governs 

meetings of the Bar to the extent that it does not conflict with any standing board 

policies or special rules of order; if there is a conflict, the standing board policies 

or special rules of order will control.

We next amend Bar Rule 3-7.2 to make clear that it is an attorney’s duty to 

report pending criminal charges and any judgment thereon to the Bar. Several 

subdivisions throughout the rule are rewritten for readability and to make clear the 

duties imposed by the rule, and upon whom those duties are imposed. However, 

we decline to adopt the Bar’s proposed amendment to subdivision (f) that would 

make discretionary the Bar’s now-mandatory duty to file a Notice of 

Determination or Judgment of Guilt with the Court upon discovery that an attorney 

has been adjudicated guilty of a felony. Although the Bar expresses concern over 

having no discretion in cases involving a finding of guilt of a felony that requires 

no intent because the rule provides for the automatic interim suspension of the 

attorney, we find that the seriousness of having been found guilty of a felony 

offense militates in favor of this Court retaining the ability to review the 

circumstances surrounding the finding of guilt. Accordingly, we decline to adopt 

the Bar’s proposed amendment in this regard. We note, however, that any concern 

that a sanction resulting from having been found guilty of a felony offense that 

requires no intent will be too severe is addressed by the procedures already present 
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in the rule; subdivision (h) provides that the matter will be referred to a referee 

who can make a recommendation to the Court as to the appropriate sanction for the 

attorney’s conduct, which the Court considers in imposing the final discipline.

We next amend subdivision (f)(4)(B) of Bar Rule 3-7.10 to make clear that 

attorneys seeking reinstatement that are required under that subdivision to 

complete the Florida bar examination or a portion thereof must have proof of 

having passed the required portions of the examination prior to filing a petition for 

reinstatement under that rule.

Additionally, we amend subdivision (h) within Bar Rule 4-1.5 to replace the 

provision that “[n]o higher fee shall be charged and no additional charge shall be 

imposed by reason of a lawyer’s or law firm’s participation in a credit plan” with a 

statement that “[l]awyers may charge clients the actual charge the credit plan 

imposes on the lawyer for the client’s transaction.” By so doing, we hereby allow 

lawyers to pass on the actual costs resulting directly from a client’s choice to pay a 

bill or invoice with a credit card, or make payments under a credit plan, to that 

client.

We next amend Bar Rule 6-10.3 to require that one of the five credit hours 

of continuing legal education per three-year reporting cycle that is required to 

concern legal ethics, professionalism, bias elimination, substance abuse, or mental 

illness awareness must concern professionalism. Additionally, we amend the 
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definition of “supervising lawyer” contained in Bar Rule 18-1.2(c) to make clear 

that a supervising lawyer under that rule must be “eligible to practice law in 

Florida.”

Next, we amend various rules governing the Florida Registered Paralegal 

Program. First, we amend Bar Rule 20-3.1 to create an additional category of 

individuals who may become Florida Registered Paralegals; however, we modify 

the language proposed by the Bar to create the category for those with “a juris 

doctorate degree from an American Bar Association accredited institution and 

membership in good standing with a state bar association other than Florida’s, with 

no minimum paralegal work experience.” We also amend Bar Rule 20-5.2 to 

provide that the Bar will notify a registered paralegal’s supervising or employing 

attorney of any changes to the paralegal’s registration status. Further, we amend 

Bar Rule 20-6.1 to increase the continuing education requirement for registered 

paralegals from thirty hours every reporting cycle to thirty-three hours, and 

requiring three of those hours to concern technology. Additionally, we increase 

the number of continuing education hours required for re-registering after 

resigning or having one’s registration revoked from ten hours to eleven. These 

increases are consistent with recent increases that we have made with regard to 

required continuing legal education requirements for lawyers. Last, we amend 

subdivision (e) of Bar Rule 20-8.3 to require a registered paralegal to notify the 
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supervising attorney if a complaint has been filed against the paralegal pursuant to 

that rule.

Finally, we delete two rules in their entirety because they are duplicative of 

provisions found elsewhere in the rules. Bar Rule 2-9.8 is deleted as duplicative of 

Bar Rule 2-3.2(d)(7). Additionally, Bar Rule 3-7.15 is deleted as duplicative of 

Bar Rule 1-12.1(f).

Accordingly, the Court adopts the amendments to the Rules Regulating the 

Florida Bar as set forth in the appendix to this opinion. Deletions are indicated by 

struck-through type, and new language is indicated by underscoring. The 

comments are offered for explanation and guidance only and are not adopted as an 

official part of the rules. The amendments shall become effective on March 5, 

2019.

It is so ordered.

CANADY, C.J., and PARIENTE, LEWIS, QUINCE, POLSTON, LABARGA, 

and LAWSON, JJ., concur.

NO MOTION FOR REHEARING WILL BE ALLOWED.

Original Proceeding – Rules Regulating The Florida Bar

Joshua E. Doyle, Executive Director, Michelle R. Suskauer, President, John 

Stewart, President-Elect, Lori S. Holcomb, Director, Division of Ethics and 

Consumer Protection, and Elizabeth Clark Tarbert, Ethics Counsel, The Florida 

Bar, Tallahassee, Florida, 

for Petitioner
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APPENDIX

CHAPTER 1 GENERAL

1-3 MEMBERSHIP

RULE 1-3.7 REINSTATEMENT TO MEMBERSHIP

(a) Eligibility for Reinstatement. Members who have retired or been 

delinquent for a period of time not in excess of 5 years are eligible for 

reinstatement under this rule. Time will be calculated from the day of the 

retirement or delinquency.

Inactive members may also seek reinstatement under this rule.

(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 include all required information on a form 

approved by the board of governors. 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 be 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.

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 on 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 complete 1011 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 the Florida Board of Bar Examiners and approval by the Supreme 

Court of Florida.
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(e) Members Who Have Permanently Retired. Members who have 

permanently retired will not be reinstated under this rule.

(f) Members Delinquent 60 Days or Less. Reinstatement from delinquency 

for payment of membership fees or completion of continuing legal education or 

basic skills course requirements approved within 60 days from the date of 

delinquency is 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) Inactive Members. Inactive members may be reinstated to active 

membership in good standing to become eligible to practice law in Florida by 

petition filed with the executive director, in the form and as provided in (b) above, 

except:

(1) If the member has been inactive for greater than 5 years, has been 

authorized to practice law in another jurisdiction, and either actively practiced 

law in that jurisdiction or held a position that requires a license as a lawyer for 

the entire period of time, the member will be required to complete the Florida 

Law Update continuing legal education course as part of continuing legal 

education requirements.

(2) If the member has been inactive for greater than 5 years and does not 

meet the requirements of subdivision (1), the member will be required to 

complete the basic skills course requirement and the 30-hour33-hour

continuing legal education requirement.

(3) An inactive member is not eligible for reinstatement until all applicable 

continuing legal education requirements have been completed and the 

remaining portion of membership fees for members in good standing for the 

current fiscal year have been paid.

CHAPTER 2 BYLAWS OF THE FLORIDA BAR

2-3 BOARD OF GOVERNORS

BYLAW 2-3.11 QUORUMELECTRONIC MEETINGS

A majority of the members of the board of governors shall constitute a quorum 

for the transaction of business at all meetings.Electronic meetings are authorized 

for all meetings of The Florida Bar; its board of governors; the executive 

committee and committees of its board of governors; and its sections, divisions, 

and committees. Special rules of order pertaining to the conduct of electronic 

meetings may be adopted by the board of governors.
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2-9 POLICIES AND RULES 

BYLAW 2-9.2 ADOPTION, AMENDMENT, AND WAIVER OF

STANDING BOARD POLICIES AND RULES OF ORDER

The board of governors shallmay adopt standing board policies governing the 

internal administration and operation and special rules of order governing 

parliamentary procedures of The Florida Bar and the board of governors. The 

board of governors may adopt, amend, or rescind standing board policies and 

special rules of order by a majority vote of the membership of the board of 

governors provided any amendment to any standing board policy or special rules 

of order shallis not be effective until 30 days after adoption or another date 

specifically approved by the board of governors. Such standingStanding board 

policies and special rules of order may be adopted, rescinded, or amended by a 

majority vote of those present at any regular meeting of the board of governors 

provided advance written notice is given to the members of the board of governors 

of the proposed adoption, repeal, or amendment of any standing board policy or 

special rules of order. The provision of any standing board policy or special rule 

of order may be waived by a two-thirds vote of those present at any regular 

meeting of the board of governors.

BYLAW 2-9.4 ETHICS

(a) Rules of Procedure. The board of governors shall adopts rules of 

procedure governing the manner in which opinions on professional ethics may be 

solicited by members of The Florida Bar, issued by the staff of The Florida Bar or 

by the professional ethics committee, circulated or published by the staff of The 

Florida Bar or by the professional ethics committee, and appealed to the board of 

governors of The Florida Bar.

(b) Amendment. The adoption of, repeal of, or amendment to the rules 

authorized by subdivision (a) shall beis effective only under the following 

circumstances:

(1) The proposed rule, repealer, or amendment shall beis approved by a 

majority vote of the board of governors at any regular meeting of the board of 

governors.

(2) The proposal thereafter shall beis published in The Florida Bar 

NewsNews at least 20 days preceding the next regular meeting of the board of 

governors.
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(3) The proposal shall thereafter receives a majority vote of the board of 

governors at its meeting following publication as herein required.

(c) Waiver. The rules of procedure adopted as required in subdivision (a) 

may be temporarily waived as to any particular matter only upon unanimous vote 

of those present at any regular meeting of the board of governors.

(d) Confidentiality. Each advisory opinion issued by Florida Bar ethics 

counsel shallwill be identified as a "staff opinion" and shall be available for 

inspection or production. The names and any identifying information of any 

individuals mentioned in a staff opinion shallwill be deleted before the staff 

opinion is released to anyone other than the member of The Florida Bar making the 

original request for the advisory opinion.

(e) Disqualification as AttorneyLawyer Due to Conflict.

(1) Members of the Professional Ethics Committee (PEC), Members of the 

Board of Governors, and Employees of The Florida Bar. No member of the 

PEC, the board of governors, or employee of The Florida Bar shall represent a 

party other than The Florida Bar in proceedings for the issuance of opinions on 

professional ethics authorized under these Rules Regulating The Florida Bar.

(2) Former Members of the PEC, Former Board Members, and Former 

Employees. No former member of the PEC, former member of the board of 

governors, or former employee of The Florida Bar shall represent any party 

other than The Florida Bar in proceedings for the issuance of opinions on 

professional ethics authorized under these rules if personally involved to any 

degree in the matter while a member of the PEC, a member of the board of 

governors, or an employee of The Florida Bar.

A former member of the PEC, former member of the board of governors, 

or former employee of The Florida Bar who did not participate personally in 

any way in the matter or any related matter in which the attorney seeks to be a 

representative, and who did not serve in a supervisory capacity over such 

matter, shall not represent any party except The Florida Bar in proceedings for 

the issuance of opinions on professional ethics authorized under these rules for 

1 year after such service without the express consent of the board.

(3) Partners, Associates, Employers, or Employees of the Firms of PEC 

Members or Board of Governors Members Precluded From Representing 

Parties Other Than The Florida Bar. Members of the firms of board of 

governors members or PEC members shall not represent any party other than 
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The Florida Bar in proceedings for the issuance of opinions on professional 

ethics authorized under these rules without the express consent of the board.

(4) Partners, Associates, Employers, or Employees of the Firms of Former 

PEC Members or Former Board of Governors Members Precluded From 

Representing Parties Other Than The Florida Bar. Attorneys in the firms of 

former board of governors members or former PEC members shall not 

represent any party other than The Florida Bar in proceedings for the issuance 

of opinions on professional ethics authorized under these rules for 1 year after 

the former member's service without the express consent of the board.

(1) Representation Prohibited. Lawyers may not represent any person or 

entity other than The Florida Bar in proceedings for the issuance of opinions on 

professional ethics authorized by these rules if they are:

(A) currently serving on the professional ethics committee or the board 

of governors;

(B) employees of The Florida Bar; or

(C) former members of the professional ethics committee, former 

members of the board of governors, or former employees of The Florida 

Bar if personally involved to any degree in the matter while a member of 

the professional ethics committee or the board of governors, or while an 

employee of The Florida Bar.

(2) Representation Permitted With Consent by the Board of Governors. 

Lawyers may represent a person or entity other than The Florida Bar in 

proceedings for the issuance of opinions on professional ethics authorized by 

these rules only after receiving consent from the executive director or board of 

governors if they are:

(A) former members of the professional ethics committee, former 

members of the board of governors, or former employees of The Florida 

Bar who did not participate personally in any way in the matter or in any 

related matter in which the lawyer seeks to be a representative and who did 

not serve in a supervisory capacity over the matter within 1 year of the 

service or employment;

(B) a partner, associate, employer, or employee of a member of the 

professional ethics committee or a member of the board of governors; or
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(C) a partner, associate, employer, or employee of a former member of 

the professional ethics committee or a former member of the board of 

governors within 1 year of the former member’s service on the professional 

ethics committee or board of governors.

(3) Participation in Issuance of Ethics Proceedings for Oneself. The 

disqualification under this rule does not prohibit lawyers described above from 

participating on their own behalf in proceedings for the issuance of opinions on 

professional ethics authorized by these rules and the Florida Bar Procedures for 

Ruling on Questions of Ethics.

BYLAW 2-9.6 RULES OF ORDER

The current edition of Robert's Rules of Order shall be the rules thatis the 

parliamentary authority that governs the conduct of all meetings of The Florida 

Bar, its board of governors, its sections, divisions, and committees, except for 

Robert’s Rules of Order that are inconsistent with these bylaws and the bar’s 

Special Rules of Order as set forth in the Standing Board Policies or in section or 

division bylaws.

BYLAW 2-9.7 INSURANCE FOR MEMBERS OF BOARD OF 

GOVERNORS, OFFICERS, GRIEVANCE COMMITTEE MEMBERS, UPL 

COMMITTEE MEMBERS, CLIENTS' SECURITY FUND COMMITTEE 

MEMBERS, AND EMPLOYEES

AppropriateThe bar will provide insurance coverage for members of the board 

of governors, officers of The Florida Bar, members of UPL, clients’ security fund, 

and grievance committees, and employees of The Florida Bar shall be provided as 

authorized by the budget committee and included in the budget. The bar will 

indemnify officers, board of governors, UPL, clients’ security fund, and grievance 

committee members and bar employees as provided in the standing board policies. 

To the extent the person is not covered by insurance, The Florida Bar shall 

indemnify any officer, board member, UPL, clients' security fund, or grievance 

committee member, or employee of The Florida Bar who was or is a party, or is 

threatened to be made a party to any threatened, pending, or completed action, suit, 

or proceeding, whether civil, criminal, administrative, or investigative (other than 

an action by The Florida Bar), by reason of the fact that the person is or was an 

officer, board member, UPL, clients' security fund, or grievance committee 

member, or employee of The Florida Bar, against expenses (including attorneys' 

fees), judgments, fines, and amounts paid in settlement, actually and reasonably 

incurred by the person in connection with such action, suit, or proceeding, 
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including any appeal thereof, if the person acted in good faith and in a manner 

reasonably believed to be in, or not opposed to, the best interests of The Florida 

Bar, and with respect to any criminal action or proceeding, had no reasonable 

cause to believe the conduct was unlawful. The termination of any action, suit, or 

proceeding by judgment, order, settlement, or conviction or upon a plea of nolo 

contendere or its equivalent shall not of itself create a presumption that the person 

did not act in good faith and in a manner that the person reasonably believed to be 

in, or not opposed to, the best interests of The Florida Bar, or with respect to any 

criminal action or proceeding, had reasonable cause to believe that the conduct was 

unlawful.

BYLAW 2-9.8 PRACTICE RESOURCE INSTITUTERESERVED FOR 

FUTURE USE

The board of governors creates the Practice Resource Institute and will adopt 

standing board policies, as provided in bylaw 2-9.2, that govern the operation of 

the institute.

CHAPTER 3 RULES OF DISCIPLINE

3-7 PROCEDURES

RULE 3-7.2 PROCEDURES UPON CRIMINAL OR PROFESSIONAL 

MISCONDUCT; DISCIPLINE UPON DETERMINATION OR JUDGMENT 

OF GUILT OF CRIMINAL MISCONDUCT; DISCIPLINE ON REMOVAL 

FROM JUDICIAL OFFICE

(a) Definitions.

(1) Judgment of Guilt. For the purposes of these rules, “judgment of guilt” 

includes only those cases in which the trial court in the criminal proceeding 

enters an order adjudicating the respondent guilty of the offense(s) charged.

(2) Determination of Guilt. For the purposes of these rules, “determination 

of guilt” includes those cases in which the trial court in the criminal proceeding 

enters an order withholding adjudication of the respondent’s guilt of the 

offense(s) charged, those cases in which the convicted lawyer has entered a 

plea of guilty to criminal charges, those cases in which the convicted lawyer 

has entered a no contest plea to criminal charges, those cases in which the jury 

has rendered a verdict of guilty of criminal charges, and those cases in which 

the trial judge in a bench trial has rendered a verdict of guilty of criminal 

charges.
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(3) Convicted Lawyer. For the purposes of these rules, “convicted lawyer” 

means a lawyer who has had either a determination or judgment of guilt 

entered by the trial court in the criminal proceeding.

(b) Determination or Judgment of Guilt, Admissibility; Proof of Guilt. 

Determination or judgment of guilt of a member of The Florida Bar by a court of 

competent jurisdiction upon trial of or plea to any crime under the laws of this 

state, or under the laws under which any other court making suchthe determination 

or entering suchthe judgment exercises its jurisdiction, is admissible in proceedings 

under these rules and is conclusive proof of guilt of the criminal offense(s) charged 

for the purposes of these rules.

(c) Notice of Institution of Felony Criminal Charges. Upon the institution 

of a felony criminal charge against a member of The Florida Bar by the filing of an 

indictment or information theAny member of The Florida Bar who is the subject of 

a felony criminal charge must within 10 days of the institution of the felony 

criminal charges notify the executive director of The Florida Bar of suchthe

charges within 10 days of the filing of the indictment or information and include a 

copy of the indictment or information. Notice includes a copy of the document(s) 

evidencing institution of the charges.

If the state attorney whose office is assigned to a felony criminal case is aware 

that the defendant is a member of The Florida Bar, the state attorney must provide 

a copy of the indictment or information to the executive director.

(d) Notice of Determination or Judgment of Guilt of Felony Charges.

(1) Trial Judge. If any such determination or judgment is entered in a 

court of the State of Florida, theThe trial judge must, within 10 days of the date 

on which the determination or judgment is entered, give notice provide a 

certified copy of the determination or judgment of guilt of a felony offense to 

the executive director of The Florida Bar and include a certified copy of the 

document(s) on which the determination or judgment was enteredwithin 10

days of its entry.

(2) Clerk of Court. If any such determination or judgment is entered in a 

court of the State of Florida, theThe clerk of that court must, within 10 days of 

the date on which the determination or judgment is entered, give notice provide 

a certified copy of the determination or judgment of guilt of a felony offense to 

the executive director and include a certified copy of the document(s) on which 

the determination or judgment was enteredwithin 10 days of its entry.
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(3) State Attorney. If the state attorney whose office is assigned to a 

felony criminal case is aware that the defendant is a member of The Florida 

Bar, theThe state attorney whose office is assigned that case must give notice 

ofprovide a copy of the documents evidencing the determination or judgment 

of guilt of a felony offense to the executive director the determination or 

judgment of guilt to the executive director and include a copy of the 

document(s) evidencing such determination or judgmentif the state attorney is 

aware that the defendant is a member of The Florida Bar.

(e) Notice of Self-Reporting by Members of Determination or Judgment 

of Guilt of All Criminal Charges. 

A member of The Florida Bar must within 10 days of entry of a determination 

or judgment for any criminal offense, which was entered on or after August 1, 

2006, notify the executive director of The Florida Bar of such determination or 

judgment. Notice must includeprovide a copy of the document(s) on which such 

determination or judgment was enteredentering a determination or judgment for 

any criminal offense against that member entered on or after August 1, 2006 to the 

executive director within 10 days of its entry.

(f) Suspension by Judgment of Guilt (Felonies). Upon receiving notice that 

a member of the bar has been determined to be or adjudicated guilty of a felony, 

the barThe Florida Bar will file a “Notice of Determination or Judgment of Guilt” 

or a consent judgment for disbarment or disciplinary revocation in the Supreme 

Court of Florida on receiving notice that a member of the bar has been determined 

to be or adjudicated guilty of a felony. A copy of the document(s) on which the 

determination or judgment is based must be attached to the notice. Upon the filing 

of the notice with the Supreme Court of Florida and service of such notice upon the 

respondent, theThe respondent is suspended as a member of The Florida Bar as 

defined in rule 3-5.1(e) on filing of the notice with the Supreme Court of Florida 

and service of the notice on the respondent.

(g) Petition to Modify or Terminate Suspension. At any time after the filing 

of a notice of determination or judgment of guilt, theThe respondent may file a 

petition with the Supreme Court of Florida to modify or terminate such suspension 

at any time after the filing of a notice of determination or judgment of guilt.and 

The respondent must serve a copy of the petition on the executive director. The 

filing of such petition will not operate as a stay of the suspension imposed under 

the authority of this rule will not be stayed by filing a petition to modify or 

terminate suspension.
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(h) Appointment of Referee. Upon the entry of an order of suspension, as 

provided above, the supreme court mustThe Supreme Court of Florida will

promptly appoint or direct the appointment of a referee on the entry of an order of 

suspension as provided above.

(1) Hearing on Petition to Terminate or Modify Suspension. The referee 

must hear a petition to terminate or modify a suspension imposed under this 

rule within 7 days of appointment and submit a report and recommendation to 

the Supreme Court of Florida within 7 days of the date of the hearing. The 

referee will recommend termination or modification of the suspension only if 

the suspended member can demonstrate that the member is not the convicted 

person or that the criminal offense is not a felony.

(2) Hearing on Sanctions. In addition to conducting a hearing on a 

petition to terminate or modify a suspension entered under this rule, theThe

referee may also hear argument concerning the appropriate sanction to be 

imposed and file a report and recommendation with the supreme court in the 

same manner and form as provided in rule 3-7.6(m) of these rules. The hearing 

must be held and a report and recommendation filed with the supreme court 

within 90 days of assignment as referee.

The respondent may challenge the imposition of a sanction only on the 

grounds of mistaken identity or whether the conduct involved constitutes a 

felony under applicable law. The respondent may present relevant character 

evidence and relevant matters of mitigation regarding the proper sanction to be 

imposed. The respondent cannot contest the findings of guilt in the criminal 

proceedings. A respondent who entered a plea in the criminal proceedings is 

allowed to explain the circumstances concerning the entry of the plea for 

purposes of mitigation.

The report and recommendations of the referee may be reviewed in the 

same manner as provided in rule 3-7.7 of these rules.

(i) Appeal of Conviction. If an appeal is taken by the respondent from the 

determination or judgment in the criminal proceeding, theThe suspension will 

remain in effect during theany appeal of the determination or judgment of guilt of a 

felony offense in the criminal proceeding. If on review the cause is remanded for 

further proceedings, theThe suspension will remain in effect until the final 

disposition of the criminal cause if remanded for further proceedings and until the 

respondent’s civil rights have been restored and the respondent has been reinstated 
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unless modified or terminated by the Supreme Court of Florida as elsewhere 

provided.

Further, the suspension imposed will remain in effect until civil rights have 

been restored and until the respondent is reinstated.

(j) Expunction. Upon motion of the respondent, theThe Supreme Court of 

Florida may expunge a sanction entered under this rule when a final disposition of 

the criminal cause has resulted in acquittal or dismissal on motion of the 

respondent. A respondent who is the subject of a sanction that is expunged under 

this rule may lawfully deny or fail to acknowledge the sanction, except when the 

respondent is a candidate for election or appointment to judicial office, or as 

otherwise required by law.

(k) Waiver of Time Limits. The respondent may waive the time 

requirements set forth in this rule by written request made to and approved by the 

referee or supreme court.

(l) Professional Misconduct in Foreign Jurisdiction.

(1) Notice of Discipline by a Foreign Jurisdiction. A member of The 

Florida Bar who has submitted a disciplinary resignation or otherwise 

surrendered a license to practice law in lieu of disciplinary sanction, or has 

been disbarred or suspended from the practice of law by a court or other 

authorized disciplinary agency of another state or by a federal court must 

within 30 days after the effective date of the disciplinary resignation, 

disbarment or suspensionmust file a copy of any order or judgment by a court 

or other authorized disciplinary agency of another state or by a federal court 

effecting a disciplinary resignation, disciplinary revocation, disbarment, or 

suspension or any other surrender of the member’s license to practice law in 

lieu of discipline with the Supreme Court of Florida and the executive director 

of The Florida Bar a copy of the order or judgment effecting such disciplinary 

resignation, disbarment or suspensionwithin 30 days of its effective date.

(2) Effect of Adjudication or Discipline by a Foreign Jurisdiction. On 

petition of The Florida Bar supported by a copy of a final adjudication by a 

foreign court or disciplinary authority, theThe Supreme Court of Florida may 

issue an order suspending on an emergency basis the member who is the 

subject of the final adjudication on an emergency basis on petition of The 

Florida Bar attaching a copy of the final adjudication by a foreign court or 

disciplinary authority. All of the conditions not in conflict with this rule 
- 19 -

applicable to issuance of emergency suspension orders elsewhere within these 

Rules Regulating The Florida Bar are applicable to orders entered under this 

rule.

(m) Discipline Uponon Removal Fromfrom Judicial Office. 

(1) Notice of Removal. If an order of the Supreme Court of Florida 

removes a member of The Florida Bar from judicial office for judicial 

misconduct, theThe clerk of the supreme courtSupreme Court of Florida will 

forward a copy of theany order of removalremoving a member of The Florida 

Bar from judicial office for judicial misconduct to the executive director of The 

Florida Bar.

(2) Filing of Formal Complaint. Upon receipt of an order removing a 

member from judicial office for judicial misconduct, the barThe Florida Bar

may file a formal complaint with the courtSupreme Court of Florida and seek 

appropriate discipline on receipt of an order removing a member from judicial 

office for judicial misconduct.

(3) Admissibility of Order; Conclusive Proof of Facts. The order of 

removal is admissible in proceedings under these rules and is conclusive proof 

of the facts on which the judicial misconduct was found by the courtSupreme 

Court of Florida.

(4) Determination of Lawyer Misconduct. The issue of whether the facts 

establishing the judicial misconduct also support a finding of lawyer 

misconduct are determined by the referee based on the record of the 

proceedings.

RULE 3-7.10 REINSTATEMENT AND READMISSION PROCEDURES

(a) Reinstatement; Applicability. A lawyer who is ineligible to practice due 

to a court-ordered disciplinary suspension of 91 days or more or who has been 

placed on the inactive list for incapacity not related to misconduct may be 

reinstated to membership in good standing in The Florida Bar and be eligible to 

practice again pursuant to this rule. The proceedings under this rule are not 

applicable to any lawyer who is not eligible to practice law due to a delinquency as 

defined in rule 1-3.6 of these rules.
- 20 -

(b) Petitions; Form and Contents.

(1) Filing. The original petition for reinstatement must be verified by the 

petitioner 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 Counselstaff counsel, The 

Florida Bar, in 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 the form and accompanied 

by the exhibits provided for elsewhere in this rule. The information required 

concerning the petitioner may include any or all of the following matters in 

addition to any other matters that 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 other matters reasonably required to demonstrate the character and 

fitness of the petitioner to resume the practice of law.

(c) Deposit for Cost. The petition must be accompanied by proof of a deposit 

paid to The Florida Bar in the amount the board of governors prescribes to ensure 

payment of reasonable costs of the proceedings, as provided elsewhere in this rule.

(d) Reference of Petition for Hearing. The chief justice will refer the 

petition for reinstatement to a referee for hearing; provided, however, that no such 

referral 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 lawyer’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 lawyer, will be considered in passing upon the petition.
- 21 -

(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 

referee must decide the fitness of the petitioner to resume the practice of law. In 

making 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) unlawful conduct;

(B) academic misconduct;

(C) making or procuring any false or misleading statement or omission 

of relevant information, including any false or misleading statement or 

omission on any application requiring a showing of good moral character;

(D) misconduct in employment;

(E) acts involving dishonesty, fraud, deceit, or misrepresentation;

(F) abuse of legal process;

(G) financial irresponsibility;

(H) neglect of professional obligations;

(I) violation of an order of a court;

(J) evidence of mental or emotional instability;

(K) evidence of drug or alcohol dependency;

(L) denial of admission to the bar in another jurisdiction on character 

and fitness grounds;
- 22 -

(M) disciplinary action by a lawyer disciplinary agency or other 

professional disciplinary agency of any jurisdiction;

(N) failure of a felony-suspended lawyer to submit proof that the 

affected lawyer’s civil rights have been restored; and

(O) any other conduct that adversely reflects on the character or fitness 

of the applicant.

(2) Determination of Character and Fitness. In addition to other factors in 

making this determination, the following factors will be considered in 

assigning weight and significance to prior conduct:

(A) age at the time of the conduct;

(B) recency of the conduct;

(C) reliability of the information concerning the conduct;

(D) seriousness of the conduct;

(E) factors underlying the conduct;

(F) cumulative effect of the conduct or information;

(G) evidence of rehabilitation;

(H) positive social contributions since the conduct;

(I) candor in the discipline and reinstatement processes; and

(J) materiality of any omissions or misrepresentations.

(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 rehabilitation including, but not limited to, the 

following elements:

(A) strict compliance with the specific conditions of any disciplinary, 

judicial, administrative, or other order, where applicable;
- 23 -

(B) unimpeachable character and moral standing in the community;

(C) good reputation for professional ability, where applicable;

(D) lack of malice and ill feeling toward those who by duty were 

compelled to bring about the disciplinary, judicial, administrative, or other 

proceeding;

(E) personal assurances, supported by corroborating evidence, of a 

desire and intention to conduct one’s self in an exemplary fashion in the 

future;

(F) restitution of funds or property, where applicable; and

(G) positive action showing rehabilitation by such things as a person’s 

community or civic service. Community or civic service is donated service 

or activity that is performed by someone or a group of people for the 

benefit of the public or its institutions.

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) In the case of a petitioner’s ineligibility to practice for a period of 

3 years or longer under this rule, the petitioner must demonstrate to the 

referee that the petitioner is current with changes and developments in the 

law:

(i) The petitioner must have completed at least 10 hours of 

continuing legal education courses for each year or portion of a year 

that the petitioner was ineligible to practice.

(ii) The petitioner may further demonstrate that the petitioner is 

current with changes and developments in the law by showing that the 

petitioner worked as a law clerk or paralegal or taught classes on legal 

issues during the period of ineligibility to practice.

(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 
- 24 -

passed both the Florida portions of the Florida Bar Examination and the 

Multistate Professional Responsibility Examination (MPRE). A petitioner 

must have proof of passing all these required portions of the bar 

examination before that petitioner may file a petition for reinstatement 

under this subdivision.

(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 other persons who may be designated by the appointed 

referee.

(2) Appearance. Any persons to whom notice is given, any other 

interested persons, or any local bar association may appear before the referee in 

support of or in opposition to the petition at any time or times fixed for the 

hearings.

(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 the 

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 any 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 theThe Florida Bar.

(5) Evidence of Treatment or Counseling for Dependency or Other 

Medical Reasons. If the petitioner has sought or received treatment or 

counseling for chemical or alcohol dependency or for other medical reasons 

that relate to the petitioner’s fitness to practice law, the petitioner must waive 

confidentiality of such treatment or counseling for purposes of evaluation of 

the petitioner’s fitness. The provisions of rule 3-7.1(d) are applicable to 

information or records disclosed under this subdivision.

(h) Prompt Hearing; Report. The referee to whom a petition for 

reinstatement has been referred by the chief justice will proceed to a prompt 
- 25 -

hearing, at the conclusion of which the referee will make and file with the Supreme 

Court of Florida a report that includes the findings of fact and a recommendation 

as to whether the petitioner is qualified to resume the practice of law. The referee 

must file the report and record in the Supreme Court of Florida.

(i) Review. Review of referee reports in reinstatement proceedings must be in 

accordance with rule 3-7.7.

(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 on the payment of all or part of the costs of the 

proceeding and on 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, if suspension or incapacity of the petitioner has continued for more than 3 

years, the reinstatement may be conditioned on proof of competency as may be 

required by the judgment in the discretion of the Supreme Court of Florida. Proof 

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 on 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.

(1) Availability. Petitions for reinstatement under this rule are available to 

members placed on the inactive list for incapacity not related to misconduct 

and suspended members of the bar when the disciplinary judgment conditions 

their reinstatement upon a showing of compliance with specified conditions.

(2) Style of Petition. Petitions must be styled in the Supreme Court of 

Florida and filed with the Supreme Court of Florida in accordance with the 

court’s filing requirements, including e-filing requirements where applicable. 

A copy must be served on Staff Counselstaff counsel, The Florida Bar, 651 

East Jefferson Street, Tallahassee, Florida 32399-2300.
- 26 -

(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) name, age, residence, address, and number and relation of 

dependents of the petitioner;

(B) the conduct, offense, or misconduct on 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 these disciplinary proceedings or 

of the trial judge, complaining witnesses, and prosecuting lawyer, if 

suspension was based on 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 these 

relations and employments;

(E) a statement showing the approximate monthly earnings and other 

income of the petitioner and the sources from which all earnings and 

income were derived during this period;

(F) a statement showing all residences maintained during this period, 

with names and addresses of landlords, if any;

(G) a statement showing all financial obligations of the petitioner 

including, but not limited to, amounts claimed, unpaid, or owing to The 

Florida Bar Clients’ Security Fund or former clients at the date of filing of 

the petition, together with the names and addresses of all creditors;
- 27 -

(H) a statement of restitution made for any and all obligations to all 

former clients and the Florida Bar Clients’ Security Fund and the source 

and amount of funds used for this purpose;

(I) a statement showing dates, general nature, and ultimate disposition 

of every matter involving the arrest or prosecution of the petitioner during 

the period of suspension for any crime, whether felony or misdemeanor, 

together with the names and addresses of complaining witnesses, 

prosecuting lawyers, and trial judges;

(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, for each 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 these charges;

(M) a concise statement of facts claimed to justify reinstatement to The 

Florida Bar;

(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 this 

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.
- 28 -

(4) Comments on Petition. On 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 other persons 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 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 the proposed reinstatement on the administration of justice and purity 

of the courts and confidence of the public in the profession.

(5) Costs Deposit. The petition must be accompanied by a deposit for 

costs of $500.

(m) Costs.

(1) Taxable Costs. Taxable costs of the proceedings must include only:

(A) investigative costs, including travel and out-of-pocket expenses;

(B) court reporters’ fees;

(C) copy costs;

(D) telephone charges;

(E) fees for translation services;

(F) witness expenses, including travel and out-of-pocket expenses;

(G) travel and out-of-pocket expenses of the referee;

(H) travel and out-of-pocket expenses of counsel in the proceedings, 

including the petitioner if acting as counsel; and

(I) an administrative fee in the amount of $1250 when costs are 

assessed in favor of the bar.

(2) Discretion of Referee. The referee has discretion to award costs and,

absent an abuse of discretion, the referee’s award will not be reversed.

(3) Assessment of Bar Costs. The costs incurred by the bar in any 

reinstatement case may be assessed against the petitioner unless it is shown that 

the costs were unnecessary, excessive, or improperly authenticated.
- 29 -

(4) Assessment of Petitioner’s Costs. The referee may assess the 

petitioner’s costs against the bar in the event that there was no justiciable issue 

of either law or fact raised by the bar unless it is shown that the costs were 

unnecessary, excessive, or improperly authenticated.

(n) Readmission; Applicability. A former member who has been disbarred, 

disbarred on consent, or whose petition for disciplinary resignation or revocation 

has been accepted may be admitted again only upon full compliance with the rules 

and regulations governing admission to the bar. No application for readmission 

following disbarment, disbarment on consent, or disciplinary resignation or 

revocation may be tendered until such time as all restitution and disciplinary costs 

as may have been ordered or assessed have been paid together with any interest 

accrued.

(1) Readmission After Disbarment. Except as might be otherwise provided 

in these rules, no application for admission may be tendered within 5 years 

after the date of disbarment or such longer period of time as the court might 

determine in the disbarment order. An order of disbarment that states the 

disbarment is permanent precludes readmission to The Florida Bar.

(2) Readmission After Disciplinary Resignation or Revocation. A 

lawyer’s petition for disciplinary resignation or revocation states that it is 

without leave to apply for readmission will preclude any readmission. A lawyer 

who was granted a disciplinary resignation or revocation may not apply for 

readmission until all conditions of the Supreme Court order granting the 

disciplinary resignation or revocation have been complied with.

Comment

To further illuminate the community service requirements of Rulerule 3-

7.10(f)(3)(G), bar members can take guidance from the Florida Supreme Court’s 

decision in Florida Board of Bar Examiners re M.L.B., 766 So. 2d 994, 998-999 

(Fla. 2000). The court held that rules requiring community service “contemplate 

and we wish to encourage positive actions beyond those one would normally do for 

self benefit, including, but certainly not limited to, working as a guardian ad litem, 

volunteering on a regular basis with shelters for the homeless or victims of 

domestic violence, or maintaining substantial involvement in other charitable, 

community, or educational organizations whose value system, overall mission and 

activities are directed to good deeds and humanitarian concerns impacting a broad 

base of citizens.” 
- 30 -

Court decisions dealing with reinstatements and other discipline provide 

further guidance as to what specific actions meet the test of community service. 

The court approved dismissal of a petition for reinstatement where the respondent 

had no community service and had devoted all her time during suspension to 

raising her young children. Fla. Bar v. Tauler, 837 So. 2d 413 (Fla. 2003). In a 

more recent decision, the court did not specifically mention lack of community 

service in denying reinstatement, but the respondent had shown no evidence of 

work for others outside his family in his petition. Respondent’s community service 

consisted solely of taking care of his elderly parents and his small child. Fla. Bar v. 

Juan Baraque, 43 So. 3d 691 (Fla. 2010).

RULE 3-7.11 GENERAL RULES OF PROCEDURE

(a) Time is Directory. Except as provided hereinin this rule, the time 

intervals required are directory only and are not jurisdictional. Failure to observe 

suchthese directory intervals may result in contempt of the agency having 

jurisdiction or of the Supreme Court of Florida, but will not prejudice the 

offending party, except where so provided.

(b) Process. Every member of The Florida Bar is charged with notifyingmust 

notify The Florida Bar of any change of mailing address, e-mail address (unless the 

lawyer has been excused by The Florida Bar or courtthe Supreme Court of Florida

from e-filing and e-service), and military status. The Florida Bar may serve notice 

of formal complaints in bar proceedings by certified U.S. Postal Service certified

mail return receipt requested to the bar member’s record bar address unless the 

Supreme Court of Florida directs other service. Every lawyer of another state who 

is admitted pro hac vice in a specific case before a court of record in Florida may 

be served by certified U.S. Postal Service certified mail return receipt requested 

addressed to the lawyer in care of the Florida lawyer who was associated or 

appeared with the lawyer admitted pro hac vice or addressed to the Florida lawyer 

at any address listed by the lawyer in the pleadings in the case.

Provided, however, when a person is represented by counsel, serviceService of 

process and notices must be directed to counsel whenever a person is represented 

by counsel.

(c) Notice in Lieu of Process. Every member of The Florida Bar is within the 

jurisdiction of the Supreme Court of Florida and its agencies under these rules, and 

service of process is not required to obtain jurisdiction over respondents in 

disciplinary proceedings; but due process requires reasonable notice and this notice 

will be effected by service of the complaint on the respondent by mailing a copy of 
- 31 -

The Florida Bar's formal complaint. The Florida Bar will serve the complaint on 

the respondent by certified U.S. Postal Service mail return receipt requested to the 

respondent's record bar address or a more current address that may be known to the 

person serving the complaint or other process.

When the respondent is represented by counsel in a referee proceeding, due 

process is satisfied by service of the formal complaint on the respondent’s counsel 

by mailing a copyThe Florida Bar will serve the formal complaint by certified U.S.

Postal Service mail return receipt requested to the record bar address of the 

respondent’s counsel or a more current address that may be known to the person 

serving the complaint.

All other correspondence between The Florida Bar and respondents or their 

counsel, including bar inquiries that require responses during the investigative 

stage of a disciplinary proceeding, may be made by e-mail to the respondent’s 

record bar e-mail address or the record bar e-mail address of respondent’s counsel. 

E-mail correspondence is encouraged in all instances except in service of a formal 

complaint or subpoena, or where a court directs otherwise. If a lawyer has been 

excused by The Florida Bar or a court from e-filing and e-service, or service 

cannot be made by e-mail, service by first class postalU.S. Postal Service mail is 

sufficient, except where these rules or a court direct otherwise.

(d) Issuance of Subpoenas. Subpoenas for witnesses’ attendance and the 

production of documentary evidence, except before a circuit court, must be issued 

as follows:.

(1) Referees. Subpoenas for witnesses’ attendance and production of 

documentary evidence before a referee must be issued by the referee and must 

be served either in the manner provided by law for the service of process or by 

an investigator employed by The Florida Bar.

(2) Grievance Committees. Subpoenas for witnesses’ attendance and the 

production of documentary evidence must be issued by the chair or vice-chair 

of a grievance committee as part of an investigation authorized by the 

committee. These subpoenas may be served by any member of the grievance 

committee, by an investigator employed by The Florida Bar, or in the manner 

provided by law for service of process.

(3) Bar Counsel Investigations. Subpoenas for witnesses’ attendance and 

the production of documentary evidence before bar counsel in an initial 

investigation must be issued by the chair or vice chair of a grievance 
- 32 -

committee to which the matter will be assigned, if appropriate. These 

subpoenas may be served by an investigator employed by The Florida Bar or in 

the manner provided by law for the service of process.

(4) After Grievance Committee Action, But Before Appointment of Referee. 

Subpoenas for witnesses’ attendance and the production of documentary 

evidence before bar counsel when conducting further investigation after action 

by a grievance committee, but before appointment of a referee, must be issued 

by the chair or vice chair of the grievance committee to which the matter was 

assigned. These subpoenas may be served by an investigator employed by The 

Florida Bar or in the manner provided by law for the service of process.

(5) Board of Governors. Subpoenas for witnesses’ attendance and the 

production of documentary evidence before the board of governors must be 

issued by the executive director and must be served by an investigator 

employed by The Florida Bar or in the manner provided by law for service of 

process.

(6) Confidential Proceedings. If the proceeding is confidential, a 

subpoena must not name the respondent but must style the proceeding as 

"Confidential Proceeding by The Florida Bar under the Rules of Discipline."

(7) Contempt.

(A) Generally. Any persons who, without adequate excuse, fail to 

obey a subpoena served on them under these rules, may be cited for 

contempt of this courtthe Supreme Court of Florida in the manner provided 

by this rule.

(B) Subpoenas for Trust Accounting Records. Members of the bar are 

under an obligation to maintain trust accounting records as required by 

these rules and, as a condition of the privilege of practicing law in Florida, 

may not assert any privilege personal to the lawyer that may be applicable 

to production of these records in any disciplinary proceedings under these 

rules.

(i) A respondent who has been found in willful noncompliance 

with a subpoena for trust accounting records may be cited for contempt 

under this rule only if the disciplinary agency that issued the subpoena 

has found that no good cause existed for the respondent’s failure to 

comply.
- 33 -

(ii) The disciplinary agency that issued the subpoena must hear the 

issue of noncompliance and issue findings on the noncompliance within 

30 days of a request for issuance of the notice of noncompliance.

(8) Assistance to Other Lawyer Disciplinary Jurisdictions. On receipt of 

a subpoena certified to be issued under the rules or laws of another lawyer 

disciplinary jurisdiction, the executive director may issue a subpoena directing 

a person domiciled or found within the state of Florida to give testimony and/or 

produce documents or other evidence for use in the other jurisdiction's lawyer 

disciplinary proceedings as directed in the subpoena of the other jurisdiction. 

The practice and procedure applicable to subpoenas issued under this 

subdivision will be that of the other jurisdiction, except that:

(A) the testimony or production must be only in the county in which

the person resides or is employed, or as otherwise fixed by the executive 

director for good cause shown; and

(B) compliance with any subpoena issued pursuant to this subdivision 

and contempt for failure in this respect must be sought under these rules.

(e) Oath of Witness. Every witness in every proceeding under these rules 

must be sworn to tell the truth. Violation of this oath is an act of contempt of this 

courtthe Supreme Court of Florida.

(f) Contempt. When a disciplinary agency, as defined elsewhere in these 

rules, finds that a person is in contempt under these rules, that person may be cited 

for contempt in the following manner:.

(1) Generally.

(A) Petition for Contempt and Order to Show Cause. When a person 

is found in contempt by a disciplinary agency, bar counsel must file a 

petition for contempt and order to show cause with the Supreme Court of 

Florida.

(B) Order to Show Cause; Suspension for Noncompliance with 

Subpoena for Trust Accounting Records. On review of a petition for 

contempt and order to show cause, the supreme courtSupreme Court of 

Florida may issue an order directing the person to show cause why the 

person should not be held in contempt and appropriate sanctions imposed. 

On review of a petition for contempt and order to show cause for 

noncompliance with a trust accounting subpoena, the supreme courtThe 
- 34 -

Supreme Court of Florida may also issue an order suspending the 

respondent from the practice of law in Florida until the member fully 

complies with the subpoena and any further order of the courtSupreme 

Court of Florida.

The order of the supreme courtSupreme Court of Florida must fix a 

time for a response.

(C) Response to Order to Show Cause.

(i) Generally. Any member subject to an order to show cause must 

file a response as directed by the courtSupreme Court of Florida.

(ii) Noncompliance with a Subpoena for Trust Account Records. 

Any member subject to an order to show cause for noncompliance with 

a subpoena for trust accounting records may request the courtSupreme 

Court of Florida:

a. to withhold entry of an order of suspension, if filed within 10 

days of the filing of the petition for contempt and order to show 

cause, or another time the courtSupreme Court of Florida may 

direct in the order to show cause; or

b. to terminate or modify the order of suspension at any time 

after the order of suspension is issued. The courtSupreme Court of 

Florida may terminate, modify, or withhold entry of an order of 

suspension if the member establishes good cause for failure to 

comply with the subpoena for trust account records.

(D) Failure to Respond to Order to Show Cause. On failure to timely 

respond to an order to show cause, the matters alleged in the petition are 

deemed admitted and the supreme courtSupreme Court of Florida may 

enter a judgment of contempt and impose appropriate sanctions. Failure to 

respond may be an additional basis for the supreme courtSupreme Court of 

Florida to enter a judgment of contempt and to impose sanctions.

(E) Reply of The Florida Bar. When a timely response to an order to 

show cause is filed, The Florida Bar will have 10 days, or another time 

period as the supreme courtSupreme Court of Florida may order, from the 

date of filing to file a reply.
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(F) Supreme Court of Florida Action. After the time to respond to an 

order to show cause has expired and no response is timely filed, or after the 

reply of The Florida Bar has been filed, or the time has expired without any 

filing, the supreme courtThe Supreme Court of Florida will review the 

matter and issue an appropriate judgment after the time to respond to an 

order to show cause has expired and no response is timely filed, or after the 

reply of The Florida Bar has been filed, or the time has expired without any 

filing. This judgment may include any sanction that a court may impose 

for contempt and, if the person found in contempt is a member of The 

Florida Bar, may include any disciplinary sanction authorized under these 

rules.

If the supreme courtSupreme Court of Florida requires factual findings, 

the supreme courtit may direct appointment of a referee as provided in 

these rules. Proceedings for contempt referred to a referee must be 

processed in the same manner as disciplinary proceedings under these 

rules, including, but not limited to, the procedures provided in these rules 

for conditional guilty pleas for consent judgments. If the courtSupreme 

Court of Florida determines it necessary to refer a request to terminate, 

modify, or withhold entry of an order of suspension based on a petition for 

contempt and order to show cause for noncompliance with a subpoena for 

trust account records to a referee for receipt of evidence, the referee 

proceedings must be expedited and conducted in the same manner as 

proceedings before a referee on a petition to terminate, modify, or withhold 

an order of emergency suspension, as provided in these rules.

(G) Preparation and Filing of Report of Referee and Record. The 

referee must prepare and file a report and the record in cases brought under 

this rule. The procedures provided for in the rule on procedure before a 

referee under these rules apply to the preparation, filing, and review of the 

record.

(H) Appellate Review of Report of Referee. Any party to the 

contempt proceedings may seek review of the report of referee in the 

manner provided in these rules for appellate review of disciplinary 

proceedings.

(2) Failure to Respond to Official Bar Inquiries.

(A) Petition for Contempt and Order to Show Cause. When a 

respondent is found in contempt by a disciplinary agency for failure to 
- 36 -

respond to an official bar inquiry without good cause shown, bar counsel 

must file a petition for contempt and order to show cause with the Supreme 

Court of Florida.

(B) Response to Petition for Contempt and Order to Show Cause. The 

respondent will have 10 days from the date of filing of a petition authorized 

by this subdivision to file a response.

(C) Supreme CourtSupreme Court of Florida Action.

(i) Entry of Suspension Order. The courtSupreme Court of Florida

will enter an order suspending the respondent for failure to respond to 

an official bar inquiry after the respondent files a response to the order 

to show cause or the time for filing a response has expired, unless the 

courtit orders otherwise.

(ii) Assignment to Referee. If the supreme courtSupreme Court of 

Florida requires factual findings, the supreme courtit may direct 

appointment of a referee as provided in these rules. Proceedings for 

contempt referred to a referee must be processed in the same manner as 

disciplinary proceedings under these rules, including, but not limited to,

the provisions provided for conditional guilty pleas for consent 

judgments.

(g) Court Reporters. Court reporters who are employees of The Florida Bar 

may be appointed to report any disciplinary proceeding. If the respondent objects 

at least 48 hours in advance of the matter to be recorded, an independent contract 

reporter may be retained. Reasonable costs for independent court reporter service 

will be taxed to the respondent for payment to The Florida Bar.

(h) Disqualification as Trier and AttorneyLawyer for Respondent Due to 

Conflict.

(1) Grievance Committee Members, Members of the Board of Governors, 

and Employees of The Florida Bar. No grievance committee member, member 

of the board of governors, or employee of The Florida Bar may represent a 

party other than The Florida Bar in disciplinary proceedings authorized under 

these rules.

(2) Former Grievance Committee Members, Former Board Members, and 

Former Employees. No former member of a grievance committee, former 

member of the board of governors, or former employee of The Florida Bar may 
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represent any party other than The Florida Bar in disciplinary proceedings 

authorized under these rules if personally involved to any degree in the matter 

while a member of the grievance committee, the board of governors, or while 

an employee of The Florida Bar.

A former member of the board of governors, former member of any 

grievance committee, or former employee of The Florida Bar who did not 

participate personally in any way in the investigation or prosecution of the 

matter or in any related matter in which the lawyer seeks to be a representative, 

and who did not serve in a supervisory capacity over the investigation or 

prosecution, may not represent any party except The Florida Bar for 1 year 

after this service without the express consent of the board.

(3) Partners, Associates, Employers, or Employees of the Firms of 

Grievance Committee Members or Board of Governors Members Precluded 

From Representing Parties Other Than The Florida Bar. Members of the 

firms of grievance committee members or board members may not represent 

any party other than The Florida Bar in disciplinary proceedings authorized 

under these rules without the express consent of the board.

(4) Partners, Associates, Employers, or Employees of the Firms of Former 

Grievance Committee Members or Former Board of Governors Members 

Precluded From Representing Parties Other Than The Florida Bar. Lawyers 

in the firms of former board members or former grievance committee members 

may not represent any party other than The Florida Bar in disciplinary 

proceedings authorized under these rules for 1 year after the former member’s 

service without the express consent of the board.

(1) Representation Prohibited. Lawyers may not represent a party other 

than The Florida Bar in disciplinary proceedings authorized by these rules if 

they are:

(A) currently serving on a grievance committee or the board of 

governors;

(B) employees of The Florida Bar; or

(C) former members of a grievance committee, former members of the 

board of governors, or former employees of The Florida Bar if personally 

involved to any degree in the matter while a member of a grievance 

committee or the board of governors, or while an employee of The Florida 

Bar.
- 38 -

(2) Representation Permitted With Consent by the Board of Governors. 

Lawyers may represent a party other than The Florida Bar in disciplinary 

proceedings authorized by these rules only after receiving consent from the 

executive director or board of governors if they are:

(A) former members of a grievance committee, former members of the 

board of governors, or former employees of The Florida Bar who did not 

participate personally in any way in the matter or in any related matter in 

which the lawyer seeks to be a representative and who did not serve in a 

supervisory capacity over the matter within 1 year of the service or 

employment;

(B) a partner, associate, employer, or employee of a member of a 

grievance committee or a member of the board of governors; or

(C) a partner, associate, employer, or employee of a former member of 

a grievance committee or a former member of the board of governors 

within 1 year of the former member’s service on the grievance committee 

or board of governors.

(i) Proceedings After Disbarment. The respondent may consent to or the 

courtSupreme Court of Florida may order further proceedings after disbarment, 

which may include: an audit of trust, operating, or personal bank accounts, the cost 

of which may be assessed as provided in these rules; a requirement that the 

respondent provide a financial affidavit attesting to personal and business finances; 

and maintenance of a current mailing address for a stated period of time.

RULE 3-7.15 AMENDMENTSRESERVED FOR FUTURE USE

Petitions for revision of or amendments to chapter 3 will be entertained by this 

court when presented by the board of governors or by not fewer than 50 members 

in good standing of The Florida Bar. Notice of intention to file such petition 

together with a copy of the proposed amendment shall be published in The Florida 

Bar News no less than 30 days prior to the filing of such petition. The court will 

thereafter accept objections or comments on such petition.

CHAPTER 4 RULES OF PROFESSIONAL CONDUCT

4-1 CLIENT-LAWYER RELATIONSHIP

RULE 4-1.2 OBJECTIVES AND SCOPE OF REPRESENTATION

(a) Lawyer to Abide by Client's Decisions. Subject to subdivisions (c) and 

(d), a lawyer must abide by a client's decisions concerning the objectives of 
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representation, and, as required by rule 4-1.4, must reasonably consult with the 

client as to the means by which they are to be pursued. A lawyer may take such 

action on behalf of the client asthat is impliedly authorized to carry out the 

representation. A lawyer must abide by a client's decision whether to settle a 

matter. In a criminal case, the lawyer must abide by the client's decision, after 

consultation with the lawyer, as to a plea to be entered, whether to waive jury trial, 

and whether the client will testify.

(b) No Endorsement of Client's Views or Activities. A lawyer's 

representation of a client, including representation by appointment, does not 

constitute an endorsement of the client's political, economic, social, or moral views 

or activities.

(c) Limitation of Objectives and Scope of Representation. If not prohibited 

by law or rule, a lawyer and client may agree to limit the objectives or scope of the 

representation if the limitation is reasonable under the circumstances and the client 

gives informed consent in writing, except that a lawyer giving advice in a shortterm limited legal services program under rule 4-6.6 is not required to obtain the 

consent in writing. If the lawyer and client agree to limit the scope of the 

representation, the lawyer must advise the client regarding applicability of the rule 

prohibiting communication with a represented person.

(d) Criminal or Fraudulent Conduct. A lawyer must not counsel a client to 

engage, or assist a client, in conduct that the lawyer knows or reasonably should 

know is criminal or fraudulent. However, a lawyer may discuss the legal 

consequences of any proposed course of conduct with a client and may counsel or 

assist a client to make a good faith effort to determine the validity, scope, meaning, 

or application of the law.

Comment

Allocation of authority between client and lawyer

Subdivision (a) confers on the client the ultimate authority to determine the 

purposes to be served by legal representation, within the limits imposed by law and 

the lawyer's professional obligations. Within those limits, a client also has a right 

to consult with the lawyer about the means to be used in pursuing those objectives. 

At the same time, a lawyer is not required to pursue objectives or employ means 

simply because a client may wish that the lawyer do so. A clear distinction 

between objectives and means sometimes cannot be drawn, and in many cases the 

client-lawyer relationship partakes of a joint undertaking. In questions of means, 
- 40 -

the lawyer should assume responsibility for technical and legal tactical issues but 

should defer to the client regarding such questions as the expense to be incurred 

and concern for third persons who might be adversely affected. Law defining the 

lawyer's scope of authority in litigation varies among jurisdictions. The decisions 

specified in subdivision (a), such as whether to settle a civil matter, must also be 

made by the client. See rule 4-1.4(a)(1) for the lawyer's duty to communicate with 

the client about these decisions. With respect to the means by which the client's 

objectives are to be pursued, the lawyer must consult with the client as required by 

rule 4-1.4(a)(2) and may take action as is impliedly authorized to carry out the 

representation. 

On occasion, however, a lawyer and a client may disagree about the means to 

be used to accomplish the client's objectives. The lawyer should consult with the 

client and seek a mutually acceptable resolution of the disagreement. If these 

efforts are unavailing and the lawyer has a fundamental disagreement with the 

client, the lawyer may withdraw from the representation. See rule 4-1.16(b)(42). 

Conversely, the client may resolve the disagreement by discharging the lawyer. 

See rule 4-1.16(a)(3).

At the outset of a representation, the client may authorize the lawyer to take 

specific action on the client's behalf without further consultation. Absent a 

material change in circumstances and subject to rule 4-1.4, a lawyer may rely on 

the advance authorization. The client may, however, revoke this authority at any 

time.

In a case in which the client appears to be suffering mental disability, the 

lawyer's duty to abide by the client's decisions is to be guided by reference to rule 

4-1.14.

Independence from client's views or activities

Legal representation should not be denied to people who are unable to afford 

legal services or whose cause is controversial or the subject of popular disapproval. 

By the same token representing a client does not constitute approval of the client's 

views or activities.

Agreements limiting scope of representation

The scope of services to be provided by a lawyer may be limited by agreement 

with the client or by the terms under which the lawyer's services are made 

available to the client. When a lawyer has been retained by an insurer to represent 

an insured, for example, the representation may be limited to matters related to the 
- 41 -

insurance coverage. A limited representation may be appropriate because the 

client has limited objectives for the representation. In addition, the terms upon 

which representation is undertaken may exclude specific means that might 

otherwise be used to accomplish the client's objectives. Limitations may exclude 

actions that the client thinks are too costly or that the lawyer regards as repugnant 

or imprudent, or which the client regards as financially impractical.

Although this rule affords the lawyer and client substantial latitude to limit the 

representation if not prohibited by law or rule, the limitation must be reasonable 

under the circumstances. If, for example, a client’s objective is limited to securing 

general information about the law the client needs in order to handle a common 

and typically uncomplicated legal problem, the lawyer and client may agree that 

the lawyer’s services will be limited to a brief consultation. This limitation, 

however, would not be reasonable if the time allotted was not sufficient to yield 

advice upon which the client could rely. In addition, a lawyer and client may agree 

that the representation will be limited to providing assistance out of court, 

including providing advice on the operation of the court system and drafting 

pleadings and responses. If the lawyer assists a pro se litigant by drafting any 

document to be submitted to a court, the lawyer is not obligated to sign the 

document. However, the lawyer must indicate "Prepared with the assistance of 

counsel" on the document to avoid misleading the court, which, otherwise might be 

under the impression that the person, who appears to be proceeding pro se, has 

received no assistance from a lawyer. If not prohibited by law or rule, a lawyer 

and client may agree that any in-court representation in a family law proceeding be 

limited as provided for in Family Law Rule of Procedure 12.040. For example, a 

lawyer and client may agree that the lawyer will represent the client at a hearing 

regarding child support and not at the final hearing or in any other hearings. For 

limited in-court representation in family law proceedings, the lawyer must 

communicate to the client the specific boundaries and limitations of the 

representation so that the client is able to give informed consent to the 

representation.

Regardless of the circumstances, a lawyer providing limited representation 

forms a client-lawyer relationship with the litigant, and owes the client all 

attendant ethical obligations and duties imposed by the Rules Regulating The 

Florida Bar, including, but not limited to, duties of competence, communication, 

confidentiality, and avoidance of conflicts of interest. Although an agreement for 

limited representation does not exempt a lawyer from the duty to provide 

competent representation, the limitation is a factor to be considered when 
- 42 -

determining the legal knowledge, skill, thoroughness, and preparation reasonably 

necessary for the representation. See rule 4-1.1.

An agreement concerning the scope of representation must accord with the 

Rules of Professional Conduct and law. For example, the client may not be asked 

to agree to representation so limited in scope as to violate rule 4-1.1 or to surrender 

the right to terminate the lawyer's services or the right to settle litigation that the 

lawyer might wish to continue.

Criminal, fraudulent, and prohibited transactions

A lawyer is required to give an honest opinion about the actual consequences 

that appear likely to result from a client's conduct. The fact that a client uses 

advice in a course of action that is criminal or fraudulent does not, of itself, make a 

lawyer a party to the course of action. However, a lawyer may not assist a client in 

conduct that the lawyer knows or reasonably should know to be criminal or 

fraudulent. There is a critical distinction between presenting an analysis of legal 

aspects of questionable conduct and recommending the means by which a crime or 

fraud might be committed with impunity.

When the client's course of action has already begun and is continuing, the 

lawyer's responsibility is especially delicate. The lawyer is required to avoid 

assisting the client, for example, by drafting or delivering documents that the 

lawyer knows are fraudulent or by suggesting how the wrongdoing might be 

concealed. A lawyer may not continue assisting a client in conduct that the lawyer 

originally supposed was legally proper but then discovers is criminal or fraudulent. 

The lawyer must, therefore, withdraw from the representation of the client in the 

matter. See rule 4-1.16(a). In some cases, withdrawal alone might be insufficient. 

It may be necessary for the lawyer to give notice of the fact of withdrawal and to 

disaffirm any opinion, document, affirmation, or the like. See rule 4-4.1.

Where the client is a fiduciary, the lawyer may be charged with special 

obligations in dealings with a beneficiary.

Subdivision (d) applies whether or not the defrauded party is a party to the 

transaction. For example, a lawyer must not participate in a transaction to 

effectuate criminal or fraudulent avoidance of tax liability. Subdivision (d) does 

not preclude undertaking a criminal defense incident to a general retainer for legal 

services to a lawful enterprise. The last sentence of subdivision (d) recognizes that 

determining the validity or interpretation of a statute or regulation may require a 
- 43 -

course of action involving disobedience of the statute or regulation or of the 

interpretation placed upon it by governmental authorities.

If a lawyer comes to know or reasonably should know that a client expects 

assistance not permitted by the Rules of Professional Conduct or other law or if the 

lawyer intends to act contrary to the client's instructions, the lawyer must consult 

with the client regarding the limitations on the lawyer's conduct. See rule 4-

1.4(a)(5).

RULE 4-1.5 FEES AND COSTS FOR LEGAL SERVICES

(a) Illegal, Prohibited, or Clearly Excessive Fees and Costs. An attorney 

shallA lawyer must not enter into an agreement for, charge, or collect an illegal, 

prohibited, or clearly excessive fee or cost, or a fee generated by employment that 

was obtained through advertising or solicitation not in compliance with the Rules 

Regulating The Florida Bar. A fee or cost is clearly excessive when:

(1) after a review of the facts, a lawyer of ordinary prudence would be left 

with a definite and firm conviction that the fee or the cost exceeds a reasonable 

fee or cost for services provided to such a degree as to constitute clear 

overreaching or an unconscionable demand by the attorney; or

(2) the fee or cost is sought or secured by the attorney by means of 

intentional misrepresentation or fraud upon the client, a nonclient party, or any 

court, as to either entitlement to, or amount of, the fee.

(b) Factors to Be Considered in Determining Reasonable Fees and Costs. 

(1) Factors to be considered as guides in determining a reasonable fee 

include:

(A) the time and labor required, the novelty, complexity, and difficulty 

of the questions involved, and the skill requisite to perform the legal 

service properly;

(B) the likelihood that the acceptance of the particular employment 

will preclude other employment by the lawyer;

(C) the fee, or rate of fee, customarily charged in the locality for legal 

services of a comparable or similar nature;
- 44 -

(D) the significance of, or amount involved in, the subject matter of the 

representation, the responsibility involved in the representation, and the 

results obtained;

(E) the time limitations imposed by the client or by the circumstances 

and, as between attorney and client, any additional or special time demands 

or requests of the attorney by the client;

(F) the nature and length of the professional relationship with the 

client;

(G) the experience, reputation, diligence, and ability of the lawyer or 

lawyers performing the service and the skill, expertise, or efficiency of 

effort reflected in the actual providing of such services; and

(H) whether the fee is fixed or contingent, and, if fixed as to amount or 

rate, then whether the client’s ability to pay rested to any significant degree 

on the outcome of the representation.

(2) Factors to be considered as guides in determining reasonable costs 

include:

(A) the nature and extent of the disclosure made to the client about the 

costs;

(B) whether a specific agreement exists between the lawyer and client 

as to the costs a client is expected to pay and how a cost is calculated that is 

charged to a client;

(C) the actual amount charged by third party providers of services to 

the attorney;

(D) whether specific costs can be identified and allocated to an 

individual client or a reasonable basis exists to estimate the costs charged;

(E) the reasonable charges for providing in-house service to a client if 

the cost is an in-house charge for services; and

(F) the relationship and past course of conduct between the lawyer and 

the client.

All costs are subject to the test of reasonableness set forth in subdivision 

(a) above. When the parties have a written contract in which the method is 
- 45 -

established for charging costs, the costs charged thereunder shallunder that 

contract will be presumed reasonable.

(c) Consideration of All Factors. In determining a reasonable fee, the time 

devoted to the representation and customary rate of fee need not be the sole or 

controlling factors. All factors set forth in this rule should be considered, and may 

be applied, in justification of a fee higher or lower than that which would result 

from application of only the time and rate factors.

(d) Enforceability of Fee Contracts. Contracts or agreements for attorney’s 

fees between attorney and client will ordinarily be enforceable according to the 

terms of such contracts or agreements, unless found to be illegal, obtained through 

advertising or solicitation not in compliance with the Rules Regulating The Florida 

Bar, prohibited by this rule, or clearly excessive as defined by this rule.

(e) Duty to Communicate Basis or Rate of Fee or Costs to Client and 

Definitions.

(1) Duty to Communicate. When the lawyer has not regularly represented 

the client, the basis or rate of the fee and costs shallmust be communicated to 

the client, preferably in writing, before or within a reasonable time after 

commencing the representation. A fee for legal services that is nonrefundable 

in any part shallmust be confirmed in writing and shallmust explain the intent 

of the parties as to the nature and amount of the nonrefundable fee. The test of 

reasonableness found in subdivision (b), above, applies to all fees for legal 

services without regard to their characterization by the parties.

The fact that a contract may not be in accord with these rules is an issue 

between the attorneylawyer and client and a matter of professional ethics, but 

is not the proper basis for an action or defense by an opposing party when feeshifting litigation is involved.

(2) Definitions.

(A) Retainer. A retainer is a sum of money paid to a lawyer to 

guarantee the lawyer’s future availability. A retainer is not payment for 

past legal services and is not payment for future services.

(B) Flat Fee. A flat fee is a sum of money paid to a lawyer for all legal 

services to be provided in the representation. A flat fee may be termed 

“non-refundable.”
- 46 -

(C) Advance Fee. An advanced fee is a sum of money paid to the 

lawyer against which the lawyer will bill the client as legal services are 

provided.

(f) Contingent Fees. As to contingent fees:

(1) A fee may be contingent on the outcome of the matter for which the 

service is rendered, except in a matter in which a contingent fee is prohibited 

by subdivision (f)(3) or by law. A contingent fee agreement shallmust be in 

writing and shallmust state the method by which the fee is to be determined, 

including the percentage or percentages that shallwill accrue to the lawyer in 

the event of settlement, trial, or appeal,; litigation and other expenses to be 

deducted from the recovery,; and whether suchthose expenses are to be 

deducted before or after the contingent fee is calculated. UponOn conclusion 

of a contingent fee matter, the lawyer shallmust provide the client with a 

written statement stating the outcome of the matter and, if there is a recovery, 

showing the remittance to the client and the method of its determination.

(2) Every lawyer who accepts a retainer or enters into an agreement, 

express or implied, for compensation for services rendered or to be rendered in 

any action, claim, or proceeding wherebyin which the lawyer’s compensation 

is to be dependent or contingent in whole or in part upon the successful 

prosecution or settlement thereof shallmust do so only where suchthe fee 

arrangement is reduced to a written contract, signed by the client, and by a 

lawyer for the lawyer or for the law firm representing the client. No lawyer or 

firm may participate in the fee without the consent of the client in writing. 

Each participating lawyer or law firm shallmust sign the contract with the 

client and shallmust agree to assume joint legal responsibility to the client for 

the performance of the services in question as if each were partners of the other 

lawyer or law firm involved. The client shallmust be furnished with a copy of 

the signed contract and any subsequent notices or consents. All provisions of 

this rule shallwill apply to such fee contracts.

(3) A lawyer shallmust not enter into an arrangement for, charge, or 

collect:

(A) any fee in a domestic relations matter, the payment or amount of 

which is contingent upon the securing of a divorce or upon the amount of 

alimony or support, or property settlement in lieu thereof; or

(B) a contingent fee for representing a defendant in a criminal case.
- 47 -

(4) A lawyer who enters into an arrangement for, charges, or collects any 

fee in an action or claim for personal injury or for property damages or for 

death or loss of services resulting from personal injuries based upon tortious 

conduct of another, including products liability claims, wherebyin which the 

compensation is to be dependent or contingent in whole or in part upon the

successful prosecution or settlement thereof shallmust do so only under the 

following requirements:

(A) The contract shallmust contain the following provisions:

(i) "The undersigned client has, before signing this contract, 

received and read the statement of client’s rights and understands each 

of the rights set forth thereinin it. The undersigned client has signed 

the statement and received a signed copy to refer to while being 

represented by the undersigned attorney(s)lawyer(s)."

(ii) "This contract may be cancelled by written notification to the 

attorneylawyer at any time within 3 business days of the date the 

contract was signed, as shown below, and if cancelled the client shall 

not beis not obligated to pay any fees to the attorney for the work 

performed during that time. If the attorneylawyer has advanced funds 

to others in representation of the client, the attorneylawyer is entitled to 

be reimbursed for such amounts asthat the attorneylawyer has 

reasonably advanced on behalf of the client."

(B) The contract for representation of a client in a matter set forth in 

subdivision (f)(4) may provide for a contingent fee arrangement as agreed 

upon by the client and the lawyer, except as limited by the following 

provisions:

(i) Without prior court approval as specified below, any contingent 

fee that exceeds the following standards shall beare presumed, unless 

rebutted, to be clearly excessive:

a. Before the filing of an answer or the demand for 

appointment of arbitrators or, if no answer is filed or no demand for 

appointment of arbitrators is made, the expiration of the time period 

provided for such action:

1. 33 1/3% of any recovery up to $1 million; plus
- 48 -

2. 30% of any portion of the recovery between $1 million 

and $2 million; plus

3. 20% of any portion of the recovery exceeding $2 

million.

b. After the filing of an answer or the demand for appointment 

of arbitrators or, if no answer is filed or no demand for appointment 

of arbitrators is made, the expiration of the time period provided for 

such action, through the entry of judgment:

1. 40% of any recovery up to $1 million; plus

2. 30% of any portion of the recovery between $1 million 

and $2 million; plus

3. 20% of any portion of the recovery exceeding $2 

million.

c. If all defendants admit liability at the time of filing their 

answers and request a trial only on damages:

1. 33 1/3% of any recovery up to $1 million; plus

2. 20% of any portion of the recovery between $1 million 

and $2 million; plus

3. 15% of any portion of the recovery exceeding $2 

million.

d. An additional 5% of any recovery after institution of any 

appellate proceeding is filed or post-judgmentpostjudgment relief 

or action is required for recovery on the judgment.

(ii) If any client is unable to obtain a lawyer of the client’s choice 

because of the limitations set forth in subdivision (f)(4)(B)(i), the client 

may petition the court in which the matter would be filed, if litigation is 

necessary, or if that court will not accept jurisdiction for the fee 

approval, the circuit court in which the cause of action arose, for 

approval of any fee contract between the client and a lawyer of the 

client’s choosing. Authorization will be given if the court determines 

the client has a complete understanding of the client’s rights and the 

terms of the proposed contract. The application for authorization of the 
- 49 -

contract can be filed as a separate proceeding before suit or 

simultaneously with the filing of a complaint. Proceedings on the 

petition may occur before service on the defendant and this aspect of 

the file may be sealed. A petition under this subdivision must contain a 

certificate showing service on the client and, if the petition is denied, a 

copy of the petition and order denying the petition must be served on 

The Florida Bar in Tallahassee by the member of the bar who filed the 

petition. Authorization of such a contract does not bar subsequent 

inquiry as to whether the fee actually claimed or charged is clearly 

excessive under subdivisions (a) and (b).

(iii) Subject to the provisions of 4-1.5(f)(4)(B)(i) and (ii), a lawyer 

who enters into an arrangement for, charges, or collects any fee in an 

action or claim for medical liability wherebyin which the compensation 

is dependent or contingent in whole or in part upon the successful 

prosecution or settlement thereof shallmust provide the language of 

article I, section 26 of the Florida Constitution to the client in writing 

and shallmust orally inform the client that:

a. Unless waived, in any medical liability claim involving a 

contingency fee, the claimant is entitled to receive no less than 70% 

of the first $250,000 of all damages received by the claimant, 

exclusive of reasonable and customary costs, whether received by 

judgment, settlement, or otherwise, and regardless of the number of 

defendants. The claimant is entitled to 90% of all damages in 

excess of $250,000, exclusive of reasonable and customary costs 

and regardless of the number of defendants.

b. If a lawyer chooses not to accept the representation of a 

client under the terms of article I, section 26 of the Florida 

Constitution, the lawyer shallmust advise the client, both orally and 

in writing, of alternative terms, if any, under which the lawyer 

would accept the representation of the client, as well as the client’s 

right to seek representation by another lawyer willing to accept the 

representation under the terms of article I, section 26 of the Florida 

Constitution, or a lawyer willing to accept the representation on a 

fee basis that is not contingent.

c. If any client desires to waive any rights under article I, 

section 26 of the Florida Constitution in order to obtain a lawyer of 

the client’s choice, a client may do so by waiving such rights in 
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writing, under oath, and in the form provided in this rule. The 

lawyer shallmust provide each client a copy of the written waiver 

and shallmust afford each client a full and complete opportunity to 

understand the rights being waived as set forth in the waiver. A 

copy of the waiver, signed by each client and lawyer, shallmust be 

given to each client to retain, and the lawyer shallmust keep a copy 

in the lawyer’s file pertaining to the client. The waiver shallmust

be retained by the lawyer with the written fee contract and closing 

statement under the same conditions and requirements provided in 

4-1.5(f)(5).

WAIVER OF THE CONSTITUTIONAL RIGHT PROVIDED IN ARTICLE I, 

SECTION 26 OF THE FLORIDA CONSTITUTION

On November 2, 2004, voters in the State of Florida approved The Medical 

Liability Claimant's Compensation Amendment that was identified as Amendment 

3 on the ballot. The amendment is set forth below:

The Florida Constitution

Article I, Section 26 is created to read "Claimant's right to fair compensation." 

In any medical liability claim involving a contingency fee, the claimant is entitled 

to receive no less than 70% of the first $250,000 in all damages received by the 

claimant, exclusive of reasonable and customary costs, whether received by 

judgment, settlement or otherwise, and regardless of the number of defendants. 

The claimant is entitled to 90% of all damages in excess of $250,000, exclusive of 

reasonable and customary costs and regardless of the number of defendants. This 

provision is self-executing and does not require implementing legislation.

The undersigned client understands and acknowledges that (initial each 

provision):

_____I have been advised that signing this waiver releases an important 

constitutional right; and

_____I have been advised that I may consult with separate counsel before 

signing this waiver; and that I may request a hearing before a judge to further 

explain this waiver; and

_____By signing this waiver I agree to an increase in the attorney fee that 

might otherwise be owed if the constitutional provision listed above is not waived. 

Without prior court approval, the increased fee that I agree to may be up to the 
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maximum contingency fee percentages set forth in Rule Regulating The Florida 

Bar 4-1.5(f)(4)(B)(i). Depending on the circumstances of my case, the maximum 

agreed upon fee may range from 33 1/3% to 40% of any recovery up to $1 million; 

plus 20% to 30% of any portion of the recovery between $1 million and $2 million; 

plus 15% to 20% of any recovery exceeding $2 million; and

_____I have three (3) business days following execution of this waiver in 

which to cancel this waiver; and

_____I wish to engage the legal services of the lawyers or law firms listed 

below in an action or claim for medical liability the fee for which is contingent in 

whole or in part upon the successful prosecution or settlement thereof, but I am 

unable to do so because of the provisions of the constitutional limitation set forth 

above. In consideration of the lawyers’ or law firms’ agreements to represent me 

and my desire to employ the lawyers or law firms listed below, I hereby 

knowingly, willingly, and voluntarily waive any and all rights and privileges that I 

may have under the constitutional provision set forth above, as apply to the 

contingency fee agreement only. Specifically, I waive the percentage restrictions 

that are the subject of the constitutional provision and confirm the fee percentages 

set forth in the contingency fee agreement; and

_____I have selected the lawyers or law firms listed below as my counsel of 

choice in this matter and would not be able to engage their services without this 

waiver; and I expressly state that this waiver is made freely and voluntarily, with 

full knowledge of its terms, and that all questions have been answered to my 

satisfaction.

ACKNOWLEDGMENT BY CLIENT FOR PRESENTATION TO THE 

COURT

The undersigned client hereby acknowledges, under oath, the following:

I have read and understand this entire waiver of my rights under the 

constitutional provision set forth above.

I am not under the influence of any substance, drug, or condition (physical, 

mental, or emotional) that interferes with my understanding of this entire waiver in 

which I am entering and all the consequences thereof.

I have entered into and signed this waiver freely and voluntarily.
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I authorize my lawyers or law firms listed below to present this waiver to the 

appropriate court, if required for purposes of approval of the contingency fee 

agreement. Unless the court requires my attendance at a hearing for that purpose, 

my lawyers or law firms are authorized to provide this waiver to the court for its 

consideration without my presence.

Dated this ______ day of ________________, ____.

By: __________________________________

CLIENT

Sworn to and subscribed before me this _____ day of _______________, _____ by

___________________________, who is personally known to me, or has produced 

the following identification: _________________________________.

__________________________________

Notary Public

My Commission Expires:

Dated this ______ day of ________________, ____.

By: __________________________________

ATTORNEY

(C) Before a lawyer enters into a contingent fee contract for 

representation of a client in a matter set forth in this rule, the lawyer 

shallmust provide the client with a copy of the statement of client’s rights 

and shallmust afford the client a full and complete opportunity to 

understand each of the rights as set forth thereinin it. A copy of the 

statement, signed by both the client and the lawyer, shallmust be given to 

the client to retain and the lawyer shallmust keep a copy in the client’s file. 

The statement shallmust be retained by the lawyer with the written fee 

contract and closing statement under the same conditions and requirements 

as subdivision (f)(5).

(D) As to lawyers not in the same firm, a division of any fee within 

subdivision (f)(4) shallmust be on the following basis:

(i) To the lawyer assuming primary responsibility for the legal 

services on behalf of the client, a minimum of 75% of the total fee.
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(ii) To the lawyer assuming secondary responsibility for the legal 

services on behalf of the client, a maximum of 25% of the total fee. 

Any fee in excess of 25% shallwill be presumed to be clearly excessive.

(iii) The 25% limitation shallwill not apply to those cases in which 

2 or more lawyers or firms accept substantially equal active 

participation in the providing of legal services. In suchthose

circumstances counsel shallmust apply to the court in which the matter 

would be filed, if litigation is necessary, or if such court will not accept 

jurisdiction for the fee division, the circuit court whereinin which the 

cause of action arose, for authorization of the fee division in excess of 

25%, based upon a sworn petition signed by all counsel that shall 

discloses in detail those services to be performed. The application for 

authorization of such athe contract may be filed as a separate 

proceeding before suit or simultaneously with the filing of a complaint, 

or within 10 days of execution of a contract for division of fees when 

new counsel is engaged. Proceedings thereonon these applications may 

occur before service of process on any party and this aspect of the file 

may be sealed. Authorization of suchthe contract shallwill not bar 

subsequent inquiry as to whether the fee actually claimed or charged is 

clearly excessive. An application under this subdivision shallmust

contain a certificate showing service on the client and, if the application 

is denied, a copy of the petition and order denying the petition 

shallmust be served on The Florida Bar in Tallahassee by the member 

of the bar who filed the petition. Counsel may proceed with 

representation of the client pending court approval.

(iv) The percentages required by this subdivision shall beare

applicable after deduction of any fee payable to separate counsel 

retained especially for appellate purposes.

(5) In the event there is a recovery, upon the conclusion of the 

representation, the lawyer shallmust prepare a closing statement reflecting an 

itemization of all costs and expenses, together with the amount of fee received 

by each participating lawyer or law firm. A copy of the closing statement 

shallmust be executed by all participating lawyers, as well as the client, and 

each shallmust receive a copy. Each participating lawyer shallmust retain a 

copy of the written fee contract and closing statement for 6 years after 

execution of the closing statement. Any contingent fee contract and closing 

statement shallmust be available for inspection at reasonable times by the 
- 54 -

client, by any other person upon judicial order, or by the appropriate 

disciplinary agency.

(6) In cases in which the client is to receive a recovery that will be paid to 

the client on a future structured or periodic basis, the contingent fee percentage 

shallmust be calculated only on the cost of the structured verdict or settlement 

or, if the cost is unknown, on the present money value of the structured verdict 

or settlement, whichever is less. If the damages and the fee are to be paid out 

over the long term future schedule, this limitation does not apply. No attorney 

may negotiate separately with the defendant for that attorney’s fee in a 

structured verdict or settlement when separate negotiations would place the 

attorney in a position of conflict.

(g) Division of Fees Between Lawyers in Different Firms. Subject to the 

provisions of subdivision (f)(4)(D), a division of fee between lawyers who are not 

in the same firm may be made only if the total fee is reasonable and:

(1) the division is in proportion to the services performed by each lawyer; 

or

(2) by written agreement with the client:

(A) each lawyer assumes joint legal responsibility for the 

representation and agrees to be available for consultation with the client; 

and

(B) the agreement fully discloses that a division of fees will be made 

and the basis upon which the division of fees will be made.

(h) Credit Plans. A lawyer or law firm may accept payment under a credit 

plan. No higher fee shall be charged and no additional charge shall be imposed by 

reason of a lawyer’s or law firm’s participation in a credit plan.Lawyers may 

charge clients the actual charge the credit plan imposes on the lawyer for the 

client’s transaction.

(i) Arbitration Clauses. A lawyer shallmust not make an agreement with a 

potential client prospectively providing for mandatory arbitration of fee disputes 

without first advising that person in writing that the potential client should consider 

obtaining independent legal advice as to the advisability of entering into an 

agreement containing such mandatory arbitration provisions. A lawyer shall not 

make an agreement containing such mandatory arbitration provisions unless the 

agreement contains the following language in bold print:
- 55 -

NOTICE: This agreement contains provisions requiring arbitration 

of fee disputes. Before you sign this agreement you should consider 

consulting with another lawyer about the advisability of making an 

agreement with mandatory arbitration requirements. Arbitration 

proceedings are ways to resolve disputes without use of the court 

system. By entering into agreements that require arbitration as the 

way to resolve fee disputes, you give up (waive) your right to go to 

court to resolve those disputes by a judge or jury. These are 

important rights that should not be given up without careful 

consideration.

STATEMENT OF CLIENT’S RIGHTS 

FOR CONTINGENCY FEES

Before you, the prospective client, arrange a contingent fee 

agreement with a lawyer, you should understand this statement of 

your rights as a client. This statement is not a part of the actual 

contract between you and your lawyer, but, as a prospective client, 

you should be aware of these rights:

1. There is no legal requirement that a lawyer charge a client a set fee or a 

percentage of money recovered in a case. You, the client, have the right to talk 

with your lawyer about the proposed fee and to bargain about the rate or 

percentage as in any other contract. If you do not reach an agreement with 1 

lawyer you may talk with other lawyers.

2. Any contingent fee contract must be in writing and you have 3 business 

days to reconsider the contract. You may cancel the contract without any reason if 

you notify your lawyer in writing within 3 business days of signing the contract. If 

you withdraw from the contract within the first 3 business days, you do not owe 

the lawyer a fee although you may be responsible for the lawyer’s actual costs 

during that time. If your lawyer begins to represent you, your lawyer may not 

withdraw from the case without giving you notice, delivering necessary papers to 

you, and allowing you time to employ another lawyer. Often, your lawyer must 

obtain court approval before withdrawing from a case. If you discharge your 

lawyer without good cause after the 3-day period, you may have to pay a fee for 

work the lawyer has done.

3. Before hiring a lawyer, you, the client, have the right to know about the 

lawyer’s education, training, and experience. If you ask, the lawyer should tell you 

specifically about the lawyer’s actual experience dealing with cases similar to 
- 56 -

yours. If you ask, the lawyer should provide information about special training or 

knowledge and give you this information in writing if you request it.

4. Before signing a contingent fee contract with you, a lawyer must advise you 

whether the lawyer intends to handle your case alone or whether other lawyers will 

be helping with the case. If your lawyer intends to refer the case to other lawyers, 

the lawyer should tell you what kind of fee sharing arrangement will be made with 

the other lawyers. If lawyers from different law firms will represent you, at least 1 

lawyer from each law firm must sign the contingent fee contract.

5. If your lawyer intends to refer your case to another lawyer or counsel with 

other lawyers, your lawyer should tell you about that at the beginning. If your 

lawyer takes the case and later decides to refer it to another lawyer or to associate 

with other lawyers, you should sign a new contract that includes the new lawyers. 

You, the client, also have the right to consult with each lawyer working on your 

case and each lawyer is legally responsible to represent your interests and is legally 

responsible for the acts of the other lawyers involved in the case.

6. You, the client, have the right to know in advance how you will need to pay 

the expenses and the legal fees at the end of the case. If you pay a deposit in 

advance for costs, you may ask reasonable questions about how the money will be 

or has been spent and how much of it remains unspent. Your lawyer should give a 

reasonable estimate about future necessary costs. If your lawyer agrees to lend or 

advance you money to prepare or research the case, you have the right to know 

periodically how much money your lawyer has spent on your behalf. You also 

have the right to decide, after consulting with your lawyer, how much money is to 

be spent to prepare a case. If you pay the expenses, you have the right to decide 

how much to spend. Your lawyer should also inform you whether the fee will be 

based on the gross amount recovered or on the amount recovered minus the costs.

7. You, the client, have the right to be told by your lawyer about possible 

adverse consequences if you lose the case. Those adverse consequences might

include money that you might have to pay to your lawyer for costs and liability you 

might have for attorney’s fees, costs, and expenses to the other side.

8. You, the client, have the right to receive and approve a closing statement at 

the end of the case before you pay any money. The statement must list all of the 

financial details of the entire case, including the amount recovered, all expenses, 

and a precise statement of your lawyer’s fee. Until you approve the closing 

statement your lawyer cannot pay any money to anyone, including you, without an 
- 57 -

appropriate order of the court. You also have the right to have every lawyer or law 

firm working on your case sign this closing statement.

9. You, the client, have the right to ask your lawyer at reasonable intervals 

how the case is progressing and to have these questions answered to the best of 

your lawyer’s ability.

10. You, the client, have the right to make the final decision regarding 

settlement of a case. Your lawyer must notify you of all offers of settlement before 

and after the trial. Offers during the trial must be immediately communicated and 

you should consult with your lawyer regarding whether to accept a settlement. 

However, you must make the final decision to accept or reject a settlement.

11. If at any time you, the client, believe that your lawyer has charged an 

excessive or illegal fee, you have the right to report the matter to The Florida Bar, 

the agency that oversees the practice and behavior of all lawyers in Florida. For 

information on how to reach The Florida Bar, call 850/561-5600, or contact the 

local bar association. Any disagreement between you and your lawyer about a fee 

can be taken to court and you may wish to hire another lawyer to help you resolve 

this disagreement. Usually fee disputes must be handled in a separate lawsuit, 

unless your fee contract provides for arbitration. You can request, but may not 

require, that a provision for arbitration (under Chapter 682, Florida Statutes, or 

under the fee arbitration rule of the Rules Regulating The Florida Bar) be included 

in your fee contract.

______________________________ ______________________________

Client Signature Attorney Signature

______________________________ ______________________________

Date Date

Comment

Bases or rate of fees and costs

When the lawyer has regularly represented a client, they ordinarily will have 

evolved an understanding concerning the basis or rate of the fee. The conduct of 

the lawyer and client in prior relationships is relevant when analyzing the 

requirements of this rule. In a new client-lawyer relationship, however, an 

understanding as to the fee should be promptly established. It is not necessary to 
- 58 -

recite all the factors that underlie the basis of the fee but only those that are directly 

involved in its computation. It is sufficient, for example, to state the basic rate is 

an hourly charge or a fixed amount or an estimated amount, or to identify the 

factors that may be taken into account in finally fixing the fee. Although hourly 

billing or a fixed fee may be the most common bases for computing fees in an area 

of practice, these may not be the only bases for computing fees. A lawyer should, 

where appropriate, discuss alternative billing methods with the client. When 

developments occur during the representation that render an earlier estimate 

substantially inaccurate, a revised estimate should be provided to the client. A 

written statement concerning the fee reduces the possibility of misunderstanding. 

Furnishing the client with a simple memorandum or a copy of the lawyer’s 

customary fee schedule is sufficient if the basis or rate of the fee is set forth.

General overhead should be accounted for in a lawyer’s fee, whether the 

lawyer charges hourly, flat, or contingent fees. Filing fees, transcription, and the 

like should be charged to the client at the actual amount paid by the lawyer. A 

lawyer may agree with the client to charge a reasonable amount for in-house costs 

or services. In-house costs include items such as copying, faxing, long distance 

telephone, and computerized research. In-house services include paralegal 

services, investigative services, accounting services, and courier services. The 

lawyer should sufficiently communicate with the client regarding the costs charged 

to the client so that the client understands the amount of costs being charged or the 

method for calculation of those costs. Costs appearing in sufficient detail on 

closing statements and approved by the parties to the transaction should meet the 

requirements of this rule.

Rule 4-1.8(e) should be consulted regarding a lawyer’s providing financial 

assistance to a client in connection with litigation.

Lawyers should also be mindful of any statutory, constitutional, or other 

requirements or restrictions on attorneys’ fees.

In order to avoid misunderstandings concerning the nature of legal fees, written 

documentation is required when any aspect of the fee is nonrefundable. A written 

contract provides a method to resolve misunderstandings and to protect the lawyer 

in the event of continued misunderstanding. Rule 4-1.5 (e) does not require the 

client to sign a written document memorializing the terms of the fee. A letter from 

the lawyer to the client setting forth the basis or rate of the fee and the intent of the 

parties in regard to the nonrefundable nature of the fee is sufficient to meet the 

requirements of this rule.
- 59 -

All legal fees and contracts for legal fees are subject to the requirements of the 

Rules Regulating The Florida Bar. In particular, the test for reasonableness of 

legal fees found in rule 4-1.5(b) applies to all types of legal fees and contracts 

related to them.

Terms of payment

A lawyer may require advance payment of a fee but is obliged to return any 

unearned portion. See rule 4-1.16(d). A lawyer is not, however, required to return 

retainers that, pursuant to an agreement with a client, are not refundable. A 

nonrefundable retainer or nonrefundable flat fee is the property of the lawyer and 

should not be held in trust. If a client gives the lawyer a negotiable instrument that 

represents both an advance on costs plus either a nonrefundable retainer or a 

nonrefundable flat fee, the entire amount should be deposited into the lawyer’s 

trust account, then the portion representing the earned nonrefundable retainer or 

nonrefundable flat fee should be withdrawn within a reasonable time. An advance 

fee must be held in trust until it is earned. Nonrefundable fees are, as all fees, 

subject to the prohibition against excessive fees.

A lawyer may accept property in payment for services, such as an ownership 

interest in an enterprise, providing this does not involve acquisition of a proprietary 

interest in the cause of action or subject matter of the litigation contrary to rule 4-

1.8(i). However, a fee paid in property instead of money may be subject to special 

scrutiny because it involves questions concerning both the value of the services 

and the lawyer’s special knowledge of the value of the property.

An agreement may not be made whose terms might induce the lawyer 

improperly to curtail services for the client or perform them in a way contrary to 

the client’s interest. For example, a lawyer should not enter into an agreement 

whereby services are to be provided only up to a stated amount when it is 

foreseeable that more extensive services probably will be required, unless the 

situation is adequately explained to the client. Otherwise, the client might have to 

bargain for further assistance in the midst of a proceeding or transaction. 

However, it is proper to define the extent of services in light of the client’s ability 

to pay. A lawyer should not exploit a fee arrangement based primarily on hourly 

charges by using wasteful procedures. When there is doubt whether a contingent 

fee is consistent with the client’s best interest, the lawyer should offer the client 

alternative bases for the fee and explain their implications. Applicable law may 

impose limitations on contingent fees, such as a ceiling on the percentage.
- 60 -

Prohibited contingent fees

Subdivision (f)(3)(A) prohibits a lawyer from charging a contingent fee in a 

domestic relations matter when payment is contingent upon the securing of a 

divorce or upon the amount of alimony or support or property settlement to be 

obtained. This provision does not preclude a contract for a contingent fee for legal 

representation in connection with the recovery of post-judgment balances due 

under support, alimony, or other financial orders because such contracts do not 

implicate the same policy concerns.

Contingent fees are prohibited in criminal and certain domestic relations 

matters. In domestic relations cases, fees that include a bonus provision or 

additional fee to be determined at a later time and based on results obtained have 

been held to be impermissible contingency fees and therefore subject to restitution 

and disciplinary sanction as elsewhere stated in these Rules Regulating The Florida 

Bar.

Contingent fee regulation

Subdivision (e) is intended to clarify that whether the lawyer's fee contract 

complies with these rules is a matter between the lawyer and client and an issue for 

professional disciplinary enforcement. The rules and subdivision (e) are not 

intended to be used as procedural weapons or defenses by others. Allowing 

opposing parties to assert noncompliance with these rules as a defense, including 

whether the fee is fixed or contingent, allows for potential inequity if the opposing 

party is allowed to escape responsibility for their actions solely through application 

of these rules.

Rule 4-1.5(f)(4) should not be construed to apply to actions or claims seeking 

property or other damages arising in the commercial litigation context.

Rule 4-1.5(f)(4)(B) is intended to apply only to contingent aspects of fee 

agreements. In the situation where a lawyer and client enter a contract for part 

noncontingent and part contingent attorney’s fees, rule 4-1.5(f)(4)(B) should not be 

construed to apply to and prohibit or limit the noncontingent portion of the fee 

agreement. An attorney could properly charge and retain the noncontingent 

portion of the fee even if the matter was not successfully prosecuted or if the 

noncontingent portion of the fee exceeded the schedule set forth in rule 4-

1.5(f)(4)(B). Rule 4-1.5(f)(4)(B) should, however, be construed to apply to any 

additional contingent portion of such a contract when considered together with 

earned noncontingent fees. Thus, under such a contract a lawyer may demand or 
- 61 -

collect only such additional contingent fees as would not cause the total fees to 

exceed the schedule set forth in rule 4-1.5(f)(4)(B).

The limitations in rule 4-1.5(f)(4)(B)(i)c are only to be applied in the case 

where all the defendants admit liability at the time they file their initial answer and 

the trial is only on the issue of the amount or extent of the loss or the extent of 

injury suffered by the client. If the trial involves not only the issue of damages but 

also such questions as proximate cause, affirmative defenses, seat belt defense, or 

other similar matters, the limitations are not to be applied because of the contingent 

nature of the case being left for resolution by the trier of fact.

Rule 4-1.5(f)(4)(B)(ii) provides the limitations set forth in subdivision 

(f)(4)(B)(i) may be waived by the client upon approval by the appropriate judge. 

This waiver provision may not be used to authorize a lawyer to charge a client a 

fee that would exceed rule 4-1.5(a) or (b). It is contemplated that this waiver 

provision will not be necessary except where the client wants to retain a particular 

lawyer to represent the client or the case involves complex, difficult, or novel 

questions of law or fact that would justify a contingent fee greater than the 

schedule but not a contingent fee that would exceed rule 4-1.5(b).

UponOn a petition by a client, the trial court reviewing the waiver request must 

grant that request if the trial court finds the client: (a) understands the right to have

the limitations in rule 4-1.5(f)(4)(B) applied in the specific matter; and (b) 

understands and approves the terms of the proposed contract. The consideration by 

the trial court of the waiver petition is not to be used as an opportunity for the court 

to inquire into the merits or details of the particular action or claim that is the 

subject of the contract.

The proceedings before the trial court and the trial court’s decision on a waiver 

request are to be confidential and not subject to discovery by any of the parties to 

the action or by any other individual or entity except The Florida Bar. However, 

terms of the contract approved by the trial court may be subject to discovery if the 

contract (without court approval) was subject to discovery under applicable case 

law or rules of evidence.

Rule 4-1.5(f)(4)(B)(iii) is added to acknowledge the provisions of Article 1, 

Section 26 of the Florida Constitution, and to create an affirmative obligation on 

the part of an attorney contemplating a contingency fee contract to notify a 

potential client with a medical liability claim of the limitations provided in that 

constitutional provision. This addition to the rule is adopted prior to any judicial 

interpretation of the meaning or scope of the constitutional provision and this rule 
- 62 -

is not intended to make any substantive interpretation of the meaning or scope of 

that provision. The rule also provides that a client who wishes to waive the rights 

of the constitutional provision, as those rights may relate to attorney's fees, must do 

so in the form contained in the rule.

Rule 4-1.5(f)(6) prohibits a lawyer from charging the contingent fee percentage 

on the total, future value of a recovery being paid on a structured or periodic basis. 

This prohibition does not apply if the lawyer’s fee is being paid over the same 

length of time as the schedule of payments to the client.

Fees that provide for a bonus or additional fees and that otherwise are not 

prohibited under the Rules Regulating The Florida Bar can be effective tools for 

structuring fees. For example, a fee contract calling for a flat fee and the payment 

of a bonus based on the amount of property retained or recovered in a general civil 

action is not prohibited by these rules. However, the bonus or additional fee must

be stated clearly in amount or formula for calculation of the fee (basis or rate). 

Courts have held that unilateral bonus fees are unenforceable. The test of 

reasonableness and other requirements of this rule apply to permissible bonus fees.

Division of fee

A division of fee is a single billing to a client covering the fee of 2 or more 

lawyers who are not in the same firm. A division of fee facilitates association of 

more than 1 lawyer in a matter in which neither alone could serve the client as 

well, and most often is used when the fee is contingent and the division is between 

a referring lawyer and a trial specialist. Subject to the provisions of subdivision 

(f)(4)(D), subdivision (g) permits the lawyers to divide a fee on either the basis of 

the proportion of services they render or by agreement between the participating 

lawyers if all assume responsibility for the representation as a whole and the client 

is advised and does not object. It does require disclosure to the client of the share 

that each lawyer is to receive. Joint responsibility for the representation entails the 

obligations stated in rule 4-5.1 for purposes of the matter involved.

Disputes over fees

Since the fee arbitration rule (chapter 14) has been established by the bar to 

provide a procedure for resolution of fee disputes, the lawyer should 

conscientiously consider submitting to it. Where law prescribes a procedure for 

determining a lawyer’s fee, for example, in representation of an executor or 

administrator, a class, or a person entitled to a reasonable fee as part of the measure 
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of damages, the lawyer entitled to such a fee and a lawyer representing another 

party concerned with the fee should comply with the prescribed procedure.

Referral fees and practices

A secondary lawyer shallis not be entitled to a fee greater than the limitation 

set forth in rule 4-1.5(f)(4)(D)(ii) merely because the lawyer agrees to do some or 

all of the following: (a) consults with the client; (b) answers interrogatories; (c) 

attends depositions; (d) reviews pleadings; (e) attends the trial; or (f) assumes joint 

legal responsibility to the client. However, the provisions do not contemplate that 

a secondary lawyer who does more than the above is necessarily entitled to a larger 

percentage of the fee than that allowed by the limitation.

The provisions of rule 4-1.5(f)(4)(D)(iii) only apply where the participating 

lawyers have for purposes of the specific case established a co-counsel 

relationship. The need for court approval of a referral fee arrangement under rule 

4-1.5(f)(4)(D)(iii) should only occur in a small percentage of cases arising under 

rule 4-1.5(f)(4) and usually occurs prior to the commencement of litigation or at 

the onset of the representation. However, in those cases in which litigation has 

been commenced or the representation has already begun, approval of the fee 

division should be sought within a reasonable period of time after the need for 

court approval of the fee division arises.

In determining if a co-counsel relationship exists, the court should look to see 

if the lawyers have established a special partnership agreement for the purpose of 

the specific case or matter. If such an agreement does exist, it must provide for a 

sharing of services or responsibility and the fee division is based upon a division of 

the services to be rendered or the responsibility assumed. It is contemplated that a 

co-counsel situation would exist where a division of responsibility is based upon, 

but not limited to, the following: (a) based upon geographic considerations, the 

lawyers agree to divide the legal work, responsibility, and representation in a 

convenient fashion. Such(such a situation would occur when different aspects of a 

case must be handled in different locations); (b) where the lawyers agree to divide 

the legal work and representation based upon their particular expertise in the 

substantive areas of law involved in the litigation; or (c) where the lawyers agree to 

divide the legal work and representation along established lines of division, such as 

liability and damages, causation and damages, or other similar factors.

The trial court’s responsibility when reviewing an application for authorization 

of a fee division under rule 4-1.5(f)(4)(D)(iii) is to determine if a co-counsel 

relationship exists in that particular case. If the court determines a co-counsel 
- 64 -

relationship exists and authorizes the fee division requested, the court does not 

have any responsibility to review or approve the specific amount of the fee division 

agreed upon by the lawyers and the client.

Rule 4-1.5(f)(4)(D)(iv) applies to the situation where appellate counsel is 

retained during the trial of the case to assist with the appeal of the case. The 

percentages set forth in subdivision (f)(4)(D) are to be applicable after appellate 

counsel’s fee is established. However, the effect should not be to impose an 

unreasonable fee on the client.

Credit plans

Credit plans include credit cards. If a lawyer accepts payment from a credit 

plan for an advance of fees and costs, the amount must be held in trust in 

accordance with chapter 5, Rules Regulating The Florida Bar, and the lawyer must 

add the lawyer’s own money to the trust account in an amount equal to the amount 

charged by the credit plan for doing business with the credit plan.

RULE 4-1.10 IMPUTATION OF CONFLICTS OF INTEREST; GENERAL 

RULE

(a) Imputed Disqualification of All Lawyers in Firm. While lawyers are 

associated in a firm, none of them may knowingly represent a client when any 1 of 

them practicing alone would be prohibited from doing so by rule 4-1.7 or 4-1.9 

except as provided elsewhere in this rule, or unless the prohibition is based on a 

personal interest of the prohibited lawyer and does not present a significant risk of 

materially limiting the representation of the client by the remaining lawyers in the 

firm.

(b) Former Clients of Newly Associated Lawyer. When a lawyer becomes 

associated with a firm, the firm may not knowingly represent a person in the same 

or a substantially related matter in which that lawyer, or a firm with which the 

lawyer was associated, had previously represented a client whose interests are 

materially adverse to that person and about whom the lawyer had acquired 

information protected by rules 4-1.6 and 4-1.9(b) and (c) that is material to the 

matter.

(c) Representing Interests Adverse to Clients of Formerly Associated 

Lawyer. When a lawyer has terminated an association with a firm, the firm is not 

prohibited from thereafter representing a person with interests materially adverse 

to those of a client represented by the formerly associated lawyer unless:
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(1) the matter is the same or substantially related to that in which the 

formerly associated lawyer represented the client; and

(2) any lawyer remaining in the firm has information protected by rules 4-

1.6 and 4-1.9(b) and (c) that is material to the matter.

(d) Waiver of Conflict. A disqualification prescribed by this rule may be 

waived by the affected client under the conditions stated in rule 4-1.7.

(e) Government Lawyers. The disqualification of lawyers associated in a 

firm with former or current government lawyers is governed by rule 4-1.11.

Comment

Definition of "firm"

With respect to the law department of an organization, thereThere is ordinarily 

no question that the members of thean organization’s law department constitute a 

firm within the meaning of the Rules of Professional Conduct. However, there can 

be uncertainty as to the identity of the client. For example, it may not be clear 

whether the law department of a corporation represents a subsidiary or an affiliated 

corporation, as well as the corporation by which the members of the department 

are directly employed. A similar question can arise concerning an unincorporated 

association and its local affiliates.

Similar questions can also arise with respect to lawyers in legal aid. Lawyers 

employed in the same unit of a legal service organization constitute a firm, but not 

necessarily those employed in separate units. As in the case of independent 

practitioners, whether the lawyers should be treated as associated with each other 

can depend on the particular rule that is involved and on the specific facts of the 

situation.

Where a lawyer has joined a private firm after having represented the 

government, the situation is governed by rule 4-1.11(a) and (b); where a lawyer 

represents the government after having served private clients, the situation is 

governed by rule 4-1.11(c)(1). The individual lawyer involved is bound by the 

rules generally, including rules 4-1.6, 4-1.7, and 4-1.9.

Different provisions are thus made for movement of a lawyer from 1 private 

firm to another and for movement of a lawyer between a private firm and the 

government. The government is entitled to protection of its client confidences and, 

therefore, to the protections provided in rules 4-1.6, 4-1.9, and 4-1.11. However, if 
- 66 -

the more extensive disqualification in rule 4-1.10 were applied to former 

government lawyers, the potential effect on the government would be unduly 

burdensome. The government deals with all private citizens and organizations and 

thus has a much wider circle of adverse legal interests than does any private law 

firm. In these circumstances, the government's recruitment of lawyers would be 

seriously impaired if rule 4-1.10 were applied to the government. On balance, 

therefore, the government is better served in the long run by the protections stated 

in rule 4-1.11.

Principles of imputed disqualification

The rule of imputed disqualification stated in subdivision (a) gives effect to the 

principle of loyalty to the client as it applies to lawyers who practice in a law firm. 

SuchThese situations can be considered from the premise that a firm of lawyers is 

essentially 1 lawyer for purposes of the rules governing loyalty to the client or 

from the premise that each lawyer is vicariously bound by the obligation of loyalty 

owed by each lawyer with whom the lawyer is associated. Subdivision (a) 

operates only among the lawyers currently associated in a firm. When a lawyer 

moves from 1 firm to another the situation is governed by subdivisions (b) and (c).

The rule in subdivision (a) does not prohibit representation where neither 

questions of client loyalty nor protection of confidential information are presented. 

Where 1 lawyer in a firm could not effectively represent a given client because of 

strong political beliefs, for example, but that lawyer will do no work on the case 

and the personal beliefs of the lawyer will not materially limit the representation by 

others in the firm, the firm should not be disqualified. On the other hand, if an 

opposing party in a case were owned by a lawyer in the law firm, and others in the 

firm would be materially limited in pursuing the matter because of loyalty to that 

lawyer, the personal disqualification of the lawyer would be imputed to all others 

in the firm.

The rule in subdivision (a) also does not prohibit representation by others in the 

law firm where the person prohibited from involvement in a matter is a nonlawyer, 

such as a paralegal or legal secretary. SuchThese persons, however, ordinarily 

must be screened from any personal participation in the matter to avoid 

communication to others in the firm of confidential information that both the 

nonlawyers and the firm have a legal duty to protect. See terminology and rule 4-

5.3.
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Lawyers moving between firms

When lawyers have been associated in a firm but then end their association, 

however, the problem is more complicated. The fiction that the law firm is the 

same as a single lawyer is no longer wholly realistic. There are several competing 

considerations. First, the client previously represented must be reasonably assured 

that the principle of loyalty to the client is not compromised. Second, the rule of 

disqualification should not be so broadly cast as to preclude other persons from 

having reasonable choice of legal counsel. Third, the rule of disqualification 

should not unreasonably hamper lawyers from forming new associations and 

taking on new clients after having left a previous association. In this connection, it 

should be recognized that today many lawyers practice in firms, that many to some 

degree limit their practice to 1 field or another, and that many move from 1 

association to another several times in their careers. If the concept of imputed 

disqualification were defined with unqualified rigor, the result would be radical 

curtailment of the opportunity of lawyers to move from 1 practice setting to 

another and of the opportunity of clients to change counsel.

Reconciliation of these competing principles in the past has been attempted 

under 2 rubrics. One approach has been to seek per se rules of disqualification. 

For example, it has been held that a partner in a law firm is conclusively presumed 

to have access to all confidences concerning all clients of the firm. Under this 

analysis, if a lawyer has been a partner in one law firm and then becomes a partner 

in another law firm, there is a presumption that all confidences known by a partner 

in the first firm are known to all partners in the second firm. This presumption 

might properly be applied in some circumstances, especially where the client has 

been extensively represented, but may be unrealistic where the client was 

represented only for limited purposes. Furthermore, such a rigid rule exaggerates 

the difference between a partner and an associate in modern law firms.

The other rubric formerly used for dealing with vicarious disqualification is the 

appearance of impropriety and was proscribed in former Canon 9 of the Code of 

Professional Responsibility. This rubric has a two-fold problem. First, the 

appearance of impropriety can be taken to include any new client-lawyer 

relationship that might make a former client feel anxious. If that meaning were 

adopted, disqualification would become little more than a question of subjective 

judgment by the former client. Second, since "impropriety" is undefined, the term 

"appearance of impropriety" is question-begging. It therefore has to be recognized 

that the problem of imputed disqualification cannot be properly resolved either by 

simple analogy to a lawyer practicing alone or by the very general concept of 

appearance of impropriety.
- 68 -

A rule based on a functional analysis is more appropriate for determining the 

question of vicarious disqualification. Two functions are involved: preserving 

confidentiality and avoiding positions adverse to a client.

Confidentiality

Preserving confidentiality is a question of access to information. Access to 

information, in turn, is essentially a question of fact in particular circumstances, 

aided by inferences, deductions, or working presumptions that reasonably may be 

made about the way in which lawyers work together. A lawyer may have general 

access to files of all clients of a law firm and may regularly participate in 

discussions of their affairs; it should be inferred that such a lawyer in fact is privy 

to all information about all the firm's clients. In contrast, another lawyer may have 

access to the files of only a limited number of clients and participate in discussion 

of the affairs of no other clients; in the absence of information to the contrary, it 

should be inferred that such a lawyer in fact is privy to information about the 

clients actually served but not information about other clients.

Application of subdivisions (b) and (c) depends on a situation's particular facts. 

In any such inquiry, the burden of proof should rest upon the firm whose 

disqualification is sought.

Subdivisions (b) and (c) operate to disqualify the firm only when the lawyer 

involved has actual knowledge of relevant information protected by rules 4-1.6 and 

4-1.9(b) and (c). Thus, if a lawyer while with 1 firm acquired no knowledge or 

information relating to a particular client of the firm and that lawyer later joined 

another firm, neither the lawyer individually nor the second firm is disqualified 

from representing another client in the same or a related matter even though the 

interests of the 2 clients conflict.

Independent of the question of disqualification of a firm, a lawyer changing 

professional association has a continuing duty to preserve confidentiality of 

information about a client formerly represented. See rules 4-1.6 and 4-1.9.

Adverse positions

The second aspect of loyalty to client is the lawyer's obligation to decline 

subsequent representations involving positions adverse to a former client arising in 

substantially related matters. This obligation requires abstention from adverse 

representation by the individual lawyer involved, but does not properly entail 

abstention of other lawyers through imputed disqualification. Hence, this aspect of 

the problem is governed by rule 4-1.9(a). Thus, if a lawyer left 1 firm for another, 
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the new affiliation would not preclude the firms involved from continuing to 

represent clients with adverse interests in the same or related matters so long as the 

conditions of rule 4-1.10(b) and (c) concerning confidentiality have been met.

Consent to conflict

Rule 4-1.10(d) removes imputation with the informed consent of the affected 

client or former client under the conditions stated in rule 4-1.7. The conditions 

stated in rule 4-1.7 require the lawyer to determine that the representation is not 

prohibited by rule 4-1.7(b) and that each affected client or former client has given 

informed consent to the representation, confirmed in writing or clearly stated on 

the record. In some cases, the risk may be so severe that the conflict may not be 

cured by client consent. For a definition of informed consent, see terminology.

Imputation of conflicts in rule 4-1.8

Where a lawyer is prohibited from engaging in certain transactions under rule 

4-1.8, subdivision (k) of that rule, and not this rule, determines whether that 

prohibition also applies to other lawyers associated in a firm with the personally 

prohibited lawyer.

RULE 4-1.19 COLLABORATIVE LAW PROCESS IN FAMILY LAW

(a) Duty to Explain Process to Prospective Client. A lawyer must obtain the 

informed consent of a prospective client in a family law matter tobefore

proceeding in the collaborative law process after providing the prospective client 

with sufficient information about the collaborative law process, including, but not 

limited to, the following:

(1) the material benefits and risks of using the collaborative law process to 

resolve a family law matter;

(2) the nature and scope of the matter to be resolved through the 

collaborative law process;

(3) the material benefits and risks of participating in the collaborative law 

process;

(43) alternatives to the collaborative law process;

(54) that participation in the collaborative law process is voluntary and any 

client may unilaterally terminate the collaborative law process for any reason;
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(65) that the collaborative law process will terminate if any participating 

client initiates a proceeding or seeks court intervention in a pending proceeding 

related to the collaborative law matter after the clients have signed the 

collaborative law agreement;

(76) limitations on the lawyer’s participation in subsequent proceedings 

imposed by family law court rules on the collaborative law process; and

(87) fees and costs the client can reasonably expect to incur in the 

collaborative law process, including the fees of the lawyers, mental health 

professionals, and financial professionals.

(b) Written Agreement Required. A lawyer is prohibited from representing 

a client in the collaborative process in a family law matter unless all participating 

lawyers and clients sign a written agreement that includes:

(1) a statement of the clients’ intent to resolve a matter through the 

collaborative law process under these rules;

(2) a description of the nature and scope of the matter;

(3) identification of the lawyers participating in the collaborative law 

process and which client(s) they represent;

(4) that the clients will make timely, full, candid, and informal disclosure 

of information related to the collaborative matter without formal discovery and 

will promptly update previously disclosed information that has materially 

changed;

(5) that participation in the collaborative law process is voluntary and any 

client may unilaterally terminate the collaborative law process for any reason;

(6) that the collaborative law process will terminate if any participating 

client initiates a proceeding or seeks court intervention in a pending proceeding 

related to the collaborative law matter after the clients have signed the 

collaborative law agreement; and

(7) that the clients understand that their lawyers may not represent the 

clients or any other person before a court in a proceeding related to the 

collaborative law matter except as provided by court rule.

(c) Duty to Address Domestic Violence. A lawyer must reasonably inquire 

whether a prospective client has a history of any coercive or violent relationship 
- 71 -

with another party in a family law matter before agreeing to represent a client in 

the collaborative law process and must make reasonable efforts to continue to 

assess whether a coercive or violent relationship exists between parties in a family 

law matter throughout the collaborative law process. A lawyer may not represent a 

client in the collaborative law process in a family law matter and must terminate 

the client-lawyer relationship in an existing collaborative law process in a family 

law matter if the lawyer reasonably believes that the lawyer’s client has a history 

of any coercive or violent relationship with another party in the matter unless:

(1) the client requests to begin or continue the collaborative law process; 

and

(2) the lawyer reasonably believes that the safety of the client can be 

protected during the collaborative law process.

Comment

The collaborative law process involves the nonadversarial resolution of 

disputes through voluntary settlement procedures. Florida statutes and court rules 

permit collaborative law to resolve disputes in family law. Lawyers engaging in 

the collaborative law process in family law matters must comply with legislative 

and court requirements regarding the process. As part of this nonadversarial and 

voluntary resolution of disputes, lawyers who engage in the collaborative law 

process in a family law matter, and any other lawyers in that lawyer’s firm, may 

not afterwards represent any party in any related proceeding except to request that 

a court approve the settlement reached during the collaborative law process or in 

specified emergency situations in accordance with family law court rules.

Before agreeing with the client to proceed in the collaborative law process in a 

family law matter, a lawyer should first consider whether a prospective client is an 

appropriate candidate for the collaborative law process and must provide the 

prospective client with sufficient information regarding the benefits and risks of 

the process, including the lawyer’s limitations regarding subsequent proceedings. 

See also rules 4-1.4 and 4-1.2. To determine whether a prospective client is a good 

candidate for the collaborative law process, the lawyer must inquire regarding any 

history of coercive or violent relationships with any other persons who would be 

parties to the collaborative law process in the family law matter. See also rules 4-

1.1 and 4-1.2. The lawyer also must provide the prospective client with 

information about other reasonably available alternatives to resolve the family law 

matter, which may include litigation, mediation, arbitration, or expert evaluation. 

See also rule 4-1.4. The lawyer should assess whether the prospective client is 
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likely to cooperate in voluntary discovery and discuss that process with the 

prospective client. See rules 4-1.1 and 4-1.2. The lawyer should also advise the 

prospective client that the collaborative law process will terminate if any party 

initiates litigation or other court intervention in the matter after signing a 

collaborative law agreement. Id.Id. The lawyer should discuss with the client the 

fact that the collaborative law process is voluntary and any party to a collaborative 

law agreement may terminate the process at any time. Id.Id. The lawyer must 

provide the client with information about costs the client can reasonably expect to 

incur, including fees and costs of all professionals involved. See rules 4-1.4 and 4-

1.5.

An agreement between a lawyer and client to engage in the collaborative law 

process is a form of limited representation which must comply with all 

requirements of limited scope representations, including the requirement that the 

client must give informed consent in writing. See rule 4-1.2(c). The agreement 

between lawyer and client should include the nature and scope of the matter to be 

resolved through the collaborative law process, the material benefits and risks to 

participating in the collaborative law process, and the limitations on the lawyer’s 

representation.

If a client agrees to participate in the collaborative law process and then 

terminates the process or initiates litigation regarding the dispute, the lawyer 

should terminate the representation. See rule 4-1.16.

4-5 LAW FIRMS AND ASSOCIATIONS 

RULE 4-5.8 PROCEDURES FOR LAWYERS LEAVING LAW FIRMS 

AND DISSOLUTION OF LAW FIRMS

(a) Contractual Relationship Between Law Firm and Clients. The contract 

for legal services creates the legal relationships between the client and law firm 

and between the client and individual members of the law firm, including the 

ownership of the files maintained by the lawyer or law firm. Nothing in these rules 

creates or defines those relationships.

(b) Client’s Right to Counsel of Choice. Clients have the right to expect that 

they may choose counsel when legal services are required and, with few 

exceptions, nothing that lawyers and law firms do affects the exercise of that right.

(c) Contact With Clients.

(1) Lawyers Leaving Law Firms. Absent a specific agreement otherwise, a 

lawyer who is leaving a law firm may not unilaterally contact those clients of 
- 73 -

the law firm for purposes of notifying them about the anticipated departure or 

to solicit representation of the clients unless the lawyer has approached an 

authorized representative of the law firm and attempted to negotiate a joint 

communication to the clients concerning the lawyer leaving the law firm and 

bona fide negotiations have been unsuccessful.

(2) Dissolution of Law Firm. Absent a specific agreement otherwise, a 

lawyer involved in the dissolution of a law firm may not unilaterally contact 

clients of the law firm unless, after bona fide negotiations, authorized members 

of the law firm have been unable to agree on a method to provide notice to 

clients.

(d) Form for Contact With Clients.

(1) Lawyers Leaving Law Firms. When a joint response has not been 

successfully negotiated, unilateral contact by individual members or the law 

firm must give notice to clients that the lawyer is leaving the law firm and 

provide options to the clients to choose to remain a client of the law firm, to 

choose representation by the departing lawyer, or to choose representation by 

other lawyers or law firms.

(2) Dissolution of Law Firms. When a law firm is being dissolved and no 

procedure for contacting clients has been agreed to, unilateral contact by 

members of the law firm must give notice to clients that the firm is being 

dissolved and provide options to the clients to choose representation by any 

member of the dissolving law firm, or representation by other lawyers or law 

firms.

(3) Liability for Fees and Costs. In all instances, notice to the client 

required under this rule must provide information concerning potential liability 

for fees for legal services previously rendered, costs expended, and how any 

deposits for fees or costs will be handled. In addition, if appropriate, notice 

must be given that reasonable charges may be imposed to provide a copy of 

any file to a successor lawyer.

(e) Nonresponsive Clients.

(1) Lawyers Leaving Law Firms. In the event a client fails to advise the 

lawyers and law firm of the client’s intention in regard to who is to provide 

future legal services when a lawyer is leaving the firm, the client remains a 

client of the firm until the client advises otherwise.
- 74 -

(2) Dissolution of Law Firms. In the event a client fails to advise the 

lawyers of the client’s intention in regard to who is to provide future legal 

services when a law firm is dissolving, the client remains a client of the lawyer 

who primarily provided the prior legal services on behalf of the firm until the 

client advises otherwise.

Comment

The current rule of law regarding ownership of client files is discussed in 

Donahue v. Vaughn, 721 So. 2d 356 (Fla. 5th DCA 1998), and Dowda & Fields, 

P.A. v. Cobb, 452 So. 2d 1140 (Fla. 5th DCA 1984). A lawyer leaving a law firm, 

when the law firm remains available to continue legal representation, has no right 

nor expectation to take client files without an agreement with the law firm to do so.

While clients have the right to choose counsel, that choice may implicate 

obligations such as a requirement to pay for legal services previously rendered and 

costs expended in connection with the representation as well as a reasonable fee for 

copying the client’s file.

Whether individual members have any individual legal obligations to a client is 

a matter of contract law, tort law, or court rules that is outside the scope of rules 

governing lawyer conduct. Generally, individual lawyers have such obligations 

only if provided for in the contract for representation. Nothing in this rule or in the 

contract for representation may alter the ethical obligations that individual lawyers 

have to clients as provided elsewhere in these rules.

In most instances a lawyer leaving a law firm and the law firm should engage 

in bona fide, good faith negotiations and craft a joint communication providing 

adequate information to the client so that the client may make a fully informed 

decision concerning future representation. In those instances in which bona fide 

negotiations are unsuccessful, unilateral communication may be made by the 

departing lawyer or the law firm. In those circumstances, great care should be 

taken to meet the obligation of adequate communication and for this reason the 

specific requirements of subdivisions (d)(1) and (3) are provided.

Lawyers and firms should engage in bona fide, good faith negotiations within a 

reasonable period of time following their knowledge of either the anticipated 

change in firm composition or, if the anticipated change is unknown, within a 

reasonable period of time after the change in firm composition. The actual 

notification to clients should also occur within a reasonable period of time. What 

is reasonable will depend on the circumstances, including the nature of the matters 
- 75 -

in which the lawyer represented the clients and whether the affected clients have 

deadlines that need to be met within a short period of time.

For purposes of this rule, clients who should be notified of the change in firm 

composition include current clients for whom the departing lawyer has provided 

significant legal services with direct client contact. Clients need not be notified of 

the departure of a lawyer with whom the client has had no direct contact. Clients 

whose files are closed need not be notified unless the former client contacts the 

firm, at which point the firm should notify the former client of the departure of any 

lawyer who performed significant legal services for that former client and had 

direct contact with that former client.

Although contact by telephone is not prohibited under this rule, proof of 

compliance with the requirements of this rule may be difficult unless the 

notification is in writing.

In order to comply with the requirements of this rule, both departing lawyers 

and the law firm should be given access to the names and contact information of all 

clients for whom the departing lawyer has provided significant legal services and 

with whom the lawyer has had direct contact.

If neither the departing lawyer nor the law firm intends to continue 

representation of the affected clients, they may either agree on a joint letter 

providing that information to those clients, or may separately notify the affected 

clients after bona fide, good faith negotiations have failed. Any obligation to give 

the client reasonable notice, protect the client’s interests on withdrawal, and seek 

permission of a court to withdraw may apply to both the departing lawyer and 

lawyers remaining in the firm.

Most law firms have some written instrument creating the law firm and 

specifying procedures to be employed upon dissolution of the firm. However, 

when such an instrument does not exist or does not adequately provide for 

procedures in the event of dissolution, the provisions of this rule are provided so 

that dissolution of the law firm does not disproportionately affect client rights.

As in instances of a lawyer departing a law firm, lawyers involved in the 

dissolution of law firms have a continuing obligation to provide adequate 

information to a client so that the client may make informed decisions concerning 

future representation.

The Florida Bar’s Practice Resource Institute has sample forms for notice to 

clients and sample partnership and other contracts that are available to members. 
- 76 -

The forms may be accessed on the bar’s website, 

www.flabar.orgwww.floridabar.org, or by calling The Florida Bar headquarters in 

Tallahassee.

Lawyers involved in either a change in law firm composition or law firm 

dissolution may have duties to notify the court if the representation is in litigation. 

If the remaining law firm will continue the representation of the client, no 

notification of the change in firm composition to the court may be required, but 

such a notification may be advisable. If the departing lawyer will take over 

representation of the client, a motion for substitution of counsel or a motion by the 

firm to withdraw from the representation may be appropriate. If the departing 

lawyer and the law firm have made the appropriate request for the client to select 

either the departing lawyer or the law firm to continue the representation, but the 

client has not yet responded, the law firm should consider notifying the court of the 

change in firm composition, although under ordinary circumstances, absent an 

agreement to the contrary, the firm will continue the representation in the interim. 

If the departing lawyer and the law firm have agreed regarding who will continue 

handling the client’s matters then, absent disagreement by the client, the agreement 

normally will determine whether the departing lawyer or the law firm will continue 

the representation.

4-6 PUBLIC SERVICE

RULE 4-6.5 VOLUNTARY PRO BONO PLAN

(a) Purpose. The purpose of the voluntary pro bono attorneylawyer plan is to 

increase the availability of legal service to the poor. The following operating plan 

has as its goal the improvement of the availability of legal services to the poor and 

the expansion of present and expand pro bono legal service programs. The 

following operating plan was implemented to accomplish this purpose and goal.

(b) Standing Committee on Pro Bono Legal Service. The president-elect of 

The Florida Bar is responsible for appointing aappoints the standing committee on 

pro bono legal service to the poor.

(1) Composition of the Standing Committee. The standing committee 

consists of no more than 25 members and includes, but is not limited to:

(A) 5 past or current members of the board of governors of The Florida 

Bar, 1 of whom is the chair or a member of the access to the legal system 

committee of the board of governors;

(B) 5 past or current directors of The Florida Bar Foundation;
- 77 -

(C) 1 trial judge and 1 appellate judge;

(D) 2 representatives of civil legal assistance providers;

(E) 2 representatives from local and statewide voluntary bar 

associations;

(F) 2 public members, 1 of whom is a representative of the poor;

(G) the president or designee of the Board of Directors of Florida 

Legal Services, Inc.;

(H) 1 representative of the Out-of-State divisionDivision of The 

Florida Bar; and

(I) the president or designee of the Young Lawyers Division of The 

Florida Bar.

(2) Responsibilities of the Standing Committee. The standing committee 

will:

(A) identify, encourage, support, and assist statewide and local pro 

bono projects and activities;

(B) receive reports from circuit committees submitted on standardized 

forms developed by the standing committee;

(C) review and evaluate circuit court pro bono plans;

(D) beginning in the first year in which individual attorney pro bono 

reports are due, submit an annual report as toon the activities and results of 

the pro bono plan to the board of governors of The Florida Bar, Thethe

Florida Bar Foundation, and to the Supreme Court of Florida;

(E) present to the board of governors of The Florida Bar and to the 

Supreme Court of Florida any suggested changes or modifications to the 

pro bono rules.

(c) Circuit Pro Bono Committees. There will be 1 circuit pro bono 

committee in each of the judicial circuits of Florida. In each judicial circuit theThe

chief judge of theeach circuit, or the chief judge's designee, shall appoints and 

convene the initial circuit pro bono committee members, and the committee will 

appoint its chair.
- 78 -

(1) Composition of Circuit Court Pro Bono Committee. Each circuit pro 

bono committee is composed of:

(A) the chief judge of the circuit or the chief judge's designee;

(B) to the extent feasible, 1 or more representatives from each 

voluntary bar association, including each federal bar association, 

recognized by The Florida Bar and 1 representative from each pro bono 

and legal assistance provider in the circuit, which representatives are

nominated by the association or provider; and

(C) at least 1 public member and at least 1 client-eligible member, 

which members are nominated by the other members of the circuit pro 

bono committee.

Governance and terms of service are determined by each Each circuit 

pro bono committee determines its own governance and terms of service. 

Replacement and succession members are appointed by the chief judge of 

the circuit or the chief judge's designee, upon nomination by the 

association, the provider organization or the circuit pro bono committee, as 

the case may be, as deemed appropriate or necessary to ensure an active 

circuit pro bono committee in each circuit.

(2) Responsibilities of Circuit Pro Bono Committee. The circuit pro bono 

committee will:

(A) prepare in written form a circuit pro bono plan after evaluating the 

needs of the circuit and making a determination of present available pro 

bono services;

(B) implement the plan and monitor its results;

(C) submit an annual report to The Florida Bar standing committee;

(D) use current legal assistance and pro bono programs in each circuit, 

to the extent possible, to implement and operate circuit pro bono plans and 

provide the necessary coordination and administrative support for the 

circuit pro bono committee;

(E) encourage more lawyers to participate in pro bono activities by 

preparing a plan that provides for various support and educational services 
- 79 -

for participating pro bono attorneys, which, to the extent possible, should 

include:

(i) intake, screening, and referral of prospective clients;

(ii) matching cases with individual attorneylawyer expertise, 

including the establishment of specializedpractice area panels;

(iii) resources for litigation and out-of-pocket expenses for pro 

bono cases;

(iv) legal education and training for pro bono attorneys in 

specializedparticular areas of law useful in providing pro bono legal 

service;

(v) consultation with attorneyslawyers who have expertise in areas 

of law with respect to which a volunteer lawyer is providing pro bono 

legal service;

(vi) malpractice insurance for volunteer pro bono lawyers with 

respect to their pro bono legal service;

(vii) procedures to ensure adequate monitoring and follow-up for 

assigned cases and to measure client satisfaction; and

(viii) recognition of pro bono legal service by lawyers.

(d) Pro Bono Service Opportunities. The following are suggested pro bono 

service opportunities that should be included in each circuit plan:

(1) represent clients through case referral;

(2) interview prospective clients;

(3) participate in pro se clinics and other clinics in which lawyers provide 

advice and counsel;

(4) act as co-counsel on cases or matters with legal assistance providers 

and other pro bono lawyers;

(5) provide consultation services to legal assistance providers for case 

reviews and evaluations;

(6) participate in policy advocacy;
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(7) provide training to the staff of legal assistance providers and other 

volunteer pro bono attorneys;

(8) make presentations to groups of poor persons regarding their rights and 

obligations under the law;

(9) provide legal research;

(10) provide guardian ad litem services;

(11) provide assistance in the formation and operation of legal entities for 

groups of poor persons; and

(12) serve as a mediator or arbitrator at no fee to the client-eligible party.

4-8 MAINTAINING THE INTEGRITY OF THE PROFESSION

RULE 4-8.3 REPORTING PROFESSIONAL MISCONDUCT

(a) Reporting Misconduct of Other Lawyers. A lawyer who knows that 

another lawyer has committed a violation of the Rules of Professional Conduct that 

raises a substantial question as to that lawyer's honesty, trustworthiness, or fitness 

as a lawyer in other respects shallmust inform the appropriate professional 

authority.

(b) Reporting Misconduct of Judges. A lawyer who knows that a judge has 

committed a violation of applicable rules of judicial conduct that raises a 

substantial question as to the judge's fitness for office shallmust inform the 

appropriate authority.

(c) Confidences Preserved. This rule does not require disclosure of 

information;

(1) otherwise protected by rule 4-1.6;

(2) gained by a lawyer while serving as a mediator or mediation participant 

if the information is privileged or confidential under applicable law; or

(3) gained by a lawyer or judge while participating in an approved lawyers 

assistance program unless the lawyer's participation in an approved lawyers 

assistance program is part of a disciplinary sanction, in which case a report 

about the lawyer who is participating as part of a disciplinary sanction 

shallmust be made to the appropriate disciplinary agency.
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(d) Limited Exception for Practice Resource Institute CounselFlorida Bar 

Established Law Practice Management Program. A lawyer employed by or 

acting on behalf of the Practice Resource Institute law practice management advice 

and education program established and supervised by the board of governors is 

exempt from the obligation to disclose knowledge of the conduct of another 

member of The Florida Bar that raises a substantial question as to the other 

lawyer’s fitness to practice if the lawyer employed by or acting on behalf of the 

Practice Resource Instituteprogram acquired the knowledge while engaged in the 

course of the lawyer's regular job duties as an Practice Resource Institute employee

of the program.

Comment

Self-regulation of the legal profession requires that members of the profession 

initiate disciplinary investigation when they know of a violation of the Rules of 

Professional Conduct. Lawyers have a similar obligation with respect to judicial 

misconduct. An apparently isolated violation may indicate a pattern of misconduct 

that only a disciplinary investigation can uncover. Reporting a violation is 

especially important where the victim is unlikely to discover the offense.

A report about misconduct is not required where it would involve violation of 

rule 4-1.6. However, a lawyer should encourage a client to consent to disclosure 

where prosecution would not substantially prejudice the client's interests.

If a lawyer were obliged to report every violation of the rules, the failure to 

report any violation would itself be a professional offense. Such a requirement 

existed in many jurisdictions, but proved to be unenforceable. This rule limits the 

reporting obligation to those offenses that a self-regulating profession must 

vigorously endeavor to prevent. A measure of judgment is, therefore, required in 

complying with the provisions of this rule. The term "substantial" refers to the 

seriousness of the possible offense and not the quantum of evidence of which the 

lawyer is aware.

The duty to report professional misconduct does not apply to a lawyer retained 

to represent a lawyer whose professional conduct is in question. Such a situation is 

governed by the rules applicable to the client-lawyer relationship.

Generally, Florida statutes provide that information gained through a 

“mediation communication” is privileged and confidential, including information 

which discloses professional misconduct occurring outside the mediation. 
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However, professional misconduct occurring during the mediation is not privileged 

or confidential under Florida statutes.

Information about a lawyer's or judge's misconduct or fitness may be received 

by a lawyer in the course of that lawyer's participation in an approved lawyers or 

judges assistance program. In that circumstance, providing for an exception to the 

reporting requirements of subdivisions (a) and (b) of this rule encourages lawyers 

and judges to seek treatment through such a program. Conversely, without such an 

exception, lawyers and judges may hesitate to seek assistance from these programs, 

which may then result in additional harm to their professional careers and 

additional injury to the welfare of clients and the public. These rules do not 

otherwise address the confidentiality of information received by a lawyer or judge 

participating in an approved lawyers assistance program; such an obligation, 

however, may be imposed by the rules of the program or other law.

CHAPTER 6 LEGAL SPECIALIZATION AND EDUCATION PROGRAMS

6-1 GENERALLY

RULE 6-1.2 PUBLIC NOTICE

The Florida Bar may causepublish a public notice to be promulgated where and 

when it deems necessary, including, for example, telephone directory yellow 

pagein any media, in substantially the following form:

NOTICE

FOR THE GENERAL INFORMATION OF THE PUBLIC

ATTORNEYSLAWYERS INDICATING "BOARD CERTIFIED," 

"BOARD CERTIFIED SPECIALIST," OR “BOARD CERTIFIED EXPERT” 

HAVE BEEN CERTIFIED BY THE FLORIDA BAR AS HAVING SPECIAL 

KNOWLEDGE, SKILLS, AND PROFICIENCY IN THEIR AREAS OF 

PRACTICE AND HAVE BEEN EVALUATED BY THE BAR AS TO THEIR 

CHARACTER, ETHICS, AND REPUTATION FOR PROFESSIONALISM IN 

THE PRACTICE OF LAW.

ALL PERSONS ARE URGED TO MAKE THEIR OWN INDEPENDENT 

INVESTIGATION AND EVALUATION OF ANY ATTORNEYLAWYER

BEING CONSIDERED.

This notice published by The Florida Bar Board of Legal Specialization and 

Education, Telephone 850/561-5600, 651 E. Jefferson Street, Tallahassee, 

Florida 32399-2300.
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6-10 CONTINUING LEGAL EDUCATION REQUIREMENT RULE

RULE 6-10.3 MINIMUM CONTINUING LEGAL EDUCATION 

STANDARDS

(a) Applicability. Every member, except those exempt under subdivision (c) 

of this rule, must comply and report compliance with the continuing legal 

education requirement. Members must apply for and receive approval by the bar 

of an exemption from compliance and reporting of continuing legal education 

under subdivisions (c)(1) through (c)(3) of this rule. Members described in 

subdivisions (c)(4) through (c)(6) of this rule are automatically exempt from 

compliance and reporting of continuing legal education. 

(b) Minimum Hourly Continuing Legal Education Requirements. Each 

member must complete a minimum of 33 credit hours of approved continuing legal 

education activity every 3 years. FiveAt least 5 of the 33 credit hours must be in 

approved legal ethics, professionalism, bias elimination, substance abuse, or 

mental illness awareness programs, with at least 1 of the 5 hours in an approved 

professionalism program, and at least 3 of the 33 credit hours must be in approved 

technology programs, are included in, not in addition to, the regular 33 credit hour 

requirement. If a member completes more than 33 credit hours during any 

reporting cycle, the excess credits cannot be carried over to the next reporting 

cycle.

(c) Exemptions. Eligibility for an exemption, in accordance with policies 

adopted under this rule, is available for:

(1) active military service;

(2) undue hardship;

(3) nonresident members not delivering legal services or advice on matters 

or issues governed by Florida law;

(4) members of the full-time federal judiciary who are prohibited from 

engaging in the private practice of law;

(5) justices of the Supreme Court of Florida and judges of the district 

courts of appeal, circuit courts, and county courts, and other judicial officers 

and employees as designated by the Supreme Court of Florida; and,

(6) inactive members of The Florida Bar.
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(d) Course Approval. Course approval is set forth in policies adopted 

pursuant to this rule. Special policies will be adopted for courses sponsored by 

governmental agencies for employee attorneyslawyers that exempt these courses 

from any course approval fee and may exempt these courses from other 

requirements as determined by the board of legal specialization and education.

(e) Accreditation of Hours. Accreditation standards are set forth in the 

policies adopted under this rule. Any course presented, sponsored, or approved for 

credit by an organized integrated or voluntary state bar is deemed an approved 

course for purposes of this rule if the course meets the criteria for accreditation 

established by policies adopted under this rule.

(f) Full-time Government Employees. Credit hours will be given to fulltime government employees for courses presented by governmental agencies. 

Application for credit approval may be submitted by the full-time government 

attorneylawyer before or after attendance, without charge.

(g) Skills Training Preadmission. The board of legal specialization and 

education may approve for CLER credit a basic skills or entry level training 

program developed and presented by a governmental entity. Credit earned through 

attendance at an approved course developed and presented by a governmental 

entity is applicable under subdivision (b) of this rule if taken within 12 months 

prior to admission to The Florida Bar.

CHAPTER 14 GRIEVANCE MEDIATION AND FEE ARBITRATION

14-6 NATURE; ENFORCEMENT OF AWARD; EFFECT OF FAILURE TO 

PAY

RULE 14-6.1 BINDING NATURE; ENFORCEMENT; AND EFFECT OF 

FAILURE TO PAY AWARD

(a) Binding Determination. The parties to a proceeding under these rules 

shall beare bound by the terms of the arbitration award subject to those rights and 

procedures to set aside or modify the award provided by chapter 682, Florida 

Statutes, or by the terms of an agreement reached in mediation.

(b) Enforcement of Determination. In addition to any remedy authorized in 

this chapter, an arbitration award may be enforced as provided in chapter 682, 

Florida Statutes.

(c) Effect of Failure to Pay Award. Failure of a member of the bar to pay an 

award within 30 days of the date on which the award became final, without just 

cause for suchthat failure, shallwill result incause the member beingto be
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delinquent and not authorizedineligible to practice law, as provided elsewhere in 

these rules defining delinquent members.

Comment

Lack of funding, alone, does not constitute just cause under this rule.

14-7 IMMUNITY AND CONFIDENTIALITY

RULE 14-7.1 IMMUNITY AND CONFIDENTIALITY

(a) Immunity. The members of the standing committee, mediators, 

arbitrators, staff of The Florida Bar, and appointed voluntary counsel assisting the 

committee, mediators, and arbitrators, shall have absolute immunity from civil 

liability for all acts in the course of their official duties.

(b) Confidentiality of Arbitration Proceedings and Records. All records, 

documents, files, proceedings, and hearings pertaining to fee arbitration under 

these rules shall beare made available, upon inquiry, to anyonepublic records and 

will be provided on request, except for. Provided, however, that any record of an

arbitrator’s mental processes shall not be subject to discovery and a panel of 

arbitrators may retire intoand any record of an arbitration panel's executive session 

to consider the issues raised and to reach a decision as to an award.

(c) Confidentiality of Mediation Proceedings and Records. All records, 

documents, files, and proceedings pertaining to mediation under this chapter shall 

beare made available only as provided in the Florida Rules for Certified and CourtAppointed Mediators and applicable law.

CHAPTER 18 MILITARY LEGAL ASSISTANCE COUNSEL RULE

18-1 GENERALLY

RULE 18-1.2 DEFINITIONS

(a) Authorized Legal Assistance Lawyer. An “authorized legal assistance 

lawyer” is any person who:

(1) is admitted to practice law by the highest court of another state, the 

District of Columbia, or a territory of the United States; 

(2) is serving on active duty within the Department of Defense (including 

the National Guard while in federal service) or the Department of 

Transportation (with respect to the United States Coast Guard);
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(3) is assigned to an installation, unit, and/or activity located within the 

geographic limitations of the courts of the state of Florida; and

(4) completes The Florida Bar Young Lawyers Division Practicing with 

Professionalism program (Basic Skills Course Requirement) within the time 

required by rule 6-1.3; and

(5) appears in connection with official duties as a legal assistance lawyer.

(b) Approved Legal Assistance Office. An “approved legal assistance 

office” for the purposes of this chapter is a military command tasked with 

providing legal assistance as approved by the Department of Defense or 

Department of Transportation.

(c) Supervising Lawyer. A "supervising lawyer" is a member in good 

standing of The Florida Bar who is eligible to practice law in Florida and who 

supervises an authorized legal assistance lawyer engaged in activities permitted by 

this chapter. The supervising lawyer must:

(1) be employed by or be a participating volunteer for an approved legal 

assistance office (to specifically include military reserve lawyers); and

(2) assume personal professional responsibility for supervising the conduct 

of the matter, litigation, or administrative proceeding in which the authorized 

legal assistance lawyer participates.

(d) Authorized Legal Assistance Client. An “authorized legal assistance 

client” is:

(1) an active duty military member who is assigned to an installation, unit, 

and/or activity located within the state of Florida and who otherwise meets 

current income eligibility guidelines of the Legal Services Corporation;

(2) a military retiree who resides within the state of Florida and who 

otherwise meets current income eligibility guidelines of the Legal Services 

Corporation;

(3) the dependents of any active duty military member or retiree who are 

otherwise residents of the state of Florida and meet current income eligibility 

guidelines of the Legal Services Corporation; or
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(4) the surviving family members who are Florida residents of an active 

duty military member who died while in active military service for purposes of 

settling the deceased military member’s affairs.

CHAPTER 20 FLORIDA REGISTERED PARALEGAL PROGRAM

20-3 ELIGIBILITY REQUIREMENTS

RULE 20-3.1 REQUIREMENTS FOR REGISTRATION

In order to be a Florida Registered Paralegal under this chapter, an individual 

must meet 1 of the following requirements. 

(a) Educational and Work Experience Requirements. A person may 

become a Florida Registered Paralegal by meeting 1 of the following education 

and paralegal work experience requirements:

(1) a bachelor’s degree in paralegal studies from an approved paralegal 

program, plus a minimum of 1 year of paralegal work experience; 

(2) a bachelor’s degree or higher degree other than a juris doctorate from 

an institution accredited by a nationally recognized accrediting agency 

approved by the United States Department of Education or the Florida 

Department of Education, plus a minimum of 3 years of paralegal work 

experience; 

(3) an associate’s degree in paralegal studies from an approved paralegal 

program, plus a minimum of 2 years of paralegal work experience; 

(4) an associate’s degree from an institution accredited by a nationally 

recognized accrediting agency approved by the United States Department of 

Education or the Florida Department of Education, plus a minimum of 4 years 

of paralegal work experience; or

(5) a juris doctorate degree from an American Bar Association accredited 

institution, plus a minimum of 1 year of paralegal work experience; or

(6) a juris doctorate degree from an American Bar Association accredited 

institution and membership in good standing with a state bar association other 

than Florida’s, with no minimum paralegal work experience. 

(b) Certification. A person may become a Florida Registered Paralegal by 

obtaining 1 of the following certifications:
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(1) successful completion of the Paralegal Advanced Competency Exam 

(PACE certification as offered by the National Federation of Paralegal 

Associations "NFPA") and good standing with NFPA; or 

(2) successful completion of the Certified Legal Assistant/Certified 

Paralegal examination (CLA/CP certification as offered by the National 

Association of Legal Assistants “NALA”) and good standing with NALA. 

(c) Grandfathering Reapplication. A paralegal who was registered under the

grandfathering provision on or prior to March 1, 2011, who resigns or whose 

registration is revoked may reapply based on work experience alone. The paralegal 

must provide work experience as defined elsewhere in these rules for 5 of the 8 

years immediately preceding the date of reapplication.

20-5 INELIGIBILITY FOR REGISTRATION OR RENEWAL

RULE 20-5.2 DUTY TO UPDATE

An individual applying for registration as a Florida Registered Paralegal or 

who is registered as a Florida Registered Paralegal has a duty to inform The 

Florida Bar promptly of any fact or circumstance that would render the individual 

ineligible for registration or renewal, and The Florida Bar will notify the 

employing or supervising lawyer as defined elsewhere in this chapter of any 

changes to the registration status.

20-6 CONTINUING EDUCATION

RULE 20-6.1 GENERALLY

In order to maintain the status of Florida Registered Paralegal, a Florida 

Registered ParalegalParalegals must complete a minimum of 3033 hours of 

continuing education every 3 years, 5 hours of which must be in legal ethics or 

professionalism and 3 hours of which must be in technology. CoursesAcceptable 

courses include those approved for credit by The Florida Bar, the National 

Association of Legal Assistants (NALA), or the National Federation of Paralegal 

Associations (NFPA) will be deemed acceptable for purposes of this rule. To be 

eligible for re-registration, if a Florida Registered Paralegal resigns or has had his 

or her status revoked but is otherwise eligible for re-registration, the Florida 

Registered Paralegal must complete at least 10 hours of continuing education for 

each year the Florida Registered Paralegal was previously registered.A Florida 

Registered Paralegal who resigns or whose status has been revoked but is 

otherwise eligible for re-registration must complete at least 11 hours of continuing 

education for each year the Florida Registered Paralegal was previously registered 
- 89 -

in order to be eligible for re-registration. The continuing education hours must be 

completed prior to the re-registration application and be posted on The Florida Bar 

website within 30 days of the effective date of re-registration, otherwise the new 

registration will be revoked and ineffective.The new registration will be revoked 

unless the continuing education hours are completed before the re-registration 

application and posted on The Florida Bar website within 30 days of the effective 

date of the re-registration. Upon re-registration, theThe Florida Registered 

Paralegal will be given a new 3-year continuing education cycle on re-registration.

Comment

Continuing education is an important component of the Florida Registered 

Paralegal program and necessary to maintain the status of a Florida Registered 

Paralegal. If a Florida Registered Paralegal resigns or has had his or herthe 

paralegal's status revoked at the end of a continuing education cycle without 

completing the necessary hours, the paralegal must show that he or shethe 

paralegal has completed a minimum of 1011 hours of continuing education for 

each year of the immediately preceding term that the paralegal was registered. For 

example, if the paralegal was registered for 2 years, the paralegal must complete at 

least 2022 hours of continuing education in order to re-register. The courses must 

be completed prior to the date the paralegal reapplies for Florida Registered 

Paralegal status. As an example, assume that a Florida Registered Paralegal was 

given a continuing education cycle that ran from January 1, 2011, to January 1, 

2014, and the Florida Registered Paralegal resigned or had his or herthe paralegal's 

status revoked in October 2013. If the paralegal reapplies for Florida Registered 

Paralegal status in February 2014, the paralegal must show 2022 hours of 

continuing education credit completed between January 1, 2011, to January 1, 

2014, to be eligible to re-register. Because a Florida Registered Paralegal must 

enter all course credits on The Florida Bar’s website and access to the portion of 

the website where credits are posted is not available during the period the paralegal 

was not registered, the Florida Registered Paralegal will have 30 days after reregistration to enter the credits. Failure to timely enter the credits will result in the 

Florida Registered Paralegal’s status being revoked. Upon re-registration, theThe

Florida Registered Paralegal will be given a new continuing education cycle on reregistration. The purpose of this rule is to ensure that a Florida Registered 

Paralegals continues his or hertheir education. This is meant to avoid a situation 

where a Florida Registered Paralegal has not completed the continuing education 

requirement, resigns, and then re-registers with a new 3-year cycle, having failed to 

complete the requisite hours when previously registered.
- 90 -

If a Florida Registered Paralegal resigns or has his or herthe paralegal's status 

revoked during his or her the continuing education cycle, the cycle will not reset. 

For example, assume a Florida Registered Paralegal has a continuing education 

cycle beginning January 1, 2011, and ending January 1, 2014. The Florida 

Registered Paralegal’s status is revoked in October 2012, for failure to pay the 

annual renewal. If the paralegal reapplies and is re-registered in December 2012, 

the continuing education cycle will remain the same, and the Florida Registered 

Paralegal will have until January 1, 2014, to complete the necessary hours.

20-8 REVOCATION OF REGISTRATION

RULE 20-8.3 COMPLAINT PROCESSING 

(a) Complaints. All complaints against a Florida Registered Paralegal may be 

initiated either by a sworn complaint asserting a violation of these rules or by The 

Florida Bar on its own motion. 

(b) Review by Bar Counsel. Bar counsel shallmust review the complaint and 

determine whether the alleged conduct, if proven, would constitute a violation of 

these rules. Bar counsel may conduct a preliminary, informal investigation to aid in 

this determination and, if necessary, may employ a Florida Bar staff investigator to 

aid in the preliminary investigation. If bar counsel determines that the facts, if 

proven, would not constitute a violation, bar counsel may decline to pursue the 

complaint. The complainant shallmust be notified of a decision not to pursue a 

complaint and shall be given the reasons thereforincluding the reasons for not 

pursuing the complaint. 

(c) Closing by Bar Counsel and Committee Chair. Bar counsel may consult 

with the appropriate district paralegal committee chair to determine whether the 

alleged conduct of a complaint, if proven, would constitute a violation of these 

rules. If bar counsel and the district committee chair concur in a finding that the 

case should be closed, the complaint may be closed on such finding without 

referral to the district paralegal committee. 

(d) Referral to District Paralegal Committee. Bar counsel may refer a file 

to the appropriate district paralegal committee for further investigation or action as 

authorized elsewhere in these rules. 

(e) Notification of Violation. If a majority of the district paralegal committee 

finds probable cause to believe that a violation of these rules has occurred, bar 

counsel or the chair of the district paralegal committee will send written notice 

thereof to the Florida Registered Paralegal identifying the committee finding and
- 91 -

the alleged violation and the Florida Registered Paralegal must notify their 

supervising lawyer of the complaint. The notice shallwill be sent by certified U.S. 

mail directed to the last mailing address on file. 

(f) Response to Notice of Violation. Within 30 days from the receipt of the 

notification, theThe Florida Registered Paralegal shallmust file a written response

within 30 days of receipt of the notification. If the Florida Registered Paralegal 

does not respond, the violations identified in the finding of probable cause shall 

beare deemed admitted. 

(g) Committee Review. After the filing of the written response to the finding 

of probable cause or following the expiration of the time within which to file a 

response if none is filed, the The district paralegal committee shallmust review the 

complaint, the finding of probable cause, the response (if any)any response filed, 

and any other pertinent materials, after either the filing of a written response by the 

Florida Registered Paralegal or the expiration of the time to file a response. The 

Committee must and decide whether to dismiss the proceeding or issue a proposed 

disposition. The committee shallmust promptly send written notice of its decision 

to the Florida Registered Paralegal by certified U.S. mail directed to the last 

mailing address on file. 

RULE 20-8.6 DISPOSITION OF COMPLAINTS

UponOn concluding its investigation, the district paralegal committee shallwill

determine which of the following action(s) should be taken:

(a) close the matter on a finding of no violation;

(b) close the matter with a letter of advice;

(c) require thatcompletion of a specified continuing education course be taken;

(cd) accept an affidavit from the Florida Registered Paralegal acknowledging 

that the conduct surrounding the complaint was a violation of these rules and that 

the Florida Registered Paralegal will refrain from conduct that would create a 

violation of these rules;

(de) suspension ofsuspend the Florida Registered Paralegal’s registration 

certificate for a period not to exceed 1 year;

(ef) revocation ofrevoke the Florida Registered Paralegal's registration 

certificate; or
- 92 -

(fg) denial ofdeny the Florida Registered Paralegal's request for renewal.