**An nex A** 

**Rule 1.7 Conflict of Interest: Current Clients** 
*** * ***
**Comment:**
*** * ***
**Personal Interest Conflicts** [10] The lawyer’s own interests should not be permitted to have an adverse effect on representation of a client. For example, if the probity of a lawyer’s own conduct in a transaction is in serious question, it may be difficult or impossible for the lawyer to give a client detached advice. S imilarly, when a lawyer has discussions concerning possible employment with an opponent of the lawyer’s client, or with a law firm representing the opponent, such discussions could materially limit the lawyer’s representation of the client. I n addition, a lawyer may not allow related business interests to affect representation, for example, by referring clients to an enterprise in which the lawyer has an undisclosed financial interest. **See Rule 5.8**  **for specific Rules that**  **prohibit or**  **restrict a**  **law ye**  **r’s inv** **olv ement**  **in the**  **offer, sale,**  **or placement**  **of investment**  **products regardless**  **of an**  **actual conflict**  **or the**  **potential for**  **conflict.** See Rule 1.8 for specific Rules pertaining to a number of personal interest conflicts, incl uding business transactions with clients. See also Rule 1.10 (personal interest conflicts under Rule 1.7 ordinarily are not imputed to other lawyers in a law firm).
*** * ***
**Rule 1.8 Conflict of Interest: Current Clients: Specific Rules** 
*** * ***
**Comment:**
**B usiness Transactions Between Client and Law** **ye r**  [1] A lawyer’s legal skill and training, together with the relationship of trust and confidence between lawyer and client, create the possibility of overreaching when the lawyer participates in a business, property or financial transaction with a client, for example, a loan or sales transaction or a lawyer investment on behalf of a client. The requirements of paragraph (a) must be met even when the transaction is not closely related to the subject matter of the representation, as when a lawyer drafting a will for a client learns that the client needs money for unrelated expenses and offers to make a loan to the client. The Rule applies to lawyers engaged in the sale of goods or services2

related to the practice of law, for example, the sale of title insurance or investment services to existing clients of the lawyer’s legal practice. See Rule 5.7. **But see**  **Rule 5.8**  **for specific**  **Rules that**  **prohibit or**  **restrict a**  **law ye**  **r’s involvement**  **in the**  **offer, sale,**  **or placement**  **of inv** **estment products**  **regardless of**  **an actual**  **conflict or**  **the potential**  **for conflict.**  **[It] Rule**  **1.8** also applies to lawyers purchasing property from estates they represent. I t does not apply to ord inary fee arrangements between client and lawyer, which are governed by Rule 1.5, although its requirements must be met when the lawyer accepts an interest in the client’s business or other nonmonetary property as payment of all or part of a fee. I n addition, the Rule does not apply to standard commercial transactions between the lawyer and the client for products or services that the client generally markets to others, for example, banking or brokerage services, medical services, products manufactured or distributed by the client, and utilities services. I n such transactions, the lawyer has no advantage in dealing with the client, and the restrictions in paragraph (a) are unnecessary and impracticable.
*** * ***
**Rule 1.15 Safekeeping Property** 
*** * *** (c) **Required records** 

**.** Complete records of the receipt, maintenance and disposition of Rule 1.15 Funds and property shall be preserved for a period of five years after termination of the client

-lawyer or Fiduciary relationship or after distribution or disposition of the property, whichever is later. **A law** **ye r**  **shall maintain**  **the wr** **iting required**  **by**

**R ule**  **1.5(b) (relating**  **to the**  **requirement of**  **a writing**  **communicating the**  **basis or**  **rate of**  **the fee)**  **and the**  **records identified**  **in R** **ule 1.5(c)**  **(relating to**  **the requireme**  **nt of**  **a wr** **itten fee**  **agreement and**  **distribution statement**  **in a**  **contingent fee**  **matter).** A lawyer shall **also** maintain the following books and records for each Trust Account and for any other account in which Fiduciary Funds are held pursuant to Rule 1.15(l):

(1) all transaction records provided to the lawyer by the Financial Institution or other investment entity, such as periodic statements, cancelled checks **in wh** **atever form**  , deposited items and records of electronic transactions; and (2) check register o r separately maintained ledger, which shall include the payee, date**, purpose**  and amount of each check, withdrawal and transfer, the payor, date, and amount of each deposit, and the matter involved for each transaction **[.] ;**  **provided, however,**  **that where**  **an a** **ccount is**  **used to**  **hold funds**  **of more**  **than one**  **client, a**  **law ye**  **r shall**  **also maintain**  **an individual**  **ledger for**  **each trust**  **client, showing**  **the source,**  **amount and**  **nature of**  **all funds**  **received from**  **or on**  **behalf of**  **the client,**  **the description**  **and amounts**  **of charg** **es or withdrawals, the names of all persons or entities to whom**  **such funds**  **were disbursed,**  **and the**  **dates of**  **all deposits,**  **transfers, withdrawals and disbursements.** 3 (3) The records required by this **[rule] Rule**  may be maintained in **[electronic or]**  hard copy form **[.] or**  **by e**  **lectronic, photographic,**  **or other**  **media provided**  **that the**  **records otherwise**  **comply with**  **this Rule**  **and that**  **printed copies**  **can be**  **produced. W** **hatever method**  **is used**  **to maintain**  **required records**  **must have**  **a backup**  **so that**  **the records**  **are s** **ecure and**  **alway s**  **av ailable.**  If records are kept only in electronic form, then such records shall be backed up **[at least monthly** **]** on a separate electronic storage device **[.] at**  **least at**  **the end**  **of any** **d ay** **o n**  **wh ich**  **entries have**  **been entered**  **into the**  **records**

. **These records**  **shall be**  **readily accessible**  **to the**  **law ye**  **r and**  **available for**  **production to**  **the Pennsy** **lv ania**  **Law ye**  **rs Fund**  **for Client**  **Security o** **r the**  **Office of**  **Disciplinary C** **ounsel in**  **a timely** 

**m anner**  **upon a**  **request or**  **demand by**  **e ither**  **agency**

**m ade**  **pursuant to**  **th e**  **Pennsy lv** **ania Rules**  **of Disciplinary**  **Enforcement, the**  **Disciplinary B** **oard Rules,**  **the Pennsy** **lv ania**  **Law yers**  **Fund for**  **Client Security**  **B oard**  **Rules and**  **Regulations, agency**

**practice, or subpoena. (4)**  **A regular**  **trial balance**  **of the**  **individual client**  **trust ledger** **s shall**  **be maintained.**  **T he**  **total of**  **the trial**  **balance must**  **agree with**  **the control**  **figure computed**  **by t** **aking the**  **beginning balance,**  **adding the**  **total of**  **money s**  **received in**  **trust for**  **the client,**  **and deducting**  **the total**  **of all**  **money s**  **disbursed. O**  **n a**  **monthly basis,**  **a law** **ye r**  **shall conduct**  **a reconciliation**  **for each**  **fiduciary a** **ccount. T** **he reconciliation**  **is not**  **complete if**  **the reconciled**  **total cash**  **balance does**  **not agree**  **with the**  **total of**  **the client**  **balance listing.**  **A l**  **aw ye**  **r shall**  **preserve for**  **a period**  **of five**  **y ears**  **copies of**  **all records**  **and computations**  **sufficient to**  **prove compliance with this requirement.** 
*** * *** (g) The responsibility for identifying an account as a Trust Account shall be that of the lawyer in whose name the account is held. **Only a** **l aw** **ye r**  **ad mitted**  **to practice**  **law in**  **this jurisdiction**  **or a**  **person under**  **the direct**  **supervision of**  **the law** **ye r**  **shall be**  **an authorized**  **signatory or**  **authorize transfers**  **from a**  **Trust Ac** **count or any** **o ther account in which Fiduciary**  **Funds are held pursuant to Rule 1.15(l).** 
*** * *** **Comment:**
*** * *** [2] A lawyer should maintain on a current basis books and records in accordance with sound accounting practices consistently applied and comply with any recordkeeping rules established by law or court order, including those records identified in paragraph (c). **With little**  **exception, funds**  **belonging to**  **a client**  **or third**  **party must**  **be deposited**  **into a**  **Trust Ac** **count as**  **defined in**  **paragraph (a)(11),**  **and funds belonging to the law** **ye r must be deposited in a business operating account**  **maint ained**  **pursuant to**  **paragraph (j).**  **T hus,**  **unless the**  **client giv** **es informed** 4

**consent, confirmed**  **in wr** **iting, to**  **a different**  **manner of**  **handling funds**  **advanced by**  **t he**  **client to**  **cover fees**  **and expenses,**  **the law** **ye r**  **must deposit**  **those funds**  **into a**  **Trust Ac** **count purs**  **uant to**  **paragraph (i).**  **I f**  **the law** **ye r**  **pools such**  **funds belonging**  **to more**  **than one**  **client, under**  **paragraph (c)(2)**  **the law** **ye r**  **must keep**  **a ledger**  **for each**  **individual client,**  **regularly recording**  **all funds**  **received from**  **t he**  **client and**  **their purpose,**  **and all**  **di sbursements**  **of earned**  **fees and**  **expenses incurred.**  **A**

**s fees**  **become earned,**  **the lawyer**  **must promptl** **y transfer**  **those funds**  **to the**  **operating account.**  **I f**  **the law** **ye r**  **pools client**  **funds after**  **settlement or**  **verdict in**  **a single**  **Trust Ac** **count, the**  **lawyer must**  **maint ain**  **a ledger**  **of receipts**  **and disbursements**  **for each**  **individual client,**  **regularly recording**  **the dates**  **of each**  **transaction, the**  **identity o** **f pay** **ors and**  **pay ees,**  **and the**  **purpose of**  **each disbursement,**  **withdrawal or**  **transfer of**  **funds. T** **he requirement**  **of monthl** **y reconciliations**  **should deter**  **situations wh** **ere an**  **attorney’s Trust**  **Ac count**  **contains a**  **shortfall for**  **any s**  **ignificant period**  **of time.**  **A dditionally** **, if**  **a law** **ye r**  **fails to**  **maintain the**  **records identified**  **in paragraph**  **(c) or**  **to perform**  **the required**  **monthly recon**  **ciliations, later**  **claims by**  **t he**  **lawy er**  **that a**  **shortfall (i.e.,**  **misappropriation) resulted**  **from negligence,**  **even if**  **credible, will**  **necessarily b** **e balanced**  **against the**  **law ye**  **r’s abdication**  **of responsibility**  **to comply**  **with essential**  **requirements associated**  **wit h**  **acting as**  **a fiduciary**  **and serv** **ing in**  **a position**  **of trust.**  **T he**  **failure to**  **maintain or**  **timely produce**  **the records**  **required by**  **p aragraph**  **(c) hampers**  **rule -** **mandated or**  **agency -** **promulgated investigative**  **inquiries by** 

**t he**  **Pennsy lv** **ania Law** **ye rs**  **Fund for**  **Client S** **ecurity and**  **the Office**  **of Disciplinary** 

**C ounsel**  **and ma** **y serve**  **as a**  **basis for**  **emergency t** **emporary suspension**  **of the**  **law ye**  **r’s license**  **to practice**  **law. See**  **Pa.R.D.E. 208(f)(1),**  **208(f)(5) , 213(g)(2)**  **and 221(g)(3).**
*** * ***
**R ule**  **5.7 Responsibilities Regarding Nonlegal Services**
*** * *** **Comment:**
*** * *** **Providing Nonlegal Services that A re Not Distinct from Legal Services**  [3] Under some circumstances, the legal and nonlegal services may be so closely entwined that they cannot be distinguished from each other. I n this situation, confusion by the recipient as to when the protection of the client

-lawyer relationship applies **[are] is**  likely to be unavoidable. Therefore, Rule 5.7(a) requires that the lawyer providing the nonlegal services adhere to all of the requirements of the Rules of Professional Conduct. [4] In such a case, a lawyer will be responsible for assuring that both the lawyer’s conduct and, to the extent required by Rule 5.3, that of nonlawyer employees, comply in all respects with the Rules of Professional Conduct. When a lawyer is obliged to accord the recipients of such nonlegal services the protection of those Rules that5

apply to the client

-lawyer relationship, the lawyer must take special care to heed the proscriptions of the Rules addressing conflict of interest (Rules 1.7 through 1.11, especially Rules 1.7(b) and 1.8(a), (b) and (f)), and to scrupulously adhe re to the requirements of Rule 1.6 relating to disclosure of confidential information. The promotion of the nonlegal services must also in all respects comply with **Rule 5.8**  **relating to**  **prohibition s**  **and restrictions**  **o n**  **dealing in**  **investment products,**  **and w** **ith** Rules 7.1 through 7.3, dealing with advertising and solicitation.
*** * ***
**Rule 5.8 Dealing in Investment Products: Prohibitions and Restrictions**  **(a) A**  **law ye**  **r shall**  **not broker,**  **offer to**  **sell, sell,**  **or place**  **any i**  **nv estment**  **product unless separately licensed to do so.**  **(b) A**  **lawy er**  **shall not**  **recommend or**  **offer an**  **inv estment**  **product to**  **a client**  **or any** 

**p erson**  **with whom**  **the law** **ye r**  **has a**  **fiduciary r** **elationship, or**  **invest funds**  **belonging to**  **such a**  **person in**  **an inv** **estment product,**  **if the**  **lawy er**  **or a**  **perso n related to the law** **ye r:** 

**(1) has**  **an interest**  **in compensation**  **paid or**  **provided by**  **a p** **erson other**  **than the**  **client or**  **person with**  **whom the**  **law ye**  **r has**  **a fiduciary**  **relationship; or (2)**  **has an**  **ow nership**  **interest in**  **the entity**  **that sponsors,**  **insures, underw** **rite s, manages, or issues the investment product.**  **(c) For purposes of this Rule:**  **(1) the**  **term “investment**  **product” includes:**  **a n**  **annuity c** **ontract; a**  **life insurance**  **contract; a**  **commodity; a**  **swap; an**  **investment fund,**  **including but**  **not limited**  **to a**  **collective trust**  **fund, a**  **common trust**  **fund, a**  **real estate**  **investment fund,**  **and registered**  **investment company** **; a**  **security ,**  **wh ether**  **or not**  **the security**  **i s**  **registered with**  **any f**  **ederal or**  **state securities**  **regulator; or**  **an investment**  **adviser’s, bank’s,**  **trust co** **mpany ’s,**  **insurance company’s,**  **or other**  **financial institution’s**  **service as**  **an investment manager or investment adviser;**  **(2) “**  **person related**  **to the**  **law ye**  **r ”**  **include s**  **a spouse,**  **child, grandchild,**  **parent, grandparent**  **or other**  **relative or**  **individual with**  **whom the law** **ye r maintains a close familial relationship; and**  **(3) the**  **term “ow** **nership interest”**  **does not**  **include shares**  **of an**  **issuer that**  **has registered**  **the shares**  **under federal**  **securities laws,**  **the issuer’s shares are traded on a securities exchange that is r** **egistered under federal**  **securities laws,**  **and the**  **law ye**  **r’s aggregate**  **interest in**  **shares of**  **all classes**  **is less**  **than one**  **percent of**  **the issuer’s**  **outstanding common**  **shares.**6

**Comment: [1]**  **Paragraph (a)**  **prohibits a**  **law ye**  **r from**  **brokering, offering**  **to sell,**  **sell ing,**  **or placing**  **any investment**  **product ,**  **as defined**  **in paragraph**  **(c)(1), unless**  **separately**

**l icensed**  **to do**  **so. L** **icensing and**  **registration requirements**  **vary b** **y state.**  **B efore**  **offering or**  **selling any**  **i nv** **estment product**  **in relation**  **to the**  **provision of**  **legal se**  **rvices, a**  **law ye**  **r must**  **consult all**  **applicable federal**  **and state**  **laws to**  **determine eligibility** **, licensing**  **and regulatory**  **r equirements.**  **P aragraph**  **(a) neither**  **addresses the**  **giv ing**  **of inv** **estment adv** **ice nor**  **is intended**  **to supplant**  **or otherw** **ise affect**  **federal an**  **d state**  **laws that**  **either require**  **licensing and**  **registration in**  **order to**  **giv e**  **inv estment**  **advice or**  **exempt law** **ye rs**  **from their**  **regulatory**

**scheme. [2]**  **Paragraph (b)**  **prohibits investment**  **situations that**  **are fraught**  **with a**  **potential for**  **a conflict**  **of interest**  **or that**  **provide an**  **opportunity for**  **the law** **ye r**  **to control**  **or unduly**  **influence the**  **use or**  **management of**  **the funds**  **throughout the**  **course of**  **the investment.**  **C lients**  **who place**  **their trust**  **in their**  **law ye**  **r and**  **assume or**  **expect that**  **the law** **ye r**  **will protect**  **them from**  **harm are**  **likely t** **o feel**  **deceived if**  **substantial sums**  **of money**  **a re**  **lost on**  **investments pursued**  **at the**  **law ye**  **r’s recommendation**  **or prompting**  **and the**  **law ye**  **r or**  **a person**  **related to**  **the law** **ye r**  **either receives**  **compensation or**  **a pecuniary**  **b enefit**  **from a**  **perso n**  **other than**  **the client**  **or has**  **an ow** **nership interest**  **in the**  **entity t** **hat sponsors,**  **insures, underw** **rites, manages,**  **or issues**  **the inv** **estment product,**  **ev en**  **wh en**  **the reason**  **for the**  **loss is**  **limited to**  **unexpected market**  **conditions. T** **he prohibition**  **of paragraph**  **( b)**  **is not**  **imputed to**  **other law** **ye rs**  **in the**  **law yer’s**  **firm or**  **those law** **ye rs’ relatives.**  **[3] This**  **Rule applies**  **to a**  **law ye**  **r under**  **any c** **ircumstance**

**— wh** **ether the**  **law ye**  **r is**  **providing legal**  **services, nonlegal**  **services that**  **are not**  **distinct from**  **legal serv ices,**  **or nonlegal**  **services that**  **are distinct**  **from legal**  **services. See**  **Rule 5.7(e)**  **f or**  **the meaning**  **of the**  **term “non**  **legal services.”**  **T he**  **prohibition of**  **paragraph (b)**  **is in**  **addition to**  **the restrictions**  **imposed by**  **R ules**  **1.7(a)(2), 1.8(a)**  **and 5.7.**7 **An nex**  **B**

Rule 208. **Procedure.**
*** * *** (f) Emergency temporary suspension orders and related relief.
*** * *** (5) The Board on its own motion, or upon the petition of Disciplinary Counsel, may issue a rule to show cause why the respondent

-attorney should not be placed on temporary suspension whenever it appears that the respondent

-attorney has disregarded an applicable provision of the Enforcement Rules, **failed to**  **maintain or**  **produce the**  **records required**  **to be**  **maintained and**  **produced under**  **Pa. R** 

**. P** 

**. C** 

**. 1.15(c)**  **and subdivisions**  **(e) and**  **(g) of**  **Enforcement Rule**  **221 in**  **response to**  **a request**  **or demand**  **authorized by**  **Enforcement Rule**  **221(g) or**  **any p** **rovision of**  **the Disciplinary**  **B oard**  **Rules, [refused]**  **failed** to comply with a valid subpoena**,** or engaged in other conduct that in any such instance materially delays or obstructs the conduct of a proceeding under these rules. The rule to show cause shall be returnable within **[30] ten**  days. If the response to the rule to show cause raises issues of fact, the **[Chairman of**  **the]** Board **Chair** may direct that a hearing be held before a member of the Board who shall submit a report to the Board upon the conclusion of the hearing. If the period for response to the rule to show cause has passed without a response having been filed, or after consideration of any response and any report of a Board member following a hearing under this parag raph, the Board may recommend to the Supreme Court that the respondent

-attorney be placed on temporary suspension. The recommendation of the Board shall be reviewed by the Supreme Court as provided in subdivision (e) of this rule **[.] ,**  **although the**  **time for**  **either party**  **t o**  **file with**  **the Court**  **a petition**  **for review**  **of the**  **recommendation or**  **determination of**  **the Board**  **shall be**  **fourteen day** **s after**  **the entr** **y of**  **the Board’s**  **recommendation or**  **determination, and**  **any a**  **nsw er**  **or responsive**  **pleading shall**  **be filed**  **within ten**  **day s**  **after service of the petition for review** 

**.** *** * ***
Rule 213. **Subpoena power, depositions and related matters.**
*** * *** (d) Challenges **; appeal**  **of challenges**  **to subpoena** 

. Any attack on the validity of a subpoena issued under this rule shall be handled as follows:

(1) A challenge to a subpoena authorized by subdivision (a)(1) shall be heard and determined by the hearing committee or special master before whom the subpoena is returnable **in accordance**  **with the**  **procedure established**  **by the Board** 

. **See D.Bd.**  **Rules § 91.3(b) (relating to procedure).**8 (2) A challenge to a subpoena authorized by subdivision (a)(2) shall be heard and determined by a member of a hearing committee in the disciplinary district in which the subpoena is returnable **in accordance**  **with t** **he procedure**  **established by**

**the Board**

. **See D.Bd. Rules § 91.3(b) (relating to procedure).**  (3) A determination under paragraph (1) or (2) may **[not]** be appealed to **a law** **ye r** **- Member**  **of** the Board **[, but**  **may b** **e appealed**  **to the**  **Supreme Court**  **under subdivision**  **(g)]** within ten days after service **pursuant to**  **D.Bd. Rules**  **§§ 89.21**  **and 89.24**  of the determination on the party bringing the appeal **by f** **iling a**  **petition with**  **the Board**  **setting forth**  **in detail**  **the grounds**  **for challenging**  **the determination** 

. **The appealing**  **pa rty** **s hall**  **serve a**  **copy o** **f the**  **petition on**  **the non**  **- appealing**  **party by**  **m ail**  **on the**  **date that**  **the appealing party** 

**files the appeal, and the non -** **appealing party shall have five**  **business day** **s after**  **delivery to**  **file a**  **response. N**  **o attack**  **on the**  **validity of**  **a su**  **bpoena will**  **be considered**  **by t** **he Designated**  **law ye**  **r -** **Member of**  **the Board**  **unless previously**  **r aised**  **before the**  **hearing committee.**  **T he**  **Board Member**  **shall decide**  **the appeal**  **within five**  **business day** **s of**  **the filing**  **of the**  **non -** **appealing party** **’s response,**  **if any** **. There**  **shall be**  **no right**  **of appeal**  **to the**  **Supreme Court.**  **A ny**  **r equest**  **for review** **s hall**  **not serve**  **to stay**  **a ny**  **h earing**  **or proceeding**  **before the**  **hearing committee**  **or the**  **Board unless the Court enters an order stay** **ing the proceedings.**
*** * *** (g) Enforcement of subpoenas **[; appeal of challenges to subpoenas]**

.

(1) Either Disciplinary Counsel or a respondent

-attorney may petition the Supreme Court to enforce a subpoena **[or to**  **rev iew a determination under**  **subdivision (d)(1)**  **or (2)**  **on the**  **validity of**  **a subpoena.**  **No attack**  **on the**  **validity o** **f a**  **subpoena will**  **be considered**  **by t** **he Court**  **unless previously**  **raised as**  **provided in**  **subdivision (d)]**  **that was**  **not the**  **subject of**  **a challenge**  **pursuant to**  **subdivision (d)(1)**  **or (2),**  **or that**  **was the**  **subject of**  **a challenge**  **and has**  **n ot**  **been finally**  **q uashed**  **by**

**e ither**  **the hearing**  **committee or**  **the Board**  **Member designated**  **to hear**  **the appeal,**  **provided that**  **the party**  **filing the**  **petition to**  **enforce attaches**  **a certification**  **in good**  **faith that: a) the party exhausted reasonable efforts to sec ure the presence**  **of the**  **witness or**  **the evidence**  **within the**  **witness’s custody**  **o r**  **control, b)**  **the testimony** **, records or other phy sical ev** **idence of**  **the witness will not be**  **cumulative of**  **other evidence**  **available to**  **the party** **, and**  **c) the**  **absence of**  **the witness**  **will substantially**  **h andicap**  **the party**  **f rom**  **prosecuting or**  **defending the**  **charges, or**  **from establishing**  **a weighty**  **a ggravating**  **or mitigating**  **factor**

**. I** **f the**  **object of**  **a petition**  **to enforce**  **is a**  **subpoena directed**  **to the**  **respondent -** **attorney for,**  **in wh**  **ole or**  **in part,**  **production pursuant**  **to Enforcement**  **Rule 221(g)(2)**  **of required**  **records under**  **Pa. R** 

**. P** 

**. C** 

**. 1.15(c)**  **and Enforcement**  **Rule 221(e),**  **no certification**  **will be**  **required for**  **the subpoena**  **or portion**  **thereof that**  **pertains to**  **the required**  **records**

. See also Enforceme nt Rule 208(f)(5) (relating to emergency temporary suspension orders and related relief).9 Note: The reference to Enforcement Rule 208(f)(5) is intended to make clear that, where the person who is resisting complying with a subpoena is the respondent

-attorney, the provisions of this rule are cumulative of those in Enforcement Rule 208(f)(5). (2) Upon receipt of a petition for enforcement of a subpoena, the Court shall issue a rule to show cause upon the person to whom the subpoena is directed, returnable within ten days, why the person should not be held in contempt. **If the**  **subpoena is**  **directed to**  **a respondent** **- attorney**  **for production**  **of required**  **records and**  **the respondent** **- attorney**  **h as**  **not produced**  **the records,**  **the Court**  **shall issue**  **upon the**  **respondent -** **att orney**  **a rule**  **to show**  **cause wh** **y the**  **respondent -** **attorney should**  **not be**  **placed on**  **temporary**

**s uspension**  **for failing**  **to produce**  **the records.**  If the period for response has passed without a response having been filed, or after consideration of any response, the Court shall issue an appropriate order. **[(3) A**  **petition for**  **review o** **f a**  **determination made**  **under subdivision**  **(d)(1) or**  **(2) must**  **set fo** **rth in**  **detail the**  **grounds for**  **challenging the**  **determination. Upon**  **timely receipt**  **of a**  **petition for**  **rev iew,**  **the Court**  **shall issue**  **a rule**  **to show** **c ause**  **upon the**  **party to**  **the proceeding**  **wh o**  **is not**  **challenging the**  **determination, returnable**  **within ten**  **da ys**  **, why**  **the determination**  **should not**  **be reversed.**  **If the**  **period for**  **response has**  **passed without**  **a response**  **having been**  **filed, or**  **after consideration**  **of any**  **response, the Court shall issue an appropriate order.]**
*** * ***
Rule 215. **Discipline on Consent** (a) Voluntary resignation.

– An attorney who is the subject of an investigation into allegations of misconduct by the attorney may submit a resignation, but only by delivering to **Disciplinary C** **ounsel or**  **the Secretary**  **o f**  the Board a verified statement stating that the attorney desires to resign and that:

(1) the resignation is freely and voluntarily rendered; the attorney is not being subjected to coercion or duress; the attorney is fully aware of the implications of submitting the resignation; and whether or not the attorney has consulted or followed the advice of counsel in connection with the decision to resign;(2) the attorney is aware that there is presently pending investigation into allegations that the attorney has been guilty of misconduct the nature of which the verified statement shall specifically set forth; (3) the attorney acknowledges that the material facts upon which the complaint is predicated are true; **[and]**10 (4) the resignation is being submitted because the attorney knows that if charges were predicated upon the misconduct under investigation the attorney could not successfully defend against them **[.] ;**  **(5) the**  **attorney is**  **fully a** **war e**  **that the**  **submission of**  **the resignation**  **statement is**  **irrevocable and**  **that the**  **attorney c** **an only** 

**a pply**  **for reinstatement**  **to the**  **practice of**  **law pursuant**  **to the**  **provisions of**  **Enforcement Rule 218(b) and (c); (6)**  **the attorney**  **is aw** **are that**  **pursuant to**  **subdiv ision**  **(c) of**  **this Rule,**  **the fact**  **that the**  **attorney h** **as tendered**  **his or**  **her resignation**  **shall become**  **a mat** **ter of**  **public record**  **immediately u**  **pon deliver** **y of**  **the resignation**  **statement to**  **Disciplinary C** **ounsel or**  **the Secretary**  **o f**  **the Board;**  **(7) upon entry**  **of the order disbarring the attorney on consent, the attorney w** **ill promptly compl y w** **ith the notice, withdraw al, resignation**  **, trust accounting,**  **and cease** **- and**  **- desist**  **provisions of**  **subdivisions (a),**  **(b), (c)**  **and (d) of Enforcement Rule 217; (8)**  **after the**  **entry of**  **the order**  **disbarring the**  **attorney on**  **consent, the**  **attorney will**  **file a**  **verified statement**  **of complianc** **e as**  **required by**  **subdivision (e)(1) of Enforcement Rule 217; and (9)**  **the attorney**  **is aware**  **that the**  **wa iting**  **period for**  **eligibility t** **o apply**  **f or**  **reinstatement to**  **the practice**  **of law** **u nder**  **Enforcement Rule**  **218(b) shall**  **not begin**  **until the**  **attorney files**  **th e**  **verified statement**  **of compliance**  **required by**  **E nforcement**  **Rule 217(e)(1),**  **and if**  **the order**  **of disbarment**  **contains a**  **provision that**  **makes the**  **disbarment retroactive**  **to an**  **earlier date,**  **then the**  **waiting period**  **will be**  **deemed to**  **have begun**  **on that earlier da** **te.** (b) Order of disbarment.

– Upon receipt of the required statement, the **Secretary**

**of the**  Board shall file it with the Supreme Court and the Court shall enter an order disbarring the attorney on consent. (c) Confidentiality of resignation statement.

– **The fact**  **that the**  **attorney h** **as submitted**  **a resignation**  **statement to**  **Disciplinary C** **ounsel or**  **the Secretary**  **o f**  **the Board**  **for filing**  **with the**  **Supreme Court**  **shall become**  **a matter**  **of public**  **record immediately** 

**upon delivery of the resignation statement to Disci plinary**  **Counsel or the**  **Secretary**

**o f**  **the Board.**  The order disbarring the attorney on consent shall be a matter of public record. If the statement required under the provisions of subdivision (a) of this rule is submitted before the filing and service of a petition for discipline and the filing of an answer or the time to file an answer has expired, the statement shall not be publicly disclosed or made available for use in any proceeding other than a subsequent reinstatement proceeding except:

(1) upon order of the Supreme Court, (2) pursuant to an express written waiver by the attorney,11 (3) upon a request of another jurisdiction for purposes of a reciprocal disciplinary proceeding, (4) upon a request by the Pennsylvania Lawyers Fund for Client Security Board pursuant to Enforcement Rule 521(a) (relating to cooperation with Disciplinary Board), or (5) when the resignation is based on an order of temporary suspension from the practice of law entered by the Court either pursuant to Enforcement Rule 208(f)(1) (relating to emergency temporary suspension orders and related relief) or pursuant to Enforcement Rule 214 (relating to attorneys convicted of crimes).
*** * ***
Rule 217. **Formerly admitt** **ed attorney s.**  (a) A formerly admitted attorney shall promptly notify, or cause to be **promptly** notified, **[by registered**  **or certified**  **mail, return**  **receipt requested,]**  all clients being represented in pending matters, other than litigation or administrative proceedings, of the disbarment, suspension, administrative suspension or transfer to inactive status and the consequent inability of the formerly admitted attorney to act as an attorney after the effective date of the disbarment, suspension, administrative suspension or transfer to inactive status and shall advise said clients to seek legal advice elsewhere. **The notice**  **required by**  **t his**  **subdivision (a)**  **may b** **e delivered**  **by the**  **most efficient**  **method possible**  **as long**  **as the**  **chosen method**  **is successful**  **and prov** **ides proof**  **of receipt.**  **A t**  **the time**  **of the**  **filing of**  **the verified**  **statement of**  **compliance required**  **by s**  **ubdivision (e)(1)**  **of this**  **Rule, the**  **formerly a** **dmitted attorney**  **shall file copies of the notices required by t** **his subdivision**  **and proofs**  **of receipt**  **with t** **he Secretary**  **of the**  **Board and**  **shall serve**  **a conforming**  **copy o**  **n the**  **Office of**  **Disciplinary Counsel.**  **See D.Bd.**  **Rules §**  **91.9 1**  **(b) (relating**  **to filing**  **of copies of notices).** 

**Note: N**  **otice ma** **y be**  **accomplished, for**  **example, by**  **d eliv** **ery in**  **person with**  **the law** **ye r**  **s ecuring**  **a signed**  **receipt, electronic**  **mailing wi** **th some**  **form of**  **acknow ledgement**  **from the**  **client other**  **than a**  **“read receipt,”**  **and mailing**  **by registered or certified mail**  **, return receipt requested.**  (b) A formerly admitted attorney shall promptly notify, or cause to be **promptly** notified, **[by registered**  **or certified**  **mail, return**  **receipt requested,]**  all clients who are involved in pending litigation or administrative proceedings, and the attorney or attorneys for each adverse party in such matter or proceeding, of the disbarment, suspension, administrative suspension or transfer to inactive status and consequent inability of the formerly admitted attorney to act as an attorney after the effective date of the disbarment, suspension, administrative suspension or transfer to inactive status. The notice to be given to the client shall advise the prompt substitution of another attorney or attorneys in place of the formerly admitted attorney. In the event the client does not obtain substitute counsel before the effective date of the disbarment,12

suspension, administrative suspension or transfer to inactive status, it shall be the responsibility of the formerly admitted attorney to move in the court or agency in which the proceeding is pending for leave to withdraw. The notice to be given to the attorney or attorneys for an adverse party shall state the place of residence of the client of the formerly admitted attorney. **The notice**  **required by**  **t his**  **subdivision (b)**  **may be**  **delivered by** 

**t he**  **most efficient**  **method possible**  **as long**  **as the**  **chosen method**  **is successful**  **and provides**  **proof of**  **receipt. See**  **Note after**  **subdivision (a),**  **supra .**  **At the**  **time of**  **the filing**  **of the**  **verified statement**  **of compliance**  **required by**  **subdivision (** **e)(1) of**  **this Rule,**  **the formerly**  **a dmitted**  **attorney**

**s hall**  **file copies**  **of the**  **notices required**  **by t** **his subdivision**  **and proofs**  **of receipt**  **with the**  **Secretary of**  **the Board**  **and shall**  **serve a**  **conforming copy**  **o n**  **the Office**  **of Disciplinary**  **Counsel. See**  **D.Bd. Rules § 91.92(b) (relating to filing of copies of notices).**  (c) A formerly admitted attorney shall promptly notify, or cause to be **promptly** notified, of the disbarment, suspension, administrative suspension or transfer to inactive status **[, by**

**registered or certi fied mail, return receipt requested]**  : (1) all persons or their agents or guardians**, including**  **but not**  **limited to**  **wards, heirs**  **and beneficiaries,**  to whom a fiduciary duty is or may be owed at any time after the disbarment, suspension, administrative suspension or transfer to inactive status **[, and] ;**  (2) all other persons with whom the formerly admitted attorney may at any time expect to have professional contacts under circumstances where there is a reasonable probability that they may infer that he or she continues as an attorney in good standing **[.] ; and**  **(3) any** **o ther**  **tribunal, court,**  **agency o** **r jurisdiction**  **in wh**  **ich the**  **attorney is admitted to practice** 

. **The notice**  **required by**  **t his**  **subdivision (c)**  **may b** **e delivered**  **by**

**t he**  **most efficient**  **method possible**  **as lon**  **g as**  **the chosen**  **method is**  **successful and**  **provides proof**  **of receipt.**  **See Note**  **after subdivision**  **(a), supra** **. A**  **t the**  **time of**  **the filing**  **of the**  **verified statement**  **of compliance**  **required by**  **s ubdivision**  **(e)(1) of**  **this Rule,**  **the formerly**  **a dmitted**  **attorney shall**  **file copies**  **of the**  **notices required**  **by t** **his subdivision**  **and proofs**  **of receipt**  **with the**  **Secretary o** **f the**  **B oard**  **and shall**  **serve a**  **conforming copy** **o n**  **the Office**  **of Disciplinary**  **C ounsel.**  The responsibility of the formerly admitted attorney to provide the notice required by this subdivision shall continue for as long as the formerly admitted attorney is disbarred, suspended, administratively suspended or on inactive status. (d) **(1)** Orders imposing suspension, disbarment, administrative suspension or transfer to inactive status shall be effective 30 days after entry. The formerly admitted attorney, after entry of the disbarment, suspension, administrative suspension or transfer to inactive status order, shall not accept any new retainer or engage as attorney for another in any new case or legal matter of any nature. However, during the period from the entry date of the order and its effective date the formerly admitted attorney may wind up and complete, on behalf of any client, all matters which were pending on the entry date.13

**(2) In**  **addition to**  **the steps**  **that a**  **formerly a** **dmitted attorney**  **must promptly**  **take under**  **o ther**  **provisions of**  **this Rule**  **to disengage**  **from the**  **practice of**  **law ,**  **a formerly**  **admitted attorney**  **shall promptly**  **cease and**  **desist from**  **using all**  **forms of**  **communication that**  **expressly o** **r implicitly** 

**c onv** **ey e**  **ligibility**

**t o**  **practice law**  **in the**  **state courts**  **of Pe**  **nnsy lv** **ania, including**  **but not**  **limited to**  **professional titles,**  **letterhead, business**  **cards, signage,**  **websites, and**  **references to admission to the Pennsy** **lv ania Bar.**  **(3) In**  **cases of**  **disbarment, suspension**  **for a**  **period exceeding**  **one ye** **ar, temporary** 

**s uspension**  **under Enforcement**  **Rule 208(f)**  **or 213(g),**  **or disability**  **inactive status**  **under Enforcement**  **Rule 216**  **or 301,**  **a formerly**  **admitted attorney**  **shall also promptly :** 

**(i) resign**  **all appointments**  **as personal**  **representative, executor,**  **administrator, guardian,**  **conserva tor,**  **receiver, trustee,**  **agent under**  **a pow** **er of attorney , or other fiduciary**  **position; (ii)**  **close every IOLTA , Trust, client and fiduciary**  **account; (iii)**  **properly**

**d isburse**  **or otherw** **ise transfer**  **all client**  **and fiduciary**  **funds in his or her possession, cus tody**  **or control; and (iv** **) take**  **all necessary**  **steps to**  **cancel or**  **discontinue the**  **next regular**  **publication of**  **all advertisements**  **and telecommunication**  **listings that**  **expressly**

**o r**  **implicitly**

**c onv** **ey e**  **ligibility**

**t o**  **practice law**  **in the**  **state courts of Pennsy** **lv ania.** 
**The formerly** 

**admitted attorney** 

**shall maintain records to demonstrate compliance with**  **the provisions**  **of paragraphs**  **(2) and**  **(3) and**  **shall provide**  **proof of**  **compliance at**  **the time**  **the formerly**  **a dmitted**  **attorney files**  **the verified**  **statement required by** 

**s ubdivision (e)(1) of this Rule.** 
**Note: P** **aragraph (d)(3)(i)**  **does not**  **preclude a**  **respondent****** **attorney wh**  **o voluntarily**  **a ssumes**  **inactive or**  **retired status,**  **is placed**  **on administrative**  **suspension, is**  **temporarily suspended**  **under Enforcement**  **R ule**  **214, or**  **is suspe**  **nded for**  **one ye** **ar or**  **less, from**  **completing existing**  **appointments and**  **accepting new**  **appointments of**  **the nature**  **identified in**  **paragraph (d)(3)(i).**  **N onetheless,**  **in order**  **to comply**  **w ith**  **subdivisions (a),**  **(b) and**  **(c) of**  **this Rule,**  **the formerly**  **a dmitted**  **attorne y**  **wh o**  **desires to**  **complete existing**  **appointments or**  **accept future**  **appointments must**  **give wr** **itten notice**  **of the**  **formerly a** **dmitted attorney** **’s registration**  **status or**  **change in**  **that status**  **to appointing**  **and supervising**  **judges and**  **courts, wards,**  **heirs, beneficia** **ries, interested**  **third parties,**  **and other**  **recipients of**  **the formerly**  **a dmitted**  **attorney ’s**  **fiduciary services,**  **as notice**  **of the**  **formerly a** **dmitted attorney’s**  **other****** **than -** **active status**  **gives all interested parties an opportunity**  **to consider**  **replacing the**  **former ly**  **a dmitted**  **attorney or**  **enlisting**14 **a person**  **other than**  **the formerly**  **a dmitted**  **attorney to**  **serv e**  **as the**  **fiduciary**

**i n**  **the first**  **instance. Al** **though the**  **formerly admitted**  **attorney would**  **not be**  **precluded by**  **p aragraph**  **(d)(3)(ii) from**  **continuing to**  **use a**  **fiduciary account**  **registered with**  **the bank**  **as an**  **IOLTA o** **r Trust**  **Ac count,**  **paragraph (2)**  **of subdivision**  **(d) and**  **paragraph (4)(iv)**  **of subdivision**  **(j) of**  **this Rule**  **prohibit the**  **formerly a** **dmitted attorney** 

**f rom**  **using or**  **continuing to**  **use account**  **checks and**  **depo sit**  **slips t** **hat contain**  **the wo** **rd “IOLTA** **,” “attorney,”**  **“lawy er,”**  **“esquire,” or**  **similar appellation**  **that could**  **conv ey** **e ligibility**  **to practice**  **in the**  **state courts**  **of Pennsy** **lv ania.**  **Notw ithstanding**  **the specific**  **prohibitions of**  **subdivision (j)**  **of this**  **Rule, the**  **formerly admitted**  **attorney**

**i s**  **authorized to**  **perform those**  **services necessary**  **to carry** **o ut**  **the appointment**  **with the**  **exception of**  **any s** **erv ice**  **that would**  **constitute the**  **unauthorized practice**  **of law**  **if engaged**  **in by**  **a nonlaw** **ye r.**  **In relation**  **to formerly**  **admitted attorn** **ey s**  **who are**  **disbarred, suspended**  **for a**  **period exceeding**  **one year,**  **temporarily s**  **uspended under**  **Enforcement Rule**  **208(f) or**  **213(g), or**  **transferred to**  **disability inactive**  **status, the**  **requirements of**  **paragraph (d)(3)**  **continue throughout**  **the term**  **of the**  **disbarme nt,**  **suspension, temporary**  **suspension, or**  **disability i**  **nactive status,**  **thereby p** **recluding any**  **new appointment or engagement.** (e) **(1)** Within ten days after the effective date of the disbarment, suspension, administrative suspension or transfer to inactive status order, the formerly admitted attorney shall file with the **Secretary o** **f the**  Board a verified statement **[showing] and**  **serve a**  **copy o** **n Disciplinary**  **C ounsel.**  **I n**  **the verified**  **statement, the**  **formerl y**  **admitted attorney**

**shall** : **[(1)] (i)**  **av er**  that the provisions of the order and these rules have been fully complied with; **[and] [(2)]**  **(ii) list**  all other state, federal and administrative jurisdictions to which **[such person]**  **the formerly**  **a dmitted**  **attorney** is admitted to practice **[**

. **Such statement**  **shall also**  **set forth**  **the residence**  **or other**  **address of**  **the formerly**  **admitted attorney**  **wh ere**  **communications to**  **such person**  **may thereafter**  **be directed.]**  **, aver**  **that he**  **or she**  **has fully**  **c omplied**  **with the**  **notice requirements**  **of paragraph**  **(3) of**  **subdivision (c)**  **of this**  **Rul e,**  **and aver**  **that he**  **or she has attached copies of the notices and proofs of receipt**  **required by** 

**( c)(3);**  **or, in**  **the alternative,**  **aver that**  **he or**  **she was**  **not admitted to practice in any**  **other tribunal, court, agency or jurisdiction;**  **(iii) aver**  **that he**  **or she has attached copies of the notices required**  **by s**  **ubdivisions (a),**  **(b), and**  **(c)(1) and**  **(c)(2) of**  **this Rule**  **and proofs**  **of receipt,**  **or, in**  **the alternative,**  **aver that**  **he or**  **she ha** **s no**  **clients ,**  **third persons**  **to wh**  **om a**  **fiduciary d**  **uty i** **s owed,**  **or persons**  **wit h**  **wh om**  **the formerly**  **admitted attorney**

**has professional contacts, to so notify ;** 15 **(iv )**  **in cases**  **of disbarment**  **or suspension**  **for a**  **period exceeding**  **one ye** **ar, av** **er that**  **he or**  **she has**  **attached his**  **or her**  **attorney registration**  **certificate for**  **the current**  **ye ar,**  **cer tificate**  **of admission,**  **any c** **ertificate of**  **good standing**  **issued by**  **t he**  **Prothonotary ,**  **and any** **o ther**  **certificate required**  **by**

**s ubdivision**  **(h) of**  **this Rule**  **to be**  **surrendered; or,**  **in the**  **alternative, av** **er that**  **he or**  **she has**  **attached all**  **such documents**  **within his**  **or her**  **possession, or**  **that he**  **or she**  **is not**  **in possession**  **of any** **o f**  **the certificates required to be surrendered;**  **(v )**  **aver that**  **he or**  **she has**  **complied with**  **the requirements**  **of paragraph**  **(2) of**  **subdivision (d)**  **of this**  **Rule, and**  **aver that**  **he or she has, to the**  **extent practicable,**  **attached proof**  **of compliance,**  **including evidence**  **of the**  **destruction, removal,**  **or abandonment**  **of indicia**  **of Pennsy** **lv ania**  **practice; or, in the alternative, aver that he or she neither had nor employ ed**  **any indicia of Pennsylvania practice;**  **(v i)**  **in cases of disbarment, suspension for a period exceeding one year,**  **temporary suspension**  **under Enforcement**  **Rule 208(f)**  **or 213(g),**  **or disability** 

**i nactive**  **status under**  **Enforcement Rule**  **216 or**  **301, a** **ver that**  **he or**  **she has**  **complied with**  **the requirements**  **of paragraph**  **(3) of**  **subdivision (d)**  **of this**  **Rule, and**  **aver that**  **he or**  **she has**  **attached proof**  **of compliance,**  **incl uding**  **resignation notices,**  **evidence of**  **the closing**  **of accounts,**  **copies of**  **cancelled checks**  **and other**  **instruments demonstrating**  **the proper**  **distribution of**  **client and**  **fiduciary f** **unds, and**  **requests to**  **cancel advertisements**  **and telecommunication**  **listings ;**  **or, in**  **the alternative,**  **av er**  **that he**  **or she**  **has no**  **applicable appointments,**  **accounts, funds.**  **advertisements, or telecommunication listings; (v** **ii) aver**  **that he**  **or she has serv ed**  **a copy o** **f the verified**  **statement and its attachments on the Office of Disciplinar** **y Counsel;**  **(v iii)**  **set forth**  **the residence**  **or other**  **address wh** **ere communications to such person may**  **thereafter be directed; and (ix)**  **sign the statement.**
**The statement shall**  **contain an**  **averment that**  **all statements contained**  **therein are**  **true and**  **correct to**  **the best**  **of the**  **formerly a** **dmitted attorney** **’s know** **ledge, information**  **and belief,**  **and are**  **made subject**  **to the**  **penalties of**  **18 Pa.C.S.**  **§ 4904**  **relating to unsworn falsification to authorities.**

**Note: A** 

**r espondent** **- attorney**  **wh o**  **is placed**  **on temporary** 

**s uspension**  **is required**  **to comply**  **w ith**  **subdivision (e)(1) and file a verified statement. Upon the entry**  **o f**  **a final**  **order of**  **suspension or**  **disbarment, the**  **respondent -** **attorney must**  **file a**  **supplemental verified**  **statement containing**  **the information**  **and documentation**  **not applicable**  **at the**  **time of**  **the filing**  **of the**  **initial statement,**  **or all**  **of the**  **information and** 16 **documentation required**  **by s**  **ubdivision (e)(1)**  **if the**  **respondent -** **attorney has**  **failed to**  **file the**  **initial s** **tatement. A** **lthough the**  **grant of**  **retroactivity is**  **alw ay** **s di** **scretionary ,**  **a respondent** **- attorney**  **wh o**  **fails to**  **file a**  **verified statement**  **at the**  **time of**  **temporary suspension**  **should not**  **expect a**  **final order**  **to include**  **a reference**  **to retroactivity** 

**. (2)**  **A formerly**  **admitted attorney**  **s hall**  **cooperate with**  **Disciplinary Co** **unsel and**  **respond completely**  **t o**  **questions by** 

**D isciplinary**  **Counsel regarding**  **compliance with the provisions of this Rule. (3)**  **After the**  **entry of**  **an order**  **of disbarment**  **or suspension**  **for a**  **period exceeding**  **one ye** **ar, the**  **waiting period**  **for eligibility**  **t o**  **a pply**  **for reinstatement**  **to the**  **practice of**  **law s**  **hall not**  **begin until**  **the formerly**  **admitted attorney**  **files the**  **verified statement**  **required by**  **s ubdivision**  **(e)(1) of**  **this Rule.**  **I f**  **the order**  **of disbarment**  **or suspension**  **contains a**  **provision that**  **makes the**  **disci pline**  **retroactive to**  **an earlier**  **date, the**  **waiting period**  **will be**  **deemed to**  **have begun**  **on that earlier date.** 

**Note: T** **his subdivision**  **(e)(3) and**  **the corresponding**  **provisions in**  **subdivision (b)**  **of Enforcement**  **Rule 218**  **apply only**  **to orders**  **entered on**  **or after**  **, the**  **effective date**  **of this**  **subdivision and**  **the corresponding**  **Enforcement Rule 218 provisions.**  ( Editor's Note: The blank refers to the effective date of adoption of this proposed rulemaking.) (f) The Board shall cause a notice of the suspension, disbarment, administrative suspension or transfer to inactive status to be published in the legal journal and a newspaper of general circulation in the county in which the formerly admitted attorney practiced. **The cost**  **of publication**  **shall be**  **assessed against**  **the formerly**  **admitted attorney**

**.** *** * ***
Rule 218. **Reinstatement.**
*** * *** (b) A person who has been disbarred may not apply for reinstatement until the expiration of at least five years from the effective date of the disbarment, except that a person who has been disbarred pursuant to **Enforcement** Rule 216 (relating to reciprocal discipline and disability) may apply for reinstatement at any earlier date on which reinstatement may be sought in the jurisdiction of initial discipline. **Pursuant to**  **Enforcement Rule**  **217(e)(3), the**  **waiting period**  **for eligibility**  **t o**  **apply**

**f or**  **reinstatement to**  **the practice**  **of law**  **shall not**  **begin until**  **the person**  **files the**  **verified statement**  **required by**  **s ubdivision**  **(e)(1) of**  **Enforcement Rule**  **217. I** **f the**  **order of**  **disbarment contains**  **a provision**  **that makes**  **the disbarment**  **retroactive**17

**to an**  **earlier date,**  **the waitin**  **g period**  **will be**  **deemed to**  **hav e**  **begun on**  **that earlier**  **date. (See**  **Note after**  **Enforcement Rule**  **217(e)(3) for**  **effective date**  **of provisions**  **relating to**  **commencement of**  **wa iting**  **period for**  **eligibility to**  **appl y**  **for reinstatement.)** 

*** * ***
Rule 219. **An nual regist** **ration of attorney s.**  *** * *** (d) On or before July 1 of each year all attorneys required by this rule to pay an annual fee shall file with the Attorney Registration Office a signed or electronically endorsed form prescribed by the Attorney Registration Office in accordance with the following procedures:

(1) The form shall set forth: (i) The date on which the attorney was admitted to practice, licensed as a foreign legal consultant, granted limited admission as an attorney participant in defender and legal services programs pursuant to Pa.B.A.R. 311, or issued a Limited In

- House Corporate Counsel License, and a list of all courts (except courts of this Commonwealth) and jurisdictions in which the person has ever been licensed to practice law, with the current status thereof. (ii) The current residence and office addresses of the attorney, each of which shall be an actual street address or rural route box number, and the Attorney Registration Office shall refuse to accept a form that sets forth only a post office box number for either required address. A preferred mailing address different from those addresses may also be provided on the form and may be a post office box number. The attorney shall indicate which of the addresses, the residence, office or mailing address, as well as telephone and fax number will be accessible through the website of the Board (http://www.padisciplinaryboard.org/) and by written or oral request to the Board. Upon an attorney’s written request submitted to the Attorney Registration Office and for good cause shown, the contact information provided by the attorney will be nonpublic information and will not be published on the Board’s website or otherwise disclosed.

Note: Public web docket sheets will show the attorney’s address as entered on the court docket. (iii) The name of each **[f] F**  inancial **[i] I**  nstitution **, as**  **defined in**  **Pa. R** 

**. P** 

**. C** 

**. 1.15(a)(4),**  **[in ]**  **within or**  **outside** this Commonwealth in which the attorney on May 1 of the current year or at any time during the preceding 12 months held funds of a client or a third person subject to18 Rule 1.15 of the Pennsylvania Rules of Professional Conduct. The form shall include the name and account number for each account in which the **[law ye**  **r] attorney**  **[ holds** **] held**  such funds, and each IOLTA Account shall be identified as such. The form provided to a person holding a Limited In

- House Corporate Counsel License or a Foreign Legal Consultant License need not request the information required by this subparagraph.
**Note: I** **f an**  **attorney employ** **ed by**  **a l**  **aw firm**  **receives fiduciary** 

**f unds**  **from or**  **on behalf**  **of a**  **client and**  **deposits or**  **causes the**  **funds to**  **be deposited**  **into a**  **law firm**  **account, the**  **attorney m**  **ust report**  **the account**  **of deposit under this subparagraph.**  **(iv )**  **Every account**  **not reported**  **under subparagraph**  **(iii), that**  **held funds**  **of a**  **client or**  **third party** **, and**  **ov er**  **wh ich**  **the attorney**  **had sole**  **or shared**  **signature authority**  **o r**  **authorization to**  **transfer funds**  **to or**  **from the**  **account, during**  **the same**  **time period**  **speci fied**  **in subparagraph**  **(iii). F** **or each**  **account, the**  **attorney shall**  **provide the**  **name of**  **the financial**  **institution (w** **hether or**  **not the**  **entity qualifies**  **as a**  **“Financial Institution”**  **under Pa.**  **R**

**. P** 

**. C** 

**. 1.15(a)(4)),**  **location, and account number. (v** **) Every**  **busines s operating account maintained or utilized**  **by t** **he attorney**  **in the**  **practice of**  **law during**  **the same**  **time period**  **specified in**  **subparagraph (iii).**  **F or**  **each account,**  **the attorney**  **shall provide**  **the name**  **of the**  **financial institution,**  **location and**  **account number.**  **[(iv)] (v** **i)** A statement that the attorney is familiar and in compliance with Rule 1.15 of the Pennsylvania Rules of Professional Conduct regarding the handling of funds and other property of clients and others and the maintenance of IOLTA Accounts, and with Rule 221 of the Pennsylvania Rules of Disciplinary Enforcement regarding the mandatory reporting of overdrafts on fiduciary accounts

. **[(v)] (vii)**  A statement that any action brought against the attorney by the Pennsylvania Lawyers Fund for Client Security for the recovery of monies paid by the Fund as a result of claims against the attorney may be brought in the Court of Common Pleas of Allegheny, Dauphin or Philadelphia County. **[(vi)] (v** **iii)** Whether the attorney is covered by professional liability insurance on the date of registration in the minimum amounts required by Rule of Professional Conduct 1.4(c). Rule 1.4(c) does not apply to attorneys who do not have any private clients, such as attorneys in full

time government practice or employed as in

-house corporate counsel.19 Note: The Disciplinary Board will make the information regarding insurance available to the public upon written or oral request and on its website. The requirement of Rule 219(d)(3) that every attorney who has filed an an nual fee form or elects to file the form electronically must notify the Attorney Registration Office of any change in the information previously submitted within 30 days after such change will apply to the information regarding insurance. **[(vii)] (ix)**  Such other information as the Attorney Registration Office may from time to time direct.
*** * ***
Rule 221. **Funds of clients and third persons. Mandatory overdraft notification.**
*** * *** (e) An attorney shall maintain **and preserve**  **for a**  **period of**  **fiv e**  **years after**  **termination of**  **the client** **- law** **ye r**  **or Fiduciary**  **r elationship**  **or after**  **distribution or**  **disposition of**  **the property** **, wh**  **ichever is**  **later, the**  **writing required**  **by Pa.**  **R**

**. P** 

**. C** 

**. 1.5 (relating to the requirement of a w** **riti ng communicating the basis or rate of the**  **fee), the**  **records identified**  **in Pa.**  **R**

**. P** 

**. C** 

**. 1.5(c)**  **(relating to**  **the requirement**  **of a**  **wr itten**  **fee agreement**  **and distribution**  **statement in**  **a contingent**  **fee matter),**  **and** the following books and records for each Trust Account and for any other account in which Rule 1.15 Funds are held:

(1) all transaction records provided to the attorney by the Financial Institution, such as periodic statements, canceled checks in whatever form **,** deposited items and records of electronic transactions; and (2) check register or separately maintained ledger, which shall include the payee, date**, purpose**  and amount of each check, withdrawal and transfer, the payor, date, and amount of each deposit, and the matter involved for each transaction **[.] ;**  **provided, however,**  **that where**  **an account**  **is used**  **to hold**  **funds of**  **more than**  **one client,**  **a law** **ye r**  **shall also**  **maintain an**  **individual ledger**  **for each**  **trust client,**  **showing the**  **source, amount**  **and nature**  **of all**  **funds received**  **from or**  **on behalf**  **of the**  **client, the**  **description and**  **amounts of**  **charges or**  **withdrawals, the**  **names of**  **all persons**  **or entities**  **to whom**  **such funds**  **were disbursed,**  **and the**  **dates of**  **all deposits,**  **transfers, withdrawals and disbursements.**  **(3) A**  **regular trial**  **balance of**  **the individual**  **client trust**  **ledgers shall**  **be maintained.**  **T he**  **total of**  **the trial**  **balance must**  **agree with**  **the control**  **figure computed**  **by t** **aking the**  **beginning balance,**  **adding the**  **total of**  **moneys received**  **in trust**  **for the**  **client, and**  **deducting the**  **total of**  **all money** **s disbursed.**  **O n**  **a monthly**  **b asis,**  **a law** **ye r**  **shall conduct**  **a reconciliation**  **for each**  **fiduciary a** **ccount. T** **he reconciliation**  **is not**  **complete if**  **the reconciled**  **total cash**  **balance does**  **not agree**  **with the**  **total**20

**of the**  **client balance**  **listing. A**  **l aw** **ye r**  **shall preserve**  **for a**  **peri od**  **of five**  **years copies**  **of all**  **records and**  **computations sufficient**  **to prove**  **compliance with this requirement.** (f) The records required by this **[rule] Rule**  may be maintained in **[electronic or]**  hard copy form **[.] or**  **by e**  **lectronic, photographic,**  **or other**  **media provided**  **that the**  **records otherwise**  **comply w** **ith this**  **Rule and**  **that printed**  **copies can**  **be produced.**  **W hatever**  **method is**  **used to**  **maintain required**  **records must**  **have a**  **backup so that the records are secure and alway s av** **ailable.** If records are kept only in electronic form, then such records shall be backed up**, on**  **a separate**  **electronic storage**  **device,** at least **[monthly] at**  **the end**  **of any** **d ay** **o n**  **which entries**  **have been entered into the records**  **[on a separate electronic storage device]**

. (g) **[The records**  **required by**  **t his**  **rule may** **b e**  **subject to**  **subpoena and**  **must be**  **produced in**  **connection with**  **an inv** **estigation or**  **hearing pursuant**  **to these**  **rules.] The**  **records required**  **to be**  **maintained by**  **Pa. R** 

**. P** 

**. C** 

**. 1.15**  **shall be**  **readily accessible**  **to the**  **law ye**  **r and**  **av ailable**  **for production**  **to the**  **Pennsy lv** **ania Law** **ye rs**  **Fund for**  **Client Security**  **and the**  **Office of**  **Disciplinary C** **ounsel in**  **a timely**  **m anner**  **upon request**  **or demand**  **by either**  **agency m** **ade pursuant**  **to these**  **Enfor cement**  **Rules, the**  **Rules of**  **the Board,**  **the Pennsy** **lv ania**  **Law ye**  **rs Fund**  **for Client Security** 

**Board Rules and Regulations, agency practice, or subpoena.**  **(1) Upon**  **a request by D**  **isciplinary**

**C ounsel**  **under this**  **subdivision (g),**  **wh ich**  **request ma** **y take**  **the form**  **of a**  **l etter**  **to the**  **respondent -** **attorney briefly**  **s tating**  **the basis**  **for the**  **request and**  **identify ing**  **the ty** **pe and**  **scope of**  **the records**  **sought to**  **be produced,**  **a r espondent** **- attorney**  **m ust**  **produce the**  **records within**  **ten business**  **day s**  **after personal**  **service of**  **the letter**  **on the**  **respondent -** **attorney or**  **after the**  **deliver y**  **of a**  **copy o** **f the**  **letter to**  **an employ** **ee, agent**  **or other**  **responsible person**  **at the**  **office of**  **the respondent** **- attorney**  **as determined**  **by t** **he address**  **furnished by**  **t he**  **respondent -** **attorney in**  **the last**  **registration statement**  **filed by**  **t he**  **respondent -** **attorney pursuant**  **to Enforcement**  **Rule 219(d),**  **but if**  **the latter**  **method of**  **serv ice**  **is unavailable,**  **within ten**  **business day** **s after**  **the date**  **of mailing**  **a copy** 

**o f**  **the letter**  **to the**  **last registered**  **address or**  **addresses set**  **fort h on the statement.**  **(2) When**  **Disciplinary Counsel’s**  **request or**  **demand for**  **Pa. R** 

**. P** 

**. C** 

**. 1.15**  **records is**  **made under**  **an applicable**  **provision of**  **the Disciplinary**  **Board Rules**  **or by**  **subpoena under**  **Enforcement Rule**  **213(a), the**  **respondent -** **attorney must**  **produce the**  **re cords**  **and must**  **do so**  **within the**  **time frame established by those rules.**  **(3)** Failure to produce **Pa.R**

**. P** 

**. C** 

**. 1.15**  **records in**  **response to**  **a request**  **or demand**  **for** such records may result in the initiation of proceedings pursuant to Enforcement Rule 208(f)**(1) or**  **( f)(5)**  (relating to emergency temporary suspension orders and related relief), **the latter**  **of** which **specifically** permits **[d] D**  isciplinary **[c] C** ounsel to commence a proceeding for the temporary suspension of a respondent

-attorney who **[refuses] fails**  to **[comply with**  **a valid**  **subpoena] maintain**  **or produce**  **Pa. R** 

**. P** 

**. C** 

**. 1.15**  **records after**  **receipt of** 21

**a request**  **or demand**  **authorized by**  **s ubdivision**  **(g) of**  **this Rule**  **or any**  **provision of**  **the Disciplinary**  **B oard**  **Rules**

. **I f**  **at any**  **t ime**  **a hearing**  **is held**  **before the**  **Board pursuant**  **t o**  **Enforcement Rule**  **208(f) as**  **a result**  **of a**  **respondent -** **attorney ’s**  **alleged failure**  **to maintain**  **or produce**  **Pa. R** 

**. P** 

**. C** 

**. 1.15**  **records, a**  **law ye**  **r -** **Member of**  **the Board**  **shall be**  **designated to**  **preside over**  **the hearing.**
**Note: I** **f Disciplinary**  **Counsel files**  **a petition**  **f or**  **temporary suspension,**  **the respondent** **- attorney**  **will have**  **an opportunity**  **to raise**  **at that**  **time any** **c laim**  **of impropriety**  **pertaining to the request or demand for records.**
*** * ***