Annex 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. Similarly, 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. In 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 lawyer’s involvement 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, 

including 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:

Business Transactions Between Client and Lawyer

[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 services 
2

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 lawyer’s involvement in the offer, 

sale, or placement of investment 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. It does not apply to ordinary 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. In 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. In 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 lawyer shall maintain the writing 

required by Rule 1.5(b) (relating to the requirement of a writing communicating 

the basis or rate of the fee) and the records identified in Rule 1.5(c) (relating to 

the requirement of a written 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 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 lawyer 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

(3) The records required by this [rule] Rule may be maintained in

[electronic or] hard copy form[.] or by electronic, photographic, or other 

media provided that the records otherwise comply with this Rule and that 

printed copies can be produced. Whatever method is used to maintain 

required records must have a backup so that the records are secure and 

always available. 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 day on which entries have been entered into the 

records. These records shall be readily accessible to the lawyer and 

available for production to the Pennsylvania Lawyers Fund for Client 

Security or the Office of Disciplinary Counsel in a timely manner upon a 

request or demand by either agency made pursuant to the Pennsylvania 

Rules of Disciplinary Enforcement, the Disciplinary Board Rules, the 

Pennsylvania Lawyers Fund for Client Security Board Rules and 

Regulations, agency practice, or subpoena.

(4) A regular trial balance of the individual client trust ledgers 

shall be maintained. The total of the trial balance must agree with the 

control figure computed by taking the beginning balance, adding the total 

of moneys received in trust for the client, and deducting the total of all 

moneys disbursed. On a monthly basis, a lawyer shall conduct a 

reconciliation for each fiduciary account. The reconciliation is not 

complete if the reconciled total cash balance does not agree with the total 

of the client balance listing. A lawyer shall preserve for a period of five 

years 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 lawyer admitted to 

practice law in this jurisdiction or a person under the direct supervision of the 

lawyer shall be an authorized signatory or authorize transfers from a Trust 

Account or any other 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 Account as defined in paragraph (a)(11), and 

funds belonging to the lawyer must be deposited in a business operating account 

maintained pursuant to paragraph (j). Thus, unless the client gives informed 
4

consent, confirmed in writing, to a different manner of handling funds advanced 

by the client to cover fees and expenses, the lawyer must deposit those funds 

into a Trust Account pursuant to paragraph (i). If the lawyer pools such funds 

belonging to more than one client, under paragraph (c)(2) the lawyer must keep a 

ledger for each individual client, regularly recording all funds received from the 

client and their purpose, and all disbursements of earned fees and expenses 

incurred. As fees become earned, the lawyer must promptly transfer those funds 

to the operating account. If the lawyer pools client funds after settlement or 

verdict in a single Trust Account, the lawyer must maintain a ledger of receipts 

and disbursements for each individual client, regularly recording the dates of 

each transaction, the identity of payors and payees, and the purpose of each 

disbursement, withdrawal or transfer of funds. The requirement of monthly 

reconciliations should deter situations where an attorney’s Trust Account 

contains a shortfall for any significant period of time. Additionally, if a lawyer 

fails to maintain the records identified in paragraph (c) or to perform the required 

monthly reconciliations, later claims by the lawyer that a shortfall (i.e., 

misappropriation) resulted from negligence, even if credible, will necessarily be 

balanced against the lawyer’s abdication of responsibility to comply with 

essential requirements associated with acting as a fiduciary and serving in a 

position of trust. The failure to maintain or timely produce the records required 

by paragraph (c) hampers rule-mandated or agency-promulgated investigative 

inquiries by the Pennsylvania Lawyers Fund for Client Security and the Office of 

Disciplinary Counsel and may serve as a basis for emergency temporary

suspension of the lawyer’s license to practice law. See Pa.R.D.E. 208(f)(1), 

208(f)(5), 213(g)(2) and 221(g)(3). 

* * *

Rule 5.7 Responsibilities Regarding Nonlegal Services

* * *

Comment:

* * *

Providing Nonlegal Services that Are 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. In 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 that 
5

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 adhere 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 prohibitions and restrictions on dealing in investment products, and 

with Rules 7.1 through 7.3, dealing with advertising and solicitation.

* * *

Rule 5.8 Dealing in Investment Products: Prohibitions and Restrictions

(a) A lawyer shall not broker, offer to sell, sell, or place any investment 

product unless separately licensed to do so.

(b) A lawyer shall not recommend or offer an investment product to a 

client or any person with whom the lawyer has a fiduciary relationship, or invest 

funds belonging to such a person in an investment product, if the lawyer or a 

person related to the lawyer:

(1) has an interest in compensation paid or provided by a person 

other than the client or person with whom the lawyer has a fiduciary

relationship; or

(2) has an ownership interest in the entity that sponsors, insures, 

underwrites, manages, or issues the investment product. 

(c) For purposes of this Rule:

(1) the term “investment product” includes: an annuity contract; 

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, whether or not the security is registered with any federal or state 

securities regulator; or an investment adviser’s, bank’s, trust company’s, 

insurance company’s, or other financial institution’s service as an 

investment manager or investment adviser;

(2) “person related to the lawyer” includes a spouse, child, 

grandchild, parent, grandparent or other relative or individual with whom

the lawyer maintains a close familial relationship; and

(3) the term “ownership 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 registered under 

federal securities laws, and the lawyer’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 lawyer from brokering, offering to sell, 

selling, or placing any investment product, as defined in paragraph (c)(1), unless 

separately licensed to do so. Licensing and registration requirements vary by 

state. Before offering or selling any investment product in relation to the 

provision of legal services, a lawyer must consult all applicable federal and state 

laws to determine eligibility, licensing and regulatory requirements. Paragraph 

(a) neither addresses the giving of investment advice nor is intended to supplant 

or otherwise affect federal and state laws that either require licensing and 

registration in order to give investment advice or exempt lawyers 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 lawyer to 

control or unduly influence the use or management of the funds throughout the 

course of the investment. Clients who place their trust in their lawyer and 

assume or expect that the lawyer will protect them from harm are likely to feel 

deceived if substantial sums of money are lost on investments pursued at the 

lawyer’s recommendation or prompting and the lawyer or a person related to the 

lawyer either receives compensation or a pecuniary benefit from a person other 

than the client or has an ownership interest in the entity that sponsors, insures, 

underwrites, manages, or issues the investment product, even when the reason 

for the loss is limited to unexpected market conditions. The prohibition of 

paragraph (b) is not imputed to other lawyers in the lawyer’s firm or those 

lawyers’ relatives.

[3] This Rule applies to a lawyer under any circumstance—whether the 

lawyer is providing legal services, nonlegal services that are not distinct from 

legal services, or nonlegal services that are distinct from legal services. See Rule 

5.7(e) for the meaning of the term “nonlegal services.” The prohibition of 

paragraph (b) is in addition to the restrictions imposed by Rules 1.7(a)(2), 1.8(a) 

and 5.7. 
7

Annex 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 provision of the Disciplinary Board 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 paragraph, 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 to file with the Court a petition for review 

of the recommendation or determination of the Board shall be fourteen 

days after the entry of the Board’s recommendation or determination, and 

any answer or responsive pleading shall be filed within ten days 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 the 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 lawyer-Member of the Board[, but may be 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 filing a petition with the Board setting forth in detail the grounds for 

challenging the determination. The appealing party shall serve a copy of 

the petition on the non-appealing party by mail on the date that the 

appealing party files the appeal, and the non-appealing party shall have five 

business days after delivery to file a response. No attack on the validity of 

a subpoena will be considered by the Designated lawyer-Member of the 

Board unless previously raised before the hearing committee. The Board 

Member shall decide the appeal within five business days of the filing of 

the non-appealing party’s response, if any. There shall be no right of 

appeal to the Supreme Court. Any request for review shall not serve to 

stay any hearing or proceeding before the hearing committee or the Board 

unless the Court enters an order staying 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 review a determination under 

subdivision (d)(1) or (2) on the validity of a subpoena. No attack on the 

validity of a subpoena will be considered by the 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 not been finally quashed by either 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 secure the presence 

of the witness or the evidence within the witness’s custody or control, b) 

the testimony, records or other physical evidence of the witness will not be 

cumulative of other evidence available to the party, and c) the absence of 

the witness will substantially handicap the party from prosecuting or 

defending the charges, or from establishing a weighty aggravating or 

mitigating factor. If the object of a petition to enforce is a subpoena 

directed to the respondent-attorney for, in whole 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 Enforcement 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 has not 

produced the records, the Court shall issue upon the respondent-attorney 

a rule to show cause why the respondent-attorney should not be placed on 

temporary suspension 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 of a determination made under 

subdivision (d)(1) or (2) must set forth in detail the grounds for challenging 

the determination. Upon timely receipt of a petition for review, the Court 

shall issue a rule to show cause upon the party to the proceeding who is 

not challenging the determination, returnable within ten days, 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 Counsel or the Secretary of 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 aware that the submission of the 

resignation statement is irrevocable and that the attorney can only apply 

for reinstatement to the practice of law pursuant to the provisions of 

Enforcement Rule 218(b) and (c);

(6) the attorney is aware that pursuant to subdivision (c) of this 

Rule, the fact that the attorney has tendered his or her resignation shall 

become a matter of public record immediately upon delivery of the 

resignation statement to Disciplinary Counsel or the Secretary of the 

Board; 

(7) upon entry of the order disbarring the attorney on consent, the 

attorney will promptly comply with the notice, withdrawal, 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 compliance as required by

subdivision (e)(1) of Enforcement Rule 217; and

(9) the attorney is aware that the waiting period for eligibility to 

apply for reinstatement to the practice of law under Enforcement Rule 

218(b) shall not begin until the attorney files the verified statement of 

compliance required by Enforcement 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 date.

(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 has 

submitted a resignation statement to Disciplinary Counsel or the Secretary of the 

Board for filing with the Supreme Court shall become a matter of public record 

immediately upon delivery of the resignation statement to Disciplinary Counsel or 

the Secretary of 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 admitted attorneys. 

(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 this subdivision (a) may be delivered by

the most efficient method possible as long as the chosen method is successful 

and provides proof of receipt. At the time of the filing of the verified statement of 

compliance required by subdivision (e)(1) of this Rule, the formerly admitted 

attorney shall file copies of the notices required by this subdivision and proofs of 

receipt with the Secretary of the Board and shall serve a conforming copy on the 

Office of Disciplinary Counsel. See D.Bd. Rules § 91.91(b) (relating to filing of 

copies of notices).

Note: Notice may be accomplished, for example, by delivery 

in person with the lawyer securing a signed receipt, 

electronic mailing with some form of acknowledgement 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 this subdivision (b) may be 

delivered by the 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 admitted attorney shall file copies of 

the notices required by this subdivision and proofs of receipt with the Secretary 

of the Board and shall serve a conforming copy on 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 certified 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 other tribunal, court, agency or jurisdiction in which the 

attorney is admitted to practice.

The notice required by this subdivision (c) may be delivered by the 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 admitted attorney shall file copies of the notices required by this 

subdivision and proofs of receipt with the Secretary of the Board and shall serve 

a conforming copy on the Office of Disciplinary Counsel. 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 admitted attorney must 

promptly take under other 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 or implicitly convey eligibility to 

practice law in the state courts of Pennsylvania, including but not limited to 

professional titles, letterhead, business cards, signage, websites, and references 

to admission to the Pennsylvania Bar.

(3) In cases of disbarment, suspension for a period exceeding one year, 

temporary suspension 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, conservator, receiver, trustee, agent under a 

power of attorney, or other fiduciary position;

(ii) close every IOLTA, Trust, client and fiduciary account;

(iii) properly disburse or otherwise transfer all client and fiduciary

funds in his or her possession, custody or control; and

(iv) take all necessary steps to cancel or discontinue the next 

regular publication of all advertisements and telecommunication listings 

that expressly or implicitly convey eligibility to practice law in the state 

courts of Pennsylvania.

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 admitted attorney files the verified statement 

required by subdivision (e)(1) of this Rule.

Note: Paragraph (d)(3)(i) does not preclude a respondentattorney who voluntarily assumes inactive or retired status, is 

placed on administrative suspension, is temporarily

suspended under Enforcement Rule 214, or is suspended for 

one year or less, from completing existing appointments and 

accepting new appointments of the nature identified in 

paragraph (d)(3)(i). Nonetheless, in order to comply with 

subdivisions (a), (b) and (c) of this Rule, the formerly admitted 

attorney who desires to complete existing appointments or 

accept future appointments must give written notice of the 

formerly admitted attorney’s registration status or change in 

that status to appointing and supervising judges and courts, 

wards, heirs, beneficiaries, interested third parties, and other 

recipients of the formerly admitted attorney’s fiduciary 

services, as notice of the formerly admitted attorney’s otherthan-active status gives all interested parties an opportunity to 

consider replacing the formerly admitted attorney or enlisting 
14

a person other than the formerly admitted attorney to serve as 

the fiduciary in the first instance. Although the formerly 

admitted attorney would not be precluded by paragraph 

(d)(3)(ii) from continuing to use a fiduciary account registered 

with the bank as an IOLTA or Trust Account, paragraph (2) of 

subdivision (d) and paragraph (4)(iv) of subdivision (j) of this 

Rule prohibit the formerly admitted attorney from using or 

continuing to use account checks and deposit slips that 

contain the word “IOLTA,” “attorney,” “lawyer,” “esquire,” or 

similar appellation that could convey eligibility to practice in 

the state courts of Pennsylvania. Notwithstanding the specific 

prohibitions of subdivision (j) of this Rule, the formerly 

admitted attorney is authorized to perform those services 

necessary to carry out the appointment with the exception of 

any service that would constitute the unauthorized practice of 

law if engaged in by a nonlawyer. In relation to formerly

admitted attorneys who are disbarred, suspended for a period 

exceeding one year, temporarily suspended 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 disbarment, suspension, temporary

suspension, or disability inactive status, thereby precluding 

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 of the Board a verified statement [showing] and 

serve a copy on Disciplinary Counsel. In the verified statement, the formerly 

admitted attorney shall: 

[(1)] (i) aver 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 admitted attorney is admitted to practice[. 

Such statement shall also set forth the residence or other address of the 

formerly admitted attorney where communications to such person may

thereafter be directed.], aver that he or she has fully complied with the 

notice requirements of paragraph (3) of subdivision (c) of this Rule, 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 subdivisions (a), (b), and (c)(1) and (c)(2) of this Rule and proofs of 

receipt, or, in the alternative, aver that he or she has no clients, third 

persons to whom a fiduciary duty is owed, or persons with whom the 

formerly admitted attorney has professional contacts, to so notify;
15

(iv) in cases of disbarment or suspension for a period exceeding 

one year, aver that he or she has attached his or her attorney registration 

certificate for the current year, certificate of admission, any certificate of 

good standing issued by the Prothonotary, and any other certificate 

required by subdivision (h) of this Rule to be surrendered; or, in the 

alternative, aver 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 of 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 Pennsylvania 

practice; or, in the alternative, aver that he or she neither had nor employed 

any indicia of Pennsylvania practice; 

(vi) in cases of disbarment, suspension for a period exceeding one 

year, temporary suspension under Enforcement Rule 208(f) or 213(g), or 

disability inactive status under Enforcement Rule 216 or 301, aver 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, 

including resignation notices, evidence of the closing of accounts, copies 

of cancelled checks and other instruments demonstrating the proper 

distribution of client and fiduciary funds, and requests to cancel 

advertisements and telecommunication listings; or, in the alternative, aver 

that he or she has no applicable appointments, accounts, funds. 

advertisements, or telecommunication listings; 

(vii) aver that he or she has served a copy of the verified statement 

and its attachments on the Office of Disciplinary Counsel;

(viii) set forth the residence or other address where 

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 admitted attorney’s knowledge, 

information and belief, and are made subject to the penalties of 18 Pa.C.S. § 4904 

relating to unsworn falsification to authorities.

Note: A respondent-attorney who is placed on 

temporary suspension is required to comply with 

subdivision (e)(1) and file a verified statement. Upon the 

entry of 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 subdivision (e)(1) if the 

respondent-attorney has failed to file the initial 

statement. Although the grant of retroactivity is always 

discretionary, a respondent-attorney who 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 shall cooperate with Disciplinary 

Counsel and respond completely to questions by Disciplinary 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 year, the waiting period for eligibility to apply for reinstatement to 

the practice of law shall not begin until the formerly admitted attorney files the 

verified statement required by subdivision (e)(1) of this Rule. If the order of 

disbarment or suspension contains a provision that makes the discipline 

retroactive to an earlier date, the waiting period will be deemed to have begun on 

that earlier date.

Note: This 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 to apply for 

reinstatement to the practice of law shall not begin until the person files the 

verified statement required by subdivision (e)(1) of Enforcement Rule 217. If the 

order of disbarment contains a provision that makes the disbarment retroactive 
17

to an earlier date, the waiting period will be deemed to have begun on that earlier 

date. (See Note after Enforcement Rule 217(e)(3) for effective date of provisions 

relating to commencement of waiting period for eligibility to apply for 

reinstatement.) 

* * *

Rule 219. Annual registration of attorneys.

* * *

(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]Financial [i]Institution, 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 to 
18

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 

[lawyer] 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: If an attorney employed by a law firm receives 

fiduciary funds from or on behalf of a client and 

deposits or causes the funds to be deposited into a law 

firm account, the attorney must 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 over which the attorney 

had sole or shared signature authority or authorization to transfer 

funds to or from the account, during the same time period specified 

in subparagraph (iii). For each account, the attorney shall provide 

the name of the financial institution (whether or not the entity 

qualifies as a “Financial Institution” under Pa.R.P.C. 1.15(a)(4)), 

location, and account number.

(v) Every business operating account maintained or utilized 

by the attorney in the practice of law during the same time period 

specified in subparagraph (iii). For each account, the attorney shall 

provide the name of the financial institution, location and account 

number. 

[(iv)](vi) 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)](viii) 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 fulltime 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 annual 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 five years after 

termination of the client-lawyer or Fiduciary relationship or after distribution or 

disposition of the property, whichever is later, the writing required by Pa.R.P.C.

1.5 (relating to the requirement of a writing 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 

written 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 lawyer 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. The total of the trial balance must agree with the 

control figure computed by taking the beginning balance, adding the total 

of moneys received in trust for the client, and deducting the total of all 

moneys disbursed. On a monthly basis, a lawyer shall conduct a 

reconciliation for each fiduciary account. The reconciliation is not 

complete if the reconciled total cash balance does not agree with the total 
20

of the client balance listing. A lawyer shall preserve for a period 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 electronic, photographic, or other media provided that 

the records otherwise comply with this Rule and that printed copies can be 

produced. Whatever method is used to maintain required records must have a 

backup so that the records are secure and always available. 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 day on which entries have 

been entered into the records [on a separate electronic storage device]. 

(g) [The records required by this rule may be subject to subpoena and 

must be produced in connection with an investigation 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 lawyer and available for production to the Pennsylvania 

Lawyers Fund for Client Security and the Office of Disciplinary Counsel in a 

timely manner upon request or demand by either agency made pursuant to these 

Enforcement Rules, the Rules of the Board, the Pennsylvania Lawyers Fund for 

Client Security Board Rules and Regulations, agency practice, or subpoena.

(1) Upon a request by Disciplinary Counsel under this subdivision 

(g), which request may take the form of a letter to the respondent-attorney 

briefly stating the basis for the request and identifying the type and scope 

of the records sought to be produced, a respondent-attorney must produce 

the records within ten business days after personal service of the letter on 

the respondent-attorney or after the delivery of a copy of the letter to an 

employee, agent or other responsible person at the office of the 

respondent-attorney as determined by the address furnished by the 

respondent-attorney in the last registration statement filed by the 

respondent-attorney pursuant to Enforcement Rule 219(d), but if the latter 

method of service is unavailable, within ten business days after the date of 

mailing a copy of the letter to the last registered address or addresses set 

forth 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 records 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]Disciplinary [c]Counsel 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 subdivision (g) of this Rule or any

provision of the Disciplinary Board Rules. If at any time a hearing is held 

before the Board pursuant to 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 lawyer-Member of the Board shall be designated to preside over 

the hearing. 

Note: If Disciplinary Counsel files a petition for temporary 

suspension, the respondent-attorney will have an 

opportunity to raise at that time any claim of impropriety 

pertaining to the request or demand for records. 

* * *