Title: In Re: Amendments To The Rules Regulating The Florida Bar (Biannual Report) (Corrected Opinion Released 04/13/2012)
Citation: N/A
Docket Number: SC10-1967
State: Florida
Issuer: Florida Supreme Court
Date: April 12, 2012

Supreme Court of Florida 
 
 
____________ 
 
No. SC10-1967 
____________ 
 
 
IN RE: AMENDMENTS TO THE RULES REGULATING 
THE FLORIDA BAR (BIANNUAL REPORT). 
 
[April 12, 2012] 
 
PER CURIAM. 
 
This matter is before the Court on the petition of The Florida Bar proposing 
amendments to the Rules Regulating the Florida Bar (Bar Rules).1  See R. 
Regulating Fla. Bar 1-12.1.  We have jurisdiction.  See art. V, § 15, Fla. Const. 
 
The Bar’s petition proposes both new Bar rules and amendments to existing 
rules.  The proposals were approved by the Board of Governors, and formal notice 
of the proposed amendments was published in The Florida Bar News.  The notice 
directed interested parties to file their comments directly with the Court.  The 
Court received two comments.   
                                         
 
1.  The Bar’s petition is part of its Biannual Report proposing amendments 
to the Rules Regulating the Florida Bar.  We have already addressed the Bar’s 
petition proposing various ―housekeeping‖ amendments to the Bar Rules.  See In 
re Amendments to Rules Regulating the Fla. Bar (Biannual Report Housekeeping), 
67 So. 3d 1037 (Fla. 2011).   
 
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The Bar proposes amendments to the following Rules Regulating the Florida 
Bar: 1-3.3 (Official Bar Name and Address); 1-3.5 (Retirement); 1-3.6 (Delinquent 
Members); 1-3.7 (Reinstatement to Membership); 1-3.10 (Appearance by Non-
Florida Lawyer in a Florida Court); 1-8.4 (Clients’ Security Fund); 1-12.1 
(Amendment to Rules; Authority; Notice; Procedures; Comments); 3-5.1 
(Generally); 3-5.2 (Emergency Suspension and Interim Probation); 3-6.1 
(Generally); 3-7.7 (Procedures Before Supreme Court of Florida); 3-7.9 (Consent 
Judgment); 3-7.10 (Reinstatement and Readmission Procedures); 3-7.13 
(Incapacity Not Related to Misconduct); 4-1.5 (Fees and Costs for Legal Services); 
4-5.5 (Unlicensed Practice of Law; Multijurisdictional Practice of Law); 4-8.3 
(Reporting Professional Misconduct); 5-1.2 (Trust Accounting Records and 
Procedures); 6-3.2 (Certification Committees); 6-3.6 (Recertification); 6-3.11 
(Fees); 10-2.1 (Generally); 14-1.2 (Jurisdiction); 14-6.1 (Binding Nature; 
Enforcement; and Effect of Failure to Pay Award); 20-2.1 (Generally); 20-4.1 
(Generally); and 20-5.1 (Generally).  It also proposes four new rules: 1-3.12 
(Provision of Legal Services Following Determination of Major Disaster); 3-7.12 
(Disciplinary Revocation from The Florida Bar); 6-3.8 (Board Certified Judicial 
Fellow);2 10-2.2 (Form Completion by a Nonlawyer).  After considering the Bar’s 
                                         
 
2.  Because the Bar proposed new rule 6-3.8, it also proposed renumbering 
existing rule 6-3.8 (Revocation of Certification), as well as rules 6-3.9 (Manner of 
Certification); 6-3.10 (Right of Appeal); 6-3.11 (Fees); 6-3.12 (Confidentiality); 
 
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petition, the comments on the proposals, and the issues discussed at oral argument, 
we adopt the Bar’s amendments as proposed with the following exceptions. 
 
First, the Bar proposes amendments to rule 1-3.5 (Retirement) to specifically 
authorize permanent retirement from the Bar.  It also recommends related 
amendments to rule 1-3.7 (Reinstatement to Membership), which would provide 
that members who have permanently retired are not eligible to seek reinstatement 
under the rule, but may seek readmission through application to the Florida Board 
of Bar Examiners.  While we adopt these amendments to the extent they allow 
members to seek permanent retirement, we have modified the Bar’s proposal to 
make clear that any member granted permanent retirement is thereafter ineligible 
to seek reinstatement or readmission to the Bar. 
 
Next, the Bar proposes new rule 1-3.12 (Provision of Legal Services 
Following Determination of Major Disaster).  This rule would allow lawyers from 
other jurisdictions to practice in Florida on a limited basis following a natural 
disaster.  Because we have concerns about how this rule would apply, we decline 
to adopt it.  We also do not adopt proposed amendments to rule 4-5.5 (Unlicensed 
Practice of Law; Multijurisdictional Practice of Law), which would provide that 
lawyers authorized to practice law in another United States jurisdiction may 
                                                                                                                                   
and 6-3.13 (Amendments).  However, as discussed herein, we decline to adopt new 
rule 6-3.8.  Thus, we also do not adopt the renumbering. 
 
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provide legal services in Florida in accordance with rule 1-3.12.  However, we 
adopt technical revisions to rule 4-5.5 as proposed. 
 
Additionally, we have modified the Bar’s proposed amendments to rule 
1-12.1 (Amendment to Rules; Authority; Notice; Procedures; Comments) to reflect 
that notices of proposed Board action, notices of the Bar’s intent to file a petition 
to amend Bar rules, and notices of final action of the Supreme Court shall be 
published in an edition of The Florida Bar News and on the Bar’s website. 
 
With respect to rule 4-1.5 (Fees and Costs for Legal Services), the Bar 
proposes new subdivision (f)(4)(E) and related commentary addressing 
subrogation and lien resolution services in contingent fee cases.  This subdivision 
would provide that a lawyer in a personal injury or wrongful death case charging a 
contingent fee must include in the fee contract information about the scope of the 
lawyer’s representation relating to subrogation and lien resolution services; the rule 
would also provide that some medical lien and subrogation claims may be referred 
to another attorney for resolution with the client’s informed consent.  The Court 
received one comment addressed to this proposal.  After considering the concerns 
raised in the comment and the discussion at oral argument, we decline to adopt 
new subdivision (f)(4)(E).  Indeed, we take this opportunity to clarify that lawyers 
representing a client in a personal injury, wrongful death, or other such case 
charging a contingent fee should, as part of the representation, also represent the 
 
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client in resolving medical liens and subrogation claims related to the underlying 
case.  Other technical corrections to rule 4-1.5 are adopted as proposed. 
 
The Bar proposes a number of changes to rule 5-1.2 (Trust Accounting 
Records and Procedures).  The most controversial of its proposals is new 
subdivision (d) (Signing Trust Account Checks), which would require that a 
lawyer sign every trust account check with his or her actual signature, and would 
prohibit lawyers from using a signature stamp or signing a trust account check in 
blank.  Both the Bar and the Court received comments addressed to this proposal.  
In general, the comments assert that the proposed rule imposes a significant and 
disproportionate burden on lawyers who practice solo or in very small firms.  We 
believe the commentors have raised some legitimate concerns.  Accordingly, we 
decline to adopt subdivision (d) at this time, and instead refer the matter back to 
the Bar for additional study.  In particular, the Bar should revise its proposal so as 
to accommodate the issues raised by solo practitioners and lawyers in small firms.  
The other amendments to rule 5-1.2 are adopted as proposed.  The Bar’s proposed 
new subdivision (e) (Electronic Wire Transfer) will be labeled subdivision (d); the 
subsequent subdivisions in the rule are relettered accordingly. 
 
We decline to adopt proposed new rule 6-3.8 (Board Certified Judicial 
Fellow) which would create a new designation—―Board Certified Judicial 
Fellow‖—for board certified lawyers appointed or elected to serve in a judicial 
 
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office.  We also do not adopt the related amendments to rule 6-3.11 (Fees), which 
would have created a ―Judicial Fellow Annual Fee‖ applicable to Board Certified 
Judicial Fellows.  
 
Finally, the Bar proposes new rule 10-2.2 (Rules Governing the 
Investigation and Prosecution of the Unlicensed Practice of Law; Form 
Completion by a Nonlawyer) to clarify and define the unlicensed practice of law 
when a nonlawyer is engaged in assisting self-represented litigants to complete 
legal forms.  Although we adopt this rule, we have modified the Bar’s proposal to 
eliminate language that would allow a nonlawyer to sell legal forms and kits. 
 
Accordingly, the Court adopts the amendments to the Rules Regulating the 
Florida Bar as set forth in the appendix to this opinion.  New language is indicated 
by underscoring; deletions are indicated by struck-through type.  The comments 
are offered for explanation and guidance only and are not adopted as an official 
part of the rules. The amendments shall become effective on April 1, 2011, at 
12:01 a.m. 
It is so ordered. 
LEWIS, POLSTON, LABARGA, and PERRY, JJ., concur. 
CANADY, C.J., concurs in part and dissents in part with an opinion. 
PARIENTE, J., concurs in part and dissents in part with an opinion. 
QUINCE, J., concurs in part and dissents in part with an opinion, in which 
PARIENTE, J., concurs. 
 
THE FILING OF A MOTION FOR REHEARING SHALL NOT ALTER THE 
EFFECTIVE DATE OF THESE AMENDMENTS. 
 
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CANADY, C.J., concurring in part and dissenting in part. 
 
I concur in the majority opinion, except for that portion of the opinion 
relating to Rule Regulating the Florida Bar 1-12.1.  I would approve the 
amendment to rule 1-12.1 proposed by the Bar to permit notice of the proposed 
action of the Board of Governors of The Florida Bar on a proposed rule 
amendment to be given either in The Florida Bar News or on The Florida Bar 
website. 
 
 
 
PARIENTE, J., concurring in part and dissenting in part. 
 
I agree with the entirety of the majority’s opinion with two exceptions that I 
write to explain.  I also discuss the amendments to rule 1-12.1 addressing the 
publication of Bar rule amendments, which are the subject of Chief Justice 
Canady’s separate dissent.  First, I disagree with the majority’s rejection of 
proposed rule 1-3.12, Provision of Legal Services Following Determination of 
Major Disaster.  This rule would apply only to allow temporary pro bono practice 
in Florida following a major disaster.  The rule gives authority to the Florida 
Supreme Court to determine when an emergency or natural disaster has had an 
impact on the justice system, so this Court makes the threshold determination of 
whether there is even a need for out-of-state pro bono legal services assistance.  As 
 
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an additional safeguard, the rule provides that the provision of legal services must 
be undertaken through, and supervised by, a pro bono or legal services program or 
not-for-profit bar association.  Although the majority states it has ―concerns‖ about 
how the rule would apply, majority op. at 3, it does not articulate those concerns or 
give the Bar an opportunity to address the rule.  I would adopt the proposed rule. 
My second point of disagreement is with the majority’s rejection of the 
proposed amendment to rule 5-1.2 (Trust Accounting Records and Procedures) 
requiring that a lawyer actually sign his or her own trust account checks rather than 
using a signature stamp or allowing nonlawyer employees to sign checks.  The Bar 
explains that these amendments will help protect the public from costly mistakes 
and from misappropriation of trust funds caused by careless or improper practices.  
I certainly understand the concerns raised by solo practitioners, but in my view, the 
need to protect the public outweighs those concerns.  Although we certainly see far 
too many instances of lawyers stealing from their trust accounts, I believe this 
additional protection is one that is reasonable and in furtherance of our goal of 
protecting the public.  For that reason, I would adopt the proposed amendment to 
rule 5-1.2 along with the other amendments to the rule. 
Lastly, I address the Bar’s proposed amendment to rule 1-12.1, which this 
Court rejects.  The proposed amendment would apply only to the process by which 
the Bar amends its rules and would allow notice of all of the Bar rule amendments 
 
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on its website in lieu of publication in The Florida Bar News.  The rule amendment 
adopted by the majority opinion requires publication in both places.  Currently, the 
Bar’s petitions to amend rules, along with the full text of amendments, are 
published on the Court’s website at the time the motion to amend is filed, so it does 
seem that there is no reason for the full text of the proposed amendments to also 
appear in The Florida Bar News. 
Although I understand the Bar’s position that filing rule amendments in The 
Florida Bar News creates printer deadline problems and cumbersome space 
requirements, the problem is that members of the Bar would not be on notice that 
Bar rule amendments are being made.  A possible solution to the space 
requirement could be to allow the Bar to publish an abbreviated notice and 
summary and then refer interested parties to both the Bar’s website and the Court’s 
website.  Further, since currently all of the Bar’s rules committees are required to 
publish their proposals in The Florida Bar News as well as on the Bar’s website, 
there would be an inconsistency in how the rule amendments are handled with the 
potential for further confusion.  See Fla. R. Jud. Admin. 2.140(b)(2).  I encourage 
the Bar to look at this issue again, in conjunction with procedures for other rule 
amendments, and consider an alternative proposal that would address the issue of 
notice but also allow for increased use of the internet. 
 
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Accordingly, for the reasons stated above, I concur in part and dissent in 
part. 
 
 
 
QUINCE, J., concurring in part and dissenting in part. 
 
 
I agree with many of the changes to the rules with the exception of the 
majority’s rejection of proposed new rule 5-1.2(d).  This rule would require a 
lawyer to actually sign his or her trust account checks and not leave that to 
nonlawyers or have someone use a signature stamp.  We have seen a number of 
cases during my tenure on this court where the lawyer has alleged that missing 
money was taken by an employee, albeit a trusted employee.  While such a 
requirement might be inconvenient in some circumstances, I believe it is a small 
price to pay for further protection of the public.  Therefore, I would require that 
trust account checks be signed by the lawyer. 
PARIENTE, J., concurs. 
 
 
 
Original Proceeding – The Florida Bar Rules Committee 
 
John G. Harkness, Jr., Executive Director, Elizabeth Clark Tarbert, Ethics Counsel,  
Ralph Artigliere, Floyd Benjamin Faglie, and Lori S. Holcomb, The Florida Bar, 
Tallahassee, Florida, and Andrew B. Sasso of Sasso and Bodolay, P.A., 
Clearwater, Florida, 
 
 
for Petitioner 
 
 
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Timothy P. Chinaris, Montgomery, Alabama; Henry G. Gyden and Dale Swope of 
Swope, Rodante, P.A., Tampa, Florida; 
 
 
Responding with Comments 
 
 
 
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Appendix 
 
 
RULE 1-3.3. 
OFFICIAL BAR NAME AND ADDRESSCONTACT 
INFORMATION 
 
(a) 
Designation.  Each member of The Florida Bar shall designate an 
official bar name, mailing address, and business telephone number, and business e-
mail address, if the member has one.  If the address given is not the physical 
location or street address of the principal place of employment, then such 
information shall also be given.If the physical location or street address is not the 
principal place of employment, the member must also provide an address for the 
principal place of employment. 
 
(b) 
Changes.  Each member shall promptly notify the executive director 
of any changes in any information required by this rule.  The official bar name of 
each member of The Florida Bar shall be used in the course of the member's 
practice of law.  A change in official bar name may be made only upon request to 
and approval ofMembers may change their official bar name by sending a request 
to the Supreme Court of Florida.  The court must approve all official bar name 
changes. 
 
 
 
RULE 1-3.5. 
RETIREMENT 
 
Any member of The Florida Bar may retire from The Florida Bar upon 
petition or other written request to, and approval of, the executive director. A 
retired member shall not practice law in this state except upon petition for 
reinstatement to, and approval of, the executive director; the payment of all 
membership fees, costs, or other amounts owed to The Florida Bar; and the 
completion of all outstanding continuing legal education or basic skills course 
requirements. A member who seeks and is approved to permanently retire shall not 
be eligible for reinstatement or readmission.  A retired member shall be entitled to 
receive such other privileges as the board of governors may authorize. 
 
A retired member shall remain subject to disciplinary action for acts 
committed before the effective date of retirement. Acts committed after retirement 
may be considered in evaluating the member's fitness to resume the practice of law 
in Florida as elsewhere stated in these Rules Regulating The Florida Bar. 
 
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If the executive director is in doubt as to disposition of a petition, the 
executive director may refer the petition to the board of governors for its action. 
Action of the executive director or board of governors denying a petition for 
retirement or reinstatement hereunderfrom retirement may be reviewed upon 
petition to the Supreme Court of Florida. 
 
 
 
RULE 1-3.6. 
DELINQUENT MEMBERS 
 
Any person now or hereafter licensed to practice law in Florida shall be 
deemed a delinquent member if the member: 
 
(a) – (c) 
[No Change] 
 
(d) 
fails to make restitution imposed in diversion cases or disciplinary 
proceedings within the time specified in the order in such cases or proceedings, 
unless the time is extended by the board of governors for good cause shown; 
 
(e) 
[No Change] 
 
(f) 
fails to pay an award entered in fee arbitration proceedings conducted 
under the authority stated elsewhere in these rules and 30 days or more have 
elapsed since the date on which the award became final, unless such time is 
extended by the board of governors for good cause shown. 
 
Delinquent members shall not engage in the practice of law in Florida nor be 
entitled to any privileges and benefits accorded to members of The Florida Bar in 
good standing. 
 
 
 
RULE 1-3.7. 
REINSTATEMENT TO MEMBERSHIP 
 
(a) – (d) 
[No Change] 
 
(e) 
Members Who Have Permanently Retired.  Members who have 
permanently retired shall not be reinstated under this rule. 
 
 
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(ef) 
Members Delinquent 60 Days or Less.  Reinstatement from 
membership fees delinquency accomplished within 60 days from the date of 
delinquency shall be deemed to relate back to the date before the delinquency.  
Any member reinstated within the 60-day period shall not be subject to 
disciplinary sanction for practicing law in Florida during that time. 
 
(fg) 
Inactive Members.  Inactive members may be reinstated to 
membership in good standing by petition filed with the executive director, in the 
form and as provided in (b) above, except: 
 
(1) – (3) 
[No Change] 
 
 
 
RULE 1-3.10. 
APPEARANCE BY NON-FLORIDA LAWYER IN A 
FLORIDA COURT 
 
(a) – (c) 
[No Change] 
 
 
Comment 
 
Subdivision (a)(2) defines and prohibits the general practice before Florida 
courts by non-Florida lawyers.  For purposes of this rule, an ―appearance‖ means 
the initial or first appearance by that non-Florida lawyer in a case pending in a 
Florida court, and includes appearing in person or by telephone in court or filing a 
pleading, motion or other document with the court.  A non-Florida lawyer making 
an appearance in a Florida court is required to comply with rule 2.510 of the 
Florida Rules of Judicial Administration.   
 
This rule does not prohibit a non-Florida lawyer from participating in more 
than 3 cases during any 365-day period; instead, it prohibits a non-Florida lawyer 
from making an initial or first appearance in more than 3 cases during any 365-day 
period. 
 
Example:  The following example illustrates the application of this rule to a 
non-Florida lawyer’s appearances.  Assume for this example that a lawyer licensed 
to practice in Georgia only has been admitted pro hac vice pursuant to Fla. R. Jud. 
Admin. 2.510 in 3 separate Florida cases on the following dates:  January 10, 2008; 
February 3, 2008; and February 20, 2008. 
 
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(1) 
In this example, the lawyer would be prohibited from seeking to 
appear pro hac vice under Fla. R. Jud. Admin. 2.510 in another separate 
representation until the expiration of the 365-day period from his or her oldest of 
the 3 appearances (i.e., until January 10, 2009).  
 
(2) 
In this example, the lawyer would be permitted under this rule 
to seek to appear pro hac vice in a new case on January 10, 2009 even if the 3 
cases in which he or she made an appearance are still active. 
 
(3) 
In this example, the lawyer could seek to appear pro hac vice in 
yet another new case on February 3, 2009.  The fact that the lawyer’s cases in 
which he or she appeared on January 10, 2008, February 3, 2008, February 20, 
2008, and January 1, 2009 are still active would not prohibit that lawyer from 
seeking to appear in the new case on February 3, 2009, because, as of that date, the 
lawyer would have only made an initial appearance in 2 prior cases within that 
preceding 365-day period (i.e., on February 20, 2008 and January 1, 2009).  Thus, 
under this rule, a non-Florida lawyer could have pending more than 3 cases for 
which he or she has appeared at any given time, as the restriction on general 
practice relates to the making of an initial appearance within a 365-day period and 
not to whether any such case is still active following the expiration of 365 days. 
 
(4) 
Similarly, in the above example, if the non-Florida lawyer’s 3 
cases are all resolved by April 1, 2008, that lawyer would still be prohibited from 
seeking to make a new appearance until the expiration of the oldest of the 3 prior 
appearances (i.e., until January 10, 2009).  
 
The purpose of this comment is to explain what constitutes an ―appearance‖ 
under this rule and how to calculate the number of appearances in any 365-day 
period.  This comment and the rule itself do not require a Florida court to grant any 
specific request to appear under Fla. R. Jud. Admin. 2.510 if the non-Florida 
lawyer meets the requirements of subdivision (a)(2).  In all such cases, the decision 
of whether a non-Florida lawyer may appear in a case under Fla. R. Jud. Admin. 
2.510 is within the discretion of the court. 
 
This rule is not applicable to appearances in federal courts sitting in Florida, 
as appearances before each of those courts are regulated by the rules applicable to 
those courts.  Further, an appearance in a federal court sitting in Florida does not 
constitute an ―appearance‖ as contemplated by subdivision (a)(2), because 
subdivision (a)(2) applies only to appearances before Florida state courts. 
 
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RULE 1-8.4. 
CLIENTS’ SECURITY FUND 
 
The board of governors may provide monetary relief to persons who suffer 
reimbursable losses as a result of misappropriation, embezzlement, or other 
wrongful taking or conversion by a member of The Florida Bar of money or other 
property that comes into the member's possession or control, all in accordance with 
chapter 7. 
 
 
 
RULE 1-12.1. 
AMENDMENT TO RULES; AUTHORITY; NOTICE; 
PROCEDURES; COMMENTS 
 
(a) – (c) 
[No Change] 
 
(d) 
Notice of Proposed Board Action.  Notice of the proposed action of 
the board on a proposed amendment shall be given in an edition of The Florida Bar 
News and on The Florida Bar website that is published prior to the meeting of the 
board at which the board action is taken.  The notice shall identify the rule(s) to be 
amended and shall state in general terms the nature of the proposed amendments. 
 
(e) – (f) 
[No Change] 
 
(g) Notice of Intent to File Petition.  Notice of intent to file a petition to 
amend these Rules Regulating The Florida Bar shall be published in The Florida 
Bar News and on The Florida Bar website at least 30 days before the filing of the 
petition.  The notice shall set forth the text of the proposed amendments, state the 
date the petition will be filed, and state that any comments or objections must be 
filed within 30 days of filing the petition.  A copy of all comments or objections 
shall be served on the executive director of The Florida Bar and any persons who 
may have made an appearance in the matter. 
 
(h) 
Action by the Supreme Court of Florida.  The court shall review all 
proposed amendments filed under this rule and such amendments shall not become 
effective until an order is issued approving them.  Final action of the court shall be 
reported in The Florida Bar News and on The Florida Bar website. 
 
 
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(i) 
[No Change] 
 
 
 
RULE 3-5.1. 
GENERALLY 
 
A judgment entered, finding a member of The Florida Bar guilty of 
misconduct, shall include one or more of the following disciplinary measures: 
 
(a) – (b) 
[No Change] 
 
(c) 
Probation.  The respondent may be placed on probation for a stated 
period of time of not less than 6 months nor more than 35 years or for an indefinite 
period determined by conditions stated in the order.  The judgment shall state the 
conditions of the probation, which may include but are not limited to the 
following: 
 
(1) 
completion of a practice and professionalism enhancement 
program as provided elsewhere in these rules; 
 
(2) 
supervision of all or part of the respondent's work by a member 
of The Florida Bar; 
 
(3) 
the making of reports to a designated agency; 
 
(4) 
the satisfactory completion of a course of study or a paper on 
legal ethics approved by the Supreme Court of Florida; 
 
(5) 
such supervision over fees and trust accounts as the court may 
direct; or 
 
(6) 
restrictions on the ability to advertise legal services, either in 
type of advertisement or a general prohibition for a stated period of time, in cases 
in which rules regulating advertising have been violated or the legal representation 
in which the misconduct occurred was obtained by advertising. 
 
The respondent will reimburse the bar for the costs of supervision.  Upon 
failure of a respondent to comply with the conditions of the probation or a finding 
of probable cause as to conduct of the respondent committed during the period of 
probation, the respondent may be punished for contempt on petition by The Florida 
 
- 18 - 
Bar, as provided elsewhere in these Rules Regulating The Florida Bar.  An order of 
the court imposing sanctions for contempt under this rule may also terminate the 
probation previously imposed. 
 
(d) – (f) 
[No Change] 
 
(g)  Disciplinary Revocation.  A disciplinary revocation is tantamount to a 
disbarment.  A respondent may petition for disciplinary revocation in lieu of 
defending against allegations of disciplinary violations.  If accepted by the 
Supreme Court of Florida, a disciplinary revocation terminates the respondent’s 
status as a member of the bar.  A former bar member whose disciplinary revocation 
has been accepted may only be admitted again upon full compliance with the rules 
and regulations governing admission to the bar.  Like disbarment, disciplinary 
revocation terminates the respondent’s license and privilege to practice law and 
requires readmission to practice under the Rules of the Supreme Court Relating to 
Admissions to the Bar.  No application for readmission may be tendered until the 
later of  5 years after the date of the order of the Supreme Court of Florida granting 
the petition for disciplinary revocation, or such other period of time in excess of 5 
years contained in said order. 
 
(gh) Notice to Clients.  Upon service on the respondent of an order of 
disbarment, disbarment on consent, disciplinary revocation, suspension, emergency 
suspension, emergency probation, or placement on the inactive list for incapacity 
not related to misconduct, the respondent shall, unless this requirement is waived 
or modified in the court's order, forthwith furnish a copy of the order to: 
 
(1) 
all of the respondent's clients with matters pending in the 
respondent's practice; 
 
(2) 
all opposing counsel or co-counsel in the matters listed in (1), 
above; and 
 
(3) 
all courts, tribunals, or adjudicative agencies before which the 
respondent is counsel of record. 
 
Within 30 days after service of the order the respondent shall furnish bar 
counsel with a sworn affidavit listing the names and addresses of all persons and 
entities that have been furnished copies of the order. 
 
 
- 19 - 
(hi) 
Forfeiture of Fees.  An order of the Supreme Court of Florida or a 
report of minor misconduct adjudicating a respondent guilty of entering into, 
charging, or collecting a fee prohibited by the Rules Regulating The Florida Bar 
may order the respondent to forfeit the fee or any part thereof.  In the case of a 
clearly excessive fee, the excessive amount of the fee may be ordered returned to 
the client, and a fee otherwise prohibited by the Rules Regulating The Florida Bar 
may be ordered forfeited to The Florida Bar Clients' Security Fund and disbursed 
in accordance with its rules and regulations. 
 
(ij) 
Restitution.  In addition to any of the foregoing disciplinary sanctions 
and any disciplinary sanctions authorized elsewhere in these rules, the respondent 
may be ordered or agree to pay restitution to a complainant or other person if the 
disciplinary order finds that the respondent has received a clearly excessive, illegal, 
or prohibited fee or that the respondent has converted trust funds or property.  In 
such instances the amount of restitution shall be specifically set forth in the 
disciplinary order or agreement and shall not exceed the amount by which a fee is 
clearly excessive, in the case of a prohibited or illegal fee shall not exceed the 
amount of such fee, or in the case of conversion shall not exceed the amount of the 
conversion established in disciplinary proceedings.  The disciplinary order or 
agreement shall also state to whom restitution shall be made and the date by which 
it shall be completed.  Failure to comply with the order or agreement shall not 
preclude further proceedings under these rules. 
 
(j) 
Disbarment on Consent.  A respondent may surrender membership 
in The Florida Bar in lieu of defending against allegations of disciplinary 
violations by agreeing to disbarment on consent.  Disbarment on consent shall have 
the same effect as and shall be governed by the same rules as provided for 
disbarment elsewhere in these Rules Regulating The Florida Bar. 
 
Matters involving disbarment on consent shall be processed in the same 
manner as conditional guilty pleas for consent judgments as provided elsewhere in 
these Rules Regulating The Florida Bar. 
 
 
 
RULE 3-5.2. 
EMERGENCY SUSPENSION AND INTERIM 
PROBATION OR INTERIM PLACEMENT ON THE 
INACTIVE LIST FOR INCAPACITY NOT RELATED 
TO MISCONDUCT 
 
 
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(a) 
Petition for Emergency Suspension. 
 
(1) 
Great Public Harm.  On petition of The Florida Bar, authorized 
by its president, president-elect, or executive director, supported by 1 or more 
affidavits demonstrating facts personally known to the affiants that, if unrebutted, 
would establish clearly and convincingly that an attorney appears to be causing 
great public harm, the Supreme Court of Florida may issue an order suspending 
said attorney on an emergency basis. 
 
(2)  Discipline by Foreign Jurisdiction.  On petition of The Florida 
Bar, authorized by its president, president-elect, or executive director, supported by 
a certified copy of an order of a foreign disciplinary jurisdiction suspending or 
disbarring an attorney from the practice of law, the Supreme Court of Florida may 
issue an order suspending the attorney on an emergency basis.  See subdivision (l) 
of rule 3-7.2. 
 
A petition for emergency suspension shall also constitute a formal 
complaint.  The respondent shall have 20 days after docketing by the Supreme 
Court of Florida of its order granting the bar’s petition for emergency suspension 
in which to file an answer and any affirmative defenses to the bar’s petition. 
 
(b) Petition for Interim Probation or Interim Placement on the 
Inactive List for Incapacity Not Related to Misconduct.  On petition of The 
Florida Bar, authorized by its president, president-elect, or executive director, 
supported by 1 or more affidavits demonstrating facts personally known to the 
affiants that, if unrebutted, would establish clearly and convincingly that 
conditions or restrictions on ana attorneylawyer’s privilege to practice law in 
Florida are necessary for protection of the public, the Supreme Court of Florida 
may issue an order placing said attorneylawyer on interim probation, the 
conditions of which shall be as provided in rule 3-5.1(c); or placing the lawyer on 
the inactive list for incapacity not related to misconduct as provided in rule 3-7.13.  
This petition shall also constitute the formal complaint.  The respondent shall have 
20 days after docketing by the Supreme Court of Florida of its order granting the 
bar’s petition for interim probation in which to file an answer and any affirmative 
defenses to the bar’s petition. 
 
(c) – (d) 
[No Change] 
 
(e) 
Filing of Formal Complaints.  The Florida Bar shall file a formal 
complaint within 60 days of the emergency order, without the necessity of a 
 
- 21 - 
finding of probable cause by either a grievance committee or the board of 
governors. 
 
(fe) 
Motions for Dissolution.  (1) The attorneylawyer may move at any 
time for dissolution or amendment of an emergency order by motion filed with the 
Supreme Court of Florida, a copy of which will be served on bar counsel.  Such 
motion shall not stay any other proceedings and applicable time limitations in the 
case and, unless the motion fails to state good cause or is procedurally barred as an 
invalid successive motion, shall immediately be assigned to a referee designated by 
the chief justice.  The filing of such motion shall not stay the operation of an order 
of emergency suspension or interim probation entered under this rule. 
 
(f) 
Appointment of Referee.  Upon entry of an order of suspension or 
interim probation, as provided above, the Supreme Court of Florida shall promptly 
appoint or direct the appointment of a referee. 
 
(2g) Hearing on Petition to Terminate or Modify Suspension.   The 
referee shall hear sucha motion to terminate or modify a suspension or interim 
probation imposed under this rule within 7 days of assignment, or a shorter time if 
practicable, and submit a report and recommendation to the Supreme Court of 
Florida within 7 days of the date of the hearing, or a shorter time if practicable.  
The referee shall recommend dissolution or amendment, whichever is appropriate, 
to the extent that bar counsel cannot demonstrate a likelihood of prevailing on the 
merits on any element of the underlying complaintrule violations. 
 
(3h) Successive Motions Prohibited.  Successive motions for dissolution 
shall be summarily dismissed by the supreme courtSupreme Court of Florida to the 
extent that they raise issues that were or with due diligence could have been raised 
in a prior motion. 
 
(4i) 
Review by the Supreme Court of Florida.  Upon receipt of the 
referee's recommended order on the motion for dissolution or amendment, the 
supreme courtSupreme Court of Florida shall review and act upon the referee's 
findings and recommendations. 
 
(gj) 
Hearings on Formal ComplaintsIssues Raised in Petitions for 
Emergency Suspension or Interim Probation and Sanctions.  Upon the filing of 
a formal complaintOnce the Supreme Court of Florida has granted a petition for 
emergency suspension or interim probation as set forth in this rule, based on 
charges supporting an emergency order, the chief justice shall appoint a referee to 
 
- 22 - 
the referee appointed by the court shall hear the matter in the same manner as 
provided in rule 3-7.6, except that the referee shall hear the matter after the lawyer 
charged shall have answered the charges in the petition for emergency suspension 
or interim probation or when the time has expired for filing an answer. and The 
referee shall issue a final report and recommendation within 90 days of 
appointment.  This time limit shall apply only to trials on complaints in connection 
with which an emergency suspension or interim probation is in effect.  If the time 
limit specified in this subdivision is not met, that portion of an emergency order 
imposing a suspension or interim probation shall be automatically dissolved, 
except upon order of the supreme courtSupreme Court of Florida, upon showing of 
good cause, provided that any other appropriate disciplinary action on the 
underlying conduct still may be taken. 
 
(hk) Proceedings in the Supreme Court of Florida.  Consideration of the 
referee's report and recommendation shall be expedited in the supreme 
courtSupreme Court of Florida.  If oral argument is granted, the chief justice shall 
schedule oral argument as soon as practicable. 
 
(il) 
Waiver of Time Limits.  RThe respondent may at any time waive the 
time requirements set forth in this rule by written request made to and approved by 
the referee assigned to hear the matter. 
 
 
 
RULE 3-6.1. 
GENERALLY 
 
(a) 
Authorization and Application.  Except as limited in this rule, 
persons or entities providing legal services may employ suspended 
attorneyslawyers and former attorneyslawyers who have been disbarred or whose 
disciplinary resignations or disciplinary revocations have been allowedgranted by 
the Florida Supreme Court [for purposes of this rule such attorneyslawyers and 
former attorneyslawyers are referred to as ―individual(s) subject to this rule‖] to 
perform those services that may ethically be performed by nonlawyers employed 
by authorized business entities. 
 
An individual subject to this rule shall be considered as employed by an 
entity providing legal services if the individual is a salaried or hourly employee, 
volunteer worker, or an independent contractor providing services to the entity. 
 
 
- 23 - 
(b) 
Employment by Former Subordinates Prohibited for a Period of 3 
Years.  An individual subject to this rule may not, for a period of 3 years from the 
entry of the order pursuant to which the suspension, disciplinary resignation, 
disciplinary revocation, or disbarment became effective, or until the individual is 
reinstated or readmitted to the practice of law, whichever occurs sooner, be 
employed by or work under the supervision of another attorneylawyer who was 
supervised by the individual at the time of or subsequent to the acts giving rise to 
the order. 
 
(c) – (e) 
[No Change] 
 
 
 
RULE 3-7.7. 
PROCEDURES BEFORE SUPREME COURT OF 
FLORIDA 
 
All reports of a referee and all judgments entered in proceedings under these 
rules shall be subject to review by the Supreme Court of Florida in the following 
manner: 
 
(a) – (b) 
[No Change] 
 
(c) 
Procedure for Review.  Review by the Supreme Court of Florida 
shall be in accordance with the following procedures: 
 
(1) 
Time for ReviewNotice of Intent to Seek Review of Report of 
Referee.  Proceedings for review shall be commencedA party to a bar disciplinary 
proceeding wishing to seek review of a report of referee shall give notice of such 
intent within 60 days of the date on which the referee serves a copy of the referee 
report on the respondent and The Florida Barreferee’s report is docketed by the 
Clerk of the Supreme Court of Florida.  Prompt written notice of the board’s 
action, if any, shall be communicated to the respondent.  The proceeding shall be 
commenced by filing with the Supreme Court of Florida a petition fornotice of 
intent to seek review of a report of referee, specifying those portions of the report 
of a referee sought to be reviewed.  Within 20 days after service of such 
petitionnotice of intent to seek review, the opposing party may file a cross-
petitionnotice for review specifying any additional portion of the report that said 
party desires to be reviewed.  The filing of such petitionnotice or cross-
petitionnotice shall be jurisdictional as to a review to be procured as a matter of 
 
- 24 - 
right, but the court may, in its discretion, consider a late-filed petitionnotice or 
cross-petitionnotice upon a showing of good cause. 
 
(2) 
Record on Review.  The report and record filed by the referee 
shall constitute the record on review.  If hearings were held at which testimony was 
heard, but no transcripts thereof were filed in the matter, the party seeking review 
shall order preparation of all such transcripts, file the original thereof with the 
court, and serve copies on the opposing party, on or before the time of filing of the 
initial brief, as provided elsewhere in this rule.  The party seeking review shall be 
responsible for, and pay directly to the court reporter, the cost of preparation of 
transcripts.  Failure to timely file and serve all of such transcripts may be cause for 
dismissal of the party’s petition for review. 
 
(3) 
Briefs.  The party first seeking review shall file a brief in 
support of the petition fornotice of intent to seek review within 30 days of the 
filing of the petitionnotice.  The opposing party shall file an answer brief within 20 
days after the service of the initial brief of the party seeking review, which answer 
brief shall also support any cross-petitionnotice for review.  The party originally 
seeking review may file a reply brief within 1020 days after the service of the 
answer brief.  The cross-reply brief, if any, shall be served within 20 days 
thereafter.  Computation of time for filing briefs under this rule shall follow the 
applicable Florida Rules of Appellate Procedure.  The form, length, binding, type, 
and margin requirements of briefs filed under this rule shall follow the 
requirements of Fla. R. App. P. 9.210. 
 
(4) 
Oral Argument.  Request for oral argument may be filed in any 
case wherein a party files a petition fornotice of intent to seek review is filed, at the 
time of filing the first brief.  If no request is filed, the case will be disposed of 
without oral argument unless the court orders otherwise. 
 
(5) 
Burden.  Upon review, the burden shall be upon the party 
seeking review to demonstrate that a report of a referee sought to be reviewed is 
erroneous, unlawful, or unjustified. 
 
(6) 
Judgment of Supreme Court of Florida. 
 
(A) 
Authority.  After review, the Supreme Court of Florida 
shall enter an appropriate order or judgment.  If no review is sought of a report of a 
referee entered under the rules and filed in the court, the findings of fact shall be 
deemed conclusive and the disciplinary measure recommended by the referee shall 
 
- 25 - 
be the disciplinary measure imposed by the court, unless the court directs the 
parties to submit briefs or oral argument directed to the suitability of the 
disciplinary measure recommended by the referee.  A referee’s report that becomes 
final when no review has been timely filed shall be reported in an order of the 
Supreme Court of Florida. 
 
(B) 
Form.  The judgment of the court shall include, where 
appropriate, judgment in favor of: 
 
(i) 
the party to whom costs are awarded; 
 
(ii) 
the person(s) to whom restitution is ordered; or  
 
(iii) 
the person(s) to whom a fee is ordered to be 
forfeited. 
 
(7) 
Procedures on Motions to Tax Costs.  The court may consider a 
motion to assess costs if the motion is filed within 10 days of the entry of the 
court's order or opinion where the referee finds the respondent not guilty at trial 
and the supreme court, upon review, finds the respondent guilty of at least 1 rule 
violation and does not remand the case to the referee for further proceedings or 
where the respondent was found guilty at trial and the supreme court, upon review, 
finds the respondent not guilty of any rule violation.  The party from whom costs 
are sought shall have 10 days from the date the motion was filed in which to serve 
an objection.  Failure to timely file a petition for costs or to timely serve an 
objection, without good cause, shall be considered a waiver of request or objection 
to the costs and the court may enter an order without further proceedings.  If an 
objection is timely filed, or the court otherwise directs, the motion shall be 
remanded to the referee.  Upon remand, the referee shall file a supplemental report 
that shall include a statement of costs incurred and the manner in which the costs 
should be assessed.  Any party may seek review of the supplemental report of 
referee in the same manner as provided for in this rule for other reports of the 
referee. 
 
(d) 
Precedence of Proceedings.  Petitions forNotices of intent to seek 
review in disciplinary proceedings shall take precedence over all other civil causes 
in the Supreme Court of Florida. 
 
(e) 
[No Change] 
 
 
- 26 - 
(f) 
Florida Rules of Appellate Procedure.  To the extent necessary to 
implement this rule and if not inconsistent herewith, the Florida Rules of Appellate 
Procedure shall be applicable to petitions fornotices of intent to seek review in 
disciplinary proceedings, provided service on The Florida Bar shall be 
accomplished by service on bar counsel and staff counsel. 
 
(g) 
[No Change] 
 
(h) 
Pending Disciplinary Cases.  If disbarment or disciplinary 
revocation is ordered by the court, dismissal without prejudice of other pending 
cases against the respondent may be ordered in the court’s disbarment or 
disciplinary revocation order. 
 
Comment 
 
[No Change] 
 
 
 
RULE 3-7.9. 
CONSENT JUDGMENT 
 
(a) – (d) 
[No Change] 
 
(e) Disbarment on Consent.  A respondent may surrender membership in 
The Florida Bar in lieu of defending against allegations of disciplinary violations 
by agreeing to disbarment on consent.  Disbarment on consent shall have the same 
effect as, and shall be governed by, the same rules provided for disbarment 
elsewhere in these Rules Regulating The Florida Bar. 
 
Matters involving disbarment on consent shall be processed in the same 
manner as set forth in  subdivisions (a) through (d) of this rule and elsewhere in 
these Rules Regulating The Florida Bar, except that a respondent may enter into a 
disbarment on consent without admitting any of the facts or rule violations alleged 
by the bar.  In such event, the disbarment on consent shall set forth a brief 
recitation of the allegations underlying the disbarment on consent.  This option 
shall only be available for disbarments on consent and not for any other type of 
consent judgment. 
 
(ef) 
Effect of Pleas on Certification.  In negotiating consent judgments 
with a respondent or in recommending acceptance, rejection, or offer of a tendered 
 
- 27 - 
consent judgment, staff counsel and designated reviewer shall consider and express 
a recommendation on whether the consent judgment shall include revocation of 
certification if held by the attorney and restrictions to be placed on recertification 
in such areas.  When certification revocation is agreed to in a consent judgment, 
the revocation and any conditions on recertification will be reported to the legal 
specialization and education director for recording purposes. 
 
 
 
RULE 3-7.10. 
REINSTATEMENT AND READMISSION 
PROCEDURES 
 
(a) 
Reinstatement; Applicability.  An attorney who has been 
suspendedA lawyer who is ineligible to practice due to a court-ordered disciplinary 
suspension of 91 days or more or who has been placed on the inactive list for 
incapacity not related to misconduct may be reinstated to membership in good 
standing in The Florida Bar and be eligible to practice again pursuant to this rule.  
The proceedings under this rule are not applicable to suspension for nonpayment of 
membership feesany attorney who is not eligible to practice law due to a 
delinquency as defined in rule 1-3.6 of these rules. 
 
(b) – (e) 
[No Change] 
 
(f) 
Determination of Fitness by Referee Hearing.  The referee to whom 
the petition for reinstatement is referred shall conduct the hearing as a trial, in the 
same manner, to the extent practical, as provided elsewhere in these rules.  The 
matter to decide shall be the fitness of the petitioner to resume the practice of law.  
In determining the fitness of the petitioner to resume the practice of law, the 
referee shall consider whether the petitioner has engaged in any disqualifying 
conduct, the character and fitness of the petitioner, and whether the petitioner has 
been rehabilitated, as further described in this subdivision.  All conduct engaged in 
after the date of admission to The Florida Bar shall be relevant in proceedings 
under this rule. 
 
(1) 
Disqualifying Conduct.  A record manifesting a deficiency in 
the honesty, trustworthiness, diligence, or reliability of a petitioner may constitute 
a basis for denial of reinstatement.  The following shall be considered as 
disqualifying conduct: 
 
(A) 
unlawful conduct; 
 
- 28 - 
 
(B) 
academic misconduct; 
 
(C) 
making or procuring any false or misleading statement or 
omission of relevant information, including any false or misleading statement or 
omission on any application requiring a showing of good moral character; 
 
(D) 
misconduct in employment; 
 
(E) 
acts involving dishonesty, fraud, deceit, or 
misrepresentation; 
 
(F) 
abuse of legal process; 
 
(G) 
financial irresponsibility; 
 
(H) 
neglect of professional obligations; 
 
(I) 
violation of an order of a court; 
 
(J) 
evidence of mental or emotional instability; 
 
(K) 
evidence of drug or alcohol dependency; 
 
(L) 
denial of admission to the bar in another jurisdiction on 
character and fitness grounds; 
 
(M) disciplinary action by a lawyer disciplinary agency or 
other professional disciplinary agency of any jurisdiction; and 
 
(N) 
failure of a felony-suspended lawyer to submit proof that 
the affected lawyer’s civil rights have been restored; and 
 
(O) 
any other conduct that reflects adversely upon the 
character or fitness of the applicant. 
 
(2) 
Determination of Character and Fitness.  In addition to other 
factors in making this determination, the following factors should be considered in 
assigning weight and significance to prior conduct: 
 
 
- 29 - 
(A) 
age at the time of the conduct; 
 
(B) 
recency of the conduct; 
 
(C) 
reliability of the information concerning the conduct; 
 
(D) 
seriousness of the conduct; 
 
(E) 
factors underlying the conduct; 
 
(F) 
cumulative effect of the conduct or information; 
 
(G) 
evidence of rehabilitation; 
 
(H) 
positive social contributions since the conduct; 
 
(I) 
candor in the discipline and reinstatement processes; and 
 
(J) 
materiality of any omissions or misrepresentations. 
 
(3) 
Elements of Rehabilitation.  Merely showing that an individual 
is now living as and doing those things that should be done throughout life, 
although necessary to prove rehabilitation, does not prove that the individual has 
undertaken a useful and constructive place in society.  Any petitioner for 
reinstatement from discipline for prior misconduct shall be required to produce 
clear and convincing evidence of such rehabilitation including, but not limited to, 
the following elements: 
 
(A) 
strict compliance with the specific conditions of any 
disciplinary, judicial, administrative, or other order, where applicable; 
 
(B) 
unimpeachable character and moral standing in the 
community; 
 
(C) 
good reputation for professional ability, where 
applicable; 
 
(D) 
lack of malice and ill feeling toward those who by duty 
were compelled to bring about the disciplinary, judicial, administrative, or other 
proceeding; 
 
- 30 - 
 
(E) 
personal assurances, supported by corroborating 
evidence, of a desire and intention to conduct one’s self in an exemplary fashion in 
the future; 
 
(F) 
restitution of funds or property, where applicable; and 
 
(G) 
positive action showing rehabilitation by such things as a 
person’s occupation, religion, or community or civic service. 
 
Merely showing that an individual is now living as and doing those 
things that should be done throughout life, although necessary to prove 
rehabilitation, does not prove that the individual has undertaken a useful and 
constructive place in society.  The requirement of positive action is appropriate for 
persons seeking reinstatement to the bar as well as for applicants for admission to 
the bar because service to one’s community is an essential obligation of members 
of the bar. 
 
(4)  Educational Requirements. 
 
(A) 
In the case of a petitioner’s ineligibility to practice for a 
period of 3 years or longer under this rule, the petitioner must demonstrate to the 
referee that the petitioner is current with changes and developments in the law: 
 
(i) The petitioner shall have completed at least 10 hours 
of continuing legal education courses for each year or portion of a year that the 
petitioner was ineligible to practice. 
 
(ii) 
The petitioner may further demonstrate that the 
petitioner is current with changes and developments in the law by showing that the 
petitioner worked as a law clerk or paralegal or taught classes on legal issues 
during the period of ineligibility to practice. 
 
(B) 
A petitioner who has been ineligible to practice for 5 
years or more shall not be reinstated under this rule until the petitioner has re-taken 
and passed the Florida portions of the Florida Bar Examination and the Multistate 
Professional Responsibility Examination (MPRE). 
 
(g) – (k) 
[No Change] 
 
 
- 31 - 
(l) 
Petitions for Reinstatement to Membership in Good Standing. 
 
(1) 
[No Change] 
 
(2) 
[No Change] 
 
(3) 
Contents of Petition.  The petition shall be verified by the 
petitioner and shall be accompanied by a written authorization to the District 
Director of the Internal Revenue Service, authorizing the furnishing of certified 
copies of the petitioner’s tax returns for the past 5 years or since admission to the 
bar, whichever is greater.  The authorization shall be furnished on a separate sheet.  
The petition shall have attached as an exhibit a true copy of all disciplinary 
judgments previously entered against the petitioner.  It shall also include the 
petitioner’s statement concerning the following: 
 
(A) 
name, age, residence, address, and number and relation 
of dependents of the petitioner; 
 
(B) 
the conduct, offense, or misconduct upon which the 
suspension or incapacity was based, together with the date of such suspension or 
incapacity; 
 
(C) 
the names and addresses of all complaining witnesses in 
any disciplinary proceedings that resulted in suspension; and the name and address 
of the referee or judge who heard such disciplinary proceedings or of the trial 
judge, complaining witnesses, and prosecuting attorney, if suspension was based 
upon conviction of a felony or misdemeanor involving moral turpitude; 
 
(D) 
the nature of the petitioner’s occupation in detail since 
suspension or incapacity, with names and addresses of all partners, associates in 
business, and employers, if any, and dates and duration of all such relations and 
employments; 
 
(E) 
a statement showing the approximate monthly earnings 
and other income of the petitioner and the sources from which all such earnings 
and income were derived during said period; 
 
(F) 
a statement showing all residences maintained during 
said period, with names and addresses of landlords, if any; 
 
 
- 32 - 
(G) 
a statement showing all financial obligations of the 
petitioner including but not limited to amounts claimed, unpaid, or owing to tThe 
Florida Bar Clients’ Security Fund or former clients at the date of filing of the 
petition, together with the names and addresses of all creditors; 
 
(H) 
a statement of restitution made for any and all obligations 
to all former clients and tThe Florida Bar Clients’ Security Fund and the source 
and amount of funds used for this purpose; 
 
(I) 
a statement showing dates, general nature, and ultimate 
disposition of every matter involving the arrest or prosecution of the petitioner 
during said period for any crime, whether felony or misdemeanor, together with 
the names and addresses of complaining witnesses, prosecuting attorneys, and trial 
judges; 
 
(J) 
a statement as to whether any applications were made 
during said period for a license requiring proof of good character for its 
procurement; and, as to each such application, the date and the name and address 
of the authority to whom it was addressed and the disposition thereof; 
 
(K) 
a statement of any procedure or inquiry, during said 
period, covering the petitioner’s standing as a member of any profession or 
organization, or holder of any license or office, that involved the censure, removal, 
suspension, revocation of license, or discipline of the petitioner; and, as to each, 
the dates, facts, and the disposition thereof and the name and address of the 
authority in possession of the record thereof; 
 
(L) 
a statement as to whether any charges of fraud were 
made or claimed against the petitioner during said period, whether formal or 
informal, together with the dates and names and addresses of persons making such 
charges; 
 
(M) a concise statement of facts claimed to justify 
reinstatement to The Florida Bar; 
 
(N) 
a statement showing the dates, general nature, and final 
disposition of every civil action wherein the petitioner was either a party plaintiff 
or defendant, together with dates of filing of complaints, titles of courts and causes, 
and the names and addresses of all parties and of the trial judge or judges, and 
names and addresses of all witnesses who testified in said action or actions; and 
 
- 33 - 
 
(O) 
a statement showing what amounts, if any, of the costs 
assessed against the accused attorney in the prior disciplinary proceedings against 
the petitioner have been paid by the petitioner and the source and amount of funds 
used for this purpose. 
 
(4) 
[No Change] 
 
(5) 
[No Change] 
 
(m) – (n) 
[No Change] 
 
 
 
RULE 3-7.12.  
DISCIPLINARY REVOCATION OF ADMISSION TO 
THE FLORIDA BAR 
 
If a disciplinary agency is investigating the conduct of a lawyer, or if such an 
agency has recommended probable cause, then disciplinary proceedings shall be 
deemed to be pending and a petition for disciplinary revocation may be filed 
pursuant to this rule.  Disciplinary revocation is tantamount to disbarment in that 
both sanctions terminate the license and privilege to practice law and both require 
readmission to practice under the Rules of the Supreme Court Relating to 
Admissions to the Bar.  A lawyer may seek disciplinary revocation of admission to 
The Florida Bar during the progress of disciplinary proceedings in the following 
manner: 
 
(a) Petition for Disciplinary Revocation.  The petition for disciplinary 
revocation shall be styled "In re …..(respondent's name)…..," titled "Petition for 
Disciplinary Revocation," filed with the Supreme Court of Florida and shall 
contain a statement of all past and pending disciplinary actions and criminal 
proceedings against the petitioner.  The statement shall describe the charges made 
or those under investigation for professional misconduct, results of past 
proceedings, and the status of pending investigations and proceedings.  The 
petition shall state whether it is with or without leave to apply for readmission to 
the bar.  A copy of the petition shall be served upon the executive director of The 
Florida Bar. 
 
(b) Judgment.  Within 60 days after filing and service of the petition, The 
Florida Bar shall file with the Supreme Court of Florida its response to the petition 
 
- 34 - 
either supporting or opposing the petition for disciplinary revocation.  The bar’s 
response shall be determined by the bar’s board of governors. A copy of the 
response shall be served upon the petitioner.  The Supreme Court of Florida shall 
consider the petition, any response, and the charges against the petitioner.  The 
Supreme Court of Florida may enter judgment granting disciplinary revocation if it 
has been shown by the petitioner in a proper and competent manner that the public 
interest will not be adversely affected by the granting of the petition and that such 
will neither adversely affect the integrity of the courts nor hinder the 
administration of justice nor the confidence of the public in the legal profession.  If 
otherwise, the petition shall be denied.  If the judgment grants the disciplinary 
revocation, the judgment may require that the disciplinary revocation be subject to 
appropriate conditions.  Such conditions may include, but shall not be limited to, 
requiring the petitioner to submit to a full audit of all client trust accounts, to 
execute a financial affidavit attesting to current personal and professional financial 
circumstances, and to maintain a current mailing address with the bar for a period 
of 5 years after the disciplinary revocation becomes final or such other time as the 
court may order. 
 
(c) Delay of Disciplinary Proceedings.  The filing of a petition for 
disciplinary revocation shall not stay the progress of the disciplinary proceedings 
without the approval of the bar’s board of governors. 
 
(d) Dismissal of Pending Disciplinary Cases.  If disciplinary revocation 
is granted by the Supreme Court of Florida under this rule, such disciplinary 
revocation shall serve to dismiss all pending disciplinary cases. 
 
(e) Costs of Pending Disciplinary Cases.  The judgment of the court 
granting disciplinary revocation may impose a judgment for the costs expended by 
The Florida Bar in all pending disciplinary cases against the respondent.  Such 
costs shall be of the types and amounts authorized elsewhere in these Rules 
Regulating The Florida Bar. 
 
Comment 
 
The disciplinary revocation rule replaces the former disciplinary resignation 
rule, but with added safeguards.  Disciplinary revocation is allowed for a minimum 
of 5 years up to permanent disciplinary revocation.  The bar’s response to all such 
petitions must be determined by the bar’s board of governors.  Disciplinary 
revocation, like the formerly allowed disciplinary resignation, is ―tantamount to 
disbarment.‖  The Florida Bar v. Hale, 762 So.2d 515, 517 (Fla. 2000).  Like 
 
- 35 - 
disbarred lawyers, lawyers whose licenses have been revoked pursuant to 
disciplinary revocation still remain subject to the continuing jurisdiction of the 
Supreme Court of Florida and must meet all requirements for readmission to bar 
membership.  The Florida Bar v. Ross, 732 So.2d 1037, 1041 (Fla. 1998); The 
Florida Bar v. Hale, 762 So.2d 515, 517 (Fla. 2000). 
 
 
 
RULE 3-7.13. 
INCAPACITY NOT RELATED TO MISCONDUCT 
 
(a) 
[No Change] 
 
(b) 
Applicable Rules of Procedure.  Proceedings under this rule shall be 
processed under the Rules of Discipline in the same manner as proceedings 
involving acts of misconduct, except that emergency or interim proceedings 
authorized under rule 3-5.2 shall be processed as stated in that rule. 
 
(c) – (e) 
[No Change] 
 
 
 
RULE 4-1.5. 
FEES AND COSTS FOR LEGAL SERVICES 
 
(a) – (e) 
[No Change] 
 
(f) 
Contingent Fees.  As to contingent fees: 
 
(1) – (3) 
[No Change] 
 
(4) 
A lawyer who enters into an arrangement for, charges, or 
collects any fee in an action or claim for personal injury or for property damages or 
for death or loss of services resulting from personal injuries based upon tortious 
conduct of another, including products liability claims, whereby the compensation 
is to be dependent or contingent in whole or in part upon the successful 
prosecution or settlement thereof shall do so only under the following 
requirements: 
 
(A) 
[No Change] 
 
 
- 36 - 
(B) 
The contract for representation of a client in a matter set 
forth in subdivision (f)(4) may provide for a contingent fee arrangement as agreed 
upon by the client and the lawyer, except as limited by the following provisions: 
 
(i) 
[No Change] 
 
(ii) 
[No Change] 
 
(iii) 
Subject to the provisions of 4-1.5(f)(4)(B)(i) and 
(ii) a lawyer who enters into an arrangement for, charges, or collects any fee in an 
action or claim for medical liability whereby the compensation is dependent or 
contingent in whole or in part upon the successful prosecution or settlement thereof 
shall provide the language of article I, section 26 of the Florida Constitution to the 
client in writing and shall orally inform the client that: 
 
a. 
Unless waived, in any medical liability 
claim involving a contingency fee, the claimant is entitled to receive no less than 
70% of the first $250,000.00 of all damages received by the claimant, exclusive of 
reasonable and customary costs, whether received by judgment, settlement, or 
otherwise, and regardless of the number of defendants.  The claimant is entitled to 
90% of all damages in excess of $250,000.00, exclusive of reasonable and 
customary costs and regardless of the number of defendants. 
 
b. 
If a lawyer chooses not to accept the 
representation of a client under the terms of article I, section 26 of the Florida 
Constitution, the lawyer shall advise the client, both orally and in writing of 
alternative terms, if any, under which the lawyer would accept the representation 
of the client, as well as the client’s right to seek representation by another lawyer 
willing to accept the representation under the terms of article I, section 26 of the 
Florida Constitution, or a lawyer willing to accept the representation on a fee basis 
that is not contingent. 
 
c. 
If any client desires to waive any rights 
under article I, section 26 of the Florida Constitution in order to obtain a lawyer of 
the client’s choice, a client may do so by waiving such rights in writing, under 
oath, and in the form provided in this rule.  The lawyer shall provide each client a 
copy of the written waiver and shall afford each client a full and complete 
opportunity to understand the rights being waived as set forth in the waiver.  A 
copy of the waiver, signed by each client and lawyer, shall be given to each client 
to retain, and the lawyer shall keep a copy in the lawyer’s file pertaining to the 
 
- 37 - 
client.  The waiver shall be retained by the lawyer with the written fee contract and 
closing statement under the same conditions and requirements provided in 4-
1.5(f)(5). 
 
WAIVER OF THE CONSTITUTIONAL RIGHT PROVIDED IN ARTICLE 
I, SECTION 26 OF THE FLORIDA CONSTITUTION 
 
[No Change] 
 
ACKNOWLEDGMENT BY CLIENT FOR  
PRESENTATION TO THE COURT 
 
[No Change] 
 
(C) – (D) 
[No Change] 
 
 (5) – (6) 
[No Change] 
 
(g) – (i) 
[No Change] 
 
Comment 
 
Bases or rate of fees and costs 
When the lawyer has regularly represented a client, they ordinarily will have 
evolved an understanding concerning the basis or rate of the fee.  The conduct of 
the lawyer and client in prior relationships is relevant when analyzing the 
requirements of this rule.  In a new client-lawyer relationship, however, an 
understanding as to the fee should be promptly established.  It is not necessary to 
recite all the factors that underlie the basis of the fee but only those that are directly 
involved in its computation.  It is sufficient, for example, to state the basic rate is 
an hourly charge or a fixed amount or an estimated amount, or to identify the 
factors that may be taken into account in finally fixing the fee.  Although hourly 
billing or a fixed fee may be the most common bases for computing fees in an area 
of practice, these may not be the only bases for computing fees.  A lawyer should, 
where appropriate, discuss alternative billing methods with the client.  When 
developments occur during the representation that render an earlier estimate 
substantially inaccurate, a revised estimate should be provided to the client.  A 
written statement concerning the fee reduces the possibility of misunderstanding.  
Furnishing the client with a simple memorandum or a copy of the lawyer’s 
customary fee schedule is sufficient if the basis or rate of the fee is set forth. 
 
- 38 - 
 
General overhead should be accounted for in a lawyer’s fee, whether the 
lawyer charges hourly, flat, or contingent fees.  Filing fees, transcription, and the 
like should be charged to the client at the actual amount paid by the lawyer.  A 
lawyer may agree with the client to charge a reasonable amount for in-house costs 
or services.  In-house costs include items such as copying, faxing, long distance 
telephone, and computerized research.  In-house services include paralegal 
services, investigative services, accounting services, and courier services.  The 
lawyer should sufficiently communicate with the client regarding the costs charged 
to the client so that the client understands the amount of costs being charged or the 
method for calculation of those costs.  Costs appearing in sufficient detail on 
closing statements and approved by the parties to the transaction should meet the 
requirements of this rule. 
 
Rule 4-1.8(e) should be consulted regarding a lawyer’s providing financial 
assistance to a client in connection with litigation. 
 
Lawyers should also be mindful of any statutory, constitutional, or other 
requirements or restrictions on attorneys’ fees. 
 
In order to avoid misunderstandings concerning the nature of legal fees, 
written documentation is required when any aspect of the fee is nonrefundable.  A 
written contract provides a method to resolve misunderstandings and to protect the 
lawyer in the event of continued misunderstanding.  Rule 4-1.5 (e) does not require 
the client to sign a written document memorializing the terms of the fee.  A letter 
from the lawyer to the client setting forth the basis or rate of the fee and the intent 
of the parties in regard to the nonrefundable nature of the fee is sufficient to meet 
the requirements of this rule. 
 
All legal fees and contracts for legal fees are subject to the requirements of 
the Rules Regulating The Florida Bar.  In particular, the test for reasonableness of 
legal fees found in rule 4-1.5(b) applies to all types of legal fees and contracts 
related to them. 
 
Terms of payment 
[No Change] 
 
Prohibited contingent fees 
[No Change] 
 
 
- 39 - 
Contingent fee regulation 
Subdivision (e) is intended to clarify that whether the lawyer's fee contract 
complies with these rules is a matter between the lawyer and client and an issue for 
professional disciplinary enforcement.  The rules and subdivision (e) are not 
intended to be used as procedural weapons or defenses by others.  Allowing 
opposing parties to assert noncompliance with these rules as a defense, including 
whether the fee is fixed or contingent, allows for potential inequity if the opposing 
party is allowed to escape responsibility for their actions solely through application 
of these rules. 
 
Rule 4-1.5(f)(4) should not be construed to apply to actions or claims 
seeking property or other damages arising in the commercial litigation context. 
 
Rule 4-1.5(f)(4)(B) is intended to apply only to contingent aspects of fee 
agreements.  In the situation where a lawyer and client enter a contract for part 
noncontingent and part contingent attorney’s fees, rule 4-1.5(f)(4)(B) should not be 
construed to apply to and prohibit or limit the noncontingent portion of the fee 
agreement.  An attorney could properly charge and retain the noncontingent 
portion of the fee even if the matter was not successfully prosecuted or if the 
noncontingent portion of the fee exceeded the schedule set forth in rule 4-
1.5(f)(4)(B).  Rule 4-1.5(f)(4)(B) should, however, be construed to apply to any 
additional contingent portion of such a contract when considered together with 
earned noncontingent fees.  Thus, under such a contract a lawyer may demand or 
collect only such additional contingent fees as would not cause the total fees to 
exceed the schedule set forth in rule 4-1.5(f)(4)(B). 
 
The limitations in rule 4-1.5(f)(4)(B)(i)c. are only to be applied in the case 
where all the defendants admit liability at the time they file their initial answer and 
the trial is only on the issue of the amount or extent of the loss or the extent of 
injury suffered by the client.  If the trial involves not only the issue of damages but 
also such questions as proximate cause, affirmative defenses, seat belt defense, or 
other similar matters, the limitations are not to be applied because of the contingent 
nature of the case being left for resolution by the trier of fact. 
 
Rule 4-1.5(f)(4)(B)(ii) provides the limitations set forth in subdivision 
(f)(4)(B)(i) may be waived by the client upon approval by the appropriate judge.  
This waiver provision may not be used to authorize a lawyer to charge a client a 
fee that would exceed rule 4-1.5(a) or (b).  It is contemplated that this waiver 
provision will not be necessary except where the client wants to retain a particular 
lawyer to represent the client or the case involves complex, difficult, or novel 
 
- 40 - 
questions of law or fact that would justify a contingent fee greater than the 
schedule but not a contingent fee that would exceed rule 4-1.5(b). 
 
Upon a petition by a client, the trial court reviewing the waiver request must 
grant that request if the trial court finds the client:  (a) understands the right to have 
the limitations in rule 4-1.5(f)(4)(B) applied in the specific matter; and (b) 
understands and approves the terms of the proposed contract.  The consideration by 
the trial court of the waiver petition is not to be used as an opportunity for the court 
to inquire into the merits or details of the particular action or claim that is the 
subject of the contract. 
 
The proceedings before the trial court and the trial court’s decision on a 
waiver request are to be confidential and not subject to discovery by any of the 
parties to the action or by any other individual or entity except The Florida Bar.  
However, terms of the contract approved by the trial court may be subject to 
discovery if the contract (without court approval) was subject to discovery under 
applicable case law or rules of evidence. 
 
Rule 4-1.5(f)(4)(B)(iii) is added to acknowledge the provisions of aArticle 1, 
sSection 26 of the Florida Constitution, and to create an affirmative obligation on 
the part of an attorney contemplating a contingency fee contract to notify a 
potential client with a medical liability claim of the limitations provided in that 
constitutional provision.  This addition to the rule is adopted prior to any judicial 
interpretation of the meaning or scope of the constitutional provision and this rule 
is not intended to make any substantive interpretation of the meaning or scope of 
that provision.  The rule also provides that a client who wishes to waive the rights 
of the constitutional provision, as those rights may relate to attorney's fees, must do 
so in the form contained in the rule. 
 
Rule 4-1.5(f)(6) prohibits a lawyer from charging the contingent fee 
percentage on the total, future value of a recovery being paid on a structured or 
periodic basis.  This prohibition does not apply if the lawyer’s fee is being paid 
over the same length of time as the schedule of payments to the client. 
 
Contingent fees are prohibited in criminal and certain domestic relations 
matters.  In domestic relations cases, fees that include a bonus provision or 
additional fee to be determined at a later time and based on results obtained have 
been held to be impermissible contingency fees and therefore subject to restitution 
and disciplinary sanction as elsewhere stated in these Rules Regulating The Florida 
Bar. 
 
- 41 - 
 
Fees that provide for a bonus or additional fees and that otherwise are not 
prohibited under the Rules Regulating The Florida Bar can be effective tools for 
structuring fees.  For example, a fee contract calling for a flat fee and the payment 
of a bonus based on the amount of property retained or recovered in a general civil 
action is not prohibited by these rules.  However, the bonus or additional fee must 
be stated clearly in amount or formula for calculation of the fee (basis or rate).  
Courts have held that unilateral bonus fees are unenforceable.  The test of 
reasonableness and other requirements of this rule apply to permissible bonus fees. 
 
Division of fee 
[No Change] 
 
Disputes over fees 
Since the fee arbitration rule (Cchapter 14) has been established by the bar to 
provide a procedure for resolution of fee disputes, the lawyer should 
conscientiously consider submitting to it.  Where law prescribes a procedure for 
determining a lawyer’s fee, for example, in representation of an executor or 
administrator, a class, or a person entitled to a reasonable fee as part of the measure 
of damages, the lawyer entitled to such a fee and a lawyer representing another 
party concerned with the fee should comply with the prescribed procedure. 
 
Referral fees and practices 
[No Change] 
 
Credit Plans 
[No Change] 
 
 
 
RULE 4-5.5. 
UNLICENSED PRACTICE OF LAW; 
MULTIJURISDICTIONAL PRACTICE OF LAW 
 
(a) – (b) 
[No Change] 
 
(c) 
Authorized Temporary Practice by Lawyer Admitted in Another 
United States Jurisdiction.  A lawyer admitted and authorized to practice law in 
another United States jurisdiction who has been neither disbarred or suspended 
from practice in any jurisdiction, nor disciplined or held in contempt in Florida by 
reason of misconduct committed while engaged in the practice of law permitted 
 
- 42 - 
pursuant to this rule, may provide legal services on a temporary basis in Florida 
that: 
 
(1) 
are undertaken in association with a lawyer who is admitted to 
practice in Florida and who actively participates in the matter; or 
 
(2) 
are in or reasonably related to a pending or potential proceeding 
before a tribunal in this or another jurisdiction, if the lawyer is authorized by law 
or order to appear in such proceeding or reasonably expects to be so authorized; or 
 
(3) 
are in or reasonably related to a pending or potential arbitration, 
mediation, or other alternative dispute resolution proceeding in this or another 
jurisdiction and the services are not services for which the forum requires pro hac 
vice admission:  
 
(A) 
if the services are performed for a client who resides in or 
has an office in the lawyer's home state, or 
 
(B) 
where the services arise out of or are reasonably related 
to the lawyer's practice in a jurisdiction in which the lawyer is admitted to practice; 
or 
 
(4) 
are not within subdivisions (c)(2) or (c)(3), and 
 
(A) 
are performed for a client who resides in or has an office 
in the jurisdiction in which the lawyer is authorized to practice, or 
 
(B) 
arise out of or are reasonably related to the lawyer's 
practice in a jurisdiction in which the lawyer is admitted to practice. 
 
(d) 
Authorized Temporary Practice by Lawyer Admitted in a Non-
United States Jurisdiction.  A lawyer who is admitted only in a non-United States 
jurisdiction who is a member in good standing of a recognized legal profession in a 
foreign jurisdiction whose members are admitted to practice as lawyers or 
counselors at law or the equivalent and are subject to effective regulation and 
discipline by a duly constituted professional body or a public authority, and who 
has been neither disbarred or suspended from practice in any jurisdiction nor 
disciplined or held in contempt in Florida by reason of misconduct committed 
while engaged in the practice of law permitted pursuant to this rule does not 
 
- 43 - 
engage in the unlicensed practice of law in Florida when on a temporary basis the 
lawyer performs services in Florida that: 
 
(1) 
are undertaken in association with a lawyer who is admitted to 
practice in Florida and who actively participates in the matter; or 
 
(2) 
are in or reasonably related to a pending or potential proceeding 
before a tribunal held or to be held in a jurisdiction outside the United States if the 
lawyer is authorized by law or by order of the tribunal to appear in such proceeding 
or reasonably expects to be so authorized; or 
 
(3) 
are in or reasonably related to a pending or potential arbitration, 
mediation, or other alternative dispute resolution proceeding held or to be held in 
Florida or another jurisdiction and the services are not services for which the forum 
requires pro hac vice admission: 
 
(A) 
if the services are performed for a client who resides in or 
has an office in the jurisdiction in which the lawyer is admitted to practice, or 
 
(B) 
where the services arise out of or are reasonably related 
to the lawyer's practice in a jurisdiction in which the lawyer is admitted to practice; 
or 
 
(4) 
are not within subdivisions (d)(2) or (d)(3), and 
 
(A) 
are performed for a client who resides or has an office in 
a jurisdiction in which the lawyer is authorized to practice to the extent of that 
authorization, or 
 
(B) 
arise out of or are reasonably related to a matter that has 
a substantial connection to a jurisdiction in which the lawyer is authorized to 
practice to the extent of that authorization; or 
 
(5) 
are governed primarily by international law or the law of a non-
United States jurisdiction in which the lawyer is a member. 
 
Comment 
 
[No Change] 
 
 
- 44 - 
 
 
RULE 4-8.3. 
REPORTING PROFESSIONAL MISCONDUCT 
 
(a) – (b) 
[No Change] 
 
(c) 
Confidences Preserved.  This rule does not require disclosure of 
information: 
 
(1) 
otherwise protected by rule 4-1.6 or information; 
 
(2) 
gained by a lawyer while serving as a mediator or mediation 
participant if the information is privileged or confidential under applicable law; or 
 
(3) 
gained by a lawyer or judge while participating in an approved 
lawyers assistance program.  Provided further, however, that if a, unless the 
lawyer's participation in an approved lawyers assistance program is part of a 
disciplinary sanction this limitation shall not be applicable and, in which case a 
report about the lawyer who is participating as part of a disciplinary sanction shall 
be made to the appropriate disciplinary agency. 
 
(d) 
[No Change] 
 
Comment 
 
Self-regulation of the legal profession requires that members of the 
profession initiate disciplinary investigation when they know of a violation of the 
Rules of Professional Conduct.  Lawyers have a similar obligation with respect to 
judicial misconduct.  An apparently isolated violation may indicate a pattern of 
misconduct that only a disciplinary investigation can uncover.  Reporting a 
violation is especially important where the victim is unlikely to discover the 
offense. 
 
A report about misconduct is not required where it would involve violation 
of rule 4-1.6.  However, a lawyer should encourage a client to consent to disclosure 
where prosecution would not substantially prejudice the client's interests. 
 
If a lawyer were obliged to report every violation of the rules, the failure to 
report any violation would itself be a professional offense.  Such a requirement 
existed in many jurisdictions, but proved to be unenforceable.  This rule limits the 
 
- 45 - 
reporting obligation to those offenses that a self-regulating profession must 
vigorously endeavor to prevent.  A measure of judgment is, therefore, required in 
complying with the provisions of this rule.  The term "substantial" refers to the 
seriousness of the possible offense and not the quantum of evidence of which the 
lawyer is aware. 
 
The duty to report professional misconduct does not apply to a lawyer 
retained to represent a lawyer whose professional conduct is in question.  Such a 
situation is governed by the rules applicable to the client-lawyer relationship. 
 
Generally, Florida statutes provide that information gained through a 
―mediation communication‖ is privileged and confidential, including information 
which discloses professional misconduct occurring outside the mediation.  
However, professional misconduct occurring during the mediation is not privileged 
or confidential under Florida statutes. 
 
Information about a lawyer's or judge's misconduct or fitness may be 
received by a lawyer in the course of that lawyer's participation in an approved 
lawyers or judges assistance program.  In that circumstance, providing for an 
exception to the reporting requirements of subdivisions (a) and (b) of this rule 
encourages lawyers and judges to seek treatment through such a program. 
Conversely, without such an exception, lawyers and judges may hesitate to seek 
assistance from these programs, which may then result in additional harm to their 
professional careers and additional injury to the welfare of clients and the public.  
These rules do not otherwise address the confidentiality of information received by 
a lawyer or judge participating in an approved lawyers assistance program; such an 
obligation, however, may be imposed by the rules of the program or other law. 
 
 
 
RULE 5-1.2. 
TRUST ACCOUNTING RECORDS AND PROCEDURES 
 
(a) 
Applicability.  The provisions of these rules apply to all trust funds 
received or disbursed by members of The Florida Bar in the course of their 
professional practice of law as members of The Florida Bar except special trust 
funds received or disbursed by an attorneya lawyer as guardian, personal 
representative, receiver, or in a similar capacity such as trustee under a specific 
trust document where the trust funds are maintained in a segregated special trust 
account and not the general trust account and wherein this special trust position has 
been created, approved, or sanctioned by law or an order of a court that has 
 
- 46 - 
authority or duty to issue orders pertaining to maintenance of such special trust 
account.  These rules shall apply to matters wherein a choice of laws analysis 
indicates that such matters are governed by the laws of Florida. 
 
As set forth in this rule, ―lawyer‖ denotes a person who is a member of The 
Florida Bar or otherwise authorized to practice in any court of the state of Florida.  
―Law firm‖ denotes a lawyer or lawyers in a private firm who handle client trust 
funds. 
 
(b) 
Minimum Trust Accounting Records.  The following are the 
minimum trust accounting records that shall be maintained.  These rRecords may 
be maintained in their original format or stored in digital media as long as the 
copies include all data contained in the original documents and may be produced 
when required.  The following are the minimum trust accounting records that shall 
be maintained: 
 
(1) 
Aa separate bank or savings and loan association account or 
accounts in the name of the lawyer or law firm and clearly labeled and designated 
as a "trust account."; 
 
(2) 
Ooriginal or clearly legible copies of deposit slips if the copies 
include all data on the originals and, in the case of currency or coin, an additional 
cash receipts book, clearly identifying:(A) 
 the date and source of all trust funds 
received; and(B)  the client or matter for which the funds were received.; 
 
(3) 
Ooriginal canceled checks or clearly legible copies of original 
canceled checks for all funds disbursed from the trust account, all of which must: 
 
(A) 
be numbered consecutively, if the copies  
 
(B) 
include all endorsements and all other data and tracking 
information, and  
 
(C) 
clearly identify the client or case by number or name in 
the memo area of the check.; 
 
(4) 
Oother documentary support for all disbursements and transfers 
from the trust account. including records of all electronic transfers from client trust 
accounts, including: 
 
 
- 47 - 
(A) 
the name of the person authorizing the transfer;  
 
(B) 
the name of the recipient; 
 
(C) 
confirmation from the banking institution confirming the 
number of the trust account from which money is withdrawn; and 
 
(D) 
the date and time the transfer was completed. 
 
(5) 
Aa separate cash receipts and disbursements journal, including 
columns for receipts, disbursements, transfers, and the account balance, and 
containing at least: 
 
(A) 
the identification of the client or matter for which the 
funds were received, disbursed, or transferred; 
 
(B) 
the date on which all trust funds were received, 
disbursed, or transferred; 
 
(C) 
the check number for all disbursements; and 
 
(D) 
the reason for which all trust funds were received, 
disbursed, or transferred.; 
 
(6) 
Aa separate file or ledger with an individual card or page for 
each client or matter, showing all individual receipts, disbursements, or transfers 
and any unexpended balance, and containing: 
 
(A) 
the identification of the client or matter for which trust 
funds were received, disbursed, or transferred; 
 
(B) 
the date on which all trust funds were received, 
disbursed, or transferred; 
 
(C) 
the check number for all disbursements; and 
 
(D) 
the reason for which all trust funds were received, 
disbursed, or transferred.; and 
 
 
- 48 - 
(7) 
Aall bank or savings and loan association statements for all 
trust accounts. 
 
(c) 
[No Change] 
 
(d) Electronic Wire Transfers.  Authorized electronic transfers from a 
lawyer or law firm’s trust account shall be limited to: 
(1) 
money required to be paid to a client or third party on behalf of 
a client; 
(2) 
expenses properly incurred on behalf of a client, such as filing 
fees or payment to third parties for services rendered in connection with the 
representation; or  
(3) 
money transferred to the lawyer for fees which are earned in 
connection with the representation and which are not in dispute; or 
(4) 
money transferred from one trust account to another trust 
account. 
 
(de) Record Retention.  A lawyer or law firm that receives and disburses 
client or third-party funds or property shall maintain the records required by this 
chapter for 6 years subsequent to the final conclusion of each representation in 
which the trust funds or property were received. 
 
(ef) 
Audits.  Any of the following shall be cause for The Florida Bar to 
order an audit of a trust account: 
 
(1) 
failure to file the trust account certificate required by rule 5-
1.2(c)(5); 
 
(2) 
return of a trust account check for insufficient funds or for 
uncollected funds, absent bank error; 
 
(3) 
filing of a petition for creditor relief on behalf of an attorneya 
lawyer; 
 
(4) 
filing of felony charges against an attorneya lawyer; 
 
 
- 49 - 
(5) 
adjudication of insanity or incompetence or hospitalization of 
the attorneya lawyer under The Florida Mental Health Act; 
 
(6) 
filing of a claim against the attorneya lawyer with the Clients’ 
Security Fund; 
 
(7) 
when requested by the chair or vice chair of a grievance 
committee or the board of governors; 
 
(8) 
upon court order; or 
 
(9) 
upon entry of an order of disbarment, on consent or otherwise. 
 
(fg) 
Cost of Audit.  Audits conducted in any of the circumstances 
enumerated in this rule shall be at the cost of the attorneylawyer audited only when 
the audit reveals that the attorneylawyer was not in substantial compliance with the 
trust accounting requirements.  It shall be the obligation of any attorneylawyer who 
is being audited to produce all records and papers concerning property and funds 
held in trust and to provide such explanations as may be required for the audit.  
Records of general accounts are not required to be produced except to verify that 
trust money has not been deposited thereto.  If it has been determined that trust 
money has been deposited into a general account, all of the transactions pertaining 
to any firm account will be subject to audit. 
 
(gh) Failure to Comply With Subpoena for Trust Accounting Records.  
Failure of a member to timely produce trust accounting records shall be considered 
as a matter of contempt and process in the manner provided in subdivision (d) and 
(f) of rule 3-7.11, Rules Regulating The Florida Bar. 
 
 
 
RULE 6-3.2. 
CERTIFICATION COMMITTEES 
 
(a) 
Initial Certification Committees.  For each certification area 
approved by the Supreme Court of Florida, a 9-member committee, bearing the 
name of the area, shall be appointed by the president of The Florida Bar, with the 
advice and consent of the board of governors.  Initial committee appointees shall 
be eminent attorneys in each field, shall be members in good standing of The 
Florida Bar, shall have been admitted to The Florida Bar no less than 10 years, and 
must meet such other requirements as may in the future be promulgated by the 
 
- 50 - 
board of legal specialization and education.  Initial committee appointees shall be 
certified in the applicable area of practice by reason of appointment to that area's 
certification committee.  The committee members shall hold office for 3 years and 
until their successors are appointed.  The committee members shall be appointed to 
staggered terms of office, and the initial appointees shall serve as follows: 3 
members shall serve until June 30 next following their appointment, 3 members 
shall serve until the second June 30 following their appointment, and 3 members 
shall serve until the third June 30 following their appointment. 
 
(b) 
Subsequent Certification Committees.  Subsequent certification 
committee appointees shall be appointed by the president-elect of The Florida Bar, 
must be certified in the area at the time of appointment, must be members in good 
standing of The Florida Bar, and must meet such other requirements as may be 
promulgated by the board of legal specialization and education.  Upon the 
recommendation of the board of legal specialization and education and the 
approval of The Florida Bar Board of Governors, the composition of a certification 
committee may be adjusted to no fewer than 5 members or no more than 15 
members.  Committee members shall be appointed to staggered terms of office. 
 
 
 
RULE 6-3.6. 
RECERTIFICATION 
 
(a) 
[No Change] 
 
(b) 
Minimum Standards for Proficiency.  Each area of certification 
established under this chapter shall contain requirements and safeguards for the 
continued proficiency of any certificate holder.  The following minimum standards 
shall apply: 
 
(1) 
A satisfactory showing of substantial involvement during the 
period of certification in the particular area for which certification was granted. 
 
(2) 
A satisfactory showing of such continuing legal education in 
the area for which certification is granted but in no event less than 1050 credit 
hours per yearduring the 5-year period of certification. 
 
(3) 
Satisfactory peer review and professional ethics record in 
accordance with rule 6-3.5(c)(6). 
 
 
- 51 - 
(4) 
Any applicant for recertification who is not, at the time of 
application for recertification, a member in good standing of The Florida Bar or 
any other bar or jurisdiction in which the applicant is admitted, as a result of 
discipline, disbarment, suspension, or resignation in lieu thereof, shall be denied 
recertification.  The fact of a pending disciplinary complaint or malpractice action 
against an applicant for recertification shall not be the sole basis to deny 
recertification. 
 
(5) 
The payment of any fees prescribed by the plan. 
 
(c) 
[No Change] 
 
 
 
RULE 10-2.1. 
GENERALLY 
 
Whenever used in these rules the following words or terms shall have the 
meaning herein set forth unless the use thereof shall clearly indicate a different 
meaning: 
 
(a) 
Unlicensed Practice of Law.  The unlicensed practice of law shall 
mean the practice of law, as prohibited by statute, court rule, and case law of the 
state of Florida.  For purposes of this chapter: 
 
(1) 
It shall not constitute the unlicensed practice of law for a 
nonlawyer to engage in limited oral communications to assist a person in the 
completion of blanks on a legal form approved by the Supreme Court of Florida.  
Oral communications by nonlawyers are restricted to those communications 
reasonably necessary to elicit factual information to complete the blanks on the 
form and inform the person how to file the form.  Legal forms approved by the 
Supreme Court of Florida which may be completed as set forth herein shall only 
include and are limited to forms approved by the Supreme Court of Florida 
pursuant to rule 10-2.1(a) [formerly rule 10-1.1(b)] of the Rules Regulating The 
Florida Bar, the Family Law Forms contained in the Florida Family Law Rules of 
Procedure, and the Florida Supreme Court Approved Family Law Forms contained 
in the Florida Family Law Rules of Procedure. 
 
(A) 
Except for forms filed by the petitioner in an action for 
an injunction for protection against domestic or repeat violence, the following 
language shall appear on any form completed by a nonlawyer and any individuals 
 
- 52 - 
assisting in the completion of the form shall provide their name, business name, 
address, and telephone number on the form: 
 
This form was completed with the assistance of: 
Name of Individual 
Name of Business 
Address 
Telephone Number 
 
(B) 
Before a nonlawyer assists a person in the completion of 
a form, the nonlawyer shall provide the person with a copy of a disclosure which 
contains the following provisions: 
 
(Name) told me that he/she is a nonlawyer and may not give 
legal advice, cannot tell me what my rights or remedies are, cannot tell me how to 
testify in court, and cannot represent me in court. 
 
Rule 10-2.1(b) of the Rules Regulating The Florida Bar defines 
a paralegal as a person who works under the supervision of a member of The 
Florida Bar and who performs specifically delegated substantive legal work for 
which a member of The Florida Bar is responsible.  Only persons who meet the 
definition may call themselves paralegals.  (Name) informed me that he/she is not 
a paralegal as defined by the rule and cannot call himself/herself a paralegal. 
 
(Name) told me that he/she may only type the factual 
information provided by me in writing into the blanks on the form.  (Name) may 
not help me fill in the form and may not complete the form for me.  If using a form 
approved by the Supreme Court of Florida, (Name) may ask me factual questions 
to fill in the blanks on the form and may also tell me how to file the form. 
 
____ I can read English 
____ I cannot read English but this notice was read to me by 
(Name) in (Language) which I understand. 
 
(C) 
A copy of the disclosure, signed by both the nonlawyer 
and the person, shall be given to the person to retain and the nonlawyer shall keep 
a copy in the person's file.  The nonlawyer shall also keep copies for at least 6 
years of all forms given to the person being assisted.  The disclosure does not act 
as or constitute a waiver, disclaimer, or limitation of liability. 
 
 
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(2) 
It shall constitute the unlicensed practice of law for a person 
who does not meet the definition of paralegal or legal assistant as set forth 
elsewhere in these rules to use the title paralegal, legal assistant, or other similar 
term in offering to provide or in providing services directly to the public. 
 
(3) 
It shall constitute the unlicensed practice of law for a lawyer 
admitted in a state other than Florida to advertise to provide legal services in 
Florida which the lawyer is not authorized to provide. 
 
(b) 
Paralegal or Legal Assistant.  A paralegal or legal assistant is a 
person qualified by education, training, or work experience, who works under the 
supervision of a member of The Florida Bar and who performs specifically 
delegated substantive legal work for which a member of The Florida Bar is 
responsible.  A nonlawyer or a group of nonlawyers may not offer legal services 
directly to the public by employing a lawyer to provide the lawyer supervision 
required under this rule.  It shall constitute the unlicensed practice of law for a 
person who does not meet the definition of paralegal or legal assistant to use the 
title paralegal, legal assistant, or other similar term in offering to provide or in 
providing services directly to the public. 
 
(c) 
Nonlawyer or Nonattorney.  For purposes of this chapter, a 
nonlawyer or nonattorney is an individual who is not a member of The Florida Bar.  
This includes, but is not limited to, lawyers admitted in other jurisdictions, law 
students, law graduates, applicants to The Florida Bar, disbarred lawyers, and 
lawyers who have resigned from The Florida Bar.  A suspended lawyer, while a 
member of The Florida Bar during the period of suspension as provided elsewhere 
in these rules, does not have the privilege of practicing law in Florida during the 
period of suspension.  For purposes of this chapter, it shall constitute the 
unlicensed practice of law for a lawyer admitted in a state other than Florida to 
advertise to provide legal services in Florida which the lawyer is not authorized to 
provide. 
 
(d) – (k) 
[No Change] 
 
(l) 
The Board or Board of Governors.  The board or board of 
governors is the bBoard of gGovernors of The Florida Bar. 
 
(m) 
[No Change] 
 
 
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(n) 
Executive Committee.  The executive committee is the executive 
committee of the bBoard of gGovernors of The Florida Bar.  All acts and 
discretion required by the board under these rules may be exercised by its 
executive committee between meetings of the board as may from time to time be 
authorized by standing policies of the board of governors. 
 
 
 
RULE 10-2.2.  
FORM COMPLETION BY A NONLAWYER 
 
(a) Supreme Court Approved Forms.  It shall not constitute the 
unlicensed practice of law for a nonlawyer to engage in limited oral 
communication to assist a self-represented person in the completion of blanks on a 
Supreme Court Approved Form.  In assisting in the completion of the form, oral 
communication by nonlawyers is restricted to those communications reasonably 
necessary to elicit factual information to complete the blanks on the form and 
inform the self-represented person how to file the form.  The nonlawyer may not 
give legal advice or give advice on remedies or courses of action.  Legal forms 
approved by the Supreme Court of Florida which may be completed as set forth 
herein shall only include and are limited to the following forms, and any other 
legal form whether promulgated or approved by the Supreme Court is not a 
Supreme Court Approved Form for the purposes of this rule: 
 
(1) 
forms which have been approved by the Supreme Court of 
Florida specifically pursuant to the authority of rule 10-2.1(a) [formerly rule 10-
1.1(b)] of the Rules Regulating The Florida Bar; 
 
(2) 
the Family Law Forms contained in the Florida Family Law 
Rules of Procedure; and 
 
(3) 
the Florida Supreme Court Approved Family Law Forms 
contained in the Florida Family Law Rules of Procedure. 
 
(b) Forms Which Have Not Been Approved by the Supreme Court of 
Florida. 
 
(1) 
It shall not constitute the unlicensed practice of law for a 
nonlawyer to engage in a secretarial service, typing forms for self-represented 
persons by copying information given in writing by the self-represented person 
into the blanks on the form.  The nonlawyer must transcribe the information 
 
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exactly as provided in writing by the self-represented person without addition, 
deletion, correction, or editorial comment.  The nonlawyer may not engage in oral 
communication with the self-represented person to discuss the form or assist the 
self-represented person in completing the form. 
 
(2) 
It shall constitute the unlicensed practice of law for a nonlawyer 
to give legal advice, to give advice on remedies or courses of action, or to draft a 
legal document for a particular self-represented person.  It also constitutes the 
unlicensed practice of law for a nonlawyer to offer to provide legal services 
directly to the public. 
  
(c) As to All Legal Forms. 
 
(1) 
Except for forms filed by the petitioner in an action for an 
injunction for protection against domestic or repeat violence, the following 
language shall appear on any form completed by a nonlawyer and any individuals 
assisting in the completion of the form shall provide their name, business name, 
address, and telephone number on the form: 
 
This form was completed with the assistance of: 
…..(Name of Individual)….. 
…..(Name of Business)….. 
…..(Address)….. 
…..(Telephone Number)….. 
 
(2) 
Before a nonlawyer assists a person in the completion of a 
form, the nonlawyer shall provide the person with a copy of a disclosure which 
contains the following provisions: 
 
…..(Name)….. told me that he/she is a nonlawyer and may not give 
legal advice, cannot tell me what my rights or remedies are, cannot tell me how to 
testify in court, and cannot represent me in court. 
 
Rule 10-2.1(b) of the Rules Regulating The Florida Bar defines a 
paralegal as a person who works under the supervision of a member of The Florida 
Bar and who performs specifically delegated substantive legal work for which a 
member of The Florida Bar is responsible.  Only persons who meet the definition 
may call themselves paralegals.  …..(Name)….. informed me that he/she is not a 
paralegal as defined by the rule and cannot call himself/herself a paralegal. 
 
 
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…..(Name)….. told me that he/she may only type the factual 
information provided by me in writing into the blanks on the form.  Except for 
typing, …..(Name)….. may not tell me what to put in the form and may not 
complete the form for me.  However, if using a form approved by the Supreme 
Court of Florida, …..(Name)….. may ask me factual questions to fill in the blanks 
on the form and may also tell me how to file the form. 
 
………. I can read English 
 
………. I cannot read English but this notice was read to me by 
…..(Name)….. in …..(Language)….. which I understand. 
 
(3) 
A copy of the disclosure, signed by both the nonlawyer and the 
person, shall be given to the person to retain and the nonlawyer shall keep a copy 
in the person's file.  The nonlawyer shall also retain copies for at least 6 years of all 
forms given to the person being assisted.  The disclosure does not act as or 
constitute a waiver, disclaimer, or limitation of liability. 
 
 
 
RULE. 
14-1.2 JURISDICTION 
 
(a) 
Fee Arbitration.  The program shall have jurisdiction to resolve 
disputes between members of The Florida Bar or between a member of The Florida 
Bar and a client or clients over a fee paid, charged, or claimed for legal services 
rendered by a member of The Florida Bar when the parties to the dispute agree to 
arbitrate hereunderunder the program either by written contract that complies with 
the requirements of subdivision (i) of rule 4-1.5 or by a request for arbitration 
signed by all parties, or as a condition of probation or as a part of a discipline 
sanction as authorized elsewhere in these Rules Regulating The Florida Bar.  
Jurisdiction shall be limited to matters in which: 
 
(1) 
there is no bona fide disputed issue of fact other than the 
amount of or entitlement to legal fees; and 
 
(2) 
the amount of attorneys’ fees in controversy is $100,000 or less; 
and 
 
(3) 
it is estimated by all parties that all the evidence bearing on the 
disputed issues of fact may be heard in 8 hours or less. 
 
- 57 - 
 
The program shall not have jurisdiction to resolve disputes involving matters 
in which a court has taken jurisdiction to determine and award a reasonable fee to a 
party or that involve fees charged that constitute a violation of the Rules 
Regulating The Florida Bar, unless specifically referred to the program by the 
court or by bar counsel. 
 
The program shall have authority to decline jurisdiction to resolve any 
particular dispute by reason of its complexity and protracted hearing 
characteristics. 
 
(b) 
[No Change] 
 
 
 
RULE 14-6.1. 
BINDING NATURE; ENFORCEMENT; AND EFFECT 
OF FAILURE TO PAY AWARD 
 
(a) – (b) 
[No Change] 
 
(c) 
Effect of Failure to Pay Award.  Failure of a member of the bar to 
pay an award within 9030 days of the date on which the award became final, 
without just cause for such failure, shall result in the member being delinquent and 
not authorized to practice law, as provided elsewhere in these rules defining 
delinquent members. 
 
 
 
RULE 20-2.1. 
GENERALLY 
 
For purposes of this chapter, the following terms shall have the following 
meaning: 
 
(a) – (c) 
[No Change] 
 
(d) 
Approved Paralegal Program.  An approved paralegal program is a 
program approved by the American Bar Association (―ABA‖) or a program that is 
in substantial compliance with the ABA guidelines by being an institutional 
member of the American Association for Paralegal Education (AAfPE) and 
 
- 58 - 
accredited by a nationally recognized accrediting agency approved by the United 
States Department of Education. 
 
(e) – (j) 
[No Change] 
 
 
 
RULE 20-4.1. 
GENERALLY 
The following shall be filed with The Florida Bar by an individual seeking to 
be registered as a Florida Registered Paralegal: 
(a) – (c) 
[No Change] 
 
(d) 
Review by The Florida Bar.  Upon receipt of the items set forth in 
subdivision 20-4.1(a)-(c), The Florida Bar shall review the items for compliance 
with this chapter. Any incomplete submissions will be returned.  If the individual 
meets all of the requirements of this chapter, the individual shall be added to the 
roll of Florida Registered Paralegals and a certificate evidencing such registration 
shall be issued.  If there is an open unlicensed practice of law complaint against the 
individual, the application will be held as pending until the investigation is 
resolved. 
 
(e) 
Annual Renewal; Content and Registration Fee.  The registration 
pursuant to this subdivision shall be annual and consistent with that applicable to 
an attorney licensed to practice in the state of Florida.  An annual registration fee 
shall be set by the board in an amount not more than the annual fees paid by 
inactive members of The Florida Bar. The renewal shall contain a statement that 
the individual is primarily performing paralegal work as defined elsewhere in this 
chapter and a statement that the individual is not ineligible for registration set forth 
elsewhere in this chapter.  A Florida Registered Paralegal who is not primarily 
performing paralegal work shall not be eligible for renewal of the registration but 
may reapply for registration.  If there is an open unlicensed practice of law 
complaint against the individual, renewal will be held as pending until the 
investigation is resolved. 
 
 
 
RULE 20-5.1. 
GENERALLY 
 
 
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The following individuals are ineligible for registration as a Florida 
Registered Paralegal or for renewal of a registration that was previously granted: 
 
(a) 
a person who is currently suspended or disbarred or who has resigned 
in lieu of discipline from the practice of law in any state or jurisdiction; 
 
(b) 
a person who has been convicted of a felony in any state or 
jurisdiction and whose civil rights have not been restored; 
 
(c) 
a person who has been found to have engaged in the unlicensed 
(unauthorized) practice of law in any state or jurisdiction within 7 years of the date 
of application; 
 
(d) 
a person whose registration or license to practice has been terminated 
or revoked for disciplinary reasons by a professional organization, court, 
disciplinary board, or agency in any jurisdiction; 
 
(e) 
a person who is no longer primarily performing paralegal work as 
defined elsewhere in these rules; or 
 
(f) 
a person who fails to comply with prescribed continuing education 
requirements as set forth elsewhere in this chapter; or 
 
(g) 
a person who is providing services directly to the public as permitted 
by case law and subchapter 10-2 of these rules.