Title: In Re: Amendments to the Rules Regulating The Florida Bar - Biennial Petition
Citation: N/A
Docket Number: SC18-1683
State: Florida
Issuer: Florida Supreme Court
Date: January 4, 2019

Supreme Court of Florida 
 
 
____________ 
 
No. SC18-1683 
____________ 
 
 
IN RE:  AMENDMENTS TO THE RULES REGULATING THE FLORIDA 
BAR—BIENNIAL PETITION. 
 
January 4, 2019 
 
PER CURIAM. 
 
This matter is before the Court on the petition of The Florida Bar (Bar) 
proposing amendments to the Rules Regulating the Florida Bar (Bar Rules).  We 
have jurisdiction.  See art. V, § 15, Fla. Const. 
 
The Bar’s petition in this case proposes amendments to the following 
existing Bar Rules:  1-3.7 (Reinstatement to Membership); 2-3.11 (Quorum); 2-9.2 
(Standing Board Policies); 2-9.4 (Ethics); 2-9.6 (Rules of Order); 2-9.7 (Insurance 
for Members of Board of Governors, Officers, Grievance Committee Members, 
UPL Committee Members, Clients’ Security Fund Committee Members, and 
Employees); 3-7.2 (Procedures upon Criminal or Professional Misconduct; 
Discipline upon Determination or Judgment of Guilt of Criminal Misconduct; 
Discipline on Removal from Judicial Office); 3-7.10 (Reinstatement and 
 
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Readmission Procedures); 3-7.11 (General Rules of Procedure); 4-1.2 (Objectives 
and Scope of Representation); 4-1.5 (Fees and Costs for Legal Services); 4-1.10 
(Imputation of Conflicts of Interest; General Rule); 4-1.19 (Collaborative Law 
Process in Family Law); 4-5.8 (Procedures for Lawyers Leaving Law Firms and 
Dissolution of Law Firms); 4-6.5 (Voluntary Pro Bono Plan); 4-8.3 (Reporting 
Professional Misconduct); 6-1.2 (Public Notice); 6-10.3 (Minimum Continuing 
Legal Education Standards); 14-6.1 (Binding Nature; Enforcement; and Effect of 
Failure to Pay Award); 14-7.1 (Immunity and Confidentiality); 18-1.2 
(Definitions); 20-3.1 (Requirements for Registration); 20-5.2 (Duty to Update); 20-
6.1 (Generally); 20-8.3 (Complaint Processing); and 20-8.6 (Disposition of 
Complaints).  Additionally, the Bar proposes deleting Bar Rules 2-9.8 (Practice 
Resource Institute) and 3-7.15 (Amendments) in their entirety because they are 
duplicative of subdivisions of other Bar Rules.  The proposals were approved by 
the Board of Governors and formal notice of the proposed amendments was 
published in The Florida Bar News, which invited comments from interested 
parties.  No comments were received. 
 
After having fully considered the Bar’s petition, we adopt most of the 
amendments as proposed by the Bar and delete rules 2-9.8 and 3-7.15 in their 
entirety, as proposed by the Bar.  However, as discussed below, we decline to 
 
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adopt portions of the amendments proposed to rule 3-7.2, and we adopt modified 
amendments to rule 20-3.1.  We discuss the more significant amendments below. 
 
First, we amend Bar Rule 1-3.7 to increase the required number of 
continuing legal education hours in subdivision (c) for retired or delinquent 
attorneys seeking reinstatement from ten to eleven hours for each year or partial 
year of retirement or delinquency.  Subdivision (g)(2) is also amended to require 
inactive members who are seeking reinstatement to complete thirty-three hours of 
continuing legal education, rather than thirty hours.  These changes are made 
following this Court’s opinion in In re Amendments to Rules Regulating the 
Florida Bar 4-1.1 & 6-10.3, 200 So. 3d 1225 (Fla. 2016), in which the three-year 
continuing legal education requirement was increased from thirty hours to thirty-
three hours. 
 
Next, we amend Bar Rules 2-3.11, 2-9.2, and 2-9.6 to allow the Bar, and 
divisions thereof, to conduct electronic meetings.  Specifically, Bar Rule 2-3.11 is 
renamed to “Electronic Meetings” and is rewritten to explicitly allow the Bar and 
divisions thereof to conduct electronic meetings.  The title of Bar Rule 2-9.2 is 
amended to read “Adoption, Amendment, and Waiver of Standing Board Policies 
and Rules of Order,” and the text of the rule is amended to provide that in addition 
to standing board policies, the Board of Governors may adopt “special rules of 
order governing parliamentary procedures.”  The text of Bar Rule 2-9.6 is amended 
 
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to provide that Robert’s Rules of Order is the parliamentary authority that governs 
meetings of the Bar to the extent that it does not conflict with any standing board 
policies or special rules of order; if there is a conflict, the standing board policies 
or special rules of order will control. 
 
We next amend Bar Rule 3-7.2 to make clear that it is an attorney’s duty to 
report pending criminal charges and any judgment thereon to the Bar.  Several 
subdivisions throughout the rule are rewritten for readability and to make clear the 
duties imposed by the rule, and upon whom those duties are imposed.  However, 
we decline to adopt the Bar’s proposed amendment to subdivision (f) that would 
make discretionary the Bar’s now-mandatory duty to file a Notice of 
Determination or Judgment of Guilt with the Court upon discovery that an attorney 
has been adjudicated guilty of a felony.  Although the Bar expresses concern over 
having no discretion in cases involving a finding of guilt of a felony that requires 
no intent because the rule provides for the automatic interim suspension of the 
attorney, we find that the seriousness of having been found guilty of a felony 
offense militates in favor of this Court retaining the ability to review the 
circumstances surrounding the finding of guilt.  Accordingly, we decline to adopt 
the Bar’s proposed amendment in this regard.  We note, however, that any concern 
that a sanction resulting from having been found guilty of a felony offense that 
requires no intent will be too severe is addressed by the procedures already present 
 
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in the rule; subdivision (h) provides that the matter will be referred to a referee 
who can make a recommendation to the Court as to the appropriate sanction for the 
attorney’s conduct, which the Court considers in imposing the final discipline. 
 
We next amend subdivision (f)(4)(B) of Bar Rule 3-7.10 to make clear that 
attorneys seeking reinstatement that are required under that subdivision to 
complete the Florida bar examination or a portion thereof must have proof of 
having passed the required portions of the examination prior to filing a petition for 
reinstatement under that rule. 
 
Additionally, we amend subdivision (h) within Bar Rule 4-1.5 to replace the 
provision that “[n]o higher fee shall be charged and no additional charge shall be 
imposed by reason of a lawyer’s or law firm’s participation in a credit plan” with a 
statement that “[l]awyers may charge clients the actual charge the credit plan 
imposes on the lawyer for the client’s transaction.”  By so doing, we hereby allow 
lawyers to pass on the actual costs resulting directly from a client’s choice to pay a 
bill or invoice with a credit card, or make payments under a credit plan, to that 
client. 
 
We next amend Bar Rule 6-10.3 to require that one of the five credit hours 
of continuing legal education per three-year reporting cycle that is required to 
concern legal ethics, professionalism, bias elimination, substance abuse, or mental 
illness awareness must concern professionalism.  Additionally, we amend the 
 
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definition of “supervising lawyer” contained in Bar Rule 18-1.2(c) to make clear 
that a supervising lawyer under that rule must be “eligible to practice law in 
Florida.” 
 
Next, we amend various rules governing the Florida Registered Paralegal 
Program.  First, we amend Bar Rule 20-3.1 to create an additional category of 
individuals who may become Florida Registered Paralegals; however, we modify 
the language proposed by the Bar to create the category for those with “a juris 
doctorate degree from an American Bar Association accredited institution and 
membership in good standing with a state bar association other than Florida’s, with 
no minimum paralegal work experience.”  We also amend Bar Rule 20-5.2 to 
provide that the Bar will notify a registered paralegal’s supervising or employing 
attorney of any changes to the paralegal’s registration status.  Further, we amend 
Bar Rule 20-6.1 to increase the continuing education requirement for registered 
paralegals from thirty hours every reporting cycle to thirty-three hours, and 
requiring three of those hours to concern technology.  Additionally, we increase 
the number of continuing education hours required for re-registering after 
resigning or having one’s registration revoked from ten hours to eleven.  These 
increases are consistent with recent increases that we have made with regard to 
required continuing legal education requirements for lawyers.  Last, we amend 
subdivision (e) of Bar Rule 20-8.3 to require a registered paralegal to notify the 
 
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supervising attorney if a complaint has been filed against the paralegal pursuant to 
that rule. 
 
Finally, we delete two rules in their entirety because they are duplicative of 
provisions found elsewhere in the rules.  Bar Rule 2-9.8 is deleted as duplicative of 
Bar Rule 2-3.2(d)(7).  Additionally, Bar Rule 3-7.15 is deleted as duplicative of 
Bar Rule 1-12.1(f). 
 
Accordingly, the Court adopts the amendments to the Rules Regulating the 
Florida Bar as set forth in the appendix to this opinion.  Deletions are indicated by 
struck-through type, and new language is indicated by underscoring.  The 
comments are offered for explanation and guidance only and are not adopted as an 
official part of the rules.  The amendments shall become effective on March 5, 
2019. 
 
It is so ordered. 
CANADY, C.J., and PARIENTE, LEWIS, QUINCE, POLSTON, LABARGA, 
and LAWSON, JJ., concur. 
 
NO MOTION FOR REHEARING WILL BE ALLOWED. 
 
Original Proceeding – Rules Regulating The Florida Bar 
 
Joshua E. Doyle, Executive Director, Michelle R. Suskauer, President, John 
Stewart, President-Elect, Lori S. Holcomb, Director, Division of Ethics and 
Consumer Protection, and Elizabeth Clark Tarbert, Ethics Counsel, The Florida 
Bar, Tallahassee, Florida,  
 
 
for Petitioner 
 
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APPENDIX 
CHAPTER 1 GENERAL 
1-3 MEMBERSHIP 
RULE 1-3.7  REINSTATEMENT TO MEMBERSHIP 
(a)  Eligibility for Reinstatement.  Members who have retired or been 
delinquent for a period of time not in excess of 5 years are eligible for 
reinstatement under this rule.  Time will be calculated from the day of the 
retirement or delinquency. 
Inactive members may also seek reinstatement under this rule. 
(b)  Petitions Required.  A member seeking reinstatement must file a petition 
with the executive director setting forth the reason for inactive status, retirement, 
or delinquency and showing good cause why the petition for reinstatement should 
be granted.  The petitioner must include all required information on a form 
approved by the board of governors.  The petition must be accompanied by a 
nonrefundable reinstatement fee of $150 and payment of all arrearages unless 
adjusted by the executive director with concurrence of the executive committee for 
good cause shown.  Inactive members are not be required to pay the reinstatement 
fee.  No member will be reinstated if, from the petition or from investigation 
conducted, the petitioner is not of good moral character and morally fit to practice 
law or if the member is delinquent with the continuing legal education or basic 
skills course requirements. 
If the executive director is in doubt as to approval of a petition, the executive 
director may refer the petition to the board of governors for its action. Action of 
the executive director or board of governors denying a petition for reinstatement 
may be reviewed on petition to the Supreme Court of Florida. 
(c)  Members Who Have Retired or Been Delinquent for Less Than 5 
Years, But More Than 3 Years.  Members who have retired or been delinquent 
for less than 5 years, but more than 3 years, must complete 1011 hours of 
continuing legal education courses for each year or portion of a year that the 
member had retired or was deemed delinquent. 
(d)  Members Who Have Retired or Been Delinquent for 5 Years or More.  
Members who have retired or have been deemed delinquent for a period of 5 years 
or longer will not be reinstated under this rule and must be readmitted upon 
application to the Florida Board of Bar Examiners and approval by the Supreme 
Court of Florida. 
 
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(e)  Members Who Have Permanently Retired.  Members who have 
permanently retired will not be reinstated under this rule.  
(f)  Members Delinquent 60 Days or Less.  Reinstatement from delinquency 
for payment of membership fees or completion of continuing legal education or 
basic skills course requirements approved within 60 days from the date of 
delinquency is effective on the last business day before the delinquency.  Any 
member reinstated within the 60-day period is not subject to disciplinary sanction 
for practicing law in Florida during that time. 
(g)  Inactive Members.  Inactive members may be reinstated to active 
membership in good standing to become eligible to practice law in Florida by 
petition filed with the executive director, in the form and as provided in (b) above, 
except: 
(1)  If the member has been inactive for greater than 5 years, has been 
authorized to practice law in another jurisdiction, and either actively practiced 
law in that jurisdiction or held a position that requires a license as a lawyer for 
the entire period of time, the member will be required to complete the Florida 
Law Update continuing legal education course as part of continuing legal 
education requirements. 
(2)  If the member has been inactive for greater than 5 years and does not 
meet the requirements of subdivision (1), the member will be required to 
complete the basic skills course requirement and the 30-hour33-hour 
continuing legal education requirement. 
(3)  An inactive member is not eligible for reinstatement until all applicable 
continuing legal education requirements have been completed and the 
remaining portion of membership fees for members in good standing for the 
current fiscal year have been paid. 
CHAPTER 2 BYLAWS OF THE FLORIDA BAR 
2-3 BOARD OF GOVERNORS 
BYLAW 2-3.11  QUORUMELECTRONIC MEETINGS 
A majority of the members of the board of governors shall constitute a quorum 
for the transaction of business at all meetings.Electronic meetings are authorized 
for all meetings of The Florida Bar; its board of governors; the executive 
committee and committees of its board of governors; and its sections, divisions, 
and committees.  Special rules of order pertaining to the conduct of electronic 
meetings may be adopted by the board of governors. 
 
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2-9 POLICIES AND RULES  
BYLAW 2-9.2  ADOPTION, AMENDMENT, AND WAIVER OF 
STANDING BOARD POLICIES AND RULES OF ORDER 
The board of governors shallmay adopt standing board policies governing the 
internal administration and operation and special rules of order governing 
parliamentary procedures of The Florida Bar and the board of governors.  The 
board of governors may adopt, amend, or rescind standing board policies and 
special rules of order by a majority vote of the membership of the board of 
governors provided any amendment to any standing board policy or special rules 
of order shallis not be effective until 30 days after adoption or another date 
specifically approved by the board of governors.  Such standingStanding board 
policies and special rules of order may be adopted, rescinded, or amended by a 
majority vote of those present at any regular meeting of the board of governors 
provided advance written notice is given to the members of the board of governors 
of the proposed adoption, repeal, or amendment of any standing board policy or 
special rules of order.  The provision of any standing board policy or special rule 
of order may be waived by a two-thirds vote of those present at any regular 
meeting of the board of governors. 
BYLAW 2-9.4  ETHICS 
(a)  Rules of Procedure.  The board of governors shall adopts rules of 
procedure governing the manner in which opinions on professional ethics may be 
solicited by members of The Florida Bar, issued by the staff of The Florida Bar or 
by the professional ethics committee, circulated or published by the staff of The 
Florida Bar or by the professional ethics committee, and appealed to the board of 
governors of The Florida Bar. 
(b)  Amendment.  The adoption of, repeal of, or amendment to the rules 
authorized by subdivision (a) shall beis effective only under the following 
circumstances: 
(1)  The proposed rule, repealer, or amendment shall beis approved by a 
majority vote of the board of governors at any regular meeting of the board of 
governors. 
(2)  The proposal thereafter shall beis published in The Florida Bar 
NewsNews at least 20 days preceding the next regular meeting of the board of 
governors. 
 
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(3)  The proposal shall thereafter receives a majority vote of the board of 
governors at its meeting following publication as herein required. 
(c)  Waiver.  The rules of procedure adopted as required in subdivision (a) 
may be temporarily waived as to any particular matter only upon unanimous vote 
of those present at any regular meeting of the board of governors. 
(d)  Confidentiality.  Each advisory opinion issued by Florida Bar ethics 
counsel shallwill be identified as a "staff opinion" and shall be available for 
inspection or production.  The names and any identifying information of any 
individuals mentioned in a staff opinion shallwill be deleted before the staff 
opinion is released to anyone other than the member of The Florida Bar making the 
original request for the advisory opinion. 
(e)  Disqualification as AttorneyLawyer Due to Conflict. 
(1)  Members of the Professional Ethics Committee (PEC), Members of the 
Board of Governors, and Employees of The Florida Bar.  No member of the 
PEC, the board of governors, or employee of The Florida Bar shall represent a 
party other than The Florida Bar in proceedings for the issuance of opinions on 
professional ethics authorized under these Rules Regulating The  Florida Bar. 
(2)  Former Members of the PEC, Former Board Members, and Former 
Employees.  No former member of  the PEC, former member of the board of 
governors, or former employee of The Florida Bar shall represent any party 
other than The Florida Bar in proceedings for the issuance of opinions on 
professional ethics authorized under these rules if personally involved to any 
degree in the matter while a member of the PEC, a member of the board of 
governors, or an employee of The Florida Bar. 
A former member of the PEC, former member of the board of governors, 
or former employee of The Florida Bar who did not participate personally in 
any way in the matter or any related matter in which the attorney seeks to be a 
representative, and who did not serve in a supervisory capacity over such 
matter, shall not represent any party except The Florida Bar in proceedings for 
the issuance of opinions on professional ethics authorized under these rules for 
1 year after such service without the express consent of the board. 
(3)  Partners, Associates, Employers, or Employees of the Firms of PEC 
Members or Board of Governors Members Precluded From Representing 
Parties Other Than The Florida Bar.  Members of the firms of board of 
governors members or PEC members shall not represent any party other than 
 
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The Florida Bar in proceedings for the issuance of opinions on professional 
ethics authorized under these rules without the express consent of the board. 
(4)  Partners, Associates, Employers, or Employees of the Firms of Former 
PEC Members or Former Board of Governors Members Precluded From 
Representing Parties Other Than The Florida Bar.  Attorneys in the firms of 
former board of governors members or former PEC members shall not 
represent any party other than The Florida Bar in proceedings for the issuance 
of opinions on professional ethics authorized under these rules for 1 year after 
the former member's service without the express consent of the board. 
(1)  Representation Prohibited.  Lawyers may not represent any person or 
entity other than The Florida Bar in proceedings for the issuance of opinions on 
professional ethics authorized by these rules if they are: 
(A)  currently serving on the professional ethics committee or the board 
of governors; 
(B)  employees of The Florida Bar; or 
(C)  former members of the professional ethics committee, former 
members of the board of governors, or former employees of The Florida 
Bar if personally involved to any degree in the matter while a member of 
the professional ethics committee or the board of governors, or while an 
employee of The Florida Bar. 
(2)  Representation Permitted With Consent by the Board of Governors.  
Lawyers may represent a person or entity other than The Florida Bar in 
proceedings for the issuance of opinions on professional ethics authorized by 
these rules only after receiving consent from the executive director or board of 
governors if they are: 
(A)  former members of the professional ethics committee, former 
members of the board of governors, or former employees of The Florida 
Bar who did not participate personally in any way in the matter or in any 
related matter in which the lawyer seeks to be a representative and who did 
not serve in a supervisory capacity over the matter within 1 year of the 
service or employment; 
(B)  a partner, associate, employer, or employee of a member of the 
professional ethics committee or a member of the board of governors; or 
 
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(C)  a partner, associate, employer, or employee of a former member of 
the professional ethics committee or a former member of the board of 
governors within 1 year of the former member’s service on the professional 
ethics committee or board of governors. 
(3)  Participation in Issuance of Ethics Proceedings for Oneself.  The 
disqualification under this rule does not prohibit lawyers described above from 
participating on their own behalf in proceedings for the issuance of opinions on 
professional ethics authorized by these rules and the Florida Bar Procedures for 
Ruling on Questions of Ethics. 
BYLAW 2-9.6  RULES OF ORDER 
The current edition of Robert's Rules of Order shall be the rules thatis the 
parliamentary authority that governs the conduct of all meetings of The Florida 
Bar, its board of governors, its sections, divisions, and committees, except for 
Robert's Rules of Order that are inconsistent with these bylaws and the bar's 
Special Rules of Order as set forth in the Standing Board Policies or in section or 
division bylaws. 
BYLAW 2-9.7  INSURANCE FOR MEMBERS OF BOARD OF 
GOVERNORS, OFFICERS, GRIEVANCE COMMITTEE MEMBERS, UPL 
COMMITTEE MEMBERS, CLIENTS' SECURITY FUND COMMITTEE 
MEMBERS, AND EMPLOYEES 
AppropriateThe bar will provide insurance coverage for members of the board 
of governors, officers of The Florida Bar, members of UPL, clients' security fund, 
and grievance committees, and employees of The Florida Bar shall be provided as 
authorized by the budget committee and included in the budget.  The bar will 
indemnify officers, board of governors, UPL, clients' security fund, and grievance 
committee members and bar employees as provided in the standing board policies.  
To the extent the person is not covered by insurance, The Florida Bar shall 
indemnify any officer, board member, UPL, clients' security fund, or grievance 
committee member, or employee of The Florida Bar who was or is a party, or is 
threatened to be made a party to any threatened, pending, or completed action, suit, 
or proceeding, whether civil, criminal, administrative, or investigative (other than 
an action by The Florida Bar), by reason of the fact that the person is or was an 
officer, board member, UPL, clients' security fund, or grievance committee 
member, or employee of The Florida Bar, against expenses (including attorneys' 
fees), judgments, fines, and amounts paid in settlement, actually and reasonably 
incurred by the person in connection with such action, suit, or proceeding, 
 
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including any appeal thereof, if the person acted in good faith and in a manner  
reasonably believed to be in, or not opposed to, the best interests of The Florida 
Bar, and with respect to any criminal action or proceeding, had no reasonable 
cause to believe the conduct was unlawful.  The termination of any action, suit, or 
proceeding by judgment, order, settlement, or conviction or upon a plea of nolo 
contendere or its equivalent shall not of itself create a presumption that the person 
did not act in good faith and in a manner that the person reasonably believed to be 
in, or not opposed to, the best interests of The Florida Bar, or with respect to any 
criminal action or proceeding, had reasonable cause to believe that the conduct was 
unlawful. 
BYLAW 2-9.8  PRACTICE RESOURCE INSTITUTERESERVED FOR 
FUTURE USE 
The board of governors creates the Practice Resource Institute and will adopt 
standing board policies, as provided in bylaw 2-9.2, that govern the operation of 
the institute. 
CHAPTER 3 RULES OF DISCIPLINE 
3-7 PROCEDURES 
RULE 3-7.2  PROCEDURES UPON CRIMINAL OR PROFESSIONAL 
MISCONDUCT; DISCIPLINE UPON DETERMINATION OR JUDGMENT 
OF GUILT OF CRIMINAL MISCONDUCT; DISCIPLINE ON REMOVAL 
FROM JUDICIAL OFFICE 
(a)  Definitions. 
(1)  Judgment of Guilt.  For the purposes of these rules, “judgment of guilt” 
includes only those cases in which the trial court in the criminal proceeding 
enters an order adjudicating the respondent guilty of the offense(s) charged. 
(2)  Determination of Guilt.  For the purposes of these rules, “determination 
of guilt” includes those cases in which the trial court in the criminal proceeding 
enters an order withholding adjudication of the respondent’s guilt of the 
offense(s) charged, those cases in which the convicted lawyer has entered a 
plea of guilty to criminal charges, those cases in which the convicted lawyer 
has entered a no contest plea to criminal charges, those cases in which the jury 
has rendered a verdict of guilty of criminal charges, and those cases in which 
the trial judge in a bench trial has rendered a verdict of guilty of criminal 
charges. 
 
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(3)  Convicted Lawyer.  For the purposes of these rules, “convicted lawyer” 
means a lawyer who has had either a determination or judgment of guilt 
entered by the trial court in the criminal proceeding. 
(b)  Determination or Judgment of Guilt, Admissibility; Proof of Guilt.  
Determination or judgment of guilt of a member of The Florida Bar by a court of 
competent jurisdiction upon trial of or plea to any crime under the laws of this 
state, or under the laws under which any other court making suchthe determination 
or entering suchthe judgment exercises its jurisdiction, is admissible in proceedings 
under these rules and is conclusive proof of guilt of the criminal offense(s) charged 
for the purposes of these rules. 
(c)  Notice of Institution of Felony Criminal Charges.  Upon the institution 
of a felony criminal charge against a member of The Florida Bar by the filing of an 
indictment or information theAny member of The Florida Bar who is the subject of 
a felony criminal charge must within 10 days of the institution of the felony 
criminal charges notify the executive director of The Florida Bar of suchthe 
charges within 10 days of the filing of the indictment or information and include a 
copy of the indictment or information.  Notice includes a copy of the document(s) 
evidencing institution of the charges. 
If the state attorney whose office is assigned to a felony criminal case is aware 
that the defendant is a member of The Florida Bar, the state attorney must provide 
a copy of the indictment or information to the executive director. 
(d)  Notice of Determination or Judgment of Guilt of Felony Charges. 
(1)  Trial Judge.  If any such determination or judgment is entered in a 
court of the State of Florida, theThe trial judge must, within 10 days of the date 
on which the determination or judgment is entered, give notice provide a 
certified copy of the determination or judgment of guilt of a felony offense to 
the executive director of The Florida Bar and include a certified copy of the 
document(s) on which the determination or judgment was enteredwithin 10 
days of its entry. 
(2)  Clerk of Court.  If any such determination or judgment is entered in a 
court of the State of Florida, theThe clerk of that court must, within 10 days of 
the date on which the determination or judgment is entered, give notice provide 
a certified copy of the determination or judgment of guilt of a felony offense to 
the executive director and include a certified copy of the document(s) on which 
the determination or judgment was enteredwithin 10 days of its entry. 
 
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(3)  State Attorney.  If the state attorney whose office is assigned to a 
felony criminal case is aware that the defendant is a member of The Florida 
Bar, theThe state attorney whose office is assigned that case must give notice 
ofprovide a copy of the documents evidencing the determination or judgment 
of guilt of a felony offense to the executive director the determination or 
judgment of guilt to the executive director and include a copy of the 
document(s) evidencing such determination or judgmentif the state attorney is 
aware that the defendant is a member of The Florida Bar. 
(e)  Notice of Self-Reporting by Members of Determination or Judgment 
of Guilt of All Criminal Charges.   
A member of The Florida Bar must within 10 days of entry of a determination 
or judgment for any criminal offense, which was entered on or after August 1, 
2006, notify the executive director of The Florida Bar of such determination or 
judgment.  Notice must includeprovide a copy of the document(s) on which such 
determination or judgment was enteredentering a determination or judgment for 
any criminal offense against that member entered on or after August 1, 2006 to the 
executive director within 10 days of its entry. 
(f)  Suspension by Judgment of Guilt (Felonies).  Upon receiving notice that 
a member of the bar has been determined to be or adjudicated guilty of a felony, 
the barThe Florida Bar will file a “Notice of Determination or Judgment of Guilt” 
or a consent judgment for disbarment or disciplinary revocation in the Supreme 
Court of Florida on receiving notice that a member of the bar has been determined 
to be or adjudicated guilty of a felony.  A copy of the document(s) on which the 
determination or judgment is based must be attached to the notice.  Upon the filing 
of the notice with the Supreme Court of Florida and service of such notice upon the 
respondent, theThe respondent is suspended as a member of The Florida Bar as 
defined in rule 3-5.1(e) on filing of the notice with the Supreme Court of Florida 
and service of the notice on the respondent. 
(g)  Petition to Modify or Terminate Suspension.  At any time after the filing 
of a notice of determination or judgment of guilt, theThe respondent may file a 
petition with the Supreme Court of Florida to modify or terminate such suspension 
at any time after the filing of a notice of determination or judgment of guilt.and  
The respondent must serve a copy of the petition on the executive director.  The 
filing of such petition will not operate as a stay of the suspension imposed under 
the authority of this rule will not be stayed by filing a petition to modify or 
terminate suspension. 
 
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(h)  Appointment of Referee.  Upon the entry of an order of suspension, as 
provided above, the supreme court mustThe Supreme Court of Florida will 
promptly appoint or direct the appointment of a referee on the entry of an order of 
suspension as provided above. 
(1)  Hearing on Petition to Terminate or Modify Suspension.  The referee 
must hear a petition to terminate or modify a suspension imposed under this 
rule within 7 days of appointment and submit a report and recommendation to 
the Supreme Court of Florida within 7 days of the date of the hearing.  The 
referee will recommend termination or modification of the suspension only if 
the suspended member can demonstrate that the member is not the convicted 
person or that the criminal offense is not a felony. 
(2)  Hearing on Sanctions.  In addition to conducting a hearing on a 
petition to terminate or modify a suspension entered under this rule, theThe 
referee may also hear argument concerning the appropriate sanction to be 
imposed and file a report and recommendation with the supreme court in the 
same manner and form as provided in rule 3-7.6(m) of these rules.  The hearing 
must be held and a report and recommendation filed with the supreme court 
within 90 days of assignment as referee. 
The respondent may challenge the imposition of a sanction only on the 
grounds of mistaken identity or whether the conduct involved constitutes a 
felony under applicable law.  The respondent may present relevant character 
evidence and relevant matters of mitigation regarding the proper sanction to be 
imposed.  The respondent cannot contest the findings of guilt in the criminal 
proceedings.  A respondent who entered a plea in the criminal proceedings is 
allowed to explain the circumstances concerning the entry of the plea for 
purposes of mitigation. 
The report and recommendations of the referee may be reviewed in the 
same manner as provided in rule 3-7.7 of these rules. 
(i)  Appeal of Conviction.  If an appeal is taken by the respondent from the 
determination or judgment in the criminal proceeding, theThe suspension will 
remain in effect during theany appeal of the determination or judgment of guilt of a 
felony offense in the criminal proceeding.  If on review the cause is remanded for 
further proceedings, theThe suspension will remain in effect until the final 
disposition of the criminal cause if remanded for further proceedings and until the 
respondent's civil rights have been restored and the respondent has been reinstated 
 
- 18 - 
unless modified or terminated by the Supreme Court of Florida as elsewhere 
provided. 
Further, the suspension imposed will remain in effect until civil rights have 
been restored and until the respondent is reinstated. 
(j)  Expunction. Upon motion of the respondent, theThe Supreme Court of 
Florida may expunge a sanction entered under this rule when a final disposition of 
the criminal cause has resulted in acquittal or dismissal on motion of the 
respondent.  A respondent who is the subject of a sanction that is expunged under 
this rule may lawfully deny or fail to acknowledge the sanction, except when the 
respondent is a candidate for election or appointment to judicial office, or as 
otherwise required by law. 
(k)  Waiver of Time Limits.  The respondent may waive the time 
requirements set forth in this rule by written request made to and approved by the 
referee or supreme court. 
(l)  Professional Misconduct in Foreign Jurisdiction. 
(1)  Notice of Discipline by a Foreign Jurisdiction.  A member of The 
Florida Bar who has submitted a disciplinary resignation or otherwise 
surrendered a license to practice law in lieu of disciplinary sanction, or has 
been disbarred or suspended from the practice of law by a court or other 
authorized disciplinary agency of another state or by a federal court must 
within 30 days after the effective date of the disciplinary resignation, 
disbarment or suspensionmust file a copy of any order or judgment by a court 
or other authorized disciplinary agency of another state or by a federal court 
effecting a disciplinary resignation, disciplinary revocation, disbarment, or 
suspension or any other surrender of the member's license to practice law in 
lieu of discipline with the Supreme Court of Florida and the executive director 
of The Florida Bar a copy of the order or judgment effecting such disciplinary 
resignation, disbarment or suspensionwithin 30 days of its effective date. 
(2)  Effect of Adjudication or Discipline by a Foreign Jurisdiction.  On 
petition of The Florida Bar supported by a copy of a final adjudication by a 
foreign court or disciplinary authority, theThe Supreme Court of Florida may 
issue an order suspending on an emergency basis the member who is the 
subject of the final adjudication on an emergency basis on petition of The 
Florida Bar attaching a copy of the final adjudication by a foreign court or 
disciplinary authority.  All of the conditions not in conflict with this rule 
 
- 19 - 
applicable to issuance of emergency suspension orders elsewhere within these 
Rules Regulating The Florida Bar are applicable to orders entered under this 
rule. 
(m)  Discipline Uponon Removal Fromfrom Judicial Office.  
(1)  Notice of Removal.  If an order of the Supreme Court of Florida 
removes a member of The Florida Bar from judicial office for judicial 
misconduct, theThe clerk of the supreme courtSupreme Court of Florida will 
forward a copy of theany order of removalremoving a member of The Florida 
Bar from judicial office for judicial misconduct to the executive director of The 
Florida Bar. 
(2)  Filing of Formal Complaint.  Upon receipt of an order removing a 
member from judicial office for judicial misconduct, the barThe Florida Bar 
may file a formal complaint with the courtSupreme Court of Florida and seek 
appropriate discipline on receipt of an order removing a member from judicial 
office for judicial misconduct. 
(3)  Admissibility of Order; Conclusive Proof of Facts.  The order of 
removal is admissible in proceedings under these rules and is conclusive proof 
of the facts on which the judicial misconduct was found by the courtSupreme 
Court of Florida. 
(4)  Determination of Lawyer Misconduct.  The issue of whether the facts 
establishing the judicial misconduct also support a finding of lawyer 
misconduct are determined by the referee based on the record of the 
proceedings. 
RULE 3-7.10  REINSTATEMENT AND READMISSION PROCEDURES 
(a)  Reinstatement; Applicability.  A lawyer who is ineligible to practice due 
to a court-ordered disciplinary suspension of 91 days or more or who has been 
placed on the inactive list for incapacity not related to misconduct may be 
reinstated to membership in good standing in The Florida Bar and be eligible to 
practice again pursuant to this rule.  The proceedings under this rule are not 
applicable to any lawyer who is not eligible to practice law due to a delinquency as 
defined in rule 1-3.6 of these rules. 
 
- 20 - 
(b)  Petitions; Form and Contents. 
(1)  Filing.  The original petition for reinstatement must be verified by the 
petitioner and filed with the Supreme Court of Florida in compliance with the 
Florida Rules of Civil Procedure and the Florida Rules of Judicial 
Administration.  A copy must be served on Staff Counselstaff counsel, The 
Florida Bar, in compliance with applicable court rules.  The petition for 
reinstatement may not be filed until the petitioner has completed at least 80% 
of the term of that lawyer’s period of suspension. 
(2)  Form and Exhibits.  The petition must be in the form and accompanied 
by the exhibits provided for elsewhere in this rule.  The information required 
concerning the petitioner may include any or all of the following matters in 
addition to any other matters that may be reasonably required to determine the 
fitness of the petitioner to resume the practice of law: criminal and civil 
judgments; disciplinary judgments; copies of income tax returns together with 
consents to secure original returns; occupation during suspension and 
employment related information; financial statements; and statement of 
restitution of funds that were the subject matter of disciplinary proceedings.  In 
cases seeking reinstatement from incapacity, the petition must also include 
copies of all pleadings in the matter leading to placement on the inactive list 
and all other matters reasonably required to demonstrate the character and 
fitness of the petitioner to resume the practice of law. 
(c)  Deposit for Cost.  The petition must be accompanied by proof of a deposit 
paid to The Florida Bar in the amount the board of governors prescribes to ensure 
payment of reasonable costs of the proceedings, as provided elsewhere in this rule. 
(d)  Reference of Petition for Hearing.  The chief justice will refer the 
petition for reinstatement to a referee for hearing; provided, however, that no such 
referral will be made until evidence is submitted showing that all costs assessed 
against the petitioner in all disciplinary or incapacity proceedings have been paid 
and restitution has been made. 
(e)  Bar Counsel.  When a petition for reinstatement is filed, the board of 
governors or staff counsel, if authorized by the board of governors, may appoint 
bar counsel to represent The Florida Bar in the proceeding.  The lawyer’s duty is to 
appear at the hearings and to prepare and present to the referee evidence that, in the 
opinion of the referee or lawyer, will be considered in passing upon the petition. 
 
- 21 - 
(f)  Determination of Fitness by Referee Hearing.  The referee to whom the 
petition for reinstatement is referred must conduct the hearing as a trial, in the 
same manner, to the extent practical, as provided elsewhere in these rules.  The 
referee must decide the fitness of the petitioner to resume the practice of law.  In 
making this determination, the referee will consider whether the petitioner has 
engaged in any disqualifying conduct, the character and fitness of the petitioner, 
and whether the petitioner has been rehabilitated, as further described in this 
subdivision.  All conduct engaged in after the date of admission to The Florida Bar 
is relevant in proceedings under this rule. 
(1)  Disqualifying Conduct.  A record manifesting a deficiency in the 
honesty, trustworthiness, diligence, or reliability of a petitioner may constitute 
a basis for denial of reinstatement.  The following are considered disqualifying 
conduct: 
(A)  unlawful conduct; 
(B)  academic misconduct; 
(C)  making or procuring any false or misleading statement or omission 
of relevant information, including any false or misleading statement or 
omission on any application requiring a showing of good moral character; 
(D)  misconduct in employment; 
(E)  acts involving dishonesty, fraud, deceit, or misrepresentation; 
(F)  abuse of legal process; 
(G)  financial irresponsibility; 
(H)  neglect of professional obligations; 
(I)  violation of an order of a court; 
(J)  evidence of mental or emotional instability; 
(K)  evidence of drug or alcohol dependency; 
(L)  denial of admission to the bar in another jurisdiction on character 
and fitness grounds; 
 
- 22 - 
(M)  disciplinary action by a lawyer disciplinary agency or other 
professional disciplinary agency of any jurisdiction; 
(N)  failure of a felony-suspended lawyer to submit proof that the 
affected lawyer’s civil rights have been restored; and 
(O)  any other conduct that adversely reflects on the character or fitness 
of the applicant. 
(2)  Determination of Character and Fitness.  In addition to other factors in 
making this determination, the following factors will be considered in 
assigning weight and significance to prior conduct: 
(A)  age at the time of the conduct; 
(B)  recency of the conduct; 
(C)  reliability of the information concerning the conduct; 
(D)  seriousness of the conduct; 
(E)  factors underlying the conduct; 
(F)  cumulative effect of the conduct or information; 
(G)  evidence of rehabilitation; 
(H)  positive social contributions since the conduct; 
(I)  candor in the discipline and reinstatement processes; and 
(J)  materiality of any omissions or misrepresentations. 
(3)  Elements of Rehabilitation.  Merely showing that an individual is now 
living as and doing those things that should be done throughout life, although 
necessary to prove rehabilitation, does not prove that the individual has 
undertaken a useful and constructive place in society.  Any petitioner for 
reinstatement from discipline for prior misconduct is required to produce clear 
and convincing evidence of rehabilitation including, but not limited to, the 
following elements: 
(A)  strict compliance with the specific conditions of any disciplinary, 
judicial, administrative, or other order, where applicable; 
 
- 23 - 
(B)  unimpeachable character and moral standing in the community; 
(C)  good reputation for professional ability, where applicable; 
(D)  lack of malice and ill feeling toward those who by duty were 
compelled to bring about the disciplinary, judicial, administrative, or other 
proceeding; 
(E)  personal assurances, supported by corroborating evidence, of a 
desire and intention to conduct one’s self in an exemplary fashion in the 
future; 
(F)  restitution of funds or property, where applicable; and 
(G)  positive action showing rehabilitation by such things as a person’s 
community or civic service. Community or civic service is donated service 
or activity that is performed by someone or a group of people for the 
benefit of the public or its institutions. 
The requirement of positive action is appropriate for persons seeking 
reinstatement to the bar as well as for applicants for admission to the bar 
because service to one’s community is an essential obligation of members 
of the bar. 
(4)  Educational Requirements. 
(A)  In the case of a petitioner’s ineligibility to practice for a period of 
3 years or longer under this rule, the petitioner must demonstrate to the 
referee that the petitioner is current with changes and developments in the 
law: 
(i)  The petitioner must have completed at least 10 hours of 
continuing legal education courses for each year or portion of a year 
that the petitioner was ineligible to practice. 
(ii)  The petitioner may further demonstrate that the petitioner is 
current with changes and developments in the law by showing that the 
petitioner worked as a law clerk or paralegal or taught classes on legal 
issues during the period of ineligibility to practice. 
(B)  A petitioner who has been ineligible to practice for 5 years or more 
will not be reinstated under this rule until the petitioner has re-taken and 
provided proof in the lawyer’s petition for reinstatement that the lawyer has 
 
- 24 - 
passed both the Florida portions of the Florida Bar Examination and the 
Multistate Professional Responsibility Examination (MPRE).  A petitioner 
must have proof of passing all these required portions of the bar 
examination before that petitioner may file a petition for reinstatement 
under this subdivision. 
(g)  Hearing; Notice; Evidence. 
(1) Notice.  The referee to whom the petition for reinstatement is referred 
will fix a time and place for hearing, and notice of the hearing will be provided 
at least 10 days prior to the hearing to the petitioner, to lawyers representing 
The Florida Bar, and to other persons who may be designated by the appointed 
referee. 
(2) Appearance.  Any persons to whom notice is given, any other 
interested persons, or any local bar association may appear before the referee in 
support of or in opposition to the petition at any time or times fixed for the 
hearings. 
(3) Failure of Petitioner to be Examined.  For the failure of the petitioner 
to submit to examination as a witness pursuant to notice given, the referee will 
dismiss the petition for reinstatement unless good cause is shown for the 
failure. 
(4) Summary Procedure.  If after the completion of discovery bar counsel 
is unable to discover any evidence on which denial of reinstatement may be 
based and if no other person provides any relevant evidence, bar counsel may, 
with the approval of the designated reviewer and staff counsel, stipulate to the 
issue of reinstatement, including conditions for reinstatement.  The stipulation 
must include a statement of costs as provided elsewhere in these Rules 
Regulating theThe Florida Bar. 
(5) Evidence of Treatment or Counseling for Dependency or Other 
Medical Reasons.  If the petitioner has sought or received treatment or 
counseling for chemical or alcohol dependency or for other medical reasons 
that relate to the petitioner’s fitness to practice law, the petitioner must waive 
confidentiality of such treatment or counseling for purposes of evaluation of 
the petitioner’s fitness.  The provisions of rule 3-7.1(d) are applicable to 
information or records disclosed under this subdivision. 
(h)  Prompt Hearing; Report.  The referee to whom a petition for 
reinstatement has been referred by the chief justice will proceed to a prompt 
 
- 25 - 
hearing, at the conclusion of which the referee will make and file with the Supreme 
Court of Florida a report that includes the findings of fact and a recommendation 
as to whether the petitioner is qualified to resume the practice of law.  The referee 
must file the report and record in the Supreme Court of Florida. 
(i)  Review.  Review of referee reports in reinstatement proceedings must be in 
accordance with rule 3-7.7. 
(j)  Recommendation of Referee and Judgment of the Court.  If the 
petitioner is found unfit to resume the practice of law, the petition will be 
dismissed.  If the petitioner is found fit to resume the practice of law, the referee 
will enter a report recommending, and the court may enter an order of, 
reinstatement of the petitioner in The Florida Bar; provided, however, that the 
reinstatement may be conditioned on the payment of all or part of the costs of the 
proceeding and on the making of partial or complete restitution to parties harmed 
by the petitioner’s misconduct that led to the petitioner’s suspension of 
membership in The Florida Bar or conduct that led to the petitioner’s incapacity; 
and, if suspension or incapacity of the petitioner has continued for more than 3 
years, the reinstatement may be conditioned on proof of competency as may be 
required by the judgment in the discretion of the Supreme Court of Florida.  Proof 
may include certification by the Florida Board of Bar Examiners of the successful 
completion of an examination for admission to The Florida Bar subsequent to the 
date of the suspension or incapacity. 
(k)  Successive Petitions.  No petition for reinstatement may be filed within 1 
year following an adverse judgment on a petition for reinstatement filed by or on 
behalf of the same person.  In cases of incapacity no petition for reinstatement may 
be filed within 6 months following an adverse judgment under this rule. 
(l)  Petitions for Reinstatement to Membership in Good Standing. 
(1)  Availability.  Petitions for reinstatement under this rule are available to 
members placed on the inactive list for incapacity not related to misconduct 
and suspended members of the bar when the disciplinary judgment conditions 
their reinstatement upon a showing of compliance with specified conditions. 
(2)  Style of Petition.  Petitions must be styled in the Supreme Court of 
Florida and filed with the Supreme Court of Florida in accordance with the 
court’s filing requirements, including e-filing requirements where applicable.  
A copy must be served on Staff Counsel, The Florida Bar, 651 East Jefferson 
Street, Tallahassee, Florida 32399-2300. 
 
- 26 - 
(3)  Contents of Petition.  The petition must be verified by the petitioner 
and accompanied by a written authorization to the District Director of the 
Internal Revenue Service, authorizing the furnishing of certified copies of the 
petitioner’s tax returns for the past 5 years or since admission to the bar, 
whichever is greater.  The authorization must be furnished on a separate sheet.  
The petition must have attached as an exhibit a true copy of all disciplinary 
judgments previously entered against the petitioner.  It must also include the 
petitioner’s statement concerning the following: 
(A)  name, age, residence, address, and number and relation of 
dependents of the petitioner; 
(B)  the conduct, offense, or misconduct on which the suspension or 
incapacity was based, together with the date of such suspension or 
incapacity; 
(C)  the names and addresses of all complaining witnesses in any 
disciplinary proceedings that resulted in suspension; and the name and 
address of the referee or judge who heard these disciplinary proceedings or 
of the trial judge, complaining witnesses, and prosecuting lawyer, if 
suspension was based on conviction of a felony or misdemeanor involving 
moral turpitude; 
(D)  the nature of the petitioner’s occupation in detail since suspension 
or incapacity, with names and addresses of all partners, associates in 
business, and employers, if any, and dates and duration of all these 
relations and employments; 
(E)  a statement showing the approximate monthly earnings and other 
income of the petitioner and the sources from which all earnings and 
income were derived during this period; 
(F)  a statement showing all residences maintained during this period, 
with names and addresses of landlords, if any; 
(G)  a statement showing all financial obligations of the petitioner 
including, but not limited to, amounts claimed, unpaid, or owing to The 
Florida Bar Clients’ Security Fund or former clients at the date of filing of 
the petition, together with the names and addresses of all creditors; 
 
- 27 - 
(H)  a statement of restitution made for any and all obligations to all 
former clients and the Florida Bar Clients’ Security Fund and the source 
and amount of funds used for this purpose; 
(I)  a statement showing dates, general nature, and ultimate disposition 
of every matter involving the arrest or prosecution of the petitioner during 
the period of suspension for any crime, whether felony or misdemeanor, 
together with the names and addresses of complaining witnesses, 
prosecuting lawyers, and trial judges; 
(J)  a statement as to whether any applications were made during the 
period of suspension for a license requiring proof of good character for its 
procurement; and, for each application, the date and the name and address 
of the authority to whom it was addressed and its disposition; 
(K)  a statement of any procedure or inquiry, during the period of 
suspension, covering the petitioner’s standing as a member of any 
profession or organization, or holder of any license or office, that involved 
the censure, removal, suspension, revocation of license, or discipline of the 
petitioner; and, as to each, the dates, facts, and the disposition, and the 
name and address of the authority in possession of these records; 
(L)  a statement as to whether any charges of fraud were made or 
claimed against the petitioner during the period of suspension, whether 
formal or informal, together with the dates and names and addresses of 
persons making these charges; 
(M)  a concise statement of facts claimed to justify reinstatement to The 
Florida Bar; 
(N)  a statement showing the dates, general nature, and final disposition 
of every civil action in which the petitioner was either a party plaintiff or 
defendant, together with dates of filing of complaints, titles of courts and 
causes, and the names and addresses of all parties and of the trial judge or 
judges, and names and addresses of all witnesses who testified in this 
action or actions; and 
(O)  a statement showing what amounts, if any, of the costs assessed 
against the accused lawyer in the prior disciplinary proceedings against the 
petitioner have been paid by the petitioner and the source and amount of 
funds used for this purpose. 
 
- 28 - 
(4)  Comments on Petition.  On the appointment of a referee and bar 
counsel, copies of the petition will be furnished by the bar counsel to local 
board members, local grievance committees, and to other persons mentioned in 
this rule.  Persons or groups that wish to respond must direct their comments to 
bar counsel.  The proceedings and finding of the referee will relate to those 
matters described in this rule and also to those matters tending to show the 
petitioner’s rehabilitation, present fitness to resume the practice of law, and the 
effect of the proposed reinstatement on the administration of justice and purity 
of the courts and confidence of the public in the profession. 
(5)  Costs Deposit.  The petition must be accompanied by a deposit for 
costs of $500. 
(m)  Costs. 
(1)  Taxable Costs.  Taxable costs of the proceedings must include only: 
(A)  investigative costs, including travel and out-of-pocket expenses; 
(B)  court reporters’ fees; 
(C)  copy costs; 
(D)  telephone charges; 
(E)  fees for translation services; 
(F)  witness expenses, including travel and out-of-pocket expenses; 
(G)  travel and out-of-pocket expenses of the referee; 
(H)  travel and out-of-pocket expenses of counsel in the proceedings, 
including the petitioner if acting as counsel; and 
(I)  an administrative fee in the amount of $1250 when costs are 
assessed in favor of the bar. 
(2)  Discretion of Referee.  The referee has discretion to award costs and, 
absent an abuse of discretion, the referee’s award will not be reversed. 
(3)  Assessment of Bar Costs.  The costs incurred by the bar in any 
reinstatement case may be assessed against the petitioner unless it is shown that 
the costs were unnecessary, excessive, or improperly authenticated. 
 
- 29 - 
(4)  Assessment of Petitioner’s Costs.  The referee may assess the 
petitioner’s costs against the bar in the event that there was no justiciable issue 
of either law or fact raised by the bar unless it is shown that the costs were 
unnecessary, excessive, or improperly authenticated. 
(n)  Readmission; Applicability.  A former member who has been disbarred, 
disbarred on consent, or whose petition for disciplinary resignation or revocation 
has been accepted may be admitted again only upon full compliance with the rules 
and regulations governing admission to the bar.  No application for readmission 
following disbarment, disbarment on consent, or disciplinary resignation or 
revocation may be tendered until such time as all restitution and disciplinary costs 
as may have been ordered or assessed have been paid together with any interest 
accrued. 
(1)  Readmission After Disbarment.  Except as might be otherwise provided 
in these rules, no application for admission may be tendered within 5 years 
after the date of disbarment or such longer period of time as the court might 
determine in the disbarment order.  An order of disbarment that states the 
disbarment is permanent precludes readmission to The Florida Bar. 
(2)  Readmission After Disciplinary Resignation or Revocation.  A 
lawyer’s petition for disciplinary resignation or revocation states that it is 
without leave to apply for readmission will preclude any readmission. A lawyer 
who was granted a disciplinary resignation or revocation may not apply for 
readmission until all conditions of the Supreme Court order granting the 
disciplinary resignation or revocation have been complied with. 
Comment 
To further illuminate the community service requirements of Rulerule 3-
7.10(f)(3)(G), bar members can take guidance from the Florida Supreme Court’s 
decision in Florida Board of Bar Examiners re M.L.B., 766 So. 2d 994, 998-999 
(Fla. 2000). The court held that rules requiring community service “contemplate 
and we wish to encourage positive actions beyond those one would normally do for 
self benefit, including, but certainly not limited to, working as a guardian ad litem, 
volunteering on a regular basis with shelters for the homeless or victims of 
domestic violence, or maintaining substantial involvement in other charitable, 
community, or educational organizations whose value system, overall mission and 
activities are directed to good deeds and humanitarian concerns impacting a broad 
base of citizens.”  
 
- 30 - 
Court decisions dealing with reinstatements and other discipline provide 
further guidance as to what specific actions meet the test of community service. 
The court approved dismissal of a petition for reinstatement where the respondent 
had no community service and had devoted all her time during suspension to 
raising her young children. Fla. Bar v. Tauler, 837 So. 2d 413 (Fla. 2003). In a 
more recent decision, the court did not specifically mention lack of community 
service in denying reinstatement, but the respondent had shown no evidence of 
work for others outside his family in his petition. Respondent’s community service 
consisted solely of taking care of his elderly parents and his small child. Fla. Bar v. 
Juan Baraque, 43 So. 3d 691 (Fla. 2010). 
RULE 3-7.11  GENERAL RULES OF PROCEDURE 
(a)  Time is Directory.  Except as provided hereinin this rule, the time 
intervals required are directory only and are not jurisdictional.  Failure to observe 
suchthese directory intervals may result in contempt of the agency having 
jurisdiction or of the Supreme Court of Florida, but will not prejudice the 
offending party, except where so provided. 
(b)  Process.  Every member of The Florida Bar is charged with notifyingmust 
notify The Florida Bar of any change of mailing address, e-mail address (unless the 
lawyer has been excused by The Florida Bar or courtthe Supreme Court of Florida 
from e-filing and e-service), and military status. The Florida Bar may serve notice 
of formal complaints in bar proceedings by certified U.S. Postal Service certified 
mail return receipt requested to the bar member’s record bar address unless the 
Supreme Court of Florida directs other service.  Every lawyer of another state who 
is admitted pro hac vice in a specific case before a court of record in Florida may 
be served by certified U.S. Postal Service certified mail return receipt requested 
addressed to the lawyer in care of the Florida lawyer who was associated or 
appeared with the lawyer admitted pro hac vice or addressed to the Florida lawyer 
at any address listed by the lawyer in the pleadings in the case. 
Provided, however, when a person is represented by counsel, serviceService of 
process and notices must be directed to counsel whenever a person is represented 
by counsel. 
(c)  Notice in Lieu of Process.  Every member of The Florida Bar is within the 
jurisdiction of the Supreme Court of Florida and its agencies under these rules, and 
service of process is not required to obtain jurisdiction over respondents in 
disciplinary proceedings; but due process requires reasonable notice and this notice 
will be effected by service of the complaint on the respondent by mailing a copy of 
 
- 31 - 
The Florida Bar's formal complaint. The Florida Bar will serve the complaint on 
the respondent by certified U.S. Postal Service mail return receipt requested to the 
respondent's record bar address or a more current address that may be known to the 
person serving the complaint or other process. 
When the respondent is represented by counsel in a referee proceeding, due 
process is satisfied by service of the formal complaint on the respondent’s counsel 
by mailing a copyThe Florida Bar will serve the formal complaint by certified U.S 
Postal Service mail return receipt requested to the record bar address of the 
respondent’s counsel or a more current address that may be known to the person 
serving the complaint. 
All other correspondence between The Florida Bar and respondents or their 
counsel, including bar inquiries that require responses during the investigative 
stage of a disciplinary proceeding, may be made by e-mail to the respondent’s 
record bar e-mail address or the record bar e-mail address of respondent’s counsel.  
E-mail correspondence is encouraged in all instances except in service of a formal 
complaint or subpoena, or where a court directs otherwise.  If a lawyer has been 
excused by The Florida Bar or a court from e-filing and e-service, or service 
cannot be made by e-mail, service by first class postalU.S. Postal Service mail is 
sufficient, except where these rules or a court direct otherwise. 
(d)  Issuance of Subpoenas.  Subpoenas for witnesses’ attendance and the 
production of documentary evidence, except before a circuit court, must be issued 
as follows:. 
(1)  Referees.  Subpoenas for witnesses’ attendance and production of 
documentary evidence before a referee must be issued by the referee and must 
be served either in the manner provided by law for the service of process or by 
an investigator employed by The Florida Bar. 
(2)  Grievance Committees.  Subpoenas for witnesses’ attendance and the 
production of documentary evidence must be issued by the chair or vice-chair 
of a grievance committee as part of an investigation authorized by the 
committee.  These subpoenas may be served by any member of the grievance 
committee, by an investigator employed by The Florida Bar, or in the manner 
provided by law for service of process. 
(3)  Bar Counsel Investigations.  Subpoenas for witnesses’ attendance and 
the production of documentary evidence before bar counsel in an initial 
investigation must be issued by the chair or vice chair of a grievance 
 
- 32 - 
committee to which the matter will be assigned, if appropriate.  These 
subpoenas may be served by an investigator employed by The Florida Bar or in 
the manner provided by law for the service of process. 
(4)  After Grievance Committee Action, But Before Appointment of Referee.  
Subpoenas for witnesses’ attendance and the production of documentary 
evidence before bar counsel when conducting further investigation after action 
by a grievance committee, but before appointment of a referee, must be issued 
by the chair or vice chair of the grievance committee to which the matter was 
assigned.  These subpoenas may be served by an investigator employed by The 
Florida Bar or in the manner provided by law for the service of process. 
(5)  Board of Governors.  Subpoenas for witnesses’ attendance and the 
production of documentary evidence before the board of governors must be 
issued by the executive director and must be served by an investigator 
employed by The Florida Bar or in the manner provided by law for service of 
process. 
(6)  Confidential Proceedings.  If the proceeding is confidential, a 
subpoena must not name the respondent but must style the proceeding as 
"Confidential Proceeding by The Florida Bar under the Rules of Discipline." 
(7)  Contempt.  
(A)  Generally.  Any persons who, without adequate excuse, fail to 
obey a subpoena served on them under these rules, may be cited for 
contempt of this courtthe Supreme Court of Florida in the manner provided 
by this rule. 
(B)  Subpoenas for Trust Accounting Records.  Members of the bar are 
under an obligation to maintain trust accounting records as required by 
these rules and, as a condition of the privilege of practicing law in Florida, 
may not assert any privilege personal to the lawyer that may be applicable 
to production of these records in any disciplinary proceedings under these 
rules. 
(i)  A respondent who has been found in willful noncompliance 
with a subpoena for trust accounting records may be cited for contempt 
under this rule only if the disciplinary agency that issued the subpoena 
has found that no good cause existed for the respondent’s failure to 
comply. 
 
- 33 - 
(ii)  The disciplinary agency that issued the subpoena must hear the 
issue of noncompliance and issue findings on the noncompliance within 
30 days of a request for issuance of the notice of noncompliance. 
(8)  Assistance to Other Lawyer Disciplinary Jurisdictions.   On receipt of 
a subpoena certified to be issued under the rules or laws of another lawyer 
disciplinary jurisdiction, the executive director may issue a subpoena directing 
a person domiciled or found within the state of Florida to give testimony and/or 
produce documents or other evidence for use in the other jurisdiction's lawyer 
disciplinary proceedings as directed in the subpoena of the other jurisdiction.  
The practice and procedure applicable to subpoenas issued under this 
subdivision will be that of the other jurisdiction, except that: 
(A)  the testimony or production must be only in the county in which 
the person resides or is employed, or as otherwise fixed by the executive 
director for good cause shown; and 
(B)  compliance with any subpoena issued pursuant to this subdivision 
and contempt for failure in this respect must be sought under these rules. 
(e)  Oath of Witness.  Every witness in every proceeding under these rules 
must be sworn to tell the truth.  Violation of this oath is an act of contempt of this 
courtthe Supreme Court of Florida. 
(f)  Contempt.  When a disciplinary agency, as defined elsewhere in these 
rules, finds that a person is in contempt under these rules, that person may be cited 
for contempt in the following manner:. 
(1)  Generally. 
(A)  Petition for Contempt and Order to Show Cause.  When a person 
is found in contempt by a disciplinary agency, bar counsel must file a 
petition for contempt and order to show cause with the Supreme Court of 
Florida. 
(B)  Order to Show Cause; Suspension for Noncompliance with 
Subpoena for Trust Accounting Records.  On review of a petition for 
contempt and order to show cause, the supreme courtSupreme Court of 
Florida may issue an order directing the person to show cause why the 
person should not be held in contempt and appropriate sanctions imposed.  
On review of a petition for contempt and order to show cause for 
noncompliance with a trust accounting subpoena, the supreme courtThe 
 
- 34 - 
Supreme Court of Florida may also issue an order suspending the 
respondent from the practice of law in Florida until the member fully 
complies with the subpoena and any further order of the courtSupreme 
Court of Florida. 
The order of the supreme courtSupreme Court of Florida must fix a 
time for a response. 
(C)  Response to Order to Show Cause. 
(i)  Generally.  Any member subject to an order to show cause must 
file a response as directed by the courtSupreme Court of Florida. 
(ii)  Noncompliance with a Subpoena for Trust Account Records. 
Any member subject to an order to show cause for noncompliance with 
a subpoena for trust accounting records may request the courtSupreme 
Court of Florida: 
a.  to withhold entry of an order of suspension, if filed within 10 
days of the filing of the petition for contempt and order to show 
cause, or another time the courtSupreme Court of Florida may 
direct in the order to show cause; or 
b.  to terminate or modify the order of suspension at any time 
after the order of suspension is issued.  The courtSupreme Court of 
Florida may terminate, modify, or withhold entry of an order of 
suspension if the member establishes good cause for failure to 
comply with the subpoena for trust account records. 
(D)  Failure to Respond to Order to Show Cause.  On failure to timely 
respond to an order to show cause, the matters alleged in the petition are 
deemed admitted and the supreme courtSupreme Court of Florida may 
enter a judgment of contempt and impose appropriate sanctions.  Failure to 
respond may be an additional basis for the supreme courtSupreme Court of 
Florida to enter a judgment of contempt and to impose sanctions. 
(E)  Reply of The Florida Bar.  When a timely response to an order to 
show cause is filed, The Florida Bar will have 10 days, or another time 
period as the supreme courtSupreme Court of Florida may order, from the 
date of filing to file a reply. 
 
- 35 - 
(F)  Supreme Court of Florida Action.  After the time to respond to an 
order to show cause has expired and no response is timely filed, or after the 
reply of The Florida Bar has been filed, or the time has expired without any 
filing, the supreme courtThe Supreme Court of Florida will review the 
matter and issue an appropriate judgment after the time to respond to an 
order to show cause has expired and no response is timely filed, or after the 
reply of The Florida Bar has been filed, or the time has expired without any 
filing.  This judgment may include any sanction that a court may impose 
for contempt and, if the person found in contempt is a member of The 
Florida Bar, may include any disciplinary sanction authorized under these 
rules. 
If the supreme courtSupreme Court of Florida requires factual findings, 
the supreme courtit may direct appointment of a referee as provided in 
these rules.  Proceedings for contempt referred to a referee must be 
processed in the same manner as disciplinary proceedings under these 
rules, including, but not limited to, the procedures provided in these rules 
for conditional guilty pleas for consent judgments.  If the courtSupreme 
Court of Florida determines it necessary to refer a request to terminate, 
modify, or withhold entry of an order of suspension based on a petition for 
contempt and order to show cause for noncompliance with a subpoena for 
trust account records to a referee for receipt of evidence, the referee 
proceedings must be expedited and conducted in the same manner as 
proceedings before a referee on a petition to terminate, modify, or withhold 
an order of emergency suspension, as provided in these rules. 
(G)  Preparation and Filing of Report of Referee and Record.  The 
referee must prepare and file a report and the record in cases brought under 
this rule.  The procedures provided for in the rule on procedure before a 
referee under these rules apply to the preparation, filing, and review of the 
record. 
(H)  Appellate Review of Report of Referee.  Any party to the 
contempt proceedings may seek review of the report of referee in the 
manner provided in these rules for appellate review of disciplinary 
proceedings. 
 
(2)  Failure to Respond to Official Bar Inquiries. 
(A)  Petition for Contempt and Order to Show Cause.  When a 
respondent is found in contempt by a disciplinary agency for failure to 
 
- 36 - 
respond to an official bar inquiry without good cause shown, bar counsel 
must file a petition for contempt and order to show cause with the Supreme 
Court of Florida. 
(B)  Response to Petition for Contempt and Order to Show Cause.  The 
respondent will have 10 days from the date of filing of a petition authorized 
by this subdivision to file a response. 
(C)  Supreme CourtSupreme Court of Florida Action. 
(i)  Entry of Suspension Order.  The courtSupreme Court of Florida 
will enter an order suspending the respondent for failure to respond to 
an official bar inquiry after the respondent files a response to the order 
to show cause or the time for filing a response has expired, unless the 
courtit orders otherwise. 
(ii)  Assignment to Referee.  If the supreme courtSupreme Court of 
Florida requires factual findings, the supreme courtit may direct 
appointment of a referee as provided in these rules.  Proceedings for 
contempt referred to a referee must be processed in the same manner as 
disciplinary proceedings under these rules, including, but not limited to, 
the provisions provided for conditional guilty pleas for consent 
judgments. 
(g)  Court Reporters.  Court reporters who are employees of The Florida Bar 
may be appointed to report any disciplinary proceeding.  If the respondent objects 
at least 48 hours in advance of the matter to be recorded, an independent contract 
reporter may be retained.  Reasonable costs for independent court reporter service 
will be taxed to the respondent for payment to The Florida Bar. 
(h)  Disqualification as Trier and AttorneyLawyer for Respondent Due to 
Conflict. 
(1) Grievance Committee Members, Members of the Board of Governors, 
and Employees of The Florida Bar.  No grievance committee member, member 
of the board of governors, or employee of The Florida Bar may represent a 
party other than The Florida Bar in disciplinary proceedings authorized under 
these rules. 
(2) Former Grievance Committee Members, Former Board Members, and 
Former Employees.  No former member of a grievance committee, former 
member of the board of governors, or former employee of The Florida Bar may 
 
- 37 - 
represent any party other than The Florida Bar in disciplinary proceedings 
authorized under these rules if personally involved to any degree in the matter 
while a member of the grievance committee, the board of governors, or while 
an employee of The Florida Bar. 
A former member of the board of governors, former member of any 
grievance committee, or former employee of The Florida Bar who did not 
participate personally in any way in the investigation or prosecution of the 
matter or in any related matter in which the lawyer seeks to be a representative, 
and who did not serve in a supervisory capacity over the investigation or 
prosecution, may not represent any party except The Florida Bar for 1 year 
after this service without the express consent of the board. 
(3) Partners, Associates, Employers, or Employees of the Firms of 
Grievance Committee Members or Board of Governors Members Precluded 
From Representing Parties Other Than The Florida Bar.  Members of the 
firms of grievance committee members or board members may not represent 
any party other than The Florida Bar in disciplinary proceedings authorized 
under these rules without the express consent of the board. 
(4) Partners, Associates, Employers, or Employees of the Firms of Former 
Grievance Committee Members or Former Board of Governors Members 
Precluded From Representing Parties Other Than The Florida Bar.  Lawyers 
in the firms of former board members or former grievance committee members 
may not represent any party other than The Florida Bar in disciplinary 
proceedings authorized under these rules for 1 year after the former member’s 
service without the express consent of the board. 
(1)  Representation Prohibited.  Lawyers may not represent a party other 
than The Florida Bar in disciplinary proceedings authorized by these rules if 
they are: 
(A)   currently serving on a grievance committee or the board of 
governors; 
(B)   employees of The Florida Bar; or 
(C)  former members of a grievance committee, former members of the 
board of governors, or former employees of The Florida Bar if personally 
involved to any degree in the matter while a member of a grievance 
committee or the board of governors, or while an employee of The Florida 
Bar. 
 
- 38 - 
(2)  Representation Permitted With Consent by the Board of Governors.  
Lawyers may represent a party other than The Florida Bar in disciplinary 
proceedings authorized by these rules only after receiving consent from the 
executive director or board of governors if they are: 
(A)  former members of a grievance committee, former members of the 
board of governors, or former employees of The Florida Bar who did not 
participate personally in any way in the matter or in any related matter in 
which the lawyer seeks to be a representative and who did not serve in a 
supervisory capacity over the matter within 1 year of the service or 
employment; 
(B)  a partner, associate, employer, or employee of a member of a 
grievance committee or a member of the board of governors; or 
(C)  a partner, associate, employer, or employee of a former member of 
a grievance committee or a former member of the board of governors 
within 1 year of the former member’s service on the grievance committee 
or board of governors.  
(i)  Proceedings After Disbarment.  The respondent may consent to or the 
courtSupreme Court of Florida may order further proceedings after disbarment, 
which may include: an audit of trust, operating, or personal bank accounts, the cost 
of which may be assessed as provided in these rules; a requirement that the 
respondent provide a financial affidavit attesting to personal and business finances; 
and maintenance of a current mailing address for a stated period of time. 
RULE 3-7.15  AMENDMENTSRESERVED FOR FUTURE USE 
Petitions for revision of or amendments to chapter 3 will be entertained by this 
court when presented by the board of governors or by not fewer than 50 members 
in good standing of The Florida Bar.  Notice of intention to file such petition 
together with a copy of the proposed amendment shall be published in The Florida 
Bar News no less than 30 days prior to the filing of such petition.  The court will 
thereafter accept objections or comments on such petition. 
CHAPTER 4 RULES OF PROFESSIONAL CONDUCT 
4-1  CLIENT-LAWYER RELATIONSHIP 
RULE 4-1.2  OBJECTIVES AND SCOPE OF REPRESENTATION 
(a)  Lawyer to Abide by Client's Decisions.  Subject to subdivisions (c) and 
(d), a lawyer must abide by a client's decisions concerning the objectives of 
 
- 39 - 
representation, and, as required by rule 4-1.4, must reasonably consult with the 
client as to the means by which they are to be pursued.  A lawyer may take such 
action on behalf of the client asthat is impliedly authorized to carry out the 
representation.  A lawyer must abide by a client's decision whether to settle a 
matter.  In a criminal case, the lawyer must abide by the client's decision, after 
consultation with the lawyer, as to a plea to be entered, whether to waive jury trial, 
and whether the client will testify. 
(b)  No Endorsement of Client's Views or Activities.  A lawyer's 
representation of a client, including representation by appointment, does not 
constitute an endorsement of the client's political, economic, social, or moral views 
or activities. 
(c)  Limitation of Objectives and Scope of Representation.  If not prohibited 
by law or rule, a lawyer and client may agree to limit the objectives or scope of the 
representation if the limitation is reasonable under the circumstances and the client 
gives informed consent in writing, except that a lawyer giving advice in a short-
term limited legal services program under rule 4-6.6 is not required to obtain the 
consent in writing.  If the lawyer and client agree to limit the scope of the 
representation, the lawyer must advise the client regarding applicability of the rule 
prohibiting communication with a represented person. 
(d)  Criminal or Fraudulent Conduct.  A lawyer must not counsel a client to 
engage, or assist a client, in conduct that the lawyer knows or reasonably should 
know is criminal or fraudulent.  However, a lawyer may discuss the legal 
consequences of any proposed course of conduct with a client and may counsel or 
assist a client to make a good faith effort to determine the validity, scope, meaning, 
or application of the law. 
Comment 
Allocation of authority between client and lawyer 
Subdivision (a) confers on the client the ultimate authority to determine the 
purposes to be served by legal representation, within the limits imposed by law and 
the lawyer's professional obligations.  Within those limits, a client also has a right 
to consult with the lawyer about the means to be used in pursuing those objectives.  
At the same time, a lawyer is not required to pursue objectives or employ means 
simply because a client may wish that the lawyer do so.  A clear distinction 
between objectives and means sometimes cannot be drawn, and in many cases the 
client-lawyer relationship partakes of a joint undertaking.  In questions of means, 
 
- 40 - 
the lawyer should assume responsibility for technical and legal tactical issues but 
should defer to the client regarding such questions as the expense to be incurred 
and concern for third persons who might be adversely affected.  Law defining the 
lawyer's scope of authority in litigation varies among jurisdictions.  The decisions 
specified in subdivision (a), such as whether to settle a civil matter, must also be 
made by the client.  See rule 4-1.4(a)(1) for the lawyer's duty to communicate with 
the client about these decisions.  With respect to the means by which the client's 
objectives are to be pursued, the lawyer must consult with the client as required by 
rule 4-1.4(a)(2) and may take action as is impliedly authorized to carry out the 
representation.   
On occasion, however, a lawyer and a client may disagree about the means to 
be used to accomplish the client's objectives.  The lawyer should consult with the 
client and seek a mutually acceptable resolution of the disagreement.  If these 
efforts are unavailing and the lawyer has a fundamental disagreement with the 
client, the lawyer may withdraw from the representation.  See rule 4-1.16(b)(42).  
Conversely, the client may resolve the disagreement by discharging the lawyer. 
See rule 4-1.16(a)(3). 
At the outset of a representation, the client may authorize the lawyer to take 
specific action on the client's behalf without further consultation.  Absent a 
material change in circumstances and subject to rule 4-1.4, a lawyer may rely on 
the advance authorization.  The client may, however, revoke this authority at any 
time. 
In a case in which the client appears to be suffering mental disability, the 
lawyer's duty to abide by the client's decisions is to be guided by reference to rule 
4-1.14. 
Independence from client's views or activities 
Legal representation should not be denied to people who are unable to afford 
legal services or whose cause is controversial or the subject of popular disapproval.  
By the same token representing a client does not constitute approval of the client's 
views or activities. 
Agreements limiting scope of representation 
The scope of services to be provided by a lawyer may be limited by agreement 
with the client or by the terms under which the lawyer's services are made 
available to the client.  When a lawyer has been retained by an insurer to represent 
an insured, for example, the representation may be limited to matters related to the 
 
- 41 - 
insurance coverage.  A limited representation may be appropriate because the 
client has limited objectives for the representation.  In addition, the terms upon 
which representation is undertaken may exclude specific means that might 
otherwise be used to accomplish the client's objectives.  Limitations may exclude 
actions that the client thinks are too costly or that the lawyer regards as repugnant 
or imprudent, or which the client regards as financially impractical. 
Although this rule affords the lawyer and client substantial latitude to limit the 
representation if not prohibited by law or rule, the limitation must be reasonable 
under the circumstances.  If, for example, a client’s objective is limited to securing 
general information about the law the client needs in order to handle a common 
and typically uncomplicated legal problem, the lawyer and client may agree that 
the lawyer’s services will be limited to a brief consultation.  This limitation, 
however, would not be reasonable if the time allotted was not sufficient to yield 
advice upon which the client could rely.  In addition, a lawyer and client may agree 
that the representation will be limited to providing assistance out of court, 
including providing advice on the operation of the court system and drafting 
pleadings and responses.  If the lawyer assists a pro se litigant by drafting any 
document to be submitted to a court, the lawyer is not obligated to sign the 
document.  However, the lawyer must indicate "Prepared with the assistance of 
counsel" on the document to avoid misleading the court, which, otherwise might be 
under the impression that the person, who appears to be proceeding pro se, has 
received no assistance from a lawyer.  If not prohibited by law or rule, a lawyer 
and client may agree that any in-court representation in a family law proceeding be 
limited as provided for in Family Law Rule of Procedure 12.040.  For example, a 
lawyer and client may agree that the lawyer will represent the client at a hearing 
regarding child support and not at the final hearing or in any other hearings.  For 
limited in-court representation in family law proceedings, the lawyer must 
communicate to the client the specific boundaries and limitations of the 
representation so that the client is able to give informed consent to the 
representation. 
Regardless of the circumstances, a lawyer providing limited representation 
forms a client-lawyer relationship with the litigant, and owes the client all 
attendant ethical obligations and duties imposed by the Rules Regulating The 
Florida Bar, including, but not limited to, duties of competence, communication, 
confidentiality, and avoidance of conflicts of interest.  Although an agreement for 
limited representation does not exempt a lawyer from the duty to provide 
competent representation, the limitation is a factor to be considered when 
 
- 42 - 
determining the legal knowledge, skill, thoroughness, and preparation reasonably 
necessary for the representation.  See rule 4-1.1. 
An agreement concerning the scope of representation must accord with the 
Rules of Professional Conduct and law.  For example, the client may not be asked 
to agree to representation so limited in scope as to violate rule 4-1.1 or to surrender 
the right to terminate the lawyer's services or the right to settle litigation that the 
lawyer might wish to continue. 
Criminal, fraudulent, and prohibited transactions 
A lawyer is required to give an honest opinion about the actual consequences 
that appear likely to result from a client's conduct.  The fact that a client uses 
advice in a course of action that is criminal or fraudulent does not, of itself, make a 
lawyer a party to the course of action.  However, a lawyer may not assist a client in 
conduct that the lawyer knows or reasonably should know to be criminal or 
fraudulent.  There is a critical distinction between presenting an analysis of legal 
aspects of questionable conduct and recommending the means by which a crime or 
fraud might be committed with impunity. 
When the client's course of action has already begun and is continuing, the 
lawyer's responsibility is especially delicate.  The lawyer is required to avoid 
assisting the client, for example, by drafting or delivering documents that the 
lawyer knows are fraudulent or by suggesting how the wrongdoing might be 
concealed.  A lawyer may not continue assisting a client in conduct that the lawyer 
originally supposed was legally proper but then discovers is criminal or fraudulent.  
The lawyer must, therefore, withdraw from the representation of the client in the 
matter.  See rule 4-1.16(a).  In some cases, withdrawal alone might be insufficient.  
It may be necessary for the lawyer to give notice of the fact of withdrawal and to 
disaffirm any opinion, document, affirmation, or the like.  See rule 4-4.1. 
Where the client is a fiduciary, the lawyer may be charged with special 
obligations in dealings with a beneficiary. 
Subdivision (d) applies whether or not the defrauded party is a party to the 
transaction.  For example, a lawyer must not participate in a transaction to 
effectuate criminal or fraudulent avoidance of tax liability.  Subdivision (d) does 
not preclude undertaking a criminal defense incident to a general retainer for legal 
services to a lawful enterprise.  The last sentence of subdivision (d) recognizes that 
determining the validity or interpretation of a statute or regulation may require a 
 
- 43 - 
course of action involving disobedience of the statute or regulation or of the 
interpretation placed upon it by governmental authorities. 
If a lawyer comes to know or reasonably should know that a client expects 
assistance not permitted by the Rules of Professional Conduct or other law or if the 
lawyer intends to act contrary to the client's instructions, the lawyer must consult 
with the client regarding the limitations on the lawyer's conduct.  See rule 4-
1.4(a)(5). 
RULE 4-1.5 FEES AND COSTS FOR LEGAL SERVICES 
(a)  Illegal, Prohibited, or Clearly Excessive Fees and Costs.  An attorney 
shallA lawyer must not enter into an agreement for, charge, or collect an illegal, 
prohibited, or clearly excessive fee or cost, or a fee generated by employment that 
was obtained through advertising or solicitation not in compliance with the Rules 
Regulating The Florida Bar.  A fee or cost is clearly excessive when: 
(1)  after a review of the facts, a lawyer of ordinary prudence would be left 
with a definite and firm conviction that the fee or the cost exceeds a reasonable 
fee or cost for services provided to such a degree as to constitute clear 
overreaching or an unconscionable demand by the attorney; or 
(2)  the fee or cost is sought or secured by the attorney by means of 
intentional misrepresentation or fraud upon the client, a nonclient party, or any 
court, as to either entitlement to, or amount of, the fee. 
(b)  Factors to Be Considered in Determining Reasonable Fees and Costs.  
(1)  Factors to be considered as guides in determining a reasonable fee 
include: 
(A)  the time and labor required, the novelty, complexity, and difficulty 
of the questions involved, and the skill requisite to perform the legal 
service properly; 
(B)  the likelihood that the acceptance of the particular employment 
will preclude other employment by the lawyer; 
(C)  the fee, or rate of fee, customarily charged in the locality for legal 
services of a comparable or similar nature; 
 
- 44 - 
(D)  the significance of, or amount involved in, the subject matter of the 
representation, the responsibility involved in the representation, and the 
results obtained; 
(E)  the time limitations imposed by the client or by the circumstances 
and, as between attorney and client, any additional or special time demands 
or requests of the attorney by the client; 
(F)  the nature and length of the professional relationship with the 
client; 
(G)  the experience, reputation, diligence, and ability of the lawyer or 
lawyers performing the service and the skill, expertise, or efficiency of 
effort reflected in the actual providing of such services; and 
(H)  whether the fee is fixed or contingent, and, if fixed as to amount or 
rate, then whether the client’s ability to pay rested to any significant degree 
on the outcome of the representation. 
(2)  Factors to be considered as guides in determining reasonable costs 
include: 
(A)  the nature and extent of the disclosure made to the client about the 
costs; 
(B)  whether a specific agreement exists between the lawyer and client 
as to the costs a client is expected to pay and how a cost is calculated that is 
charged to a client; 
(C)  the actual amount charged by third party providers of services to 
the attorney; 
(D)  whether specific costs can be identified and allocated to an 
individual client or a reasonable basis exists to estimate the costs charged; 
(E)  the reasonable charges for providing in-house service to a client if 
the cost is an in-house charge for services; and 
(F)  the relationship and past course of conduct between the lawyer and 
the client. 
All costs are subject to the test of reasonableness set forth in subdivision 
(a) above.  When the parties have a written contract in which the method is 
 
- 45 - 
established for charging costs, the costs charged thereunder shallunder that 
contract will be presumed reasonable. 
(c)  Consideration of All Factors.  In determining a reasonable fee, the time 
devoted to the representation and customary rate of fee need not be the sole or 
controlling factors.  All factors set forth in this rule should be considered, and may 
be applied, in justification of a fee higher or lower than that which would result 
from application of only the time and rate factors. 
(d)  Enforceability of Fee Contracts.  Contracts or agreements for attorney’s 
fees between attorney and client will ordinarily be enforceable according to the 
terms of such contracts or agreements, unless found to be illegal, obtained through 
advertising or solicitation not in compliance with the Rules Regulating The Florida 
Bar, prohibited by this rule, or clearly excessive as defined by this rule. 
(e)  Duty to Communicate Basis or Rate of Fee or Costs to Client and 
Definitions. 
(1)  Duty to Communicate.  When the lawyer has not regularly represented 
the client, the basis or rate of the fee and costs shallmust be communicated to 
the client, preferably in writing, before or within a reasonable time after 
commencing the representation.  A fee for legal services that is nonrefundable 
in any part shallmust be confirmed in writing and shallmust explain the intent 
of the parties as to the nature and amount of the nonrefundable fee.  The test of 
reasonableness found in subdivision (b), above, applies to all fees for legal 
services without regard to their characterization by the parties. 
The fact that a contract may not be in accord with these rules is an issue 
between the attorneylawyer and client and a matter of professional ethics, but 
is not the proper basis for an action or defense by an opposing party when fee-
shifting litigation is involved. 
(2)  Definitions. 
(A)  Retainer.  A retainer is a sum of money paid to a lawyer to 
guarantee the lawyer’s future availability.  A retainer is not payment for 
past legal services and is not payment for future services. 
(B)  Flat Fee.  A flat fee is a sum of money paid to a lawyer for all legal 
services to be provided in the representation.  A flat fee may be termed 
“non-refundable.” 
 
- 46 - 
(C)  Advance Fee.  An advanced fee is a sum of money paid to the 
lawyer against which the lawyer will bill the client as legal services are 
provided. 
(f)  Contingent Fees.  As to contingent fees: 
(1)  A fee may be contingent on the outcome of the matter for which the 
service is rendered, except in a matter in which a contingent fee is prohibited 
by subdivision (f)(3) or by law.  A contingent fee agreement shallmust be in 
writing and shallmust state the method by which the fee is to be determined, 
including the percentage or percentages that shallwill accrue to the lawyer in 
the event of settlement, trial, or appeal,; litigation and other expenses to be 
deducted from the recovery,; and whether suchthose expenses are to be 
deducted before or after the contingent fee is calculated.  UponOn conclusion 
of a contingent fee matter, the lawyer shallmust provide the client with a 
written statement stating the outcome of the matter and, if there is a recovery, 
showing the remittance to the client and the method of its determination. 
(2)  Every lawyer who accepts a retainer or enters into an agreement, 
express or implied, for compensation for services rendered or to be rendered in 
any action, claim, or proceeding wherebyin which the lawyer’s compensation 
is to be dependent or contingent in whole or in part upon the successful 
prosecution or settlement thereof shallmust do so only where suchthe fee 
arrangement is reduced to a written contract, signed by the client, and by a 
lawyer for the lawyer or for the law firm representing the client.  No lawyer or 
firm may participate in the fee without the consent of the client in writing.  
Each participating lawyer or law firm shallmust sign the contract with the 
client and shallmust agree to assume joint legal responsibility to the client for 
the performance of the services in question as if each were partners of the other 
lawyer or law firm involved.  The client shallmust be furnished with a copy of 
the signed contract and any subsequent notices or consents.  All provisions of 
this rule shallwill apply to such fee contracts. 
(3)  A lawyer shallmust not enter into an arrangement for, charge, or 
collect: 
(A)  any fee in a domestic relations matter, the payment or amount of 
which is contingent upon the securing of a divorce or upon the amount of 
alimony or support, or property settlement in lieu thereof; or 
(B)  a contingent fee for representing a defendant in a criminal case. 
 
- 47 - 
(4)  A lawyer who enters into an arrangement for, charges, or collects any 
fee in an action or claim for personal injury or for property damages or for 
death or loss of services resulting from personal injuries based upon tortious 
conduct of another, including products liability claims, wherebyin which the 
compensation is to be dependent or contingent in whole or in part upon the 
successful prosecution or settlement thereof shallmust do so only under the 
following requirements: 
(A)  The contract shallmust contain the following provisions: 
(i)  "The undersigned client has, before signing this contract, 
received and read the statement of client’s rights and understands each 
of the rights set forth thereinin it.  The undersigned client has signed 
the statement and received a signed copy to refer to while being 
represented by the undersigned attorney(s)lawyer(s)." 
(ii)  "This contract may be cancelled by written notification to the 
attorneylawyer at any time within 3 business days of the date the 
contract was signed, as shown below, and if cancelled the client shall 
not beis not obligated to pay any fees to the attorney for the work 
performed during that time.  If the attorneylawyer has advanced funds 
to others in representation of the client, the attorneylawyer is entitled to 
be reimbursed for such amounts asthat the attorneylawyer has 
reasonably advanced on behalf of the client." 
(B)  The contract for representation of a client in a matter set forth in 
subdivision (f)(4) may provide for a contingent fee arrangement as agreed 
upon by the client and the lawyer, except as limited by the following 
provisions: 
(i)  Without prior court approval as specified below, any contingent 
fee that exceeds the following standards shall beare presumed, unless 
rebutted, to be clearly excessive: 
a.  Before the filing of an answer or the demand for 
appointment of arbitrators or, if no answer is filed or no demand for 
appointment of arbitrators is made, the expiration of the time period 
provided for such action: 
1.  33 1/3% of any recovery up to $1 million; plus 
 
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2.  30% of any portion of the recovery between $1 million 
and $2 million; plus 
3.  20% of any portion of the recovery exceeding $2 
million. 
b.  After the filing of an answer or the demand for appointment 
of arbitrators or, if no answer is filed or no demand for appointment 
of arbitrators is made, the expiration of the time period provided for 
such action, through the entry of judgment: 
1.  40% of any recovery up to $1 million; plus 
2.  30% of any portion of the recovery between $1 million 
and $2 million; plus 
3.  20% of any portion of the recovery exceeding $2 
million. 
c.  If all defendants admit liability at the time of filing their 
answers and request a trial only on damages: 
1.  33 1/3% of any recovery up to $1 million; plus 
2.  20% of any portion of the recovery between $1 million 
and $2 million; plus 
3.  15% of any portion of the recovery exceeding $2 
million. 
d.  An additional 5% of any recovery after institution of any 
appellate proceeding is filed or post-judgmentpostjudgment relief 
or action is required for recovery on the judgment. 
(ii)  If any client is unable to obtain a lawyer of the client’s choice 
because of the limitations set forth in subdivision (f)(4)(B)(i), the client 
may petition the court in which the matter would be filed, if litigation is 
necessary, or if that court will not accept jurisdiction for the fee 
approval, the circuit court in which the cause of action arose, for 
approval of any fee contract between the client and a lawyer of the 
client’s choosing.  Authorization will be given if the court determines 
the client has a complete understanding of the client’s rights and the 
terms of the proposed contract.  The application for authorization of the 
 
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contract can be filed as a separate proceeding before suit or 
simultaneously with the filing of a complaint.  Proceedings on the 
petition may occur before service on the defendant and this aspect of 
the file may be sealed.  A petition under this subdivision must contain a 
certificate showing service on the client and, if the petition is denied, a 
copy of the petition and order denying the petition must be served on 
The Florida Bar in Tallahassee by the member of the bar who filed the 
petition.  Authorization of such a contract does not bar subsequent 
inquiry as to whether the fee actually claimed or charged is clearly 
excessive under subdivisions (a) and (b). 
(iii)  Subject to the provisions of 4-1.5(f)(4)(B)(i) and (ii), a lawyer 
who enters into an arrangement for, charges, or collects any fee in an 
action or claim for medical liability wherebyin which the compensation 
is dependent or contingent in whole or in part upon the successful 
prosecution or settlement thereof shallmust provide the language of 
article I, section 26 of the Florida Constitution to the client in writing 
and shallmust orally inform the client that: 
a.  Unless waived, in any medical liability claim involving a 
contingency fee, the claimant is entitled to receive no less than 70% 
of the first $250,000 of all damages received by the claimant, 
exclusive of reasonable and customary costs, whether received by 
judgment, settlement, or otherwise, and regardless of the number of 
defendants.  The claimant is entitled to 90% of all damages in 
excess of $250,000, exclusive of reasonable and customary costs 
and regardless of the number of defendants. 
b.  If a lawyer chooses not to accept the representation of a 
client under the terms of article I, section 26 of the Florida 
Constitution, the lawyer shallmust advise the client, both orally and 
in writing, of alternative terms, if any, under which the lawyer 
would accept the representation of the client, as well as the client’s 
right to seek representation by another lawyer willing to accept the 
representation under the terms of article I, section 26 of the Florida 
Constitution, or a lawyer willing to accept the representation on a 
fee basis that is not contingent. 
c.  If any client desires to waive any rights under article I, 
section 26 of the Florida Constitution in order to obtain a lawyer of 
the client’s choice, a client may do so by waiving such rights in 
 
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writing, under oath, and in the form provided in this rule.  The 
lawyer shallmust provide each client a copy of the written waiver 
and shallmust afford each client a full and complete opportunity to 
understand the rights being waived as set forth in the waiver.  A 
copy of the waiver, signed by each client and lawyer, shallmust be 
given to each client to retain, and the lawyer shallmust keep a copy 
in the lawyer’s file pertaining to the client.  The waiver shallmust 
be retained by the lawyer with the written fee contract and closing 
statement under the same conditions and requirements provided in 
4-1.5(f)(5). 
WAIVER OF THE CONSTITUTIONAL RIGHT PROVIDED IN ARTICLE I, 
SECTION 26 OF THE FLORIDA CONSTITUTION 
On November 2, 2004, voters in the State of Florida approved The Medical 
Liability Claimant's Compensation Amendment that was identified as Amendment 
3 on the ballot.  The amendment is set forth below: 
The Florida Constitution 
Article I, Section 26 is created to read "Claimant's right to fair compensation."  
In any medical liability claim involving a contingency fee, the claimant is entitled 
to receive no less than 70% of the first $250,000 in all damages received by the 
claimant, exclusive of reasonable and customary costs, whether received by 
judgment, settlement or otherwise, and regardless of the number of defendants.  
The claimant is entitled to 90% of all damages in excess of $250,000, exclusive of 
reasonable and customary costs and regardless of the number of defendants.  This 
provision is self-executing and does not require implementing legislation. 
The undersigned client understands and acknowledges that (initial each 
provision): 
_____I have been advised that signing this waiver releases an important 
constitutional right; and 
_____I have been advised that I may consult with separate counsel before 
signing this waiver; and that I may request a hearing before a judge to further 
explain this waiver; and 
_____By signing this waiver I agree to an increase in the attorney fee that 
might otherwise be owed if the constitutional provision listed above is not waived.  
Without prior court approval, the increased fee that I agree to may be up to the 
 
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maximum contingency fee percentages set forth in Rule Regulating The Florida 
Bar 4-1.5(f)(4)(B)(i).  Depending on the circumstances of my case, the maximum 
agreed upon fee may range from 33 1/3% to 40% of any recovery up to $1 million; 
plus 20% to 30% of any portion of the recovery between $1 million and $2 million; 
plus 15% to 20% of any recovery exceeding $2 million; and 
_____I have three (3) business days following execution of this waiver in 
which to cancel this waiver; and 
_____I wish to engage the legal services of the lawyers or law firms listed 
below in an action or claim for medical liability the fee for which is contingent in 
whole or in part upon the successful prosecution or settlement thereof, but I am 
unable to do so because of the provisions of the constitutional limitation set forth 
above.  In consideration of the lawyers’ or law firms’ agreements to represent me 
and my desire to employ the lawyers or law firms listed below, I hereby 
knowingly, willingly, and voluntarily waive any and all rights and privileges that I 
may have under the constitutional provision set forth above, as apply to the 
contingency fee agreement only.  Specifically, I waive the percentage restrictions 
that are the subject of the constitutional provision and confirm the fee percentages 
set forth in the contingency fee agreement; and 
_____I have selected the lawyers or law firms listed below as my counsel of 
choice in this matter and would not be able to engage their services without this 
waiver; and I expressly state that this waiver is made freely and voluntarily, with 
full knowledge of its terms, and that all questions have been answered to my 
satisfaction. 
ACKNOWLEDGMENT BY CLIENT FOR PRESENTATION TO THE 
COURT 
The undersigned client hereby acknowledges, under oath, the following: 
I have read and understand this entire waiver of my rights under the 
constitutional provision set forth above. 
I am not under the influence of any substance, drug, or condition (physical, 
mental, or emotional) that interferes with my understanding of this entire waiver in 
which I am entering and all the consequences thereof. 
I have entered into and signed this waiver freely and voluntarily. 
 
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I authorize my lawyers or law firms listed below to present this waiver to the 
appropriate court, if required for purposes of approval of the contingency fee 
agreement.  Unless the court requires my attendance at a hearing for that purpose, 
my lawyers or law firms are authorized to provide this waiver to the court for its 
consideration without my presence. 
Dated this ______ day of ________________, ____. 
By:  __________________________________ 
CLIENT 
Sworn to and subscribed before me this _____ day of _______________, _____ by 
___________________________, who is personally known to me, or has produced 
the following identification: _________________________________. 
__________________________________ 
Notary Public 
My Commission Expires: 
Dated this ______ day of ________________, ____. 
By:  __________________________________ 
ATTORNEY 
(C)  Before a lawyer enters into a contingent fee contract for 
representation of a client in a matter set forth in this rule, the lawyer 
shallmust provide the client with a copy of the statement of client’s rights 
and shallmust afford the client a full and complete opportunity to 
understand each of the rights as set forth thereinin it.  A copy of the 
statement, signed by both the client and the lawyer, shallmust be given to 
the client to retain and the lawyer shallmust keep a copy in the client’s file.  
The statement shallmust be retained by the lawyer with the written fee 
contract and closing statement under the same conditions and requirements 
as subdivision (f)(5). 
(D)  As to lawyers not in the same firm, a division of any fee within 
subdivision (f)(4) shallmust be on the following basis: 
(i)  To the lawyer assuming primary responsibility for the legal 
services on behalf of the client, a minimum of 75% of the total fee. 
 
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(ii)  To the lawyer assuming secondary responsibility for the legal 
services on behalf of the client, a maximum of 25% of the total fee.  
Any fee in excess of 25% shallwill be presumed to be clearly excessive. 
(iii)  The 25% limitation shallwill not apply to those cases in which 
2 or more lawyers or firms accept substantially equal active 
participation in the providing of legal services.  In suchthose 
circumstances counsel shallmust apply to the court in which the matter 
would be filed, if litigation is necessary, or if such court will not accept 
jurisdiction for the fee division, the circuit court whereinin which the 
cause of action arose, for authorization of the fee division in excess of 
25%, based upon a sworn petition signed by all counsel that shall 
discloses in detail those services to be performed.  The application for 
authorization of such athe contract may be filed as a separate 
proceeding before suit or simultaneously with the filing of a complaint, 
or within 10 days of execution of a contract for division of fees when 
new counsel is engaged.  Proceedings thereonon these applications may 
occur before service of process on any party and this aspect of the file 
may be sealed.  Authorization of suchthe contract shallwill not bar 
subsequent inquiry as to whether the fee actually claimed or charged is 
clearly excessive.  An application under this subdivision shallmust 
contain a certificate showing service on the client and, if the application 
is denied, a copy of the petition and order denying the petition 
shallmust be served on The Florida Bar in Tallahassee by the member 
of the bar who filed the petition.  Counsel may proceed with 
representation of the client pending court approval. 
(iv)  The percentages required by this subdivision shall beare 
applicable after deduction of any fee payable to separate counsel 
retained especially for appellate purposes. 
(5)  In the event there is a recovery, upon the conclusion of the 
representation, the lawyer shallmust prepare a closing statement reflecting an 
itemization of all costs and expenses, together with the amount of fee received 
by each participating lawyer or law firm.  A copy of the closing statement 
shallmust be executed by all participating lawyers, as well as the client, and 
each shallmust receive a copy.  Each participating lawyer shallmust retain a 
copy of the written fee contract and closing statement for 6 years after 
execution of the closing statement.  Any contingent fee contract and closing 
statement shallmust be available for inspection at reasonable times by the 
 
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client, by any other person upon judicial order, or by the appropriate 
disciplinary agency. 
(6)  In cases in which the client is to receive a recovery that will be paid to 
the client on a future structured or periodic basis, the contingent fee percentage 
shallmust be calculated only on the cost of the structured verdict or settlement 
or, if the cost is unknown, on the present money value of the structured verdict 
or settlement, whichever is less.  If the damages and the fee are to be paid out 
over the long term future schedule, this limitation does not apply.  No attorney 
may negotiate separately with the defendant for that attorney’s fee in a 
structured verdict or settlement when separate negotiations would place the 
attorney in a position of conflict. 
(g)  Division of Fees Between Lawyers in Different Firms.  Subject to the 
provisions of subdivision (f)(4)(D), a division of fee between lawyers who are not 
in the same firm may be made only if the total fee is reasonable and: 
(1)  the division is in proportion to the services performed by each lawyer; 
or 
(2)  by written agreement with the client: 
(A)  each lawyer assumes joint legal responsibility for the 
representation and agrees to be available for consultation with the client; 
and 
(B)  the agreement fully discloses that a division of fees will be made 
and the basis upon which the division of fees will be made. 
(h)  Credit Plans.  A lawyer or law firm may accept payment under a credit 
plan.  No higher fee shall be charged and no additional charge shall be imposed by 
reason of a lawyer’s or law firm’s participation in a credit plan.Lawyers may 
charge clients the actual charge the credit plan imposes on the lawyer for the 
client's transaction. 
(i)  Arbitration Clauses.  A lawyer shallmust not make an agreement with a 
potential client prospectively providing for mandatory arbitration of fee disputes 
without first advising that person in writing that the potential client should consider 
obtaining independent legal advice as to the advisability of entering into an 
agreement containing such mandatory arbitration provisions.  A lawyer shall not 
make an agreement containing such mandatory arbitration provisions unless the 
agreement contains the following language in bold print: 
 
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NOTICE:  This agreement contains provisions requiring arbitration 
of fee disputes.  Before you sign this agreement you should consider 
consulting with another lawyer about the advisability of making an 
agreement with mandatory arbitration requirements.  Arbitration 
proceedings are ways to resolve disputes without use of the court 
system.  By entering into agreements that require arbitration as the 
way to resolve fee disputes, you give up (waive) your right to go to 
court to resolve those disputes by a judge or jury.  These are 
important rights that should not be given up without careful 
consideration. 
STATEMENT OF CLIENT’S RIGHTS  
FOR CONTINGENCY FEES 
Before you, the prospective client, arrange a contingent fee 
agreement with a lawyer, you should understand this statement of 
your rights as a client.  This statement is not a part of the actual 
contract between you and your lawyer, but, as a prospective client, 
you should be aware of these rights: 
1.  There is no legal requirement that a lawyer charge a client a set fee or a 
percentage of money recovered in a case.  You, the client, have the right to talk 
with your lawyer about the proposed fee and to bargain about the rate or 
percentage as in any other contract.  If you do not reach an agreement with 1 
lawyer you may talk with other lawyers. 
2.  Any contingent fee contract must be in writing and you have 3 business 
days to reconsider the contract.  You may cancel the contract without any reason if 
you notify your lawyer in writing within 3 business days of signing the contract.  If 
you withdraw from the contract within the first 3 business days, you do not owe 
the lawyer a fee although you may be responsible for the lawyer’s actual costs 
during that time.  If your lawyer begins to represent you, your lawyer may not 
withdraw from the case without giving you notice, delivering necessary papers to 
you, and allowing you time to employ another lawyer.  Often, your lawyer must 
obtain court approval before withdrawing from a case.  If you discharge your 
lawyer without good cause after the 3-day period, you may have to pay a fee for 
work the lawyer has done. 
3.  Before hiring a lawyer, you, the client, have the right to know about the 
lawyer’s education, training, and experience.  If you ask, the lawyer should tell you 
specifically about the lawyer’s actual experience dealing with cases similar to 
 
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yours.  If you ask, the lawyer should provide information about special training or 
knowledge and give you this information in writing if you request it. 
4.  Before signing a contingent fee contract with you, a lawyer must advise you 
whether the lawyer intends to handle your case alone or whether other lawyers will 
be helping with the case.  If your lawyer intends to refer the case to other lawyers, 
the lawyer should tell you what kind of fee sharing arrangement will be made with 
the other lawyers.  If lawyers from different law firms will represent you, at least 1 
lawyer from each law firm must sign the contingent fee contract. 
5.  If your lawyer intends to refer your case to another lawyer or counsel with 
other lawyers, your lawyer should tell you about that at the beginning.  If your 
lawyer takes the case and later decides to refer it to another lawyer or to associate 
with other lawyers, you should sign a new contract that includes the new lawyers.  
You, the client, also have the right to consult with each lawyer working on your 
case and each lawyer is legally responsible to represent your interests and is legally 
responsible for the acts of the other lawyers involved in the case. 
6.  You, the client, have the right to know in advance how you will need to pay 
the expenses and the legal fees at the end of the case.  If you pay a deposit in 
advance for costs, you may ask reasonable questions about how the money will be 
or has been spent and how much of it remains unspent.  Your lawyer should give a 
reasonable estimate about future necessary costs.  If your lawyer agrees to lend or 
advance you money to prepare or research the case, you have the right to know 
periodically how much money your lawyer has spent on your behalf.  You also 
have the right to decide, after consulting with your lawyer, how much money is to 
be spent to prepare a case.  If you pay the expenses, you have the right to decide 
how much to spend.  Your lawyer should also inform you whether the fee will be 
based on the gross amount recovered or on the amount recovered minus the costs. 
7.  You, the client, have the right to be told by your lawyer about possible 
adverse consequences if you lose the case.  Those adverse consequences might 
include money that you might have to pay to your lawyer for costs and liability you 
might have for attorney’s fees, costs, and expenses to the other side. 
8.  You, the client, have the right to receive and approve a closing statement at 
the end of the case before you pay any money.  The statement must list all of the 
financial details of the entire case, including the amount recovered, all expenses, 
and a precise statement of your lawyer’s fee.  Until you approve the closing 
statement your lawyer cannot pay any money to anyone, including you, without an 
 
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appropriate order of the court.  You also have the right to have every lawyer or law 
firm working on your case sign this closing statement. 
9.  You, the client, have the right to ask your lawyer at reasonable intervals 
how the case is progressing and to have these questions answered to the best of 
your lawyer’s ability. 
10.  You, the client, have the right to make the final decision regarding 
settlement of a case.  Your lawyer must notify you of all offers of settlement before 
and after the trial.  Offers during the trial must be immediately communicated and 
you should consult with your lawyer regarding whether to accept a settlement.  
However, you must make the final decision to accept or reject a settlement. 
11.  If at any time you, the client, believe that your lawyer has charged an 
excessive or illegal fee, you have the right to report the matter to The Florida Bar, 
the agency that oversees the practice and behavior of all lawyers in Florida.  For 
information on how to reach The Florida Bar, call 850/561-5600, or contact the 
local bar association.  Any disagreement between you and your lawyer about a fee 
can be taken to court and you may wish to hire another lawyer to help you resolve 
this disagreement.  Usually fee disputes must be handled in a separate lawsuit, 
unless your fee contract provides for arbitration.  You can request, but may not 
require, that a provision for arbitration (under Chapter 682, Florida Statutes, or 
under the fee arbitration rule of the Rules Regulating The Florida Bar) be included 
in your fee contract. 
______________________________ 
______________________________ 
   
 
 
 
Client Signature 
 
 
 
Attorney Signature 
______________________________ 
______________________________ 
   
 
 
 
 
 
Date  
 
 
 
 
 
Date 
Comment 
Bases or rate of fees and costs 
When the lawyer has regularly represented a client, they ordinarily will have 
evolved an understanding concerning the basis or rate of the fee.  The conduct of 
the lawyer and client in prior relationships is relevant when analyzing the 
requirements of this rule.  In a new client-lawyer relationship, however, an 
understanding as to the fee should be promptly established.  It is not necessary to 
 
- 58 - 
recite all the factors that underlie the basis of the fee but only those that are directly 
involved in its computation.  It is sufficient, for example, to state the basic rate is 
an hourly charge or a fixed amount or an estimated amount, or to identify the 
factors that may be taken into account in finally fixing the fee.  Although hourly 
billing or a fixed fee may be the most common bases for computing fees in an area 
of practice, these may not be the only bases for computing fees.  A lawyer should, 
where appropriate, discuss alternative billing methods with the client.  When 
developments occur during the representation that render an earlier estimate 
substantially inaccurate, a revised estimate should be provided to the client.  A 
written statement concerning the fee reduces the possibility of misunderstanding.  
Furnishing the client with a simple memorandum or a copy of the lawyer’s 
customary fee schedule is sufficient if the basis or rate of the fee is set forth. 
General overhead should be accounted for in a lawyer’s fee, whether the 
lawyer charges hourly, flat, or contingent fees.  Filing fees, transcription, and the 
like should be charged to the client at the actual amount paid by the lawyer.  A 
lawyer may agree with the client to charge a reasonable amount for in-house costs 
or services.  In-house costs include items such as copying, faxing, long distance 
telephone, and computerized research.  In-house services include paralegal 
services, investigative services, accounting services, and courier services.  The 
lawyer should sufficiently communicate with the client regarding the costs charged 
to the client so that the client understands the amount of costs being charged or the 
method for calculation of those costs.  Costs appearing in sufficient detail on 
closing statements and approved by the parties to the transaction should meet the 
requirements of this rule. 
Rule 4-1.8(e) should be consulted regarding a lawyer’s providing financial 
assistance to a client in connection with litigation. 
Lawyers should also be mindful of any statutory, constitutional, or other 
requirements or restrictions on attorneys’ fees. 
In order to avoid misunderstandings concerning the nature of legal fees, written 
documentation is required when any aspect of the fee is nonrefundable.  A written 
contract provides a method to resolve misunderstandings and to protect the lawyer 
in the event of continued misunderstanding.  Rule 4-1.5 (e) does not require the 
client to sign a written document memorializing the terms of the fee.  A letter from 
the lawyer to the client setting forth the basis or rate of the fee and the intent of the 
parties in regard to the nonrefundable nature of the fee is sufficient to meet the 
requirements of this rule. 
 
- 59 - 
All legal fees and contracts for legal fees are subject to the requirements of the 
Rules Regulating The Florida Bar.  In particular, the test for reasonableness of 
legal fees found in rule 4-1.5(b) applies to all types of legal fees and contracts 
related to them. 
Terms of payment 
A lawyer may require advance payment of a fee but is obliged to return any 
unearned portion.  See rule 4-1.16(d).  A lawyer is not, however, required to return 
retainers that, pursuant to an agreement with a client, are not refundable.  A 
nonrefundable retainer or nonrefundable flat fee is the property of the lawyer and 
should not be held in trust.  If a client gives the lawyer a negotiable instrument that 
represents both an advance on costs plus either a nonrefundable retainer or a 
nonrefundable flat fee, the entire amount should be deposited into the lawyer’s 
trust account, then the portion representing the earned nonrefundable retainer or 
nonrefundable flat fee should be withdrawn within a reasonable time.  An advance 
fee must be held in trust until it is earned.  Nonrefundable fees are, as all fees, 
subject to the prohibition against excessive fees. 
A lawyer may accept property in payment for services, such as an ownership 
interest in an enterprise, providing this does not involve acquisition of a proprietary 
interest in the cause of action or subject matter of the litigation contrary to rule 4-
1.8(i).  However, a fee paid in property instead of money may be subject to special 
scrutiny because it involves questions concerning both the value of the services 
and the lawyer’s special knowledge of the value of the property. 
An agreement may not be made whose terms might induce the lawyer 
improperly to curtail services for the client or perform them in a way contrary to 
the client’s interest.  For example, a lawyer should not enter into an agreement 
whereby services are to be provided only up to a stated amount when it is 
foreseeable that more extensive services probably will be required, unless the 
situation is adequately explained to the client.  Otherwise, the client might have to 
bargain for further assistance in the midst of a proceeding or transaction.  
However, it is proper to define the extent of services in light of the client’s ability 
to pay.  A lawyer should not exploit a fee arrangement based primarily on hourly 
charges by using wasteful procedures.  When there is doubt whether a contingent 
fee is consistent with the client’s best interest, the lawyer should offer the client 
alternative bases for the fee and explain their implications.  Applicable law may 
impose limitations on contingent fees, such as a ceiling on the percentage. 
 
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Prohibited contingent fees 
Subdivision (f)(3)(A) prohibits a lawyer from charging a contingent fee in a 
domestic relations matter when payment is contingent upon the securing of a 
divorce or upon the amount of alimony or support or property settlement to be 
obtained.  This provision does not preclude a contract for a contingent fee for legal 
representation in connection with the recovery of post-judgment balances due 
under support, alimony, or other financial orders because such contracts do not 
implicate the same policy concerns. 
Contingent fees are prohibited in criminal and certain domestic relations 
matters.  In domestic relations cases, fees that include a bonus provision or 
additional fee to be determined at a later time and based on results obtained have 
been held to be impermissible contingency fees and therefore subject to restitution 
and disciplinary sanction as elsewhere stated in these Rules Regulating The Florida 
Bar. 
Contingent fee regulation 
Subdivision (e) is intended to clarify that whether the lawyer's fee contract 
complies with these rules is a matter between the lawyer and client and an issue for 
professional disciplinary enforcement.  The rules and subdivision (e) are not 
intended to be used as procedural weapons or defenses by others.  Allowing 
opposing parties to assert noncompliance with these rules as a defense, including 
whether the fee is fixed or contingent, allows for potential inequity if the opposing 
party is allowed to escape responsibility for their actions solely through application 
of these rules. 
Rule 4-1.5(f)(4) should not be construed to apply to actions or claims seeking 
property or other damages arising in the commercial litigation context. 
Rule 4-1.5(f)(4)(B) is intended to apply only to contingent aspects of fee 
agreements.  In the situation where a lawyer and client enter a contract for part 
noncontingent and part contingent attorney’s fees, rule 4-1.5(f)(4)(B) should not be 
construed to apply to and prohibit or limit the noncontingent portion of the fee 
agreement.  An attorney could properly charge and retain the noncontingent 
portion of the fee even if the matter was not successfully prosecuted or if the 
noncontingent portion of the fee exceeded the schedule set forth in rule 4-
1.5(f)(4)(B).  Rule 4-1.5(f)(4)(B) should, however, be construed to apply to any 
additional contingent portion of such a contract when considered together with 
earned noncontingent fees.  Thus, under such a contract a lawyer may demand or 
 
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collect only such additional contingent fees as would not cause the total fees to 
exceed the schedule set forth in rule 4-1.5(f)(4)(B). 
The limitations in rule 4-1.5(f)(4)(B)(i)c are only to be applied in the case 
where all the defendants admit liability at the time they file their initial answer and 
the trial is only on the issue of the amount or extent of the loss or the extent of 
injury suffered by the client.  If the trial involves not only the issue of damages but 
also such questions as proximate cause, affirmative defenses, seat belt defense, or 
other similar matters, the limitations are not to be applied because of the contingent 
nature of the case being left for resolution by the trier of fact. 
Rule 4-1.5(f)(4)(B)(ii) provides the limitations set forth in subdivision 
(f)(4)(B)(i) may be waived by the client upon approval by the appropriate judge.  
This waiver provision may not be used to authorize a lawyer to charge a client a 
fee that would exceed rule 4-1.5(a) or (b).  It is contemplated that this waiver 
provision will not be necessary except where the client wants to retain a particular 
lawyer to represent the client or the case involves complex, difficult, or novel 
questions of law or fact that would justify a contingent fee greater than the 
schedule but not a contingent fee that would exceed rule 4-1.5(b). 
UponOn a petition by a client, the trial court reviewing the waiver request must 
grant that request if the trial court finds the client:  (a) understands the right to have 
the limitations in rule 4-1.5(f)(4)(B) applied in the specific matter; and (b) 
understands and approves the terms of the proposed contract.  The consideration by 
the trial court of the waiver petition is not to be used as an opportunity for the court 
to inquire into the merits or details of the particular action or claim that is the 
subject of the contract. 
The proceedings before the trial court and the trial court’s decision on a waiver 
request are to be confidential and not subject to discovery by any of the parties to 
the action or by any other individual or entity except The Florida Bar.  However, 
terms of the contract approved by the trial court may be subject to discovery if the 
contract (without court approval) was subject to discovery under applicable case 
law or rules of evidence. 
Rule 4-1.5(f)(4)(B)(iii) is added to acknowledge the provisions of Article 1, 
Section 26 of the Florida Constitution, and to create an affirmative obligation on 
the part of an attorney contemplating a contingency fee contract to notify a 
potential client with a medical liability claim of the limitations provided in that 
constitutional provision.  This addition to the rule is adopted prior to any judicial 
interpretation of the meaning or scope of the constitutional provision and this rule 
 
- 62 - 
is not intended to make any substantive interpretation of the meaning or scope of 
that provision.  The rule also provides that a client who wishes to waive the rights 
of the constitutional provision, as those rights may relate to attorney's fees, must do 
so in the form contained in the rule. 
Rule 4-1.5(f)(6) prohibits a lawyer from charging the contingent fee percentage 
on the total, future value of a recovery being paid on a structured or periodic basis.  
This prohibition does not apply if the lawyer’s fee is being paid over the same 
length of time as the schedule of payments to the client. 
Fees that provide for a bonus or additional fees and that otherwise are not 
prohibited under the Rules Regulating The Florida Bar can be effective tools for 
structuring fees.  For example, a fee contract calling for a flat fee and the payment 
of a bonus based on the amount of property retained or recovered in a general civil 
action is not prohibited by these rules.  However, the bonus or additional fee must 
be stated clearly in amount or formula for calculation of the fee (basis or rate).  
Courts have held that unilateral bonus fees are unenforceable.  The test of 
reasonableness and other requirements of this rule apply to permissible bonus fees. 
Division of fee 
A division of fee is a single billing to a client covering the fee of 2 or more 
lawyers who are not in the same firm.  A division of fee facilitates association of 
more than 1 lawyer in a matter in which neither alone could serve the client as 
well, and most often is used when the fee is contingent and the division is between 
a referring lawyer and a trial specialist.  Subject to the provisions of subdivision 
(f)(4)(D), subdivision (g) permits the lawyers to divide a fee on either the basis of 
the proportion of services they render or by agreement between the participating 
lawyers if all assume responsibility for the representation as a whole and the client 
is advised and does not object.  It does require disclosure to the client of the share 
that each lawyer is to receive.  Joint responsibility for the representation entails the 
obligations stated in rule 4-5.1 for purposes of the matter involved. 
Disputes over fees 
Since the fee arbitration rule (chapter 14) has been established by the bar to 
provide a procedure for resolution of fee disputes, the lawyer should 
conscientiously consider submitting to it.  Where law prescribes a procedure for 
determining a lawyer’s fee, for example, in representation of an executor or 
administrator, a class, or a person entitled to a reasonable fee as part of the measure 
 
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of damages, the lawyer entitled to such a fee and a lawyer representing another 
party concerned with the fee should comply with the prescribed procedure. 
Referral fees and practices 
A secondary lawyer shallis not be entitled to a fee greater than the limitation 
set forth in rule 4-1.5(f)(4)(D)(ii) merely because the lawyer agrees to do some or 
all of the following: (a) consults with the client; (b) answers interrogatories; (c) 
attends depositions; (d) reviews pleadings; (e) attends the trial; or (f) assumes joint 
legal responsibility to the client.  However, the provisions do not contemplate that 
a secondary lawyer who does more than the above is necessarily entitled to a larger 
percentage of the fee than that allowed by the limitation. 
The provisions of rule 4-1.5(f)(4)(D)(iii) only apply where the participating 
lawyers have for purposes of the specific case established a co-counsel 
relationship.  The need for court approval of a referral fee arrangement under rule 
4-1.5(f)(4)(D)(iii) should only occur in a small percentage of cases arising under 
rule 4-1.5(f)(4) and usually occurs prior to the commencement of litigation or at 
the onset of the representation.  However, in those cases in which litigation has 
been commenced or the representation has already begun, approval of the fee 
division should be sought within a reasonable period of time after the need for 
court approval of the fee division arises. 
In determining if a co-counsel relationship exists, the court should look to see 
if the lawyers have established a special partnership agreement for the purpose of 
the specific case or matter.  If such an agreement does exist, it must provide for a 
sharing of services or responsibility and the fee division is based upon a division of 
the services to be rendered or the responsibility assumed.  It is contemplated that a 
co-counsel situation would exist where a division of responsibility is based upon, 
but not limited to, the following:  (a) based upon geographic considerations, the 
lawyers agree to divide the legal work, responsibility, and representation in a 
convenient fashion.  Such(such a situation would occur when different aspects of a 
case must be handled in different locations); (b) where the lawyers agree to divide 
the legal work and representation based upon their particular expertise in the 
substantive areas of law involved in the litigation; or (c) where the lawyers agree to 
divide the legal work and representation along established lines of division, such as 
liability and damages, causation and damages, or other similar factors. 
The trial court’s responsibility when reviewing an application for authorization 
of a fee division under rule 4-1.5(f)(4)(D)(iii) is to determine if a co-counsel 
relationship exists in that particular case.  If the court determines a co-counsel 
 
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relationship exists and authorizes the fee division requested, the court does not 
have any responsibility to review or approve the specific amount of the fee division 
agreed upon by the lawyers and the client. 
Rule 4-1.5(f)(4)(D)(iv) applies to the situation where appellate counsel is 
retained during the trial of the case to assist with the appeal of the case.  The 
percentages set forth in subdivision (f)(4)(D) are to be applicable after appellate 
counsel’s fee is established.  However, the effect should not be to impose an 
unreasonable fee on the client. 
Credit plans 
Credit plans include credit cards.  If a lawyer accepts payment from a credit 
plan for an advance of fees and costs, the amount must be held in trust in 
accordance with chapter 5, Rules Regulating The Florida Bar, and the lawyer must 
add the lawyer’s own money to the trust account in an amount equal to the amount 
charged by the credit plan for doing business with the credit plan. 
RULE 4-1.10  IMPUTATION OF CONFLICTS OF INTEREST; GENERAL 
RULE 
(a)  Imputed Disqualification of All Lawyers in Firm. While lawyers are 
associated in a firm, none of them may knowingly represent a client when any 1 of 
them practicing alone would be prohibited from doing so by rule 4-1.7 or 4-1.9 
except as provided elsewhere in this rule, or unless the prohibition is based on a 
personal interest of the prohibited lawyer and does not present a significant risk of 
materially limiting the representation of the client by the remaining lawyers in the 
firm. 
(b)  Former Clients of Newly Associated Lawyer.  When a lawyer becomes 
associated with a firm, the firm may not knowingly represent a person in the same 
or a substantially related matter in which that lawyer, or a firm with which the 
lawyer was associated, had previously represented a client whose interests are 
materially adverse to that person and about whom the lawyer had acquired 
information protected by rules 4-1.6 and 4-1.9(b) and (c) that is material to the 
matter. 
(c)  Representing Interests Adverse to Clients of Formerly Associated 
Lawyer.  When a lawyer has terminated an association with a firm, the firm is not 
prohibited from thereafter representing a person with interests materially adverse 
to those of a client represented by the formerly associated lawyer unless: 
 
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(1)  the matter is the same or substantially related to that in which the 
formerly associated lawyer represented the client; and 
(2)  any lawyer remaining in the firm has information protected by rules 4-
1.6 and 4-1.9(b) and (c) that is material to the matter. 
(d)  Waiver of Conflict.  A disqualification prescribed by this rule may be 
waived by the affected client under the conditions stated in rule 4-1.7. 
(e)  Government Lawyers.  The disqualification of lawyers associated in a 
firm with former or current government lawyers is governed by rule 4-1.11. 
Comment 
Definition of "firm" 
With respect to the law department of an organization, thereThere is ordinarily 
no question that the members of thean organization's law department constitute a 
firm within the meaning of the Rules of Professional Conduct.  However, there can 
be uncertainty as to the identity of the client.  For example, it may not be clear 
whether the law department of a corporation represents a subsidiary or an affiliated 
corporation, as well as the corporation by which the members of the department 
are directly employed.  A similar question can arise concerning an unincorporated 
association and its local affiliates. 
Similar questions can also arise with respect to lawyers in legal aid.  Lawyers 
employed in the same unit of a legal service organization constitute a firm, but not 
necessarily those employed in separate units.  As in the case of independent 
practitioners, whether the lawyers should be treated as associated with each other 
can depend on the particular rule that is involved and on the specific facts of the 
situation. 
Where a lawyer has joined a private firm after having represented the 
government, the situation is governed by rule 4-1.11(a) and (b); where a lawyer 
represents the government after having served private clients, the situation is 
governed by rule 4-1.11(c)(1).  The individual lawyer involved is bound by the 
rules generally, including rules 4-1.6, 4-1.7, and 4-1.9. 
Different provisions are thus made for movement of a lawyer from 1 private 
firm to another and for movement of a lawyer between a private firm and the 
government.  The government is entitled to protection of its client confidences and, 
therefore, to the protections provided in rules 4-1.6, 4-1.9, and 4-1.11.  However, if 
 
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the more extensive disqualification in rule 4-1.10 were applied to former 
government lawyers, the potential effect on the government would be unduly 
burdensome.  The government deals with all private citizens and organizations and 
thus has a much wider circle of adverse legal interests than does any private law 
firm.  In these circumstances, the government's recruitment of lawyers would be 
seriously impaired if rule 4-1.10 were applied to the government.  On balance, 
therefore, the government is better served in the long run by the protections stated 
in rule 4-1.11. 
Principles of imputed disqualification 
The rule of imputed disqualification stated in subdivision (a) gives effect to the 
principle of loyalty to the client as it applies to lawyers who practice in a law firm.  
SuchThese situations can be considered from the premise that a firm of lawyers is 
essentially 1 lawyer for purposes of the rules governing loyalty to the client or 
from the premise that each lawyer is vicariously bound by the obligation of loyalty 
owed by each lawyer with whom the lawyer is associated.  Subdivision (a) 
operates only among the lawyers currently associated in a firm.  When a lawyer 
moves from 1 firm to another the situation is governed by subdivisions (b) and (c). 
The rule in subdivision (a) does not prohibit representation where neither 
questions of client loyalty nor protection of confidential information are presented.  
Where 1 lawyer in a firm could not effectively represent a given client because of 
strong political beliefs, for example, but that lawyer will do no work on the case 
and the personal beliefs of the lawyer will not materially limit the representation by 
others in the firm, the firm should not be disqualified.  On the other hand, if an 
opposing party in a case were owned by a lawyer in the law firm, and others in the 
firm would be materially limited in pursuing the matter because of loyalty to that 
lawyer, the personal disqualification of the lawyer would be imputed to all others 
in the firm. 
The rule in subdivision (a) also does not prohibit representation by others in the 
law firm where the person prohibited from involvement in a matter is a nonlawyer, 
such as a paralegal or legal secretary.  SuchThese persons, however, ordinarily 
must be screened from any personal participation in the matter to avoid 
communication to others in the firm of confidential information that both the 
nonlawyers and the firm have a legal duty to protect.  See terminology and rule 4-
5.3. 
 
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Lawyers moving between firms 
When lawyers have been associated in a firm but then end their association, 
however, the problem is more complicated.  The fiction that the law firm is the 
same as a single lawyer is no longer wholly realistic.  There are several competing 
considerations.  First, the client previously represented must be reasonably assured 
that the principle of loyalty to the client is not compromised.  Second, the rule of 
disqualification should not be so broadly cast as to preclude other persons from 
having reasonable choice of legal counsel.  Third, the rule of disqualification 
should not unreasonably hamper lawyers from forming new associations and 
taking on new clients after having left a previous association.  In this connection, it 
should be recognized that today many lawyers practice in firms, that many to some 
degree limit their practice to 1 field or another, and that many move from 1 
association to another several times in their careers.  If the concept of imputed 
disqualification were defined with unqualified rigor, the result would be radical 
curtailment of the opportunity of lawyers to move from 1 practice setting to 
another and of the opportunity of clients to change counsel. 
Reconciliation of these competing principles in the past has been attempted 
under 2 rubrics.  One approach has been to seek per se rules of disqualification.  
For example, it has been held that a partner in a law firm is conclusively presumed 
to have access to all confidences concerning all clients of the firm.  Under this 
analysis, if a lawyer has been a partner in one law firm and then becomes a partner 
in another law firm, there is a presumption that all confidences known by a partner 
in the first firm are known to all partners in the second firm.  This presumption 
might properly be applied in some circumstances, especially where the client has 
been extensively represented, but may be unrealistic where the client was 
represented only for limited purposes.  Furthermore, such a rigid rule exaggerates 
the difference between a partner and an associate in modern law firms. 
The other rubric formerly used for dealing with vicarious disqualification is the 
appearance of impropriety and was proscribed in former Canon 9 of the Code of 
Professional Responsibility.  This rubric has a two-fold problem.  First, the 
appearance of impropriety can be taken to include any new client-lawyer 
relationship that might make a former client feel anxious.  If that meaning were 
adopted, disqualification would become little more than a question of subjective 
judgment by the former client.  Second, since "impropriety" is undefined, the term 
"appearance of impropriety" is question-begging.  It therefore has to be recognized 
that the problem of imputed disqualification cannot be properly resolved either by 
simple analogy to a lawyer practicing alone or by the very general concept of 
appearance of impropriety. 
 
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A rule based on a functional analysis is more appropriate for determining the 
question of vicarious disqualification.  Two functions are involved:  preserving 
confidentiality and avoiding positions adverse to a client. 
Confidentiality 
Preserving confidentiality is a question of access to information.  Access to 
information, in turn, is essentially a question of fact in particular circumstances, 
aided by inferences, deductions, or working presumptions that reasonably may be 
made about the way in which lawyers work together.  A lawyer may have general 
access to files of all clients of a law firm and may regularly participate in 
discussions of their affairs; it should be inferred that such a lawyer in fact is privy 
to all information about all the firm's clients.  In contrast, another lawyer may have 
access to the files of only a limited number of clients and participate in discussion 
of the affairs of no other clients; in the absence of information to the contrary, it 
should be inferred that such a lawyer in fact is privy to information about the 
clients actually served but not information about other clients. 
Application of subdivisions (b) and (c) depends on a situation's particular facts.  
In any such inquiry, the burden of proof should rest upon the firm whose 
disqualification is sought. 
Subdivisions (b) and (c) operate to disqualify the firm only when the lawyer 
involved has actual knowledge of relevant information protected by rules 4-1.6 and 
4-1.9(b) and (c).  Thus, if a lawyer while with 1 firm acquired no knowledge or 
information relating to a particular client of the firm and that lawyer later joined 
another firm, neither the lawyer individually nor the second firm is disqualified 
from representing another client in the same or a related matter even though the 
interests of the 2 clients conflict. 
Independent of the question of disqualification of a firm, a lawyer changing 
professional association has a continuing duty to preserve confidentiality of 
information about a client formerly represented.  See rules 4-1.6 and 4-1.9. 
Adverse positions 
The second aspect of loyalty to client is the lawyer's obligation to decline 
subsequent representations involving positions adverse to a former client arising in 
substantially related matters.  This obligation requires abstention from adverse 
representation by the individual lawyer involved, but does not properly entail 
abstention of other lawyers through imputed disqualification.  Hence, this aspect of 
the problem is governed by rule 4-1.9(a).  Thus, if a lawyer left 1 firm for another, 
 
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the new affiliation would not preclude the firms involved from continuing to 
represent clients with adverse interests in the same or related matters so long as the 
conditions of rule 4-1.10(b) and (c) concerning confidentiality have been met. 
Consent to conflict 
Rule 4-1.10(d) removes imputation with the informed consent of the affected 
client or former client under the conditions stated in rule 4-1.7.  The conditions 
stated in rule 4-1.7 require the lawyer to determine that the representation is not 
prohibited by rule 4-1.7(b) and that each affected client or former client has given 
informed consent to the representation, confirmed in writing or clearly stated on 
the record.  In some cases, the risk may be so severe that the conflict may not be 
cured by client consent.  For a definition of informed consent, see terminology. 
Imputation of conflicts in rule 4-1.8 
Where a lawyer is prohibited from engaging in certain transactions under rule 
4-1.8, subdivision (k) of that rule, and not this rule, determines whether that 
prohibition also applies to other lawyers associated in a firm with the personally 
prohibited lawyer. 
RULE 4-1.19  COLLABORATIVE LAW PROCESS IN FAMILY LAW 
(a)  Duty to Explain Process to Prospective Client. A lawyer must obtain the 
informed consent of a prospective client in a family law matter tobefore 
proceeding in the collaborative law process after providing the prospective client 
with sufficient information about the collaborative law process, including, but not 
limited to, the following: 
(1)  the material benefits and risks of using the collaborative law process to 
resolve a family law matter; 
(2)  the nature and scope of the matter to be resolved through the 
collaborative law process; 
(3)  the material benefits and risks of participating in the collaborative law 
process; 
(43)  alternatives to the collaborative law process; 
(54)  that participation in the collaborative law process is voluntary and any 
client may unilaterally terminate the collaborative law process for any reason; 
 
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(65)  that the collaborative law process will terminate if any participating 
client initiates a proceeding or seeks court intervention in a pending proceeding 
related to the collaborative law matter after the clients have signed the 
collaborative law agreement; 
(76)  limitations on the lawyer’s participation in subsequent proceedings 
imposed by family law court rules on the collaborative law process; and 
(87)  fees and costs the client can reasonably expect to incur in the 
collaborative law process, including the fees of the lawyers, mental health 
professionals, and financial professionals. 
(b)  Written Agreement Required.  A lawyer is prohibited from representing 
a client in the collaborative process in a family law matter unless all participating 
lawyers and clients sign a written agreement that includes: 
(1)  a statement of the clients’ intent to resolve a matter through the 
collaborative law process under these rules; 
(2)  a description of the nature and scope of the matter; 
(3)  identification of the lawyers participating in the collaborative law 
process and which client(s) they represent; 
(4)  that the clients will make timely, full, candid, and informal disclosure 
of information related to the collaborative matter without formal discovery and 
will promptly update previously disclosed information that has materially 
changed; 
(5)  that participation in the collaborative law process is voluntary and any 
client may unilaterally terminate the collaborative law process for any reason; 
(6)  that the collaborative law process will terminate if any participating 
client initiates a proceeding or seeks court intervention in a pending proceeding 
related to the collaborative law matter after the clients have signed the 
collaborative law agreement; and 
(7)  that the clients understand that their lawyers may not represent the 
clients or any other person before a court in a proceeding related to the 
collaborative law matter except as provided by court rule. 
(c)  Duty to Address Domestic Violence.  A lawyer must reasonably inquire 
whether a prospective client has a history of any coercive or violent relationship 
 
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with another party in a family law matter before agreeing to represent a client in 
the collaborative law process and must make reasonable efforts to continue to 
assess whether a coercive or violent relationship exists between parties in a family 
law matter throughout the collaborative law process.  A lawyer may not represent a 
client in the collaborative law process in a family law matter and must terminate 
the client-lawyer relationship in an existing collaborative law process in a family 
law matter if the lawyer reasonably believes that the lawyer’s client has a history 
of any coercive or violent relationship with another party in the matter unless: 
(1)  the client requests to begin or continue the collaborative law process; 
and 
(2)  the lawyer reasonably believes that the safety of the client can be 
protected during the collaborative law process. 
Comment 
The collaborative law process involves the nonadversarial resolution of 
disputes through voluntary settlement procedures.  Florida statutes and court rules 
permit collaborative law to resolve disputes in family law.  Lawyers engaging in 
the collaborative law process in family law matters must comply with legislative 
and court requirements regarding the process.  As part of this nonadversarial and 
voluntary resolution of disputes, lawyers who engage in the collaborative law 
process in a family law matter, and any other lawyers in that lawyer’s firm, may 
not afterwards represent any party in any related proceeding except to request that 
a court approve the settlement reached during the collaborative law process or in 
specified emergency situations in accordance with family law court rules. 
Before agreeing with the client to proceed in the collaborative law process in a 
family law matter, a lawyer should first consider whether a prospective client is an 
appropriate candidate for the collaborative law process and must provide the 
prospective client with sufficient information regarding the benefits and risks of 
the process, including the lawyer’s limitations regarding subsequent proceedings.  
See also rules 4-1.4 and 4-1.2.  To determine whether a prospective client is a good 
candidate for the collaborative law process, the lawyer must inquire regarding any 
history of coercive or violent relationships with any other persons who would be 
parties to the collaborative law process in the family law matter.  See also rules 4-
1.1 and 4-1.2.  The lawyer also must provide the prospective client with 
information about other reasonably available alternatives to resolve the family law 
matter, which may include litigation, mediation, arbitration, or expert evaluation.  
See also rule 4-1.4.  The lawyer should assess whether the prospective client is 
 
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likely to cooperate in voluntary discovery and discuss that process with the 
prospective client.  See rules 4-1.1 and 4-1.2.  The lawyer should also advise the 
prospective client that the collaborative law process will terminate if any party 
initiates litigation or other court intervention in the matter after signing a 
collaborative law agreement.  Id.Id.  The lawyer should discuss with the client the 
fact that the collaborative law process is voluntary and any party to a collaborative 
law agreement may terminate the process at any time.  Id.Id.  The lawyer must 
provide the client with information about costs the client can reasonably expect to 
incur, including fees and costs of all professionals involved.  See rules 4-1.4 and 4-
1.5. 
An agreement between a lawyer and client to engage in the collaborative law 
process is a form of limited representation which must comply with all 
requirements of limited scope representations, including the requirement that the 
client must give informed consent in writing.  See rule 4-1.2(c).  The agreement 
between lawyer and client should include the nature and scope of the matter to be 
resolved through the collaborative law process, the material benefits and risks to 
participating in the collaborative law process, and the limitations on the lawyer’s 
representation. 
If a client agrees to participate in the collaborative law process and then 
terminates the process or initiates litigation regarding the dispute, the lawyer 
should terminate the representation.  See rule 4-1.16. 
4-5 LAW FIRMS AND ASSOCIATIONS  
RULE 4-5.8  PROCEDURES FOR LAWYERS LEAVING LAW FIRMS 
AND DISSOLUTION OF LAW FIRMS 
(a)  Contractual Relationship Between Law Firm and Clients.  The contract 
for legal services creates the legal relationships between the client and law firm 
and between the client and individual members of the law firm, including the 
ownership of the files maintained by the lawyer or law firm.  Nothing in these rules 
creates or defines those relationships. 
(b)  Client’s Right to Counsel of Choice.  Clients have the right to expect that 
they may choose counsel when legal services are required and, with few 
exceptions, nothing that lawyers and law firms do affects the exercise of that right. 
(c)  Contact With Clients. 
(1)  Lawyers Leaving Law Firms.  Absent a specific agreement otherwise, a 
lawyer who is leaving a law firm may not unilaterally contact those clients of 
 
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the law firm for purposes of notifying them about the anticipated departure or 
to solicit representation of the clients unless the lawyer has approached an 
authorized representative of the law firm and attempted to negotiate a joint 
communication to the clients concerning the lawyer leaving the law firm and 
bona fide negotiations have been unsuccessful. 
(2)  Dissolution of Law Firm.  Absent a specific agreement otherwise, a 
lawyer involved in the dissolution of a law firm may not unilaterally contact 
clients of the law firm unless, after bona fide negotiations, authorized members 
of the law firm have been unable to agree on a method to provide notice to 
clients. 
(d)  Form for Contact With Clients. 
(1)  Lawyers Leaving Law Firms.  When a joint response has not been 
successfully negotiated, unilateral contact by individual members or the law 
firm must give notice to clients that the lawyer is leaving the law firm and 
provide options to the clients to choose to remain a client of the law firm, to 
choose representation by the departing lawyer, or to choose representation by 
other lawyers or law firms. 
(2)  Dissolution of Law Firms.  When a law firm is being dissolved and no 
procedure for contacting clients has been agreed to, unilateral contact by 
members of the law firm must give notice to clients that the firm is being 
dissolved and provide options to the clients to choose representation by any 
member of the dissolving law firm, or representation by other lawyers or law 
firms. 
(3)  Liability for Fees and Costs.  In all instances, notice to the client 
required under this rule must provide information concerning potential liability 
for fees for legal services previously rendered, costs expended, and how any 
deposits for fees or costs will be handled.  In addition, if appropriate, notice 
must be given that reasonable charges may be imposed to provide a copy of 
any file to a successor lawyer. 
(e)  Nonresponsive Clients. 
(1)  Lawyers Leaving Law Firms. In the event a client fails to advise the 
lawyers and law firm of the client’s intention in regard to who is to provide 
future legal services when a lawyer is leaving the firm, the client remains a 
client of the firm until the client advises otherwise. 
 
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(2)  Dissolution of Law Firms.  In the event a client fails to advise the 
lawyers of the client’s intention in regard to who is to provide future legal 
services when a law firm is dissolving, the client remains a client of the lawyer 
who primarily provided the prior legal services on behalf of the firm until the 
client advises otherwise. 
Comment 
The current rule of law regarding ownership of client files is discussed in 
Donahue v. Vaughn, 721 So. 2d 356 (Fla. 5th DCA 1998), and Dowda & Fields, 
P.A. v. Cobb, 452 So. 2d 1140 (Fla. 5th DCA 1984).  A lawyer leaving a law firm, 
when the law firm remains available to continue legal representation, has no right 
nor expectation to take client files without an agreement with the law firm to do so. 
While clients have the right to choose counsel, that choice may implicate 
obligations such as a requirement to pay for legal services previously rendered and 
costs expended in connection with the representation as well as a reasonable fee for 
copying the client’s file. 
Whether individual members have any individual legal obligations to a client is 
a matter of contract law, tort law, or court rules that is outside the scope of rules 
governing lawyer conduct.  Generally, individual lawyers have such obligations 
only if provided for in the contract for representation.  Nothing in this rule or in the 
contract for representation may alter the ethical obligations that individual lawyers 
have to clients as provided elsewhere in these rules. 
In most instances a lawyer leaving a law firm and the law firm should engage 
in bona fide, good faith negotiations and craft a joint communication providing 
adequate information to the client so that the client may make a fully informed 
decision concerning future representation.  In those instances in which bona fide 
negotiations are unsuccessful, unilateral communication may be made by the 
departing lawyer or the law firm.  In those circumstances, great care should be 
taken to meet the obligation of adequate communication and for this reason the 
specific requirements of subdivisions (d)(1) and (3) are provided. 
Lawyers and firms should engage in bona fide, good faith negotiations within a 
reasonable period of time following their knowledge of either the anticipated 
change in firm composition or, if the anticipated change is unknown, within a 
reasonable period of time after the change in firm composition.  The actual 
notification to clients should also occur within a reasonable period of time.  What 
is reasonable will depend on the circumstances, including the nature of the matters 
 
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in which the lawyer represented the clients and whether the affected clients have 
deadlines that need to be met within a short period of time. 
For purposes of this rule, clients who should be notified of the change in firm 
composition include current clients for whom the departing lawyer has provided 
significant legal services with direct client contact.  Clients need not be notified of 
the departure of a lawyer with whom the client has had no direct contact.  Clients 
whose files are closed need not be notified unless the former client contacts the 
firm, at which point the firm should notify the former client of the departure of any 
lawyer who performed significant legal services for that former client and had 
direct contact with that former client. 
Although contact by telephone is not prohibited under this rule, proof of 
compliance with the requirements of this rule may be difficult unless the 
notification is in writing. 
In order to comply with the requirements of this rule, both departing lawyers 
and the law firm should be given access to the names and contact information of all 
clients for whom the departing lawyer has provided significant legal services and 
with whom the lawyer has had direct contact. 
If neither the departing lawyer nor the law firm intends to continue 
representation of the affected clients, they may either agree on a joint letter 
providing that information to those clients, or may separately notify the affected 
clients after bona fide, good faith negotiations have failed.  Any obligation to give 
the client reasonable notice, protect the client’s interests on withdrawal, and seek 
permission of a court to withdraw may apply to both the departing lawyer and 
lawyers remaining in the firm. 
Most law firms have some written instrument creating the law firm and 
specifying procedures to be employed upon dissolution of the firm.  However, 
when such an instrument does not exist or does not adequately provide for 
procedures in the event of dissolution, the provisions of this rule are provided so 
that dissolution of the law firm does not disproportionately affect client rights. 
As in instances of a lawyer departing a law firm, lawyers involved in the 
dissolution of law firms have a continuing obligation to provide adequate 
information to a client so that the client may make informed decisions concerning 
future representation. 
The Florida Bar’s Practice Resource Institute has sample forms for notice to 
clients and sample partnership and other contracts that are available to members.  
 
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The forms may be accessed on the bar’s website, 
www.flabar.orgwww.floridabar.org, or by calling The Florida Bar headquarters in 
Tallahassee. 
Lawyers involved in either a change in law firm composition or law firm 
dissolution may have duties to notify the court if the representation is in litigation.  
If the remaining law firm will continue the representation of the client, no 
notification of the change in firm composition to the court may be required, but 
such a notification may be advisable.  If the departing lawyer will take over 
representation of the client, a motion for substitution of counsel or a motion by the 
firm to withdraw from the representation may be appropriate.  If the departing 
lawyer and the law firm have made the appropriate request for the client to select 
either the departing lawyer or the law firm to continue the representation, but the 
client has not yet responded, the law firm should consider notifying the court of the 
change in firm composition, although under ordinary circumstances, absent an 
agreement to the contrary, the firm will continue the representation in the interim.  
If the departing lawyer and the law firm have agreed regarding who will continue 
handling the client’s matters then, absent disagreement by the client, the agreement 
normally will determine whether the departing lawyer or the law firm will continue 
the representation. 
4-6 PUBLIC SERVICE 
RULE 4-6.5  VOLUNTARY PRO BONO PLAN 
(a)  Purpose.  The purpose of the voluntary pro bono attorneylawyer plan is to 
increase the availability of legal service to the poor.  The following operating plan 
has as its goal the improvement of the availability of legal services to the poor and 
the expansion of present and expand pro bono legal service programs.  The 
following operating plan was implemented to accomplish this purpose and goal. 
(b)  Standing Committee on Pro Bono Legal Service.  The president-elect of 
The Florida Bar is responsible for appointing aappoints the standing committee on 
pro bono legal service to the poor. 
(1)  Composition of the Standing Committee.  The standing committee 
consists of no more than 25 members and includes, but is not limited to: 
(A)  5 past or current members of the board of governors of The Florida 
Bar, 1 of whom is the chair or a member of the access to the legal system 
committee of the board of governors; 
(B)  5 past or current directors of The Florida Bar Foundation; 
 
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(C)  1 trial judge and 1 appellate judge; 
(D)  2 representatives of civil legal assistance providers; 
(E)  2 representatives from local and statewide voluntary bar 
associations; 
(F)  2 public members, 1 of whom is a representative of the poor; 
(G)  the president or designee of the Board of Directors of Florida 
Legal Services, Inc.; 
(H)  1 representative of the Out-of-State divisionDivision of The 
Florida Bar; and 
(I)    the president or designee of the Young Lawyers Division of The 
Florida Bar. 
(2)  Responsibilities of the Standing Committee.  The standing committee 
will: 
(A)  identify, encourage, support, and assist statewide and local pro 
bono projects and activities; 
(B)  receive reports from circuit committees submitted on standardized 
forms developed by the standing committee; 
(C)  review and evaluate circuit court pro bono plans; 
(D)  beginning in the first year in which individual attorney pro bono 
reports are due, submit an annual report as toon the activities and results of 
the pro bono plan to the board of governors of The Florida Bar, Thethe 
Florida Bar Foundation, and to the Supreme Court of Florida; 
(E)  present to the board of governors of The Florida Bar and to the 
Supreme Court of Florida any suggested changes or modifications to the 
pro bono rules. 
(c)  Circuit Pro Bono Committees.  There will be 1 circuit pro bono 
committee in each of the judicial circuits of Florida.  In each judicial circuit theThe 
chief judge of theeach circuit, or the chief judge's designee, shall appoints and 
convene the initial circuit pro bono committee members, and the committee will 
appoint its chair. 
 
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(1)  Composition of Circuit Court Pro Bono Committee.  Each circuit pro 
bono committee is composed of: 
(A)  the chief judge of the circuit or the chief judge's designee; 
(B)  to the extent feasible, 1 or more representatives from each 
voluntary bar association, including each federal bar association, 
recognized by The Florida Bar and 1 representative from each pro bono 
and legal assistance provider in the circuit, which representatives are 
nominated by the association or provider; and 
(C)  at least 1 public member and at least 1 client-eligible member, 
which members are nominated by the other members of the circuit pro 
bono committee. 
Governance and terms of service are determined by each Each circuit 
pro bono committee determines its own governance and terms of service.  
Replacement and succession members are appointed by the chief judge of 
the circuit or the chief judge's designee, upon nomination by the 
association, the provider organization or the circuit pro bono committee, as 
the case may be, as deemed appropriate or necessary to ensure an active 
circuit pro bono committee in each circuit. 
(2)  Responsibilities of Circuit Pro Bono Committee.  The circuit pro bono 
committee will: 
(A)  prepare in written form a circuit pro bono plan after evaluating the 
needs of the circuit and making a determination of present available pro 
bono services; 
(B)  implement the plan and monitor its results; 
(C)  submit an annual report to The Florida Bar standing committee; 
(D)  use current legal assistance and pro bono programs in each circuit, 
to the extent possible, to implement and operate circuit pro bono plans and 
provide the necessary coordination and administrative support for the 
circuit pro bono committee; 
(E)  encourage more lawyers to participate in pro bono activities by 
preparing a plan that provides for various support and educational services 
 
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for participating pro bono attorneys, which, to the extent possible, should 
include: 
(i)  intake, screening, and referral of prospective clients; 
(ii)  matching cases with individual attorneylawyer expertise, 
including the establishment of specializedpractice area panels; 
(iii)  resources for litigation and out-of-pocket expenses for pro 
bono cases; 
(iv) legal education and training for pro bono attorneys in 
specializedparticular areas of law useful in providing pro bono legal 
service; 
(v)  consultation with attorneyslawyers who have expertise in areas 
of law with respect to which a volunteer lawyer is providing pro bono 
legal service; 
(vi)  malpractice insurance for volunteer pro bono lawyers with 
respect to their pro bono legal service; 
(vii)  procedures to ensure adequate monitoring and follow-up for 
assigned cases and to measure client satisfaction; and 
(viii)  recognition of pro bono legal service by lawyers. 
(d)  Pro Bono Service Opportunities.  The following are suggested pro bono 
service opportunities that should be included in each circuit plan: 
(1)  represent clients through case referral; 
(2)  interview prospective clients; 
(3)  participate in pro se clinics and other clinics in which lawyers provide 
advice and counsel; 
(4)  act as co-counsel on cases or matters with legal assistance providers 
and other pro bono lawyers; 
(5)  provide consultation services to legal assistance providers for case 
reviews and evaluations; 
(6)  participate in policy advocacy; 
 
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(7)  provide training to the staff of legal assistance providers and other 
volunteer pro bono attorneys; 
(8)  make presentations to groups of poor persons regarding their rights and 
obligations under the law; 
(9)  provide legal research; 
(10)  provide guardian ad litem services; 
(11)  provide assistance in the formation and operation of legal entities for 
groups of poor persons; and 
(12)  serve as a mediator or arbitrator at no fee to the client-eligible party. 
4-8 MAINTAINING THE INTEGRITY OF THE PROFESSION 
RULE 4-8.3  REPORTING PROFESSIONAL MISCONDUCT 
(a)  Reporting Misconduct of Other Lawyers.  A lawyer who knows that 
another lawyer has committed a violation of the Rules of Professional Conduct that 
raises a substantial question as to that lawyer's honesty, trustworthiness, or fitness 
as a lawyer in other respects shallmust inform the appropriate professional 
authority. 
(b)  Reporting Misconduct of Judges.  A lawyer who knows that a judge has 
committed a violation of applicable rules of judicial conduct that raises a 
substantial question as to the judge's fitness for office shallmust inform the 
appropriate authority. 
(c)  Confidences Preserved.  This rule does not require disclosure of 
information; 
(1) otherwise protected by rule 4-1.6; 
(2) gained by a lawyer while serving as a mediator or mediation participant 
if the information is privileged or confidential under applicable law; or 
(3) gained by a lawyer or judge while participating in an approved lawyers 
assistance program unless the lawyer's participation in an approved lawyers 
assistance program is part of a disciplinary sanction, in which case a report 
about the lawyer who is participating as part of a disciplinary sanction 
shallmust be made to the appropriate disciplinary agency. 
 
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(d)  Limited Exception for Practice Resource Institute CounselFlorida Bar 
Established Law Practice Management Program.  A lawyer employed by or 
acting on behalf of the Practice Resource Institute law practice management advice 
and education program established and supervised by the board of governors is 
exempt from the obligation to disclose knowledge of the conduct of another 
member of The Florida Bar that raises a substantial question as to the other 
lawyer’s fitness to practice if the lawyer employed by or acting on behalf of the 
Practice Resource Instituteprogram acquired the knowledge while engaged in the 
course of the lawyer's regular job duties as an Practice Resource Institute employee 
of the program. 
Comment 
Self-regulation of the legal profession requires that members of the profession 
initiate disciplinary investigation when they know of a violation of the Rules of 
Professional Conduct.  Lawyers have a similar obligation with respect to judicial 
misconduct.  An apparently isolated violation may indicate a pattern of misconduct 
that only a disciplinary investigation can uncover.  Reporting a violation is 
especially important where the victim is unlikely to discover the offense. 
A report about misconduct is not required where it would involve violation of 
rule 4-1.6.  However, a lawyer should encourage a client to consent to disclosure 
where prosecution would not substantially prejudice the client's interests. 
If a lawyer were obliged to report every violation of the rules, the failure to 
report any violation would itself be a professional offense.  Such a requirement 
existed in many jurisdictions, but proved to be unenforceable.  This rule limits the 
reporting obligation to those offenses that a self-regulating profession must 
vigorously endeavor to prevent.  A measure of judgment is, therefore, required in 
complying with the provisions of this rule.  The term "substantial" refers to the 
seriousness of the possible offense and not the quantum of evidence of which the 
lawyer is aware. 
The duty to report professional misconduct does not apply to a lawyer retained 
to represent a lawyer whose professional conduct is in question.  Such a situation is 
governed by the rules applicable to the client-lawyer relationship. 
Generally, Florida statutes provide that information gained through a 
“mediation communication” is privileged and confidential, including information 
which discloses professional misconduct occurring outside the mediation.  
 
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However, professional misconduct occurring during the mediation is not privileged 
or confidential under Florida statutes. 
Information about a lawyer's or judge's misconduct or fitness may be received 
by a lawyer in the course of that lawyer's participation in an approved lawyers or 
judges assistance program.  In that circumstance, providing for an exception to the 
reporting requirements of subdivisions (a) and (b) of this rule encourages lawyers 
and judges to seek treatment through such a program. Conversely, without such an 
exception, lawyers and judges may hesitate to seek assistance from these programs, 
which may then result in additional harm to their professional careers and 
additional injury to the welfare of clients and the public.  These rules do not 
otherwise address the confidentiality of information received by a lawyer or judge 
participating in an approved lawyers assistance program; such an obligation, 
however, may be imposed by the rules of the program or other law. 
CHAPTER 6 LEGAL SPECIALIZATION AND EDUCATION PROGRAMS 
6-1 GENERALLY 
RULE 6-1.2  PUBLIC NOTICE 
The Florida Bar may causepublish a public notice to be promulgated where and 
when it deems necessary, including, for example, telephone directory yellow 
pagein any media, in substantially the following form: 
NOTICE 
 
FOR THE GENERAL INFORMATION OF THE PUBLIC 
ATTORNEYSLAWYERS 
INDICATING 
"BOARD 
CERTIFIED," 
"BOARD CERTIFIED SPECIALIST," OR “BOARD CERTIFIED EXPERT” 
HAVE BEEN CERTIFIED BY THE FLORIDA BAR AS HAVING SPECIAL 
KNOWLEDGE, SKILLS, AND PROFICIENCY IN THEIR AREAS OF 
PRACTICE AND HAVE BEEN EVALUATED BY THE BAR AS TO THEIR 
CHARACTER, ETHICS, AND REPUTATION FOR PROFESSIONALISM IN 
THE PRACTICE OF LAW. 
ALL PERSONS ARE URGED TO MAKE THEIR OWN INDEPENDENT 
INVESTIGATION AND EVALUATION OF ANY ATTORNEYLAWYER 
BEING CONSIDERED. 
This notice published by The Florida Bar Board of Legal Specialization and 
Education, Telephone 850/561-5600, 651 E. Jefferson Street, Tallahassee, 
Florida 32399-2300. 
 
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6-10 CONTINUING LEGAL EDUCATION REQUIREMENT RULE 
RULE 6-10.3 MINIMUM CONTINUING LEGAL EDUCATION 
STANDARDS 
(a)  Applicability.  Every member, except those exempt under subdivision (c) 
of this rule, must comply and report compliance with the continuing legal 
education requirement.  Members must apply for and receive approval by the bar 
of an exemption from compliance and reporting of continuing legal education 
under subdivisions (c)(1) through (c)(3) of this rule.  Members described in 
subdivisions (c)(4) through (c)(6) of this rule are automatically exempt from 
compliance and reporting of continuing legal education.  
(b)  Minimum Hourly Continuing Legal Education Requirements.  Each 
member must complete a minimum of 33 credit hours of approved continuing legal 
education activity every 3 years.  FiveAt least 5 of the 33 credit hours must be in 
approved legal ethics, professionalism, bias elimination, substance abuse, or 
mental illness awareness programs, with at least 1 of the 5 hours in an approved 
professionalism program, and at least 3 of the 33 credit hours must be in approved 
technology programs, are included in, not in addition to, the regular 33 credit hour 
requirement.  If a member completes more than 33 credit hours during any 
reporting cycle, the excess credits cannot be carried over to the next reporting 
cycle. 
(c)  Exemptions.  Eligibility for an exemption, in accordance with policies 
adopted under this rule, is available for: 
(1)  active military service; 
(2)  undue hardship; 
(3)  nonresident members not delivering legal services or advice on matters 
or issues governed by Florida law; 
(4)  members of the full-time federal judiciary who are prohibited from 
engaging in the private practice of law; 
(5)  justices of the Supreme Court of Florida and judges of the district 
courts of appeal, circuit courts, and county courts, and other judicial officers 
and employees as designated by the Supreme Court of Florida; and, 
(6)  inactive members of The Florida Bar. 
 
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(d)  Course Approval.  Course approval is set forth in policies adopted 
pursuant to this rule.  Special policies will be adopted for courses sponsored by 
governmental agencies for employee attorneyslawyers that exempt these courses 
from any course approval fee and may exempt these courses from other 
requirements as determined by the board of legal specialization and education. 
(e)  Accreditation of Hours.  Accreditation standards are set forth in the 
policies adopted under this rule.  Any course presented, sponsored, or approved for 
credit by an organized integrated or voluntary state bar is deemed an approved 
course for purposes of this rule if the course meets the criteria for accreditation 
established by policies adopted under this rule. 
(f)  Full-time Government Employees.  Credit hours will be given to full-
time government employees for courses presented by governmental agencies.  
Application for credit approval may be submitted by the full-time government 
attorneylawyer before or after attendance, without charge. 
(g)  Skills Training Preadmission.  The board of legal specialization and 
education may approve for CLER credit a basic skills or entry level training 
program developed and presented by a governmental entity.  Credit earned through 
attendance at an approved course developed and presented by a governmental 
entity is applicable under subdivision (b) of this rule if taken within 12 months 
prior to admission to The Florida Bar. 
CHAPTER 14 GRIEVANCE MEDIATION AND FEE ARBITRATION 
14-6 NATURE; ENFORCEMENT OF AWARD; EFFECT OF FAILURE TO 
PAY 
RULE 14-6.1  BINDING NATURE; ENFORCEMENT; AND EFFECT OF 
FAILURE TO PAY AWARD 
(a)  Binding Determination.  The parties to a proceeding under these rules 
shall beare bound by the terms of the arbitration award subject to those rights and 
procedures to set aside or modify the award provided by chapter 682, Florida 
Statutes, or by the terms of an agreement reached in mediation. 
(b)  Enforcement of Determination.  In addition to any remedy authorized in 
this chapter, an arbitration award may be enforced as provided in chapter 682, 
Florida Statutes. 
(c)  Effect of Failure to Pay Award.  Failure of a member of the bar to pay an 
award within 30 days of the date on which the award became final, without just 
cause for suchthat failure, shallwill result incause the member beingto be 
 
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delinquent and not authorizedineligible to practice law, as provided elsewhere in 
these rules defining delinquent members. 
Comment 
Lack of funding, alone, does not constitute just cause under this rule. 
14-7 IMMUNITY AND CONFIDENTIALITY 
RULE 14-7.1  IMMUNITY AND CONFIDENTIALITY 
(a)  Immunity.  The members of the standing committee, mediators, 
arbitrators, staff of The Florida Bar, and appointed voluntary counsel assisting the 
committee, mediators, and arbitrators, shall have absolute immunity from civil 
liability for all acts in the course of their official duties. 
(b)  Confidentiality of Arbitration Proceedings and Records.  All records, 
documents, files, proceedings, and hearings pertaining to fee arbitration under 
these rules shall beare made available, upon inquiry, to anyonepublic records and 
will be provided on request, except for.  Provided, however, that any record of an 
arbitrator’s mental processes shall not be subject to discovery and a panel of 
arbitrators may retire intoand any record of an arbitration panel's executive session 
to consider the issues raised and to reach a decision as to an award. 
(c)  Confidentiality of Mediation Proceedings and Records.  All records, 
documents, files, and proceedings pertaining to mediation under this chapter shall 
beare made available only as provided in the Florida Rules for Certified and Court-
Appointed Mediators and applicable law. 
CHAPTER 18 MILITARY LEGAL ASSISTANCE COUNSEL RULE 
18-1 GENERALLY 
RULE 18-1.2  DEFINITIONS 
(a)  Authorized Legal Assistance Lawyer.  An “authorized legal assistance 
lawyer” is any person who: 
(1)  is admitted to practice law by the highest court of another state, the 
District of Columbia, or a territory of the United States;  
(2)  is serving on active duty within the Department of Defense (including 
the National Guard while in federal service) or the Department of 
Transportation (with respect to the United States Coast Guard); 
 
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(3)  is assigned to an installation, unit, and/or activity located within the 
geographic limitations of the courts of the state of Florida; and 
(4)  completes The Florida Bar Young Lawyers Division Practicing with 
Professionalism program (Basic Skills Course Requirement) within the time 
required by rule 6-1.3; and 
(5)  appears in connection with official duties as a legal assistance lawyer. 
(b)  Approved Legal Assistance Office.  An “approved legal assistance 
office” for the purposes of this chapter is a military command tasked with 
providing legal assistance as approved by the Department of Defense or 
Department of Transportation. 
(c)  Supervising Lawyer.  A "supervising lawyer" is a member in good 
standing of The Florida Bar who is eligible to practice law in Florida and who 
supervises an authorized legal assistance lawyer engaged in activities permitted by 
this chapter.  The supervising lawyer must: 
(1)  be employed by or be a participating volunteer for an approved legal 
assistance office (to specifically include military reserve lawyers); and 
(2)  assume personal professional responsibility for supervising the conduct 
of the matter, litigation, or administrative proceeding in which the authorized 
legal assistance lawyer participates. 
(d)  Authorized Legal Assistance Client.  An “authorized legal assistance 
client” is: 
(1)  an active duty military member who is assigned to an installation, unit, 
and/or activity located within the state of Florida and who otherwise meets 
current income eligibility guidelines of the Legal Services Corporation; 
(2)  a military retiree who resides within the state of Florida and who 
otherwise meets current income eligibility guidelines of the Legal Services 
Corporation; 
(3)  the dependents of any active duty military member or retiree who are 
otherwise residents of the state of Florida and meet current income eligibility 
guidelines of the Legal Services Corporation; or 
 
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(4)  the surviving family members who are Florida residents of an active 
duty military member who died while in active military service for purposes of 
settling the deceased military member’s affairs. 
CHAPTER 20 FLORIDA REGISTERED PARALEGAL PROGRAM 
20-3 ELIGIBILITY REQUIREMENTS 
RULE 20-3.1 REQUIREMENTS FOR REGISTRATION 
In order to be a Florida Registered Paralegal under this chapter, an individual 
must meet 1 of the following requirements.  
(a)  Educational and Work Experience Requirements. A person may 
become a Florida Registered Paralegal by meeting 1 of the following education 
and paralegal work experience requirements: 
(1)  a bachelor’s degree in paralegal studies from an approved paralegal 
program, plus a minimum of 1 year of paralegal work experience;  
(2)  a bachelor’s degree or higher degree other than a juris doctorate from 
an institution accredited by a nationally recognized accrediting agency 
approved by the United States Department of Education or the Florida 
Department of Education, plus a minimum of 3 years of paralegal work 
experience;  
(3)  an associate’s degree in paralegal studies from an approved paralegal 
program, plus a minimum of 2 years of paralegal work experience;  
(4)  an associate’s degree from an institution accredited by a nationally 
recognized accrediting agency approved by the United States Department of 
Education or the Florida Department of Education, plus a minimum of 4 years 
of paralegal work experience; or 
(5)  a juris doctorate degree from an American Bar Association accredited 
institution, plus a minimum of 1 year of paralegal work experience; or 
(6)  a juris doctorate degree from an American Bar Association accredited 
institution and membership in good standing with a state bar association other 
than Florida’s, with no minimum paralegal work experience.  
(b)  Certification. A person may become a Florida Registered Paralegal by 
obtaining 1 of the following certifications: 
 
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(1)  successful completion of the Paralegal Advanced Competency Exam 
(PACE certification as offered by the National Federation of Paralegal 
Associations "NFPA") and good standing with NFPA; or  
(2)  successful completion of the Certified Legal Assistant/Certified 
Paralegal examination (CLA/CP certification as offered by the National 
Association of Legal Assistants “NALA”) and good standing with NALA.  
(c)  Grandfathering Reapplication. A paralegal who was registered under the 
grandfathering provision on or prior to March 1, 2011, who resigns or whose 
registration is revoked may reapply based on work experience alone. The paralegal 
must provide work experience as defined elsewhere in these rules for 5 of the 8 
years immediately preceding the date of reapplication. 
20-5 INELIGIBILITY FOR REGISTRATION OR RENEWAL 
RULE 20-5.2  DUTY TO UPDATE 
An individual applying for registration as a Florida Registered Paralegal or 
who is registered as a Florida Registered Paralegal has a duty to inform The 
Florida Bar promptly of any fact or circumstance that would render the individual 
ineligible for registration or renewal, and The Florida Bar will notify the 
employing or supervising lawyer as defined elsewhere in this chapter of any 
changes to the registration status. 
20-6 CONTINUING EDUCATION 
RULE 20-6.1  GENERALLY 
In order to maintain the status of Florida Registered Paralegal, a Florida 
Registered ParalegalParalegals must complete a minimum of 3033 hours of 
continuing education every 3 years, 5 hours of which must be in legal ethics or 
professionalism and 3 hours of which must be in technology. CoursesAcceptable 
courses include those approved for credit by The Florida Bar, the National 
Association of Legal Assistants (NALA), or the National Federation of Paralegal 
Associations (NFPA) will be deemed acceptable for purposes of this rule.  To be 
eligible for re-registration, if a Florida Registered Paralegal resigns or has had his 
or her status revoked but is otherwise eligible for re-registration, the Florida 
Registered Paralegal must complete at least 10 hours of continuing education for 
each year the Florida Registered Paralegal was previously registered.A Florida 
Registered Paralegal who resigns or whose status has been revoked but is 
otherwise eligible for re-registration must complete at least 11 hours of continuing 
education for each year the Florida Registered Paralegal was previously registered 
 
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in order to be eligible for re-registration. The continuing education hours must be 
completed prior to the re-registration application and be posted on The Florida Bar 
website within 30 days of the effective date of re-registration, otherwise the new 
registration will be revoked and ineffective.The new registration will be revoked 
unless the continuing education hours are completed before the re-registration 
application and posted on The Florida Bar website within 30 days of the effective 
date of the re-registration.  Upon re-registration, theThe Florida Registered 
Paralegal will be given a new 3-year continuing education cycle on re-registration. 
Comment 
Continuing education is an important component of the Florida Registered 
Paralegal program and necessary to maintain the status of a Florida Registered 
Paralegal.  If a Florida Registered Paralegal resigns or has had his or herthe 
paralegal's status revoked at the end of a continuing education cycle without 
completing the necessary hours, the paralegal must show that he or shethe 
paralegal has completed a minimum of 1011 hours of continuing education for 
each year of the immediately preceding term that the paralegal was registered.  For 
example, if the paralegal was registered for 2 years, the paralegal must complete at 
least 2022 hours of continuing education in order to re-register.  The courses must 
be completed prior to the date the paralegal reapplies for Florida Registered 
Paralegal status.  As an example, assume that a Florida Registered Paralegal was 
given a continuing education cycle that ran from January 1, 2011, to January 1, 
2014, and the Florida Registered Paralegal resigned or had his or herthe paralegal's 
status revoked in October 2013.  If the paralegal reapplies for Florida Registered 
Paralegal status in February 2014, the paralegal must show 2022 hours of 
continuing education credit completed between January 1, 2011, to January 1, 
2014, to be eligible to re-register.  Because a Florida Registered Paralegal must 
enter all course credits on The Florida Bar’s website and access to the portion of 
the website where credits are posted is not available during the period the paralegal 
was not registered, the Florida Registered Paralegal will have 30 days after re-
registration to enter the credits.  Failure to timely enter the credits will result in the 
Florida Registered Paralegal’s status being revoked.  Upon re-registration, theThe 
Florida Registered Paralegal will be given a new continuing education cycle on re-
registration.  The purpose of this rule is to ensure that a Florida Registered 
Paralegals continues his or hertheir education.  This is meant to avoid a situation 
where a Florida Registered Paralegal has not completed the continuing education 
requirement, resigns, and then re-registers with a new 3-year cycle, having failed to 
complete the requisite hours when previously registered. 
 
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If a Florida Registered Paralegal resigns or has his or herthe paralegal's status 
revoked during his or her the continuing education cycle, the cycle will not reset.  
For example, assume a Florida Registered Paralegal has a continuing education 
cycle beginning January 1, 2011, and ending January 1, 2014.  The Florida 
Registered Paralegal’s status is revoked in October 2012, for failure to pay the 
annual renewal.  If the paralegal reapplies and is re-registered in December 2012, 
the continuing education cycle will remain the same, and the Florida Registered 
Paralegal will have until January 1, 2014, to complete the necessary hours. 
20-8 REVOCATION OF REGISTRATION 
RULE 20-8.3  COMPLAINT PROCESSING  
(a)  Complaints.  All complaints against a Florida Registered Paralegal may be 
initiated either by a sworn complaint asserting a violation of these rules or by The 
Florida Bar on its own motion.  
(b)  Review by Bar Counsel.  Bar counsel shallmust review the complaint and 
determine whether the alleged conduct, if proven, would constitute a violation of 
these rules. Bar counsel may conduct a preliminary, informal investigation to aid in 
this determination and, if necessary, may employ a Florida Bar staff investigator to 
aid in the preliminary investigation. If bar counsel determines that the facts, if 
proven, would not constitute a violation, bar counsel may decline to pursue the 
complaint. The complainant shallmust be notified of a decision not to pursue a 
complaint and shall be given the reasons thereforincluding the reasons for not 
pursuing the complaint.  
(c)  Closing by Bar Counsel and Committee Chair.  Bar counsel may consult 
with the appropriate district paralegal committee chair to determine whether the 
alleged conduct of a complaint, if proven, would constitute a violation of these 
rules. If bar counsel and the district committee chair concur in a finding that the 
case should be closed, the complaint may be closed on such finding without 
referral to the district paralegal committee.  
(d)  Referral to District Paralegal Committee.  Bar counsel may refer a file 
to the appropriate district paralegal committee for further investigation or action as 
authorized elsewhere in these rules.  
(e)  Notification of Violation.  If a majority of the district paralegal committee 
finds probable cause to believe that a violation of these rules has occurred, bar 
counsel or the chair of the district paralegal committee will send written notice 
thereof to the Florida Registered Paralegal identifying the committee finding and 
 
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the alleged violation and the Florida Registered Paralegal must notify their 
supervising lawyer of the complaint. The notice shallwill be sent by certified U.S. 
mail directed to the last mailing address on file.  
(f)  Response to Notice of Violation.  Within 30 days from the receipt of the 
notification, theThe Florida Registered Paralegal shallmust file a written response 
within 30 days of receipt of the notification. If the Florida Registered Paralegal 
does not respond, the violations identified in the finding of probable cause shall 
beare deemed admitted.  
(g)  Committee Review.  After the filing of the written response to the finding 
of probable cause or following the expiration of the time within which to file a 
response if none is filed, the The district paralegal committee shallmust review the 
complaint, the finding of probable cause, the response (if any)any response filed, 
and any other pertinent materials, after either the filing of a written response by the 
Florida Registered Paralegal or the expiration of the time to file a response. The 
Committee must  and decide whether to dismiss the proceeding or issue a proposed 
disposition. The committee shallmust promptly send written notice of its decision 
to the Florida Registered Paralegal by certified U.S. mail directed to the last 
mailing address on file.  
RULE 20-8.6  DISPOSITION OF COMPLAINTS 
 UponOn concluding its investigation, the district paralegal committee shallwill 
determine which of the following action(s) should be taken: 
(a)  close the matter on a finding of no violation; 
(b)  close the matter with a letter of advice; 
(c)  require thatcompletion of a specified continuing education course be taken; 
(cd)  accept an affidavit from the Florida Registered Paralegal acknowledging 
that the conduct surrounding the complaint was a violation of these rules and that 
the Florida Registered Paralegal will refrain from conduct that would create a 
violation of these rules; 
(de)  suspension ofsuspend the Florida Registered Paralegal’s registration 
certificate for a period not to exceed 1 year; 
(ef)  revocation ofrevoke the Florida Registered Paralegal's registration 
certificate; or 
 
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(fg)  denial ofdeny the Florida Registered Paralegal's request for renewal.