Pennsylvania Code › Title 204 - JUDICIAL SYSTEM GENERAL PROVISIONS › Part V - PROFESSIONAL ETHICS AND CONDUCT › Subpart B - DISCIPLINARY ENFORCEMENT › Chapter 83 - PENNSYLVANIA RULES OF DISCIPLINARY ENFORCEMENT › Subchapter E - PENNSYLVANIA LAWYERS FUND FOR CLIENT SECURITY › PAYMENT OF CLAIMS › Rule 521 - Investigation and Payment of Claims

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
Cooperation with Disciplinary Board
. At the request of the
						Board, the Disciplinary Board of the Supreme Court of Pennsylvania shall make
						available to the Board all reports of investigations and records of formal
						proceedings conducted under these rules with respect to any attorney whose
						conduct is alleged to amount to Dishonest Conduct causing Reimbursable Loss to
						a Claimant, and shall otherwise cooperate fully with the Board. The Board shall
						cooperate fully with the Disciplinary Board of the Supreme Court of
						Pennsylvania and shall preserve the confidential nature of any information
						which is required to be kept confidential under these rules.
(b)
Hearing Committees.
The
						Board may utilize a hearing committee to conduct any hearings under this
						subchapter for the purpose of resolving factual issues. Imposition of
						discipline under Rule 204 (relating to types of discipline) or otherwise shall
						not be a prerequisite for favorable action by the Board with respect to a claim
						filed with the Fund, but the Covered Attorney involved shall be given notice of
						and an opportunity to contest any claim made with respect to his or her alleged
						Dishonest Conduct. Notice mailed to the Covered Attorney at the address of
						record with Attorney Registration per Rule of Disciplinary Enforcement 219
						(relating to annual registration and assessment) shall satisfy this notice
						requirement.
(c)
Subpoenas
.
(1) At any stage
						of an inquiry being conducted in accordance with Rule 221 (relating to
						mandatory overdraft notification), the Board or a designated representative on
						behalf of the Board shall have the right to require production of records by
						issuance of a subpoena(s). The attorney whose account is the subject of the
						inquiry under Rule 221 shall have the right, upon written request and payment
						of appropriate duplicating costs, to receive copies of the records
						produced.
(2) At any stage of an
						investigation and/or proceeding under this subchapter, the Board shall have the
						right to summon witnesses and/or require production of records by issuance of
						subpoenas. Should the Board determine to conduct a hearing, the Claimant and/or
						the Covered Attorney may request the issuance of a subpoena to summon a witness
						to testify at such hearing. The costs associated with the issuance and service
						of the subpoena and the witness' appearance shall be borne by the requesting
						party.
(3) Subpoenas authorized by
						this subparagraph (c) shall be obtained by filing with any Prothonotary of the
						Supreme Court of Pennsylvania ("Court Prothonotary") a statement calling for
						the issuance of the subpoena. On the same day that the statement is filed with
						the Court Prothonotary, the party seeking the subpoena shall send by certified
						mail a copy of the statement to either the Executive Director and the Claimant
						or the Covered Attorney as the case may be. Upon the filing of the statement,
						the Court Prothonotary shall forthwith issue the subpoena and it shall be
						served by certified mail, return receipt or by personal service. A subpoena
						issued under this subparagraph (c) shall not be returnable until at least 10
						days after the date of its issuance.
(4) A subpoena issued under this rule shall
						clearly indicate on its face that the subpoena is issued in connection with a
						confidential investigation under these rules and, that it is regarded as
						contempt of the Supreme Court or grounds for discipline under the Rules of
						Disciplinary Enforcement for a person subpoenaed to in any way breach the
						confidentiality of the investigation. It shall not be regarded as a breach of
						confidentiality for a person subpoenaed to consult with an attorney. The
						subpoena procedures of this rule shall be subject to the protective
						requirements of confidentiality provided in Rule 504.
(5) Any challenge to the validity of a
						subpoena issued under this rule shall be heard by a hearing committee or the
						full Board. A determination by such committee or the Board may be appealed to
						the Supreme Court under subparagraph (8)(iii) within ten days after service of
						the determination on the party bringing the appeal.
(6) Witnesses before a hearing committee or
						the Board shall be examined under oath or affirmation.
(7) With the approval of a hearing committee
						or the Board, testimony may be taken by deposition or by commission if the
						witness is not subject to service of subpoena or is unable to attend or testify
						at the proceeding because of age, illness or other compelling reason. A
						complete record of the testimony so taken shall be made and preserved.
(8) Enforcement of subpoenas;
						appeal of challenges to subpoenas:
(i) The
						Board, a Claimant, or a Covered Attorney may petition the Supreme Court to
						enforce a subpoena.
(ii) Upon
						receipt of a petition for enforcement of a subpoena, the Court shall issue a
						rule to show cause upon the person to whom the subpoena was directed,
						returnable within ten days, why the person should not be held in contempt. If
						the period of response has passed without a response having been filed, or
						after consideration of any response, the Court shall issue an appropriate
						order.
(iii) A petition for review
						of a determination made under subparagraph (5) must set forth in detail the
						grounds for challenging the determination. Upon timely receipt of a petition
						for review, the Court shall issue a rule to show cause upon the party to the
						proceeding who is not challenging the determination, returnable within ten
						days, why the determination should not be reversed. If the period for response
						has passed without a response having been filed, or after consideration of any
						response, the Court shall issue an appropriate order. No challenge to the
						validity of a subpoena will be considered by the Court unless previously raised
						as provided in subparagraph (5).
(9) Any rule of the Supreme Court or any
						statute providing for discovery shall not be applicable in a proceeding under
						these rules, which proceeding shall be governed by these rules
						alone.