Subchapter B. MISCONDUCT
Rule
201. Jurisdiction.
202. Disciplinary districts.
203. Grounds for discipline.
204. Types of discipline.
205. The Disciplinary Board of the Supreme Court of Pennsylvania.
206. Hearing committees and special masters.
207. Disciplinary Counsel.
208. Procedure.
209. Complaints and Immunity.
210. Refusal of complainant to proceed, compromise, etc.
211. Matters involving related pending civil or criminal litigation.
212. Substituted service.
213. Subpoena power, depositions and related matters.
214. Attorneys convicted of crimes.
215. Discipline on consent.
216. Reciprocal discipline and disability.
217. Formerly admitted attorneys.
218. Reinstatement proceedings.
219. Annual registration and assessment. Administrative suspension. Administrative changes in status.
220. Recusal of members of the Board or a hearing committee or a special master.
221. Funds of clients and third persons. Mandatory overdraft notification.Rule 201. Jurisdiction.
(a) The exclusive disciplinary jurisdiction of the Supreme Court under these rules extends to:
(1) Any attorney admitted to practice law in this Commonwealth.
Official Note
The jurisdiction of the Board under this paragraph includes jurisdiction over a foreign legal consultant, military attorney, attorney spouse of an active-duty service member, attorney participant in defender or legal services programs, or a person holding a Limited In-House Corporate Counsel License. See the definitions of ‘‘attorney,’’ ‘‘practice of law’’ and ‘‘respondent-attorney’’ in Rule 102.
(2) Any attorney of another jurisdiction specially admitted by a court of this Commonwealth for a particular proceeding.
(3) Any formerly admitted attorney, with respect to acts prior to suspension, disbarment, temporary suspension, administrative suspension, permanent resignation, or transfer to or assumption of retired, inactive or disability inactive status, or with respect to acts subsequent thereto which amount to the practice of law or constitute the violation of the Disciplinary Rules, these rules or rules of the Board adopted pursuant hereto.
(4) Any attorney who is a justice, judge or magisterial district judge, with respect to acts prior to taking office as a justice, judge or magisterial district judge, if the Judicial Conduct Board declines jurisdiction with respect to such acts.
(5) Any attorney who resumes the practice of law, with respect to nonjudicial acts while in office as a justice, judge or magisterial district judge.
(6) Any attorney not admitted in this Commonwealth who practices law or renders or offers to render any legal services in this Commonwealth.
(b) Nothing contained in these rules shall be construed to deny to any other court such powers as are necessary for that court to maintain control over proceedings conducted before it, such as the power of contempt, nor to prohibit bar associations from censuring, suspending or expelling their members from membership in the association.
Source The provisions of this Rule 201 amended October 10, 1980, effective February 8, 1981, 10 Pa.B. 4029; amended April 30, 2004, effective upon publication, governs matters thereafter commenced and, insofar as just and practicable, matters then pending, 34 Pa.B. 2537; amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; amended April 16, 2009, effective May 1, 2009, 39 Pa.B. 2193; amended October 2, 2019, effective in 30 days, 49 Pa.B. 6063; amended October 29, 2020, effective in 30 days, 50 Pa.B. 6353; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial page (403205).
Rule 202. Disciplinary districts.
(a) Disciplinary jurisdiction in this Commonwealth shall be divided into the following districts:
(1) District I-the County of Philadelphia.
(2) District II-the Counties of Berks, Bucks, Chester, Delaware, Lancaster, Lehigh, Montgomery, Northampton and Schuylkill.
(3) District III-the counties of Adams, Bradford, Cameron, Carbon, Centre, Clinton, Columbia, Cumberland, Dauphin, Franklin, Fulton, Huntingdon, Juniata, Lackawanna, Lebanon, Luzerne, Lycoming, Mifflin, Monroe, Montour, Northumberland, Perry, Pike, Potter, Snyder, Sullivan, Susquehanna, Tioga, Union, Wayne, Wyoming and York.
(4) District IV-the counties of Allegheny, Armstrong, Beaver, Bedford, Butler, Blair, Cambria, Clarion, Clearfield, Crawford, Elk, Erie, Fayette, Forest, Greene, Indiana, Jefferson, Lawrence, McKean, Mercer, Somerset, Venango, Warren, Washington and Westmoreland.
(b) The disciplinary district which shall have jurisdiction over a person subject to these rules shall be any district in which the person maintains an office or the district in which the conduct under investigation occurred.
Rule 203. Grounds for discipline.
(a) Acts or omissions by a person subject to these rules, individually or in concert with any other person or persons, which violate the Disciplinary Rules, shall constitute misconduct and shall be grounds for discipline, whether or not the act or omission occurred in the course of an attorney-client relationship.
(b) The following shall also be grounds for discipline:
(1) Conviction of a crime.
(2) Wilful failure to appear before the Supreme Court, the Board or Disciplinary Counsel for censure, public or private reprimand, or informal admonition.
(3) Wilful violation of any other provision of the Enforcement Rules.
(4) Failure by a respondent-attorney without good cause to comply with any order under the Enforcement Rules of the Supreme Court, the Board, a hearing committee or special master.
(5) Ceasing to meet the requirements for licensure as a foreign legal consultant set forth in Pennsylvania Bar Admission Rule 341(a)(1) or (3).
(6) Making a material misrepresentation of fact or deliberately failing to disclose a material fact in connection with an application submitted under the Pennsylvania Bar Admission Rules.
(7) Failure by a respondent-attorney without good cause to respond to Disciplinary Counsel’s request or supplemental request under Disciplinary Board Rules, § 87.7(b) for a statement of the respondent-attorney’s position.
(c) The Board, its hearing committees, special masters and (when administering informal admonitions) Disciplinary Counsel are ‘‘tribunals’’ within the meaning of the Disciplinary Rules.
Source The provisions of this Rule 203 amended October 3, 1990, effective October 27, 1990, and shall govern all matters thereafter commenced and, insofar as just and practicable, matters then pending, 20 Pa.B. 5364; amended September 19, 2003, effective October 4, 2003, 33 Pa.B. 4891; amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; March 21, 2006, effective April 8, 2006, 36 Pa.B. 1642; amended July 29, 2009, effective 30 days; amended May 26, 2011, effective in 30 days, 41 Pa.B. 2932; amended May 17, 2012, effective in 30 days, 42 Pa.B. 3127. Immediately preceding text appears at serial page (357242).
Rule 204. Types of discipline.
(a) Misconduct shall be grounds for:
(1) Disbarment by the Supreme Court.
(2) Suspension by the Supreme Court for a period not exceeding five years.
(3) Public censure by the Supreme Court with or without probation.
(4) Probation by the Supreme Court under supervision provided by the Board.
(5) Public reprimand by the Board with or without probation.
(6) Private reprimand by the Board with or without probation.
(7) Private informal admonition by Disciplinary Counsel.
(8) Revocation of an attorney’s admission or license to practice law in the circumstances provided in Rule 203(b)(6) (relating to grounds for discipline).
(b) Conditions may be attached to an informal admonition, private reprimand, or public reprimand. Failure to comply with such conditions shall be grounds for reconsideration of the matter and prosecution of formal charges against the respondent-attorney.
(c) A reference in these rules to disbarment, suspension, temporary suspension, administrative suspension, permanent resignation, or transfer to or assumption of retired, inactive or disability inactive status, shall be deemed to mean, in the case of a respondent-attorney who holds a Limited In-House Corporate Counsel License, expiration of that license. A respondent-attorney whose Limited In-House Corporate Counsel License expires for any reason:
(1) shall be deemed to be a formerly admitted attorney for purposes of Rule 217 (relating to formerly admitted attorneys); and
(2) shall not be entitled to seek reinstatement under Rule 218 (relating to reinstatement proceedings) or Rule 219 (relating to administrative changes in status) and instead must reapply for a Limited In-House Corporate Counsel License under Pennsylvania Bar Admission Rule 302.
Source The provisions of this Rule 204 amended April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; amended April 16, 2009, effective May 1, 2009, 39 Pa.B. 2193; amended May 17, 2012, effective in 30 days, 42 Pa.B. 3127; amended June 4, 2012, effective in 30 days, 42 Pa.B. 3431; amended October 29, 2020, effective in 30 days, 50 Pa.B. 6353; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (403206) and (411161).
Rule 205. The Disciplinary Board of the Supreme Court of Pennsylvania.
(a) The Supreme Court shall appoint a board to be known as ‘‘The Disciplinary Board of the Supreme Court of Pennsylvania’’ which shall be composed of ten members of the Bar of this Commonwealth and two non-lawyer electors. One of the members shall be designated by the Court as Chair and another as Vice-Chair.
(b) The regular terms of members of the Board shall be for six years, unless otherwise specified by order of the Court, and no member shall serve for more than one term. Except when acting under Paragraph (c)(5), (7), (8), (9) and (16) of this rule, the Board shall act only with the concurrence of not less than the lesser of:
(i) seven members, or
(ii) a majority of the members in office who are not disqualified from participating in the matter or proceeding.
Seven members shall constitute a quorum. The presence of members who are disqualified from participating in one or more matters to be considered at a meeting shall nonetheless be counted for purposes of determining the existence of a quorum for the consideration of all matters on the agenda.
(c) The Board shall have the power and duty:
(1) To consider the conduct of any person subject to these rules after investigation by Disciplinary Counsel pursuant to Enforcement Rule 207(b)(1). Complaints filed directly with the Board shall be forwarded to Chief Disciplinary Counsel for assignment to a district office.
Official Note
In order to avoid the commingling of prosecutorial and adjudicative functions, which would be a violation of due process, see Lyness v. Com. of Pa., State Board of Medicine, 529 Pa. 535, 605 A.2d 1204 (1992), the Office of Disciplinary Counsel is charged with the duty of investigating and prosecuting all disciplinary matters subject to adjudication by the Board. See Enforcement Rule 208(a)(1), (a)(2)(iv). Under Enforcement Rule 208(d)(1), Board Members appointed in a matter to review Disciplinary Counsel’s charging decisions or recommended disposition are precluded from further participation in that matter.
(2) To appoint an Executive Director, a Chief Disciplinary Counsel, Legal Counsel and such staff as may from time to time be required to properly perform the functions prescribed by these rules.
(3) To appoint not less than 18 hearing committee members within each disciplinary district. Each person appointed as a hearing committee member for a district shall be a member of the bar of this Commonwealth who maintains an office for the practice of law within that district.
(4) To assign special masters pursuant to Rule 206(d).
(5) To assign formal charges or the conduct of an investigatory hearing to a hearing committee or special master, and to assign a reinstatement petition to a hearing committee. A hearing committee member who has passed upon Disciplinary Counsel’s recommended disposition of the matter shall be ineligible to serve on the hearing committee that considers the matter.
(6) To review the conclusions of hearing committees and special masters with respect to formal charges or petitions for reinstatement, and to prepare and forward its own findings and recommendations, together with the record of the proceeding before the hearing committee or special master, to the Supreme Court.
(7) To assign:
(i) hearing committee members to review and approve or modify recommendations by Disciplinary Counsel for dismissals, informal admonitions, private reprimands, public reprimands and institution of formal charges;
(ii) senior or experienced hearing committee members to hear and determine attacks on the validity of subpoenas issued pursuant to Enforcement Rule 213(a)(2) (relating to subpoena power, depositions and related matters), as provided in Enforcement Rule 213(d)(2); or
(iii) senior or experienced hearing committee members to consider a petition for reinstatement to active status from retired or inactive status, or administrative suspension, under Enforcement Rule 218 (relating to reinstatement proceedings) of a formerly admitted attorney who has not been suspended or disbarred.
(8) To review, through a designated panel of three members, and approve or modify a determination by a reviewing hearing committee member that a matter should be concluded by dismissal, private informal admonition, private reprimand, public reprimand or the institution of formal charges before a hearing committee.
(9) To review, through a designated panel of three members, and approve or reject a joint petition in support of discipline on consent filed with the Board pursuant to Enforcement Rule 215(d).
(10) To review, through a single member designated by the Board Chair, and approve or reject a certification filed by Disciplinary Counsel under Enforcement Rule 218(d)(2)(ii) indicating that Disciplinary Counsel has determined that there is no impediment to reinstatement of the petitioner, and to issue the report and recommendation required by subdivision (d) of Enforcement Rule 218.
(11) To administer, by the Board or through a designated panel of three members selected by the Board Chair, private reprimands or public reprimands to attorneys for misconduct.
(12) To adopt rules of procedure not inconsistent with these rules. Such rules may provide for the delegation to the Board Chair or the Vice-Chair of the power to act for the Board on administrative and procedural matters.
(13) To cause testimony relating to the conduct of formerly admitted attorneys to be perpetuated.
(14) To petition the Court under Enforcement Rule 301(d) (relating to proceedings where an attorney is declared to be incompetent or is alleged to be incapacitated) to determine whether an attorney is incapacitated from continuing the practice of law by reason of mental infirmity or illness or because of addiction to drugs or intoxicants, and to retain counsel other than Disciplinary Counsel to represent the Board in such proceedings when the Board considers such separate representation to be appropriate.
(15) To recommend the temporary suspension of a respondent-attorney pursuant to Enforcement Rule 208(f)(5) (relating to emergency temporary suspension orders and related relief).
(16) To decide, through the Board Chair, the Vice-Chair, or a designated lawyer-member of the Board, an interlocutory appeal to the Board when such appeal is permitted by the Enforcement Rules, the Board Rules, or other law.
(17) To authorize the use of electronic means to conduct prehearing conferences and post-hearing proceedings before a hearing committee, special master or the Board, but all adjudicatory proceedings shall be conducted in person unless warranted by extraordinary circumstances. Witness testimony may be presented via ACT upon motion for cause shown. All proceedings shall be conducted in accordance with Board Rules, Enforcement Rules and the decisional law of the Court and the Board.
(18) To establish, assess and collect:
(i) the necessary expenses incurred in the investigation and prosecution of a proceeding that results in the imposition of discipline, or the investigation and processing of a petition for reinstatement and in any proceeding resulting therefrom;
(ii) late payment penalties under Enforcement Rule 219(f)(1) for failure to timely complete annual registration; and
(iii) administrative fees for status changes where a petition for reinstatement is not required.
(19) To assess and collect reinstatement filing fees, administrative fees based on the imposition of a type of discipline or transfer to disability inactive status under Enforcement Rule 301(e), and penalties on unpaid taxed expenses and administrative fees.
(20) To establish, charge and collect a collection fee for any payment under paragraphs (18) and (19) that has been returned to the Board unpaid.
(21) To exercise the powers and perform the duties vested in and imposed upon the Board by law.
(d) The Board shall, to the extent it deems feasible, consult with officers of local bar associations in the counties affected concerning any appointment which it is authorized to make under these rules.
Source The provisions of this Rule 205 amended through April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended November 7, 1988, effective November 25, 1988, 18 Pa.B. 5246; amended December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421; amended October 3, 1990, effective October 27, 1990, and shall govern all matters thereafter commenced and, insofar as just and practicable, matters then pending, 20 Pa.B. 5365; amended November 26, 1990, effective December 15, 1990, 20 Pa.B. 6141; amended January 13, 1993, effective January 30, 1993, 23 Pa.B. 538; amended March 15, 1994, effective immediately, 24 Pa.B. 1671; amended August 4, 1994, effective immediately, 24 Pa.B. 4188; amended March 4, 1997, effective immediately, 27 Pa.B. 1434; amended October 17, 2003, effective immediately, 33 Pa.B. 5412; amended September 9, 2004, effective September 25, 2004, 34 Pa.B. 5244; amended April 3, 2009, effective immediately, 39 Pa.B. 1980; amended April 16, 2009, effective May 1, 2009, 39 Pa.B. 2193; amended January 6, 2010, effective immediately, 40 Pa.B. 513; amended March 16, 2011, effective in 30 days, 41 Pa.B. 1757; amended May 17, 2012, effective in 30 days, 42 Pa.B. 3127; amended June 4, 2012, effective in 30 days, 42 Pa.B. 3431; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended December 18, 2019, effective in 30 days, 50 Pa.B. 197; amended July 6, 2020, effective in 30 days, 50 Pa.B. 3571; amended August 19, 2022, effective in 30 days, 52 Pa.B. 5634; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (411161) to (411164).
Rule 206. Hearing committees and special masters.
(a) When a hearing committee is required to handle a matter, the Board shall appoint a hearing committee consisting of three hearing committee members from the appropriate disciplinary district. Under exigent circumstances, the Board has the discretion to appoint a hearing committee member or members from outside the appropriate disciplinary district, or to require that a matter be transferred to another disciplinary district. At least one of the members of the hearing committee shall be a senior hearing committee member, and another member shall be either a senior hearing committee member or an experienced hearing committee member. The Board shall designate one of the members so appointed as the chair for the committee, who shall be a senior hearing committee member. The terms of hearing committee members shall be three years and no member shall serve for more than two consecutive three-year terms. Board rules may authorize a hearing committee member whose term has expired to continue to serve until the conclusion of any matter commenced before the member prior to the expiration of such term. A hearing committee member who has served two consecutive three-year terms may be reappointed after the expiration of one year. A hearing committee shall act only with the concurrence of a majority of its members and two members shall constitute a quorum, except that a single senior or experienced hearing committee member may act for the committee when the committee is sitting as an investigatory hearing committee under Enforcement Rule 213(a)(1) (relating to subpoena power, depositions and related matters), or when conducting a prehearing conference The terms of hearing committee members shall commence on July 1.
(b) Hearing committees shall have the power and duty:
(1) To conduct investigatory hearings and hearings into formal charges of misconduct upon assignment by the Board (see Enforcement Rule 205(c)(5)).
(2) To submit their conclusions set forth as prescribed by Board rules, together with the record of the hearing, to the Board.
(c) If a member of a hearing committee becomes disqualified or otherwise unavailable to serve with respect to any particular matter, the Board shall designate a replacement.
(d) A special master instead of a hearing committee may be assigned by the Board to conduct an investigatory hearing or formal proceeding.
(e) A special master shall have the power and duty:
(1) To conduct investigatory hearings and hearings into formal charges of misconduct upon assignment by the Board (see Enforcement Rule 205(c)(5)).
(2) To submit his or her conclusions set forth as prescribed by Board rules, together with the record of the hearing into formal charges, to the Board.
Source The provisions of this Rule 206 amended through April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421; amended January 13, 1993, effective January 30, 1993, 23 Pa.B. 538; amended March 15, 1994, effective immediately, 24 Pa.B. 1671; amended September 9, 2004, effective September 25, 2004, 34 Pa.B. 5244; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209. Immediately preceding text appears at serial pages (361736) and (361495).
Rule 207. Disciplinary Counsel.
(a) Disciplinary Counsel shall not be permitted to engage in private practice except that the Board may agree to a reasonable period of transition after appointment.
(b) Disciplinary Counsel shall have the power and duty:
(1) To investigate all matters involving alleged misconduct called to their attention whether by complaint or otherwise.
(2) To dispose of any matter that is governed by Enforcement Rules 214 (Attorneys convicted of crimes), 215 (Discipline on Consent), and 216 (Reciprocal discipline) in accrodance with the substantive and procedural provisions of those rules, and to dispose of all other matters involving alleged misconduct by dismissal or (subject to review by a member of a hearing committee) by recommendation for informal admonition, private reprimand or public or the prosecution of formal charges before a hearing committee or special master. Except in matters requiring dismissal because the complaint is frivolous or falls outside the jurisdiction of the Board, no disposition shall be recommended or undertaken by Disciplinary Counsel until the respondent attorney has been notified of the allegations and the time for response under Enforcement Rule 208(b) (relating to formal hearing), if applicable, has expired.
(3) To request the appointment of a special master, where appropriate, and to prosecute all disciplinary proceedings before hearing committees, special masters, the Board and the Supreme Court.
(4) To appear at hearings conducted with respect to petitions for reinstatement by formerly admitted attorneys, to cross-examine witnesses testifying in support of the petition and to marshal available evidence, if any, in opposition thereto.
(5) To maintain permanent records of all matters processed and the disposition thereof.
(6) To exercise the powers and perform the duties vested in and imposed upon Disciplinary Counsel by law.
(c) Disciplinary Counsel:
(1) Shall be a party to all proceedings and other matters before the Board or the Supreme Court under these rules.
(2) May urge in the Supreme Court a position inconsistent with any recommendation of the Board where in the judgment of Disciplinary Counsel a different disposition of the matter is warranted by the law or the facts.
(3) May within the time and in the manner prescribed by the Pennsylvania Rules of Appellate Procedure obtain in the Supreme Court judicial review of any final determination of the Board, except a determination to conclude a matter by dismissal, informal admonition, private reprimand, or public reprimand.
(4) May within the time and in the manner prescribed by the Pennsylvania Rules of Appellate Procedure petition the Supreme Court for allowance of an appeal from any final determination of the Board to conclude a matter by dismissal, informed admonition private reprimand, or public reprimand.
Source The provisions of this Rule 207 amended April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended October 21, 1988, effective November 12, 1988, 18 Pa.B. 5070; amended December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421; amended September 19, 2003, effective October 4, 2003, 33 Pa.B. 4891; amended May 17, 2012, effective in 30 days, 42 Pa.B. 3127. Immediately preceding text appears at serial pages (306087) to (306088).
Rule 208. Procedure.
(a) Informal proceedings.
(1) All investigations, whether upon complaint or otherwise, shall be initiated and conducted by Disciplinary Counsel.
(2) Upon the conclusion of an investigation, Disciplinary Counsel may dismiss the complaint as frivolous, as falling outside the jurisdiction of the Board, or on the basis of Board policy or prosecutorial discretion. Disciplinary Counsel may recommend:
(i) Dismissal of the complaint.
(ii) A conditional or unconditional informal admonition of the attorney concerned.
(iii) A conditional or unconditional private reprimand by the Board of the attorney concerned.
(iv) A conditional or unconditional public reprimand by the Board of the attorney concerned.
(v) The prosecution of formal charges before a hearing committee or special master.
(3) Except where Disciplinary Counsel dismisses the complaint as frivolous, as falling outside the jurisdiction of the Board, or on the basis of Board policy or prosecutorial discretion, the recommended disposition shall be reviewed by a member of a hearing committee in the appropriate disciplinary district who may approve or modify.
(4) Disciplinary Counsel may appeal the recommended disposition directed by a hearing committee member to a reviewing panel composed of three members of the Board which shall order that the matter be concluded by dismissal, conditional or unconditional informal admonition, conditional or unconditional private reprimand, or conditional or unconditional public reprimand, or direct that a formal proceeding be instituted before a hearing committee or special master in the appropriate disciplinary district.
(5) A recommendation by a reviewing hearing committee member for a conditional or unconditional private or public reprimand shall be reviewed by a panel composed of three members of the Board who may approve or modify.
(6) In cases where no formal proceeding has been conducted, a respondent-attorney shall not be entitled to appeal an informal admonition, a private reprimand, a public reprimand, or any conditions attached thereto, but may demand as of right that a formal proceeding be instituted against such attorney in the appropriate disciplinary district. In the event of such demand, the respondent-attorney need not appear for the administration of the informal admonition, private reprimand, or public reprimand, and the matter shall be disposed of in the same manner as any other formal proceeding, but any expenses of the proceeding taxed against the respondent-attorney shall be paid as required by paragraph (g)(2) of this rule.
(b) Formal hearing. Formal disciplinary proceedings before a hearing committee or special master shall be as follows:
(1) Proceedings shall be instituted by filing with the Board a petition setting forth with specificity the charges of misconduct.
(2) A copy of the petition containing a notice to plead shall be personally served upon the respondent-attorney.
(3) Within 20 days after such service, the respondent-attorney shall serve an answer upon Disciplinary Counsel and file the original thereof with the Board. In the event the respondent-attorney fails to file an answer, the charges shall be deemed at issue. Any factual allegation that is not timely answered shall be deemed admitted.
(4) Following the service of the answer, if there are any issues raised by the pleadings or if the respondent-attorney requests the opportunity to be heard in mitigation, the matter shall be assigned to a hearing committee or a special master. No evidence with respect to factual allegations of the complaint that have been deemed or expressly admitted may be presented at any hearing on the matter, absent good cause shown.
(5) The Board shall serve a notice of hearing upon the respondent-attorney, or upon counsel for such attorney, indicating the date and place of the hearing at least 15 days in advance thereof. The notice of hearing shall state that the respondent-attorney is entitled to be represented by counsel, to cross-examine witnesses and to present evidence in the attorney’s own behalf.
(c) Prehearing and hearing procedures. The procedure in formal proceedings before hearing committees and special masters shall be governed by Board rules, the Enforcement Rules, and the decisional law of the Court and the Board in attorney discipline and reinstatement matters. Unless waived in the manner provided by the Board Rules, at the conclusion of the hearing the hearing committee or special master shall submit a report to the Board containing the findings and recommendations of the hearing committee or special master.
(d) Review and action by Board.
(1) The procedure in formal proceedings before the Board shall be governed by Board rules, the Enforcement Rules, and the decisional law of the Court and the Board in attorney discipline and reinstatement matters. Unless waived in the manner provided by the Board Rules, both parties shall have the right to submit briefs and to present oral argument to a panel of at least three members of the Board. Members of the Board who have participated on a reviewing panel under paragraph (a)(4) or (5) of this rule shall not participate in further consideration of the same matter or decision thereof on the merits under this subdivision (d).
(2) The Board shall either affirm or change in writing the recommendation of the hearing committee or special master by taking the following action, as appropriate, within 60 days after the adjudication of the matter at a meeting of the Board;
(i) Dismissal. In the event that the Board determines that a proceeding should be dismissed, it shall so notify the respondent-attorney.
(ii) Informal admonition, private reprimand, or public reprimand. In the event that the Board determines that the proceeding should be concluded by informal admonition, private reprimand, or public reprimand, the Board shall arrange to have the respondent-attorney appear before Disciplinary Counsel for the purpose of receiving informal admonition or before a designated panel of three members selected by the Board Chair pursuant to Pa.R.D.E. 205(c)(9), for the purpose of receiving private reprimand or public reprimand.
(iii) Other discipline. In the event that the Board shall determine that the matter should be concluded by probation, censure, suspension, disbarment, or by informal admonition, private reprimand, or public reprimand in cases where the respondent-attorney is unwilling to have the matter concluded by informal admonition, private reprimand, or public reprimand, the Board shall file its findings and recommendations, together with the briefs, if any, before the Board and the entire record, with the Supreme Court. A respondent-attorney who is unwilling to have the matter concluded by an informal admonition, private reprimand, or public reprimand must file within thirty (30) days after notice of the determination of the Board, a notice of appeal. Review by the Supreme Court shall be de novo and the Court may impose a sanction greater or less than that recommended by the Board.
(3) [Rescinded].
(e) Review and action in the Supreme Court.
(1) Service of the findings and recommendations of the Board upon the respondent-attorney shall be governed by Rules 121 and 122 of the Pennsylvania Rules of Appellate Procedure. See Rule 104 (relating to filings with the Supreme Court).
(2) In the event the Board recommends that the matter should be concluded by disbarment, the respondent-attorney may, within twenty (20) days after service of the findings and recommendations of the Board under paragraph (1) of this subdivision, submit to the Supreme Court a request to present oral argument.
(3) In the event the Board recommends a sanction less than disbarment, and the Court, after consideration of said recommendation, is of the view that a rule to show cause should be served upon respondent-attorney, why an order of disbarment not be entered, the same shall be issued. A copy of said rule is to be served on Disciplinary Counsel. Within twenty (20) days after service of the rule either party may submit to the Supreme Court a response thereto. Within ten (10) days after service of a response, the other party may submit to the Supreme Court a reply thereto. Respondent-attorney in such case shall have the absolute right upon request for oral argument.
(4) Except as provided in (e)(2) and (e)(3), respondent-attorney will not be afforded the right of oral argument.
(5) The Supreme Court shall review the record, where appropriate consider oral argument, and enter an order.
(f) Emergency temporary suspension orders and related relief.
(1) Disciplinary Counsel, with the concurrence of a reviewing member of the Board, whenever it appears by an affidavit demonstrating facts that the continued practice of law by a person subject to these rules is causing immediate and substantial public or private harm because of the misappropriation of funds by such person to his or her own use, or because of other egregious conduct, in manifest violation of the Disciplinary Rules or the Enforcement Rules, may petition the Supreme Court for injunctive or other appropriate relief. A copy of the petition shall be personally served upon the respondent-attorney by Disciplinary Counsel. If Disciplinary Counsel cannot make personal service after reasonable efforts to locate and serve the respondent-attorney, Disciplinary Counsel may serve the petition by delivering a copy to an employee, agent or other responsible person at the office of the respondent-attorney, and if that method of service is unavailable, then by mailing a copy of the petition by regular and certified mail addressed to the addresses furnished by the respondent-attorney in the last registration form filed by the respondent-attorney pursuant to Enforcement Rule 219(c). Service is complete upon delivery or mailing, as the case may be. The Court, or any justice thereof, may enter a rule directing the respondent-attorney to show cause why the respondent-attorney should not be placed on temporary suspension, which rule shall be returnable within ten days. The Court, or any justice thereof, may, before or after issuance of the rule, issue:
(i) such orders to the respondent-attorney, and to such financial institutions or other persons as may be necessary to preserve funds, securities or other valuable property of clients or others which appear to have been misappropriated or mishandled in manifest violation of the Disciplinary Rules; and
(ii) an order directing the president judge of the court of common pleas in the judicial district where the respondent-attorney maintains his or her principal office for the practice of law or conducts his or her primary practice, to take such further action and to issue such further orders as may appear necessary to fully protect the rights and interests of the clients of the respondent-attorney when:
(A) the respondent-attorney does not respond to a rule to show cause issued after service of the petition pursuant to subdivision (f)(1); or
(B) Disciplinary Counsel’s petition demonstrates cause to believe that the respondent-attorney is unavailable to protect the interests of his or her clients for any reason, including the respondent-attorney’s disappearance, abandonment of practice, incarceration, or incapacitation from continuing the practice of law by reason of mental infirmity or illness or because of addiction to drugs or intoxicants.
Where the Court enters an order under (f)(1)(ii), the Board shall promptly transmit a certified copy of the order to the president judge, whose jurisdiction and authority under this rule shall extend to all client matters of the respondent-attorney.
Where the Court enters an order under (f)(1)(i) or (ii) before the issuance of a rule or before the entry of an order of temporary suspension under paragraph (f)(2), the Court Prothonotary shall serve a certified copy of the Court’s order on the respondent-attorney by regular mail addressed to the address furnished by the respondent-attorney in the last registration form filed by the respondent-attorney and to an address where the respondent-attorney is located if that address is known.
(2) If a rule to show cause has been issued under paragraph (1), and the period for response has passed without a response having been filed, or after consideration of any response, the Court may enter an order requiring temporary suspension of the practice of law by the respondent-attorney pending further definitive action under these rules.
(3) Any order of temporary suspension which restricts the respondent-attorney from maintaining an attorney or other trust account shall, when served on any bank or other financial institution maintaining an account against which the respondent-attorney may make withdrawals, serve as an injunction to prevent the financial institution from making further payment from the account on any obligation except in accordance with restrictions imposed by the Court. Any order of temporary suspension issued under this rule shall preclude the respondent-attorney from accepting any new cases or other client matters, but shall not preclude the respondent-attorney from continuing to represent existing clients on existing matters during the 30 days following entry of the order of temporary suspension. Such order may also provide that any fees or portion thereof tendered to the respondent-attorney during such 30-day period shall be deposited into a trust fund from which withdrawals may be made only in accordance with restrictions imposed by the Court.
(4) The respondent-attorney may at any time petition the Court for dissolution or amendment of an order of temporary suspension. A copy of the petition shall be served upon Disciplinary Counsel and the Board. A hearing on the petition before a member of the Board designated by the Chair of the Board shall be held within ten business days after service of the petition on the Board. The designated Board member shall hear the petition and submit a transcript of the hearing and a recommendation to the Court within five business days after the conclusion of the hearing. Upon receipt of the recommendation of the designated Board member and the record relating thereto, the Court shall dissolve or modify its order, if appropriate.
(5) The Board on its own motion, or upon the petition of Disciplinary Counsel, may issue a rule to show cause why the respondent-attorney should not be placed on temporary suspension whenever it appears that the respondent-attorney has disregarded an applicable provision of the Enforcement Rules, failed to maintain or produce the records required to be maintained and produced under Pa.R.P.C. 1.15(c) and subdivisions (e) and (g) of Enforcement Rule 221 in response to a request or demand authorized by Enforcement Rule 221(g) or any provision of the Disciplinary Board Rules, failed to comply with a valid subpoena, or engaged in other conduct that in any such instance materially delays or obstructs the conduct of a proceeding under these rules. The rule to show cause shall be returnable within ten days. If the response to the rule to show cause raises issues of fact, the Board Chair may direct that a hearing be held before a member of the Board who shall submit a report to the Board upon the conclusion of the hearing. If the period for response to the rule to show cause has passed without a response having been filed, or after consideration of any response and any report of a Board member following a hearing under this paragraph, the Board may recommend to the Supreme Court that the respondent-attorney be placed on temporary suspension. The recommendation of the Board shall be reviewed by the Supreme Court as provided in subdivision (e) of this rule, although the time for either party to file with the Court a petition for review of the recommendation or determination of the Board shall be fourteen days after the entry of the Board’s recommendation or determination, and any answer or responsive pleading shall be filed within ten days after service of the petition for review.
(6) A respondent-attorney who has been temporarily suspended pursuant to this rule for conduct described in paragraph (1), or pursuant to the procedures of paragraph (5) where a formal proceeding has not yet been commenced shall have the right to request an accelerated disposition of the charges which form the basis for the temporary suspension by filing a notice with the Board and Disciplinary Counsel requesting accelerated disposition. Within 30 days after filing of such a notice, Disciplinary Counsel shall file a petition for discipline under subdivision (b) of this rule and the matter shall be assigned to a hearing committee for accelerated disposition. Thereafter the matter shall proceed and be concluded by the hearing committee, the Board and the Court without appreciable delay. If a petition for discipline is not timely filed under this paragraph, the order of temporary suspension shall be automatically dissolved, but without prejudice to any pending or further proceedings under this rule.
(7) A proceeding involving a respondent-attorney who has been temporarily suspended pursuant to this rule at a time when a formal proceeding has already been commenced shall proceed and be concluded without appreciable delay.
Official Note
The ‘‘without appreciable delay’’ standard of subdivisions (f)(6) and (7) of the rule is derived from Barry v. Barchi, 443 U.S. 55, 56 (1979). Appropriate steps should be taken to satisfy this requirement, such as continuous hearing sessions, procurement of daily transcript, fixing of truncated briefing schedules, conducting special sessions of the Board, etc.
(8) Where a respondent-attorney has been temporarily suspended pursuant to paragraph (1) or paragraph (5) and more than two years have passed without the commencement of a formal proceeding, and it appears by an affidavit demonstrating facts that:
(i) the respondent-attorney has not complied with conditions imposed in the order of temporary suspension or with the requirements of Enforcement Rule 217;
(ii) the order of temporary suspension was based, in whole or in part, on the respondent-attorney’s failure to provide information or records, and the respondent-attorney has not provided the information or records, or otherwise cured the deficiency;
(iii) the respondent-attorney has engaged in post-suspension conduct, by act or omission, that mate-rially delays or obstructs Disciplinary Counsel’s ability to fully investigate allegations of misconduct against the respondent-attorney;
(iv) the respondent-attorney’s whereabouts are unknown, in that despite reasonably diligent efforts, Disciplinary Counsel has not been able to contact or locate the respondent-attorney for information or to serve notices or other process at the address provided by the respondent-attorney in the verified statement required by Enforcement Rule 217(e)(1) or at any other known addresses that might be current;
(v) a conservatorship of the affairs of the respondent-attorney has been appointed pursuant to Enforcement Rule 321; or
(vi) the respondent-attorney has not participated in proceedings before the Pennsylvania Lawyers Fund for Client Security in which an adjudicated claim has resulted in an award,
Disciplinary Counsel may petition the Court for the issuance of a rule to show cause why an order of disbarment should not be entered. The provisions of paragraph (1) apply to service of the petition upon the respondent-attorney by Disciplinary Counsel. Upon the filing by Disciplinary Counsel of an affidavit establishing compliance with the service requirements of paragraph (1), the Court may enter a rule directing the respondent-attorney to show cause why the respondent-attorney should not be disbarred, which rule shall be returnable within thirty days. The respondent-attorney shall serve a copy of any response on Disciplinary Counsel, who shall have fourteen days after receipt to file a reply.
(9) If a rule to show cause has been issued under paragraph (8), and the period for response has passed without a response having been filed, or after consideration of any responses, the Court may enter an order disbarring the respondent-attorney from the practice of law, discharging the rule to show cause, or directing such other action as the Court deems appropriate.
(g) Costs and fees.—
(1) Unless otherwise directed by the Supreme Court, the respondent-attorney shall pay the necessary expenses incurred in the investigation and prosecution of a proceeding which results in the imposition of discipline or transfer to disability inactive status. All expenses taxed under this paragraph pursuant to orders of suspension that are not stayed in their entirety or disbarment shall be paid by the respondent-attorney within 30 days after notice transmitted to the respondent-attorney of taxed expenses. In all other cases, expenses taxed under this paragraph shall be paid by the respondent-attorney within 30 days of entry of the order taxing the expenses against the respondent-attorney.
(2) In the event a proceeding is concluded by informal admonition, private reprimand or public reprimand, the Board in its discretion may direct that the necessary expenses incurred in the investigation and prosecution of the proceeding shall be paid by the respondent-attorney. All expenses taxed by the Board under this paragraph shall be paid by the respondent-attorney within 30 days of entry of the order taxing the expenses against the respondent-attorney. The expenses which shall be taxable under this paragraph shall be prescribed by Board rules.
(3) In addition to the payment of any expenses under paragraph (1) or (2), the respondent-attorney shall pay upon assessment an administrative fee pursuant to the following schedule:
Informal Admonition: $250 Private Reprimand: $400 Public Reprimand: $500 Public Censure: $750 Suspension (1 year or less): $1,000 Suspension (more than 1 year): $1,500 Disbarment: $2,000 Disbarment on Consent: $1,000 Disability Inactive under Rule 301(e): $500 (i) Where a disciplinary proceeding concludes by Joint Petition for Discipline on Consent other than disbarment prior to the commencement of the hearing, the fee imposed shall be reduced by 50%.
(ii) Where a disciplinary proceeding concludes by Joint Petition for Discipline on Consent other than disbarment subsequent to the commencement of the hearing, the Board in its discretion may reduce the fee by no more than 50%.
(4) Failure to pay taxed expenses and administrative fees within 30 days after the date of the entry of the order taxing such expenses in cases other than a suspension that is not stayed in its entirety or disbarment will be deemed a request to be administratively suspended pursuant to Enforcement Rule 219(g)(3).
(5) Assessed Penalties on Unpaid Taxed Expenses and Administrative Fees.
(i) Failure to pay taxed expenses within thirty days of the assessment becoming final in accordance with subdivisions (g)(1) or (g)(2), or failure to pay administrative fees assessed in accordance with subdivision (g)(3) within thirty days of notice transmitted to the respondent-attorney, shall result in the assessment of a penalty, levied monthly at the rate of 0.8% of the unpaid principal balance, or such other rate as established by the Supreme Court of Pennsylvania, from time to time.
(ii) Monthly penalties shall not be retroactively assessed against unpaid balances existing prior to the enactment of the rule; monthly penalties shall be assessed against these unpaid balances prospectively, starting 30 days after the effective date of the rule.
(iii) The Disciplinary Board for good cause shown, may reduce the penalty or waive it in its entirety.
Note: The Board shall charge a collection fee for any payment that has been returned to the Board unpaid.
(6) An attorney who becomes a debtor in bankruptcy when the administrative fee, expenses or penalties taxed under this subdivision (g) or any other provision of these Rules have not been paid in full, shall notify the Executive Director of the Board in writing of the case caption and docket number within 20 days after the attorney files for bankruptcy protection.
(h) Violation of probation. Where it appears that a respondent-attorney who has been placed on probation has violated the terms of the probation, Disciplinary Counsel may file a petition with the Board detailing the violation and suggesting appropriate modification of the order imposing the probation, including without limitation immediate suspension of the respondent-attorney. A hearing on the petition shall be held within ten business days before a member of the Board designated by the Board Chair. If the designated Board member finds that the order imposing probation should be modified, the following procedures shall apply:
(1) If the order imposing probation was entered by the Supreme Court, the designated Board member shall submit a transcript of the hearing and a recommendation to the Supreme Court within five business days after the conclusion of the hearing. A copy of the transcript and recommendation shall be personally served upon the respondent-attorney. The Court, or any justice thereof, may enter a rule directing the respondent-attorney to show cause why the order imposing probation should not be modified as set forth in the petition, which rule shall be returnable within ten business days. If the period for response has passed without a response having been filed, or after consideration of any response, the Court may enter an order modifying as appropriate the order imposing probation.
(2) If the order imposing probation was entered by the Board, the designated Board member shall submit a transcript of the hearing and a recommendation to the Board within five business days after the conclusion of the hearing. A copy of the transcript and recommendation shall be personally served upon the respondent-attorney along with a notice that the respondent-attorney may file a response to the recommendation with the Board within ten business days. If the period for response has passed without a response having been filed, or after consideration of any response, the Board may enter an order modifying as appropriate the probation previously ordered or directing the commencement of a formal proceeding under this Rule.
(i) Continuances. All formal proceedings under this rule shall be conducted as expeditiously as possible. Ordinarily the engagement of a member of the Board or the assigned hearing committee, a special master or counsel for a respondent-attorney will be recognized as a basis for continuance of a formal proceeding or meeting of the board only where such member or counsel is actually engaged before an appellate court of this Commonwealth or a court of the United States. Engagement of a member of the Board or the assigned hearing committee, a special master or counsel for a respondent-attorney before any other court, administrative agency or other body shall not be recognized as a basis for continuance except upon a showing of unforeseen and compelling circumstances prohibiting appearance.
Source The provisions of this Rule 208 amended through September 25, 1986, effective September 25, 1986, 16 Pa.B. 3823; amended October 21, 1988, 18 Pa.B. 5070; amended November 7, 1988, effective November 25, 1988, effective upon publication and governs all matters thereafter commended and, insofar as just and practicable, matters then pending, 18 Pa.B. 5246; amended November 7, 1988, effective November 25, 1988, 18 Pa.B. 5247; amended December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421; amended December 20, 1979, effective immediately, 20 Pa.B. 7; amended October 3, 1990, effective October 27, 1990, 20 Pa.B. 5364; amended October 3, 1990, effective October 27, 1990, and shall govern all matters thereafter commenced and, insofar as just and practicable, matters then pending, 20 Pa.B. 5365; amended March 15, 1994, effective upon publication, 24 Pa.B. 1671; amended April 4, 1995, effective immediately, 25 Pa.B. 1513; amended September 19, 2003, effective October 4, 2003, 33 Pa.B. 4891; amended October 17, 2003, effective immediately, 33 Pa.B. 5412; amended March 5, 2004, effective March 20, 2004, 34 Pa.B. 1547; amended October 26, 2005, effective immediately upon publication of this Order in the Pennsylvania Bulletin and shall apply to all matters thereafter commenced and to those matters pending at the time in which a petition for discipline or a petition for reinstatement has not been filed, 35 Pa.B. 6226; amended November 9, 2005, effective upon publication in the Pennsylvania Bulletin and shall govern all matters thereafter commenced and, insofar as just and practicable, matters then pending, 35 Pa.B. 6431; amended June 28, 2006, effective July 15, 2006, 36 Pa.B. 3646; amended December 12, 2008, effective immediately, 38 Pa.B. 7079; amended July 24, 2009, effective in 30 days, 39 Pa.B. 4737; amended May 17, 2012, effective in 30 days, 42 Pa.B. 3127; amended December 30, 2014, effective in 60 days, 45 Pa.B. 279; amended April 21, 2017, effective in 30 days, 47 Pa.B. 2539; amended October 17, 2018, effective in 30 days, 48 Pa.B. 6978; amended February 15, 2019, effective in 30 days, 49 Pa.B. 915; amended March 26, 2019, effective in 30 days, 49 Pa.B. 1772; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended July 6, 2020, effective in 30 days, 50 Pa.B. 3571; amended August 10, 2021, effective in 30 days, 51 Pa.B. 5191; amended July 27, 2022, effective in 30 days, 52 Pa.B. 4392; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (396608), (402191) to (402192), (396611) to (396612), (410971) to (410973), (406133) to (406134) and (410975).
Rule 209. Complaints and Immunity.
(a) Complaints submitted to the Board or Disciplinary Counsel shall be confidential. See Rule 402(e) (relating to access to disciplinary information and confidentiality). Unless and until formal charges are filed and the complainant is designated as a witness at the prehearing conference, or Disciplinary Counsel determines that the complaint contains exculpatory material, the complaint shall not be provided to the respondent-attorney. At or after the prehearing conference, the senior or experienced hearing committee member or the special master may enter a protective order on cause shown to prohibit disclosure of the complaint or parts of it to the public.
(b) Members of the Board, members of hearing committees, special masters, Disciplinary Counsel and staff shall be immune from civil suit for any conduct in the course of their official duties. All communications to the Board, a hearing committee, special master, or Disciplinary Counsel relating to misconduct by a respondent-attorney and all testimony given in a proceeding conducted pursuant to these rules shall be absolutely privileged and the person making the communication or giving the testimony shall be immune from civil suit based upon such communication or testimony. For purposes of this subdivision (b), the staff of the Board shall be deemed to include conservators and sobriety, financial or practice monitors appointed pursuant to these rules or the rules of the Board.
(c) Complaints against members of the Board involving alleged violations of the Disciplinary Rules or these rules shall be handled in the same manner as other complaints, except that if action is required by the Board, the Board shall notify the Supreme Court which shall appoint an Ad Hoc Disciplinary Board comprised of five former members of the Board who shall discharge the functions of the Board and have all the powers of the Board with respect to that one matter only.
(d) Complaints against Disciplinary Counsel involving alleged violations of the Disciplinary Rules or these rules shall be submitted directly to the Board and assigned to a reviewing member of the Board for disposition.
Note
The provisions of this rule recognize that the submission and receipt of complaints against attorneys, and the investigation, hearing, decision and disposition of such complaints, are all parts of a judicial proceeding conducted pursuant to the inherent power of the Supreme Court of Pennsylvania. The immunity from civil suit recognized to exist in subdivision (b) is that which exists for all participants in judicial proceedings under Pennsylvania law, so long as their statements and actions are pertinent, material and during the regular course of a proceeding.
Source The provisions of this Rule 209 amended December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421; amended March 30, 1990, effective April 21, 1990, 20 Pa.B. 2150; amended May 16, 1994, effective June 4, 1994, 24 Pa.B. 2792; amended April 1, 2005, effective April 16, 2005, 35 Pa.B. 2208; amended October 26, 2005, effective immediately upon publication of this Order in the Pennsylvania Bulletin and shall apply to all matters thereafter commenced and to those matters pending at the time in which a petition for discipline or a petition for reinstatement has not be filed, 35 Pa.B. 6226; amended June 14, 2011, effective in 30 days, 41 Pa.B. 3526; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended March 22, 2022, effective in 30 days, 52 Pa.B. 1974. Immediately preceding text appears at serial pages (406135) to (406136).
Rule 210. Refusal of complainant to proceed, compromise, etc.
Neither unwillingness nor neglect of the complainant to sign a complaint or to prosecute a charge, nor settlement, compromise or restitution, shall, in itself, justify abatement of an investigation into the conduct of an attorney.
Rule 211. Matters involving related pending civil or criminal litigation.
(a) Processing of complaints involving material allegations which are substantially similar to the material allegations of pending criminal or civil litigation shall not be deferred unless the Board in its discretion, for good cause shown, authorizes such deferment. In the event a deferment of disciplinary investigation or proceeding is authorized by the Board as the result of pending related litigation, the respondent-attorney shall make all reasonable efforts to obtain the prompt trial and disposition of such pending litigation. In the event the respondent-attorney fails to take reasonable steps to assure prompt disposition of the litigation, the investigation and subsequent disciplinary proceedings indicated shall be conducted promptly.
(b) The acquittal of the respondent-attorney on criminal charges or a verdict or judgment in favor of the respondent-attorney in a civil litigation involving substantially similar material allegations shall not in and of itself justify abatement of a disciplinary investigation predicated upon the same material allegations.
Rule 212. Substituted service.
In the event a respondent-attorney cannot be located and personally served with notices required under these rules, such notices may be served upon the respondent-attorney by addressing them to the address furnished by the respondent-attorney in the last registration form filed by such person in accordance with Enforcement Rule 219(c) (relating to annual registration and assessment) or, in the case of a foreign legal consultant, by serving them pursuant to the designation filed by the foreign legal consultant under Pennsylvania Bar Admission Rule 341(b)(8).
Source The provisions of this Rule 212 amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; amended June 4, 2012, effective in 30 days, 42 Pa.B. 3431; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial page (410976).
Rule 213. Subpoena power, depositions and related matters.
(a) General rule.
(1) At any stage of an investigation, both Disciplinary Counsel and a respondent-attorney shall have the right to summon witnesses before a hearing committee or special master and require production of records before the same by issuance of subpoenas.
(2) Before assignment of a matter to a hearing committee or special master, Disciplinary Counsel shall have the right to require production of recordsby issuance of subpoenas which shall be returnable to the office of Disciplinary Counsel in which the investigation is being conducted. The respondent-attorney shall have the right, upon request and payment of appropriate duplicating costs, to receive copies of the records produced.
(b) Procedure. Subpoenas authorized by subdivision (a) shall be obtained by filing with the Court Prothonotary in the district of the Supreme Court where the subpoena is to be returnable 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 said statement to either Disciplinary Counsel or the respondent-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 in the regular way. A subpoena issued pursuant to subdivision (a)(2) shall not be returnable until at least ten days after the date of its issuance.
(c) Confidentiality. 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 these rules 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 and deposition procedures of these rules shall be subject to the protective requirements of confidentiality provided in Rule 402 (relating to access to disciplinary information and confidentiality).
(d) Challenges; appeal of challenges to subpoena. Any attack on the validity of a subpoena issued under this rule shall be handled as follows:
(1) A challenge to a subpoena authorized by subdivision (a)(1) shall be heard and determined by the hearing committee or special master before whom the subpoena is returnable in accordance with the procedure established by the Board. See D.Bd. Rules § 91.3(b) (relating to procedure).
(2) A challenge to a subpoena authorized by subdivision (a)(2) shall be heard and determined by a member of a hearing committee in the disciplinary district in which the subpoena is returnable in accordance with the procedure established by the Board. See D.Bd. Rules § 91.3(b) (relating to procedure).
(3) A determination under paragraph (1) or (2) may be appealed to a lawyer-Member of the Board within ten days after service pursuant to D.Bd. Rules § § 89.21 and 89.24 of the determination on the party bringing the appeal by filing a petition with the Board setting forth in detail the grounds for challenging the determination. The appealing party shall serve a copy of the petition on the non-appealing party by mail on the date that the appealing party files the appeal, and the non-appealing party shall have five business days after delivery to file a response. No attack on the validity of a subpoena will be considered by the Designated lawyer-Member of the Board unless previously raised before the hearing committee or special master. The Board Member shall decide the appeal within five business days of the filing of the non-appealing party’s response, if any. There shall be no right of appeal to the Supreme Court. Any request for review shall not serve to stay any hearing or proceeding before the hearing committee, special master or the Board unless the Court enters an order staying the proceedings.
(e) Examination under oath. Witnesses before hearing committees or special masters shall be examined under oath or affirmation.
(f) Depositions. With the approval of the hearing committee or special master, 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 hearing because of age, illness or other compelling reason. A complete record of the testimony so taken shall be made and preserved.
(g) Enforcement of subpoenas.
(1) Either Disciplinary Counsel or a respondent-attorney may petition the Supreme Court to enforce a subpoena that was not the subject of a challenge pursuant to subdivision (d)(1) or (2), or that was the subject of a challenge and has not been finally quashed by either the hearing committee or the Board Member designated to hear the appeal, provided that the party filing the petition to enforce attaches a certification in good faith that: a) the party exhausted reasonable efforts to secure the presence of the witness or the evidence within the witness’s custody or control, b) the testimony, records or other physical evidence of the witness will not be cumulative of other evidence available to the party, and c) the absence of the witness will substantially handicap the party from prosecuting or defending the charges, or from establishing a weighty aggravating or mitigating factor. If the object of a petition to enforce is a subpoena directed to the respondent-attorney for, in whole or in part, production pursuant to Enforcement Rule 221(g)(2) of required records under Pa.R.P.C. 1.15(c) and Enforcement Rule 221(e), no certification will be required for the subpoena or portion thereof that pertains to the required records. See also Enforcement Rule 208(f)(5) (relating to emergency temporary suspension orders and related relief).
Official Note
The reference to Enforcement Rule 208(f)(5) is intended to make clear that, where the person who is resisting complying with a subpoena is the respondent-attorney, the provisions of this rule are cumulative of those in Enforcement Rule 208(f)(5).
(2) Upon receipt of a petition for enforcement of a subpoena, the Court shall issue a rule to show cause upon the person to whom the subpoena is directed, returnable within ten days, why the person should not be held in contempt. If the subpoena is directed to a respondent-attorney for production of required records and the respondent-attorney has not produced the records, the Court shall issue upon the respondent-attorney a rule to show cause why the respondent-attorney should not be placed on temporary suspension for failing to produce the records. If the period for response has passed without a response having been filed, or after consideration of any response, the Court shall issue an appropriate order.
(h) Exclusivity. 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.
(i) Foreign proceedings. The Supreme Court may order a person domiciled or found within this Commonwealth to give testimony or a statement or to produce documents or other things for use in a lawyer discipline or disability proceeding in another state, territory or province or in a court of the United States or any other jurisdiction. The order may be made upon the application of any interested person or in response to a letter rogatory, and may prescribe the practice and procedure, which may be wholly or in part the practice and procedure of a tribunal outside this Commonwealth, for the taking of the testimony or statement or producing the documents or other things. To the extent that the order does not prescribe otherwise, the practice and procedure shall be in accordance with the applicable provisions of these rules. The order may direct that the testimony or statement be given, or document or other thing be produced, before a person appointed by the Court or before a commissioner appointed by a court or by an authorized disciplinary agency of another jurisdiction, any of whom shall have the power to administer any necessary oath. Any order to testify or to produce documents or other things issued as prescribed in this subdivision may be enforced as any subpoena of the Supreme Court is enforced, upon petition of any party interested in the subject attorney discipline or disability proceeding.
Source The provisions of this Rule 213 amended October 10, 1980, effective February 8, 1981, 10 Pa.B. 4029; amended November 7, 1988, effective November 25, 1988, 18 Pa.B. 5247; amended December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421; amended January 13, 1993, effective January 30, 1993, 23 Pa.B. 538; amended September 9, 2004, effective September 25, 2004, 34 Pa.B. 5244; amended November 22, 2004, effective upon publication in the Pennsylvania Bulletin and shall govern all matters thereafter commenced and, insofar as just and practicable, matters then pending, 34 Pa.B. 6505; amended October 26, 2005, effective upon publication of this Order in the Pennsylvania Bulletin and shall apply to all matters thereafter commenced and to those matters pending at the time in which a petition for discipline or a petition for reinstatement has not been filed, 35 Pa.B. 6226; amended December 30, 2014, effective in 60 days, 45 Pa.B. 279; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended July 6, 2020, effective in 30 days, 50 Pa.B. 3571. Immediately preceding text appears at serial pages (396618) to (396621).
Rule 214. Attorneys convicted of crimes.
(a) An attorney convicted of a crime shall report the fact of such conviction within 20 days to the Office of Disciplinary Counsel. The responsibility of the attorney to make such report shall not be abated because the conviction is under appeal or the clerk of the court has transmitted a certificate to Disciplinary Counsel pursuant to subdivision (b).
(b) The clerk of any court within the Commonwealth in which an attorney is convicted of any crime, or in which any such conviction is reversed, shall within 20 days after such disposition transmit a certificate thereof to Disciplinary Counsel, who shall file such certificate with the Supreme Court.
(c) Upon being advised that an attorney has been convicted of a crime, Disciplinary Counsel shall secure and file a certificate of such conviction with the Supreme Court.
(d)(1) Upon the filing with the Supreme Court of a certified copy of an order demonstrating that an attorney has been convicted of a crime, the Court may enter a rule directing the respondent-attorney to show cause why the respondent-attorney should not be placed on temporary suspension, which rule shall be returnable within ten days.
(2) If a rule to show cause has been issued under paragraph (1), and the period for response has passed without a response having been filed, or after consideration of any response, the Court may enter an order requiring tempo-rary suspension of the practice of law by the respondent-attorney pending further definitive action under these rules.
(3) Any order of temporary suspension issued under this rule shall preclude the respondent-attorney from accepting any new cases or other client matters, but shall not preclude the respondent-attorney from continuing to represent existing clients on existing matters during the 30 days following entry of the order of temporary suspension.
(4) The respondent-attorney may at any time petition the Court for dissolution or amendment of an order of temporary suspension. A copy of the petition shall be served upon Disciplinary Counsel and the Board. A hearing on the petition before a member of the Board designated by the Chair of the Board shall be held within ten business days after service of the petition on the Board. The designated Board member shall hear the petition and submit a transcript of the hearing and a recommendation to the Court within five business days after the conclusion of the hearing. Upon receipt of the recommendation of the designated Board member and the record relating thereto, the Court shall dissolve or modify its order, if appropriate.
(5) At any time before a plea or verdict or after a guilty plea or verdict of guilt in the criminal proceeding, Disciplinary Counsel and the respondent-attorney’s may file with the Court a joint petition for temporary suspension of the respondent-attorney’s on the ground that the respondent-attorney’s temporary suspension is in the best interest of the respondent and the legal system.
Official Note
The subject of the summary proceedings authorized by subdivision (d) will ordinarily be limited to whether the condition triggering the application of subdivision (d) exists, i.e., proof that the respondent-attorney is the same person as the individual convicted of the offense charged, although the Court has the discretion to consider such subjects as mitigating or aggravating circumstances. The provision of subdivision (d)(3) permitting the respondent-attorney to continue representing existing clients for 30 days is intended to avoid undue hardship to clients and to permit a winding down of matters being handled by the respondent-attorney, and the permissible activities of the respondent-attorney are intended to be limited to only those necessary to accomplish those purposes.
(e) A certificate of a conviction of an attorney for a crime shall be conclusive evidence of the commission of that crime in any disciplinary proceeding instituted against the attorney based upon the conviction.
(f)(1) Upon the filing of a certificate of conviction of an attorney for a crime, Disciplinary Counsel may commence either an informal or formal proceeding under Enforcement Rule 208, except that Disciplinary Counsel may institute a formal proceeding before a hearing committee or special master by filing a petition for discipline with the Board without seeking approval for the prosecution of formal charges under Enforcement Rule 208(a)(3). If a petition for discipline is filed, a hearing on the petition shall be deferred until sentencing and all direct appeals from the conviction have been concluded. The sole issue at the hearing shall be the extent of the discipline or, where the Court has temporarily suspended the attorney under subdivision (d) of this rule, the final discipline to be imposed.
Official Note
subdivision (f)(1) authorizes Disciplinary Counsel to proceed under Rule 208 concurrently with the Court’s exercise of jurisdiction under subdivision (d) of this Rule.
(2) Notwithstanding the provision of paragraph (1) that a hearing shall not be held until sentencing and all appeals from a conviction have been concluded, a respondent-attorney who has been temporarily suspended pursuant to this rule shall have the right to request an accelerated disposition of the charges which form the basis for the temporary suspension by filing a notice with the Board and Disciplinary Counsel requesting accelerated disposition. Within 30 days after filing of such a notice, Disciplinary Counsel shall file a petition for discipline, if such a petition has not already been filed, and the matter shall be assigned to a hearing committee for accelerated disposition. The assignment to a hearing committee shall take place within seven (7) days after the filing of such a notice or the filing of a petition for discipline, whichever occurs later. Thereafter the matter shall proceed and be concluded by the hearing committee, the Board and the Court without appreciable delay. If a petition for discipline is not timely filed or assigned to a hearing committee for accelerated disposition under this paragraph, the order of temporary suspension shall be automatically dissolved, but without prejudice to any pending or further proceedings under this rule.
Official Note
The ‘‘without appreciable delay’’ standard of subdivision (f)(2) of the rule is derived from Barry v. Barchi, 443 U. S. 55, 66 (1979). Appropriate steps should be taken to satisfy this requirement, such as continuous hearing sessions, procurement of daily transcript, fixing of truncated briefing schedules, conducting special sessions of the Board, etc.
(g) An attorney suspended under the provisions of subdivision (d) may be reinstated immediately upon the filing by the Board with the Court of a certificate demonstrating that the underlying conviction has been reversed, but the reinstatement will not terminate any formal proceeding then pending against the attorney.
(h) As used in this rule, the term ‘‘crime’’ means an offense that is punishable by imprisonment in the jurisdiction of conviction, whether or not a sentence of imprisonment is actually imposed. Notwithstanding any other provision of this subdivision (h), the term ‘‘crime’’ shall include criminal contempt, whether direct or indirect, and without regard to the sentence that may be imposed or that is actually imposed. It does not include parking violations or summary offenses, both traffic and non-traffic, unless a term of imprisonment is actually imposed.
(i) For the purposes of this rule, Enforcement Rule 203(b)(1) and Enforcement Rule 402, ‘‘conviction’’ means any guilty verdict, whether after trial by judge or jury, or finding of guilt, and any plea of guilty or nolo contendere that has been accepted by the court, whether or not sentence has been imposed.
Source The provisions of this Rule 214 amended through April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended February 7, 1989, effective February 25, 1989, 19 Pa.B. 763; amended November 17, 1989, effective December 9, 1989, 19 Pa.B. 5212; amended August 19, 1993, effective September 4, 1993, 23 Pa.B. 4204; amended March 5, 2004, effective March 20, 2004, 34 Pa.B. 1547; amended March 28, 2006, effective upon publication, 36 Pa.B. 1745; amended July 29, 2009, effective 30 days, 39 Pa.B. 4887; amended September 1, 2010, effective in sixty days, 40 Pa.B. 5292; amended March 19, 2012, effective in 30 days, 42 Pa.B. 1637; amended March 4, 2014, effective in 30 days, 44 Pa.B. 1749; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209. Immediately preceding text appears at serial pages (376213) to (376215).
Rule 215. Discipline on consent.
(a) Voluntary resignation.—An attorney who is the subject of an investigation into allegations of misconduct by the attorney may submit a resignation, but only by delivering to Disciplinary Counsel or the Board a verified statement stating that the attorney desires to resign and that:
(1) the resignation is freely and voluntarily rendered; the attorney is not being subjected to coercion or duress; the attorney is fully aware of the implications of submitting the resignation; and whether or not the attorney has consulted or followed the advice of counsel in connection with the decision to resign;
(2) the attorney is aware that there is a presently pending investigation into allegations that the attorney has been guilty of misconduct the nature of which the verified statement shall specifically set forth;
(3) the attorney acknowledges that the material facts upon which the complaint is predicated are true;
(4) the resignation is being submitted because the attorney knows that if charges were predicated upon the misconduct under investigation the attorney could not successfully defend against them;
(5) the attorney is fully aware that the submission of the resignation statement is irrevocable and that the attorney can only apply for reinstatement to the practice of law pursuant to the provisions of Enforcement Rule 218(b) and (c);
(6) the attorney is aware that pursuant to subdivision (c) of this Rule, the fact that the attorney has tendered his or her resignation shall become a matter of public record immediately upon delivery of the resignation statement to Disciplinary Counsel or the Board;
(7) upon entry of the order disbarring the attorney on consent, the attorney will promptly comply with the notice, withdrawal, resignation, trust accounting, and cease-and-desist provisions of subdivisions (a), (b), (c) and (d) of Enforcement Rule 217;
(8) after the entry of the order disbarring the attorney on consent, the attorney will file a verified statement of compliance as required by subdivision (e)(1) of Enforcement Rule 217; and
(9) the attorney is aware that the waiting period for eligibility to apply for reinstatement to the practice of law under Enforcement Rule 218(b) shall not begin until the attorney files the verified statement of compliance required by Enforcement Rule 217(e)(1), and if the order of disbarment contains a provision that makes the disbarment retroactive to an earlier date, then the waiting period will be deemed to have begun on that earlier date.
(b) Order of disbarment.—Upon receipt of the required statement, the Board shall file it with the Supreme Court and the Court shall enter an order disbarring the attorney on consent.
(c) Confidentiality of resignation statement.—The fact that the attorney has submitted a resignation statement to Disciplinary Counsel or the Board for filing with the Supreme Court shall become a matter of public record immediately upon delivery of the resignation statement to Disciplinary Counsel or the Board. The order disbarring the attorney on consent shall be a matter of public record. If the statement required under the provisions of subdivision (a) of this rule is submitted before the filing and service of a petition for discipline and the filing of an answer or the time to file an answer has expired, the statement shall not be publicly disclosed or made available for use in any proceeding other than a subsequent reinstatement proceeding except:
(1) upon order of the Supreme Court,
(2) pursuant to an express written waiver by the attorney,
(3) upon a request of another jurisdiction for purposes of a reciprocal disciplinary proceeding,
(4) upon a request by the Pennsylvania Lawyers Fund for Client Security Board pursuant to Enforcement Rule 521(a) (relating to cooperation with Disciplinary Board), or
(5) when the resignation is based on an order of temporary suspension from the practice of law entered by the Court either pursuant to Enforcement Rule 208(f) (relating to emergency temporary suspension orders and related relief) or pursuant to Enforcement Rule 214 (relating to a criminal proceeding).
(d) Other Discipline on Consent.—At any stage of a disciplinary investigation or proceeding, a respondent-attorney and Disciplinary Counsel may file a joint Petition in Support of Discipline on Consent. The Petition shall include the specific factual allegations that the attorney admits he or she committed, the specific Rules of Professional Conduct and Rules of Disciplinary Enforcement allegedly violated and a specific recommendation for discipline. The Petition shall be accompanied by an affidavit stating that the attorney consents to the recommended discipline and that:
(1) the consent is freely and voluntarily rendered; the attorney is not being subjected to coercion or duress; the attorney is fully aware of the implications of submitting the consent; and whether or not the attorney has consulted or followed the advice of counsel in connection with the decision to consent to discipline;
(2) the attorney is aware that there is presently pending an investigation into, or proceeding involving, allegations that the respondent-attorney has been guilty of misconduct as set forth in the Petition;
(3) the attorney acknowledges that the material facts set forth in the Petition are true; and
(4) the attorney consents because the attorney knows that if charges predicated upon the matter under investigation were filed, or continued to be prosecuted in the pending proceeding, the attorney could not successfully defend against them.
(e) Handling of Petition.—The Petition shall be filed with the Board. The filing of the Petition shall stay any pending proceeding before a hearing committee, special master or the Board. The Petition shall be reviewed by a panel composed of three members of the Board who may approve or deny.
(f) Private discipline.—If a panel approves a Petition consenting to an informal admonition or private reprimand, with or without probation, the Board shall enter an appropriate order, and the Board shall arrange to have the attorney appear before Disciplinary Counsel for the purpose of receiving an informal admonition or before a designated panel of three members selected by the Board Chair for the purpose of receiving a private reprimand.
(g) Public discipline.—
(1) If a panel approves a Petition consenting to a public reprimand, the Board shall enter an appropriate order, and the Board shall arrange to have the attorney appear before the Board or a designated panel of three members selected by the Board Chair for the purpose of receiving a public reprimand.
(2) If a panel approves a Petition consenting to public censure or suspension, the Board shall file the recommendation of the panel and the Petition with the Supreme Court. If the Court grants the Petition, the Court shall enter an appropriate order disciplining the attorney on consent.
(h) Denial of Petition.—If either the panel of the Board or the Supreme Court denies a Petition, the members of the Board who participated on the reviewing panel shall not participate in further consideration of the same matter. Any stayed proceedings shall resume as if the Petition had not been filed and neither the Petition nor the affidavit may be used against the attorney in any disciplinary proceeding or any other judicial proceeding.
(i) Costs.— All expenses taxed under this subdivision shall be paid by the attorney in accordance with Rule 208(g).
Source The provisions of this Rule 215 amended October 10, 1980, effective February 8, 1981, 10 Pa.B. 4029; amended November 7, 1988, effective November 25, 1988, 18 Pa.B. 5248; amended February 7, 1989, effective February 25, 1989, 19 Pa.B. 764; amended May 24, 2005, 35 Pa.B. 3286; amended October 26, 2005, effective upon publication of this Order in the Pennsylvania Bulletin and shall apply to all matters thereafter commenced and to those matters pending at the time in which a petition for discipline or a petition for reinstatement has not been filed, 35 Pa.B. 6226; amended December 12, 2008, effective immediately, 38 Pa.B. 7079; amended May 17, 2012, effective in 30 days, 42 Pa.B. 3127; amended December 30, 2014, effective in 60 days, 45 Pa.B. 279; amended April 21, 2017, effective in 30 days, 47 Pa.B. 2539; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended March 22, 2022, effective in 30 days, 52 Pa.B. 1974. Immediately preceding text appears at serial pages (396624) to (396626).
Rule 216. Reciprocal discipline and disability.
(a) Upon receipt of a certified copy of a final adjudication of any court or any body authorized by law or by rule of court to conduct disciplinary proceedings against attorneys by any state or territory of the United States court or the District of Columbia, a United States court, or a federal administrative agency or a military tribunal demonstrating that an attorney admitted to practice in this Commonwealth has been disciplined by suspension, disbarment, or revocation of license or pro hac vice admission, or has resigned from the bar or otherwise relinquished his or her license to practice while under disciplinary investigation in another jurisdiction or has been transferred to disability inactive status, the Supreme Court shall forthwith issue a notice directed to the respondent-attorney containing:
(1) a copy of the final adjudication described in paragraph (a); and
(2) an order directing that the respondent-attorney inform the Court within 30 days from service of the notice, of any claim by the respondent-attorney that the imposition of the identical or comparable discipline or disability inactive status in this Commonwealth would be unwarranted, and the reasons therefor.
The Board shall cause this notice to be served upon the respondent-attorney by mailing it to the address furnished by the respondent-attorney in the last registration form filed by such person in accordance with Enforcement Rule 219(c) (relating to annual registration and assessment) or, in the case of a foreign legal consultant, by serving it pursuant to the designation filed by the foreign legal consultant under Pennsylvania Bar Admission Rule 341(b)(8).
(b) In the event the discipline imposed in the original jurisdiction has been stayed there, any reciprocal discipline imposed in the Commonwealth shall be deferred until such stay expires.
(c) Upon the expiration of 30 days from service of the notice issued pursuant to the provisions of subdivision (a) of this rule, the Supreme Court may impose the identical or comparable discipline or transfer to disability inactive status unless Disciplinary Counsel or the respondent-attorney demonstrates, or the Court finds that upon the face of the record upon which the discipline is predicated it clearly appears:
(1) that the procedure was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process;
(2) there was such an infirmity of proof establishing the misconduct as to give rise to the clear conviction that the Court could not consistently with its duty accept as final the conclusion on that subject; or
(3) that the imposition of the same or comparable discipline would result in grave injustice; or be offensive to the public policy of this Commonwealth.
Where the Court determines that any of said elements exist, the Court shall enter such other order as it deems appropriate.
(d) In all other respects, a final adjudication in another jurisdiction that an attorney, whether or not admitted in that jurisdiction, has been guilty of misconduct shall establish conclusively the misconduct for purposes of a disciplinary proceeding in this Commonwealth.
(e) An attorney who has been transferred to disability inactive status or disciplined in another court or by any authorized by law or by rule of court to conduct disciplinary proceedings against attorneys by any state or territory of the United States or of the District of Columbia, a United States Court, or by a federal administrative agency or a military tribunal, by suspension, disbarment, or revocation of license or pro hac vice admission, or who has resigned from the bar or otherwise relinquished his or her license to practice while under disciplinary investigation in another jurisdiction, shall report the fact of such transfer suspension, disbarment, revocation or resignation to the Board within 20 days after the date of the order, judgment or directive imposing or confirming the discipline or transfer to disability inactive status.
Source The provisions of this Rule 216 amended April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended July 18, 1995, effective August 5, 1995, 25 Pa.B. 3092; amended April 30, 2004, effective upon publication, governs matters thereafter commenced and insofar as just and practicable, matters then pending, 34 Pa.B. 2537; amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; amended July 29, 2009, effective 30 thirty, 39 Pa.B. 4887; amended March 19, 2012, effective in 30 days, 42 Pa.B. 1639; amended June 4, 2012, effective in 30 days, 42 Pa.B. 3431; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (396627) to (396628).
Rule 217. Formerly admitted attorneys.
(a) A formerly admitted attorney shall promptly notify, or cause to be promptly notified, all clients being represented in pending matters, other than litigation or administrative proceedings, of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status and the consequent inability of the formerly admitted attorney to act as an attorney after the effective date of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status and shall advise said clients to seek legal advice elsewhere. The notice required by this subdivision (a) may be delivered by the most efficient method possible as long as the chosen method is successful and provides proof of receipt. At the time of the filing of the verified statement of compliance required by subdivision (e)(1) of this Rule, the formerly admitted attorney shall file copies of the notices required by this subdivision and proofs of receipt with the Board and shall serve a conforming copy on Disciplinary Counsel. See D.Bd. Rules § 91.91(b) (relating to filing of copies of notices).
Note: Notice may be accomplished, for example, by delivery in person with the lawyer securing a signed receipt, electronic mailing with some form of acknowledgement from the client other than a ‘‘read receipt,’’ and mailing by registered or certified mail, return receipt requested.
(b) A formerly admitted attorney shall promptly notify, or cause to be promptly notified, all clients who are involved in pending litigation or administrative proceedings, and the attorney or attorneys for each adverse party in such matter or proceeding, of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status and consequent inability of the formerly admitted attorney to act as an attorney after the effective date of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status. The notice to be given to the client shall advise the prompt substitution of another attorney or attorneys in place of the formerly admitted attorney. In the event the client does not obtain substitute counsel before the effective date of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status, it shall be the responsibility of the formerly admitted attorney to move in the court or agency in which the proceeding is pending for leave to withdraw. The notice to be given to the attorney or attorneys for an adverse party shall state the place of residence of the client of the formerly admitted attorney. The notice required by this subdivision (b) may be delivered by the most efficient method possible as long as the chosen method is successful and provides proof of receipt. See Note after subdivision (a), supra. At the time of the filing of the verified statement of compliance required by subdivision (e)(1) of this Rule, the formerly admitted attorney shall file copies of the notices required by this subdivision and proofs of receipt with the Board and shall serve a conforming copy on Disciplinary Counsel. See D.Bd. Rules § 91.92(b) (relating to filing of copies of notices).
(c) A formerly admitted attorney shall promptly notify, or cause to be promptly notified, of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status:
(1) all persons or their agents or guardians, including but not limited to wards, heirs and beneficiaries, to whom a fiduciary duty is or may be owed at any time after the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status;
(2) all other persons with whom the formerly admitted attorney may at any time expect to have professional contacts under circumstances where there is a reasonable probability that they may infer that he or she continues as an attorney in good standing; and
(3) any other tribunal, court, agency or jurisdiction in which the attorney is admitted to practice.
The notice required by this subdivision (c) may be delivered by the most efficient method possible as long as the chosen method is successful and provides proof of receipt. See Note after subdivision (a), supra. At the time of the filing of the verified statement of compliance required by subdivision (e)(1) of this Rule, the formerly admitted attorney shall file copies of the notices required by this subdivision and proofs of receipt with the Board and shall serve a conforming copy on Disciplinary Counsel. The responsibility of the formerly admitted attorney to provide the notice required by this subdivision shall continue for as long as the formerly admitted attorney is disbarred, suspended, temporarily suspended, administratively suspended or on disability inactive status.
(d)(1) Orders imposing suspension, disbarment, temporary suspension, administrative suspension or transfer to disability inactive status shall be effective 30 days after entry. The formerly admitted attorney, after entry of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status order, shall not accept any new retainer or engage as attorney for another in any new case or legal matter of any nature. However, during the period from the entry date of the order and its effective date the formerly admitted attorney may wind up and complete, on behalf of any client, all matters which were pending on the entry date.
(2) In addition to the steps that a formerly admitted attorney must promptly take under other provisions of this Rule to disengage from the practice of law, a formerly admitted attorney shall promptly cease and desist from using all forms of communication that expressly or implicitly convey eligibility to practice law in the state courts of Pennsylvania, including but not limited to professional titles, letterhead, business cards, signage, websites, and references to admission to the Pennsylvania Bar.
(3) In cases of disbarment, suspension for a period exceeding one year, temporary suspension under Enforcement Rule 208(f) or 213(g), or disability inactive status under Enforcement Rule 216 or 301, a formerly admitted attorney shall also promptly:
(i) resign all appointments as personal representative, executor, administrator, guardian, conservator, receiver, trustee, agent under a power of attorney, or other fiduciary position;
(ii) close every IOLTA, Trust, client and fiduciary account;
(iii) properly disburse or otherwise transfer all client and fiduciary funds in his or her possession, custody or control; and
(iv) take all necessary steps to cancel or discontinue the next regular publication of all advertisements and telecommunication listings that expressly or implicitly convey eligibility to practice law in the state courts of Pennsylvania.
The formerly admitted attorney shall maintain records to demonstrate compliance with the provisions of paragraphs (2) and (3) and shall provide proof of compliance at the time the formerly admitted attorney files the verified statement required by subdivision (e)(1) of this Rule.
Official Note
Paragraph (d)(3)(i) does not preclude a respondent-attorney who voluntarily assumes inactive or retired status, permanently resigns, is placed on administrative suspension, is temporarily suspended under Enforcement Rule 214, or is suspended for one year or less, from completing existing appointments and accepting new appointments of the nature identified in paragraph (d)(3)(i). Nonetheless, in order to comply with subdivisions (a), (b) and (c) of this Rule, the formerly admitted attorney who desires to complete existing appointments or accept future appointments must give written notice of the formerly admitted attorney’s registration status or change in that status to appointing and supervising judges and courts, wards, heirs, beneficiaries, interested third parties, and other recipients of the formerly admitted attorney’s fiduciary services, as notice of the formerly admitted attorney’s other-than-active status gives all interested parties an opportunity to consider replacing the formerly admitted attorney or enlisting a person other than the formerly admitted attorney to serve as the fiduciary in the first instance. Although the formerly admitted attorney would not be precluded by paragraph (d)(3)(ii) from continuing to use a fiduciary account registered with the bank as an IOLTA or Trust Account, paragraph (2) of subdivision (d) and paragraph (4)(iv) of subdivision (j) of this Rule prohibit the formerly admitted attorney from using or continuing to use account checks and deposit slips that contain the word ‘‘IOLTA,’’ ‘‘attorney,’’ ‘‘lawyer,’’ ‘‘esquire,’’ or similar appellation that could convey eligibility to practice in the state courts of Pennsylvania. Notwithstanding the specific prohibitions of subdivision (j) of this Rule, the formerly admitted attorney is authorized to perform those services necessary to carry out the appointment with the exception of any service that would constitute the unauthorized practice of law if engaged in by a nonlawyer. In relation to formerly admitted attorneys who are disbarred, suspended for a period exceeding one year, temporarily suspended under Enforcement Rule 208(f) or 213(g), or transferred to disability inactive status, the requirements of paragraph (d)(3) continue throughout the term of the disbarment, suspension, temporary suspension, or disability inactive status, thereby precluding any new appointment or engagement.
(e)(1) Within ten days after the effective date of the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status order, the formerly admitted attorney shall file with the Board a verified statement and serve a copy on Disciplinary Counsel. In the verified statement, the formerly admitted attorney shall:
(i) aver that the provisions of the order and these rules have been fully complied with;
(ii) list all other state, federal and administrative jurisdictions to which the formerly admitted attorney is admitted to practice, aver that he or she has fully complied with the notice requirements of paragraph (3) of subdivision (c) of this Rule, and aver that he or she has attached copies of the notices and proofs of receipt required by (c)(3); or, in the alternative, aver that he or she was not admitted to practice in any other tribunal, court, agency or jurisdiction;
(iii) aver that he or she has attached copies of the notices required by subdivisions (a), (b), and (c)(1) and (c)(2) of this Rule and proofs of receipt, or, in the alternative, aver that he or she has no clients, third persons to whom a fiduciary duty is owed, or persons with whom the formerly admitted attorney has professional contacts, to so notify;
(iv) in cases of disbarment or suspension for a period exceeding one year, aver that he or she has attached his or her attorney registration license card or certificate for the current year, certificate of admission, any certificate of good standing issued by the Court Prothonotary, and any other certificate required by subdivision (h) of this Rule to be surrendered; or, in the alternative, aver that he or she has attached all such documents within his or her possession, or that he or she is not in possession of any of the certificates required to be surrendered;
(v) aver that he or she has complied with the requirements of paragraph (2) of subdivision (d) of this Rule, and aver that he or she has, to the extent practicable, attached proof of compliance, including evidence of the destruction, removal, or abandonment of indicia of Pennsylvania practice; or, in the alternative, aver that he or she neither had nor employed any indicia of Pennsylvania practice;
(vi) in cases of disbarment, suspension for a period exceeding one year, temporary suspension under Enforcement Rule 208(f) or 213(g), or disability inactive status under Enforcement Rule 216 or 301, aver that he or she has complied with the requirements of paragraph (3) of subdivision (d) of this Rule, and aver that he or she has attached proof of compliance, including resignation notices, evidence of the closing of accounts, copies of cancelled checks and other instruments demonstrating the proper distribution of client and fiduciary funds, and requests to cancel advertisements and telecommunication listings; or, in the alternative, aver that he or she has no applicable appointments, accounts, funds, advertisements, or telecommunication listings;
(vii) aver that he or she has served a copy of the verified statement and its attachments on Disciplinary Counsel;
(viii) set forth the residence or other address where communications to such person may thereafter be directed; and
(ix) sign the statement.
The statement shall contain an averment that all statements contained therein are true and correct to the best of the formerly admitted attorney’s knowledge, information and belief, and are made subject to the penalties of 18 Pa.C.S. § 4904 relating to unsworn falsification to authorities.
Note: A respondent-attorney who is placed on temporary suspension is required to comply with subdivision (e)(1) and file a verified statement. Upon the entry of a final order of suspension or disbarment, the respondent-attorney must file a supplemental verified statement containing the information and documentation not applicable at the time of the filing of the initial statement, or all of the information and documentation required by subdivision (e)(1) if the respondent-attorney has failed to file the initial statement. Although the grant of retroactivity is always discretionary, a respondent-attorney whofails to file a verified statement at the time of temporary suspension should not expect a final order to include a reference to retroactivity.
(2) A formerly admitted attorney shall cooperate with Disciplinary Counsel and respond completely to questions by Disciplinary Counsel regarding compliance with the provisions of this Rule.
(3) After the entry of an order of disbarment or suspension for a period exceeding one year, the waiting period for eligibility to apply for reinstatement to the practice of law shall not begin until the formerly admitted attorney files the verified statement required by subdivision (e)(1) of this Rule. If the order of disbarment or suspension contains a provision that makes the discipline retroactive to an earlier date, the waiting period will be deemed to have begun on that earlier date.
Official Note
This subdivision (e)(3) and the corresponding provisions in subdivision (b) of Enforcement Rule 218 apply only to orders entered on or after February 28, 2015, the effective date of this subdivision and the corresponding Enforcement Rule 218 provisions.
(f) The Board shall cause a notice of the suspension, disbarment, temporary suspension, administrative suspension or transfer to disability inactive status to be published in the legal journal and a newspaper of general circulation in the county in which the formerly admitted attorney practiced. The cost of publication shall be assessed against the formerly admitted attorney.
(g) The Board shall promptly transmit a certified copy of the order of suspension, disbarment, temporary suspension, administrative suspension or transfer to disability inactive status to the president judge of the court of common pleas in the judicial district in which the formerly admitted attorney practiced. The president judge shall make such further order as may be necessary to fully protect the rights of the clients of the formerly admitted attorney.
(h) Within ten days after the effective date of an order of disbarment or suspension for a period longer than one year, the formerly admitted attorney shall surrender to the Board the license card or certificate issued by the Attorney Registration Office under Enforcement Rule 219(d) (relating to annual registration and assessment) for the current year, along with any certificate of good standing issued under Pennsylvania Bar Admission Rule 201(c) (relating to certification of good standing), certificate of admission issued under Pennsylvania Bar Admission Rule 231(d)(3) (relating to action by Court Prothonotary), certificate of licensure issued under Pennsylvania Bar Admission Rule 341(e)(3) (relating to motion for licensure), Limited In-House Corporate Counsel License issued under Pennsylvania Bar Admission Rule 302 (relating to limited in-house corporate counsel license), limited certificate of admission issued under Pennsylvania Bar Admission Rule 303 (relating to limited admission of military attorneys), limited certificate of admission issued under Pennsylvania Bar Admission Rule 304 (relating to limited admission of attorney spouses of active-duty service members), or limited certificate of admission issued under Pennsylvania Bar Admission Rule 311 (relating to attorney participants in defender or legal services programs). The Board may destroy the annual license card or certificate issued under Enforcement Rule 219(d), but shall retain any other documents surrendered under this subdivision and shall return those documents to the formerly admitted attorney in the event that he or she is subsequently reinstated.
(i) A formerly admitted attorney shall keep and maintain records of the various steps taken by such person under these rules so that, upon any subsequent proceeding instituted by or against such person, proof of compliance with these rules and with the disbarment, suspension, temporary suspension, administrative suspension or transfer to disability inactive status order will be available. Proof of compliance with these rules shall be a condition precedent to any petition for reinstatement.
(j) A formerly admitted attorney may not engage in any form of law-related activities in this Commonwealth except in accordance with the following requirements:
(1) All law-related activities of the formerly admitted attorney shall be conducted under the supervision of a member in good standing of the Bar of this Commonwealth who shall be responsible for ensuring that the formerly admitted attorney complies with the requirements of this subdivision (j). If the formerly admitted attorney is engaged by a law firm or other organization providing legal services, whether by employment or other relationship, an attorney of the firm shall be designated by the firm or organization as the supervising attorney for purposes of this subdivision.
(2) For purposes of this subdivision (j), the only law-related activities that may be conducted by a formerly admitted attorney are the following:
(i) legal work of a preparatory nature, such as legal research, assembly of data and other necessary information, and drafting of transactional documents, pleadings, briefs, and other similar documents;
(ii) direct communication with the client or third parties to the extent permitted by paragraph (3); and
(iii) accompanying a member in good standing of the Bar of this Commonwealth to a deposition or other discovery matter or to a meeting regarding a matter that is not currently in litigation, for the limited purpose of providing clerical assistance to the member in good standing who appears as the representative of the client.
(3) A formerly admitted attorney, organization may have direct communication with a client or third party regarding a matter being handled by the attorney or firm for which the formerly admitted attorney works only if the communication is limited to ministerial matters such as scheduling, billing, updates, confirmation of receipt or sending of correspondence and messages. The formerly admitted attorney shall clearly indicate in any such communication that he or she is a legal assistant and identify the supervising attorney.
(4) Without limiting the other restrictions in this subdivision (j), a formerly admitted attorney is specifically prohibited from engaging in any of the following activities:
(i) performing any law-related activity for a law firm, organization or lawyer if the formerly admitted attorney was associated with that law firm, organization or lawyer on or after the date on which the acts which resulted in the disbarment, suspension or temporary suspension occurred, through and including the effective date of disbarment, suspension or temporary suspension;
(ii) performing any law-related services from an office that is not staffed by a supervising attorney on a full-time basis;
(iii) performing any law-related services for any client who in the past was represented by the formerly admitted attorney;
(iv) representing himself or herself as a lawyer or person of similar status;
(v) having any contact with clients either in person, by telephone, or in writing, except as provided in paragraph (3);
(vi) rendering legal consultation or advice to a client;
(vii) appearing on behalf of a client in any hearing or proceeding or before any judicial officer, arbitrator, mediator, court, public agency, referee, magistrate, hearing officer or any other adjudicative person or body;
(viii) appearing as a representative of the client at a deposition or other discovery matter;
(ix) negotiating or transacting any matter for or on behalf of a client with third parties or having any contact with third parties regarding such a negotiation or transaction; and
(x) receiving, disbursing or otherwise handling client funds.
(5) The supervising attorney and the formerly admitted attorney shall file with the Disciplinary Board a notice of engagement, identifying the supervising attorney certifying that the formerly admitted attorney’s activities will be monitored for compliance with this subdivision (j). The supervising attorney and the formerly admitted attorney shall file a notice with the Disciplinary Board immediately upon the termination of the engagement between the formerly admitted attorney and the supervising attorney.
(6) The supervising attorney shall be subject to disciplinary action for any failure by either the formerly admitted attorney or the supervising attorney to comply with the provisions of this subdivision (j).
Official Note
Subdivision (j) was adopted by the Court to limit and regulate the law-related activities performed by formerly admitted attorneys regardless of whether those formerly admitted attorneys are engaged as employees, independent contractors or in any other capacity. Subdivision (j) requires that a notice be filed with the Disciplinary Board when any law-related activities are performed by a formerly admitted attorney and when the engagement is terminated.
Subdivision (j) is addressed only to the special circumstance of formerly admitted attorneys engaging in law-related activities and should not be read more broadly to define the permissible activities that may be conducted by a paralegal, law clerk, investigator, etc. who is not a formerly admitted attorney. Subdivision (j) is also not intended to establish a standard for what constitutes the unauthorized practice of law. Finally, subdivision (j) is not intended to prohibit a formerly admitted attorney from performing services that are not unique to law offices, such as physical plant or equipment maintenance, courier or delivery services, catering, typing or transcription or other similar general office support activities.
Source The provisions of this Rule 217 amended April 1, 1983, effective April 2, 1983, 13 Pa.B. 1179; amended December 21, 1990, effective January 12, 1991, 21 Pa.B. 150; amended December 7, 2000, effective immediately upon publication in the Pennsylvania Bulletin and shall apply: (i) immediately to persons becoming formerly admitted attorneys on or after the date of such publication; and (ii) commencing January 1, 2001, to persons who are formerly admitted attorneys on the date of such publication; amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; amended December 11, 2006, effective immediately, 36 Pa.B. 7801; amended April 16, 2009, effective May 1, 2009, 39 Pa.B. 2193; amended June 4, 2012, effective in 30 days, 42 Pa.B. 3431; amended December 30, 2014, effective 60 days, 45 Pa.B. 279; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended October 2, 2019, effective in 30 days, 49 Pa.B. 6063; amended October 29, 2020, effective in 30 days, 50 Pa.B. 6353; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (396628), (403209) to (403212), (399043) to (399044) and (403213).
Rule 218. Reinstatement proceedings.
(a) An attorney may not resume practice until reinstated by order of the Supreme Court after petition pursuant to this rule if the attorney:
(1) is on retired status, inactive status or administrative suspension and has not been on active status at any time within the preceding three years;
Note: An attorney who has been on retired status, inactive status, or administrative suspension for three years or less may be eligible for reinstatement to active status under Enforcement Rule 219(h).
(2) assumed inactive status under Enforcement Rule 219(i)(1) in connection with the sale of his or her practice pursuant to Rule 1.17(f) of the Pennsylvania Rules of Professional Conduct (relating to the sale of a law practice by reason of disability);
(3) was transferred to disability inactive status, except that an attorney who is on disability inactive status under Enforcement Rule 301(c) shall be subject to the provisions of this rule only if the Court so directs;
(4) was suspended for a period exceeding one year; or
(5) was disbarred.
(b) A person who has been disbarred may not apply for reinstatement until the expiration of at least five years from the effective date of the disbarment, except that a person who has been disbarred pursuant to Enforcement Rule 216 (relating to reciprocal discipline and disability) may apply for reinstatement at any earlier date on which reinstatement may be sought in the jurisdiction of initial discipline. Pursuant to Enforcement Rule 217(e)(3), the waiting period for eligibility to apply for reinstatement to the practice of law shall not begin until the person files the verified statement required by subdivision (e)(1) of Enforcement Rule 217. If the order of disbarment contains a provision that makes the disbarment retroactive to an earlier date, the waiting period will be deemed to have begun on that earlier date. (See Note after Enforcement Rule 217(e)(3) for effective date of provisions relating to commencement of waiting period for eligibility to apply for reinstatement.)
(c) The procedure for petitioning for reinstatement from disability inactive status, suspension for a period exceeding one year or disbarment is as follows:
(1) Petitions for reinstatement shall be filed with the Board.
(2) Within 60 days after the filing of a petition for reinstatement, Disciplinary Counsel shall file a response thereto with the Board and serve a copy on the formerly admitted attorney. Upon receipt of the response, the Board shall refer the petition and response to a hearing committee in the disciplinary district in which the formerly admitted attorney maintained an office at the time of the disbarment or suspension. If any other formal disciplinary proceedings are then pending against the formerly admitted attorney at the time the Board refers the matter to a hearing committee or are authorized after the referral and at any time prior to the hearing, the reinstatement and disciplinary matters may be heard by the same hearing committee. In such case the combined hearing shall be held not later than 45 days after receipt by the Board of the response to the petition for reinstatement.
Note: If Disciplinary Counsel objects to reinstatement of the formerly admitted attorney, the response to the petition for reinstatement should explain in reasonable detail the reasons for the objection.
(3) The hearing committee shall promptly schedule a hearing at which a disbarred or suspended attorney shall have the burden of demonstrating by clear and convincing evidence that such person has the moral qualifications, competency and learning in law required for admission to practice law in this Commonwealth and that the resumption of the practice of law within the Commonwealth by such person will be neither detrimental to the integrity and standing of the bar or the administration of justice nor subversive of the public interest.
Official Note
When the petitioner-attorney is seeking reinstatement from disbarment, the threshold inquiry articulated in Office of Disciplinary Counsel v. Keller, 509 Pa. 573, 579, 506 A.2d 872, 875 (1986) and its progeny applies.
(4) At the conclusion of the hearing, the hearing committee shall promptly file a report containing its findings and recommendations and transmit same, together with the record, to the Board.
(5) The Board shall review the report of the hearing committee and the record and shall promptly file its own findings and recommendations, together with the briefs, if any, before the Board and the entire record, with the Supreme Court.
(6) In the event the Board recommends reinstatement and the Supreme Court, after consideration of that recommendation, is of the view that a rule to show cause should be served upon the petitioner-attorney why an order denying reinstatement should not be entered, the same shall be issued setting forth the areas of the Court’s concern. A copy of the rule shall be served on Disciplinary Counsel. Within 20 days after service of the rule, petitioner-attorney, as well as Disciplinary Counsel, may submit to the Supreme Court a response thereto. Unless otherwise ordered, matters arising under this rule will be considered without oral argument.
(d) The procedure for petitioning for reinstatement from: retired status for more than three years; inactive status for more than three years; administrative suspension for more than three years; retired status, inactive status or administrative suspension if the formerly admitted attorney has not been on active status at any time within the past three years; or after transfer to inactive status as a result of the sale of a law practice pursuant to Rule 1.17 of the Pennsylvania Rules of Professional Conduct, is as follows:
(1) Petitions for reinstatement shall be filed with the Board.
(2) Within 60 days after the filing of a petition for reinstatement, Disciplinary Counsel shall either:
(i) file a response thereto with the Board and serve a copy on the formerly admitted attorney; or
(ii) file a certification with the Board stating that after a review of the petition for reinstatement and reasonably diligent inquiry, Disciplinary Counsel has determined that there is no impediment to reinstatement and that the petitioner-attorney will meet his or her burden of proof under paragraph (d)(3) if the petition were to proceed to hearing under (d)(4).
Note: If Disciplinary Counsel objects to reinstatement of the formerly admitted attorney under (d)(2)(i), the response to the petition for reinstatement should explain in reasonable detail the reasons for the objection.
(3) A formerly admitted attorney seeking reinstatement under this subdivision (d) shall have the burden of demonstrating that such person has the moral qualifications, competency and learning in the law required for admission to practice in the Commonwealth.
(4) Upon receipt of a response under (d)(2)(i), the Board shall refer the petition and response to a single senior or experienced hearing committee member in the disciplinary district in which the formerly admitted attorney maintained an office at the time of transfer to or assumption of retired or inactive status, or transfer to administrative suspension; the single senior or experienced hearing committee member shall promptly schedule a hearing during which the hearing committee member shall perform the functions of a hearing committee under this subdivision (d). The rules of the Board may provide for abbreviated procedures to be followed by the hearing committee member, except that the abbreviated procedure shall not be available at any hearing conducted after review by a designated Board Member pursuant to paragraph (d)(6) of this rule. If any other formal disciplinary proceedings are then pending against the formerly admitted attorney at the time the Board refers the matter to a hearing committee or are authorized after the referral and at any time prior to the hearing, the reinstatement and disciplinary matters may be heard by the same hearing committee. In such case the combined hearing shall be held not later than 45 days after receipt by the Board of the response to the petition for reinstatement.
(5) At the conclusion of the hearing, the hearing committee member shall promptly file a report containing the member’s findings and recommendations and transmit same, together with the record, to the Board. Thereafter, the matter will proceed in accordance with the provisions of (c)(5) and (c)(6) of this rule.
(6) Upon receipt of a certification filed by Disciplinary Counsel under (d)(2)(ii), the Board Chair shall designate a single member of the Board to review the record and certification and to issue a report and recommendation.
(i) If the Board Member decides that reinstatement should be denied or that a hearing on the petition is warranted, the designated Board Member shall issue a report setting forth the areas of the designated Board Member’s concern and direct that the matter be scheduled for hearing pursuant to subdivision (d)(4) of this rule.
(ii) Upon receipt of a report and recommendation for an order of reinstatement, the Court may enter an order reinstating the formerly admitted attorney to active status and direct that the necessary expenses incurred in the investigation and processing of the petition be paid by the petitioner-attorney. The Chief Justice may delegate the processing and entry of orders under this subdivision to the Court Prothonotary.
(e) In all proceedings upon a petition for reinstatement, cross-examination of the petitioner-attorney’s witnesses and the submission of evidence, if any, in opposition to the petition shall be conducted by Disciplinary Counsel.
(f)(1) At the time of the filing of a petition for reinstatement with the Board, a non-refundable reinstatement filing fee shall be assessed against a petitioner-attorney. The filing fee schedule is as follows:
Reinstatement from disbarment or suspension for more than one year:… $1,000
Reinstatement from administrative suspension (more than three years):…$500
Reinstatement from inactive/retired status (more than three years): …$250
Reinstatement from disability inactive status under Enforcement Rule 301: …$250
(2) Unless otherwise directed by the Supreme Court, the petitioner-attorney shall pay the necessary expenses incurred in the investigation and processing of the petition for reinstatement and in any proceeding that results in the grant, denial or withdrawal of the petition. After a Supreme Court Order granting reinstatement is entered, the annual assessment required by Enforcement Rule 219(b) for the current year shall be paid to the Attorney Registration Office.
(3) Failure to pay expenses taxed under Enforcement Rule 218(f)(2) within thirty days of the entry of the Supreme Court Order shall result in the assessment of a penalty, levied monthly at the rate of 0.8% of the unpaid principal balance, or such other rate as established by the Supreme Court from time to time. The Board, for good cause shown, may reduce the penalty or waive it in its entirety.
Note: The Board shall charge a collection fee for any payment that has been returned to the Board unpaid.
(4) An attorney who becomes a debtor in bankruptcy when the expenses or penalties taxed in connection with a reinstatement proceeding have not been paid in full, shall notify the Executive Director of the Board in writing of the case caption and docket number within 20 days after the attorney files for bankruptcy protection.
(g)(1) Upon the expiration of any term of suspension not exceeding one year and upon the filing thereafter by the formerly admitted attorney with the Board of a verified statement showing compliance with all the terms and conditions of the order of suspension and of Enforcement Rule 217 (relating to formerly admitted attorneys), along with the payment of a non-refundable filing fee of $250, the Board shall certify such fact to the Supreme Court, which shall immediately enter an order reinstating the formerly admitted attorney to active status, unless such person is subject to another outstanding order of temporary suspension, suspension or disbarment.
(2) Paragraph (1) of this subdivision shall not be applicable and a formerly admitted attorney shall be subject instead to the other provisions of this rule requiring the filing of a petition for reinstatement, if:
(i) other formal disciplinary proceedings are then pending or have been authorized against the formerly admitted attorney;
(ii) the formerly admitted attorney has been on retired status, inactive status or administrative suspension for more than three years;
(iii) the formerly admitted attorney has not been on active status for more than three years due to a combination of retired status, inactive status, administrative suspension, temporary suspension and/or a term of suspension not exceeding one year and had not been on active status at any time within the three-year period preceding the entry of the order; or
(iv) the order of suspension has been in effect for more than three years.
(h) The Board may cause a notice of the reinstatement to be published in one or more appropriate legal journals and newspapers of general circulation. The cost of publication shall be assessed against the petitioner-attorney.
(i) The Board when appropriate shall promptly transmit to the president judge of the court of common pleas in the judicial district in which the formerly admitted attorney practiced a copy of:
(1) a notice of any action by the Attorney Registration Office administratively reinstating an attorney to active status under Enforcement Rule 219(h); or
(2) any other order of reinstatement entered under these rules.
(j) If Disciplinary Counsel shall have probable cause to believe that any formerly admitted attorney:
(1) has failed to comply with this rule or Enforcement Rule 217 (relating to formerly admitted attorneys), or
(2) is otherwise continuing to practice law, Disciplinary Counsel may bring an action in any court of competent jurisdiction for such injunctive and other relief as may be appropriate.
Source The provisions of this Rule 218 amended through July 15, 1983, effective July 16, 1983, 13 Pa.B. 2183; amended November 14, 1989, effective December 9, 1989, 19 Pa.B. 5213; amended October 3, 1990, effective October 27, 1990, 20 Pa.B. 5366; amended December 21, 1990, effective January 12, 1991, 21 Pa.B. 150; amended April 5, 2001, effective April 21, 2001, apply to all formerly admitted attorneys seeking reinstatement after the date of such publication; amended June 28, 2001, effective July 14, 2001, 31 Pa.B. 3728; amended September 19, 2003, effective October 4, 2003, 33 Pa.B. 4891; amended September 9, 2004, effective September 25, 2004, 34 Pa.B. 5244; amended April 16, 2009, effective May 1, 2009, 39 Pa.B. 2193; amended March 19, 2012, effective in 30 days, 42 Pa.B. 1639; amended June 4, 2012, effective in 30 days, 42 Pa.B. 3431; amended December 30, 2014, effective in 60 days, 45 Pa.B. 279; amended October 17, 2018, effective in 30 days, 48 Pa.B. 6978; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended March 31, 2020, effective in 30 days, 50 Pa.B. 2013; amended August 10, 2021, effective in 30 days, 51 Pa.B. 5191; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (403213) to (403214), (406137) to (406138) and (410101) to (410102).
Rule 219. Annual registration and assessment. Administrative suspension. Administrative changes in status.
(a) Annual Registration Period. The annual registration period shall run from July 1 to June 30. On or before May 15 of each year, the Attorney Registration Office shall transmit an electronic notice to register and pay the annual assessment by July 1. Failure to receive notice shall not excuse the filing of the annual registration form and payment of the annual assessment.
(1) Attorneys required to register. Attorneys on the following license statuses are required to register annually:
(i) Active status.
(ii) Attorneys holding the following limited licenses:
(A) Foreign legal consultant;
(B) Limited In-House Corporate Counsel;
(C) Attorney participant in defender or legal services programs; and
(D) Attorney spouse of an active-duty service member.
(iii) Inactive status.
Note: Attorneys admitted to the bar less than one year prior to July 1 are required to register.
(2) Attorneys exempt from registration. Attorneys on the following license statuses shall be exempt from annual registration:
(i) Judge status.
(ii) Retired status.
(iii) Emeritus status, except that such attorneys shall be governed by the renewal provisions of Enforcement Rule 403(g).
(iv) Military attorney status.
(b) Annual Assessment. On or before July 1 of each year, all attorneys required by paragraph (a)(1) of this rule to register, and who elect one of those statuses, shall pay an annual assessment. Payment of the annual assessment shall be made by credit or debit card or by check or money order drawn on a U.S. financial institution in U.S. dollars. Payment shall not be made using an IOLTA, trust, escrow, or other fiduciary account.
(1) Active status. The total annual assessment for active status is $275.
(2) Limited licenses. The total annual assessment for attorneys holding limited licenses under paragraph (a)(1)(ii) is $275.
(3) Inactive status. The annual assessment for inactive status is $100.
An attorney may apply to the Board for a waiver of the annual assessment on the basis of financial hardship by submitting a waiver application and required documentation to the Attorney Registration Office by July 1. Financial hardship shall be determined by reference to the federal poverty guidelines.
Note: The total annual assessment required by paragraphs (b)(1) and (2) is apportioned as follows: $195 to the Disciplinary Board; $50 to the Pennsylvania Lawyers Fund for Client Security, see Enforcement Rule 502(b); and $30 to the Pennsylvania Interest on Lawyers Trust Accounts Board, see Pa.R.P.C. 1.15(u). The grant of a waiver under this subdivision (b) shall include waiver of the additional annual fees.
(c) Annual Registration Form. On or before July 1 of each year, all attorneys required by paragraph (a)(1) of this rule to register shall electronically file with the Attorney Registration Office a registration form. Upon an attorney’s written request and for good cause shown, the Attorney Registration Office shall grant an exemption from the electronic filing requirement and provide a paper registration form to the attorney for filing.
(1) The attorney shall provide the following information on the form:
(i) The attorney’s current license status in this Commonwealth and all other state, federal, and foreign courts and jurisdictions in which the attorney is or has ever been licensed to practice law.
(ii) The attorney’s contact information, which shall specify information accessible to the public. Upon an attorney’s written request and for good cause shown, the contact information will not be accessible to the public.
(iii) The financial accounts and information identified in Enforcement Rule 221(q).
(iv) A statement that:
(A) the attorney is familiar and in compliance with Rule 1.15 of the Pennsylvania Rules of Professional Conduct regarding the handling of funds and other property of clients and others and the maintenance of IOLTA accounts;
(B) the attorney’s Trust Accounts comply with Enforcement Rule 221(h) regarding the mandatory reporting of overdrafts on fiduciary accounts; and
(C) the attorney has reported all of the financial accounts and information identified in Enforcement Rule 221(q).
(v) A statement that any action brought against the attorney by the Pennsylvania Lawyers Fund for Client Security for the recovery of monies paid by the Fund as a result of claims against the attorney may be brought in the Court of Common Pleas of Allegheny, Dauphin or Philadelphia County.
(vi) Whether the attorney is covered by professional liability insurance on the date of registration in the minimum amounts set forth in Rule of Professional Conduct 1.4(c); a covered attorney shall identify the insurance carrier.
(vii) Such other information as the Board may from time to time direct.
(2) Submission of the annual registration form through electronic means signifies the attorney’s intent to sign the form. By submitting the form electronically, the attorney certifies that the electronic filing is true and correct.
(3) Every attorney who files the form shall notify the Attorney Registration Office in writing of any change in the information required under paragraphs (c)(1)(i), (ii), and (vi) (relating to license status in other jurisdictions, contact information, and professional liability insurance) within 30 days of such change.
(i) Changes to the information required by paragraph (c)(1)(iii) (relating to financial account information) that occurs after the filing of the registration form need only be reported on the next annual registration form.
(ii) Failure to timely register and file the next annual registration form shall not excuse this subdivision’s requirement of reporting changes in financial account information on an annual basis on or before July 1, and failure to make such a report shall constitute a violation of this rule.
(iii) Attorneys must promptly ensure that IOLTA accounts are properly enrolled with the Pennsylvania IOLTA Board pursuant to the applicable IOLTA regulations.
(d) Proof of Registration. The Attorney Registration Office shall issue a license card or certificate to attorneys on active status and to attorneys holding limited licenses under paragraph (a)(1)(ii) as acknowledgement of an attorney’s completion of registration and payment of the required annual assessment.
(e) Incomplete Registration. The annual registration requirement is not satisfied if the registration form is incomplete, if the payment is incomplete, or if payment of the annual assessment has been returned to the Board unpaid. Registration will be deemed complete upon receipt of the completed registration form, satisfactory payment of the annual assessment, and payment of any penalties or fees assessed under subdivision (f).
(f) Late Payment Penalties; Collection Fee.
(1) Late payment penalties.
(i) An attorney who fails to complete registration on or before July 16 shall be automatically assessed a late payment penalty that cannot be waived.
(ii) An attorney who fails to complete registration on or before August 1 shall be automatically assessed a second late payment penalty that cannot be waived.
(2) Collection fee. The Board shall charge a collection fee for any payment that has been returned to the Board unpaid.
(g) Administrative Suspension.
(1) Failure to comply with the annual registration requirements.
(i) After August 1, the Attorney Registration Office shall certify to the Supreme Court the name of every attorney who has failed to comply with the requirements of this rule.
(ii) The Supreme Court shall enter an order administratively suspending the named attorneys.
(2) Failure to comply with the Pennsylvania Rules for Continuing Legal Education requirements.
(i) As set forth in Pa.R.C.L.E. 111(b), the Pennsylvania Continuing Legal Education Board shall report to the Supreme Court the name of every attorney who has failed to comply with the Pennsylvania Rules for Continuing Legal Education.
(ii) The Supreme Court shall enter an order administratively suspending the named attorneys.
(3) Failure to comply with Enforcement Rule 208(g) (relating to costs and fees).
(i) As set forth in Enforcement Rule 208(g)(4), the Board shall certify to the Supreme Court the name of every attorney who has failed to pay taxed expenses and administrative fees in cases other than a suspension that is not stayed in its entirety or disbarment.
(ii) The Supreme Court shall enter an order administratively suspending the named attorneys.
(4) Notice. Upon entry of an order of administrative suspension, the Board shall send to the formerly admitted attorney by certified mail or by electronic means the order of administrative suspension and provide notice that the attorney shall comply with Enforcement Rule 217 (relating to formerly admitted attorneys).
(5) Immediate and subsequent restrictions. From the date of entry of the order of administrative suspension until the effective date of the order or such earlier date on which the attorney satisfies the deficiency that resulted in the order of administrative suspension, the attorney shall not accept any new cases or other client matters but may continue to represent existing clients on existing matters. On and after the effective date of the order, the formerly admitted attorney shall comply with all requirements of Enforcement Rule 217 pertaining to administratively suspended attorneys.
(h) Administrative Change to Active Status.
(1) Administrative suspension three years or less. The formerly admitted attorney shall submit to the Attorney Registration Office:
(i) a form available through the Attorney Registration Office;
(ii) a verified statement that complies with Enforcement Rule 217(e)(1) and also demonstrates compliance with Rule 217 during the term of administrative suspension; and
(iii) payment of any of the following as may be applicable:
(A) the active annual assessment for the year in which the request for active status is made;
(B) the assessment that was due for the year in which the attorney was administratively suspended;
(C) late payment penalties under subdivision (f);
(D) a collection fee under subdivision (f);
(E) payment of any outstanding costs and fees under Enforcement Rule 208(g); and
(F) an administrative fee.
If the order of administrative suspension was for the failure to comply under paragraph (g)(2) with the Pennsylvania Rules of Continuing Legal Education requirements, then administrative change to active status under this paragraph is contingent on the Attorney Registration Office confirming that the formerly admitted attorney has complied with the rules and regulations of the Continuing Legal Education Board and is eligible for reinstatement under these Enforcement Rules.
(2) Inactive status three years or less. The formerly admitted attorney shall submit to the Attorney Registration Office:
(i) a form available through the Attorney Registration Office;
(ii) payment of any of the following as may be applicable:
(A) the active annual assessment for the year in which the request for active status is made or the difference between the active annual assessment and the inactive annual assessment previously paid for that year;
(B) late payment penalties under subdivision (f); and
(C) a collection fee under subdivision (f).
(3) Retired status three years or less. The formerly admitted attorney shall submit to the Attorney Registration Office:
(i) a form available through the Attorney Registration Office; and
(ii) the active annual assessment for the year in which the request for active status is made.
(4) Upon determination by the Attorney Registration Office that the applicable requirements have been satisfied, the Attorney Registration Office shall process the requested status change.
(5) The procedures under paragraph (1), (2) and (3) do not apply to:
(i) a formerly admitted attorney who, on the date of the request for active status, has not been on active status at any time within the preceding three years;
(ii) a formerly admitted attorney who has sold his or her law practice by reason of disability and who has been transferred to inactive status pursuant to Enforcement Rule 301 or 219(i)(1), as required by Rule of Professional Conduct 1.17(f) (relating to the sale of a law practice by reason of disability);
(iii) a formerly admitted attorney who is subject to an outstanding order of disability inactive status, suspension, temporary suspension, or disbarment; or
(iv) a formerly admitted attorney who, on the date of the request for active status, has an outstanding obligation to the Lawyers Fund for Client Security.
(i) Administrative Change to Inactive or Retired Status.
(1) Active status to inactive status. An attorney on active status seeking to assume inactive status during a time outside the annual attorney registration period shall submit a request for inactive status form to the Attorney Registration Office.
Note: An attorney who is not: engaged in practice in Pennsylvania, handling Pennsylvania legal matters, or required by his or her practice elsewhere to maintain active licensure in the Commonwealth may request inactive status. An attorney who sells his or her practice by reason of disability must transfer to inactive status pursuant to this paragraph (i)(1) unless a transfer to disability inactive status pursuant to Enforcement Rule 301 occurs. See Pennsylvania Rule of Professional Conduct 1.17(f).
(2) Active or inactive status to retired status. An attorney on active or inactive status seeking to assume retired status during a time outside the annual attorney registration period shall submit a request for retired status form to the Attorney Registration Office.
(3) Administrative suspension to inactive status. A formerly admitted attorney seeking to resume inactive status after transfer to administrative suspension from inactive status shall submit to the Attorney Registration Office:
(i) a form available through the Attorney Registration Office;
(ii) a verified statement that complies with Enforcement Rule 217(e)(1) and also demonstrates continued compliance with Rule 217 during the term of administrative suspension; and
(iii) payment of any of the following as may be applicable:
(A) the inactive annual assessment for the year in which the request for inactive status is made;
(B) the inactive annual assessment that was due in the year in which the attorney was administratively suspended;
(C) late payment penalties under subdivision (f);
(D) a collection fee under subdivision (f);
(E) payment of any outstanding costs and fees under Enforcement Rule 208(g); and
(F) an administrative fee.
(4) Administrative suspension to retired status. A formerly admitted attorney seeking retired status after transfer to administrative suspension shall submit to the Attorney Registration Office:
(i) a form available through the Attorney Registration Office;
(ii) a verified statement that complies with Enforcement Rule 217(e)(1) and also demonstrates continued compliance with Rule 217 during the term of administrative suspension;
(iii) payment of any outstanding costs and fees under Enforcement Rule 208(g); and
(iv) an administrative fee.
A formerly admitted attorney retired under paragraph (i)(4) who seeks to resume active status where a petition for reinstatement is not required shall pay all outstanding arrears assessed and satisfy all deficiencies in connection with the transfer to administrative suspension.
(5) Upon determination by the Attorney Registration Office that the applicable requirements have been satisfied, the Attorney Registration Office shall process the requested status change.
(j) Judge status.
(1) An attorney who commences judicial service as a justice or judge on the following courts shall be assigned judge status by the Attorney Registration Office:
(i) Pennsylvania courts of record: Supreme, Superior, Commonwealth, Common Pleas, and Philadelphia Municipal; and
(ii) federal courts: Supreme, Court of Appeals, Bankruptcy, and District Court, including full-time and part-time magistrate judges not otherwise engaged in the practice of law.
(2) At the conclusion of judicial service, an attorney holding judge status shall:
(i) within 20 days, notify the Attorney Registration Office in writing of the conclusion of judicial service; and
(ii) within 60 days, elect either active status under paragraph (3) or retired status under paragraph (4).
(3) Administrative change to active status within 60 days of conclusion of judicial service. A former justice or judge on judge status who seeks to resume active status upon conclusion of judicial service shall, within 60 days, submit to the Attorney Registration Office:
(i) a form available through the Attorney Registration Office;
(ii) a notice in writing which shall set forth:
(A) any discipline imposed within six years before the date of the notice upon the justice or judge by the Court of Judicial Discipline; and
(B) any proceeding before the Judicial Conduct Board or the Court of Judicial Discipline settled within six years before the date of the notice on the condition that the justice or judge resign from judicial office or enter a rehabilitation program;
(iii) a waiver available through the Attorney Registration Office and signed by the former justice or judge of the confidentiality of the record in any proceeding disclosed in the notice provided under paragraph (ii), for the limited purpose of making the record available to the Board in any subsequent proceeding under these rules;
(iv) payment of the active annual assessment for the year in which the request for active status is made.
(4) Administrative change to retired status within 60 days of conclusion of judicial service. A former justice or judge on judge status who seeks to assume retired status upon conclusion of judicial service shall, within 60 days, submit to the Attorney Registration Office a form available through that office.
(5) Upon determination by the Attorney Registration Office that the application requirements of paragraph (3) or (4) have been satisfied, the Attorney Registration Office shall process the requested status change.
(6) A former justice or judge on judge status who fails to elect a new registration status within 60 days of concluding judicial service shall be placed on retired status by the Attorney Registration Office.
Source The provisions of this Rule 219 amended through December 20, 1983, effective July 1, 1984, 14 Pa.B. 5; amended May 10, 1989, effective July 1, 1989, 19 Pa.B. 2245; amended November 26, 1990, effective with respect to assessment years commencing on or after July 1, 1991, 20 Pa.B. 6141; amended March 13, 1991, effective July 1, 1991, 21 Pa.B. 1424; amended October 18, 1991, effective with respect to assessment years commencing July 1, 1992 and thereafter, 21 Pa.B. 5254; amended March 4, 1993, effective with respect to assessment years commencing on and after July 1, 1993, 23 Pa.B. 1685; amended March 15, 1994, effective upon publication, 24 Pa.B. 1672; amended April 18, 1995, effective immediately, 25 Pa.B. 1766; amended April 3, 1996, effective July 1, 1996, 26 Pa.B. 1806; amended July 17, 1996, effective September 1, 1996, 26 Pa.B. 3624; amended April 9, 1998, effective upon publication and applicable beginning with the 1998—1999 assessment year, 28 Pa.B. 2024; amended May 15, 2001, effective immediately, 31 Pa.B. 2788; amended June 28, 2001, effective July 14, 2001, 31 Pa.B. 3728; amended March 17, 2005, effective September 1, 2005, 35 Pa.B. 1972; amended October 13, 2005, effective October 29, 2005, 35 Pa.B. 5954; amended April 10, 2007, effective upon publication in the Pennsylvania Bulletin and shall be applicable beginning with the 2007-2008 assessment year; 37 Pa.B. 1959; amended April 1, 2008, effective for the 2008-2009 assessment, 38 Pa.B. 1701; amended April 16, 2009, effective May 1, 2009, 39 Pa.B. 2193; amended March 25, 2010, effective July 1, 2010, 40 Pa.B. 1892; amended April 8, 2011, effective immediately, 41 Pa.B. 2119; amended April 9, 2012 for the 2012-13 assessment and thereafter shall revert to the provisions effective for the 2011-12 assessment, effective immediately, 42 Pa.B. 2186; amended June 4, 2012, effective in 30 days, amendments to 219(f) relating to automatic assessment of non-waivable late payment penalties shall be applicable beginning with the 2013-2014 assessment year, 42 Pa.B. 3431; under the order of February 12, 2013, the order of April 9, 2012 amending subsection (a) shall remain in effect for the 2013-14 annual attorney assessment and in one year shall revert to the provisions effective on April 8, 2012, effective immediately, 43 Pa.B. 1173; amended May 1, 2014, effective immediately for the 2014-15 annual attorney assessment and shall continue until further Order of the Supreme Court, 44 Pa.B. 2847; amended December 30, 2014, effective in 60 days, 45 Pa.B. 279; amended March 17, 2016, effective in 30 days, 46 Pa.B. 1642; amended April 12, 2016, effective in 30 days, amendments relating to mandatory electronic registration shall be applicable beginning with the 2016-2017 assessment year, 46 Pa.B. 2163; amended February 15, 2017, effective immediately for the 2017-18 annual attorney assessment and shall continue until further Order of the Supreme Court, 47 Pa.B. 1276; amended April 21, 2017, effective in 30 days, 47 Pa.B. 2539; amended June 29, 2018, effective in 30 days, 48 Pa.B. 4094; amended September 24, 2018, effective immediately, 48 Pa.B. 6386; amended February 7, 2019, effective immediately, 49 Pa.B. 824; amended February 25, 2019, effective in 30 days, 49 Pa.B. 1020; amended April 18, 2019, effective in 30 days, 49 Pa.B. 2209; amended October 2, 2019, effective in 30 days, 49 Pa.B. 6063; amended November 18, 2019, effective in 30 days, 49 Pa.B. 7165; amended October 29, 2020, effective in 30 days, 50 Pa.B. 6353; amended February 24, 2021, effective immediately, 51 Pa.B. 1128; amended March 14, 2022, effective immediately, 52 Pa.B. 1733; amended May 9, 2022, effective immediately, 52 Pa.B. 2955; amended July 19, 2023, effective September 1, 2023, except that changes to the annual attorney registration form reflected in Pa.R.D.E. 219(c) shall become effective May 1, 2024, in conjunction with the commencement of the 2024-2025 attorney registration period, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (410102) to (410104), (400015) to (400018) and (410105) to (410106).
Rule 220. Recusal of members of the Board or a hearing committee or a special master.
(a) General Rule. A member of the Board or of a hearing committee or a special master shall withdraw from participating in a matter or proceeding where there is a substantial showing that the member or special master cannot partici-pate in a fair and reasonable manner, including but not limited to instances where the member or special master:
(1) has a fixed bias or prejudice for or against the respondent-attorney, or personal knowledge of disputed evidentiary facts relating to the matter or proceeding;
(2) served as a lawyer in connection with any events relating to the matter or proceeding, or a lawyer with whom the member or special master practices law served as a lawyer in connection with any events relating to the matter or proceeding;
(3) individually or as a fiduciary, or any minor child of the member or special master living in his or her household or the spouse of the member or special master, has a financial interest in any events relating to the matter or proceeding.
(b) Procedure for recusal. A motion to disqualify a member of the Board or of a hearing committee or a special master shall be made in accordance with the rules of procedure of the Board, but the making of such a motion shall not stay the conduct of the proceedings or disqualify the challenged member or special master pending disposition of the motion.
Source The provisions of this Rule 220 adopted December 6, 1989, effective December 23, 1989, 19 Pa.B. 5421.
Rule 221. Funds of clients and third persons. Mandatory overdraft notification.
(a) For purposes of this rule, the following definitions apply:
(1) Eligible Institution. An Eligible Institution is a Financial Institution which has been approved as a depository of Trust Accounts pursuant to section (h), infra.
(2) Financial Institution. A Financial Institution is an entity which is authorized by federal or state law and licensed to do business in the Commonwealth of Pennsylvania as one of the following: a bank, bank and trust company, trust company, credit union, savings bank, savings and loan association or foreign banking corporation, the deposits of which are insured by an agency of the federal government, or as an investment adviser registered under the Investment Advisers Act of 1940 or with the Pennsylvania Securities Commission, an investment company registered under the Investment Company Act of 1940, or a broker dealer registered under the Securities Exchange Act of 1934.
(3) Fiduciary Funds. Fiduciary Funds are Rule 1.15 Funds which an attorney holds as a Fiduciary, as defined in Rule 1.15(a)(2) of the Pennsylvania Rules of Professional Conduct. Fiduciary Funds may be either Qualified Funds or Nonqualified Funds.
(4) Rule 1.15 Funds. Rule 1.15 Funds are funds which an attorney receives from a client or third person in connection with a client-lawyer relationship, or as an escrow agent, settlement agent or representative payee, or as a Fiduciary, or receives as an agent, having been designated as such by a client or having been so selected as a result of a client-lawyer relationship or the attorney’s status as such. When the term ‘‘property’’ appears with ‘‘Rule 1.15 Funds,’’ it means property of a client or third person which the attorney receives in any of the foregoing capacities.
(5) Trust Account. A Trust Account is an account in an Eligible Institution in which an attorney holds Rule 1.15 Funds. A Trust Account must be maintained either as an IOLTA Account or as a Non-IOLTA Account, as defined in Rule 1.15(a)(5) and (7) of the Pennsylvania Rules of Professional Conduct.
(b) An attorney shall maintain a Trust Account with respect to his/her practice in this Commonwealth only in an Eligible Institution approved by the Supreme Court of Pennsylvania for the maintenance of such accounts. Subject to the provisions set forth herein, the Disciplinary Board shall establish regulations governing approval and termination of approval for Eligible Institutions, shall make appropriate recommendations to the Supreme Court of Pennsylvania concerning approval and termination, and shall periodically publish a list of Eligible Institutions.
(c) All Fiduciary Funds shall be placed in a Trust Account (which, if the Fiduciary Funds are also Qualified Funds as defined in Rule 1.15(a)(9) of the Pennsylvania Rules of Professional Conduct, must be an IOLTA Account) or in another investment or account which is authorized by the law applicable to the entrustment or the terms of the instrument governing the Fiduciary Funds.
(d) The responsibility for identifying an account as a Trust Account shall be that of the attorney in whose name the account is held.
(e) An attorney shall maintain and preserve for a period of five years after termination of the client-lawyer or Fiduciary relationship or after distribution or disposition of the property, whichever is later, the writing required by Pa.R.P.C. 1.5 (relating to the requirement of a writing communicating the basis or rate of the fee), the records identified in Pa.R.P.C. 1.5(c) (relating to the requirement of a written fee agreement and distribution statement in a contingent fee matter), and the following books and records for each Trust Account and for any other account in which Rule 1.15 Funds are held:
(1) all transaction records provided to the attorney by the Financial Institution, such as periodic statements, canceled checks in whatever form, deposited items and records of electronic transactions; and
(2) check register or separately maintained ledger, which shall include the payee, date, purpose and amount of each check, withdrawal and transfer, the payor, date, and amount of each deposit, and the matter involved for each transaction; provided, however, that where an account is used to hold funds of more than one client, a lawyer shall also maintain an individual ledger for each trust client, showing the source, amount and nature of all funds received from or on behalf of the client, the description and amounts of charges or withdrawals, the names of all persons or entities to whom such funds were disbursed, and the dates of all deposits, transfers, withdrawals and disbursements.
(3) A regular trial balance of the individual client trust ledgers shall be maintained. The total of the trial balance must agree with the control figure computed by taking the beginning balance, adding the total of moneys received in trust for the client, and deducting the total of all moneys disbursed. On a monthly basis, a lawyer shall conduct a reconciliation for each fiduciary account. The reconciliation is not complete if the reconciled total cash balance does not agree with the total of the client balance listing. A lawyer shall preserve for a period of five years copies of all records and computations sufficient to prove compliance with this requirement.
(f) The records required by this Rule may be maintained in hard copy form or by electronic, photographic, or other media provided that the records otherwise comply with this Rule and that printed copies can be produced. Whatever method is used to maintain required records must have a backup so that the records are secure and always available. If records are kept only in electronic form, then such records shall be backed up, on a separate electronic storage device, at least at the end of any day on which entries have been entered into the records.
(g) The records required to be maintained by Pa.R.P.C. 1.15 shall be readily accessible to the lawyer and available for production to the Pennsylvania Lawyers Fund for Client Security and the Office of Disciplinary Counsel in a timely manner upon request or demand by either agency made pursuant to these Enforcement Rules, the Rules of the Board, the Pennsylvania Lawyers Fund for Client Security Board Rules and Regulations, agency practice, or subpoena.
(1) Upon a request by Disciplinary Counsel under this subdivision (g), which request may take the form of a letter to the respondent-attorney briefly stating the basis for the request and identifying the type and scope of the records sought to be produced, a respondent-attorney must produce the records within ten business days after personal service of the letter on the respondent-attorney or after the delivery of a copy of the letter to an employee, agent or other responsible person at the office of the respondent-attorney as determined by the address furnished by the respondent-attorney in the last registration form filed by the respondent-attorney pursuant to Enforcement Rule 219(c), but if the latter method of service is unavailable, within ten business days after the date of mailing a copy of the letter to the last registered address or addresses set forth on the form.
(2) When Disciplinary Counsel’s request or demand for Pa.R.P.C. 1.15 records is made under an applicable provision of the Disciplinary Board Rules or by subpoena under Enforcement Rule 213(a), the respondent-attorney must produce the records and must do so within the time frame established by those rules.
(3) Failure to produce Pa.R.P.C. 1.15 records in response to a request or demand for such records may result in the initiation of proceedings pursuant to Enforcement Rule 208(f)(1) or (f)(5) (relating to emergency temporary suspension orders and related relief), the latter of which specifically permits Disciplinary Counsel to commence a proceeding for the temporary suspension of a respondent-attorney who fails to maintain or produce Pa.R.P.C. 1.15 records after receipt of a request or demand authorized by subdivision (g) of this Rule or any provision of the Disciplinary Board Rules. If at any time a hearing is held before the Board pursuant to Enforcement Rule 208(f) as a result of a respondent-attorney’s alleged failure to maintain or produce Pa.R.P.C. 1.15 records, a lawyer-Member of the Board shall be designated to preside over the hearing.
Official Note
If Disciplinary Counsel files a petition for temporary suspension, the respondent-attorney will have an opportunity to raise at that time any claim of impropriety pertaining to the request or demand for records.
(h) An Eligible Institution shall be approved as a depository for Trust Accounts of attorneys if it shall be in compliance with applicable provisions of Rule 1.15 of the Pennsylvania Rules of Professional Conduct and the Regulations of the IOLTA Board and shall file with the Disciplinary Board an agreement in a form approved by the Board to comply with IOLTA Regulations governing approved Eligible Institutions and to make a prompt report to the Lawyers Fund for Client Security Board whenever any check or similar instrument is presented against a Trust Account when such account contains insufficient funds to pay the instrument, regardless of
(1) whether the instrument is honored, or
(2) whether funds are subsequently deposited that cover the overdraft or the dishonored instrument is made good.
(i) For purposes of this rule:
(1) A Trust Account shall not be deemed to contain insufficient funds to pay a check or similar instrument solely because it contains insufficient collected funds to pay the instrument, and no report shall be required in the case of an instrument presented against uncollected or partially uncollected funds. This provision shall not be deemed an endorsement of the practice of drawing checks against uncollected funds.
(2) Funds deposited in an account prior to the close of business on the calendar date of presentation of an instrument shall be considered to be in the account at the close of business on that date notwithstanding the treatment of such funds by the Eligible Institution, for other purposes, as being received at the opening of the next banking day pursuant to 13 Pa.C.S. § 4108(b) (relating to items or deposits received after cutoff hour).
(3) A check or draft against a Trust Account shall be deemed to be presented at the close of business on the date of presentation.
(j) No report need be made when the Eligible Institution determines that the instrument presented against insufficient funds had been issued in reliance on a deposited instrument that was ultimately dishonored. This provision shall not be deemed an endorsement of the practice of drawing checks against uncollected funds.
(k) A failure on the part of an Eligible Institution to make a report to the Lawyers Fund for Client Security Board called for by this rule or to comply with IOLTA Regulations governing approved Eligible Institutions may be cause for termination of approval by the Supreme Court, but such failure shall not, absent gross negligence, give rise to a cause of action, by any person who is proximately caused harm thereby.
(l) Eligible Institutions shall be immune from suit for the filing of any reports required by this Rule or believed in good faith to be required by this Rule.
(m) An Eligible Institution shall be free to impose a reasonable service charge upon the attorney in whose name the account is held for the filing of the report required by this rule.
(n) A report filed pursuant to this rule shall not, in and of itself, be considered a disciplinary complaint.
(o) A designated representative of the Lawyers Fund for Client Security Board shall conduct a preliminary inquiry and shall, where appropriate, refer the matter to the Office of Disciplinary Counsel for further investigation. Neither a report filed with the Lawyers Fund for Client Security Board pursuant to this rule nor a referral of such report to the Office of Disciplinary Counsel shall, in and of itself, be considered a disciplinary complaint.
(p) Reports required to be made under this rule shall be made to the Lawyers Fund for Client Security Board within five business days of the presentation of the instrument.
(q) An attorney required to file the registration form under Enforcement Rule 219(a), with the exception of a person holding a Limited In-House Corporate Counsel License under Pennsylvania Bar Admission Rule 302 or a foreign legal consultant license under Pennsylvania Bar Admission Rule 341, shall identify the financial accounts enumerated in paragraphs (1)—(3) during the period from May 1 of the previous year to the date of the filing of the registration form. For each account, the attorney shall provide the name of the Financial Institution, as defined in Pa.R.P.C. 1.15(a)(4), or other bank or investment fund as allowed by Pa.R.P.C. 1.15(k) and (l), its location within or outside the Commonwealth, account number, type of account, and whether the account held funds subject to Pa.R.P.C. 1.15. The attorney shall identify:
(1) all accounts in which the attorney held funds of a client or a third person subject to Pa.R.P.C. 1.15;
Note: See paragraph (r)(1) of this rule for the definition of ‘‘funds of a client or a third person subject to Pa.R.P.C. 1.15’’ and paragraph (r)(2) for exclusions from the definition of ‘‘funds of a third person.’’
Note: If an attorney employed by a law firm receives fiduciary funds from or on behalf of a client and deposits or causes the funds to be deposited into a law firm account, the attorney must report the account of deposit pursuant to this paragraph (1).
(2) every account not reported under paragraph (1) that held funds of a client or a third person (whether or not subject to Pa.R.P.C. 1.15) over which the attorney had sole or shared signature authority or authorization to transfer funds to or from the account; and
(3) every business operating account maintained or utilized by the attorney in the practice of law.
Note: The type of account shall be identified as an IOLTA Trust Account, see Pa.R.P.C. 1.15(a)(5); Non-IOLTA Trust Account (Interest for Clients), see Pa.R.P.C. 1.15(a)(7), (k), (l); IOLTA-exempt Trust Account (non-interest bearing), see Pa.R.P.C. 1.15(n); other authorized investments or accounts, see Pa.R.P.C. 1.15(k) and (l); or Business/Operating Account, see Pa.R.P.C. 1.15(j).
(r) For purposes of subdivision (q) of this rule, the phrase:
(1) ‘‘funds of a client or a third person subject to Pa.R.P.C. 1.15’’ means funds that belong to a client or third person and that an attorney receives:
(i) in connection with a client-attorney relationship;
(ii) as an escrow agent, settlement agent, representative payee, personal representative, guardian, conservator, receiver, trustee, agent under a durable power of attorney, or other similar fiduciary position;
(iii) as an agent, having been designated as such by a client or having been so selected as a result of a client-attorney relationship or the attorney’s status as such;
(iv) in connection with nonlegal services that are not distinct from legal services;
(v) in connection with nonlegal services that are distinct from legal services, and the attorney knows or reasonably should know that the recipient of the service might believe that the recipient is receiving the protection of a client-attorney relationship; or
(vi) as an owner, controlling party, employee, agent, or as one who is otherwise affiliated with an entity providing nonlegal services and the attorney knows or reasonably should know that the recipient of the service might believe that the recipient is receiving the protection of a client-attorney relationship;
(2) ‘‘funds of a third person’’ shall not include funds held in:
(i) an attorney’s personal account held jointly; or
(ii) a custodial account for a minor or dependent relative unless the source of any account funds is other than the attorney and his or her spouse or spousal equivalent.
Source The provisions of this Rule 221 adopted April 18, 1995, effective immediately, 25 Pa.B. 1766; amended April 3, 1996, effective July 1, 1996, 26 Pa.B. 1806; amended July 17, 1996, effective September 1, 1996, 26 Pa.B. 3624; amended August 29, 1996, effective September 1, 1996, 26 Pa.B. 4519; amended April 5, 2005, effective upon publication, 35 Pa.B. 2386; amended September 4, 2008, effective September 20, 2008, 38 Pa.B. 5157; amended December 30, 2014, effective in 60 days, 45 Pa.B. 279; amended December 1, 2017, effective in 30 days, 47 Pa.B. 7557; amended July 19, 2023, effective September 1, 2023, 53 Pa.B. 4385. Immediately preceding text appears at serial pages (396649) to (396653).
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