Navigating the Ethical Perils of Solo and Small Firm Practice

1. ETHICAL PERILS OF SOLO AND SMALL FIRM PRACTICE G. Michael Witte Executive Secretary Indiana Supreme Court Disciplinary Commission

2. BY THE NUMBERS (fiscal 2010) • 1,542 - grievances filed (fiscal 2010) • 906/636 - dismissals to request for response • 40/63 - VC’s filed and # of counts ____________________________________ • 17,187 – active, in good standing • 2,755 – inactive, in good standing • 1,245 – pro hac vice (temporary admission) • 8.47 grievances for every 100 active lawyer

3. LAW LICENSE STATUS • Administrative Status • Active - Admis.& Disc. Rule 2(b) • Inactive – Admis. & Disc. Rule 2(c) • Retired – Admis. & Disc Rule 2(d) • Withdraw – Admis. & Disc. Rule 2(l) • Deceased • Discipline Status • Suspension – Admis. & Disc. Rule 23(3)(a) • With or W/O auto reinstatement - 180 day rule • Disbarment – Admis. & Disc. Rule 23(3)(a) • Resignation – Admis. & Disc. Rule 23(17)

4. LAW LICENSE STATUS • In re Barce, 934 NE2d 732 (Ind. 2010) • In re Rocchio, 943 NE2d 797 (Ind. 2011)

5. LAWYER ADVERTISING • Prof. Cond. R. 7.3 – Direct Contact With Prospective Clients and Targeted Solicitations • Prof. Cond. R. 7.5 – Firm Names and Letterheads • Admis. Disc. R. 27 – Professional Corporations, Limited Liability Companies, and Limited Partnerships

6. TRUST ACCOUNTS • Admis. Disc. R. 23(29) • Trust Account Manual • Trust Account School

7. SUPERVISING EMPLOYEES • Prof. Cond. R. 5.3 – Responsibilities Regarding Non-lawyer Assistants • Use of Non-lawyer Assistants Guidelines 9.1 – 9.10 • Cases • In re Litz, 950 N.E.2d 291 (2010) • In re Anonymous, 929 N.E.2d 778 (2010) • In re Schuyler, 894 N.E.2d 543 (2008) • In re Anonymous, 876 N.E.2d 333 (2007)

8. ATTORNEY FEES • In re Powell, 953 N.E.2d 1060 (2011) • In re Hammerle, 952 N.E.2d 751 (2011) • In re Kray, 938 N.E.2d 218 (2010) • In re Lauter, 933 N.E.2d 1258 (2010) • In re O’Farrell, 942 N.E.2d 799 (2011) • In re Rawls, 936 N.E.2d 812 (2010) • In re Zielinski, 943 N.E.2d 809 (2011)

9. REPORTING LAWYER MISCONDUCT – Rule of Prof. Cond. 8.3(a) A lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects, shall inform the appropriate professional authority.

10. REPORTING LAWYER MISCONDUCT – Admis. and Disc. Rule 23(11.1 )(a)(2) An attorney licensed to practice law in the State of Indiana who is found guilty of a crime in any state or of a crime under the laws of the United States shall, within ten (10) days after such finding of guilt, transmit a certified copy of the finding of guilt to the Executive Secretary of the Indiana Supreme Court Disciplinary Commission.

11. REPORTING LAWYER MISCONDUCT – Admis. and Disc. Rule 23(11.1 )(a)(1) “The judge of any court in this state in which an attorney is found guilty of a crime shall, within ten (10) days after the finding of guilt, transmit a certified copy of proof of the finding of guilt to the Executive Secretary of the Indiana Supreme Court Disciplinary Commission.” Confusion with felony conviction procedure.

12. REPORTING LAWYER MISCONDUCT - Code of Judicial Conduct • Canon 2, Rule 2.15(B) – A judge having knowledge that a lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question regarding the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects shall inform the appropriate authority. • Canon 2, Rule 2.15(C) – A judge who receives credible information indicating a substantial likelihood that a lawyer has committed a violation of the Rules of Professional Conduct shall take appropriate action.