Rule 4-102. Disciplinary Action; Levels of Discipline; Standards

(a)  The Standards of Conduct to be observed by the members of the State Bar of Georgia and those authorized to practice law in Georgia are set forth herein and any violation thereof shall subject the offender to disciplinary action and/or punishment as hereinafter provided.
(b)  The levels of discipline are set forth below. The power to administer a greater punishment shall include the power to administer the lesser:

 

  (1)  Disbarment: A  form of public discipline removing the respondent from the practice of law in Georgia. This level of discipline includes publication as provided by Rule 4-219(b).
  (2)  Suspension: A form of public discipline which removes the respondent from the practice of law in Georgia for a definite period of time or until satisfaction of certain conditions imposed as a part of the suspension. This level of discipline includes publication as provided by Rule 4-219(b).
  (3) Public Reprimand: A form of public discipline which declares the respondent's conduct to have been improper but does not limit his right to practice. A public reprimand shall be administered by a judge of a superior court in open court.
  (4) Review Panel Reprimand: A form of public discipline which declares the respondent's conduct to have been improper but does not limit his right to practice. A Review Panel Reprimand shall be administered by the Review Panel at a meeting of the Review Panel.
  (5) Investigative Panel Reprimand: A form of confidential discipline which declares the respondent's conduct to have been improper but does not limit his right to practice. An Investigative Panel Reprimand shall be administered by the Investigative Panel at a meeting of the Investigative Panel.
  (6) Formal Admonition: A form of confidential discipline which declares the respondent's conduct to have been improper but does not limit his right to  practice. A formal admonition shall be administered by letter as provided in Rules 4-205 through 4-208.

(c)      (1) The Supreme Court of Georgia may impose any of the levels of discipline set forth above following formal proceedings against a respondent; however, any case where discipline is imposed by the Court is a matter of public record despite the fact that the level of discipline would have been confidential if imposed by the Investigative Panel of the State Disciplinary Board.
(2)  As provided in Part IV, Chapter 2 of the State Bar Rules, the Investigative Panel of the State Disciplinary Board may impose any of the levels of discipline set forth above provided that a respondent shall have the right to reject the imposition of discipline by the Investigative Panel pursuant to the provisions of Rule 4-208.3;

(d)  The Standards of Conduct are:

Standard 1.
A lawyer shall not make a materially false statement in or fail to disclose a material fact requested in connection with his application for admission to the bar.

A violation of this standard may be punished by disbarment.

Standard 2.
A lawyer shall not further the application for admission to the bar of another person known by him to be unqualified in respect to character, education, or other relevant attribute.

A violation of this standard may be punished by disbarment.

Standard 3.
A lawyer shall not engage in illegal professional conduct involving moral turpitude.

A violation of this standard may be punished by disbarment.

Standard 4.
A lawyer shall not engage in professional conduct involving dishonesty, fraud, deceit, or willful misrepresentation.

A violation of this standard may be punished by disbarment.

Standard 5.
(a)  A lawyer shall not make any false, fraudulent,deceptive, or misleading communication about the lawyer or the lawyer's services. A communication is false or misleading if it:

 

  (1)  contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading;
  (2) is likely to create an unjustified expectation about results the lawyer can achieve, or states or implies that the lawyer can achieve results by means that violate the disciplinary rules or other law;
  (3) compares the lawyer's services with other lawyers' services, unless the comparison can be factually substantiated; or
  (4) fails to include the name of at least one lawyer responsible for its content.

(b)  If a communication promoting a lawyer's services contains any information regarding contingent fees, then the following language must be conspicuously presented:

 

"Contingent attorneys' fees refers only to those fees charged by attorneys for their legal services. Such fees are not permitted in all types of cases. Court costs and other additional expenses of legal action usually must be paid by the client."

Additionally, if the communication contains the phrase "no fee unless you win or collect" or any similar language, the following language must be conspicuously presented:

 

"'No fee unless you win or collect' [or insert the similar language in communication] refers only to fees charged by the attorney. Such contingent fees are not permitted in all types of cases. Court costs and other additional expenses of legal action usually must be paid by the client."

A violation of this standard may be punished by disbarment.

Standard 6.
(a)  Subject to the requirements of Standard 5, a lawyer may advertise services through public media, such as a telephone directory, newspaper or other periodical, radio or television, or through written communication not involving personal contact.
(b)  Written communications to a prospective client for the purpose of obtaining professional employment shall be plainly marked "Advertisement" on the face of the envelope and on the top of each page of the written communication in type size no smaller than the largest type size used in the body of the letter.
(c)  A copy of any written communication mailed to prospective clients for the purpose of obtaining employment and a list of names and addresses to whom the written communication was sent shall be retained by the lawyer for a period of four (4) years.
(d)  A lawyer shall not send, or knowingly permit to be sent, on behalf of himself, his firm, his partner, associate, or any other lawyer affiliated with him or his firm, a written communication to a prospective client for the purpose of obtaining professional employment if:

 

  (1)  the written communication concerns a specific matter, and the lawyer knows or reasonably should know that the person is represented by a lawyer in the matter;
  (2)  it has been made known to the lawyer that a person does not desire to receive communications from the lawyer;
  (3)  the communication involves coercion, duress, fraud, overreaching, harassment, intimidation or undue influence;
  (4)  the written communication concerns an action for personal injury or wrongful death or otherwise relates to an accident or disaster involving the  person to whom the communication is addressed or a relative of that person, unless the accident or disaster occurred more than 30 days prior to the mailing of the communication;
  (5)  the lawyer knows or reasonably should know that the physical, emotional or mental state of the person is such that the person could not exercise  reasonable judgment in employing a lawyer.

A violation of any provision of this standard may be punished by disbarment.

Standard 7.
(a)  A public communication for which a lawyer has given value must be identified as such unless it is apparent from the context that it is such a communication.
(b)  Public communications disseminated to the public by use of electronic media shall be prerecorded and the prerecorded communication shall be approved by the lawyer before it is broadcast. A recording of the actual transmission and a written transcript of the same shall be retained by the lawyer for a period of four (4) years.

A violation of this standard may be punished by public reprimand.

Standard 8.
A lawyer shall not use a firm name, professional card, professional announcement card, office sign, letterhead, telephone directory listing, law list, legal directory listing or similar professional notice or designation that includes a statement or claim that is false, fraudulent, deceptive or misleading. A statement or claim is false and misleading if it violates the provisions of Standard 5.

A violation of this standard may be punished by a public reprimand.

Standard 9.
(a)  A lawyer or law firm in private practice shall not practice under a trade name if it is false, fraudulent, deceptive or misleading as to the lawyer or lawyers practicing under that name or to the type of practice in which the lawyer or lawyers are engaged. A trade name is false or misleading if:

 

  (1)   the trade name does not include the name of at least one of the lawyers practicing under said name, but a  law firm name consisting solely of the name or names of deceased or retired members of the firm does not have to include the name of an active member of the firm; or
  (2)  the trade name implies a connection with a government agency, with a public or charitable legal services organization or any other organization, association or institution or entity, unless there is, in fact, a connection.

(b)  The name of a lawyer holding a public office shall not be used in the name of a law firm, or in communications on its behalf, during any substantial period in which the lawyer is not actively and regularly practicing with the firm. A law firm may use or continue to include in its name the name or names of one or more deceased or retired members of the firm or of a predecessor firm in a continuing line of succession.
(c)  A law firm shall not simultaneously practice law under more than one name.

A violation of this standard may be punished by a public reprimand.

Standard 10.
A lawyer shall not hold himself out as having a partnership with one or more other lawyers, unless they are, in fact, partners. A partnership for the practice of law may be composed of one or more individual professional corporations. However, the letterhead and professional cards of the professionally incorporated lawyer should show that he is a professional corporation.

A violation of this standard may be punished by a public reprimand.

Standard 11.
A law firm practicing in more than one jurisdiction may use the same name in each jurisdiction, but identification of the members and associates in any office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located.

A violation of this standard may be punished by a public reprimand.

Standard 12.
A lawyer shall not solicit professional employment as a private practitioner for himself, his partner or associate through direct personal contact with a non-lawyer who has not sought his advice regarding employment of a lawyer.

A violation of this standard may be punished by disbarment.

Standard 13.
A lawyer shall not compensate or give anything of value to a person or organization to recommend or secure his employment by a client, or as a reward for having made a recommendation resulting in his employment by a client; except that he may pay for public communications permitted by Standard 5 and the usual and reasonable fees or dues charged by a bona fide lawyer referral service operated by an organization authorized by law and qualified to do business in this state; provided, however, such organization has filed with the State Disciplinary Board, at least annually, a report showing its terms, its subscription charges, agreements with counsel, the number of lawyers participating, and the names and addresses of lawyers participating in the service.

A violation of this standard may be punished by disbarment.

Standard 14.
A lawyer may assist in, cooperate with, or offer any qualified legal services plan or assist in or cooperate with any insurer providing legal services insurance as authorized by law, to promote the use of his services, his partner or associate so long as his assistance, cooperation or offer and the communications of the organization are not false, fraudulent, deceptive or misleading.

A violation of this standard may be punished by a public reprimand.

Standard 15.
A lawyer may assist and cooperate with a non-profit organization which provides without charge legal services to others, as a form of political or associational expression, in the promotion of the use of his services or those of his partner or associate provided that his assistance or the communications of the organization on his behalf are not false, fraudulent, deceptive, or misleading.

A violation of this standard may be punished by a public reprimand.

Standard 16.
A lawyer shall not accept employment when he knows or it is obvious that the person who seeks his services does so as a result of conduct by any person or organization prohibited under Standards 12, 13, 14 or 15.

A violation of this standard may be punished by disbarment.

Standard 17.
A lawyer who has given in-person unsolicited advice to a layperson that he should obtain counsel or take legal action shall not accept employment resulting from that advice, except:
(a)  A lawyer may accept employment from a close friend, relative, former client (if the advice is germane to the former employment), or one whom the lawyer reasonably believes to be a client;
(b)  Under the auspices of a public or charitable legal services organization; or
(c)  Under the auspices of a bona fide political, social, civic, fraternal, employee or trade organization whose purposes include but are not limited to providing or recommending legal services, if the legal services are related to the principal purposes of the organization.

A violation of this standard may be punished by a public reprimand.

Standard 18.
A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. A lawyer who is a specialist or is certified in a particular field of law by experience, specialized training or education, or by certification by a recognized and verifiable professional entity, may communicate such specialty or certification so long as the statement is not false or misleading.

A violation of this Standard may be punished by public reprimand.

Standard 19.
A lawyer may state, announce or hold himself out as limiting his practice to a particular area or field of law so long as his communication of such limitation of practice is not false, fraudulent, deceptive or misleading.

A violation of this standard may be punished by a public reprimand.

Standard 20.
A lawyer shall not divide a fee for legal services with another lawyer who is not a partner in or associate of his law firm or law office, unless:
(a)  the client consents to employment of the other lawyer after a full disclosure that a division of fees will be made;
(b)  the division is made in proportion to the services performed and responsibility assumed by each;
(c)  the total fee of the lawyers does not clearly exceed reasonable compensation for all legal services they rendered the client.
(d)  This disciplinary standard does not prohibit payment to a former partner or associate pursuant to a separation or retirement agreement.

A violation of this standard may be punished by a public reprimand.

Standard 21.
A lawyer representing a client before a tribunal, with its permission if required by its rules, shall withdraw from employment and a lawyer representing a client in other matters shall withdraw from employment, if he is discharged by his client.

A violation of this standard may be punished by a public reprimand.

Standard 22.
Withdrawal in general:
(a)  if permission for withdrawal from employment is required by the rules of a tribunal, a lawyer shall not withdraw from employment in a proceeding before that tribunal without its permission.
(b)  In any event a lawyer shall not withdraw from employment until he has taken reasonable steps to avoid foreseeable prejudice to the rights of his client, including giving due notice to his client, allowing time for employment of other counsel, delivering to the client all papers and property to which the client is entitled and complying with applicable laws and rules.

A violation of this standard may be punished by a public reprimand.

Standard 23.
A lawyer who withdraws from employment shall refund promptly any part of a fee paid in advance that has not been earned.

A violation of this standard may be punished by a public reprimand.

Standard 24.
A lawyer shall not aid a non-lawyer in the unauthorized practice of law.

A violation of this standard may be punished by a public reprimand.

Standard 25.
A lawyer shall not practice law in a jurisdiction where to do so would be in violation of regulations of the profession in that jurisdiction.

A violation of this standard may be punished by a public reprimand.

Standard 26.
A lawyer or law firm shall not share legal fees with a non-lawyer, except that:
(a)  an agreement by a lawyer with his firm, partner, or associate may provide for the payment of money, over a reasonable period of time after his death, to his estate or to one or more specified persons.
(b)  a lawyer who undertakes to complete unfinished legal business of a deceased lawyer may pay to the estate of the deceased lawyer that proportion of the total compensation which fairly represents the services rendered by the deceased lawyer.
(c)  a lawyer or law firm may include non-lawyer employees in a retirement plan, even though the plan is based in whole or in part on a profit sharing agreement.

A violation of this standard may be punished by disbarment.

Standard 27.
A lawyer shall not form a partnership with a non-lawyer if any of the activities of the partnership consist of the practice of law.

A violation of this standard may be punished by disbarment.

Standard 28.
A lawyer may not reveal the confidence and secrets of a client.
(a)  Except when permitted under Standard 28(b) below, a lawyer shall not knowingly:

 

  (1) use a confidence or secret of his client to the disadvantage of his client;
  (2) use a confidence or secret of his client for the advantage of himself or of a third person, unless the client consents after full disclosure.

(b)  A lawyer may reveal:

 

  (1)  confidences or secrets with the consent of the client or clients affected, but only after a full disclosure to them;
  (2)  confidences or secrets when permitted under disciplinary rules or required by law or court order;
  (3)  the intention of his client to commit a crime and the information necessary to prevent the crime;
  (4)  confidences or secrets necessary to establish or collect his fee or to defend himself or his employees or associates against an accusation of  wrongful conduct.

(c) "Confidence" refers to information protected by the attorney-client privilege under an applicable law, and "secret" refers to other information gained in the professional relationship that the client has requested to be held inviolate or the disclosure of which would be embarrassing or would likely be detrimental to the client.

A violation of this standard may be punished by disbarment.

Standard 29.
A lawyer shall exercise reasonable care to prevent his employees, associates, and others whose services are utilized by him from disclosing or using confidences or secrets of a client, except that a lawyer may reveal the information allowed by Standard 28(b) through an employee.

A violation of this standard may be punished by disbarment.

Standard 30.
Except with the written consent or written notice to his client after full disclosure a lawyer shall not accept or continue employment if the exercise of his professional judgment on behalf of his client will be or reasonably may be affected by his own financial, business, property or personal interests.

A violation of this standard may be punished by disbarment.

Standard 31.
(a)  A lawyer shall not enter into an agreement for, charge, or collect an illegal or clearly excessive fee.
(b)  A fee is clearly excessive when, after a review of the facts, a lawyer of ordinary prudence would be left with a definite and firm conviction that the fee is in excess of a reasonable fee. Factors to be considered as guides in determining the reasonableness of a fee include the following:

 

  (1) The time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly.
  (2) The likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer.
  (3) The fee customarily charged in the locality for similar legal services.
  (4) The amount involved and the results obtained.
  (5) The time limitations imposed by the client or by the circumstances.
  (6) The nature and length of the professional relationship with the client.
  (7) The experience, reputation, and ability of the lawyer or lawyers performing the services.
  (8) Whether the fee is fixed or contingent.

(c) A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of litigation the lawyer is conducting for a client, except that the lawyer may:

 

  (1)   subject to the requirements of Standard 22(b), acquire a lien granted by law to secure his fee or expenses;
  (2)  contract with a client for a reasonable contingent fee in a civil matter.

(d) Except as prohibited by paragraph (a) of this Standard or by other law, a lawyer may accept a retainer or enter an agreement for compensation for services rendered or to be rendered in an action, claim or proceeding, whereby the lawyer's compensation is to be dependent or contingent in whole or in part upon the successful prosecution or settlement thereof.

 

  (1)   Such a contingent fee agreement shall be in writing and shall state the method by which the fee is to be determined, including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal, whether litigation and other expenses are to be deducted from the recovery, and whether such expenses are to be deducted before or after the contingent fee is calculated.
  (2) Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the following:

 

   

     

(i)  the outcome of the matter; and,
      (ii)  if there is a recovery:

     

      (aa)  the remittance to the client;
      (bb)  the method of its determination;
      (cc)  the amount of the attorney fee, and
      (dd)  if the attorney's fee is divided with   another lawyer who is not a partner in or an associate of the lawyer's firm or law office, the     amount of fee received by each and the manner in which the division is determined.

A violation of this standard may be punished by a public reprimand.

Standard 32.
While representing a client in connection with contemplated or pending litigation, a lawyer shall not advance or guarantee financial assistance to his client, except that a lawyer may advance or guarantee the expenses of litigation, including court costs, expenses of investigation, expenses of medical examination, and costs of obtaining and presenting evidence, provided the client remains ultimately liable for such expenses.

A violation of this standard may be punished by a public reprimand.

Standard 33.
A lawyer shall not enter into a business transaction with a client if they have differing interests therein and if the client expects the lawyer to exercise his professional judgment therein for the protection of the client unless the client has consented after full disclosure.

A violation of this standard may be punished by a public reprimand.

Standard 34.
Prior to conclusion of all aspects of the matter giving rise to his employment, a lawyer shall not enter into any arrangement or understanding with a client or a prospective client by which he acquires an interest in publication rights with respect to the subject matter of his employment or proposed employment.

A violation of this standard may be punished by a public reprimand.

Standard 35.
A lawyer shall decline proffered employment if the exercise of his independent professional judgment on behalf of a client will be or is likely to be adversely affected by his representation of another client, except to the extent permitted under Standard 37.

A violation of this standard may be punished by disbarment.

Standard 36.
A lawyer shall not continue multiple employment if the exercise of his independent professional judgment on behalf of a client will be or is likely to be adversely affected by his representation of another client, except to the extent permitted under Standard 37.

A violation of this standard may be punished by disbarment.

Standard 37.
In the situations covered by Standards 35 and 36, a lawyer may represent multiple clients if it is obvious that he can adequately represent the interest of each and if each consents to the representation after full disclosure of the possible effect of such representation on the exercise of his independent professional judgment on behalf of each.

A violation of this standard may be punished by disbarment.

Standard 38.
If a lawyer is required to decline employment or to withdraw from employment under Standards 35, 36, or 37, no partner or associate of his or his firm may acceptor continue such employment. A violation of this standard may be punished by disbarment. This rule does not extend to the partners and associates of part time solicitors or judges of a state court when they represent criminal defendants in courts other than the one in which such part time solicitor or judge serves unless an actual conflict of interest is shown.

Standard 39.
A lawyer who represents two or more clients shall not make or participate in the making of an aggregate settlement of the claims of or against his clients, unless each client has consented to the settlement after being advised of the existence and nature of all the claims involved in the proposed settlement, of the total amount of the settlement, and of the participation of each person in the settlement.

A violation of this standard may be punished by a public reprimand.

Standard 40.
Except with the consent of his client after full disclosure, a lawyer shall not:
(a)  accept compensation for his legal services from one other than his client or the client's representative;
(b)  accept from one other than his client or the client's representative anything of value related to his representation of or his employment by his client.

A violation of this standard may be punished by disbarment.

Standard 41.
A lawyer shall not permit a person who recommends, employs, or pays him to render legal services for another to direct or regulate his professional judgment in rendering such legal services.

A violation of this standard may be punished by disbarment.

Standard 42.
A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for a profit, if:
(a)  a non-lawyer owns any interest therein, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration; or
(b)  a non-lawyer is a corporate director or officer thereof, except that the single practitioner may allow a non-lawyer to serve in the capacity of secretary of his professional corporation so long as that non-lawyer is without power to exercise control of the corporation; or
(c)  a non-lawyer has the right to direct or control the professional judgment of the lawyer.

A violation of this standard may be punished by disbarment.

Standard 43.
A lawyer shall not handle a matter which he knows or should know that he is clearly incompetent to handle without associating with him a lawyer whom he reasonably believes to be competent to handle it.

A violation of this standard may be punished by disbarment.

Standard 44.
A lawyer shall not without just cause to the detriment of his client in effect willfully abandon or willfully disregard a legal matter entrusted to him.

A violation of this standard may be punished by disbarment.

Standard 45.
In his representation of a client, a lawyer shall not:
(a)  knowingly use perjured testimony or false evidence;
(b)  knowingly make a false statement of law or fact;
(c)  participate in the creation or preservation of evidence when he knows or it is obvious that the evidence is false;
(d)  counsel or assist his client in conduct that the lawyer knows to be illegal or fraudulent;
(e)  knowingly engage in other illegal conduct or conduct contrary to a disciplinary rule;
(f)  institute, cause to be instituted or settle a legal proceeding or claim without obtaining proper authorization from his client.

A violation of this standard may be punished by disbarment.

Standard 46.
In his representation of a client, a lawyer shall not conceal or knowingly fail to disclose that which he is required by law to reveal.

A violation of this standard may be punished by a public reprimand.

Standard 47.
During the course of his representation of a client, a lawyer shall not communicate or cause another to communicate on the subject of the representation with a party he knows to be represented by a lawyer in that matter unless he has the prior written consent of the lawyer representing such other party or is authorized by law to do so.

A violation of this standard may be punished by a public reprimand.

Standard 48.
During the course of his representation of a client, a lawyer shall not give advice to a person who is not represented by a lawyer, other than the advice to secure counsel, if the interests of such person are or have a reasonable possibility of being in conflict with the interests of his client.

A violation of this standard may be punished by a public reprimand.

Standard 49.
A lawyer shall not present, participate in presenting or threaten to present criminal charges solely to obtain an advantage in a civil matter.

A violation of this standard may be punished by a public reprimand.

Standard 50.
In presenting a matter to a court or tribunal a lawyer shall not engage in undignified, discourteous or disruptive conduct which is degrading to the court or tribunal.

A violation of this standard may be punished by a public reprimand.

Standard 51.
Before the trial of a case a lawyer connected therewith shall not communicate with or cause another to communicate with anyone he knows to be a member of the venire from which the jury will be selected for the trial of the case with the intent to influence the outcome of the case.

A violation of this standard may be punished by disbarment.

Standard 52.
During the trial of a case a lawyer connected therewith shall not communicate with, or cause another to communicate with, any member of the jury, except in the course of official proceedings.

A violation of this standard may be punished by disbarment.

Standard 53.
After discharge of the jury from further consideration of a case with which the lawyer was connected, the lawyer shall not ask questions of or make comments to a member of that jury that are calculated to harass or embarrass the juror or to influence his actions in further jury service.

A violation of this standard may be punished by a public reprimand.

Standard 54.
A lawyer shall not conduct or cause, by financial support or otherwise, another to conduct a vexatious or harassing investigation of either venireman or juror.

A violation of this standard may be punished by a public reprimand.

Standard 55.
A lawyer shall reveal promptly to the court improper conduct by a venireman or a juror or a member of his family, of which the lawyer has knowledge.

A violation of this standard may be punished by a public reprimand.

Standard 56.
A lawyer shall not suppress any evidence that he or his client has a legal obligation to reveal or produce.

A violation of this standard may be punished by disbarment.

Standard 57.
A lawyer shall not advise or cause a person to secrete himself or to leave the jurisdiction of a tribunal for the purpose of making him unavailable as a witness therein.

A violation of this standard may be punished by disbarment.

Standard 58.
A lawyer shall not pay, offer to pay, or acquiesce in the payment of compensation to a witness contingent upon the content of his testimony or the outcome of the case. But a lawyer may advance, guarantee, or acquiesce in the payment of:
(a) expenses reasonably incurred by a witness in attending or testifying;
(b) reasonable compensation to a witness for his loss of time in attending or testifying;
(c) a reasonable fee for the professional services of an expert witness.

A violation of this standard may be punished by disbarment.

Standard 59.
A lawyer shall not give or lend anything of value to an official, or employee of a tribunal for the purpose of influencing improperly any decision or official action.

A violation of this standard may be punished by disbarment.

Standard 60.
In an adversary proceeding, a lawyer shall not initiate communication or cause another to initiate communication as to the merits of the cause with a judge or an official before whom the proceeding is pending, except:
(a)  in the course of official proceedings in the cause;
(b)  in writing if he simultaneously delivers a copy of the writing to opposing counsel or to the adverse party if he is not represented by an attorney;
(c)  orally upon adequate notice to opposing counsel or to the adverse party if he is not represented by an attorney;
(d)  as otherwise authorized by law or by the Code of Judicial Conduct.

A violation of this standard may be punished by a public reprimand.

Standard 61.
A lawyer shall promptly notify a client of the receipt of his funds, securities or other properties and shall promptly deliver such funds, securities or other properties to the client.

A violation of this standard may be punished by disbarment.

Standard 62.
A lawyer shall identify and label funds, securities and other properties of a client promptly upon receipt and place them in a safe deposit box or other place of safekeeping as soon as practicable.

A violation of this standard may be punished by disbarment.

Standard 63.
A lawyer shall maintain complete records of all funds, securities, and other properties of a client coming into the possession of the lawyer and promptly render appropriate accounts to his client regarding them.

A violation of this standard may be punished by disbarment.

Standard 64.
A lawyer shall not fail to pay any final judgment or rule absolute rendered against such lawyer for money collected by him as a lawyer within ten (10) days after the time appointed in the order or judgment. In such cases the record of the judgment is conclusive evidence unless obtained without valid service of process.

A violation of this standard may be punished by disbarment.

Standard 65.
(A)  A lawyer shall not commingle his client's funds with his own, and shall not fail to account for trust property, including money and interest paid on the client's money, if any, held in any fiduciary capacity.
(B)  No later than July 1, 1991 (unless a lawyer has elected to exempt some or all of his accounts as provided in subparagraph (C) below), all client's funds shall be placed in either an interest-bearing account with the interest being paid to the client or an interest-bearing (IOLTA) account with the interest being paid to the Georgia Bar Foundation as hereinafter provided.

 

  (1)   With respect to funds which are not nominal in amount, or are not to be held for a short period of  time, a lawyer shall, with or without notice to his clients, create and maintain an interest-bearing trust account with any bank, credit union or savings and loan association which is authorized by federal or state law to do business in Georgia and which is federally insured, with the interest to be paid to the client. No earnings from such an account shall be made available to a lawyer or law firm.
  (2)  With respect to funds which are nominal in amount or are to be held for a short period of time, a lawyer shall, with or without notice to the client, create and maintain an interest-bearing, government insured trust account (IOLTA) in  compliance with the following provisions:

 

   

    (a) No earnings from such an IOLTA account shall be made available to a lawyer or law firm;
    (b) The account shall include all clients' fund which are nominal in amount or which are to be held for a short period of time;
    (c) An interest-bearing trust account may be established with any bank, credit union or savings and loan association authorized by federal or state law to do business in Georgia and federally insured. Funds in each interest-bearing trust account shall be subject to withdrawal upon request and without delay.
    (d) The rate of interest payable on any interest-bearing trust account shall not be less than the rate paid by the depositor institution to regular, non-lawyer depositors. Higher rates offered by the institution to customers whose deposits exceed certain time or quantity minima, such as those offered in the form of certificates of deposit, may be obtained by a lawyer or law firm on some or all of the deposit funds so long as there is no impairment of the right to withdraw or transfer principal immediately.
    (e) Lawyers or law firms shall direct the depository institution:

   

     

      (i) to remit to the Georgia Bar Foundation interest or dividends, net of any charges or fees on that account, on the average monthly balance in that account, or as otherwise computed in accordance with a financial institution's standard accounting practice, at least quarterly. Any bank fees or charges in excess of the interest earned on that account for any month shall be paid by the lawyer or law firm in whose names such account appears, if required by the bank;
      (ii) to transmit with each remittance to the Foundation a statement showing the name of the lawyer or law firm for whom the remittance is sent, the rate of interest applied, the average monthly balance against which the interest rate is applied, the service charges or fees applied, and the net interest remittance;
      (iii) to transmit to the depositing lawyer or law firm at the same time a report showing the amount paid to the Foundation, the rate of interest applied, the average account balance of the period for which the report is made, and such other information provided to non-lawyer customers with similar accounts.

   

   

    (3) No charge of ethical impropriety or other breach of professional conduct shall attend the determination that such funds are nominal in amount or to be held for a short period of time, or to the decision to invest clients' funds in a pooled interest-bearing account.
    (4)  Whether the funds are designated short-term or nominal or not, a lawyer or law firm may elect to remit all interest earned, or interest earned net of charges, to his client or clients.

 

(C)  If an election not to participate in the program is submitted in accordance with the procedure set forth in this paragraph, a lawyer may elect not to maintain some or all of his escrow accounts in accordance with paragraph (B) of this rule until July 1, 1991. The lawyer must prior to July 1, 1990, make such election on a Notice of Election form provided by the Georgia Bar Foundation. A lawyer admitted into the Georgia Bar after July 1, 1990, but prior to July 1, 1991, who elects not to maintain such an account shall submit an appropriate Notice of Election within thirty days after admission into the Bar. If a Notice of Election is not submitted within the applicable time, the lawyer shall be required to maintain the account(s) described in paragraph (b) of this standard no later than July 1, 1990. This subparagraph (C) shall become null and void on July 1, 1991.
(D) Every lawyer who practices law in Georgia, whether said lawyer practices as a sole practitioner, or as a member of a firm, association, or professional corporation, and who receives money or property on behalf of a client or in any other fiduciary capacity, shall maintain or have available a trust account as required by Standards 65.1 and 65.2. All funds held by a lawyer for a client and all funds held by a lawyer in any other fiduciary capacity shall be deposited in and administered from such account. No personal funds of a lawyer shall ever be deposited in a trust account, except (1) unearned attorney's fees held until earned, and (2) sufficient funds held to cover maintenance fees such as service charges on the account. Records on such trust accounts shall be so kept and maintained as to reflect at all times the exact balance held for each client or other fiduciary. No funds shall be withdrawn from such trust account for the personal use of the lawyer maintaining the account except earned attorney's fees debited against the account of a specific client and recorded as such.
A violation of paragraphs (A) or (D) of this standard may be punished by disbarment and a violation of paragraphs (B) or (C) of this standard may be punished by public reprimand.

Standard 65.1. Required Bank Accounts.
Every lawyer who practices law in Georgia and who receives money or other property on behalf of a client or in any other fiduciary capacity shall maintain, in an approved financial institution in Georgia as defined in Standard 65.3(a), in the name of the lawyer or law firm, a trust account or accounts, separate from any business and personal accounts, into which funds received by the lawyer on behalf of a client or in any other fiduciary capacity shall be deposited.

A violation of this standard may be punished by disbarment.

Standard 65.2. Description of Accounts.
(a)  A lawyer shall designate all trust accounts, whether general or specific, as well as all deposit slips and checks drawn thereon, as either an"Attorney Trust Account," "Attorney Escrow Account" or "Attorney Fiduciary Account."
(b)  A lawyer shall designate all business accounts, as well as all deposit slips and all checks drawn thereon, as a "Business Account," a "Professional Account," an "Office Account," a "General Account," a "Payroll Account" or a "Regular Account."
(c)  Nothing in this Standard shall prohibit a lawyer from using any additional description or designation for a specific business or trust account including fiduciary accounts maintained by the lawyer as executor, guardian, trustee, receiver, agent or in any other fiduciary capacity.

A violation of this standard may be punished by public reprimand.

Standard 65.3.
(a)  Approved Institutions.
(i)  A lawyer shall maintain his or her trust account only in Georgia financial institutions approved by the State Bar, which shall annually publish a list of approved institutions. A financial institution shall be approved as a depository for lawyer trust accounts if it abides by an agreement to report to the State Disciplinary Board whenever any properly payable instrument is presented against a lawyer trust account containing insufficient funds, and the instrument is not honored. The agreement shall apply to all branches of the financial institution and shall not be canceled except upon thirty days notice in writing to the State Disciplinary Board. The agreement shall be filed with the Office of General Counsel on a form approved by the State Disciplinary Board. The agreement shall provide that all reports made by the financial institution shall be in writing and shall include the same information customarily forwarded to the depositor when an instrument is presented against insufficient funds.
(ii)  The State Disciplinary Board shall establish procedures for a lawyer or law firm to be excused from the requirements of 65.3(a)(i) above if the lawyer or law firm has its principal office in a county where no bank, credit union, or savings and loan association will agree to comply with the provisions of this Standard.
(b)  Timing of Reports.
(i)  The financial institution shall file a report with the Office of General Counsel of the State Bar of Georgia in every instance where a properly payable instrument is presented against a lawyer trust account containing insufficient funds and said instrument is not honored within three business days of presentation.
(ii)  The report shall be filed with the Office of General Counsel within fifteen days of the date of the presentation of the instrument, even if the instrument is subsequently honored after the three business days provided in (b)(i) above.
(c)  Pursuant to Standard 63.3(a), nothing in this Standard shall preclude a financial institution from charging a particular lawyer or law firm for the reasonable cost of producing the reports and records required by this rule.
(d)  Every lawyer and law firm maintaining a trust account in this State is hereby and shall be conclusively deemed to have consented to the reporting and production requirements mandated by this Standard and shall indemnify and hold harmless each financial institution for its compliance with the aforesaid reporting and production requirements.
The agreement by a financial institution to offer accounts pursuant to this Standard 65.3 shall be a procedure to advise the State Disciplinary Board of conduct by attorneys and shall not be deemed to create a duty to exercise a standard of care or a contract with third parties that may sustain a loss as a result of lawyers overdrawing attorney trust accounts.

A violation of this standard may be punished by disbarment.

Standard 65.4. Availability of Records.
A lawyer shall not fail to produce any of the records required to be maintained by these Standards at the request of the Investigative Panel of the State Disciplinary Board or the Supreme Court. This obligation shall be in addition to and not in lieu of the procedures contained in Part IV of these Rules for the production of documents and evidence.

A violation of this standard may be punished by disbarment.

Standard 65.5. Audit for Cause.
A lawyer shall not fail to submit to an Audit for Cause conducted by the State Disciplinary Board pursuant to Bar Rule 4-110.

A violation of this standard may be punished by disbarment.

Standard 66.
(a)  Conviction of any felony or misdemeanor involving moral turpitude shall be grounds for disbarment.
(b)  For purposes of this standard, conviction shall include:

 

   

    (1) a guilty plea;
    (2) a plea of nolo contendere;
    (3) a verdict of guilty;
    (4) a verdict of guilty but mentally ill; or
    (5) the imposition of first offender probation.

 

(c)  The record of a conviction or disposition in any jurisdiction based upon a guilty plea, a plea of nolo contendere, a verdict of guilty, a verdict of guilty but mentally ill, or upon the imposition of first offender probation shall be conclusive evidence of such conviction or disposition and of infraction of this standard and shall be admissible in proceedings under these disciplinary rules.
(d) This standard shall not be construed to cause any infringement of the existing inherent right of Georgia courts to suspend and disbar lawyers from practice before them based upon a conviction of a crime.

Standard 67.
Disbarment or suspension by another state is a ground for disbarment or suspension in the State of Georgia.

Standard 68.
During the investigation of a complaint filed under these rules, the lawyer complained against shall not fail to respond in accordance with the State Disciplinary Board rules to disciplinary authorities, including members of the State Disciplinary Board and bar counsel.

A violation of this standard may be punished by a public reprimand.

Standard 69.
A lawyer shall not represent a client whose interests are adverse to the interests of a former client of the lawyer in any matter substantially related to the matter in which the lawyer represented the former client unless he has obtained written consent of the former client after full disclosure. The term "client" as used in this Standard shall not include a public agency or public officer or employee when represented by a lawyer who is a full time public official. This provision shall apply retroactively.

A violation of this standard may be punished by disbarment.

Standard 70.
(a)  A lawyer who is a full time public official and represents the State, its agencies, or State officials, is bound by the provisions of the Code of Professional Responsibility.
(b)  No provision of the Code of Professional Responsibility shall be construed to prohibit such lawyer from taking a legal position adverse to the State, its agencies, or officials, when such action is authorized or required by the Constitution or statutes of this State.
(c)  This provision shall apply retroactively.

Standard 71. Responsibilities of a Partner or Supervisory Lawyer.
A lawyer shall be responsible for another lawyer's violation of the Standards of Conduct if:
(a)  the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
(b)  the lawyer is a partner in the law firm in which the other lawyer practices and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action; or
(c)  the lawyer has direct supervisory authority over the other lawyer and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

A violation of this Standard may be punished by disbarment.

Standard 72. Responsibilities of a Subordinate Lawyer.
A lawyer is bound by the Standards of Conduct notwithstanding that the lawyer acted at the direction of another person.

A violation of this Standard may be punished by disbarment.

Standard 73.
A lawyer shall not allow any person who has been suspended or disbarred under Part IV of these Rules and who maintains a presence in an office where the practice of law is conducted by the lawyer, to:
(a) represent himself or herself as a lawyer or person with similar status;
(b) have any contact with the clients of the lawyer either in person, by telephone or in writing; or
(c) have any contact with persons who have legal dealings with the office either in person, by telephone, or in writing.

A violation of this Standard may be punished by disbarment.