KBA Attorney discipline statistics

Supreme Court of Kentucky / Kentucky Bar Association
Disciplinary Statistical Comparison
Total for Prior Fiscal Years Compared to Total of FY 2012-2013
FY
06-07
FY
07-08
FY
08-09
FY
09-10
FY
10-11
FY
11-12
FY
12-13
I.
A.
1,297 1,285 1,199 1,223 1,075 1,160 1,057
B.
Complaints authorized* 26 60 74 69 64 54 68
Investigations authorized 46 60 61 69 62 51 55
1,369 1,405 1,334 1,361 1,201 1,265 1,180
Disciplinary Intake Statistics
Complaints received by KBA and reviewed by Bar Counsel, pursuant to
SCR 3.160
Disciplinary cases initiated by Inquiry Commission, based upon
information presented by Bar Counsel, pursuant to SCR 3.160(2)
NUMBER OF COMPLAINTS RECEIVED AND INVESTIGATIONS
OPENED AT END OF EACH PERIOD
* Certain of these Complaints arose from Investigative Files
Prepared by the Kentucky Bar Association’s Office of Bar Counsel June 30, 2013Supreme Court of Kentucky / Kentucky Bar Association
Disciplinary Statistical Comparison
Total for Prior Fiscal Years Compared to Total of FY 2012-2013
FY
06-07
FY
07-08
FY
08-09
FY
09-10
FY
10-11
FY
11-12
FY
12-13
II.
A. 376 396 346 252 140 234 226
B. Closures by OBC through diversion or informal
resolution under SCR 3.160(3)(C) or which were
declined under SCR 3.160(3)(
E).^
466 538 694 779 632 668 682
C. Complaints dismissed by Inquiry Commission,
pursuant to SCR 3.170, including conditional
dismissals and warning letters. Also includes closed
Investigative files as well as those closed due to death
or disbarment in other cases. †
361 288 181 149 228 286 228
D. Private Admonitions authorized by Inquiry
Commission, pursuant to SCR 3.185, including
conditional Private Admonitions.
49 43 25 52 31 45 64
E. Supreme Court Renditions (disbarment, suspension,
reprimand, and dismissed) 64 136 101 74 84 101 133
1,316 1,401 1,347 1,306 1,115 1,334 1,333
Disciplinary Disposition Statistics
Complaints returned as insufficient, pursuant to SCR
3.160
NUMBER OF DISCIPLINARY FILES CLOSED AT END OF
EACH PERIOD
† Years prior to 2010-2011 did not include the closed Investigative files, nor those closed due to death or disbarment.
^ Years prior to 06-07 represent cases dismissed by the Chair without investigation. In 07-08, a few complaints were still under that category. Also, the totals
from 04-05 through 07-08 include Client Assistance Diversion (CAP) dismissals which were counted separately in previous years. CAP dismissals were
phased out on April 1, 2007 with the adoption of the diversion program.
Prepared by the Kentucky Bar Association’s Office of Bar Counsel June 30, 2013PERCENTAGE OF LAWYERS IN KENTUCKY WITH DISCIPLINARY CASES AGAINST THEM
FY06-07 to FY12-13
Complaints Filed Against Lawyers Licensed to Practice in Kentucky
06-07 07-08 08-09 09-10 10-11 11-12 12-13^
Lawyers Licensed in the State of Kentucky* 15316 15581 15947 16330 16712 17150 17432
Lawyers With Complaints Filed This Year 695 683 677 751 736 709 688
Lawyers Without Complaints Filed This Year 14621 14898 15271 15579 15976 16441 16744
% of KY Lawyers With Complaints Filed This Year 4.54% 4.38% 4.25% 4.60% 4.40% 4.13% 3.95%
Charges Against Lawyers Licensed to Practice in Kentucky
06-07 07-08 08-09 09-10 10-11 11-12 12-13^
Lawyers Licensed in the State of Kentucky* 15316 15581 15947 16330 16712 17150 17432
Lawyers With Charges Pending 87 105 83 102 88 82 68
Lawyers Without Charges Pending 15229 15476 15864 16228 16624 17068 17364
% of KY Lawyers With Charges Pending 0.57% 0.67% 0.52% 0.62% 0.53% 0.48% 0.39%
% of Lawyers With Charges Pending
Who Have Multiple Char
ges Pendin
g 35.89% 37.14% 36.14% 32.35% 41.00% 41.46% 33.82%
Mean Number of Charges Per Lawyer
Who Have Multiple Char
ges Pendin
g 4.42 3.67 3.97 3.55 3.25 3.65 2.78
* Since the number of lawyers registered to practice in Kentucky changes on an almost daily basis, this number is an average.
^ Approximately 4,381 lawyers included in this figure are licensed to practice in the state of Kentucky, but do not live here.
Prepared by the Kentucky Bar Association’s Office of Bar Counsel June 30, 2013Initial Intake Rule Violations Recorded in Disciplinary Files As Opened
RULE
VIOLATION 06-07 07-08 08-09 09-10 10-11 11-12 12-13
Rule 1.1 Competence 46 77 77 117 67 74 36
Rule 1.3 Diligence 212 304 269 331 316 287 275
Rule 1.4 Communications 168 293 262 349 332 272 273
Rule 1.5 Fees 64 85 80 119 178 119 173
Rule 1.6 Confidentiality of information 14 13 9 15 17 24 17
Rule 1.7-1.9 Conflict of Interest 67 78 68 69 86 70 40
Rule 1.15 Client Property 158 140 180 202 244 226 76
Rule 1.16 Termination 64 75 69 81 48 35 65
Rule 3.1 Meritorious Claims 4 11 7 8 18 5 4
Rule 3.3 Candor 22 22 31 32 57 36 26
Rule 3.4 Fairness to Opposing Party 23 52 39 50 65 41 45
Rule 4.1 Truthfulness 9 21 30 40 21 23 21
Rule 4.2 Communications with Represented Persons 4 5 6 9 12 12 9
Rule 4.3 Dealing with Unrepresented Persons 5200110
Rule 4.4 Respect for Right of 3rd Person 10 23 23 39 25 20 11
Rule 5.3 Responsibility of Non-Lawyer Assistant 0106573
Rule 5.5 Unauthorized Practice 5 7 11 23 26 10 13
Rule 8.1 Candor in Discipline Process 1000125
Rule 8.4(b)* Criminal Conduct 14 11 4 32 34 29 28
Rule 8.4(c)* Dishonest Conduct 62 91 33 74 56 51 44
Other 20 72 142 161 163 148 90
*Effective Jul
y 15, 2009, SCR 3.130 8.3(b) and 8.3(c) were renumbered SCR 3.130 8.4(b) and 8.4(c) without substantive chan
ges.
The alleged Rule Violation with the greatest frequency is highlighted in red.
The next four most frequent alleged Rule Violations are highlighted in gold.
Prepared by the Kentucky Bar Association’s Office of Bar Counsel June 30, 2013Private Admonition Rule Violations in Disciplinary Files as Determined by the Inquiry Commission
RULE
VIOLATION 06-07 07-08 08-09 09-10 10-11 11-12 12-13
Rule 1.1 Competence 3213156
Rule 1.3 Diligence 13 12 7 11 7 13 14
Rule 1.4 Communications 12 10 8 22 8 25 26
Rule 1.5 Fees 1607352
Rule 1.6 Confidentiality of information 1100001
Rule 1.7-1.9 Conflict of Interest 3 4 5 5 4 6 22
Rule 1.15 Client Property 11 354254
Rule 1.16 Termination 9719598
Rule 3.1 Meritorious Claims 0001007
Rule 3.3 Candor 0000107
Rule 3.4 Fairness to Opposing Party 1618421
Rule 4.1 Truthfulness 0001000
Rule 4.2 Communications with Represented Persons 1000030
Rule 4.3 Dealing with Unrepresented Persons 0000000
Rule 4.4 Respect for Right of 3rd Person 2002002
Rule 5.3 Responsibility of Non-Lawyer Assistant 1300210
Rule 5.5 Unauthorized Practice 1006641
Rule 8.1 Candor in Discipline Process 4813625
Rule 8.4(b)* Criminal Conduct 0101115
Rule 8.4(c)* Dishonest Conduct 0053032
Other 4 16 7 5 1 15 11
*Effective July 15, 2009, SCR 3.130 8.3(b) and 8.3(c) were renumbered SCR 3.130 8.4(b) and 8.4(c) without substantive changes
The specified Rule Violation with the greatest frequency is highlighted in red.
The next five most frequent specified Rule Violations are highlighted in gold.
Prepared by the Kentucky Bar Association’s Office of Bar Counsel June 30, 2013Disposition Rule Violations in Disciplinary Files as Determined by the Supreme Court
RULE
VIOLATION 06-07 07-08 08-09 09-10 10-11 11-12 12-13
Rule 1.1 Competence 3564366
Rule 1.3 Diligence 19 27 25 18 19 23 21
Rule 1.4 Communications 26 28 31 19 22 37 41
Rule 1.5 Fees 3 9 10 13 6 8 19
Rule 1.6 Confidentiality of information 0000001
Rule 1.7-1.9 Conflict of Interest 1 3 12 7 8 8 13
Rule 1.15 Client Property 6 17 15 11 15 14 31
Rule 1.16 Termination 12 25 20 15 16 22 23
Rule 3.1 Meritorious Claims 1011001
Rule 3.3 Candor 3 5 3 2 11 7 5
Rule 3.4 Fairness to Opposing Party 6 16 15 15 12 17 18
Rule 4.1 Truthfulness 2111010
Rule 4.2 Communications with Represented Persons 0002000
Rule 4.3 Dealing with Unrepresented Persons 0000000
Rule 4.4 Respect for Right of 3rd Person 2321111
Rule 5.3 Responsibility of Non-Lawyer Assistant 2064025
Rule 5.5 Unauthorized Practice 2 6 6 4 10 11 10
Rule 8.1 Candor in Discipline Process 13 21 25 14 21 25 26
Rule 8.4(b)* Criminal Conduct 5 11 8 4 8 15 17
Rule 8.4(c)* Dishonest Conduct 19 17 13 20 15 25 34
Other 17 14 17 25 8 13 25
*Effective July 15, 2009, SCR 3.130 8.3(b) and 8.3(c) were renumbered SCR 3.130 8.4(b) and 8.4(c) without substantive changes
The specified Rule Violation with the greatest frequency is highlighted in red.
The next five most frequent specified Rule Violations are highlighted in gold.
Prepared by the Kentucky Bar Association’s Office of Bar Counsel

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