Those in the legal industry know being subpoenaed is a routine practice. The Court system may request information from an attorney or law firm for a myriad of reasons. No matter how commonplace, complying with a subpoena is not optional. Attorneys who fail to respond to subpoenas appropriately risk consequences that could impact their careers, reputations and the law firms they represent.

Florida attorney Debbie Rachelle Campbell learned firsthand what could happen by failing to comply with a subpoena. In 2023, Campbell was held in contempt and later suspended for failing to comply with a subpoena for trust account records. Then in 2025, Campbell was disbarred for continuing to practice law while suspended. Campbell failed to respond to the Court’s request for a response and additional information throughout the proceedings. Her situation exemplifies how ignoring a routine practice can quickly develop into a career-altering issue.

Why Compliance Matters

As legal documents issued by the court system, failing to comply with subpoenas could leave attorneys susceptible to fines, disciplinary action and being held in contempt of court. As a result, the law firms they represent could suffer irrevocable reputational damage for employing attorneys who are incapable of complying with routine legal matters. Law firm leadership should develop procedures around responding to subpoenas to ensure everyone at the firm knows who to go to and how to comply. Consider the following:

• Maintain accurate records: To respond to subpoenas effectively, law firms must maintain accurate, up-to-date and accessible records. Law firms should employ meticulous record-keeping processes so attorneys and law firm staff can access necessary information in a timely manner.
• Establish clear subpoena procedures: As a routine practice, law firms should have systems in place that clearly outline how to address subpoenas from the moment a request comes in, through to fulfillment. All staff should be regularly trained regarding the law firm’s procedures, legal compliance requirements and ethical obligations to limit any misunderstandings.
• Secure adequate insurance: A law firm should be equipped with lawyer professional liability insurance (LPLI) that includes subpoena assistance coverage. In some cases, subpoena specific coverage will be an add-on to a law firm’s LPLI policy. Subpoena assistance coverage will financially assist a firm with legal fees and lost wages when responding to and complying with a subpoena.

Subpoenas should never be left ignored, no matter how much stress it may place on an attorney and law firm. With clear procedures in place and an emphasis from law firm leadership on subpoena compliance, law firms can ensure their attorneys’ careers and the firm’s reputation remain intact. Visit https://firstindemnity.net/insurance-products/professional-liability/ to learn more about First Indemnity’s professional liability and subpoena assistance insurance coverage.

In a busy law firm, attorneys are often focused on winning cases and serving clients, but seamless operations depend on efficient administrative management. Overlooking these essential tasks can have severe consequences, whether in the form of missed deadlines, disorganized records or negligent communication. In the end, firms and attorneys could find themselves dealing with malpractice claims, bar complaints, financial instability and more.

Take for example Ohio attorney Joseph Westmeyer, who learned this lesson firsthand when his mismanagement of a client trust account resulted in missed deadlines, poor client communication and ultimately, an 18-month suspension of his law license. His failure to prioritize administrative duties not only disrupted his clients’ cases but also led to charges of professional misconduct. His case demonstrates how administrative failures can put firms, attorneys and clients at risk.

The Cost of Administrative Neglect

In a fast-paced legal environment, it’s easy to prioritize casework over back-office operations. But overlooking administrative tasks can lead to significant problems. Missed deadlines can have severe legal repercussions, causing cases to be dismissed, adversely impacting clients and potentially leading to malpractice claims. Further, poor client communication and disorganized records can leave clients feeling abandoned, prompting bar complaints and professional misconduct accusations.

Regulatory compliance is another critical area where neglect can have consequences. Law firms must adhere to strict rules around casework or document retention and failing to comply can result in penalties and reputational damage. Additionally, financial mismanagement, whether due to inconsistent billing, uncollected payments or accounting errors, can put a firm’s financial health in jeopardy and even lead to ethical violations. Administrative tasks may seem mundane, but they are vital to the overall success and stability of a law firm.

Keeping Your Firm Running Smoothly

Strong administrative practices are the backbone of a successful law firm. Implementing efficient systems and utilizing the right tools can prevent costly mistakes and help ensure operations run seamlessly. Consider the following:

• Implement Strong Administrative Procedures: Establishing clear office procedures for case management, billing and communication ensures consistency and eliminates confusion. Regular internal audits of client files, billing records and compliance measures can help identify and correct potential issues before they escalate.
• Utilize Technology and Delegation: Leveraging technology such as case management software, digital calendars and secure client portals can help firms track deadlines and keep documents organized. Hiring trained staff or outsourcing specific tasks can prevent critical functions from being overlooked, while setting clear expectations for attorneys and support staff ensures efficient workload distribution.
• Secure the Right Insurance Coverage: A robust professional liability policy can protect firms from claims due to mismanaged case files, missed deadlines or clerical errors. An insurance provider specializing in the legal industry can be an invaluable resource to ensure firms have the appropriate policies in place to mitigate potential liabilities related to administrative duties.

Staying Ahead of Trouble

Taking a proactive approach to administrative functions in a law firm is not only a good practice; it is a must. By prioritizing administrative organization, leveraging technology and maintaining adequate insurance coverage, firms can prevent costly mistakes, safeguard their reputation and better position themselves for long-term stability and success. To learn more about First Indemnity’s professional liability insurance offerings, visit https://firstindemnity.net/insurance-products/professional-liability/. 

Attorneys are trained to be intensely focused, approach their cases with precision and effectively juggle the many roles and responsibilities required of the job, not to mention their personal lives. Still, even the sharpest legal minds can succumb to the devastating effects of addiction. Many attorneys struggle silently as they navigate demanding caseloads, high-pressure environments and the relentless expectation to perform. In too many cases, many attorneys choose to self-medicate in a flawed effort to manage it all, and in the process find themselves victimized by their own addictions that can run the gamut. However, law firms cannot ignore the risks addiction poses to their operations, reputations and clients.

An Invisible Crisis

Examples of addiction in the legal profession are far too common. In South Carolina, one attorney was disbarred after misappropriating client funds to fuel a gambling addiction. His actions not only destroyed his career but also left former clients scrambling to recover their financial losses. In another case, a Pennsylvania attorney faced suspension after claiming his cocaine use actually enhanced his professional performance. While unusual, his defense highlighted a deeper problem—many lawyers who turn to substances to maintain demanding workloads genuinely believe they enhance their performance.

An attorney struggling with addiction can quickly put their law firm at significant risk. Impaired lawyers are more likely to miss deadlines, make critical legal errors and violate ethical standards, opening the door to malpractice claims. Law firm leaders who fail to recognize and address the warning signs of addiction not only jeopardize their financial stability but also risk severe reputational damage.

What Law Firms Can Do

To mitigate the risks associated with addiction, law firms should take proactive and preventive measures, including:

• Implementing regular check-ins: Conduct scheduled one-on-one meetings to assess attorneys’ stress levels, workload balance and overall well-being. These check-ins should allow legal professionals to voice concerns without fear of judgment.
• Fostering a culture of transparency: Establish an environment where attorneys feel safe discussing mental health challenges and seeking help without fear of stigma or professional repercussions, within reason. Open dialogue can encourage early intervention before problems escalate.
• Providing access to confidential Lawyer Assistance Programs: Ensure attorneys have direct access to professional support services that specialize in addiction treatment, mental health counseling and recovery resources tailored to legal professionals. Resources can be found on state specific Bar Association websites.
• Developing comprehensive wellness initiatives: Promote work-life balance by offering stress management programs, flexible work arrangements and policies that prioritize mental health alongside professional performance.
• Training your team: Tackling the issue of addiction in law firms should be a team effort. Educate attorneys on recognizing the early warning signs of substance abuse and equip them with strategies to intervene effectively and ethically.

By adopting a proactive approach, law firms can help attorneys seek treatment before their careers and clients suffer the consequences. An insurance professional specializing in the legal industry can assist firm leaders in understanding the risks associated with addiction, mitigation strategies, resources and coverage options that help safeguard their operations. To learn more about First Indemnity’s Professional Liability Insurance offerings, visit https://firstindemnity.net/insurance-products/professional-liability/. 

The value of a well-timed client referral is unmistakable, especially for fast-growing law firms. However, lawyers who prioritize financial gain over their client’s best interests with referrals can cause considerable damage to themselves, their firm and the legal profession.

We saw this play out last year when the Missouri Supreme Court suspended the license of Kansas City lawyer Todd Agron for violating multiple rules of professional conduct, including alleged involvement in a referral scheme. Court documents indicate Agron paid nearly $77,000 to runners who worked on behalf of a referral service. They also allege Agron solicited another attorney’s client.

Weighing the potential pitfalls

While Agron had his license suspended, unethical referrals can create additional consequences, including reprimands, significant fines and even disbarment. Additionally, they can trigger a never-ending cascade of fee disputes among attorneys. Perhaps most importantly, improper referrals accentuate many of the negative stereotypes about lawyers, further betraying confidence with clients and the public at large.

To mitigate these risks, law firms must maintain the highest ethical referral standards in accordance with the ABA Model Rules of Professional Conduct. Above all, lawyers must ensure referrals are made with their clients’ best interest in mind, emphasizing transparency and accountability at every step. Certain practices, such as soliciting another attorney’s client or sharing legal fees with non-lawyers, must be avoided at all costs.

Hardwiring ethical referral obligations into professional practice

Properly managing and vetting referrals requires continuous rigor. Consider the following four ways firms can commit themselves to the highest standards of professional respect and fairness:

• Create clear guardrails around referrals. Establish detailed, written referral policies that document the firm’s criteria for selecting referrals, its procedures for obtaining informed consent from clients, and its methods for tracking referrals.
• Perform due diligence. Assess the competence, experience and ethics of any attorneys to whom clients are referred so you’re confident they will act in your client’s best interests.
• Document every step. Track and maintain records of all referrals, including client consent forms and compensation received.
• Perform routine referral reviews. Evaluate your processes at least annually and update them to ensure they comply with any changes in ABA or State Bar rules.

Defending your firm

Referrals are like any other relationship, which unfortunately means they can turn negative even if firms act with integrity. A professional liability insurance policy can protect firms from claims of malpractice, negligence or client harm resulting from alleged or actual improper practices surrounding referrals. An insurance professional with in-depth knowledge of the legal profession can also provide risk mitigation resources to help firms reduce their risk.

However, while insurance protects a firm financially, it does not absolve attorneys from their ethical obligations. Firms must lead the way by following best practices and maintaining ethical rules with every referral. Learn more about First Indemnity’s Professional Liability Insurance options via https://firstindemnity.net/insurance-products/professional-liability/.

To represent and protect their clients’ best interests, law firms must uphold the strictest ethical standards. Yet while most firms strive to achieve the highest levels of accountability, they sometimes take shortcuts in vetting new attorneys or providing ongoing ethics education. These lapses can negatively impact a firm’s ability to advocate on their clients’ behalf, leading to severe and even dire consequences.

Late last year, Nichole Humes confessed to posing as an attorney with the Dorothy Butler Law Firm in Texas. Over four years, she took payment from at least 20 individuals for legal services she was unqualified to perform. Humes confessed to providing legal advice to clients and negotiating with opposing counsel even though the State Bar of Texas did not list her as a licensed attorney. She was charged with holding oneself as a lawyer, a third-degree felony in Texas, and faced up to 10 years in prison, which was reduced to five years’ probation as part of a plea deal.

Humes’ deceptive actions didn’t just defraud clients and damage the public’s trust in the legal industry. They also created downstream consequences for the firm, which had listed Humes as a senior associate attorney on their website. As a result, the firm’s owner, Dorothy Lawrence, received a two-year probated suspension and a public reprimand from the State Bar of Texas.

Taking a stance for client advocacy

Law firms are entrusted with the responsibility of advocating for their clients. Doing so ensures clients receive fair treatment and ethical representation. By acting with integrity as diligent advocates, law firms create a foundation of trust within their communities.

Conversely, lapses in client advocacy can significantly damage a firm’s reputation and erode credibility. Ethical lapses also open the door for malpractice claims, disciplinary actions and legal penalties, all of which create additional financial and reputational risks for law firms.

Best practices to uphold the highest ethical standards

Firms looking to strengthen their commitment to client advocacy—and avoid lapses in ethics—should implement these three best practices:

• Vet all employees thoroughly. Verify the credentials and qualifications of all job candidates during the hiring process. Ensure all attorneys are licensed to practice in your state. Check for past disciplinary actions. Always ask for and follow up with references provided by job candidates.
• Implement ongoing ethics training. Require all firm employees to take refresher courses on their ethical and client advocacy responsibilities at least annually. Additionally, establish clear policies and procedures for client representation, confidentiality and conflict of interest.
• Create a culture of integrity. Reward and recognize ethical behavior. Show employees what client advocacy looks like by asking lawyers and other staffers to share their success stories.

Ethical lapses can happen at any time, but firms that commit themselves to client advocacy will reduce their risks significantly and secure their good standing in the community. Furthermore, firms that partner with an insurer specializing in protecting law firms can tap into risk management resources and additional advocacy best practices. Learn more about First Indemnity’s Professional Liability Insurance Offerings at https://firstindemnity.net/insurance-products/professional-liability/.

In the legal profession, attorneys often encounter clients in desperate circumstances seeking hope and guidance through a complex and time-consuming legal landscape. Many legal professionals aim to build trusting relationships with these clients, grounded in integrity and a realistic understanding of the law. However, some see these vulnerable situations as opportunities to profit, exploiting clients’ limited knowledge of the legal system. Such deceptive practices pose significant reputational and financial risks to the firms they represent.

Earlier this year, California attorney Aaron Spolin faced 18 disciplinary charges from the California State Bar. Spolin was accused of charging incarcerated individuals and their families to file resentencing requests regardless of meeting the necessary criteria. The law under which he argued these resentencing requests allowed California District Attorneys to recommend the resentencing of nonviolent crimes. The District Attorney’s office later said they would not accept applications from attorneys or the public. Spolin continued to file requests on behalf of several people serving long-term sentences for violent crimes and charging them for his services. In one case, Spolin supposedly directed the family of a man serving a 160-year life sentence for violent crimes to submit a resentencing request without informing them it would likely be denied. The man’s sister was charged over $17,500 for the case. In a similar situation, Spolin charged another family $26,700 for services, even after the LA County District Attorney informed him such request would not be considered.

An attorney like Spolin can garner a reputation as a go-getter, someone willing to pursue unlikely outcomes. But when that attorney is inevitably investigated for ethical violations, law firm leadership will be left to clean up the aftermath. Here are a couple red flags to help protect firms and clients from deceptive practices:

• Promises that Seem Too Good to Be True: Attorneys who boast about quick or unlikely outcomes while constantly attracting new clients may raise a red flag. Law firm leadership should monitor each attorney’s client retention patterns and examine cases where clients leave unsatisfied. A revolving door of clients might indicate questionable practices that warrant further investigation into the attorney’s work.
• The “Lone Wolf” Approach: While an overly popular attorney may signal trouble, so can those who operate in isolation. Attorneys who remain vague or provide minimal detail in case discussions may be attempting to conceal their workloads or intentions. Law firms should implement communication protocols to ensure attorneys transparently report their cases and maintain comprehensive records. Such protocols make it easier to identify those who may be intentionally keeping a low profile.

While preventing deception in law firms is ideal, savvy attorneys may operate undetected by leadership for years. In situations like Spolin’s, a law firm’s legal malpractice insurance would prove ineffective, as the attorney intentionally deceived his clients. To protect against such risks, law firms might consider a crime policy that offers more comprehensive coverage for theft, fraud, forgery and more. An insurance professional who specializes in the legal insurance can be a valuable resource in identifying the need for a commercial crime policy and other coverages to safeguard the firm.

The legal profession is not immune to bad actors who can cause significant problems for both law firms and their clients. Law firms should take proactive steps to foster a culture of transparency, ensuring attorneys are held accountable and that the best interests of clients remain top priorities. By implementing effective risk management strategies and consulting with an insurance expert in the legal space, firms can better ensure all their clients receive fair and effective counsel. For more information on First Indemnity’s Professional Liability Insurance offerings, please visit https://firstindemnity.net/insurance-products/professional-liability/.

Law firms require a team of well-trained law professionals, who are fast learners and prepared to jump right into case work. Leaders and human resources departments invest time and effort into properly vetting and interviewing potential candidates for their teams. Despite their best vetting efforts and the interviewee’s convincing responses, at hire, that promising attorney might not turn out to be the impressive, experienced attorney the team thought they were.

Last year, supposed ex-marine and University of Michigan School of Law alumni Christopher “Rich” Miller-Williams applied to a law firm in California claiming an impressive legal background. He was hired with a salary of $250,000. Shortly after receiving his offer, Miller-Williams was arrested by federal agents, who revealed his real name as Richard Louis Crosby III. Crosby pleaded guilty to three counts of Social Security fraud, using his father’s and girlfriend’s information as well as that of deceased people. For about two years, Crosby committed crimes to practice law in D.C. and three states. He was indeed a law-graduate and at one point in good standing with the Ohio State Bar Association, however he was disbarred after being indicted and charged for stealing client funds. Crosby’s guilty plea includes an agreement to pay over $170,000 in restitution and a prison sentence recommendation of 37 months.

Before landing the job in California, Crosby was turned down by multiple law firms who wisely recognized Crosby’s use of false identities and discrepancies in his credentials prior to hiring him. If federal agents had not found Crosby first, the law firm team that did hire him could have opened themselves up to serious lawsuits and reputational damage. To prevent such situations, law firm leaders should ensure they have a process for vetting potential attorneys.

Best practices for the hiring vetting process for attorneys should include:

• Verifying credentials: Every aspect of a potential new hire’s credentials should be verified including their educational background, bar status and state specific licenses. While there are some technology tools on the market that can assist with this process, a person should be taking the time to complete verifications to be certain things match up. Any discrepancies identified should be communicated to leadership and considered in the hiring process.
• Checking references: Attorneys should be required to provide references at an early stage in the hiring process and law firms should connect with all of them to understand their relationship with a potential new attorney to your team and how they performed in prior roles. While checking references may seem like a formality, reference checkers may be surprised by what information they learn from references who paint a more well-rounded picture of their prospective attorney’s professional past.   
• Conducting skills assessments: Tests thatasses a lawyer’s skills can help law firms ensure the candidate can demonstrate the skillset they present throughout the hiring process. Such tests might include assessments around situational judgement, cognition and logical reasoning.

In the event that a new hire is found to have a questionable background but makes their way onto a law firm’s payroll, firms should be equipped with Lawyers Professional Liability Insurance to help with potential legal fees and other law suit associated costs. It is important to note that insurance will not cover crime-related issues. An insurance professional who specializes in the legal space can be a great resource to ensure your law firm is sufficiently covered, as well as in assisting in your firm’s hiring process to make certain all potential risks are considered.

In law firms’ endeavors to develop their legal dream teams, leaders have to be certain they are bringing on the best legal professionals the industry has to offer. Take some time to consider your law firm’s risk exposures related to the hiring process and how you can best address them. To learn more about First Indemnity’s Lawyers Professional Liability offerings, please visit https://firstindemnity.net/insurance-programs/lawyers/.

The legal industry has a reputation for being a high stakes profession, composed of some of the most mentally strong and intellectually adept legal professionals. It can be easy to overlook the common stressors of everyday life – professional and personal – and their impact on legal professionals considered to be at the top of their game. Complicating matters, many attorneys are reluctant to admit when they are struggling. Law firms that fail to prioritize their attorneys’ mental wellbeing could be placing significant risk on their businesses, not to mention the people driving those businesses.

This past August, attorney Michael Padden was banned from practicing law in Minnesota by the State’s Supreme Court for an extensive background of misconduct. Among Padden’s misconduct, he was found to have forged client signatures, given clients poor legal advice and pocketed client fees. During Padden’s hearings, he claimed to have suffered from depression and post-traumatic stress disorder (PTSD), which the court was unable to consider without proof. While Padden’s mental health struggles could be a valid explanation for some of his behavior, many of the damage done through his misconduct, including to his ability to practice law, could have been avoided if his mental health struggles were better addressed.

Why mental health matters

In a survey of about 2,000 California and Washington D.C. attorneys, The University of Minnesota’s Department of Psychiatry’s Stressed, Lonely, and Overcommitted: Predictors of Lawyer Suicide Risk report revealed attorneys are two times as likely to have suicidal thoughts than other U.S. professionals. Of those who reported having suicidal thoughts, more than 65% of them said their legal profession had been harmful. These issues aren’t new, but society’s willingness to talk about them is. And understanding what is at risk is the first step to addressing mental health support in a professional capacity.

An attorney’s mental health is one of the main drivers of their behavior. It is not uncommon in our industry for highly respected, committed attorneys to fall victim to burnout and begin missing deadlines or offering lackluster counsel. And while some in the legal profession may consider burnout and pressure to be a symptom of the industry, attorneys should not have to struggle silently, leaving their clients underserved and opening themselves and their firms open to malpractice claims.

Developing mental health support strategies

Mental health support in law firms can be a key risk mitigation strategy and crucial to the longevity and well-being of your attorneys. Consider a few of the following mental health support strategies:

• Offer resources: Mental health resources such as therapy or counseling, or subscriptions to wellness apps that can help team members address their stressors and cope are crucial to building beneficial mental health habits. Attorneys who have access to such resources through their law firms may be more inclined to take advantage of them. Each law firm’s resources will vary based on the needs of their attorneys and their input should be considered.
• Discuss warning signs: In most cases, attorneys experience burnout gradually and will exhibit warning signs along the way without noticing. Law firms should train their attorneys for warning signs of mental health concerns such as becoming disengaged, absenteeism or sudden personality shifts to ensure they know how to identify them in themselves as well as their colleagues.
• Encourage open communication: In most professional environments, people are reluctant to talk about their mental health struggles for fear of seeming unreliable or being judged. Law firm leadership should work to develop a culture that encourages their attorneys to be forthcoming about their mental health. Ensure attorneys know how to seek out support, where to speak with someone anonymously if they choose and establish regular check-ins with them.

Should an attorney’s mental state impact their work performance and case work, law firms should be equipped with legal malpractice insurance to minimize any damage to the entire business. Malpractice insurance for attorneys will help with costs related to a malpractice lawsuit, as well as any business interruption costs.  

In a profession that too often requires attorneys to be superheroes, it is time for law firms to begin investing in their mental well-being. In addition to having a team of mentally sound law professionals, law firms will benefit from increased productivity and creative thinking that results from good mental health. Consider teaming up with an insurance professional who specializes in insurance for the legal industry to evaluate how your firm invests in your team’s well-being, how you can improve your efforts and contribute to rewriting the legal profession’s reputation as an industry that recognizes and values mental health.

For more information on Lawyers insurance, click here.

Panic might be the first reaction any lawyer has when faced with an investigation by their state bar association, but that panic could be what puts them in hotter water if it leads them to mishandle a complaint.

In 2022, Florida lawyer Matt Shirk was suspended for one year with proof of rehabilitation for inappropriate workplace behavior. During his suspension, Shirk filed immigration documents. Perhaps out of panic, he later claimed to have forgotten to remove his name from three client files in a “complete oversight.” As a result, the Florida Supreme Court held Shirk in contempt and disbarred him earlier this year.

Shirk’s scenario is a perfect example of how a far-from-ideal situation can get even worse if an attorney continues to practice while disciplined, whether inadvertently or not. A disciplined attorney can cause reputational damage to the firms they represent, not to mention their actions can lead to insurance premium increases. Law firm leadership should ensure their attorneys know how to not only remain calm in the case of a complaint, but also to navigate those complaints and any possibly resulting discipline coming down to protect their careers and the entire business.

Preparing for the worst

A complaint made against an attorney, or an investigation is no reason to panic, but law firms should ensure their attorneys are prepared to handle it correctly. Situations like Shirk’s demonstrate how serious the courts take alleged attorney malfeasance during a period of discipline and the need for law firms to prepare their attorneys.

• Educate attorneys: Attorneys should be familiar with the American Bar Association’s (ABA) Model Rules of Professional Conduct including Rule 27 which outlines the Model Rules for Lawyer Disciplinary Enforcement. While requirements might vary by state, Rule 27 explains who must be notified, the duty to maintain records, returning client property, withdrawing representation and more. Attorneys should also understand how the firm approaches disciplinary action and the protocols they will be required to follow should they fall into that situation.
• Keep open lines of communication: Fostering a communicative environment can encourage attorneys to be forthcoming when they have an issue, especially one that could impact the firm. Leadership should work to establish an environment that gives attorneys space to ask questions, collaborate with colleagues and air grievances. Similarly, leadership should maintain a line of communication with an insurance professional who specializes in the legal industry, especially when discipline does happen, to mitigate any impact it can have on insurance premium costs.
• Never turn a blind eye: When law firm leadership is made aware of a complaint,they should make certain they follow up with their attorney on the status of the investigation. In some cases, an attorney may not be permitted to practice law during an investigation. Law firm leadership should stay aware of their attorney’s Bar status. If they are not to be practicing law because of an investigation, suspension or disbarment, leadership should monitor any work completed to transfer or wrap up cases.

Looming disciplinary action can bring a dark cloud of doubt around an attorney, pushing them to panic and act against their best interest and their firms. Law firm leaders should prioritize helping their attorneys understand the disciplinary process, how to navigate it and what risks could be associated if they mishandle complaints.

A successful, trusted attorney partner is an invaluable asset to a law firm. But with that title, comes power and great responsibility. And if law firm leadership does not carefully consider potential partners and hold them accountable for unacceptable actions, they could be putting their businesses at risk.

Chicago attorney James Rollins was disbarred by the Missouri Supreme Court after deceiving his law firm partners. Rollins falsified documents to claim he paid more than $80,000 in expenses toward his $100,000 contribution for partial firm ownership when in reality, he only paid about $18,000. When he was confronted by his partners, he admitted to his actions and paid his full contribution. Despite making good with the firm financially, Rollins went before the Illinois Supreme Court, which suspended him for 5 months in October 2023.

Not only could Rollins have been subjected to criminal charges, he could have also been the source of financial hardships on the firm, adversely impacting his partners and team members. Rollins’ example demonstrates why law firm leadership cannot depend on trust alone with their partners. They must appoint partners carefully and develop practical checks and balances to maintain accurate records and hold them accountable for their actions.

Insurance implications

Unfortunately, in situations involving a deceptive partner, there is little an insurance policy can do to make the firm whole again when it all comes to a head. In fact, in some cases, if a partner knowingly commits illegal or deceptive acts, the insurance policy can become invalid. In Rollins matter, he was suspended and disbarred, but had he not paid back his law firm, the firm likely would have had to absorb the loss.

Holding your partners accountable

While some accountability measures may seem unnecessary or monotonous, law firms operate and succeed on the work of their partners – keeping accurate financial records, managing their teams and more. Consider the following best practices to choose a partner you can trust:

• Be selective: While a charismatic partner might seem like the right choice at first, law firm leadership should never tap a new partner without conducting proper due diligence. Partners should be chosen based on their expertise, track record, references, understanding of law and much more.
• Implement protocols: Law firms should have protocols in place that require case work checks, regular bookkeeping reconciliation and document verification. In matters like that of Rollins, for example, reconciliation would have identified any financial discrepancies and stronger document verification processes would have prevented Rollins from submitting false receipts or checks. An insurance professional who specializes in the legal industry can help law firm leadership develop effective protocols, that consider the firm’s insurance coverage.
• Prioritize communication: Communication across law firms can help provide comprehensive checks and balances. Leadership should prioritize regular communication through planned meetings, as well as through casual check-ins during the workday. In an environment that fosters communication, team members from the top down are also more likely to report possible discrepancies.

A good system of checks and balances for a law firm can reduce occurrences of deception, both deterring people from engaging in malicious activity and quickly identifying it when it happens. Consider partnering with an insurance professional who specializes in the legal industry to help evaluate your partner selection process and to help develop protocols that hold partners accountable for their actions and keep the firm out of trouble.