Annual Discipline Report
Fiscal Year Ending June 30, 2023
October 23, 2023
ii
Table of Contents
INTRODUCTION ............................................................................................................................... 1
2023 PERFORMANCE HIGHLIGHTS ............................................................................................. 1
PERFORMANCE ............................................................................................................................... 1
Inventory ................................................................................................................................. 1
Case Processing Goals ............................................................................................................. 2
Average Case Processing Time (Days)..................................................................................... 4
Demographics of Disciplined Attorneys ................................................................................. 5
SUMMARY ....................................................................................................................................... 9
STATUTORILY MANDATED REPORTING ........................................................................................ 11
Fiscal year 2023 ......................................................................................................................... 11
Inventory and Case Processing ............................................................................................. 11
Case Inventory and Disposition ............................................................................................ 13
Self-Reported Reportable Actions ........................................................................................ 16
Reportable Actions, Reported by Others .............................................................................. 22
Speed of Complaint Handling ............................................................................................... 29
Formal Disciplinary Filings and Outcomes ............................................................................ 34
Other Matters and Specified Definitions .............................................................................. 36
Unauthorized Practice of Law by Former Attorneys ............................................................ 39
Unauthorized Practice of Law by Nonattorneys ................................................................... 40
Disposition of Felony Convictions & Conviction Transmittals .............................................. 41
Accessibility Demand Letters ................................................................................................ 43
Insurance Fraud .................................................................................................................... 45
Provision of Financial Services by Lawyers ........................................................................... 46
Condition of the Client Security Fund ................................................................................... 47
Cost of the Discipline System ................................................................................................ 74
APPENDIX A: Glossary of Attorney Discipline Report Terminology .............................................. 75
APPENDIX B: Potential Conflicts of Interest: Rule 2201 ............................................................... 81
APPENDIX C: California’s Attorney Discipline System .................................................................. 82
APPENDIX D: Report Methodology ................................................................................................ 88
1
INTRODUCTION
The Annual Discipline Report (ADR) provides an overview of the State Bar's performance in
fulfilling its statutory obligation to protect the public from attorney misconduct. Although the
discipline system comprises multiple interdependent components of the State Bar, the ADR’s
statutorily mandated reporting focuses on the Office of Chief Trial Counsel (OCTC), which
receives, investigates, and, where appropriate, prosecutes allegations of attorney misconduct.
The ADR published in October 2022 was the first to transition from calendar to fiscal-year-
based reporting, as required by Senate Bill 211 (SB 211). As a result, it included data for both
fiscal and calendar years. This report completes the transition and covers July 1, 2022, to June
30, 2023.
2023 PERFORMANCE HIGHLIGHTS
In fiscal year 2023, OCTC:
• Opened more than 17,000 cases;
• Met case processing goals for 86 percent of cases closed or otherwise resolved,
including 91 percent of noncomplex cases and 74 percent of complex cases;
o The total number of closed or otherwise resolved cases not meeting goals
(defined as backlog) is 1,983, a slight increase from FY 2022 (1,965);
o The number of complex cases in backlog is 964, a decrease from FY 2022; and;
o The number of noncomplex cases in backlog is 1,019.
• Decreased average case processing times for cases closed with no action, a referral, or
nondisciplinary action;
• Increased average case processing time for cases filed in State Bar Court; and
• Obtained discipline for 243 attorneys, including 76 disbarments, 91 probation terms
with actual suspensions, 31 probation terms with stayed suspensions, and 45 reprovals
(both public and private).
PERFORMANCE
The following section summarizes OCTC’s workload and case processing performance,
measured by average case processing time and percentages of cases meeting case processing
goals.
Inventory
Table 1 replicates data from table SR-1A and depicts case inventory, disaggregated by the
following categories: cases pending at the beginning of the year, cases opened during the year,
cases closed or otherwise resolved during the year, and cases pending at the end of the year.
1
1
Pursuant to SB 211, table SR-1A (as replicated in table 1) reports on inventory of all case types. See Business and
Professions Code section 6086.15 (“the inventory of cases shall not be limited to case types that could result in the
2
The first two rows—cases pending at the beginning of the year and opened during the
year—constitute OCTC’s workload during each period. Cases closed or otherwise resolved
during the year may be viewed as output resulting from this workload.
Table 1. OCTC Inventory
Case Time Stage
FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Pending at Year Start 6,437 8,795 9,668 9,878 10,054
Opened During 18,252 20,979 17,190 16,355 17,360
Closed During 15,893 20,106 16,980 16,179 16,874
Pending at Year End 8,795 9,668 9,878 10,054 10,557
Note: To ensure reporting consistency, the year-end case number of the previous year is used as the year-
start number of the following year. The number of cases reported for FY 2023 at the start of the year is
actually 10,071, 17 cases higher than the number reported for FY 2022 at the end of last year (10,054). It’s
worth noting that minor data changes can occur after data have been reported at the end of the year, such
as corrections to case open dates or retroactive data entries on closed cases. However, these corrections
comprise a very small percentage of the reported cases.
The number of cases opened in FY 2023 was 17,360, a 6 percent increase over FY 2022.
Case Processing Goals
Figure 1 shows the percent of cases closed or otherwise resolved within current case processing
time standards: 180 days for noncomplex cases and 365 days for complex cases. Cases are
designated as complex based on the following factors/characteristics:
• Major case designation;
2
• Subpoenas for records to banks, courts, federal immigration officials, or another
third-party entity;
• Numerous potential charges (often arising from multiple incidents) or numerous
potential parties; and/or
• Respondent fails to provide information as requested within a reasonable time or at all.
Over the five years reported in the ADR, the percentage of noncomplex cases reaching
disposition within 180 days ranged from 83 percent in FY 2019 to 91 percent in FY 2023. For
complex cases, the percentage meeting the 365-day disposition goal has fluctuated, ranging
from a low of 66 percent in FY 2021 to a high of 79 percent in FY 2020, with FY 2023 at 74
percent. With both case types combined, the proportion of cases meeting current case
filing of a notice of disciplinary charges in the State Bar Court but shall also include Nonattorney Unauthorized
Practice of Law (NA-UPL), section 6007 matters, moral character matters, resignations with charges pending, and
mini-reinstatements.”).
2
See Appendix A for criteria used to designate major cases.
3
processing goals increased from 81 percent in FY 2019 to 86 percent in FY 2023, indicating that
the percentage of total cases closed or otherwise resolved in backlog status decreased from 19
percent to 14 percent.
Figure 1. Cases Meeting Case Processing Goals, Complex and Noncomplex Cases
As was discussed in the 2022 ADR, in connection with the report proposing case processing
standards in accordance with SB 211, an examination of OCTC cases between 2018 and 2021
revealed that approximately 44 percent had unexplained time gaps of 60 days or more between
case events recorded in OCTC’s case management system. The State Bar has hypothesized that
these delays resulted in part from high investigator and attorney caseloads that, along with
some identified inefficiencies in OCTC practices and procedures, left investigators and attorneys
unable to take all necessary investigative actions in all their cases timely. This is believed to be
the cause for many cases that failed to meet the current case processing goals, including many
complex cases that typically require additional and more complicated investigative actions.
Further, it is important to note that completing a thorough investigation may take longer than
180 days for a noncomplex case or 365 days for a complex case, depending on various factors,
including the need to follow up on new facts or legal issues identified during an investigation.
In FY 2023, OCTC attempted to address some of the identified inefficiencies in its practices and
procedures, streamlining some approval requirements and investigative actions. In addition,
effective July 1, 2023, OCTC implemented a substantial reorganization that, among other
things: (1) made permanent a specialized team designated to handle the majority of cases
involving bank reportable actions and client trust account related complaints; and (2) created
differentiated investigation and trial teams to handle the majority of cases horizontally to
decrease delays in both the investigation and charging stages. In the long term, these changes
aim to enable more cases to be resolved within statutory case processing time frames. In FY
2023, however, OCTC also increased its efforts to address a growing inventory of open
investigations in lower-risk cases already in backlog status. This will be a continued emphasis in
81%
83%
70%
83%
85%
79%
82%
88%
66%
86%
91%
70%
86%
91%
74%
0%
20%
40%
60%
80%
100%
Total cases Noncomplex cas es Complex cases
FY2019 FY2020 FY2021 FY2022 FY2023
4
coming years and may contribute to short-term increases in the number of cases closed or
otherwise resolved outside the current case processing standards.
Average Case Processing Time (Days)
Figure 2 shows data from table SR-5 regarding the average case processing times for three
categories of cases: cases open in OCTC at year end; cases closed during the year by OCTC with
no action, a referral, or nondisciplinary action; and cases filed during the year in State Bar
Court.
3
The average age of cases open in OCTC at year end was 272 days in FY 2023, up from
267 days in FY 2022 but down from a high of 332 days in FY 2021. The average case processing
time for OCTC to close cases with no action, a referral, or nondisciplinary action decreased from
140 days in FY 2019 to a period low of 112 days in FY 2023. The average case processing time
for OCTC to file cases in State Bar Court has steadily increased over the five years analyzed,
from 477 days in FY 2019 to 695 days in FY 2023. As noted above, effective July 1, 2023, OCTC
implemented a substantial reorganization that is hoped to decrease delays in the investigation
and charging stages. In the long term, it is hoped these changes will reduce the average case
processing time for cases filed in State Bar Court. In the short term, however, OCTC’s continued
efforts to address a growing inventory of older open cases, which should decrease the average
age of cases open in OCTC at year end, may also result in continuing increases in the average
case processing time for cases closed by OCTC or filed in State Bar Court.
3
Cases closed by OCTC with no action are cases that were closed with no referral or nondisciplinary action.
Referrals are cases closed with the following type of status: alternative dispute resolution, fee arbitration matter,
family support referral, and fee arbitration award referral. Cases closed with nondisciplinary action include cases
closed with the following status: cease and desist letter, communication letter, directional letter, return of file
letter, resource letter, warning letter.
5
Figure 2. Average Case Processing Time (in Days)
Note: Figure 2 is limited to complaints, State Bar initiated inquiries, probation referrals, and reportable
actions (self and other).
Demographics of Disciplined Attorneys
Historically, the ADR has reported on workload and case-processing metrics for attorneys in the
aggregate. Beginning with the FY 2023 ADR, in alignment with the foundational principle
outlined in the State Bar’s 2022–2027 Strategic Plan, attorney discipline data is reported
disaggregated by race/ethnicity and gender identity.
4
Tables 2 and 3 report the race/ethnicity
and gender identity of the 243 attorneys disciplined in FY 2023.
Table 2. Race/Ethnicity of Attorneys Disciplined in FY 2023
Type of Discipline Asian
Black/
African
American
Hispanic/
Latino
White Other Unknown Total
Number of Attorneys Disciplined
Reproval
3
2
1
33
5
1
45
Probation
7
2
14
82
16
1
122
Disbarment
6
3
6
48
2
11
76
Total
16
7
21
163
23
13
243
Racial/Ethnic Distribution of Disciplined Attorneys
Reproval
7%
4%
2%
73%
11%
2%
100%
Probation
6%
2%
11%
67%
13%
1%
100%
Disbarment
8%
4%
8%
63%
3%
14%
100%
4
Please see Appendix A for glossary on demographic information.
6
Type of Discipline Asian
Black/
African
American
Hispanic/
Latino
White Other Unknown Total
Total
7%
3%
9%
67%
9%
5%
100%
Table 3. Gender Identity of Attorneys Disciplined in FY 2023
Type of Discipline
Women
Men
Other
Unknown
Total
Number of Attorneys
Reproval
11
34
0
0
45
Probation
19
99
2
2
122
Disbarment
14
53
1
8
76
Total
44
186
3
10
243
Gender Distribution of Disciplined Attorneys
Reproval
24%
76%
0%
0%
100%
Probation
16%
81%
2%
2%
100%
Disbarment
18%
70%
1%
11%
100%
Total
18%
77%
1%
4%
100%
To provide context for these results, the demographic patterns for disciplined attorneys are
compared with two reference groups (see figures 3 and 4):
1. Active attorneys at the beginning of the reporting period; and
2. Attorneys with at least one complaint during the reporting period.
The data provided in figures 3 and 4 can be summarized as follows:
• Asian attorneys comprised 13 percent of the active attorney population, 8 percent of
attorneys with at least one complaint during the reporting period, and 7 percent of
disciplined attorneys.
• Black/African American attorneys comprised 3 percent of the active attorney
population, 5 percent of attorneys with at least one complaint during the reporting
period, and 3 percent of disciplined attorneys.
• Hispanic/Latino attorneys comprised 6 percent of the active attorney population, 8
percent of attorneys with at least one complaint during the reporting period, and 9
percent of disciplined attorneys.
• White attorneys comprised 65 percent of the active attorney population, 64 percent of
attorneys with at least one complaint during the reporting period, and 67 percent of
disciplined attorneys.
• Women comprised 42 percent of the active attorney population, 30 percent of
attorneys with at least one complaint during the reporting period, and 18 percent of
disciplined attorneys.
7
• Men comprised 55 percent of the active attorney population, 65 percent of attorneys
with at least one complaint during the reporting period, and 77 percent of disciplined
attorneys.
The data presented in tables 2 and 3 and figures 3 and 4 are subject to data limitations,
including small cell size for some groups and higher-than-average missing demographic data for
disbarred attorneys.
In 2024, the State Bar will update its landmark 2019 study of racial disparities in the attorney
discipline system. The 2024 study design will be expanded to explore factors that may
contribute to the abovementioned patterns, including age, practice area and setting, and firm
size.
8
Figure 3. Race/Ethnicity Across Different Groups of Attorneys in FY 2023
13%
3%
6%
65%
10%
3%
8%
5%
8%
64%
10%
5%
7%
3%
9%
67%
9%
5%
0% 10% 20% 30% 40% 50% 60% 70% 80%
Asian
Black/
African American
Hispanic/Latino
White
Other
Unknown
Active Attorneys Attorneys With at Least One Complaint Disciplined Attorneys
9
Figure 4. Gender Identity Across Different Groups of Attorneys in FY 2023
SUMMARY
The 2023 ADR data are presented in the 15 SR tables that follow this Introduction:
SR-1A and SR-1B: Inventory and Case Processing
SR-2: Case Inventory and Disposition
SR-3: Self-Reported Reportable Actions
SR-4: Reportable Actions, Reported by Others
SR-5: Speed of Complaint Handling
SR-6A and SR-6B: Formal Disciplinary Filings and Outcomes
SR-7A and SR-7B: Other Matters and Specified Definitions
SR-8: Unauthorized Practice of Law by Former Attorneys
SR-9: Unauthorized Practice of Law by Nonattorneys
SR-10A and SR-10B: Conviction Transmittals & Disposition of Felony Convictions
42%
55%
1%
2%
30%
65%
1%
4%
18%
77%
1%
4%
0% 10% 20% 30% 40% 50% 60% 70% 80%
Women
Men
Other
Unknown
Active Attorneys Attorneys With at Least One Complaint Disciplined
10
SR-11: Accessibility Demand Letters
SR-12: Insurance Fraud
SR-13: Provision of Financial Services by Lawyers
SR-14: Condition of the Client Security Fund
SR-15: Cost of the Discipline System
Table 4 below summarizes the numbers of specific types of cases and where those case types
are reported in all the ADR SR tables.
Table 4. Case Types Reported in 2023 ADR SR Tables
Case Type
FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Covered by ADR
Tables
Complaints
13,894
13,781
12,501
12,731
13,636
SR-1, SR-2, SR-5
State Bar Initiated
Inquiries
302 240 344 310 266 SR-1, SR-2, SR-5
Probation Referrals
123
94
58
79
49
SR-1, SR-2, SR-5
Reportable Action, Self 157 169 161 183 152
SR-1, SR-2, SR-3, SR-
4, SR-5
Reportable Actions, Other 2,285 2,016 1,267 1,686 1,760
SR-1, SR-2, SR-3, SR-
4, SR-5
Criminal Conviction
Matters
296 3442 1,765 292 281
SR-1, SR-3, SR-4, SR-
10
Unauthorized Practice Of
Law
907 806 711 688 873 SR-1, SR-8, SR-9
Other
5
288
431
383
386
343
SR-1, SR-7
Total Cases
18,252
20,979
17,190
16,355
17,360
5
Cases that fall under ‘Other’ are the following: moral character, pre-filing motion to quash, probation revocation
motion, resignation with charges pending, reinstatements, interim suspensions, Jurisdiction of Courts (excluding
former attorney), and Rule 2605 Vexatious Complainant.
SR-1
STATUTORILY MANDATED REPORTING
FISCAL YEAR 2023
Inventory and Case Processing
Section 6086.15, subdivision (a)(1): The inventory of cases within the Office of Chief Trial
Counsel which were open at the start of the reporting period, were opened during the
reporting period, remain pending with the office at the close of the reporting period, or were
disposed of during the reporting period by closure, by filing of a stipulation with the State Bar
Court, by filing of a notice of disciplinary charges with the State Bar Court, or by transmittal of a
criminal conviction to the State Bar Court. The State Bar shall also report on its success in
meeting the case processing goals set forth in section 6094.5, including, but not limited to,
table showing the number and percentage of cases meeting each goal, the number and
percentage of those cases not meeting each goal, the number and percentage of those cases
not disposed of within the case processing goals, and a high-level explanation of the reasons for
failing to meet those case processing goals. The inventory of cases shall not be limited to case
types that could result in the filing of a notice of disciplinary charges in the State Bar Court, but
shall also include Nonattorney Unauthorized Practice of Law (NA-UPL), section 6007 matters,
moral character matters, resignations with charges pending, and mini-reinstatements.
Table SR-1A. Inventory
6
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Pending at Year Start
7
6,437
8,795
9,668
9,878
10,071
Opened During
18,252
20,979
17,190
16,355
17,360
Closed During
15,893
20,106
16,980
16,179
16,874
Pending at Year End
8,795 9,668 9,878 10,054 10,557
6
As defined by statute, inventory in this report will include all case types, no exceptions, to reflect the complete
turnover of cases in the year.
7
Year start numbers may not always match the previous year end as previous data is frozen and minor changes to
case reporting may occur after that time.
SR-1
Table SR-1B. Case
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Noncomplex cases
n
%
n
%
n
%
n
%
n
%
Cases meeting goals
10,174
83
12,081
85
9,972
89
9,728
92
9,801
91
Cases not meeting goals
2,024
17
2,082
15
1,292
11
865
8
1,019
9
Total
12,198
100
14,163
100
11,264
100
10,593
100
10,820
100
Complex cases
n
%
n
%
n
%
n
%
n
%
Cases meeting goals
1,776
71
3,167
80
2,789
67
2,716
71
2,677
74
Cases not meeting goals
732
29
792
20
1,344
33
1,100
29
964
26
Total
2,508
100
3,959
100
4,133
100
3,816
100
3,641
100
All cases
n
%
n
%
n
%
n
%
n
%
Cases meeting goals
11,950
81
15,248
84
12,761
83
12,444
86
12,478
86
Cases not meeting goals
2,756
19
2,874
16
2,636
17
1,965
14
1,983
14
Total
14,706
100
18,122
100
15,397
100
14,409
100
14,461
100
8
Business and Professions Code section 6094.5 (a) identifies the following case processing goals: six months for all
cases and 12 months for “complicated” cases. This report uses 180 and 365 days as opposed to six and 12 months
to calculate case processing time which allows for more accurate calculations based on the data structure of the
State Bar’s case management system. The term “complex” will be used in lieu of “complicated.” Cases are deemed
complex if they contain any of the following characteristics: major case designation; requests for bank, court, or
other records; multiple charges or parties; or respondent delays in responding. In accordance with Business and
Professions Code section 6094.5 (c), the following case types are excluded from table SR-1B: criminal conviction,
unauthorized practice of law, interim suspensions, moral character, and resignations with charges pending and
reinstatements. For full details see Appendix D.
SR-2
Case Inventory and Disposition
9
Section 6086.15, subdivision (a) (2): The number of inquiries and complaints and their
disposition.
Table SR-2. Inquiries and Complaints
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Summary: All Case Types
Cases Pending in OCTC at Year Start
10
5,663
7,717
5,895
4,829
5,407
Cases Received
16,541
15,700
13,781
14,497
15,414
Cases Reopened
11
220
600
550
492
449
Closed by OCTC with No Action
12,553
15,964
13,131
12,416
12,480
Closed by OCTC with Referral
199
298
237
245
207
Closed by OCTC with Nondisciplinary Action
1,334
1,417
1,516
1,318
1,363
Total Cases Closed by OCTC
14,086
17,679
14,884
13,979
14,050
Filed in State Bar Court (SBC)
620
443
513
430
411
Cases Pending in OCTC at Year End
7,717
5,895
4,829
5,409
6,809
Cases Pending in SBC at Year Start
807
794
693
721
626
Closed by SBC with No Action
12
171
125
86
45
35
Closed by SBC with Nondisciplinary Action
0
0
6
9
2
Closed with Discipline Imposed
463
419
393
460
320
Total Cases Closed by SBC
634
544
485
514
357
Cases Pending in SBC at Year End
794
693
721
637
680
Complaints
Complaints Pending in OCTC at Year Start
4,837
6,851
5,123
4,258
4,492
Complaints Received
13,683
13,195
11,957
12,306
13,194
Complaints Reopened
211
586
544
425
442
Closed by OCTC with No Action
10,205
13,717
11,519
10,790
11,148
Closed by OCTC with Referral
197
297
237
245
207
Closed by OCTC with Nondisciplinary Action
1,118
1,251
1,260
1,154
1,025
Total Complaints Closed by OCTC
11,520
15,265
13,016
12,189
12,380
Filed in SBC
360
244
350
304
271
Complaints Pending in OCTC at Year End
6,851
5,123
4,258
4,496
5,477
Complaints Pending in SBC at Year Start
520
476
389
475
443
Closed by SBC with No Action
108
80
40
24
23
Closed by SBC with Nondisciplinary Action
0
0
5
6
1
Closed with Discipline Imposed
296
251
219
296
206
9
Table SR-2 reports on the same case types as table SR-1B; see footnote for table SR-1B for details.
10
Year start numbers may not always match the previous year end as previous data is frozen and minor changes to
case reporting may occur after that time.
11
Counts of reopened cases are higher for 2019 onwards due to operational changes implemented with the new
case management system; intake staff have greater autonomy in Odyssey to manage data entry for their
caseloads, contributing to more timely and accurate recording of reopened cases.
12
Reasons for cases closed by SBC with no action include the following: (1) respondent was disbarred in another
matter; (2) respondent was ordered inactive pursuant to Business and Professions Code section 6007(b);
(3) respondent’s death, shortly before or after dismissal; (4) respondent’s resignation; (5) dismissal by OCTC; and
(6) dismissal by SBC.
SR-2
Table SR-2. Inquiries and Complaints
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total Complaints Closed by SBC
404
331
264
326
230
Complaints Pending in SBC at Year End
476
389
475
453
484
State Bar Initiated Inquiries
Inquiries Pending in OCTC at Year Start
224
203
174
145
202
Inquiries Initiated
299
230
340
305
262
Inquiries Reopened
3
10
4
5
4
Closed by OCTC with No Action
246
219
262
205
190
Closed by OCTC with Referral
2
1
0
0
0
Closed by OCTC with Nondisciplinary Action
41
20
87
27
25
Total Inquiries Closed by OCTC
289
240
349
232
215
Filed in SBC
33
29
24
22
20
Inquiries Pending in OCTC at Year End
203
174
145
201
233
Inquiries Pending in SBC at Year Start
48
49
44
41
33
Closed by SBC with No Action
9
8
0
4
2
Closed by SBC with Nondisciplinary Action
0
0
0
1
0
Closed with Discipline Imposed
24
26
27
24
24
Total Inquiries Closed by SBC
33
34
27
29
26
Inquiries Pending in SBC at Year End
49
44
41
34
27
Probation Referrals
Referrals Pending in OCTC at Year Start
56
77
60
32
39
Referrals Received
122
91
58
79
49
Referrals Reopened
1
3
0
0
0
Closed by OCTC with No Action
30
36
21
14
18
Closed by OCTC with Referral
0
0
0
0
0
Closed by OCTC with Nondisciplinary Action
2
0
2
3
4
Total Referrals Closed by OCTC
32
36
23
17
22
Filed in SBC
70
75
63
55
42
Referrals Pending in OCTC at Year End
77
60
32
39
24
Referrals Pending in SBC at Year Start
108
83
93
77
82
Closed by SBC with No Action
33
11
12
14
10
Closed by SBC with Nondisciplinary Action
0
0
0
1
1
Closed with Discipline Imposed
62
54
67
36
32
Total Referrals Closed by SBC
95
65
79
51
43
Referrals Pending in SBC at Year End
83
93
77
81
81
Reportable Actions, Self-Reported
Actions Pending in OCTC at Year Start
75
74
91
91
94
Actions Reported
155
169
161
183
150
Actions Reopened
2
0
0
0
2
Closed by OCTC with No Action
130
124
115
140
102
Closed by OCTC with Referral
0
0
0
0
0
Closed by OCTC with Nondisciplinary Action
16
13
33
30
14
Total Actions Closed by OCTC
146
137
148
170
116
Filed in SBC
12
15
13
11
5
Actions Pending in OCTC at Year End
74
91
91
93
125
SR-2
Table SR-2. Inquiries and Complaints
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Actions Pending in SBC at Year Start
20
18
22
15
9
Closed by SBC with No Action
1
3
1
0
0
Closed by SBC with Nondisciplinary Action
0
0
1
1
0
Closed with Discipline Imposed
13
8
18
16
9
Total Actions Closed by SBC
14
11
20
17
9
Actions Pending in SBC at Year End
18
22
15
9
5
Reportable Actions, Reported by Others
Actions Pending in OCTC at Year Start
471
512
447
303
580
Actions Reported
2,282
2,015
1,265
1,624
1,759
Actions Reopened
3
1
2
62
1
Closed by OCTC with No Action
1,942
1,868
1,214
1,267
1,022
Closed by OCTC with Referral
0
0
0
0
0
Closed by OCTC with Nondisciplinary Action
157
133
134
104
295
Total Actions Closed by OCTC
2,099
2,001
1,348
1,371
1,317
Filed in SBC
145
80
63
38
73
Actions Pending in OCTC at Year End
512
447
303
580
950
Actions Pending in SBC at Year Start
111
168
145
113
59
Closed by SBC with No Action
20
23
33
3
0
Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Closed with Discipline Imposed
68
80
62
88
49
Total Actions Closed by SBC
88
103
95
91
49
Actions Pending in SBC at Year End
168
145
113
60
83
SR-3
Self-Reported Reportable Actions
Section 6086.15, subdivision (a)(3): The number, average pending times, and types of matters
self-reported by licensees of the State Bar pursuant to subdivision (o) of section 6068 and
subdivision (c) of section 6086.8.
13,14
Table SR-3. Reportable Actions, Reported by Self
15
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Summary: All Reportable Actions, Reported by Self
Reports Received
203
188
177
195
155
Cases Reopened
4
0
0
0
2
Cases Closed by OCTC with No Action
143
126
120
143
107
Cases Closed by OCTC with Referral
0
1
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
17
20
33
30
14
Total Cases Closed by OCTC
160
147
153
173
121
Cases Filed in SBC
51
23
20
34
15
Cases Remaining in OCTC at Year End
104
123
127
115
141
Cases Closed by SBC with No Action
16
8
7
5
4
6
Cases Closed by SBC with Nondisciplinary Action
0
2
1
0
0
Cases Closed with Discipline Imposed
39
31
32
24
25
Total Cases Closed by SBC
47
40
38
28
31
Cases Remaining in SBC at Year End
75
58
40
46
30
Three or more malpractice lawsuits filed within 12 months (§ 6068, subd. (o)(1))
Reports Received
0
2
5
4
3
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
0
2
4
3
3
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
0
0
Total Cases Closed by OCTC
0
2
4
3
3
Average Pendency at Closure
17
0
48
36
33
267
Median Pendency at Closure
0
48
35
30
57
Cases Filed in SBC
0
0
0
0
0
Average Pendency at Filing
0
0
0
0
0
Median Pendency at Filing
0
0
0
0
0
Cases Remaining in OCTC at Year End
0
0
1
2
2
13
The full text of sections 6068 and 6086.8 can be found by clicking on the embedded link found in each relevant
header in this table.
14
The figures in table SR-3 differ from those in table SR-2 for this category because table SR-3 includes reports of
criminal conviction matters, which are excluded from table SR-2.
15
This table only includes actions brought to the attention of the State Bar through attorneys’ self-reporting. It
does not include actions taken by the State Bar based on the violations of the duties of an attorney set out in these
sections which came to the attention of the State Bar through other means, e.g., prosecutorial misconduct cases
that came to the attention of the State Bar through news reports or appellate court cases.
16
Reasons for cases closed by SBC with no action include the following: (1) respondent was disbarred in another
matter; (2) respondent was ordered inactive pursuant to Business and Professions Code section 6007(b);
(3) respondent’s death, shortly before or after dismissal; (4) respondent’s resignation; (5) dismissal by OCTC; and
(6) dismissal by SBC.
17
Pendency is reported in days.
SR-3
Table SR-3. Reportable Actions, Reported by Self
15
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Average Pendency at Year End
0
0
127
285
234
Median Pendency at Year End
0
0
127
285
234
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
0
0
Total Cases Closed by SBC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Judgment in civil case for fraud, misrepresentation, gross negligence, etc. (§ 6068, subd. (o)(2))
Reports Received
8
9
2
8
4
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
5
6
3
6
4
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
1
1
0
0
0
Total Cases Closed by OCTC
6
7
3
6
4
Average Pendency at Closure
41
60
377
125
49
Median Pendency at Closure
14
49
393
42
51
Cases Filed in SBC
0
1
2
0
1
Average Pendency at Filing
0
763
909
0
1,421
Median Pendency at Filing
0
763
909
0
1,421
Cases Remaining in OCTC at Year End
5
6
3
5
4
Average Pendency at Year End
307
433
505
460
640
Median Pendency at Year End
164
359
449
206
521
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
1
2
0
Total Cases Closed by SBC
0
0
1
2
0
Average Pendency at Closure
0
0
1,230
1,201
0
Median Pendency at Closure
0
0
1,230
1,201
0
Cases Remaining in SBC at Year End
0
1
2
0
1
Average Pendency at Year End
0
956
1,075
0
1,500
Median Pendency at Year End
0
956
1,075
0
1,500
Judicial sanctions imposed (§ 6068, subd. (o)(3))
Reports Received
109
127
122
143
125
Cases Reopened
1
0
0
0
2
Cases Closed by OCTC with No Action
92
99
84
111
79
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
11
11
28
26
13
Total Cases Closed by OCTC
103
110
112
137
92
Average Pendency at Closure
120
146
186
184
139
SR-3
Table SR-3. Reportable Actions, Reported by Self
15
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Median Pendency at Closure
49
57
81
79
63
Cases Filed in SBC
6
3
4
5
0
Average Pendency at Filing
622
277
1,025
884
0
Median Pendency at Filing
516
219
1,018
640
0
Cases Remaining in OCTC at Year End
48
62
68
69
104
Average Pendency at Year End
327
338
302
244
324
Median Pendency at Year End
158
255
219
104
251
Cases Closed by SBC with No Action
1
3
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
1
0
0
Cases Closed with Discipline Imposed
4
1
9
5
3
Total Cases Closed by SBC
5
4
10
5
3
Average Pendency at Closure
1,333
1,304
1,519
1,225
1,055
Median Pendency at Closure
962
1,304
1,275
1,085
911
Cases Remaining in SBC at Year End
11
10
4
4
1
Average Pendency at Year End
1,146
1,206
1,192
1,295
2,664
Median Pendency at Year End
1,150
1,245
829
1,070
2,664
Felony indictment (§ 6068, subd. (o)(4))
Reports Received
16
10
7
6
3
Cases Reopened
1
0
0
0
0
Cases Closed by OCTC with No Action
6
2
2
3
2
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
0
0
Total Cases Closed by OCTC
6
2
2
3
2
Average Pendency at Closure
653
473
2,170
1,517
1,560
Median Pendency at Closure
463
473
2,170
1,393
1,560
Cases Filed in SBC
18
3
2
9
4
Average Pendency at Filing
378
250
409
487
1,043
Median Pendency at Filing
257
158
409
282
948
Cases Remaining in OCTC at Year End
17
22
25
19
16
Average Pendency at Year End
682
763
800
1,021
1,187
Median Pendency at Year End
387
475
672
993
1,233
Cases Closed by SBC with No Action
3
2
2
1
1
Cases Closed by SBC with Nondisciplinary Action
0
1
0
0
0
Cases Closed with Discipline Imposed
13
9
6
2
7
Total Cases Closed by SBC
16
12
8
3
8
Average Pendency at Closure
516
1,125
992
2,038
1,577
Median Pendency at Closure
520
666
964
1,486
1,448
Cases Remaining in SBC at Year End
25
16
10
16
12
Average Pendency at Year End
994
1,237
1,728
1,242
1,346
Median Pendency at Year End
734
1,054
1,850
1,052
1,102
Conviction of felony, or misdemeanor related to practice of law (§ 6068, subd. (o)(5))
Reports Received
33
10
10
9
7
Cases Reopened
1
0
0
0
0
Cases Closed by OCTC with No Action
7
2
3
3
7
SR-3
Table SR-3. Reportable Actions, Reported by Self
15
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Cases Closed by OCTC with Referral
0
1
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
1
7
0
0
0
Total Cases Closed by OCTC
8
10
3
3
7
Average Pendency at Closure
133
145
628
547
248
Median Pendency at Closure
104
115
630
441
85
Cases Filed in SBC
21
6
5
14
6
Average Pendency at Filing
279
242
201
374
700
Median Pendency at Filing
188
196
79
140
283
Reports Remaining in OCTC at Year End
16
11
13
5
2
Average Pendency at Year End
312
578
628
1,141
830
Median Pendency at Year End
153
277
154
482
830
Cases Closed by SBC with No Action
4
2
2
3
5
Cases Closed by SBC with Nondisciplinary Action
0
1
0
0
0
Cases Closed with Discipline Imposed
13
14
8
6
9
Total Cases Closed by SBC
17
17
10
9
14
Average Pendency at Closure
888
1,013
922
1,304
1,070
Median Pendency at Closure
598
644
808
1,269
1,003
Cases Remaining in SBC at Year End
32
21
16
21
14
Average Pendency at Year End
827
986
1,191
909
1,192
Median Pendency at Year End
482
701
926
675
927
Discipline by professional agency or licensing board (§ 6068, subd. (o)(6))
Reports Received
28
22
15
17
9
Cases Reopened
1
0
0
0
0
Cases Closed by OCTC with No Action
21
6
15
11
7
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
2
0
4
0
1
Total Cases Closed by OCTC
23
6
19
11
8
Average Pendency at Closure
150
107
328
182
163
Median Pendency at Closure
27
99
181
6
23
Cases Filed in SBC
6
10
7
6
4
Average Pendency at Filing
313
367
456
341
494
Median Pendency at Filing
245
266
392
266
344
Cases Remaining in OCTC at Year End
16
22
11
11
10
Average Pendency at Year End
378
405
514
437
792
Median Pendency at Year End
264
210
342
202
467
Cases Closed by SBC with No Action
0
0
1
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
9
7
8
9
6
Total Cases Closed by SBC
9
7
9
9
6
Average Pendency at Closure
759
449
756
801
999
Median Pendency at Closure
709
418
746
566
742
Cases Remaining in SBC at Year End
7
10
8
5
2
Average Pendency at Year End
732
877
1,032
1,008
675
Median Pendency at Year End
779
830
796
778
675
SR-3
Table SR-3. Reportable Actions, Reported by Self
15
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Reversal of judgment based on misconduct, gross incompetence, etc. (§ 6068, subd. (o)(7))
Reports Received
9
7
16
6
4
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
12
8
9
6
3
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
2
1
1
4
0
Total Cases Closed by OCTC
14
9
10
10
3
Average Pendency at Closure
130
132
31
176
184
Median Pendency at Closure
51
22
22
64
41
Cases Filed in SBC
0
0
0
0
0
Average Pendency at Filing
0
0
0
0
0
Median Pendency at Filing
0
0
0
0
0
Cases Remaining in OCTC at Year End
2
0
6
2
3
Average Pendency at Year End
463
0
129
415
294
Median Pendency at Year End
463
0
97
415
108
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
0
0
Total Cases Closed by SBC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Settlement or judgment for civil fraud, misrepresentation, gross negligence, etc. (§ 6086.8, subd.
(c))
Reports Received
0
1
0
2
0
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
0
1
0
0
2
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
0
0
Total Cases Closed by OCTC
0
1
0
0
2
Average Pendency at Closure
0
55
0
0
60
Median Pendency at Closure
0
55
0
0
60
Cases Filed in SBC
0
0
0
0
0
Average Pendency at Filing
0
0
0
0
0
Median Pendency at Filing
0
0
0
0
0
Cases Remaining in OCTC at Year End
0
0
0
2
0
Average Pendency at Year End
0
0
0
59
0
Median Pendency at Year End
0
0
0
59
0
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
0
0
SR-3
Table SR-3. Reportable Actions, Reported by Self
15
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total Cases Closed by SBC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
SR-4
Reportable Actions, Reported by Others
Section 6086.15, subdivision (a)(4): The number, average pending times, and types of matters
reported by other sources pursuant to sections 6086.7, 6086.8, 6091.1, subdivision (b) of
section 6101, and section 6175.6.
18
19
Table SR-4. Reportable Actions, Reported by Others FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Summary: All Reportable Actions, Reported by Others
Reports Received
2,362
2,066
1,340
1,662
1,804
Cases Reopened
6
1
2
62
1
Cases Closed by OCTC with No Action
1,998
1,879
1,221
1,292
1,093
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
155
136
129
103
289
Total Cases Closed by OCTC
2,153
2,015
1,350
1,395
1,382
Cases Filed in SBC
189
100
77
61
97
Cases Remaining in OCTC at Year End
627
579
494
762
1,088
Cases Closed by SBC with No Action
20
51
32
34
13
8
Cases Closed by SBC with Nondisciplinary Action
0
0
0
2
0
Cases Closed with Discipline Imposed
104
113
85
98
70
Total Cases Closed by SBC
155
145
119
113
78
Cases Remaining in SBC at Year End
258
213
171
119
136
Order of Contempt (§ 6086.7, subd. (a) (1))
Reports Received
4
3
6
4
1
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
1
2
2
3
0
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
1
0
1
2
Total Cases Closed by OCTC
1
3
2
4
2
Average Pendency at Closure
4
131
85
399
778
Median Pendency at Closure
4
161
85
245
778
Cases Filed in SBC
1
2
1
0
1
Average Pendency at Filing
387
612
230
0
470
Median Pendency at Filing
387
612
230
0
470
Cases Remaining in OCTC at Year End
4
2
5
5
3
Average Pendency at Year End
285
360
355
298
337
Median Pendency at Year End
211
360
155
126
406
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
18
The figures in table SR-4 differ from those in table SR-2 for this category because table SR-4 includes reports of
criminal conviction matters, which are excluded from table SR-2.
19
The full text of sections 6086, 6091, 6101, 6175.6 can be found by clicking on the embedded link found in each
relevant header in table SR-4.
20
Reasons for cases closed by SBC with no action include the following: (1) respondent was disbarred in another
matter; (2) respondent was ordered inactive pursuant to Business and Professions Code section 6007(b);
(3) respondent’s death, shortly before or after dismissal; (4) respondent’s resignation; (5) dismissal by OCTC; and
(6) dismissal by SBC.
SR-4
Table SR-4. Reportable Actions, Reported by Others
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Cases Closed with Discipline Imposed
0
0
0
0
1
Total Cases Closed by SBC
0
0
0
0
1
Average Pendency at Closure
0
0
0
0
926
Median Pendency at Closure
0
0
0
0
926
Cases Remaining in SBC at Year End
1
3
4
4
4
Average Pendency at Year End
411
781
935
1,300
1,525
Median Pendency at Year End
411
777
1,024
1,389
1,754
Modification or reversal of judgment based on misconduct, etc. (§ 6086.7, subd. (a)(2))
Reports Received
22
10
15
18
6
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
17
14
6
12
3
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
3
3
2
3
6
Total Cases Closed by OCTC
20
17
8
15
9
Average Pendency at Closure
223
240
226
234
371
Median Pendency at Closure
29
58
63
37
426
Cases Filed in SBC
0
0
0
1
0
Average Pendency at Filing
0
0
0
611
0
Median Pendency at Filing
0
0
0
611
0
Cases Remaining in OCTC at Year End
12
5
12
14
11
Average Pendency at Year End
439
839
431
381
504
Median Pendency at Year End
334
713
140
192
171
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
1
0
0
0
0
Total Cases Closed by SBC
1
0
0
0
0
Average Pendency at Closure
348
0
0
0
0
Median Pendency at Closure
348
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
1
1
Average Pendency at Year End
0
0
0
856
1,221
Median Pendency at Year End
0
0
0
856
1,221
Judicial sanctions imposed (§ 6086.7, subd. (a)(3))
Reports Received
72
98
44
78
91
Cases Reopened
2
0
0
0
1
Cases Closed by OCTC with No Action
44
32
32
31
32
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
14
17
29
18
11
Total Cases Closed by OCTC
58
49
61
49
43
Average Pendency at Closure
187
197
402
297
281
Median Pendency at Closure
108
174
410
189
194
Cases Filed in SBC
10
15
9
13
7
Average Pendency at Filing
600
448
709
764
851
Median Pendency at Filing
503
341
372
616
1,062
SR-4
Table SR-4. Reportable Actions, Reported by Others
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Cases Remaining in OCTC at Year End
53
87
61
77
119
Average Pendency at Year End
293
361
416
353
394
Median Pendency at Year End
201
272
272
238
302
Cases Closed by SBC with No Action
0
0
1
1
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
9
7
9
13
11
Total Cases Closed by SBC
9
7
10
14
11
Average Pendency at Closure
1,017
783
995
1,482
1,449
Median Pendency at Closure
1,051
652
802
1,056
1,345
Cases Remaining in SBC at Year End
18
26
25
24
20
Average Pendency at Year End
1,287
1,221
1,537
1,503
1,709
Median Pendency at Year End
1,323
892
1,258
1,339
1,440
Civil Penalty for providing false information to Indian tribe in adoption case (§ 6086.7, subd. (a)(4))
Reports Received
0
0
0
0
0
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
0
0
0
0
0
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
0
0
Total Cases Closed by OCTC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Filed in SBC
0
0
0
0
0
Average Pendency at Filing
0
0
0
0
0
Median Pendency at Filing
0
0
0
0
0
Cases Remaining in OCTC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
0
0
Total Cases Closed by SBC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Prosecutorial misconduct (§ 6086.7, subd. (a)(5))
Reports Received
1
0
0
0
0
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
0
0
0
0
0
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
0
0
Total Cases Closed by OCTC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
SR-4
Table SR-4. Reportable Actions, Reported by Others
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Median Pendency at Closure
0
0
0
0
0
Cases Filed in SBC
0
0
0
1
0
Average Pendency at Filing
0
0
0
1,202
0
Median Pendency at Filing
0
0
0
1,202
0
Cases Remaining in OCTC at Year End
1
1
1
0
0
Average Pendency at Year End
326
692
1,057
0
0
Median Pendency at Year End
326
692
1,057
0
0
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
1
0
Total Cases Closed by SBC
0
0
0
1
0
Average Pendency at Closure
0
0
0
1,354
0
Median Pendency at Closure
0
0
0
1,354
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Judgment in civil case for fraud, misrepresentation, gross negligence, etc.(§ 6086.8, subd. (a))
Reports Received
12
6
2
3
5
Cases Reopened
0
1
0
1
0
Cases Closed by OCTC with No Action
5
2
2
1
5
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
1
4
2
0
Total Cases Closed by OCTC
5
3
6
3
5
Average Pendency at Closure
22
259
492
229
685
Median Pendency at Closure
11
117
560
158
126
Cases Filed in SBC
1
2
1
0
1
Average Pendency at Filing
240
313
395
0
209
Median Pendency at Filing
240
313
395
0
209
Cases Remaining in OCTC at Year End
9
11
6
7
6
Average Pendency at Year End
229
409
781
931
871
Median Pendency at Year End
228
407
741
1,074
994
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
1
2
0
2
1
Total Cases Closed by SBC
1
2
0
2
1
Average Pendency at Closure
914
576
0
845
472
Median Pendency at Closure
914
576
0
845
472
Cases Remaining in SBC at Year End
1
1
2
0
0
Average Pendency at Year End
508
474
639
0
0
Median Pendency at Year End
508
474
639
0
0
Claim or action for damages for fraud, misrepresentation, etc. (§ 6086.8, subd. (b))
Reports Received
243
287
214
225
221
SR-4
Table SR-4. Reportable Actions, Reported by Others
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
230
277
237
214
214
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
1
0
Total Cases Closed by OCTC
230
277
237
215
214
Average Pendency at Closure
7
46
17
26
33
Median Pendency at Closure
4
57
14
22
25
Cases Filed in SBC
0
0
0
0
0
Average Pendency at Filing
0
0
0
0
0
Median Pendency at Filing
0
0
0
0
0
Cases Remaining in OCTC at Year End
13
23
0
10
17
Average Pendency at Year End
6
22
0
15
11
Median Pendency at Year End
6
19
0
17
3
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
0
0
Total Cases Closed by SBC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Overdraft of attorney trust accounts (§ 6091.1)
Reports Received
1,898
1,562
959
1,266
1,402
Cases Reopened
1
0
2
61
0
Cases Closed by OCTC with No Action
1,617
1,506
913
988
741
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
138
108
93
78
270
Total Cases Closed by OCTC
1,755
1,614
1,006
1,066
1,011
Average Pendency at Closure
73
77
84
67
135
Median Pendency at Closure
43
51
31
48
96
Cases Filed in SBC
132
58
51
21
63
Average Pendency at Filing
361
375
589
823
536
Median Pendency at Filing
330
339
646
928
444
Cases Remaining in OCTC at Year End
413
303
207
447
775
Average Pendency at Year End
187
280
306
240
249
Median Pendency at Year End
67
179
152
134
148
Cases Closed by SBC with No Action
20
23
31
2
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
55
70
53
71
35
Total Cases Closed by SBC
75
93
84
73
35
Average Pendency at Closure
1,051
675
966
1,548
840
Median Pendency at Closure
620
736
817
1,208
776
Cases Remaining in SBC at Year End
148
113
80
28
55
SR-4
Table SR-4. Reportable Actions, Reported by Others
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Average Pendency at Year End
784
1,092
1,305
935
887
Median Pendency at Year End
606
858
768
923
816
Filing of misdemeanor or felony charges (§ 6101, subd. (b))
Reports Received
95
81
90
60
73
Cases Reopened
3
0
0
0
0
Cases Closed by OCTC with No Action
65
34
24
40
90
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
4
1
0
0
Total Cases Closed by OCTC
65
38
25
40
90
Average Pendency at Closure
345
586
565
792
752
Median Pendency at Closure
234
274
517
787
595
Cases Filed in SBC
41
20
14
18
24
Average Pendency at Filing
380
404
379
436
700
Median Pendency at Filing
273
322
315
213
628
Cases Remaining in OCTC at Year End
110
133
184
186
145
Average Pendency at Year End
595
595
629
781
790
Median Pendency at Year End
305
347
472
575
589
Cases Closed by SBC with No Action
19
9
2
8
6
Cases Closed by SBC with Nondisciplinary Action
0
0
0
1
0
Cases Closed with Discipline Imposed
32
30
22
8
19
Total Cases Closed by SBC
51
39
24
17
25
Average Pendency at Closure
1,084
911
1,179
1,130
1,258
Median Pendency at Closure
775
846
1,080
864
1,175
Cases Remaining in SBC at Year End
74
55
45
46
44
Average Pendency at Year End
1,050
1,350
1,535
1,608
1,716
Median Pendency at Year End
833
1,050
1,041
1,303
1,329
Criminal Conviction (§ 6101, subd. (c))
Reports Received
15
19
10
8
5
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
19
12
5
3
8
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
2
0
0
0
Total Cases Closed by OCTC
19
14
5
3
8
Average Pendency at Closure
176
213
403
836
387
Median Pendency at Closure
108
102
458
869
414
Cases Filed in SBC
4
3
1
7
1
Average Pendency at Filing
198
184
22
176
936
Median Pendency at Filing
168
139
22
87
936
Cases Remaining in OCTC at Year End
12
14
18
16
12
Average Pendency at Year End
487
509
626
909
1,253
Median Pendency at Year End
533
296
340
651
981
Cases Closed by SBC with No Action
12
0
0
2
2
Cases Closed by SBC with Nondisciplinary Action
0
0
0
1
0
Cases Closed with Discipline Imposed
6
4
1
3
3
SR-4
Table SR-4. Reportable Actions, Reported by Others
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total Cases Closed by SBC
18
4
1
6
5
Average Pendency at Closure
2,728
774
1,806
933
673
Median Pendency at Closure
2,692
783
1,806
1,008
566
Cases Remaining in SBC at Year End
16
15
15
16
12
Average Pendency at Year End
987
1,260
1,508
1,499
2,218
Median Pendency at Year End
699
986
1,318
1,616
2,130
Elder or dependent adult financial service complaints. (§ 6175.6)21
Reports Received
0
0
0
0
0
Cases Reopened
0
0
0
0
0
Cases Closed by OCTC with No Action
0
0
0
0
0
Cases Closed by OCTC with Referral
0
0
0
0
0
Cases Closed by OCTC with Nondisciplinary Action
0
0
0
0
0
Total Cases Closed by OCTC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Filed in SBC
0
0
0
0
0
Average Pendency at Filing
0
0
0
0
0
Median Pendency at Filing
0
0
0
0
0
Cases Remaining in OCTC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
Cases Closed by SBC with No Action
0
0
0
0
0
Cases Closed by SBC with Nondisciplinary Action
0
0
0
0
0
Cases Closed with Discipline Imposed
0
0
0
0
0
Total Cases Closed by SBC
0
0
0
0
0
Average Pendency at Closure
0
0
0
0
0
Median Pendency at Closure
0
0
0
0
0
Cases Remaining in SBC at Year End
0
0
0
0
0
Average Pendency at Year End
0
0
0
0
0
Median Pendency at Year End
0
0
0
0
0
21
See table SR-13 for more background information on this type of reportable action.
SR-5
Speed of Complaint Handling
Section 6086.15, subdivision (a)(5): The speed of complaint handling and dispositions by type,
measured by the median and the average processing times.
Table SR-5. Speed of Complaint Handling FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Summary: All Case Types22
Pendency at Closure by OCTC with No Action
23
Average
137
122
114
123
106
Median
58
60
38
36
43
Pendency at Closure by OCTC with Referral
Average
123
96
109
83
59
Median
71
48
28
19
23
Pendency at Closure by OCTC with Nondisciplinary Action
Average
163
157
204
170
170
Median
106
76
90
63
96
Pendency at Closure by OCTC
Average
140
125
123
127
112
Median
59
61
40
37
45
Pendency at Filing in SBC
Average
477
517
610
658
695
Median
414
476
577
591
601
Pendency at Year End in OCTC
Average
219
302
332
267
272
Median
115
187
159
128
147
Pendency at Closure by SBC with No Action
Average
1,878
1,460
888
1,173
1,006
Median
1,818
1,172
728
748
793
Pendency at Closure by SBC with Nondisciplinary Action
Average
0
0
793
1,016
840
Median
0
0
782
976
840
Pendency at Closure by SBC with Disciplinary Action
Average
819
832
984
1,109
1,016
Median
698
756
920
935
928
Pendency at Closure by SBC
Average
1,106
976
965
1,113
1,014
Median
781
796
877
913
914
Pendency at Year end in SBC
Average
944
990
1,043
999
1,091
Median
744
813
834
883
948
Complaints
Pendency at Closure by OCTC with No Action
22
The case types used for table SR-5 are the same as tables SR-1B and SR-2. See footnote two.
23
Rows for closure with no action, referral, nondisciplinary action and disciplinary action were added to all sections
of this table to align with table SR-2.
SR-5
Table SR-5. Speed of Complaint Handling
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Average
148
127
118
129
104
Median
63
67
40
35
42
Pendency at Closure by OCTC with Referral
Average
124
96
109
83
59
Median
72
48
28
19
23
Pendency at Closure by OCTC with Nondisciplinary Action
Average
164
158
190
161
160
Median
112
79
68
57
50
Pendency at Closure by OCTC
Average
149
129
124
131
108
Median
65
67
41
35
42
Pendency at Filing in SBC
Average
504
584
631
651
738
Median
456
543
589
591
654
Pendency at Year End in OCTC
Average
215
298
327
264
263
Median
111
180
154
128
137
Pendency at Closure by SBC with No Action
Average
1,942
1,802
1,011
1,462
1,220
Median
1,954
2,203
978
879
1,027
Pendency at Closure by SBC with Nondisciplinary Action
Average
0
0
716
968
239
Median
0
0
749
836
239
Pendency at Closure by SBC with Disciplinary Action
Average
895
942
1,034
1,039
1,076
Median
783
863
984
938
963
Pendency at Closure by SBC
Average
1,177
1,150
1,025
1,068
1,086
Median
917
935
975
936
964
Pendency at Year end in SBC
Average
1,032
1,018
1,019
1,016
1,116
Median
848
879
875
941
959
State Bar Initiated Inquiries
Pendency at Closure by OCTC with No Action
Average
215
220
167
176
178
Median
113
125
29
49
43
Pendency at Closure by OCTC with Referral
Average
28
114
0
0
0
Median
28
114
0
0
0
Pendency at Closure by OCTC with Nondisciplinary Action
Average
235
243
181
293
205
Median
184
186
90
225
175
Pendency at Closure by OCTC
Average
217
222
171
190
181
SR-5
Table SR-5. Speed of Complaint Handling
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Median
129
131
81
56
56
Pendency at Filing in SBC
Average
503
583
615
770
709
Median
520
581
329
623
491
Pendency at Year End in OCTC
Average
337
410
447
361
447
Median
248
272
286
206
337
Pendency at Closure by SBC with No Action
Average
2,334
1,332
0
1,593
577
Median
2,049
1,225
0
564
577
Pendency at Closure by SBC with Nondisciplinary Action
Average
0
0
0
1,483
0
Median
0
0
0
1,483
0
Pendency at Closure by SBC with Disciplinary Action
Average
980
881
1,010
1,278
1,162
Median
767
738
847
925
907
Pendency at Closure by SBC
Average
1,349
987
1,010
1,319
1,117
Median
879
957
847
925
841
Pendency at Year end in SBC
Average
1,152
1,266
1,385
1,282
1,395
Median
1,055
881
1,143
910
1,122
Probation Referrals24
Pendency at Closure by OCTC with No Action
Average
560
350
325
349
452
Median
322
284
256
154
265
Pendency at Closure by OCTC with Referral
Average
0
0
0
0
0
Median
0
0
0
0
0
Pendency at Closure by OCTC with Nondisciplinary Action
Average
34
0
83
55
100
Median
34
0
83
46
83
Pendency at Closure by OCTC
Average
527
350
304
297
388
Median
300
284
237
117
234
Pendency at Filing in SBC
Average
240
221
314
284
285
Median
202
168
284
240
192
Pendency at Year End in OCTC
Average
199
276
285
266
251
Median
93
181
64
127
256
Pendency at Closure by SBC with No Action
Average
1,370
608
899
487
622
24
The order of ‘Probation Referrals’ in table SR-5 has been changed to match that of table SR-2.
SR-5
Table SR-5. Speed of Complaint Handling
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Median
1,190
687
579
427
452
Pendency at Closure by SBC with Nondisciplinary Action
Average
0
0
0
474
1,440
Median
0
0
0
474
1,440
Pendency at Closure by SBC with Disciplinary Action
Average
511
585
657
630
588
Median
424
514
571
602
518
Pendency at Closure by SBC
Average
809
588
693
587
616
Median
479
521
574
539
505
Pendency at Year end in SBC
Average
535
545
568
610
760
Median
335
396
503
371
519
Reportable Actions, Reported by Self
Pendency at Closure by OCTC with No Action
Average
116
130
165
177
111
Median
35
51
49
57
58
Pendency at Closure by OCTC with Referral
Average
0
0
0
0
0
Median
0
0
0
0
0
Pendency at Closure by OCTC with Nondisciplinary Action
Average
176
193
291
215
366
Median
140
134
214
98
312
Pendency at Closure by OCTC
Average
123
136
193
184
141
Median
45
52
78
61
61
Pendency at Filing in SBC
Average
512
437
747
629
679
Median
489
373
850
477
362
Pendency at Year End in OCTC
Average
340
365
328
276
362
Median
161
257
229
111
269
Pendency at Closure by SBC with No Action
Average
2,732
1,304
808
0
0
Median
2,732
1,302
808
0
0
Pendency at Closure by SBC with Nondisciplinary Action
Average
0
0
1,179
1,378
0
Median
0
0
1,179
1,378
0
Pendency at Closure by SBC with Disciplinary Action
Average
828
601
1,180
984
1,018
Median
709
583
1,181
906
911
Pendency at Closure by SBC
Average
964
793
1,161
1,007
1,018
Median
749
679
1,178
943
911
SR-5
Table SR-5. Speed of Complaint Handling
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Pendency at Year end in SBC
Average
985
1,032
1,098
1,136
1,343
Median
1,042
986
876
888
1,201
Reportable Actions, Reported by Others
Pendency at Closure by OCTC with No Action
Average
66
73
62
59
110
Median
37
51
28
42
59
Pendency at Closure by OCTC with Referral
Average
0
0
0
0
0
Median
0
0
0
0
0
Pendency at Closure by OCTC with Nondisciplinary Action
Average
133
132
338
224
194
Median
57
58
253
119
135
Pendency at Closure by OCTC
Average
71
77
90
72
129
Median
41
52
29
44
73
Pendency at Filing in SBC
Average
435
456
659
829
634
Median
388
401
688
818
476
Pendency at Year End in OCTC
Average
206
290
346
263
271
Median
112
187
184
134
155
Pendency at Closure by SBC with No Action
Average
2,121
747
737
1,637
0
Median
1,902
755
714
1,382
0
Pendency at Closure by SBC with Nondisciplinary Action
Average
0
0
0
0
0
Median
0
0
0
0
0
Pendency at Closure by SBC with Disciplinary Action
Average
711
659
1,091
1,512
970
Median
658
613
1,059
1,109
826
Pendency at Closure by SBC
Average
1,032
678
969
1,516
970
Median
672
728
828
1,127
826
Pendency at Year end in SBC
Average
834
1,111
1,341
1,216
1,154
Median
607
873
905
1,116
1,012
SR-6
Formal Disciplinary Filings and Outcomes
25
Section 6086.15, subdivision (a)(6): The number, average pending times, and types of filed
notices of disciplinary charges and formal disciplinary outcomes.
Table SR-6A. Formal Filings FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Notices of Disciplinary Charges
Number of Filings
491
366
420
342
339
Average Pendency at Filing
424
450
514
502
597
Median Pendency at Filing
369
404
492
392
510
Number of Attorneys
26
241
190
220
156
154
Stipulations to Facts and Discipline
Number of Filings
112
92
99
80
76
Average Pendency at Filing
386
513
660
560
613
Median Pendency at Filing
339
462
714
563
446
Number of Attorneys
75
60
83
64
62
Criminal Conviction Transmittals
27
Number of Filings
46
197
168
134
149
Number of Attorneys
45
183
153
111
118
Table SR-6B. Formal Disciplinary Outcomes FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Disbarments
Number of Cases
244
209
135
184
169
Average Pendency
933
1,017
898
1,132
1,060
Median Pendency
783
873
800
945
939
Number of Attorneys Disbarred
119
118
83
84
76
Probation with Actual Suspension
Number of Cases
230
252
188
224
131
Average Pendency
842
858
1,086
1,223
1,135
Median Pendency
702
786
1,044
1,077
1,076
Number of Attorneys Suspended
129
120
95
89
91
Probation with Stayed Suspension
Number of Cases
45
41
53
32
44
Average Pendency
680
746
967
876
1,226
25
Cases are filed in SBC via a Notice of Disciplinary Charges (NDC), Stipulations to Facts and Discipline, and
Transmittal of Criminal Convictions. This table counts each case only once: cases in which an NDC is filed or
information about a criminal conviction is transmitted that are later resolved by stipulation are only counted based
on the initial filing in SBC. This table includes all formal disciplinary filings, including criminal conviction matters and
reportable actions not included in other sections of this report.
26
Number of attorneys counts added to each section of SR-6A, to match the layout of table SR-6B.
27
Pendency time for Criminal Conviction Transmittals is not applicable since it is dependent on the cases reaching
finality in the criminal court, which is outside of the State Bar’s control. Conviction transmittal tracking data was
only available early 2019, so data in earlier years will not be available or complete.
SR-6
Table SR-6B. Formal Disciplinary Outcomes FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Median Pendency
548
638
908
867
1,349
Number of Attorneys Suspended
28
32
41
23
31
Public Reprovals
Number of Cases
22
31
42
56
31
Average Pendency
566
492
699
882
1,001
Median Pendency
534
403
655
906
1,006
Number of Attorneys Publicly Reproved
22
31
35
43
27
Private Reprovals
Number of Cases
13
23
52
27
21
Average Pendency
596
669
842
893
729
Median Pendency
561
704
711
934
592
Number of Attorneys Privately Reproved
12
16
43
23
18
SR-7
Other Matters and Specified Definitions
Section 6086.15, subdivision (a)(7): The number, average pending times, and types of other
matters, including petitions to terminate practice pursuant to section 6180 or 6190, interim
suspensions and license restrictions pursuant to section 6007, motions to enforce a binding
arbitration award, judgment, or agreement pursuant to subdivision (d) of section 6203, motions
to revoke probation, letters of warning, private reprovals, admonitions, and agreements in lieu
of discipline.
28
Table SR-7A. Other Matters FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Petitions to Terminate Practice pursuant to section 6180 or section 6190
Petitions Filed
12
3
4
11
5
Average Pendency at Filing
211
82
185
166
263
Median Pendency at Filing
67
4
174
106
282
Cases with Petitions Granted
7
6
0
7
3
Cases with Petitions Denied
0
0
0
0
0
Total Cases Disposed by Superior Court
2
5
2
5
1
Average Pendency at Disposition
1,928
1,736
799
1,529
2,095
Median Pendency at Disposition
1,928
1,100
799
1,449
2,095
Interim Suspensions and Restrictions pursuant to section 6007
Cases Opened
16
18
18
21
34
Cases Reopened
0
0
0
0
0
Cases Closed without Filing
0
1
1
0
3
Average Pendency at Closure
0
45
48
0
92
Median Pendency at Closure
0
45
48
0
27
Cases Filed
15
19
16
20
29
Average Pendency at Filing
62
40
9
12
13
Median Pendency at Filing
0
6
2
1
1
Cases Remaining in OCTC At Year End
2
0
1
4
4
Average Pendency at Year End
75
0
139
146
237
Median Pendency at Year End
75
0
139
38
38
Cases with Petitions Granted
15
12
11
9
19
Cases with Petitions Denied
1
2
0
5
8
Total Cases Disposed by SBC
16
14
14
23
29
Average Pendency at Disposition
168
102
109
218
89
Median Pendency at Disposition
89
81
75
142
77
Cases Remaining in SBC at Year End
4
9
11
7
7
Average Pendency at Year End
30
145
292
217
353
Median Pendency at Year End
27
42
98
80
177
2
Motions to Enforce Fee Arbitration Award
Cases Opened
1
3
3
4
4
Cases with Petitions Granted
0
2
2
3
5
Cases with Petitions Denied
1
0
0
1
0
28
The full text of sections 6180, 6190, 6007, and 6203 can be found by clicking on the embedded link found in each
relevant header.
SR-7
Table SR-7A. Other Matters FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Total Cases Disposed by SBC
1
3
1
5
5
Average Pendency at Disposition
71
72
82
68
71
Median Pendency at Disposition
71
77
82
55
65
Cases Remaining in SBC at Year End
0
0
2
1
0
Average Pendency at Year End
0
0
55
14
0
Median Pendency at Year End
0
0
55
14
0
Motions to Revoke Probation
Cases Opened
7
1
3
2
2
Cases with Petitions Granted
5
0
4
1
2
Cases with Petitions Denied
0
1
0
0
0
Total Cases Disposed by SBC
6
1
5
1
1
Average Pendency at Disposition
166
274
292
163
229
Median Pendency at Disposition
159
274
237
163
229
Cases Remaining in SBC at Year End
2
2
0
1
2
Average Pendency at Year End
205
293
0
3
50
Median Pendency at Year End
205
293
0
3
50
Table SR-7B. Specified Dispositions FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Admonitions
Cases
0
1
3
4
3
Average Pendency at Disposition
0
687
905
1,243
1,295
Median Pendency at Disposition
0
687
857
1,312
1,258
Attorneys Admonished
0
1
3
3
3
Agreements In Lieu of Discipline
Cases
5
15
4
5
15
Average Pendency at Disposition
398
553
889
784
868
Median Pendency at Disposition
428
485
994
694
871
Attorneys Entering into Agreements
5
12
4
5
10
Warning Letters
Cases
632
535
704
596
536
Average Pendency at Disposition
263
299
354
299
323
Median Pendency at Disposition
214
231
280
207
251
Attorneys Receiving Warning Letters
570
500
617
537
457
Directional Letters
Cases
468
691
577
545
591
Average Pendency at Disposition
42
49
45
39
40
Median Pendency at Disposition
35
32
20
17
22
Attorneys Receiving Directional Letter
445
618
508
465
513
Resource Letters
Cases
197
266
258
202
320
Average Pendency at Disposition
149
202
203
193
222
Median Pendency at Disposition
114
178
123
121
153
Attorneys Receiving Resource Letters
182
234
249
193
254
SR-7
Table SR-7B. Specified Dispositions FY 2019 FY 2020 FY 2021 FY 2022 FY 2023
Private Reprovals
Cases
13
23
52
27
21
Average Pendency at Disposition
596
669
842
893
729
Median Pendency at Disposition
561
704
711
934
592
Attorneys Privately Reproved
12
16
43
23
18
SR-8
Unauthorized Practice of Law by Former Attorneys
29
Section 6086.15, subdivision (a)(8): The number, average pending times, and outcomes of
complaints involving a State Bar licensee who has been disbarred or who has resigned, and is
engaged in the unauthorized practice of law, including referrals to district attorneys, city
attorneys, or other prosecuting authorities, or petitions to terminate practice pursuant to
section 6180.
Table SR-8. UPL by Former Attorneys
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Cases Opened
52
39
23
23
22
Cases Closed without Filing
46
52
33
21
17
Average Pendency at Closure
252
267
213
154
267
Median Pendency at Closure
266
273
214
161
217
Cases Filed in Superior Court
2
0
0
0
0
Average Pendency at Filing
326
0
0
0
0
Median Pendency at Filing
326
0
0
0
0
Cases Remaining in OCTC At Year End
35
22
12
15
20
Average Pendency at Year End
180
133
127
194
178
Median Pendency at Year End
207
126
130
121
37
Cases with Petitions Granted
0
2
0
0
0
Average Pendency at Petitions Granted
0
374
0
0
0
Median Pendency at Petitions Granted
0
374
0
0
0
Cases with Petitions Denied
30
0
0
0
0
0
Average Pendency at Petitions Denied
0
0
0
0
0
Median Pendency at Petitions Denied
0
0
0
0
0
Total Cases Disposed by Superior Court
0
0
0
0
0
Average Pendency at Disposition
0
0
0
0
0
Median Pendency at Disposition
0
0
0
0
0
Referrals to Law Enforcement
43
24
29
15
10
Cease and Desist Letters Sent
11
22
9
12
15
29
This table does not include attorneys who are disciplined for practicing law during a time that their license is
suspended.
30
The pendency numbers for petitions denied are now fully expanded.
SR-9
Unauthorized Practice of Law by Nonattorneys
Section 6086.15, subdivision (a)(9): The number, average pending times, and outcomes of
complaints against nonattorneys engaged in the unauthorized practice of law, including
referrals to district attorneys, city attorneys, or other prosecuting authorities; petitions to
terminate practice pursuant to section 6126.3; or referrals to prosecuting authorities or actions
by the State Bar pursuant to section 6126.7.
Table SR-9. UPL by Nonattorneys
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Cases Opened
845
761
680
660
845
Cases Closed without Filing
749
940
677
589
789
Average Pendency at Closure
166
180
134
134
165
Median Pendency at Closure
139
173
126
111
125
Cases Filed in Superior Court
31
13
10
7
9
6
Average Pendency at Filing
245
324
421
296
649
Median Pendency at Filing
242
334
414
265
567
Cases Remaining in OCTC At Year End
450
266
270
337
393
Average Pendency at Year End
141
143
138
156
158
Median Pendency at Year End
129
131
85
90
95
Cases with Petitions Granted
7
16
6
7
7
Average Pendency at Petitions Granted
267
468
349
292
717
Median Pendency at Petitions Granted
256
502
418
307
637
Cases with Petitions Denied
32
0
0
0
0
0
Average Pendency at Petitions Denied
0
0
0
0
0
Median Pendency at Petitions Denied
0
0
0
0
0
Total Cases Disposed by Superior Court
1
7
0
3
7
Average Pendency at Disposition
552
848
0
1,422
1,513
Median Pendency at Disposition
552
710
0
1,395
1,500
Civil Remedies pursuant to section 6126.7
33
0
0
0
0
0
Referrals to Law Enforcement
420
322
326
276
290
Cease and Desist Letters Sent
126
178
197
183
207
31
Petition to Terminate filed in superior court, pursuant to section 6126.3, to assume the practice of a person
holding himself or herself out as entitled to practice law without being an active licensee of the State Bar.
32
The pendency numbers for petitions denied are now fully expanded.
33
Previously for FY 2021 the ADR reported 2 cases. It was incorrect as these cases had closed in investigation and
did not go on to civil remedies. Therefore, in each year reported, the State Bar did not pursue, and neither
expended funds on nor collected funds from civil penalty action under section 6126.7.
SR-10
Disposition of Felony Convictions & Conviction Transmittals
Section 6086.15, subdivision (a)(12): Compliance with the requirement of Section 6101 to
transmit, within 30 days of receipt, the record of any criminal conviction which involves or may
involve moral turpitude to the Supreme Court, or to close the matter if transmittal to the
Supreme Court is not appropriate.
Section 6094.5, subdivision (d): To ensure that criminal conviction matters are handled
competently, accurately, and timely, the State Bar shall report on its compliance with the
requirement of Section 6101 to transmit, within 30 days of receipt, the record of any conviction
which involves or may involve moral turpitude to the Supreme Court with such other records
and information as may be appropriate to establish the Supreme Court’s jurisdiction.
Section 6095, subdivision (b): To the extent the information is known to the State Bar, it shall
report annually to the Assembly and Senate Judiciary Committees concerning the judicial or
disciplinary disposition of all criminal or disciplinary proceedings involving the allegation of the
commission of a felony by an attorney.
Table SR-10A. Disposition of Felony Convictions
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Felony Convictions
38
23
18
20
15
Cases filed in SBC
35
20
14
15
12
Average days from conviction to filing in Court
34
239
187
167
103
77
Median days from conviction to filing in Court
127
119
124
95
67
Cases disposed in SBC
34
29
22
23
28
Average days from filing to disposition in Court
858
881
1,274
792
702
Median days from filing to disposition in Court
488
535
838
546
446
SBC Dispositions
Disbarment
24
24
11
13
15
Dismissal
2
1
2
2
1
Probation with Actual Suspension
8
3
8
3
8
Probation with Stayed Suspension
0
0
0
0
1
Public Reproval
0
1
0
2
1
Private Reproval
0
0
0
0
0
Termination Due to Resignation
0
0
1
0
1
Termination Due to Death
0
0
0
3
1
Table SR-10B. Conviction Transmittals
35
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Conviction Transmittals
46
197
168
134
149
Number meeting 30-Day Requirement
NA
NA
NA
83
124
Percentage meeting 30-Day Requirement
NA
NA
NA
62%
83%
Number not meeting 30-Day Requirement
NA
NA
NA
51
25
34
Both attorneys and courts are required to report felony convictions, but superior courts may not timely report
convictions to the State Bar. Any resultant delays in discovery of felony convictions may lead to the extended
pendency between conviction and filing in Court.
35
Conviction transmittal data includes both misdemeanor and felony convictions. Transmittal filing data became
available from early 2019, and transmittal time data became available from the latter half of 2021. Percentages
meeting and not meeting time standards are calculated based only on cases for which transmittal time is available.
SR-11
Accessibility Demand Letters
Civil Code Section 55.32(f)(1): Notwithstanding Section 10231.5 of the Government Code, on or
before April 30, 2019, and annually as part of the Annual Discipline Report, no later than April
30 thereafter, the State Bar shall report to the Legislature and the Chairs of the Senate and
Assembly Judiciary Committees, both of the following with respect to demand letters received
by the State Bar: (A) The number of investigations opened to date on a suspected violation of
subdivision (b) or (c) of Section 55.31. (B) Whether any disciplinary action resulted from the
investigation, and the results of that disciplinary action.
36
The laws governing construction-related accessibility claims involving a place of public
accommodation were revised by the enactment of Senate Bill 1186 (Stats. 2012, Chapter 383).
The purpose of SB 1186 is set forth in uncodified sections of the bill. One of these sections
states:
The Legislature finds and declares that a very small number of plaintiffs’ attorneys have been
abusing the right of petition under sections 52 and 54.3 of the Civil Code by issuing a demand
for money to a California business owner that demands the owner pay a quick settlement of
the attorney’s alleged claim under those laws or else incur greater liability and legal costs if a
lawsuit is filed. These demands for money allege one or more, but frequently multiple, claims
for asserted violations of a construction-related accessibility standard and often demand a
quick money settlement based on the alleged multiple claims without seeking and obtaining
actual repair or correction of the alleged violations on the site. These “pay me now or pay me
more” demands are used to scare businesses into paying quick settlements that only financially
enrich the attorney and claimant and do not promote accessibility either for the claimant or the
disability community as a whole. These practices, often involving a series of demand for money
letters sent to numerous businesses, do not promote compliance with the accessibility
requirements and erode public support for and confidence in our laws. (SB 1186 uncodified sec.
24.)
Civil Code section 55.32 contains several requirements and restrictions concerning demand
letters and demands for money in construction-related accessibility claims. As of January 1,
2023, section 55.32, subdivision (b) has been expanded to include complaints alleging that
internet websites are not accessible. As of January 1, 2019, the requirement to provide a copy
of a demand letter to the State Bar was repealed. The legislative history of this section makes
clear that the State Bar retains prosecutorial discretion to determine what, if any, disciplinary
action should be taken in a particular case. As the September 1, 2012, Senate Judiciary
Committee analysis notes, at pages 22–23:
The author notes that “even though certain acts shall be subject to discipline, the
commencement of an actual disciplinary action is at the prosecutorial discretion of the State
Bar’s Office of Chief Trial Counsel. Nothing in the bill would require the State Bar to bring an
action for any offense, and it is certainly possible that the State Bar may just send the lawyer
offending the provision an advisory letter for a first violation.”
36
The Annual Discipline Report is no longer due by April 30, but rather by October 31 of each year.
SR-11
DEMAND LETTERS RECEIVED,
37
INVESTIGATIONS OPENED, AND DISCIPLINARY ACTION
From July 1, 2022 through June 30, 2023, the State Bar received 47 copies of demand letters
and 3 copies of complaints as defined by Civil Code section 55.3, subdivision (a). These letters
were carefully reviewed by the Office of Professional Competence, and forty demand letters
were referred to the Office of Chief Trial Counsel (OCTC) for investigation on suspected
violation of the prohibition against a demand for money or a specific statement of monetary
liability. In addition, three complaints were referred to OCTC for investigation based on
potential failure to send a copy of the complaint to the California Commission on Disability
Access and potential failure to notify the California Commission on Disability Access of the
judgment, settlement, or dismissal of the claims alleged in the complaints, in violation of Civil
Code section 55.32, subdivision (b)(1) and (b)(2)
38
. [These cases were closed after confirming
that the attorneys had, in fact, compiled with these requirements.]
Table SR-11 shows the number of letters received in each 12-month period since the first
report, and the number of investigations undertaken.
Table SR-11. Demand Letters Investigations
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Number of Letters Received
40
13
7
10
50
Investigations of Suspected Violations of
Civil Code Section 55.31 or 55.32
4 2 0 0 43
37
As of January 1, 2019, Civil Code section 55.32 no longer requires an attorney who provides a demand letter as
defined by Civil Code section 55.3 to provide a copy of that demand letter to the State Bar of California’s Office of
Professional Competence. However, Civil Code section 55.3, subdivision (b)(1)(A) continues to require attorneys to
provide notices that tell recipients of demand letters that they can send copies to the Office of Professional
Competence. In addition, some attorneys voluntarily copy the State Bar, and Civil Code section 55.32, subdivision
(f)(1) continues to require the State Bar to report on disciplinary matters involving prohibited demands for money
or specific statements of monetary liability. For these reasons, even though plaintiff attorneys are no longer
required to copy the State Bar, since 2019, the Office of Professional Competence continues to receive copies that
were reviewed and processed. Table SR-11 includes the number of demand letters received by the Office of
Professional Competence in 2019 and following years.
38
In the event the State Bar receives information indicating that an attorney failed to comply with Civil Code
section 55.32, subdivision (b), Civil Code section 55.32, subdivision (c) requires the State Bar to investigate to
determine whether there is a violation of Civil Code section 55.32, subdivision (b). Table SR-11 includes the total
number of complaints alleging failures to comply with Civil Code section 55.32, subdivision (b) and demand letters
received by the Office of Professional Competence in 2019 and following years.
SR-12
Insurance Fraud
Insurance Code Section 1872.95 (a) Within existing resources, the Medical Board of California,
the Board of Chiropractic Examiners, and the State Bar shall each designate employees to
investigate and report on possible fraudulent activities relating to workers’ compensation,
motor vehicle insurance, or disability insurance by licensees of the board or the bar. Those
employees shall actively cooperate with the Fraud Division in the investigation of those
activities. (b) The Medical Board of California and the Board of Chiropractic Examiners shall
each report annually, on or before March 1, to the committees of the Senate and Assembly
having jurisdiction over insurance on their activities established pursuant to subdivision (a) for
the previous year. The State Bar shall include this report in its Annual Discipline Report on or
before April 30.
39
That report shall specify, at a minimum, the number of cases investigated, the
number of cases forwarded to the Fraud Division or other law enforcement agencies, the
outcome of all cases listed in the report, and any other relevant information concerning those
cases or general activities conducted under subdivision (a) for the previous year. The report
shall include information regarding activities conducted in connection with cases of suspected
automobile insurance fraud.
In 1999, the Legislature enacted the Organized Crime Prevention and Victim Protection Act
(Assembly Bill 1050, Stats. 1999, ch. 885) to provide for a focused, coordinated effort by all
appropriate agencies and organizations to deal more effectively with fraudulent activities
related to automobile and other specified insurance claims. Among other things, the act
requires the Medical Board of California, the Board of Chiropractic Examiners, and the State Bar
to report annually to the committees of the Legislature having jurisdiction over insurance about
complaints alleging possible fraudulent activities relating to workers’ compensation, motor
vehicle insurance, or disability insurance by licensees of the board or the State Bar.
Table SR-12. Insurance Fraud
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Workers’ Compensation
Investigations Initiated
1
13
0
0
0
Suspended Pending Disbarment
12
0
0
0
0
Suspended Pending Criminal Proceedings
0
0
0
0
0
Closed by OCTC with No Action
2
11
1
0
0
Pending in Investigation at Year End
11
1
0
0
0
Referrals to Fraud Division
0
0
0
0
0
Referrals to Law Enforcement
0
0
0
0
0
Motor Vehicle
Investigations Initiated
0
0
0
0
0
Closed by OCTC with No Action
1
0
0
0
0
Referrals to Fraud Division
0
0
0
0
0
Referrals to Law Enforcement
0
0
0
0
0
Disability
Investigations Initiated
0
0
0
0
0
39
The Annual Discipline Report is no longer due by April 30, but rather by October 31 of each year.
SR-13
Provision of Financial Services by Lawyers
Business and Professions Code Section 6177: The State Bar by April 30 of each year shall
include in its Annual Discipline Report information on the number of complaints filed against
California attorneys alleging a violation of this article. The report shall also include the type of
charges made in each complaint, the number of resulting investigations initiated, and the
number and nature of any disciplinary actions taken by the State Bar for violations of this
article.
40
In 1999, the Legislature enacted Article 10.5 of the State Bar Act regulating the sale of financial
products, including long-term care insurance and life insurance, by lawyers to clients who are
elders or dependent adults (Bus. & Prof. Code, §§ 6175-6176; added by Senate Bill number 72
(Stats. 1999, Ch. 454)). These sales must be fair and reasonable to the clients, and lawyers must
make specific written disclosures.
41
The State Bar received no complaints alleging violations of Article 10.5 for the period 2015
through June 30, 2023. Since 2001, the State Bar has received 20 complaints alleging violations
of the financial products statutes. Table SR-13 provides a summary of the resolution of those
complaints.
Table SR-13. Financial Services Complaints
Closed in Investigation
11
Resignation with Charges Pending
2*
Disbarment
7**
Note: *2 attorneys
**1 attorney
40
The Annual Discipline Report is no longer due by April 30, but rather by October 31 of each year.
41
The full text of section 6175.3, which governs the provision of legal services by lawyers to elder and dependent
adults, can be found by clicking on the embedded link found in the table header.
SR-14
Condition of the Client Security Fund
Section 6086.15, subdivision (a)(10): A description of the condition of the Client Security Fund,
including an accounting of payouts.
The Client Security Fund (CSF or Fund), established by State Bar-sponsored legislation in 1972,
represents one of the State Bar’s most important initiatives to achieve its public protection
goals. The CSF is designed to compensate legal consumers for monetary losses caused by the
dishonest conduct of California attorneys.
Summary Statistics of CSF Payments
42
Aggregated by Attorney
Fiscal
Year
Number of
Attorneys
Total Amount
Paid
Minimum
Maximum
Average
Median
2019
272
$8,981,480
$300
$564,850
$33,020
$10,000
2020
186
$8,240,586
$215
$2,491,443
$44,304
$7,500
2021
227
$8,075,698
$300
$673,497
$35,576
$9,509
2022
107
$5,930,331
$500
$1,589,288
$55,424
$10,000
2023
133
$3,659,266
$500
$359,000
$27,513
$8,000
Total
925
$34,887,361
$215
$2,491,443
$37,716
$9,301
Fiscal
Year
Number of
Applications
Total Amount
Paid
Minimum
Maximum
Average
Median
Aggregated by Application*
2019
940
$8,981,480
$299
$200,000
$9,555
$3,926
2020
650
$8,240,586
$215
$200,000
$12,678
$5,130
2021
566
$8,075,698
$150
$200,000
$14,268
$4,887
2022
261
$5,930,331
$500
$362,749
$22,722
$7,250
2023
325
$3,659,266
$180
$107,364
$11,259
$4,622
Total
2742
$34,887,360
$150
$362,749
$12,723
$4,625
* Although the maximum reimbursement from the Fund to an applicant is $100,000, more than one individual may
be included on an application.
Aggregated
by Attorney
Fiscal Year
Number
of
Attorneys
Total
Amount
Paid
Minimum
Maximum
Average
Median
2019
272
$8,981,480
$300
$564,850
$33,020
$10,000
2020
186
$8,240,586
$215
$2,491,443
$44,304
$7,500
2021
227
$8,075,698
$300
$673,497
$35,576
$9,509
2022
107
$5,930,331
$500
$1,589,288
$55,424
$10,000
42
In previous years only disaggregated CSF payout data has been included in the ADR. While this data continues to
provide under the header of SR-14, a new summary table has been prepared in order to provide the data in a more
useful and analyzable format.
SR-14
2023
133
$3,659,266
$500
$359,000
$27,513
$8,000
Total
925
$34,887,361
$215
$2,491,443
$37,716
$9,301
Aggregated by Application
2019
940
$8,981,480
$299
$200,000
$9,555
$3,926
2020
650
$8,240,586
$215
$200,000
$12,678
$5,130
2021
566
$8,075,698
$150
$200,000
$14,268
$4,887
2022
261
$5,930,331
$500
$362,749
$22,722
$7,250
2023
325
$3,659,266
$180
$107,364
$11,259
$4,622
Total
2742
$34,887,360
$150
$362,749
$12,723
$4,625
The Summary Statistics of CSF Payments table, above, shows a five-year summary of CSF
reimbursement payments, both aggregated by attorney (upper portion) and by Application
(lower portion). In the five fiscal years shown, the Client Security Fund reimbursed victims a
total of $34,887,360 on 2,742 applications against a combined total of 925 attorneys. Since
some of those attorneys were involved in paid cases over multiple years, the total unique
attorneys paid against was 672.
In Fiscal Year 2023, the CSF reimbursed $3.66 million on 325 applications against 133 individual
attorneys, with the lowest payment on an application $180 and the highest $107,364. The
average and median payments on applications for Fiscal Year 2023 were $11,259 and $4,622,
respectively.
In Fiscal Year 2023, the lowest total amount paid against an attorney was $500 and the highest
total amount paid against an attorney was $359,000, with average and median reimbursements
against attorneys amounting to $27,513 and $8,000, respectively.
After a significant spike in applications over a decade ago due to loan modification fraud
schemes, the CSF inventory for the past few years has seen only modest variation. The CSF
received 724 new applications in Fiscal Year 2023, up from 636 new applications received in
Fiscal Year 2022. At the end of Fiscal Year 2023, there were 1,184 open applications up only
slightly from 1,095 at the end of Fiscal Year 2022 and down by just less than 20 percent from
1,452 at the end of Fiscal Year 2021.
The CSF is financed by an annual assessment added to attorney licensing fees, which is used
exclusively for purposes of paying reimbursements and administering the CSF. After a one-
time increase of $40 per active licensee that resulted in an $80 per active attorney
assessment in Calendar Year 2020, the annual active attorney assessment reverted back to
$40 per active licensee and $10 per inactive licensee in 2021 and remained so in 2023,
bringing the CSF’s Calendar Year 2023 revenue to approximately $8 million.
The CSF has the authority to reimburse victims who have lost money or property due to theft,
or an act equivalent to theft, committed by a lawyer acting in a professional capacity. As
SR-14
detailed in the CSF rules, the CSF can reimburse funds received and wrongfully retained by a
California lawyer. The maximum reimbursable amount to an individual applicant is $100,000.
The CSF Commission, appointed by the State Bar Board of Trustees, administers the CSF and
directs policy and decision-making on applications for reimbursement according to the CSF
rules.
Table SR-14. FY 2023 Client Security Fund Payments
Attorney
43
Number of CSF
Claims Paid
Total Amount
Paid
1
1
$8,000.00
2
1
$1,800.00
3
2
$26,800.00
4
14
$6,001.38
5
5
$359,000.00
6
7
$93,414.55
7
1
$1,800.00
8
1
$900.00
9
1
$900.00
10
1
$1,000.00
11
1
$26,825.74
12
1
$1,500.00
13
1
$10,000.00
14
1
$3,035.00
15
1
$45,000.00
16
3
$9,610.00
17
1
$100,000.00
18
2
$15,000.00
19
1
$20,000.00
20
1
$7,155.00
21
1
$1,500.00
22
5
$31,960.00
23
1
$27,969.88
24
1
$2,164.94
25
1
$1,235.00
26
1
$4,235.92
27
1
$15,000.00
28
1
$100,000.00
29
1
$2,534.10
30
1
$850.00
31
1
$46,400.00
32
6
$6,400.00
43
Attorney names are not provided, as CSF rules require confidentiality under certain circumstances.
SR-14
Table SR-14. FY 2023 Client Security Fund Payments
Attorney
43
Number of CSF
Claims Paid
Total Amount
Paid
33
1
$2,000.00
34
1
$15,000.00
35
1
$11,150.00
36
1
$100,000.00
37
1
$6,000.00
38
2
$8,203.36
39
1
$5,150.00
40
1
$5,327.57
41
7
$13,533.21
42
11
$323,789.76
43
10
$65,500.00
44
1
$10,000.00
45
1
$25,000.00
46
1
$2,228.66
47
1
$3,000.00
48
6
$11,515.00
49
1
$7,340.57
50
1
$3,495.50
51
2
$11,820.00
52
1
$20,000.00
53
1
$3,765.00
54
1
$59,000.00
55
2
$7,250.00
56
1
$1,173.60
57
1
$56,919.00
58
20
$81,220.00
59
3
$8,500.00
60
1
$2,676.50
61
3
$6,711.37
62
2
$14,000.00
63
3
$14,635.00
64
1
$5,720.00
65
1
$8,200.00
66
1
$3,000.00
67
1
$500.00
68
1
$1,000.00
69
2
$6,500.00
70
1
$2,235.00
71
1
$2,000.00
72
1
$2,000.00
73
2
$3,580.00
SR-14
Table SR-14. FY 2023 Client Security Fund Payments
Attorney
43
Number of CSF
Claims Paid
Total Amount
Paid
74
1
$35,582.10
75
1
$44,802.68
76
13
$108,535.00
77
1
$2,995.00
78
1
$2,395.09
79
1
$6,170.00
80
1
$3,000.00
81
2
$91,000.00
82
4
$94,238.89
83
6
$30,864.98
84
3
$84,808.00
85
1
$10,255.00
86
2
$24,194.44
87
2
$12,512.00
88
1
$4,880.04
89
1
$8,700.00
90
2
$12,000.00
91
2
$6,618.00
92
33
$140,130.00
93
1
$2,500.00
94
1
$11,500.00
95
5
$14,610.00
96
1
$13,513.17
97
1
$3,400.00
98
1
$5,145.00
99
1
$500.00
100
3
$5,250.00
101
1
$1,799.00
102
2
$1,500.00
103
1
$14,568.06
104
2
$30,000.00
105
3
$7,335.00
106
2
$4,001.00
107
3
$12,000.00
108
3
$126,000.00
109
1
$2,500.00
110
4
$39,078.01
111
1
$2,000.00
112
1
$6,700.00
113
1
$17,500.00
114
1
$2,240.00
SR-14
Table SR-14. FY 2023 Client Security Fund Payments
Attorney
43
Number of CSF
Claims Paid
Total Amount
Paid
115
2
$19,350.00
116
1
$5,550.00
117
1
$3,000.00
118
1
$53,333.34
119
7
$245,200.95
120
4
$86,875.00
121
1
$78,580.33
122
2
$5,400.00
123
1
$4,200.00
124
2
$10,400.70
125
1
$2,500.00
126
1
$14,981.25
127
4
$15,000.00
128
1
$7,000.00
129
1
$1,500.00
130
1
$107,364.27
131
1
$1,500.00
132
4
$26,578.67
133
1
$5,000.00
TOTAL
325
$3,659,265.58
SR-14
Table SR-14. FY 2022 Client Security Fund Payments
Attorney
44
Number of CSF
Claims Paid
Total Amount
Paid
1
1
$7,500.00
2
1
$1,000.00
3
3
$7,585.00
4
1
$1,956.00
5
1
$3,500.00
6
6
$154,632.67
7
1
$2,500.00
8
2
$22,666.68
9
1
$2,000.00
10
2
$32,995.00
11
1
$41,550.00
12
1
$5,000.00
13
1
$3,800.00
14
1
$5,740.00
15
1
$1,500.00
16
1
$100,000.00
17
1
$2,000.00
18
1
$10,000.00
19
2
$70,247.42
20
1
$5,075.00
21
1
$18,111.21
22
1
$4,000.00
23
1
$100,000.00
24
3
$17,407.64
25
1
$10,000.00
26
1
$13,666.67
27
22
$1,589,287.60
28
1
$7,000.00
29
3
$43,058.55
30
1
$3,095.00
31
4
$2,750.00
32
12
$41,399.87
33
29
$903,389.60
34
2
$6,000.00
35
1
$6,000.00
36
1
$3,000.00
37
1
$750.00
38
1
$17,326.75
44
Attorney names are not provided, as CSF rules require confidentiality under certain circumstances.
SR-14
Table SR-14. FY 2022 Client Security Fund Payments
Attorney
44
Number of CSF
Claims Paid
Total Amount
Paid
39
1
$20,000.00
40
1
$8,000.00
41
1
$300,000.00
42
1
$15,000.00
43
1
$5,000.00
44
1
$74,000.00
45
2
$105,000.00
46
1
$43,400.00
47
2
$110,074.93
48
1
$45,349.32
49
2
$2,333.00
50
3
$46,625.00
51
1
$100,000.00
52
1
$10,000.00
53
2
$33,900.00
54
1
$2,000.00
55
2
$8,875.00
56
2
$50,000.00
57
1
$70,061.64
58
1
$3,500.00
59
1
$3,440.00
60
1
$60,000.00
61
2
$185,000.00
62
9
$26,551.93
63
13
$100,100.00
64
1
$100,000.00
65
1
$3,750.00
66
1
$5,000.00
67
9
$45,109.00
68
1
$2,500.00
69
4
$92,978.89
70
1
$18,500.00
71
1
$10,000.00
72
1
$11,400.00
73
1
$37,315.32
74
1
$3,500.00
75
6
$19,700.00
76
1
$1,750.00
77
1
$1,500.00
78
1
$800.00
79
1
$6,500.00
SR-14
Table SR-14. FY 2022 Client Security Fund Payments
Attorney
44
Number of CSF
Claims Paid
Total Amount
Paid
80
1
$26,666.67
81
3
$68,997.14
82
1
$10,310.29
83
8
$15,860.00
84
1
$10,000.00
85
2
$107,235.32
86
1
$2,193.33
87
1
$933.33
88
1
$4,000.00
89
5
$237,178.86
90
3
$24,350.00
91
1
$3,500.00
92
1
$109,179.15
93
1
$5,000.00
94
2
$19,760.00
95
1
$2,144.00
96
2
$52,000.00
97
10
$112,344.90
98
1
$2,500.00
99
2
$4,150.00
100
1
$12,500.00
101
1
$1,900.00
102
1
$500.00
103
1
$1,475.00
104
3
$25,712.52
105
2
$6,235.00
106
1
$1,500.00
107
1
$6,200.91
TOTAL
261
$5,930,331.11
SR-14
Table SR-14. FY 2021 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
1
1
$20,000.00
2
1
$71,833.69
3
2
$6,240.00
4
1
$10,000.00
5
2
$9,504.95
6
3
$13,777.69
7
1
$300.00
8
1
$5,950.00
9
4
$42,333.34
10
1
$1,500.00
11
2
$3,000.00
12
1
$5,000.00
13
3
$10,750.00
14
1
$2,500.00
15
2
$12,000.00
16
1
$10,000.00
17
4
$10,322.50
18
2
$25,000.00
19
9
$28,700.00
20
3
$8,300.00
21
2
$129,566.91
22
2
$105,000.00
23
1
$6,000.00
24
1
$10,400.00
25
1
$3,500.00
26
1
$6,000.00
27
1
$5,000.00
28
1
$3,200.00
29
1
$14,350.00
30
1
$4,207.99
31
1
$13,420.00
32
2
$3,300.00
33
1
$3,000.00
34
1
$1,000.00
35
8
$70,700.00
36
1
$20,000.00
37
1
$10,000.00
38
1
$4,000.00
39
1
$1,020.00
SR-14
Table SR-14. FY 2021 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
40
2
$105,000.00
41
1
$87,629.60
42
1
$8,750.00
43
8
$85,706.88
44
5
$30,034.75
45
1
$8,400.00
46
1
$8,500.00
47
4
$99,390.61
48
1
$10,000.00
49
1
$4,192.50
50
1
$6,790.00
51
1
$4,000.00
52
1
$3,795.00
53
1
$26,810.00
54
1
$5,000.00
55
7
$156,954.75
56
2
$105,000.00
57
1
$10,000.00
58
1
$2,500.00
59
1
$10,000.00
60
2
$6,525.00
61
1
$3,000.00
62
1
$3,700.00
63
1
$13,500.00
64
4
$15,900.00
65
11
$62,150.00
66
1
$5,000.00
67
30
$115,037.55
68
1
$5,113.00
69
1
$18,000.00
70
1
$10,000.00
71
14
$438,414.18
72
1
$1,920.00
73
2
$7,000.00
74
2
$7,500.00
75
4
$9,495.00
76
1
$100,000.00
77
2
$18,200.00
78
1
$14,721.00
79
6
$53,840.00
SR-14
Table SR-14. FY 2021 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
80
1
$18,950.00
81
3
$200,500.00
82
1
$14,700.00
83
1
$1,850.00
84
1
$87,500.00
85
4
$45,500.00
86
1
$3,226.13
87
1
$10,000.00
88
1
$2,000.00
89
3
$15,200.00
90
1
$18,423.43
91
1
$3,500.00
92
1
$3,750.00
93
1
$1,500.00
94
1
$6,500.00
95
3
$115,401.96
96
1
$15,450.00
97
1
$2,180.00
98
2
$25,166.00
99
1
$100,000.00
100
2
$97,658.17
101
1
$4,000.00
102
1
$2,500.00
103
1
$12,000.00
104
1
$1,685.00
105
1
$2,500.00
106
1
$100,000.00
107
1
$50,000.00
108
2
$76,000.00
109
2
$12,000.00
110
1
$2,900.00
111
1
$1,739.56
112
3
$88,744.00
113
1
$10,000.00
114
14
$304,614.68
115
2
$68,232.88
116
2
$100,000.00
117
1
$7,000.00
118
3
$10,210.00
119
1
$1,200.00
SR-14
Table SR-14. FY 2021 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
120
1
$1,740.00
121
1
$29,000.00
122
1
$1,500.00
123
1
$6,010.00
124
7
$673,497.02
125
1
$105,000.00
126
1
$1,500.00
127
4
$287,850.00
128
1
$3,500.00
129
1
$100,000.00
130
1
$3,000.00
131
1
$2,420.00
132
1
$2,000.00
133
1
$2,400.00
134
2
$57,800.00
135
1
$2,400.00
136
8
$245,675.84
137
1
$73,014.71
138
3
$9,000.00
139
15
$114,275.00
140
2
$6,413.53
141
4
$15,675.00
142
1
$7,500.00
143
3
$26,267.00
144
2
$4,375.00
145
2
$9,509.00
146
2
$178,847.62
147
3
$3,464.00
148
1
$5,025.00
149
1
$8,721.67
150
2
$3,090.00
151
1
$6,435.00
152
28
$142,966.54
153
2
$7,000.00
154
1
$2,000.00
155
4
$23,300.00
156
1
$2,500.00
157
1
$950.00
158
1
$7,749.95
159
1
$25,000.00
SR-14
Table SR-14. FY 2021 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
160
1
$16,666.67
161
1
$1,500.00
162
2
$15,800.00
163
1
$1,500.00
164
3
$29,735.46
165
1
$500.00
166
1
$86,494.58
167
3
$4,750.00
168
20
$37,815.00
169
1
$10,000.00
170
1
$8,000.00
171
2
$4,231.50
172
13
$74,142.74
173
1
$15,000.00
174
1
$6,000.00
175
3
$53,750.00
176
1
$3,325.00
177
2
$82,325.00
178
1
$2,000.00
179
1
$30,000.00
180
1
$11,000.00
181
1
$14,327.70
182
1
$5,000.00
183
1
$2,435.00
184
1
$3,480.00
185
2
$13,736.81
186
1
$10,000.00
187
2
$16,010.33
188
1
$2,000.00
189
2
$5,000.00
190
2
$95,652.68
191
1
$1,500.00
192
31
$258,050.00
193
5
$18,300.00
194
1
$4,500.00
195
1
$3,500.00
196
1
$3,000.00
197
2
$17,354.49
198
1
$8,082.76
199
3
$3,080.00
SR-14
Table SR-14. FY 2021 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
200
1
$1,500.00
201
1
$900.00
202
5
$16,350.00
203
7
$88,364.94
204
1
$100,000.00
205
1
$17,260.49
206
4
$8,000.00
207
1
$2,500.00
208
3
$84,079.03
209
1
$1,800.00
210
2
$1,250.00
211
1
$72,400.00
212
1
$14,975.00
213
1
$860.00
214
1
$1,200.00
215
1
$7,500.00
216
1
$25,000.00
217
9
$131,273.00
218
1
$1,000.00
219
1
$15,000.00
220
1
$30,000.00
221
1
$5,000.00
222
1
$4,500.00
223
2
$5,200.00
224
1
$21,366.03
225
1
$7,500.00
226
1
$2,025.00
227
2
$178,547.80
TOTAL
566
$8,075,697.59
SR-14
Table SR-14. FY 2020 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
1
1
$4,509.00
2
1
$2,350.20
3
1
$3,000.00
4
7
$120,144.94
5
1
$325.00
6
1
$2,494.00
7
1
$1,500.00
8
2
$11,087.50
9
5
$22,400.00
10
2
$23,210.00
11
1
$3,000.00
12
1
$1,500.00
13
3
$8,650.00
14
1
$116,000.00
15
1
$100,000.00
16
1
$6,505.00
17
1
$12,600.00
18
1
$2,040.66
19
1
$2,500.00
20
1
$3,000.00
21
1
$3,500.00
22
2
$2,200.00
23
1
$5,100.00
24
7
$24,960.00
25
38
$255,948.00
26
1
$2,500.00
27
1
$6,200.00
28
2
$17,600.00
29
24
$57,196.03
30
1
$6,035.00
31
1
$6,500.00
32
1
$1,000.00
33
1
$100,000.00
34
1
$20,700.00
35
1
$5,000.00
36
1
$12,500.00
37
45
$294,543.66
38
1
$15,166.20
39
5
$80,613.05
SR-14
Table SR-14. FY 2020 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
40
13
$32,263.01
41
1
$900.00
42
1
$5,563.00
43
1
$11,000.00
44
3
$23,500.00
45
3
$63,460.35
46
1
$600.00
47
3
$7,000.00
48
1
$6,000.00
49
9
$165,070.04
50
2
$8,556.00
51
1
$1,995.00
52
1
$2,412.00
53
6
$65,455.00
54
6
$42,579.55
55
1
$4,000.00
56
1
$4,762.00
57
3
$9,000.00
58
1
$7,000.00
59
1
$20,000.00
60
1
$4,000.00
61
5
$147,818.96
62
1
$6,000.00
63
37
$144,684.63
64
14
$36,000.00
65
1
$5,000.00
66
1
$7,400.00
67
1
$7,000.00
68
4
$7,500.00
69
1
$12,500.00
70
1
$4,333.00
71
1
$16,000.00
72
1
$3,500.00
73
2
$1,885.00
74
1
$10,000.00
75
1
$2,700.00
76
1
$200,000.00
77
1
$2,500.00
78
1
$4,500.00
79
1
$1,366.67
SR-14
Table SR-14. FY 2020 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
80
1
$3,600.00
81
1
$16,000.00
82
2
$3,500.00
83
5
$115,867.88
84
1
$12,020.00
85
10
$44,235.00
86
1
$20,960.00
87
4
$35,227.01
88
2
$25,360.00
89
3
$10,886.58
90
1
$16,500.00
91
75
$2,491,442.90
92
12
$575,505.00
93
1
$9,333.28
94
1
$12,134.90
95
1
$64,000.00
96
6
$21,655.00
97
1
$2,000.00
98
2
$18,000.00
99
1
$2,650.00
100
1
$9,475.00
101
1
$75,502.00
102
3
$8,561.00
103
1
$30,000.00
104
12
$53,700.00
105
3
$11,200.00
106
1
$41,125.00
107
1
$4,000.00
108
1
$5,000.00
109
1
$900.00
110
3
$4,386.00
111
1
$1,500.00
112
1
$2,500.00
113
5
$46,955.46
114
1
$3,500.00
115
1
$10,000.00
116
1
$2,834.00
117
1
$3,495.00
118
1
$15,166.20
119
2
$5,781.00
SR-14
Table SR-14. FY 2020 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
120
1
$7,500.00
121
1
$2,000.00
122
1
$10,000.00
123
1
$1,100.00
124
1
$8,500.00
125
1
$6,200.00
126
1
$5,901.42
127
1
$100,000.00
128
1
$1,700.00
129
1
$10,000.00
130
1
$2,500.00
131
8
$24,977.86
132
2
$2,400.00
133
1
$12,000.00
134
1
$8,970.00
135
9
$74,908.00
136
1
$2,895.00
137
1
$2,995.00
138
1
$16,850.00
139
1
$18,712.67
140
1
$1,396.00
141
1
$3,500.00
142
1
$4,259.75
143
1
$36,632.00
144
4
$47,866.67
145
1
$2,935.00
146
1
$5,200.00
147
1
$21,007.14
148
1
$214.61
149
1
$2,500.00
150
1
$10,800.00
151
3
$73,500.06
152
1
$510.00
153
5
$24,450.00
154
1
$13,430.00
155
1
$100,000.00
156
1
$4,300.00
157
2
$90,000.00
158
1
$100,000.00
159
1
$500.00
SR-14
Table SR-14. FY 2020 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
160
1
$700.00
161
1
$1,700.00
162
1
$3,000.00
163
1
$1,000.00
164
2
$49,774.00
165
1
$14,500.00
166
3
$12,500.00
167
2
$4,027.20
168
3
$8,750.00
169
2
$12,445.00
170
1
$56,936.00
171
1
$4,000.00
172
28
$264,989.48
173
1
$1,000.00
174
2
$4,149.00
175
1
$4,000.00
176
1
$5,000.00
177
2
$10,000.00
178
1
$3,000.00
179
42
$567,792.22
180
1
$10,000.00
181
1
$2,500.00
182
1
$4,400.00
183
3
$6,920.00
184
1
$1,106.00
185
1
$10,000.00
186
1
$6,944.77
TOTAL
650
$8,240,585.51
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
1
1
$18,450.00
2
1
$8,625.00
3
1
$600.00
4
1
$4,040.00
5
20
$82,310.79
6
1
$22,750.00
7
1
$3,495.00
8
1
$1,920.00
9
1
$5,000.00
10
1
$3,245.00
11
1
$5,000.00
12
9
$148,594.17
13
2
$12,550.00
14
6
$25,000.00
15
3
$41,500.00
16
1
$85,000.00
17
1
$2,500.00
18
48
$201,904.99
19
1
$30,000.00
20
2
$13,100.00
21
3
$56,000.00
22
1
$5,000.00
23
1
$2,800.00
24
1
$39,613.34
25
20
$68,900.00
26
1
$5,000.00
27
4
$20,700.00
28
2
$2,185.00
29
2
$5,000.00
30
1
$41,180.00
31
2
$25,600.00
32
1
$1,045.00
33
1
$3,200.00
34
1
$6,000.00
35
2
$44,980.99
36
1
$5,660.00
37
1
$5,000.00
38
1
$183,500.00
39
1
$75,951.00
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
40
1
$900.00
41
3
$10,000.00
42
12
$78,120.00
43
1
$1,995.00
44
9
$52,317.32
45
3
$54,025.00
46
122
$274,440.59
47
1
$3,975.00
48
1
$46,930.00
49
1
$3,000.00
50
22
$161,818.96
51
2
$14,500.00
52
7
$82,500.00
53
2
$10,000.00
54
9
$26,400.90
55
1
$2,685.00
56
1
$625.00
57
1
$7,000.00
58
1
$2,995.00
59
3
$72,150.00
60
1
$10,000.00
61
1
$66,666.66
62
1
$4,221.18
63
1
$3,300.00
64
1
$10,000.00
65
1
$2,500.00
66
3
$77,269.83
67
1
$40,080.00
68
21
$71,460.50
69
1
$9,301.00
70
1
$5,400.00
71
1
$1,500.00
72
2
$110,000.00
73
2
$9,175.00
74
1
$200,000.00
75
1
$50,000.00
76
1
$2,000.00
77
1
$4,500.00
78
2
$34,048.00
79
6
$17,480.00
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
80
1
$30,000.00
81
2
$50,018.15
82
1
$1,200.00
83
2
$47,329.00
84
1
$3,000.00
85
1
$17,922.70
86
4
$86,286.00
87
1
$500.00
88
1
$4,250.00
89
1
$3,250.00
90
3
$101,243.93
91
1
$3,333.34
92
1
$7,195.00
93
1
$1,000.00
94
1
$68,854.42
95
1
$1,500.00
96
2
$21,668.00
97
1
$6,000.00
98
1
$4,000.00
99
1
$1,500.00
100
2
$15,947.31
101
1
$2,000.00
102
1
$24,500.00
103
1
$16,000.00
104
1
$1,000.00
105
2
$38,000.00
106
3
$146,763.32
107
1
$2,000.00
108
3
$2,845.00
109
1
$3,300.00
110
3
$11,050.00
111
2
$15,835.00
112
1
$60,000.00
113
1
$32,500.00
114
4
$18,757.00
115
12
$547,394.01
116
1
$24,000.00
117
1
$3,000.00
118
1
$3,000.00
119
1
$15,000.00
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
120
5
$14,500.00
121
1
$1,500.00
122
39
$244,335.00
123
2
$17,900.00
124
1
$2,000.00
125
5
$12,922.50
126
1
$2,000.00
127
1
$9,666.34
128
1
$3,393.02
129
1
$3,500.00
130
1
$12,000.00
131
2
$9,076.50
132
2
$12,749.81
133
1
$60,000.00
134
1
$100,000.00
135
4
$33,323.32
136
1
$2,000.00
137
3
$10,000.00
138
14
$76,935.00
139
2
$7,991.50
140
2
$157,307.00
141
6
$20,335.00
142
1
$3,000.00
143
11
$301,864.43
144
4
$80,813.00
145
1
$300.00
146
6
$21,000.00
147
2
$3,100.00
148
2
$2,000.00
149
6
$20,356.00
150
1
$1,585.00
151
1
$1,800.00
152
1
$15,568.00
153
1
$40,834.36
154
3
$4,500.00
155
1
$4,250.00
156
1
$15,000.00
157
1
$2,774.00
158
4
$66,666.68
159
1
$15,000.00
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
160
16
$56,313.47
161
1
$100,000.00
162
2
$62,651.55
163
1
$100,000.00
164
2
$4,300.00
165
2
$2,500.00
166
1
$1,750.00
167
1
$1,200.00
168
4
$8,000.00
169
8
$20,440.54
170
1
$37,403.94
171
1
$8,370.00
172
1
$3,400.00
173
1
$15,000.00
174
1
$950.00
175
4
$15,995.00
176
1
$1,000.00
177
1
$5,000.00
178
1
$3,825.00
179
29
$209,755.60
180
1
$74,900.00
181
1
$1,977.50
182
1
$21,000.00
183
1
$75,855.84
184
6
$21,210.00
185
2
$32,050.00
186
1
$2,700.00
187
1
$10,000.00
188
1
$3,500.00
189
1
$600.00
190
1
$67,065.75
191
2
$22,500.00
192
3
$49,300.00
193
1
$3,591.52
194
1
$1,950.00
195
1
$15,000.00
196
1
$50,000.00
197
1
$100,000.00
198
2
$11,952.63
199
1
$10,000.00
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
200
1
$5,031.00
201
1
$2,440.00
202
1
$3,750.00
203
1
$6,500.00
204
2
$5,102.00
205
1
$4,000.00
206
1
$5,000.00
207
2
$12,045.00
208
3
$95,480.00
209
4
$68,423.98
210
4
$18,000.00
211
1
$5,000.00
212
3
$5,200.00
213
3
$5,706.00
214
1
$2,850.00
215
4
$5,640.00
216
2
$9,895.00
217
1
$12,000.00
218
2
$52,000.00
219
2
$10,400.00
220
1
$4,466.00
221
1
$2,333.33
222
1
$2,495.00
223
1
$4,965.55
224
4
$12,350.00
225
4
$10,100.00
226
1
$1,500.00
227
3
$9,395.00
228
7
$16,150.00
229
5
$8,735.00
230
3
$37,418.41
231
3
$82,600.00
232
1
$10,500.00
233
1
$1,500.00
234
1
$22,750.00
235
1
$100,000.00
236
1
$2,880.00
237
5
$20,000.00
238
1
$3,000.00
239
5
$58,151.00
SR-14
Table SR-14. FY 2019 Client Security Fund Payments
Attorney
Number of CSF
Claims Paid
Total Amount
Paid
240
13
$38,705.00
241
1
$5,000.00
242
2
$30,800.00
243
56
$564,850.27
244
2
$6,500.00
245
2
$5,150.00
246
8
$25,000.00
247
2
$18,186.04
248
1
$1,635.00
249
1
$2,000.00
250
1
$650.00
251
1
$2,000.00
252
2
$6,200.00
253
1
$6,500.00
254
2
$950.00
255
1
$500.00
256
2
$6,000.00
257
1
$3,500.00
258
1
$7,500.00
259
2
$5,985.00
260
1
$137,375.16
261
4
$20,500.00
262
2
$26,500.00
263
2
$9,575.00
264
1
$3,500.00
265
1
$5,000.00
266
1
$12,766.50
267
1
$74,100.00
268
3
$140,823.00
269
1
$2,500.00
270
1
$3,500.00
271
2
$4,000.00
272
1
$20,000.00
TOTAL
940
$8,981,480.44
SR-15
Cost of the Discipline System
Section 6086.15, subdivision (a)(11) An accounting of the cost of the discipline system by
function
Table SR-15 reflects the cost of programs included in the Supreme Court’s November 2016
order approving an interim special regulatory assessment, which authorized the State Bar to
assess 2017 attorney licensing fees for discipline-related functions.
45
Table SR-15 Cost of the Discipline System FY 2019 FY 2020 FY 2021
Chief Trial Counsel
$47,283,614
$56,816,480
$59,527,958
Probation
$1,491,859
$1,847,959
$1,821,285
Mandatory Fee Arbitration
$78,487
$68,541
$33,436
State Bar Court
$12,015,144
$13,541,255
$13,696,960
Professional Competence
$2,647,774
$2,919,868
$2,861,989
Regulation Division
$5,177,381
$5,577,749
$5,644,334
Communications (70%)
46
$521,774
$699,547
$719,692
Licensee Billing
$380,888
$385,415
$758,501
General Counsel
$2,811,561
$3,120,330
$4,356,820
Total $72,408,483
$84,977,144
$89,420,974
Table SR-15 Cost of the Discipline System (cont.) FY 2022 FY 2023
Chief Trial Counsel
$61,171,413
$68,512,101
Probation
$1,821,057
$1,990,858
Mandatory Fee Arbitration
$30,822
$662,423
State Bar Court
$13,908,598
$14,555,248
Professional Competence
$3,488,214
$4,030,422
Regulation Division
$6,362,273
$6,624,249
Communications (70%)
$752,488
$1,219,897
Licensee Billing
$816,752
$706,678
General Counsel
$4,111,875
$6,005,916
Total $92,463,493
$104,307,793
45
The court’s order included funding for activities of the California Young Lawyers Association (CYLA) related to the
discipline system. The CYLA is no longer a part of the State Bar, so those costs are not included in table SR-15. The
court’s order also referenced Attorney Regulation & Consumer Resources, a function now captured under the
header Regulation Division.
46
This percent reflects the portion of Office of Communications resources devoted to its principal roles, which are
to help Californians understand how to access the resources of the discipline system and to ensure that attorneys
understand their professional ethical obligations.
A-1
APPENDIX A: GLOSSARY OF ATTORNEY DISCIPLINE REPORT TERMINOLOGY
The State Bar Act (section 6000 et seq.) and Rules of Procedure adopted by the State Bar Board
of Trustees to govern proceedings in the State Bar Court include definitions of many technical
terms used in the State Bar’s discipline system. Definitions of some of those key terms, as well
as definitions of data elements used in this report, are presented here.
Case: An individual complaint, Office of Probation referral, State Bar initiated inquiry,
reportable action, motion to enforce fee arbitration, motion to revoke probation, motion to
terminate practice,
*
or motion to impose interim suspension or license restrictions (petitions
pursuant to section 6007).
Case Initiation Date:
• For complaints: the date on which the written complaint is received in the Intake
Unit.
47
• For probation referrals: the date on which the referral is received in OCTC.
• For State Bar initiated inquiries: the date on which the inquiry is received in the
Intake Unit.
• For reportable actions: the date on which the report is received in the Intake Unit.
• For motions to enforce fee arbitration: the date on which the Mandatory Fee
Arbitration Program files the motion in State Bar Court.
• For motions to revoke probation: the date on which the Office of Probation files the
motion in State Bar Court.
• For petition to terminate practice:
*
the date on which the case is opened in the
Intake Unit.
• For petition to impose interim suspension or license restrictions pursuant to section
6007: the date on which the case is opened in the Intake Unit.
Complaint: A written complaint submitted by a complaining witness to OCTC:
• A single written complaint that lists multiple respondents is counted as a separate
complaint against each respondent.
• A single written complaint signed by multiple complaining witnesses (e.g. a married
couple) against a respondent is counted as one complaint.
• Independently submitted written complaints against a single respondent are counted
separately.
*
While section 6086.15 directs the State Bar to report on “motions to terminate practice,” the State Bar refers to
these as “motions to assume jurisdiction pursuant to section 6180 or 6190 (for attorneys) or 6126.3 (for
nonattorneys).”
47
Complaints received after 4:30 p.m. or on non-business days are deemed received on the next business day.
APPENDIX A
A-2
Court Closing Date:
• For cases filed in State Bar Court: the date the court records as the closing date of the
case.
• For initial 6180/6190/6126.3 petitions filed in Superior Court resulting in denial or
dismissal of OCTC’s petition: the date on which OCTC closes the case.
• For initial 6180/6190/6126.3 petitions filed in Superior Court resulting in Superior
Court jurisdiction (i.e., granting the petition): the case remains open until OCTC
closes the case following the Superior Court granting a petition to terminate Superior
Court jurisdiction.
48
Demographics: In 2019, the State Bar launched the Attorney Census data collection effort to
support the five-year strategic plan’s commitment to diversity, equity, and inclusion in the legal
profession. This voluntary annual survey collects demographic data including race/ethnicity and
gender. The question on race/ethnicity provides the following options, with multiple selections
allowed:
• Hispanic/Latino
• Asian
• White
• Black or African American
• Middle Eastern or North African
• American Indian or Alaska Native
• Native Hawaiian or Other Pacific Islander
• Other race, ethnicity, or origin (please specify):
The gender question provides the following options, again with multiple selections allowed:
• Female
• Male
• Gender Variant/Nonconforming/Nonbinary
• Two Spirit
• Not list (please specify):
For reporting purposes, the race/ethnicity of disciplined attorneys was limited to the largest
groups with the remaining categories consolidated into a single category (“Other”). Similarly,
the latter three gender categories were consolidated. The final set of reporting categories are
as follows:
Race/ethnicity
• Hispanic/Latino
• Asian
• White
Gender
• Women
• Men
• Other
48
This may occur many months or years after the initial assumption of jurisdiction petition is granted.
APPENDIX A
A-3
• Black or African American
•
Other
Given the voluntary nature of the survey, an “unknown” category is included to capture those
who did not provide the information, or in rare instances, provided information that cannot be
appropriately categorized.
The Attorney Census serves as primary data source for the analyses of discipline attorneys.
State Bar exam takers are also asked to provide demographic information when they apply to
take the exam. This data source is available for admitted attorneys since the late 1980s. The
final dataset used for the demographic reporting was derived from consolidating these two
data sources, with remapping and regrouping some answer options that have changed over the
years. In this consolidated dataset, approximately 5 percent of active attorneys have missing
data on race/ethnicity or gender.
Dispositions (OCTC):
• Closed with Nondisciplinary Action: Closed with a warning letter, directional letter,
resource letter, or agreement in lieu of discipline.
• Closed with Referral: Closed upon referral to other processes or agencies, including
mandatory fee arbitration, law enforcement,
49
and alternative dispute resolution.
• Filed in State Bar Court: Formal filing, including Notice of Disciplinary Charges,
Stipulation to Facts and Discipline, transmittal of a criminal conviction case, or
petition pursuant to section 6007.
• Filed in Superior Court: Petition pursuant to section 6180, section 6190, or section
6126.3 filed in superior court.
• Closed with No Action: Closed by OCTC with no further action.
Dispositions (State Bar Court):
• For complaints, State Bar Inquiries, Probation Referrals, and Reportable Actions:
o Discipline Imposed: Disbarment, suspension, probation, reproval, revocation of
probation, or extension of probation.
50
o Closed with Nondisciplinary Action: Admonition or the granting of a petition
pursuant to section 6007.
o Closed with No Action: Closed by the court with dismissal, termination, or denial
of petition.
49
A referral to a law enforcement agency is not, by itself, a reason for closing a case; this disposition captures the
number of closed cases that included a referral to a law enforcement agency.
50
A case is disposed with “Discipline Imposed” only after a final order of the California Supreme Court imposing
discipline becomes effective, or when the State Bar Court issues a reproval.
APPENDIX A
A-4
Dispositions (Superior Court):
• Petition Granted: Initial petition for assumption of jurisdiction pursuant to section
6180, section 6190, or section 6126.3
51
is granted by a superior court.
• Petition Denied/Dismissed: Closed upon denial or dismissal by the court of an initial
petition to assume jurisdiction over a practice pursuant to section 6180, section 6190,
or section 6126.3.
Initial Filing Date: The date on which a case is formally filed in State Bar Court or Superior Court
by OCTC, Probation, or the Mandatory Fee Arbitration Program.
Major Case:
• A case involving significant publicity, or the likelihood of significant publicity, or
involving issues of special interest to the public, the legal profession, or the State Bar.
o This category includes matters involving allegations of significant harm or
potential harm, to clients or others, likely to generate publicity or be of special
interest to the public.
o This category also includes allegations that a prosecutor has engaged in
misconduct in the course of a criminal prosecution, if a court or government
office (such as the U.S. Department of Justice’s Office of Professional
Responsibility or a District Attorney’s Office) has found such misconduct to have
occurred, whether or not the prosecutorial misconduct resulted in harm.
o This category also includes matters that have already generated significant
publicity, for example, matters that have been the subject of legislative inquiries
or extensive media reports.
o This category also includes matters with the potential to generate significant
criticism of the State Bar if there is disagreement with the outcome of the
investigation. Such matters may include allegations of repeated or serious
misconduct where multiple earlier complaints alleging similar misconduct did not
result in action by the State Bar.
o This category may overlap with the more specific categories below, including
where a matter in one of those more specific categories has already generated
or is likely to generate significant publicity, has resulted in significant harm or
potential harm, or has the potential to generate significant criticism of the State
Bar. Such matters should be designated as falling within both this category and
the more specific category.
• A case referred to the State Bar by the Supreme Court or the Commission on Judicial
Performance.
51
This is treated as the disposition of the case for the purposes of the Annual Discipline Report. However, the case
technically remains open until the seized practice is fully resolved, which often takes years.
APPENDIX A
A-5
• A case involving a complaint submitted by an elected or appointed public official, judge,
or well-known public figure.
• A case involving allegations of misconduct by an elected or appointed public official or
well-known public figure.
o This category includes allegations of misconduct of any type by elected or
appointed District Attorneys, City Attorneys, County Counsel, Attorneys General,
United States Attorneys, or Public Defenders, who are considered public officials,
or high-ranking supervisors or managers within their offices.
o This category also includes allegations that a prosecutor has engaged in
misconduct in the course of a criminal prosecution, even in the absence of a
finding by a court or government office (such as the U.S. Department of Justice’s
Office of Professional Responsibility) that such misconduct has occurred.
• A case involving investigation of a respondent who has been reinstated to the practice
of law following disbarment or resignation with disciplinary charges pending.
Motion to Enforce Result of Fee Arbitration: A motion filed in State Bar Court by the State
Bar’s Mandatory Fee Arbitration Program to enforce the outcome of a binding fee arbitration.
52
Motion to Revoke Probation: A motion filed by Probation in State Bar Court to revoke
probation of a licensed attorney under Probation supervision.
53
Pendency in State Bar Court: Number of days from the Case Initiation Date to the Court Closing
Date.
54
Pendency in Superior Court: Number of days from the Case Initiation Date until the date the
Superior Court ruled to either grant or deny the initial petition to assume jurisdiction over a
practice pursuant to section 6180, section 6190, or section 6126.3.
Pendency: Number of days between the Case Initiation Date and a specified milestone. Note
that Pendency is always calculated from the original Case Initiation Date, regardless of whether
the case has been closed and reopened.
• Pendency at Year End in OCTC: for cases Pending in OCTC at year end, the number of
days between the Case Initiation Date and period end.
• Pendency at Year End in State Bar Court: for cases Pending in State Bar Court at year
end, the number of days between the Case Initiation Date and period end.
52
OCTC plays no role in these proceedings.
53
OCTC plays no role in these proceedings.
54
Includes any appellate review and time taken to receive the final order from the Supreme Court as well as any
time during which proceedings are abated while a respondent is participating in the Alternative Discipline Program
(ADP), which provides monitored support for attorneys receiving substance abuse or mental health treatment who
have stipulated to certain facts, conclusions of law, and the level of discipline to be imposed in State Bar Court,
prior to entering the ADP.
APPENDIX A
A-6
• Pendency at OCTC Case Disposition: the number of days between the Case Initiation
Date and the date the case was either closed or filed in State Bar Court.
• Pendency at Closure: for cases closed during a particular year, the number of days
between the Case Initiation Date and the date the case was closed.
Petition to Impose Interim Suspension or License Restrictions: A petition filed by OCTC in State
Bar Court pursuant to section 6007.
Petition to Terminate Practice: A petition filed by OCTC in Superior Court to close down and
assume responsibility for the practice of an attorney, former attorney, or nonattorney pursuant
to section 6180, section 6190, or section 6126.3
Probation Referral: Notification from Probation to OCTC of the failure of an attorney under
Probation supervision to comply with the terms of probation.
Reportable Action: A report of an event statutorily mandated to be reported to the State Bar:
• Self-Reported: Reports received from licensed attorneys regarding themselves
pursuant to section 6068, subdivision (o) and section 6086.8, subdivision (c).
• Other-Reported: Reports received from specified mandated reporters pursuant to
section 6086.7, section 6086.8, subdivisions (a) and (b), section 6091.1, section 6101,
subdivision (b), and section 6175.6.
State Bar Initiated Inquiry: An inquiry into possible misconduct of an attorney initiated by OCTC
based on information other than a written complaint, Probation referral, or reportable action.
Suspended matters: Matters that are abated by OCTC or after filing in State Bar Court. This
action is usually taken where there are other investigations or cases pending against a
respondent and prosecution of those other complaints is likely to result in disbarment of the
lawyer.
Unauthorized Practice of Law (UPL): Active State Bar license status is a requirement for
practicing law in California. State Bar Rules, as well as state law, provide authority to investigate
UPL, seek civil penalties, assume jurisdiction over the practice, and refer violations to law
enforcement authority. These activities may be directed toward attorneys licensed in other
states but not in California; suspended, disbarred, or otherwise inactive or formerly licensed
California attorneys; and those who have never been licensed to practice law.
B-1
APPENDIX B: POTENTIAL CONFLICTS OF INTEREST: RULE 2201
The purpose of State Bar Rule of Procedure 2201 is to ensure impartiality in disciplinary
decision-making and to avoid the appearance of bias. Rule of Procedure 2201 requires the
recusal of the Office of Chief Trial Counsel in any case involving individuals with close ties to the
State Bar. Pursuant to Rule 2201, all complaints against attorneys who are identified as falling
into a Rule 2201 category are automatically referred to a Special Deputy Trial Counsel (SDTC)
Administrator, who conducts a preliminary review to determine whether to close the matter or
appoint an SDTC to investigate the matter further. The rule allows the administrator and SDTC
to be compensated for services rendered and for reimbursement of costs and expenses in all
rule 2201 matters. Table B provides information about cases falling under Rule 2201.
Table B. Complaints Subject to Rule 2201
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Closed without Investigation
157
84
136
65
147
Closed after Investigation
39
41
76
27
62
Pending Assignment to SDTC
19
2
5
24
3
Pending in Investigation
67
103
55
53
49
Total
282
230
272
169
261
C-1
APPENDIX C: CALIFORNIA’S ATTORNEY DISCIPLINE SYSTEM
In California, an attorney is licensed when admitted to the State Bar; only attorneys with active status
may practice law. The State Bar is a constitutional agency established in the judicial branch. In
administering the requirements for admission and discipline of California lawyers, the State Bar is an
administrative arm of the California Supreme Court. Under its inherent judicial power to regulate
admission and discipline, it is the Supreme Court that admits, disbars, or suspends a lawyer from the
practice of law.
In California’s attorney discipline system, communication and information concerning alleged
misconduct of California lawyers is handled by the State Bar’s Office of Chief Trial Counsel (OCTC).
OCTC investigates those complaints involving allegations of professional misconduct and may initiate
and prosecute disciplinary proceedings in State Bar Court. The Hearing Department of the court
conducts evidentiary hearings and renders a decision with findings and recommendations of discipline
that are reviewable by the court’s Review Department. In each case, the court’s final decision and
accompanying record are then transmitted to the Supreme Court. In cases where the court
recommends the suspension or disbarment of a lawyer, the Supreme Court undertakes an
independent determination of the discipline to be imposed. Discipline occurs with a final decision and
order of the Supreme Court.
55
Following is a more detailed description of the attorney discipline
process.
INQUIRY
The disciplinary process typically begins with receipt of a written complaint in OCTC. Staff in OCTC
receive and review complaints that allege ethical misconduct by an attorney or the unauthorized
practice of law by a nonattorney. OCTC conducts the initial review of a complaint to determine
whether to close it or forward it for investigation. If a complaint sufficiently alleges misconduct, OCTC
assigns it for investigation. If it does not, OCTC closes the complaint.
Some complaints lack sufficient detail to allow OCTC to make an informed decision at the outset as to
whether or not to assign a case for investigation. In these cases, OCTC will seek additional information
to determine the next steps. This information gathering may involve contacting the complainant,
reviewing court records, searching the internet, or conducting legal research. For example, in
evaluating an allegation of failing to perform competently, if it is unclear whether an attorney-client
relationship exists, OCTC will contact the complainant to try to secure a fee agreement or other
evidence of such a relationship. If a complaint involves a violation of a court order, OCTC will attempt
to obtain a copy of the order if it is not included with the complaint. If a complaint alleges failure to
return an unearned fee, OCTC may request billing statements or an accounting to determine if there is
a plausible claim of misconduct, and may assist the complainant in recovering fees from the
respondent.
55
Public and private reprovals are also considered formal discipline; issuance of a reproval by the court does not require
Supreme Court action.
APPENDIX C
C-2
INVESTIGATION
Investigations are carried out by investigators in OCTC, under the guidance and supervision of OCTC
attorneys. Investigators may interview witnesses and respondents, subpoena and analyze bank
records, obtain court documents, and otherwise evaluate and analyze the case to determine whether
there is clear and convincing evidence of attorney misconduct that would allow OCTC to bring
disciplinary proceedings in court. After a determination to proceed with disciplinary proceedings, the
complaint advances to the prefiling stage.
When multiple complaints are made against the same attorney, OCTC may focus its resources and
prosecutorial efforts on those complaints most likely to result in disbarment. In such an event, the
investigation of the other complaints may be suspended or “held.” If the Supreme Court orders the
attorney's disbarment, prosecution of the suspended cases will no longer be necessary and the
remaining complaints will not be investigated further.
56
If the attorney is not disbarred, however, OCTC
may reactivate any suspended investigations. If an attorney is the subject of a criminal prosecution or
party to civil action for the same misconduct, OCTC may suspend its investigation until the criminal or
civil proceedings have concluded.
PREFILING
Before finalizing formal charges, OCTC evaluates the evidence gathered during the investigation and
any subsequent information received from the respondent or other source. Where OCTC has
determined there is sufficient evidence to file a Notice of Disciplinary Charges, OCTC will notify the
respondent in writing of the intent to file such charges and the attorney’s right to request a
confidential Early Neutral Evaluation (ENE) conference. Either party may request an ENE before a State
Bar Court judge who will orally evaluate the facts, charges, and potential for discipline. Prior to the
ENE, OCTC must provide the ENE judge with a draft or summary of the charges and OCTC’s settlement
position. Regardless of whether either party requests an ENE, OCTC also provides the respondent an
opportunity to request informal discovery and to discuss potential settlement. If the parties are unable
to reach a resolution or the respondent does not respond to OCTC’s written notice, OCTC will proceed
to file charges.
After the filing of formal charges, the parties may explore the appropriateness of participation in the
Alternative Discipline Program (ADP) for respondents with substance abuse and/or mental health
concerns. Participation is contingent upon the following: (1) the court’s approval of a stipulation of
facts and conclusions of law signed by the parties; (2) evidence that the respondent’s substance abuse
or mental health issue causally contributed to the misconduct; and (3) respondent’s acceptance into
the State Bar’s Lawyer Assistance Program (LAP). The extent and severity of the respondent’s
stipulated misconduct, including the degree of harm suffered by their clients, if any, are factors in
determining eligibility for the ADP. The stipulation includes the level of discipline that will be imposed if
the program is completed successfully, and a higher level of discipline that will be imposed if the
attorney does not complete the program. If the respondent successfully completes the ADP, the
disposition may be dismissal of the charges or proceeding or some other level of discipline less than
56
Complainants in cases dismissed under these circumstances are eligible for reimbursement through the Client Security
Fund.
APPENDIX C
C-3
disbarment; if the respondent does not complete the ADP, the higher level of discipline will be
imposed.
HEARING AND REVIEW
After the filing of disciplinary charges, OCTC prosecutes the case in the Hearing Department, which is
the trial level of the court. Five full-time judges hear and decide cases, and make recommendations to
the Supreme Court in cases where proposed discipline includes suspension or disbarment. If the
discipline is limited to reproval, it is imposed by the court without review by the Supreme Court.
The Review Department is the appellate level of the State Bar Court, consisting of the presiding judge
and two other review judges. The three-judge panel acts on a statewide basis to conduct de novo
reviews of Hearing Department decisions and orders in cases in which at least one of the parties has
sought review. Review judges review and decide cases, and make recommendations to the Supreme
Court in cases in which one or both of the parties have sought review of a Hearing judge’s decision,
exercise temporary suspension and other powers delegated to it by the Supreme Court according to
rule 9.10, California Rules of Court; and conduct discretionary interlocutory review on issues materially
affecting the outcome of the Hearing Department cases.
SUPREME COURT
Upon the filing of the court’s decision and the record, the Supreme Court conducts its own
independent determination and action. Discipline is not imposed until the Supreme Court issues its
final order or decision.
Chart C1 on the following page shows the flow of client complaints, as described above. Charts C2 and
C3 on the subsequent pages reproduce the brochure published on the State Bar’s website in English
and Spanish and provided to members of the public who contact the State Bar
APPENDIX C
C-4
Chart C1: Client Complaint Process
APPENDIX C
C-5
Chart C2: Client Complaint Flow Chart
APPENDIX C
C-6
Chart C3: Client Complaint Process (Spanish)
D-1
APPENDIX D: REPORT METHODOLOGY
CASE TYPE DEFINITIONS
Case type definitions have been broadened to ensure the ADR covers as many cases as
possible. All original matter complaints are now included in the report, whereas previous
reports only included complaints originating from complaining witnesses. Specifically, two sets
of factors within the OCTC case management system are used to determine case type: (1) Case
type code; (2) Case origin code. The definition for "Complaints," for example, depends on the
case type being coded as "O" and the Origin field containing the code value of "CW"
("Complaining Witness"). Both restrictions were modified to broaden the definition for
"Complaints." In addition to "O" case type, two new case type codes are now reported in the
"Complaint" case type, including "J" (complaint referrals from other jurisdictions) and "N" (9.20
violation of State Bar Court Order). As for the Origin field this was expanded to include all
origins, except for “State Bar Initiated” and “Probation Referral”.
57
Similarly, for case type “Reportable Action – Other,” it was previously based on case type being
tied to specific reportable actions (referrals from the bank, court, insurance, etc.) as well as the
Case Origin coded with a specific list of origins. This restrictive criterion resulted in a small
number of cases not being reported when the Case Origin field is blank. Cases in the
“Reportable Action – Other” category now do not have any reliance on the Case Origin code
and include all Reportable Action cases that are not self-reported.
As the changes in case type definition described above involve mainly the removal of a narrow
set of explicit restrictions, these changes resulted in only a small increase of cases reported in
the relevant tables noted above (SR-1B, SR-2, SR-5), around 1 to 2 percentage points. The
affected tables are also displayed in Appendix D using the old definitions.
57
Since 2020 when the reporting database for ADR switched from the legacy system to Odyssey, OCTC’s new case
management system implemented in 2019, the State Bar has been evaluating the report’s query logic and the
underlying data on an ongoing basis. One of the long-standing issues has to do with the parameters that grouped
the cases into five major categories: (1) Complaints; (2) State Bar initiated inquiries; (3) Probation referrals; (4)
Reportable Action – Self; and (5) Reportable Action – Other. These five case types are reported in a few key tables
related to different metrics, including tables SR-1B on case processing goals, SR-2 on case inventory and
disposition, and SR-5 on case processing time.
APPENDIX D
D-2
DATA
Until 2018, the State Bar used the AS400 database to manage information in the Office of Chief
Trial Counsel (OCTC), Probation, and State Bar Court. While AS400 is a functional database, it is
an antiquated system lacking many key features required for a modern case management
system, such as the paperless handling of cases.
The State Bar identified Odyssey as a replacement for AS400 for handling discipline cases, and
spent several years working with the Odyssey developer, Tyler Technologies, to configure
Odyssey to the State Bar’s needs. Beginning in mid-2018, Odyssey was used for case
management and tracking of discipline cases. In 2018, cases were entered in both Odyssey
and AS400; the 2018 Annual Discipline Report was based on data drawn from AS400.
PRIOR YEAR DATA
Beginning in 2019, case management transitioned entirely to Odyssey, and information was
no longer entered into AS400. While data from AS400 was converted into Odyssey, the
migration of prior year data was not perfect. Replication of prior year data for the ADR from
Odyssey proved challenging, requiring significant staff resources to identify and correct data
migration errors. A decision was made to “freeze” data reported in the 2018 Annual Discipline
Report that was previously obtained from AS400. In producing the ADR statistical tables, all
data since 2019 are refreshed to assess any changes that might have occurred compared to
what were previously reported. Where changes are significant, data for the previous year will
be updated in the report, with a footnote providing appropriate explanation as needed.
DATA EXTRACTION
Data in Odyssey is stored in a series of highly normalized databases, which means there are
many tables that need to be reviewed in order to locate the ones that are needed. Using
Structured Query Language (SQL) the State Bar currently extracts 67 tables on a regular basis to
create 32 datasets.
These datasets are then converted to Stata data files; Stata is a statistical analysis software
package that allows the State Bar to filter, shape and analyze the data needed for the ADR
tables. Stata also allows us to program and automate the conversion of the raw data for the
ADR, to give consistent results that are easy to reproduce as time goes on.
While the Odyssey extracts include cases from both OCTC and SBC, discipline case statistics
reported in the ADR are generated from OCTC case numbers only. In tables that report on
non-case related activities such as discipline costs, other State Bar databases are accessed.
The datasets are separated into the different functional areas used when entering the data
into Odyssey. For instance, there is a case summary dataset showing case number, case type,
file date, etc., while another dataset is focused on the various events a case goes through.
The common thread between the datasets is an ID number that can be used to link them
D-3
APPENDIX D
together. The following describes how each data element of the statutory tables was derived
using Stata data files generated from Odyssey data extracts:
SR-1A. Inventory
Main categories
Type
Description
Pending at Beginning
Number of open cases at the start of the reporting
period. Includes all case types.
Opened During
Number of cases opened during the reporting period.
Includes all case types.
Closed During
Number of cases disposed during the reporting period.
Includes all case types.
Pending at End
Number of cases remained pending at the close of the
reporting period. Includes all case types.
Note: This table was added per SB 211, section 6086.15(a)(1).
SR-1B. Case Processing
Main Categories
Type
Description
Noncomplex Cases
Includes all cases that are not complex. The case
processing goal for noncomplex cases is to dismiss a
complaint or admonish an attorney, or to file formal
charges within 180 days. Case type definitions are the
same as those used in SR-2 and SR-5.
Complex Cases
Cases are determined complex if they have any of the
following characteristics:
• Case requires subpoenas to banks, courts, or
another third-party entity
• Case has numerous potential charges
• Case has numerous potential parties
• Case is designated as a major case
• Respondent is uncooperative and fails to
provide information to OCTC as requested
within a reasonable time or at all
The case processing goal for complex cases is to d
ismiss
a complaint, admonish an attorney, or file formal
charges within 365 days. Case type definitions are the
same as those used in SR-2 and SR-5.
All Cases
Includes noncomplex and complex cases.
Note: This table was added per SB 211, 6086.15(a)(1) and 6094.5(a)
D-4
APPENDIX D
Subcategories
Type
Description
Cases Meeting Goals
Number and percent of cases that met case processing
goal.
Cases Not Meeting Goals
Number and percent of cases that did not meet case
processing goal.
Total
Total number of cases.
SR-2. Inquiries and Complaints
Main Categories
Type
Description
Summary: All Case Types
Sum of all case types listed below.
Complaints
Discipline in other jurisdiction58, original complaints,
and rule 9.20 violations (State Bar Court), except those
with specific origins as noted below.
State Bar Initiated Inquiries
Discipline in other jurisdiction and original complaints
initiated by the State Bar.
Probation Referrals
Probation violations, reproval violations, rule 9.20
violations (Supreme Court). Also includes original
complaints and disciplines in other jurisdiction, with a
probation referral origin.
Reportable Actions, Self
Self-reported actions concerning contempt orders,
insurance claims, sanction orders, judgments, reversal
of judgments, multiple lawsuits, civil penalties,
discipline by other licensing agency or discipline in
other jurisdiction.
Reportable Actions, Other
All other reportable actions including actions reported
by courts, banks, other licensing agencies or insurance
companies, concerning insufficient funds, contempt
orders, insurance claims, sanction orders, judgments,
reversals of judgment, prosecutors withholding
exculpatory evidence, civil penalties, or discipline by
other licensing agency.
58
Case type definitions have been broadened to include these cases in order to improve data quality and
transparency.
D-5
APPENDIX D
Subcategories
Type
Description
Cases Pending in OCTC at Year Start
Number of open cases at the start of the reporting
period in OCTC.
Cases Received
Number of cases that were opened during the
reporting period.
Cases Reopened
Number of cases that went from a closed status to an
open status.
Closed by OCTC with No Action
Number of OCTC cases that were closed with no
referral and/or with no other nondisciplinary action.
The cases status is used to determine the type of
closure.
Closed by OCTC with Referral
Number of OCTC cases closed with the following type
of status:
• Alternative Dispute Resolution
• Fee Arbitration Matter
• Family Support Referral
• Fee Arbitration Award Referral
•
Referral
Closed by OCTC with
Nondisciplinary Action
Number of OCTC cases closed with the following type
of status:
• Cease and Desist
• Communication
• Directional Letter
• Return of File Letter Sent
• Resource Letter
•
Warning Letter
Total Cases Closed by OCTC
Total of the previous three sections.
Filed in State Bar Court
Number of OCTC cases that moved from a prefiling
status to a post-filing status.
Cases Pending in OCTC at Year End
Number of OCTC cases open at the end of the year.
Cases Pending in SBC at Year Start
Number of open court cases at the start of the
reporting period.
Closed by State Bar Court with No
Action
Number of cases closed by the State Bar Court
without nondisciplinary or disciplinary action.
Closed by State Bar Court with
Nondisciplinary Action
Number of State Bar Court cases closed with
“Admonition” status.
D-6
APPENDIX D
Type
Description
Closed with Discipline Imposed
Number of State Bar Court cases closed with the
following type of status:
• Public Reproval
• Private Reproval
• Actual Suspension
• Stayed Suspension
•
Disbarment
Total Cases Closed by State Bar
Court
Total of the previous three sections.
Cases Pending in State Bar Court at
Year End
Number of court cases open at the end of the year.
SR-3. Reportable Actions, Reported by Self
Main Categories
Type
Description
Summary: All Reportable Actions,
Reported by Self
Sum of all cases listed below.
Three or more malpractice
lawsuits filed within 12 months
(6068, subd.(o)(1))
Self-reported multiple lawsuit cases.
Judgment in civil case for fraud,
misrepresentation, gross
negligence, etc. (6068,subd.(o)(2))
Self-reported judgment cases.
Judicial sanctions imposed (6068,
subd.(o)(3))
Self-reported sanction order cases.
Felony indictment (6068, subd.
(o)(4))
Self-reported conviction matters with a felony
charge.
Conviction of felony, or
misdemeanor related to practice
of law (6068, subd. (o)(5))
Self-reported conviction matters with a convicted
status.
Discipline by professional agency
or licensing board (6068, subd.
(o)(6))
Self-reported discipline in other jurisdiction cases.
Reversal of judgment based on
misconduct, gross incompetence,
etc. (6068, subd. (o)(7))
Self-reported reversals of judgment case.
Settlement or judgment for fraud,
misrepresentation, gross
negligence, etc. (6086.8, subd. (c))
Self-reported insurance claims.
D-7
APPENDIX D
Subcategories
Type
Description
Cases Received
Number of cases that were opened during the
reporting period.
Cases Reopened
Number of cases that went from a closed status to a
open status.
Closed by OCTC with No Action
Number of all OCTC closed cases that were closed
with no referral and/or with no other nondisciplinary
action. The case’s status is used to determine the
type of closure.
Cases Closed by OCTC with
Referral
Number of OCTC cases closed with the following type
of status:
• Alternative Dispute Resolution
• Fee Arbitration Matter
• Family Support Referral
• Fee Arbitration Award Referral
•
Referral
Cases Closed by OCTC with
Nondisciplinary Action
Number of OCTC cases closed with the following type
of status:
• Cease and Desist
• Communication
• Directional Letter
• Return of File Letter Sent
• Resource Letter
•
Warning Letter
Total Cases Closed by OCTC
Total of the previous three sections.
Average Pendency at Closure
Average age of cases that were closed by OCTC.
Median Pendency at Closure
Median age of cases that were closed by OCTC.
Cases Filed in State Bar Court
Number of OCTC cases that moved from a prefiling
status to a post-filing status
Average Pendency at Filing
Average age of cases at time of filing in State Bar
Court.
Median Pendency at Filing
Median age of cases at time of filing in State Bar
Court.
Cases Remaining in OCTC at Year
End
Number of OCTC cases open at the end of
the year.
Average Pendency at Year End
Average age of cases that were open in OCTC at year
end.
D-8
APPENDIX D
Type
Description
Median Pendency at Year End
Median age of cases that were open in OCTC at year
end.
Cases Closed by State Bar Court
with No Action
Number of all cases closed by the State Bar Court
without nondisciplinary or disciplinary action.
Cases Closed by State Bar Court
with Nondisciplinary Action
Number of State Bar Court cases closed with
“Admonition” status.
Cases Closed with Discipline
Imposed
Number of State Bar Court cases closed with the
following type of status:
• Public Reproval
• Private Reproval
• Actual Suspension
• Stayed Suspension
• Disbarment
Total Cases Closed by State Bar
Court
Total of the previous three sections.
Average Pendency at Closure
Average age of cases that were closed by State Bar
Court.
Median Pendency at Closure
Median age of cases that were closed by State Bar
Court.
Cases Remaining in State Bar Court
at Year End
Number of State Bar Court cases open at year end.
Average Pendency at Year End
Average age of open cases in State Bar Court at year
end.
Median Pendency at Year End
Median age of open cases in State Bar Court at year
end.
SR-4. Reportable Actions, Reported by Others
Main Categories
Type
Description
Summary: All Reportable Actions,
Reported by Others
Sum of all cases listed below.
Order of Contempt (6086.7,
subd.(a)(1))
Court reported contempt order cases.
Modification or reversal of
judgment based on misconduct,
etc. (6086.7, subd. (a)(2))
Court reported reversals of judgment cases.
Judicial sanctions imposed (6086.7,
subd. (a)(3))
Court reported sanction order cases.
Civil Penalty for providing false
information to Indian tribe in
Court reported civil penalty as applicable.
D-9
APPENDIX D
Type
Description
adoption case (6086.7, subd. (a)(4))
Prosecutorial misconduct (6086.7,
subd. (a)(5))
Court reported prosecutor misconduct.
Judgment in civil case for fraud,
misrepresentation, gross
negligence, etc. (6086.8, subd.(a))
Court reported judgment cases.
Claim or action for damages for
fraud, misrepresentation, etc.
(6086.8, subd. (b))
Insurance company reported insurance claim cases.
Overdraft of attorney trust
accounts (6091.1)
Bank reported insufficient funds cases.
Filing of misdemeanor or felony
charges (6101, subd. (b))
Prosecuting agency reported conviction matters.
Criminal Conviction (6101, subd.
(c))
Court clerk reported conviction matters.
Subcategories
Type
Description
Cases Received
Number of cases that were opened.
Cases Reopened
Number of cases that went from a closed status to a
open status.
Closed by OCTC with No Action
Number of all OCTC closed cases that were not closed
with referral or with nondisciplinary action. Case
status is used to determine the type of closure.
Cases Closed by OCTC with Referral
Number of OCTC cases closed with the following type
of status:
• Alternative Dispute Resolution
• Fee Arbitration Matter
• Family Support Referral
• Fee Arbitration Award Referral
•
Referral
Cases Closed by OCTC with
Nondisciplinary Action
Number of OCTC cases closed with the following type
of status:
• Cease and Desist
• Communication
• Directional Letter
• Return of File Letter Sent
• Resource Letter
•
Warning Letter
Total Cases Closed by OCTC
Total of the previous three sections.
D-10
APPENDIX D
Type
Description
Average Pendency at Closure
Average age of cases that were closed by OCTC.
Median Pendency at Closure
Median age of cases that were closed by OCTC.
Cases Filed in State Bar Court
Number of OCTC cases that moved from a prefiling
status to a post-filing status.
Average Pendency at Filing
Average age of cases at time of filing in State Bar
Court.
Median Pendency at Filing
Median age of cases at time of filing in State Bar Court.
Cases Remaining in OCTC at Year
End
Number of OCTC cases open at the end of the year.
Average Pendency at Year End
Average age of cases that were open in OCTC at year
end.
Median Pendency at Year End
Median age of cases that were open in OCTC at year
end.
Cases Closed by State Bar Court
with No Action
Number of cases closed by the State Bar Court without
nondisciplinary or disciplinary action.
Cases Closed by State Bar Court
with Nondisciplinary Action
Number of State Bar Court cases closed with
“Admonition” status.
Cases Closed with Discipline
Imposed
Number of State Bar Court cases closed with the
following type of status:
• Public Reproval
• Private Reproval
• Actual Suspension
• Stayed Suspension
• Disbarment
Total Cases Closed by State Bar
Court
The total of the previous three sections.
Average Pendency at Closure
Average age of cases that were closed by State Bar
Court.
Median Pendency at Closure
Median age of cases that were closed by State Bar
Court.
Cases Remaining in State Bar Court
at Year End
Number of State Bar Court cases open at the end of
the year.
Average Pendency at Year End
Average age of cases that were open in State Bar
Court at year end.
D-11
APPENDIX D
SR-5. Speed of Complaint Handling
Main Categories
Type
Description
Summary: All Case Types
Sum of all cases listed below.
Complaints
Discipline in other jurisdiction,
59
original complaints,
and rule 9.20 violations (State Bar Court), except those
with specific origins as noted below.
State Bar Initiated Inquiries
Original and discipline in other jurisdiction complaints
initiated by the State Bar.
Probation Referrals
Probation violations, reproval violations, rule 9.20
violations (Supreme Court). Also original complaints,
and
discipline in other jurisdiction, with a probation referral
origin.
Reportable Actions, Self
Self-reported actions concerning contempt orders,
insurance claims, sanction orders, judgments, reversal
of judgments, multiple lawsuits, civil penalties,
discipline by other licensing agency or discipline in
other jurisdiction.
Reportable Actions, Other
All other reportable actions, including actions from
courts, banks, other licensing agencies, or insurance
companies, concerning insufficient funds, contempt
orders, insurance claims, sanction orders, judgments,
reversal of judgments, prosecutor withholding
exculpatory evidence, civil penalties, or discipline by
other licensing agency.
Subcategories
Type
Description
Pendency at closure by OCTC with
No Action
• Average
•
Median
Average and median age of cases closed by OCTC that
were not closed with referral or with nondisciplinary
action.
Pendency at closure by OCTC with
Referral
• Average
• Median
Average and median age of OCTC cases closed with
the following type of status:
• Alternative Dispute Resolution
• Fee Arbitration Matter
•
Family Support Referral
59
Case type definitions have been broadened to include these cases in order to improve data quality and
transparency.
D-12
APPENDIX D
Type
Description
• Fee Arbitration Award Referral
•
Referral
Pendency at closure by OCTC with
Nondisciplinary Action
• Average
• Median
Average and median age of OCTC cases closed with the
following type of status:
• Cease and Desist
• Communication
• Directional Letter
• Return of File Letter Sent
• Resource Letter
• Warning Letter
Pendency at Closure by OCTC
• Average
•
Median
Average and median age of cases that were closed by
OCTC.
Pendency at SBC filing
• Average
•
Median
Average and median age of cases at time of filing in
State Bar Court.
Pendency at Year End in OCTC
• Average
• Median
Average and median age of cases that were open in
OCTC at year end.
Pendency at closure by SBC with No
Action*
• Average
•
Median
Average and median age of cases closed by the State
Bar Court without nondisciplinary or disciplinary
action.
Pendency at closure by SBC with
nondisciplinary action
• Average
• Median
Average and median age of State Bar Court cases
closed with “Admonition” status.
Pendency at closure by SBC with
disciplinary action
• Average
• Median
Average and median age of State Bar Court cases
closed with the following type of status:
• Public Reproval
• Private Reproval
• Actual Suspension
• Stayed Suspension
• Disbarment
Pendency at Closure by SBC
• Average
•
Median
Average and median age of cases that were closed by
State Bar Court.
Pendency at Year End in SBC
• Average
•
Median
Average age of cases that were open in State Bar
Court at year end.
APPENDIX D
D-13
SR-6A. Formal Filings
Main Categories
Type
Description
Notices of Disciplinary Charges
An event of “Notice of Disciplinary Charges Filed” entered
in a case by OCTC.
Stipulations to Facts and
Discipline
A status or event entered by State Bar Court indicating that
a stipulation has been filed and approved, does not include
cases that already had a notice of disciplinary charges filed.
State Bar Court cases are linked back to their original OCTC
cases in order to get the full case count.
Stipulations data are incomplete in OCTC’s records. To
capture the correct number of stipulations, OCTC filings are
matched to State Bar Court filings and stipulations are
counted from the State Bar Court filings.
If a case has a stipulation and a Notice of Disciplinary
Charges or a Criminal Conviction Transmittal, the case is
not counted as a stipulation; the case is counted within
Notice of Disciplinary Charges or Criminal Conviction
Transmittals.
Criminal Conviction Transmittals
A status triggered by a case being filed in State Bar Court.
Only criminal conviction matters are included.
Subcategories
Type
Description
Number of Filings
Number of cases where a filing occurred.
Average Pendency at Filing
Average age of the cases at time of filing.
Median Pendency at Filing
Median age of the cases at time of filing.
Number of Attorneys
Number of attorneys with respect to filings.
SR-6B. Formal Disciplinary Outcomes
Main Categories
Type
Description
Disbarment
An event entered in State Bar Court, that shows a disposition of
disbarment, and has accompanying case close event.
Suspension
Actual/Probation
An event entered in State Bar Court, that shows a disposition of
suspension actual/probation, and has an accompanying case
close event.
D-14
APPENDIX D
Suspension
Stayed/Probation
An event entered in State Bar Court, that shows a disposition of
suspension stayed/probation, and has an accompanying case
close event.
Suspension (calendar year
only)
A category no longer reported that represented a combination of
the previous two sections.
Public Reproval
An event entered in State Bar Court, that shows a disposition of
public reproval, and has an accompanying case close event.
Private Reproval
An event entered in State Bar Court, that shows a disposition of
private reproval, and has an accompanying case close event.
Subcategories
Type
Description
Number of Cases
Number of cases where the disciplinary outcome occurred.
Average Pendency
Average age of the cases at time the disciplinary outcome occurred.
Median Pendency
Median age of the cases at time the disciplinary outcome
occurred.
Number of Attorneys
Number of attorneys that received the disciplinary outcome.
SR-7A. Other Matters
Main Categories
Type
Description
Petitions to Terminate Practice per §
6180/6190
Cases entered with the case type of “6180/6190”
Interim Suspensions and Restrictions per
§ 6007
Cases entered with the following case types:
• Inactive § 6007(b)(1) insanity or mental
incompetence.
• Inactive § 6007(b)(2) order jurisdiction
over practice.
• Inactive § 6007(b)(3) mental illness or
substance abuse.
• Inactive § 6007(c) substantial threat of
harm to client/public.
• Interim remedies § 6007(h) restricted
practice.
Motions to Enforce Fee Arbitration Award
Cases entered with the case type of “Fee
Arbitration”
Motions to Revoke Probation
Cases entered with the case type of “Probation
Revocation”
D-15
APPENDIX D
Subcategories
Type
Description
Cases Opened
Number of cases that were opened.
Cases Reopened
Number of cases that went from a closed status to
an open status, or has a reopen status.
Closed by OCTC without Filing
Number of cases that were closed by OCTC.
Average Pendency at Closure
Average age of cases that were closed by OCTC.
Median Pendency at Closure
Median age of cases that were closed by OCTC.
Cases Filed in State Bar Court
Number of OCTC cases that moved from a
prefiling status to a post-filing status.
Average Pendency at Filing
Average age of cases at time of filing in State Bar
Court.
Median Pendency at Filing
Median age of cases at time of filing in State Bar
Court.
Cases Remaining in OCTC at Year End
Number of OCTC cases open at the end of
the year.
Average Pendency at Year End
Average age of cases that were open in OCTC at
year end.
Median Pendency at Year End
Median age of cases that
were open in OCTC at year end.
Petitions Granted
A count of one of the following events depending
on the main category:
• § 6180/6190
o Order issued by Superior Court
granting interim order
o Order issued by Superior Court
granting permanent order
• § 6007
o Closed – Post-filing – Granted
• Fee Arbitration
o Disposition transfer inactive
arbitration enforcement
o Disposition retransfer active
arbitration enforcement
• Probation Revocation
o Disposition revoke
probation/actual suspension
o Disposition revoke
probation/stayed suspension.
Petitions Denied
A count of one of the following events depending
on the main category:
D-16
APPENDIX D
Type
Description
• § 6180/6190
o Order issued by Superior Court
denying interim order
o Order issued by Superior Court
denying permanent order
• § 6007
o Closed – Post-filing – Denied
• Fee Arbitration
o If no event for petition granted is
found, then it will be counted as
denied
• Probation Revocation
o If no event for petition granted is
found, then it will be counted as
denied
Total Cases Disposed by State Bar Court
The total of the petitions granted and denied.
Average Pendency at Disposition
Average age of cases that were closed by State
Bar Court.
Median Pendency at Disposition
Median age of cases that were closed by State Bar
Court.
Cases Remaining in State Bar Court at Year
End
Number of State Bar Court cases open at the end
of the year.
Average Pendency at Year End
Average age of cases that were open in State Bar
Court at year end.
Median Pendency at Year End
Median age of cases that were open in State Bar
Court at year end.
SR-7B. Specified Dispositions
Main Categories
Type
Description
Admonitions
An event entered that shows a disposition of admonition.
Agreements in Lieu of Discipline
A status entered by OCTC, that shows an agreement in lieu of
discipline.
Warning Letters
An event entered in OCTC, that shows a disposition of a
warning letter sent.
Directional Letters
An event entered in OCTC, that shows a disposition of a
directional letter sent.
Resource Letters
An event entered in OCTC, that shows a disposition of a
resource letter sent.
D-17
APPENDIX D
Private Reprovals
An event entered in State Bar Court, that shows a disposition
of private reproval, and has an accompanying case close
event.
Subcategories
Type
Description
Number of Cases
Number of cases where the disposition occurred.
Average Pendency
Average age of the cases at time the disposition occurred.
Median Pendency
Median age of the cases at time the disposition occurred.
Number of Attorneys
Number of attorneys that received the disposition.
SR-8. Unauthorized Practice of Law by Former Attorneys
SR-9. Unauthorized Practice of Law by Nonattorneys
Main Categories
Type
Description
SR-8 UPL Former Attorneys
Cases entered with case type “6180/6190” and a charge of
“Superior Court Assumption of Practice of Former
Attorney/UPL”
SR-9 UPL Nonattorneys
Cases entered with case type “Unauthorized Practice of Law
– Nonattorney”
Subcategories
Type
Description
Cases Opened
Number of cases that were opened.
Cases Closed without Filing
Number of cases that were closed by OCTC.
Average Pendency at Closure
Average age of cases that were closed by OCTC.
Median Pendency at Closure
Median age of cases that were closed by OCTC.
Cases Filed in Superior Court
Number of cases that moved from a prefiling to status
to a post-filing status.
Average Pendency at Filing
Average age of cases at time of filing in Superior Court.
Median Pendency at Filing
Median age of cases at time of filing in Superior Court.
Cases Remaining in OCTC at Year End
Number of OCTC cases open at the end of the year.
Average Pendency at Year End
Average age of cases that were open in OCTC at year
end.
Median Pendency at Year End
Median age of cases that were open
in OCTC at year end.
D-18
APPENDIX D
Type
Description
Petitions Granted
A case with the either one of the following events:
• Order Issued by Superior Court Granting
Interim Order
• Order Issued by Superior Court Granting
Permanent Order
Average Pendency at Petition Granted
Average age of cases at time petition was granted.
Median Pendency at Petition Granted
Median age of cases at time petition was granted.
Petitions Denied
A case with the either one of the following events:
• Order Issued by Superior Court Denying Interim
Order
• Order Issued by Superior Court Denying
Permanent Order
Average Pendency at Petition Denied
Average age of cases at time petition was denied.
Median Pendency at Petition Denied
Median age of cases at time petition was denied.
Total Cases Disposed by Superior
Court
The total of the petitions granted and denied.
Average Pendency at Disposition
Average age of cases that were closed by Superior
Court.
Median Pendency at Disposition
Median age of cases that were closed by Superior
Court.
Civil Remedies pursuant to section
6126.7 (table 9 only)
A count of every case where the charge “6126.7” has
been entered.
Law Enforcement Referrals
A count of every instance the event “Law Enforcement
Referral Sent” has been entered.
Cease and Desist Letters Sent
A case where the event “Cease and Desist Letter Sent”
has been entered.
SR-10A. Disposition of Felony Convictions
Main Category
Type
Description
Felony Convictions
Cases entered with case type “Criminal Matter” and a
charge degree of “Felony” and a charge status of
“Conviction”.
Subcategories
Type
Description
Felony Convictions
The count of felony convictions.
Cases Filed in State Bar Court
The count of cases that were submitted by OCTC to
State Bar Court.
D-19
APPENDIX D
Type
Description
Average Days from Conviction to Filing
in Court
Calculation of the average age of cases that were
submitted by OCTC to State Bar Court.
Median Days from Conviction to Filing
in Court
Calculation of the median age of cases that were
submitted by OCTC to State Bar Court.
Cases Disposed in State Bar Court
The count of cases that were disposed by State Bar
Court.
Average Days from Filing to
Disposition in Court
Calculation of the average age of cases at time of
disposition in State Bar Court.
Median Days from Filing to
Disposition in Court
Calculation of the median age of cases at time of
disposition in State Bar Court.
State Bar Court Dispositions
Disbarment
An event entered in State Bar Court, that shows a
disposition of disbarment, and has accompanying case
close event.
Dismissal
An event entered in State Bar Court, that shows a
disposition of dismissal, and has an accompanying
close event.
Suspension Actual/Probation
An event entered in State Bar Court, that shows a
disposition of suspension actual/probation, and has an
accompanying case close event.
Suspension Stayed/Probation
An event entered in State Bar Court, that shows a
disposition of suspension stayed/probation, and has
an accompanying case close event.
Suspension
A category no longer reported that represented a
combination of the previous two sections.
Public Reproval
An event entered in State Bar Court, that shows a
disposition of public reproval, and has an
accompanying case close event.
Private Reproval
An event entered in State Bar Court, that shows a
disposition of private reproval, and has an
accompanying case close event.
Termination Due to Resignation
An event entered in State Bar Court, that shows a
disposition of termination due to resignation, and has
an accompanying close event.
Termination Due to Death
An event entered in State Bar Court, that shows a
disposition of termination due to death, and has an
accompanying close event.
D-20
APPENDIX D
SR-10B. Conviction Transmittals
Main Category
Type
Method
Conviction Transmittals
Cases that are felony or misdemeanor that are
transmitted to State Bar Court.
Subcategories
Type
Description
Conviction transmittals
Count of transmittals sent during the period.
Number meeting 30-day transmittal
Number of transmittals that were sent within 30 days
of receipt.
% meeting 30-day transmittal
Percentage of transmittals that were sent within 30
days of receipt.
Number not meeting 30-day
transmittal
Number of transmittals that were not sent within 30
days of receipt.
% not meeting 30-day transmittal
Percentage of transmittals that were not sent within
30 days of receipt.
Number with no transmittal time
Number of transmittals where no time data was
available.
% with no transmittal time
Percentage of transmittals where no time data was
available.
Notes: Percentages meeting and not meeting times standards calculated based only on number of cases for which
transmittal time data is available.
This table added per SB 211, sections 6086.15(a)(12) and 6094.5(d).
SR-11. Demand Letters Received
Main Categories
Type
Description
Number of Letters Received
Number of demand letters received during the
reporting period.
Investigations of Suspected
Violations of Civil Code Section
55.31 or 55.32
Number of investigations opened during the reporting
period.
SR-12. Insurance Fraud
Main Categories
Type
Description
Workers' Compensation
Number of suspected workers’ compensation fraud
cases.
D-21
APPENDIX D
Motor Vehicle
Number of suspected automobile insurance fraud
cases.
Disability
Number of suspected disability insurance fraud cases.
Subcategories
Type
Description
Investigations Initiated
Number of cases investigated.
Suspended Pending Disbarment
Number of cases that resulted in suspension, pending
disbarment.
Suspended Pending Criminal
Proceedings
Number of cases that resulted in suspension, pending
criminal proceedings.
Closed by OCTC with No Action
Number of OCTC closed cases that were closed with
no referral and/or with no other nondisciplinary
action.
Pending in Investigation at Year
End
Number of cases pending in investigation at year end.
Referrals to Fraud Division
Number of cases referred to the Fraud Division.
Referrals to Law Enforcement
Number of cases referred to other law enforcement
agencies.
SR-13. Financial Services Complaints
Main Categories
Type
Description
No data reported as no complaints have been received since 2015
SR-14. Client Security Fund
Main Categories
Type
Description
Attorney
Attorneys who had CSF claims filed against. Attorney
names are not provided, as CSF rules require
confidentiality under certain circumstances.
Number of CSF Claims Paid
Number of CSF claims paid during the reporting period,
by attorney.
Total Amount Paid
Total amount paid to each attorney.
D-22
APPENDIX D
SR-15. Cost of the Discipline System
Main Categories
Type
Description
Chief Trial Counsel
Total cost incurred by the Office of Chief Trial Counsel.
Probation
Total cost incurred by Office of Probation.
Mandatory Fee Arbitration
Total Mandatory Fee Arbitration program cost.
State Bar Court
Total cost incurred by the State Bar Court.
Professional Competence
Total Office of Professional Competence program cost.
Regulation Division
Total cost for the Regulation Division.
Communications (70%)
Total cost of Office of Communications resources
devoted to help Californians understand how to access
the resources of the discipline system and to ensure
that attorneys understand their professional ethical
obligations.
Licensee Billing (73%)
Total cost of collecting licensing fees and discipline
costs incurred by Office of Finance.
General Counsel (76.3%)
Total cost of Office of General Counsel resources
dedicated to supporting the State Bar’s discipline
programs.
