Lawyer 9 02 web by Alabama State Bar Association

-lum an a nd C ivil Rights Multicultural

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Yes, if's a really big deal. You an also get Collier. NIm..-. Nichola. Gilson anod urson. Avai1abl~ in print, or ro:starch ha$ bttn transformed online at w.t>4>om uxi,Ne.I,'" al _

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case la w, {realises. bw reviews and lega l news wilh one dick. Q uickly $u mmariC$ wrinen by u pen legal edi tors. h's never been SO easy to know. Which

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L./LE SEPTEMBER

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Social Security Disability Law - Tuscaloosa

4 11 25

Domestic Violence Law in Alabama· Binningham What Ev&fy Real Estate Lawyer Needs to Know - Birmingham Pre-Trial PTactice and Procedure - 6inningham Family Law Retreat \0 the Beach- GuH Shores

2~26

NOVEMBER

1 8

Tort Law Update · Birmingham Will Dralting· Birmingham

15 15 20 21

Alabama Update - Montgomery Fundamentals 01Handling a Divorce· Binningham

Alabama Update· Mobile

Jury Seleclion - 6im1ingham Trial Tips to Avoid Trouble - Birmingham

11 12 12

Tort Law Update · HuntSville Estate Planning - Birmingham Alabama Update - Huntsville

Video Replays· Tuscaloosa Video Replays ' Tuscaloosa Alabama Update - Bhmingham Chartes Gamble on Evidence· Montgomery Charles Gamble on Evidence - Birmingham

18 19 19 20

oeCEMBER 2002 - JANUARY 2003 Dec. 27 • Jan. 3 SId and CLE • Beaver Creek, ~

INTERNET PROGRAMS

Cal! 'or Details

. :§

Trial Tips to Avoid Trouble - Montgomery Bankruptcy Law Update· Birmingham

22 DECEMBER

Advising Small Businesses· Tuscaloosa Practical Criminal Defense Law· Tuscaloosa

THE ALAB A MA LAWY E R VoL 63. No. 6 1 September 2002

On the Cover.

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280 Advertising Rules 291

War Stories

293

ASB Annual Meeting Photo Highlights

299

Spling 2002 Adminees

303 Attorney Fee Declaration Forms: Silve Yourself Some Time and 110ubla By RoM", L Cloild,..,

305

Kids' Chance Scholarships: Meeting the Need

--306

Oveniew 01 the Business Tax legislation Enacted DUling the December 2001 Special Session lind Other Recent Developments on the ~SAlr Front By Brvu I'. Ely tJJId ClorislOpMr R. Gri_

314

Shareholder Rights, the Tort of DpplIuion and Derivlltive Actions Revisited: A Time 101 Mature Development? By ..t",/""" Po

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garrison . barrett orchiteclure + inlelior design 205.870.3090/ www.gorrisonoorreH.com

Fo1ooI O. G,,,,, S"

he Alabama S'31. Bar beSlowed 3 gru. honor upon me when t aery Mo,, " paS<C<l'he savel 10 me. aM ,he HOD. lI o.....d Bryan . presiding judge of the Fifth Judicial Ci",uil. admin;,[<crW m. oath of office installing me 3$ 1260:h president of thr Alabama Stal<: Bar before. <landing'lOOm only crowd. I u.. my fits' ~'iden'i.l page to 'har<: ",ilh I~ of you who ""ere no! JII'""'nl SOme orthe .'"ent.< IM.I occurred on July Ptnli<lo Ikoch and request YOll' as we move OIl. bar funht r into ,he 21M Century. I ""'o k lhe memhets ofth< Alabama St.,e Bar for elec,ing me as presidcnH,Ie<t '3'1' year. will>oul opposi,iOll, I also thank each per!iOO who played. role in m.1~ing it !""sible for mo to .."'. as your president. A$ presidcnH,]ccl. on May 31. 2002, J meeting of pr-.,jdent. local and 'poc-ial.y ban. .1 the ,'ale bar for a planning so ... ;"". I di"",usstd with them my ideas for bar year 2002-2003 and solieiled lht;, 'UP!lOr1. [shared these .."", ";OW! with I~ when I bo<:amc president Dtlring this bar year ..... haw: adopled a theme. "Law~ts Rmdtr Service, Service 1(1 lhe Client. Se.. ice 1(1 1M Pu blic. aoo Se..ice to 1M Profe.lion." Thi. i. 001 new; rathe,. lawyers render .... ice 10 ,he di~n'. 'IK: I"'blk and 1M prufossion daily. II is a part of 1M sl31e bar's Lawye,'s Creed. 3 portion of which

....is!.''''.

2f).,

eo,,,,.ned •

In't"'

"Y" '1'0 my dients. I offer faithfulness. competenee. dilige".,e. and llood judgmenl... To the prufe!sion. I offer assiilll".,. __ . To the I"'blk and OIIr sySlem of iu,· tice.! offer St.. ice .. _:' NOIwith>l.ooing 1M fa<;"h .. lawye", render ...... ice. ,he I"'blic perceplion of lawytrs;, Je.s ,h." ""mirable, '1'ht American I"'blic say. lawy.", are gn-edy. m,nipulali,' •. corrupt and do • poor job of policing !hem· sel" ••. acconIing to a l'I'Cenl su ....ey commission«! by !he American Bar Assoda~on Liligalion Sec,ion. I 3m ..,lici'ing 'IK: as.i,I."". of ,he 'llIff. ,he local .00 .peci.lty bars, and persons WOfkinll in of CLIO '0 deSign courses 300 other pruj"",s in .uch. way as 10 .how ,hall.wyers render ...... ice. There are many OIIt1tandinll lawyers.. both li,iug aoo who have ",nderM ~mendOll ..... ice 10 their die"l$. 'IK: community and 1M pmfossion. Howe"",. the.. lawye .. h,..-. =cive<!""TY linle "'<'ogni'ion.oo much oflMir service is unknown. I have appoi n,ed a t... k force to expl""'!he pOSsibili,y of establi<lting an AI.bama Lawye", H.lI of Fame, p..st F'n:sidcnl Sam Rumore eMi",!he {ask force_ II is ch.rged wilh 1M ""sponsibility of .xamining 1M feasibility of establishing a Hall of Fame COfl.i,{ing of oUl"anding lawy.", in {hi. Slat •. Some pOSlhumous l'I'Cognitio" is an,icip:lled. Should the wk f<>rtt 'hink i, .xpedicnl. criteria will be establiShed and delineated for tOO .. I~,ion of lhese M

,he...,"

<1<"".

''''l

person, and lbe force will repon 10 lbc 6oru"d of Bar Commi"i.,.,.rs. II i. boped th.,1bc firs! dass will be: inducted imo lbe Lawyers Hall of Fam. in July 2003. 1De Ufliled SI31 •• of America i, con,idered 10 be: lbc "'''lIing po! of lbe world. Pwple of .1: race•. creeds and color.; have made oolSlanding contriblniOll!llOw;lTd rn.aki"gthiS COOnll)' ""hat it i•. The demographk' of thi' country are draslieally changing. II i. project«! that by the middl. or th;, cenlUI)'.tbe rn.ajorily of Ibc poplIlalion of tbe Uniled SI31O$ will consi" of person. who "'" now lbc minorily. The cumnl mojorily will bcc<>me Ihe minority. According 10 Ibc 2<XXl U. S. Cen,u, Bu",,". lhc", ""ere 4.447.100 perwns living in Alabama; 71 percenl were white. and 26 percenl we'" African American. A, of Augusl 13. 2002. Alabanla Slate Bar figu"" :>how ""'''' ..", 13.5Q.t members of lbe AI.bam" Bar; ~.5 percenl are white and 5.~ percenl are minorilie •. n.cre .re presenlly 60 el«led members on Ibc Buanl of Bar Commi •• i"""rs, Ih= of ""oom are women.nd """ of whom I. African American. 1bere is currenlly in Alabama""" white .nomey for .,'el)' 248 eili;:cn •. and one Africa" American .uomey for evel)' I.SSS African Anlcricans. eonsidtring Ihis st.1li,tk ""ilh tho c""nging demographic •. thore i•• real need for addilional minorilY lawyCI'$ in OOr .tale. This .""",ialion eslabli,bcd a TllSl """'. on Diversity in lbe Profession in 1989. II has made lremendous progress. I reSlructured III< ta&k forc" and charged il wilh tho res[lOIl,ibilily 10 lhoroughly inves'ig,'e diversily in tho pr0fession and make recommendalions 10 lbe Board of Bar

h.".

Commissi"""rs os 10 w"'" "". can do 10 en""nee di,ersily in lhe legal prof.... iOll in oor .tate. Thi. blue·ribbon task f""'" will be ,ice-chaired by boIh former Alaba ma Sup..,me C .... rt JIlSlice l1ugh Maddo~ and former Gm-ernor Albert a ......er. It ""ill be co-cbai1td by ASS paSI P residtnl War..,n Lightfoot and p.st member of lbe Board of Bar Con,mi,sioners J. ,\Ias<)n [)aV\s. In addiliOn. il will COIlsist of all deans of Alabama law ",,11<:.>1,. several DIller past prt,idenLO and ",be< oolSlanding members of lhe bar, 1bere "'" Dlher issues we mu,1 confronl and en,br.= during Ihis bar year. Thi ••!soci.,i"" should Ia~e In acli,e role in lbe maller of cOIlstilU!ion.1 "'form. Ibu •. a lask force 10 ,,'or!< OIl co,milulionalreform Iw; bt;,n appoinlM_ J "a •• also appoin",d • lask fOfCC on admission 10 the bar as lhere au also challeng_ ing issuc' in Ibi. area. LaS!.nd rIO! leaSi. lbe bar wilt addre., the question of ",ulti_j "riOOk';Qn.1 prac1ice Ihrough lbe •• iSling l:\,k forc •. 1bese arc """'" of lbe i"lICs cOIlfronling our Slale bar, I fully ",a li;:c Ihal any or.. person can accomplish litl~. but willt all of u' "'orking togelhtr. we can accomplish much, I sohe;1 lhe hrlp of lhe Boord of Bar Commi.. ion ..... offic .... Siaff. lhe local .nd specially bar associalion •. and each member. Le1. us worl together and ~onlin"e 10 render service. for I.wye ... lruly render .. rvice. I also solidi your si".,,,,,, effort as we demon""'te 10 tho Il3lion Ihatlawyc '$ render service. I am ",ady 10 w<).-k and eneourage you ,<I join uS "rod conlin"" lhe greal """' of thi' 3ssocialion.

•

We fi2ay ck-ess casua/ .:2Julll.'e 'J"-e SW'J"ous abol.. your I .. fk bt...s ""ess.

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200

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of com billed

.xperie""e. these JIIlIfmionals h..", Ibc knoo.-.bo!o' and resourca 10 fl"."kIe unpanlleled protection

agains! '"Iexpected title risks. Call US 10 see how 00, loc:Il ""JIffiisoe cart help \<lith j<IIII' title "",.,.. • MISSISSIPPI VAl.l.E'i TITLE ',_. _-INSURANCE COMPAAl' 7""',.., Jlw,..

n July...""",I new 'pplicaliOTl$ w~re added to ,he

bar', Web si~ . ........ ',al""""'~. A member '011-

"'as includtd"" that bar members can now change or update porsonaJ infonnalioo (e.g .. address,

l<clcp/Ione number .•-mail. <1e.) and vie ... currenl aUcn. da""".nd c.wi, information for the year. W. beheve ace .... to this CLE informalion.1Id the frttdom I"

"".ttl

update personal infonna,i,," on a 24f7 basis will ..,"" the scllWule of blur lawyrn. AIIOII-cr npplie •• ion added 10 the Web site is an e leC1ronic ""rsion of the Alabama State Bar Lawy"," Referr.' Service (LRS). Clicn!$ W:king the ..",ices of a I. wy<,< no longe, will need 10cal1 tbe L RS, but wlllb< able 10 go oo·]ine, identi fy tilt;. probkm and obt.in the name of a lawyer in their area 10 handle ,heir problem. Presently. !he LRS makes 15.!XXllrlep/Ior.- rtforrlllS annually. To lepllorlt m:ords suggest ,hat .,1...,. ,imi lar number of c.lle... re unable!O gellhrough on tile t,lephone beeause orm. high vol. ume of calls. The on·li"" LR S will make referrals 24f7 wi.h "wye", on the pontls b<ing OOIified instantly of Lhe rde'm!. 111<: I"'blic and the LRS at.omeys will be beucr "' ....~ by lhi' ""w featun', 1l>e bar', Web ,it~ i, h.ndling an avcrage of25,ooo so.sion, a month. In WOO, lho number of ",.sions ""raged aboul6,OOO a RIO"'h. 11>< lnosl conunonly

266

SI!PT~M9E R

2001

""c,.sso(! page., excluding lhe Web .itt', oprning page. are members oo,li"", CLE calendar, bat cum resullS, OGC opinions, adm ission., ADR, and tho div~ brochun', Th' significanl iocn'1lSe in lho vi,ilS 10 tho bat', Web site indicate, lIlal bat member>: 31><1 "'" public"", ulilizing lho . ile more freq uen lly as .... importanl <011= of infonnOlion. Futon' plan, for the Web .ite in<iulk on ,li"" registration of CLE program, for program 'ponwr:s, 0$ well as cxpanding tho ek"tronic information available for bat membe .. , For • .<ample, WOn we !tope to be able to allow nl<mbe .. to elect 10 ,...,eiv. bat publication., due. inv<>i«s and OIhtr bar mail electronically, as a. providi ng thR)Ug.h tho ba,', Web .ile, a safe and convenient means for paying bat fee. and due. electronically, With"'" conlin uing increase in printing and maili ng COSIS, tho Inlernet off... a way for us'o save ,ignificanl COStS and f"O"i<!e infonnation to bar members in lhe most timely way possible, We will continue to add fu"",ionali ty to lhe bat', W.b sit< that will integrate the bat', "' ..... ice' and activities in .... electronic format. Thi' will 00l only enhance ac«SSto infonrul!;on for members and the public alike. but il will impro,'" our efficiency, ""'n'by allOWing us to respond 10 "'" unique SilUations or problems of our member or "'" public. •

""II

umber1and School

of low

Continuing Legal Education Fall 2002 Seminars September

20 21 October

11 18 25 November

1 8

"22 December

5 12 12 20 30-31

Developments and Trends In Health Care law 2002 Traps for the Unwary easlc Eslate Planning and Admin istration

13" Annual Bankruptcy t...w Seminar Arrest and ProsKutlon of OUI Cases "Killer" Cross·Examinatlon: How to Dominate a Courtroom featuring Lany P~ner and Roger J. Dodd Essential Skills for Appellate Practice

16'" Annuar Workers' Compensation Seminar Representing Emerging Companies Practical Tn: Individual & Estate Taxation for the Non·Tax Lawyer featuring John E. Moore Tort and Insuranctl Law Real EstataiConstructlon law Issues Annual Employment Law Update Hot Topics In Civil Litigation· Mobile Hot Topics In Civil Utlgatlon • Blnnlngham 9th Annuar CLE By Th' Hour

For seminar details, visit our Web s~e: hnp'lIcumber1and,samford.edu or call1-8Q0.888·7454 (in Birmingham, call 726·2391). Brochures are mailed approximately six weeks prior to seminar date. .. EI:JOIIO;I . . . . . . . . . . _ • ' .b ; ,.t • ... . ... ____ ....-<1 __............ . _ . . _ .... _."...".,~

SamfordB University Blrm lnghlm, A1l blml

K05lI N, Cuhen llal bttn ~I«t~d presidrnl ofTh< Binningham Tall Forum for the 2002·2003 y~ar, Th<

Mootgom<1)' attorney Tom Mot h .'ln llal bttn namnl

in the NwionlJi Uno, ;"""",/'s f"a,u~, "40 Under 40: Promisl", Youni AdV<X:a'cs," tlla, Ii>!! the ",l uioo'J _ pmmintnt at~ ..... thc. ol40, Additiooally, Methvin "''as one ol!<On a1~ $('k!cttd fur spetial recognition 15 . . , _ III thc r~1d ol """""""" rr..d litiptioon. M"I.... n is • pan. ...". at~, AI ..... C",",,', Mm"in. Put" & Miles,

Forum i. an <qatIiution or appro~Ima!<Oly I~ t.ax proC.uiOOilJ, i..:hodi", ~I<, bo<h rn publjc, and induury prxIi«, attorney .. 11\1" offlCUJ and

ac_miciaas.. Collen is • rnconbft or the Binni~pm fU'1l1 or II"IUII Sbu",1ft YOIIn, "Rcdiw,

u.c.

• FA. }1o" fl'S. III ol BurT &:: fonnan u.p lias ~ IIJIIlOlnIcd by !he Alabama Suprttne Coull IS • .....m.r the Standi", Commina: 00 !he Alabama Rule$. 0( AppdlMe!'rocN~ H. ",iU ~. two-year Icnn.

TIMELESS WISDOM Adop',

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no .... ~, ."h k...",d br Rohcn F. Kennedy, Jr., .x,*"", the det:ulo 01 .... 1.....1ao .... oodo;x. W. by A<oop.. He 1.\V~a ~ to think ...... <haraotft qoaL, ... m.. .... oI!oodd ....... ..-. """ ..,...Je ~lOft io'.

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Join t/ie

oin the Volunteer ~wyers Prognm and re<eive ~ Issues of uw" rmnual on a ]..1/2'" disk, free . This manual coven nine "brud-and-butttr" areas of the law, including adoption: bankruptcy; collettJons litigation; dlvorte custody;mll post-divorce; gUi1Irdian and cOnl'lrvator by (.()urt appoint-

ment; mortgage foreclosure ; powers of attorney; and will drafting. To join simply

complete the form bilow and mail to: Volunteer lawyers Program Alabama State

Bar, P.O. Box 671. Montgomery, Alabama ]6101. UpflW1 reuipt of Jour enrollment form, the VlP will rna to you the " Basic Issues of l..aW" disk.

------------------------------ ------- - ---, Enrollment Form

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Alabama State Bar IJQIooleel' l..awyefs Program PO . Bole 671 , Montgomery. Alabama 36101

I I I I 1

f'tlorIe (334) ~ 1515, II(!. 301 • Fax (334)261-£310 · www.• labarCXfl

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o AdopI~11JmiiIions o Farri/y Law o Probate Get on '". list of 'fiery Important peopl•• Enroll today!!

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7'It~ A'aoom<>

Lawyer "" '"ngtr pul>lisll~J ~dd"'JI'J

"ltd ,dop},,,,,e numb..... nit" the "" "ou nu m. ,,' ,tim•• I<> 'h' DIHII;tI, of .. " .... firm M wi<> prtlCliu. nus••",,';11". to I."" jll IIU"UM.,...,IOl.I tuUilM ..JJnn ro lh. ,,~ Shu. Stu M'Mlwnh;' DtptIn", • .u. <II (JU ) 161·41111 (flu) .". 1'.0. 8 1»1 6n Ji","p""'" Jillll .

E. Jacobs W.\SI)1l anllOll""O$ !lie """ning of his Orr"'e5 al 100 Jerre""", 511ftl, Hunt.ville 1S80 I . Phone: (256) S36-8373.

.IN.",,,.

About r&.,1bers K~n ... th M. BLI)h antIOIInca Ih< formation I>f Bush Inldl«t uaJ "roptr1f La .. Group. U . C. with olflCCl al 300 Corpont. Part"..ay. Suile 2. Birmilliham 3~242. Phoo< (205) 912.{j14~.

Clint W. Huller anooulICCslhe opening of his solo jl<III:l;e•. Offi<O$ "'" k>cal«i allhe AmSo\Jth Building, 200 O,nlQll Aven"". w«~ SuiLe 70]. HunLlvil1e )5801. Phone (256) 536-0 128.

S•• pbm D. AwN. ~ tho oprnin& of tho La .. Finn, LLC, with otroces \oc1lCd II 117 S. Main S........ EatapriK. I'IIone (334) 393-3tlS.

AmongFi..... Ma,.., A. Sl>onTIt ~ hLS appoODlm<1II ,... ISliSWII IItorn<:)' ~ ....." St'l~ of Alabama, A110."..,. G<.nual's mmin.a! .p~.b dhlslon. Alford, Clausm" McDonald. L1.C ...1IOUIlCeS that Todd P. Rosa,lOg<' lias jointd the finn ,... an lMOCiate. Bnib"rt &: Ingram , PC InllOllnce, that ",""I H. hasjointd the finn,... an uweilte.

W~bb

Btl"', Cradd<>ek"

R~nektr,

1.1. 1' anllO\ll'lC<!$ !ha,

Da"id C, llil)"er has joined !lie finn ... an usociale, Cai... '" Prodor, L.I, p l/U1OIInr" llut Chrisl;y \\ImaRlS Grah"m lias b«ome aNOciaLttl "i!h tilt ,~

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Km lt! N. Gibbons announces !he fClrn*lon of G I _ La .. )lnn. 0I'fi,0u _Ioxaled II 143 Firu SllCOt. Pnuvillc 36067. Phone ()).4) )(i1.724O. John L I.oflir; aMOuDCt$ tho optni", 01 hi. off"", II 109 22J1d Street. North. Thsaloou. 3S406.!"hone (205)391·9004 . [lonna F. M cCurley announces the openinll ofher office., 268 S. 7th Sireel. Godsdcn 3~901 . 1'I\one (2S6)S46-4 116.

Otborah R. Monlg(llJ>Ory announo:es me O!)<'1Iin. of htr ...ao practice. ]itt new maililll ~ is P.O. Box 9143. Birmin&twa 3.'i:z20.0843. Pbonc (20:5) 85.J.QS.16. Adam p. ~ I ord ._ltX$lhoopmiD&ol ...... OIIkeo of Adam Mom. LLC. IocaIed • ~17 Beaton PaoLw'IJ. v.bl. B~ mO). Phone (lOj) 94S-921Cl.

A nd,..,... O'Nw ... nouno:es the opmin. of his oIf~ II 1614 Quttn City A""' .... 'I\lscaloosa 3S4<11. Phone: (2OS) 343-2841 . (;~nn

J. ShauLl :lJUJOUI'IC<!5me opening of his offictl

al The Ilighiand Building, 2201 Atlin&1OIt Avenut, Soulh. Birmingh= 35205. Phone (2M) 93J.8501 . 270

SE P TtiMIB R 1001

Can, Allison. Putt!>. lIo·.... rd, 00 ...... '" smon, PC IIIOOIIDOtS that Jowph II. ])ri. ~ r, ",..,U A. R06&, .kif....,. B. CarT and 1lIomas S. Tho""'on, III ha.~ b«ome ~ in tilt flMl. I);n: &: Gn-cory, I.LC InllOUn<U tlw Ka,..,n K Skilling hasjointd the linn U III as_ia, •.

Va ug.han Drinkard . Jr, and Iknjan>ln II . IIrooks. III anllO\ln<e the fomulion of Ilri"kard &: Brooks. PC. '!'he new partnt",hip will prxticc in aswei'lion wilh Mii<e N.,,·lon, I'C IS ])rinkl rd, IIrooks &: ,. . ..·10 11. wilh offi= ioc"Lttlol 1070 Govtrruroonl Strttl. M obile~. Pbonc (2.5 I) 412-3531. Jim H. }'"nw><k(, ]). 01 • ....,. lIoia and G~ry S. Combs onnoul'lC<! ~ rormation of }',...."ndn. 110hz &: Combs, LLC, with off'lCa k:IaoLttlI07 S~

Fnoncis SUft\, SU;1e IlO6, MobiIe)()602. JohnT. ....... r, Jr~ l'au! }:. Skid ..... ,.., and T... Slrl<:IWond anrooullCe the fnrnwion of .ishtr. SI<id ..... ,.., &: St rkkland , PC. OffICa are local'" al 1406 2211<1 Avenue, TuSCIIoosa 3S4<11. Phone (20:5)

3444414. lIakolltb &: Werth. It", I' C anllO\ln<e. that Apanuo M. Roddy has joined ~ finn a. III associate.

Ha) p>d. CIr,'tLand &: PIr,,",. I. I.P annour>teS thai Tborna< Mtll.... bas

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b<romo of f(JOm#/.

Maria 8La~ Kau anJIoOIUICC:S !he f...-ma&ioa of Maria ilia ..... Kau, PC. and thaI Christl ... II I1dson Goldman hasjoined!he finn as an _ _ ia~. OffICeS :are kM:ued at 2167 14th A""" .... Soul1\, BinninaJwn 35205. Phone (2O'l) 9)O.{l133. Kellfll & K"II"II. 1'10 announces that Julio lI~k"r M<Connick has becom. .ssoci.~ wilh the finn. Dtnn" J. Knlnt)' and John C. \\llliams announce lJ>. formalion of " nUk)' &: WiUlams. PC. orr,,"" are kM:~ at 7 r-l.l.aw ... nce SU'efl. Mobil< 36602. ""'- (lS I) 432·1199.

Lanltr. Ford. Sha'u &: PaY"'"' PC announces thal l)",'1d W. Hunl. r and Charles R. I",",.r. Jr. ""'~ ~ associ ..", ,n the form. 1.lo)'d. Gnoy &

\\' hlt~htad.

"""""ncb that ltichard.:' Tre.. h.lla. Jr. and I)a,-Id R, I lanbur)' have b«ome o~Ia t«l wllh the finn,

Binnin&IWn orrlCe II ch~r of lhe awel"'te division.

<"t>IUIU1.:and J ""k T. CMmty. Jobn Gf'tUOI1' Ir. J ason w. Con ... '~ Thad A. 1>Io,1s, J tnniftr J ontS G. lliK.... Sttphtn K. CHslor. WIII;"m

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Vkbrs. RIb, Mum, &: Curnn. LLC IMOUno:es IhM TI_II)' A. Cb..u bas bc<:ome a mtmber of !he finn :and Cloy A. ' ... nhalll bas bc<:ome associaIed "'ith !hoe flfnl.

K. l ... nsford. AJII, .:. M"Mulltll..

JdJ...y G. MILkr. Rldl.rd 1_ Morris, WlII;"m F- Pipkin. Jr~ Shaun Ramo),. K yl< T. Sm ilh. Md ~Itr M . Wrighl hIove become associ.,ed with lJ>. finn. The Soulhtm 1.. 10' GrouP. PC announce'lhal Ma~l ... C. MostS has b«ome In OHOCiate wi th the finn.

SI. John &: SI. Joh", U .C annoo~ lhat RO~rI Champ Crocktr hasjoiDtd tht finn.

SuthtrLand ,ublll &: S ..... nan. U P ......... no:es that Grill' Grimn has joined lhe fIrm. The Unllcd Slalts AII_1'1 omc.,.

Nonhcm Distric. of Alabama. ~ !hat 1>Io"1d .:';Its. Athon S. Oiatkw.lI. AngtI. R. Dtbro and Mary Stuan 110"" loa..., joiMd the orrlCe as ass;$1.11l1 U.S. "' " orney, In lhe I I "nlS, iI1~ d;';$ion. :and Sund ... J. Suwart loa, joiDtd lJ>.

IItAjanlln E. M t ..... lth. Alit" K. and Ymn"" G. britbon announce the formatioo of Me.....ith. Mile,",11 & Gabritlson. PC. with offICeS 01 701 W. Main SU'efl. Dothan 36J0J, ""'- (334) 67 1.(t289.

WIII O. Walton. III lMQ11no:es tht formalion of WMlton I...... .1rm. PC. wilh 110)'1 W. lIiII of ~""n'" and O... nl I.. Dt"" alln associate. Offices are located in Auburn and MO'''80m.ry. Phone (ll4) 321·3000. WllSO", Jim ....""'" Ch·han. Martin & MeKI"",,),. I'C wt En., J. Anrip bas bc<:ome usoci .. cd ,,';th tht form.

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Wrbh &: Bt,., PC that Lisa Va n W""",. has bc<:ome .. ~ boItIor of !he fum. Wilkins. Santesl. r. Silts" Wyn"" :on.-no:es !hal C. J _ ph NOrlon and J ....... S. MrConnkk hive become

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!I1orrls. Srhn"lder & " rior. I.I.C ''''Il00''''.' thot Mark A. Baker has joiDtd the ftml as managing litl. allomoy,

N"",ar i>fnabu'lto I'C an""""",,' that Donna M. J." nlnp has joined the form uon .-iat.!. IItnjamln K I'0oI atWlIIIIa:I thot his .... Grqory MikhtLlI'ool. basjoiDtd

.. an tiSOclate. Sanden, 11. ..... St:ars& ~l_. PC I/IIIOI.IIICeS that M~ I>ardtn GrifIIs bas joiMd the finn .. \Ill ......:iaIe.

Sh"Ott & "umuU. PC announces wt TImothy I). I)••i ~ . 11 ........ 11 Ca rt.r Cach • • nd J ~ n, ." K \'Mnn Ita .. b«om. ,h...,holders. John R. 11aUtll. J r. and

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Millo" H. Lanier, Jr. MillOO H. Laoier. Jr. was born Febnl.ry 17. 1914 in Huntsville and died October 11. 2001. His family w.s among the e",lie" seule .. in Mo<Iison County. Al.b.m •. and despile tra"eling to many dille",ot plact$. incloding around lilt world 10 defend our coun· try in World War II. Mr. Lani .. ·, roou we", •• nd alw.ys remained. ftnnly aod deeply planted in t~ Hunts .. illl: comm unity. He graduated from the University of Alabama School of Law in 1938 and began the prac1i<e ofl.w in HuolSville wi,h lilt firm of Lanier. Pri.,., & Shaver. During World War II . Mr. Lanier joined the United States Naval Reserve and I.ler v<>lunttertd for ac1ive duty Overseas. He WU SI.lionc<.! in nonb Afri~. and bravely defended the cause of freedom in the in .... ioo of Sicily. Mr. Lani .. was richly rewarded for his yeal'S of military duty and sorvi.,., as during this lime he_ Odly nude friends with many shipmales. but also mel and fell in love with his soul mate. Marie Elodie Hale. affmionalely known .. [)eDe. who WU btrself on "",ive mili13ry duty. Pete.nd his lovely bride were married in 194~ and God blessed them with fou r child",". Pel •. Frederick, Anne and Robin Following the war, Mr. Lanier returned home to HunlSvill. and became a partner in the finn of Lanie,. Pri"". Shover & Lani... He contribtlled immensely 10 the economic development of H""lSville and Madison Coontr. serving in numerouS civic positions, including as president of the HunlSville·Madison Counly Cham):w" of Commerce and .. a mem):w,r of the 272

SEPTEMBER

2002

HunlSvilie City Boord of &localiOd. playing a major role in the O1tractiOd of bu,inesses .och as Chrysler and Brown Engineering to HunlSvill •. He was . lso instru. menLaI in ,he formalion of many local companies. such as M&S Computing (now known as ln1ergraphj. Mr. Lanier was ' very able and tenacious tri.l lawyer in the Huntsville.Madi"", County Bar Association for many years. loved by his chents. feared by his opponentS ""d re'petled by all. He finnly and $teo<lf... tly held 10 !lie conviclion lhal the practice or law demands a high calling of oooor. integrity and profess ionali sm. For more lhan 60 years. Mr. Lan i.. was a lawyer'. I.wy ..... oo capably and zealously represented hi' clien!s regard Ie.. of their position or ,Latu$ in life. Mr. Lanier wu I:.nown by his law partncr< and friends U ' frugal and thrifty person. hoving caulioned the younger members of the bar 00 the ocras;"" of recognition for his 50 yean of praclice. "If you wanl to have a short summer. have a lIO!e due in the fall!" He W15 also I gifted alhlele. excelling in tennis and golf. winning many championships and having shot his ~e or uoder many limes On the golf course. including most rettn~y 81 the young age of 85 having ,hot rounds of 82 and 84 to win lhe SLate Senior OolfCh.mpionship for the 80 ""d 0' ... divi, ion He i. slltVived by his wife and three of hi. children. having been preceded in death by his dear child. Robin.

P. B,I/·gus. p"Jid~m Coun'Y Bar "' ..oc;~,;""

~WiIU"m l/"mn·ill,·M"d;so~

Earl E. Cloud, Sr. Earl Cloud wa, bom May 5. 1924 in Hunlsyill~ to Ocie Cloud and Ikddie Clre ~ Cloud. He was educated in the public schools of ll unlSvilie . receiving hi. diploma from Joe Bradl.y High School. Early in his lifo. he displ.)"w his love and devotion to his COlInlry as he was trnined by the United SllIleS Omoe of EducOlion in Industrial Chemistry and ""orted 01 Redstone Arsc""l. mating mustard gas bombs which we", u>al during WWIl. and then vol Unlttre<i to ..rve his COIIntry in the U.S. Anny Air Corps in 1943. During his military servicc. Mr. Cloud w.s suuioncd in lhe China. Bunna and India lhealen 0$ a line chi.f for B-29 bomber:! and also s..r .. ed as a !ailgunner and n"igator on bombing raids Japanesc: suWly lines during the war. He "'0$ inju1M when his B·2<) bomber w"' shot down. how.~r. indicali~ of his br~'·.ry and I,we of freedom. Mr. Cloud lat.r ",wrned 10 service and new over Tokyo B.y during the lime lhe bpanesc: we", signing the lenns of surrender. ending WWIl. Fo llowing his honorable discharge from mililary servire. Mr. Cloud al~nded the Uni~rsily of Alabama. completing all undergraduate and law school requirements in only 49 momhs and earning . law degree in Augull 1950. He «tUn>«110 his nali"" Hun lSvilie and hegan the privale pmclicc of I.w, He g.ve gell<1'OUsly of his time ... rving as presidenl of lite Huntsville-Mad;"", Counly Bar Anociation from 1975 10 1976 and as a bar commissioner from Ihi. ci",uillO theAlabama

Slale Bar from 197810 1981. H. triw hundred, of case. during the coo ... of hi. illustriou$ career. ir.cluJinjl the defense of more than 30 capil.1 munkr ca..s. during which the mosl $eV"" pc .... lly imposcd "]>011 any of hi' clients ""as 27 ye",,' impri"",menl. In 1973. Mr. Cloud became the third attorney in lhe Slllte to be admitted to lhe Nalional O$soci3!ion of Criminal Def."", Lawyers _ Mr. Cloud was an acti,... nd dedic .. ed member of Fin. Bapt,,, Church. having ~,,"Cd as Sunday Schoolleacher. dea· con. trustee and building commillee chaiTTtl.n. H. servw in numerous other civic.nd communily orpniutions. including os a .ruSt.. for Judson Colleg. and in leadership roles in the United Way. the Lion's Club. the Veterans of Foreijln Wan. the American Legion. lhe HunlSvilie-Madison CounlY Chamber of Commerce. and tho Industrial De""lopment Association. Mr. Cloud's lo~ of the law was truly passed to the r.eXljleneration as all three of hi' child",n follov.-ed him into the logal profCSlion. He died January 22. 2002 and i$ $urvived by hi. wife. Mrujorie Broo~< Cloud. hi. three children. Susan. Earl. Jr. and Joe. and fou, grandchild",n.

_ William P. Burg .... pr... id~m C<>WIljI Bar /I",xiariOl1

lfum.dll~·Mad;,Ol1

Hubert H. Wright The Elowah County Bar Association losl"",, of ilS mosl geni.1 butlenaciou. members. Huben fl""'ey Wri ghl. who died Ami 1.2002 al lho age of 74. Hub wos a nati .... ofGuin and hrld dcgrtts in hislOfjl and law from the University of Alabam ......'here he was. member of Alpha Tau Omega.nd R.O.T.e. 1l>c", i. an unfootnoted rumor thaI ",hen ho finally lefl the Uni .... rsily. be ,..,.,.ivoo. plaque fron> ATO for having been in schoollong.r lhan any other member. He t",ined in.he mounlllins of Colorado and ..,,0'1.1 as an anillery officer during the Korean War. Aft .. low school. he pra<ticed law in Gadsden for 50 years, MOil Gadsden lawyen looked up to Hub. and I>Ot JUSt b«ause of hi$ height. For mosl of his Y''''' he",. he maintained a large cri",inal defense practke and w3$ noted for his coonroom oralOfjland refusal 10 be inlimidated by judge. jury. distric! allornty or d.r.ndant. One 1a<:1.i •• which many have been ur.conscious. was thai when.n opposing lawyer would begin 10 argue at lhe be""h. Hub would puI his hand in his pocket and ra'tle his keys and change. drowning (lUI lho l.wyeT and prompting one judge to

ask Hub 10 empty hi' pockel on the beneh. He is also remem_ bered for tho objec.ion. "Your Honor. thtre is higber and beller <:videnoo."" But whrn the hard arguments "'-ere done .od the cases .... re finished. tho lawyers shook hands and wenl home. friend" Many younger lawy.", ,.""",mber the help he g.... them wben!bey first staned lheir pra<ticcs. He or.ce played Camaek Ihe Magnif,.e", in a legal secretaries' ski •. and was ~'n for pulling robbilS OUt of his hal in many crimi",,1 cases. He ....·os an acti," member of M.adov.'brook B.pli .. Church and 3 member of their choir, Hub is $urvived by hi. beloved family: hi' d.ughl .... Cassie Ball of Hoo~r and Clair McCorkle of Wimer Park. Florida. and hi' son. David Wrighl of Gadsden: his gtamkhild",n. Cecily and Gavin Ball. and Molly and Louis McCorkle; and his .i"..... Sara Jo and Mary Franeis Wright ofGuin and Gladys Maddox of Sullijlenl. -CMrl~. C. I/art. p'f!S;d,m Etowah CoonI)' Bar As.od",;""

SleW!II M. Jordall

pass""

Coli'.., Counly Inu 0ftC of iI5 t.e.t bwyrns with the of SI......", Mart JonIaJo "" May 13. 2002. " ...... M....... called by ru, _ 1 0 hi.nl'mII fnIo'ard. Mart. " . born,~ Entrrpri...... 1951. paduaIcd frum Enlerpnoe H,gh SchooL ,a 1%9 and r=:ivcd iii. ~ ..qm, from the Univcnily of Abbama in 1<;I73....1>ctt he ..... m.mber III S;'II\II N.. fr.lltOliIy. II" ..........'II'Iied hi' lD decTee in 1976 from the Cumberland School of Low 31 S.mford Uni'..... ily. Mm i•• urvi'ffil by hi. helovrd ,,·if•. Penni". by daughler ["oy Jordan .• hip,h $(Ch<><>I $(Cnlor. and son M i'cbeIiJordan. wOO is in the ."hlll &nile. Mark began his c....,r a, an anorney in EI'I~rprisc in 1976. ,",'""", "" wablisl'lcd I "1l\Iwior> ill • penon of inltgri'Y and di,· IlIly and di",npiWd hu.-If in all l<p<Cl$ of communily ond prof..,,,,,,,, lifo. and earned the ~ of his f.11ow Lawycrs. judaes.nd all ,,110 tnew him. [n 1978.. Mm ....... ~ pLe ''''"rows.. H" WlIUIcd .... ianlly against """ di_. ... hl(h ~ltillllltly IO(It his lik "...... IoJin, hi. pm;oo.al comrn.iuncru I<> hi. family. I<> his profession and 10 hi. willing· nns 10 lerun and <':l~ new """""" of lifo. lIi,l"U"ions incloo.d an.nding sponin~ ",.nl$. worki"!! willi childn:n. especially 1hc physkally challenged. and S<1Vinll u • 1Ico<oo at Fim Baptise a."",h of E1'11Cfjlri>c. When Mark', illness ~ 10 the poinl th» he "'as 110 Ior>gtr motrilr. "" (C)ftIilll,lrtl 1O.,....,ucc low ffOAl his .... hrtlrhair. and...".ul!l'd OC1i", WIIil his _ IKftII hospiIal adrruuioa ond rnullin& <l<'Ilh. Uw JdoooI clDNnalcs v.'lIync M""" and Tony Mancinolli " ....I<:<l "'mxrpiu Mart·........'tplilJuncnIS .. alno)"tt ond communilY leader. ...1>kh he adliC\o:d despi .. his dilablinc mod·

ioaI condilion. [ft 2001. Wy btpn '" rai!c fun<h lOr the Alabama of the National Muluplc: Sc~ SoxWty. Frimds ron· lribuo<o<l ....t t $10.«n ... ho<h the Alabama ~ '" food • IendinJ [iInry lOr the ..... III MS plllienu. !heir familieo and friends, Tho [ibrary was off!clany ~ "" Miy 24. 5IIOnJy af.... Mad;'$ drm., l! is al ...:>y$ dilf>Cllll ... t..n we I.."" '" dral .... ith the fulll journey III. fr>end. Mor!< Jordan made il easy. as he '"'115 p!qlIlml for drath. and f""tll il ... ith a ChriiIian', confi·

o..per

1Icr.:e th.u he """ JOini 10. bener place. H"

ianomJ pain in an effort 10 "'""" 0Ibcr$ fed MItr. H" ""~ lautlhler as much as any· one I 11>"" ...'" mel. [ Ie 00... would call Wri", the day 10 """' • jook<; or funny so:xy ,.;'" me .,.;I other fricn<k. We .... t.e.t IR" .!Cn" 1>UrlI:'$ IIItIIlIJfY by ......... filrxcoing lhIloe """y chi .... he did th» made 11$ bugh or made IK be..«"'~ Wy"= the _ . In M3rt; Jordan ~ all of IK ' - ' 10 !We "'Ill .,.,..... and 10 Innt

11)0""

"''''II'IIIIIi_

Cobb. David Ten'nct' Ridgdalld . MS Admined: ]990 Died: January 3. 2002 Ibrdegree. Henry 8 a rna rd Montgomery Ad mined: 1962 Died: June 24. 2002

274

$EPT~IoIB~R

l00 2

".,'YCfIIO

GOIn promioelll the Jin of e1CmaIlife. [f! ~ Mark. .,.;I thenl ore balJ:tIb;aIl pis in heaven. he i,likely NMlnJ up and oo..n !he couM or WIoIi"8 a JhRe.poinlCr III Ihi. very

Mark was on< of the of wOOm il can be !lid lhallbe void erealed by hi' passing will ne",r be filled. We ore lefl wilh lbe inspi,,"ioo lbal was crealed by his life 101 ... ""eanh. We coo IIOnor him by supponing 1hc: I •• y and MilCht!lI.ll:ltlUn Scbolarship Fund through SoulllTn.tst Ban~ in Enlotprise of the Alabama ChapItr of the NIIiorIal MultipLe Sclcros;' SocietyS. Mark lordarn UInry Fund.

Johnson . Br.ldley R.

Paden, Rober t Emmell

Tampa. FL Admitted: 1968

Bessemer Admitted: ] 960

Died: Apri l ]7.2002

Died: June ]6.2002

M lIlIh~\\'s.

William 8 .. Sr. 07..ark Admined: 1956 Died: May 20. 2002

Wood. George to: Mobile Admined: 1940 Di ed: March 14.2002

Arbitration Registration Standards and Procedures (effective January 1. 2003) l.

Slate Cou r t Arbitration Roster' lbc Alabama Center for Dispute Resolution e'Cenler") shall maima;n a State Coun Arbitrator Rosier ("Roster") which consisis of those arllimnors who meet the arbitrator registra路 tion standards and procedu~ herein. This Roster shall be maintained geographically by <:Qunties and shall be made available \0 all Slale court judges, anomey. and the general public.

l)efinition of Regislr~tion : For the purpose of these provisions. the tem1 "registration" and the related fonns oflhis woro shall mean only that the standards and procedures set fonh herein have been mel to the satisfaclion of the Center. This lenn docs nOi imply any degree of arbitration skills or competency on behalf of any arbitrator subject!O the provisions.

Ar bit rator Registration Standards: To be registered on me Roster. a arbilrator must me<:tthe following minimum requiremems: I. Be of good character. 2. Be licensed as an a110mcy by One of me fif1y states of the United States or lhe DiSlrict of Columbia and in good standing. wim eight years' eXJlCrience in the proctice of law: or I-I,we se ....'Cd professionally as lhe arbitrator in at least four arl)itratioll'l within the three years immediately preceding submission of an application for regislration; or Be currently listed as an approved arl)itnuor for a neutral administrator for dispute re"fllution. which is recognized b~ the Ccnter for maintaining high standards for mcmbers of its roster.

IV.

Procedure for Rf'gis lnll ion: Individuals who seek to be registered on the Roster shall submit to the Center a oompleted application fomt. Should the individual meet me required standards and pay all applicable fees. his or her name shall be registered on the Roster as an arbitrator. To remain on the Roster. me arbitr.110r must meet such additional or different standards which ma~ be hereafter imposed for registrntion. RegiSlration decisions arc made by the Alabama Center for Dispute Resolution. Applicants who are denied regislration for an~ reason may apJlCal within mirty da~s of that denial to the CommiUee on Standards for Neutrals of the Alabama Supremc Court Commission on Dispute Resolution. which Committee ma~ grant a hearing to the applicant. The Committee On Standards for NeuU31s will make a determination of whether the applicant should be registered. An adyC"'" decision of me oommiuee on Standards for Neutrals may be apJICaled to the full Alabama Supremc Coun Commission on Dispute Resolution within thiny days of the date of such decision. The Commission shall grant a bearing. if requested. 10 me applicant.

Fees: Individuals applying for arbitrator regislration by the Center shall pay a $20 application fee. If registra路 tion is approyed. an annual fee of $1 00 for regislration will be assessed: provided. the annual regiSlralion fee for an individual listed on me mediator and arbitrator rosters maintained by the Centcr sh311 be a lotal of $150 for both. Failure to pay the annual 3S.<;eSsrncnt or failure to meet the standards effective at the time of renewal will result in the individual being remo"ed from me Roster. Appro\'Cd,6J28J()2

Thc Alab.'Ul1a Supreme Coun Commission on Dispute Resolution approved tbe following ArbinUlioll /legiIlratioll $umdmlis ",u/ Pro<:rdure" 10 be (ffecli"e January I. ZOO). at their meeting June 28. 2002. The Commission would appreciate your wrilten oomments whieh may be sent to : Alabama Center for Dispute Resolution. 1'.0. Box 671. Montgomery. AL 36101. The Center is responsible for arbitrator registration and maintaining a current arbitrator roster. availahle upon request.

.. 11111

Annual Meeting of the Law Institute

he Annual Meeting ofIMAI.bon .. law lMCilUte "'as held in oonju..:tion ,,-jlh tho

Alabama Swe Bar. R<-poucn\1tive I):omttriU$ NewlOn, institUIe JnSiden~ revie'lld tho IlI$IltuLc-<hfl. ed IoJisIlllion IhaI pasocd !he 2002 Rqular Seuioa. At;t 2002-~J7. Man " " "",01 of InsliMIonal ~'unds, pass«l1he Iq:i.sbwfe. II will allow duehes.. Ki,,1II\is

clubs. tho Abbama S...., B..-, and other q-'ifltd charilies. ..'hid! """" fOlUldallms. to maIu: i. . . - in JWCu, in addition 10 oenirlClle!l 01 depo$il. This will pnmi. !ban 10 _ the s:une invdl.....",. ~Jilita as cum:ndy a11o\o.'ed educatlon.al instiluUoru. Also ..... in, lhc lqisl.uu" was Iho In t. """,. Con.P"« ror AduU orr~lIder

Su"I'''''' OsIon M I. Act 2002-413. Thi, brinp

AI.bo.ma's eJlisling Intc,,,,.. te Cornpac11lu.1 i. !'lOW 67 ~m old. II will provide forille manqc ..... nl. monilQring lnd $up"""is;o" of lIdull paroI«s and probationers in !WtS other iliad Iho one in ,"'!lith !hey wet!' sentenced. 8c<:ausc Abbama was ont of !he ~ ~ pioor 10 ilS bein£ adopICd ..........'ide. Alabama ...ill be • pm 01 the adminiJlntive decision makin& r... die by·laWS and rub m.. ..i lllOllow. Kalp/1 YrildiQg. cl>aitoflhe T ..... ' Commin«. rr;iewcd \he commilttt', lWO-l"'ar \011, IWdy oIlho Uniform TN>! Code and .dapIial il for '"" in Alabama. This iludy is be;,,! undertaken .. an e..lCnSivc projccI tIw should tit ."";labk for review in 200) , Noah Funderburg. chair 01 !he Unlf_ Pa ...... AC!. reviewed the IJlSI;tu!e'..lUdy "fa new I"amlt:lge AcI for Alabama whi<h j""ludts suc:h IUbjecu as dcttnniJ\Olion of I"'lem;ly. genetic: testing ond p;Umtily ~i5uy. JamtS Tingle. ebai. of lhe Ll ndlon! T~nanl An. l'ev;"wed the wort. of the IfI>1ilUII: romminoe dw was created as I resul1 of a requt$I by the qislalure for the 11I5I;IUII: 10 dnft Alabama', 6..c R«idtMiallMdlord TON4II Law. Thi5 Aa i. neari", completion and ... u\t1lli~ ~oflhi, ACI will appe.- in lbe ..... l addition of no. "''''''''- ~. II "" ill lite IVliIabioc for ODMidtmion fur <be lqil.Wure in 2003. Prof....... 1I"",'lItd WaltlWl. ohid'dnft!rnan for <be 8 p ~ _ Enlil .... c..M. f'e" .....'Cd the wort. of the comMinoe O>'e. lhe P'"lthree yun.looling 10 00111 ....... rohcsivtn... 10 the o~~m d&hl bulin... cnti.i« lhl! e.i" in Alabama, The section oonceming ""''ion and consohdlnion. h.. already been I""""nl.d 10 lbe Ieglsl.1Ure ~ cna.ctcd.

cu~nt

c..

2 71

S B~TBMBBR

l OG l

L 1I<c:.toy. ...

Life Membership The 1I>I.itu." ~iud 4(l individuals ",lin IuIvt "vtn 2'1 yurs' Jel'Via: 10 the Stall: of AIaI>ama and 10 the Alabama La ... 11III;IUII: as mombers of the InsUnlle. The ind .... iduals ~

"'=

rolkrwina

Mc~ips;

Loui. B. lust

Charles Adair. Jr. Leo E. B.... E. T. Brown. Jr. WailerR. By... John Caddell T. J. Cames Joe C. ClSAdy A. J. Coleman Camille W. Cool Jerome A. Cooper Homer W. Comen

Rober! T. Cunnin&""m Fr.W: Dominick

Go.<Itie P. Ford Conrad M. Fowler, Jr. 1 _ M.

F~lIan

. Jr.

lUI"" Glines John W. Johnson. Jr. Jose"" H. Johnson

Jack l.ivinSSlOl1

ur"

William II. McDcnnoo Richard S. Manley John R. Malhcws. Jr. o..kley W. Mellon. Jr. Roland M. Nochman Roben D. NO<maI1. Jr. E, B. Peebl ••. II I Emes. 1.. Potier James D. Pruo11 ha D. Pruin. Jr. 1.. Drew Redden Morpn Reyookb: William M. R'lSSdL Jr. YI'lLa G. Samford. Jr. M''''')' D. Sroilh Robert MoD. Sroilh IlMOld Speake C. SICp/len Trimmier JI1COb Wall:n. Jr.

Maynard Institute Fellow l1le Alabama Low InSlil"I" bes10WS the honorary position of ~Lo", InIliun" Fdlow" 10 individuals based on nuwand;", SftVia: IIId load• ..rup in carrying nul the miWoa of the 1n!liIU!e. n..... individual, IuI_'e fQl· Iered reform IIId "oodemizalioa of !he b_ of Alabama lhrougb many dedicaled yan of RMoe as projeCI dO-. ,opoo.. ,s, comminoe dlairs ltId In01IIben of commi!ltt$ of the Lo .. IlI$IihN. ~ "taynard has been a IIItmber of the lMoIlrulilUIC for 26 y..n. JeI'V. illl 16 yurs as a IIItn",", of the EucUli>'e Commlnoe.

His Instilute paniclpalion rrono 1979'02000 was his ohairmanship of !he anslncss Corporalion Commiuoe in 1980 and be ohaired lhe oce<.>nd revision of the au.i"",. Corporalion Lows in 1995. A. a commillec member. Maynard Ulumed 1II ilWaluabk: kadoBhip

OIfIttrs or tht I nst lt"t~ Newly..,l«ted offlCflS of tho fOf tho 2002·2003 y•• iIIl':

In ~i tll1e

Demetrius N","'1Ofl. pmidem Roa.... lkdford. V»>pmidtno. Bob Mo:C\Irlcy. otemary ':""allh. Com mlU.., [)a-.oid Boyd James M. Campbell Bill CIarlo; RtPfl'S('nlJlivc MaO; Gaint$ Rrprnc:nlllivc Ktn Guin Rkhanl S. Manley Oakley W. Melt"". Jr. St-.... (Of Rodgtr Smi(hefJl\Al\ AI IN 1OO1loSB A"""", Mm"'l. IlobI.kC.rlty P""H"k<i y""" ~ "';1.

Ids Ljfr

M".I>",.", f'1oqw. role and was imuumrnlal im m.. rel'i$ion of tho rol .....""1 1awJ: Alabama Ibftkin& Code. Li.mi~ Panncn.hip Aa. Revised Aniele 9 of tho Unirom COOUl'I<fcill Code. N",,· l'Iuti( Corporaoion Act. Ikal Estate A<U. Condominium Act. Common [Olen:ot Ownership Act. Limited Liability Company Act. Limited Pan ....r$I\ip Ao~ R..... ised Artkle 5 of the Unironn Com.....,..,i"l CO<I<:. and the Bu.iDeS! Entity Ao1.

I'rok$sor Hov.wd WallhaU ..... abo

pvm op<riaI ~tiooI .. project diRe-

[lUIit.... ·.1Wdy die Aw.n. CoMitUllOll fur \he Alabama Hou$e of R<,nso:nIali"'l. lI iJ ""'"' included" ,"""""",LaIion 0( \he Alabama ConWtUlion or 1901 and ilS 70& amend ............ This pI:ro:>:d all 01 tho arncndmenll; 10 tIw: AW>an ... C"",liwt;"" in tlx:ir prop<1' ploa to ~n:lblc: "'" It,islat"'" lD have " romp"'hemi"" doc\Imoll1. lOr 0( tho

f<lr """" infOf'n'W;"" about tho InsIi,oMe Of any of iu ~ 00fI1I<1

Bob McCurley. dim:tor. AbbamI Uw

P.O. 80186[4~. lI!SC!1 ...... ll486-4X)13 : fu~) 348-3411: phone (lOS) 348-1411: Of visit our Wtb ,ilt: aI .....,.".H.JU>/~.<II. on. • [."'IU1C. aI

___-

L...~ ..._ _ _ _ t... __ l ...o.o.,..l io _

..... . . _'" ...., ...............

Why pay more than you have to?

lIPdated and thorough disaslfl1 preparedness and lesponst1 plans. These pIMs ta11 save Iiva. n help ~ InIgiwJ dire<:bOn 1D staff and leadership in lila (10000$(:1)18

100II1 01 .. _1jIR'1 Wi1h this in mnI. N ~ SraIe Bar 11M 1Illdut:..:I. eontI$t.. ,t QI*Ia IhM t.It.nrI. CIlS!S",.... ,... ct.tkIist. $I8pI b jl.Cling 1DiIIf* • bIo' II' legal

..,.IO-il,,,,,..

IIIIt\Iee

"'_'I)n "'''""I(:,

lI«*edness plan.

lnI_for~"""""

Blumberg5Xcels!Qt ...UHrnt

_loW... .""' ....,"",. ...."

Ie!!Il 5tIVices. TlwI go..odt is ",,"Ioble. at no cost.. on-iinlil www.alabar.otg t7(Qllilg 10).354-6154,

II' \¥Dl JIQUIISt

_ion 132.

You Make The Rules I D 1983 tho AIl'Iefkan Oar Auocilllion odopIed tho ABA MOOt] R~~ <Jl Profos,jmal c-tuot. FoI ......1IJ adoptioon of die model rules. tho AIWmo. Sup<mlO' Coon ulcd tho AbbMII Slale Ibr 10 "",jew the rules and wbm" 10 lhe OOlIn • COIlI/Rho:nsi~ analysis tht'co....;"Ic"'""i~ lhe od~isabil;ly of lIdotlIins similar ",leo ill Alabama. The AlaOOrno SraIe ~, puI>oU.lIIIlO !be co.....!", dim;. live. ciIargtd tht Prnnaootu Cod.: COUlmiw.:.n wilh this rupoosibility. AIkr many hoots of ~an:h. dr..n.ina. n'O'tlings and debate, the I'ttrnarItn, Code Cornmiuion ...,.,."".,.ndod • ,..moo, of the model Nics 10 tho Boord I:i O,...Commissiontrs too- appn::»'ai. The board appr'O'o'I:d !be rules. and direaod \be OOoce O(Grnenl eow...110 suDn.1ih<m 10 !he Alabama Supmno Coon for ldopIioa ~. pullIit COO\IIlCfII poriod,lhe AbibamI Supmne. C<Ut 0I ....."<'d oral ~ b)' !hole "iIo "ilJ'W<d 10 UIOIO'''''' furthtr l1li .... po"""", Nits. ~. Ihe coun adopiod lilt Alaboma Ruks of

I'n:IlQ$ionaJ C-"~.dfcan,",.w...y I, 1991. odopion of Ihe!c ",IQ, the ooun abo adopiod Ihc Alabama Rult$ of Disciplinary ~ Since their adopIion, bo!h the Ru\eJ of CondllCl and ~fII "iIII tho

Rules of \"n:>ceduro have l:ftn period~aJJy amorKlod .nd presently lhoo Alab:",,,, Supn:me Coon has "odor con,iderali"" proposed ,haIlges lQ'bose Rules of Profl$$ional CondUoC1 "'hich IO'"t1'!lllw)'t'. advenising. (See AdVt1tising Rules. pooge 280.) ~ the order of the: Al.bollll S...,...,-,e Court, these propoocd ad"",,;,in, rules ..ill be published in !he $t,..1~'" R~pMU (211) od~ ~ ...,ith the a>mJ\1tn. period 10 ullin: Octobtr 1,2002. In 1997. tb< ABA CommiSlion l1li Eval..."ion ollhe Rula of Prof""liorW CondIJCl (!he "E1hic12OOO" Commi ........ ),,~ ctealtd fOf!he purpose oIun<krt.U:. i", a COIIlprm..nsive eval ... ti<ln 01 tile Model Rulcll 01 Prof-wonaJ Conduct. FoII"",in, -",veral rn«Iinp. lO1I public: tltari ..,s ;lI'I(I sev=1 drafts ar><l rtdnfts. lhe ~lllhiC!l 2OO(l'" Commission submine<! a final "'pan in May 2001 «If debale by lht ABA !lou..., 0(0.1,,01(, in Augu~ ZOOI . "The mane. was C<)f\linue<! lO lhe

February 2002 tnl"<"li", 01 tile II ....... ofo.~ I<Id ~ 5. 2002, die House 01 0.1tptts ~ a .me. of amendments .... hOl'h Il10,,,, now Men publiW<!

...

• !he _____ onodel rulcll.

Alabama State Bar I emls the Way In 1887. die Al.bama Bar A~lOCialioo aOOp(d tho Code of Ethics (Of I.w)'t'''' Thi' " .,., die firsl slICh (0<. malized sel of "'leo delinina ethical obligalions fo< l.wyt'l'$. On Augu~ 27. 1908. the A .... ricon Bar Association adopt .... the original Canons of Profess.ionaJ EdlicI " 'hleh Won: b:ased principally ... AIabama'J I S87 Code of Ilthic:s. SUb$lq\ltll1 ...:d 01 die ABA ..".,lled in \be Model Code of Prof"",ioIlIol Re'p""libilily bti", adopred by die House oI o.lrpIU i. 1969. I<Id die Model Rill« of Profes.ional Conduci in 1m. Whea the ~llIhics 2000" Commi!.sioo ...-as CRaIe<!. 44 SIal. . Iud adopttd some .crsiocI oIlhe onodel ruin. bul with siplirlCalll variatiOllJ. (rom Slate 10 SIal •. Or>o of lhe undt.lyln. ",awns for lhe C"'alion of die "Ilthic< 2OO(l'" Commi..ion was 10 ~Iop. uniform ",I of onodel ",I." " 'i,h the hope Ih.1 .""h Slate WO\Ild consider adoptin, lhe ruks.

Substantive Changes That Could Change the Way You Practice lBw The ...... mocId nlios cle>_ the lemliooJoey S<'<Wn 10 rule >til.... T<rminoIosY "'lIS ~Iy I pM 01 die pnmbIe. ThiI new rule IRulr 1.01 oontaim oever.al ....... <Irlinitioos. and "",ira CMIIn ItnnS ;" the curmII niles. Sruir", rulcll or Mas of pnct><e addru.sed by tile ....... model I.

ru~;

.'kop: of Rrp=cnlalion-Il.lpand. rule co'"efa8c 10 incloxlt lhe i..... of lllo<atil)l1 01 authority bet" """ lhe I.wyo, and the c1iont AI", a<Idn'<.., lawy ..•• withdrawal from ",,,,,,"'ntalion of lhe

ditnl ""hen Ihc: la .... yn discc... en he lias iNld""n<1llly been W;5Iilll an ~ ditnc fraW or crime by a11ov1in&!be"wyn 10 ".r.e DOli« of !be fllCl of .... ilhdrrnl and 10 dis. affirm ..,y opdlion. documcnl. affi.· ma6on. or !he Ii ....."

I'tto-IJi Dtiuon 10 fees. aI!<I mquirt$ m.. <UlS arw;I (Ii!.l:o.o,."O<tllS ~ __ ,.,..... ..-.drr Iho ci""trTl5lanoes." New alllVnenlaly I<l Rule l,j tlOIeS 1lIOII oonong<1ll fcc:s .... also ~ 10 !he rule', "'~ mnd3nI, Commem abo .... plains Ihal!he prohi. bilion 0tI <:OtIb~ ~ in domestic ... ~"- ...... not .. tetxl to pool' ~ ICIiono to coIIecI ~ I'UintS out tIIa a ffe paid in "'....11)' ~ of........,. 1M)' be 'cpdtd .. a aon,a:tlon" "ith !he clionl. and !hut ~ 10 Iht pmYiJi<Jm of R,,1e 1.8.

""oV='

••

Confidemi.l'Iy-....d<b 1 pt'O"isioll lhot p<nnill a Ilw)U to di.dooc informalion 10 obt.in ~gal ad~ice rrgardini the lawye,', compli.nce .... ilh lhe lilies. Also broadI:n'the JI'OUnds for discreliOtW)' d;",Io<u", to up"".nl """OlIably cenain death or JIIbswlli.1 bodily IIann." leu""nt .... I.boma rule: .... J.wy... bfliCY1'S ;' likely 10 result in immintnl dea!h or >Ubswltilll bodily harm."'1 TheK """ a1$O • rccommetodcd clwo;e. ,,·hidt lhe deqalCS did _ """"""", ..... bicb ,,'OU1d I>IYe a1kN"Cd diJc1os<ln! to pn=1'O !be client from committin; • cri .... or fraud ... UOI'ably cnu.io to resull in substantial financial injul)'. ifit in>'Olwtl the lowyn· ........ i=;. Conf1ic1 of In!Crcst- Roquircs thai w;oivcr of ronniel by the diem be ronfimw:d in .... ritin" Ihoup the wrilitIJ I"ftd 001 be si;ned by Iho c1i<1M. W.i_ is rot7OI accomplisb<d "'im 'infOt'1"llt<.l C(IMCtII.M whidt i. defined by Rule 1.0 u ",. ~ ment by a pn1OIIlO' ~ _ of C<IIIoIluct .tier Iho lawyer

bao communic:alcd /IdII:qIIale iDforma· lion and .... pIanarion abool!be material rUb of and ",-...bIy ..;oilabIc a1tcmativellO Iho ~ ~ of tonducI."' R~1e 1.7 abo ~ tWO types of """AIeu involvinll Jl'U" cnl clicnl<: (1) ilIlI«c: ,,'hieh are Mdin:<tly ..,,,,,...,"; IUId (2) tlIO$e in

Im",ued Dilq..alibiool-R"'" 1.I00a) wc.ald ="'1'1.......,.w ~ ~Aicu" Ihat do IlOl Jft!CfII a "'"sipIi6canl rUt: of mMCri.lUy li"';l. inc !he "'Jl"K"Lalioo> of !be clM=lII by !be mnainLllllawym in !he finn." Commmtat")' ~ ttw Iho C<lIIf\ict! 0(. law)'<'t" ~Itilll from prior wort: • a roonllwyn (inc:ludi", • a law i100.:nl) . ..., IlOl inlp'JlN 10) ochers in Iho fiml.lhoup weh persons "ooIi· owily muS! be fen",,""'" frocn any pmonal pankipatlon in the nwln. The romrru!&ioon prt:IJIClI5<d. but the Ho\Ise of o.lepIc$ "'jcacd. • propooal .. hicb would pamit so:n:enin; ...-ithout d"",, «IftS<1II in the caw: of lawym """'inc bet ........ firms. 10 a¥Oid tliJqualibion of.., ~ finn " 'here altot!:ol hft ~y ~ OIl Iht matter. Prospt<1i"" Cli~n~"" n.ew Rule 1.18 IfI'OIIld deal willi 1M ",I.tion· 'hip bet""",n Ihe lawy ... and a prospecti.,. client. The primary i,sou 1Idd~,~ confidentiality .nd ronAic! of inl."'S1.

••

Ruk I , I ~ ",'wid lUIuin: that ad.-anct(\ .... rcnsn IUId fees ~ ~Id in the lawyn" 1N5I1OCCOIInI unlil Ihc: ')~ ..., KI..ally incumd or !be f.... KI.wly eamcd.

which rq>f"$Cnwlon of Ihc: clM=m may ~ "lNIIrri&lly IimilCd."

T .. nsa:tiOllS .... illl O;'nl_Rule 1.8 i, e~pandtd to prohibil '"sexual ",10lions" .... '111 a diem "unlcsl a """. KDIWIl ...... ual ",.. tiomhip ~ bet,,· ..... Ih<1It .... """ Ibe dienl· lawyn "'bliomhip alI ••..,nccd." The Rule a1$O lUIuires that. "cai_ of the ronAicI by Iht dieM ~ in ...nonl. Iltnd by 1M C/imi. and obtained only afte, !he I."'~r has ad~;~ lhe Client. in ",rilin" of the desirability of 5CC~ini indcptndcnl Ioa.l C<)un,dlUld the client has been Ii""n a re_ble opportunity to do $O ..... n bulthe sexu.1 relotions ron· Aiet ~re imputttJ to OIhtr la .... y.1'$ in the firm by n.ew Rule l.S(k). Rule l. 1_ Rtlidcd "Client 1'."0110 Diminillocd Capacity." C\ltn:tItly titled under the Alabama Rules of Prof_iooll Conduct "Client Under a Disabilily."

Wilhdnwal from Rep""""tation-Ru~ 1.16 dimitl1tel right of ponnis. si.e wilhdraw;ol on "imprudent """rse of conduct"· llroondJ. Clicntl'ropony-New p<O>'ision of

". su.

ofl u..- Prxtice-...... bam:a Iw ..JopIcd IIOIhilll oompanbk III Rulf 1.1 7. ",,'hleh "","Id allow a .. wyer 10 leU hi. law JnCIice.

$trvin, as Thi!d .P:II1y NeUIIllIRule 2.4 odd~lseJ Ihe rolf of la"')'ffl "r.'in, as Ih ird·p.my ~u· In\ls in .Itc""'ti~ displlle ~solu· tions. The dosest lIIin' .... bbama has to a ~Ie rule is 2.2 . " Intermcdi:ary." "hich was deleted in the t>eYI. model rules.

13. Candor 10 the TribullllAmmcIrn<1Itlll Rille 3.3 deletes lUlU;"'''''''' of "material" as .. ",laIeS 10 1o~'1 obliptlon DOl 10 make fal,. ~mrl'O of faa or 1_ to. tribunal. Expand. obligalion of 10",")'<1" to lake remedial mrasurrs when "the I~wy.... lhe I."')'t'r'. diom. or a ""illom canod by the I."'~r. bas off.1Td matori.1 ,,,i· dence .nd the la .... ~' comes 10 know of its falsity." The I.wye, must ·"take ",_bloc remedial mrasUfl'S. i""Judi",. if OICttJ,W)', di«1os<ln! to lbelribunal."

Impartlality and Decarvm of Iht Tribunal-Adds pt'O"ioion to Rule B ..toicb wc.altl ~t communi· ClItIOn by !he 1awyer "';111 a juror or ~ juror .(1eI diochar;c of the jury if "!he commun~ is prohibited by I..... or court order. or, !he;"1'(II" hos made blOwn 10 the l.w~1 • de,ire 001 to ronllllunicale." Respect for RIJIII< of Third PtIlQlU-Add, subs«tion (b) "'hich deal, "'ith the la"'y ...·' ~ipt ofa document .... ~ieh the I..... yer "ttasoo· ably sIIOultl ~ ... was i~nl' Iy ocnI." The Rule requifu the 1awya-1O "promptly notify Ihc: w Knder.

Otbn' clwIJcs would incl ..... addRso· illl!be multi·j.mldictional P"'CtOce ~ by =';0tI 0( Ru~ i.$. wDiscipli....." .... uthorily: Choice of Law." the i..... of misconduci u..... , Rule 8,4 ... it ",)ales to discrimitUtion, and limited panitipalion by I..... ~I'$ In ·'for.profil" refenal servic·

ADVERTISING . ) , -,

\}s

riP!!\'£ Sla!op!<ol! A lAwyer wall DO! mat" M3!e!Dt:!)1Ij 7.1 Communications %:"' drgribiOi chaJjl<!<lia:iol '1M: QUIlity or the La\O'n'$ ",tyices in aM rgmmllojc=;"joor Concerning a Lawyer's Ibi' rwpyi.jop ""I! II! proridcd D<

ad~c rti $(mrQ!I

tly!

Services

wri1!CQ

IIQ! apply

jnfOfllliJiPCI

fumjl.bcd!O. !!I!<1W'!"!iXC <lieN M!bil pmpg" reqUQI III 10 iofQlIpi'jon $DWIicd 10 C!!i!jp' ,Ijcru

Pmhi"i"'" Cpmml!pkatjpm ahoon !cnl seas' A lawyer shall IlOl make or cause 10 ~ made a r.1se or misJeadi", c:ommunicMioa ...... Ihc lawyer 00" tbc \aw}' ...., sn'\'ica. II COIJImUnlCMioII is false or misle3di"l if iI: (I )

oonwn......'ori.1 mi~offlClorb .... or omi... (1(1 ~ \0 make !he Stale ..... n! ron· ,i<I<1'N as a wl>Qle IlOl n'l>lt'ri.aUy mi~loadin8:

roota;"! an~ rt"fcrcoo: 10 pas! slIOC1:!.SCs or ruylU gblajpcd!lf is OIIM:rwiK likely \0 c.... t. 10 unjustified ~pecta.lion aOOu! "'SUllS the La'")'<'T can achi"", "rulll III .lIowcd in I'" cyl!; "iul.!inR ipfQpMdQQ about . lawyer .. KaSs proyjs!cd "I!QII

IN!lCg " OW« or impliH _ tbt lawyer can achieve resulu by me .... that ~ tbc Rlllrs of I'Iofw.ional ConducI or ocher '-;

(Jj

cxompam;!he quality oftbc Iawycr'lltfYitts with tbc """I;'y of ocher Iawyen' 0CI'Vica, uccpcl$ providoed in Ruks 7..s Ol 7.6;

f4lUl romnl\lOical<'S the ,""n ifoca,i"" of the I..... yer by • ""nifyi"i orpnil.l!ion. u«P'

prt>"ided in Rule:

7.6; or

wmajn' IC<limonja!, 0

jn " wriun rom· "" ..... imYoicaljop" ';'~jICmeot 'l'E'1tj~"1roplljpcd ';N;lIQYP~f!(l'~jllfomyIjPII 'li~~~F1·~'~";·~S:·:"E~~":t.~.~":'~ ':":ty:.~, furni""" 10 0 pm<pn:li\" lOy ad~ertiW:iIll"QI

elicg YO"a Jbjlj II!Ie Wli ggt.

280

ill

be dilmty 1M jrnpliq!ly [oJS " mjdc.JJdip,·

'" '" '"'"

be reJ!CRlj.llIy h i" " mj<lptiOO' [.jllltdi",1w I'YKtYI infonn"iqp '59'\P()' W prnm! the iO'Qf]DI]iqp ''1wliq! from beiog artya!· Iy " pot,nliolly big" mjll(Jdjng' be uos.yh$bJnljaW jn fact;

be yofalt or d(ttptj""

SEP T IIMBER lOOl

Admtj'inV Arw g( i'WlkI; "mer 1M law fiuo shall ad\'Crtise (or legal emrkwilll"DI en an W I of pncticc which lite ad!{Cnj!iog lawya" low fiuo dQe< OO! Cl]lIt"olly

OO!

orac!ice law.

Comment This rule ~ ali <X>mmuokJ!OO >boul. lawy ....·, Rro'ieet.. includiq ad>...niIiD& pctm,lted by 7.2. Whalever m<aR\ "'" IISed 10 make k"""n I IIwyn's .... ices. sbJ!Cments abou, tbctn mu!.! be ",,,bful "RIo F,,"'\;IIS11 ;ft ~. /IgI F~ ~J 4f JId,,,,,"15 1M' RII) .,,01. ~ ,",j hli ~ ' . ''''''hi .... ,. lA, o4.i ... ·1) , ., ,I ... ocI '''~''"''"b .~'" .... 115 \l • A 8R ~,lwIf.r. h IS ,he Ift ,"~"l of. dooR",!"' .... Ir Ih. II ),, '. <'I ~;" ,~ ... ' ;IIS fa • o~!e .. ~;W, o"A "'" ; (;/1"0111( 'OR

,Ii, ".•••

loi, · 't,r , ,,,~,;.

,,"!.' .I ;,h ,",,', ""')' ,,,.,h,

"'J •• IlIi'~ '"p''''1;''' Wolf" '110

,,,k.; i,k"" "t:.".," Ie Ih.

• ,Iii ' "" h.

,~",,'

.d r.,.

,i"., ,

". "IIi . .... ".I."A log.: "" It! This precludes "OY millcriiJ mj ln:]!(u<ntaljoQ pr mj s_ Irad ing omission sucl! III ""iteR: I I,wn[ S131(& pr implies g;rtifocalioo Of rrrognitiQQ as I ''«iolj'll 0Ibc;( lban in 1ttC!Jdal"J' wjll! Ihi' rule wIM:'" • lawyer imp!iu 1M lilY min bi_ Ilugal Of O!ber publk body pr pfficiiJ eip be im!]!V!!Cdy jon\!_ (need." wbro; I Ill'()'o;r adxwua I particular f« 1M' CllII' liueQCY f" willn,! 4i" .... '0. wbrtbor lite <lieDl will also be liable fpr roHs A!Il!ba rumple ph midalio, pmi . . joo i' aa adymi$CQlCOI f" • law GUO t1w "Ha 'by iJl ' IM: GUO's lawym iR juris doxm byl dqc$ QQI 4i .... ,<><c IbM a jwj$ <Ioc-

!<DIe i< 0 law IkgItt QlIn INA I mcsIj"" dtfrtt or some KlfIIIMl ,bM yjny3!!~ any law fiuo in 11M: !IDitol SOOts can make 11M: WQC "'im Allbwgb 'hi' rule pamit< l.wytrJ!O Lhc IIMl CQI!N LQ which lbey ar; admjned. il iJoo W9yld be mjsleadin" f" ""li'm who 00" 0QI!iS! Plbc;r juris.

jyriS!liCljoll!

dk,iQQS pr COII"S LQ "* IW'I"" I'''''for;' ' member or I""

lis

Alabama Bar S!MdjUW by ilself Ihi! O!berwjse mubful §!.1l!:rot!!! jmpliCli falS£ly thallbe lawyn posxsses. Qyaljfll:i1;on DOl oommon!O Villually aU Jawyen l1QC!jcipW jn AlabiDY The lauer 2 eqmplrs or miskjMl;pg oroi'siops ,100 an: naropl"s of unfajr JMI,enjsjpg

Prohibited information The prohjbilion in sylxljl'isj90 !)X2) of lIalemcat< Ihal DYY male ··unjgsJifjW npW;otjons'· preclude! jMlyellixmcnls abrnu resyhs obtained on hehalf of a dieD! welt 1M of I daNse award IK lhe lawye,., rrcord ja ob!ainio~ fawrabte ~ ... _ djC!!! and jMlyeni!\eIDeQls conyjninG djrn! eOdrux!llrolJj PI" te.s_ Limon;.ls Sych io(ounaljon may mil' lhe ynjys!jlic;l expecta_ Lion lba! simjlar resu!1I be pbLajncd for 2lhers wjlhoul rdC!_ "!"ICC!O the specjfic faclual and kgal cjrcymSjtIlltt$

amount

can

The mpbjbjljog in ruragrapb (aM) of oomp;arisoru o( Jaw,m' $Wices WOIjld pm;lyde i lawyer from repreXnljnG 1M lhe lawyer or!br.: lawya', law finn i')be best "00; of (be he\!·· or .'00; of lhe pml " xpc:ricacW" ja a field of law H

Tht probjbjLiO!!;o PMJ.2r!!OO (aX6) predyde, e OOorscIDenlS or W§!iroonjal' wbelhtr from djems or IIIYOO; e lse because lbey au: jnbcrrn]ly nJislejMIiog!O a DWOlI yn!raiool jn the Law PQ!en!jal cijeQls ill: Ijkely!O jafer from lhe lesJimooiallha.! thelawya wjl! R¥h sjmjlar resulL:j jn futYR C.l.I!:s Becan" the Jawy« umtOl djreclly make thjs a!!\enion lhe lawyer js QO! prnn;uW 10 indireclly maXt Iha! .'''''1;on throygh the (IX of leiJjroonjals.

p;!!aGr;wb (d) Njbjt< yiwa! or yerbaJ descriptjons drpje_ liQIIs CK portrJy;lls jn any jMlyenjXIDeol which cre,l, 'y,,,.a,, or eO!l!aio nag«1lujons 0.- '''''''alS !O the emot jons call tor lc1:al "O'i<es or male OOIlllUwr problems Lhrough Charact<ri· .. tjM a nd djalogue cnding wjlb the Lawyer wlyjng rhe PIllbJcm. lIIus!r1ujons peUUittl'd IIl"k" z.usk",r V 0IJj"" of Discipliaary CQll0S!:1 gf IlIe Sym!lle Coon o f Ohjo 471 U S 626 (]98S) ill: jnfurm jIJiooal.ad DOl misleadjnG aad an: thl:n:foa: permissible As jO e.ample iI drawini of. fist !O 'PUell tbe Lawyer's abjli!y to acbjeye Rigl!., would be barred, w;asnpks of ".uuj "ibk ilIymaljou$ would jocludc iI erapbil: n:llCkring of the $Calcs or jystjcc !Q jadjCiI' Ibal the jMlyenhjne aJ!O!Jl(;Y W¥'jC{s law I Dietyn: of the lawyer or a map gf]he office localjon

7.2 Advertising A I.wye, who advertises CQOC<:ming Irgal "",iet's sball COmply wilh!he followill8: (_) Subject 10 the !,£<!ui"'"lCnts of Rule 7.1. a lawyer may adveni", ",,,,iet's Ih!'QUgh public nlCdia .• w:b as . tl'le· phone directory. legal direclOf)'. newspaper IK oth« p"riodioal, PIItdoo< adverti. iog web I1j bjll!>",,,,,,.ad o!her sjgns: radio. television, and C<!mpula·accesSfil rommuniC3ljQIlj' [£CO!'!Ied RICl sa j " lbe pUblic may IICCCY by djaljng a !rk_ p/looo number: and wrilten or electrogic communication rIO! involving

solicitation as defined in Rule 7.3. (b) A!nIC cop)' or recording of any .1>Ch adv""isemenl shall be dehered or mailed to the orr",., oftht G<lI«31 C(>U~I of (be Alabama Slate Bar a! its (ben curren! beadquarters within rbm:' (3) days afltT tht dlle on which any such ad.enisemenl is firs! dis",mioaIW; (be C<!ntemplated dUI'lI!iOll thereof and tht idenli!y of tht publisher!lr broadcast", of ~ch adveni",ment, eilbe:.- wi!hin!he advenisemenllK by separale CIIm· municalion oecompanyill8 said ad,.. ni",men!, sball he stale ed. Also, a COPY!lr rttQ<diog of Iny '1>Ch advenisemen! ,h.1I be kepi by tht lawyer (tsponsible f\)l' its conICnt. as provided lICrrin.fler by Rule 7.2(d). f\)l' six (6) years .fter its last dissemina!iM. (c) A lawyer shall rIO! give anything o ( valll!: to a po!1$Oo (\)I' recommending!he lawyer's services. exeepl!ha! a lawy« may pay the f\'asonable COSI of any adyeni"'lIICn! IK writ· le!! rommuniea!iM ptnniued by this rule aod may pay tht usual cbarges of I not.for_profi! lawy", rtferral "' .... ice . (d) Any communication made pursuant to this rule sh.!) in<:lude lhe n.me of at le ..lone I.wyer responsible (IK ilS conICn! .

W !'o caljoo of f"txljcr. All advtrtigUlC;nl$ aad wrinen corp_ mynjcaJjoos proyjdcd for Ynder these rul.S WJI djsclOS{ by cily or!OWn ppe or more hoM fide: office locaJjoos CIf the lawya or l.wys:Q who wjll "mally ".rform the $Wices adyc;oises! Iflhe office mljoo is O!!t<j<k' ci!y or IOWn, the CQUOly ;n whjc b the office js locatc4 myst be dj"lo<r<! A lawyn Rfaral XO'jC{ 'hall djsclose lhe g!:WIjIMk a rea jn whjch lhe I.awyer po;liccl when a ,deDJI j. made For the (!II!J'OK' otlhis OIle • hoM fide om •• j. defiool as a pbysical Iocalion maiulaioq! by the lawyer or Jaw fiuu when: lbe I3wyer or law finn "'!souabl)' noo;lS Wfumislt !cUi !\eO'jces jn jI.lybSlMljal way on. 'tg!llar and OOIlljou. iog basis If an ashmi$elP"D! or wrinen rornmuni£ptioo U,IS. lelepbooc number in COO!lOCljon wilh I W!'!fjfied gmraphjc aRa plher lilan jO arta CODlain;ng a bona fide om" appropriate Qualjfying I.n.u..... myst l!ppe;y: jn lhe jMlyenj"mcol.

trlffi

No oomroW]ic"joo CO!lCewjog ' lawyer) !\eO'S' sltall hi: nyhlj'OO1 or txr.a<1r1SL ejIMr by radio teleyisjoo or sj my!caSI yuk" jl rom"jns lhe following lang uage whjch shall be ck .. ly legible or 'ydjhk. as lbe em OIay be "No rtDJ);seOlt!ljon is wade Ihi! the Qya ljLY oflhe legal "O'ss 10 be ".dormed js greater !hili the gyaljJy of legal "O'icc, P'Crfonncd by O[bc;r lawms .. Lawyer n:ft:rml service ady;njiiOmcnt:i Mall cooyjn lbe Wllmyjng djsclosure: '1'!x; bjring nf a lawyer is an imponam decjsjon BefOR yO!! decide!O bjre the lawyer 10 whom)'Oy an: rderml,:u,[; !hal Law)'cr for wrineR

",peri-

;nfonn"I;OO aboul Ihallawyer'< 9ua ljfiCjljrnu; a pe! ellCe" DiS!:losun: '!IItemcnlJj wbicb ipprar jn 1\'De muS[ be U9 .maller lban ooe:foynb of lhe 'ju of the lwei! IY". O!herwjg appwiog jn lhe advenjiiOIDePL The disclosyre i!al" rnen)' wbjcb apprar in Ide xj'jon alh1;rtj$em<ms my!! remain on !he Wleyjsjop likretO for ' I !wI ppe.lvilf the lenglh or duraljoo of the !eleyisiO!! jMlyenj!\eIDenl or !ro !1m <WI!Id' whlcbeyte is maier. TheS!: disclosure! bow-

mct!ia WI ropIajn

fn:ganljOK !be: di~i'ioo pi CPPljnsmcy ,",I i. p9! aawe<! !hj' prpyjlion rmt l!!w,b !b!: Igm mcm:l Ryk 1Jl<:1 a"vmi<n- fml I 'B,naU gf R<gIIjm! SW'lP'QI< Any ![!lfli< Of mcnll ROum by this subcbapla: 10 .,.,... ig an adynt,5(!lIC1I! q: diM majl rnrn!!ll'Pjcaljop mnM "pprat' jo !be APE l¥'Inarr jn wbieb the "'Wisemrp! 2I>!!QD. If l'I!!I!' jbtp ...... _yne ii J!Kd jo an adymj$(JQl"nl q: djrrc1 mail rommunK!ljoo MY WIlIlI< II M'IC!X!<OI< rroIIim! by !N' whdllQIC' mYM 'OOC- in a:b Iin0N" y<Cd jn lbe !!!l't",¥mcDl or dilK! mail Mplmu. ojQljgg

iIll!H!J!jom .... "" jnfnrppljnn!!lber llyn"'" 'jycd pjIOlA"" lol of!hi< wk,

»....

.'.

"""njK" E\grj!!;.. "bc hjring of I lawyer j' 'n Im!lOl1aPI decjlioo IMI ,boyl" p9! 1M: bagd Wlel. Y!IPP adyrnj"",,,ul, BrIm: YOY decjde: Alk " ' to Knd you fm: WrilWp jpfOODi!IjOg ohmt 00. qyalilifiljon$ and C!prrjr""'" OUldoor !!!lyrnjK'!lCob! PYy roruajn. jn liey pf lbe obgyc djKklIi"1'f !be (oll0\'j . Ibtnyjatcd ymjoe,. "Befm law...., , " fIK wOllaI iACnrppljog aboul!be: mer', k,.1 qtWjf""IOO, ood upcricgg;"

"!Smin, •

£nl

Pmni"jhl, CooleD! o( Adycnj¥!X!<D!S. l k followj ng jnfonw,lj9fJ in iIIyrt1igWCPI$ aoo wri"ep rolUWYOkaliOp£ .bal! be pcrsumtd!l9l, III yjollJO lbe lKlllIisjoo. pi JNIIiSJiph II) Ihi' oM'

ffi1&l If m .. V.cd in !be: Mlm1iKmep! !be: lawyer or law firm "mljljnl mpH perform !be Mlm1!"" ¥aim N !be a¢ytol"" fl'(, iI!II the fJilYR' of !be lawyer MKI4x law 'law firm"'

fLf!P IIIvmbjn' 10 p<rform'" wI't0j"" smjc:c N the admlj"" (I'( Wli be prima fiCie cvidcllCt pC mjlkwliog adycni>iO$lIMl doC(pti"l1'¥ljq:. Tbc laww Q!' Law Oau ach'r!lisjng <hall 1M: bound 10 prrform!llt allmli<t<l smjs(I for lbe !!!lyrn;"," ftc ,00 rxproSH (or. QCond qf OO! I", IbM IjMY (60) day< following lbe dil!; of lbe 1111 !!lib, Ijcaljoo Of hrgrh'l ypk"" lbe aIIXenjKIQ<OIIPSCiDrj I sbooc' pcrigd for tdyc:nj..,mtnlS jn lbe y.!I!IW puri p( ItkpbnOC d"Noon Of giber rooIia OO! !l\Ib1i<hN!IlIR fn:gycruly ""'" IpDty11y the ""'"Crti"" f" II OPU pff"' $/all be bpQgmI f(J "" ku d!.m IlQC g_ f"lmin" publ!-

!b!, gf "minjop !P the Alahama Swe BalAnd any !!Iber 1M y<jID pi upcritocc P'J"lieiog law. Dvm· bet QO,wua io IhI:: adycrtj.io£ law firm. and a IjMing Or [rom! roulli iI!ld jyri<tlkljpu< IHbcr IbaP Alabama \l'Mrr the law",,' js !jccma! 10 !l!lIC!icc;

lttbnjral aIMI prormjoollli«p<£< gran,,;d lbe »"1£ II giber rerocnjzcd ISMj"" IVlbocj!;" am! cdYRUjnpaI <ksm:J Jttrjytsl iocludinr daltl and iq<!jMioos mwiflc" twr.uvrr !!IKmr;y' Ijcmgd jo Altham. PMY OO! !!!lIellj$( the fag IIW dry an; Ijqggd by the "lahoma Bar;

.....

s....'

!lIl UK pC IlIYWMinn' AI! i11I1UOljgm Il¥d i. Mlvm'¥O¥'OO WI! P"X'I' jnfnrpp'jop IbM is dirtctly maw! MId pbjcctiyrly rrkYW I'" yj£lm'. "'ible om! fill' knllCOirn jn I m«jflC lypr of!lll!lCJ SycI! iIIy,,'lIjop' WI! be 11m ""'Yl'fi or dqwiOi$ jII!d "",II roqlljn Ill! iclNl'fi thl' an: Ijkcly III ,leetj\):. mj"nd pc c:oofy:;e !be viewer.

ill

'" OJ

(j} PigklliW'C of! j'Mlj1y For &""PK' OtberIlgp Em Eyca Mlvmi$(QIC!IIW ..mum rommynjgrjop tip! roo_ Cl!1lS ipfnrpp'jop ahreu tbe YIIt'm'. r" jDclwljn. 'hmc IIW I'K' jgIr II! fCC

the Inm !lflIC!jc(!i. jDclwl· ing gO">Cja! m@'"jop locos wbi",!p tbr I'f9Yil'f!X!<@of Ryk 7 pangrapll (j) a"" of Ibis rule'

I¥kI!; of law jn !ibieb

(ow

Fjelds I'r!GJjce Eu-ry advmise!X!<n\ iI!II wOllen [om' wunjC!!.ljoo II"" jndjcal'" one pr moo: arras pf low In \l'bj"b I'" la\l'yt[jI Jaw f)rm P'J"!iw <ball cppform!P lbe l'fSIyjo:mcms of Rule 7 6

{GIn boilMU W lily;

rupajd gr group !caa! lawyer particjINI";

KtYi« plaos io whjch IhI::

f.,.

r~ for jnilial roruYlla"oo .... ghe""k M1bjcct 19 !be RQyiRmau, of !lll!Jcrapip 1, 1 a"", /jl pi tbj'

"""

!be 'PPl!. gf pmfWKWI li·hiLilY in'llAIICt rom· ,,,, "Nsb !be lawyer or law Quo bas At caca-

W!l W

finD Naqc A lawyer wll

ill

ra"' mrnl by N!l!I'!!!lYfn j!j o" l"\I'm No laWW WII d jn:<1Jy or jntlim:lly Jl3y .. 11 pr'!!3!! of 1M Cl1$l pf on

np! !!!lvm;$( ¥ajc:cl Y!I!\cr • AAms IIw yjollU:£ IhI:: prpyisioos of Rul!; 7 7

ll2l

Ioca!ion. Iclepbooe number ]be ref(ru1 fee ,bar~ed illj bo"!} of pprolliou, the !lIOC(S$ by which refermls an: made 11M; area' oOaw io which ftf<1Tl'!ls an: QlTere4 1M W&Jjpbi<: area io wbi,b 11M; Iawyea jl!'JCJicc 10 ",born J/K« ft,DOpdilJ& JO the ad",,"i'£' menl \I'm be referred, and, if applicable its oooprofil galUS i!!d the !ow of i" sponsoring bar asSQcialioo,

Utl

Television or Radio, Ad""ai$(meols on the cles;tr90iC wi- sueh is Icl£yisiop and radio may roplaio, bul au: !!OJ nq;essarjly limiled!O coptaioiog :;omc 1M: all o f Ibe information li,l«I in pWg@ph(O)oflbi, rulc lb; inforroalillO shall be artic"lalrd by. singk; hUmin voice 1M: OO -$('"n Ie" wilb 110 backglllllnd sound Oilier Ib"o insllll' menial mu* No pefS9D'S voke or image OIbcr lbilQ WI of _ la"O'(r who is I member of lbe fijD! whose: sc!Yim an: ad' Wised may be uw io Ilcleyisioo 1M: wio advr"i",· meDj, ViNal jmqu< appeariog in a !<Ieyisjop ad",,"jWQlGDl ,baU be Ijm;"", 10 Ille ad""Oi'i". lawyer in froQ1 ofa back· gTWnd rooligiO& of I sjngle wljd color • SCI of law boob in aD yoadonl(d 1M: Lk lawyer', QWn office wilb DO PIller office pefS9Dnel sbowo,

. ' I·

j' j n

n tl,

AJ!PCarajlCC on

book"'"

(Ill elow! CQ!l!joping AI! ltleyisiou adw;nigmeollj mysl be closed CQ!l!joped jn ord;r!Q he ooronrrbeDlkd by the brar. ine jmpajrrd (g) Ad'ouise:mems IlIigj"aljng io Olber <131e< TheK rulcs sb,,11 apply 10 ,,11 radio Iclailiop , nd 'imulc.;!g brwdc.ts! jntended 10 he =iwd by residcQls of the g31e of Alabam. regardl"" of the rar! lhall'" tlffiadriSl may b.rt origin>!' rd jn j\QO!her .ltal<:

Ii! A ' I '~I n~l i l in !tl.i"i" I.c. ' 'IF i" I : "I d I II I ! 1<!i6.ol It ( pi! I eI' !"I .11 j- d jllff !!!!"'\OII II. ! "b",~ .!II' '" t _1 .1, I Ib' ~ ~ u igll - i" I~? (HII • f

; ~ l!!11t. ,II

!i !I

Nti[bcr Ibi' rule DQf Rule 7 3 prohibits communiq!ioo, iu1boriw! by law such ... DOIjcc: to members of _ cl'$!j jn d3.'i'

Re&anllm of medjum a lawyer" adl'eaiS(menl should pr0vide ouly uS(ful file[",1 jpfmnatioo p"'S(oted io a oouS(osa· Ijon.1 D\;jDneL Adyenisernt0llj u[jlizj"g slog.os or jiggles. Qytr_ 'jzc4 e!es:!rigl a nd lIW!l signs, or SQuDd lruC~s fajl !!t weel Ibcsc: standard' and dimjojsh oob!ic wnfiikoc:c: in the kgal 'VS' ~

The:;c rule, .pnly 10 adw;rtisemeOls and mlleo commupjcalions djrrc!o>Ia[ pm:;pec!ju dienl' and wocrming a lawyer'! or law firm's availabilily JO provjde legal smjg:s. These rules sip po! apply 10 commlloica[io!U 3[1\'«0 law",,!} ipclydipg brocbyl"fs YW for recruilmcpL purposc:s

Record of Advertising P;y;r.@!j[pb(bln:guirrSlb·"rrrordoftheconle"landuKof adywising be kej!! jn IIIlkr to faeiliWU: fOfotCtw(ol of Ibjs rulr h does PO! requjre!ha[ advroj'ing be 'Ybjes:L to ft~itw prior!!t di'Kmjpalion Sucb I rrquiremt:nl WOUld be burdeOSOOl< aDd m'Cn'jye rela!in to jts possible henefits and may be of dO!JbLful COOltjLuLiooaljty

I SU!

Paying Odoers to Recommend a

Ij Ii

lawyer II

11]1

Ii Ir;

iIi il

Ii III

iii

and wllk ,be" con<en' names ofcJic:ou; ft211larly rrQ!'tse:oLcdand «ber ioform.1.lioo [hal mj~ht jwil<: [he allenljou of !hose ,,"king legal a"iSlaocc.

fi' l'"

j"~ f

li,'j " b' ,hi. '" j • r,

b'~ iti61

Diupl

Radio QI' Television Advertising Tclevisioo j.!lOW 0JJe of the mosl p!>WSrful media fOf WQYty. iQ& ipfOfIQa!joo to!he !ll!blk: a bl.okeL prohibj[ioo 'NjPS! Icle_ vision &d"eOisiog Lhoftfore WOUld impede lbe DOW of ioforma. Ijon aboul legal smites to many KC100 of lhe publjc

,,,,

l:\owtyq

!he 'IPigyc d9grlCnH;q

"'rwook media

;0<100.

in' III: pWJ.mencu of "kYi•• opd radjo Ibc CJIC Wilb Wb!£b ' ...... mct!ia an: .'.." opd!be PiIII;vt!Jt'" pC !be vjcwapr Ijil£!!Ct mlke!h< cl¢unnk media rSpttjaUy wN""!p , " y . lllion io lbe I"'bl;c ;Olnt" 1bcrrfon; strater rcmjcl ;QQ$ on lbe ""'oW pC ,,1,,''';';911 and IIdio advwi,jng!U't luslified Iban mighl bc awrwja!c for idYCtlise .... n!< in III: IlIher Dledia To PRYt'OI 1h15tl. ip<:bHljp. OOIr!l!ial jplCTfmAW wilb!be fair and !Ill!!CI admjoiHP!i9D pC iu»kJ: ODd !be czrAIiaoJ pi" jncgr. IJ'CI IIIIblje rsrrrr!i9D' II" UWmnljqp ......... Ibc m,per ;0 wbkb QUI" Mkm W!llt. Ipd 10 I!MX!!C 'bc IIIIblje., pm. fide,," io !be kl:aJ profo<ion and !hi' O!'Mry'. mICro pf iv.· h£1' .... hi" np! iolCrfgjns lI·jlb lbe fm IJqw p( uKf,,1 ;ofoona· linn 10 proSpecl;)', U$Q Of k ..1 $O'i£1" i' is """'NY alw In "Sri£llbc lerbniQu" '1fCd in 'clai';og opd radio Mnnising

aal

cornrnunkation dircc1Cd to. $p<'CirlC =ipien! ond DOl meeting !be nquirt""'!11$ of I .~ . !~)

"' P"'" Eo" .. " ,it.!is ,

Wrinrn Communkal>on. A 11wyt1" Wli DO! send, or know· ingly ponni' !Q be Iotn~ 00 !be lawyer', beh.lforoo !)oMlf of tht lawyer', firm or OIL ""luIf of • partn.", an ~ial., or any Olher Iall)'er affilialCd ..,IlL tht lawyer or !he Lawyer's tim>. ..."';""0 cornmunicatioa !Q a prooptCIiV\' ditnLL for !be purpose of nbainilll protessiona! en!pIoymtI\! if: ~

IIIe lI'riUCD Cl!JImunjcllK>o oooo;m! I cWi! !IIllCg;!!iDE !!Cnding hI • 'I jilt Of fWe",1 CQun yole .. ieO" itt of proo;u IN obtajool po lbe defcr!!l.nl or moo P!!I£Qlial ,Iiern!II!G Jb.ag seyen dan prim In !be gymOg of Ibc f9Qlmyoje'lioo II !be wrjuep g:pmW'IOiral[Mcgpmp' I crimipa' wernting ding jA I !INC II" fcdml rowt. NO" !be defD!:: dip! !I' moo Pfl!£D1ill cliep' WIl ymd ..'ill!. \\"KIJIU II ;pfoona'inIl !II!G !ban !CUP dlY! prior to !be mailing gf lbe comm upjca1iOlJ'

, ,

thoo writlCO commuoication C... IU' LillO lICIion fo< personal injury 0< wrongful death arising out of, pr otherwise rtl .. ed to, an accident or disaster inVQlv· ing thoo ""non !O ,,'!>om !he commuoicllioo i, addresMd 0< • rtlaJive of tha! ""non, unk .. lhe occidrN or dJSMI<f &ivio, rise to !he c..se of I!CIion (I!XW'I'Ed ""'"" !han thilt)' (30) days befeft !be mail· iog of !he commltDieaoion;

ilil

. " !\I)f,l)!WJmdJ, (£I of this nak.

tfij(J} !be ..-';uco communicwog COIlCCmI I specifIC mal· In. and !be bwycr .......... pr ~bly """'-'" mow tba! !be pt11O!I .., ",hom thoo CCJnVIluni<aOOn is din:acd i. ~QIrd by • bWJft" in !be ,""orr. ~;I

Rule 7.3 Direct Contact With Prospective Clients (.)

A"~ $!WI ~ 5OIic" profe"ional employmen! f"",," I"""J'CCIive eli ....! ..,Ib .... hom , .... IIwyer lias 1>0 familial 0< cum:n! pr prior profesSiOMI rr'arionship. in prrson pr oth· erwise. when a ,i\loi fkant """ixe fpr!he lawyer', doing SO is !he lawyer', pecuniary pin, un",,!be person cooLaCled;

ill

is a"",oo lawn 1M

III

Ips u:ynm II" prior ""Mal rrla!joo<hip lItj!b !be 1m... II"

Ips

I [amilial Of

"w I"QjOQI! rrla1iPn"'ip ....ilh lhe

"'= A I>wyer wI! DOl prrmit emplc>yffs 0< ",enu of tht lawytr 50Iidt oa!be '."')'er', bdIaIf. A lawyn s.ball np! ....... into III ",",meo! fIM 1M clwie pr collect • fee fpr protcuional rmpIoymcnt obuoincd in ~iob!ion of Ibi, nlk. The .....", '"$olicit" i!>el ..... COIl!XI in penoo, by !r1epilone, ICkyaph, 0< f"",· . ,mik lnlII.mi",ion, or by other communicalion dirt<:1td to a speci fic "''''pien! and i!>eludes COOtact by any " 'riuco form of !O

S~ PTEMB~I!

1001

bu beef! made kllO'O'l! 10 !he lall')'tr thaI !be per""" to "hom !be comwuoicllion i. oddre!;sed doei DO! \VlL01 !O retdve ,1Le communical'on;

!be rommunica'ion inyol.',", concion, duJal, fraPd, O"o'em"",hio" Iwusmc1ll. intimldaoon, 0< ~ inflLICnoc by !he !avryn;

!oi«il

!be CO!I\ItI!IOlcation contain. I false, froudu!tnt. mis· leading, decq:ltiV\', or unfai"Lotemrn! pr claim pr i. improper uo<icr Rule 7.!; or

~ t ....

'awyer kJlO\\'s or rtawoably sbookl know !hilI !be penoo 10 lI'hom !be communicllion i, ~ is a minew 0< i, illC9C!lpt!CDI, .... w..!he penoo's physical, cmoIionaI, .... mrnlaI ...e maho it unlikely !ha! the penoo _kl.-rt$ rraoortab!c judgmenl in rmploying a lawyer.

10 addilion '0 !he ,",,!uircmenl5 of Rule 7.2, wrillen ronununication, to prmpeaive dicnlS for , .... purpose of obuoininl profcssio!ll!l cmploymrn' are i1Ubjccl!o , .... fol· Iowin, ~""'dU. ~

a sample ropy of tach ..Tiuen corNIIunicalion and a sample of !be envelope to be used ;0 conjunctioo .... ith !be rommuniclliOlJ, along with a lisl I)f!he oam", and add"' ..... nf the """picnt!; ihalt be filM

with !he Qfflt" of <le .... ral Coonsci of the Alabama St~le Bar II<:fOOl! or concu""ntly with !he firit dis· ~mi ... tion of the communication to !he ~"" ellent or clients. A copy or !he writlen communica. tion must be ",.. inod by 1M Ilw)'<'r for 5i~ (6) yQl"l. If !he COII1I1>Wlication is iUbscq ... nlly $('nl \0 Iddj_ tional "..,.,..aiW! dimu. the 1I..·f<'" ""'II file with die OffICe 01 <le ...1llI Counsel of !he AlaIwnI S...., BIf a ijS\ or !he ....... mil ~ of th<.e clitlll5 tilbn befOOl! or OODc:U"""Uy ,,·,th thIf ",bose........ ~mination. If die Iaw)u ""ulll1y lends 1M idcnlical ~ion to ..sditlonai 1'fOSPC"climIs. !he IIwytT ""'". onte • monIh. file with !he OffICe or GencnJ <:000_1 IliSl the ....... MId ~ or those die .... oonLaoll/d sillCC !he """iova UII "'.. liltd:

ti,..,

~ a wrilltll communication _kina tmploymem by a s~if'" pro>~li'" dicnt in a .~irlt mailer wll noo: "",n] on lhe tnV('lope. or on !he <IU"iclo of I ""If-mailing bmchure or pamplllel. the aalu", ollhe cliene. legal probkm:

UJll

~ W,;1Ien tommu"icllions mailtd 10 prospttIi,'e

clicnlJ .... 11 be _ only by n'lUW mail. and Wli no! be $('n, by n'lisleml mail or by lWly other form or ~ drliV('!,), or by txpral ""'il: ~1IO ",f"",nee shall b<: m;ode ~ithcr on lhe tn,"1opoo or in !he writlen communication thai lhe communlCalion is IpprovM by lhe Alabl"", S .. le B..... ~

the wri llen communiclfion ~hloll_ ~mble I legal pieO!ding. official ,,,,,,,mmUI form or docu. "",nl (frdrn.1 or ~,a,e). or Olhtr kgal docu"",n' aJ>d lhe nllll1n." of nlaili"s lhe wrillon oOnlmunita,ian lhall not moke illwear I\J b<: a n officill documenl:

~ the

word "Ad~tniscnlCnl" sllloll oppear promi .... mly in rtd ink on each paKe of \be wrillen communica. tion. and \be word "Ad~<1li~ment" shaliliso lppOlf in the lowt. Ieft·hand rome. of !he tIWdope in 14_poinl or I""... Iypc mil in !\'d ink. If Ihe rom_ municatiool is. $('If-mlilin, btwhunl or pamphlet. \be won! "AdV('I'CisemtN" sblil """,ar prominemly in m! iRk on \be odo.II'US panel in 14.poinl or IIfJef Iypc: ~ if I CCJn\JlItl for rtpra;cn .. tioon is mailtd .. ith \be writltn communM:l lion. it wiU b<: con< .... m! • sample OOCIUICI and the lOp 01 nch pIIC or \be C(JCICJ'aOI dIaIl b<: marUd --SAMPt.E." The won! "SAMl'Lf:' Wli b<: in m! illk in • Iypo lin: II kaSI one poi ... 11ft... than the '-IeIIlypo used in the COCIltICt. The words " DO NOT SIGS'" sbIIl appear on the Ii .... ptO'<idt<I for the cliem', si,"'1"",: ~the lin.! JCfII"""" of the wrillcn c0mmunication $hall sta1t: " If you have ~ady him! or mained a 11",),<" In ~ with IlUole the . ... . C'f'llI iUbj«! mal .... or the $OIicitalion~ ple;uc di~ prd this Itt.... IJl'lnlphlc1. broc:hII .... or wrill'" communicllionr: ~;f ,he ",Title" commUnicllion is promplM by •• ~iflC occumnoe (~ .... drath. 1't>OonItd jPdgrnenl. pmi.run.nl) tile communkl_ lion ~I disdose how !he lawy ... oblaiDod the information proonplin, tile communication. 1'IM: discloUR !f(]ujrcs! by Ibi' OIl' Null be sP"jf", eooygb III help!be 1't>OjpjCDJ ylKk;O!and the nleDI or lbe lawyer., kOOWlcdFs rrgWjng lbe recipieDI', We" IM <ilull1oo

., Iawm !If liw finn Us ig CaW Oll

if1liwyt, Qlbu iIIAA!be I'WVA' ,"'m name !If sjgna!YR appcw QO!be comwngjg'joa will g Uljd. Iy IyOOk the OK !If malltt!lf it 1M we !If O\,lllq Will be Rfems! III IDQlber laWy«!If IiW Ijrm lOy wtilteD commug;CAljoo COD<'fmiOR' &pg;j r" Dlalle' .ball include a NICmcpl $Q a<lvisiP" lbe eljcPI

~a lawy.r wl>o uses. wrillen oonlmunk~tiQ" muS!

b<: able II> JII'O"e !bc trulhfulness of all !bc Informa'i"" cornained in !he wrilten communicllion.

(d) NQlwi!b<tam1ing the probibiljop$ in PWi's!Jplll (I) and fb) a lawyer may p.1Iticip;l1C wilh I WNjd IX sroup legal smi« pJlIIllf"'!]tcd by III grraniuljop po! owned !If d jm'l«i by the Iawyn "jbicb UK< WIjllen. !!f'O!!kd or ,,"tmnie commyni"li'" or jp.nmgp ICIcp/Kw, or '",1· time cloc· trogie mg'''''' 10 soIie;1 IIKml!mbj.,. II" ,yl!scrimjoo' (or the pLm frqn nmgp$ wbo au: po! kncr.:'n 10 pm! kp! KO'icu in I IWIjcul_ Oli"« OO>nN by !he pI,p

Cond"ent Then: ;" I p<*mial for abuse inhm1II in direcI JoOIio::Mat"", by I lawyer in """"" or by ICkp/lMt. Ide"apI~ or f..",,,,,1e I!'anUlUSsio!I or prospt'(tiV(' diefllli t-1I1O I1Hd IepI SCI'\Im. Dtrtoc1 sOIicilailon subjects the tlQlt-lawyer 10 the privare imponuru", or I It':lIined lII>ucaIe. in a direct inIrTpmonaI 0DC0II01Of. A ~ dim! oIkd f...,is ",,,,,,helmed by the limatioa P.illl ria 10 the I1Hd (or kpI SctVio::es lflii ....y have an ~ ClIp<Icity for R'a. lIOn. jW&menI. lflii proIr<:ti~ scl(·inlCfaL f'tatiIC" ,IQIe. the ~ SoeckinllO be retained is f~ ""m • cooniCi lolConminl from the lawyer'. 01>--" itolO1'C:U, which may color the advice lflii tqlfCSC11t:1lion otrornl the vulnenblc prospe<:l.

n.. 5ilnalion i.lheRf""" frau&,11 ,,';th lhe possibililY of und". influo=. inlimidalion. ood "".""""hinl. This potenli.1 for abu"" inheRnl in di1't>O' "'licitation of JIfO!'~li.e cliems jU$li_ fi"'l "'''''' R'"riclion •. panie"larly <ince lhe ad.eni,lns pernoi,. 1M under Rule 7.2 offtri an allern.!iW! IIKan. of conununloal.

ing "",enary infonnation!O lOOse who may be in neuI of legal "' ..... ices, Ad"'nising maloes il possible for • prospecli_e clienl 10 be informed .boul the neuI for Itgol"' ..... iceJ. and abou'lhe q"alilicaliOJlS of .""ilable la"'y .... and Law firms. wi!bool suI>jecting the prospeclive clien. 10 di""". personal pe ... uasion!hal may ove""helm the clienl's judgrntn1. TIle use of general ""_,,nising, mher.1w! direcl pri_ale conlaCI. 10 lransmil inforrnati"" from law)"',.o prospe<:.ive cliem

"'iIl help.o assure lhallhe informalion 110.... cleanly as ",en as fruly. Ad .. nising is in the public vi"", and Ihu. SUbjc<;110 sc"uiny by lbose who know the lawy<r, Thi. inforrnol revi"" is li1ely 10 help iluan! Oiloin" SUUemems and claim. !hal mighl con"il"le f.l", or mi.boding cornmunic .. ions in violation of Rule 7.1. Direcl. pri_ .. e communicalions from a I.wyor '0 • prospeClive diem are JlOI SUbjc<;1 10 .uch third-person sc",tiny and conSfiluenlJy are much ~ likely 10 a wroa<h (and occasionally cross) lhe Ii .... betw""n ac.ournle rep«scn",liOJls aOO lOOse thaI an: fal", and misleading.

Dire.;. w,;"en communicalion seel:ing employmenl by specif_ ic prospeCti"" clienll ilcnernlly "",scots less polemiai for .bu", or overreaching lhan in-person ."Iici",.ion and is ,he,dore not proIlibilCd for mosllypa of legal man.r.;. bul i. subject to rea_ sonable ~.ri",ions. as.let fonh in thi. ",Ie. designed 10 minimize or predude abu", and o>'erre""bing and.o enS"'" the lawyer', ac.ooomabilily if abuse shooid occur. This ",Je alJow. target«l mail ."Jici"'tion of polenlial plainliff. or claimants in personal injury and wrongful death causcs of actiOJl or other ca~s of action Ihat relate 10 an accident, disaster. death. or injury. but only if lhe communication is 1101 mailed untilthiny (30) days ar"" ,be inciden •. This mtric.ion is reasonably required by the ... ",itiud s",,,, of the pol'""';al clientS, woo may be either injured or grieving 0'.... the Io:!.s of a family momber, and lhe abu .. , that uperi.""", has shown can uist in this type of SOlicitation, For sjmjlar 1U!i!!!l$ Ibjs rule nc:nnjts communi_ [atiog rrglUdini pc:Mi"i cjvil or cdmjnal IjligaJion onl .. if "Wiled :;cwn m days Q( mort after 5<:O'ju ofros$! WJro!IU or iPformaliOll Common c.<amplrs of wrillcn communicaliOlls that must meel the: requirelllCnts of subparagraph (b) of this rule..., di~1 mail SOlic itation sent 10 iOOividuals or groups .. Iteted bee"u .. lhty share common ch"""'tcristics, <-il-. person. named in traffic ac.oidenl reports or notices of fortt\osu"'" Communica.ions not ordinadly .. nl on an unsolicited basi. to prospec1ive clients;ore JlOI covered by Ihis ",Ie. Also not co,-.red by this ruJe an: resp'm_"'s by lawyers and law firms 10 requestS for informali"" from a prospt'<tive client or newsleum or brochures published for clients. former clientS. those requesting it. Of those with "'hom the lawyer or law finn has a familial Of currrnt or prior professional relationship. LeIters of solicitalion and the envdopes in which they Ole mail«l should be clearly marked "Ad''C1IiselllCnl.'' Thi' will avoid the perception by !be ~ipienl!hal the:re is. neullO open the envelope bec.use il is from a lawye< or law f,rm. whe:n the en'·.1ope contain, only a solicilatiOll for legal "' ..... ice•. With the e nvcl<>pes..,d lelte ... clearly marked "AdveniselllCnt". the ~ip ienl can choose 10 ,ud lhe solici"'lion or 1101 to read it. wi!bool fcar of legal repefCussiOlls. 2M

SEPTEMBER lOOl

The requirrmrnl 'hI! leu", of wliC;taJiOQ aM JIte enwlOlltlj in whish IbeX an; maile;! be marktd "AdverU5<:mrnC do,,, I)QI awly JO oommupiclJjop§ <eD! iu l'E'oogse 10 realISm of welltial ditnts Q( !bei' 'ooke'!!!:1}OlI$ OJ sponsoa {j;pe'11 1IlD9!JllwI"nl' hy lawyWi ipe1udiog shaow in nc:rsoo!lC:'IOf pffic<; lo",Jion do I)QI cOO'1iJYJe communiqJioo\ wljcjliQR PI'!):: r" .. ioool cmploYnx;oJ from a eli.nJ kDOW!! In be jn pm! of lega! scryjg;s wiJbin !he meaninG of Jbis rule.

Thi. ",Ie al." requi"" the I''''yer or law firm .. OOing the leIof information used ' 0 determine that1he ~ip;em has a potenliallegaJ problem, Di'IClosure of the $OU""" will htlp the rttipi,"", '0 uno:;.rs",nd the extem o[knowledge the lawyer or law firm has regarding the r(ooCipi~nrs particular si'ualion and will ,void misleading the recipi,",,1 inlO believing tha, the lawy.-r has panicularite<.l mowledge aboul \be recipient'. matter if the lawyer does not.

l<r of ."UcitatiOll 10 reveaJ the source

Genera! mailingo 10 persons not known 10 neullegal se ..... ice>;. as ",en.s mailings targeted 10 'pecific persons or polenlial di~ntS. are pennitled by this ",Ie . Howe....,r. the ... mailings constilute ad .. .rusemtnt and an: thll$ SUbjtttlO.he: requirements of Rule 7.2 concerning de~....,ry of copies 10 the general counsel. rtt«d ~«pinil. inclusion of, di'IClaimer. and performa""", of the ........ ices offered at \be ad""rtisM ftc. There js far 1m Iikeljbmd JbaJ. lawyer woyld enu" in abusive Q!'ICJi«s Iniml an individual ",00 is. f!lllllOr djem 9< wilh woom lite lawyq has a slog: pc<oonal or family rrlaliooshjp or in 'ilYalioos in wbich lite lawyer is moIiuied by con$idcrali<:ms other Jblll JIte lawyer" pecuniary .. jn Nor i' Ibm • <WWS poteOlial for al!I!sc wbon !be >"'!WI! C9Qta<ied i' a law""r Conscq'ICnllx.!he w " raJ wobibiti9Q in Rule 1]00 and !he lWuirem;n" qf Ryle 1 3id "re po] awlkable in lbose siJU3lion! Alw pangraph (,I js po] jPlepcled JO wobibil a lawyer from panjcjpaJjng jn coP<JjluJjooal!y proIe<:Je;! ao;ljyilitlj of nublic or cbarilflble !cia] seryic<; QQ!lIljzaljoP' or bona fide polilical. !Il<jll ciyic. fRLDna! ~mplom; Of Y@oqanjuujons "'hos.: Rumg:;c' inclyde providjng or ru:ommroding lega! 5<:0'icts 10 ilS nx;mbec or beneficjaries BUI run nronilJrd fOODS qf $O]icilfllioo cap be al!I!Sed Thu. lilY !!QIjejJaJion wbich conJNns infoag.Jjon which i' r.l:;c Of mi$l(adin~ wi.hip !be !OOIjDini of RYIe 7 I whjch jnyolves cocrcioo duress or baraS<rMnl wi.hin!be l!IUIIing of Rule 73(b)m or which involves CO!!Jao;l wjJb a I"lIII<T1(C]jvt dienl wbo bas wade known !O !he Lawyer a desi'" DO! 10 be wlidJe;! by the lawyer ",iJhjp Ilte lI!Cjpjni of Rule 7 3<b){4) is mibiJe;!. Mammr, if afte, 5<:odini a lener or Dllter rommynicaJjon ]() • eJirnl I i proni1Jrd by Rule 7,2 the I.w'it' "'«;3$ po ",S]lOOK lilY funlter dranlO communiCllle willt \be !lC()8p.... Ijve djem may vjalate lhe provi'i()ILI af Rule 7 J(b).

Paragrapll (d) qf thi. rul~ penni!$ 3 lawyer 10 COnlaet "'lRsen' "'lives of orpruzalioDS or groups !hal may be in"'l'E<ted in ""'blishing a group or "",paid legal plan for ilS members. insureds. benef"'iaries. or olhtr third panies for lbe purpose of informing .uch emilies of the availabilily of and dcl3iJs concerning the plan or arrangement thaI the lawyer or the Jaw finn is willing 10 offer. Thi' form of cornmunication is not direct«l 10 a specif..; prospective cliem known 10 neull"gai ser.'ices rtlated 10. panicular maller. Rather. il i. usually addressed 10

an indi.idu.l acling in a fiduciary capacily Sttk.ing I suWlio< of legal $<I'\'i«, for Others who may, if they choos.r, become prosp«tive clients of the la",yo<, Under the"" circumstar>ces, the activity which the lawy.,. undenal:es in communicating with such "'~,.,ntatives and the type of info...ruuioo transmined to the individual are functionally .imilar to and "" ..... ,he same purpose as ad"eni,ing permiued under Rule 7.2.

Rule 7.4

Computer-Accessed Communications W Definilion

fur pU!JMS" of this , ubcba!lll:(, "coroN!ee, cororoIlDicaljon," am defined ill ipfonpajjllll rewdjng ' lawyer" or law fum'. """,icell thai j' "'ad yjew«! Dr beard djreclly tbroooh IN Ust of. OOroDlller ComPUK:r-eccnstd rommunj9ljon5 jnclwk 11m art- DOl lirnilN 10, i Uleroo pR'senw $hICb a!j ""11K page, II" WlI"ld Wl<k Well 'ilrs, unsolicilCd eleclrO!lic mail row mupkali08' and iOfolDwioo roocrroing I lawver" II" law finD" $Wid" lbaj appears QII W@ Wide Wrb S(ll(th engiue SClr(DIl and elsewhen: ilCC(;isW

l n1ancl i'IWpg; All WlI"ld Wjde Web 'ile, and borne nage. accessed via lhe Im.roo !ha! are cgnlmllcd II" <0Wl<OW! by a Jawyttll" Jaw finn and thai cgnLaiU iPformaljPO roocrmigs IN lawuc'< I I law fi nn 's servi«,' (]) shall disclose all iuds4ictiOll' in wbicll lite laW)'tt II" members of lite law fum art liceDsN JO pQClis;e law'

ill

Comment My. .,,, iD tel(CQIDIDunicllioQI 100 compyter lecbpology allow lawym 10 commYDicaJt witb !l!ber lawyers. die nl', pro,pec!ive di'DI' ,00 otbers in increasingly quicker aDd more d!icieDl w,m Regardl.s! of the panic"IN u:s:bnology ygd bonyer I lawycr's commYDitalions with )!lMpeclive c!ieOIli for the WIW'iC of qbtaloiDg pro(essiooal employmeDt rouS) mql ilandanls deSigned to !H'O)ecilM wblie from false s!egl!' livr misltOOino pr COIIfuljng meNges ,bo'lila wytu or]he ku! ,lY'lew ,00 JO e""ou./Ue lite Un DoW pf u:;eful legal_ relal(d informaliOD 19 lite pybljc, 1bo: Wt(iflC tnyla!ioP')ha1 sovern coowYler,acceW <\1m, wYoiCilion! d iffer !ICC9O!ing JO lbe particular wje!y of commy_ njca!ion employed Eqr example, a lawyCl"lmemel web si]l; is ecces:;ed by the rig"", upop I"" vjews!,' inili3Jivr IUld accp«l_ iOgly IN <lPIldarW; govrrning sych commuDigli2D' gmsOO!]d 10 lite rules appIkabl. 10 igfQ0U3liQJJ proyided!o a !JlP'lpeclive c1ie nl ill the !JlP'lpeclive c!jew', rrques), to cgnICjl!, "nsoJicilOO d«lr9Dic moil me .... ""s from lawyers pro:;pec!iu dienlli art fUN!iQJJally cow)!ill)hlg 19 d irect mail comIDunic;!Jioo, lUx! IhU$ lUI; govrrned by siwjlilr ruin AddiliQJJally comwupka!jQJJs admtisiog or promotiog a lawur's services Ibal are pm)!:d PO search '"POilK scfttn. or ;[¥WNn: by lbe lawye. or jiliN la wyer'. bebe'l wi]b]be _ )haIINY will be ¥tn by pros!!tCJive diem' are .iowly . fOWl oOawy<:r ;tdvml'ing and art [ttruC![ ill web by [be rule! )9

Ibis rule i$!IO! triUem! Qlen:ly m a li"" SQJll(QIIC other ]baD II" COWWCni' oD a lawyer's Imemcl web 'ilg

lite lawyer gMliilOusly links tQ

'hall diSl'klse one or ID!R boJy fide offke Iocalioo, of IN laWyer or law finn, in iC<1O!llaoo: wilh panmph Ie) of 8 J11. 72; a nd

JJl

EJeclmnieMai l CpmrnynjcaliQQ' A lawU( shall OO! send II" koowjDPb ""nnil JO be ""m 011 IN lawyer's beba lfqr on behalf o f 1M lawyer', fum qr W1nc:C OIl " Hii)!: II" anY IlIM' la wyer affi!jal!:d willi IN lawyer os: !be lawyer', firm, an Jlruolicited CI((1rnDic mail cowwunifOlioo dim;!ly II" iOOiroc]ly JO a !JIP'IncctiYt diem for)be purpose of ob!ainjn¥ profe!!jjona! emp!oymeOJ Jlnless;

ill ill

lite umlicab!e req uiremcms pf Rule 7,3 art mer IN eQIDmuniglioD disclogs ope: or ID!R bona fide

office IocalioAS o f lite lawur II" Inym wOO w jJl 1(:)1,,"11. perfOUU lite KO'i", advenises! io ag;pr. IbNe with paragmph eel of Rull: 7 2' and Ol

!be subiect Ij"" of !be cQlDmunicaliQn <1al" adl'eQi""meol"

ill

Ibc lawYJ:[ or law finD ,ball promptly fumi,h

(by

mail if R9UCS)Nl ]be wrill('n !includ ing comOOler_ iIffi:'WI ipfprmaJiQO described in subdiyj&iog Ie) of ]his rule

"II:..!

Adywi$CQltnlS All OOWINI"'acce"cd comDluDjoatioos roocrrnine I !awUr's or law firm'S Krvice, !l!be' )hag 'yllkcl JO subdiyi<jQQ$ (bl and (cl of thi. rule.1IR $ubkcl JO the regYiremems of Ryles 7 I and 7 2

:'~W~"1'l'l'1!l"~I~"~fQ0U3~~'1iOOE~"5~""'~l"~I~ial~C~li~':":':Wb<:~K~"~':'::,

!!O!(olial eliem shall reg""1 infoonalion n:gauJiU 0 lawyer "" II" law finn for !be oolW'iC of makiog a dc:ci<jQJJ n:gardins emplpymcUI of lite lawYJ:r 0.- law finD·

Ibc Lawyer or law firm QliIy furnjsh 'ucb addiUQJJal faclYal infoona1iQJJ n:gauJing lite ll wycr pr law finn deemed .. Iyab!; JO a",i'IIN dieD!.

JJl

If!hr iofOWlalioo fymi"xd JO ]be clirm illtlude, ftc 'OQU'iCI, IN IW of gb page of lbe CQJJ)ra.;1

shall be owk;d "SAMPLEr' in red ink in '!Yl/£ Ii" ope Ii« I.,.,," !b'n ]be 1Arg£<llYJlC used ip lbe cooli¥' 1I!d]be wool' ~IXl NOT SlOt{' WII appw gn!be dieD! ijollIlun: Ijlll'

f!l

NOIwjJh,,·pdjni ]be !!!'QY"jon, of JWaCIJPb <aK21

of RYIe 7 I jnfoo!l!l!jpp !!!'QYi";d I MImi&! ,Iknl io 1\'1."" IQI MleN,,1 £Ikon mlYC¥ maY QlII_ Ilia f""!LIlly wOMIc '1WOXOI< ""'N1'Qim WI "",III, w'ioal by IhC !&wm w low Orm if eilbcr W ip !be SQIIICl! jp .'bod! J!Jcy 1!l!lC'" wdJ HMeJQC1lI<;we Ill! mlse"'K ON'Olio'

IpflllIMljon Burio' Qu."c",",)!", fM;b "!!I'm gr law

GOP 'bMl4rmix'!be bwyu', W laW Orm', rajlabjlilY IQ pmridc kgll HlYicn ahal! hI'X 1"';1# it wrlllr!! [gnp foukliym lA any 001(01"' eliew:

I r..,,1QI .,MeJQC1lI dcwljo' lis _hUN'" IJ2in. iu II!d of H!;b !&wm W lis liD' Orm'

if ]be lawyer" law firm cWms <Jl!Si&! ppm;"" iu the "!JI'Wollljon pC(Ii(QIi ip '''"ill Illi'UcrJ W Qllblkly lim;t< lis "wyu', or low Orm', ,",lire]Q :u!C$iaIIYW of eWI gr dieD" WrjUCD infmgaljng suine fOOh]be fir;:,yal del';l. of 100 lawyer" ups_ C'Pcrti"" b;e<:lurpygd apd !DiDio' in .urb manea,

"mo«

moo:

Proof of Sla,emcm& Qr CI'im, lJOOQ I\'asooable rwll£g by ,be: Alaballli' StalC Bar • IiIwY':r WI! pmmpdy pmyide proof ,b., lOy ",!CuICO' or (111m WIKle in Iny adY"niss;. mrQ! W wril!cn rommynje.,jpn. U ""el! as]be infgrm.t;oo fumiWd LQ. Ql'PiR«'iY" clien! as alJ!IM!riWl!lr WlYin:t! by Lbog OIle& i' in rompl;W" wilb Ruin 7 I .,!!! 7 2

IV Pi",,1mun; of IDIC'" LO Rder Mjll" lA AMlhrr !.awyu gr l.aw Firm A <!alcOXQl apd MY jDfgopaliop Cym;!ibcd LQ. prosps;cliye cljen! as .yLbgriWl by l\irwap!t (hI of Ihi, (Uk LhM' bwy" W low firm Wj!! mlGKIII • dipg in I !W!jo&lM- 1)l1C pf QlIJlCr WI'tv.~ anPrl!!!rit!c Qyahf"'ll;oo WI! he !I't5!Jmtd!Q!!I; ml,kJdin, ;flb!: lawm 't'tmtbly !!I;ljcyu LhM • Iawva or law !j.gg Ill! ......... LIJtd W;1b ]be qj'iQl!ly rmjqcd bWYU" law Orm "II !!I; I5M1fi21cd or 4"111 mipwy l'fJUQ<S!D 'EP"KQhQl lbe diml !D dc!crmjuior "beLhcr lis 'la!!1lltrII i' mblgdjQl in lbi, ,..iJSCI lis bj<lgry of prior ....ya by lis Iawyu in Hrnjlar OYIkU JDIY !!I; QlII<jdr0:4

, I

Rule 7.4 7.6 Communication of

Fields of Practice A Iowyer may (:(!mnlDOica!e !lie f4"l !hal !be law)'ff does or does not pnctioe ia particul ... rot-Ids of law. A lawyer $hall not $ 1.11£ or imply !hal !he lawyer is • !pOC;aJiJ! a.cqIl" rollowf: (I) • lawyer adroiucd 10 n>PI" in pIIC!I! practice btlfOfl! !be Uniled StaleS"""" and T..-""", oo"..., ... y ox !be dt$ignarion "f'liI£D! AIIOnICy'" Il!" • ~!iaJly .i"';l. desiplalion;

(b) • lawyer cnpgtd in ar;Imiraby practice may ute !he desilnation ~AdminJ!y.~ ~ 1'roc1ot iD Adnlinlly.~ Il!" ......1InliII. Iy similar dcsiplllioll; Il!" (e) • lawyer maycomml!Dic~te!he rIC! !ha! !be lawyor bas brt-n cwiftcd . . . spccial~ in. fidd of bIOI by I tw-.l fl!"Jani~ Il!" .... 'hori!y. bul only ir such ""ifocal;"" is granled by on OOlIO;wion pmriou,ly ~ by !be A!;!bama Stale Bar Boatd of ugal CenlfICllioo ID JlUI .uch ccniflCaliDoJ.

Comment Thi' ",Ie permits a laW)'oc 10 indicat" arcas Df pra<:!ice In communications ahoo!!be lawyer'1 $t"';ces. fll!" example, in I telephone direc!ory Dr OIbcr odvenislng.proyidrtl Lbc: Nlvcni<ing !awy" .. Jaw finn arJuaJly P'J'licc' in pt law II lis !ime: Lbo admligfl¥AI j< dj<gm;jlIICd Ir a llwyer JlI"*',ic"" only in cwain fields. Il!" wiJI DOl ~Jll m,men excepI in wcll f""ds. !he !;!wyer i. pcrmiued 50 10 indicate. 1I"",'e"",. SUtio, !hal !he !;!"'Yor i, I Ms.pecialisl,M practicu • ~I pcci ..hy," Il!" "spe. ciali...., in~. pIUlicular ficld is not penni1!cd unles! in ICDDI"_ daoce with Ru1< 7,4(0). These 1CnnS II..., arquil'l'd.1«OfIdAry """",,ina implying rorma! !'KOpIilion .. I op<C1ali .... PIC of ~ IC'OQs may be misleading.

1m .....

l-k_.

ROCO&Dition of spccialiwion iD pUCft, mal!(fS is • _ of !on&-..bliohcd policy of !be ""tcW and Trade""'" OO"ot:e.

Ilai.,wion of admiral,y pnctioe has .1o<Ig IIllWrical u.d,tion a<sociatcd with mad,i...., rommcm: and !be f~ coon •. Patapapb (e) ~ forcwiflCllioo as. ~iaJi .. i~, rock! of !;!w ",here !be Alabama SUlI£ Bar Board of lqaI SpoeiaJiUljon has granted III orpniul!!ioo !be ri&h! 10 I"IW ceuf1Cllion. Cfflifica!ioo procedUI\'JI imply IbM 10 objective Clllity has rccopiztd a la""l'or's IIlghcr degrft of $pedllliWl abili!y than i. "'U"Ied by I<nen.I !icemun: III prxIice !;!w, l'botc objc<:,ive emi!;'" may be upcclft! W apply standards of compe_ te,..,.. experio,..,.. and I<oowIed,e'D ilUUrfc!hal. !a,.,ycr'$ recognition as •• peei.li" i. meanin,ful and rfc!l3bk. In 0Rlcr w in,un: !hal con,umers C3n oouln ar;ccss 10 u",ful infO<'l'N!lon .boo! an oopniza!ioo granting ""nifica!ioo.!lIe ..... n~ of !he «nirying O<ganiwion or liency muS! btllncludrtl in Iny CQID. municauoo I\'g,o,rding c~nifio.!ion.

Rule 7.6 7.7 Finn Names and (.) A lawyer >hall no! YM: a finn name, 101(e""'OO, or other pr0fessional designation that ';01310. Rul<: 7.1. A trade n.me ""'Y he used by a lawyer in pri".~ pm<{;"" ifLlle name: is DOl deceptive and " does noI imply I connection with.

'(W.

ent"",n! age""y or with a public or cbarilable organization, 00.:' DO! imply lha! tbt fum is som<lhjn&!!!her Ibag. private law fiun and is no! <>Ih<rwisc in viol.,ion of Rule 7.1 or Rule 7.4. A lawy" in !t'iy;ue !lQCIice may ~sc !lie tCOll "leN' djniC or "kgal sc[)'ice!l" iq coojuooiop wjlb !be 1."0'..." own Dame; if!be lawyer's ptlKlice;s deWle<l 10

proyjdjng routine k:~JI sryice. r... fer' lha, att lower tban .... jljog mit! in !be community for tbog <cryice!

!be m !Ill

A lawya shall 001 adWBise under. trade or fjc[i~O\IS name C:l.crpt!h3l a IAwyCl who iIC!4.lIy pra<!jcn ynder. !n!!k palIK N '"Imud by SUbdivision (bl may usc Iba! Dilme in adw"j:;emoms A lawyer who iKIvtaises IInde,. !Jade or ficljliOll' name ,ball b.: in yjolaijoo It! Ihi' rule Ugltn 'be ,","K Dame is lite law fi nD name 'hal 3QI!CW 00 !be lawyer" !.uc:r1lqd, business wd' ofljC$ sign .00 f« oonliJClS IOd aooeil/1l ",ilb I'" lawyer" siEnalU!'!: 00 plei!dinE' and oilier legal docu ments

A law finn ... ilh office, in anolber jurisdictiOli may u<e in Alabama lhe n3D1e il u>es in lhe OIher jurisdictiOll_ pro,ided lhe u<e of !hal nrum would oomply wilh lhesc: rules. A firm wilh any lawy~rs not liO<n<M 10 p<1IClice in Alabama mUSI, if such lawyer', namt apptan on !he firm', lel1uhrad, SL'"e IMI llie l.wy.r i. not Iicen<M 10 """,Ii~e in Alabam.a,

A lawyer or law finn may illdica!e on any kl!ert.eod or OIher C<lDlDlUnicalion p<nni <1"" by !he<e rul~. Oilier juri,· diclions in which lhe lawyer or the n.. mb<:rs or ass,ocialc' of !he I,,,, firm are a.,Imin.d!O """,lice,

use of trade names in profes,ional prac1ice, use of ,uch names in law pro<:lice i, """.))I.ble 50 lOllS as il i, DOl misleading. If 0 privale firm uses a!tade name IhOl i!!Clude. a gMgr~phical name such as "Springfi.ld Legal Clini~:' o~~, ~ .. !O d i"l.iR or ItoOI i. ij 0 ~.~ lie I.gal .i~ " '0) h .. ~"i .. ~ Ii!' ei~. ,, '!I,o~ ' !1; i"'r ho"ien. eXllln' laDgu ..; mu<J be j!ICludc<l wherey;r the !lade Dame aWiI!} which 'kallY slIIK:, !bat the fi rm i' DO! 0 nublic Jrgal aid ue!ICy II may be """'riled !hal any firm name i!ICluding the nanl/: of. deceased pa"""r is, llrictly speaking,. lrade nrum. The u.. of such name, 10 desig· n.le I.w firms has pro"en a """f"1 mean. of idenlifi~.lion. However. il i, mi,leading 10 "",!he n)me of a I.wyer nO! associal«J wilh lhe finn or • predeceS<Or of.he firm.

'g'''')

Paragraph (,) pn:<:lu(!e. use in a law finn name ofoerms Ihat imply thai the finn i. """""hing (lOher Ihan a pri,-.!e I.w f,rm, lWo examples of such K:rm, art """ademY-' and ··inSliwI .... Paral:"'ph (b) precludes use of. trade 0< fictilious name suggesl· ing thai lhe firm is named for. p<rson when in fac:t such a p<r· son does DOl ui .. or is DOl associa",d wllh lhe finn. Al!hough ...,. prohibiled p<r se, the.trmS "legal clinic'· and "legal servic· .s"' \\IOIl1d be misl.ading if used by a law finn Ihal did OO! de.-oK: ilS ","""lice 10 providing roulioe kga! serll«, .. prices below !hose I""vailing in !he commuoily fo< like serllice,.

i'ru"Ograph (b) of Ihi' rule .1"" prttlude •• lawye r from adver~.ing under a oonsen<e name designed 10 obIain an ad'",,",a-

genus posilion for 1he lawyer in alph.belical direclory liSiings unless lhe lawy~r ac:tually pm<:lices under Ih.1 noosen .. nan ... An e.ample of such an improper n.me i, ·'A. Aaron Able." Ad"cnisins u!>der a law finn name Ihal differs from ,he finn name under whith lbe lawyer ""Iually practiO<$ viol'I", boih !hi, ",Ie and paragraph (0) of Rule 7.1, Wilh regard 10 ,ui>di,i,ion (dl. I.... y.rs sharing office f""ili _ bul wOO are DOl in faci partners, may no! <lcnomina!e ,hemselves as, for example. "Smi!h and Jone.," fo< Ihal lill. suU'''' ""nntfShip in the prnclice of law. ~ ...

11>0 n.me ofa lawyer ""Iding a public office ,hall not be ustd in lhe name of . law f,nn, or in communiCalion< on ilS b<:balf, during any ,ub$!anlial period in "'hicb lhe lawyer is not pro<:licing ... ilh lhe firm,

ill. ~

LaIITl!!l! may 51'" III jmply IN1!b!:y practice iD a parmer_ wip or iUlboriz«l busjoo" entity only wheo lNI is lhe faC1.

The name of. law finn may DO! ronlain lhe name:< of .!lor_ ney' wOO 11K DOl parmcn III ')QCkOOIs!ers in lhe firm eN"")!! Ihat lhe name' Qf dttusW partoe" or $Wbol<k" may be ustd in lhe firm naooc if then: bas I>ttn a CQOliDUino wccrMiQU io the finn" identity

(Ill A law finn may DO! i!!Cludc in ill DaIDC "and .wx:j",s~ YDlm lhe firm emploYS ill kist one i$OOCi*

A firm may belk,ignated by lhe n.mes of all or 50IDC of ilS members, by lhe names of dettastd oocmbers w1leTe lhere has httn a cQluinuing succes,ion in lhe finn', idenlily, or by.!J':lde name ,uch as !he "ABC Legal Clinic," Allbough lhe Uni!ed Sial., SUl""me Coun has held thai legi.l.liOli may proIoibil lhe

Rule 7.6 7.8 Professional Cards of Nonlawyers A lawyer .hal1 001 cau .. 0< permi, a bu,iness.ard of a MO_ lawyer "'hich C<lntain, !he lawyers or firm', name 10 C<lnlain • false or misleading <la!emenl or omissiOli 10 lbe effe<1lha1 lhe non_lawyer is a lawyer. A busi.,.., card o f a DOII.!3Wyer i, DOl false and misleading which dearly idomiflos lhe DOlI_lawyer as a "Legal A .. i'!anl," provided Ih31!he il'ldividual is emplo)'ed in thai rapocilY by a lawyer 0< low f!t1l!. lhal!he I.wyer or law firm supcrvi>es and i$ responsible fo< lbe law ..,Ialed lII'h assigned to and performed by , uch indi"idual, and ,hal the lawyer or I.w finn has aulhorized the u.. of such card,.

La ...yers employ "arious p<rson, who.re DOII-Iawyrrs 10 engage in ""Iivilies on behalf of Ih~ lawyers. These non-lawyer .mploy~ are DOl subj..:1 10 lhe di'ICiplinary proc.ss of !he

Alabarruo Sl:ile 8:11'. ahhough the la",yef ""Y be di'ICiplined for their cooduct in .ppropri~le coses. Sec Rule 5.3. Theoe ~mploy. """ include S«~. i~g>lors.lqlll$Si~ I*"'lqab. librMi ..... law clo.rtJ. mesxn&ml. accounIanIS. booItlo:ttpers. off"",~. fimllldrninistnlOB. "c. In ItWIY cases.1hestc .mployftJ ""ill come inlO COIIIa<1 willi climll and wilb the p . en! public. In chese ca5es •• professiollal card or calli", card .....Y be lISd"ul to !he I'mpioyft. !he d;',,~ and the public. Tbe ",10 i. di~ agairul faloe and miskadinl bu.ir>eN cards. A I.wy~. mu.c no! pc"",c or tau.., I business card of. J>On·low),<" ~mpioy<'oe 10 be either f.l.., or misl.adina, Panicular c","" ,hoold be ,al;~n '0 en,u,"" tha, no fal.., impression I.,iven non-Iawye.;~ a I.wyer. In ,hoe design of bu.i".ss card •. the posi,iort of non·lawye. employ« should be Ioaibly and promi .... ndy iOldic .. <d in clo.se pro:<irni,y to the employ..,-, ""me. earth dial vioual1y prncm a 1a",'Y""', or law ficm', name in lIICh 0 promi""nl man ...... :os 10 ob5cun: , .... employ..,', non· bw)'<'1" .... " •• .,.., prohibilCd. Tbe card """"III """" ..... f"l>C1iQn of idcnIifyi", ,he ume of ,.... iOld;"'idual employ..,. bill i, """"Id "'" be lUiaplible CO an illletpma1i"" by the casual ~ 1M ;1 is the card ofl Ino")'<'f. as opposed \0 chloe of III nnpIoyn! of I lawyer or law finn.

,IIa, .

BocaII", the lecm "Ioplusi.wu" conW"'l the desilf\ll''''' "!qal" and thu. miaht .. aOOf\lbly be coosidered as prohibited by 'hi' rule .• ",r. harbor was provid«l SO as to pennit use of the lenn on bu.ille" C.Rli. •

Check Out The ASB's Latest Member Servi

W~r St6ries

W(j.,r

I am a family law practitioner and spend much of my time in the domestic relations courts. A number of years ago, I had

'.St6ries ' .

. '

The Alabama wwyer is

looking for ''war stories" to publish in upcoming issues, humorous tales imd anecdotes about Alabama lawyers and judges. Obviously, for such stories to be published, they must be (a) true, (b) amusing and (c) tasteful. Send YQur reminiscences to: The AJabama Lawyer, P.O. Box 4156. Nontgomery 36101. Be sure to include your name, address and a daytime telephone numbn'. in case we need to conttct you.

a unique experience that I call my most colorful day in court Our domestic court judges in Jefferson County set motions,

petitions and divorce trials on a daily basis. Sometimes regular domestic practitioners may have two or three maners set on a judge's docket on the same day. I remember vividly one day, a number of years ago, that I was involved in the case of case was

Black v. Black. My second

R_ w. R â&#x20AC;˘ . My third case that day was

Gray v. Gray. It really happened and the judge took note of this colorful situation when he called the docket. Coincidentally, on the same docket were the cases of

Brown v. Brown and Green v. Green. I did not represent these litigants but they certainly added to my most colÂˇ orful day in court! -SlIt,mel A RUIIIiJrt!. Jr.. Mig/twlieo &: Rumnre. Bi, millg/ram

•• • •• • •• H

•••••••••••••••••••••• ••• • •• _ . _ ••

............................... .$10.00 per 100

"':~,;"::e~.l i;;;,;,;. ~i.~..I;;~:;;;;;;:.;;.;;;~

Oty. _ __

Lawyen and Legal F885 ........................................................... .$10.00 pet 100

Ory. _ _ __

8 SUTWI\IIIy 01 bi\sit inloonaUon CI1 tonwnon

q\J115\10111 arw;I ~ lor 1htI general p.obIc

Last Will & Testament ........................................................ _......$11100 pel 100 CO'>'8IS as;K1S

ot estate pIanoog am IIlI importance at hM:og I \/IiI

QIy.

"'.

Leg.llUpects of Divorce _. __ ._._.. _._._ .. _._ .... _._._ .. _._._ ...$1II.1II perIOD on.s ~ -.I dWli;es iwoIwed .. diwora Consumer Finance or ·Buying 011 Timfl ~ ................................$IUID ptf 100 QIy. CIUllo. . ~I consodeIabDnS'" pIO'f'IdIIlII¥a on IiNnaaIllliltterI iIflIct.. 1hI1I'IdMIbI 0I11ft1y

Medi.tioll/Rasolving Disputes ..H.... _.H._..... _.H .....H._ ..H.H._ ..$IO.1II ,...1111

.-• •

To Serwl the Public ................ _._.$10.r1ll per 1111 Oty. IItIaill of bar p1bIit SI!MCI! P'I9_ ~Ied ~ Iht TO SfRl-f mE PIJIJOCrdeo ~tKln

thy.

• • S S

pr\Mde$.., CMIr>>8W of !he mediauon pruee$$ II quesbOI'I-ancI_ form

Arbifrafion Agreements •..•..••..•..•...•..•..•..••..•..•..••..•..•..••..•..•..•....$1n.oo per 100 III"ISWerS qvestlOnS III' ~

• •

",.

Irc:rn l1"li_'1 ilIIf$p!ICtrYe

AdvlJnce Huhh ClIre Directives ..•..•......•..•......•..•......•..•......•...$1D.00 per 100 .amplete. oaS"\' to tIIldetS13lld i%mlatlOO aboot hellth diret:tfV!lS in Alabama Ac,..,llc Brochu.. Stand . .$5.00 t l ch Qty. ondiwllalstand lITIP'onted with iodMOOiI. film Of ballSIOCIaUon name 101 use at disl!ilkllooo pomtl Clnt IlIrd 1* b<ocIue is ,et:omn,,,ded. ~

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ALABAMA

STATE

Statistics of

• A R

Interest

Number siuing for exam. . . __ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. Number certi r,ed to Supreme Court of Alabmna .........•••• , , ........ , , , . . . . . . .

:lOO 117

Cenir,c3ti(m nlle-. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... ..... . .. . . . . . . . . . . . . . . .

39 percent

Certificetion Pe rcentage.: University of AIab3ma School of Law ....................................... . lIinningham School of Law ...................... , .....................•... Cumberland School of Law ...••••••••••....•.............................. Jones School of Law .................................................... . Miles College of Law .................. ,",.,., ............•..•....•••••••

63.2 percent 23.9 percent 54.S perecnt 40 percent 2.9 perecm

*Includu "n/y ,Iroy JIKCUJ!"lIy passin, boraam '111<1 MPR£ ~'or rull o.Mm .t~tb t ics ror thc .·cb",ary lOOl ex ..... flO to ............ ,.."."..01]'. di<:k tHI MMcm MI'!I.M.nd then <....,k <>lI1 the ..Admlss!o ..... _Lion.

Alabama State Bar Sprillg 2002 Admittees Adam•• Alben 1I01""'n Jr. Adami. J.no"ha TIIti.n. Allen. Anthony Scott

Allen. De."i_ CI.rk Alptr. Ty AmoId. Gtors- Wayne Bagby. Hunter Manin Banker. Anthony Nicbolas Bameo. Lou,," Lou Barnlun. Juon Micbeal Huter. Jori Ann DralD, MOIIhew Yan Deedl •• Joy Wolfe Bmleffy. M3. Billl. Tnrie Scon Bladmnn. wm,am [)rUe 801..... Adn ........ Wmi ..... EI<:>nt. El,:tabedI AM Clark Bl'2>lninl. Jo,..,my a.a.. B""fi_id. David CaJI10II Jr. B",ye. Linda Mario B,..,I~.><l. Dry.n Keith Broob. Barry Scott Dunn. )ooullun Rudnun

Bum •• limes Marlinez c.rrey. Rodney N.,.1lI3II

Chesnut. Rithanll'alrirk Ckmenu. Kmn R...... Coot. Jonathan Neal Cox. Tyler Lamar CIm'. Am"rica A,hley Cull>n:.lh. SUs:in Musick OanncnWl. Adam Daniel

Dav ... Oinger Blair Deas. ViIlCtftl Ke"""th Elood. John Douzlas

Eml. An"" Marie f.y. Kalhori .... Eli:eabttb felic•. David Allan Aoyd. M arilyn Scott ~'<lYd. SlI:innoo De",on FuJmtr. Tere.u Whitley

Gambit. Elizabtth Di"""" ~ Rhonda Mayse Go_u •. CIIrisoopher SII."phen Gluck. KnlI .... William c;.",.1III. Melina S10f0)' Graham. ChriSty Willi3",.

300

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Gulley, Cole.te Loui", Hoi!. Charlos Edward Jr. H'm""",k. lenoirer Wells Hancock, Jeremy Allen H"""",,. S......, Kay Hani •. Daniel J,..

HaMinl, James Mel .. in Hatthor. Jeffny o.:.... y... H."ki ..... Kimberly M. Kcl .... lIendrix. Elir.abcth Lurici. Hening"', Erik Slephon

IliIy .... David Cn,hini 1I01iand. Jon Elswonh Hol~ Marllllonw

Hudsoo. Tammy Renee Hulebak. Pegie Sue

lIulsey. Angela Johnson lIurley. Kathleen Marie: II ...... Norman Jr, boousek. Moli ... Man'. Johnson. Iklinda Elmon: Johnson. 11ffany Nichelle Joho500-'Theodoro. Ml1zl Gabbricll~ Jnnes. Eli:r.abcth Anne Th •• pen lones. Lour.& I)icQ Kelly. Rebetta Gonys Kilpatrid:.. Jay Mall "",hr!, Robn1 Riclwd Larkin. Ouis1Oph..- JOSfph

Lovvorn. Christie I'ononl Loli"'. Camille Sellers Lyle •. Maria I..ynd> N. Mandell. Josh"" l'tanei. Manning. Gregory Scott Manin. Minwl D'Anaclo Matthews. Andrew Rayden McAuley. Wesley Marun M<CI<IIaod. Ri<1wd Ikn"'" MoClinlOll, N..,h I..ash.o,,·n MoClusky. Cll:irlotle Kayo MoConnick. Juli. Baler McGinley. Katherine M.hlburgcr McGinley. Robcn Ball Mc Hugh. Willian! Michatl Jr. Md.-"'l<l M.r.kolm S..,...., ~k"bth.

By""" GusuovU

10.1..".,.. Angelilo Lucille Miller, S1ephon Howard

M""",. !'; urick Benne" Murphy. Shannoo Leigh Nobles. Adri. Yvel1e O·llannoo. Dorene Or;bum. Brandon Loc Parham. Stephon Momll J':>nsh. Julio L)'M Meadows I'att.. Myunl s.... I'arkor. 11 ... Michelle Parnell. Iu,un Manhow Pendergraft. J~nnifer Carin Pendleton. Patrick Kerry Neiffer. Ow.neth Carne"", Poner. Hubffi Merrill Sr. I'rin~. Adam Kennedy Rith>nlson. Byron Marl Rivna. Kellh S......""'" RobsoII. "",,in Mattho-oi RodgOfJ. 1O>t"ph Keith Roobbcrry. luli. Mich<Ue Rowley. Adrian Manning Ro •. Eddie Bornardlr. Rutter. Owlu Way"" Jr. Sd,ooll..,.. Iknjamin E.dwanl SlwIboltur. Don ... Q,-.non Shaull. OIeM .Iooqlb Sic.hano. Anthony D.,·id Sinlp5On. Mar>",a Earl Sin&lty. Scott Fuller Smith.l)aniel E.dwanl [IJ Smith. Jennifer Wiggins Smi.h. William Roger III Stamngl. R<:I<1nty Loring SIarr, IIcnry Brwkrnao III S1...-an. et..1d Davis Jr.

Sue."....., ~my Loyd lbomp$On. Nicola Anne Todd. TIInw Tomlin500. John Everett Walsh. Andrew Philip

Watson. Elmor Jacobs Wellmafl, Lind> SUI' Whittaker. CLaY"'" Max .... ll .....Iharm. Marl Sloan

LoW1l u,igb WOO<ho-ard. Doozlas Shane Woodward. 11ffany Taylor Wi~t.

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Set alabar asriC. Your Homepaqe ,II

Seth., .ldu as ,aUf.eI.gl1 hmep~ge is us,1 lile mess Ih Ie), ,n'll h lui" Illh lSI sile Ibere. en CfI.1 II Ibe IISlt,路rl路'alt 1111I1Iall81 .h.r )0, ol(lililies Old 'enmes

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here.,., 50me common .tat.wide problems thaI have been enc(Mlnlrrt:d by lilt Stt1rwy of SIlI""$ offICe in J'lrOC"$S-

ing Attorney Foe Declaration forms. TIle following i, a Ii>! of I.hooe and 50me hilllS on how In .>'Oid Ibese problems.

First and fOR!!1lO>l. lOme al1omey''''' somewhat ""familiar with 'he "Uniform Guide!,,,,,. fo< A1t(>rT><Y fee DeclaJ1l1ions~ 3J1d the st'Ctions of !be rode /'tlaling lQ indigent defe ..... Neglige""" in cakul.tiOllll. using illCOlTeCl forms. ;I>COI1tt, information and failu .. 10 ;""lude required .1lachmenlS are Lbe primary problem ""3$. Researching mhi,"<'<! fl'Cords for dupli. cales and conttting and/or retuming incorrt<:l claims "'" time. consuming chores and if these factors could be eliminated from oor daily las"'. altOfJleys would =oive payments """" timely.

Attomey Fee Declaration Fonns Alwa)'i use tho corrtt\ forms rOt !he time ~riod of ,,"(lrl:. p",. formed. Alway. calcul.te the correct rale. The following is a ",te/time period ""bed.1e to correspond with the fooms:

the forn •. E.<1Y effon should be made to mark the cOlT<Ct type This is. major problem, Numerous forms continue to be ,...,.i,'ffi with no case type indicalion. Many probation hearings art ir.dicaled on the forms as "posI«:>n.ic,ion:· This is ir.cor=1. Tbe original charge shool.! br ir.dicated as the case 'ype. Appellate work should be indicaled as ··Appeal:· The Social Security Number or FederaiiD Number (depend. ent nn the W·9 f()rnl signed by the "Homey prior to being i>sued a slate check) ,hoold always be indicated in the proper splitt. Quite often. anomey' enler their aHomey coo. in this 'paoe in mo• . For la< purpOSC •. 1099 Forms are mailed in January under the spocified SSN <If FEIN. Review forms befon: submlHing f<lf paymenl to in,ure wI all inf<>rma.t;nn is entered and entered correclly. Many forms are received without the '''OOIey'S signa'ure. Some are =eived without the signature of the judge. Attorneys who prinllheir own fonns are ~uin:d to use a print fOdI that is at leas, 11$ large as ,he staleS printed form.

Prior to 00/10/99

Attachments to the Fee Declaration

06/10/99 to 09f.III00 $SO po!< 00ur in court $:I) per 00ur 001 ot COlJft

An overhead order, ,;gned and dated by the judge. musl be aI"",1IM 10 .~h fee decl;lr1l,ion in order to be paid overhead. Overhead i. 10 be pm-apJIIm'W and is paid from the date the judge signed the order. Nwv.: pro lUll(; orders 1101 """"p'able. Overhead orden 3CCQmpanying claims should be from the same county in "'hieh the wor\: was performed. Failure to a'13<h. copy of the overhead order 10 the fee decl;lr1llion continues to be • problem. Some .~omeys argue that lheir county has a blanket order and we should have il 011 file and thty should II()l be asked 10 auach an order to each claim. Tho rule i•. if an attomey i. to be paid o,'nhead. we mnSt h"e an onIor atlacllM. In order to pay npen wilnes ... oc other oxtraordinary expenses. a «>py of the pre-appn:... ed order. along w;lh a copy of the invoice. nlUst be attached to the fee dedaml;nn. 1be.. items often are missing f""" claims ~i,,"d by lhe ."'Ie,

Begll'lniog 10101100

$60 per 00... in court $4(J per ho!x 001 of court

If 31 all possible, type forms. Do noI.ubmit .IOW)'. MOOscribbkd. ilkgible forms with numerous CQn"I'<OtiQns. while001$. ,lrik~-o.'e,.., and writ~-o"'''', These are ,ubjoct to bring retumed to the anomey. Al .... ys !he rornc1 case number. If more than one case is handled .. the timt, !)'pt all case numb<n in tho cas< number bk:ck. Tho com:c1 eoumy cod< number must be emered. Cod<, are liMed in .lphabe,ic.1 order. by COUnty. and IIOIt by au'omobile 'ag number. Th< case 'ype. ouch as Class C ~Iony. which f,el$ the allow.bl~ dollar limit.< in fees that can be paid, must be indicated on

The followi",_ iterns do

no!

mjuire '"" ontor:

Mit..,.: The stale fate is aIoMd. -MIdI is . - bid 10 IN IRS !lilt. o.rr~ $.Jr6.

top,", AIcMed $.:15 pi! ClIpf long d'rI'~~' phoa, chl ., n. llemiulion' should be clear.nd ronc:isc:. wilh dal .. of serv-

iC<\ Jlf\'SOnl and lime rq>Or1<:d in complionce with the ,,,idoline •. Usc: st....wd Ii .... calculalions as £1lItt<J in the ,,,idoli,,,,,. 00 II(lI usc: c... .,ive software pKu&es !hal must be fi&ured 0111 and n:a1cu~lod by the stale in order 10 arrive 01 the boors reponed by the OlIOmO")'. Th;' iJ iInOlher ,,-asle 01 fUIe hltle. "!"be pidollnes "'''''' writl<1l befon: 0Ytfhead ..... aIJooo."Cd. Since overboad noontIally includes the 1\mII ........ \ben: should be no II(><d 10 bill atain for Ihesc: 1\emS or dolote from tOlOl

0"'","'" chO'iod.

Miscellaneous Problems 00 noc OVNCIwJtt:. Double and biplo I);lIin& is wi<1ly pto::>hil);l .... Wbon ''''"0 or......, cascs arejoinod. biU for Klual hmo ~IM in bandling IhmI .tho-r. Do _ bill the ....... iUDOIIM. ,...~Iy, for._ case DU~. !'or the >UOn>oy handled f.,.. cases thai ",.re all joined and bandied • the same II ..... c.... numbo .. "'-ere JU'@ I. JU'@2. JU'@)andJU_ 00-4. and the tOlOl lime JflO'II handli", them "'-as ..... hou... One

"'"*"".

I);U for' .... hi:oJl1 should be wbrnil1td, no! four bills for IOn hours • .,h. Claims ....,.,,,,uj with the ........."'. of doublebiUm, or over·bill;'" will be .......-1 10 the jud", for telliew. W1Iooft the maximum amQIIIII 01 ......... in foes .... case: hat been readied. do noI conlinue 10 bill for _ . An inonlillale _ n , of .i.... and .(J0It il wasltd by the .we iD ha.in. 10 research "",hived files. rccalculalC daims. make copi.. of claims in suppon nf COl"n'CliOllS mW. red""" claims for pro-

C<\sslng. or ""um da.ims. 00 "'" sc:nd in duplicaIC billinp. Thi. is a real problem and a .....jor wasIC of Slate time from bqinninl of the claim 10 the filial return 10 the aoomey. Plca.\C ".,.. the SlaIOmml> on the ke ~Ja.. ,.;.., ","hid! SlaIO tlwthe auomcy do:clares thai belohe is "'" <luPicatiD& cbarges and the judp: Jips 10 the off..:! ibM hdsIIe is of the opinion thai tho auomcy is _ duplicarin& c"""""" II """,Id be most htlpful if attorneY' """,Id file their r... dec· lanli .... in a timely man ..... and not " ... il unlilllle end ofllle yeu In flood tho .y"orn wilb old d.irn" resuliing in a l>acllo& of ,lOlewido claims for ,hi, office. Wo adllere 10 the . ix_yoar "aIU'. of limilOlion. and encou"'i" anomey' 10 file limely. Please be toWICOUJ ""hen calling this off>Ce. Coun.. y is our policy and the &arIlI: is u~. •

:"""L.-__ ... _ ... _01_ 1-'-

2001 Fe((ows Acceptances Nominee Date Acceptance Received Reneau P. Almon. Montgomery ............................. .. ............... .................... .. .............. 7/ 1610 1 J. Tun Barrett, Opelika .............. ..................................... ........................... ................. .8/30/01 Will iam 1. Baxley. Birmingham.......... ..... .............. ... ............... .... ............... .. ............... .8nIOI Jere L. Beasley. Montgomery .............................................................................. ....... 811610 1 John L. Carroll. Montgomery ............................................ .........................................7/ 1610 1 Ralph D. Cook. Birmingham ....................................... ........................................... ....7/2710 I Milton C. Davis. Tuskegee...... .................................... ......... ........................... ...... ...... 7/ 1910 1 Joe C. Espy. III. Montgomery ............................................. ....................... ..... ............ 7/ 18/01 Virginia S. Granade. Mobile ................ .. ....... ...... ... .............. ....... ..... ... ........................81 17101 Robert B. Harwood. Jr.. Tuscaloosa ............................. ........ ............................. ........ ... 8/9101 S. Jack Livingston, Scottsboro .................................................................................... 8116101 Robert L. McCurley. Jr....................................................................................... ........ 8124101 Nina Miglionico ............................... .. ............... .............. ..................................... ....... 7/ 1810 1 J. Jerry Wood ............................. ................................. ..... ............................ ... ....... ...... 7/3010 1

304

SB 'T~IoIIiER

1002

KIDs' CHANCE S CHO LAR SHIPS :

Meeting the Need T

M Alabama Law Foundation .Dd Kid$' Chance ba •• helped """ family look on Jbe bright side of

things. Wb¢n Mickey Skip[>Or fell off. roof and broke his back. he hod \0 depend 00 his family for support. N()W he and his family are cou nting on the Alabama Law Foondation and IlIe Kids" Chance Scholan;hip program for its coolinu..<!

aboul Kids' Chance. I g'" Brandi an applicalion, and.1>o g'" il," Sheil. said. "It was stICh a help, SO when il Came lime for 8mo~e 10 go 10 rollege, we got her on applicalion, 100."

While fTICIr'<: and II'WJfe people m altending colleges and l1nillttSitit$. for many. higher education is still an "J'I3uainable dn:am. Tbe

Alabruno. Law FoII.dllion. a nooprofit organiz:lIion <ItdieaIed \0 law-",la!r:d charities. is working IwtIw change this fact wilb !bei, Kids' Chance Scholar>hip fmgmnt Tbe Kids'Chana: Program gives stud<llts "'bose ~n1 Of parents ha,-. been per_ """"",~y and t<:>wly disabled or killed "" the joob an opportunity \0 go W colle", or technical school. HrooI<. S klppe. is enjoying col·

COlt....,.

lege lif. as a freshman.1 Troy St.!. Unive,..,ity l",",klI. in pan. to Kid$' Chance. Afler graduating wilh honors

fmrn Ashford High 5<:bool. Brooke 1""pared 10 go o ffl o TSU. "I grew up knowing J WMlt<! 10 go 10 colleg•." Brooke said , "It was a question." lIow her family would afford 10 S<'nd her "'as tile qUe>lion, lhough,. big one. Bmoke', d:.d bas !:><'en permanenlly disabled for Ibe nine ) ....rs since his occi, denl and comp"'toly unable 10 work, Bmoke is Ibe middle of ~ ~hildron, Her big siSler, Brandi, al",ady kDOWS Whal a help Kids' Ch:u.:e can he, Her mom, Sbeila. foond OUI aOOUllt.e KIloI=hip I'fOgram from a lawye. in DoIhan. "Af.. , the occidenl l.arry C it'ens, a I.wye. we "'en: "urt.ing with, lold me

and su«e..,.j some depression for somelime, e.eo,ually. he SlOw bow nke il was to be home . "Mkh y can look back now and see the good in him being home. He bas be<:n ahle 10 be wilh the kids nlO/-e, more of a father. His ~hild"'n as=. "I ",ally liked having my dad al home," Brooke said. "It was nke always having him around." The accident has changed all of lhe Skippers's li"e., and Sheila beli""", it has changed her children', lives for the betto •. '1'he", is SO mIlCh th.t we use to lale for granled." she said, "Now lhe kids are more aware of the everyday bl .... _ inp." None of Ibe lIIn-e are laki ng for granted their ~hanoe to get • Kids ' Chance Scholarship and 00Ihe. scholarships, e ither. Each has excelled in school aoo in e'-.rything they do. "Whal we have g""" through as family has ",ally focused them On their goals," Sheila said. "Of wi!hOllI the It-onderful opponuni~es like Kids' Chance. their han! ",-on; and talents could ha,'e go"" 10 wllStr.1bo often. the opponunity to go 10 rollege and f"nbcr lhei. ed tocalion woold be impossible for many Slu<knts witltout the Alabama La w Foondalion and Kids' Ch:u.:<,." Bt'I.lOke is pur$uing a <kgree in marketing and is ""en thinking aboul going 10 law .. hoot Her SiSler, 8",ooi, is. ",,,,,her after ftnishing cQll .. ge with a <kgree in education. He-rlinle brothtr. B",nl, is I~ and slill in hi&h .. hool. He plan. 10 apply for a Kids' C hance Scholarship. 100. Kids' ~e relies ookly on COrltribu_ lioos from coqx>ralions. organiUliOfl$ and iooividuals. More than 100 .. holar· ships have be<:n awarded since Ibe prognlm was established, •

ne"",

EvenlS like Mickey's occidenl can bring lhem dose. togethe •. The Skippers dIOSe 10 k..,p going and e'-.n found a way to find a positive side. "When something like that happens il is I<uly devaSiating," Sheila said . "We didn't know what we we'-e going 10 do." While M ickey is in pain ""ery <by and will be for Ibe ",.1 of his life, he aoo his who'" family fee11llC ky lhall>o is even alive. And. e.en lhoo&h be ~.n 't work ~lIOy' family, or

Overview of the

Business Tax Legislation Enacted During the December 2001 Special Session and Other Recent Developments on the "SALT" Front Special Legislative Sallion. December 2001 Goo.'rmor Don Sie&clnun introdOCfd a J*k. oflq;.II.ion on Docember 4. 2001 tlu.~ in hi. FI.I'Iaft« OifttlOf" woN .. ...... dcsi~ !Gelose ..... enl perni'o'Cd corporaIe "laic Ioopholes~ and rai~ III oddi~ooW $100 million Inn ... lly. to lhore up. projeclCd S 160 million ...r",i. In the &hIcatiooo TNSI Fund. The Finance DilMor evm WC1II ... far as 10 publidy _ t.o.h the oorporahon$ and !heir WI lId~iSM of "lepl moocy lIunderin,.Sea Reilly. "8\I.iDeN Ieadr" ay Pltuures Ii"" mte w. olli_ ci:als 'extremely broad ~'H. Moo<k RqiJur. Oea:mber I. 2001. ill A t. R«en. indications .., 1Iw. ,"'hile "",,":Ut~ i~ w. ,.,.,...,."'" haYe IlICI\'ased IUbstantillly d"" 10 the ~ di5cussed helow. they may Mill fall below upcctationl. Fwtbtr dfons aI IarJetini !he ,,,,, pO.,ide inconw. Ill< 'ySlrm .... under· ""'Y. admiai!olI'l'iY<:ly. ond we may vtry ..'cU _Iddi,ional ~lof,i",H !ep,IMion imrodllCCd d..nn, the spriDa: 2003 """tar onsioon. Tho 8 ...1..... Associations' TU. Coa/i,;,;,n ("BATe'"). a j4.. mtmber.",.,p of the ~', 1argest and ""'"' infl ... nti.al busi_ and Itade associations. was the primary lid_ace of bulir>ess jll!<'n"SlS durinl the Dc«mber 2001 SpeciaI~. The BATe was f<>rmtd io tarly 1999;11 the mjPW of. lind wu iMIJU"",nLll

in .... ;>11 ..... the Siq.lman adminis ....,ion in dcvelopi"l. rq>1"" ..... nt W. poocb gc:. following the United Sial •• Su"",..., Coon', invalidation of Alabama", COI"pOI'aIC fnnchioc WI in South Cm/raJ lHlI T,I. Co. ~ AlaOO""" '26 U.S. 160 (1999). A< ... rnmarictCd below. lhe AI"bl"'" irlilll""e ~h02 ill QWn p:llh. adopIin, pan of the Governor", Pf"O!lOiS!,Ils and pan (}f lhe BATes ~II (ocve",1 of which endorsed the GovmlOO""

proposaI<). and then filling the Sap ",ith a ulility VO" rettipU WI on cellular telephones and pa£<n.

Corp wale IncorJlIt Ti HollSe Bill 2 (Mr 2001.1088) _""rIlapI the /I1OMt tonl1OVer. !-ial 01 all lite bills. "'hich became I.", "'ithout!he ~'I

slgnalur... IllSP'ndc<I the (\edl>Clion f... ncI open1in, IoJ.s any. from previous )'tat$, f... !he fim WI year bqinrunl afttt Dottmber 31. 2000. AI<>. Co.k f 4().18-)S. I(7). as amended by Act 2OO1· 1088.AI 110< ;nsi~nce ofbusiDeSl ~~. the biD allows the NOL to be d.i....d in subsequenl yn.... l1lus. the NOt. "'ill not be IosI pennalllCnlly. but (JOlly dde<ml. with the IS-year ,.w ••" period Clllm<kd by ~ ytaf. I'lt)·mtfll$ In "'~ ~ of ialC1"at aDd of royaIlia; 001 copyrl""" palCalS.lrademarh arw:I odltr inW>&ib1eit ...·m be subjected. retroacth-ely f<lf all WI yun bfJ:innl", afrcr I>ettmber 31. 2000. In a ...n.s of .wortory 1>unlIeit. !-imi,", 10 th<K ~Ily ~ in Nonh Carolina and Mw;Iolippi. S« Aia. CO<k f 4O-18-35(b). 1$ .. ,."odod by ACI 2001. 1088; 2001 H.C. MM. LtrwI 327; and 2001 Miss. u.w~ c~86. The COInpt of the ""aN.j.fXt1I,q- language (rsamed aft ... the ..-ell.k--" Sooth Carolina SuI""" .... Coun ~_) illlIat paymell1< 10. ",1lI1' nl rornpany in. $<Kallnlln baven ,talc .lOCh 1$1)(1• ...." <If Nevada. <If paymenl.l off$<"! by the oom:lalive income in the conlCJU of. consolidated <If c:cmhir>ed l"e1um. will be presumed DOfI-d<du<ubl<. wffrq. Inc. ~ Sou,h Comii"" T.... C........ ·". 431 S.E.2d !J (S.c. 199). un. <k"itd. 510 U.S. 992 (1993). In those ci",um.lanCe5. lhe 1axpayer m"".how Ihallhe add· ba<k was ·....bjttt. 10 a In based ()fI 00- meas .. rtd by the ",I.ted member's ne\ iDCOIIIC in AI .bama or any other <laiC ... 00- foo-. rign II.OliOll." AI". Cod. i 4O-18·J5(b)( I). as ...... nded by ACI 0¥eI"S

2001·1038. Flili", thai. lhe laXp<lyer is f-.oed ,..ith provin. thaL

(2)

Lbo add·b-.:t i. """unR_b!c" or :uLemptinJ Lo ncpaLe an

III.maLive Ipponioamenl formula or adjlmmmi wilh!he Abb\tJnll ~'" of Re-......... (~ADOR"). Sa 11./.0. CDtk t .j().. 18-l5(bXl). ....... nded by Aa 2001·1088. ~ IaXpIOya" .... y aIso :rYOid Lbo ...... bad: by esubli5l>i", LIw (I) !he 11'fi6.. ed payee "-as not prin..-ily eDp&Cd in Lhe lICqIIi.ition. licm'i .... and "'"""gomenl of inllngiblcs or in !he '""financing of relaiW cnlll~: and (b) !he In:lSaClioo &ivi", ri~ \0 !he paymenL ""as not .."..-...1 inLO primarily \0 lvoid Allbama lax«. ~ lauer ...-quire..... nL i. inlcrpreiW to mean Lha,the lnonlKli"" had. ·"S"lmanli31 business purpose Ind economic 5uMlantt;· and ··coolal...". "'0"11$ and condiliool CQI11pllnble to a similar arm ·,·kn,LII L"'''''''''OO hc,,..ttn unrelaiW partiu ... " AID. Cod. I .j()..1 S.35(bX3). as amended lIy ACL200 1· 1088. AuempLJ '0 coo"i," ,he 1egilillUre to mOOify or clarify !he oddcd ian&""1" "...,., only parLly ,uccessful. The fuU Lu.l of !he new provioion. i.oct fonll helow. ''(1)) Rc.urictions on !he dcdYClibi6Ly of cenain intaaIible

'""pcnses """ (I)

in"'~ '""prnsef; with

",Ia/<:d ..... mbft'.

fur jIUIJIOOeI of~i", its taxable income.aootponbon ohall add Mot od>tr.orUe dtWctibic ~ opmxs and row """ inwIgibie,""pm5CS and row dim::dy or indir<eLly paid. occrucd or incvmd LO. or in COIIJl«Iion dir<eLly or indir<eLly with one or nlOl'e dir<eL or indir<eL 1f':lI1SOCIioIIs. with one or ,..,;n ",lat· I'll I1lC'mhc .... Ucq>L 10 !he ex"'nL !he eorpor~lion ~,. upon "",ues! by !he Commissionc-r. thai the ~i", item of income ""3$ in !he !an1e wable yc.: a. su~ l(J I WI based on or "",..un:d by !he ",wi'll n.. mbcr·. net i""""", in AIahama or 011)' other II:IIC of!he UniLcd Scales. or b. subjo<1lO' La.< bI5cd on or -....d by !tat lI'iaIed 1I..",b.. ·, net jnoome by a I"<Jrrip ........ ,,"hieb has in force ... i~ La.< _ y .... ith !he UniLcd StaleS. if the n:cipiml_. "II'Iideat" (as dofoncd in 1Ioc jnoome laX baty) 01 the fomp 1IlUon. fur pu.poses 0( Ibi. tmion. "'subjen LO I WI ba>ed on or ..........."a by !he 1I'\aIcd tnm1btr·. net jnoome" .....a.u thai the ,..,.."ipL of the ply. ..... 111 by the n:cipimL ",I.ued ..... mber i. reponed and indodod in inoomc for ~of. WI on lOCI ioroont'. and "'" off..,. or <:1imilW.,.j in a roonbillCll or a.>I1$OIidalcd ",Lum which includes the POY<.:O".

ClE Opportunities n. AMlanI MandaIory a.E r.omrms;on ~ _I",u. IIPPfO'/8S ...sme.. WLII_1\OOOIMide. POjjIaLl. whdI . . ~ in. ~ daIaba.<le. AI are idI!oruf" hi' apon$OI". b:a1lDfl. data n tJI8CiaIr( 11K. for I c:oniplete IistJIg of wrr«lI

a.E ~"8I 01 1 caIerdar. 00IltiIt1 tt. MCI..E Com:mso:t off'A Il 13341 269-1515, extension 117. 156 01 158, 01 'fOO mIV _ . tOIIIPkItIIlisung 01 eooem I'fO'.jfa'PS at tt. ~Ulll barl WtAJ 1118. ~81.0IV.

The corponIion .hall "",ke lhe IIdj~"..nlS requ;rtd in ...bsccLion (bXI) oIlhi! J(!<1ion ~ the corp<>raIioIII _lithe:! Llw 1he 1Id.;u!LmenLs an: able. or the ''''",",Ilion and !he CommWionn"of R"""n..e agII'e in ""ritiIIJ Lo the appIiation .. ...., of lI...... tive IIdjuWl1mL. and tompumions.. Nothillj in thi! S«Ilon dWl ~ QOIIW\IOd 10 ~mil or I'Iq;lle!he Corruniuioncr·. luLhoriLy to other... i ~ ..,ler inLo """",,,menlS and compromilel othcrwi~

u....,...,....

allowed by law. (3)

The adju" ..... nlS rtq"irtd in .uboccLioo (bXI) shall noL apply to Lh.L pon ioo of imeresl e ~ pcnses and COIlS and in!.>/1iible expenSCJ and COSl$ if the c0rporation can wablish Lhat the tnonsac:lion Iivi", rise 10 !he interal •• prnses and COS" or !he intrulgible '""pcMCS and cosu I!t-LWttn the corpor:uion and the II'laLtd "",mher did noc ha,,, .. I principal purpose !he of any A~ La.< Md the II'IaIrd membtr i. noc prima"y ~ in !he a«juisiOOn.

.,"Oidanoe

_,..,.. ship. sale. e.lChan&e. or any other disposition 0( inlanIible propeny. or in !he IilWlCin, ofll'lIll:d ...lilies. If the l1I>UIC1ion Iivin& rise Lo the inleres! expen<t$ and row or ;nlanJible '""pen<t$ and to:SIS. as the case may hc. hal I lubslanlill bus;1\O$lI puJpo$< .nd economic subltanee and conlllins Lenns and condiLioos coolpar-.b1e to a .ionilar ann·, length lJaIIsac:lioo I>c1wttn Unrtl.Led patties. Lhe LraI"'IC, tioo will be presumed 10 noc ba,·c as ils princip<ll purpose W amidantt. subj«l'o ",buml by the Commissioner of the OI:panmenl or Reve"",,:· UIe. I~nl ,

mainlelWlCJe.

InIRIJCmen~

House Bill 211.<"1 2001-1088 1110 rtL...--l, fttrl)OCliwly to laX years btginnin, an.... Dottmber 31. 2000. the alculatioD of a ccrpor1IOOn·s federal income laX ("Ar") dcduC1ion Lo ~ 1999 law...·hile changi",1Ioc basis for calcullilils a multi·,....,., <:orpOI"lIIioa·. !IOII·business inlcresl upc_ from the booIr. val"" of its ISS<'t5 10 IlisLOrical ~. Sa Ai.a. Cotk If .j().. 18-35(-«1) and (-«8)... amrnded by AcL 2001.1 088. Prior to 1hc changes by AcL 99-664. the AT dcdl>Clioo " ... c.lk:ul.iW based on AI.baml income O>"er lOlal income. Tbc 1999 ACI inod"'rtenlly ehanged this caleulaLion and ...-quin'dlhe dedOlC1ion of the cnLill' amounl of FIT paid in eakul'Lina Aloba"", la.<lIble income. A).bama is one of Lhc few Slalei thai allows I full dedUoCLioo f.... FIT paid by bolh individ""ls and ccrpor1ILion •. w Ala. Co.th If 40- 18·1 S{aI(3)o.. :ond ·35(11(2). IS amended by "<"1 20011088. ~ apportionmenL formula;. desi","" 10 ""'leh the ....... nl 01 FIT gcnmolrd by • multi·IUlLe ccrpor1Ilion·s AlabomHouR:e illCO<Pe. ~ dI>nJ;t! fn:Jm boot __ to ~ f.. the ddcrmin:uion of noe-business inIm:st '""pea!C is lqoLtdly 1 .......uw RYen"" r.ois.... Corp<Jme~mlJSl_caku_(~bIc) __ business iInen:s! ""l'"'* based on the """ of their ~ .scu <Her LOtal _ insLtad 0( IUin& the asseu· book ,"aIue. FmaUy. the federal estima&cd laX penalLy rules for corpontions \lICfe adoopled. ucepl LhIl the currenL quaner1y f'ling LhresboId for rorpontioru ,,·ith annual SLaIe income 111< lilIbilily 0( $5.(0) or rrooce (vs. $500 or ,..,;n under fe<lr:r.llrow) "1Ol' II'laintd. .-11« Co.'" f 4O-IS-SO.I(f). as amended by Act 2001-1088

!k_~ BiII S-Thi, bili _14 loa .... confoomed the .m lle·' W penal.y Iymm 10 the flOderal counlerpOM "'hilo .100 impos'''' _ penalue, 01'1 lOX advi,sen 0tId rt1mD poo .... o. s ...110 (hao'ie a fee basnI 01'1 Lhe ...-.oun. of the dieM's W "'VUIJl' ....... ltin' from impkmrati", the pbnni", idea ouommended by the adv ......·, firm. The bill "wid alto 0¥eITiddea. n:1rOOICli.,," Iy for all OJICn lOX ~ars. ,he ... 0011. Adminisu;ui...., Low Di~;sion·. pro-wpaytr ru~ng in USX Corp. v. Alabama Otp ',. of R......~ ..... "'dmin. L Div. Dlr.1. No. F. !J.I.254 (",ugull 13. 1998) (on apptalto MOIIIgomery Counly Cir. a.) thai the SI.le·, ",elhod of calculating ;nlt...,.' 011 tax assessmen'! was incorrea. The ADOR ch ...gu 'n'."'i! JlOI only on ,he tax dt:rlCitncy bill on "'" i".. ~ ..,<nt<'<I until the date • final ~. mrnt is isoued. At !he lui minult. ponioN; of SenaIc B,II j ~_ :tddtd 10 IkJoue 8ill VA£! 2001. 1088. Those prtl'"ioiom limi. COOIinpt fee w plMni", savices and ~w:ly approve the ADOII. ·J method of calcttw,nl intCfei.l on inltr· ese. SN til". Codr H 40-2 ...• 17 .IId -18. as added by 2001·1088. At ,he ~""I' of sev~",1 int .....ted parti ••. OOw<:lle •• the cOIII;n&<nl fee proIiibition .."lIS J\3fTI)Wed to ban these lIn"itoa. and penal. iu Cp"" and <>IMr IIll con ... ll· ...... only if they vloblt ... ICP... Ol<ind;ord$ ~inI conli"It"t fee ""ptI'mtnto. 11_ Bill 4 (Act 2OO1.1089}II ...... Bill 4. " 'hieb aiSoD bc<::ame law ""thnui lhe Oowmor'...&nM ...... re.<tricts ,lot uK of rontolidattd income tax ""umi in Alabam" by .-..quirin, ....h m"mber of 11", fede ...1 .ml, •• ..:! gN\IP .0 have ~xuS w,'h the i'a,e in onlt. to be included in lhe ... 1.ba.Jnl ",,"p. The bill further limil$ the benefi .. of consolidaled filing by f«Iuirina COItIpany.by-company apponionmtnt fX1OrS.IId liw:s the ... 0011. the pov.'n. undor ct"ru.in ci ... u~. eithr. 10 dc.c<)a. solidale .he ""'i", l"OUP or • particul ... mrmber of tloe l"OUP. ... Lkbtioftally.!he Inn...1 liIi", fee for the election ...... doubled and the ci&h.-yea '"fml&N-jacu.~ ~Ie<tion poriocI " .... ntmd· od . 0 .... l'<'ars umleN pormdsion 10 <k<onooIidalc is obIained ti"",," from the ADOR CommWioner or the ComIPWlorItr or

h,,,..,

,,-= . . .

"'ct

InlCmll~.

The fiMI w:rsion or tlw: bill makes Ihese changtS tlfectiYe for be&inninl December 31. 2001. l10e bill .110'" .he 93 consolid:t1..:! &rOUP' pf\'$<ntly filin, ... Iabama contolidal . ed J1:1um, the rialn I<) ""' •• ,1". bIll !he .I<Ction mu", be filed no 1.... than Marob 15.2002 or the duo da.e. ",j.h e. tension" of the I... relum duo 10 ~ mod und<r "'" law prior 10 ."",IId",.,,1 by 11"".. 8ill 4. whichever js l... r. If no ""' .....t .Ic<:,;on ,I tax~...

.f,...

made. ihosc mcmben of the l"OUP with lIC."luS ..·,11 be deemed 10 blow: btgun • ""'" ...... year elee.ion. H _ Bill 5 (A<1200I·l l o:I}-Housc 8ill S ,.....-ally man _ lIMes !he filing of. oompao.itc i ......... laX mum by subcbapccr K enti.ieI ouch ao ~mi1cd liability ~ limi1ed liabil,ry pannmhipl. and 1'miled panncnhipl. called 1imiled liabilily .nti~ ("'1..l..Es~), doUI& ""liness in the $UIr: that haYe n<lIIJnidtn. "",,'nr:rs. for w ~.... lqinni", an... Dcoember J I, 2tXXI. The !aX is calcu~ by multiply,n,!he appIiablc per<:ellla&C (6.S porttI!t for CCIIpOIale ownen.. j pe=nI for """«<JIOI""le <lWJ\ers) .imel thr ow ....·, dislri"",;..., shm of "'" LlE', IIC1 inconw: apportiontdlallocaled I<) Alabama. Due to the rnus confu..ion and IIIminil.ralive niJhtl!l3i"U cn:aled by thi .... ct. as ,,·.n as. faile<! alltmpt in the Spri"l 2002 ""uJar __ ion I<) clarify .... corrccI .. hal """"aod 10 be • dram", error ,n 2OO1-IIQj, on M~ 3. 2002. Coonmis.siontr of R...,nuc Cynthil u............oo iowed helpful IUidance 10 1..l..Es Mod the'r w lII"istn. The Con,miuioner-. Eme-rg.""y Onkr ~Ied an .xtelt$iOll of .ime ,0 IIILLEs thaI did no! elect corpoo-ale .... StaIU'. "lid " 'bic h ha.e """""i.rnl P"'" "" ... or lnembc ... (""lIOIU"eSidcn. "",,·ncn~), umil May 30. 2002 10 file !beir composi .. mum, Form 65C_ " 'ith the ADOR.. If !he mum ..... filed by that dalt. no late mini or !ale paynIf/IlIl penaJtioes _!oJ be aoJl'$$l"d Aa:oRIinI 10 the ... DOR_ basnI on oerII,n emn in the enabling leli'" Ia."",. lhe lLE """. rcquilod 10 make • compOSite JIIIymrnl on ~h.alf of ill """. residt:nl ow ....... by May 3O .......n iflN ""'pus hal"e !,,"YW"'/y """/~ Mobaww ~JIi "",,~d lru pay",,,nts M'i," "'s~c, '" '''~ir SM", of Alahama inc""". As some sol.., •. the "'0011. lIIy,sed Wt once the composite paymrn' was made. the r><>rlJ"eSidenl ow ........ woo hav. p""'iously paid ... Iabama income t.IU on the; • di"ri"""'''' shan: of the en.ily·. 2001 ..... irtoOOl'l">t should pmmfIIIy file ... fund cw",.. "'lln"nIIively. many !aX ad.,stn n:commendcd that ~idenI '""11m mi .... roouidor (ndiblll MY dupl""-"" paY_illS ofWOl "'bbuna illC"OlDC wn api .... tloeir 2002 estimattd income II>. lilbilila. if 4'P .... iMe. The commissi<a:r·'CUidaro:::e. IIthou&h por.iti...,. is basnI on "'" AOOR 1tpI division', quesciol\llble ift~rpn:tation of ... Iabama acts 2001· 1088 Mod 2001-1 lOS. the cnabl'na legislation for !he COItIpooi1e mum pro>'i.lOIIl. 1'lIese lWO atU ~ a con· fu.i", ~ hiSlory. inSoDf.. as Mt200l·llOS (lI.B. 5) ..... passed by the Alabama \egislalun: on Dccem~r 20. 2001. one day prior.o A£! 2001 -1 088 (11.8 . 2). Judaina from ,heir I"<'sP'<" numbers. appears that the.WO..,1S lilly ha,.., bccon",

_'meI

"'<1

,i...,.<1

law in the """"'" 0I'der of their passage. ThaI is. Acl 2001_1105 passt:d the I~gislalu'" totf"", Ac:1 2001·1088. bul 2001-1088 apparemly was signed by the ~mor before 2001·11 05 WoU P"'~ over his vt:IO (i.e .. became law wilhoul hi. signalu",). While no one would des.cribe lhe.<t lwo sLalutes as models of clarily. especi.lly CO .... iderini lheir inlc""la~oruhip. the aulhor$ believe the most "'3S<)IU.bl. in!<rpreLa~"" pennilS LLEs 10 a\/Oid lhe composil. pay"",nl ""lui",,,,,,nt for 2001. He'" is the SLalUtOl)' language of Secti"" 1 of Acl 2001-1 088 thaI,",'. believe sUpportS this inte'P"'Lali()!l:

··Nofl<,j,h.JraNljn8 any ()l~' prrn'iJirm of 111M). i"",lud-

ing ""y la ... ~,""",d '" Ikt fOurth S~cial !k..iQl1 of 2001. if a IlOIIKsidem owner of. subchapter K enli· Iy certifies in writing. undo, pen.lty of perjury. to the enlity. prior to the filing of lhe entilY's irooome w return for the fir.;1 wable yeM boginning in calendar y<:ar 2002, thaI the nonresidenl ownt, has fully paid ilS Alabama incorr.o tax attributable to il' d i,tributive share of the en~'y', IV!'I wahle inromc allocated and 'P'P""Iione<l 10 Alabama with ,tsl""" to il< taxable year ending in 2001 llIe .ntiry shall DOl be ""luired 10 pay 10 Alabama Ilhe composite payment) for the period in question."' (emj>hasis added) ",., ,laluI<'s ",ference 10 lhe """"",idenl owner.;' wriuen "",. ~fication mu.1 relalc to lhe enti,y·. taXable )'<' ... ending in 2001. bul the deadline for filing is the date on which tbe entily's

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3 10

SEPTE M IIB R 2002

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iIV!'''''''' tax "'Iurn for the firsl u,able ~'" beginning in cal.ndar )'<'ar 2002 i. filed. Most .ntilie,· 2002 tax relums will DOl be filed u",iI1003. Accordingly. lhe StalUte indicales lhal """. resident owne",·.worn crnificlles will be dJ..,li,.. if provided 1<> lhe .ntity before April IS. 2003. TIle *period in q"eslion" in Ibe finalli .... must ",fer to the tax.ble y .... ending in 2001. not to 2002 or SUMeqtlCnl ~""'. Seclion 2 of ACI 2001 -1105 ""luires LLEs h.ving one or more nonrl'SidoOI OWners to me. composile return and make a composil< tax pay"",nl on be"'lf of all tbei, nonresidenl ow",," for the first taxable y.ar beginning on or afte, January I. 2001. but not for any OIher taxable Y.M. For 5ubseq"enl lax y.an (i. ... )'<'ars beginning Ilk' the fi"'l tax ycru- whioh begio. on or .rte, I.nuary I. 20(1). lhe filing of a composite relum i. <>pIional un<lc, Sec,ion I of 2001·11 05. Allhough lhe ADOR has not issued. wrillen basis for ilS interpretalion. the ADOR legal division apparenlly belie,..,s thaI Section 1 of Acl 2001-1088 contain. " Iypographical error which c~uses ilS rel ief provisions 10 .ffe<:1 only lax yean beginning in calendar),<,,,, 2002... ther thon 2001 as intended. As a f.lI-bac k argument. the l.gal d ivision indicat«! tIlal they beli.." the Section 7 safe harllor was repealed by the laler enactmenl of AOI 2001·1 105. One $OIlTCe of this belief may be lhe correclion ~ in the failed T..,hoical CQ""""li,,"~ Bill. H.B. 486, " 'hich would have changed the firsl refere""" dalc from '"2002"' 10 ""2001:' had the bill bc<:ome law. Ba~ upon a careful reoding of the StalUle. howe,..,.. and «lIwe""'tion, with off"ial! from the Legislalive Ref<:reoce Service of the Alabama "'gisb. lure. as "'ell as lhe principal authors of lhese provision •. il appean that lhe Ie<:hnical C<>n"C<;t;on waS not ne<:c ... ary to a\/Oid the risk of" double t.... payment for 2001."'" COfreClion only "'ould reduced the unduly long Jl<'riod provided for filill3 the non!eSidenl owner lax payment cenificates. !'or- , ubsequem l"'an. bowever. this ;s not an i>sue sillCe the purponrd drafting error reb!ts only 10 Lax ~ar 2001. For lax y..... 2002 and aft«. the DOnttSidenl ow"'" oe<d ()!Ily r,l. a consenl to Alabama jurisdiction with the LLE. in which case 1M ""'..... , is excluded from lhe compo,ite relum. If. boweve,. the OWlV!" later fails 10 ,..,mil the prtopeT irooome lax due for the y.ar. lhe LLIl will become liable for the taX. afto, being gj,",n 60 day,' notice ond an oppo<tunity 10 coerce lhe recalcilntltl OW"", iOlo paying the tax. Fonuna!ely. ll1e cootingenlliabilily rule was not eJ<l<cnded to S corporali()!ls doing business in lhe sial<. How;~ Bill 7 (loCI 200/·111 Jj-On AuguSl 4. 2000. the Alabama Supreme Coun. in Ex part. Uniroyal Tin! Co. v. Slar~ of Ala. Dtp', of R"",nue. 779 $<). 1(1 227. revmcd the coon of civil appeal. and held tlw the gain on the sale of Uniroyal's partnership inlerest was "",,-bus;ne.<$ i _ . allocable 10 the Slate of its commen:ial domicile. Thi. landmark Slalutory coostruclion case involved the prope' intCrprelalion of the 'tal"S ·'busi"" ... income definition. an i..... of firSt i"'P"'SSion io Alabama. ",., coon of civil appeal. found thaI Uniroyal's gain from lhe 58le of its only asset .• 50 percent ;nlcrest in a ge"" ..1 pannership with D.E GoodriCh. conslituted opponional>le bu,;nc .. income, ",., admini$lra1ive law division of lhe ADOR had previously ",led in favor of the lax payer in. well·ITasoncd opin . ion. concluding lhallbe ADOR regulalion was in conniOl witll tlte slalutOl)' definition of business income found in Alabama', ,'.rsion of the M ulli-'tate Tax Compact.

h.".

Tbt (:QUrt of civil appeaI$ had ",lied be.vHy oollle North Carolina S""",me Court', dttisjoo in PDlaroitf CQFP_~ ~~nnan. YrI S.E.2d 2&4 (N.C. 1998). The Alabama Sup"''''' Court nottd. however. lb3IlIIe North Carolina >taWl. di!f..-..;l from lIIe Alabama ,-ersion in lb3I il ",pla::ed lIIe cri,icaI "and" with "'and/or". signift~anUy broodtning lIIe scope of lIIe defini'ion. The rourt hinted, 1"Io,,'e,«.!ha1 it migltl role diff.... ntly w~", the .tal"", amended by , ubslilu,ing "or" (".. perltaps ..andl"....) in place of "and. Tbt legi.lal"", look the hint. Houso: Sill 7 (Ac, 2001- 1113) expressly ovenules Uniroyal and adopts • mo«;h broader definition of "oosinelS inco"Ieo" p:lllemed after a similar Iowa Stalute_ n..: bill wu made p«l!'pe<1i"" only. f".. tax ~ars begiruting after December 31. 2001. &~ "Alaha"", 0"'" rol .. Unjro)"I; redefine. 'business income,'"' StaU Inc~ 7lu Aim, Feb. 1. 2002. al S.

="1Ofy

NoiHncome Tax Legislation Ilmm 8i//62 (Ae/ 200/-109Q}-lIoose Bill 62 equalizes lhe. utility gross rtteipts W; QO land lines and ~lIul"-lekpho".,.. .ff.."i"" February I. 2002, by ",dll<ing l.nd line r.I •• from 6 .7 percent 10 6 percenl. increasing cell phone rale< from 4 ptreenl to 6 percenl, ar.<! imposing the. 6 percent lax on in,erstate Iongdist;m~ t"lephone call., consiSlenl with atl"asl 35 other Slales. Pan of lhe bill ,,'as l'fiIuired by a r('ttnl COIlgJeS<ion.l "",!>dale. Prlg.1'$ w.", a l'" ir,"'''lkd_ The """nue eslimale on this bill was, and conlin"es 10 be. the '''bjttl of conlinuing debate_

Charles I . Dean. "leaders Warn Aboul Eff..,ts of School Raise," The Bimting/tnm Nt:W., March 15, 2002, al A7. HOWi~ Bill 58 (Ael 200/·11 14/ and H~nri-Dw"''' Wine", ILC v. Alabama AlroIwIi~ B~f"t1g~ Conlrol Bd.. CV N<>. 0/-703·0 fS~pl~mbu 17, 2001}-The Sla", appeal«lllle Monlg<>mery Coonly C ire.il Coon', order finding thaI the disp.mue tll< imp<>Sed on ool-of-&1.", labl. wine v.... u, wine produttd in Alabama vi<>lated ,be C<>mmerce Cla use. Tbt native wi"" laX ettm",ed Alahama wineri .. ,ha' produce rewer than 100,000 gallon. of wine per ~ar from lbe l.ble wine ta. but imp<>Sed a 'pedal fi," cenls per gallon Ill< 0<1 them. Su Ala _ CoJ~ U 28· 6-1 ~11~q. Oul-of-.tal. wineries are taxed .,45 cenl. per liter. ".. appro.i""'lely $1.70 per gallon, f<>r lhe;r prodllCts wId 1<> Alabama wh<>lesalers. Su Ala_ CoJ~ if 2S· 7· 1 ~I seq. 11 was undispuled thaI the native wine WI. was tnaoted 10 assisl AI.bam. wine producm;. Whil. a ppealing Ci",uil Judge SoUy Greenhaw', nlling, lhe. Slale simultaneously l'fiIuested !hal ,he. reverse ber ruling !hal prohibited tbe Stale from con,inuing to collOClthe W; on .ales of 0II1-of.,'a", ""int_ On October 10, 2001. Judge G reenhaw amended ber prior ruling and pennilted tbe Stale to contin ue 1<> assess the. WI.-whik requiring lhe. Sta", to "",row lhe. money untilllle AlabalJll SUl""me Coon decided the ;S>lIC or tile Alabama IrgisJa,u", Stopped in. During the o..,rmixr 2(1(11 Special Session, lhe. legislalure quietly passed [lOll.$<: Bill 58 (AcI 2001·1114), which purport. edly c""",,1S tile di'p .... '" W; 11Oa"""nl of ;n'''ale and OI>,-or·

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>tale willC'lics. n.c Act ... pealed lhe redl>Ced tax

in-l!aIC ~ and !lIcir ,~tmptioo:I from .... 45 (:e1'IlS per IiI .... table wine 1&1. rctroKIi '~ly cft"cctlve 0c10bcr 1.2001. 11_ Bill' (Act 1(}()/-I066}-On June 4 .1he eGnSIilUlionlol ... f........,;lum auIboril'J:<l b)'""'- Bill 8 (Act "2001 - 1(66) ... . II'J'fO"CId b)' • fa>"Of1lblc \'Ole of !be people wahI' .... n' I Rainy DJy Trust FIInd for !be edoc. 1ion budge! 10 bopefully ~ 1lIOIhc. round of pro racion. A number of 0Ibct >tal" have .i mi · lar fund!.. ,,·hkh are __ helpi", I.... m wealher .... _ 1 ec0nomic downlurn. n.c R.... ny DIY Trust Fund will ~ ~"'>1ed by lransferring ""nain surplus ... venues from !be Alabaml TN" Fund. c",atcd by. windfalll3St year from highc .... m.n~.pccled oil.nd &,,1 royally payn .. nlS. Thi. ~p!""" I n",inlllY of M the BATe ·, "permanem pro ralion preven~on pl.n. al1l!ouih .... fi ...1wOldi", ofl .... bill apparently did "'" ....ulely addrw !he conco:m. 01 """'y ~i"i bow !he boo'Towed funds ..·ilI be ... plenished withift!be pmcribed lime and ..·hat JIOttahy would be imposed on !be LegisLature or .... Governor if !hey _Il0l. Su "SItooJd IMA~ Tt1d' F.."" & SiNn,for SIwm· T~"" &MIl''' Rd~." f'l<blic IIjfOiTS ReHflm. C""""II of A~ R~,-.

011

no. 4) (spriftJ; 20(2).

Failure of the Technical C: AI memioned above. Senate BiI1459 and i1> II""... com""n. C~,ions Bill"·). failed 10 P;w I.... Alabama It,illllu,,, in !he fInal <Illy. of !he sprinll Reaular Session. The bill wu prepared 10 add ..... Ih"'" probltml dis""""red 50CHI .flor House Bill 21AJ:I 2001-1088 wu enaclod by .... Io:,isl.tu ... in ~em""'.1'lIose ··glitches" ",hue u. (I) I....

ion, HB 486 (-r«hnical

definilion of "Iatp «If"POI'I1ion·· for t$li"",1c1l i _ tax pu" poses; (b) !he m)"!C1ious lasI-miftule omi ... ion 011 """,,,i.ion for "-aiver of inlctal and penailies reptdi"l !he one-limc NOL ... spension lind ",croacIive limiwions 011 cenain ... Iaced pony tnI\SIIctloN for 200 1; and (e ) !he ... f.........., 10 """irlCllioa 01 .,.ymmt 01 Alabamit """""" w es for "",,",idte-rIt UE O.i.-.....s for 2002. Wield ol200l . The Technical CorncIi<:trI$ Bill would ha,~ o:orm::ced !bose - &1i1ChcJ.- retroactively. N_ AJob<u,v, Cotk 5«tion 4(1..18·80. 1 adopu .Imost \ICrl)a. lim ,he federal e.li"",1ed WI rulcs for corporaIions. 110-.·"""'. !he delinilion 01 , ··I:ora_ «If"POI'I1ionM ... fer!l lO' corpoftl1ion "'"ina $1 million or tI""IOr'" of "taxable income" - w;11!ou1 ",f~ •.

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.nce 10 ,,·he!he-r "luable i. frocral or Alabama taxable iftoome. n.c Toe .....,.1 Corn'><1ioal Bill would add !he word '"(eden]" in !he delinilion 10 cl>rify 1""'10 be C<lNidered a ""IMp' ~Iion.M!he WI.,.yn _ have ... Ie.... $1 million or _ rr. /~'" Wlable income. n.c iIlilill dnIIs ol AcI 2001 · 1088 concained a pn:,.,.;sion. ..tJid,

dooppodOUl 01 tho biD

m~y

1I!he ............... ~

1hc ADOR 10 .nomaocally ""'vc inIeroI ond III)' underpayrno:m penallies for w.p:ttym "Ito " ...... """"'" in .... >'t1rOO<1ivc stapnt.

, ion oIchcir NOL clfT)'O"tfS or !he limill1ioru on .. laced pany ;nc=sc and/or royally dedOOIoN. The wai ...... """,,,ision i, men· rioned in !he In:>mblc of !be Ac1 OOt 1101 in !he body. R«all thaJ. !he NOL and ... Iaced piIfIy p!"O"iOOru did no! pa5I unlil Decembe. 21. 2001 . AU four esl;""'lcd W. paymellCs (if ""y) for ClIIo:ndar yea< 2001 _IJ Iwr--e o/rrady /Itt<! rokuidml and "",ilW by December 15, 2001 for~. No~wwldhavemlurrtat. Uy poid u"'" Abblma in<omr: WI .... ye.-on .... P ....."'Y !hal !hcoe pro.-isiom would acwaJly pus on Dece",b... 21. If. ror e.umpIe. I w.,.yn ..·im 2001 IIUbIc in<omr: (lief"", NOLa) Ioel !be NOt.. do:o:Iut-Uon fOf 2001 as I IUIIh 01 !his IqisbIion. iI$ f:SIi. maood Alabama inc:omc WI liMli~ty would ~ increase. ond ~ on !he sil:e ol!he NOL ond!he WIpl)'CI"" 2001 W!OltIte inc:omc m. .....ad Ituw. b<rttI i/lchmd by !he NOt.. carryover. tho inI=st and penallics could be 1UbiIantiaI. A. discussed above. !he change on I.... IJ..E compOSite "'tum/wi'hholdinll prtI<'I'dure. frOftl LU year ""2002"' '0 ''2(101''. ...,.. e.pcciaJly im"",,""1 10 mllty LLE$ ope .. in Alabama . ince!he AOOR indicaled Ihal w;lhoul lhi! roon:<:lion. lhey bel;""" l/l.al , .... LLE must pay AI.b.t"", income t:U on rhe Alabama disuib.nive share 01 all DOIU"I',ident partnr ... senora]. Iy. 00 or brf"", May 30. 2002 ......."tII If ,It; ItOrI.vJkUnl mo·.... , ptlIJ i, ,.. ..... 11 on Marl H IN" Apri/H. A. ruden may Bleam from iIIe .oov.: diJcUMion. 1.... conli ..... ina need for """""'" in both iIIe Special Educalion Tnm Fund and .... Gmoral Fund rqmlltbly apln may ...... h in ono<hcr sptcial ~ abbou&h n>aQy b>.Isinm and ed""aioI\ leadln .... ailing for .........-cd tfl"or1l1 ""'''''eI'''n . ..... WI ... f"""""",, effor1 lhal woukllikcly include tax i ......ues in some _as while reduci", !he w I:t>.Irdcn on .... wort.I", poor. TItoe author! ccn.ainly hope 1ha1...,h III _ffor1lOO11 will be undot:-nalrn. "'aanJI..1 of lhe ouccomc of lhe gubernalorial race. _

,;n,

Thr OWho'l Jt,wd ,.. rounsd 'a ,hr Hu.iw ... NJaciariOlU' Till Caalilir1fl during ,Ar O«t""", 1(}()1 Sptr/al Stuion. bu, 1M. commenu aprr..ro iu!.viw a .... St>I~ly 'ltti' mo·n.

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312

SEP TIIMB~R

2002

001

........

Shareholder Rights, the Tort of Oppression and Derivative Actions Revisited:

A Time For Mature Development? "

1996. one of ,he undersigned ""rote an anide outlining the <ltvel· QP"",nt of the claim Qf ""... bolde. oppression_ lhe p.ualkl$ 10 derivative 0<600 ••• nd the possible remedie< avail· able roo- .""b. Su Alldrew p, Campbell.

/.iriNa/ing Minority SI"""lwldu RighlS alUi 'he N~", Ton of Opprr"iOfl, ~3 Ala. Law 108 (1992). With the """Iinued Of i"" ..",ing popularity of cI<>Sely·held businesses in this

'''''0, particularly dlOSe

of L.L.C. and .ubchopl" S vw,y, il is lil1\fc (0< aOO1I1er look. Many principle. have noI

~h3IIged

sivifica.mly. BUI50ffie

h"". This anide will examine " '''''ther kgal prir.ciples governing derivative claims and claims of oppression an: in need of malure change lO bring them rnor-o in line wilh prxlicaiilies of the btni"" .. world and to otTer more <:eMainIy 10 bu,j""SS"s. their ;"".slan. 3nd rouMS gnlppling with Il\tse i"u". It i, the hope of the authors to shed light, not

heat. on this s.ill :Idole>cem area of shareholder righ ... and offer possible <olUlionJ fOf posilive devel""llItnl fOf boIh!he aff<ot<d cl~ly·held businc" .r.d majorilY ar.d mioorily shrudlOlders (Shareholder rights in lhe coolexi of pubIk corporalions implkate nullltrQuS 0Iber conside"uioos. including a f",e and <¥n markl. that ""lui",. differenl .nalysis btyond!he 5C<>J>" of thiS mide.) !n doing <0, our guiding philO$<>pby is.o

discard f"",,alistie shibboleths in f.,-or of simple rules lhal make"""", "'"SO in 21s1 cenlnry rommerce,

OJlIII'ession: \V6at is it Today~ Alabama coons have "'" yet fully delined !he parrurt<lers of the daim of mioorily sharthol<k1- ~.;.;.n, Howe.er, the wondng delinitioo distilltd from ~ at\drt$$in8 the daim eDCOm· pas.s.es the ( I ) unil.t<raJ withholding {II' denial by lhe majority shareholder of cer· tain up""wioos ar.d priviles... that. mioorily shartllolclet in a cl~ly·held busincss could ",,,,,,,,ably upeel to rttf!io;e where (2) the minority sharehold· er ha< 00 marl:el to ",II hi. shares al fair marl:el , .. h.. , thus prtjudi<ing .he rights of lhe mioorilY shareholder. 'There are • limi«d numbtr of "peelaliom or privi. kges that :occ<lIl1pany owncrUlip of a mioority interest in a closely.held busi. ncs<. Tho; mosl fu",,",memal of these expectatiom i, the minority shartholder', right to a jusl .hart of corporale gai". in the form of salary. di,ider.d. or Other rnone1aJy btncfilS. s.~ Hun Y. Hun Boiler "",rho Inc_ . 360 So. 2d 327 (Ala. 1978). Often, opprt:SSion i. llItasure(i by rom· paring the btnclits =rived by the ""'p'

ity shareholder to the ql1llJltum of such btncfits he has dismOOted to the minority shareholder to delemtinc whet.het lite minorilY has =ived • proponionate share. Su, ~,8 .• &pa"~ Brow". 562 So. U 485. 493·~ (Ala. 1990), Oppr.-uioo e li.t< if there is a sy ..."",tic discrimina· tioo toward the minori1y shareholder in tIlis ",gard, See ill It 4~_ Qrhe,- expec!alK>ns or privile-gt:s of (IWII. ersItip of. mioority i n = in a c",,"Jy. held busineM that may create a claim of O\l!l=Sion when denied incltode the rights ( I) to pmicipa1e and to ha"c inpul in the OOf!IOOIte affairs, (2) 10 "'lIP the re1um 00 !be in'-estment (".1lich oo;erlaps will> !be rw experutlioo of a ri8J>t to share in prof. its), and. in C<'IUin si luations. (3) to employment. O'Neal and ThomPllOrt pro"';de ~ !be frequently cited laundry list of sq ..... ~ ootltdtniques: Tbe sq.....,ze-rs may ",fuS" to declare dividends; they may drain off.he corpomlion '$ earnings by exorb;tant salaries and boouses to the majorily Ih..-eholderofficen and to their "'lati"'" by high ",ntal agree"",niS fOf ptopeMy the corporati"" leases from Il'llljori1y shareholden, "" by un.-.....on.ble paYnlents under cootrac1, betw""n the COtpOI1UWn and majority s~lders; ""y may deprio;e minorily .hartltolders of c0rporate offices and of employllltnt by the company; they may cau .. !he C(II']Xlr1I'

perna""

lion 10 sell ilS ",SClS., an inadequale pric~ 10 tbc majorily s""~holde1'$ or 10 companies in which lhe n\3jorily an:: inle~Sled; lhey may <><gani..., ........ company in ... hi~h lhe minorily will have fI() inle~". Imnsf.r !he c<>I'J'IIr,,'ion', ....,IS or bu'i...... 10 il. and pemar< lhen dis$Ol"" lhe old cOf1X"".tion: 0.- tbcy may bring ~bool !he merger or COIIsolidalion of lhe c<:>rpOf1Ition under. plan unf.ir 10 lbe minority, Ell , O'Neal & R. Thompson. o 'N~"rs OIIPlY"iOl1 oj Minority S/to,..,/tQ/ders• • 3.02 C!d &1. I99S) (intrmal fOO/note' omined). The diffICully for litigalors and rorpor:Ue lawyers is applying lhe.. standards to lhe "'31 world of d~ly.held bu,i .

nesseS, In our experience. lhere a~ few block ~OO whit. ~.1.5<:S of oppression any· mort; miller.• bey "'" blrnded into ,hade< of gray. COItsi ....... for example. !he majorily .h.~holder of a .ubch'plCr S corporalion who ",f"ses to declm dividends bc<:au<c of a pe",,,i,'ed nttd for addilional ca,h now. Is this ,ufficienl grounds for a finding of """",,,ion? What if tl>< company is pmf"able .nd ils .... t ...<>fIh has been inc~ased? What .boot. majority .h.",holder who. like IlIe majority in Er par" 8"'''-/1, discrimi· nates against minority shareholders in employment and payment of corporat. pmfit<. bul builds !he corporation's nel "''Ol'Ih. hundred- or thousand·fold stICh lhallhe minorily (or lheir child",n) ""ill ""'ogni"" a tremendous gain upon !he ullimal. sale of !he bu.iness1 When does • minority shareholder h..·• a right 10" job if he or she and lhe majorily .h,re·

holder

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tion of wHl; and must lhe majorily ,h"",· holder make up for lhe d ifferent;al in ... lariO$ Ihrough increases in dividends paid to lhe minority sll:mbolder1 The .. are all difficull q""stion" And finally....·hat oflhe e.istcnce of a rnatkel? In BrootJ ", Hill. 111 So 2d.7S9 (AI.,759).!he Alabama Supreme Coun held Ihal a nec ..... ry comJX'1"'nI of oppression w.s lack of a fair markel for tht minority ,hartbolden; 10 ..11 oul. BUI. i, lhere oppression "'"bere a buy·~11 ag"",ment htt...-.." !he ~orporntion and its ,ha",holders creates. pri',,'e markel. albeit for a Ie .. Ihan fair markel ... price (q. boo~ value)' Professional finns and O1htr corporation, frequently u"" ,uch buy/sen agreement< thai e5..n· lially creale a privale market and give lhe minorily $""",I>olde< an OUt in lht

The Alabama State Bar Lawyer Refenal Service can provide you with an excellent means of earning a living. so It Is hard to believe that only three perrent of Alabama attorner.; partldpate In this servl{l:!! l RS wants you to cCll\Slder /-Olnl"g.

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$CJuare with !he doctrines of detennina-

1".

""0'

of a falling OUt 0« disagrftrncnt ",ith the majority 'h....,holder. Difficult as il i, to re""h ""mimy wilh these iss .... ' in real life. ID<»t oppression cases usually invol,·. $e>'eral of the examples of "IOttz, oul li'led by O·Ne.1 and Thompson. where lhe majority shareholder is USing the capi"'l of lhe minorily .hareholder and denying lhe minolily substanlial participation in the cDrpOf1Ition. llIe typical case. hov.-ev.r. <Ioo:s nOt include the .y.ltmatic effort by a majority shareholder to t<>lally "I"ee", OUt the minority sh....,holder throug.h var· ious 1tChniqu.,: i"<lead. lhe majolily. throogh the use ofone or I"'" lechniques. tre.IS the minorily unfairly. pos,ibly to the deuirncnt of the cDrpOf1Ition. A bener """""",h in these "mixed case," is 10 move from I fonding of oppression to a range of COmmon scnse ",,,,,,dies thai balantt ,he inlore,," of ( I) lhe minorily shareholder in fair treatmenl. (2) the majorily shareholder in the rig.ht of COlt· lJOI, aItd (l) the corporation in ,ontinuN profolable exi".nce.

Do Dm'ivative Claims Still ~Iake Sense in CloselvlIeld COI'pomtiolls'! 1be difficulty in al'Plying these itan· <lards 10 real w<)rld busine\$e!S is enhanced by the presenl. wooden distinction between individual oppression daims . gai nst the majority shareholder and derivalive claims pIIrponodly brought upon behalf of the rorpor;Ition .gainSt the majority ,I\:orehold<r, It is DOW ""io"",lic thaI claims of ",rongdoing by the majorily shareholder against the rorpor;Ilion', intcrest. must be broughl derivativoly and 1101 individually by minorily shareholders. Suo ~.g .. Hardy v. Hardy. 507 So. 2d 409 (Ala. 1987): (;alb",mh v. Scolt. 433 So. 2d 454.457 (Ala, 1983): Crun ~ BraJlry C",,,,,,'n •.. 431 So.2d 1226(Ala, 1983). And. conv.rsely. "",,",ssion

daim' .g.in,1 1 majorily Ihareholder must be brought individually by the minority shareholder and 1101 derivalively On behalf oflhe corpo"uion. M~ Ej pan. Bro~·n. 562 So. 2d 11491·92: McDonald v. U.S. Di. CMling & /kv. Co.. 541 So,2d 1064 (Ala. 1989): G".n. 43 I So. 2d at 1119. In • close cDrpOf1llion. Ihis Chines.: ",.11 of(~n "'Presents a diS1inclion wilhoul a diffcre""", In mosl ,ilualions. the condUCt in both sellings is lhe same. and il injures both the rorpor;Ition and the minorily sharehol<l<'llIe clearesl example of when this distinction is without a differe""" is "c0rporate wa~te" by the majority. llIe Supreme COiIn has long <letined c0rporate waste as majority shareholders misusing corpor:t1e .S""'$ for its own private purposes and lI01 fo« their be""fit of the corporalion , Su, •. g.. Brootr. 717 So. 2d al 761; Banks ~ B,.,.mt. 497 So. 2d 460, 464 (AI •. 1986): Fi",m'''.ln'"e'lrntm, & H.di'CQun! Ca. •. W.lIs. 409 So. 2d 134 1. 1342 (Ala. 1981) (upholding jury award on claim of rorpor;It. waste whe", majority lharehol<ler mi,used rorpor;Ite assets and u,urped corporale opponuni· Ii .. ). 'lltc Supreme Coun has held lbal only the cDrpOf1Ition has Slanding 10 " ssell a soch claim. because the injury to a minorily sl\:oreholde. is "; nci<l<ntal"' and "indimf' compared to the injury to the COIpO/'"~lion. &. P~rom v. H~bding. 667 So. 2d 696. 702 (Ala. 1995) (""It is well seulO'<l ,ha, when injuri., $OUght 10 be movere<! by" plaintiff are incidenlal to his or her stalu, a, a "odholde •. Ihe claim is a d<riv'I.1ive one and muS' be broug.hl on behalf o f lhe cDrpOf1Ilion:'): Galbm.lh. 433 So. 2d at 457 ("' Walte of corpor.!tc as .. ts by "",jority $Io(:!,,holderl is primarily an injury 10 the rorpor;Ition itself. llIe injury to minorily .tocl:hold· ers is secondary,"). Th.",f"",. claims mU51 be broughl <lerivatively on behalf of the corporation. &. Brootr. 717 So. 2d at 767 (holding that ". minority share· hol<ler canl101 ""'o'"er on hi, own I><half for. di"",lOT's waste of cDrpOf1lte assets. .ven in the close cDrpOf1llion cont ...··):

Distronks Umiud •. Disc ManufaC1uring. Inc.• 686 So. 2d 11 S4.

1164 (Ala. 1996) ("".'" on Q(hu gfV"'uls) (holding indi"idual claim for misappropri31ion of COTpOI""olt properly dismissed. because " [olnly through a derivalive ac1ion can a stock· holder ... k redress for injury to the cor· JlOr.rion in which he own. ,tOCk··). But in the ,i,u",ion of a closely.held bu.iness where there are two. th=. or foor shareholders. and the m.jority shareholder misappropriales or wastes c0rporate assets. why i'lhe damage 10. minorily ~h .... holder indi"'CI? llIe ""Kli· lional analysis brtaks down when ~ examine how a real cDrpOf1llion opcrate~. In the t}'pical closely.held busi",,<-•. suI>51.nli.1 COTpOI""ole ",ast. by the ntajorily .hareholder will directly <l<prive lhe minorily of her fair share of the profit. B Ihus. blurring tl>< Ii"" I><twttn rorpor;Ilt and indi~idual injury. Foruan'pl •. in Jm~s v. JlInks. 768 So. 2d 356 (Ala, 20(0). lhe undersig""d representod the minority sharehol<ler of a corporalion o"'nO'<l by two brothers. 'lltc majorily shareholder held 57 pereent of sham: his brother. the minorilY shareholder plaintiff. held approximalely 43 po",ent of share•. Su id. at 357, 1be e-.oiden<e ,II ,rial Showed thai the majorily sharehold ., had wasted corporate assets over a period of ye .... wilhou, the kDOWledge of his brother by paying himself . ,,:essi,'. salaries and boouse, and by providing himself and OIhe. family "",mbers bene· fot. th" he deniM his brother, Su id. While there ""as "" ql/eStion that the wasting of corporale a""'15 injured the corp:)ralion. lhe evide""e lhowed thai. as • re<ull of the majorily shareholde,·. exc.sses. the minority shareholder had m.i~ less than 2(1 pertenl of the ",'.,. all profi15 of the cDrpOf1llion (aft., salaries ~re added back). In OIher woro" nOl only had ,he m.joli,y sha"" holde,'s ""lion, injured lhe corporalion. bul lhe minorily had becn OJIrressed by being denied his juS! shan! of corporale gains. Berau", il ".,,, clear lbat the injury 10 lhe minorily sharehol<ler in ;IIm.s ..... direcl and th.tlhe corporation had been injure<! as. re,ull of the same conducI. the minorily shareholder filed both. derivat;"e and an individual claim

''''''LS

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for oppression S~~ id. WIlilo the SIIpreme coon nphtld the jury aw>rd to the minority shareholder indi"iduaUy du<: !o lhe sp«:ial circumSlances of the case, itl\Q!ed !ha! the claims we", acu!lIlIy deri~ali'o""d OO! individual claims of ~i on. Su id, at 3~8. Ex part~ 8m..'n, S62 So,ld 4l!.'i (Ala.I990), funhe, demonmates the con· fusion be!w« n. den,.,u; .... claim of "'OSIe and an <>pprU$ive denial of. mioorily's share of ;nco",e, In B"",-n, the coun hekl !hal lhe m.jori!y', payment of excessive salaries to controlling shareholders and theft of corporate opportuni_ !y, among OIhe, thing., conSlituted evi dence of oppr-t.sion_Su id. ot 493·94. T1Iose same facts supponed the coun's earlier fonding of corpora!. was!~ by the majority. Me id.• t 487·91. Th u,. failu", to provide c:orpo<ruo opponunit;es !o the c:orpo<ruion can, in addi~on to injuring

the corpora!ion. dittttly injun: • mioority .ha",holde, by denying !he minority of the oxp«:lation to tttei'-e a ju.! share of corporate gains and to panicipate fully in manage"",nt In sum. !he same facts e"" give ri~ to ei!he, a deri""tive or an oppr-tssion daim, particularly ,,'hen they involve fraudulem roncealment such as """,ting corporate opflOI1u ni!ie•. ThUs. in the clnsely.held business iClling. whether the wrongful acts by a major. i,y shareholder "",nds as a deri>':ltive claim or one of ~ c"" depend lOOn: on !he craftiness of the minori!y's MlOrnOy in the drafting and presemment of claim<; as <lJIPOSed to""y n:al f"",ua] ditTo",nce. lnlIOIOrS .. well .. COUIt$ and juries desefvo lOOn: =tainty than a ~maluic faul' Ii"" between deri,1Ili .... and ~5lon actions. FUJthormo<e, for a number of reasons. the distiJ>ction ha$ little viability in • closely·held bu,iness.

Firs'. mOM closely·held bus;neoses have few silan:hokl<n and are oper.lted nIOn: like a partnership than a c:orpo<ruion. Me Gallmath. 433 So. ld at 457 ("Whon shan:boIders $tTY<! on the board of dittt· !on and appoint thon""l ..... as o/fl«rs, the enteTpriso acquires many of the attributes of. partnership or scI< propriOlO<"Ship and ceases to fit neatly into the cI ..... ieal ~ ... to scheme,") (citing I O'Neal. CI{)S~ Carporotions, .. 1.07. 1.10. and 1.12 (ld ed. 1971 I). Thn .. as • J'r'J<:I;oal mat'O,. designa!ing a claim "derivat;,,,";s. dis· ,i"",ion without a dilference. Convers<:ly, the corpora!ion, DOt JUSt the majority shareholders, ha$ a substanli.l.take in the OUlCOme of an opprt5Sion case. E.en though in 'heory. a claim of oppression i. a dum brought by the mioori!y shareholde, againilthe majority shareookler(.) for breach of fiduciary duty. the n:rM«Iies impooW for oppre"

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sive conduc, can dr.lma'ic~lIy ~!T""'!h< ~xi"t""~ of !he rorp<>r.I'ioo. In cases like Fulwn •. Cal/allOn. 621 So. 2d 12H (Ala. 1993). ,",'here III< majOO'Y"s cond"", is ·"illegal. oppre.,ive. <>r fraudulenl:' a coun may O<dor ,II< liquida,ioo <>r diss<>lu,ioo of!he CQrl'o.mioo. Su AI•. Code . I 0-2B-14.:IO (2) (Ii). Likewise. a majority sb.>reholder guilty of OJIII"'Mioo moy be ",mov«I from coo,rot Su Fullon. 621 So.2d at 12~.lbe CO<pOratOon clearly has an in,e",st in this remedy, particularly if ,lI< majOOty has operated !he company in a prOfi(.(J.ble .... nner.• pan from it. uan'grt.,ioo. Additionally. a majority shareholder may ad,'atICC !he "'''''' of tht CO'l:.:;,• ..,ioo for .nomey·, f.... to defend himself again" claim. of corpon1" oppn:s.sioo. Su Ala. Code ' 10-28_8.51. Accordingly. !he C<lfJW>ratioo'. imerests ..., not limitM to a deri'mi"e aclion broogh' on its behalf. btl( extend to an individual oppn:s.sion claim broollJlt by. mioori,y sh"",holder. Given the di", .. trOUS .!Toc" many of til< remedies may have on the ¥iability of the co.por;"ion '" • going CO/ICem. the COUIU should take in,o accoun, ,II< corponuion's in",,,,,ts at tht ",.nedie•• tage . .. parate and .pan from the sh=holders. One oflhe in ttr_ osting q.... 'ioo. ,he .upre me coon has no! y<l fa<<d i, whe!he. "'JW1O,e counsel should be .ppointed by thecoon in !he form of a Iluaroian to represen' the inter_ e,;l$ of the corporati"" in an oppression stalle, ""'ion. particularly,,, tht relt.. A third re.""" that the distinction main· tains li(tle .iabili,y in til< closely-held business i,!hat the demand requirenlCn'. which i, a legilimate prtrequisi'" to" deriva,ive claim in a public company. i< no Iong...-" reali.tic requirement in a dou:ly.lI<ld busi ... ss. In a public company wll<re manage"",n, by a board of dirr>::tOtf; i•.~~ed from ",",'nersltip of capital. !he dtmand a!Tord, the board or an independent committee an opportuni,y to inves,iga'" allrgM w"""dolnll and to redress i, prior to in'<1"V<:ntion by coun< int" rorp<>r.I'" affairs. Sa ~~rolly Kawfinw' ~ K"n<m Om &, EI«. Co.. 634 F. SUW. 1573. 1577-79 (D. Kan. 1986). In the ciQs"ly·held busi ...... ,II< majority ",,,,,lIy i< or control. the board. It will be

"Ii.,

• ~ case wbere ,he detnand i. no! fmile in a closely.beld bu.;ne .. beca"se ( I) tht romrolling sharebokler i< almost always in ro.Hrol of !he board. and (2) tht in"'r_ ests of !he CQrltrolling shareholder wiU inevitably be alle8M to he adver>e to those of tht CO<pOrati"" and !he mioori,y shareholder, A number of case. h.ave ttSl<d the primary de",mlination of wll<!her a demand is futile. and !he cOUIU ha"e foond the futility requirr:nICnt easily even with a specificity pleading standard rt'<jui~ under Rui<: 23.1 of the AU.8A."" RUU'S OF Ctvn.1'RocEou!w. Su ) OJIU'S ~ )o"'u. 768 So. 2d 360: t.·lgin ~ Alfa Ca<p.. 598 So. 2d 807 (AI .. 1992); SMII(}ft ~ TI",mps<JIi. 544 So. 2d 345 (Ala. 1989); "-",uk"" Lf~ 1M CO. " PoM'~J/. 8(1 So. 2d 487 (Ala. 1954). Finally. the basic argumen, for disregarding the dMiva,ivdopprr:slion distinction is !hat it is uncertain and deprives shareholde", in I closely.held rosine$! <>f a clear undtTslandinll of their rillJlts and du,ies. A brillJlt line Ii" of duties and rights defirung the pany', rr:lationship without regard to whethertll< claim is tht CO<pOra,ioo's or the ~ssed sh=bolder's is cenainly p"'frrable . Elimi ...ting til< diSliooion bet,",'""n corpora'" and individual claims would also allow for. more practical range of remedies. that \like imo account the in",,,,,ts of the ~. ]lOf'3tion and in"'51""'.

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The ~laddox Standal'll: AGuide COl' the Futul'e? "The Slaning point for an alterM,ive "",dy"s of conduci i. Justice HullJl Matltlox·. di~n1ing opinions in Sml/M'orlh •. "-",SiMh. 709 So. 2d 458. 469-70 (Ala. 1997).• nd Brooks. ~ IWI, 717 So. 2d 759. 768·71 (Ala. 1998). In l006e opinions. Justice Maddox ad\lOC3'· ed a di,rr:gard of !he deriva,ivddi=, injury approach in favor of a ,tric, aWliea,ioo of pannership principle. in the

cloisely·held bu,ine$! setting. While the COUIU continuously have defined tht f""""w(lf\;. of!he ~ioo claim IS arlsing from the parulCTShip anribu,es of closely-held eorpora'ions. _. ~.g.. Oolb",ath. 433 So, 2d at 457. Ju"ice Maddox ttX>k!he analy';. one step fur_ thtr. To Justice Maddox. defining ,he cl.im at ,II< f""" end all derivative or individual w", no! necessary or desirable. because the pani •• · rel .. i""ship and relative rillJlts and expeclations are most akin '" those orr .. OO in pannership con!raC1S: By con,idtrirrg the clai ..... r-.ised in ,his ease from ,hat perspective. one may untl/:rstand !he crea,ion of the rorp<>r.I' lion all the c<cation of '"tho long-"'"" relational oontrac, which contemplates thl! each participant will conhioo,e capi· tal or sen";oes and then pro.ot<:ds will be equitllbly . hare<I.H n. The artid .. of incorpora,;oo embody ,II< contract establi,hing the OOTpOra,ion. and tha, con!JaCI governs the dUlit. and rr:.sponsibilitie. of til< sl1arebolders. di=!OrS. and offloers. It may be. bowev· cr. tha, ,II< wri'ten conlrac, 00." no! CQ/I. tain an e'plioit ltatement of all tht par_ ,ies' understanding, bul it is implici,!ha, "partie' ,",'ho form clos.ely_lI<ld finn, intend an equitable sb.>re of return.:' ... My view of the natum <>f the cause: of act;oo for minori,y ,harr:holde. '"$quceze oIl'" i. based 00 ,he lheory of an implici, agtttmen, to share 111< proceeds from corporate ac1.lVl~" ... I believe a vi<>lation of du,y to fairly i< a breach of the panies' e. plieil or implici, agrr:e"",n, and that the 'pprOpril!e remedy for • brooch of tha, agtttn .. n, i< one tha, would prot«, ,he rea"""able expecta_ ,ion, of the sharebolders, 709 So. 2d I! 469·70 (quot ing J .A.C. Hetberington. fhJining 'h~ ScOrH of COil/roiling SMnlwMuJ FilJ.u:i<lry H~jpo,,",i/;>i/j.icj. 22 Wal e Forest I... Rev. 9.22 (1987) (fOO!note. omitted». In Broolu. Ju.tice Maddox wen, fur· ther. opining tha,. daim for corporate ... a.te should be vitwcd in til< Closely·

oc,

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bold conleXl as a qllt'51ior1 of a brexb or eo><ef\I.I1lS ooW«1l partners: 'Jl>t diS\incliorl 1 ICe kl" -",,n ~Iostly. ""ld ro<pOnIliOllS and ... i<\tly.""ld corp<>nolion. is malui.IIO my view on !he ap~ale ~solulioo in Ihi. ca.«. 1 bcli."e Ihal!he ,,,,,,,,, appro~,ue ",a~ of approachillj a di~I)\"e k''''''''" shan::hoIde .. ~ c1oscIy .... 1d ro<pOnIlion, is 10 con,k\tr ii, as diocuosed """"". as • dis· puIC over ,''' brueh of uplicil or implicil ~mtnlS of the ~hokkn_ Funbo-r, 1 klieve thai lhis Ihoory ;. applicable in usn "ohm: the atU5C of lCliorI mill" uadilionally k 1K~r.:d as a dtri",,'"'' claim. Yt'hHe claim< in""I\., c1oscIy· ...1d corpont,ioM. I klieve il i. more efflCien, and I oolCr ~l1caion of lhe lOOC 'lIte of Ilfli.. 1IDOIlj\ """n<I'$~ in $ll<h a bu.iness to ,~ ., ,uch daims IS claim. of squ«,.t ou •. 717 So. 2d . II 769·70.

u..n>tJ.ll1OO ~ • clostly· ...1d !)osi. tbc majority and minorilY ~hoIderi ha"e C1Taltd a package of OO\'enan15 c~.ltllj a ",Iation"'ip betw«n ,."h lhe COfJIOr.IliOll and !he SI .. e of AI.bam •• whi"b <rtat .. and ~gulal'" ,''' corporal. 'ntily and impos· .. ""blic policy 011 it. In ........ inll righlS. dutiu and "'n-..dies arl,inll f""" lIti. ",I.,ion,hip. one muS' ~idc-r!he inlCf' eSI. of 111 fOIl' parties. In dtllninl rAplic:it ...... u i implic:i. oo"un Ibesc ,.-.ies.. one can """,,I~te • se. of l\l«.r", briaN ·li"" rules ba$<'<I Upoll prior cases and .... " ••n thai IO"ftD !he ckuly·""1d botJ,neu. These rules. ",illt OlICillary ri&IM' and <Min. ~2JI bt bn:Iktn oo...'n into IWOClIep." (I ) controlli", ~Iloklu misconduct and (2) rortuollillj ~Iloldc-r mi,manalle' menl. Reviewin, polonlial claim. in !he conlCOI of I few brijlll1·li no rul." as 0JIII00Cd 10' deri""liv. """,,u. illdividu31 diSlinctiOll. offc .. ilW..'on., cooru..IId jurir, I"""'r ~n.inty in ,''' Of't"uion< of their bu.lnw. Wil~ mptCt lO the lirst catepy. ~hoIder miocondlo:t. tbc ",larioMhip ......., the fow ,.-.iots "",alOS !he fol· Iowi", dultG: "'$$ ~aL,

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l. A ....JOrity "'-1loIdtr mUSt rnanogc the corpontion for the ...... fil of all !JwI:hoIde... IS ~ 10 simply for 1he btn<lit of majori.y ~boId. cr. Untler Ihi. nile. 1he majority .hall not eng.ge in corporate """e. iJIClud· inil c~c~lSi,c $IIlari.. or milappropri· aliOll corporate "PJIOr1unit;'., wh;'h inju", both t"" corpontion and the miQ(lt"ily ....... boldc-r.

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bolder J't1«1inp 011 a ~&ular buis. 10 consult wilh!he minorily. and 10 allow the miQ(lt"i.y IlwtllOlder !he righllo CUI hi. VOle;n IllI rna"." involvina the cort>(WI)'. Thi' ""Iu;remenl1ll.., rtCOpti..., tbc ri"" of the majority control within lheoe limits.

2. A ....jorily ~1toIder mtlSl pay to minonly Iohartllokitrs Ihc-ir propor. I......... ~ or lai ... on profilS. con· oidmDI Waries. bonusn and othtr benefits. tM also livinl due credil to !he "'laIi ..... contribuliorl of each """"'" hoIde.1O day-tO--d:ly ope,,"lion 01 !he corporal""' .

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3. 'Jl>t majori.y ~bolder must allow minorilY ~h~holde", to freely panic· ip>l. in affai .. of l11e rorpor3.lion. Thi, includu ,''' duty 10 hold share·

'Jl>t majoruy $hIftbo1der bu • duly lO f";fly and honcolIy dilCku all

ruonh and IinlllCill jnformalioo concani"l tbc COIIlfW'Y 10 miQ(lt"iIy oJwelloldtrl. This mcompasscs the righl ofin.pocIion rule Ii,~n 10 minorily iJlmboldtrl by .talUIe, «< All. Code' 10-2b-16.02 (1980). and Iffinn.,hat lit" ri£hl o f a minori'Y .""",holde. ilKludt.!he righl of .,,~ .. 10 an corporale records for any

proper purpose. 5. 'Jl>t majority lhan:hoider hu tbc du.y not KI

pc-rform In)" ICI or omission

",ilb 1he In'''nllO~;'''' the mar· kel val ... of $lOCk ...,1It 1he I""J'<"M' of pric:i~1 it Leu than f~ir marUt ......... Tho, polICy. leI "'" AUbamI Code '10-2b-8.32. ""'...... oepanle ......• . 01')' opprHsiorl claim under AWtama Ilw. SH 8roob,117 So. 2d at 764; Ful,,,,,, 621 So. 2d at 1245--46.

'Jl>t occond c.,caory of "'~ concern· ing rontrolling ~bolder marlallemenl of , ... rorporation. is codifi«l ., AJab.1ma Code '10-2B·g.lO, COIItroI~IIj sharehokkn in I ~ku ~tion ~ SIaIutOoily rtquiftd to "'"""'" tbc o:or-porari(tn in lo::>d f..IIt, in I n'WII'''' thty ",asonably believe in 1he bnt in,.,..".., of the rorpora. lion.. .-.d 1he care of .. Ofdtinary pru.

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in IIi ... position WIder simi· Iar cimllllSlallCn. SN' L0-2B·8..3O(a) ( I )--(3): «< (II", 1I0k00M" For-syIM, 11 3 So. 516 (Ala. 1921). Under 1Iti. duty. !he minorilY ,;hart-Iloklm in !he rorpora. lion 11.:0. . . right to COII1I""ml. llood faith manllgen .. nl of the co<pofluiOll. H",,'e".,., this judllffilln' nole protects a coolrollinll ~hol •• rrom liabilily if

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he has e""",ised good failh and eJ<e",ised QrdillM)l prud/:nte. Claim. of mi. man "g<:"",nl will be much"""" difficuit 10 prove lhan claims of mi5OOlldUC1. 1llt ad''3nl.gc 10 Ihis approach i'lhal. 0"" • • .\h~bol""r m"ke~" daim of miscondOCI or mi,manag.m.n~ Ihc .nalysi. m,,,"eS 10 Ihc merits of Ihe claim •. mther than engaging in. burdensome analysis of wll<lh<r lhe claims ~ .... riv:llive or illdividual claims of oppressiOll . or both. If the f=fir.der finds in favor of lhe minorily ""~boldN OIl Ihc claim. lhe romedies imposed by lhe COIIrI shOll ld 'hrn take inlo 3tt()Unt/>olh lhe righls and interoslS of Ihe corp""tliOll alld of lhe minorily oharehoJder. Thi. .pproa<h conlemplate, diff.n'nl ",medies that can both proI..,l1ht corpontlion and fulfill the expeclalions of Ihe minorily shareholder.

proprialed by the majority. In order 10 lhe c"'l"""tion', inlere$l. an appropriate addition.1 ",medy mighl be an award Ihe C01pOI1IliOll of bal.nte of asselS mi .. ppropriattd by the majorily shareholder ("'I"=n1ing ,he majorily ,h...,bolder. pe"'onlag. of the misapproprialed . ,selS) and. pcm.p,. Ihe renlOV'~1 of lhe majority sh.reholder. as in f'ullOll v. Callahan. 1llt coon.< muS! be careful. ho,,'''''.'. f",me a remedy th.t JI"OI<'C" lhe ongoing <>pcmtion. of the SUCttssful corporation. For example. the most frequent "",n";o enrounteml by Ihc undcnignod i. a suc· cessful corporation ,,'hen: the majority ,harehol<lcr Iw; ".cc<:ssfully built. corpo.,,,iOll. IlI<reby subst:>llIial1y i""roasing the minority'$ int"~St and corpOrnte yields, but .• t the ""lie time, ha, abu~ hi. position by t:>king corporale oppot1unil ie. for himsclf Of hi. fa",ily. while denying thost OppOrtunities l(> the minor_ ily. In such cases. the int~re.'" oflhe cor_ porat;on may be al odds wilh th>! of lhe minority sIIarebokler, In thi. g"'y case. Ihe appropri.te ",medy may be a ,-trdict in favor of III< millOlily sltareholder for his proportionate ohare of Ihc "ill_got'cn_ 8.im" the majority made from the theft of corporate opporIunitie., and the corp<)mtion may be enti!led 10 a con'''''''ti,'. Inlst over the c"'l"""tc oppot1unity as prospc<';ve relief. While. minority r.ltartbol<lcr may <ttk the ",,,,,,,,.1 of the majorily sIIarcholder. the more appropri.te remedy ,hat bal.nce. the illlerest' of the <"'l""".ion may be ". appoint. new and intkpcndent board of directors. FIIIIOIl v. Callahan. l(> ,upcrvise a majori· ty sIIareholder wbo has otherwise pro,~

proI"""

Flexible But Principled Sliding Scal e AJlPl'oach to Remedies Upon • finding of. breach of 1ht above dulies. Ihe lri.l COIIrI shOllld apply appropriate remedies 10 prolec, the corporation and redross the eJ<pc<lalion, of Ihe minorily sIlarebo1der. For ex.mple. in Ihc Jnm ~s ca>c. "'here ,he m.jorily ,h~bolder WltSltd millions of dollars of ItSsel.<. an appropria'e remedy for the minorily sh.rebolder was an award of hi. proponion3!e sllrut of ,lie 'IlIQUnt misap-

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to be a compete", manager. 1llt ",.Iity is that. in many closely-held bu,;""..... scpa!31ing the corporation from the <'pe_ rience and skill' of Ihe majority sIIareholder or. worse. permanently """""ing him. ollim'lely ....'ould injure OO1h the corporntion', and Ihc minorily shareholdd, Inl<"',ts, Thu •. the int.,wntion of an indepcndenl board. pernaI"' .ns ...... "'ble to lhe COlIn for somt' pcriod of years under a continuing jurisdiction wilh represenla_ liOll of lhe minorily's inlereslS. may be an appropri3te middle groolld_ Thi. I'oooid allow for !he continued successful management of the corp",,"ion. but p<ot<:<:t the corponttion.nd thr minority sII~_ holder from fut"'" obu ..s by ","""ing the lemptotion from III< majority shareholder to enriCh himself. At the ad,.. nt of the 21st centu!),. in the post-Enron ....urld. corporate governance is not a black and ",hite issue, It produces many shade. of gmy_ Wilh this comple,i_ ty. we shOllld ""'k • si mple .. t of rules of behavior lhal go'.. rn sIIarehol<lcr rolation· ships in closely-held busi""SS05 As Justice M>dtlox mt'nlioneil. thi. goal would be adv:lr.ced by di.reganlinllthc <lcriv:lliw:ldirttt diohotomy in favor of bright line rules for conduct.long with the .pplication of l1exible remedi .. lhat t3ke inlo ""~ount the inl,,",SIS of Ihe 00<_ pora~on and its shareholders. OIl1<rwi ... COlIn.< alld in"esrors will conlin ... 10 be gO'o'tmcd by hny and ,'ague "'<Iuire,,,,,nlS thai offer Hule guidance and are subject 10 v:lrying interpretation as 10 whelhcr Ihcy rut derivati...., in rullu'" or individual. W. nectl cenainty and simplicily_ Justice M>dtlox has SCI \IS upon that"""', and should follow it. •

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Reinstat8mei.b • The Sulft"'" CIIIIII 01 Aloban ..... ~ an order ~ lipan the <k<isiooo 0( Panel VI 0( the DitcipIJnary I:IoanI 0( the Alabama Swe Bar rtilUW_ ~ ",,"nix City M"",,">, Ilalp/l Mlrluorl kalfonl.1O the pnoctice 0I1a ... in the State 01 AI ...... drective May I~. 2002. [ASB Ptt. No, 02-01 .[

• The Sulftn.. Coun of Alabama ~nltred an onltr rtiMt.tina N..... Orleans Mlomey IkrMY u..pold SI.... U"" to lhe pt;ICtlce of I. ... in the SI8te of

AlablomlO effective May 17. 2002. Thi, onltr "''liS I»$ed Uponlhe dedsloo of Par\(1 V of the Disciplinary Board. Strau......, Ift,ioosly su,pend_ ed for noncompli.""" ... ilh CLI! requiremenlll. IASB Pt:1. No. Ol4lJ

Disba•• 'l8I.b • On April 1'.1, 2002. the Alabama S""",,,.. CIIIIII entered ... ordtr odoptinJ the dcclsion 0( the Disciplinary BoInI. f'lInol V. 10 disbar Thsaloosa '1100wy k Ott. SII.)'.... k oLo.Dd from the pr,IO'Utt of law. effective Febnwy 20. 2002. Roland ~ a corucnl to diw..m..nI ... FcbnIary 12. 2002. The disbarmtnt WlI5 the .uult 0( Roland', violal,nlthe Alabama Rules 0( !\ofesskwlal Cond\ICI in 20 1epOnote disciplinary CQQ.IASB DOl- '.IS-l ~A). 96I.:I(A). 96-1'.IS(A). 96-TI:I(A). 96-312(A). 96117(A). 96-l44(A). 96-:I64(A). 96-J6S(A). 9637)(A): '.I7.(l9(A). '.I7·21 (A). '.I7·26(A). '.I7-21(AI. '.I7-i9(A). 91· 7 1(A). 9M4(A). '.I7· I66(A). 97167(A). and '.I7-222(A)] Mobile lIlOrl1t)' .·rank O,,"pe' Cunni",ham COIII<1IIed to disbarmtnl. and 011 1u"l' 10, 2002. f'lInol V 01 tlte Disciplinary Board 0( the Alabama SLate Bar. .nl.~ In ordtr lICCCpIinl the con .. nl to disbarment and onIering WI Cunnin""'" be di.t>vred from the pnocli« oflaw in the SlIle of AlaNmlI. The board fUr1hcr ordc~ thll !he disbarment be rttroaC1ive 10 J"ly 3 1. 1'.196, \be effective dale of Cunningham's in"rim ,uspension from the practice of la .... In ASB 9~ -238(A). formal char&~' .... '" fil...t on 322

SliPTIlMB liM 2002

April 10. 199(\ aile&i"l thai Cu""inJIwn misapproprilled S7,SOO from hiH .ienl. the Maryland IJI$~ Group. Cunni8JlWn h.t bttn ...wned 10 coiled • .wbroption claim. lie roUecled $1.500 011 behalf 01 the client. but did 00. remit lilt clie"f, JIure 01 the funds to the ditnL Ctn'UllnJlwn rtfuocd to communicate ""ith the clienl rqllrdinllhe INlier. When the client fil...t a wit~ lhe AI.NmIi SLale Bar. Cunningham rtfUsN to I"l$pond 10 rtlltal. ed requests fill" information from the Alabama State Bar Ill" \be local srie"1IICe commillee of the Mobile Bar A...,.;.t;on. n...... Ch"'lld ...ere sc:fVCd on

,ri.".......,

CunninghamonA""II~. 1996. On Ill" about July 18. 199(\, the

00« of Or .... noJ Counsel of the AI.bama State Bar filed. pe!;tioo fill" interim sw.peru.ion. The petilion "'"as ""-<ed. in pan. on the allegations contained in ASB 9~·238(A) and ... additional compLaint filed in ASB 96-047{A) oJlesl"i that .."bile Cunningham "'"as rept'Sl:ntillll clienl in a criminal maner. lit ~ proptrly bolon"", to the clienl from United States ClI$Iocm that h.t ben seized from the client at the ti .... oIhi • ...mI, Upon ~pt oJ the propeny. Cunnilljbam did 00. m...-n il 10 the c1io:nt~ the clirnl ', ~ dcematds r." mum 0( the proprny. The petibOn abo oIlqed that during the ill\lCSliplim 0( both ooatpIainu. OmniItjJham did DOl respond 10 requeou. for infDmll' boa fmm a disdplinaly alllhonlY or OItIcmo'isc: cooper"'" ",itb the u......;pIiofts. On July J I. 1996. the Disciplinary Commiuion ... tered • rauaini"l onIer intcrimly suspendi", Conn"",,"", fmm the ~ 0( ..... in the Swr 01 AlOma dfective that dale.. IASB ..... '.IS-238(A) and 96-41(A)J

Suspens;ons - MOI1c.gornc:ry 0II(Irr.ey Sit. Cra"f....-d. Jr. ".. ..,m· manly suspmcIcd fmm the practice 0( law in the State of Alabama pur.,•••u to Itule 2O(a). Al4bamI ltulcs oJ Disciplirwy P'rooedure. b)' onIer of the Dioeipliowy Commiss.ion 01 the Alabama Stal. Bar effective July 2. 2002. The onIer of the Disciplinary Commi s.siooo "'IS l:cIIlIed 011 • pelitioo filed by the Olfcte of Orncral COW'IStI evidencing mal Crawford hod failed 10 respond to ""l""1lI for infornl:lUon from. dioeiplinary

authority durilll\ the ootIllle of a discipli. II.1/}' inv=igatioo [Rule 2O(a); Pel. No.

"'''''

Birmingham allomey ' 'au l A",hle Phillips submitted a conditional guilty ploa on May l. 2002 to tile following complainLS; Phillips pled guilty 10 chru"g~ III of the fOffilllI charges filed against him. On July 1. 1999. Phillips disburstd ~tk""'nt~' to a ciient. David Arnold. Phillips ~ived 25 percent of the gross ~t1~ml:nt. On or .boot August 24. 1999. Phillips ""'cived a second check in the """",nt of $1.749. in connectiOO with Arnold's selll ... ml:nl. Although this check was made payable to bo!h Arnold and Phillips. Phillips c~ Arnold's naml: as ~II a.< his Own and convened the pr0ceed, to hi' own use. Phillips pled ,uilty to violating Rule 1.I5(b) [safe. I:ttping ~f1Y] of the Alabama Rules of Professional Condoct. All Dlhe, cha<ges in this matter were dis· miW-d. (ASB No. 00-66(A)( Phillips pl!:d gui lly violation of Rule 8.4(g) of the Alabama Rules of Professional Condoct. arising out of an insuffiCient fuods check Phillips issued to hi. cli~nt. Beverly Palml:r. Phillips received a paYml:nt on behalf of his chent in tile aJOOUnt of$2.]22. Phillips did oot "",all if the paYml:nt was in cash. Phillips wroo: Palmer a check from his personal account. The check hi s bank. Phillips pled did not guilty to violating Rule 8.4(8) (m;,· conduct] of the Alabama Rul~s of Professional Condoct. All other mat· ters w.,." dismissed. Phinips paid Palmer the 'um of$2,122. [ASB No. OI·J3l(A)( Phillips will be suspended from the practice of law in the State of Alabama for. period of91 days; the imposition of the suspension shall be abated pending Phillips'. !>Uttessful comple· tion of. two-year probationary period. Conditions of Philhps's probation .tate that he shall noI violate any Rule of Professional CondLlCl during the two years. Phillips will ",main active in the Alabama State Bar LaWYCI"$ Assi s~ Program under the direct ,upervi.ion of iLS director.

'0 .

d""

• Gadsden attorney John .::",,·ar d Cunningham was interimly su'ptnd .

<d from the praoc1ice of law in the Stat"

of Alabama JKll"$uant to Rule 20(.). Alabama Rules ofo;sciplinary Proccdu,.". by order of the o; sciplinary CommissiOl! of the Alabama State Bar dated May 21. 200".! The Disciplinary CommissiOl! found that Cunningham'S continued practice of law is causing or is like ly 10 causc immediate and seri· ou. injury to his ciienLS or to the public. [Rule 20(.): Pet . No. 02-a7]

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Assi~tance

PrO?ram Are you w~chtng ,omeo~e you care

a~'eJf-d e<!ruwng

becau,e I'ormrr Birmin,ham anomey J~,...,. I)onald Hughes ""as su.pended from the practice of law in the St3te of Alabama for. period of one year. tfr"",i~e May 16, 2002. by order of the Alabama Supreme Coon . The supreme coon "nt~red itS onIer based upOn the decision of the Disciplinary Board of the Alabama Slate Bar. Hughes en"rrd. <;orIditional guilty plea to engaging in conduc, involving fraod. dishonesty. deceit or mi .... pre. sentation in violation of Rule 8_4(c). Alabama Rules of Professional CondUCt. The Di s<iplinary Boan! acttpkd hi. pi'" and funher ordered that Hughes make ",,,itution to the law fIrm in the aJOOUnt of 569.102-57, During the time lIughes was emploj'N by hi. f<><mer law firm. he took"""" than $40.000 from the firm through a scheme whe,."by he would ~ive rrimbuTSCm<'nt from the firm for airline tickeLS purchased OIl his per· sonal credit card. ootensibly for fIrm business. but which he never used and la"r "'turned to ,he airline for a ,."fund or credit. lIughes did not dis· dose ,he cred;t or refund to the firm and kept the ,."imbu .... men'. [ASS No. 01·207(A)] Phoni. Ci'y attomey G"'gory ~lIy was suspend<!d from the practice of I.w in the Stat<: of Alabama for a peri· od of 180 day•. effec~"" July I. 2002. by ...u.r of the Alabama Supreme Coun. Kelly was ","viously disbanW from the practice of law in the St,.,e of AI.bama "ff«,ive June 30. 1999. The .upreml: cowt entrred iLS onkr based upon lhe deci.ion of the Disciplinary Board of the Alal>amo State Bar. Formal disciplinary dwxes """'" ",rwd ou Kelly on April 20. 1999. alleging that he failed to provide com· petent represcmation to a di...,t. know· ingly failed 10 respond to a lawful

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Notices to Show Cause

NOlJ<'e bc:ttby livet! '0 Tanita Michtllt Cain. ,,00 pnct>o<:d law in Gm:n ..."OOd. Indlana.1IId " ...... ,,~ abou'l "'" un""""" •. 1lI'II pur>uanl 10 an oro.:" 10 """" cau~ of rbc [)j""iplitwy Comm".i"" ofrbc AI~ Stat<' Bar. ""'od Apnl 29.1002..... ha, 6Oday, from "'" da,. of thIS publica,i"" (~plombcr IS. 1(02) 10 C<)I'OO Inlo c""'pll,,,,,,, ""h ,Itt CHon, Socurily Fund "!<,'\nlCn! ""Iui",mom for 2(l()2. Noncompliance wi,k ,lie Clicn' Socun,y Fur><! a' ..... 'mtnl ~ul ... mtnl shall ,,",ul, ,n a ,u'pon.i"" of her II«n~,

ICSF02· 13]

NOllct IS h«rby '"'''' t(I Sorrah A. C unningh. ,n. ,,110 prac1.Ictd 1_ in Jac:I:>on. M luiulppr. and " ................ _ abou" .,., unl:n<nl.'n. rtw pu"""'" 10 an order t(I ~. ca ..... of "'" o;""'plinary Comm,-,&ion of ,.... Alabama Stare B.... ""red Apnl 29. 1002..... "'" 6Oday, from ,he dJ,c of thl< publicati"" (Sq>tombcr IS. 20(2) '0 C<)I'OO into <""'ph."",, "'"" ,lie Clion' Socuri,y Fu,1d a'~'InlCn' rtqullenlen, for 2(l()2. Noncompit,IICC "·lIk ,'''' Cliem S«uri,y Fund O.se'SllleR! ~uiremtm wll ... ",It ,n a .uspon.i"" of ...... Iic: • ....." ICS!' 02- 19J Not'ct" .... rd>y ,IV.. n 10 Wa ..... n Mlt . ... 11 ......iDO ... 00 """"iced 1.", in Brrmln&h>m. Alabama. IIId "'hose "hereabout<.,., unmo..'n. rtw pur· S""'" '0 an order t(I ~ " " .... of "'" Di"",plrrwy Commiss"", of "'"

demond f... information frum. discipli_ nary authori,y and ""ga~ in roOOU<I rtw odvtn;cly rdloctod on hi, fi,ness '0 pnc,ice law. vIOlations of NitS J.J. 8.1(b) and 8 .4(,). A.R.P.C. Tho basi. of the ~ iiI«! opi.... Kelly ..... Ibat he rtndorN intfJ«Iiw:_seance of coonsel rMi"l hi. ......... ntation of a dinlr in "" 'WOinled criminol ease. Althoop. ~rwd ,,'i!h !be formal dlarJolr. Kelly did _ ....""er ... other· "is<; pkad 10 me c hMie> IIId 0 """ion f... defaull was ,rarlled "" Fobrolly IS. 2002 . A Ittann, 10 deremri ... discipli ... was .... Id on April 9. 2002. Kelly did "'" appear., ,lie lI<aring, IASB No.

jtId,,,,,,,,,

99·22(A11

Alabama Swe B.... dated April 29.

2002 ..... bas 60 days from me <!au: of !hi. public:llion (Scprcmbor 15. 20(2) 10 .",..... intO rornJIliance "ith the Cli<n, StnInly !'und ~", """" ... "",n' for 2002. Noncompliance ,,·,rtI , .... Cl .... t Socumy !'und a>se>s..... n' ~UI"""'''''' wll ......1' in ~ suspon,ion of h" licenoe. [CS!' 02· HI Notlct " Itt ... by tiv(n to Christo plle' lI.n'Mrd 1'i'Il<. ",110 """'. ,iew law in Mon'go""'ry. Alabama. ond w~ "'1Ie ...~bwlS m unknown. tha, pu,."lWtl 10 an orrItr '0 show CallS< of the Ou,ciplmary Coruml ...i"" of the Alabama Swe B.... da,ed April 29. 1002. .... bas 60 day. from me dale of thi, public:at"'" (Sept .... ber IS. 20(2) 10 come IftlO compliance ,,·irtl tile Cit .... Socuo,y Fund ...as"",n'

1Wf\I1"' ' ' ' ' for 2002 . Noncompliance ,,·,th me Cl",nl StnIn,y Fw>d ~

.... m ~U'''''''''''' ",,",II resull in a .u.~Mion

of hIS licen!le. [CS!' 02· 7S]

Notice i........ hy ,ivtn to J a",es ClirytOB Un'it, Jr•. "'00 praclictd la", in N.", Orl.an,. Loo,\iana. and ",h_ "1I<"'about.< .,., unknown. pur_

,ha,

.uan' '0 "" orrItr to """" cause of "'"

Disciplinary Commi"i"" of "'" Aloha"", St.,e Bar. dal«l Apnl 22. 2002. II< bas 60 day. from "'" <!au: of rtI .. publ",aiJOIr (~mbor IS. 20(2) '0 come ,nto romp"ance ",!h the M ......1Ory C"""nulng Lq:aJ Educa1i"" """" ........ "1$ for 2001. NODC<I<II~WIct' with"'" MellO ""Iu"',,.....,"' <IW!

lltsscl1'"l(1" llt"""'l' Rita 1>",'(1<1"" Hood ......",nm:srily su"",n<InI fron, "'" prac'ice of law in ,II< State of Alabama pursuan' 10 Rule 20(.}. Alobamo Rule. of Dix'plinary 1'rucnIUf't. by onIrr of "'" Disciplinary Commi .. ion of the

A~ s....., aw .ff<'(1i,-e J""" W. 2002. The onIrr of the Or<ciplinary Commi>loion " .... bucd on • poIition liled by the- ClI'f"l« of Gm:oal Cormsd e-oidma"l durrt H<xrd hod failed 10 rtop:rnd 10 rcquoo.II for informacion fR)O"lt a dOOpIinory IUthority dwi", "'"

of lfuclplrnwy im\'$lipbcrns. ]Rule 2O(a}: l'ct. No. 02.{l8J

aIIIfX

Mobile

.'lOme)' ClMn:1ICC Ch ristopher

C"''''un "'lOS , ",pended from ,lie prac.

...suI, in. 5USjl<'llIion of hillictnse. ID.E02-1:7J NOIice I, hereby liven 10 Elb::o httb ..... ' u Gnolwn. ,,'110 pnr<Iiccd II,,· in Vcou,·ia Hills. Alabama. IIId ..."'" 'brttabours .... unk_u. tha, pw. to an order 10 1how cauoe of tlt.o Di""iplirwy Comm,ssi"" of , .... Alab<lma S'are Bar. dated April 22. 2002 . .... has 60 d3ys tile dare of ,hi. public.',011 (~plCmbcr IS. 2002) 10 co"", in,o compli"nce ... i,h tht Mand.'ory Con'inuing Legal &luc ..;on ""Iui ....... n" foc 2(l()1 , NOl\C<lmplian<~

.twI'

f,,,,,,

wi,h "'" MCLE ""IUI/",,,,,,,,, ohall ....ull ,n I IU;peIU'on of .... r license. ICLE02-40J Not..., .. befd>y iJ''''' 10 80)'011

Jurbon lI ... nlngton. III. "'00 pracliccd law on s.. ~ ~lorida. ond "tIosf' "'hm:abouIS .... unl.noo.u. thai. pwsuanI '" an onIrr 10 >how cau.. of "'" DlScipllllll!')" CommWoioo of the AW:>anu. Slat< Bar. dared AJ'W'i1 22. 2002. hr 1m 60 ""ys from "" dJre of ilIls publrcation (Sc:plCm .... r IS, 2002) 10 come imo rom· plianct "'ith tho M:toda,ory Con'inuing Lepl ""lui"''''''nt.< fOf 2(l()L Noncompli.OC<' ""th "" MCLE ""lUI ... · ....flU sholl ......1' in I ,uSJlO'llWOR of hi.

Ed""."""

1~·ICl£02-48J

NOll«" hordry .,vtn '0 (;a'1 Alan SmUII.... 1Io pncIJctd 1_ in BifIRlIIg/lanl. Allbama.. :rood "hose ",hereaboul$"" u.w.o..'n. tlw pur. OI,,,,n, 10 an onIrr 10 1how cau"" of the OiKlphtwy Commi..ion of "'"

,i<~ of I.w in tile Sta,e of Alabama for a poriod of Ihm: YUIl "'lJ'OOo<tivt 10 M:rrch 17. 2<XX) by orrItr of ,he SUp"'OI' Coon of Alobamo. ~ ........ ''''' CQIII,'1 ortlr1" ..... hascd upon 'hr de. ,Ii"" of the [)j,ciplirwy Board. Panel V. ..:«pI,nl Clonton·J guilty p ..... in fow ca~. In .ASB No. 00.1 S6(A). Claaton tlw hr was employed", rtprntlll. cI ..... III. ,,"OIt<'r's c.:rmporosa· lion cue "" • 33 ~nt CQII~"8en<y fno buiJ. Dun", , .... COUrse of rbc n:p........ ... Iion he did "'" mum rek:phone <all . ... Olberwisc COITeipond "'ith the di.m ronc.mi", ,II< s.ta'UJ of .... ' <ase. He ",rust([ tile client" rtq""$I' 10 revie", Ittr lile durinS ,lie course of

adnu,""

Alabrun3 SIllI. Bru-. d.,.d April 22. 2002. he has 60 day. from the d.1te of this publicOIioo (Seplember 15. z(02) 10 come inlo compli~ wilh the Mandalory Conlinuing ugal Educalion requirements for ZOOI. NOflCOmpliance with tho MCLE I«juiremenl. ,h.1I re.>uh in •• u'~n<ion of his liNn« [CLIO 02-84] Notice i, Ittreby give" 10 W,,)''''' Harris Smith . "'00 practiced I.w in HeOin. Alaooma.'rod whose ...·lttre· an: unl:llO'o'>·n. Ill.. pursuan' to an order 10 ,how cause of lhe Disciplinary Commission of lhe Alab:tnla Slale Bar. dated April 22. 1002. he has 60 days from !he dale of thi. publicOli"" (~pte n,ber 15.2002) 10 come inlo compliance willi the Man<ial<>ry Cominuing Legal EdUoClltioo require· m<nlS for 2001. Noncompliaoce wilh lhe MCLE require"","" s1u1l result in a ,u'pen,ion of hi, licen ... [CLE 02-87]

.boo"

Nolic. is horeby given 10 [).nl~J Wal l>e Bu"", ...·00 pracliced law in (klSemer. Alabama. and whose whereare unkl1{)Wn. thaI pursuan' 10 an order 10 ,how eause of tht Disciplinary Commission of lbe Alabama Slale Bar. d'lIro April 22. z002. he has 60 daY' from tht d.1le of thi. publicalion (September 15. 2002) 10 come inlo compliant<: wilh tile M"ndat<>ry Continu,"g ugal Ed""alion n.'quire. men1. for ZOOI . Noncompliance "lilh tile MClE requi",,,,,,n,, shall "".11 in a ,u'pen,ion of his licen«. ICLE 02-I27J

.boo"

C'""

uoo.

lhe reprcsen ... On lhe of trial. aanlon wenllo the clienC. grand_ molher', house after 10 p.m .• nd advi<c<l tho clienllh31 her case was sel for I hoaring tht ""Xl morning and thaI ,Itt needed 10 be in coon. lhc clienl appea~. bu l aanlon was laIC. Upon ..-ri.....1. he i..""",od the elienl ,ha, lbey were goi ng 10 sellle Ittr case for $5.000. lho elienl agreed 10 lho se"le"",nl. After lhe approv«llhe ""_ Ilemem. IItt al10rney for the defendanl delivered a cbeck 10 a.moo in lltt ",,,,,,,"I of $5.000. ClanlOn ,,,.!>ised the cliem Ihal he would hi. fee>; ar.d remiltltt ~m.inder 10 her. Clanlon did IlOI ",mil ,he clienfs portion of IItt sel1l."",nl 10 Ittt and. lhere·

COIl"

ded"",

NOlice: is hereby gh'en 10 ~ Iarlha K • ...., /kI • • rnan. who pracliced law in

AlexaOOri .. Virgini •. nnd whosl: where_ aboots.re unkl1{)Wn. Ihm PU,",Uanllo an <><dcr to $bow cauSO of lhe Di",iplinary Coollni"io" of the Alabama SlalC Bar. daled April 21. z002. ,Itt has 60 day. from lhe date of Ibis publicalion (Stptcmher IS. W()2110 como into eomplian", witll the Mnndaloty Conlinuing ugal Ed",alion require"",n" for 2001. NOfICOmpliJlICC wilh the MCLE lTIjuirem<nls ,hall res.l, in a .uspension of her license. [CLE 02.136J NOIice is Ittreby given 10 Laurie A. nn Richardson 811 .... h . ",ho pr8Clicro law in Binningh.m. Alabama. and whosl: where.boots are "nk"",,·n. ,hal pu,",uanl to an order 10 show cause or the Disciplinary Crunmis.ion of the Alabama S13le Bar. d31ro April 22. 2002 .• he has 60 day. from lhe dale of llIis publicalion (September IS. z(02) 10 come inlo compliance with the Mandal<>ry Conlinuing ugal Educalioo requi~ments for ZOOI. Noncompli.oce wi!h the MClE r<:<.Jui~men1< .hall re.>uh in •• uspens;on of Ittr license. [CLE02·137J NOIice i, I\<reby given 10 K. nneli> 1I"lIo,,·.. y Mi lli",",,,. who pr.>eli",d law in Hamillon. AIob:tma. and who«: wl\<reaboul5 are unkllO'o'> n. Ihal pursuanl 10 :Ill onlcr 10 sh",,' cau", of lhe DIsciplinary Commission of lno Alabama Slale Bar. dOled April 22. 1002. he ha, 60 days from tile dale of

.fler.• bandoned her and her ca ... Cl'nlon did DOl re.pond to lho ITIjIlCStS for infor"'alion during IItt course of lhe inve,,;gllion conduCle<i by lhe local griovaflCe commitlo' of lhe Mobil. Bar Associalion. Clanlon pled guilly 10 violaling rule. l.4(a). l.4(b). 1.15(0). J.l6(d}. 8.I (h) and 8.4(0)(0)(d) nnd (g). A.R. P.C. In AS H No. 99-243(A). Clanlon wa, employro by. cliemlo ~presom him in a racial diseriminalion eo.... ~g.in" hi. employer. lho cliem paid aanloo $100 as pallial paymem on a 101.1 fee of $3.400. lhoreafler. Clanlon filed • lawsuil bul DOl within IItt applioable ,,,,lute of limilO1ion,. lho defendanl employer filed a molioo for summary

!hi, publication (September 15. z(02) 10 come imo compli3/ICC wi!h lhe Mand.,<>ry Conlinuing Leg.l Educalion requirements for ZOOI. NoncrunpliaflCe with lhe MClE ITIjUiremenlS 'ha ll ""sull in a suspeo,ion of hi, license. ICLE02_147] NO/icc: i. hereby giYen 10 All." Eugene !'urdu•• Jr. ,,'ho pr.>elicro law in Birmingham. Alabama. aOO whose whereabouts are unknown. Ihll pur· suanl 10 an onlcr 10 show cau,", of the Disciplinary Commi"i"" of lhe Alabama Stale Bar. <tued April 22. 2002. he h.. 60 day. from tltt dal. of thi' public",ion (September 15. 2002) 10 comc inlo compliloc" wilh lhe M.ntl",ory Continui ng ug,1 Ed""ali"" ITIjUiremenlS for 2001. NOflCOtnpliance wilh the MCLE requirement •• hall resull in. susp"nsion of his licen ... [CLE02-1 64) Notice i. lIereby gh'"n 10 IUe hard Leig h W~tt~ .... who I",.,"icro law in Mobil •. AI.bam:>. and whose ".. here· .bools art unk"",,·n. thaI purSuanllo an order 10 show cause of the Diseiplin3ry Commission of the Alabam. Stale Bar. z002. he has 60 days dated April from the dale of Ihis public31ion (Stplember 15. 2002) 10 come into compli a""e with the Mandalo,}, Continuing ugal Eduoation requiremenl! for 200 I. Noncompli,oce wilh the MClE requiremtnlS ,hall resul, in a ,u,pen>i"" of his Iken",. {CLIO 02 169[

judgmtnt ba<c<l upon the """rmative defe"", of lho ,,",ute ofl; ",ions. Altlloogh the gmnltd C. onl"" addilional time 10 respond 1<> 111. motioo. ClaDloo did"", ""I 'Id. As a resull. summary judgmenl W3.> granlrd again" IItt client " ".. afler. CI,mlon d id DOl nOlify lltt clienllhal5ummary judg"",nl boo bttn granl"" in hi. rase. fie did DOl return lelepllone call' or re~pond 10 wrillen conesp'IJ1de.-.cc: or otherwi$c <"".munic3te Wilh the dienl concerning Ihc >lalu, of hi' case. The defend.DlllIen filed a motion 10 re·"', lhe (oSI of defense 10 the plainliff. Clanloo did not respond 10 the moli"". ...·hich re,ulted in costs in IItt amouDl of S)2U ;O being laxed >gainSI lhe

COIl"

dienl. ""'",a~r. CIanIoo did IKII inform lho di .... thai ~ had b<flI tued apinot hIM and .x.p;le repealed requesu by !he dienl. did IKII ""urn !he dienl's doI:w"""'l$and file 10 him.

Clanton did

I<> tho n:queou for informMiooI d"l'inl !he course of !he inveslipoon condllClCd by tho local p>e-.-ance rornmill« of \be Mobile a at" A"""ialion. ClanlOll pled ""Ily 10 violali"i nlleo 1.1. 1.3. l.4(a) and S.I(b). A.It.P.C. noI "'"""""

III ASS No. OI).77(A). O anlon was .,npklyed 10 prob;o~ the .....1. ofa di.n!", deceased mother. "",,.ufl<:r. alnlon faikd 10 prtlbate the .....1<: or 10 taR any 0Ibcr Sllbslan~ve legal action on tho clien'" boohalf. He did no! ""urn .. ~ tall, or ~ 10 ",",.." ~ for informatioa or otbnwI!C correspond ... illt !he cliem con<:emilll !he ....... of he.- """"",,"'s ..suo•. lie abo failed or ",fused '" deliver tho clienl',file and document> I<> he.- upon requw. ClanlOll did noI respond 10 the ""I"""'" for informatiool durinalhe cou ..... of lho inve,tigalion ron(]""U,(] by lho local grlev.""" com·

32111

S£~TI1M 'Il~

2001

mi'lee of ' M Mobile Bat A,ooeiation. Clanton pled lu,lIy 10 viobling niles 1.3. 1.4(0). 8 .1(b) and 8.4{J). A.R.P.C. I.. ASH No. OI).87(A). fonnal

clwta ...-en: filed

btied upon Clan_'s M~h 14, lOOO....-."u for ~ion 01 crxk cocaine and 0Ibcr illepl The criminal caoe:s Wtre nolle proN£d on mo6oIt of tho Swc of Alabanl' on December 12. lOOO. Nosed "pon O"",on's romple. I'on of a drua Ittal"""" pro&I"IIIl. Clonlon pled iuilly 10 violating rul... 8.4(b). (d) and (I). AR.P.C. [ASB Nos. 9')·24~A). (1). 77(A). 00-87(A)

,ubmntts.

and OI). IS6(A)]

On .""" 10, 2002. tho Oisciplirwy Boan1. Panel V, en..,fftI .... order dis. 101 ...... Foley allo",.y Pruton I.cc 1l1du'l 'IIImm lUSpmlioa. This disIOII11ioo1 ..... e<ondiu.-d on !he pounds IhaIllicks ~ I<> the ....... of !he lwo.~. «In111lC1 he .ntem! ,n", ...·;Ih tho Alabama la"")'trS ASiistanee Provam and thai he C1l"" 'nlo. WOfk,nl aa=menl wilh the bu'. Law Offiu Mal\Oiemenl

A",i.ta""" Program. Should Hicks no! comply w,IIt tho aond,tioM of lho con· 1tXI. lhon lin order .. ill boo (".trod n:>dinlihe dWolutioorl. and Hicks's OI\a:inai inomm suopenoion shall again become fully opnMiofIaI and eff...,u.,.". [R ule 20(1): !>to. No. 02-011 • Gad$den IIlOme)' J oIllIl",,'id t1o,d ...-as ittspended fTOlll the pno<titt of

l,w in Iho SLaIC of Alabama for a peri.

od of!11 days by ordoer or Pa",,11 of the Disciplinary Hoard

~n'e",d

on lu""

4,2002. The lJoan! onkred thai the imposition of lho ''''pen,ion WQIIld be ittopcnded pending ~loyd·. SllCtt$$ful compklion of a ' ...... ytar period of pootwiool. Floyd pled IUUIy'" viobl' 'III Rule I .4(d). A.R.P.C. floyd.. " 00 ,s also llIOlat)" public, noc.-iu<I • doc'''''''ft~ oonifyinl thallho docu· menl .... uccu"",, ,n hi. paence by an indi.id...:t k___.I<> him. 1ioIo.-ever• Floyd admitted 1Iw.. ODOItrwy I<> hi' the indl.iduallha, e~· N!he documonl did IKII 00 SO in hi,

.,.,,,,r,,,ation,

pmenee. [ASS NQ. OO.6S(A)]

•

Last October, the Alabama State Bar, the Medical Association of the State of Alabama and the Alabama Hospital Association, with support from the A labama Department of Public Health and the Alabama Organ Center, joined together for a statewide project to educate Alabama citizens about health care directives. The LlFEPLAN 2001 campaign involved over 200 Volunteer attorneys and physicians and reached over 16,000 c itizens. Because of continued interest in this important topic, an informative video on health care directives has been produced. The ten-mlnute video highlights the importance of having a health care directive and answers questions about the new Alabama form. A copy of the video is available by reque st, at no charge, for use by hospitals, senior citizens groups, schools and any community group. To request a free copy of Ihe video, contact the Alabama State Bar at 800-354-6154 o r order on-line at www.alabar.org. Copies of the LlFEPLAN Consumer Guide and the new Alabama Health Care Directive form can also be downloaded from the Web site.

.,,"

M........ Two tr.1isIIngs 0150 WOlds Of 1m 1* bar IIIII'I'tIIr pI!I' . . . . . yea EXCEPT for -posIlICII'I-.ud' Of 'poII1I0Il off-.d' btwIg$-S3S pI!I' m«\IQII 0150 WOlds or less. S.50 per iDliticnai 'MlId; N_mM.., $351* "-loon of SO words /If 1m. S.5O PI' iO:IibONll wont Classdo.! r;IJVi InI ~ I!lISI III ........ Iccmb'lG l!I tilt foIkMong ~ schIDJIII: Sap\embIr 2002 "pm ....,.. ~ 5. 2002. NiMniIIr 2002 ifl' I ileal ... Seplembef S. 2OOZ: ~ 200J !SSWdead .... Nr:wwnbIr 5. 2002 No deadlint tll8flSlORS will be made. Sen:! ciaS$lfoed copy"" ptyma'Il payable tg 1hr A/abiImaI ~. toc AI.J/:Iam;I ~ClMslfoeds. c/o Shamon EIIO(III, PO 80.<4156, MoolgOmlty. ~ 36101

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P.O. So.-< 1571 Dothan. AL 36302 Office: 334-193-3068 FttCs imilc; 334-67 1-8652 e-mail: wh06386@aol,oom

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