M. Bar R. Preamble

There is hereby established a comprehensive system of regulation of the

legal profession in the State of Maine to encourage and promote competent and

ethical practice by members of the Maine Bar, and to make these standards

known to members of the public, so that they may have confidence in the legal

profession in Maine. These Bar Rules supplement existing statutory regulation

and processes, such as those established in 4 M.R.S. §§ 851 and 858, and the

inherent authority of the courts to regulate attorney conduct. Attorney

regulation includes, but is not limited to, license registration, Continuing Legal

Education compliance, fee arbitration, ethical guidance, and discipline.

Terms used in these Rules shall have the following meanings, unless the

context clearly requires a different meaning:

“Action” means a civil judicial or administrative proceeding brought to enforce,

redress, or protect a right.

“Active status” means an attorney duly admitted to the practice of law in

Maine, currently registered and in good standing with the Board.

“Allowable reasonable fees” for IOLTA accounts are per check charges, per

deposit charges, sweep fees, fees in lieu of a minimum balance, federal deposit

or share insurance fees, and reasonable IOLTA account administrative or

maintenance fees. All other fees are the responsibility of, and may be charged

to the lawyer maintaining the IOLTA account. Fees or charges in excess of the

interest or dividends earned on the account for any month or quarter shall not

be taken from interest or dividends earned on other IOLTA accounts or from

the principal of the account.

“Alternatives to Discipline Program” means any program, authorized by the

Court, to which an attorney may be referred in lieu of discipline, including fee

arbitration, arbitration, mediation, law office management assistance, lawyer

assistance programs, counseling, continuing legal education programs, or any

other program authorized by the Court.

“Approved Legal Services Organization” means a pro bono publico legal

services program sponsored by a court-annexed program, the Maine State Bar

Association, the University of Maine School of Law; a nonprofit organization

that provides legal services to persons of limited means and that receives

funding from the federal Legal Services Corporation, the Maine Justice

Foundation, or the Maine Civil Legal Services Fund; or any other nonprofit legal

services organization designated by the Court.

“Attorney” and “lawyer” are used interchangeably, and mean a person

admitted to the practice of law in Maine or any other person who appears,

participates or otherwise engages in the practice of law in Maine.

“Award” means the decision of the arbitrators in the fee arbitration

proceeding.

“Bar Counsel” means the attorneys employed by the Board to perform the

prosecutorial function in lawyer disciplinary matters, or Special Counsel

retained by the Board pursuant to Rule 2(a).

“Board” means the Board of Overseers of the Bar.

“Board Clerk” means the attorney or non-attorney employed by the Board to

perform advisory, review, and administrative functions as set forth in these

Rules.

“Central Intake Office” means an office staffed by a Board Clerk that has

certain administrative and review functions as set forth in these Rules.

“CLE” means continuing legal education.

“Client” means a person, public officer, corporation, association, or other

organization or entity, either public or private, who receives professional legal

services from an attorney.

“Client Protection Fund” means the Maine Lawyers’ Fund for Client

Protection.

“Commission” means either Fee Arbitration Commission, Grievance

Commission, or Professional Ethics Commission.

“Complainant” means the party filing a grievance complaint.

“Court” means the Maine Supreme Judicial Court.

“Executive Clerk of the Court” means the Clerk of the Maine Supreme Judicial

Court.

“Executive Director” means the attorney employed by the Board to perform

the administrative and executive functions of the Board.

“Fee Arbitration Commission” means a creation of the Maine Supreme

Judicial Court, under the jurisdiction of the Board of Overseers of the Bar, that

provides an efficient and less formal adjudication process for attorney-client

fee disputes.

“Financial institution” includes a bank, savings and loan association, credit

union, savings bank, and any other business or person that accepts for deposit

funds held in trust by lawyers.

“Good standing” means an attorney, not currently suspended or disbarred,

duly admitted to the practice of law in Maine or, if specifically referenced in the

applicable rule, other jurisdictions.

“Inactive status” refers to the status of an attorney in good standing who is not

engaged in the practice of law in Maine.

“Judge(s)” means Justices of the Maine Supreme Judicial Court, Justices of the

Maine Superior Court, Judges of the Maine District Court, Maine Family Law

Magistrates, Judges and Magistrates of the United States District Court for the

District of Maine, Maine Judges of the United States Court of Appeals for the

First Circuit, and Judges of the United States Bankruptcy Court for the District

of Maine.

“Judicial Law Clerk” means an attorney serving in a non-administrative

position who provides assistance to a judge in researching issues before the

court and in writing memoranda and opinions.

“Grievance Commission” means the attorney disciplinary body appointed by

and responsible to the Board.

“IOLTA” means Interest on Lawyers’ Trust Accounts.

“IOLTA account” means a pooled trust account earning interest or dividends

at an eligible institution in which a lawyer or law firm holds funds on behalf of

client(s), which funds are small in amount or held for a short period of time

such that they cannot earn interest or dividends for the client in excess of the

costs incurred to secure such income.

“Maine Assistance Program” refers to the Maine Assistance Program for

Lawyers and Judges, which offers confidential assistance to help individuals

identify and address problems with alcoholism, drug abuse, and mental or

emotional disorders.

“Monitor” means an attorney appointed by the Grievance Commission or the

Court to provide a system of accountability and support to a respondent

attorney.

“Notice of dishonor” refers to the notice that a financial institution is required

to give, under the laws of Maine, upon presentation of an instrument that the

institution refuses to pay upon presentment.

“Panel” means three members of the Grievance Commission or the Fee

Arbitration Commission assigned to adjudicate and issue a decision.

“Party” means a person or entity directly involved in a grievance or fee

arbitration proceeding.

“Petition” means a written request for fee arbitration in a form approved by

the Commission.

“Petitioner” means the party requesting fee arbitration, Bar Counsel

prosecuting a Grievance Commission proceeding, or an attorney seeking

reinstatement following suspension or disbarment.

“Probation” means a discipline imposed where certain conditions are placed

on an attorney’s practice.

“Properly payable” describes an instrument that, if presented in the normal

course of business, is in a form requiring payment under the laws of this

jurisdiction.

“Professional Ethics Commission” means a commission that renders formal

and informal written advisory opinions to the Court, Board, Grievance

Commission, Bar Counsel, and members of the Maine bar involving

interpretation and application of the Maine Rules of Professional Conduct to

lawyer conduct.

“Proxy” means an attorney named in another attorney’s registration statement

who will act to protect the interests of clients and conclude the law practice of

an attorney who is incapacitated, suspended, or disbarred; or who has

disappeared or died.

“Public member” means a Maine resident appointed by the Court to serve on

the Board or a Maine resident appointed by the Board to serve on a Commission

who has not been admitted to practice law in any jurisdiction.

“Receiver” means a licensed Maine attorney in good standing who is appointed

by the Court to act to protect the interests of clients and conclude the law

practice of an attorney who is incapacitated, suspended, or disbarred; or who

has or disappeared or died.

“Registration documents” means those documents that the Board requires

each attorney to file on an annual basis, consisting of a registration statement,

Continuing Legal Education Annual Report [Rule 5(e)], and IOLTA Election

Form [Rule 6(b)], and such other documents as the Board may from time to

time direct.

“Registration status” means registration categories established by the Board.

“Respondent” or “respondent attorney” means the attorney with whom

petitioner has a fee dispute, or an attorney who is the subject of a grievance

complaint or disciplinary proceeding.

“Single Justice” means a single justice or judge of Maine’s trial courts or of the

Supreme Judicial Court, designated by the Chief Justice of the Supreme Judicial

Court. This includes active retired justices of the Supreme Judicial Court and

active retired justices and judges of the trial courts.

“Surrender” means withdrawal from the practice of law in the State of Maine

in order to avoid disciplinary proceedings, or in lieu of any other sanction.