Closing_Practice

RI S K MA N AG E M E N T HA N D O U T S O F
LA W Y E R S MU T U A L
Closing A Law Practice: Through
Retirement, Moving to a New
Firm, or Death of a Fellow Lawyer
5020 Weston Parkway, Suite 200, Cary, North Carolina 27513
Post Ofﬁce Box 1929, Cary, North Carolina 27512-1929
919.677.8900 800.662.8843 919.677.9641 FAX www.lawyersmutualnc.com

TABLE OF CONTENTS
Introduction 1
Exit Strategy 1
The Duty Owed by Lawyers Who Leave a Firm 3
CHECKLISTS
Checklist for Closing Your Own Law Office 5
Checklist for Closing Another Attorney’s Law Office 6
Checklist for Lawyers Planning to Protect Clients’ Interests in the Event of
the Lawyer’s Death, Disability, Impairment or Incapacity 8
FINANCIAL PLANNING
Financial Planning for the Closing or “Show Me the Money” 10
Will Provisions 11
LETTERS
Closing Your Own Firm
Letter Advising That Lawyer is Closing His/Her Office 12
Letter Notifying Client of Destruction of File 13
Closing Another Attorney’s Office
Letter Advising Lawyer is Unable to Continue Practice 14
Letter from Firm Offering to Continue Representation 15
Leaving a Law Office
Unilateral Letter to Client from a Departing Attorney 16
RI S K MA N AG E M E N T HA N D O U T S O F LA W Y E R S MU T U A L
Closing A Law Practice:
Through Retirement, Moving
to a New Firm or Death of a
Fellow Lawyer

DISCLAIMER: This document is written for general information only. It presents some considerations that might be helpful in your practice. It
is not intended as legal advice or opinion. It is not intended to establish a standard of care for the practice of law. There is no guarantee that following
these guidelines will eliminate mistakes. Law offices have different needs and requirements. Individual cases demand individual treatment. Due diligence,
reasonableness and discretion are always necessary. Sound risk management is encouraged in all aspects of practice.
Updated August 2011
EMERGENCY ATTORNEY AGREEMENTS
Agreement to Close Law Practice - Full Form 17
Notice to Lawyers Mutual of Designated Emergency Attorney 21
Conditional Durable Power of Attorney 22
Specimen Signature of Attorney-in-Fact 23
Letter of Understanding for Delivery of Power of Attorney 24
Engagement Letter: Assisting Attorney Clause - Client Engagement 25
Engagement Letter: Assisting Attorney Clause - Follow up to Initial Interview 27
Engagement Letter: Assisting Attorney Clause - Contingent Fee & Explanation 29
FORMS
Office Closure File Tracking Chart 32
Authorization for Transfer of Client File 33
Request for File 34
Acknowledgment of Receipt of File 35
Law Office List of Contacts 36
ETHICS OPINIONS
NC Gen Stat. §84-28(j); 27 Admin. Code, 1B § .0122 46
RPC 16: Files of a Deceased Lawyer 48
RPC 48: Law Firm Dissolution 50
RPC 209: Disposing of Closed Client Files 52
APPOINTED TRUSTEE DOCUMENTS
NC State Bar Letter Notifying Trustee of Appointment 54
Petition for Order Appointing Trustee of Deceased Attorney’s Practice & Order 56
Petition for Order Discharging Trustee of Deceased Attorney’s Practice & Order 61
Notice of Hearing 65
Additional Resources 66
TABLE OF CONTENTS CONT.

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RISK MANAGEMENT HANDOUTS OF LAW YERS MUTUAL
INTRODUCTION
EXIT STRATEGY1
There are a number of steps that you can take
while you are still practicing to make the process of
closing your office smooth and inexpensive. These
steps include making sure that your office procedures
manual explains how to produce a list of client names
and addresses for open files, keeping all deadlines
and follow-up dates on your calendaring system,
thoroughly documenting client files, keeping your time
and billing records up-to-date, and making sure you do
not keep clients’ original documents, such as wills or
other estate plans.
An organized law practice is a valuable asset. This
handout includes several forms to assist with making
winding down your practice as easy as possible by
maintaining organization throughout the process.
Walking away from your law practice isn’t easy. It’s
always a good idea to have an exit strategy. Perhaps you
need to close the doors due to appointment to a judgeship.
Or you need a plan should the unexpected happen. Or
you may simply be at the beginning stages of planning for
retirement. Following orderly steps will make the how and
when of closing your office doors occur smoothly.
GETTING THE WORD OUT
Before you announce to the world that you’re closing
your office, you should inform your staff. They will be
needed for creating and implementing your exit strategy.
Trusted staff also deserve to know how long their jobs will
remain intact. If staff members are not prepared to retire,
contacting colleagues who are potential employers would be
helpful in assisting them find work.
Long-term clients should be personally contacted,
preferably via personal meeting or telephone. Review the
status of any open matter beforehand so you can answer
any questions the clients have. Also, review the client’s
account before informing the client of your decision. A
client may be less likely to pay an outstanding bill if they
know you are closing your doors. As always, follow up with
written correspondence to ensure the client understands
what you have discussed.
CLIENT FILE STATUS
After you’ve made your notifications, you will need
to ascertain the status of your open files to develop an
adequate timeline for closing your practice. Depending on
the reason for closing the practice, it may be impractical to
see every file to conclusion before you close your doors.
For each open file, you will need to ask two questions:
What is the status of this file? What is the fee arrangement?
Some cases will require special handling. You may need
to reschedule pending appearances and prepare a Motion
to Withdraw, in accordance with North Carolina State Bar
Ethics Rule 1.16, Declining or Terminating Representation.
Be sure to comply early to provide clients’ time to find new
counsel. In some cases, you may have to refund part of
your fee to the client should a flat fee have been charged
for work you are not completing.
Remember to stress the essence of time to the client
so that they do not procrastinate in choosing counsel. Files
should be transferred with a copy of the file retained for
your records.. Clients should provide a written request for
transfer of file, which should remain in your file.
ADDRESSING THE TRUST ACCOUNT
In addition to addressing the status of client files, you
will need to close out your bank accounts, including your
_____________________________________________
1
Blackford, Sheila M. and Roberts, Peter. “Closing a Solo Practice: An Exit To Do List” Law Practice Magazine. May/June 2011: 48-52. Print.

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CLOSING A LAW PRACTICE
client trust account. You should fully reconcile your trust
account so that all funds are accounted for and can be
returned. Send final client bills and disburse any monies
owed to you. If your clients have obtained new counsel,
forward funds with both client and counsel name included.
If you have unclaimed funds, check with the State
Bar’s ethics counsel on how to proceed. Unclaimed funds
may need to be refunded to the client, or, if you have
lost contact, may need to be turned over to the IOLTA
program.
CLOSING THE DOORS
Once the official client matters have been addressed, the
fundamental aspects of closing a small business must be
considered. Terminating contracts and removal of property
are two items that cannot be overlooked.
• Terminate your lease. You will need to notify
your landlord of your decision to move. You may
need to negotiate early termination terms.
• Equipment leases and removal. If you lease
copiers and printers, these leases will also need
to be terminated. If you own your equipment,
you may want to sell it or donate it to a charitable
organization. Be sure that the memory of these
machines is properly erased beforehand to
prevent confidential information from being
inadvertently discovered.
• Utilities and services. Electricity, internet and
other monthly services will need to be canceled
timely so that the final bill can be received shortly
after closing. If you have a website, do not forget to
terminate hosting services.
• Closed file storage. Clients should be given the
opportunity to receive their file before the file
is sent into storage. If a client does not pick up
a copy of their file before you close your office,
provide the client with information regarding
procedures for retrieval of the file. Closed files
must be stored in accordance with North Carolina
State Bar guidelines. RPC 209 provides guidelines
for the disposal of closed client files. Rule 1.17
provides guidelines for the sale of a law practice.
• Extended Reporting Endorsement. Contact
your malpractice carrier for an extended reporting
endorsement, which covers you for a certain
period of time should a claim arise after you stop
practicing. Typical ERE’s cover the Statute of
Limitation and Statute of Repose or can be for an
unlimited period of time.
• Accounting Records. Retain your accounting
records for IRS review should they need them to
verify income or deductions. Ask a CPA for advice
regarding retention periods. NC State Bar Ethics
Rule 1.15-3 provides guidelines for records and
accounting.
• Phone service. At the conclusion of winding
down your practice, have your office phone calls
forwarded to either your home or to a lawyer who
is assisting with the closure of your office. This will
ensure clients receive the proper assistance if they
attempt to contact you after you have closed your
office.

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In re Smith, 315 Or. 260,843 P.2d 449 (1992).
Attorney was disciplined for secreting files in an
attempt to take clients upon withdrawal from firm.
Matter of Cupples, 952 S.W.2d 226 (Mo. 1997). The
Missouri Supreme Court issued a public reprimand
in an attorney discipline matter. An attorney leaving
a firm was charged with (1) secreting client files from
his partners in expectation of his leaving the firm,
and (2) removing files from the firm without the
client’s consent.
- “[I]t is the responsibility of both that attorney
and the law firm to ensure that the clients for
whom that attorney had provided material
representation are informed of the change in the
circumstances of the clients’ representation. This
duty requires communication with those clients
- whether written, personal, or by some other
means - that is professional in nature and content.
The primary purpose of the communication is
to assist these clients in determining whether
their legal work should remain with the law firm,
be transferred to the departing attorney, or be
transferred elsewhere . . . [T]he primary purpose
of the communication is to assist the clients in
their needs and not to solicit the clients’ business.
- The court said the departing attorney had a
fiduciary duty to be candid concerning business
opportunities, to be fair, to not put self-interests
before the partnership interests, and not to
compete with the partnership in the business of
partnership.
- Duties of withdrawing attorney can be
summarized as follows: “Prior to withdrawal,
lawyers within a firm have a duty to treat each
other fairly and honestly and to put the interests
of the law firm regarding firm business before
their individual interests. The lawyer may not
compete with the firm for business opportunities.
Each lawyer has a duty to the firm to represent
firm clients diligently, competently, and zealously.
After an attorney withdraws from a firm, the
fiduciary duties no longer prohibit competition.
However, the firm and the departing attorney
have a duty to deal in good faith in winding up the
firm business. Both the withdrawing attorney and
the firm have a duty to inform firm clients of any
material change in representation and to obtain
the clients’ informed direction as to how the client
wishes its work to be handled. The withdrawing
attorney and the firm also have a duty to orderly
maintain or transfer the clients’ files in accordance
with the clients’ directions and to withdraw
from representing those clients by whom they
are discharged. Both the withdrawing attorney
and the firm have a mutual duty, not only to the
client, but to each other as well, to make certain
that these tasks are completed in a competent and
professional manner to the reasonable satisfaction
of their clients.”
District of Columbia Bar, Ethics Opinion 273
(Sept. 17, 1997). A lawyer’s decision to leave a firm
is a material fact that should be communicated in
advance to clients and to the firm. If the change
involves the termination of representation, the
terminated lawyer needs to surrender the file, but a
copy may be retained. The duty of confidentiality
continues even after termination. The firm and
departing lawyer must safeguard against conflicts of
interest. Once a partner leaves a firm to join another
firm, his or her name must be removed from the firm
name to avoid misleading the public.
Futch v. McAllister, 491 S.E.2d 577 (S.C. Court of
Appeals, 1997). Departing lawyer may not solicit firm
clients prior to actual departure. “Absent a contrary
agreement, an employee has a right to compete
with his employer following the termination of
employment . . . An employee, however, has a duty
THE DUTY OWED BY LAWYERS WHO LEAVE A FIRM

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not to do disloyal acts looking to future competition
. . . Although an employee has the privilege of
making pretermination plans to compete with his
employer, an employee is disloyal if he solicits his
employer’s customers. This duty of loyalty continues
undiminished throughout the term of employment.”
ABA Center for Professional Responsibility
Inquiry. Inquiry: A lawyer has been representing
a client on a contingent fee basis. The trial is now
concluded, and the jury has begun deliberations.
The client has discharged the lawyer. Is the lawyer
still entitled to his contingent fee under the terms
of the original agreement? Response: Most ethics
opinions and case law in this area state that if a client
discharges his lawyer in the midst of a contingent fee
case without good cause, the lawyer is entitled to be
compensated on a quantum meruit basis . . . There
is authority which holds that the lawyer may still
hold the client to the contingent fee agreement if the
matter is substantially completed.”
Resnick v. Kaplan, 49 Md. App. 499, 434 A.2d 582
(1981). A departing lawyer is required to account for
fees earned after departure from cases taken from
prior ﬁrm.

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CHECKLIST FOR CLOSING YOUR OWN LAW OFFICE
1. Review accounts receivable. Ensure balances are paid or total in the aggregate is in the low four figures before
you announce that you intend to close your office.
2. Inform staff of plans.
3. Stop accepting new cases.
4. Give termination notice for lease and rental agreements.
5. Finalize as many active files as possible.
6. Inform clients of plans.
7. Transfer files to new lawyer(s).
8. Return files to clients. Make copies for clients and retain your original file, but return any original documents
to the client.
9. Develop handling procedures for closed files and original documents, such as wills. Clients should be notified
of where their file is stored and whom they should contact to retrieve it. Write letters to clients confirming
instructions.
10. Meet with your accountant. Finalize accounting details. Close checking and other related accounts. Close client
trust accounts after audit is completed. Address unclaimed client funds.
11. Confer with lenders.
12. Return safe deposit box contents.
13. Notify bar associations and professional organizations.
14. Cancel office subscriptions and other memberships.
15. For cases that have pending court dates, depositions, or hearings, discuss with the clients how to proceed.
Where appropriate, request continuances of hearing dates. Send written confirmations of these continuances
to opposing counsel and to your client. Obtain the client’s permission to submit a motion and order to withdraw
as attorney of record. Review Rule 1.16. Pick an appropriate date and verify all cases have a Motion and Order
allowing your withdrawal as attorney of record.
16. Notify insurance carriers, such as professional liability and premises liability.
17. Consult with professional planners regarding your benefits such as health, life and disability insurance as well
as retirement plan.
18. Prepare for disposal of computer system, copiers, and other electronic storage devices and include wiping
memory as part of disposal.
19. Organize the disposition of furniture, fixtures, and other items.
20. Notify the post office and messenger services.
21. Notify your telephone company and establish a forwarding number.
22. Write goodwill, farewell thank you notes.
23. Relax and enjoy the rest of your life!

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CHECKLIST FOR CLOSING ANOTHER ATTORNEY’S OFFICE
The term “Affected Attorney” refers to the attorney whose office is being closed.
1. Check the calendar and active files to determine which items are urgent and/or scheduled for hearings, trials,
depositions, court appearances, etc.
2. Contact clients for matters that are urgent or immediately scheduled for hearing, court appearances, or
discovery. Obtain permission for reset. (If making these arrangements constitutes a conflict of interest for
you and your clients, retain another attorney to take responsibility for obtaining extensions of time and other
immediate needs.)
3. Contact courts and opposing counsel for files that require discovery or court appearances immediately.
Obtain resets of hearings or extensions where necessary. Confirm extensions and resets in writing.
4. Open and review all unopened mail. Review all mail that is not filed and match it to the appropriate files.
5. Look for an office procedures manual. Determine if there is a way to get a list of clients with active files.
6. Send clients who have active files a letter explaining that the law office is being closed and instructing them to
retain a new attorney and/or to pick up the open file. Provide clients with a date by which they should pick
up copies of their files. Inform clients that new counsel should be chosen immediately. (See sample Letter
Advising That Lawyer is Unable to Continue in Practice provided on page 26 of this handbook.)
7. For cases before administrative bodies and courts, obtain permission from the clients to submit a Motion and
Order to withdraw the Affected Attorney as attorney of record.
8. In cases where the client is obtaining a new attorney, be certain that a Substitution of Attorney is filed.
9. Pick an appropriate date and check to see if all cases have either a motion and order allowing withdrawal of
the Affected Attorney or a Substitution of Attorney filed with the court.
10. Make copies of files for clients. Retain the Affected Attorney’s original file. All clients should either pick up a
copy of their files (and sign a receipt acknowledging that they received it) or sign an authorization for you to
release a copy to a new attorney. If the client is picking up a copy of the file and there are original documents
in it that the client needs (such as a title to property), return the original documents to the client and keep
copies for the Affected Attorney’s file.
11. All clients should be advised on where their closed files will be stored, and who they should contact in order
to retrieve a closed file.
12. Send the name, address, and phone number of the person who will be retaining the closed files to the North
Carolina State Bar, 298 Fayetteville Street Mall, Raleigh, NC 27601.
13. If the attorney whose practice is being closed was a sole practitioner (the Affected Attorney), try to arrange
for his or her phone number to have a forwarding number. This eliminates the problem created when clients
call the Affected Attorney’s phone number, get a recording stating that the number is disconnected, and do
not know where else to turn for information.

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14. Contact Lawyers Mutual and the Affected Attorney’s excess carrier, if applicable, about extended reporting
coverage.
15. (optional) If you have authorization to handle the Affected Attorney’s financial matters, look around the
office for checks or funds that have not been deposited. Determine if funds should be deposited or returned
to clients. (Some of the funds may be for services already rendered.) Get instructions from clients concerning
any funds in their trust accounts. These funds should either be returned to the clients or forwarded to their
new attorneys. Prepare a final billing statement showing any outstanding fees due, and/or any money in trust.
(To withdraw money from the Affected Attorney’s accounts, you will probably need to be an authorized
signer on the accounts, you will need a written agreement such as the sample provided in Sample Forms of
this handbook, or you will need a limited power of attorney. If this has not been done and is not obtainable
from the Affected Attorney due to death, disability, impairment, or incapacity, you may have to request
that the North Carolina State Bar petition the court to take jurisdiction over the practice and the accounts
pursuant to N.C. Gen. Stat. § 84-28(j). If the Affected Attorney is deceased, another alternative is to petition
the court to appoint a personal representative under the probate statutes.) Money from clients for services
rendered by the Affected Attorney should go to the Affected Attorney or his/her estate.
16. (optional) If you are authorized to do so, handle financial matters, pay business expenses, and liquidate or sell
the practice.
17. (optional) If your responsibilities include sale of the practice, you may want to advertise in the local bar
newsletter, the North Carolina Lawyers Weekly, and other appropriate places.
18. (optional) If your arrangement with the Affected Attorney or estate is that you are to be paid for closing the
practice, submit your bill.
19. (optional) If your arrangement is to represent the Affected Attorney’s clients on their pending cases, obtain
each client’s consent to represent the client and check for conflicts of interest.

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CHECKLIST FOR LAWYERS PLANNING TO PROTECT
CLIENTS’ INTERESTS IN THE EVENT OF THE LAWYER’S
DEATH, DISABILITY, IMPAIRMENT, OR INCAPACITY
1. Use retainer agreements that state you have arranged for an Emergency Attorney to close your practice in the
event of death, disability, impairment, or incapacity.
2. Have a thorough and up-to-date office procedure manual that includes information on:
a. How to check for a conflict of interest;
b. How to use the calendaring system;
c. How to generate a list of active client files, including client names, addresses, and phone
numbers;
d. Where client ledgers are kept;
e. How the open/active files are organized;
f. How the closed files are organized and assigned numbers;
g. Where the closed files are kept and how to access them;
h. The office policy on keeping original documents of clients;
i. Where original client documents are kept;
j. Where the safe deposit box is located and how to access it;
k. The bank name, address, account signers, and account numbers for all law office bank accounts;
l. The location of all law office bank account records (trust and general);
m. Where to find, or who knows about, the computer passwords;
n. How to access your voice mail (or answering machine) and the access code numbers; and
o. Where the post office or other mail service box is located and how to access it.
3. Make sure all of your file deadlines (including follow-up deadlines) are on your calendaring system.
4. Document your files.
5. Keep your time and billing records up-to-date.
6. Avoid keeping original documents of clients, such as wills and other estate planning documents.
7. Have a written agreement with an attorney who will close your practice (the “Emergency Attorney”) that
outlines the responsibilities involved in closing your practice. Determine whether the Emergency Attorney
will also be your personal attorney. Choose an Emergency Attorney who is sensitive to conflict of interest
issues.
8. If your written agreement authorizes the Emergency Attorney to sign trust or general account checks, follow
the procedures required by your local bank. Decide whether you want to authorize access at all times, at
specific times, or only upon the happening of a specific event. In some instances, you and the Emergency
Attorney will have to sign bank forms authorizing the Emergency Attorney to have access to your trust or
general account. Choose your Emergency Attorney wisely—he or she may have access to your clients’ funds.
9. Familiarize your Emergency Attorney with your office systems and keep him or her apprised of office
changes.

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10. Introduce your Emergency Attorney to your office staff. Make certain your staff knows where you keep the
written agreement and how to contact the Emergency Attorney if an emergency occurs before or after office
hours. If you practice without regular staff, make sure your Emergency Attorney knows who to contact (the
landlord, for example) to gain access to your office.
11. Inform your spouse or closest living relative and the personal representative of your estate of the existence
of this agreement and how to contact the Emergency Attorney.
12. Forward the name, address, and phone number of your Emergency Attorney to Lawyers Mutual, Attention:
Risk Management, P.O. Box 1929, Cary, NC 27512. (See Notice of Designated Emergency Attorney
provided on page 19 of this handbook.) This will enable Lawyers Mutual to locate the Emergency Attorney
in the event of your death, disability, impairment, or incapacity.
13. Renew your written agreement with your Emergency Attorney each year. If you include the name of your
Emergency Attorney in your retainer agreement, make sure it is current.

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FINANCIAL PLANNING FOR THE CLOSING OR “SHOW ME
THE MONEY”
Attorneys who have assisted in closing law practices for attorneys who died or became suddenly incapacitated
regularly complain that the funds available to pay for the orderly closing of the law practice are often insufficient. The
Planning Attorney should also plan to make funds available as working capital to pay staff, rent, utilities and the Assisting
Attorney to insure the orderly closing of the practice. Assisting Attorneys often find themselves in a position of having
to go to the Court for their fees from the general estate which may cause some conflicts. Assisting Attorneys and Staff
members should not have to worry about their compensation while being asked to assist the Deceased Attorney’s estate
and family by closing the decedent’s practice in an orderly manner and thereby likely increasing the practice’s value to the
estate.
Suggested Methods of Funding Office Closing:
(1) Establish an Office Closing Fund of $10,000 - $20,000 and designate the Fund’s purpose. Authorize
the use of the Fund in your Will and direct your Personal Representative to use or allow its use for the
purpose of funding the orderly closing of the office.
(2) Take out a small life insurance policy of $10,000 - $25,000 on your life and direct your personal
representative to use the proceeds for the orderly closing of your office as an expense of the estate.
(3) Organize your practice as a professional association or professional limited liability company and leave a
legacy to the corporation or company with directions that the funds be made immediately available to the
Assisting Attorney to pay the bills of closing the office.
(4) Have your P.A. or P.L.L.C. purchase a life insurance policy on your life naming the P.A. or P.L.L.C.
as beneficiary of the policy. Direct in your Will or Trust that the life insurance funds be used for that
purpose.
The closing of your law practice should take only a few weeks if it is properly planned and funded so that your
staff can begin work immediately under the direction of the Assisting Attorney to pull files together, notify clients and
opposing attorneys, collect accounts receivable, prepare motions and notices to the Courts and other measures that will
ease the transfer of files to clients and enhance the value of the practice.

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WILL PROVISIONS
(Sample — Modify as appropriate)
With respect to my law practice, my personal representative is expressly authorized and directed to carry out the terms
of the Agreement to Close Law Practice I have made with Assisting Attorney on ______________, ____; if that
Agreement is not in effect, my personal representative is authorized to enter into a similar agreement or agreements with
other attorneys as my personal representative, in his or her sole discretion, may determine to be necessary or desirable to
protect the interests of my clients and dispose of my practice, including but not limited to: sale of the practice, collection
of accounts receivable, payment of expenses relating to the practice, and employing an attorney or attorneys to review
my files, complete unfinished work, notify my clients of my death and assist them in finding other attorneys, and provide
long-term storage of and access
to my closed files.
OR
My personal representative is expressly authorized and directed to take such steps as he or she deems necessary or
desirable, in my personal representative’s sole discretion, to protect the interests of the clients of my law practice and to
wind down or dispose of that practice, including but not limited to: sale of the practice, collection of accounts receivable,
payment of expenses relating to the practice, and employing an attorney or attorneys to review my files, complete
unfinished work, notify my clients of my death and assist them in finding other attorneys, and provide long-term storage
of and access to my closed files.

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LETTER ADVISING THAT LAWYER IS CLOSING
HIS/HER OFFICE
Re: [Name of Case]
Dear [Name]:
As of [date], I will be closing my law practice due to [provide reason, if possible]. I will be unable to continue representing you
on your legal matters.
I recommend that you immediately hire another attorney to handle your case for you. You can select any attorney you wish,
or I would be happy to provide you with a list of local attorneys who practice in the area of law relevant to your legal needs.
Also, the North Carolina Bar Association provides a lawyer referral service that can be reached at 919-677-8574 or 1-800-
662-7660.
When you select your new attorney, please provide me with written authority to transfer your file to the new attorney. If you
prefer, you may come to our office and pick up a copy of your file, and deliver it to that attorney yourself.
It is imperative that you obtain a new attorney immediately. [Insert appropriate language regarding time limitations or other critical time
lines that client should be aware of.] Please let me know the name of your new attorney, or pick up a copy of your file by [date].
I [or: insert name of the attorney who will store files] will continue to store my copy of your closed file for 10 years. After that time,
I [or, insert name of other attorney if relevant] will destroy my copy of the file unless you notify me in writing immediately that
you do not want me to follow this procedure. [If relevant, add: If you object to (insert name of attorney who will be storing files) storing
my copy of your closed file, let me know immediately and I will make alternative arrangements.]
If you or your new attorney need a copy of the closed file, please feel free to contact me. I will be happy to provide you
with a copy.
Within the next [fill in number] weeks I will be providing you with a full accounting of your funds in my trust account and
fees you currently owe me.
You will be able to reach me at the address and phone number listed on this letter until [date]. After that time, you or your
new attorney can reach me at the following phone number and address:
[Name] [Address] [Phone]
Remember, it is imperative to retain a new attorney immediately. This will be the only way that time limitations applicable to
your case will be protected and your other legal rights preserved.
I appreciate the opportunity of providing you with legal services. Please do not hesitate to give me a call if you have any
questions or concerns.
Sincerely,
[Attorney]
[Firm]

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LETTER NOTIFYING CLIENT OF DESTRUCTION OF FILE
[Date]
[Client Name]
[Street]
[City State Zip]
RE: [Name of Case]
Dear: [Name]
Please be advised that the Firm is purging its files of records pertaining to matters that have been closed for more than
six (6) years. Our policy is to contact our clients and notify them of our intention to destroy the records unless they wish
them returned.
Since these dead files pertain to matters that were concluded over six (6) years ago, you may not wish for their return.
However, we will make these files available to you upon your written request. Please indicate your preference for
destruction or return of the files on the attached listing and return it in the enclosed, self-addressed stamped envelope.
If you select destruction, the files will be physically destroyed by a method that will preserve client confidentiality. You will
not be charged for this service.
If we are notified that you have received this letter, but we receive no response within six (6) weeks of your receipt, we
will assume that you wish the file(s) to be destroyed.
If you wish the records returned, please contact us to arrange transfer of the file.
If you have questions, please address them to _______________________.
As always, we greatly appreciate your business and hope to continue working with you. Thank you for your assistance.
You may receive additional correspondence regarding closed files for other wok we have done on your behalf.
Sincerely,
Attorney]
[Firm]
_______ I/we prefer the file materials be destroyed.
_______ I/we prefer the return of the file(s).
__________________________________________ __________________________
[Client] [Date]

— 14 —
LETTER ADVISING THAT LAWYER IS UNABLE TO
CONTINUE IN PRACTICE
Re: [Name of Case]
Dear [Name]:
Due to ill health, [Affected Attorney] is no longer able to continue practice. You will need to retain the services of another
attorney to represent you in your legal matters. I will be assisting [Affected Attorney] in closing [his/her] practice. We recom-
mend that you retain the services of another attorney immediately so that all of your legal rights can be preserved.
You will need a copy of your legal file for use by you and your new attorney. I am enclosing a written authorization for
your file to be released directly to your new attorney. You or your new attorney can forward this authorization to us and
we will release the file as instructed. If you prefer, you can come to [address of office or location for file pick-up] and pick up a
copy of your file so that you can deliver it to your new attorney yourself.
Please make arrangements to pick up your file, or have your file transferred to your new attorney, by [date]. It is imperative
that you act promptly so that all of your legal rights will be preserved.
Your closed files will be stored in [location]. If you need a closed file, you can contact me at the following address and
phone number until [date]:
________________________ ___________________________ _____________________
After that time, you can contact [Affected Attorney] for your closed files at the following address and phone number:
________________________ ___________________________ ____________________
You will receive a final accounting from [Affected Attorney] in a few weeks. This will include any outstanding balances that
you owe to [Affected Attorney], and an accounting of any funds in your client trust account.
On behalf of [Affected Attorney], I would like to thank you for giving [him/her] the opportunity to provide you with legal
services. If you have any additional concerns or questions, please feel free to contact me.
Sincerely,
[Assisting Attorney]
[Firm]
Enclosure

— 15 —
LETTER FROM FIRM OFFERING TO CONTINUE
REPRESENTATION
Re: [Name of Case]
Dear [Name]:
Due to ill health, [Affected Attorney] is no longer able to continue representing you on your case(s). A member of this
firm, [name], is available to continue handling your case if you wish [him/her] to do so. You have the right to select the
attorney of your choice to represent you in this matter.
If you wish our firm to continue handling your case, please sign the authorization at the end of this letter and return it
to this office.
If you wish to retain another attorney, please give us written authority to release your file directly to your new attorney.
If you prefer, you may come to our office and pick up a copy of your file and deliver it to your new attorney yourself.
We have enclosed these authorizations for your convenience.
Since time deadlines may be involved in your case, it is imperative that you act immediately. Please provide
authorization for us to represent you or written authority to transfer your file by [date].
I want to make this transition as simple and easy as possible. Please feel free to contact me with your questions.
Sincerely,
______________________________________________
[Assisting Attorney]
Enclosures
I want a member of the firm of [insert law firm’s name] to handle my case in place of [insert Affected Attorney’s name].
__________________________________________ __________________________
[Client] [Date]

— 16 —
UNILATERAL LETTER TO CLIENT FROM A
DEPARTING ATTORNEY
Dear [client]:
Effective [date], I became a [partner/shareholder/member] of [name + address of new law firm], having withdrawn from [name of
old law firm]. My decision represents an opportunity to broaden my experiences, and should not be construed as adversely
reflecting in any way on my former firm. It is simply one of those things that sometimes happens in business and profes-
sional life.
I want to be sure that there is no disadvantage to you, as the client, from my move. The decision as to how the matters I
have worked on for you are handled, and who handles them in the future, will be completely yours. Whatever you decide
will be determinative.
Sincerely,
[name of departing attorney]
Please, at your earliest opportunity:
(1) Check the appropriate statement reflecting your wishes.
(2) Retain one of the two copies of your directive contained herein for your records.
(3) Return one copy in the herein provided prepaid addressed envelope. To best protect your interest and promote conti-
nuity of representation, please respond quickly.
[ ] I wish to continue being represented by [departing attorney]. Please transfer to [him/her], at the above stated ad-
dress, all records, files and property in the possession of [name of former firm] as quickly as possible.
[ ] I wish to continue being represented by [name of former firm]. Please have a firm representative contact me to dis-
cuss continuity of representation.
[ ] I wish to now be represented by _________________________________________ (Name and Address of
other Lawyer).
Irrespective of your choice, you remain responsible for any fees and costs already incurred. Any fees or costs may be de-
ducted from any trust fund balance held by the firm. Should photocopying of documents be required you will be charged
(10) (15) (20) (25) cents per copy.
_______________________________ __________________________ ___/___/____
Printed Name Signature Date

— 17 —
AGREEMENT TO CLOSE LAW PRACTICE — FULL FORM
The sample Agreement—Full Form provided gives the Assisting Attorney the power to determine if you are disabled, impaired, or
incapacitated and provides the Assisting Attorney with authority under the designated circumstances to sign on your bank accounts (including
your trust account) and to close your law practice. The Agreement also enumerates powers such as termination, payment for services, and
resolution of disputes.
If you do not want the Assisting Attorney to be the person who determines if you are disabled, incapacitated, or impaired, you will need to
modify this agreement.
Between: _____________________________, hereinafter referred to as “Planning Attorney,”
And: _____________________________ hereinafter referred to as “Assisting Attorney.”
1. Purpose.
The purpose of this agreement is to protect the legal interests of the clients of Planning Attorney in the event
Planning Attorney is unable to continue Planning Attorney’s law practice due to death, disability, impairment, or
incapacity.
2. Parties.
The term Assisting Attorney refers to the attorney designated in the caption above or the Assisting Attorney’s
alternate. The term Planning Attorney refers to the attorney designated in the caption above and the Planning
Attorney’s representatives, heirs, or assigns.
3. Establishing Death, Disability, Impairment, or Incapacity.
In determining whether Planning Attorney is dead, disabled, impaired, or incapacitated, Assisting Attorney
may act upon such evidence as Assisting Attorney shall deem reasonably reliable, including, but not limited to,
communications with Planning Attorney’s family members, representative, or a written opinion of one or more
medical doctors duly licensed to practice medicine. Similar evidence or medical opinions may be relied upon to
establish that Planning Attorney’s disability, impairment, or incapacity has terminated. Assisting Attorney is relieved
from any responsibility and liability for acting in good faith upon such evidence in carrying out the provisions of this
Agreement.
4. Consent to Close Practice.
Planning Attorney hereby gives consent to Assisting Attorney to take all actions necessary to close Planning
Attorney’s legal practice in the event that Planning Attorney is unable to continue in the private practice of law
and Planning Attorney is unable to close Planning Attorney’s own practice due to death, disability, impairment,
or incapacity. Planning Attorney hereby appoints Assisting Attorney as attorney-in-fact, with full power to do and
accomplish all of the actions contemplated by this Agreement as fully and as completely as Planning Attorney
could do personally if Planning Attorney were able. It is Planning Attorney’s specific intent that this appointment
of Assisting Attorney as attorney-in-fact shall become effective only upon Planning Attorney’s death, disability,
impairment, or incapacity. The appointment of Assisting Attorney shall not be invalidated because of Planning
Attorney’s death, disability, impairment, or incapacity, but instead the appointment shall fully survive such death,
disability, impairment, or incapacity and shall be in full force and effect so long as it is necessary or convenient to
carry out the terms of this Agreement. In the event of Planning Attorney’s death, disability, impairment, or incapacity,
Planning Attorney designates Assisting Attorney as signator, or in substitution of Planning Attorney’s signature, on
all of Planning Attorney’s law office accounts with any bank or financial institution, including, but not limited to,
checking accounts, savings accounts, and trust accounts. Planning Attorney’s consent includes but is not limited to:

— 18 —
• Entering Planning Attorney’s office and using the Planning Attorney’s equipment and supplies as needed to close
Planning Attorney’s practice;
• Opening Planning Attorney’s mail and processing it;
• Taking possession and control of all property comprising Planning Attorney’s law office, including client files and
records;
• Examining files and records of Planning Attorney’s law practice and obtaining information as to any pending
matters that may require attention;
• Notifying clients, potential clients, and others who appear to be clients, that Planning Attorney has given this
authorization and that it is in their best interest to obtain other legal counsel;
• Copying Planning Attorney’s files;
• Obtaining client consent to transfer files and client property to new attorneys;
• Transferring client files and property to clients or their new attorneys;
• Obtaining client consent to obtain extensions of time and contacting opposing counsel and courts/administrative
agencies to obtain extensions of time;
• Applying for extensions of time pending employment of other counsel by the clients;
• Filing notices, motions, and pleadings on behalf of clients where the clients’ interests must be immediately
protected and other legal counsel has not yet been retained; • Contacting all appropriate persons and entities who
may be affected, and informing them that Planning Attorney has given this authorization;
• Arranging for transfer and storage of closed files;
• Winding down the financial affairs of Planning Attorney’s practice, including providing Planning Attorney’s
clients with a final accounting and statement for services rendered by Assisting Attorney, return of client funds,
collection of fees on Planning Attorney’s behalf or on behalf of Planning Attorney’s estate, payment of business
expenses, and closure of business accounts when appropriate;
• Advertising Planning Attorney’s law practice or any of its assets to find a buyer for the practice; and
• Arranging for an appraisal of Planning Attorney’s practice for the purpose of selling Planning Attorney’s practice.
Planning Attorney’s bank or financial institution may rely on the authorizations in the Agreement unless such bank or
financial institution has actual knowledge that this Agreement has been terminated or is no longer in effect.
5. Payment For Services.
Planning Attorney agrees to pay Assisting Attorney a reasonable sum for services rendered by Assisting Attorney
while closing the law practice of Planning Attorney. Assisting Attorney agrees to keep accurate time records for
the purpose of determining amounts due for services rendered. Assisting Attorney agrees to provide the services
specified herein as an independent contractor.
6. Preserving Attorney-Client Privilege.
Assisting Attorney agrees to preserve confidences and secrets of Planning Attorney’s clients and their attorney-
client privilege and shall only make disclosures of information reasonably necessary to carry out the purpose of this
Agreement.
7. Assisting Attorney is Attorney for Planning Attorney (delete one of the following paragraphs as
appropriate).
Assisting Attorney is the attorney for Planning Attorney. Assisting Attorney will protect the attorney-client
relationship and follow the North Carolina State Bar Code of Professional Responsibility.
OR:
Assisting Attorney is Not Attorney for Planning Attorney
Assisting Attorney is not the attorney for Planning Attorney.
8. Providing Legal Services.
Planning Attorney authorizes Assisting Attorney to provide legal services to Planning Attorney’s former clients
providing Assisting Attorney has no conflict of interest and obtains the consent of Planning Attorney’s former clients

— 19 —
to do so. Assisting Attorney has the right to enter into an attorney-client relationship with Planning Attorney’s former
clients and to have clients pay Assisting Attorney for his or her legal services. Assisting Attorney agrees to check for
conflicts of interest, and when necessary, to refer the clients to another attorney.
9. Informing North Carolina State Bar.
Assisting Attorney agrees to inform the North Carolina State Bar where Planning Attorney’s closed files will be stored
and the name, address, and phone number of the contact person for retrieving those files.
10. Contacting Lawyers Mutual Liability Insurance Company (or other Carrier).
Planning Attorney authorizes Assisting Attorney to contact Lawyers Mutual Liability Insurance Company or other
professional liability insurance carrier concerning any legal malpractice claims or potential claims.
11. Providing Clients With Accounting.
Assisting Attorney agrees to provide Planning Attorney’s former clients with a final accounting and statement for
legal services of Planning Attorney based on the Planning Attorney’s records. Assisting Attorney agrees to return
client funds to Planning Attorney’s former clients and to submit funds collected on behalf of Planning Attorney to
Planning Attorney or Planning Attorney’s estate representative.
12. Indemnification.
Planning Attorney agrees to indemnify Assisting Attorney against any claims, loss, or damage arising out of any act
or omission by Assisting Attorney under this agreement, provided the actions or omissions of Assisting Attorney
were made in good faith, were made in a manner reasonably believed to be in Planning Attorney’s best interest,
and occurred while Assisting Attorney was assisting Planning Attorney with the closure of Planning Attorney’s
office. This indemnification agreement does not extend to any acts, errors, or omissions of Assisting Attorney while
rendering or failing to render professional services in Assisting Attorney’s capacity as attorney for the former clients
of Planning Attorney. Assisting Attorney shall be responsible for all acts and omissions of gross negligence and
willful misconduct.
13. Option to Purchase Practice.
Assisting Attorney shall have the first option to purchase the practice of Planning Attorney under the terms and
conditions specified by Planning Attorney or Planning Attorney’s representative in accordance with the North
Carolina State Bar Code of Professional Responsibility and other applicable law.
14. Arranging to Sell Practice.
If Assisting Attorney opts not to purchase Planning Attorney’s practice, Assisting Attorney will make all reasonable
efforts to sell Planning Attorney’s practice and will pay Planning Attorney or Planning Attorney’s estate all monies
received.
15. Fee Disputes to be Arbitrated.
Planning Attorney and Assisting Attorney agree that all fee disputes between them will be decided by the North
Carolina State Bar Fee Arbitration Program.
16. Termination.
This Agreement shall terminate upon: (1) delivery of written notice of termination by Planning Attorney to Assisting
Attorney during any time that Planning Attorney is not under disability, impairment, or incapacity as established under
Section 3 of this Agreement; (2) delivery of written notice of termination by Planning Attorney’s representative upon
a showing of good cause; or (3) delivery of a written notice of termination given by Assisting Attorney to Planning
Attorney, subject to any ethical obligation to continue or complete any matter undertaken by Assisting Attorney
pursuant to this Agreement.
If Assisting Attorney or Assisting Attorney’s Alternate for any reason terminates this agreement or is terminated,
Assisting Attorney or Assisting Attorney’s Alternate acting on his or her behalf shall (1) provide a full and accurate

— 20 —
accounting of financial activities undertaken on Planning Attorney’s behalf within 30 days of termination or
resignation and (2) provide Planning Attorney with Planning Attorney’s files, records, and funds.
_______________________________
Planning Attorney] [Date]
___________________________________
[Planning Attorney] [Date]
STATE OF NORTH CAROLINA
COUNTY OF ________________
I, _______________, a Notary Public of the County and State aforesaid; certify that _________________ personally
appeared before me this day and acknowledged the execution of the foregoing instrument.
Witness my hand and official stamp or seal this the __ day of ______.
_____________________
Notary Public
My Commission Expires: ______
___________________________________
[Assisting Attorney] [Date]
COUNTY OF ________________
_____________________
Notary Public

— 21 —
NOTICE TO LAWYERS MUTUAL OF DESIGNATED
EMERGENCY ATTORNEY
I, _______________, have authorized the following attorney(s) to assist with the closure of my practice:
Name of Authorized Assisting Attorney: _____________________
Address: ______________________________________________
Phone No. : ___________________________________________
Name of Assisting Attorney’s Alternate: _____________________
Address: ______________________________________________
Phone No. : ___________________________________________
Mail this form to: Lawyers Mutual
PO Box 1929
Cary, NC 27512-1929
North Carolina State Bar
PO Box 25908
Raleigh, NC 27611-5908

— 22 —
CONDITIONAL DURABLE POWER OF ATTORNEY
NORTH CAROLINA CONDITIONAL DURABLE
COUNTY OF ______________ POWER OF ATTORNEY (Law Office Closing)
I, ____________________________, do hereby appoint ____________________________, as my agent and attor-
ney-in-fact for the limited purpose of conducting all transactions and taking any actions that I might do with respect to
my bank account(s) and safe deposit box(es). I do further authorize my banking institutions to transact my law office
account(s) as directed by my attorney-in-fact and to afford the attorney-in-fact all rights and privileges that I would other-
wise have with respect to my account(s) and safe deposit box(es). Specifically, I am authorizing my attorney-in-fact to sign
my name on checks, notes, drafts, orders, or instruments for deposit, withdraw, or transfer money to or from my law office
account(s), make electronic funds transactions, receive statements and notices on the account(s), and do anything with
respect to the law office account that I would be able to do. I am also authorizing my named attorney-in-fact to enter and
open my safe deposit box(es), place property in the box(es), remove property from the box(es), and otherwise do anything
with the box(es) that I would be able to do, even if my attorney-in-fact has no legal interest in the property in the box.
This power of attorney shall be effective upon execution; however, my attorney-in-fact shall not be empowered to act
on my behalf until I become incapacitated or mentally incompetent. My attorney-in-fact will NOT (except by my written
request) exercise any authority granted by this instrument unless and until (s)he receives a written certificate by two (2)
licensed medical doctors stating that physically or mentally I am incapable of handling my own business affairs. My said
attorney-in-fact shall have no duty to inquire regarding my physical or mental condition, and shall have no duty (except
at my written request) to exercise his/her powers under this instrument until (s)he has received certification from two
medical doctors as described above.
This Power of Attorney will continue until the banking institution receives my written revocation of this Power of
Attorney or written instructions from my attorney-in-fact to stop honoring the signature of my attorney-in-fact.
This Power of Attorney shall not be affected by my subsequent disability or incapacity.
_______________________________________ _____________________
[Account holder] [Date]
COUNTY OF ________________
_____________________
Notary Public

— 23 —
SPECIMEN SIGNATURE OF ATTORNEY-IN-FACT
The attorney-in-fact acknowledges that the foregoing is his/her signature.
_______________________________________ _____________________
[Attorney-in-Fact] [Date]
COUNTY OF ________________
_____________________
Notary Public

— 24 —
LETTER OF UNDERSTANDING FOR DELIVERY OF
POWER OF ATTORNEY
TO: _______________________________________
I am enclosing a Power of Attorney in which I have named _________________________ as my attorney-in-fact. You
and I have agreed that you will do the following:
1. Upon my written request, you will deliver the Power of Attorney to me or to any person that I designate.
2. You will deliver the Power of Attorney to the person named as my attorney-in-fact (if more than one person
is named, you may deliver it to either of them) if you determine, using your best judgment, that I am unable
to conduct my business affairs due to disability, impairment, incapacity, illness, or absence. In determining
whether to deliver the Power of Attorney, you may use any reasonable means you deem adequate, including
consultation with my physician(s) and family members. If you act in good faith, you will not be liable for any
acts or omissions on your part in reliance upon your belief.
3. If you incur expenses in assessing whether you should deliver this Power of Attorney, I will compensate you
for the expenses incurred.
4. You do not have any duty to check with me from time to time to determine if I am able to conduct my
business affairs. I expect that if this occurs, you will be notiﬁed by a family member, friend, or colleague of
mine.
__________________________________________ ________________________ [Trusted
Family Member or Friend/Attorney-in-Fact] [Date]
__________________________________________ ________________________
[Planning Attorney] [Date]

— 25 —
ENGAGEMENT LETTER: ASSISTING ATTORNEY CLAUSE –
CLIENT ENGAGEMENT
Re: [Subject]
Dear [Name]:
The purpose of this letter is to confirm, based on our conversation of [date], that [firm name] will represent you in [describe
matter]. We will provide the following services: [list services to be provided].
Attached for your use is information on our billing and reporting procedures. Our fee is [dollars per hour] for services
performed by lawyers of this firm and [dollars per hour] for services performed by our non-lawyer staff. You will also be
billed for expenses and costs incurred on your behalf.
Our expectations of you are: [list any expectations concerning payment of bills, responses to requests for information, etc.]. This firm has
not been engaged to provide the following services: [list services that are outside the scope of the representation].
I estimate that fees and expenses in this case will be [provide a realistic, worst-case estimate of fees and expenses]. Please keep in
mind that this is only an estimate and that, depending on the time required and the complexity of the action, actual fees
and expenses may exceed this estimate. You will be billed for actual fees and expenses.
It is very difficult to accurately predict how long it will take to conclude your case. Generally these cases take [provide
a realistic, worst-case estimate of time to be spent on the case]. This is only an estimate, and the actual time required to
conclude this matter may be greater than expected.
I have enclosed a copy of the initial interview form. If any of the information on this form is incorrect, please notify
[primary contact] immediately. If you have any questions about this information, please call [primary contact].
My objectives are to provide you with excellent legal services and to protect your interests in the event of my
unexpected death, disability, impairment, or incapacity. To accomplish this, I have arranged with another
attorney to assist with closing my practice in the event of my death, disability, impairment, or incapacity. In
such event, my office staff or the assisting attorney will contact you and provide you with information about
how to proceed.
I will send you pleadings, documents, correspondence, and other information throughout the case. These copies will be
your file copies. I will also keep the information in a file in my office. The file in my office will be my file. Please bring your
file to all of our meetings so that we both have all of the necessary information available to us. When I have completed all
the legal work necessary for your case, I will close my file and return original documents to you. I will then store the file for
approximately 10 years. I will destroy the file after that period of time unless you instruct me in writing now to keep it longer.
If any of the information in this letter is not consistent with your understanding of our agreement, please contact me
before signing this agreement. Otherwise, please sign the agreement and return it to me.

— 26 —
On behalf of the ﬁrm, we appreciate the opportunity to represent you in this matter. If you have any questions, please
feel free to call.feel free to call.
Very truly yours,
__________________________________________
[Attorney]
[Firm]
I have read this letter and consent to it.
__________________________________________ ___________________
[Client] [Date]
Enclosures
NOTE: This is a sample form only. Use of this letter will help to establish clear expectations and avoid misunderstandings between you and your
client. It will not, however, provide absolute protection against a malpractice action.

— 27 —
FOLLOW-UP LETTER TO INITIAL INTERVIEW
Re: [Subject]
Dear [Name]:
We met to discuss your case on [date], and I have agreed to represent you in connection with [type of matter] and we agreed
to [insert appropriate details].
Thank you for selecting our law firm to represent you in this matter. At this time I also wish to set forth our agreement
regarding payment of our fees. Our fees for legal services are [amount per hour], plus any expenses such as filing fees,
deposition charges, copying costs, postage, and related expenses. We will bill you approximately monthly, depending on
the amount of work that was done on your file during that period of time. At this point, it is difficult to estimate the
amount of time and expense that will be necessary to adequately represent you in this case. However, as we discussed, we
estimate the fee will be approximately [dollar amount]. We will also advise you before we do any work that will substantially
increase the amount of fees.
You have deposited [dollar amount] with us for fees and costs. We will hold your funds in our Law Firm Trust Account. We
will provide you with a monthly statement of fees, costs, and expenses. After we mail you the monthly statement, we will
apply the funds to fees earned, costs, and expenses incurred. You are also responsible for paying fees, costs, and expenses
in excess of the funds that we hold.
My goal is to provide you with excellent legal services. I also want to protect your interests in the event of my unexpected
death, disability, impairment, or incapacity. In order to accomplish this, I have arranged with another attorney to assist
with closing my practice in the event of my death, disability, impairment, or incapacity. In such event, my office staff or
the assisting attorney will contact you and provide you with information about how to proceed.
I will send you pleadings, documents, correspondence, and other information throughout the case. These copies will be
your file copies. I will also keep the information in a file in my office. The file in my office will be my file. Please bring your
file to all of our meetings so that we both have all of the necessary information available to us. When I have completed
all the legal work necessary for your case, I will close my file and return the original documents to you. I will then store
the file for approximately 10 years. I will destroy the file after that period of time unless you instruct me in writing now to
keep it longer.
I have included a copy of this letter for you to review, sign, and return to me. If any of the information in this letter is not
consistent with your understanding of our agreement, please contact me before signing the letter. Otherwise, please sign
the enclosed copy and return it to me.

— 28 —
On behalf of the ﬁrm, we appreciate the opportunity to represent you in this matter. If you have any questions, please
feel free to call.
Very truly yours,
__________________________________________
[Attorney]
[Firm]
I have read this letter and consent to it.
__________________________________________ ___________________
[Client] [Date]
Enclosure

— 29 —
CONTINGENT FEE AGREEMENT
I, [client], hereby retain [attorney], Attorney at Law, to represent me for the purpose of recovery of damages arising out of
an accident or incident occurring on [date], at [location].
I agree to pay the actual expenses reasonably incurred by my attorney on my behalf. These expenses may include filing
fees, service fees, witness fees, doctors’ reports, medical records, court reporter fees, court trial fees, photocopying costs,
long distance telephone calls, postage, witness fees, mileage fees, and other necessary court and office costs. My attorney
will not incur costs of more than [dollar amount] without first notifying me.
With my consent, my attorney may employ investigators and experts as may be required to prepare, pursue, and litigate
my case. All fees and expenses charged by the investigators and experts will be paid by me. My attorney is authorized to
pay the investigator or experts’ fees or expenses from the funds I deposit with the attorney or from the proceeds of any
settlement or judgment in my case.
I agree to pay my attorney from the proceeds of any recovery, according to the following schedule:
25% of all sums recovered if settlement is negotiated before filing of the complaint.
33 1/3% of all sums recovered if settlement is negotiated before commencement of trial or arbitration hearing.
40% of all sums recovered during or after trial or arbitration has commenced.
“Sums recovered” means [insert appropriate language].
If no recovery on my behalf is made, I am not liable for attorney fees to my attorney, but will be responsible only for the
actual expenses incurred by my attorney. I have deposited [dollar amount] with my attorney which is to be used toward costs
and other expenses.
No fee will be charged for assistance to me in obtaining recovery of benefits under my insurance policy for Medical
Payments Coverage (MedPay) , unless MedPay benefits are denied by my insurance company. My attorney may charge the
percentage fee based on the above schedule on any MedPay benefits collected after a denial by my insurance company.
Also, if my insurance company agrees, my attorney may collect a percentage of the subrogated proceeds paid by the
party at fault to my insurance company.
My attorney may assign all or any portion of the work to be performed to an associate or to other attorneys in the
firm, and may use paralegals or others working under my attorney’s supervision. In the event of my attorney’s death,
disability, impairment, or incapacity, I agree that another attorney appointed by my attorney can protect my
rights and help close my attorney’s practice.
My attorney agrees to send me copies of all documents filed in my case, all correspondence, and any and all other printed
materials for my personal file. My attorney will also keep a copy of all information for [his/her] file. When my attorney
has completed all the legal work necessary for my case, my attorney will close [his/her] file and return all my original
documents to me. My attorney will then store [his/her] file for 10 years after my case is closed. After that time, my
attorney will destroy [his/her] file.

— 30 —
My attorney agrees to provide conscientious, competent, and diligent services, and I agree to cooperate with my attorney
and others working on my case by keeping appointments, appearing for depositions, producing documents, attending
special court appearances, and making payments as agreed.
This agreement does not cover attorney’s fees in the event of an appeal or retrial.
I AM ENTITLED TO RESCIND THIS AGREEMENT WITHIN 24 HOURS AFTER SIGNING, UPON WRITTEN
NOTICE TO MY ATTORNEY. (Please read the explanation on the following page before signing.)
SIGNED by me on ________________________________, _________.
APPROVED:
__________________________________________ _______________________________________
[Attorney] [Client]
Enclosure

— 31 —
EXPLANATION OF CONTINGENT FEE AGREEMENT
This is an explanation of your Contingent Fee Agreement with us. Please read it and sign it before you sign the
Agreement.
The Contingent Fee Agreement says:
1. We agree to handle your case.
2. If we handle your case to completion and do not recover any money for you, you do not have to pay us for our
services.
3. If we handle your case to completion and recover some money for you, you must pay us for our services. Our fee
will be a percentage of what we recover for you. The percentage is set forth in the Contingent Fee Agreement.
4. If we advance money for ﬁling fees, witness fees, doctors’ reports, medical records, court reporters’ services, or
other expenses on your behalf, you must repay us whether the case is won or lost.
5. You may cancel the Contingent Fee Agreement by notifying us in writing within 24 hours after you sign it.
6. If you cancel the Agreement within the 24-hour period, you will have no obligation to us.
I have read the foregoing explanation before I signed a Contingent Fee Agreement with [name of attorney].
__________________________________________ _______________________________________
[Client] [Date]

— 32 —
OFFICECLOSUREFILETRACKINGCHART
FILENAME
FILE
NO.REVIEWED
DISCUSSED
W/CLIENT
INSTRUCTIONS
RECEIVED
FILE
COPIED
FILETONEW
LAWYER
OTHERACTION
REQUIRED
RECEIPT
REC'D&FILED

— 33 —
AUTHORIZATION FOR TRANSFER OF CLIENT FILE
I hereby authorize the law ofﬁce of [Firm/Attorney Name] to deliver a copy of my ﬁle to my new attorney at the following
address:
[Client]
[Date]

— 34 —
REQUEST FOR FILE
I hereby request that [Firm/Attorney Name] provide me with a copy of my ﬁle. Please send the ﬁle to the following address:
[Client] [Date]

— 35 —
ACKNOWLEDGMENT OF RECEIPT OF FILE
I hereby acknowledge that I have received a copy of my ﬁle from the law ofﬁce of [name].
[Client] [Date]

— 36 —
LAW OFFICE LIST OF CONTACTS
ATTORNEY NAME: _______________________ Social Security #: _____________________
OR State Bar #: ________ Federal Employer ID #: _____________ State Tax ID#: ___________
Date of Birth: _________
Ofﬁce Address: ______________________________________________
______________________________________________
Ofﬁce Phone: ________________________
Home Address: ______________________________________________
______________________________________________
Home Phone: ________________________
SPOUSE:
Name: ________________________
Work Phone: ________________________
Employer: ________________________
OFFICE MANAGER:
Name: ________________________
Home Address: ______________________________________________
______________________________________________
Home Phone: ________________________
COMPUTER AND TELEPHONE PASSWORDS:
(Name of person who knows passwords or location where passwords are stored, such as a safe deposit box)
Name: ________________________
Home Address: ______________________________________________
______________________________________________
Home Phone: ________________________
POST OFFICE OR OTHER MAIL SERVICE BOX:
Location: ________________________
Box No.: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
SECRETARY:
Name: ________________________
Home Address: ______________________________________________
______________________________________________
Home Phone: ________________________

— 37 —
BOOKKEEPER:
Name: ________________________
Home Address: ______________________________________________
______________________________________________
Home Phone: ________________________
LANDLORD:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
PERSONAL REPRESENTATIVE:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
ATTORNEY:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
ACCOUNTANT:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
ATTORNEYS TO HELP WITH PRACTICE CLOSURE:
First Choice: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Second Choice: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Third Choice: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
LOCATION OF WILL AND/OR TRUST:
Access Will and/or Trust
by Contacting: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________

— 38 —
PROFESSIONAL CORPORATIONS:
Corporate Name:
Date Incorporated: ________________________
Location of Corporate
Minute Book: ________________________
Seal: ________________________
Stock Certiﬁcate: ________________________
Tax Returns: ________________________
Fiscal Year-End
Date: ________________________
Corporate Attorney:
Address: ______________________________________________
______________________________________________
Phone: ________________________
PROCESS SERVICE COMPANY:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Contact: ________________________
OFFICE-SHARER OR “OF COUNSEL:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
OFFICE PROPERTY/LIABILITY COVERAGE:
Insurer: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
OTHER IMPORTANT CONTACTS:
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Reason for Contact: ________________________

— 39 —
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
GENERAL LIABILITY COVERAGE:
Insurer: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
LEGAL MALPRACTICE-PRIMARY COVERAGE:
Provider: Lawyers Mutual
Address: P.O. Box 1929
Cary, NC 27512
Phone: 800-662-8843
LEGAL MALPRACTICE EXCESS COVERAGE:
Insurer: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
VALUABLE PAPERS COVERAGE:
Insurer: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
OFFICE OVERHEAD/DISABILITY INSURANCE:
Insurer: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________

— 40 —
HEALTH INSURANCE:
Insurer Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Persons Covered: ________________________
Contact Person: ________________________
DISABILITY INSURANCE:
Insurer Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
LIFE INSURANCE:
Insurer Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
WORKERS’ COMPENSATION INSURANCE:
Insurer Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Policy No.: ________________________
Contact Person: ________________________
STORAGE LOCKER LOCATION:
Storage Company: ________________________ Locker No.: ______
Address: ______________________________________________
______________________________________________
Phone: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Items Stored: ______________________________________________

— 41 —
Address: ______________________________________________
______________________________________________
Phone: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Items Stored: ______________________________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Items Stored: ______________________________________________
SAFE DEPOSIT BOXES:
Institution: ________________________
Box No.: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Items Stored: ________________________
IInstitution: ________________________
Box No.: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Items Stored: ________________________

— 42 —
Institution: ________________________
Box No.: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Obtain Key From: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Items Stored: ________________________
LEASES:
Item Leased: ________________________
Lessor: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration Date: ________________________
Item Leased: ________________________
Lessor: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration Date: ________________________
Item Leased: ________________________
Lessor: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration Date: ________________________
Item Leased: ________________________
Lessor: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration Date: ________________________

— 43 —
LAWYER TRUST ACCOUNT:
IOLTA:
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
INDIVIDUAL TRUST ACCOUNT:
Name of Client: ________________________
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
GENERAL OPERATING ACCOUNT:
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________

— 44 —
GENERAL OPERATING ACCOUNT: (Continued)
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
BUSINESS CREDIT CARD:
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Institution: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Account Number: ________________________
Other Signatory: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
MAINTENANCE CONTRACTS:
Item Covered: ________________________
Vendor Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration: ________________________
Item Covered: ________________________
Vendor Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration: ________________________

— 45 —
Item Covered: ________________________
Vendor Name: ________________________
Address: ______________________________________________
______________________________________________
Phone: ________________________
Expiration: ________________________
ALSO ADMITTED TO PRACTICE IN THE FOLLOWING STATES:
State of: ________________________
Bar Address: ______________________________________________
______________________________________________
Phone: ________________________
Bar ID #: ________________________
State of: ________________________
Bar Address: ______________________________________________
______________________________________________
Phone: ________________________
Bar ID #: ________________________
State of: ________________________
Bar Address: ______________________________________________
______________________________________________
Phone: ________________________
Bar ID #: ________________________

— 46 —
N.C. GEN. STAT. §84-28(j) 27 N.C. ADMIN. CODE, 1B §.0122
§ 84-28. Discipline and disbarment.
(a) Any attorney admitted to practice law in this State is subject to the disciplinary jurisdiction of the Council under
such rules and procedures as the Council shall adopt as provided in G.S. 84-23.
(b) The following acts or omissions by a member of the North Carolina State Bar or any attorney admitted for
limited practice under G.S. 84-4.1, individually or in concert with any other person or persons, shall constitute
misconduct and shall be grounds for discipline whether the act or omission occurred in the course of an attorney-
client relationship or otherwise:
(1) Conviction of, or a tender and acceptance of a plea of guilty or no contest to, a criminal offense showing
professional unfitness;
(2) The violation of the Rules of Professional Conduct adopted and promulgated by the Council in effect at the
time of the act;
(3) Knowing misrepresentation of any facts or circumstances surrounding any complaint, allegation or charge
of misconduct; failure to answer any formal inquiry or complaint issued by or in the name of the North
Carolina State Bar in any disciplinary matter; or contempt of the Council or any committee of the North
Carolina State Bar.
(c) Misconduct by any attorney shall be grounds for:
(1) Disbarment;
(2) Suspension for a period up to but not exceeding five years, any portion of which may be stayed upon
reasonable conditions to which the offending attorney consents;
(3) Censure – A censure is a written form of discipline more serious than a reprimand issued in cases in which an
attorney has violated one or more provisions of the Rules of Professional Conduct and has caused significant
harm or potential significant harm to a client, the administration of justice, the profession or members of the
public, but the protection of the public does not require suspension of the attorney’s license;
(4) Reprimand – A reprimand is a written form of discipline more serious than an admonition issued in cases
in which an attorney has violated one or more provisions of the Rules of Professional Conduct, but the
protection of the public does not require a censure. A reprimand is generally reserved for cases in which the
attorney’s conduct has caused harm or potential harm to a client, the administration of justice, the profession,
or members of the public; or
(5) Admonition – An admonition is a written form of discipline imposed in cases in which an attorney has
committed a minor violation of the Rules of Professional Conduct.
Any order disbarring or suspending an attorney may impose reasonable conditions precedent to reinstatement.
No attorney who has been disbarred by the Disciplinary Hearing Commission, the Council, or by order of any
court of this State may seek reinstatement to the practice of law prior to five years from the effective date of the
order of disbarment. Any order of the Disciplinary Hearing Commission or the Grievance Committee imposing
an admonition, reprimand, censure, or stayed suspension may also require the attorney to complete a reasonable
amount of continuing legal education in addition to the minimum amount required by the North Carolina
Supreme Court.
(d) Any attorney admitted to practice law in this State, who is convicted of or has tendered and has had accepted, a
plea of guilty or no contest to, a criminal offense showing professional unfitness, may be disciplined based upon
the conviction, without awaiting the outcome of any appeals of the conviction. An order of discipline based
solely upon a conviction of a criminal offense showing professional unfitness shall be vacated immediately upon
receipt by the Secretary of the North Carolina State Bar of a certified copy of a judgment or order reversing the
conviction. The fact that the attorney’s criminal conviction has been overturned on appeal shall not prevent the
North Carolina State Bar from conducting a disciplinary proceeding against the attorney based upon the same
underlying facts or events that were the subject of the criminal proceeding.
(d1)An attorney who is disciplined as provided in subsection (d) of this section may petition the court in the
trial division in the judicial district where the conviction occurred for an order staying the disciplinary action
pending the outcome of any appeals of the conviction. The court may grant or deny the stay in its discretion

— 47 —
upon such terms as it deems proper. A stay of the disciplinary action by the court shall not prevent the
North Carolina State Bar from going forward with a disciplinary proceeding against the attorney based upon
the same underlying facts or events that were the subject of the criminal proceeding.
(e) Any attorney admitted to practice law in this State who is disciplined in another jurisdiction shall be subject to
the same discipline in this State: Provided, that the discipline imposed in the other jurisdiction does not exceed
that provided for in subsection (c) above and that the attorney was not deprived of due process in the other
jurisdiction.
(f) Upon application by the North Carolina State Bar, misconduct by an attorney admitted to practice in this State
may be restrained or enjoined where the necessity for prompt action exists regardless of whether a disciplinary
proceeding in the matter of the conduct is pending. The application shall be filed in the Superior Court of Wake
County and shall be governed by the procedure set forth in G.S. 1A-1, Rule 65.
(g) Any member of the North Carolina State Bar may be transferred to disability inactive status for mental
incompetence, physical disability, or substance abuse interfering with the attorney’s ability to competently engage
in the practice of law under the rules and procedures the Council adopts pursuant to G.S. 84-23.
(h) There shall be an appeal of right from any final order imposing admonition, reprimand, censure, suspension,
stayed suspension, or disbarment upon an attorney, or involuntarily transferring a member of the North Carolina
State Bar to disability inactive status to the North Carolina Court of Appeals. Review by the appellate division
shall be upon matters of law or legal inference. The procedures governing any appeal shall be as provided by
statute or court rule for appeals in civil cases. A final order which imposes disbarment or suspension for 18
months or more shall not be stayed except upon application, under the rules of the Court of Appeals, for a
writ of supersedeas. A final order imposing suspension for less than 18 months or any other discipline except
disbarment shall be stayed pending determination of any appeal of right.
(i) The North Carolina State Bar may invoke the process of the General Court of Justice to enforce the powers of
the Council or any committee to which the Council delegates its authority.
(j) The North Carolina State Bar may apply to appropriate courts for orders necessary to protect the interests of
clients of missing, suspended, disbarred, disabled, or deceased attorneys.
The senior regular resident judge of the superior court of any district wherein a member of the North Carolina
State Bar resides or maintains an office shall have the authority and power to enter orders necessary to protect
the interests of the clients, including the authority to order the payment of compensation by the member or the
estate of a deceased or disabled member to any attorney appointed to administer or conserve the law practice
of the member. Compensation awarded to a member serving under this section awarded from the estate of
a deceased member shall be considered an administrative expense of the estate for purposes of determining
priority of payment. (1933, c. 210, s. 11; 1937, c. 51, s. 3; 1959, c. 1282, ss. 1, 2; 1961, c. 1075; 1969, c. 44, s. 61;
1975, c. 582, s. 5; 1979, c. 570, ss. 6, 7; 1983, c. 390, ss. 2, 3; 1985, c. 167; 1987, c. 316, s. 4; 1989, c. 172, s. 2; 1991,
c. 210, s. 5; 1995, c. 431, s. 18.)
.0122 Appointment of Counsel to Protect Clients’ Interests When Attorney Disappears, Dies, or is Transferred
to Disability Inactive Status.
(a) Whenever a member of the North Carolina State Bar has been transferred to disability inactive status, disappears,
or dies and no partner or other member of the North Carolina State Bar capable of protecting the interests
of the attorney’s clients is known to exist, the senior resident judge of the superior court in the district of the
member’s most recent address on file with the North Carolina State Bar, if it is in this state, will be requested
by the secretary to appoint an attorney or attorneys to inventory the files of the member and to take action to
protect the interest of the member and his or her clients.
(b) Any member so appointed will not be permitted to disclose any information contained in any files inventoried
without the consent of the client to whom such files relate except as necessary to carry out the order of the
court which appointed the attorney to make such inventory.
History Note: Statutory Authority G.S. 84-23; G.S. 84 - 28(j)
Readopted Effective December 8, 1994.

— 48 —
RPC 16
October 24, 1986
FILES OF A DECEASED LAWYER
Opinion rules that a lawyer appointed conservator of a deceased lawyer’s files should comply with the instructions of the court and seek to
preserve valuable documents and confidential information.
Inquiry:
Attorney A represents Client W, the widow of Attorney Y. Attorney Y practiced law in the area for approximately
twenty-five years, during which time he accumulated numerous files. Attorney A has been appointed conservator of
Attorney Y’s files by the senior resident Superior Court Judge. As conservator, and counsel for Client W, Attorney A
contacted each of Attorney Y’s clients who had active files in his office at the time of Attorney Y’s death. Most of
those clients have picked up their files.
Attorney Y was associated with one other lawyer at the time of his death. Shortly after Y’s death, that other lawyer
opened up his own practice in a separate building.
Client W is planning to sell the office building where Y’s practice was located and needs to do something with the
numerous files that were accumulated over the years. Specifically, is the estate authorized to file these files in another
attorney’s office or in the Clerk’s Office if such accommodations can be arranged? If those accommodations cannot
be arranged, must the estate store these files indefinitely? Can the estate attempt to notify the clients involved by legal
advertisement in the paper and then physically destroy all files not picked up in a reasonable period of time? Attorney
A is concerned about problems of client confidentiality if files are
turned over to another law firm. Attorney A is also concerned about the loss of valuable documents if files are
shredded and destroyed.
What may Attorney A ethically do to handle the problem of Y’s files?
Opinion:
The Bar cannot speak as to what the estate may or may not do as the estate is not an attorney bound by the Rules of
Professional Conduct. Nor is Attorney Y’s widow subject to the Rules. Nor can the Bar speak to any legal questions
of the client’s rights to their files.
Attorney A , as counsel for W and as conservator of Y’s files, should seek to advise W reasonably according to any
potential obligations she may have and should seek direction and approval from the court which appointed him
conservator. There appear to be few ethics opinions dealing with ultimate disposition of the files of a deceased
lawyer, particularly inactive files. On the other hand, many jurisdictions have dealt with the question of what an
attorney or firm may do with their own files which become inactive and have recognized that even an
attorney in active practice is not required to retain entire files indefinitely. Generally, opinions have suggested that
an attorney concerned with his own files may notify clients that inactive files may be destroyed within a reasonable
period of time if the client does not pick up the file or direct that it be transferred to another attorney. In destroying
files, opinions have generally suggested that attorneys should not destroy items which actually belong to the client,
information useful in the assertion or defense of a client’s position in a matter for which the statute of limitations
s not expired, or information which the client may need, does not already have, and which is not readily fillable
otherwise. Generally, attorneys should also retain accounts or records of their receipts or disbursements and an
index or identification of destroyed files. In determining what should be destroyed, the files should be screened and
determinations made according to the nature and contents of those files. See ABA Informal Opinion 1384 (March 14,

— 49 —
1977); Kentucky Bar Association Opinion E-300 (January 11, 1985); New York City Bar Association Opinion 82-15
(February 6, 1985); Maryland Opinion 85-77, 801 ABA/BNA Lawyer’s Manual on Professional Conduct at 4359.
As an attorney, Attorney A is not in the same position as he would be with regard to the disposition of his own files,
but should have due regard to the considerations involved in disposition of files of an attorney. Thus, Attorney A
should take note of confidential information as governed by Rule 4 of the Rules of Professional Conduct and should
avoid simply transferring a case to another attorney, without the client’s instruction or consent, for handling by that
other attorney. Storage in a reasonable location, whether in another attorney’s office or elsewhere, would certainly be
appropriate. Otherwise, Attorney A should comply with the direction of the court which appointed him conservator
and follow his personal conscience and sense of professional responsibility in making every effort to see that files are
dealt with appropriately.

— 50 —
RPC 48
October 28, 1988
LAW FIRM DISSOLUTION
Opinion outlines professional responsibilities of lawyers involved in a law firm dissolution.
Inquiry:
What are the ethical responsibilities of lawyers involved in a firm dissolution?
Opinion:
The dissolution of a law firm involves four potential areas of ethical concern for the principals involved: (a) the conti-
nuity of service to clients; (b) the right of clients to counsel of their choice; (c) the obligation of the principals to deal
honestly with each other; (d) the involvement of clients in the disputes of the principals; and (e) the protection of the
property of clients entrusted to the firm.
A. The Continuity of Service to Clients
Canon VII of the North Carolina Rules of Professional Conduct requires that an attorney represent his or her client
zealously. This Canon, and the Rules adopted pursuant to it, require that the attorneys involved in dissolution take care
that they continue to fulfill the lawful objectives of their clients.
While the client may have a contractual relationship with the firm, any professional relationships with regard to legal
matters are necessarily personal as between the client and at least one identifiable attorney. Any attorney involved in
such a professional relationship with a client at the time of dissolution has an obligation to continue the representation,
as contemplated by the contract of employment, until the matter is concluded or, until the attorney is required or
permitted to withdraw.
B. The Right of Clients to Counsel of Their Choice
The attorneys also must take care to notify present clients of the change in the relationship among the attorneys. In
giving this notice, the right of clients freely to choose counsel must be preserved. Ideally, the attorneys will agree on
the notice to be sent, who sends it, to whom it is sent, and when it is sent. CPR 24. In the absence of agreement,
any attorneys in the firm who have had significant professional contact with the client may send such a notice. Each
attorney in the firm who has an ongoing professional relationship with the client has an obligation to see to it that such
a notice is sent. Rule 6(b)(1) and (2).
The attorneys must take particular care in notifying a present client for whom the firm is handling a current matter. In
addition to notice of the change, such a client should be informed of the status of the matter, the attorney or attorneys
who have been working on the matter, and should be asked to select an attorney or attorneys to continue the matter to
conclusion. CPR 24, Rule 6(b)(1) and (2). Ideally, this communication to present clients should be sent, by agreement,

— 51 —
over the signatures of those attorneys who have had a professional relationship with the client. Any attorney who has
had such contact with the client may communicate the information and make the request.
C. The Obligation of the Principals to Deal Honestly With Each Other
In allocating the firm’s personal property, accounts receivable, fees to be received in the future for work in progress,
and other assets and liabilities of the firm, the lawyers must deal with each other in compliance with their obligation to
refrain from conduct involving dishonesty, fraud, deceit, or misrepresentation. Rule 1.2(c).
D. The Involvement of Clients in the Disputes of the Principals
If the dissolution gives rise to disputes among the lawyers about their respective rights to the firm’s personal property,
accounts receivable, fees to be received in the future for work in progress, or other issues, the attorneys should strive to
resolve such disputes amicably without involving the clients in negotiations or litigation. If the attorneys are unable to
resolve such disputes by agreement, they should resolve them, where possible, by arbitration.
E. The Protection of the Property of Clients Entrusted to the Firm
A full and complete accounting of all fiduciary property of clients entrusted to the firm should be made to each client,
with written request for their return or future disposition. Failure of the client to respond should be taken as a request
for the return of said fiduciary property to the client, unless governed by a Court Order or proceeding to the contrary.

— 52 —
RPC 209
January 12, 1996
DISPOSING OF CLOSED CLIENT FILES
Opinion provides guidelines for the disposal of closed client files.
Inquiry #1:
Attorney A has been in practice for 20 years. Whenever he completes a matter for a client, he closes the client’s file
and retains it in his office. Attorney A has run out of space to store files in his office. The expense of renting storage
space to store files is prohibitive. May Attorney A dispose of the closed client files?
Opinion #1:
Yes, subject to certain requirements.
The original file belongs to the client and, because of the general fiduciary duty to safeguard the property of a client,
a lawyer should store a client’s file in a secure location where client confidentiality can be maintained. See Rule 4 and
Rule 10.1 of the Rules of Professional Conduct, and RPC 79.
With the consent of the client, a closed file may be destroyed at any time. Absent the client’s consent to disposal of
a file, a closed file must be retained for a minimum of six years after the conclusion of the representation. Six years is
the required minimum period for retaining a closed client file because this retention period is consistent with retention
period for records of client property set forth in Rule 10.2(b). Of course, the statute of limitations may require the
retention of a closed file for more than six years.
If six years have not passed since a client’s file became inactive, the file may only be destroyed with the consent of
the client or, after notice to the client, the client fails to retrieve the file. The client should be contacted and advised
that the lawyer intends to destroy the file unless the client retrieves the file or, within a reasonable period of time,
directs that the file be transferred to another lawyer. See RPC 16. If the client indicates that he or she does not wish
to retrieve the file, the lawyer may dispose of the file. On the other hand, if the client indicates that he or she would
like to retrieve the file, the client must be given a reasonable opportunity to do so. If the client fails to retrieve the file
within a reasonable period of time, the file may be destroyed. RPC 16. If the client fails to retrieve the file after notice,
the lawyer should review the file and retain any items in the file that belong to the client or contain information useful
in the assertion or defense of the client’s position in a matter for which the statute of limitations has not expired. See
RPC 16. These items should be retained until the client consents to their destruction or retention is no longer required
by law or necessary to protect the client’s rights.
After the passage of six years, the lawyer is not required to notify the client that the file will be destroyed. However, if
not previously reviewed and purged of the client’s possessions, the lawyer should review the file and retain any items
that belong to the client. These items should be returned to the client or retained in a secure place until retrieved by
the client or until the items are deemed abandoned and escheat to the state under Chap. 116B of the North Carolina
General Statutes. The remaining records in the file may be destroyed.
A record should be maintained of all destroyed client files. RPC 16.

— 53 —
Inquiry #2:
Do closed client files have to be destroyed or disposed of in a particular manner?
Opinion #2:
No particular method of destroying files is prescribed by the Rules of Professional Conduct. However, if closed files
are destroyed, the method chosen must preserve client confidentiality. See Rule 4. RPC 133 ruled that a law firm may
recycle its waste paper if the responsible attorney can “ascertain that those persons or entities responsible for the
disposal of waste paper employ procedures which effectively minimize the risk that confidential information might be
disclosed.” When client files are destroyed, similar precautions should be taken.
Inquiry #3:
Attorney A has in storage not only the files of his own clients but also the client files of lawyers who were formerly
his law partners. What should Attorney A do with these client files?
Opinion #3:
Although the files belong to clients of lawyers other than Attorney A, because Attorney A has retained possession of
these files, he has a fiduciary obligation to see that the files are properly handled. A former client is most likely to look
for the attorney who previously handled his or her matter when trying to locate a legal file. Therefore, Attorney A may
return these files to the original lawyers. Alternatively, Attorney A may dispose of the files in a manner that is consis-
tent with the guidelines set forth in this opinion.

— 54 —
NC STATE BAR LETTER NOTIFYING TRUSTEE OF
APPOINTMENT
The North Carolina State Bar
Office of Counsel
Carolin D. Bakewell, Counsel
Larissa J. Erkman January 3, 2001 Fern Gunn Simeon, Deputy Counsel
Deputy Counsel A. Root Edmonson, Deputy Counsel
Clayton W. Davidson III, Deputy Counsel
Douglas J. Brocker, Deputy Counsel
VIA US Mail
Trustee Name
Address
Re: Trustee of Atty Name Law Practice
Dear Mr. Trustee Last Name:
Please find enclosed for your review three copies of a draft petition and proposed orders seeking your appointment as
trustee for the law practice of Atty Name. Also enclosed are a draft petition seeking your discharge as trustee, a proposed
order discharging you as trustee, and a handbook prepared by the State Bar for use by law practice trustees.
When you are satisfied with the content of the petition and order seeking your appointment, please file the petition in
the County Name County Superior Court and present the proposed order to the Senior Resident Superior Court Judge for
entry. Return a file stamped copy of the petition and order to me in the enclosed, self-addressed envelope, for the State
Bar’s records. As we have discussed in our recent telephone conversations, the first task of the trustee is to determine
what active client matters need immediate attention and to contact those clients to inform them of the need to retain new
counsel. As trustee, you are not expected to serve as counsel for Atty Name’s clients, although you may do so if you wish
and the clients consent. Depending upon the urgency of the pending legal matters, you may need to contact some clients
by telephone and/or seek a continuance of scheduled court hearings, and the like. You may consider notifying the clerks
of court where lawsuits are pending to seek additional assistance in seeing that special attention is given to scheduling
matters in Mr. Atty Last Name’s ongoing cases, to the extent that Mr. Atty Last Name was scheduled to make court
appearances for clients and to the extent that he was required to make filings for any estates. For non-emergency cases,
we recommend contacting clients to notify them of Mr. Atty Last Name’s death and their need to retain new counsel by
mailing a form letter. There are some sample letters in the handbook.
In the event that you decide to not keep Mr. Atty Last Name’s office staffed and open fulltime, you may consider
scheduling blocks of time for Mr. Atty Last Name’s clients to pick up their files. Regardless, you should make an inventory
of all files and should keep track of which clients pick up their files. Before turning over client files, you may wish to obtain
and photocopy appropriate forms of picture identification. We suggest that you have clients sign an acknowledgment of
receipt of their file. Samples of such acknowledgments are in the trustee handbook. In order to be discharged as trustee
when your duties are completed, you will have to submit to the court a list of all client files, a list of those files picked up by
clients and a list of all client files not picked up. Please keep this in mind when organizing the inventory of files and client
receipts. It may be useful at this point for you to review the enclosed draft petition seeking your discharge as trustee and the
proposed order so that you will be familiar with what is required to complete your duties as trustee.
To the extent that Mr. Atty Last Name maintained inactive client files at his office, a reasonable effort should be made
to inventory those files and to contact clients to offer them a chance to pick up their files before the files are destroyed
by order of the Court. See RPC 16 and RPC 209 for some guidance on your responsibilities with respect to inactive (or
closed) client files. Copies of these ethics opinions are enclosed for your convenience. Some trustees choose to
limit their inventory of closed files to those files in which the representation was concluded within the last 6 years, because

— 55 —
6 years is the required minimum for retaining closed files pursuant RPC 209. Some attorneys chose a longer period,
such as 10 years, because the statute of limitations may require that a particular file be retained for longer than 6 years.
Regardless, you should seek direction and approval of the court which appoints you in formulating a plan for disposal of
Mr. Atty Last Name’s files. What actions constitute reasonable attempts to contact the clients before destroying closed
files will depend on the number of closed files as well as other circumstances. You should seek the court’s instructions if
you are uncertain as to exactly what steps ought to be taken in order to contact the clients before disposing of files. You
should not dispose of client files without an order of the court authorizing you to so do.
In addition to immediately contacting clients with pending matters, you should promptly secure Mr. Atty Last
Name’s trust and/or fiduciary accounts by notifying the financial institutions where such accounts are maintained that
Mr. Atty Last Name has died. It may be necessary for you to execute new directives concerning signatory authority for
the accounts. You should also promptly obtain the account records in order to identify the ownership of any funds in
such accounts, so that the clients/beneficiaries may be reimbursed, or their funds forwarded as they may direct. The
enclosed order authorizes you to secure the accounts and obtain records from the bank(s), to the extent that trust account
records are not on file in Mr. Atty Last Name’s office. If you need help in obtaining the records and funds or preparing an
accounting, please let me know.
Although the order appointing you as trustee gives you the general authority to disburse funds from the trust and/or
fiduciary accounts, it is probably wise to get another order specifically authorizing disbursement once you have determined what
funds are to be disbursed and to whom. You will, of course, be required to account to the court for all funds and disbursements.
When you complete your duties, the last step in the process is to apply to the Court for discharge. I have enclosed a
draft petition seeking your discharge as trustee. Please contact me for assistance in finalizing this pleading when the time
comes. Again, it would be helpful for you to review the draft order at this time so that you are more familiar with what the
Court may require in order to discharge you upon completion of your duties.
You should keep track of your time and expenses incurred in winding down Mr. Atty Last Name’s practice. You should
also keep track of the time spent by your clerical staff. The court can award payment of counsel fees to a trustee. [in the
event of death: , which fees may be paid as administrative expenses of the estate. N.C. Gen. Stat. 84-280). It is probably a
good idea to seek interim orders of the court providing for payment of your fees and expenses as incurred ifyou desire to
be promptly compensated by the Estate. Let me know if you need assistance in drafting a notice of hearing and petition
seeking payment of your interim fees and expenses. You should present summaries of your services and expenses, along with
any such interim or final orders authorizing payment of your fees, to the personal representative of the Estate and to the
clerk of court in order to put the estate on notice of your claim.]. [In the event of disability/disbannent/abandonment: In
the event that Mr. Atty Last Name is unable to pay your fees, the State Bar would be in a position to pay you a modest fee in
compensation for your time. As you proceed with the trusteeship of Mr. Atty Last Name’s practice, please send me periodic
statements reporting your time and expenses incurred so that I advise the State Bar’s Executive Director, Tom Lunsford.] In
any order discharging you as trustee, it is important that the Court set the fee to be paid to you for your services as trustee.
[In the event of death:
I am certain that you will have a number of questions about how to handle the wind down of Mr. Atty Last Name’s
law practice. Call me or any of the other staff attorneys here at the N.C. State Bar if you need help or advice. Again, thank
you for undertaking this very important service to the profession, the public, and Mr. Atty Last Name’s family.
With kind regards, I am
Very truly yours,
Larissa J. Erkman
Deputy Counsel
Enclosures

— 56 —
VERIFIED PETITION FOR ORDER APPOINTING TRUSTEE OF
DECEASED ATTORNEY’S LAW PRACTICE
COUNTY OF _________________
IN THE GENERAL COURT OF JUSTICE
SUPERIOR COURT DIVISION
BEFORE THE RESIDENT
SUPERIOR COURT JUDGE OF THE
JD# JUDICIAL DISTRICT
FILE # __________
IN RE: ATTY NAME, VERIFIED PETITION FOR ORDER
ATTORNEY AT LAW. APPOINTING TRUSTEE OF
DECEASED ATTORNEY’S
LAW PRACTICE
Pursuant to N.C. Gen. Stat. § 84-280) and 27 N.C. Admin. Code Chapter 1, Subchapter B, Rule .0122 of the Disci-
pline & Disability Rules of the North Carolina State Bar, the North Carolina State Bar, by and through its Director, peti-
tions and requests the Resident Superior Court Judge of the JD# Judicial District to enter an order appointing a member
of the Judicial District Bar to serve as trustee of the law practice of Atty Name due to his/her death. In support
of this petition, the North Carolina State Bar shows the Court as follows:
1. According to the records of the North Carolina State Bar, Mr. Atty Last Name was licensed to practice law on Au-
gust 15, 1969. At the time of his/her death, Mr. Atty Last Name practiced law in County Name County, North Carolina.
2. According to the records of the North Carolina State Bar, the last address of record for Mr. Atty Last Name is 137
Taylor Street, P.O. Box 877, Rutherfordton, North Carolina 28139- 0877.
3. Mr. Atty Last Name died on or around ______________
4. At the time of his/her death, Mr. Atty Last Name had no partners or associates capable of winding down his/her
law practice and ensuring that the interests of his/her clients and/or former clients are protected.
5. On information and belief, there remain funds belonging to clients or third parties on deposit in trust or ﬁduciary
accounts held solely in the name of Mr. Atty Last Name. At the time of his/her death, Mr. Atty Last Name had no part-
ners or associates capable of carrying out his/her obligations under Rules 1- 15. 1 and 1- 15.2 under the Revised Rules of
Professional Conduct.
6. Trustee Name, an attorney licensed to practice in North Carolina and a member in good standing of JD# Judicial
District Bar, has indicated that he/she is willing to serve as trustee of the North Carolina law practice of Mr. Atty Last
Name, pursuant to Section .0122 of the Discipline & Disability Rules of the North Carolina State Bar, for purposes of
protecting the interests of Mr. Atty Last Name’s clients.
7. Trustee Name’s mailing address is: ________________________________________________________________

— 57 —
WHEREFORE, the Petitioner prays for:
1. An order appointing Trustee Name, an attorney licensed to practice in North Carolina and a member in good
standing of JD# Judicial District Bar, to serve as trustee of the law practice of Atty Name, and authorizing Trustee Name
(hereafter “the Trustee”) to gain possession of Mr. Atty Last Name’s client files, to secure Mr. Atty Last Name’s trust and/
or fiduciary accounts, to gain possession of Mr. Atty Last Name’s and attorney trust and/or fiduciary account records
(including all bank statements, all canceled checks (front and back), all deposit slips, all check stubs and all client ledger
cards) and to take such actions as are necessary to protect the interests of the clients and/or former clients of Mr. Atty
Last Name; and
2. For such other and further relief as the Court deems appropriate.
Respectfully submitted, this the day of 20__.
_______________________________________
L. Thomas Lunsford, Director
The N.C. State Bar
P.O. Box 25908
Raleigh, N.C. 27611
(919) 828-4620

— 58 —
VERIFICATION
I, L. Thomas Lunsford, after being first duly sworn, depose and say as follows:
1. I am the Director of the North Carolina State Bar.
2. As Director of the North Carolina State Bar, I am an official custodian of the records of the North Carolina
State Bar.
3. As an official custodian of the records, I hereby certify that the records of the North Carolina State Bar reflect the
facts attributed to those records set forth in the foregoing Petition.
4. I hereby certify that the facts set forth upon information and belief are believed to be true by the Petitioner.
5. I hereby indicate my request for the appointment of an attorney licensed to practice law in North Carolina as
trustee for the law practice of deceased attorney, Atty Name, to gain possession of Mr. Atty Last Name’s client files, to
secure Mr. Atty Last Name’s trust and/or fiduciary accounts, to gain possession of Mr. Atty Last Name’s attorney trust
and/or fiduciary account records and funds, and to protect the interests of his/her clients and/or former clients.
This the_____ day of _____________, 20___.
_________________________________
L. Thomas Lunsford, Director
The North Carolina State Bar
Subscribed and sworn before me
this the _____day of ________, 20___.
_____________________________________________
Notary Public
My commission expires:__________________

— 59 —
ORDER APPOINTING TRUSTEE OF DECEASED ATTORNEY’S
LAW PRACTICE
COUNTY OF _________________
BEFORE THE RESIDENT
FILE # __________
IN RE: ATTY NAME, ORDER APPOINTING TRUSTEE
ATTORNEY AT LAW. OF DECEASED ATTORNEY’S
LAW PRACTICE
THIS CAUSE coming before the Resident Superior Court Judge of the JD# Judicial District, pursuant to N.C. Gen.
Stat. § 84-280) and 27 N.C. Admin. Code Chapter 1, Subchapter B, Rule .0122 of the Discipline & Disability Rules of the
North Carolina State Bar, upon the veriﬁed petition of the North Carolina State Bar for an order appointing a trustee of
the law practice of Atty Name, owing to his/her death, and based upon the petition before the Court, the undersigned
makes the following:
FINDINGS OF FACT
1. According to the records of the North Carolina State Bar, Mr. Atty Last Name was licensed to practice law on Au-
gust 15, 1969. At the time of his/her death, Mr. Atty Last Name practiced law in County Name County, North Carolina.
2. According to the records of the North Carolina State Bar, the last address of record for Mr. Atty Last Name is 137
Taylor Street, P.O. Box 877, Name town, North Carolina 281390877.
3. Mr. Atty Last Name died on or around ________________________________________
4. At the time of his/her death, Mr. Atty Last Name had no partners or associates capable of winding down his/her
law practice and ensuring that the interests of his/her clients and/or former clients are protected.
5. On information and belief, there remain funds belonging to clients or third parties on deposit in trust or ﬁduciary
accounts held solely in the name of Mr. Atty Last Name. At the time of his/her death, Mr. Atty Last Name had no part-
ners or associates capable of carrying out his/her obligations under Rules 1-15.1 and 1-15.2 under the Revised Rules of
Professional Conduct.
6. Trustee Name, an attorney licensed to practice in North Carolina and a member in good standing of JD# Judicial
District Bar, has indicated that he/she is willing to serve as trustee of the North Carolina law practice of Mr. Atty Last
Name, pursuant to Section .0122 of the Discipline & Disability Rules of the North Carolina State Bar, for purposes of
protecting the interests of Mr. Atty Last Name’ clients.
7. Trustee Name’s mailing address is: ______________________________________________________

— 60 —
BASED UPON THE FOREGOING FINDINGS OF FACT, the undersigned makes the following:
CONCLUSIONS OF LAW
1. The Court has jurisdiction of this cause pursuant to N.C. Gen. Stat. § 84-280).
2. Atty Name, has died and has no partners or associates, necessitating the appointment of a member of the JD# Ju-
dicial District Bar as trustee of Mr. Atty Last Name’s law practice, to gain possession of Mr. Atty Last Name’s client files,
to secure Mr. Atty Last Name’s trust and/or fiduciary accounts, to gain possession of Mr. Atty Last Name’s trust and/
or fiduciary account records (including all bank statements, all canceled checks (front and back), all deposit slips, all check
stubs and all client ledger cards), and to take such actions as are necessary to protect the interests of the clients and/or
former clients of Mr. Atty Last Name.
THE COURT THEREFORE ORDERS THAT:
1. Trustee Name, an attorney licensed to practice law in North Carolina and a member in good standing of the JD#
Judicial District Bar, is hereby appointed trustee of the law practice of Atty Name.
2. As Trustee, Trustee Name is authorized to take such actions as are necessary to obtain possession of any known
client files of Atty Name and shall notify Mr. Atty Last Name’s clients of his/her death and their need to obtain new
counsel. His/H er duties as trustee shall include receiving calendar notices and moving for appropriate continuances in the
various courts; returning files to Mr. Atty Last Name’s clients and/or former clients; obtaining all records related to Mr.
Atty Last Name’s trust and/or fiduciary account(s); supervising the disbursement of funds from any trust and/or fiduciary
accounts to the appropriate persons; and any other act necessary to wind down Mr. Atty Last Name’s practice and protect
the interests of Mr. Atty Last Name’s clients until all known clients have secured other legal counsel, have chosen to pick
up their files and have received all money held in trust for their benefit. As Trustee Name is authorized to take such ac-
tions as are necessary to identify Mr. Atty Last Name’s trust and fiduciary accounts, as such accounts are defined in Rules
1. 15-1 and 1. 15-2 of the Revised Rules of Professional Conduct, and to obtain possession of Mr. Atty Last Name’s trust
account and fiduciary account records. As Trustee, Trustee Name shall take such actions as are necessary to identify the
ownership of any funds in such accounts so that the clients/beneficiaries may be reimbursed, or their funds forwarded as
they may direct. As Trustee, Trustee Name shall maintain adequate accounts of the funds held in Mr. Atty Last Name’s
attorney trust or fiduciary accounts and shall account to the Court for approval annually or at the completion of the dis-
bursement of the funds. He/She shall be discharged as Trustee upon the completion of his/her duties.
3. As Trustee, Trustee Name is hereby authorized to take such actions as are necessary to secure Mr. Atty Last Name’s
trust and fiduciary accounts, including, but not limited to, executing new directives regarding signatory authority over such
accounts. As Trustee, Trustee Name is also authorized to obtain records relevant to Mr. Atty Last Name’s attorney trust
and/or fiduciary accounts from all financial institutions where accounts in which funds of client or fiduciary funds
have been or are deposited by or in the name of Atty Name, and to execute authorizations directing such financial institu-
tions to release copies of all relevant records relating to such accounts to representatives of the North Carolina State Bar.
4. This cause is retained for further orders of this Court.
This the ________ day of _________________ 20___.
__________________________________
Resident Superior Court Judge
JD# Judicial District

— 61 —
PETITION FOR ORDER DISCHARGING TRUSTEE OF
DECEASED ATTORNEY’S LAW PRACTICE
COUNTY OF _________________
BEFORE THE RESIDENT
FILE # __________
IN RE: ATTY NAME, PETITION FOR ORDER DISCHARGING
ATTORNEY AT LAW. TRUSTEE OF DECEASED ATTORNEY’S
LAW PRACTICE
NOW COMES, Trustee Name, trustee of the law practice of Atty Name (“Trustee”), and petitions the Court for
an order discharging him as trustee of the law practice of Mr. Atty Last Name. In support of the petition, the Trustee
respectfully shows:
1 . On _____________________, upon motion of the N.C. State Bar, the Court appointed Trustee Name, as trustee-
conservator of the law practice of Atty Name for the purpose of obtaining possession of files belonging to Mr. Atty
Last Name’s clients, securing funds held in Mr. Atty Last Name’s trust and/or fiduciary accounts, obtaining Mr. Atty Last
Name’s trust and/or fiduciary account records, and protecting the interests of the clients and/or former clients of Mr.
Atty Last Name.
2. The undersigned Trustee has now taken all reasonable steps within his power to fulfill his obligations as trustee-
conservator of the law practice of Atty Name. He has returned or attempted to return all client files to their rightful
owners. He has secured funds held in Mr. Atty Last Name’s trust or fiduciary accounts and has identified or attempted to
identify the persons to whom those funds belong.
3. The undersigned Trustee has reviewed Mr. Atty Last Name’s clients’ files. An inventory of the client files is attached
as Exhibit A.
4. The undersigned Trustee has distributed files to a number of clients and/or former clients of Mr. Atty Last Name.
A list of the files which have been returned to Mr. Atty Last Name’s clients is attached hereto as Exhibit B.
5. A number of Mr. Atty Last Name’s clients, have not picked up their files, despite receiving notice from the Trustee
to do so. [Add description of files remaining to be claimed or distributed to clients and description of steps taken to notify
clients, for example: The Trustee now has in his possession <number of files> closed client files wherein he has written
the respective clients and has received no instructions regarding the storage or return of the files]. A list of the files which
have not been claimed by the clients is attached hereto as Exhibit C.
6. Some disposition needs to be made of the remaining files of Mr. Atty Last Name’s former clients. [Add any pro-
posal for storage or disposition of files, for example: The Trustee has indicated that he is willing to store the remaining
closed files at his law offices located at , and make the files available to the respective clients or their legal representatives
should they wish to retrieve them for a period of one year from the date of any order discharging him as trustee, at which
time he would destroy any unclaimed files.]

— 62 —
7. The undersigned Trustee has disbursed all funds from any trust and/or fiduciary accounts held by Mr. Atty Last
Name to the appropriate persons. An order approving said disbursements is attached hereto as Exhibit D and an account-
ing of said disbursements is attached thereto.
8 [Is there any unclaimed money?],
9. The undersigned Trustee has submitted a summary of his time and expenses incurred in serving as trustee of the
law practice of Atty Name. The summary of his time and expenses is attached hereto as Exhibit E. In carrying out his
duties as trustee-conservator, the undersigned Trustee has provided services and incurred expenses in the total amount of
$________________________
WHEREFORE, the undersigned Trustee respectfully requests the court to enter an order as
follows:
1. Discharging him as trustee of the law practice of Atty Name;
2. Allowing him to retain the unclaimed files of clients of Atty Name for one year of the date of this order, after
which time he should be authorized to destroy any files of clients of Mr. Atty Last Name that remain unclaimed [or alter-
native proposal]; and
3. Finding that he is entitled to reasonable compensation for his services as trustee of the law practice of Atty Name
and reimbursement of expenses incurred while serving as trustee of the law practice of Mr. Atty Last Name in the
amount of $_____________.
This the _______day of _______________, 20___.
____________________________________________
Trustee of the Law Practice of Atty Name

— 63 —
ORDER DISCHARGING TRUSTEE
COUNTY OF _________________ IN THE GENERAL COURT OF JUSTICE
BEFORE THE RESIDENT
FILE # __________
IN RE: ATTY NAME, ORDER DISCHARGING TRUSTEE
ATTORNEY AT LAW.
THIS MATTER coming on to be heard and being heard by the undersigned Senior Resident Superior Court Judge of
the JD# Judicial District upon the motion of the trustee herein for an order discharging him as trustee of the law practice
of Atty Name, the Court makes the following:
FINDINGS OF FACT
1. On _____________ upon motion of the N.C. State Bar, the Court appointed Trustee Name, Esq., as trustee-
conservator of the law practice of Atty Name for the purpose of obtaining possession of files belonging to Mr. Atty
Last Name’s clients, securing funds held in Mr. Atty Last Name’s trust and/or fiduciary accounts, obtaining Mr. Atty Last
Name’s trust and/or fiduciary account records, and protecting the interests of the clients and/or former clients of Mr.
Atty Last Name.
2. Trustee Name, trustee of the law practice of Atty Name, has now taken all reasonable steps within his power to
fulfill his obligations as trustee-conservator of the law practice of Atty Name. He has returned or attempted to return all
client files to their rightful owners. He has secured and held in Mr. Atty Last Name’s trust or fiduciary accounts and has
identified or attempted to identify the persons to whom those funds belong.
3. Trustee Name has reviewed Mr. Atty Last Name’s clients’ files. An inventory of the client files is attached as
Exhibit A.
4. Trustee Name has distributed files to a number of clients and/or former clients of Mr. Atty Last Name. Trustee
Name has returned all active client files to the respective clients. A list of the files which have been returned to Mr. Atty
Last Name’s clients is attached hereto as Exhibit B.
5. A number of Mr. Atty Last Name’s clients, have not picked up their files, despite receiving notice from Trustee
Name to do so. [Description of files remaining to be claimed or distributed to clients and description of steps taken to
notify clients, for example: Trustee Name now has in his possession <# of flies> closed client files wherein he has written
the respective clients and has received no instructions regarding the storage or return of the files]. A list of the files which
have not been claimed by the clients is attached hereto as Exhibit C.
6. Some disposition needs to be made of the remaining files of Mr. Atty Last Name’s former clients. [Any proposal
for storage or destruction needs to be included here, as stated in the petition seeking discharge and approved by the court]

— 64 —
7. Trustee Name has disbursed all funds from any trust and/or fiduciary accounts held by Mr. Atty Last Name to the
appropriate persons. An order approving said disbursements is attached hereto as Exhibit D and an accounting of said
disbursements is attached thereto.
8 [Is there any unclaimed money?]
9. Trustee Name has submitted a summary of his time and expenses incurred in serving as trustee of the law prac-
tice of Mr. Atty Last Name. The summary of his time and expenses is attached hereto as Exhibit E. In carrying out
his duties as trustee-conservator, Trustee Name has provided services and incurred expenses in the total amount of
$________________.
Based upon the foregoing FINDINGS OF FACT, the Court enters the following:
CONCLUSIONS OF LAW
1 . Trustee Name, trustee of the law practice of Atty Name, has taken all reasonable steps in his power to fulfill his obliga-
tions as trustee-conservator of the law practice of Atty Name, to obtain the return of all client files, and to disburse all
funds in Mr. Atty Last Name’s trust or fiduciary accounts.
2. Trustee Name is entitled to an order discharging him as trustee-conservator of the law practice of Atty Name.
3. Trustee Name is entitled to reasonable compensation for his services rendered and reimbursement of expenses in-
curred while serving as trustee-conservator of Mr. Atty Last Name’s law practice in the amount of $______________.
4. Trustee Name should be authorized to [add provision regarding disposal of any remaining client files, as proposed by
trustee in petition seeking discharge and approved by the Court].
WHEREFORE it is hereby ORDERED, ADJUDGED AND DECREED as follows:
1. Trustee Name is hereby discharged as trustee-conservator of the law practice of Atty Name
2. [Provision regarding disposal of files, as stated above, for example: Trustee Name is hereby authorized to maintain
in storage at his law office for a period of one year from the date of this order those closed client files that have not yet
been retrieved by the clients of Mr. Atty Last Name, after which he is authorized to destroy any files of clients of Atty
Name that remain unclaimed, after making a reasonable attempt to remove from said files any original documents that
may have independent legal significance, such as original wills and stock certificates and the like. Trustee Name shall retain
any such original documents at his law office for a period of ____ years, at which time he is authorized to destroy all un-
claimed documents.]
3. Trustee Name is entitled to reasonable compensation for his services as trustee for the law practice of Atty Name
and reimbursement for expenses incurred by him while serving as trustee in the amount of $________ . Said compensa-
tion and expenses are to be paid by the Estate of Atty Name, pursuant to N.C. Gen. Stat. § 84-280), as an administrative
expenses of the Estate upon presentation of this Order.
This the ____ day of ___________, 20___.
______________________________________
Resident Superior Court Judge
JD# Judicial District

— 65 —
NOTICE OF HEARING
COUNTY OF _________________ IN THE GENERAL COURT OF JUSTICE
FILE # __________
IN RE: ATTY NAME, NOTICE OF HEARING
ATTORNEY AT LAW.
To: [Give notice to State Bar and Estate of Atty Name]
Take notice that the undersigned Trustee Name, trustee for law practice of Atty Name, will appear before the Supe-
rior Court, County Name County on _____________________________, at ________ a.m./p.m. in Courtroom ______
of the County Name County Courthouse for a determination of his motion seeking discharge as trustee for the law prac-
tice of Atty Name, a [deceased/disabled/disbarred] attorney [or: an attorney who abandoned his law practice], and for
the determination of reasonable compensation for his services rendered and reimbursement of expenses incurred while
serving as trustee of Mr. Atty Last Name’s law practice.
[In the event of death use: Said compensation and expenses are deemed administrative
expenses of the Estate of Atty Name, pursuant to N.C. Gen. Stat. § 84-280).]
This _____ day of ___________, 2001.
_____________________________________
Trustee Name
Trustee for the Law Practice of Atty Name

— 66 —
ADDITIONAL RESOURCES
“TURNING OUT THE LIGHTS.” Published by the North Carolina Bar Association. Available at:
http://www.ncbar.org/publicpro-bono/publications/turning-out-the-lights.aspx as a free PDF download.
THE LAWYERS GUIDE TO BUYING, SELLING, MERGING & CLOSING A LAW PRACTICE.
Published by the American Bar Association. Available at www.abanet.org or by phone at 800.285.2221; product
code 5150315. Price is $99.95 regular or $79.95 for members of the ABA General Practice, Solo and Small
Firm, or Senior Lawyers Division.

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