Surviving a Random Audit

Date: Jul 14, 2023 12:00 p.m. – 1:40 p.m.

Location: Online

Event Code: I106623

Areas of Law: Ethics

Earn up to 2 credits, including 2.0 in Ethics! (More Information)

Faculty

Keynote

Moderator

Marc D. Garfinkle, Esq.
The Law Office of Marc Garfinkle, Morristown
maintains a solo practice in Morristown, New Jersey, where since 2012 he has limited his practice to matters relating to legal ethics, bar admission, judicial misconduct and attorney discipline. He has also been the municipal public defender in Livingston, New Jersey.

Admitted to practice in New Jersey and California, and before the United States District Court for the District of New Jersey and the Northern District of California, Mr. Garfinkle is a former New Jersey ethics investigator and has been a member of the American, New Jersey State, Morris County and Essex County Bar Associations, as well as the Association for CLE Administrators (ACLEA). He is Past Chair of the District VB Ethics Committee, has written a monthly “Practice Paper” on legal ethics for the New Jersey Law Journal, and is a frequent guest of the media in professional responsibility matters. In addition to lecturing for ICLE, Mr. Garfinkle produces live ethics and “new lawyer” CLE for attorneys coast to coast, and his clients have included state bar associations in Ohio, Missouri, South Carolina, Alaska and Oregon, as well as the ICE trial attorneys for the United States Department of Homeland Security. His online programs have been produced by Lawline.com, West LegalEduCenter, Solo University.com and RocketMatterCLE, among other providers. Having taught Persuasion and Advocacy at Seton Hall Law School since 2007, he is also the self-published author of several books including $olo Contendere: How to Go Directly from Law School into the Practice of Law Without Getting a Job (3d. Ed.), The Hip-Pocket Guide to Testifying in Court, The New Lawyer’s Hip-Pocket Guide to Appearing in Court and The Hip-Pocket Guide to Speaking in Public.

Mr. Garfinkle received his B.A. from Marietta College and his J.D. from UC Hastings (formerly Hastings College of the Law, University of California).
(9/23)

Presenters

Every practicing lawyer in New Jersey must maintain both a trust and business account, and is subject to a random audit by the Office of Attorney Ethics. The purpose of the Random Audit Program is to ensure that law firms maintain required records of clients' funds and attorneys' fees. While the idea behind carefully maintaining these records is clear, some of the rules and procedures may not be.

At this informative and interesting new program, you’ll learn the most important strategies and time-saving tips to properly create and maintain your trust accounts, document your financial transactions, and avoid violating the recordkeeping rule (R. 1:21-6) and the Rules of Professional Conduct (RPC 1.15). You’ll hear from an ethics expert as he explains why you must always be “audit ready” - and how to maintain your records and bookkeeping so that the random audit process is smooth and painless. In the end, you’ll also learn how to spot record and trust accounting red flags, and how to avoid inadvertent pitfalls and mistakes that can result in professional discipline.

Topics include:

  • How the Random Audit program operates
  • Everything you need to know about attorney record keeping
  • How to determine whether you must maintain an IOLTA Attorney Trust Account
  • How to clear your trust account of unidentified funds and funds belonging to unfindable owners
  • The importance of monthly 3-way reconciliation, and how to begin the process if you have not been doing it
  • Why you should NOT deposit your retainers into your IOLTA trust account
  • Which trust account violations will NOT get you disbarred

CLE Credits
NJ CLE:NJ CLE information: This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 2 hours of total CLE credit, including 2.0 in Ethics (Full Credits Available: NJ Ethics: 2.0).
NY CLE (t&nt):NY Ethics Non-Transitional: 2.0
PA CLE:PA Ethics Credit: 1.5
New: No PACLE fee is required for this program. To earn PA CLE credits, a valid PA Bar ID number must be entered into the CLE form provided after attending the program.

Important Information About Our Events, Meetings, and More:
To secure your spot and receive important updates about our events, meetings, and other gatherings, such as schedule changes, remember to register in advance.

Cancellation and Refund Policy:
If you need to cancel your registration and are not transferring to another program or date, please submit a written request to us at least three business days before the event, meeting, or gathering. You will receive a refund minus a $20.00 cancellation fee. No refunds or registration changes will be issued within three business days of the event, meeting, or gathering.

Stay Informed:
Registered participants will be notified of any schedule changes. For updates regarding inclement weather, please check your email or visit NJSBA.com.

Media Consent:
By participating in our events, meetings, or other gatherings, you agree to be photographed and/or recorded. Additionally, all media content captured during these gatherings will become the property of NJSBA. This content, including your image and name, may be used in our future promotional materials without additional consent or compensation.

Scholarship & Financial Assistance Policy:
Read our Scholarship & Financial Assistance Policy and submit an Application here: https://njsba.com/njicle/cle-programs/scholarship/

 

About


Founded in 1899, the NJSBA is the largest organization of attorneys, judges and legal professionals in New Jersey. At the core of our mission is improving the lives of our members, advancing the rule of law and serving as the voice of the profession. With 85 sections and committees, the NJSBA allows attorney to benefit from being part of the most wide-reaching legal association in the state, while still cultivating expertise and building networks within specialized practice areas.

MORE ABOUT NJSBA

Diversity


The New Jersey State Bar Association is committed to promoting and fostering a diverse and inclusive bar association. The Association recognizes that the broad concept of diversity includes race, ethnicity, gender, gender identity, sexual orientation, religion, age and disability. The NJSBA fosters and promotes an inclusive environment that gives value to the unique contributions of diverse individuals and organizations in all aspects of the Association.

Learn More

Advocacy


The NJSBA Legal and  Government Affairs Department serves as the liaison between NJSBA members and the state’s three branches of government.

News and Press Publications


Learn more about the accomplishments of the Association, its members and events from regular news updates, press releases, and our award-winning magazine.


 

Reports


Read the comments, reports, resolutions and Board of Trustee news from the state’s largest organization of lawyers, judges and legal professionals.


 

Statements and Positions


The NJSBA is the voice of the profession and takes public positions on a range of issues with the legal community and government officials. It also takes positions on legislation and files friend-of-the-court briefs on matters that impact the profession. 

Photo Galleries


Check out photos from recent NJSBA events.

View Photo Albums

Directions

The New Jersey Law Center is located at 1 Constitution Sq, New Brunswick, NJ, 08901. Need directions to the Law Center? Click on the button below to get started right away.

Contact NJSBA

NJSBA Contact Us Form
If you're looking for an attorney, click here for help.

If you cannot afford an attorney and have a civil matter, click here for Legal Services of New Jersey.

Looking for information about a specific lawyer? Contact the Lawyer’s Fund for Client Protection at 855-533-3863.

Have a complaint about a lawyer? Visit the Office of Attorney Ethics website. Select “Attorney Discipline” from the navigation bar for discipline of attorneys.

Contact Info

One Constitution Square
New Brunswick, NJ 08901

732-249-5000
9 a.m. to 5 p.m., Monday - Friday

Fax 732-249-2815

Email us

Book Store


Authoritative. Comprehensive. The Industry Standard.

NJICLE legal treatises and books are written for New Jersey attorneys, by New Jersey attorneys. Our comprehensive library of books and treatises form the State’s most inclusive series of regionally focused legal materials. With titles covering virtually every aspect of New Jersey legislation, NJICLE is proud to be the professional development resource for the legal community.

You do not have permission to view this form.