An Interview with Mark Scruggs, Senior Claims Attorney

At Lawyers Mutual, we understand that receiving a subpoena can be a stressful and unfamiliar experience for many attorneys. Whether it’s a subpoena for documents, a deposition, or court testimony, the legal and ethical implications can raise important questions. That’s why one of the unique benefits available to our insureds is subpoena assistance—a resource designed to provide guidance and support in these challenging moments. To shed light on how this benefit works and how attorneys can take full advantage of it, I sat down with Mark Scruggs, our Senior Claims Attorney, who brings a wealth of knowledge and practical advice to the table.

LM: What is the “subpoena assistance” benefit?

MS: The Lawyers Mutual Professional Liability Policy includes a “subpoena assistance” benefit for our insureds who receive a subpoena to testify at a deposition or a trial, or to produce documents, related to acts or omissions of the insured that the Policy otherwise covers. The subpoena assistance benefit is in Section IV of the Insuring Agreement, titled “Additional Benefits.” (There are three other “benefits” in Section IV, that we can discuss at another time.) Here is the applicable policy language:

IV. Additional Benefits. Payments made pursuant to this section will not be subject to the deductible and will not reduce the limit of liability or aggregate set forth in the Declarations. The amount payable under this section shall not exceed a Policy aggregate of $5,000

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(b) Subpoena Assistance — The Company will provide counsel to represent an Insured who receives a subpoena to produce documents and/or provide testimony related to act(s) or omission(s) in the provision of legal services if such legal services were provided after the prior acts date of such Insured, and the subpoena is issued during the policy period or any extended reporting period, provided such Insured has not been retained and is not being requested by a party to provide expert testimony in connection with the suit or proceeding in which the subpoena has been issued.

LM: Why is it important?

MS: It seems that at least once a week, an insured will call to report that they have been served with a subpoena asking them to produce their client file or to appear and testify concerning their representation of a former or current client. The subpoena often originates from someone other than the attorney’s client. 

The call to Lawyer’s Mutual is prompted by the lawyer’s recognition that such a subpoena probably runs afoul of Rule of Professional Conduct 1.6 – Confidentiality – Essentially, everything the lawyer knows about the client’s legal matter that the lawyer learned while representing the client is confidential and cannot be divulged except in limited circumstances. 

LM: How does it work?

MS: We will often retain counsel for the insured under the Additional Benefits coverage to file a Rule 45 (c)(3) Written Objection to the Subpoena or a Rule 45(c)(5) Motion to Quash or Modify Subpoena, depending on what the subpoena commands the lawyer to do. (We also have many form motions that we can provide for our insured if they want to file the motion themselves.) 

The Additional Benefits coverage is limited to $5,000 per policy year. So, if you receive two subpoenas during the policy year and we retain counsel for you on both, you will only have a maximum of $5,000 available to pay defense costs. If the defense costs exceed the $5,000 per policy year limit, we may have to trigger your deductible for the overage. 

LM: Does using the subpoena assistance benefit impact my deductible or my coverage limits?

MS: The answer is “No.” Payments made under the Additional Benefits coverage are not subject to the deductible and do not reduce the limit of liability under the Policy. As I said before though, the Additional Benefits coverage is limited to $5,000 per policy year. In summary, the Additional Benefits coverage for subpoena assistance is a valuable benefit that can help you comply with your ethical obligations to your clients and save time and worry. 

As our conversation with Mark Scruggs illustrates, subpoena assistance is just one example of how Lawyers Mutual goes beyond traditional coverage to provide practical, real-world support to our insureds. Whether you’re navigating a complex legal issue or simply unsure about your obligations, you don’t have to face it alone. Our experienced claims attorneys are here to help guide you through the process—confidentially, professionally, and with your best interests in mind. If you receive a subpoena or have questions about this benefit, don’t hesitate to reach out. That’s why we are here, “Lawyers Helping Lawyers”.