At times, attorney-client relationships become tenuous due to communication problems or fee disputes.
Rule 8.3 requires attorneys to report knowledge of lawyer misconduct to a tribunal with jurisdiction to investigate and act upon it, though this mandate is very limited and must be assessed on an individual case-by-case basis.
Client Complaints
Some lawyers may have valid reasons for filing complaints, such as an absence of communication or discontent over fees. When this happens, it may be beneficial to discuss directly with them or, depending on your state laws, use a lawyer referral service.
An investigation is typically initiated when there has been a formal complaint lodged against an attorney, prompting their disciplinary board to launch an inquiry. Responding appropriately is key when handling such inquiries and should include being candid, accurate and prompt with answers.
Disciplinary boards may initiate investigations based on reports in the media or decisions in court proceedings. Lawyers who become aware of misconduct must report it immediately, except where doing so would violate Rule 1.6 of the Rules of Professional Conduct; an exception applies when the misconduct could be imputed to themselves rather than their client; another does not apply when clients unwillingly consenting to disclosure are involved or information can be gained through participation in an accredited lawyer assistance program.
State or Local Bar Associations
If you have a particular concern with an attorney’s behavior, consider informing the organization responsible in your state. Bar associations typically follow American Bar Association (ABA) rules when handling complaints; most offer online forms and portals for filing your grievance.
A state or local bar association’s disciplinary committee will review your complaint and any supporting evidence to assess if there has been a professional misconduct violation, and send you a letter with their decision.
If the committee determines there was misconduct, they will further investigate to ascertain additional facts supporting your allegations of professional misconduct. They may determine if your complaint is credible and whether there are witnesses who can support your claims with additional evidence. As this process can take an extended period of time to complete, in this period of time it would be prudent for you to find another attorney as any discipline against your current one could endanger their license to practice law.
Disciplinary Boards
There’s an old joke among lawyers that clients only seem satisfied when they win, and while many attorney-client disputes involve disagreements over fees or poor communication, not all do. If you believe your attorney has violated professional ethics and should be disciplined for doing so, disciplinary boards exist to investigate complaints against him/her.
A disciplinary board consists of independent lawyers who hear complaints against attorneys and determine if there has been any misconduct by them. Similar to court trials, hearings for these disciplinary processes can be attended.
Attornies who volunteer their services on disciplinary boards are members of their state bars, giving up their time freely in exchange for serving on these committees. Their purpose is to safeguard public interests; and these boards do an exceptional job at this. In addition, disciplinary boards work towards improving ethical standards among attorneys by informing them on the Rules of Professional Conduct. If a disciplinary board believes your lawyer has committed any serious ethical offenses, they may impose suspension from 90 days to several years and restrict his practice of law.
Appellate Courts
As it is the professional obligation of attorneys to report misconduct, determining whether an alleged violation raises substantial questions as to another attorney’s honesty, trustworthiness or fitness as an advocate requires individual consideration. Therefore, clients may find it prudent to first communicate with their counsel and attempt to resolve issues through dialogue.
The Appellate Division of State Supreme Court is responsible for upholding the integrity of legal practice, upholding professional ethics and upholding Rules of Professional Conduct by appointing attorney grievance committees that receive, investigate and, when necessary prosecute allegations of attorney misconduct. New York attorney grievance committees appointed by Appellate Division operate regionally with their jurisdiction determined by where an offending lawyer maintains their office for practicing law; depending on its severity or other considerations they may refer a complaint directly to local bar associations for investigation and resolution.
