Attorney Discipline & Complaints

Attorneys in most states have the obligation to maintain a high standard of ethical conduct toward their clients and others. To enforce this standard, most states have a Disciplinary Agency that will investigate and prosecute grievances and complaints of professional misconduct against attorneys licensed in their state, pursuant to their own state's disciplinary rules as promulgated by their state supreme court. Depending on the states, these Disciplinary Agencies may be known as:

• State Bar
• Disciplinary Counsel
• Regulation Counsel
• Grievance Committee
• Disciplinary Commission
• Disciplinary Board
• Supreme Court
• Attorney Ethics
• Board of Professional Responsibility
• Professional Conduct Board
• Office of Lawyer Regulation

What rules are lawyers required to follow?

For purposes of professional discipline, each state has a written set of rules that are usually posted on their Disciplinary Agency website.

Should I file a grievance?

Reporting unethical behavior of lawyers helps reduce and prevent harm to the public and the legal profession. In order for the Disciplinary Agency to investigate the attorney's conduct, the person seeking to complain about the attorney must file a written grievance describing the attorney's conduct with the State bar.

Is there a statute of limitations on filing a grievance?

Yes. With a few exceptions. Check with your state's Disciplinary Agency for your state's statute of limitations.

Must I be the person who hired the lawyer in order to file a complaint?

No. Any person with knowledge of what they believe to be professional misconduct by a lawyer has the ability to file a complaint.

How do I file a grievance?

Typically, the first step in filing a grievance is to complete a grievance form and mail it to the Disciplinary Agency for the state. Visit your state's Disciplinary Agency website to request or download a grievance form. If you are reporting the conduct of a lawyer who is or was representing you in a legal matter, it is very important to know that signing the grievance form waives the attorney-client privilege that would otherwise keep discussions between you and your lawyer confidential. Waiver of this privilege is necessary for the Disciplinary Agency to review your grievance in its entirety.

Are grievances confidential?

Information about a pending grievance against a lawyer is confidential and not subject to disclosure unless it is ordered by a court to do so or the lawyer complained about waives confidentiality. However, if the lawyer is found to have committed professional misconduct and receives a public sanction, information about the grievance is no longer confidential.

Can I file a grievance anonymously?

It is difficult for the Disciplinary Agency to pursue a complaint successfully without the ability to communicate with and gain needed additional information from the complaining party.

What happens after I file a grievance?

The Disciplinary Agency for the state will review the grievance to determine whether what is claimed that the lawyer did or failed to do violate any of the ethical rules. This is called the "classification stage" of the disciplinary process.

A grievance that does not allege a violation of the ethical rules is classified as an "inquiry" and dismissed. You will be notified of the dismissal and the matter may be referred to a voluntary mediation and the matter will be referred to a voluntary mediation and dispute resolution procedure.

Can I appeal the dismissal of the grievance?

Yes. In most states, you have one opportunity to file an appeal of the dismissal of a grievance. Check with your own state's Disciplinary Agency for their specific procedure.

Can I amend and re-file my grievance?

Yes. Check with your own state's Disciplinary Agency for their specific procedure.

What happens if my grievance does state a rule violation?

If it is determined that the grievance does state a rule violation, it is classified as a "complaint." The lawyer complained about is sent a copy of the complaint and asked to respond to the allegation(s) and submit a response in writing. The Disciplinary Agency will then conduct a "just cause" investigation, reviewing all of the information received from the complaining party and the accused attorney and any additional information gathered in order to decide whether there is just cause to believe that professional misconduct occurred.

What happens after the just cause investigation is completed?

If the Disciplinary Agency concludes that there is just cause to believe professional misconduct occurred, the lawyer is notified of what conduct is complained about and what ethical rules are alleged to have been violated. Check with your state's Disciplinary Agency how this is handled in your state.

What is a Summary Disposition Panel and who is on it?

The Summary Disposition Panel is a panel of a grievance committee that is responsible for deciding whether a complaint should be dismissed based upon the recommendation of the Disciplinary Agency or should proceed. Check with your state's Disciplinary Agency for how this is handled in your state.

Can I testify at a Summary Disposition Panel meeting?

Check with your state's Disciplinary Agency for how this is handled in your state.

Can either party appeal a decision by the Summary Disposition Panel?

Check with your state's Disciplinary Agency for how this is handled in your state.

What happens if just cause is found?

The case will then be set for trial either before an Evidentiary Panel of a grievance committee or a district court. Check with your own state's Disciplinary Agency for their specific procedure.

What happens if my complaint proceeds to an evidentiary hearing?

Information is coming soon…

Can I appeal an Evidentiary Panel's decision if I don't agree with it?

Information is coming soon…

What happens if my complaint proceeds to a trial in district court?

Information is coming soon…

If I disagree with the result reached at a district court trial, can I appeal?

Information is coming soon…

How will I know what happens with the grievance that I file?

Information is coming soon…

What happens to lawyers who have been found guilty of professional misconduct?

Information is coming soon…

Does the Disciplinary Agency offer any avenue of recourse for a complainant who has a dispute with a lawyer that is not resolved through the attorney disciplinary system?

Information is coming soon…

Can anything be done for clients whose money has been stolen by their attorney?

Information is coming soon…

Who do I contact if I have other questions about the disciplinary process?

If you have questions prior to filing a grievance, please contact your state's Disciplinary Agency.

What if I believe I have a claim for legal malpractice?

Disciplinary Agencies will not advise you regarding what claims, if any, you may have for legal malpractice. The attorney disciplinary system is not designed to be a substitute for or in any way address claims of legal malpractice, if any. The Disciplinary Agencies do not have any ability to pursue or in any fashion become involved in whatever claims you may have with regard to legal malpractice on the part of the lawyer.

If you believe that your lawyer grievance or complaint actually falls within the realm of legal malpractice, contact Attorney Joel Bander by completing our Legal Malpractice Contact Form or speak directly to one of the members of our staff at (626) 689-2535.