Attorneys frequently receive disciplinary complaints. Such allegations may lead to formal determination by governing bodies that professional misconduct has taken place.
Rule 8.3 requires you to inform an appropriate tribunal of any known violations by attorneys of professional conduct rules by another. They then have the ability to investigate and act on that information.
1. Your State Bar
Attorney regulatory agencies are typically responsible for investigating and disciplining attorneys. Investigations begin upon receiving complaints from members of the public – most commonly unhappy clients but also judges, unpaid lien holders or opposing parties – about any aspect of an attorney’s practice that falls outside the professional code established by their State Bar; slow return calls, curtness or sloppy legal work might warrant cautionary reviews on Avvo; however these issues typically do not warrant formal complaints against them by regulators.
However, if you have evidence that an attorney violated professional ethics, it’s your duty to report it. For your information to count as evidence that someone committed misconduct or violated a rule requiring disclosure – not mere speculation. Disbarment can be seen as the most severe penalty for misconduct which will remove their ability to practice law in that jurisdiction and flag their name on state bar searches so potential clients can avoid them.
2. Your Attorney
Attorneys are held to a higher ethical standard than other professionals and must abide by a set of ethical rules. If you feel your attorney has broken one of these rules, it is essential that it is reported. This typically takes the form of filing a written complaint with their Grievance Committee or disciplinary agency. You may need to waive attorney/client privilege as part of this process and provide more details of any behavior you feel is unethical.
As an example, if an attorney fails to return your phone calls or take too long conducting discovery, that could be grounds for grievance. But if they neglect your case or make serious errors that affect the outcome of your claim, this constitutes an obvious breach of professional conduct and may warrant further disciplinary measures such as suspension from practicing law or even disbarment; although sometimes an attorney who commits misconduct receives only private admonition rather than public discipline.
3. Your Client
Some attorneys mistakenly assume that becoming familiar with the disciplinary process indicates ethical violations on their part, so they avoid learning about it altogether. Unfortunately, this approach is both self-defeating and potentially dangerous.
Rule 8.3 in New York mandates that attorneys who possess knowledge of another lawyer’s breach of professional conduct notify an appropriate tribunal or authority as soon as they become aware. For this requirement to apply, one’s knowledge must come from firsthand knowledge rather than from hearsay. Furthermore, any information disclosed must not be confidential due to being obtained directly from them or via bona fide client assistance programs.
Law interprets this rule to support public policy that favors effective regulation of the legal profession and reporting potential misconduct to attorney regulatory authorities. If an attorney’s misconduct has caused you serious injury, seek legal advice immediately from a legal malpractice attorney on whether you have grounds to file for compensation against their misconduct.
4. Yourself
Some lawyers fear that being familiar with the disciplinary process implies ethical shortcomings on their part and therefore avoid learning about it altogether. Unfortunately, this approach can be both self-defeating and potentially dangerous.
Under New York Rules of Professional Conduct Rule 8.3, lawyers are obliged to report knowledge of another attorney’s misconduct to an authority who can investigate or act upon it. However, this duty must be seen within the context of legal profession only – the action of the offending attorney must raise significant doubt about their honesty, trustworthiness and fitness to practice law.
Information that must be reported must not be confidential because it was received from a client who did not consent to its disclosure, or because you participate in a bona fide lawyer assistance program. If you are uncertain whether your knowledge of other attorneys’ misconduct meets this standard, it would be prudent to contact ethics counsel prior to reporting the allegations directly to a tribunal.
