Attorney misconduct is a serious threat that affects clients, the justice system and legal profession alike. Rule 8.3 mandates reporting certain forms of misconduct but this obligation can often be vague or unclear due to various considerations.
To file a formal complaint, it must be based on direct knowledge and not mere hearsay or feelings, beliefs, or suspicion. Furthermore, all elements of Rule 8.3 must also be fulfilled.
Reporting to the Bar
When an attorney engages in ethical misconduct, you can file a formal complaint with the State Bar using an online form available on its website – you do not require prior legal knowledge for this step.
Rule 8.3 is a new California rule which mandates attorneys to report other lawyers’ misconduct, marking a departure from existing rules and prompting many questions about its implications.
If you have direct, firsthand knowledge of an attorney’s alleged misconduct that isn’t protected under Rule 1.6, and believe it would cause “material prejudice or harm” to clients of that attorney, reporting is generally obligatory. However, exceptions include disclosing confidential client information or sources and reasonably believing it would do so would require disclosing confidential client data or sources and would cause “material prejudice or harm”
The disciplinary board reviews complaints to determine whether misconduct warrants formal proceedings. Sanctions range from private reprimands to suspension and disbarment.
Reporting to the Court
Attorneys are officers of the court and must adhere to strict ethical standards. Otherwise, they could face disciplinary action from the Appellate Division that could result in public censure, reprimand, suspension or loss of license to practice law.
Rule 8.3 requires you to report knowledge of another attorney’s professional misconduct to the Court only if its conduct raises “substantial doubt about their honesty, trustworthiness or fitness as an attorney”. Therefore, it is crucial that any allegations of professional misconduct meet this threshold before reporting them.
OPR investigates allegations of serious professional misconduct involving Department attorneys’ use of their authority to investigate, litigate or provide legal advice. However, if your information regarding their misconduct is confidential due to client relationships or from participating in accredited lawyer assistance programs then reporting isn’t mandatory.
Reporting to the Grievance Committee
There is an old joke among lawyers that clients only complain when they lose, but in reality clients may report attorney misconduct for many valid reasons – including fee disputes, lack of communication and negligent behavior by an attorney.
Once the New York Attorney Grievance Committee reviews your complaint, they will send a copy to the lawyer for their response and evaluation. They can either admit or deny misconduct in their defense; depending on this evaluation process, either dismiss your grievance, admonish the lawyer involved, or refer it directly to the Disciplinary Board for action to be taken against them.
As part of these discussions, the Chair may decide to form a Subcommittee of the Committee in order to investigate further. Meetings of this Subcommittee and full Committee meetings are closed to the public because confidential client and party information could be discussed by them; if however you personally know of misconduct under Rule 8.3, reporting it will be required of you as per Rule 8.3.
Reporting to the Disciplinary Board
Individuals may submit non-frivolous allegations of serious professional misconduct against Department attorneys to the Disciplinary Board for investigation. If an attorney is found to have committed misconduct, this committee can issue them a letter of caution, admonition or reprimand without publicizing these letters.
The Disciplinary Board consists of volunteer attorneys and members of the public appointed by the Supreme Court to serve three-year terms, meeting quarterly to review policies regarding lawyer discipline in Iowa.
In disciplinary proceedings, the Board may authorize formal charges against an attorney and hold hearings to ascertain whether he/she should be suspended from practicing law. Following these hearings, it recommends a course of discipline to the Supreme Court; depending on its decision in relation to each case, sanctions such as public censure, suspension and disbarment could result. In such proceedings, an attorney must attend an official judicial hearing without making direct contact with complainants except through written correspondence.