If you become aware of attorney misconduct, generally it is expected of you to report it immediately; however, according to professional rules this obligation may be limited.
As an attorney’s ethical duties include reporting criminal conduct that “reflects negatively upon his or her honesty or trustworthiness”, reporting misconduct is only required if criminal action has taken place that directly compromises an attorney’s integrity or trustworthiness and not just because there has been knowledge of a rule violation unless it is serious in nature.
Complaints to the Disciplinary Board
Before filing a formal complaint against an attorney, it is advisable to try resolving conflicts through written dialogue first. If this fails, an official complaint may be lodged with the disciplinary board in your county of practice – comprised of volunteers trained to administer impartial hearings – the Office of Disciplinary Counsel (ODC) usually investigates and makes recommendations on whether formal disciplinary proceedings should proceed before hearing officer or committee hear the case and three members review evidence at a closed meeting.
Under Rule 8.3 you are not required to report a lawyer’s misconduct unless it rises to an “egregious level that seriously calls into question his or her honesty, trustworthiness or fitness as a lawyer”. This determination should be made case by case; should you choose to report it, however, an official disciplinary proceeding will commence and you will likely be required to provide testimony at a formal hearing held as part of that proceeding.
Complaints to the Bar Association
According to the Rules of Professional Conduct, attorneys have only a very limited duty to report knowledge of attorney misconduct by another. When reporting, circumstances must be particularly grave or cause doubt as to their honesty, trustworthiness or fitness as a legal practitioner. A failure to report another lawyer can result in private discipline under Rule 8.3, but such matters rarely become public knowledge.
If you suspect an attorney of misconduct, contact the county disciplinary committee or board where he or she practices. They will examine your complaint to determine whether it meets reporting requirements under the Rules of Professional Conduct; if that’s the case, they may interview witnesses, subpoena files and records and even require your lawyer to appear and testify in front of them before conducting an investigation and taking appropriate actions against them; finally they will inform them as well as inform any actions they took during an investigation process or any further steps they might have to take against their attorney regarding any investigation results or actions taken.
Complaints to the Grievance Panel
Grievance processes exist to safeguard public interest. If you suspect an attorney violated one or more rules, bring this up with an entity with jurisdiction, usually either Grievance Panel or Appellate Division in the jurisdiction where the alleged misconduct took place.
Before filing a formal complaint, it may be worth exploring informal solutions, preferably with the aid of a mediator. This could save time, money and aggravation.
If the investigators decide there was no professional misconduct, they will close your case and send you a letter outlining why. An honest disagreement about fees does not constitute unethical conduct.
Under 22 NYCRR 100.3(c), judges have complete discretion as to whether or not to take action on complaints received under 22 NYCRR 100.3. They can impose discipline from public censure to disbarment; should any decision be reached, it will be released publicly.
Complaints to the Court
When clients suspect professional misconduct on behalf of an attorney, a complaint must be lodged with the district court where he or she practices using an official court form.
The complaint must include an accurate yet concise summary of factual allegations, specific legal claims or causes of action (in separate counts) with supporting statutory and case law citations, as well as allege subject matter jurisdiction, personal jurisdiction and venue for adjudicating these claims by the court.
OPR will review the facts of each case to assess whether a finding of professional misconduct is warranted and disciplined according to Department policy if found.
Findings of professional misconduct must be based on firsthand knowledge rather than feelings, beliefs, suspicions or hearsay. If there is any doubt as to whether an attorney’s conduct meets this threshold of misconduct, the committee will send them a Letter of Advisement.
