Ten Rules for Avoiding Disciplinary Complaints

by Jay G Foonberg

It is estimated that every year about one disciplinary complaint is filed for every ten lawyers. Very few of these complaints result in any discipline against the lawyer, either because the nature of the complaint is not covered by the disciplinary system or because the lawyer is innocent of any wrongdoing. But the complaints are ma

if not almost all, states. I think it is grossly unfair, but it is the system. Accordingly, the important thing for you to do is to avoid the complaint, not to win the war with the complaining client.de. Most complaints are made by clients, some are made by lawyers, and a few by judges.

More than half of all disciplinary complaints result in no action taken against the lawyer, but the lawyer must defend himself or herself at emotional and financial cost.

The important thing with disciplinary complaints is not to win the war, but rather to avoid the battle. A nonmeritorious complaint against you can hurt you no matter how innocent you are of any wrongdoing.

Surveys I've done indicate that more than 50 percent of all ethics complaints are caused by poor or nonexistent client relations, including poor or nonexistent communication with clients.

Poor client relations skills result in lost income to the lawyer, unnecessary work for bar counsel, and an erosion of the public's opinion of lawyers and of the legal system.

There is a very basic defect in almost all disciplinary systems in that the file on the lawyer that contains nonmeritorious complaints often stays open forever, or at least as long as the lawyer lives.

Assume, for example, that a totally nonmeritorious complaint is made against you. Assume that a full investigation is made and that you did absolutely nothing wrong. Assume it turns out that the client is mentally disturbed or unhappy about a divorce, and in a moment of anger files a complaint that is a "pack of lies." Assume you are completely and totally innocent of any wrongdoing legally, morally, ethically, or otherwise, and that you are totally exonerated.

That nonmeritorious complaint may stay in your file forever. It is possible that additional complaints will be made over the thirty to forty or more years you are in practice. These complaints may also be nonmeritorious, but they will be cumulative files of prior complaints and there may be a "where there's smoke, there's fire" mentality on the person or committee investigating the complaint. You may be prejudiced by prior nonmeritorious complaints.

A convicted felon who pleads guilty and goes to jail may have a right to expunge his record, but an innocent lawyer often has no right to expunge any records.

This is the system in many, if not almost all, states. I think it is grossly unfair, but it is the system. Accordingly, the important thing for you to do is to avoid the complaint, not to win the war with the complaining client.