Regulating Lawyers: The Process & The Punishment

Question 1

Complaints involving a NY attorney’s conduct are investigated by:

Answer 1

• Grievance committee in one of the 4 departments of the appellate division
• NY disciplinary proceedings are initiated by complaint to the departmental Disciplinary Committee or the Appellate Division

Question 2

Four Types of Discipline

Answer 2

• Admonition (ex- letter of caution)
• Public or Private Censure (has to be imposed by the courts)
• Suspension
• Disbarment (has to be imposed by the courts)

Question 3

What is the duty to tell on other lawyers?

Answer 3

when you KNOW of another lawyer’s violation of the Rules that raises a SUBSTANTIAL QUESTION as to that lawyers HONESTY, TRUSTWORTHINESS OR FITNESS AS A LAWYER, you (1) must report knowledge of the violation to a grievance committee or a court, and (2) cooperate in the investigation.

BUT NOTE: if you learn of the violation during the rep of a client, the duty of confidentiality to the client will trump the duty to report (so need consent).

Question 4

Multi-Jurisdictional Practice & Punishment

Answer 4

Discipline imposed upon the lawyer by another state permits NY to impose reciprocal discipline for the same misconduct.

Lawyer admitted in Ny can be disciplined by NY for any misconduct, no matter where it occurs.

Can be subject to the disciplinary authority of both NY & another state for the same misconduct.

Question 5

Choice of Law in Disciplinary Matters

Answer 5

• If the conduct occurred in connect w/ a proceeding before a tribunal in which the lawyer was admitted (generally or pro hac vice) then the rules of the jurisdiction in which the court sits govern the lawyer’s conduct.
• For any other conduct, NYs rules will govern if the lawyer is admitted ONLY in NY. If the lawyer is admitted in NY & another state, the rules of the state in which the lawyer principally practices will apply unless the conduct’s predominant effect is in another state, in which case that OTHER state’s rules will apply.