Disciplinary action for violations of the Rules of Professional Conduct or the State Bar Act ranges from private reproval to disbarment.
The Probation Unit of the Office of Chief Trial Counsel monitors attorneys' compliance with the conditions imposed on suspensions and reprovals.
The State Bar Court also may put attorneys on involuntary inactive status if they appear to pose a serious threat to the public.
If a State Bar investigation indicates that an attorney's conduct only bordered on a violation or was a minor breach, State Bar prosecutors may choose an alternative to discipline.
The State Bar's Office of Chief Trial Counsel could decide to send a Directional or Warning Letter to the attorney - and close the case. Or they could issue an Admonition informing the attorney that no further action will take place as long as they stay out of trouble for two years. Or they could settle on an Agreement in Lieu of Discipline that requires the attorney to fulfill specially tailored remedial conditions.
Each case is different. But most disbarred attorneys fall into one of two categories: They committed a very serious violation, such as perjury or stealing client funds, or they have a history of misconduct.
Reproval, either public or private, usually is reserved for first-time offenders whose misconduct falls on the low end of the scale.
For example, abandoning one client might lead to a private reproval or remedial action, such as Ethics School. Abandoning 12 clients, however, would likely result in much more serious discipline.
An attorney is placed on probation so that his or her conduct in the practice of law can be monitored - much like supervised probation in the criminal justice system.
Occasionally, another practicing attorney -- serving as a probation monitor -- meets with the disciplined attorney. The disciplined attorney then files regular reports and could be required to meet special conditions during the probationary period. Most conditions of probation are monitored by the Probation Unit.
The Office of Chief Trial Counsel handles complaints from both clients, members of the public, and other attorneys over unethical professional conduct. Attorney misconduct complaint form available in English, Spanish, Vietnamese, Korean, Russian, and Chinese. You may also call the State Bar’s multilingual Contact Center at 800-843-9053 (in California) or 213-765-1200 (outside California) to request the form or discuss the complaint-filing process. There is no fee for filing a complaint, and you do not have to be a U.S. citizen. Be sure to include copies of any documents that will help support your claim.
When you are done filling out the form, mail it to: The State Bar of California, of Chief Trial Counsel, Intake Unit 845 South Figueroa Street Los Angeles, CA 90017-2515 An inquiry is opened for every written communication that involves a complaint about an attorney's conduct. After the inquiry is evaluated, the accused attorney may be diverted out of the system, or the inquiry may be closed.
If it appears, however, that the attorney may be a repeat offender or have committed a violation where there is a serious likelihood of discipline being imposed, an investigator and a Bar prosecutor from the Enforcement Unit take responsibility for the investigation.
The accused attorney is given an opportunity to respond, witnesses are contacted and documents are reviewed. At the investigation's conclusion, attorneys decide whether to:
- Dismiss the complaint
- Impose an informal confidential resolution, or
- File disciplinary charges.
The Notice of Disciplinary Charges is filed in State Bar Court, where it is assigned to a hearing judge. The accused attorney then must file an answer - or risk a default judgment or involuntary enrollment as an inactive bar member.
If a settlement cannot be reached, the case goes to trial in State Bar Court. After the trial, the hearing judge issues a written decision. Either side may appeal the decision to the State Bar Court's Review Department.
The California Supreme Court is the final arbiter in attorney discipline cases.
State Bar investigations and inquiries are, by statute, confidential. The complaint becomes public when disciplinary charges are filed against an attorney in State Bar Court. By law, however, any other pending investigations involving the same lawyer must remain confidential at that point. If it is determined that public protection is seriously at stake in a particular case, the Chief Trial Counsel does have the authority to publicly reveal a pending investigation.
If criminal conduct is suspected, the State Bar may also refer the matter to a law enforcement agency for investigation and potential prosecution.
Complaints typically take up to six months, sometimes more, for an investigation to be completed. In particularly complex cases, the investigation could take as long as a year. Many complaints are diverted out of the process along the way by, for example, a referral to mandatory mediation, an agreement requiring the attorney to meet certain conditions or the attorney's participation in other programs.
The accused attorney must file an answer, or risk a default judgment and involuntary enrollment as an inactive Bar member pending the outcome of the case. The clerks in State Bar Court schedule a status conference (a meeting of all parties), to be held within 45 days after the complaint is filed. The next step depends on the individual case. There could be additional status conferences, settlement conferences, or simply the trial date.
The convicted attorney, the district attorney and the court are each required, by law, to notify the State Bar any time that an attorney is arrested and charged with a crime or criminally convicted. These overlapping requirements help assure that the State Bar will be notified. When the State Bar receives such a report, the information is forwarded to the State Bar Court. Then it is handled in several different ways, depending upon the nature of the conviction.
If the attorney is convicted of a felony, they are placed on interim suspension pending a disciplinary hearing on the merits in State Bar Court. Attorneys convicted of a misdemeanor also are put on interim suspension if the crime involved "moral turpitude" by its very nature. Some crimes, such as theft, are designated by law as crimes involving moral turpitude.
But if the attorney's misdemeanor conviction does not by its very nature involve moral turpitude, they face a hearing in State Bar Court to determine the discipline, if any, to be imposed in the case.
The Client Security Fund represents reimburses clients who have lost money or property due to theft or other dishonest act by a California lawyer acting in a professional capacity. Supported entirely by lawyers' annual fees, the fund reimburses eligible applicants up to $100,000. See the State Bar pamphlet "The Client Security Fund Can Help You."
The State Bar certifies professional law partnerships to allow attorneys to limit their vicarious liability for the acts tortious or otherwise, of their partners and employees.
LLP information.
That is fine, as long as the law practice relationship between the entities is acknowledged on the application.
In order to voluntarily terminate the LLP's Certificate of Registration with the State Bar, you must submit an original certified copy of the Secretary of State's LLP-4 form (including the blue and white cover sheet with red date stamp), showing that the entity ceases to exist as a limited liability partnership. Pursuant to 9.0 of the State Bar's LLP Rules and Regulations, the termination shall be effective as of the date the LLP is dissolved by the Secretary of State.
The Lawyer Assistance Program (LAP) is a confidential program (see below for more information about confidentiality) that provides a supportive structure for building a personal program of recovery from mental health issues and/or problematic substance use. The program also monitors a participant's progress, not only for the public safety, but also as documentation of recovery for the professional participant. Law students, State Bar applicants, and attorneys (both current and former) are eligible for the LAP.
Per Business & Professions Code section 6234, any information obtained by the LAP is confidential and cannot be disclosed as part of a civil proceeding, a disciplinary proceeding, or a public records request.
Licensed mental health professionals who may work within the LAP must still comply with laws regarding the reporting of danger to self or others, suspected elder or dependent adult abuse, and suspected child abuse.
While participants receive a personalized plan tailored to their individual needs, there are general similarities. Some common recommendations are:
- Attend several abstinence-based self-help group meetings each week (for those with substance use problems) or attend therapy sessions (for those with mental health concerns). - Attend LAP support group meetings each week. - Abstain from all drugs that are not prescribed, including alcohol. - Meet with the Clinical Review Team periodically. - Maintain regular contact with a Clinical Rehabilitation Coordinator. - Participate in lab testing on a random basis (typically for those with a history of problematic substance use).
There may be additional and more specific recommendations depending on the needs of an individual participant, such as inpatient treatment or counseling for a specific problem.
No, the ADP is the State Bar Court's Alternative Discipline Program for attorneys with substance use or mental health problems.
The LAP is a separate program for law students, State Bar applicants, current and former attorneys with substance use or mental health issues, regardless of whether they have past or pending disciplinary matters.
The ADP has a close and mutually beneficial relationship with LAP. The ADP neither duplicates the LAP processes nor usurps the treatment function. The ADP seeks to identify and refer respondents with substance use or mental health problems to LAP in order that respondents so afflicted may be treated and rehabilitated. A respondent must be accepted into LAP to be eligible for the ADP.
The State Bar Court has more information about ADP.
Participation in self-help recovery groups is an essential element of recovery for many people. LAP groups are an important adjunct to the recovery process, rather than a substitute for participation in self-help programs.
LAP groups are supportive process groups that are facilitated by licensed mental health professionals. LAP groups differ from self-help groups by providing an individualized focus to the recovery process and more personalized support from the group, under the guidance of the group facilitator. Only law students, State Bar applicants, and attorneys are in the LAP groups. It is not open to the general public.
LAP groups do not focus on the specific treatment of any diagnosis. A structured plan of support is beneficial in the recovery of a variety of problems.
Also, many LAP participants are recovering from both substance use and mental health issues. Feedback from LAP participants confirms that benefits are derived from the combined group meetings. The general public is not part of the LAP group meetings.
There is no set time for Support LAP. It is completely voluntary. Participants can enroll, withdraw, and re-enroll whenever they want to.
Professional monitoring can be provided for as long as a participant wants it. If an attorney is required to successfully complete the LAP (often required by the State Bar’s discipline system), the attorney will have several goals to meet, including a minimum of three continuous years of sobriety and/or mental health stability.
The cost is $270 per month, which is paid to the clinician who facilitates the group. Groups fees are assessed monthly, not on a week-to-week basis. Financial assistance is available for qualified participants.
The cost for drug testing varies by frequency and the type of test. Most tests are about $85 per test, which is paid to LAP’s contracted testing provider. The lab that is used for biological fluid collection, may assess an additional fee.
Drug testing varies by need, although the general parameters are 12-36 times per year.
Contracted therapists agree to provide two additional sessions at $100 per session after the two free sessions that LAP pays for. For the fifth session, individuals can make their own arrangements with the therapist/counselor if they wish to continue.
Contact the LAP office for details about the income eligibility requirements and the application process. Financial assistance can cover up to one year of LAP group fees and one year of lab testing fees.
For more information, see the LAP Growth Grant Criteria.
For more information, complete this form, give us a call (877-LAP-4HELP or 877-527-4435), or send an email to LAP@calbar.ca.gov. Contacting us is confidential.