Frequently Asked Questions: Complaints & Claims

The State Bar’s Office of Chief Trial Counsel handles complaints about unethical attorney conduct from several different sources, including clients, family and friends of clients, courts, opposing counsel, members of the public or other third parties, and anonymous submissions.

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 that the attorney may be a repeat offender or may have committed a violation where there is a serious likelihood of discipline being imposed, an investigator and a State Bar prosecutor 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, the State Bar decides 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 attorney 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.

Under limited circumstances, the Board of Trustees, or the Chief Trial Counsel and Chair of the Board of Trustees, may waive confidentiality, but any public disclosure will remain limited to confirming the fact of a complaint or investigation; a brief factual summary to identify the subject matter of the complaint or investigation; and the status of the complaint or investigation.

If criminal conduct is suspected, the State Bar may also refer the matter to a law enforcement agency for investigation and potential prosecution.

With the exception of anonymous complaints, the State Bar notifies the complainant of receipt of the complaint. An experienced State Bar attorney will review the complaint to determine if the facts are sufficient to show that an ethical violation occurred. Additional documents from the complainant may be needed to complete this evaluation.

In the course of the investigation, the State Bar will be required to disclose to the attorney who is the subject of the complaint the facts and circumstances being investigated—ordinarily this will include disclosure of the complainant’s identity. If a complaint is filed by an attorney’s client, the complainant’s identity will need to be disclosed to the attorney to establish a waiver of attorney-client confidentiality in connection with the investigation.

An investigation of a complaint typically takes up to six months 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. For example, there could be a referral to mandatory mediation (an agreement requiring the attorney to meet certain conditions) or the attorney’s participation in other programs.

If, after investigation, the evidence does not establish a serious violation, the State Bar may:

• Issue a warning to the attorney;
• Place the attorney on diversion, under which the attorney agrees to take corrective action; or
• Issue an Agreement in Lieu of Discipline (ALD), under which the attorney agrees to take corrective action. 

A warning, diversion, or an ALD is not considered discipline.

If the State Bar decides to file charges against the attorney, the case will go to the independent State Bar Court and will become public, with notice on the attorney’s online profile. A judge can dismiss the case, issue an admonishment or reproval, or recommend suspension or disbarment. The California Supreme Court has the final say in all discipline cases involving suspension or disbarment.

The accused attorney must file an answer, or risk a default judgment and involuntary enrollment as an inactive State 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.

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.
• Issue an Admonition informing the attorney that no further action will take place as long as they stay out of trouble for two years. 
• Settle on an Agreement in Lieu of Discipline that requires the attorney to fulfill specially tailored remedial conditions.

Each case is different. Most disbarred attorneys fall into one of two categories: (1) They committed a very serious violation, such as perjury or stealing client funds, or (2) 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 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.

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 reimburses clients who have lost money or property due to theft or other dishonest acts 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 for more information.