Zach Coughlin, Esq.

Nevada Bar No: 9473

PO Box 39!
"ENO, N# $9%&%
'el: 77% 33$ $!!$
(ax: 949 7 74&)
ZachCoughlin*ho'+ail.co+
P,E-.E NO/E /0E NE1 C0-N2E O3 -44"E.. -BO#E
/05. 5. - 3"EE4O6 O3 5N3O"6-/5ON -C/ "E78E./
93O5-: -N4 - "E78E./ 6-4E P8".8-N/ /O /0E NE#-4-
OPEN "ECO"4. ,-1 8N4E" N". )39
h'';:<<sunshinerevie=.org<index.;h;<Nevada>3O5->;rocedures
/O: 4avid Clar?, Esq., Pa'ric? @ing, Esq., 2lenn 6achado, Esq.
.'a'e Bar o( Nevada Bar Counsel
sen' via e+ail 'o: Pa'ric?@*nvAar.org, 2lenn6*nvAar.org, and Clar?4*nvAar.org
and via (ax, -//N B-" CO8N.E, 'o 7&) 3$% )$7$ and 77% 3)9 &%))
P,E-.E NO/E /0E NE1 C0-N2E O3 -44"E.. -BO#E
-;ril !), )&!)
4ear Bar Counsel,
5 a+ =ri'ing 'o (or+allB reques' a co;B o( 'he +a'erials ;rovided 'o 'he .'a'e Bar o( Nevada in
connec'ion =i'h anB and all grievances (iled agains' +e. 5 Aelieve 5 have a righ' 'o all +a'erials
suA+i''ed in connec'ion =i'h anB grievance, no' Cus' excer;'s o( 'he +a'erials. 3ur'her, 'hese
grievances, ;ar'icularlB 'ha' (iled AB Dudge Nash 0ol+es, are co+;lica'ing curren'lB ;ending cour'
;roceedings, ;ar'icularlB 'o 'he ex'en' 'ha' Dudge Nash 0ol+es ;ur;or's 'o s;ea? on Aehal( o( all 'hree
o'her "6C Cudges, in addi'ion 'o Cudge ;ro 'e+;ores 95 have no idea =ho+ she is re(erring 'o in 'ha'
regard:. 3ur'her Dudge 1illia+ 2ardner o( 'he "6C is 'he Aro'her o( Dudge ,inda 2ardner o( 'he
.econd Dudicial 4is'ric' Cour'. 1hile in cour' las' =ee?, Dudge 1illia+ 2ardner indica'ed he could no'
recall i( he had seen Dudge Nash 0ol+esE grievance le''er rela'ing 'o +e, =hich she su;;lied 'o 'he
.'a'e Bar o( Nevada. Dudge 1illia+ 2ardnerEs +e+orB did serve hi+ 'o rela'e 'ha', indeed, his sis'er,
Dudge ,inda 2ardner, recen'lB (or=ard 'o hi+, =hich he (or=arded 'o 'he o'her "6C Dudges, a co;B o(
Dudge ,inda 2ardnerEs Order (or .anc'ions agains' +e in -;ril o( )&&9. Bar Counsel Pa'ric? @ing has
re(used 'o indica'e 'o +e =ho+ suA+i''ed 'o 'he .'a'e Bar o( Nevada Dudge ,inda 2ardnerEs Order (or
.anc'ions, and 'here(ore, i' is en'irelB unclear as 'o ho= an en'ire grievance, =i'h i's o=n case nu+Aer
could Ae o;ened res;ec'ing Dudge ,inda 2ardnerEs Order (or .anc'ions, ;ar'icularlB given 5 have Aeen
su;;lied no grievance le''er ;ur;or'ing 'o o;en a co+;lain' or grievance in rela'ion 'o 'ha' -;ril )&&9
Order (or .anc'ions.
!<)9





























Please note I have a new SCR 79 Public Address and a new PO BOX that I have identified
as my referred mailin! address" I have attemted to ma#e these chan!es via the $Portal% at
www"nvbar"or!& but the website is not allowin! me to ma#e them" Please accet this writin! as a
communication meant to effect such chan!es"
6B .C" 79 -ddress should Ae:
Zach Coughlin, Esq.
94% 1. !)
'h
.'.
"eno, N# $9%&3
6B ;re(erred +ailing address and PO BOF address should Ae:
Zach Coughlin, Esq.
PO Box 39!
"eno, N# $9%&%
6B ;uAliclB lis'ed 'ele;hone nu+Aer should Ae 77% 33$ $!!$.
6B ;uAliclB lis'ed (ax should Ae 949 7 74&).
5 =ould li?e a co+;le'e, signed, co;B o( all 'he grievances (iled agains' +e, and anB o'her
si+ilar s'Ble =ri''en or oral co+;lain's 9including 'hose 6r. @ing eludes 'o (ro+ 6arch )), )&!) o( 'he
"eno 6arshals (or 'he "6C:. 5 a+ reques'ing a co+;le'e co;B o( anB an all +a'erial suA+i''ed along
=i'h 'hose grievances or co+;lain's, again. 5 =ould li?e an indica'ion, in =ri'ing, (ro+ Bar Counsel as
'o =hen 5 +us' res;ond 'o each o( 'he various co+;lain's and or grievances AB. 5 do no' Aelieve 0illEs
GgrievanceH should Ae 'rea'ed as o((icial a' 'his ;oin' given he (ailed 'o sign i' and (ur'her, he lac?s
s'anding 'o +a?e 'he co+;lain's 'ha' he +a?es. -ddi'ionallB, Dudge Nash 0ol+es lac?s s'anding 'o
;ur;or' 'o s;ea? on Aehal( o( all o'her "6C Dudges, in addi'ion 'o unna+ed Dudge Pro /e+;ores. 5 as?
(or a =ri''en indica'ion (ro+ Bar Counsel as 'o =he'her or no' such de(iciencies ;reven' anB such
corres;ondences (ro+ a;;ro;ria'elB Aeing dee+ed GgrievancesH calling (or anB res;onse on +B ;ar'.
Dudge 1illia+ 2ardner has no= re(used 'o recuse hi+sel( (ro+ a case =herein 5 a+ a ;ar'B,
des;i'e receiving +a'erials aAou' +e (ro+ his sis'er, des;i'e his Aeing e+;loBed AB 'he "eno Ci'B
-''orneBEs o((ice as recen'lB as )&!& 95 have curren'lB ;ending li'iga'ion agains' 'he "eno Ci'B
-''orneBEs O((ice and or li'iga'ion =hich is reasonaAlB li?elB 'o arise in 'he near (u'ure:, and des;i'e
Dudge Nash 0ol+es (iling a grievance =i'h 'he .'a'e Bar o( Nevada 9a;;aren'lB in res;onse 'o
;ro+;'ing (ro+ Bar Counsel Pa'ric? @ing, as she a;ologies (or I'a?ing '=o daBs 'o ge' Bou 'he
+a'erials Bou reques'edI in a le''er 'o 6r. @ing: =herein Dudge Nash 0ol+es ;ur;or's 'o (ile 'ha'
grievance on Aehal( o(, a+ongs' o'hers, "6C Dudge 1illia+ 2ardner.
5 have suA+i''ed Ao'h a 3O5- and a Nevada O;en "ecords ,a= reques' 'o 'he .'a'e Bar o(
Nevada (or co;ies o( all +a'erials su;;lied 'o 'he .'a'e Bar and Bar Counsel in connec'ion =i'h 'hese
IgrievancesI and have had +B reques's denied and or 'heB have gone unres;onded 'o. 3ur'her,re'urned
'o +e onlB 7 daBs a('er 'he "6CEs 3<3&<!) Order requiring as +uch 9+eaning +B ;ersonal ;ro;er'B,
including a cell ;hone, a s+ar' ;hone, an elec'ric shaver, and a 3)gA +icro sd card: AB =aB o( 'he
1C.O, =i'h all da'a dele'ed or o'her=ise +ade inaccesiAle =as a 3)gA +icro sd card 'ha' Dudge Nash
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0ol+es and 'he Ci'B o( "eno 6arshal seiJed (ro+ +e inciden' 'o =ha' cer'ainlB a;;ears 'o Ae a
;re'ex'ual arres' allo=ing 'he+ 'o conduc'd a search inciden' 'o arres' in connec'ion =i'h +B cross
exa+ina'ion o( "eno Police 4e;ar'+en' .argen' /ar'er concerning "P4 O((icer Chris Car'er ad+i''ing
'ha' "ichard 2. 0ill, Esq. =as AriAing hi+ 90ill (iled 'he ini'ial Aar grievance agains' +e and Bar
Counsel @ing, des;i'e have a ;uAlished decision o( 'he Nevada .u;re+e Cour' in Cars'ar;hen v.
6ilsner (ro+ 6arch )&!) in =hich 6r. 0ill =as o;;osing counsel and des;i'e 6r. @ingEs ;revious
shared e+;loB+en' =i'h curren' "eno Ci'B -''orneB 4an 1ong 91ong and @ing =or?ed (or 'he
-''orneB 2eneralEs O((ice a' 'he sa+e 'i+e, des;i'e all 'ha' 6r. @ing (ailed 'o disclose anB such
;o'en'ial con(lic' and a;;aren'lB re+ains on 'his +a''er:
h'';:<<la=.Cus'ia.co+<cases<nevada<su;re+eKcour'<)&!)<%!3!.h'+l
5 have Aeen ;rovided no da'e AB =hich 5 +us' (ile +B res;onse 'o anB o( 'hese grievances, save
;erha;s a da'e (or res;onding 'o 'he 0ill grievance 0o=ever, 'he 0ill grievance ;ur;or'ed 'o i+;lica'e
+a''ers =hich necessi'a'ed see?ing clari(ica'ion (ro+ Bar Counsel =i'h regard 'o =he'her 'he ;endencB
o( a cri+inal ;roceeding or ;rior re;or'ing 'o o'her Bar Counsel dives'ed 6r. @ing o( Curisdic'ion 'o
conduc' an inquirB. 6r. @ing (ailed 'o res;ond 'o such reques'.
5 have curren'lB ;ending or an'ici;a'ed li'iga'ion agains' 'he 8ni'ed .'a'es Pos'al .ervice in
connec'ion =i'h 'he +al(easance o( 2olden #alleB .'a'ion Pos'al .u;ervisors /erri Da+es, Buc? 0Bde,
and I6s.I Passo' and 'heir viola'ions o( 'he 3ederal /or' Clai+s -c'. 5 have (iled an O((icial 8.P.
Change o( -ddress and have received so+e +ail 'o 'he PO BOF &9%). 0o=ever, Dudge Nash 0ol+es
and Dudge 2ardner recen'lB have in(or+ed +e in cour' 'ha' 'he "6C received re'urned as
undeliveraAle several orders 'he "6C had a''e+;'ed 'o send +e Buc? 0Bde, a =o+an =hose las'
na+e is Passo', and /erri Da+es o( 'he 2olden #alleB .'a'ion 8.P. ;os' o((ice +ade 'hrea'ening and
re'alia'ion co++en'arB 'o +e =i'h regard 'o +B +ail, +ain'aining 'ha' 'heB are G(edsH and 'here(ore
need no' G;u' u; =i'h Bour garAageH, in res;onse 'o +B inquiries rela'ed 'o 'he access 'o 'he +ailAox a'
!4)) E. 9
'h
.'. L), a ;lace =here 5 =as la=(ullB en'i'led 'o Ae loca'ed a'. 2aBle @ern, Esq., is no'
viola'ing N"CP "ule !! in "E# "DC )&!)K&&&374 AB a''e+;'ing 'o classi(B +e as a Gsqua''erH 'here
9so+e'hing 'hese 8.P. e+;loBees =ere saBing ;rior 'o anB Cudicial de'er+ina'ion in 'ha' regard:,
des;i'e 'he (ac' 'ha' 'he ;ro;er'B +anage+en' co+;anB 'ha' 6s. @ernEs clien', Par? /errace
/o=nho+es -ssocia'ion e+;loBes, 1es'ern Nevada 6anage+en', =as (orced 'o ad+i' under oa'h 'ha'
'he individuals =ho+ en'ered a ren'al agree+en' =i'h +e, and agains' =ho+ 5 have Aeen a=arded
Orders o( Pro'ec'ion in 3#!)K&&!$$, and 3#!)K&&!$7, Chris'o;her -llaAac? and ,aura 3oreshee,
=ere, in (ac', given ex;ress a;;roval 'o inhaAi' 'ha' 'o=nho+e AB Ao'h "oABn Ba'alado, 'hen a
+anager a' 1es'ern Nevada +anage+en' and AB 'he Par? /errace /o=nho+eEs 0o+e O=nerEs
-ssocia'ion 9P//0O-:, in exchange (or car;en'rB =or?, ?ee;ing on 'he u'ili'ies, and 'he Aene(i' o( a
lessened insurance ;re+iu+ a''endan' 'o such a uni' no' Aeing vacan'. 1he'her or no' 'hose
individuals en'ered a suA'enancB =i'h +e, or =he'her anB lease 'heB en'ered =i'h +e 9!!$-.!& holds
'ha' leases, in Nevada, +aB Ae ei'her =ri''en or oral, Au' donE' 'ell 'ha' 'o 'he 8.P. 2olden #alleB
.'a'ion su;ervisors, as 'heB Gare (eds and donE' have 'o (ollo= Bour s'u;id s'a'e la=s, duhH: =as en'ered
in'o on Aehal( o( ei'her 1es'ern Nevada +anage+en' or P//0O- or 2aBle @ern, ,/4, is a +a''er (or
'he Cus'ice cour's 'o de'er+ine, unless 'he a+oun' in con'roversB exceeds M!&,&&&, in =hich case, 'he
Dus'ice Cour' and 'he 4is'ric' Cour' have Curisdic'ional dis;u'es 'ha' see+ 'o lac? a clear resolu'ion a'
'his ;oin'.
3<)9











































"egardless, 6s. @ernEs recen' argu+en' in her O;;osi'ion 'o +B 6o'ion 'o -l'er or -+end 'he
Order o( .u++arB Evic'ion in "DC "ev)&!)K&&&374, deserve a Aar grievance. 6s. @ern and or her
clien' P//0O- sen' an individual =i'hou' a la= license, .ue @ing, o=ner and +anager o( 1es'ern
Nevada 6anage+en' 'o '=o di((eren' hearings 'o ;rac'ice la= on Aehal( o( 2aBle @ern, ,/4 and
P//0O-, in addi'ion 'o on Aehal( o( 1es'ern Nevada +anage+en'. /his is 'he unau'horiJed ;rac'ice
o( la=. 3ur'her, 6s. @ern is held 'o ?no= =ha' her o=n agen's, 'he secre'arB (or 'he P//0O- 9Becci,
5 Aelieve is her na+e: and .ue @ing, O=ner and O;era'or o( 1es'ern Nevada 6anage+en' 'es'i(ied 'o
as 'o 'he ex;ress a;;roval ;rovided 'o +B (or+er house+a'es and do+es'ic aAusers Chris'o;er GErinH
Ervin -llaAac? and ,aura 3oreshee 9ne Pe'rone, and +ore recen'lB, ne 0arrison: allo=ing 'he+ 'o
inhaAi' 'ha' ;ar'icular 'o=nho+e (or over $ +on'hs ;rior 'o +B +oving in 'o i'. 3ur'her, @ern is no=
;ersis'ing =i'h 'his evic'ion under an evic'ion No'ice 'ha' =as No Cause, onlB 'o, 'he daB o( 'he
hearing, (ile an a((idavi' 'ha' indica'es i' =as a Non PaB+en' o( "en' evic'ion. /his is clearlB an
a''e+;' 'o ge' around 'he ;rohiAi'ion agains' using su++arB evic'ion ;rocedures agains' a co++ercial
'enan' 9=hich 5 =as, given 'he loca'ion =as +B ho+e la= o((ice, a ;er+issiAle ;ro(essional ho+e
o((ice use exce;'ion 'o anB a;;licaAle Joning la=s: and 'he delaB =hich =ould have Aeen a''endan' 'o
correc'ing 'he de(icien' original Evic'ion No'ice. /his le''er cons'i'u'es and o((icial grievance and
co+;lain' agains' 2aBle @ern, Esq., and 2aBle @ern, ,/4. "oABn Ba'alado, =as 'he P//0O- (or
1es'ern Nevada +anage+en' =ho+ received ex;ress a;;roval (or+ 'he P//0O- Board o( 4irec'ors
'o have -llaAac? and 3oreshee inhaAi' 'ha' 'o=nho+e in exchange (or so+e (or+ o( considera'ion. /o
'he ex'en' 'he considera'ion =as no' a +one'arB ren'al ;aB+en', 'he su++arB evic'ion ;rocedures
under N". 4&.)%3 are i+;er+issiAlB a;;lied in li?e o( 'he 2laJier v Dus'ice Cour' ruling o( 'he Nevada
.u;re+e Cour'. Bo'h @ern and 0ill have viola'ed "PC 3.4. 3ur'her, 0ill ;ur;ose(ullB (iled =ha' he
Aelieves 'o Ae +B social securi'B nu+Aer is a verB shor' (iling =i'h 'he "DC 9so+e'hing (or =hich 0ill
and Ba?er ac'uallB received sanc'ions on Dohn 2essinEs Aehal( in 'he cases involving 2lade 0all, Esq.:.
/his is a viola'ion o( s'a'e la= and clearlB a hos'ile ac' AB "ichard 0ill.
0illEs allega'ion =i'h res;ec' 'o anB service issues, and and inaAili'B o( Bar Counsel or 'he
Cour'Es 'o send +ail 'o +e, or (or +e 'o receive such +ail, necessarilB i+;lica'es 'hose +a''ers, in
addi'ion 'o 'he in'er(erence =i'h +B +ail AB 'hose agains' =ho+ 5 =as a=arded Orders o( Pro'ec'ion in
3#!)K&&!$$ and 3#!)K&&!$7, +B (or+er house+a'es. 5 de+ons'ra'ed a grea' deal o( diligence in
a''e+;'ing 'o +ain'ain a viaAle +ailing address, in(or+ cour's and Bar Counsel o( 'hese issues, and
+ain'ain clien' con'ac'. 5 have ;roo( o( +B (iling o((icial Changes o( -ddress and aler'ing o;;osing
counsel and 'he cour'Es o( 'he sa+e.
5 sus;ec' Bar Counsel @ing is coBlB re(using 'o 'ell +e i( he has received anB +ail as
IundeliveraAleI or so+e o'her si+ilar designa'ion 'ha' he has a''e+;'ed 'o send 'o +e.
5 a+ (or+allB reques'ing 'ha' Bar Counsel in(or+ +e, in =ri'ing, via (ax or e+ail 9a' 'he e+ail
and (ax lis'ed Aelo= and on +B o((icial con'ac' in(or+a'ion ;age as lis'ed a' ===.nvAar.org: as 'o 'he
exis'ence o( anB undelivered +ail 'ha' 'he .'a'e Bar o( Nevada has had re'urned 'o i' a('er sending i' 'o
+e. 5 =ish 'o ;ic? such +ail u; i++edia'elB and 'o re'ain all o( +B righ's 'o res;ond 'o anB such
grievance or no'ice o( 'he .'a'e Bar o( Nevada. P,E-.E NO/E 6N NE1 PO BOF C0-N2E O3
-44"E.. -/OP /05. ,E//E". P,E-.E .EN4 -NN P-./ 6-5,5N2. /0-/ 1E"E
"E/8"NE4 -. 8N4E,5#E"-B,E /O /0-/ -44"E.., 5N -445/5ON /O COPN5N2 6E ON
/0E6 #5- 3-F -N4 E6-5, -N4 P,E-.E .EN4 -,, 38/8"E 6-5,5N2. /O /05. NE1 PO
BOF -/OP /05. CO""E.PON4ENCE.
4<)9




5n 'he (ollo=ing cases 'he cour's 'oo? 'he vie= 'ha', under 'he ;ar'icular disci;linarB rules
o( 'he Curisdic'ion, 'he a''orneBEs (ailure 'o coKo;era'e =i'h disci;linarB au'hori'ies does no'
cons'i'u'e an inde;enden' ground (or disci;lining counsel. O?la .'a'e ex rel. O?laho+a Bar -ssEn v
-da+s 9!99%, O?la: $9% P)d 7&!
-l'hough reCec'ing an a''orneBEs asser'ion in a disci;linarB ;roceeding 'ha' 'he cons'i'u'ional
;rivilege no' 'o Ae a =i'ness agains' hi+sel( a;;lied since 'he a''orneB +ade no asser'ion
'ha' his res;onse 'o a ques'ion in 'he ;roceeding could Ae used agains' hi+ in a cri+inal
;rosecu'ion, 'he cour', in "e 2eur's 9!9$&: )9& Or )4!, )& P)d !373, held 'ha' 'he accusedEs
(ailure 'o res;ond 'o 'he AarEs inquiries did no' cons'i'u'e grounds (or disci;line =here 'he Aar
did no' sho= =ha' legal or disci;linarB rule 'he accused viola'ed AB (ailing 'o res;ond 'o 'he
AarEs inquirB. /he disci;linarB revie= Aoard had (ound 'ha' 'he accusedEs onlB res;onse 'o
'hree le''ers reques'ing a res;onse 'o a clien'Es co+;lain' =as a 'ele;hone call s'a'ing 'ha' he
had +ailed a re;lB and =ould send a co;B o( i'. 1hen no co;B =as received, 'he Aar a;;oinK
'ed an inves'iga'or =ho =as in(or+ed AB 'he accused 'ha' he =ould (urnish hi+ =i'h ei'her a
co;B o( 'he original le''er or a ne= le''er ou'lining 'he suAs'ance o( 'he original le''er. -s 'he
inves'iga'or =ould no' acce;' a ne= le''er and 'he accused 'es'i(ied 'ha' he did no' ?ee; o((ice
co;ies o( his le''ers, 'he a''orneB s'a'ed 'ha' he (el' 'here =as no ;ur;ose in re;lBing 'o 'he inves'iga'or
and hence did no' re;lB. .'a'ing 'ha' i' did no' i+;lB a;;roval o( noncoKo;era'ion
=i'h 'he ;rocess o( inves'iga'ion in'o co+;lain's aAou' a la=BerEs ;ro(essional conduc', 'he
cour' reasoned 'ha' i( noncoKo;era'ion i'sel( is 'o Ae +ade a ground (or i+;osing a disci;linarB
;enal'B, 'he rules o( ;ro(essional disci;line +us' give (air no'ice o( 'he 'er+s and li+i's o(
'he oAliga'ion and 'ha' 'heB did no' do so a' 'he ;resen' 'i+e.
-l'hough 'he disci;linarB revie= Aoard reco++ended a 3&KdaB sus;ension Aased on 'he
a''orneBEs neglec'ing a legal +a''er en'rus'ed 'o hi+ AB (ailing 'o ;roceed in a dissolu'ion o(
+arriage and (ailing 'o res;ond 'o 'he AarEs inquiries, 'he cour', in "e Conduc' o( "udie 9!9$!:
)9& Or 47!, )) P)d !&9$, held 'ha' 'he a;;ro;ria'e disci;line =as a ;uAlic re;ri+and =here
no'=i'hs'anding 'he cour'Es ex;ress disa;;roval o( 'he a''orneBEs (ailure 'o res;ond 'o 'he AarEs
inquiries, 'ha' (ailure =as no' i'sel( clearlB conde+ned AB a disci;linarB rule, inde;enden' o(
=ha' Aearing i' +igh' have on 'he +a''er under inquirB. 5' no'ed 'ha' 'he a''orneB (ailed 'o res;ond
'o inquiries (ro+ 'he Aar in (our disci;linarB +a''ers, and 'ha' he s'i;ula'ed 'o 'he accusa'ions
suACec' 'o 'he ex'enua'ing reason 'ha' his ;aren's =ere ?illed in an air;lane crash leaving
hi+ 'oo ;reoccu;ied =i'h (a+ilB a((airs and e+o'ionallB inca;aci'a'ed 'o (unc'ion e((ec'ivelB
in his ;rac'ice.
5n a la'er ;roceeding involving 'he sa+e a''orneB disci;lined in "e Conduc' o( "udie
9!9$!: )9& Or 47!, )) P)d !&9$, su;ra, recogniJing 'ha' al'hough 'he (ailure 'o res;ond AB
+a?ing an ans=er or a;;earance 'o disci;linarB charges +aB no' have Aeen a viola'ion o( 'he
disci;linarB rules, 'he cour' held, in "e Conduc' o( "udie 9!9$3: )94 Or 74&, ) P)d 3)!,
'ha' i' de+ons'ra'ed a lac? o( an i+;or'an' ele+en' o( ;ro(essionalis+ and 'ha' 'he disci;linarB
revie= Aoard did no' dra= an un=arran'ed in(erence (ro+ 'he accusedEs (ailure 'o a;;ear
in 'he disci;linarB ;roceedingsO'ha' is, 'ha' i' sho=ed 'ha' 'he accusedEs ;roAle+s =i'h Aeing
aAle 'o accord his conduc' =i'h 'he require+en's o( 'he code o( ;ro(essional conduc' =ere o( a
I+ore serious na'ure.I /he cour' ordered 'ha' 'he a''orneB Ae sus;ended (or 7 +on'hs and un'il
reins'a'e+en' on an a((ir+a'ive sho=ing o( (i'ness 'o Ae read+i''ed =here he =as (ound 'o
have, in'er alia, conduc'ed re;resen'a'ion o( his clien's =i'hou' ;re;ara'ion adequa'e under 'he
circu+s'ances, in'en'ionallB (ailed 'o carrB ou' a con'rac' o( e+;loB+en', and neglec'ed a legal
+a''er.
0olding 'ha' an a''orneBEs re(usal 'o coKo;era'e =i'h 'he e'hics co++i''ee canno' Ae used
%<)9






as an inde;enden' assign+en' o( cause o( disci;line, 'he cour', in Co++i''ee on ,egal E'hics
o( 1es' #irginia .'a'e Bar v 6ullins 9!97: !%9 1 #a 47, )) .E)d 4)7, ordered 'he inde(ini'e
sus;ension o( an a''orneB =ho (ailed 'o ;er(or+ 'he services (or =hich he had Aeen e+;loBed
and +isled his clien's as 'o his ac'ivi'ies in 'heir Aehal(, Au' reCec'ed 'he co++i''eeEs
de'er+ina'ion 'ha' his lac? o( coKo;era'ion =i'h 'he e'hics co++i''ee should Ae in'erCec'ed as
a charge agains' hi+. /he co++i''ee had (ound 'ha' he (ailed 'o res;ond 'o all co++unica'ions
(ro+ 'he o((ices o( 'he execu'ive direc'or o( 'he s'a'e Aar and 'he chair+an o( 'he co++i''ee
on legal e'hics and (ailed 'o a;;ear, ans=er, or o'her=ise res;ond 'o 'he charges agains'
hi+. /he cour' s'a'ed 'ha' 'he a''orneB in a disci;linarB ;roceeding has an aAsolu'e righ' 'o reac'
'o charges agains' hi+ as 'o Ae considered uncoo;era'iveO'ha' is, he +aB +a?e a de(ense,
e+;loB counsel, 'es'i(B, or re(use 'o do anB o( 'he (or+er. /he cour' no'ed 'ha' such uncoK
o;era'ive a''i'ude 'o=ard 'he e'hics co++i''ee is under'a?en a' 'he a''orneBEs ;eril, and +aB
co+;el 'he co++i''ee 'o acce;' as 'rue all allega'ions o( (ac' on =hich a co+;lain' is Aased.
0o=ever, 'he cour' oAserved 'ha' an a''orneB +aB conduc' hi+sel( in a disci;linarB ;roceeding
in a +anner 'ha' he dee+s 'o Ae ;ro;er, and his +anner o( doing so canno' Ae used as an
inde;enden' Aasis (or disci;line.
C868,-/5#E .8PP,E6EN/
Cases:
-llega'ions in ;e'i'ion AB 4irec'or o( O((ice o( ,a=Bers Pro(essional "es;onsiAili'B (or
'e+;orarB sus;ension o( a''orneBEs license 'o ;rac'ice la=, =hich alleged 'ha' a''orneB had
(ailed 'o coo;era'e =i'h 4irec'orEs (ur'her inves'iga'ion and 'ha' a''orneBEs (ailure 'o coo;era'e
had ;reven'ed 4irec'or (ro+ i+;le+en'ing ;roAa'ion, =ere dee+ed ad+i''ed, and 'hus 'e+;orarB
sus;ension o( a''orneB =ho had ;reviouslB Aeen ;laced on ;roAa'ion =as =arran'ed,
=here a''orneB (ailed 'o ans=er 4irec'orEs ;e'i'ion (or 'e+;orarB sus;ension. %) 6...-., ,a=Bers
Pro(. "es;., "ule !9c:. 5n re 4isci;linarB -c'ion -gains' Dellinger, 3) N.1.)d 4&
96inn. )&&!:.
-''orneB could no' Ae sanc'ioned (or (ailure 'o coo;era'e =i'h coun'B Aar associa'ionEs disci;linarB
;rocesses, =here a''orneB =as no' +e+Aer o( volun'arB coun'B Aar associa'ion and
s'a'e a''orneB general had no' reques'ed assis'ance AB associa'ion. .'a'e ex rel. O?laho+a Bar
-ssEn v Bol'on 9!994, O?la: $$& P)d 339.
5n disci;linarB ;roceeding, a''orneBEs (ailure 'o coo;era'e =i'h grievance co++i''ee in i's
inves'iga'ive ;rocedures concerning (iled co+;lain's received (ro+ individual ci'iJens =as
no' se;ara'e, inde;enden' ground (or disci;linarB ac'ion, Au' could Ae considered in de'er+ining
;unish+en'. .'a'e v 6alone 9!9$%, /ex -;; Beau+on': 9) .1)d $$$, la'er a;; 9/ex
-;; Beau+on': 7)& .1)d $4).
-''orneBEs neglec' o( +ul'i;le clien'sE i++igra'ion +a''ers, including (ailing 'o (ile a;;lica'ions
and (ailing 'o ?ee; clien's in(or+ed o( s'a'us o( cases, 'oge'her =i'h his (ailing 'o
;ro+;'lB (urnish a =ri''en res;onse 'o disci;linarB counsel reques's, =arran'ed '=oKBear sus;ension
(ro+ 'he ;rac'ice o( la=P aggrava'ing (ac'ors =ere no' su((icien'lB egregious, nor =ere
+i'iga'ing (ac'ors su((icien'lB co+;elling 'o Cus'i(B de;ar'ure (ro+ ;resu+;'ive sanc'ion o(
disAar+en', Au' ;resu+;'ive sanc'ion o( disAar+en' =as dis;ro;or'iona'e 'o +isconduc' in
ligh' o( ;rior disci;linarB decisions involving si+ilar +isconduc'. "PC !.3, !.49a, A:, !.%9a:,
!.!%9d:P ",4 ).$. 5n re 4isci;linarB Proceeding -gains' -nschell, !4! 1ash. )d %93, 9 P.3d
!93 9)&&&:.
"ule 'ha' disci;linarB ac'ion +aB no' Ae ordered (or invo?ing righ' agains' sel(incri+ina'ion
QCu+ula'ive .u;;le+en'R
<)9



5n 'he (ollo=ing cases 'he cour' held or recogniJed 'ha' disAar+en' or o'her disci;linarB
ac'ion agains' an a''orneB +aB no' Ae ordered (or ;ro;erlB invo?ing 'he a''orneBEs righ'
agains' sel(Kincri+ina'ion.8.
.;evac? v @lein 9!97: 3$% 8. %!!, !7 , Ed )d %74, $7 . C' )%
4el
"e @ennedB 9!9$), 4el .u;: 44) -)d 79
5ll
"e Zisoo? 9!9$!: $$ 5ll )d 3)!, %$ 5ll 4ec 7$, 43& NE)d !&37, 3& -,"4'h ))$, cer'
den 4%7 8. !!34, 73 , Ed )d !3%), !&) . C' )9) 9a;;aren'lB recogniJing rule:
6ich
.'ernAerg v .'a'e Bar o( 6ichigan 9!97!: 3$4 6ich %$$, !$% N1)d 39% 9recogniJing
rule:
6iss
6ississi;;i .'a'e Bar v -''orneBK"es;onden' in 4isci;linarB Proceedings 9!979, 6iss:
37 .o )d !79 9recogniJing rule:
1is
.'a'e v Pos'orino 9!97): %3 1is )d 4!), !93 N1)d ! 9recogniJing rule:
/hus, reversing an order o( disAar+en', 'he 8ni'ed .'a'es .u;re+e Cour' held, in .;evac?
v @lein 9!97: 3$% 8. %!!, !7 , Ed )d %74, $7 . C' )%, 'ha' an a''orneB =ho, in reliance on
'he ;rivilege agains' sel(Kincri+ina'ion, re(used 'o 'es'i(B and re(used 'o ;roduce records de+anded
a' a ;roceeding 'o disci;line hi+ (or ;ro(essional +isconduc' is no' suACec' 'o disAar+en',
since 'he sel(Kincri+ina'ion clause o( 'he 3i('h -+end+en' (orAids 'he i+;osi'ion o(
disAar+en' as 'he ;enal'B (or re+aining silen'. /he cour' no'ed 'ha' 'he sel(Kincri+ina'ion
clause o( 'he 3i('h -+end+en' a;;lies 'o 'he s'a'es, and 'here(ore 'o s'a'e ;roceedings,
'hrough 'he 3our'een'h -+end+en'. 5' ex;lained 'ha' under 'he sel(Kincri+ina'ion clause o(
'he 3i('h -+end+en', a ;erson has 'he righ' 'o re+ain silen' =i'hou' su((ering anB ;enal'B (or
such silence, s'a'ing 'ha' I;enal'BI in 'his con'ex' +eans 'he i+;osi'ion o( anB sanc'ion 'ha'
+a?es asser'ion o( 'he 3i('h -+end+en' ;rivilege Icos'lB.I /he cour' oAserved 'ha' 'he 'hrea'
o( disAar+en' and a loss o( ;ro(essional re;u'a'ion and s'anding are ;o=er(ul (or+s o( co+;ulsion
'o +a?e a la=Ber relinquish 'he ;rivilege agains' sel(Kincri+ina'ion. 5' added 'ha' la=Bers
are no' exce;'ed (ro+ 'he =ords Ino ;erson shall Ae co+;elled in anB cri+inal case 'o Ae
a =i'ness agains' hi+sel(.IQ!7R
5n 6ississi;;i .'a'e Bar v -''orneBK"es;onden' in 4isci;linarB Proceedings 9!979, 6iss:
37 .o )d !79, al'hough recogniJing 'he rule in .;evac? v @lein 9!97: 3$% 8. %!!, !7 , Ed
)d %74, $7 . C' )%, su;ra, 'ha' an a''orneB +aB no' Ae disAarred si+;lB Aecause he +ade a
valid asser'ion o( 'he ;rivilege agains' sel(Kincri+ina'ion, 'he cour' held 'ha' a disci;linarB
;roceeding does no' require Alan?e' i++uni'B as in a cri+inal case, Au' never'heless, having
'a?en 'he =i'ness s'and, 'he a''orneB +aB, on a ques'ionKABKques'ion Aasis, +a?e valid asser'ion
o( 'he 3i('h -+end+en' ;rivilege as 'o 'hose ques'ions 'ha' =ould 'end 'o incri+ina'e
hi+ o( a s'a'e or (ederal cri+inal o((ense. /he cour' reasoned 'ha' a disci;linarB ;roceeding,
=hile concededlB having ;enal ele+en's, is no' a cri+inal case and 'ha' an a''orneB, unli?e in
a cri+inal case, +aB Ae co+;elled 'o a;;ear and 'a?e 'he =i'ness s'and.
C868,-/5#E .8PP,E6EN/
Cases:
Privilege agains' sel(Kincri+ina'ion ex'ends 'o a''orneBs, and a''orneB +aB no' Ae disAarred
(or invo?ing ;rivilege in Bar disci;linarB ;roceedings. 8...C.-. Cons'. -+end. %.
.'a'e v. .;iegel, 7!& .o. )d !3 93la. 4is'. C'. -;;. 3d 4is'. !99$:, rehEg denied, 9Dune !&,
7<)9






!99$: and revie= denied 93la. Nov. !$, !99$:.
OneKBear sus;ension =as =arran'ed (or a''orneB =ho (ailed 'o ;ursue legal +a''er on Aehal(
o( clien' and (ailed 'o res;ond 'o disci;linarB au'hori'ies. .'a'e Bar "ules and "egula'ions,
"ule 4S!&)9A:, .'andards 44, $. 5n re Zoo'a, )7) 2a. 49, %3) ..E.)d !&7 9)&&&:.
Pro'ec'ion agains' sel(Kincri+ina'ion did no' a;;lB 'o, and 'hus did no' excuse, a''orneBEs
(ailure 'o co+;lB =i'h reques' AB .'a'e ,a=Bers -ssis'ance Co++i''ee 9.,-C: 'ha' a''orneB,
his ;ersonal ;hBsician, and .,-C +e+Aer +ee' 'o develo; alcohol de;endencB 'rea'+en'
;lan (or a''orneBP no incri+ina'ion =ould have occurred, as ;ar'ici;a'ion in alcohol de;endencB
'rea'+en' =ould no' Ae ad+issiAle in a''orneB disci;linarB ;roceeding, and such ;roceeding
=ould no' Ae cri+inal ;roceeding. 8...C.-. Cons'. -+end. %P Cons'. -r'. !, T !)P
O". 9.%4%P Code o( Pro(. "es;., 4" !K!&393:. 5n re Conduc' o( 1Bllie, 3) Or. )), 9%
P.)d 9%! 9!99$:.
4e(ending ,a=Bers in 4isci;linarB Proceedings, 3! -6D8" /"5-,. 33:
T )4. /he role o( re'ained counselP in generalONego'ia'ions =i'h Aar counsel
7ui'e o('en Aar counsel =ill Ae a =ellK?no=n ;rac'icing a''orneB =i'h a large, ;ro+inen' la=
(ir+, 'ha' is, an a''orneB =ho can a((ord 'o 'a?e 'i+e o(( (or AarKrela'ed ac'ivi'ies. 0e is li?elB 'o Ae
+iddleKaged, =eal'hB, conserva'ive, and qui'e AusB =i'h his o=n ;riva'e ;rac'ice. 0e is also unli?elB
'o Ae sB+;a'he'ic 'o an unre;resen'ed accused a''orneB, and =ill (ind i' di((icul' 'o unders'and 'he
;roAle+s o( Boung, sole ;rac'i'ioner, (or he cus'o+arilB re;resen's cor;ora'e clien's, insurance
co+;anies,
and Aan?s. 0e =ill ;roAaAlB do no divorce or cri+inal =or?, and he is li?elB 'o Ae highlB s;ecialiJed
in his o=n ;rac'ice.Q3!R 0is goal =ill Ae 'o dis;ose o( 'he +a''er as ;ainlesslB and as quic?lB
as ;ossiAle, and he =ill resen' lac? o( coo;era'ion or a hos'ile a''i'ude. BB 'he 'i+e re'ained counsel
en'ers 'he case, 'he accused a''orneB +aB have had '=o or 'hree Ai''er con(ron'a'ions =i'h 'his a''orneB,
and he +aB have given hi+ no coo;era'ion nor sho=n anB con'ri'ion. /he a''i'ude o( 'he inves'iga'ing
a''orneB is li?elB 'o Ae guarded, i( no' hos'ile.Q3)R
/he consideraAle ;o=ers o( Aar counsel should Ae unders'ood: he has 'he au'hori'B 'o (ile (or+al
charges and se' 'he case (or hearing, or he +aB dis;ose o( i' =i'hou' (ur'her inves'iga'ion. 0e +aB si'
on a case inde(ini'elB, or he can see 'ha' i' is 'horoughlB ;rosecu'ed, even ge''ing assis'ance o( 'he
a''orneB
generalEs o((ice or 'he local dis'ric' a''orneB. 5ndeed, occasionallB Aar counsel +aB coordina'e
his e((or's =i'h 'he local 8ni'ed .'a'es -''orneB or dis'ric' a''orneB (or 'he ;ur;ose o( ;rosecu'ing a
;ar'icular a''orneB (or ;erCurB or (or so+e Areach o( (iduciarB du'B. 0e +aB even sugges' 'o 'he dis'ric'
a''orneB 'ha' 'he case Ae ;resen'ed 'o a grand CurB.
5' is 'here(ore oAvious 'ha' earlB in 'he case, re'ained counsel +us' co++unica'e, in a (riendlB
=aB =i'h 'he co++i''eeEs a''orneB. 0e should (irs' de'er+ine =he'her 'he clien' has o((ended hi+ and
$<)9







+a?e necessarB a;ologies, al'hough 'his cour'esB =ill no' al=aBs (all on rece;'ive ears. 5( Aar counsel
is irreversiAlB o;;osed 'o 'he clien' Aecause o( ;ersonal ani+osi'B, ho=ever, he +aB Ae a+enaAle 'o
re;lace+en' AB ano'her a''orneB. /his should Ae reques'ed in a 'ac'(ul =aB.
-s a general rule, 'he co++i''eeEs counsel =ill Ae ;leased 'o sugges' ;ro+;' +e'hods o( se''le+en'.
5( he +a?es s;eci(ic sugges'ions, 'heB should Ae co+;lied =i'h i( a' all ;ossiAle. /his is 'rue
even =here 'heB resolve douA's in +a''ers o( equi'B in (avor o( 'he co+;lainan'. /he inves'iga'or has
'he ;o=er 'o see 'ha' his =ishes are en(orced. Concre'e s'e;s should Ae ;ro;osed and e((or's +ade 'o
de'er+ine 'he Aar counselEs a''i'ude 'o=ard ;ossiAle rehaAili'a'ion 'hrough -lcoholics -nonB+ous or
;sBcho'hera;B 'rea'+en' or =ha'ever is a;;ro;ria'e o( a +edical or educa'ional na'ure.
EverB'hing 'ha' should oAviouslB Ae done should Ae done ;ro+;'lB. 3or exa+;le, i( a re(und o( a
(e= hundred dollars is clearlB in order, i' should Ae done s;eedilB. 5' is =ise 'o coordina'e such e((or's
=i'h 'he co++i''eeEs s'a(( ;ersonnel.
.o+e'i+es a ;ro;osed =ri''en agree+en' (or an i++edia'e s;eci(ic re(und, or a''endance a' e'hics
se+inars or re+edial courses, 'o Ae co+;le'ed =i'hin a given ;eriod o( 'i+e, =ill Ae (avoraAlB
received.
/ric?erB or (ailing 'o live u; 'o agree+en's +ade are al+os' cer'ain 'o have Aad resul's.
/here(ore i' is ;ar'icularlB i+;or'an' 'ha' anB res'i'u'ion ;ro+ised Ae ;ro+;'lB ;aid. OccasionallB,
'he cura'ive ac'ion is si+;lici'B i'sel(, and a reques' (or a le''er o( a;ologB 'o 'he co+;lainan' or 'he
i++edia'e 'urning over o( a (ile 'o suAs'i'u'e counsel should Ae ;ro+;'lB co+;lied =i'h. 0o=ever,
'he +os' i+;or'an' ;oin's 'o +a?e =i'h 'he inves'iga'ing Aar a''orneB, =here 'here is no de(ense under
'he (ac's o( 'he case, are con'ri'ion, coo;era'ion, and correc'ive +easures.
/here =ill Ae cases, ho=ever, =here 'he clien' has co++i''ed no =rong(ul ac' and is innocen'. 5'
should Ae ex;lained 'o 'he Aar a''orneB 'ha' innocence =ill Ae 'he de(ense and 'ha' i' =ill Ae vigorouslB
;ursued. 1ea?nesses in 'he co+;lainan'Es case, his or her ;as' cri+inal or ;sBchia'ric his'orB
should Ae ;oin'ed ou', and an inquirB +ade as 'o =ha' s'e;s are necessarB 'o se''le 'he +a''er under
'hose circu+s'ances.
5n so+e Curisdic'ions, 'he inves'iga'ing Aar a''orneB is a (ullK'i+e e+;loBee o( 'he s'a'e Aar associa'ion,
'he a''orneB generalEs o((ice or an e+;loBee o( 'he local Cudicial dis'ric'. /he a;;roach in 'ha'
case =ill ;roAaAlB Ae so+e=ha' di((eren'. 1hereas 'he co++i''ee +e+Aer ;ar'ici;a'ing in 'he
inves'iga'ion
is seldo+ co+;ensa'ed (or his =or?, counsel e+;loBed AB a s'a'e Aar associa'ion or 'he a''orneB
generalEs o((ice al=aBs is. /he onlB exce;'ion =ould Ae a Is;ecial ;rosecu'orI a;;oin'ed 'o
handle a ;ar'icular, and usuallB qui'e s;ec'acular, case. /his is rare, Au' =hen i' does occur, i' usuallB
9<)9

involves a ;oli'ical (igure or a Cudge.
-n inves'iga'ing a''orneB =ho is e+;loBed (ull 'i+e 'o inves'iga'e and ;rosecu'e grievances =ill
Ae harder 'o deal =i'h. 0e is less li?elB 'o Ae sB+;a'he'ic 'o 'he accused a''orneB, ;ar'icularlB i( he
has a record o( ;rior disci;linarB ac'ion. None'heless, +os' o( 'hese grievance co++i''ee ;rosecu'ors
have +ore 'han enough =or?, and 'heB 'end 'o concen'ra'e 'heir e((or's on 'he =ors' o((enders, 'hose
=ho have Aeen leas' coo;era'ive, or 'hose =ho have o((ended 'he+.
"e'ained counsel can ex;ec' closer coo;era'ion =i'h (ederal cri+inal or s'a'e and local dis'ric' a''orneB
inves'iga'ors i( 'he inves'iga'ing co++i''ee a''orneB is a s'a'e or Aar associa'ion e+;loBee.
Co++i''ee counsel ac's as 'he ;rosecu'or, and he +aB have had consideraAle ex;erience =or?ing
=i'h 'he 5n'ernal "evenue .ervice, 'he 3ederal Bureau o( 5nves'iga'ion or co+;araAle s'a'e o((ice,
and he +aB have Aeen a (or+er ;rosecu'or hi+sel(. 5( such an inves'iga'ing a''orneB is handling 'he
+a''er, a quic? de'er+ina'ion +us' Ae +ade o( 'he ;roAaAili'B o( cri+inal ;rosecu'ion, and ;ossiAlB
serious, adverse 'ax consequences.Q33R
"egardless o( =he'her 'he inves'iga'ing a''orneB is a co++i''ee +e+Aer or a s'a'e Aar or a''orneB
generalEs e+;loBee, 'he du'B o( all inves'iga'ing or ;rosecu'ing a''orneBs is 'he sa+e: 'o do Cus'ice.
/heB are Aound AB 'he code o( ;ro(essional res;onsiAili'B Cus' as o'hers are. "egre''aAlB, 'heB do no'
see+ 'o enCoB hearing 'ha' (ro+ de(ense counsel, and re+inding 'he+ o( 'heir e'hical du'ies =ill Ae
irri'a'ing. None'heless, +os' o( 'hese inves'iga'ing a''orneBs have a heavB =or?load, and 'heB do 'end
'o concen'ra'e 'heir e((or's on 'hose a''orneBs =ho are 'he +os' oAnoxious, 'he +os' in(a+ous, and
'he leas' coo;era'ive.
"e'ained de(ense counsel +us' also +a?e an earlB de'er+ina'ion on =he'her 'o su;;lB evidence
'ha' +aB Auild ;ar' o( a cri+inal ;rosecu'ion in 'he ho;es o( gaining leniencB Ae(ore 'he Aar associa'ion
a' 'he ris? o( +ore severe de'ri+en' 'o his clien' i( cri+inal charges are (or+allB ;ursued. .uch
decisions are never easB.
5n anB even', i' is generallB good ;rac'ice a' 'he Aeginning o( re;resen'a'ion (or an a''orneBKclien'
accused o( ;ro(essional +isconduc' 'o con'ac' 'he grievance or hearing co++i''eeEs counsel and advise
hi+ 'ha' he +aB ex;ec' (ull coo;era'ion (ro+ counsel and 'he clien', anB undelivered (ile =ill Ae
(or=arded i++edia'elB 'o 'he (or+er clien' or suAs'i'u'e counsel, an in(or+al or (or+al re;lB, as
a;;ro;ria'e,
=ill Ae ;ro+;'lB suA+i''ed, and so+e inquirB aAou' se''le+en' or so+e o'her dis;osi'ion o(
'he +a''er =ill Ae +ade =i'hou' 'he (iling o( (or+al charges.
T )%. /he role o( re'ained counselP in generalO.e''le+en' or dis;osi'ion =i'hou' hearingP (or+
o( release
!&<)9



.e''le+en' is 'he ideal goal in everB case. .eldo+ can anB good co+e (ro+ having a hearing.
Even 'hough 'he accused a''orneB clai+s co+;le'e innocence, 'he co++i''ee +e+Aers +aB =onder
=hB 'he +a''er =as no' dis;osed o( earlier. /heB are qui'e a=are o( 'he (ac' 'ha' such +a''ers
do no' ge' 'o 'he hearing s'age =i'hou' 'he reco++enda'ion o( 'he inves'iga'ing Aar a''orneB, =ho
+us' have (ound evidence o( =rongdoing 'o Cus'i(B (iling (or+al charges. /hus, 'he de(ense is
(aced =i'h a sus;icion o( so+e ac' o( +isconduc'. ,ogicallB, 'here(ore, 'he goal o( avoiding a
hearing is 'he +os' desiraAle one, and 'he a;;roach 'a?en should Ae one 'ha' is leas' li?elB 'o lead
'o a hearing. 5' +a?es li''le sense 'o se' oneEs goal (or a hearing =hen 'he use o( di;lo+acB can
avoid i'. .e''le+en' is ;ossiAle onlB u; 'o a ;oin' ;rior 'o 'he hearing, ho=ever. Once 'he hearing
co++ences, i' is usuallB 'oo la'e (or 'he accused a''orneB 'o se''le =i'h 'he co+;lainan'. /he +os'
sa'is(ac'orB and Aene(icial se''le+en's are 'hose reached =i'hin '=o =ee?s o( 'he (iling o( 'he
co+;lain'.
/he ;o'en'ial (or various se''le+en' ;ossiAili'ies are ;len'i(ul, Au', un(or'una'elB, 'heB are usuallB
;redica'ed on a co++odi'B in shor' su;;lB (or +os' a''orneBs: +oneB. O('en i' =ill Ae necessarB
(or 'he clien' 'o con'ac' (a+ilB +e+Aers and give ;ro+issorB no'es (or loans in order 'o Aargain
=i'h cash 'ha' +aB Ae easilB re;laced, ra'her 'han his license, =hich canno'.
5' should Ae no'ed 'ha' =hile i' is une'hical conduc' 'o IAuB o((I co+;laining =i'nesses, nearlB all
s'a'es ;rovide 'ha' i( 'he dis'ric' a''orneB ei'her a;;roves or encourages a civil se''le+en', 'hen
disci;linarB ;roceedings +aB Ae avoided. "e'ained counsel +us' +a?e cer'ain he viola'es none o(
'he canons o( e'hics hi+sel(. /he ?eB 'o avoiding 'rouAle is 'o Ae o;en and candid =i'h all concerned.
"e'ained counsel should i++edia'elB +a?e clear 'o 'he accused a''orneB 'ha' he is 'o 'a?e no ac'ion
=ha'ever (ollo=ing re;resen'a'ion, and a care(ul inquirB should Ae +ade 'o de'er+ine =ha'
ac'ion he has 'a?en 'o da'e. 5nvariaAlB, s'e;s =ill have 'o Ae 'a?en 'o s'raigh'en ou' 'he har+ 'ha'
he +aB alreadB have done.
/he single +os' i+;or'an' ingredien' (or success is 'he a''i'ude o( 'he accused a''orneB. 5( 'he
grievance co++i''ee receives 'he i+;ression 'ha' he is +erelB in'eres'ed in a IdodgeI 'o avoid 'he
consequences o( his ac's, 'hen grea' di((icul'B can Ae ex;ec'ed. 5( on 'he o'her hand 'he accused is
genuinelB con'ri'e, Ao'h in his =ords and his ac'ions, (e= co++i''ees are li?elB 'o 'a?e severe ac'ion,
even in serious cases. On 'he o'her hand, so+e a''orneBs +aB a''e+;' so+e sor' o( coverKu;.
/heB +aB lie 'o 'he co++i''ee or +aB o'her=ise do grea' disservice 'o 'heir o=n cause =hen 'heB
are no' re;resen'ed.
5' should al=aBs Ae ?e;' in +ind 'ha' a con'ri'e a''i'ude AB 'he accused a''orneB is a di((icul' one
(or a grievance co++i''ee 'o resis', ;ar'icularlB =hen i' is cou;led =i'h a clear and de(ini'e ;lan
!!<)9





o( correc'ive ac'ion.
Con'ri'ion, ho=ever, +us' al=aBs Ae cou;led =i'h coo;era'ion, and coo;era'ion +us' al=aBs Ae
cou;led =i'h correc'ive ac'ion. .hould one o( 'hese ele+en's Ae +issing, a good resul' canno' Ae
ex;ec'ed. Once de(ense counsel 'a?es 'he clien' (ir+lB in hand, direc's a correc'iveKac'ion ;rogra+,
and, +os' i+;or'an'lB, es'aAlishes and +ain'ains a good rela'ionshi; =i'h Aar counsel, he
+aB ex;ec' good resul's, even in serious cases.
/he ?eB 'as? (or 'he re'ained a''orneB is 'o coordina'e 'he de(ensive e((or' =i'h 'he goal 'o=ard
receiving
(or 'he accused 'he leas' a+oun' o( ;unish+en'. 3or exa+;le, 'he inves'iga'ing a''orneB
(or 'he grievance co++i''ee should Ae in(or+ed 'ha' 'he +oneB in dis;u'e has Aeen re'urned, and
'ha' 'he Boung a''orneB is (acing consideraAle 'rouAle =i'h 'he dis'ric' a''orneBEs o((ice (or 'he
drun?Kdriving, collision, and 'he +ariCuana ;ossession. 5' +aB Ae a;;ro;ria'e in such case, 'o sugges'
'ha' 'he co++i''ee 'a?e no ac'ion un'il 'he cri+inal +a''er is ex;osed o(.
5( 'he clien' is uninsured, and +anB =ill Ae, de(ense counsel should see? 'o se''le as +uch o( 'he
case as he can AB 'he +ere ;aB+en' o( +oneB as o;;osed 'o disci;linarB ;roceedings. /his, o(
course, does no' +ean (raudulen' clai+s should Ae ;aid. 5( 'he clai+an' co+es in'o 'he hearing
roo+ =i'h unclean hands, having a''e+;'ed 'o ex'or' an un(air cash se''le+en', 'he co++i''ee is
en'i'led 'o ?no=. 0o=ever, in 'he given (ac' si'ua'ion, 'here is a clai+ (or a large su+ o( +oneB
'he co+;lainan' allegedlB los' in ;ro(i' (ro+ 'he sale o( 'he ;iece o( ;ro;er'B. - (ull inves'iga'ion
+aB Ae required. 4id 'he co+;lainan' have (ull 'i'le 'o 'he ;ro;er'B, (ree and clearU 1as 'here a
Aona (ide =ri''en o((erU 4id 'he co+;lainan' have 'he righ' 'o sell 'he ;ro;er'B =i'hou' 'he a;;roval
o( o'her heirsU - +al;rac'ice carrier +us' cer'ainlB ?no= 'he ans=er 'o 'hese ques'ions Ae(ore
;ar'ing =i'h anB +oneB.
/he dis'ric' a''orneBEs o((ice should Ae a;;roached =i'h a si+ilar o((er: IBecause o( 'he 415 and
+ariCuana case, 'he accused a''orneB is in 'rouAle =i'h 'he grievance co++i''ee. 5( a civil se''le+en'
=i'h 'he ;ersons =ho sus'ained da+age in 'he car =rec? can Ae reached, =ould 'he dis'ric'
a''orneB Ae =illing 'o dis+iss 'he caseUI 1here changes o( +isconduc' involve 'he(', i' is Aes' 'o
+a?e 'he dis'ric' a''orneB a=are o( se''le+en' nego'ia'ions and secure his ;ar'ici;a'ion 'o avoid
;o'en'iallB serious ;roAle+s in a rela'ed cri+inal ;roceeding.
/he ;erson +os' i+;or'an' 'o an overall se''le+en' =ill Ae 'he inves'iga'ing a''orneB. /he ?eB 'o
success is 'o decide a' an earlB s'age u;on a s;eci(ic, reasonaAle, and achievaAle course o( ac'ion,
and 'o s'ic? =i'h i'. 5( ;ro+ises (or ;aB+en' o( da+ages or re(unds 'o clien's are +ade, 'heB +us'
Ae honored, 'o avoid dis;leasure o( 'he grievance co++i''ee. Plans should Ae +ade 'o raise 'he
!)<)9



necessarB (unds, and an overall ;lan 'o solve all 'he ;roAle+s o( 'he accused a''orneB in one se''le+en',
i( ;ossiAle, should Ae +ade. /hese ;lans o('en include requiring a''endance a' -lcoholics
-nonB+ous +ee'ings, ;sBcho'hera;B =i'h a ;sBchia'ris' or clinical social =or?er, or, in cases o(
negligence or ex're+e ignorance, a''endance a' legal e'hics classes, con'inuing legal educa'ion
;rogra+s, or o'her re+edial or cura'ive ac'ivi'ies. 5n such cases, 'he sooner 'he correc'ive ac'ion
is under'a?en, 'he +ore li?elB good resul's can Ae had. 6anB o( 'he Aes' ;lans are i+;le+en'ed
+on'hs Ae(ore 'he hearing.
Persuading 'he inves'iga'ing Aar a''orneB 'o ;ro;ose a solu'ion acce;'aAle 'o all 'he ;ar'ies is
'an'a+oun' 'o a success(ul de(ense. /hroughou' 'he a''e+;'s a' se''le+en', 'he Aar a''orneB should Ae
in(or+ed o( 'he s'a'us o( nego'ia'ions, and 'he ;osi'ion o( 'he accused a''orneB should Ae sho=n
as one o( reasonaAleness. 5( 'he inves'iga'ing a''orneB is +ade a=are 'ha' 'he co+;lainan' is see?ing
'housands o( dollars =hen he los' onlB a (e= hundred, he verB =ell +aB sugges' 'ha' onlB 'he
(e= hundred Ae re(unded, and +aB agree 'o a dis+issal o( 'he grievance.
.e' (or'h Aelo= is a sugges'ed (or+ o( release AB 'he co+;lainan' on recei;' o( 'he a+oun' agreed
'o in se''le+en':
3or+ o( release:
"E,E-.E
@NO1 -,, 6EN BN /0E.E P"E.EN/.:
/ha' 5, >>>>>>>>>>>>,Qco+;lainan'R o( >>>>>>>>>>>>QaddressR, in considera'ion o( 'he su+ o(
>>>>>>>>>>>>Qa+oun' o( se''le+en'R 'o +e in hand ;aid AB >>>>>>>>>>>>Qa''orneBR, 'he recei;'
o( =hich is hereAB ac?no=ledged and con(erred, and recogniJed as adequa'e AB 'hese ;resen's,
(or +Bsel(, +B heirs, execu'ors and ad+inis'ra'ors, release and (orever discharge 'he said
>>>>>>>>>>>>Qaccused a''orneBR o( and (ro+ all +anner o( deA's, de+ands, oAliga'ions, liaAili'ies,
sui's, and causes o( ac'ion, =ha'ever, agains' hi+, 'he said >>>>>>>>>>>>Qaccused a''orneBR,
in +B o=n righ', a' 'he 'i+e o( execu'ing 'hese ;resen's.
Q4a'e, suAscri;'ion, and o'her (or+al ;ar's o+i''ed.R
4is+issal o( 'he hearing should al=aBs Ae a ;ar' o( anB se''le+en', and all o((ers should Ae +ade
?no=n 'o 'he inves'iga'ing a''orneB and suACec' 'o his a;;roval. /his =ill insure his good =illP
onlB rarelB =ill he in'er;ose an oACec'ion. 0o=ever, 'he de(ense a''orneB should no' 'a?e u; 'oo
+uch o( Aar counselEs 'i+e. Bar counsel is usuallB AusB =i'h his ;riva'e ;rac'iceP he has his o=n
cases 'o handle. 0e =ill no' a;;recia'e leng'hB discussions =i'h 'he de(ense a''orneB over s'ra'egB
or 'he ;e''B de'ails o( 'he loo?ed (or solu'ion.
6anB Curisdic'ions ;rovide (or a Ile''er o( cau'ion,I =hich is so+e'i+es no'hing +ore 'han an in(or+al
!3<)9



Ii(Ki'Es 'rueKBouKshouldKno' haveKdoneKi'.I 5n o'her =ords, 'he Aar is si+;lB ;oin'ing ou'
'ha' 'he accused a''orneB is on 'hin ice, has go''en 'he a''en'ion o( 'he grievance co++i''ee, and,
=hile 'he +a''er +aB no' Ae serious enough (or (ull inquirB, his conduc' could and should i+;rove.
5n so+e Curisdic'ions, 'he inves'iga'ing a''orneB hi+sel( has 'he au'hori'B 'o issue a le''er
o( cau'ion.Q34R
5n so+e Curisdic'ions, ;revious le''ers o( cau'ion +aB Ae used 'o enhance ;unish+en', in o'hers
'heB +aB no'. 5n so+e cases 'he le''er o( cau'ion +aB Ae issued =i'hou' a co+;le'e inves'iga'ion,
Aased onlB on 'he co+;lain' o( 'he (or+er clien' and 'he ans=er o( 'he accused. - le''er is (requen'lB
issued =hen 'he accused a''orneB is no' coo;era'ive as 'o a +inor inquirB. O('en 'he lac?
o( coo;era'ion is 'he cen'ral 'he+e o( 'he le''er o( cau'ion. None'heless, 'he le''er o( cau'ion (alls
in'o 'he +ilder end o( 'he disci;line range ;rovided AB la=, and +anB a''orneBs can =i'hs'and receiving
'he le''er =i'h onlB +odes' =ear on 'heir nerves. 8suallB 'he issuing o( 'he le''er is 'he
end o( 'he +a''er.
1hen Ba'es v. -riJona Bar -ssocia'ionQ3%R =as decided AB 'he 8ni'ed .'a'es .u;re+e Cour',
+anB adver'ising 'aAoos (ell (or 'he legal ;ro(ession. /he li+i's =hich 'he adver'ising +us' oAserve,
ra'her 'han all adver'ising, 'hen Aeca+e 'he issue. 1hile adver'ising under cer'ain circu+s'ances
=as held 'o Ae ;ro;er AB 'he 8ni'ed .'a'es .u;re+e Cour', i' did no' a;;rove o( solici'a'ion.
1here adver'ising leaves o(( and solici'a'ion Aegins is unclear in +anB cases.
-''orneBs =ho adver'ise see+ 'o have (ar +ore grievances lodged agains' 'he+ 'han la=Bers =ho
do no'. Because o( 'he conserva'ive na'ure o( 'he +e+Aers o( 'he grievance co++i''ee, i' is usuallB
Aes' 'o a''e+;' 'o se''le an adver'ising grievance AB ceasing an ac'ivi'B 'ha' is ques'ionaAle. 5(
an adver'ising viola'ion goes 'o 'he grievance co++i''ee, harsh ;unish+en' +aB (ollo=.
0o=ever, Aecause 'he la= is uncer'ain as 'o legal adver'ising, so+e grievance co++i''ees +igh'
Ae =illing 'o (orego disci;line i( 'he accused a''orneB agrees 'o discon'inue 'he ac'ivi'ies disa;;roved
o(. /here is a ques'ion =he'her such agree+en's are en(orceaAle, Au' Aecause o( 'he uncer'ain
s'a'e o( 'he la= i' should Ae assu+ed 'ha' 'heB are en(orceaAle. /he agree+en's should Ae
dra=n u; =i'h s;eci(ici'B 'o indica'e 'he ex'en' o( adver'ising 'ha' =ill Ae allo=ed.
#. 4e(ense o( 3or+al Charges
-. Pleading and Prehearing Procedures
T ). 5n general
5( i' a;;ears 'ha' an earlB se''le+en' or dis;osi'ion o( 'he +a''er =ill no' Ae (or'hco+ing, counsel
+us' ;re;are (or a s'ou' de(ense o( 'he (or+al charges agains' his a''orneBKclien'. 0e needs 'o ;re;are
a 'hough'(ul, e((ec'ive ;lan o( ac'ion, i( one has no' Be' Aeen +ade,Q3R analBJe 'he co+;lain' and
!4<)9

(or+al chargesQ37R and ;re;are an a;;ro;ria'e res;onse 'o 'he+,Q3$R ;re;are his clien'Es de(enses 'o
'he chargesQ39R or +a''ers 'o o((er in +i'iga'ion o( ;unish+en',Q4&R conduc' discoverBQ4!R and +a?e
a;;ro;ria'e ;rocedural +o'ions,Q4)R and Aegin ;re;ara'ion (or 'he de(ense o( 'he clien' a' 'he (or+al
hearing o( 'he grievance co++i''ee. /hese s'e;s are all discussed in 'he (ollo=ing sec'ions.
T )7. Co+;lain'sP (or+
#ir'uallB all Curisdic'ions require 'ha' grievances Ae (iled in =ri'ing. 6anB require 'ha' 'he co+;lain'
Ae s=orn 'o. /heB are usuallB ra+Aling, inar'icula'e, and AarelB legiAle. 5( 'heB are =ell
=ri''en and +a?e s;eci(ic re(erence 'o viola'ions o( ;ar'icular canons o( e'hics, 'he de(ense a''orneB
+aB logicallB conclude 'ha' an a''orneB is aiding 'he co+;lainan'.
- 'B;ical clien' co+;lain' agains' an a''orneB, Aased on 'he (ac'ual Aac?ground o( 'he ;resen' ar'icle,
+igh' read:
6B na+e is >>>>>>>>>>>>. 6B +o'her ;assed a=aB aAou' 'hree Bears ago. 5 =en' 'o
>>>>>>>>>>>>Qa''orneBR 'o have hi+ ;roAa'e +B +o'herEs =ill. 5 =an'ed 'o sell 'he real es'a'e.
0e charged +e M>>>>>>>>>>>> and 'old +e he =ould 'a?e care o( everB'hing, Au' 5 have no'
heard (ro+ hi+ since. 5 have called his o((ice a' leas' '=en'B 'i+es, and he has onlB re'urned '=o
or 'hree o( 'hose calls. 1hen 5 (inallB 'al?ed 'o hi+, he had done no'hing.
3ur'her, aAou' a Bear ago, 5 =en' 'o his o((ice 'o ;ic? u; 'he (ile so 5 could go 'o ano'her la=Ber
and he =ould no' give i' 'o +e. 0e =ould no' give +e 'he =ill or 'he o'her +a'erial so 'ha' 5 could
'a?e i' 'o ano'her a''orneB. -no'her a''orneB has 'old +e 5 have an aAsolu'e righ' 'o ;ic? u; +B
(ile. 5 =an' +B (ile so 'ha' 5 can ge' so+eAodB =ho ?no=s he is doing 'o (ile 'he =ill 'o Ae ;roAa'ed.
0is delaB cos' +e 'he sale o( 'he house and +B los' ;ro(i' =as M>>>>>>>>>>>>. 5 de+and an i++edia'e
hearing. .igned: >>>>>>>>>>>>.
/here is usuallB a s+all ques'ionaire a''ached =hich 'he co+;lainan' is ex;ec'ed 'o (ill ou'. -
'B;ical one =ould read as (ollo=s:
Na+e o( 'he a''orneB co+;lained o(: >>>>>>>>>>>>.
0o= +uch did he charge BouU M>>>>>>>>>>>>.
4id Bou ge' a recei;'U QR Nes QR No
0ad he done anB =or? (or Bou Ae(oreU QR Nes QR No
-re Bou =illing 'o Ae a =i'ness and o((er s=orn 'es'i+onBU QR Nes QR No
- co;B o( 'he co+;lain' =ill Ae sen' 'o 'he accused a''orneB =i'h a le''er (ro+ 'he chair+an o( 'he
grievance co++i''ee 'ha' +aB read as (ollo=s:
4ear >>>>>>>>>>>>:
-''ached here=i'h ;lease (ind 'he co+;lain' o( >>>>>>>>>>>>, =ho has (iled a (or+al grievance
!%<)9


>>>>>>>>>>>>>>>>>>>



agains' Bou.
5' has also co+e 'o 'he a''en'ion o( 'he co++i''ee 'ha' on >>>>>>>>>>>>, )&>>>, Bou =ere arres'ed
(or 'he cri+e o( driving =hile in'oxica'ed and negligen' collision in viola'ion o( 'he ;enal la=s
o( 'his s'a'e. 3ur'her, i' has co+e 'o our a''en'ion 'ha' =hen Bou =ere arres'ed, a quan'i'B o(
+ariCuana and cocaine =as (ound on Bour ;erson, and 'ha' cri+inal charges are ;ending agains'
Bou (or 'hose 'hree o((enses.
/his case has Aeen assigned (or inves'iga'ion 'o >>>>>>>>>>>>, an a''orneB o( 'his ci'B. Nou are
required 'o (ile a =ri''en re;lB =i'h hi+, =i'h a co;B 'o +e and a co;B 'o 'he co+;lainan',
>>>>>>>>>>>>, =hose address is >>>>>>>>>>>>, =i'hin 'en daBs o( Bour recei;' o( 'his le''er.
3ailure 'o do so +aB resul' in disci;linarB ac'ion agains' Bou. Nou have a righ' 'o an a''orneB and
'he righ' 'o Ae heard. - hearing (or 'his co+;lain', i( necessarB, =ill Ae held a' a la'er da'e. Nou
=ill Ae advised o( 'he da'e o( 'he hearing. O( course, in accordance =i'h 'he secrecB ;rovisions o(
'he .'a'e Bar -c', =e =ill no' discuss 'he o'her +a''ers =i'h >>>>>>>>>>>>, 'he co+;lainan'.
3eel (ree 'o (ile se;ara'e re;lies 'o each +a''er.
.incerelB,
5n 'he (ac'ual Aac?ground o( 'he ar'icle, 'he co+;lainan' has gone 'o 'he dis'ric' a''orneBEs o((ice
'o (ile 'he(' charges agains' 'he a''orneB, under 'he 'heorB 'ha' his a''orneB acce;'ed +oneB, did
no =or?, and =ould no' re'urn 'he +oneB. /he dis'ric' a''orneB has, a' 'his 'i+e, reCec'ed 'he
charges, and =hile i' is unli?elB 'ha' 'heB =ill Ae acce;'ed (or (iling in 'he (u'ure, i' does give 'he
co+;lainan' an added o;'ion 'o 'he de'ri+en' o( 'he accused a''orneB.
QR Prac'ice No'e: #enue. 6os' s'a'e Aar ac's ;rovide 'ha' an a''orneB +us' Ae disci;lined in his
ho+e dis'ric'. 6os' s'a'es are divided in'o a nu+Aer o( Idis'ric's,I usuallB corres;onding 'o Cudicial
dis'ric's, and co+;lain's are (or=arded 'o 'he accusedEs ho+e area (or ;rocessing. /he onlB
exce;'ion is disci;line Ae(ore a (ederal cour' and con'e+;' ;roceedings, =hich are conduc'ed Ae(ore
'he cour' =here 'he +isconduc' 'oo? ;lace. .hould a co+;lain' Ae (iled in 'he =rong area, a
+o'ion 'o dis+iss or a +o'ion 'o 'rans(er or a ;lea in aAa'e+en' is in order.
T )$. 3or+al charges
QCu+ula'ive .u;;le+en'R
3or+al charges o( ;ro(essional +isconduc' should no' Ae reco++ended AB Aar counsel =i'hou'
no'i(Bing 'he a''orneB =ho is accused o( une'hical or illegal conduc'.Q43R /he no'ice need no' Ae given
i++edia'elB, ho=everP i' can a=ai' 'he ou'co+e o( 'he AarEs inves'iga'ion in'o 'he allega'ions.Q44R
3ollo=ing 'he inves'iga'ion, 'he ;roceedings +aB Ae dis;osed o(, =i'hou' (or+al charges Aeing
!<)9






(iled, in one o( 'hree =aBsQ4%R all o( =hich require 'he reco++enda'ion o( Aar counsel and 'he
concurrence
o( 'he chair+an o( 'he grievance or hearing co++i''ee.Q4R 9!: /he ;roceedings +aB Ae dis+issed
i( 'here is insu((icien' ;roAaAle cause 'o Aelieve +isconduc' has occurred.Q47R 9): -n ad+oni'ion
+aB Ae issued i( 'here is ;roAaAle cause 'o Aelieve 'ha' +isconduc' has occurred Au' 'he ;roAle+
is +inor and isola'ed.Q4$R 93: ProAa'ion can Ae i+;osed, =i'h or =i'hou' an ad+oni'ion, i( 'here is
;roAaAle cause 'o Aelieve +isconduc' has occurred (or =hich ;roAa'ion is a;;ro;ria'e.Q49R
3ur'her+ore,
i( 'here is a civil or cri+inal ;roceeding ;ending in =hich 'he res;onden' is a ;ar'B and =hich
involves 'he sa+e suACec' +a''er 9conduc':, 'he disci;linarB ;roceedings +aB Ae s'aBed i( 'ha' is
a;;ro;ria'e.Q
%&R - s'aB =ill Ae a;;ro;ria'e =here 'he res;onden' =ill su((er ;reCudice in 'he ;ending
;roceeding should 'he disci;linarB ac'ion ;roceed i++edia'elB and =here 'he grievance co++i''ee
hearing +aB Ae ex;edi'ed AB evidence adduced in 'he cri+inal or civil +a''er.Q%!R
3or+al ;roceedings agains' 'he accused a''orneB are =arran'ed =here 'here is ;roAaAle cause 'o
Aelieve +isconduc' has occurred =hich is nei'her +inor nor isola'ed and ;roAa'ion is no' a;;ro;ria'e
or =here 'he res;onden' does no' agree 'o a reco++enda'ion o( ad+oni'ion or ;roAa'ion.Q%)R /he
charges are ;re;ared AB Aar counsel =ho is required 'o (ile =i'h 'he disci;linarB Aoard and serve on
'he res;onden' a =ri''en s'a'e+en' o( 'he charges giving a (air and adequa'e no'ice o( 'he na'ure o( 'he
alleged +isconduc'.Q%3R Once 'he (or+al charges are (iled, 'he ;roceedings are no longer con(iden'ial
and are o;en 'o 'he ;uAlic exce;' (or deliAera'ions o( 'he hearing co++i''ee, disci;linarB Aoard or
cour' and in(or+a'ion 'he hearing co++i''ee has ordered ?e;' con(iden'ial.Q%4R -('er 'he charges
have Aeen (iled, 'he +a''er is re(erred 'o a s;eci(ic grievance or hearing co++i''ee.Q%%R
C868,-/5#E .8PP,E6EN/
Cases:
No due ;rocess errors occurred during 'he grievance co++i''ee ;roceedings inves'iga'ing an a''orneBEs
Aehavior, =here a''orneB alleged 'ha' no'ice o( 'he hearing =as un'i+elB and charges agains'
hi+ =ere vague, Aecause grievance co++i''ee ;roceedings are ;rinci;allB inves'iga'orB and
co+;araAle
'o ;roceedings Ae(ore a grand CurBO'heB are nonadversarial and 'here is no righ' o( con(ron'a'ion
or crossKexa+ina'ionP 'he a''orneB under inves'iga'ion is no' en'i'led 'o a Aill o( ;ar'iculars un'il
'he grievance co++i''ee co+;le'es i's inves'iga'ion. 5n 'his con'ex', a' a reasonaAle 'i+e Ae(ore a
(inding o( ;roAaAle cause is +ade, 'he a''orneB =ill Ae advised o( 'he conduc' under inves'iga'ion and
'he rules =hich +aB have Aeen viola'edP in addi'ion, 'he a''orneB +us' Ae given all +a'erials considered
!7<)9


AB 'he co++i''ee and an o;;or'uni'B 'o +a?e a =ri''en s'a'e+en' regarding 'he alleged +isconduc'
under " "eg 3la Bar 3K7.49g:. 5n anB even' 'he no'ice ac'uallB given =as su((icien' =here 'he
a''orneB received no'ice o( 'he rules allegedlB viola'ed !3 daBs Ae(ore 'he hearing =as scheduled, and
he =as re;resen'ed AB counsel a' 'he hearing and had an o;;or'uni'B 'o crossKexa+ine =i'nesses. /he
3lorida Bar v. .=ic?le 9!99!, 3la: %$9 .o )d 9&!, ! 3,1 .737, la'er ;roceeding 98.: !!7 , Ed )d
!&!, !!) . C' 9)9, su;; o; 98.: !!$ , Ed )d )&3, !!) . C' !%%).
Evidence su;;or'ed 'he (inding o( ;anel o( 'he @ansas Board (or 4isci;line o( -''orneBs 'ha' a''orneB
engaged in illegal conduc', as an aggrava'ing (ac'or (or ;ur;oses o( i+;osing disci;line, even
'hough cri+inal charges =ere no' (iled agains' a''orneBP a''orneB ad+i''ed 'ha' he ex;osed hi+sel( 'o
ad+inis'ra'ive assis'an' (or dis'ric' cour', s'a'u'e de(ined le=d and lascivious Aehavior as I;uAliclB
ex;osing a sex organ or ex;osing a sex organ in 'he ;resence o( a ;erson =ho is no' 'he s;ouse o( 'he
o((ender and =ho had no' consen'ed 'here'o,I ad+inis'ra'ive assis'an' =as no' a''orneBEs s;ouse, and
'he -+erican Bar -ssocia'ionEs 9-B-: s'andards did no' require 'ha' an a''orneB Ae charged or
convic'ed
AB la= en(orce+en' Ae(ore his or her conduc' could Ae considered illegal. 1es'Es @...-.
)!S3%&$9a:9):. 5n re 4e;e=, )37 P.3d )4 9@an. )&!&:.
4isci;line o( a''orneB =ho engaged in conduc' adverselB re(lec'ing on (i'ness 'o ;rac'ice and
;laced ;ersonal in'eres's aAove 'hose o( clien's =ould Ae li+i'ed 'o censure =here +edical evidence
sho=ed he su((ered (ro+ +ild neurological dBs(unc'ion due 'o cereAral aneurBs+ a' 'i+e o(
+isconduc',
Bears o( exe+;larB ;rac'ice ;receded a((lic'ion, he ac?no=ledged +isconduc', and he de+ons'ra'ed
=illingness 'o 'a?e a;;ro;ria'e s'e;s 'o ;reven' recurrence. "e @ileB 9!99!, 4'h 4e;': !7&
-;; 4iv )d 9&, %7) NN.)d &!.
Q/o; o( .ec'ionR
QEN4 O3 .8PP,E6EN/R
T )9. "es;onseP (or+
QCu+ula'ive .u;;le+en'R
1i'hin a ;rescriAed ;eriod o( 'i+e (ollo=ing service o( 'he (or+al charges, 'he res;onden' should
(ile a =ri''en re;lB or ans=er =i'h 'he Aoard or co++i''ee and serve a co;B o( i' on Aar counsel.Q
%R -llega'ions 'ha' are no' dis;u'ed should Ae ad+i''ed 'o narro= 'he issues a' 'he hearing and
denials o( (ac' should Ae se;ara'elB s'a'ed. 6oreover, i( 'he res;onden' chooses 'o re(use 'o ans=er
an allega'ion on cons'i'u'ional or o'her grounds, 'he ground o( such re(usal should Ae ex;lici'lB
asser'ed.Q%7R Counsel should no'e 'ha' 'he (ailure 'o ans=er 'he charges 'i+elB +aB Ae
!$<)9




'rea'ed as an ad+ission o( 'heir 'ru'h.Q%$R
5' should Ae ?e;' in +ind 'ha' 'he re;lB i'sel( is ad+issiAle in Ao'h civil, cri+inal, and disci;linarB
;roceedings. /he records o( 'he grievance co++i''ee 'he+selves are no' usuallB suACec' 'o discoverB
;roceedings, as 'heB are al+os' al=aBs allo=ed 'o Ae secre' AB s'a'u'e. 0o=ever, 'he accused
=ill Ae required 'o send a co;B o( 'he re;lB 'o 'he co+;lainan', =hich +aB Ae in'roduced, in
evidence a' a suAsequen' civil 'rial (or +al;rac'ice, or a' a cri+inal ;roceeding.
6anB Curisdic'ions require 'ha' 'he re;lB Ae s=orn 'o, and so+e ;rovide 'ha' (ailure 'o (ile a
'i+elB re;lB is in i'sel( grounds (or disci;linarB ;roceedings. -' 'he verB leas', 'he (ailure 'o (ile a
'i+elB re;lB =ill irri'a'e 'he inves'iga'ing a''orneB and 'he co++i''ee, and 'his conduc' =ill Ae re;or'ed
'o 'he co++i''ee and +aB Ae vie=ed as lac? o( coo;era'ion. 1here (ailure 'o re;lB is in
and o( i'sel( an ad+ission 'ha' all charges are 'rue and correc', 'he s'a'e+en' o( charges alone can
Ae 'he Aasis (or disci;linarB ;roceedings.
- good deal o( 'hough' and e((or' +us' go in'o 'he re;lB, and a =ellKdra('ed ans=er +aB resul' in
no (ur'her ac'ion AB 'he inves'iga'ing a''orneB. 3or exa+;le, legal research in'o 'he various issues
+aB resul' in (inding cases 'ha' exonera'e 'he de(endan' in 'he ;ar'icular (ac' si'ua'ion. - +o'ion
'o dis+iss should 'hen Ae (iled =i'h 'he ans=er, ci'ing 'he a;;ro;ria'e au'hori'B. 5n ;re;aring 'he
re;lB, counsel should a''ach 'o a +o'ion 'o dis+iss ;ho'oco;ies o( i+;or'an' (avoraAle cases or a
Arie( in su;;or'. 5( no research is o((ered, none =ill Ae done AB 'he co++i''ee on Aehal( o( 'he clien'.
-n a+aJing nu+Aer o( a''orneBs are una=are o( 'he (ac' 'ha' 'here has Aeen consideraAle li'iga'ion
over 'he Bears regarding =ha' is and =ha' is no' une'hical conduc', and (or+al ;uAlished e'hics
o;inions have Aeen issued AB +anB co++i''ees (or decades. /here is a =eal'h o( au'hori'B 'ha'
can Ae ci'ed. 6oreover, +os' s'a'e Aar associa'ions have on (ile advisorB o;inions (ro+ 'heir e'hics
co++i''ees. /hese can so+e'i+es Ae o( i++ense use, es;eciallB =here 'he accused a''orneB
ac'uallB +aB have relied u;on a ;rior e'hics o;inion in 'rBing 'o con(or+ his Aehavior 'o 'he righ'
canon. /he ;roAle+ is 'ha' advisorB o;inions +aB no' Ae Ainding, and au'hori'B (ro+ o'her s'a'es
or Curisdic'ions +aB Ae ci'ed onlB as ;ersuasive au'hori'B. 3inallB, 'he -+erican Bar -ssocia'ion
has issued nu+erous o;inions over 'he Bears, and ;rovides +a'erials 'ha' +aB Ae ;urchased (or
e'hics la= research. /he Aar associa'ionEs o;inions carrB consideraAle =eigh'.Q%9R
2enerallB, 'here is no required (or+ (or a re;lB. - 'B;ical and acce;'aAle +e'hod is 'o go 'hrough
'he allega'ions and ad+i' 'hose 'ha' should Ae ad+i''ed, 'o iden'i(B 'hose as 'o =hich correc'ive
ac'ion has Aeen 'a?en 9such as re'urning 'he (ile 'o 'he clien' or 'o his ne= a''orneB:, 'o denB 'hose
'ha' should Ae denied and 'o denB (or lac? o( in(or+a'ion or Aelie( o'her allega'ions as a;;ro;ria'e.
- re;lB si+ilar 'o ans=ering reques's (or ad+issions or in'erroga'ories +aB Ae a;;ro;ria'e.
!9<)9

/he second ;ar' o( 'he re;lB should consis' o( a Arie( on 'he issue o( =he'her 'he conduc' co+;lained
o( is 9a: a cri+e or ac' o( +oral 'ur;i'udeP or 9A: conduc' 'ha' nor+allB =ould suACec' 'he
accused 'o disci;linarB ac'ion.
Based on 'he (ac'ual Aac?ground o( 'he ar'icle, an a;;ro;ria'e res;onse 'o (or+al charges +igh'
Ae co+;osed as (ollo=s:
QCa;'ion o( (oru+, 'i'le o( case and o'her (or+al ;ar's o+i''ed.R
-N.1E" /O 3O"6-, C0-"2E.
!. /he allega'ions o( ;aragra;hs >>>>>>>>>>>> o( 'he (or+al charges are ad+i''ed.
). /he allega'ions o( ;aragra;hs >>>>>>>>>>>> are denied =i'hou' quali(ica'ion or reserva'ion.
3. 5n res;onse 'o 'he re+aining allega'ions, res;onden' canno' ad+i' or denB 'he 'ru'h o( 'he allega'ions
(or lac? o( su((icien' in(or+a'ion and Aelie(. 0e 'here(ore denies 'hose allega'ions suACec',
ho=ever, 'o 'he (ollo=ing (ac'ual s'a'e+en', =hich is o((ered in de(ense o( 'he (or+al charges and
in +i'iga'ion o( ;unish+en' as 'o anB charges and allega'ions (ound 'o Ae 'rue:
a. 5 =as (or+allB 'he a''orneB (or 'he co+;lainan'. 5 advised hi+ a' 'he 'i+e 5 acce;'ed 'he case
'ha' 5 =ould also need a con'rac'ual rela'ionshi; =i'h his '=o sis'ers, and he has never had 'he+
con'ac' +e. 5 (el' uneasB =i'h ;roAa'ing 'he =ill =i'hou' 'he ;ar'ici;a'ion o( 'he '=o sis'ers, and 5
did no' ?no= ho= 'o ge' in 'ouch =i'h 'he+. 0e gave +e a re'ainer o( M%&&. -''ached here=i'h
;lease (ind a ;ho'oco;B o( 'he chec? (or M%&&, =hich 5 have sen' 'o his ne= counsel since he has
no= +ade arrange+en's (or ano'her a''orneB.
A. 5 ad+i' 'ha' 5 did no' re'urn his (ile 'o hi+ =hen he (irs' reques'ed i' Aecause 5 did no' ?no= 5
=as required 'o do so. 5 have a;ologiJed 'o 'he co+;lainan' =i'h an ex;lana'ion. Q-''ach co;B o(
le''er.R
c. 5 ad+i' sending 'he le''er 'o 'he co+;lainan' re(erred 'o in his co+;lain' as 5 +is'a?enlB
'hough' 'ha' 5 =as en'i'led 'o hold 'he (ile un'il 5 had Aeen co+;ensa'ed (or 'he 'i+e 5 had s;en'
on 'he case. 5 =as +is'a?en as 'o +B oAliga'ions, and 5 have s'a'ed +B regre' (or anB inconvenience
'his has caused 'he co+;lainan'.
d. >>>>>>>>>>>>QO'her s'a'e+en's as a;;ro;ria'eR.
Q4a'e, suAscri;'ion, and o'her (or+al ;ar's o+i''ed.R
Par'icularlB =hen 'he de(ense a''orneB has no' Aeen ;er+i''ed +uch 'i+e 'o ;re;are a re;lB, or 'he
accused a''orneB has (iled his o=n re;lB, an a+ended re;lB +aB Ae a;;ro;ria'e. 5n +os' cases,
'here are no Aar rules 'o ;reven' 'his. OccasionallB 'he grievance co++i''ee =ill (ro=n on verB
la'e re;lies, es;eciallB 'hose (iled Cus' Ae(ore 'he hearing.
/he Aes' use o( 'he a+ended re;lB is 'o Aring 'o 'he co++i''eeEs a''en'ion legal ;receden's no'
)&<)9






;reviouslB sho=n 'o 'he+, and ;ar'icularlB anB legal au'hori'B 'ha' 'he de(ense a''orneB (eels is
co+;elling. QR Prac'ice 0in': /he +oneB 'o (und anB cos's or re(unds should Ae ;laced in 'he de(ense
a''orneBEs 'rus' accoun', and a =ri''en s'a'e+en' (ro+ 'he accused a''orneB should Ae 'a?en
gran'ing 'he a''orneB (ull and exclusive ;o=er 'o dis;erse 'he +oneB in se''le+en' o( 'he case, in
his discre'ion.
#ir'uallB all Curisdic'ions require 'ha' a =ri''en ans=er 'o 'he grievance Ae (iled =i'hin a cer'ain
'i+e li+i'. 6os' Curisdic'ions allo= a +ini+u+ o( 7 daBs, and so+e allo= u; 'o a +axi+u+ o(
&. NearlB al=aBs 'he 'i+e AB =hich a re;lB +us' Ae (iled is included in 'he no'ice o( (or+al
charges. 5n +anB cases, ho=ever, =i'h as +uch as 3& or 4& hours o( inves'iga'ing and ;re;ara'ion
'o do, a 'i+elB ans=er canno' Ae +ade. "a'her 'han (iling a la'e ans=er, i' is al=aBs a;;ro;ria'e 'o
call 'he inves'iga'ing a''orneB and as? (or an ex'ension o( 'i+e in =hich 'o (ile 'he ans=er. 5'
nearlB al=aBs =ill Ae gran'ed. 5ndeed, 'his +aB Ae a =ise considera'ion in +os' cases. /he Aar
associa'ion
grievance co++i''ee is anxious 'o have 'he accused a''orneB suA+i' 'o 'heir au'hori'B
and con'rol. "esis'ing i' invariaAlB resul's in i's 'a?ing a harsher s'ance. /here(ore, a reques' (or a
delaB in (iling a res;onse has 'he advan'age o( allo=ing a +ore 'horough inves'iga'ion 'ha' =ill
;roduce a Ae''er and +ore de'ailed re;lB and in le''ing 'he co++i''ee ?no= 'ha' 'he accused a''orneB
has suA+i''ed hi+sel( 'o 'heir co++i''eeEs Curisdic'ion.
- case +aB ;resen' i'sel( =here 'he co+;lainan' see?s a large and unCus'i(ied re(und (ro+ 'he accused
a''orneB or o'her=ise see?s 'o 'a?e un(air advan'age o( hi+. /his is no' unco++on, ;ar'icularlB
a+ong Icon +en,I =ho +aB have succeeded in 'his ;loB in 'he ;as'. /he in'ervie= =i'h 'he
accused a''orneB =ill so+e'i+es reveal 'ha' 'he co+;lainan' is an acco+;lished liar =ho is ade;'
a' adCus'ing his 'es'i+onB 'o acco+;lish his goal. 5n such cases, a vague ans=er 'o 'he grievance
+aB Ae advan'ageous.
-s a general rule, 'he co++i''ee does no' li?e 'he holding Aac? o( in(or+a'ion, Au' nei'her does i'
li?e i's o((ices Aeing used (or ;ur;oses o( ex'or'ion. 3ur'her, 'he +aCori'B o( vir'uallB all co++i''ees
is +ade u; o( la=Bers, and 'heB are li?elB 'o a;;recia'e good 'ac'ics. /here are exce;'ions,
ho=ever, and ;ruden' ;rac'ice requires 'ha' 'he a;;ro;ria'e a;;roach Ae 'a?en.
QR Case 5llus'ra'ion: - clien' ;aid his a''orneB a (la' (ee (or de(ense in a (raud case. 1hen 'he li'iga'ion
=as sa'is(ac'orilB concluded, 'he clien' de+anded hal( o( 'he (ee Aac?, clai+ing 'ha' 'he
a''orneB had 'old hi+ 'ha' he ex;ec'ed 'o lose, 'ha' 'ha' (ee =ould include 'he cos's o( an a;;eal,
and 'ha' i( 'he case =as =on a' 'he 'rial s'age he =ould give hi+ a %& ;ercen' re(und. 4e(ense
counsel inves'iga'ed 'he +a''er a('er 'he de+and =as (irs' +ade Au' Ae(ore 'he grievance =as
)!<)9







(iled, and chec?ed 'he co+;lainan'Es li'iga'ion records a' 'he cour'house, discovering 'ha' o'her
a''orneBs
had de(ended 'he co+;lainan' in (raud ac'ions as =ell. 0e con'ac'ed 'he+ and learned
'ha' '=o had Aeen a;;roached along 'he sa+e linesP one ;aid Aac? hal( o( 'he +oneB 'o avoid a
grievance, and 'he second +ade a s+all adCus'+en' in 'he (ee. - ;ur;oselB vague ans=er =as
(iled, and, a' 'he hearing, 'he co+;lainan' =as allo=ed 'o 'ell his s'orB 'o 'he co++i''ee and
crossKexa+ina'ion solidi(ied i'. /hen, 'o 'he sur;rise o( 'he co+;lainan', 'he '=o a''orneBs agains'
=ho+ he had +ade 'he sa+e 'hrea' several Bears Ae(ore =ere ;resen'ed as =i'nesses. .ince 'here
=ere '=o =i'nesses 'o 'he a''orneBEs e+;loB+en' agree+en', 'he a''orneB and his secre'arB, and a
signed =ri''en con'rac' 'ha' ;rovided as 'he a''orneB s'a'ed, 'he (unda+en'als (or ;resen'a'ion o( a
;erCurB charge exis'ed and 'he record =as 'urned over 'o 'he a;;ro;ria'e au'hori'ies. /he co+;lainan'Es
;ro'es's 'ha' his ;revious ex'or'ions =ere ;rivileged co++unica'ions =ere overruled AB
'he co++i''ee.
C868,-/5#E .8PP,E6EN/
Cases:
-''orneB =ho on 3 se;ara'e occasions re(used 'o coo;era'e in co++i''eeEs inves'iga'ion o( clien'
co+;lain's, un'il i' Aeca+e necessarB 'o ;rocure suA;oena direc'ing his a;;earance (or exa+ina'ion
under oa'h, =ould Ae censured des;i'e +i'iga'ing (ac'or 'ha' he =as in +ids' o( 'er+ina'ing
longs'anding
+arriage during ;eriod in ques'ion, since (ailure 'o coo;era'e in inves'iga'ion o( alleged
+isconduc' cons'i'u'es +isconduc' in and o( i'sel(, and =arran's disci;line. "e 3ei' 9!9$9, 3d 4e;':
!% -4)d $!&, %49 NN.)d $)9.
Q/o; o( .ec'ionR
QEN4 O3 .8PP,E6EN/R
T 3&. 6o'ion 'o dis+issP illus'ra'ive (or+s
/he sco;e o( +o'ions 'o dis+iss grievances is li+i'ed onlB AB 'he ingenui'B and ex;erience o( 'he
de(ense a''orneB. /heB can 'a?e ;rac'icallB anB (or+, Au' should, i( ;ossiAle, Ae su;;or'ed =i'h
case ci'a'ions and a Arie( in su;;or'. 3or+s (or '=o 'B;ical +o'ions, 9a: +o'ion 'o dis+iss on 'he
ground o( res Cudica'a, and 9A: a +o'ion 'o dis+iss (or lac? o( s'anding, are se' (or'h Aelo=:
6O/5ON /O 45.65.. 9"E. D845C-/-:
QCa;'ion o( 'riAunal, 'i'le o( case and o'her (or+al ;ar's o+i''ed.R
/O /0E 0ONO"-B,E 2"5E#-NCE CO665//EE:
NO1 CO6E. >>>>>>>>>>>>, 'he "es;onden' in 'his ac'ion, and =ould sho= 'he co++i''ee as
))<)9

(ollo=s:
5.
/he co+;lain' o( >>>>>>>>>>>>, co+;lainan' in 'his cause, is suAs'an'iallB 'he sa+e as =as
(ound in her sui' (or legal +al;rac'ice agains' 'he res;onden' (iled on >>>>>>>>>>>>, )&>>>, and
'ried 'o a CurB on >>>>>>>>>>>>, )&>>>. /he CurB +ade (indings en'irelB (avoraAle 'o 'he de(endan'
in 'ha' cause 9res;onden' herein: and 'he cour' en'ered a Cudg+en' (or 'he de(endan' and 'axed
all cos's agains' 'he ;lain'i(( 9co+;lainan' herein: and said cos's have Be' 'o Ae ;aid.
55.
Co;ies o( 'he ;lain'i((Es ;leadings, 'he de(endan'Es ans=er, and a cer'i(ied co;B o( 'he Cudg+en' in
'ha' cause are a''ached here=i'h as res;onden'Es ExhiAi's I-I, IBI, and ICI, and are herein
incor;ora'ed
(or all ;ur;oses AB re(erence.
555.
"es;onden' urges 'ha' vir'uallB all issues ;resen'ed 'o 'his co++i''ee =ere ;resen'ed in
>>>>>>>>>>>> cour', and resolved AB 'he rules o( evidence and 'ha' 'he res;onden' =as sho=n as
a +a''er o( la= 'o have Aeen guil'B o( no ;ro(essional +isconduc'.
5#.
/he co+;lainan' herein a''e+;'s a colla'eral a''ac? u;on 'ha' (inal Cudg+en' 9ExhiAi' ICI: =hich
should no' Ae ;er+i''ed as a +a''er o( la=. "es;onden' res;ec'(ullB urges 'ha' ad+inis'ra'ive
hearings such as 'hose held AB 'he grievance co++i''ee +aB no' a''ac? (ac's conclusivelB es'aAlished
in cour'.
#.
3ur'her, res;onden' res;ec'(ullB suA+i's 'ha' 'he grievance co++i''ee should no' se' i'sel( u; in a
;osi'ion aAove 'he cour's and should no' disregard 'he (indings alreadB +ade.
10E"E3O"E P"E65.E. CON.54E"E4, res;onden' ;raBs 'ha' 'his grievance Ae (or'h=i'h
dis+issed =i'h ;reCudice and (or all o'her (ur'her relie( 'o =hich he +aB sho= hi+sel( 'o Ae Cus'lB
en'i'led.
Q4a'e, suAscri;'ion, and o'her (or+al ;ar's o+i''ed.R
-s a general rule, 'he co++i''ee is in'eres'ed in hearing onlB (ro+ an a''orneB =ho has discovered
une'hical conduc', la= en(orce+en' au'hori'ies, 'he vic'i+ o( 'he une'hical conduc', Au'
no o'hers. 5n a sur;risinglB large nu+Aer o( cases, (riends, neighAors or, ;ar'icularlB in divorce
cases, rela'ives o( 'he ;erson 'heB see as aggrieved =ill a''e+;' 'o in'er;ose 'heir =ill. 5( 'ac'(ullB
handled, 'hese cases can o('en Ae dis+issed qui'e earlB.
)3<)9





-s a ;rac'ical +a''er, 'here are no (or+al require+en's (or Is'anding.I -nBone a=are o( une'hical
Aehavior +aB re;or' i' 'o 'he grievance co++i''ee. 0o=ever, +os' co++i''ees receive co+;lain's
(ro+ 'hird ;ar'ies 'ha' genera'e unnecessarB =or? (or 'he+, and, as a general rule, 'heB are no'
sB+;a'he'ic 'o in'erlo;ers. /heB =ish 'o hear (ro+ 'he clien' or a ;erson =ho clai+s 'o have Aeen
vic'i+iJed AB 'he a''orneB.
6O/5ON /O 45.65.. 9,-C@ O3 ./-N45N2:
QCa;'ion o( 'riAunal, 'i'le o( case and o'her (or+al ;ar's o+i''ed.R
/O /0E 0ONO"-B,E 2"5E#-NCE CO665//EE:
NO1 CO6E. >>>>>>>>>>>>, res;onden', AB and 'hrough his a''orneB o( record, and sho=s as
(ollo=s:
5.
"es;onden' re;resen'ed >>>>>>>>>>>>, a ci'iJen o( 6exico, in li'iga'ion agains' >>>>>>>>>>>>,
a ci'iJen o( 'he 8ni'ed .'a'es. "es;onden' had an a''orneB<clien' rela'ionshi; =i'h >>>>>>>>>>>>
Q;lain'i((R, and ;ursued 'he +a''er vigorouslB. Co;ies o( 'he ;leadings (iled agains' 'he de(endan'
in 'ha' case ;re;ared AB res;onden' are a''ached here=i'h as ExhiAi' I-I and incor;ora'ed (or all
;ur;oses.
55.
/he de(endan' in 'ha' case (iled an ans=er, a co;B o( =hich is a''ached here=i'h as ExhiAi' IBI
and incor;ora'ed herein (or all ;ur;oses.
555.
"es;onden' ;roceeded 'o 'a?e de;osi'ions and 'o ;re;are (or 'rial Au', Aecause o( dis'ances, =as
unaAle 'o +ain'ain close con'ac' =i'h 'he ;lain'i((, his clien'.
5#.
/he co+;lainan' in 'his cause is a (riend o( 'he ;lain'i((. /he ;lain'i(( o('en s'aBed a' her ho+e
=hile visi'ing in 'he 8ni'ed .'a'es. 2raduallB 'he ;lain'i(( see+ed 'o lose in'eres' in 'he li'iga'ion,
and s'o;;ed ;aBing a''orneBEs (ees 'o res;onden'. /he co+;lainan' 'hen a''e+;'ed 'o usur; 'he
;eroga'ives o( 'he ;lain'i((, a' (irs' AB carrBing +essages 'o 'he res;onden', 'hen AB 'a?ing inde;enden'
ac'ion, and 'hen AB a''e+;'ing 'o exercise her inde;enden' Cudg+en' as 'o ho= 'he case
should Ae handled.
#.
5n 'i+e, a dis;u'e arose Ae'=een 'he co+;lainan', =ho had no legal righ' 'o in'er(ere in 'he la=sui',
and 'he res;onden', =ho res;ec'(ullB sugges'ed 'o her 'ha' he ;re(erred 'o do Ausiness =i'h
his clien' onlB and 'ha' legal +a''ers and ques'ions o( s'ra'egB should Ae le(' 'o 'he ;lain'i(( and
)4<)9



'he res;onden'. /o 'his, 'he co+;lainan' 'oo? grea' exce;'ion.
#5.
"es;onden' 'hen (iled a +o'ion 'o =i'hdra=, giving 'he ;lain'i(( su((icien' 'i+e 'o +a?e o'her
arrange+en's
(or counsel. /he +o'ion (or and order ;er+i''ing =i'hdra=al as a''orneB o( record is
a''ached here=i'h as res;onden'Es ExhiAi' IC,I and incor;ora'ed herein (or all ;ur;oses.
#55.
None'heless, 'he co+;lainan' con'inued 'o asser' her =ish 'o con'rol 'he li'iga'ion and 'he oAliga'ion
o( 'he res;onden' 'o re;resen' =ha' had co+e 'o Ae, in her +ind, her case. "es;onden' re(used
'o co++unica'e =i'h her, and re'urned 'he (ile 'o his clien' in 6exico.
#555.
Co+;lainan' re(used 'o acce;' 'he cour'Es order ;er+i''ing =i'hdra=al, and she has con'inued 'o
call 'he res;onden' 'o insis' u;on a (ull accoun'ing o( all +oneB ex;ended, or an ex;lana'ion as 'o
=hB 'he case has no' Aeen 'ried.
5F.
"es;onden' has never had an a''orneBKclien' rela'ionshi; =i'h 'he co+;lainan', and he res;ec'(ullB
sugges's 'ha' she lac?s s'anding 'o Aring a co+;lain' on charges o( ;ro(essional +isconduc'
agains' hi+.
10E"E3O"E P"E65.E. CON.54E"E4, 'he res;onden' in 'his case res;ec'(ullB reques's 'ha'
'he co+;lain' o( 'his co+;lainan' Ae dis+issed =i'h ;reCudice, and 'he (ur'her ;raBs (or all such
relie(, Ao'h general and equi'aAle, 'o =hich he +aB sho= hi+sel( 'o Ae Cus'lB en'i'led.
Q4a'e, suAscri;'ion, and o'her (or+al ;ar's o+i''ed.R
T 3!. 4iscoverB
QCu+ula'ive .u;;le+en'R
3or a li+i'ed ;eriod (ollo=ing 'he (iling o( an ans=er, Ao'h Aar counsel and 'he res;onden' should
Ae a((orded reci;rocal discoverB o( +a''ers no' ;rivileged.Q&R 4uring 'his ;eriod 'here should Ae a
+u'ual exchange o( 9!: na+es and addresses o( all ;ersons having ?no=ledge o( relevan' (ac's, 9):
nonK;rivileged in(or+a'ion and evidence relevan' 'o 'he charges or 'he res;onden', and 93: o'her
+a'erial
'ha' +aB Ae sho=n 'o Ae relevan' and +a'erial. Pro'ec'ive orders should Ae availaAle 'o ;reven'
un=arran'ed discoverB.Q!R
1hile +anB o( 'he s'a'e Aar enaAling ac's +a?e no s;eci(ic ;rovision (or discoverB, as a general
rule, a +ee'ing =i'h 'he inves'iga'ing a''orneB =ill ;roduce all 'he discoverB necessarB 'o ;re;are (or
)%<)9




'he hearing. 3ur'her+ore, no' onlB has 'he accused a''orneB an aAsolu'e righ' 'o a co;B o( 'he co+;lain'
lodged agains' hi+, and 'o all la'er a+ended co+;lain's, Au' in +os' s'a'es, 'he accused has a
righ' 'o a lis' o( 'he =i'nesses =ho =ill a;;ear agains' hi+, and in +anB s'a'es 'he Aar rules ;rovide
'ha' a su++arB +us' also Ae given o( 'heir ex;ec'ed 'es'i+onB. /he accused a''orneB also =ill have
suA;oena ;o=er 'o co+;el 'he a''endance o( =i'nesses, including hos'ile =i'nesses, ;olice o((icers
and cour' ;ersonnel.Q)R
5n a ;ar'icularlB serious case, =here 'he s'a'e rules o( cri+inal ;rocedure ;rovide (or li''le in 'he
=aB o( discoverB, and i( i' a;;ears 'ha' 'he loss o( 'he accused a''orneBEs la= license is all Au' cer'ain,
'he de(ense a''orneB +aB choose 'o +a?e 'he 'ac'ical choice o( using 'he grievance ;roceeding as a
discoverB 'ool (or 'he u;co+ing cri+inal 'rial. /his is ;ar'icularlB 'rue =hen an indic'+en' has Aeen
re'urned =i'hou' 'he o;;or'uni'B 'o conduc' a ;reli+inarB hearing as ;rovided AB (ederal la=, or an
Iexa+ining 'rialI ;rovided AB a code o( cri+inal ;rocedure in +os' s'a'es.
5( such a +ove is +ade, 'he de(ense a''orneB =ill o('en choose 'o have his clien' invo?e his 3i('h
-+end+en' righ's, and he =ill no' 'es'i(B. 0e canno' Ae co+;elled 'o 'es'i(B i( 'here is cri+inal
li'iga'ion
;ending. 5( a disAar+en' sui' is ;ending, his de;osi'ion can usuallB Ae 'a?en, and his re(usal 'o
Ae de;osed can Ae used agains' hi+ a' 'he disAar+en' 'rial, Au' no' a' a cri+inal 'rial. /he exercise o(
'he 3i('h -+end+en' righ' +aB no' Ae used (or i+;each+en'.Q3R
5( 'he de(ense a''orneBEs s'ra'egB is along 'hose lines, he should reques' 'ha' 'he co++i''ee ;os';one
i's decision un'il a('er 'he cri+inal 'rial is co+;le'ed. Even 'hough 'he reques' =ill seldo+ Ae
gran'ed, i' can do no har+ 'o as?. 5( 'he reques' (or a delaB o( 'he grievance ;roceedings is gran'ed
un'il a('er 'he cri+inal 'rial, and 'here is an acqui''al, 'his ou'co+e should Ae Arough' 'o 'he a''en'ion
o( 'he co++i''ee i++edia'elB.
5n +os' Curisdic'ions, even 'hough 'he inves'iga'ing Aar a''orneB +aB no' have an aAsolu'e righ' 'o
;reKhearing discoverB, coo;era'ion =i'h hi+ is usuallB Aes'. 0o=ever, such coo;era'ion does no'
require
'he de(ense a''orneB 'o Auild 'he ;rosecu'ionEs case, and ex'ensive coo;era'ion +aB verB =ell
resul' in 'ha' Aeing done. /hus, de(ense counsel +us' =al? a (ine line Ae'=een ;roceeding so as 'o
irri'a'e
'he co++i''ee AB re(using 'o 'urn over docu+en's, or coo;era'ing and ho;ing 'ha' 'he +a''er
=ill no' Ae ;rosecu'ed. 5' is al=aBs a di((icul' choice.
C868,-/5#E .8PP,E6EN/
Cases:
-''orneB =as no' en'i'led 'o invo?e ;rivilege agains' sel(Kincri+ina'ion =hen ordered 'o (ile lis'
)<)9

o( all +one'arB sanc'ions i+;osed agains' hi+ AB anB (ederal cour' since sanc'ions =ere ;uAlic orders
and a''orneB did no' ex;lain ho= in(or+a'ion could incri+ina'e hi+. 5n re 6aurice 9!99%, C-7:
73 33d !)4.
Q3N3!R .ee, 6ur;hB, 2rievance Counsel (or 'he PuAlic, ) NN ,. , "ev ))! 9!9$!:.
Q3N3)R .ee T $.
Q3N33R /heore'icallB, 'he inves'iga'ion is secre' in vir'uallB all Curisdic'ions, Au' a good deal
o( coo;era'ion a+ong la= en(orce+en' agencies al=aBs see+s 'o 'a?e ;lace i( cri+inal allega'ions
are +ade.
.ec'ion )% 3oo'no'es:
Q3N34R.
.ee T %9.
Q3N3%R.
Ba'es v. .'a'e Bar o( -riJona 9!977: 433 8. 3%&, %3 , Ed )d $!&, 97 . C' )9!, %! Ohio 6isc !,
% Ohio O;s 3d &, ) 6edia , " )&97, !977K) CC0 /rade Cases V!%73, reh den 434 8. $$!, %4 ,
Ed )d !4, 9$ . C' )4), BeasleB v. Bur' 9!94: )&! 2a !44, 39 .E)d %!.
.hadur, -''orneBsE 2uide 43 e' seq.
.ec'ion ) 3oo'no'es:
Q3N3R .ee T )!.
Q3N37R .ee T )$.
Q3N3$R see T )9.
Q3N39R .ee TT 3)S 34.
Q3N4&R .ee T 3%.
Q3N4!R .ee T 3!.
Q3N4)R .ee T 3&.
.ec'ion )$ 3oo'no'es:
Q3N43R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.$.
Q3N44R 5d., Co++en'arB.
Q3N4%R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&9a:S9c:.
Q3N4R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.9, $.!!.
Q3N47R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&9a:.
Q3N4$R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&9A:.
.ee T %$.
Q3N49R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&9c:.
)7<)9



.ee TT 9, &.
Q3N%&R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&9e:.
Q3N%!R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&, Co++en'arB.
Q3N%)R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.!&9d:. .ee also .'andards
$.!7S$.)&.
Q3N%3R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.)!S$.)3. 1ha'ever ac'ion is 'a?en,
'he res;onden' is en'i'led 'o no'ice o( anB dis;osi'ion o( 'he +a''er (ollo=ing 'he inves'iga'ion.
.'andard $.!4.
No'ice o( (or+al charges and hearing AB grievance or o'her disci;linarB 'riAunal, ) -+. Dur.
Pleading and Prac'ice 3or+s, -''orneBs a' ,a=, 3or+ )$7S)9&P order 'o sho= cause =hB a''orneB
should no' Ae disci;lined, ) -+. Dur. Pleading and Prac'ice 3or+s, -''orneBs a' ,a=,
3or+ )9!S)94.
Q3N%4R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.)4S$.)%.
Q3N%%R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.).
.ec'ion )9 3oo'no'es:
Q3N%R.
-B- .'andards (or ,a=Ber 4isci;line, .'andard $.)7.
Q3N%7R.
5d., Co++en'arB.
/he (iling o( a soKcalled Egeneral denial,E =hich is ;er+i''ed in civil cour' in so+e Curisdic'ions
such as /exas and O?laho+a, is no' considered a +eaning(ul ans=er AB grievance co++i''ees. /heB
=an' ad+issions o( (ac's 'ha' are no' in con'roversB, denials o( ones no' Aelieved 'o Ae 'rue, and
s'a'e+en's
o( ;oin' o( vie=.
Q3N%$R.
-B- .'andards (or ,a=Ber 4isci;line, .'andard $.)$.
Q3N%9R.
.ee T 3.
.ec'ion 3! 3oo'no'es:
Q3N&R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.)9.
4iscoverB in a''orneB disci;linarB ;roceedings, 7 -+. Dur. )d, -''orneBs a' ,a= T 93.
4e;osi'ionOdiscoverB ;rocedures in disci;linarB ;roceeding agains' a''orneB, 9) -.,.". )d
!3)$.
)$<)9

3or (or+s o( in'erroga'ories 'o a''orneB and (or (or+s direc'ing =i'ness 'o ans=er in'erroga'ories
in disci;linarB ;roceedings, see ) -+. Dur. Pleading and Prac'ice 3or+s, -''orneBs a' ,a=,
3or+s )9%S)9, )9$.! 9su;;.:.
Q3N!R 5d., Co++en'arB.
Q3N)R -B- .'andards (or ,a=Ber 4isci;line, .'andard $.3%.
Q3N3R 4ue ;rocess considera'ions in a''orneB disci;linarB ;roceedings, 7 -+. Dur. )d, -''orneBs
a' ,a= T 9!.
.incerelB,
Zach Coughlin, Esq.
)9<)9