Frequently Asked Questions
Frequently Asked
Questions
Do I
need a lawyer?
No, generally you do not need a lawyer
to prepare your response to a bar charge. If you do not feel at
ease in responding, or feel that you may in fact have violated the
ethical rules, it may be wise for you to at least consult with
counsel before responding. There are several lawyers who regularly
handle matters from the screening stage through any formal
proceedings.
The Arizona Association of Defense
Counsel (AADC) has established a program to provide a free
initial consultation for attorneys asked by the State Bar
to respond in writing to a disciplinary charge. A panel of
experienced attorneys has been created to provide this
service. If you are interested in receiving a free initial
consultation please contact the AADC program coordinator:
If your last name begins with A-L
contact:
Elliot Wernick
Kunz Plitt Hyland Demlong & Kleifield
3838 N. Central Ave., Suite 1500
Phoenix, AZ 85012
Telephone: 602.331.4600
If your last name begins with M-Z contact:
Nathan Meyer
Harper Christian Dichter & Graif
2700 N. Central Ave., Suite 1200
Phoenix, AZ 85004
Telephone: 602.792.1719
Upon receiving your request, the
project coordinator will contact a panel member to determine his or
her availability. The project coordinator will then put you
into direct contact with the panel member to arrange for the
initial consultation. (Except as necessary to fulfill the
foregoing assignment responsibilities, the project coordinator will
maintain the confidentiality of disciplinary charges.)
Where do I file responses or
pleadings?
Any responses during the screening
process of a charge are sent to bar counsel assigned to handle the
investigation of the charge. Any pleadings or motions filed
during the screening phase should be filed with the State Bar
records manager at 4201 N. 24th Street, Suite 100, Phoenix, AZ
85016-6266 and copies should be sent to the assigned bar
counsel.
If the matter becomes a formal
proceeding, pleadings need to filed with the Disciplinary Clerk of
the Supreme Court located at 1501 West Washington Street, Suite
102, Phoenix, Arizona 85007 with a copy being sent to the assigned
bar counsel.
What is a consent
agreement?
A lawyer against whom a charge has
been made or a complaint has been filed may tender a conditional
admission to the charge or complaint or to a particular count in
exchange for a stated form of discipline, other than disbarment, at
any stage of the proceedings. Consent agreements are governed
by Rule 57, Ariz. R. Sup. Ct.
What are the alternatives to
discipline?
There are several options.
Mediation
The Bar has a Mediation program as part of the disciplinary
process. Mediation is an option during the prescreening phase
of a complaint. If the alleged misconduct is relatively
minor, and it appears that the parties could benefit from getting
together and discussing their concerns with a trained mediator, the
matter may be referred to one of the lawyer or non-lawyer mediators
throughout the state.
Unless more serious misconduct
surfaces, settlement of a matter in mediation (and subsequent
compliance with agreed-upon terms) will result in the complaint
being dismissed, even if there was an underlying violation
of the ethical rules. Mediation is optional. Lawyers
who decline to mediate will have their matters referred to the
normal disciplinary process.
Diversion Programs
Diversion shifts the emphasis in cases involving minor acts of
misconduct away from disciplinary sanctions and toward
rehabilitation. It is designed to address minor acts of
ethical impropriety that typically can be linked to poor law office
management, chemical dependency, or other behavioral health
problems. Current diversion programs include the use of the
following programs: Law Office Management Assistance Program,
Member Assistance Program, Ethics Enhancement Program and Trust
Account Ethics Enhancement Program. Diversion is not available in
cases which would warrant a suspension or disbarment or where the
attorney has acted dishonestly or in breach of a fiduciary
duty.
Diversion is not an alternative to
discipline in cases of serious misconduct or which factually
present little hope that diversion will achieve program
goals. Diversion will be considered in cases where, assuming
allegations of ethical violation against the respondent lawyer are
true, the sanction would be a reprimand or less, although some
ethical violations warranting an admonition or reprimand may not,
under all circumstances, be diversion eligible.
Diversion matters are
confidential. Successful completion of diversion results in
the underlying matter being dismissed. Thus, an attorney who
successfully completes diversion will have no record of discipline
arising from the underlying complaint. Diversion
Guidelines
How long are records kept of
disciplinary matters filed with the State Bar?
Records for charges resulting in a
sanction are maintained indefinitely. Records of dismissed
charges and those resulting in diversion are maintained for a
period of three years from the date of disposition and are
thereafter expunged pursuant to Rule 71, Ariz. R. Sup. Ct.
Do discipline files
remain confidential?
If a charge is dismissed, either with
or without a full investigation, the records become open to the
public at the time the State Bar notifies the complainant of the
disposition. The files remain public for six months following
notification.
Records of charges that result in a
diversion agreement or an order of diversion are confidential.
Records of charges that result in the
imposition of a sanction or other Committee order pursuant to Rule
55, Ariz. R. Sup. Ct., generally become open to the public upon
entry of an order by the Committee. Records of these charges
remain public indefinitely.
Can the State Bar help me deal with a
difficult client or colleague?
The Attorney/Consumer Assistance
Program (A/CAP) may be able to help if a client is having a dispute
with his/her attorney, if an attorney is having a dispute with
his/her client, or if an attorney is having a dispute with another
attorney. If you want the assistance of A/CAP, please call
A/CAP at 602.340.7280. Outside Maricopa County
call 866.372.4356.
What is A/CAP?
The Attorney/Consumer Assistance
Program (A/CAP) is designed to resolve some problems between
attorneys and clients prior to filing a charge. A/CAP
personnel will talk with you about your concerns; explore the
nature of your dispute and the details of the actions of the
attorney. The attorneys in A/CAP will then review this
information and you may receive a return phone call from one of
these attorneys to find out more about the problem you are
having. If appropriate, the A/CAP attorney will help
you in trying to resolve this dispute with the attorney.
Does the attorney-client privilege prevent me
from disclosing information to bar counsel?
No. Attorneys are required to
cooperate with the State Bar. The ethical rules allow an
attorney to submit confidential information to defend him/her self
in a disciplinary inquiry. If information is truly
confidential, a party may request an order sealing a portion of the
record.
What is the most common reason for
receiving a Bar charge?
Failing to communicate with the client
is one of the most common reasons for receiving a bar charge.
The types of communication problems that the Bar receives include
failing to tell a client about the status of a case, failing to
inform clients about fees, and failing to communicate in a timely
manner with opposing counsel. In order of frequency, the
following are also common reasons for receiving a bar charge:
diligence, scope of representation, safekeeping client property
(trust accounts), and disputes about fees.
What costs will I be assessed if I am found to
have committed violations of the ethical rules?
The Supreme Court rules allow for an
assessment of costs and expenses related to disciplinary
proceedings that may be imposed by the Presiding Disciplinary Judge
or the Supreme Court, in addition to any other sanction
imposed.
Where can I research discipline case
decisions?
Information on past disciplinary cases
can be found on the
Arizona Supreme Court's website.