What happens after a bar charge is filed?
Do not wait to explore other possible remedies!
What discipline can be imposed?
What are the alternatives to discipline?
How do I file a charge against a lawyer?

What happens after a bar charge is filed?
If you file charges against a lawyer, State Bar counsel will review it to determine whether an investigation is appropriate. If an investigation is appropriate, a copy of what you have submitted will be sent to the lawyer, who will be asked to submit a written response to your charges. In most cases, you will receive a copy of that response and be given a chance to send additional information.

If your information does not meet the threshold for an investigation, you will be notified of that fact. A copy of the charges will be sent to the lawyer for informational purposes.

If, after investigation, the State Bar determines that there is enough information to believe that the lawyer violated the ethics rules and there is clear and convincing evidence to show the violation, formal disciplinary charges may be filed against the lawyer. Under those circumstances, a hearing may be held, and you may be required to appear as a witness.

Because of the volume of complaints received, the State Bar relies on written submissions and rarely have telephone or in-person contact with complainants or lawyers during the investigative process. If we need additional information, we will contact you. More information.

Do not wait to explore other possible remedies
Do not delay in exploring other possible remedies you may have against the lawyer simply because you have filed a bar charges. You can lose valuable legal rights if you wait for the conclusion of the State Bar's investigation. If you want to find out if you have other remedies against the lawyer, you should contact private counsel. If you believe a lawyer has acted illegally, you should report that conduct to appropriate prosecuting authorities. The State Bar's staff lawyers cannot give you legal advice or tell you what you should do.

What discipline can be imposed?
If the charges against a lawyer are found to violate the Rules of Professional Conduct, the lawyer may be referred to a diversion program, required to pay restitution, be issued an informal reprimand, censure, suspended, disbarred, ordered to pay costs, or placed on inactive disability status.

What are the alternatives to discipline?

DIVERSION
The State Bar has established diversion programs that concentrate on helping the lawyer change his or her practices. The programs are designed to address acts of ethical misconduct that typically can be linked to poor law office management, chemical dependency, or other behavioral problems.

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 may be considered in cases where the sanction would be less than suspension. Successful completion of diversion results in the underlying matter being dismissed.

Currently the State Bar has several diversion programs, including: Law Office Management Assistance program (LOMAP), Member Assistance Program (MAP), Ethical Enhancement Program (EEP), Trust Account Ethical Enhancement Program (TAEEP), and the Trust Account Program (TAP).

MEDIATION
The State Bar has a Mediation program as part of the disciplinary process. 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.

How do I file a bar charge against a lawyer?
Discipline proceedings begin when you write to the State Bar and complain about a lawyer’s conduct or send information to the State Bar that indicates a lawyer may have engaged in misconduct or may be incapacitated. You may call the Attorney/Consumer Assistance Program to discuss your problem prior to writing to the State Bar. Otherwise, you can write to us at: State Bar of Arizona, Attorney/Consumer Assistance Program, 4201 N. 24th Street, Suite 200, Phoenix, AZ 85016.

Definitions
Charges are handled in several ways
Prescreening
Screening
Probable Cause
Formal proceedings
Disciplinary Commission
Arizona Supreme Court

Definitions
In the following explanation, several terms are introduced which are explained as follows:

"Charge" is a specific allegation against a lawyer.

"Respondent" is a lawyer who must respond to charges filed with the State Bar.

"Complainant" is the individual(s) making the charge against the lawyer.

"Bar Counsel" is a lawyer employed by the State Bar who reviews, investigates and/or prosecutes charges.

Charges are handled in several ways

1. Charges may be dismissed if the lawyer’s conduct does not violate the Rules of Professional Conduct contained within Rule 42 of the Rules of the Supreme Court of Arizona.

2. Charges may be referred to the Peer Review Program when the lawyer has not violated the Rules of Professional Conduct but has shown incivility or unprofessionalism toward clients or others.

3. Low-level violations or client relation problems may be resolved by the Attorney/Consumer Assistance Program.

4. If the charges against a lawyer are found to violate the Rules of Professional Conduct, the lawyer may be referred to a diversion program, required to pay restitution, issued an informal reprimand or censure, ordered to pay costs, placed on disability inactive status, suspended or disbarred.

Prescreening
Bar proceedings begin when a written charge is received. Each charge is reviewed to determine whether it must be further investigated or "screened." The test for screening is whether the charges as submitted contain facts, which if true, would constitute misconduct or incapacity. If a charge meets this threshold, it is typically placed into screening.

Screening
When a case is screened, the complainant is notified, and a copy of the charge is sent to the respondent lawyer. A written response is due from the respondent within 20 days. Extensions of time to answer may be granted for good cause.

Bar counsel forwards a copy of the respondent's response to the complainant, unless a request for confidentiality is granted. The complainant may submit further comments, if needed, within 15 days. If the complainant provides a reply, it is forwarded to the respondent. Further comments from the respondent are optional, but are due within 15 days, absent an extension of time.

Most often, bar counsel will then have all the necessary information needed to make a recommendation about what should happen next. In some cases, however, additional investigation is necessary, in which case bar counsel or staff investigators conduct whatever research or investigation is needed to form a recommendation.

Probable cause review
Once bar counsel has sufficient information to recommend how a charge should be handled, he or she prepares a summary of the file. The summary and recommendation are submitted to the probable cause panelist, who decides whether there is enough evidence to continue on to formal proceedings or whether another course of action is appropriate. Recommendations to the panelist may include: probation, diversion, restitution, informal reprimand, costs, probable cause to file a complaint, probable cause to file a disability petition, or stay. If there is enough evidence to continue to formal proceedings, the probable cause panelist will issue a probable cause order.

Formal proceedings
Once a probable cause order is issued, bar counsel prepares a complaint and represents the State Bar in the formal disciplinary proceedings. Formal proceedings begin when bar counsel files a complaint with the Disciplinary Clerk. The Clerk assigns the matter to a hearing officer.

The respondent's answer is due within 20 days after he or she receives a copy of the complaint. After the answer is filed, the matter is set for a settlement conference and a hearing.

Mandatory settlement conferences are held before the hearing. Bar counsel and respondents often enter into consent agreements to settle a matter without a hearing.

If there is a hearing, the hearing officer submits a written report recommending a disposition. These included: dismissal of the charges, diversion, informal reprimand, probation, censure, suspension, or disbarment. If the recommendation is for censure, suspension, or disbarment, the respondent may appeal the ruling to the Disciplinary Commission.

Disciplinary Commission
The Disciplinary Commission of the Supreme Court of Arizona reviews cases in which objections have been filed and all cases involving recommendations of censure, suspension, or disbarment. Decisions of the Commission are final as to dismissal, probation, informal reprimand, and censures that are not appealed.

Arizona Supreme Court
If the Commission recommends censure, suspension or disbarment, the parties may ask the Supreme Court of Arizona to review the matter. In suspension and disbarment cases, if the parties do not ask for review, the Court may decide to review the matter anyway. If the Court does not decide to review the matter within 60 days, it becomes final and the Supreme Court Clerk enters an order and judgment. All censures, suspensions and disbarments happen by Supreme Court order.