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Insight: You should contact the division of your state’s bar, which handles disciplinary actions of attorneys.  Each state has a different process for submitting a complaint, but a written submission describing the ethical violations is usually required.

If the reviewing authority believes that the attorney committed an ethical violation, it will likely begin disciplinary proceedings.  The attorney will have an opportunity to defend the allegations and the disciplinary committee may hold a formal hearing.  The prosecuting attorney may want you to submit an affidavit or testify at the hearing.  Typically, the disciplinary committee will hear evidence and issue a recommendation of discipline, which can include private admonition, public admonition, suspension or disbarment.  The recommended ruling will usually be submitted to the highest court in the state, which will issue a final judgment.  You can click here to find your state and information about filing an ethical complaint or grievance.

 

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The Appellate Division of the New York Supreme Court disbarred an attorney after finding that he had intentionally converted client funds.  The attorney was a partner in a real-estate company, which facilitated mortgage loans to investors for the purchase and rehabilitation of distressed properties.  Investor funds were secured by mortgages on various properties and investors were issued promissory notes providing periodic interest payments.

In 2007, the attorney’s firm stopped making interest payments to investors and explained that, as a result of the financial crisis, many of the borrowers were unable to make payments and he had foreclosed on the loans on the investors behalf.  However, in lieu of foreclosure on one particular property, the attorney transferred title from a third party into the name of an investor, unbeknownst to him.  The attorney then forged the investor’s signature on a deed transferring the property to an entity solely controlled by his partner’s mother in exchange for $65,000.

This purchase was facilitated by a loan provided by another investor.  Part of the agreement with this investor, required that a specific amount of the loan proceeds were to be held in a separate escrow account to be used for rehabilitating the properties.  The attorney instead deposited the funds into his lawyer’s trust account, and subsequently withdrew the money without the client’s permission.

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Insight:  In order to succeed in a malpractice action, you need to prove not only that your attorney made an error, but that it resulted in harm to you.  This is usually done by showing that you would have obtained a more favorable result, absent the attorney’s mistake.

If your litigation is still ongoing, it may be possible to correct the lawyer’s error.  Often, the mistake will have prevented you from succeeding in all or part of your lawsuit.  If you feel an error has been committed, it is usually best to notify your lawyer of his or her potential malpractice.  This is not always easy to do, and it usually will result in your having to hire another attorney to represent you in the pending case.

If you think your attorney has committed malpractice, you can always contact a legal malpractice attorney to get an opinion and advice on whether or not to notify your attorney, and the likely implications of doing so.

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Insight: Not all ethical violations amount to malpractice, and vice versa.  For instance, when an attorney has failed to bring a claim prior to the expiration of the applicable statute of limitations, he has likely committed malpractice, but this  would not normally be an ethical violation.  However, if your attorney missed the statute, and knew it, but then failed to inform you of his mistake, he may be subject to disciplinary action for withholding the information.

Another key difference between an ethical violation and malpractice is that clients typically can seek punitive measures against an attorney for ethical violations, but can only recover monetary damages as a result of their attorney’s wrongful action, by filing a malpractice claim.

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Insight: Most legal malpractice cases require expert testimony to prove that the lawyer’s conduct fell below the standard of care of a reasonable attorney acting in a similar situation.  Expert witnesses are typically experienced lawyers, who practice in the same area of law in which the malpractice occurred.  For example, in a divorce malpractice case, the expert would likely be an experienced divorce attorney.

The purpose of expert testimony is to assist the judge or jury to understand when a mistake rises to the level of malpractice, which is usually beyond the comprehension of the average person.  However, when an attorney’s negligence is so gross and obvious that a lay person would be able to comprehend the issue, an expert may not be required. An experienced malpractice attorney will usually make the call whether there is a need for an expert under a given set of facts.

Normally, the claimant is responsible for the cost of retaining an expert, but malpractice attorneys typically advance the funds, which are reimbursed when and if there is a successful result.

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The Supreme Court of Georgia has revoked an attorney’s license to practice law in Georgia.  The lawyer represented a client in a personal injury action and negotiated a settlement in the amount of $30,000.  The defendants disbursed the settlement to the attorney, who deposited the check into his personal account and absconded with the money.  When the client never received the settlement funds and was unable to contact the attorney, he sought and obtained another payment from the defendants.  The defendants were also unable to locate the attorney and notified the Georgia State Bar of his conduct.

A disciplinary complaint issued, but the attorney again failed to respond.  For the above reasons, the Supreme Court of Georgia found that the attorney had wrongfully commingled funds, in violation of the Georgia Rules of Professional Conduct, Rules 1.15(II)(a) and 8.4(a)(4), and revoked his license to practice law.

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The North Carolina State Bar Disciplinary Commission recently disbarred an attorney who had been licensed to practice law in the state since 1997. In the Matter of David Shawn Clark, an attorney became romantically involved with a client in proceedings related to a domestic violence incident. The client’s estranged husband discovered the affair and threatened to sue the lawyer in tort for ‘alienation of affection’, which is a common law claim that a spouse may bring against a third party, whom they hold responsible for the failure of their marriage.

In response to the threat of this lawsuit, the attorney attempted to silence those who had specific knowledge of the affair, fearing that its exposure would ruin his family relationships and his law practice. He threatened to report damaging information about the client, which he had learned as a result of the attorney-client relationship, to the Department of Social Services in order to interfere with her custody over her children. Next, he berated his legal secretary and threatened her with physical harm if she did not protect his secret.

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The California Supreme Court has rejected a majority recommendation of the California State Bar Court that an applicant be admitted to the California State Bar, on the basis that he had not provided sufficient evidence of a significant change in his character.  The applicant was a former journalist, who fabricated several articles that he produced for various news sources from in the late 1990’s.  He often contrived evidence to support the articles, in order to deceive the fact checkers that reviewed his articles before publication.  He was eventually caught and fired.

While working as a journalist, he also attended evening classes at a law school.  After graduating, he took and passed the New York bar exam. He disclosed his past discretions in his application for admission to the bar, but withdrew it after he was informally told that it would have been rejected as a result of his conduct.

He then moved to California and began clerking for a local law firm.  While in California, he sought psychiatric treatment and assisted homeless clients with their personal and legal matters.

Several years later, he took the California bar exam, passed, and sought admission to the bar.  The California Committee of Bar Examiners denied his application stating that he did not satisfy the requirements of California’s moral fitness test.

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The Massachusetts Board of Bar Overseers (“BBO”)  has issued an admonition of an attorney after finding that he violated the Massachusetts Rules of Professional Conduct.  The attorney represented the victim of an auto accident, who was disabled as a result of the accident.  The attorney filed the lawsuit timely, but failed to effect service, which resulted in dismissal of the case.  The attorney was able to have the case reinstated, but it was dismissed again after the attorney failed to respond to discovery requests.  Over one year later, the attorney moved to vacate the dismissal, but the motion was denied as untimely.

The BBO held that the attorney’s failure to diligently pursue the client’s case was a violation of Mass. R. Prof. C. 1.1 and 1.3.  The attorney also failed to inform the client of either dismissal and did not respond to the client’s requests for status updates, as required by Mass. R. Prof. C. 1.4(a) and (b).

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