The Various Stages of a New York
Attorney Ethics Matter

The Way a New York Attorney Ethics Investigation Starts

When an attorney is served with a copy of a NY ethics complaint, there is a certain procedural path that the matter will typically follow. However, that path also contains a number of exit ramps; hence, at any point, the matter may be concluded for one reason or another prior to a hearing. 22 CRR-NY 1240.7 et seq. Those reasons are numerous, and an attorney-respondent facing an ethics complaint should be familiar with them.

^{1. The Manner in which the NY Ethics Complaint is Originally Docketed by the Committee.}

The NY ethics committee will usually receive a written complaint “signed by the complainant which need not be verified.” Id. In the alternative, “investigations may also be authorized by a committee acting” on its own. Id.

Importantly, the complaint is filed “in the judicial department encompassing the respondent’s initial registration address on file with the Office of Court Administration.” If they are outside New York state, that will be the judicial department “in which the respondent was admitted to practice law.” Id.

2. The process of Investigating the NY Ethics Complaint

The respondent will normally be asked to begin the investigation process by providing a “written response to the complaint, and to appear and produce records… for a formal interview or examination under oath.” Id. Thereafter, the investigation will involve the various aspects that one would expect; such as obtaining documents and statements from both the complainant and respondent, as well as relevant third parties. Likewise, the chief attorney for the ethics committee may generate subpoenas for documents and testimony from third party witnesses who appear “necessary for proper determination of the validity of the complaint.” Id.

3. The Investigation May be Terminated Before it Even Begins.

Obviously, there are a range of actions the chief attorney may take once the investigation is concluded. For example, they may “decline to investigate a complaint for reasons that include” the fact that the subject matter is not within the purview of the statute, the facts underlying the complaint would not be a violation of the NY Rules of Professional Conduct, the matter would be better handled by another forum, such as the civil litigation process or the matter complained of is inseparable from the underlying facts of “another pending legal action or proceeding.” Id.

That is only the first of six avenues by which the committee can proceed under section 1240.7. The committee may do the following:

4. The Respondent Can Seek to Vacate the Admonition or the Complainant May Seek Reconsideration of the Dismissal or Declination to Investigate.

If the disposition by the ethics committee is something they find objectionable, the respondent and the complainant will typically each have options.

For example, the respondent faced with an admonition “may make an application to the court, on notice to the committee to vacate…” Id. Likewise, the complainant may “submit a written request for reconsideration” of a dismissal or declination by the committee.” Id.

For more detail on the pre-hearing process, please refer to Questions to Ask When Facing a NY Ethics Complaint. For a discussion of the pleading, motion and hearing process, please refer to Questions to Ask When You Are the Subject of a New York Attorney Disciplinary Proceeding. Finally, should the matter arise from an issue concerning a trust account, please review our page concerning IOLA attorney trust accounts.

¹The citations and quotes set forth on this webpage were accurate as of 2021. Please remember to update them if they apply to your matter.