When faced with a potential disciplinary action, an attorney should immediately consider the tools available to defend against the action. An attorney disciplinary matter is not civil litigation, and one must recognize the differences and the unique nuances to disciplinary practice when proceeding. Best practices include securing defense counsel experienced in Disciplinary Board representation immediately to best protect you and your license throughout the process; this is not an area where you want a “fool for a client.” Most attorney professional liability insurance policies provide some level of coverage for disciplinary matters. It is worthwhile now to check your policy, understand your coverage, and make arrangements to ensure you will have sufficient support if faced with a disciplinary action. Failure to understand the process can make the difference between dismissal or relatively mild discipline and more serious sanctions.

When a complaint is made to the Disciplinary Board, it is investigated by Disciplinary Counsel. Following investigation, most complaints are dismissed as frivolous or for other reasons, and you as the attorney may never know that a complaint was even filed regarding your conduct. If the complaint survives this initial investigation, you will receive a DB-7 request for statement of respondent’s position. This is the time to engage defense counsel. A response to a DB-7 is not an answer to a complaint, and it should not be approached in the same way. Candor, remorse, and mitigating factors are equally, and often more, important than contesting the facts alleged. With an appropriate response, lesser discipline may sometimes be offered before the formal complaint process begins, keeping the matter out of the public record, or the matter can even be dismissed where appropriate.

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