Panic might be the first reaction any lawyer has when faced with an investigation by their state bar association, but that panic could be what puts them in hotter water if it leads them to mishandle a complaint.
In 2022, Florida lawyer Matt Shirk was suspended for one year with proof of rehabilitation for inappropriate workplace behavior. During his suspension, Shirk filed immigration documents. Perhaps out of panic, he later claimed to have forgotten to remove his name from three client files in a “complete oversight.” As a result, the Florida Supreme Court held Shirk in contempt and disbarred him earlier this year.
Shirk’s scenario is a perfect example of how a far-from-ideal situation can get even worse if an attorney continues to practice while disciplined, whether inadvertently or not. A disciplined attorney can cause reputational damage to the firms they represent, not to mention their actions can lead to insurance premium increases. Law firm leadership should ensure their attorneys know how to not only remain calm in the case of a complaint, but also to navigate those complaints and any possibly resulting discipline coming down to protect their careers and the entire business.
Preparing for the worst
A complaint made against an attorney, or an investigation is no reason to panic, but law firms should ensure their attorneys are prepared to handle it correctly. Situations like Shirk’s demonstrate how serious the courts take alleged attorney malfeasance during a period of discipline and the need for law firms to prepare their attorneys.
- Educate attorneys: Attorneys should be familiar with the American Bar Association’s (ABA) Model Rules of Professional Conduct including Rule 27 which outlines the Model Rules for Lawyer Disciplinary Enforcement. While requirements might vary by state, Rule 27 explains who must be notified, the duty to maintain records, returning client property, withdrawing representation and more. Attorneys should also understand how the firm approaches disciplinary action and the protocols they will be required to follow should they fall into that situation.
- Keep open lines of communication: Fostering a communicative environment can encourage attorneys to be forthcoming when they have an issue, especially one that could impact the firm. Leadership should work to establish an environment that gives attorneys space to ask questions, collaborate with colleagues and air grievances. Similarly, leadership should maintain a line of communication with an insurance professional who specializes in the legal industry, especially when discipline does happen, to mitigate any impact it can have on insurance premium costs.
- Never turn a blind eye: When law firm leadership is made aware of a complaint,they should make certain they follow up with their attorney on the status of the investigation. In some cases, an attorney may not be permitted to practice law during an investigation. Law firm leadership should stay aware of their attorney’s Bar status. If they are not to be practicing law because of an investigation, suspension or disbarment, leadership should monitor any work completed to transfer or wrap up cases.
Looming disciplinary action can bring a dark cloud of doubt around an attorney, pushing them to panic and act against their best interest and their firms. Law firm leaders should prioritize helping their attorneys understand the disciplinary process, how to navigate it and what risks could be associated if they mishandle complaints.