ETHICAL CONSIDERATIONS IN FAMILY LAW CASES

by Joseph A. Corsmeier 

 

I.    HOW TO AVOID (OR MINIMIZE THE IMPACT OF) A BAR COMPLAINT

      A.        COMMON BASES FOR COMPLAINTS BY CLIENTS:

                 1.    Procrastination/neglect 

                 2.    Failure to communicate the parameters and/or progress of the matter.

                 3.    Failure to return telephone calls and/or provide status reports.

                  4.    Disputes over fees and/or costs expended by attorney.

                 5.    Adverse ruling by the judge - lost the case (or by opposing party if you obtain ruling in favor of the client)

                6.     Multiple representation becomes adversarial (i.e. husband and wife in “uncontested dissolution").

                 7. Failure to provide accounting of fees and costs.

                8.    Retaining lien on client file for unpaid fee after withdrawal.

      B.        TIPS FOR MINIMIZING OR ELIMINATING BAR COMPLAINTS/GRIEVANCES

1.         Screen your clients, ask questions: were they previously represented?  If so, why did representation end?  Consider contacting previous attorney.

2.         Thoroughly explain parameters of the representation from the inception - set ground rules - remember, you are the attorney.  Do not guarantee results!

3.         Prepare written contract for representation which outlines parameters and fees and costs (written contract is required when fee is contingent).

4.         Return telephone calls - instruct support staff to return to routine, non-legal inquires from clients.

5.         Document all action taken on the matter - instruct support staff to document all action taken, including communication with the client.

6.         Keep accurate and contemporaneous time records - even if it is a contingent fee - this will provide evidence of work performed on the case if a complaint is later filed (or at a later fee hearing).

7.         Do not argue with the client - you are the attorney.

                                    8.         Always respond truthfully to client inquiries - even if it is embarrassing.

9.         Develop and implement office procedures to insure compliance with Bar rules.

10.       If hourly fee, send monthly billings on fees and costs - always advise client of large expenses prior to expending them.  If the fee is contingent, send periodic status reports, if feasible - at a minimum, respond to client requests for information.

11.       Be aware of potential problems and correct them early, even if you have to withdraw from representation to correct the problem.

12.       When in doubt, consult the rules and/or ethics counsel in Tallahassee for advice.

II.      WHAT TO DO IF (WHEN) IT HAPPENS: HOW TO RESPOND TO

            INQUIRY/COMPLAINT

     A.        INITIAL RESPONSE TO BAR ATTORNEY

1.         Rules require an initial response to Inquiry. 

                                    (a)       be truthful - do not dissemble or withhold information.

                                    (b)       be accurate and complete - do not rely on your memory.

                                    (c)       resist the urge to attack the complainant, the disciplinary process, or bar counsel who sends you notice of the complaint.

                                    (d)       respond only to issues raised - do not open "pandora's box".

                                    (e)       be non-argumentative - this is the initial information gathering stage of the process and is not intended to be adversarial.

                                    (f)        include corroborative information - affidavits, documents, etc, if necessary.

                                    (g)       consider making proposal for alternative dispute resolution such as mediation, fee arbitration, diversion and ethics school - all can be implemented by bar counsel.

                        2.         Communicate with bar counsel handling complaint.

                        3.         Representation of client/complainant - should it continue?

                        4.         Practical and ethical concerns in responding to complaint.

                                    (a)       disclosure of privileged and/or confidential information.

                                    (b)       disclosure of information prejudicial to client's interests.

                                    (c)       admissions against interest - future civil or criminal proceedings.

                                    (d)       response becomes public record after dismissal of grievance proceedings.

                        5.         Bar counsel has four (4) months to decide whether to sent to grievance committee - bar policy, not jurisdictional.

                        6.         Options prior to referral to grievance committee.

                                    (a)       mediation and dismissal

                                    (b)       diversion and ethics school - dismissal

                                    (c)       dismissal by Bar counsel

                                    (d)       admission of minor misconduct

            B.        GRIEVANCE COMMITTEE

                        1.         A referral to a grievance committee is not a finding of guilt - means that bar counsel has decided that the matter warrants further investigation by committee.

                        2.         Communicate with chair of committee, investigating member, and bar counsel if there is undue delay or other problems - grievance committees have six (6) months to decide case - bar policy, not jurisdictional.

                        3.         Request meeting with investigating member to discuss and review file, if necessary.

                        4.         If non-lawyer investigating member - communicate with chair and bar counsel if non-lawyer has a lack of understanding of the law and/or issues.

                        5.         If hearing scheduled, it maybe evidentiary or paper hearing - may request an evidentiary hearing, but same is not required.

                        6.         Grievance committee options:

                                    (a)       mediation and dismissal

                                    (b)       diversion and ethics school - dismissal

                                    (c)       no probable cause (with or without letter of advice)

                                    (d)       admission or finding of minor misconduct

                                    (e)       finding or waiver of probable cause

            C.        REFEREE AND SUPREME COURT

                        1.         Referee is assigned - judge from adjoining circuit

                        2.         De novo proceeding from grievance committee

                        3.         Bar must prove violations by clear and convincing evidence.

                        4.         Proceedings are adversarial - quasi-judicial, administrative and informal.

                        5.         Discovery is available.

                        6.         Rules of evidence are not strictly applied - hearsay is admissible unless irrelevant or unreliable.

                        7.         Referee makes findings of fact, conclusions of law, and recommends discipline, if guilty.

                        8.         Either party may petition for review of referee's findings and discipline -  factual findings are presumed correct unless there is no support in record

                        9.         Supreme Court issues final opinion on discipline.