Questions & Answers About Filing A Complaint Against A Lawyer

Board of Governors

    
• issue a public reprimand against the lawyer;     
• suspend the lawyer's license to practice in Kentucky for a period of months or years; or     
• enter an order of disbarment prohibiting the lawyer from practing law in Kentucky.

Of course, the sanction to a particular case will depend on the nature of the misconduct and the surrounding circumstances.

The sanction only affects the lawyer's right to practice law. It is not a ruling that the lawyer is guilty of malpractice, or a decision in favor of any person making a claim against the lawyer. A disciplinary proceeding will not have any direct effect on the case in which the misconduct occurred.

If you believe a lawyer is guilty of professional misconduct, you should file a complaint with the KBA. The complaint must be in writing, but you can obtain a simple form to fill out by calling or writing the Office of Bar Counsel at the address shown on this brochure.

You should follow these guidelines when preparing a complaint:

• Go strait to the point and state exactly what the lawyer has done or failed to do which makes you believe the lawyer is guilty of misconduct.
• Concentrate on stating facts, not your impression or conclusions. For example, if you believe your lawyer has neglected your case, you should state what you know about the staut of the case and the work performed by your lawyer. It is not enough to allege that the case has been neglected.
• Attach copies of documents that support your account of the facts.
• Make sure the complaint is sworn and notarized before submitting it to the KBA. This is an official requirement of the Supreme Court Rules, so don't be surprised when the complaint is returned to you without any action if it is not sworn and notarized.

    
• Initial review and investigation. First, a staff attorney in the Office of Bar Counsel will review your complaint to determine whether the facts you have provided could consitute a case of professional misconduct if they are prove to be true.

      If your complaint does not present a case of professional misconduct, it will be returned to your or, if the KBA can help in another way, it may be referred to another office of the KBA.

      If your complaint does provide facts that may constitute professional misconduct, it will be forwarded to the lawyer for a response and will also be assigned to a staff attorney in the Office of Bar Counsel for analysis and investigation.

      

• Review by Inquiry Commission. After the staff investigation is complete, the case will be reviewed by an independent panel of three people (two lawyers and one non-lawyer), who are members of the Inquiry Commission.

      The Inquiry Commission is appointed by the Supreme Court to serve as a "grand jury" in disciplinary cases. It reviews the entire record of each complaint investigated by the Office of Bar Counsel. Based on the review, it will decide:

              
  • whether there is probable cause to believe that the lawyer is guilty of misconduct, and

                

  • if so, whether the violation is serious enough to justify a formal disciplinary charge.

  If the Inquiry Commission decides that a charge is not appropriate, it may dismissthe complaint, require additional investigation, or issue a letter of reproval, called a private admonition, to the attorney.

      

• Hearing by Trial Commissioner. If a charge is issued by the lawyer disputes your account of what occurred, an evidentiary hearing may be held. An attorney from the Office of Bar Counsel will present evidence in support of the charge, and may ask you to appear as a witness. The hearing is conducted by a Trial Commissioner, who reviews the evidence and renders a report with recommendations on how the case should be decided.

      

• Appeal to Board of Governors. If the Office of Bar Counsel or the respondent is not satisfied with the Trial Commissioner's recommendation, either may appeal the case to the Board of Governors of the KBA.

      

• Entry of Final Order by Supreme Court. After the case has passed through all of the necessary steps, the Supreme Court will issue an official order stating the terms of discipline, if any.

    
• You should expect that the disciplinary process will take time and, in some instances, a rather long period of time.     
• You should expect to provide any information requested by an attorney or investigator from the Office of Bar Counsel.     
• You should expect to be called as a witness to testify under oath at any formal hearing held on your complaint.     
• You should not expect any award of damages or reimbursement of loss as a result of the disciplinary proceeding.     
• You should not expect to receive legal advice from the Office of Bar Counsel.     
• You should not expect to be given detailed reasons for the final disposition of your complaint.

  Most of all, you can expect that the KBA will be genuinely concerned with your complaint, and will give your complaint full and prompt attention.

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