STATE OF VERMONT
PROFESSIONAL RESPONSIBILITY PROGRAM
INFORMATION CONCERNING:
COMPLAINT PROCEDURES
AND
DISCIPLINE OF ATTORNEYS
-
Filing A Complaint
-
The Purpose
of Discipline
-
Investigation
and hearing
-
Discipline of
Attorneys
-
Confidentiality
-
What You May Expect
-
What You
Should Not Expect
-
Fee Disputes
This information is for the use of persons who wish to make or have made a
complaint about an attorney. Please read it carefully. It explains the
procedures and is designed to prevent misunderstandings.
A complaint is filed by submitting a letter setting forth the facts upon
which the complaint is based. No special format or language is necessary, but
the letter should be legible and factually complete, and include your telephone
number and address. Give as many specifics of the matter as will reasonably
inform the reader of the misconduct alleged. If necessary or appropriate, attach
copies of any documents, letters, or other materials that pertain to or
substantiate the complaint. Please do not send originals as they will not
be returned after the complaint is closed. Send the letter to:
Office of Disciplinary Counsel
Professional Responsibility Program
32 Cherry Street - Suite 213
Burlington, Vermont 05401-7305
NOTE: Please include a daytime telephone
number where you can be reached.
The reason for the discipline of an attorney for misconduct is to protect the
public and deter further violation of ethical standards. Discipline is imposed
according to Supreme Court
Administrative Order 9 when Disciplinary Counsel proves by clear and
convincing evidence that a lawyer has violated the Rules of Professional Conduct.
The lawyer disciplinary system is administered through the Professional
Responsibility Board, a group of seven volunteers appointed by the Supreme
Court. Three of the appointees are members of the bar, one is a judge and three
are members of the public.
In addition to discipline, the Vermont Supreme Court had authorized the Board
to establish assistance panels for the purpose of providing prompt resolutions
of complaints by means other than discipline.
The complaint is first screened by Counsel, who is employed by the
Professional Responsibility Board to promptly respond to each complaint from
members of the public or Bar. Counsel will decide whether to send the complaint
to an assistance panel for non-disciplinary resolution, to refer the matter to
Disciplinary Counsel for a formal investigation, or to dismiss the complaint.
In the event Bar Counsel dismisses the complaint during the screening process,
the complainant has a right to seek individual review of that decision from the
chairman of the Professional Responsibility Board.
If Counsel refers the matter to a Non-Disciplinary Assistance Panel, an
assistance panel may meet with the person filing the complaint and the attorney.
After such a meeting, the panel, with the concurrence of the attorney, may
impose conditions as an alternative to discipline. Examples of the potential
conditions that may be imposed are participation in law office management
training, counseling, or referral to a fee arbitration panel.
If Counsel refers the matter to Disciplinary Counsel, Disciplinary Counsel
will investigate the matter to discover if a violation of the Vermont Rules of
Professional Conduct may have occurred. Except in unusual cases, the attorney
against whom the complaint is filed is given a copy of the complaint and asked
to respond to the allegations. The response and other information gathered
during the investigation is confidential.
If prosecution is warranted, Disciplinary Counsel reports the results of the
investigation to a Hearing Panel. If the Hearing Panel finds that there is
probable cause to believe that a violation of the Vermont Rules of Professional
Conduct has occurred, Disciplinary Counsel may bring formal charges. If
formal charges are filed, the proceedings become public.
A formal hearing will be held after the filing of formal charges.
Disciplinary Counsel will inform the complainant of the date and place of the
hearing. Disciplinary Counsel shall have the burden of proving the alleged
violations by clear and convincing evidence. The Hearing Panel's written order
is final, unless appealed by Disciplinary Counsel or the charged lawyer. The
Vermont Supreme Court can also initiate its own review.
Discipline of attorneys in Vermont may take one of seven forms depending upon
the particular circumstances and the severity of the offense:
- Admonition by Disciplinary Counsel before formal charges; or
- Admonition by a hearing panel imposed after formal charges are filed; or
- Public Reprimand by publication in the Law Reporter and newspaper; or
- Probation, which may be imposed only in conjunction with another sanction;
or
- Reimbursement of fees or monies collected by the lawyer, when ordered in
conjunction with another sanction; or
- Suspension, for a period not exceeding three years; or
- Disbarment, in which case the lawyer is not eligible for readmission for
at least five years.
All proceedings before the Professional Responsibility Program are
confidential until formal charges are served upon the attorney. Once formal
charges are served upon the attorney the record of the proceeding becomes
public.
- You may expect that the Vermont Supreme Court and the Professional
Responsibility Program will be genuinely concerned about your complaint. It
will receive full attention.
- You may also be called as a witness to testify under oath if a formal
hearing is held on your complaint.
- The procedures involved will take time and in some instances, because of
the complexity of facts, this period of time can be several months to several
years.
- You may further expect to be notified as to the level of discipline
imposed by the Hearing Panel or by the Court when proceedings on your
complaint have been concluded.
- You should not expect to receive status reports as to the progress of the
investigation. As a complainant, you are not a party to a disciplinary
action; you are a witness in the proceeding.
- You should not expect to receive any money damages. If the complaining
party believes money damages may be in order he/she should consult with an
attorney about other legal rights that he/she may be entitled to pursue.
- You should not expect to receive individual legal advice from the
Professional Responsibility Program.
Complaints from persons questioning the charges of an attorney are ordinarily
not a basis for discipline, because in the usual case they do not involve
questions of ethics or professional conduct.
Most fee disputes result from a lack of understanding by the client of how an
attorney charges for his/her services. Frequently, the attorney may be at fault
because of his/her failure to inform the client adequately concerning his/her
fee. We all understand that clients are often reluctant or embarrassed to
discuss fees with their attorney. They should not be, and such conversation and
discussion is wholeheartedly encouraged.
Where the attorney and the client are unable to reach an understanding
relative to legal fees, the matter, like any other dispute over the values of
goods or services, may be resolved by court action.
In addition, the Vermont Bar Association has an Arbitration of Fee Dispute
Committee. The Committee has the authority to arbitrate a complaint formally if
both parties agree in writing. The result is enforceable in court. If either
parties does not agree to arbitration, then the Committee will proceed to
determine at least whether the fee charged is reasonable or unreasonable in
amount.
To file a complaint with the Arbitration of Fee Complaints Committee,
contact:
Joseph J. O'Dea
P.O. Box 286
Manchester, VT 05254
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