The Grievance Committees in New York State have wide-ranging powers to investigate allegations of attorney misconduct. 22 NYCRR § 1240.7 (b) authorizes the Committee to, among other things, interview witnesses, and direct a respondent to provide a written response to the complaint and produce records. The Committee is also authorized to apply to the Clerk of the Court for subpoenas to compel a respondent or witness to appear for an examination under oath, and to produce relevant books and papers. However, 22 NYCRR § 1240.7 (b) (4) also authorizes the Committee to “take any other action deemed necessary for the proper disposition of a complaint.”
Once an investigation is commenced against an attorney, they are subject to the Committee’s full investigatory powers, regardless of the validity of the underlying complaint. This can be particularly frustrating in dishonored check investigations. Even if there is a simple explanation for the bounced check, the Committee will still investigate any additional issues that come to light during its review of the lawyer’s escrow records.
Failing to cooperate with the Committee can have immediate consequences. 22 NYCRR § 1240.9 (a) provides that an attorney may be suspended on an interim basis upon a finding by the Court that the attorney has “engaged in conduct immediately threatening the public interest.” Such a finding may be based upon the attorney’s “failure to comply with a lawful demand of the Court or a Committee in an investigation or proceeding under these Rules.”
In addition, Courts have held that the failure to comply with a lawful demand of the Committee is both a violation of Rule 8.4 (d) (conduct prejudicial to the administration of justice) and Rule 8.4 (h) (any other conduct that adversely reflects on the lawyer’s fitness as a lawyer). As a result, even in matters where the underlying allegations prove to be unfounded, an attorney who failed to cooperate during the investigation can still be subject to discipline.
Attorneys facing a grievance investigation should take the process seriously and cooperate fully with the Grievance Committee’s demands. Failure to do so can not only exacerbate the situation but may lead to additional charges that could otherwise be avoided. Ethics counsel can be vital to navigating the disciplinary process and protect your professional standing.