Missouri Lawyer Discipline System
Clients have a right to expect a high level of professional service from their
lawyer. In Missouri, lawyers follow a code of ethics -- known as the Rules of
Professional Conduct -- which guides their practices and their relationships with
clients. When lawyers fail to meet the ethical standard, they are subject to
disciplinary action.
Contrary to common belief, it is the Supreme Court of Missouri -- not The
Missouri Bar -- which is in charge of the state’s lawyer discipline system. In order
to protect the public, the Supreme Court oversees a mechanism for investigation
and, where necessary, discipline of lawyers who fail to meet their professional
obligations. Examples of misconduct which may draw disciplinary action are: failing
to respond to reasonable inquiries and keep the client informed, failure to perform
agreed upon duties, delay, etc.; embezzlement of funds entrusted to a lawyer by
or for a client; conflict of interest; and improper advertising.
Who Investigates Complaints
- Office of Chief Disciplinary Counsel -- This office was established by the
Supreme Court of Missouri to investigate ethical complaints against lawyers.
This office is not funded by tax money. It is funded through Missouri attorney
enrollment fees.
- Regional Disciplinary Committees -- These are local committees composed of
both local lawyers and non-lawyers are authorized to investigate ethical
complaints against lawyers. These committees investigate complaints sent to
them by the Chief Disciplinary Counsel or the Advisory Committee.
- The Advisory Committee -- This group, appointed by the Supreme Court and
also composed of both lawyers and non-lawyers, serves as the administrative
body for assigning cases to Disciplinary Hearing Panels. It also reviews
decisions made by the Office of Chief Disciplinary Counsel to close complaint files.
- Disciplinary Hearing Panel -- This panel of two lawyers and one non-lawyer is
selected from a larger panel appointed by the Supreme Court of Missouri. A
Disciplinary Hearing Panel hears evidence about allegations of lawyer
misconduct and recommends what discipline, if any, to impose.
- The Supreme Court of Missouri -- The State’s highest court has the authority to
review all decisions made by the Disciplinary Hearing Panels and impose
appropriate discipline on a lawyer.
The Complaint Process
Anyone who believes that a lawyer has engaged in unethical conduct may
file a complaint with the Office of Chief Disciplinary Counsel. The complaint will be
screened to determine whether the matter is the proper subject for a disciplinary
investigation. If not, the complaining person (the complainant) will be notified and
no file will be opened.
In some instances it is appropriate to refer the complainant to the Complaint
Resolution Program or Fee Dispute Resolution.
Once a file is opened, the complaint will be investigated by the Office of Chief
Disciplinary Counsel or by a Regional Disciplinary Committee. The investigation
may be entirely in writing, or it may involve telephone calls and personal interviews.
To assist in the investigatory process, the Chief Disciplinary Counsel has
authority to issue subpoenas for documents and witnesses to testify under oath.
Based on the results of the investigation, the Chief Disciplinary Counsel will
take one of the following three actions:
- Close the complaint file upon a finding that no violation occurred;
- Issue a written admonition (becoming part of the lawyer’s record) if it is
determined that a minor violation occurred; or
- File a legal document, called an Information, if it is believed that a serious
violation by the lawyer has occurred. The Information sets out the
charges being made against a lawyer. If this happens, there will be a
hearing at which a complainant may be required to testify.
The complainant will be notified of the action taken.
The Hearing Process
The Advisory Committee will assign the case to a Disciplinary Hearing Panel.
The Disciplinary Hearing Panel will hear evidence presented by the Chief
Disciplinary Counsel and any evidence submitted by the lawyer charged.
After this hearing, the Disciplinary Hearing Panel will decide whether a
violation of the Rules of Professional Conduct has occurred and recommend any
of the following actions:
- Dismissal of the case if it finds no violation has occurred;
- Written admonition (becoming part of the lawyer’s record);
- Private or public reprimand;
- Suspension or disbarment.
Review by the Supreme Court
The Supreme Court will review the recommendation of the Disciplinary
Hearing Panel. This may include the preparation of written briefs and oral
arguments. The Court then will impose appropriate discipline on the lawyer or
dismiss the case.
The Supreme Court also has the authority, if it so chooses, to review any
recommendation of the Disciplinary Hearing Panel, even if there has been no
appeal. The absence of such review, any non-appealed recommendation of the
Disciplinary Hearing Panel becomes final.
Special Procedures
A lawyer’s conviction of a criminal charge may also lead to disciplinary action
by the Supreme Court. The Court may issue an order to a lawyer who has been
found guilty of a felony, or certain misdemeanors, to show cause why he or she
should not be suspended from the practice of law pending the final disposition of the
criminal appellate process. This action may be taken even if no ethical complaint
has been filed against the lawyer.
