Cecily Zamora
Attorneys are held to high standards of conduct and are expected to act with honesty and integrity at all times. A breach of these standards can result in serious sanctions, including suspension or revocation of their law license, also known as disbarment. While the specific rules vary by state, common reasons for an attorney to lose their law license include criminal offenses, particularly felonies, fraud, theft, negligence, substance abuse, and a consistent lack of attention to clients.
| Characteristics | Values |
|---|---|
| Criminal Offense | Felony or serious crime |
| Inaction | Intended to defraud clients |
| Violation | Rules of conduct in the jurisdiction |
| Lying | On bar application |
| Non-payment | Failing to pay bar dues |
| Non-completion | Failing to complete state-mandated continuing education requirements |
| Negligence | Failing to act on behalf of a client, failing to respond to court orders, ignoring client's attempts at contact, lying to a client about the status of a case |
| Misconduct | Forgery, fraud, theft of funds, violation of the professional code of ethics |
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What You'll Learn
Criminal convictions
Committing a criminal offence, especially a felony, can lead to a suspension or complete disbarment, depending on the severity of the crime. The state bar association or court will review any criminal conviction to determine whether it involved "moral turpitude", that is, whether the crime reflects a lack of honesty, trustworthiness, or moral fitness to practise law.
For example, a lawyer in California was recommended for disbarment when she married her elderly, ailing client for his fortune. This is because the attorney is expected to act in the best interest of the client and not take advantage of their vulnerability.
Additionally, attorneys are often responsible for holding client funds and awarded damages in a law firm trust. Using these funds for personal gain is a breach of the fiduciary duty owed to the client and can result in disbarment. Other financial misconduct includes theft of funds, which is considered a grave offence that can lead to disbarment.
In some states, the issuing agency may revoke a lawyer's license if they lied on their bar application, which demonstrates a lack of honesty and integrity from the outset of their legal career.
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Breaching fiduciary duty
A breach of fiduciary duty is a serious matter and can result in an attorney losing their law license. A fiduciary duty is an obligation of the highest order, requiring the fiduciary to act with the utmost good faith, loyalty, and care towards the beneficiary. In the context of the law, this relationship is synonymous with the attorney-client relationship, where the attorney must act in the best interests of their client.
When an attorney breaches their fiduciary duty, they put their interests before those of their client. This can take several forms, including conflict of interest, self-dealing, negligent management, or poor record-keeping. For example, an attorney may gain personal profit from their fiduciary role, fail to properly handle their client's assets, or not maintain accurate records. In one instance, an attorney married her ailing, elderly client for his fortune, which led to a recommendation for disbarment.
To prove a breach of fiduciary duty, four elements must be established: the existence of a fiduciary duty, a breach of that duty, injury to the plaintiff, and a causal link between the breach and the injury. The plaintiff must demonstrate that the attorney was acting as their fiduciary and that the attorney breached this duty by acting in their self-interest.
The consequences of a breach can be severe, and a fiduciary who acts in their own self-interest may face civil or criminal liability. In some cases, a third party who knowingly participates in the breach may also be held jointly and severally liable, even if they do not owe a fiduciary duty to the plaintiff.
While the business judgment rule protects fiduciaries from wrong decisions made in good faith, attorneys can lose their licenses for extremely grave offenses that indicate a lack of honesty, trustworthiness, or moral fitness to practice law. Breaching fiduciary duty falls under this category, as it involves a violation of the attorney's duty to act in the client's best interests.
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Professional misconduct
- Breach of Fiduciary Duty: Attorneys have a fiduciary duty to act in the best interests of their clients. This includes properly representing their clients, responding to court orders, communicating with clients, and handling client funds with integrity. Using client funds for personal gain or lying about the status of a case to defraud a client are serious breaches of fiduciary duty and can result in suspension or disbarment.
- Negligent Behaviour: Failing to act on behalf of a client, ignoring court orders, or neglecting client communication can be considered negligent behaviour. Repeated or consistent negligence can indicate a lack of attention to clients, which is a form of professional misconduct.
- Criminal Offenses: Committing a felony or any serious crime can lead to suspension or disbarment. The state bar association or court will review the criminal conviction to determine if it involves "moral turpitude," meaning it reflects negatively on the attorney's honesty, trustworthiness, or moral fitness to practice law.
- Violation of Professional Ethics: Attorneys are expected to uphold the rules of professional conduct and ethical standards at all times. This includes avoiding any pattern of behaviour that violates the professional code of ethics, such as forgery, fraud, theft, or a consistent lack of honesty.
- Substance Abuse: Alcoholism or drug abuse that affects an attorney's ability to practice law can be considered professional misconduct. This is because substance abuse can impair an attorney's judgment, competence, and ability to effectively represent their clients.
- Failure to Comply with Professional Requirements: In some states, an attorney may lose their license for failing to pay bar dues or complete mandatory continuing education requirements. This demonstrates a failure to maintain the professional standards necessary to practice law.
It is important to note that the consequences for professional misconduct can vary depending on the severity of the allegations and the jurisdiction in which the attorney practices. Less severe sanctions, such as probation, reprimand, or temporary suspension, may be imposed before considering disbarment, which is typically reserved for the most grave and irreparable offenses.
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Lying on bar applications
In the United States, each state and territory requires applicants to the bar to pass a character and fitness check before receiving a license to practice law. The purpose of this process is to prevent those with histories of unethical conduct from becoming lawyers and to minimize the risk of harm to the public. While it is statistically rare for bar admission to be denied on these grounds, it is important for applicants to be honest and clear about their past challenges, taking responsibility and showing that they have made any necessary changes.
Lying or being misleading on a bar application is a serious offense and can result in delays or even denial of an application. In some states, the issuing agency may revoke a lawyer's license if they are found to have lied on their bar application. This is because lying on a legal application indicates a lack of honesty, trustworthiness, and moral fitness to practice law, which are essential qualities for an attorney.
The character and fitness check for bar admission typically involves a thorough background check, including driving records, military service records, employment history, and prior applications to the bar. Applicants may also be required to disclose any mental or emotional conditions that could impact their ability to practice law and provide details of treatment. Additionally, references from individuals with professional licenses and ethical obligations, such as professors, internship supervisors, and fellow law students, are often considered more strongly than those from family or friends outside the legal profession.
It is important for applicants to seek assistance when completing their character and fitness application, especially if they have any criminal history, major financial issues, or addictions. While full disclosure is crucial, some jurisdictions may view applicants with mental health conditions who are actively receiving treatment more favorably for admission. Overall, the key to successfully navigating the character and fitness check is honesty and transparency, as lying or omitting information on a bar application can have serious consequences, including the potential loss of a law license.
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Failure to pay dues or complete education requirements
An attorney's license is a "ticket to ride", and losing it is the most severe professional penalty possible. In that case, a lawyer can no longer practice law in their jurisdiction. While grave offenses can result in this sanction, courts and bar associations may also punish lesser offenses with penalties such as private or public reprimands and temporary suspension.
One reason for an attorney to lose their license is a failure to pay bar dues or complete state-mandated continuing education requirements. This is in addition to violations of rules of conduct, theft, fraud, or malfeasance. For example, a client who gives an attorney money to perform legal services is entitled to a complete refund if no services are forthcoming. If the lawyer pretends to have done work to justify not returning the retainer, they are acting to defraud the client, and this may be grounds for disbarment.
The American Bar Association (ABA) states that a lawyer convicted of a felony or serious crime is at risk of being disbarred. The state bar association or court will review any criminal conviction to determine whether it involved "moral turpitude", or whether it was a criminal act that reflected dishonesty, trustworthiness, or moral fitness to practice law.
While professional legal standards vary by state, disbarment is an option when an attorney is guilty of theft, fraud, or malfeasance. In some states, the issuing agency revokes a lawyer's license if they lied on their bar application.
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Frequently asked questions
Disbarment is the most severe sanction for attorney misconduct and involves the removal of an attorney's license to practice law.
Disbarment may occur due to a felony, forgery, fraud, a history of dishonesty, theft of funds, or any pattern of violation of the professional code of ethics.
Yes, an attorney may face license suspension for a predetermined period, based on the severity of the allegations. Probation may also be imposed, limiting the attorney's ability to practice law.
Yes, an attorney who fails to pay bar dues or complete state-mandated continuing education requirements may lose their license.
