The New Jersey Constitution endows the judiciary with exclusive jurisdiction over the practice of law. N.J. Const. art. VI, § 2, ¶ 3. Among other things, the Supreme Court sets the standard for admission to practice law in New Jersey, regulates attorney conduct, promulgates ethical guidelines for the practice of law, adjudicates attorney disciplinary infractions, and sanctions attorneys who violate their professional and ethical responsibilities. Attorneys admitted to the bar are required to take an oath to abide by the Rules of Professional Conduct (“RPCs”). Nevertheless, ethics grievances, formal complaints, and disciplinary actions are realities that some attorneys will face during their careers—whether the allegations stem from genuine concerns or are driven by improper motives. Regardless of the source or substance of the grievance, however, the process should never be taken lightly. The outcome can affect an attorney’s license, reputation, and livelihood.
Oversight of Attorney Discipline
Under the Supreme Court’s supervision, District Ethics Committees (“DECs”)—made up of volunteer attorneys—investigate most misconduct allegations. The DECs operate with a clear mission: to protect the public and uphold confidence in the legal profession. This is accomplished, in part, through the investigation of allegations of attorney misconduct raised in grievances that may be filed by anyone. Once filed, a grievance is then assigned to the appropriate DEC. Subject to limited exceptions set forth in the rules of court, the DEC then determines whether to decline, defer, or docket the matter for investigation.
- Declined: If, even when taken as true, the allegations would not constitute an ethics violation.
- Deferred: Typically due to related pending litigation where the facts alleged do not clearly demonstrate ethical violations or do not present a substantial threat of imminent public harm.
- Docketed: A formal investigation begins, and the attorney (“Respondent”) is required to submit a written response.
The investigative process typically involves interviews with all relevant parties and a review of key documentation including exhibits and submissions by the parties. Once complete, the assigned investigator prepares a detailed report recommending either dismissal or formal charges. If ethical misconduct can be proven by clear and convincing evidence, a formal complaint is filed, and the matter becomes public. In cases involving minor misconduct, diversion—an alternative to formal discipline—may be available.
Grievances Cannot be Withdrawn
Once docketed, a grievance cannot be voluntarily withdrawn even if the grievant becomes uncooperative or makes such a request. The other side to this is that attorneys are prohibited from attempting to influence the withdrawal of a grievance filed against them. See In re Levin, 193 N.J. 348 (2008) (admonition imposed on attorney who contacted the grievant’s son and convinced him to obtain his mother’s withdrawal of her grievance; attorney also wrote a letter to the grievant containing threats of lawsuits and court-ordered psychiatric examinations; those threats frightened the grievant into withdrawing her allegations). Attorneys also may not condition a settlement or the resolution of a matter on the promise not to file or to dismiss a grievance. In In re Welch, 208 N.J. 377 (2011), an attorney received a reprimand for attempting to shield himself from an ethics grievance by including a provision in the parties’ property settlement agreement whereby the wife “waive[d] and forever relinquishe[d]” any ethics grievance against the attorney or his firm as the result of the improper release of the escrowed funds.
Best Practices When Facing a Grievance
An ethics grievance can be stressful, but attorneys can protect themselves by following a thoughtful, strategic approach:
- Stay Calm and Objective
The filing of a grievance does not imply wrongdoing. Avoid defensive or impulsive reactions. - Retain Experienced Ethics Counsel
Attorneys are both allowed and encouraged to seek counsel with expertise in ethics matters to help defend against a grievance. Additionally, coverage for defense in disciplinary matters is frequently available in malpractice insurance policies and such a filing should be immediately reported as a claim with your carrier. - Respond Fully and Honestly
Include all relevant documentation and a detailed factual account of the matter. Engagement letters, emails, and client communications should be preserved and used if they support the response. A well-maintained client file can be a powerful defense tool. - Be Professional at All Times
Communications with investigators and the DEC must be respectful and appropriate. The tone and content of your responses reflect your professionalism and may influence the outcome. Inflammatory or dismissive language can lead to additional violations under the RPCs. - Maintain Proper Documentation
Inadequate record-keeping, including the absence of a written fee agreement, may result in separate rule violations, even if unrelated to the original grievance.
The Bottom Line
The attorney disciplinary process in New Jersey is not punitive for its own sake—it exists to protect the public and maintain the integrity of the legal profession. Attorneys should be proactive in understanding the process before facing allegations of misconduct. Those who approach the process with seriousness, preparation, and professionalism are better equipped to protect their careers and uphold the values of the legal community.
Reprinted with permission from the May 1, 2025 edition of The Legal Intelligencer © 2025 ALM Global Properties, LLC. All rights reserved. Further duplication without permission is prohibited, contact 877-256-2472 or reprints@alm.com.