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Prof Responsibility • Self Reporting
PR#086
Legal Definition
In California, lawyers are required to report themselves to the State Bar when: (1) they are sued for malpractice 3 times within 12 months; (2) found civilly liable for fraud, breach of fiduciary duty or the like; (3) sanctioned more than $1,000 (except for discovery sanctions); (4) charged with a felony; (5) convicted of certain serious crimes; or (6) disciplined in another jurisdiction.
Plain English Explanation
In California, lawyers have a duty to report themselves to the State Bar in six situations:
(1) Malpractice lawsuits: If a lawyer is sued for malpractice three times within a 12-month period, they must report this to the State Bar. This rule aims to identify patterns of potential negligence or incompetence.
(2) Civil liability for fraud or breach of fiduciary duty: Lawyers found civilly liable for fraud, breach of fiduciary duty, or similar misconduct must self-report. This covers serious breaches of professional ethics and client trust.
(3) Substantial sanctions: Any sanctions over $1,000 imposed on a lawyer must be reported, except for discovery sanctions. This helps flag significant bad behavior in legal proceedings.
(4) Felony charges: Lawyers must report if they are charged with any felony. Criminal charges at this level could indicate unfitness to practice law.
(5) Convictions for serious crimes: Certain criminal convictions, particularly those involving <moral turpitude>, must be reported as they directly relate to a lawyer's character and fitness.
(6) Discipline in other jurisdictions: If a lawyer is disciplined for professional misconduct in another state or jurisdiction, they must report this to the California State Bar. This ensures that misconduct doesn't go unnoticed when lawyers practice across state lines.
(1) Malpractice lawsuits: If a lawyer is sued for malpractice three times within a 12-month period, they must report this to the State Bar. This rule aims to identify patterns of potential negligence or incompetence.
(2) Civil liability for fraud or breach of fiduciary duty: Lawyers found civilly liable for fraud, breach of fiduciary duty, or similar misconduct must self-report. This covers serious breaches of professional ethics and client trust.
(3) Substantial sanctions: Any sanctions over $1,000 imposed on a lawyer must be reported, except for discovery sanctions. This helps flag significant bad behavior in legal proceedings.
(4) Felony charges: Lawyers must report if they are charged with any felony. Criminal charges at this level could indicate unfitness to practice law.
(5) Convictions for serious crimes: Certain criminal convictions, particularly those involving <moral turpitude>, must be reported as they directly relate to a lawyer's character and fitness.
(6) Discipline in other jurisdictions: If a lawyer is disciplined for professional misconduct in another state or jurisdiction, they must report this to the California State Bar. This ensures that misconduct doesn't go unnoticed when lawyers practice across state lines.
Hypothetical
Hypo 1: Bob, an attorney, is sued for malpractice by three separate clients within a 10-month period. Each lawsuit alleges that Bob negligently failed to file important court documents on time, resulting in dismissed cases. Bob, embarrassed by the situation, decides not to report the lawsuits to the State Bar, hoping they'll be settled quietly. Result: Bob has violated his duty to self-report to the California State Bar. The rule requires attorneys to report being sued for malpractice three times within a 12-month period, regardless of the merits of the lawsuits or their eventual outcome. Bob's failure to report, even if motivated by embarrassment rather than intentional concealment, is itself an ethical violation.
Hypo 2: Sam, Bob's client, wins a $2 million judgment against a corporation in a fraud case. However, the corporation successfully appeals and files a separate civil lawsuit against Bob for breach of fiduciary duty related to his handling of settlement funds. The court finds Bob civilly liable for the breach. Bob, believing the judgment is unfair, decides not to report it to the State Bar. Result: Bob has violated his duty to self-report. The rule requires reporting when a lawyer is found civilly liable for fraud, breach of fiduciary duty, or similar misconduct. The fact that Bob disagrees with the judgment does not negate his duty to report this finding of civil liability.
Hypo 3: During a contentious litigation, the judge imposes a $1,500 sanction on Bob for making frivolous arguments in his brief. Bob, believing the sanction is unwarranted, decides not to report it to the State Bar. Result: Bob has violated his duty to self-report. The rule requires reporting of any sanctions over $1,000, with the only exception being discovery sanctions. The fact that Bob disagrees with the sanction or that it arose from zealous representation does not negate his duty to report.
Hypo 4: Bob is arrested and charged with felony tax evasion related to his personal finances. Believing the charges are unfounded and will be dropped, he does not report the matter to the State Bar. Six months later, the charges are indeed dismissed. Result: Bob has violated his duty to self-report. The rule requires reporting of felony charges, regardless of their ultimate outcome. The fact that the charges were later dismissed does not excuse Bob's failure to report when he was initially charged.
Hypo 5: Bob, who is licensed in both California and Nevada, is disciplined by the Nevada State Bar for failing to communicate with his client in a Nevada case. Bob, thinking the discipline is minor and unrelated to his California practice, does not report it to the California State Bar. Result: Bob has violated his duty to self-report. Attorneys must report any professional discipline imposed in other jurisdictions, regardless of the perceived severity or relevance to their California practice. This ensures that the California State Bar is aware of potential issues affecting a lawyer's fitness to practice, even if they occur in another state.
Hypo 2: Sam, Bob's client, wins a $2 million judgment against a corporation in a fraud case. However, the corporation successfully appeals and files a separate civil lawsuit against Bob for breach of fiduciary duty related to his handling of settlement funds. The court finds Bob civilly liable for the breach. Bob, believing the judgment is unfair, decides not to report it to the State Bar. Result: Bob has violated his duty to self-report. The rule requires reporting when a lawyer is found civilly liable for fraud, breach of fiduciary duty, or similar misconduct. The fact that Bob disagrees with the judgment does not negate his duty to report this finding of civil liability.
Hypo 3: During a contentious litigation, the judge imposes a $1,500 sanction on Bob for making frivolous arguments in his brief. Bob, believing the sanction is unwarranted, decides not to report it to the State Bar. Result: Bob has violated his duty to self-report. The rule requires reporting of any sanctions over $1,000, with the only exception being discovery sanctions. The fact that Bob disagrees with the sanction or that it arose from zealous representation does not negate his duty to report.
Hypo 4: Bob is arrested and charged with felony tax evasion related to his personal finances. Believing the charges are unfounded and will be dropped, he does not report the matter to the State Bar. Six months later, the charges are indeed dismissed. Result: Bob has violated his duty to self-report. The rule requires reporting of felony charges, regardless of their ultimate outcome. The fact that the charges were later dismissed does not excuse Bob's failure to report when he was initially charged.
Hypo 5: Bob, who is licensed in both California and Nevada, is disciplined by the Nevada State Bar for failing to communicate with his client in a Nevada case. Bob, thinking the discipline is minor and unrelated to his California practice, does not report it to the California State Bar. Result: Bob has violated his duty to self-report. Attorneys must report any professional discipline imposed in other jurisdictions, regardless of the perceived severity or relevance to their California practice. This ensures that the California State Bar is aware of potential issues affecting a lawyer's fitness to practice, even if they occur in another state.
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