New Jersey Attorney Ethics Investigations – The “Ten-Day Letter”

March 16th, 2022 by admin Leave a reply »

You have just received a “ten day” letter from the NJ Attorney Ethics Committee. Someone has filed a grievance against you, and you are now a respondent in an Ethics matter. A person identifying herself as an Investigator for the Attorney Ethics Committee has given you ten days in which to reply in writing and to provide certain records and documents. Perhaps the grievant was a client or a former client. Perhaps it was an adversary. Hopefully, it was not a judge. You are instructed to cooperate with the investigation.

At this point, you should review your E & O coverage, specifically the notice requirements and terms of coverage. As required, advise your E & O carrier of the pending investigation. Not only may they provide counsel for you in an appropriate case, but your failure to advise them may result in forfeiture of coverage in a potential malpractice suit down the line. With or without insurance, you don’t have much time to respond Ethics.

Intuition says you should exercise your right to remain silent; practice tells you to try to forestall the investigation. Should you cooperate with your prosecutors? Suppose you believe that your documents may actually result in the filing of criminal charges against you? What if the investigator asks you questions whose truthful answers would be an admission of crime. Can they make you testify? What can they do if you don’t? What about the Fifth Amendment?

There are a few facts you should know. The Office of Attorney Ethics (OAE), under the state Supreme Court, is responsible for attorney discipline in New Jersey. It investigates all grievances against all attorneys. If the OAE decides that your case requires immediate attention, or if you happen also to be a defendant in criminal proceedings, the ethics case may be handled directly by the OAE in Trenton. In such a case, the Investigator who contacted you is probably a paid professional. Sometimes, the case originates “automatically” when an Attorney Trust Account check bounces. Those cases, too, are generally handled out of Trenton. It is not often clear from the first letter or phone call.

Most grievances, however, are investigated by the District Ethics Committees, (DEC), whose investigators are attorney volunteers in districts around the state. Following its investigation, the DEC will determine whether discipline may be required. If so, a formal Complaint will be filed. Other times, the grievance is dismissed. Sometimes, in minor cases, you may be offered diversion, a non-disciplinary, conditional resolution of the case. In all cases, you ultimately have the right to a full evidentiary hearing on the charges.

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