Questions & Answers About Filing a Complaint Against A Lawyer

What are Ethics Rules? The American legal system and the attorney-client relationship are founded on trust. Although few attorneys ever betray that trust, when a breach occurs, damage to individuals and the entire system may result. The lawyers of Kentucky and the Kentucky Supreme Court recognize that action should be taken to prevent unethical conduct and to restore confidence and trust should misconduct occur. To that end, the Kentucky Supreme Court has created ethics rules for all lawyers licensed to practice law in Kentucky to follow. These rules are called “The Kentucky Rules of Professional Conduct.”

What should I do if I think a lawyer has violated the rules? Lawyers who practice in Kentucky are required to abide by the ethics rules of the Supreme Court of Kentucky. If you think that your lawyer or another lawyer has committed an act that you believe is a violation of the ethics rules, you may report it to the KBA for an
investigation by filing a bar complaint. However, even if your complaint does not result in a charge of misconduct, it is still important that the matter is reported.

The KBA depends on the public to report possible ethics rule violations, otherwise, attorneys could continue to violate the ethics rules and harm future clients and possibly other members of the public, without being held accountable.

How do I file a Bar Complaint? A complaint must be a sworn written statement. The KBA cannot accept a complaint by telephone, email, or fax. A complaint can be hand written or typed. It must indicate the name of the attorney you are filing against, your name and address, and include your notarized signature. The KBA will not accept a copy of your signature. Our office does offer a complaint form you can use that lists all of the instructions for filing a complaint.
If you are a client of the lawyer against whom you are considering filing a bar complaint, KBA Consumer Assistance may be able to mediate the matter. Some issues regarding communication, providing file materials to the client, or providing an accounting of fees and expenses can sometimes be mediated without the need to file a bar complaint. If the matter cannot be mediated through Consumer Assistance, you will be sent a complaint form at your request.
 Tips for writing out your Bar Complaint:
・ First, review all of the complaint instructions on the complaint form. If you are not using our complaint form, the complaint instructions can be found on our website, or by contacting the Office of Bar Counsel.
・ Make it clear what it is that you think the lawyer did that you believe is unethical. You are not required to list specific rule numbers. You should explain the action the lawyer took that you think constitutes a violation of the rules.
・ Attach only documentation that you think is relevant to the ethical rule violation. It is not necessary to attach the entire case file. Attaching documents that have no relevance will only slow down the process of reviewing your complaint. Do not send your original documents with your complaint. The documents you send us will not be returned.
・ Each complaint is confidential. If you have a complaint against more than one lawyer, you must file a separate complaint for each. You should not make a specific reference in any complaint that you have filed a complaint against another lawyer, or your complaint will be returned to you.
・ The KBA staff cannot give you legal advice of any kind or tell you what legal action to take in your civil or criminal case, tell you what is or is not an ethical rule violation, or tell you that you should or should not file a bar complaint. Our office will not influence or deter you from filing a complaint.

Who reviews Bar Complaints against lawyers? The Office of Bar Counsel, acting as an agency of the Supreme Court, is responsible for investigating complaints against lawyers practicing in this Commonwealth. This office also prosecutes charges of ethical misconduct issued by the Inquiry Commission.

What will happen after I file a Bar Complaint? Your complaint will first go through an initial review to determine whether it alleges an ethical rule violation that we can investigate. Sometimes the complaint is dismissed without investigation because it does not allege an ethical rule violation that can be investigated, or assigned to an OBC attorney to conduct a preliminary review. You will be notified if your complaint is processed in this manner.

If your complaint is recommended for further investigation, it will be assigned to a lawyer in the Office of Bar Counsel. This lawyer will act as an investigator. The Bar Counsel lawyer does not represent either party in the matter. Your complaint will be forwarded to the lawyer that the complaint is against (now referred to as the Respondent) for a written response to the alleged violations. You will receive notification from the Disciplinary Clerk that your complaint is being forwarded to the Respondent for a response. You, as the complaining party, (now referred to as the Complainant), might receive a copy of the Respondent’s response for any additional comments you may want to make.

The disciplinary process takes time to allow for an investigation, and in some instances, a rather long time. Your patience with the process will be greatly appreciated.

You may be asked to provide more information upon request by the investigating Bar Counsel.

Once the Bar Counsel lawyer concludes that the investigation of the complaint is complete, it will be presented to the Inquiry Commission of the Kentucky Supreme Court
for review.

 The Inquiry Commission (IC) is an independent body appointed by the Kentucky Supreme Court to make judgments on all complaints presented to them by the office of Bar
Counsel. The IC is divided into panels of two lawyers and one non-lawyer. The IC will review each complaint investigated by the Office of Bar Counsel and decide whether there is probable cause to believe that the Respondent is guilty of an ethical rule violation; and if so, whether the violation is serious enough to justify a formal disciplinary charge. The IC may decide that a charge is not appropriate, and may dismiss the complaint. They could also require a further investigation, or issue a letter of private admonition to the Respondent.

If a Charge is issued against the Respondent, and the Respondent disputes the violations, an evidentiary hearing may be held. In that case, your testimony may be required.

What kind of disciplinary action can be taken against an attorney? The Kentucky Supreme Court has the power to discipline a lawyer who is guilty of an ethics rule violation. For example it can:
 ・ Privately admonish or warn a lawyer through the actions of the Inquiry commission.
 ・ Issue a private or public reprimand, or privately admonish the lawyer.
 ・ Suspend the lawyer’s license to practice in the state of Kentucky for period of months or years, or grant probation with conditions.
 ・ Enter an order of disbarment prohibiting the lawyer from practicing law in the Commonwealth of Kentucky.

Of course, the sanction in a particular case will depend on the nature of the misconduct and the surrounding circumstances.

The sanction only affects the lawyer’s right to practice law. It is not a ruling that the lawyer is guilty of malpractice, or a decision in favor of any person making a claim against the lawyer. A disciplinary proceeding will not have any direct effect on the case in which the misconduct occurred.

The KBA does not have any authority to interfere in the court system.

This process is not a substitute for your remedies in court. You should not expect any award of damages or reimbursement of loss as a result of the disciplinary process, although, occasionally the court will order restitution of fees. You will need to seek legal counsel of your own choosing if you want advice on what legal actions that you can take, if any.

For your protection, do not wait for the results of your bar complaint to seek out any other relief to which you maybe entitled. The Office of Bar Counsel cannot give you any legal advice about these other rights you may have.

All decisions made by the Inquiry Commission, Inquiry Commission Chair, and the Kentucky Supreme Court are final. The Office of Bar Counsel is not authorized to give
detailed explanations as to why your complaint was handled a certain way by any of these decision-making bodies.

Don't be scared to challenge or complain

If there is a problem with your lawyer’s service you should tell them. The vast majority of lawyers want to do a good job and will want to try to put it right.
 

If you don’t get what you want, remember that you are entitled to complain. If you do complain, be clear about what you think has gone wrong and what you want done. As always, stay calm and be reasonable. But hold your ground: you are the client and it is your case.
 
Following our top ten tips should help reduce your chances of adding to the stresses that can come with getting a divorce. However, if things do go wrong, and you can’t resolve the complaint with your lawyer directly, the Legal Ombudsman may be able to help.

Ask questions

There is no such thing as a silly question. For instance, you might ask what will happen if you change your mind and don’t want a divorce at all. Or you might be wondering whether you have to pay towards some of your partner’s costs.

Whatever it is, if you’re unsure about something, ask. Your lawyer is the legal expert and that’s what you’re ultimately paying them for. All too often people can feel
intimidated when dealing with professionals who are experts in their field but you shouldn’t. Most lawyers will welcome questions if there is something you’re unsure of or worried about. And it can help prevent problems later on if you mention what’s on your mind at the time. 

Stay calm

Going through a divorce is a stressful experience; the emotions involved can allow for poor decisions to be made. Be aware of how you are feeling and how your
partner is feeling. It may be that some of what you are each pursuing in the divorce is for emotional rather than logical reasons and you should think about whether it is worth the cost both in financial and emotional terms.

Remember, the divorce process is not there to decide who was right or who was wrong, or to attribute blame for the break-up. You may feel it is satisfying to put your
ex through hell in the divorce but it can also be very expensive.

You also need to be conscious that your lawyer is a professional adviser and representative rather than a counsellor or friend. Good lawyers will provide a sympathetic ear but they are a very costly way of getting emotional support.

Good lawyers will also sometimes challenge you about what you are doing in a way you may find upsetting; if this happens, it is because they have your best interests at heart.

Make it clear to the lawyer the result you are seeking and agree with the lawyer how you will approach each decision in the divorce process

Many of the divorces which go wrong – and the complaints which arise as a result – do so because there is a breakdown in communications. Customers are not clear with their lawyers what they want; lawyers fail to consult their clients about decisions that are being made. When this happens, disappointment is guaranteed.

Clarity on both sides is vital. If there is something – for example a family keepsake – which is not financially significant but really matters to you, tell your lawyer; if the lawyer doesn’t know, they can’t make sure that is factored into the settlement. But the lawyer also needs to keep you fully informed about how the case
is progressing, asking for your input into key decisions (whether to accept a suggested settlement or challenge it; whether to instruct a senior, expensive barrister or a more junior, cheaper one). That way, there should be less room for dispute between you.

But it is also essential that you listen to what your lawyer is advising you. Lawyers are the experts in the divorce process; that is why we employ them. If your
lawyer believes that you are being unrealistic in your expectations or should try another course of action, you should take that advice seriously. It is your case, and you should be able to have the final say, but a good lawyer will have your interests at heart and you should value their advice.

Get a clear estimate and agree how the case will be funded and how you will be kept in the loop as the cost increases

Once you have decided on the lawyer you are intending to instruct, get a clear estimate of the likely total cost

of your divorce. Make sure you know whether it is a fixed cost quote or an estimate and what it covers. You will also need to agree how the lawyer will keep you informed of the cost you have incurred as the case goes on, so that you are able to keep a track of your costs.

In some circumstances there are other sources of funding available. If you are concerned about how you’ll pay for your divorce, ask your lawyer to explain if these apply to you. Also, it is worth discussing with the lawyer when you are expected to pay: up front, in stages or after the final settlement.

Be wary of hidden costs, disbursements and VAT

Disbursements are sums paid by your lawyer to third parties, such as court fees, expert assessments and barrister fees. Double check when getting a quote what disbursements apply and query any disbursements that haven’t been mentioned by other firms if you’ve shopped around.

Make sure that any quotes you get contain all costs, disbursements and VAT. Beware of quotes that look a lot cheaper than others – as the saying goes, if it looks too
good to be true, it probably is.

A lot of firms will not issue you with a quote but will instead provide you with an estimate of the amount of work and their costs. This may make firms difficult to
compare. The estimate should provide a reasonable idea of the final bill, however this can sometimes be hard to predict. Therefore, it is important that your lawyer keeps you updated throughout.

Shop around for the sort of legal service you want

The way we purchase legal services is changing. Ten years ago you’d probably see a local solicitor on your high street. But things have moved on. Legal services
are now also available online or through call centres. These modern alternatives might look more cost effective – since they have lower overheads by offering remote
services – but they might also be based at the other end of the country, which could impact on how you communicate with your lawyer.

However, this type of service delivery is more likely to work for you if you want to do most of the legwork of getting a divorce yourself. Many firms now offer online ‘DIY divorce kits’ which provide a complete ‘how to’ guide on what you need to do to get divorced. Others offer some very basic advice, like checking
the forms before you submit them. Be aware that by using these forms you may be taking a risk if anything unusual or unexpected crops up, or if your divorce isn’t
straightforward and you can’t agree what will happen with your partner. Sometimes too, the person responsible for your case may not have the same qualifications
or experience as the lawyer on your local high street, which could mean that the advice you get may not be as informed as you’d like it to be.

It is important that you choose a method of service delivery which suits you. One size won’t fit all, but you need to be comfortable with the method of service delivery offered by your lawyer.As you are shopping around for a lawyer, make sure that you understand what services each firm is offering and at what cost. Some firms may offer a fixed quote but make sure that you are aware what this includes and what would happen if something unexpected occurs as this may not be included. Make sure that the quotes are like-for-like. A lawyer will usually charge legal fees plus VAT and disbursements (we explain what disbursements are next). Make sure that all the quotes you get are for the firm’s fees, VAT and all disbursements so that you can truly compare like for like. 

Consider mediation before you instruct a lawyer

Mediation is now a standard option within the divorce process. This is for a very good reason. If you and your ex can agree on the key issues (with or without a mediator) – the arrangements for any children, who has the house, what to do about savings, money and pensions etc – all the lawyers really have to do is draw up the agreements and the need for a full court hearing (with all the expense and risk of disappointment involved) is avoided.

 You may want to make sure you understand your legal position before you consider mediation. It can also

help to be clear about your financial and other matters as
well, to help agree a settlement. Instructing a lawyer first is an option; a mediator may also suggest this during
the process as it can help both parties agree. However, many mediators are also trained lawyers and will help you to sense check the proposed agreements to help
make sure you are happy with what is agreed in the longer term.


 And you need to be careful about going into mediation with a fixed idea of what a court would decide; mediation works best if both people keep an open mind
and are committed to finding a solution that works for everyone.

 Again, if you have a mediated settlement, you may reduce your legal costs. However, it is important to note that mediation is not always free and you should be
clear about the costs and how it could link to any legal advice before you start. Even if you do not reach a mediated settlement, you will at least have a clearer idea
to give to your lawyer about what to expect from your ex. 

If you can, discuss with your former partner how you will approach the divorce

Divorces are much quicker, cheaper and less destructive if both parties behave in a sensible, co-operative manner. It is not easy – and sometimes simply not possible to agree before you begin how you will both

approach the process. But remember: if you fall out and the divorce process becomes a prolonged and bitter battle, the onlyones who win will be the lawyers. If you have savings or equity in your home, these can quickly get eaten up in legal fees. Whatever the financial differences between you, you have one thing in common: you want to give as little of your money as you can to the lawyers.

 So if it is possible, it is sensible to discuss how you will approach the process with your ex-partner. Simple things like who petitions for the divorce and what grounds they use – infidelity, unreasonable behaviour, or separation – can cause major upset if they come as a shock. The more you have a clear idea about what you are going to do and what you can expect your ex to do, the easier it will be for you to control your case and keep your costs down

Consider what you want from your divorce settlement

Getting a divorce may not just be about getting the legal document that says you aren’t married anymore.

There is often a house to think about, shared finances, or children. Your life is possibly going to be very different once the divorce goes through, and you have to have a clear idea before you enter into the divorce process what you want to try and achieve. But in deciding what your objectives are for your divorce settlement, you have to be realistic. Courts try to be fair to both sides and are usually unwilling to give one party much more than another unless there is a very good reason to do so. What they will do is look at what each of you needs to live on, and if there are children involved, to put the interests of those children first. Nor are courts interested in debates about how and why the relationship broke down, who was right and who was wrong. You may think that you deserve more from the divorce because your partner cheated on you or because you feel their behaviour was unreasonable. If a court is involved, they will take an objective view, especially if children are involved. Any settlement the court considers will be designed to be fair taking into account current and future need.