Avoid Discipline by Building Strong Client Relationships

There are approximately 190,000 active status licensed attorneys in California.  Thankfully, the vast majority of us get through our entire careers without any disciplinary issue with the State Bar. 

According to the most recent State Bar Annual Discipline Report issued for fiscal year ending June 30, 2024, there were 18,156 cases opened, and discipline was imposed on 229 attorneys, including 68 disbarments, 85 probation terms with actual suspension, 33 probations with stayed suspension, and 43 reprovals (public and private).

The purpose of discipline is not to punish attorneys, but to “protect the public, the courts, and the legal profession.”  (In re Kreamer (1975) 14 Cal.3d 524, 532.)

What can get you in trouble?  Failure to comply with the Rules of Professional Conduct is grounds for discipline.  Discipline may also be imposed for any violation of the State Bar Act, Business & Professions Code 6000 et seq.

Some of the most common grounds for discipline are failure to perform services competently, failure to communicate with the client, misuse of client funds, and conflicts of interest.  All of these directly implicate the attorney-client relationship.  So, the best ways to avoid discipline involved learning about and being  mindful of the duties owed to the client, and to focus on client relationships.

Rules 1.1 to 1.18 of the Rules of Professional Conduct address the lawyer-client relationship.  These include: 

• Rule 1.1 – Competence – Only perform services for which you have sufficient learning, skill and ability.  
• Rule 1.3 – Diligence – Act with commitment and dedication to the interests of the client without neglect, disregard or undue delay.
• Rule 1.4 – Communication (also B&P section 6068(m)) – Keep the client informed about significant developments, promptly respond to requests for information, consult about the client’s objectives.
• Rule 1.6 – Confidentiality (also B&P section 6068(e)) – Do not reveal the client’s confidences or protected information.
• Rule 1.7 – Conflicts of Interest – Current Clients – No representation of persons directly adverse to client and no representation that will be materially limited by other obligations without client’s informed written consent. 
• Rule 1.9 –  Duties Owed to Former Clients – No representation of persons in the same or substantially related matter whose interests are materially adverse to former client without informed written consent.
• Rule 1.15 – Safekeeping Client Funds – Maintain a trust account, no commingling, keep records.
• Rule 1.18 – Duties Owed to Prospective Clients – Do not reveal the prospective client’s confidences or confidential information. 

“The relation between attorney and client is a fiduciary relation of the very highest character.”  (Neel v. Magana, Olney, et al. (1971) 6 Cal.3d 176, 189, citing Cox v. Delmas (1893) 99 Cal. 104, 123.)

The role of an attorney is to be a confidential advocate of the client’s interests and only the client’s interests.  The Supreme Court in Flatt v. Superior Court (1994) 9 Cal. 4th 275, outlined an attorney’s role:

• Protect the client in every possible way;
• Take no position adverse to client without client’s free and intelligent consent given after full knowledge of all the facts and circumstances;
• An attorney cannot be required to choose between conflicting duties;
• An attorney cannot be required to reconcile conflicting interests.

In addition to being a strong confidential advocate for the client’s interests, an attorney can avoid some of the most common client complaints that result in a disciplinary action by following a few easy steps:

• Communicate with clients and promptly respond to inquiries; 
• Always send engagement/disengagement letters; 
• Don’t do work outside your knowledge and skills;
• Use a documented checklist for tasks; 
• Calendar key deadlines (e.g., discovery, motions, pleadings);
• Calendar court hearings;
• Avoid conflicts of interest (if a potential or actual conflict does arise, disclose it in detail and get written conflict waivers, as needed); and
• Properly maintain a client trust account.

Keep yourself in the majority of California attorneys who will never have the misfortune of a disciplinary action.  

Anne M. Rudolph is a Certified Specialist in Estate Planning, Trust and Probate Law, a shareholder at Hughes & Pizzuto, APC, and chair of the firm’s Appellate Section. She serves on the California Lawyers Association’s Trusts and Estates Executive Committee and frequently speaks on legal ethics and professionalism in the San Diego community.