Home > Disciplinary Process

An Outline Explaining the Disciplinary Process

1. Complaint is received.
   1. The Rules Governing Discipline require disciplinary counsel to keep a complete and accurate record of the investigation of a complaint.
      1. All complaints must be in writing (Complaint Form).
      2. "Anonymous" and oral complaints cannot be accepted.
   2. The authority of the Disciplinary Board is limited to the investigation of complaints of misconduct against attorneys licensed to practice law in New Mexico, attorneys specially admitted to practice law in New Mexico by a court of this state, or attorneys admitted to practice in other states who actually practice in New Mexico.
      
      1. The Board has no authority to look into complaints about judges, attorneys licensed in other states, or persons who are not New Mexico attorneys. 
         1. The New Mexico Judicial Standards Commission is the agency designated to investigate complaints about judges or justices in the state of New Mexico.  The Commission requires use of specific forms which may be obtained by contacting them at (505) 222-9353 or by making a written request to P.O. Box 27248, Albuquerque, New Mexico 87125-7248.  Go to New Mexico Judicial Standards Commission for more information.
         2. If you have a complaint against a federal judge or a federal magistrate, you may obtain information as to how to file a complaint at Rules for Judicial Conduct.
         3. Complaints about attorneys licensed to practice law in other states should be directed to the appropriate disciplinary authority in the state where the attorney is licensed.  Click here to link to the Directory of Lawyer Disciplinary Agencies published on the American Bar Association's Center for Professional Responsibility website.
      2. The Board cannot become involved in a fee dispute.  The State Bar of New Mexico has a fee arbitration service for the specific purpose of addressing such matters.  Go to Fee Arbitration for more information.
      3. Any action taken by the Board as the result of a complaint against a New Mexico attorney would concern the attorney's license to practice law.
         1. The Board is unable to change the outcome of any legal matter.
         2. The Board does not represent complainants in any legal matter.
2. Complaint is investigated
   1. A copy of the complaint is sent to the attorney.
   2. In almost all circumstances, even when the complaint is unclear or possibly outside the jurisdiction of the Disciplinary Board, the lawyer will be contacted for a response.
   3. If the attorney's response is inadequate to resolve the complaint, or if the attorney does not provide a response, the matter may be docketed for formal investigation.
   4. Supreme Court rules forbid the Disciplinary Board from disclosing the attorney's response to a complainant unless it becomes part of the record in a formal disciplinary proceeding.
   5. The fact that a complainant may withdraw the complaint or that the substance of the complaint is similar to pending civil or criminal litigation may, but will not necessarily, justify dismissal of the complaint.
   6. As part of the investigation of a complaint, disciplinary counsel may interview the complainant, the attorney, and other witnesses.
3. Dismissal of complaints
   1. If the investigation of a complaint reveals insufficient evidence to prove misconduct, the complaint will be dismissed. The complainant will receive a letter advising of the dismissal.
   2. Complaints are sometimes dismissed for the following reasons:
      1. Documentation provided by the attorney negates the allegations.
      2. The complainant did not understand the role of his or her attorney (i.e., an attorney's refusal to call a witness that the client suggested because testimony would not be admissible or would not be helpful to the client's legal position, is not improper).
      3. The complainant did not understand the role of opposing counsel (i.e., representing a position in opposition to that of the complainant is not harassment).
      4. Lack of jurisdiction (i.e., the complainant wants a new public defender, assistance with a legal matter, a change of case outcome, opposing counsel disqualified, etc.).
      5. Other.
4. Docketed cases
   1. Once a case is docketed for formal investigation, it may only be dismissed by disciplinary counsel with the approval of a reviewing officer.
   2. During the investigation of a docketed case, records may be subpoenaed.
   3. The dismissal of a docketed case may include a Letter of Caution.  A Letter of Caution is not a form of discipline and does not involve a finding of misconduct.  It is intended to alert the attorney to a problem which, if it persists, could result in a finding of misconduct.  Because a Letter of Caution is constructive criticism for the attorney (and not discipline), the complainant is not told of the issuance of the Letter of Caution, but still receives a letter advising that the complaint was dismissed.
   4. If misconduct can be proven, a docketed case may be resolved by the issuance of an Informal Admonition by disciplinary counsel with the concurrence of a reviewing officer.  The complainant is informed of the issuance of such an admonition and is told that this is a private sanction.  The complainant is requested to respect the attorney's right to privacy in the matter by not revealing the disposition.
5. Formal disciplinary charges
   1. In cases where there is evidence of more serious ethical violations or when the attorney fails to respond to the complaint, formal disciplinary charges are filed.  The case then becomes a matter of public record, and all pleadings filed may be viewed by appointment.
   2. When charges are filed, a hearing committee is appointed.  The hearing committee is usually comprised of two attorneys and one non-attorney.
   3. The Respondent attorney is served with the charges and has twenty days to answer the charges unless an extension is granted by the hearing committee.
   4. If a consent to discipline is not proposed and accepted by the committee, a hearing will be scheduled and held within one-hundred-twenty days.  Hearings are open to the public.
   5. After the hearing, the hearing committee makes findings of fact, conclusions of law, and a recommendation regarding what discipline, if any, is appropriate.
   6. After the hearing committee makes its recommendation, a panel of disciplinary board members is appointed to review the record of the proceeding and to accept or reject the hearing committee's findings and recommendation.
   7. Either the Respondent attorney or disciplinary counsel may request oral argument before the board panel.
   8. Once the board panel has reviewed the record and made its ruling on the hearing committee's recommendation, the matter is forwarded to the Supreme Court of New Mexico.
   9. The Respondent attorney may request a hearing before the Supreme Court.
   10. The Supreme Court has ultimate authority over the discipline imposed and may accept, reject, or modify the Disciplinary Board's recommendation.
6. Formal discipline
   1. Formal discipline is designed to protect the public from the likelihood of future misconduct by the attorney and is not intended as a remedy for the complainant.  For a personal remedy, the complainant should consult with his or her own attorney regarding options that may be available.
   2. Formal discipline is a matter of public record and can be disclosed by the Disciplinary Board if an inquiry regarding an attorney's disciplinary history is made.
   3. A Formal Reprimand is a sanction that can be issued by the Disciplinary Board.  The reprimand is read to the Respondent by the Chair of the Disciplinary Board before the entire Board and is published in the State Bar Bulletin, a publication sent weekly to all members of the State Bar of New Mexico and other subscribers.
   4. Probation may be imposed by the Disciplinary Board or the Supreme Court and can be the sole discipline.  Probation may also be imposed with other discipline.  Probation may be supervised or unsupervised.
   5. Public Censure is a written reprimand imposed by the Supreme Court of New Mexico.  Public censure is published in the State Bar Bulletin and in the New Mexico Reports and Pacific Reporter, which are permanent reports of legal decisions.
   6. Suspension may be imposed by the Supreme Court of New Mexico.
      1. An attorney's license to practice law may be suspended for a specified period of time.  When this is done, the attorney is automatically reinstated at the end of the period of suspension, unless objections are filed by disciplinary counsel.
      2. An attorney's license to practice law may be suspended indefinitely.  This type of suspension usually requires an attorney to meet specific requirements prior to reinstatement and to petition for reinstatement.  The attorney may only be reinstated by showing that all requirements have been met and that the attorney is fit to resume the practice of law.
      3. An attorney may be summarily suspended when the lawyer has been convicted of a felony or other serious crime, when a court has entered a judgment that the attorney is incompetent or incapacitated, or if formal disciplinary charges have been filed and it can be shown that a danger of substantial harm to the public will exist if the attorney continues to practice law.
   7. Disbarment may be imposed by the Supreme Court of New Mexico.  In New Mexico, disbarment is not permanent, and in most cases, the attorney may seek permission to apply for reinstatement after three years.  An attorney seeking reinstatement from disbarment must show that all conditions have been met and that he or she is fit to resume the practice of law.
   8. In cases where formal disciplinary charges are pending, a Respondent may resign in lieu of discipline.  In such cases, the Respondent must get permission from the Supreme Court and admit the truth of the allegations in the proceeding. This does not mean that the attorney then escapes the consequences of unethical behavior.  Resignation in lieu of discipline is equivalent to disbarment, and the attorney would have to go through the same reinstatement process as if disbarred in order to be able to practice law again.

Diagram of the Disciplinary Process