To inform the Judicial Reform Foundation's reform of the attorney disciplinary system by looking to the practices of other jurisdictions, our first stop is the attorney disciplinary system of New York State, USA. The scope of this research includes the composition of New York State's disciplinary committees, the review procedures for disciplinary cases, and the types of disciplinary sanctions. It also compiles New York State attorney disciplinary cases from the past two years, aiming to provide directions for reforming Taiwan's attorney disciplinary system in areas such as organizational adjustment, the independent investigative powers of disciplinary committees, and increasing the volume of grievance filings.

I. Introduction to the New York State Attorney Disciplinary System¹

(I) Preamble:

The entire attorney disciplinary procedure and all related investigative procedures shall be confidential, as a matter of principle, until the court decides to impose a public disciplinary sanction upon the respondent attorney. [22 NYCRR 1240.18]

(II) Jurisdiction²:

The Supreme Court, Appellate Division corresponding to the location of the respondent attorney's office, along with its subordinate "Attorney Grievance Committee" (hereinafter referred to as the "Grievance Committee" or "AGC"). [22 NYCRR 1240.7(a)(2)]

(III) Organizational Structure of the Grievance Committee:

1. The Chief Attorney’s Office: [22 NYCRR 1240.5]

Taking the First Department, which has jurisdiction over the Manhattan area, as an example³, in 2023, the Chief Attorney’s Office comprised one Chief Attorney, five Deputy Chief Attorneys, several staff attorneys, paralegals, and other administrative personnel. Its primary responsibilities are to conduct evidentiary investigations and provide recommendations for disposition to the Disciplinary Committee.

2. The Disciplinary Committee: [22 NYCRR 1240.4]

The Disciplinary Committee is composed of volunteers appointed by the court. Each committee shall have a membership of at least 21 individuals (at least 3 of whom must be non-lawyers), and its responsibility is to vote by majority to approve or disapprove the disposition recommendations made by the Chief Attorney’s Office.

When exercising its powers, a quorum of at least two-thirds of the committee members must be present, and a majority of those present must vote in agreement.

(IV) Overview of Disciplinary Procedures:

1. Filing a Grievance:

Any person may file a grievance against an attorney in writing with the AGC having jurisdiction, and the AGC may also initiate an investigation upon its own motion. [22 NYCRR 1240.7(a)(1)]

2. Preliminary Review:

Upon receiving a grievance, the AGC assigns a staff attorney to conduct an initial screening (hereinafter the "screening attorney"), performing a formal review as to whether "jurisdiction is proper" and "whether the allegations, if true, would constitute professional misconduct." If the screening attorney believes that the allegations lack basis, are solely intended to seek legal advice, involve a fee dispute, or are meant to collect a debt, a recommendation to dismiss the grievance may be made.

In principle, the screening attorney's recommendation for dismissal is adopted by the Chief Attorney, resulting in the dismissal of the grievance [22 NYCRR 1240.7(d)(1)]; as for grievances not dismissed, a paralegal notifies the respondent attorney to submit an answer to the complainant's allegations, and then forwards the respondent attorney's answer to the complainant for a reply. Subsequently, the paralegal compiles both parties' arguments and submits them to the screening attorney for a secondary screening or further evaluation. Cases deemed by the screening attorney to require the initiation of an investigation are assigned by the Chief Attorney to another staff attorney (hereinafter the "staff attorney") to commence the investigative procedure.

3. Investigative Procedure:

To investigate a case, the staff attorney may (1) interview witnesses; (2) require the respondent attorney to submit a written response to the grievance, and/or appear for questioning, provide documents, or even undergo depositions; (3) apply to the court for a subpoena to compel third parties to testify or produce relevant documents and materials. [22 NYCRR 1240.7(b)]

Upon completion of the investigative procedure, the staff attorney shall submit a recommendation for disposition to the Disciplinary Committee based on the findings of the investigation. Prior to submission, the recommendation must be reviewed by the Chief Attorney and Deputy Chief Attorneys.

4. Disposition Stage:

The Disciplinary Committee must vote by majority to approve the staff attorney's recommendation for disposition and issue the corresponding disciplinary or administrative disposition: [22 NYCRR 1240.7(d)(2)]

1. Dismiss the grievance
2. Refer the matter to another appropriate agency for handling (e.g., referral to mediation)
3. Refer for counseling/treatment
4. Issue a non-disciplinary, confidential "Letter of Advisement" for minor deficiencies
5. Issue a disciplinary, confidential "Letter of Admonition" for minor professional misconduct
6. Authorize the initiation of court disciplinary proceedings when there is probable cause to believe that the respondent attorney has engaged in serious professional misconduct, and that such conduct warrants public discipline to help protect the public interest, maintain the integrity and honor of the legal profession, or deter others from similar misconduct
   

5. Court Disciplinary Proceedings:

After initiating court disciplinary proceedings, the AGC shall notify the respondent attorney of the disposition result. Subsequently, (1) the AGC may file a statement of disputed and undisputed facts with the court, and the respondent attorney may submit a reply; (2) both parties may submit an agreement on disputed and undisputed facts to the court; or (3) both parties may jointly stipulate to the court that the facts of the case are undisputed, rendering a hearing unnecessary. [22 NYCRR 1240.8(a)(2)]

At any time after the commencement of court disciplinary proceedings, both parties may also jointly submit a request to the court for "discipline by consent" to avoid a hearing. Such request shall state the disciplinary sanction agreed upon by both parties and must be accompanied by an affidavit from the respondent attorney admitting to the misconduct. [22 NYCRR 1240.8(a)(5)]

In cases where triable issues of fact remain, the court will appoint a referee to conduct a hearing (unless the respondent attorney voluntarily waives confidentiality, such hearings are also not open to the public). The referee shall prepare a written report (hereinafter the "Referee's Report") after the conclusion of the hearing, setting forth findings of fact, conclusions of law, and the recommended disciplinary sanction. Ultimately, the court shall decide whether to impose a disciplinary sanction in accordance with the Referee's Report. [22 NYCRR 1240.8(b)(1)]

When presenting arguments on what disciplinary sanction should be imposed for the misconduct, both parties may cite any relevant factors, including but not limited to (1) the nature of the misconduct; (2) aggravating or mitigating factors; (3) the ABA Standards for Imposing Lawyer Sanctions⁴; and (4) relevant case law and precedents. Once the court ultimately determines that the respondent attorney has indeed engaged in professional misconduct, it may impose disciplinary sanctions in accordance with the law. [22 NYCRR 1240.8(b)(2)]

(V) Explanation of Dispositions / Disciplinary Sanctions:

1. "Letters of Advisement" [22 NYCRR 1240.2(i)]

When the investigation reveals that the respondent attorney's conduct needs improvement, but under the specific circumstances of the case does not warrant the imposition of discipline, the Disciplinary Committee may issue a letter of advisement.
A letter of advisement is a non-public document. However, even though it does not constitute a disciplinary sanction in itself, if the respondent attorney is subsequently found to have engaged in misconduct in the future, the Disciplinary Committee or the court may take this letter of advisement into consideration when determining punitive measures.

2. "Letters of Admonition" [22 NYCRR 1240.2(b)]

When the investigation reveals that the respondent attorney has violated the New York Rules of Professional Conduct⁵, but the circumstances are not serious enough to warrant initiating formal disciplinary proceedings, the Disciplinary Committee may issue a letter of admonition. For example: the respondent attorney violated only a single rule of professional conduct and mitigating factors are present.

A letter of admonition is a non-public document, but its nature is a formal finding of professional misconduct against the respondent attorney and it will permanently become part of the respondent's disciplinary record. If further misconduct occurs in the future, the Disciplinary Committee or the court may consider prior letters of admonition when determining punitive measures.

Before the Disciplinary Committee issues a letter of admonition, the respondent attorney is given the opportunity to personally appear before the committee and request reconsideration. If the committee ultimately still issues the letter of admonition, the respondent attorney may apply to the court to vacate the disposition.

3. Other Public Disciplinary Sanctions:

Public disciplinary sanctions must be imposed by the court. Basically, when the court imposes a public disciplinary sanction on a respondent, the sanction is published in the New York Law Journal and is also made available for public inspection at the Supreme Court, Appellate Division.

Common public disciplinary sanctions, ordered from most severe to least severe, include:

• Disbarment [22 NYCRR 1240.2(g)]
  • Permanent revocation of attorney status; reinstatement may not be applied for until at least seven years have passed [22 NYCRR 1240.16]. Prior to reinstatement, one may not engage in any law-related work, including giving legal advice to others.
  • Occurs automatically upon conviction of a felony, or takes effect when ordered by the court as a disciplinary sanction.
    
• Suspension [22 NYCRR 1240.2(k)]
  • Temporary suspension of the right to practice law; reinstatement may be applied for after the expiration of the period.
  • May be for a fixed term or for an indefinite period.
  • Common reasons include: incompetence, neglect, misappropriation of funds, misconduct, etc.
  • Interim Suspension [22 NYCRR 1240.9] is usually a provisional measure prior to the issuance of a formal disciplinary sanction, mostly imposed to address an immediate threat or uncooperative behavior during disciplinary proceedings.
    
• Public Censure [22 NYCRR 1240.2(c)]
  • Commonly occurs when an attorney's misconduct warrants punishment, but does not rise to the level of suspension.
  • Still officially recorded and published on the court's website for public access.
    
• Reciprocal Discipline
  • When a respondent attorney has been subjected to discipline in another jurisdiction, the Supreme Court, Appellate Division may also impose a reciprocal disciplinary sanction.
    
• Probation
  Frequently implemented alongside a suspension and may be subject to conditions, such as supervision, ethics training, restitution, medical treatment, etc.
  

(VI) Remedies:

1. Respondent Attorney's Remedy Against a "Letter of Advisement" [22 NYCRR 1240.7(e)(1)]
   • Request reconsideration from the Chair of the Disciplinary Committee within 30 days of the mailing of the letter of advisement. The Chair may unilaterally decide to dismiss the request again or refer it to the Disciplinary Committee for reconsideration.
   • File an application with the court within 30 days of the final decision by the Chair of the Disciplinary Committee denying the reconsideration request, claiming that the letter of advisement violates fundamental constitutional rights.
     
2. Respondent Attorney's Remedy Against a "Letter of Admonition" [22 NYCRR 1240.7(e)(2)]
   
3. Request the court to vacate the letter of admonition within 30 days of its mailing.
   
4. Complainant's Remedy Against a Dismissal Decision [22 NYCRR 1240.7(e)(3)]
   
5. Request reconsideration from the Chair of mark-up Disciplinary Committee within 30 days of the Chief Attorney's or Disciplinary Committee's dismissal of the grievance. The Chair may unilaterally decide to dismiss the request again or refer it to the Disciplinary Committee for reconsideration.
   

II. Disciplinary Cases:

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¹ https://www.nycourts.gov/courts/AD1/Committees&Programs/DDC/Disciplinary%20Rules%201240%20-2018%20update.pdf (22 NYCRR Part 1240–RULES FOR ATTORNEY DISCIPLINARY MATTERS)
² https://ww2.nycourts.gov/attorneys/grievance/complaints.shtml (New York State Unified Court System)
³ https://www.nycourts.gov/courts/AD1/Committees&Programs/DDC/AnnualReport2023.pdf (Attorney Grievance Committee Supreme Court, Appellate Division First Judicial Department 2023 ANNUAL REPORT)
⁴ https://www.adbmich.org/links/aba-standards.aspx (American Bar Association’s Standards for Imposing Lawyer Sanctions)
3.0 Generally
In imposing a sanction after a finding of lawyer misconduct, a court should consider the following factors:
(a) the duty violated;
(b) the lawyer’s mental state;
(c) the potential or actual injury caused by the lawyer’s misconduct; and
(d) the existence of aggravating or mitigating factors.
⁵ https://www.nycourts.gov/legacypdfs/rules/jointappellate/NY-Rules-Prof-Conduct-1200.pdf (Part 1200 - Rules of Professional Conduct)
⁶ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2023-05649-case-no-2023-06666.html 
⁷ https://law.justia.com/cases/new-york/appellate-division-first-department/2025/motion-no-2024-06195-case-no-2018-00253.html 
⁸ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2024-02618-case-no-2024-03419.html 
⁹ https://law.justia.com/cases/new-york/appellate-division-first-department/2025/motion-no-2024-04770-case-no-2024-06022.html 
¹⁰Under the Americans with Disabilities Act, hotels that fail to adequately provide accessibility information are subject to legal sanctions. Although plaintiffs in such cases cannot recover monetary damages for inadequate descriptions of hotel accessibility features, they may recover reasonable attorney's fees and litigation costs. The attorney in this case acted as litigation counsel in nearly 600 such cases, repeatedly submitting false fee applications to the court by exaggerating work hours and working conditions.
¹¹ https://law.justia.com/cases/new-york/appellate-division-first-department/2025/motion-no-2025-01355-case-no-2024-03508.html 
¹² https://law.justia.com/cases/new-york/appellate-division-first-department/2025/motion-no-2025-00235-case-no-2023-06243.html 
¹³ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2024-01495-case-no-2024-02045.html 
¹⁴ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2024-02489-case-no-2021-01205.html 
¹⁵ https://law.justia.com/cases/new-york/appellate-division-first-department/2025/motion-no-2024-06355-case-no-2024-07717.html 
¹⁶ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2023-05545-2024-00501-case-no-2022-02650.html 
¹⁷ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2023-05302-case-no-2023-06177.html 
¹⁸ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2023-04377-case-no-2022-05820.html 
¹⁹ https://law.justia.com/cases/new-york/appellate-division-first-department/2024/motion-no-2023-04758-case-no-2019-00134-2023-05401.html 
²⁰ https://law.justia.com/cases/new-york/appellate-division-first-department/2025/motion-no-2024-06127-case-no-2024-07573.html 
²¹ https://law.justia.com/cases/new-york/appellate-division-first-department/2023/motion-no-2023-03320-case-no-2023-03780.html