The Disciplinary System in Minnesota

The Minnesota Supreme Court (Court) regulates lawyers in Minnesota by licensing them and ensuring their activities conform to the Minnesota Rules of Professional Conduct (MRPC). Law students learn about the Rules of Professional Conduct and must pass a test on professional responsibility to become admitted to the bar, in addition to passing the bar exam and completing a character and fitness review. Lawyers admitted in Minnesota have a continuing obligation to review and follow the MRPC. These rules are based upon the American Bar Association model rules, but there are differences.

To carry out its work regulating lawyers, the Court has adopted the Rules on Lawyers Professional Responsibility (RLPR). The RLPR create three entities to help the Court hold lawyers accountable for violations of the MRPC: the Director of the Office of Lawyers Professional Responsibility (Director or OLPR), the Lawyers Professional Responsibility Board (LPRB or Board), and the District Ethics Committees (DECs or committees).

Rule 5, RLPR, creates the Office of Lawyers Professional Responsibility (OLPR). The OLPR investigates and, where there is clear and convincing evidence of a rule violation, pursues attorney discipline. The discipline options include private admonitions, private probation, and several public discipline options including public reprimands, suspension and disbarment. Private discipline is reserved for misconduct that is isolated and nonserious or minor misconduct across a couple of matters that makes probation a helpful tool for the lawyer and their clients. Public discipline is for all other conduct that cannot be considered isolated and nonserious (serious misconduct). All public discipline is issued by the Minnesota Supreme Court. The Court disciplines between 30-40 lawyers annually. Around 100-120 lawyers receive admonitions annually.

Rule 3, RLPR, creates the district ethics committees (DECs). Minnesota is one of only a few states in the country that uses volunteers to help investigate complaints against lawyers. Each DEC investigates complaints of misconduct against lawyers located in that district that have been referred to the DEC by the Director and makes recommendations to the Director. Recommendations of the DEC on the matter are not final or binding, and the OLPR reviews each recommendation before making a final determination. Each DEC consists of a chair appointed by the Court and other volunteer members. DEC members other than the chair may serve a series of three-year terms up to a total of 12 years. Importantly, public members (non-lawyers) fill at least 20 percent of DEC seats, and lawyers may fill up to 80 percent of DEC seats.

Rule 4, RLPR, creates the Lawyers Professional Responsibility Board (LPRB). The LPRB consists of 23 members, 14 lawyers and 9 nonlawyer public member, each of whom is appointed by the Court. Like DEC members, LPRB members serve without compensation as a public service. The LPRB is responsible for administering the Rules on Lawyers Professional Responsibility, the procedural rules that govern the discipline system, making recommendations regarding the Minnesota Rules of Professional Conduct, for establishing the policies that govern the lawyer discipline and disability system, and for providing recommendations and guidance to the Director regarding the operations of the Office of Lawyers Professional Responsibility.

Additionally, the LPRB reviews complainant appeals of dismissed cases or private discipline, lawyer appeals of private discipline, makes probable cause determinations on public discipline, and makes recommendations to the Court on lawyer’s petitions for reinstatement to the practice of law after resignation or discipline. The LPRB does not investigate allegations of attorney misconduct and does not make recommendations for discipline to the Court. More information about the LPRB can be found here.

Complaint Process

If you believe a lawyer licensed in Minnesota or licensed in another jurisdiction but who is handling a matter in Minnesota has acted unprofessionally, you should consider filing a complaint. You can file a complaint online, by mail or by fax. Review the “File a Complaint” section of the OLPR website.

Your complaint and any documents you submit will be reviewed by an OLPR lawyer. Within two or three weeks of receiving your complaint, the Office will respond in writing. The response will state whether the complaint will be investigated or be dismissed without investigation. Sometimes we ask you for additional information to make this determination.

A majority of complaints are investigated but there are some types of complaints that are often dismissed without investigation, including routine fee disputes, most matters pending in court (unless the misconduct is clear or the judge has referred the matter to us), most complaints against court-appointed counsel in criminal or civil matters while the matter is ongoing, most complaints against prosecutors who have discretion regarding the crimes they may charge, and complaints regarding minor personal conduct of lawyers outside of the practice of law.

If your complaint is investigated, it will be investigated by a district ethics committee volunteer or by a lawyer in the Director’s Office. Most complaints are initially investigated by DEC members. Investigations involve contacting the complainant and lawyer, reviewing documents provided, interviewing third parties if necessary, and if investigated by the DEC, making a recommendation to the Director’s Office whether discipline is warranted.

Many complaint investigations are completed in 6-7 months. If there is a rule violation, some discipline is warranted and that can take additional time. There are a variety of types of discipline. The most common form of discipline is a private admonition. Admonitions are issued when the lawyer’s conduct violated a rule but the misconduct was isolated and relatively non-serious, for example, the neglect of a single file.

Decisions to dismiss a complaint or issue a private admonition can be appealed by complainants to a member of the LPRB. Lawyers who are issued a private admonition by the Director may also appeal that determination. You will receive a written decision regarding your complaint and your appeal options if your complaint is dismissed or private discipline is issued. You will be periodically updated on the status of any complaint you file.

Serious violations of the rules can result in discipline by the Minnesota Supreme Court. This can take more than a year to get to public discipline due to the volume of complaints received. Misconduct such as stealing money from clients, felony criminal conduct by lawyers, false statements to the court or clients, abandonment of clients, misconduct across several client files, particularly where harm is present, and sex with clients where the relationship did not pre-date the lawyer-client relationship are examples of serious misconduct that can result in public discipline including loss of an attorney’s license to practice law.

All discipline proceedings before the Minnesota Supreme Court are open to the public and the decisions of the Court on those matters are public. Files that are dismissed without discipline or that result in private discipline are confidential and not public.
It is important to remember that the OLPR cannot:

  • Represent you in any legal matter or give you legal advice;
  • Take money or property from a lawyer to return to a client or help you get money from your lawyer;
  • Sue a lawyer for careless work on your behalf, or do work that a lawyer failed to do; or
  • Help you find a lawyer or negotiate a reduced fee or refund for work performed by a lawyer.

The OLPR is limited to investigating complaints of unethical conduct and taking discipline action against lawyers when appropriate.

If you believe your lawyer has stolen money from you or taken money and did little to no work and made no refund, you should consider filing a claim with the Minnesota Client Security Board. More information can be found here. If you have a complaint against a judge, you should contact the Board of Judicial Standards. If you have a complaint against a lawyer or nonlawyer who is acting as a mediator or arbitrator, you should contact the Minnesota ADR Ethics Board.