Defense Digest, Vol. 31, No. 2, June 2025

The Nature of Attorney Disciplinary Proceedings

By
Jacob H. Schultz

Key Points: 

  • The Pennsylvania Supreme Court has clarified that the standard of proof required for a finding of attorney misconduct is “clear and convincing evidence.” 
  • Attorney disciplinary matters “are in the nature of quasi-criminal proceedings.” 

The Supreme Court of Pennsylvania earlier this year issued an opinion examining the standard of proof to be applied in attorney disciplinary proceedings to establish that misconduct has occurred. In Office of Disciplinary Counsel v. Anonymous Attorney, 331 A.3d 523 (Pa. 2025), the court not only clarified that the standard of proof required is “clear and convincing evidence” but, also, that attorney disciplinary matters “are in the nature of quasi-criminal proceedings.” Id. at 525. 

The attorney in ODC v. Anonymous Att’y had previously represented a corporate creditor which had been assigned a loan guaranteed by debtors. After the creditor sued to collect on the loan, the parties attempted to negotiate a settlement over some years. The debtors eventually filed for Chapter 7 bankruptcy, which generally automatically stays all related civil proceedings and enforcement of judgments. Id. at 526. 

The respondent would later file a claim against the debtors in the bankruptcy proceeding. One of the filings in support of the claim included “an edited photograph of one of the debtors to show that the debtors had an expensive lifestyle, as the debtor was wearing a watch worth more than $26,000 in the photograph.” Id. at 527. The debtors then filed a motion to enforce the automatic stay and for sanctions against the creditor and the respondent. The debtors contended that the date of the photo had been cropped to make it seem as if it were a more-recent photo. The respondent replied that “he had edited the photo to protect the privacy of the unknown individual who was standing with one of the debtors.” After two days of hearings, the Bankruptcy Court held the respondent jointly and severally liable for $354,777.75 in damages. 

The Pennsylvania Office of Disciplinary Counsel (ODC) then filed a petition for discipline, contending the respondent had “violated several Rules of Professional Conduct.” The ODC later filed a motion to preclude the respondent from re-litigating findings of fact in the bankruptcy proceeding. The respondent objected, arguing, essentially, “…that the ‘clear and satisfactory’ standard required to establish attorney misconduct was more stringent than that required to find a willful violation of an automatic stay by the bankruptcy court judge.” Id. at 528. The Hearing Committee ultimately granted the ODC’s motion. 

In adopting much of the Hearing Committee’s findings, the Disciplinary Board concluded that the respondent had not actually been prevented from litigating the issue of whether his conduct violated the rules of professional conduct. Id. at 528-29. Only one lone Disciplinary Board member dissented, “explaining that the Hearing Committee should not have applied collateral estoppel in light of the differing burdens of proof between the disciplinary and bankruptcy proceedings.” Id. at 529. The respondent then appealed to the Pennsylvania Supreme Court. 

The existence of differing standards of proof does not necessarily preclude application of collateral estoppel; however, where “the standard of proof in a prior proceeding is a lesser burden of proof than what is required in the subsequent proceeding, the outcome in the subsequent proceeding may not be the same as the first.” In deciding for the respondent, the Pennsylvania Supreme Court concluded that articulation of the burden of proof (“a preponderance of the evidence through clear and satisfactory evidence”) was heretofore confusing because the words “preponderance of the evidence” are used “in conjunction with the phrase ‘with proof that is clear and satisfactory’.” Amazingly, this standard utilized language applicable to widely different standards recognized at the time. The court further explains that additional confusion arose over a decade ago due to a “scrivener’s error” in the case ODC v. Cappuccio, 48 A.3d 1231 (Pa. 2012), which unintentionally omitted the portion of the rule statement that requires that proof of the conduct at issue “must be clear and satisfactory.”

In concluding that “preponderance of the evidence” is unacceptable for attorney disciplinary proceedings, and that the correct standard is “clear and convincing evidence,” the court fascinatingly reiterates that “[d]isciplinary proceedings are not strictly civil nor criminal in nature, but rather have been styled quasi-criminal.” Id. at 535. One can see how this might be, given that such proceedings are not “civil disputes for money damages,” and the interests in play are simply not minimal. The very ability to practice is itself at issue in such a case. But beyond the ability to practice, one’s professional reputation is on the line. Our reputation follows us everywhere, well beyond any office space or courtroom.

On the one hand, the court’s decision may be taken as positive news, as renewed guidance in application of a standard can lead to improved clarity with respect to litigation strategy. On the other hand, the decision may provide for some unpredictable consequences down the line. 

The case adds weight to the notion that an attorney disciplinary proceeding lands squarely between standards of review and burdens of proof necessary in civil and criminal proceedings. Such a notion may draw prosecutors to scrutinize instances of both public and anonymous discipline more deeply. There could also be attempts during a prosecution to utilize findings in disciplinary cases for some level of heightened persuasive effect based on the “quasi-criminal” nature of the proceedings. 

As discussed by the Pennsylvania Supreme Court, attorney disciplinary proceedings “…are not lawsuits between parties but are in the nature of an inquest or inquiry as to the conduct of an attorney…[and] the proceedings can have a severe impact on the attorney’s career and livelihood.” Id. at 534. The Supreme Court reasonably took issue with the notion that a mere preponderance of the evidence standard is all that it should take to subject an attorney to discipline. ODC v. Anonymous Att’y cements for the foreseeable future the notion that a heightened standard of proof is what is required to establish attorney misconduct in Pennsylvania. 

*Jacob is a member of our Professional Liability Department and works in our Philadelphia, PA office. 

 

Defense Digest, Vol. 31, No. 2, June 2025, is prepared by Marshall Dennehey to provide information on recent legal developments of interest to our readers. This publication is not intended to provide legal advice for a specific situation or to create an attorney-client relationship. ATTORNEY ADVERTISING pursuant to New York RPC 7.1. © 2025 Marshall Dennehey. All Rights Reserved. This article may not be reprinted without the express written permission of our firm. For reprints, contact tamontemuro@mdwcg.com.