1. E. DISCIPLINE THE DISCIPLINARY SYSTEM IN MISSOURI  Structure: 4 S.Ct.- appointed agencies  Advisory Committee (AC) (state-wide jur.)  at least 6 lawyers and 2 laypersons  assign hearing panels for specific cases  issue formal advisory opinions  adopt regulation s

2. Missouri Disc. System c’t’d  Regional Disciplinary Committees (RDC)  17 in all (one or more judicial circuits)  at least 4 lawyers and 2 lay members  Chief Disciplinary Counsel (CDC)  counsel for bar in disc. proceedings, conduct investigations  may give non-binding informal opinions on questions of concern to a particular lawyer  Disciplinary Hearing Panels (DHP)  hold hearings on assignment  2 lawyers, 1 lay member on each

3. Missouri System c’t’d  Investigation  by CDC, or RDC at request of CDC or AC  standard: probable cause  procedure: informal (grand jury) w/ record  outcome:  referral to consensual resolution programs if appropriate, or diversion program for minor offenses  if finding of PC:  written admonition (resp. accept or reject), or  prepare information for filing w/ S.Ct.  resp. answer – default is consent to discipline w/o hearing

4. MO DISC. PROCEDURE c’t’d  [Investigation]  [outcome]  if finding of no PC: dismissal, unless complainant requests review by AC  Hearing  by DHP assigned by AC, or by S.Ct. special master on request of AC chair  civil rules and burden of proof, full record  outcome: finding on each charge, dismissal or  written admonition (both parties must agree), or  recommendation of sanction (public reprimand, suspend, disbar)

5.  review by S.Ct.  either party can have entire record transferred to S.Ct.  procedure as by original writ  S.Ct. makes independent findings and determination of “appropriate discipline”  Trial (if no DHP hearing)  by S.Ct. or by special master appointed  civil non-jury rules and burden of proof  if by master, findings and recommendations required, briefed and argued before S.Ct. as under original writ

6. Some Basic Notions  Purpose of disciplinary action: protection of the public from incompetent, unreliable or misbehaving lawyers  civil, not criminal process  suppose lawyer is given immunity from prosecution to elicit testimony in criminal case: can that testimony be used against him in a disciplinary proceeding?  can lawyer invoke privilege against self- incrimination?

7. Basic notions c’t’d  Due Process?  an information is filed against a lawyer after investigation, and a hearing is held  after the hearing is concluded, bar counsel moves to amend the information to add a charge based on the evidence presented;  the motion is granted, and the lawyer is found guilty of misconduct as charged in the amendment  has the disciplinary authority denied the lawyer due process of law? In re Ruffalo, n. 3 p. 89

8. Basic notions c’t’d  Can a lawyer be disciplined in her home state for misconduct committed in another state, based on the factual findings made in disciplinary proceedings in that other state?  ABA: presumptive conclusive effect, absent denial of due process or failure of proof convincing the authorities that they can’t be accepted  some jurs. allow new evidence if there was good reason that it wasn’t introduced in first proceeding  Missouri : CDC files information, and S.Ct. issues an order to show cause why the findings should not be conclusive