Regulation and Discipline
WHAT WE DO
The State Bar's Office of Chief Trial Counsel investigates and prosecutes disciplinary complaints against attorneys and works with law enforcement to stop those who falsely claim to be attorneys. The State Bar also distributes restitution-type funds to victims who have incurred a financial loss as a result of attorney theft or dishonest conduct. The Regulation Division maintains the official roll of attorneys, manages the registration of law corporations and limited law partnerships, is responsible for ensuring the compliance of all licensees with various administrative requirements, and is charged with implementing the State Bar’s Client Trust Account Protection Program (CTAPP).
The State Bar Discipline System Includes
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Total cases opened
Complaints against attorneys or those engaging in the unauthorized practice of law come from many sources, including clients, judicial officers, banks, insurance companies, and other attorneys. Cases can also arise from an attorney’s criminal conviction; required attorney self-reporting of judgments for fraud or misrepresentation, orders for sanctions, or discipline by any other professional or occupational licensing agency, whether inside or outside of California; and investigations initiated by OCTC.
Attorneys disbarred
Discipline that revokes a license to practice in California.
Attorneys suspended/placed on probation
Forms of discipline that are typically less permanent than disbarment. Most require the attorney to comply with a variety of conditions before being allowed to return to practice.
Attorneys in court-ordered Lawyer Assistance Program
Some attorneys whose misconduct stems from a substance use or mental health issue receive recovery support through this attorney-funded program. (Calendar Year)
Victims reimbursed
Reimbursements paid
$6.23 million
All attorneys contribute to a fund that reimburses lost money or property due to theft or dishonest conduct by a California lawyer.
Client Trust Account Protection Program finds attorneys overseeing nearly
$14 billion
In 2023, the newly implemented Client Trust Account Protection Program (CTAPP) found that more than 103,000 California attorneys safeguard an estimated $11 billion to $14 billion in more than 59,000 client trust accounts (CTAs). CTAPP was created by the Board of Trustees to prevent CTA-related misconduct by educating attorneys and to protect the public by proactively regulating lawyers’ management of those accounts. With an ongoing effort to educate attorneys, 99 percent of licensees complied with the new CTAPP reporting requirements in its first year. Nearly 2,000 attorneys were initially put on inactive status in 2023 for noncompliance with CTAPP reporting requirements.
California attorney James Stillens shares how the State Bar Court's Alternative Discipline Program and the Lawyer Assistance Program helped him in his addiction recovery, and how he hopes other attorneys seek help.
Key Metrics
The State Bar collects detailed data on the attorney discipline system: its workload, operations, initiatives, and performance in fulfilling its statutory obligation to protect the public from attorney misconduct. Regular metrics reporting is used to manage this critical State Bar function, as well as to facilitate external accountability.
OCTC establishes permanent team dedicated to Client Trust Account complaints
In 2023, nearly one-fourth of all complaints processed in the investigation stage of the discipline process were about how lawyers handled—or mishandled—a client’s money in client trust accounts (CTAs). OCTC established a permanent dedicated team to review and investigate CTA-related complaints and discrepancies arising from bank reporting. The new unit’s efforts are having a positive public protection impact, with discipline investigations related to possible trust account violations up 80 percent. OCTC also underwent a significant reorganization to differentiate its investigation and trial teams with the goal of speeding up the investigation of more routine cases and enabling the office to dedicate more resources to investigating and charging cases that pose greater risks to clients and the public.
California Supreme Court approves Rule of Professional Conduct 8.3
The California Supreme Court approved a Rule of Professional Conduct 8.3, effective August 1, 2023, following a recommendation by the State Bar. The new rule requires California attorneys to report other attorneys for illegal or egregious actions, modeled after American Bar Association (ABA) Model Rule 8.3, a version of which is in place in every other state. From August 2023 through March 2024, 63 percent of the 604 attorney-initiated complaints received by the State Bar were flagged as pursuant to rule 8.3. Compared with the same period in the previous year, attorney-initiated complaints increased by 82 percent.
8.3 complaints result in higher percentage of OCTC investigations
Complaints filed pursuant to Rule 8.3 show the highest investigation rate-69 percent-relative to 39 percent for nonattorney- initiated complaints.
California Rules of Professional Conduct, Rule 8.3 protects the public by requiring attorneys to report ethical misconduct by other attorneys related to their honesty, trustworthiness, and fitness as a lawyer.
Annual Discipline Report tracks 2023 attorney discipline by race/ethnicity and gender
For the first time, the State Bar’s Annual Discipline Report included a 2023 snapshot of the race/ethnicity and gender of disciplined attorneys. The one-year analysis found no large discipline discrepancies among White, Black, and Hispanic/Latino attorneys relative to their overall attorney percentages. The gender analysis revealed more significant differences, with women comprising 42 percent of attorneys and 18 percent of those disciplined in 2023, while men compromised 55 percent of attorneys and 77 percent of those disciplined. In 2024, the State Bar will update its groundbreaking 2019 racial disparities in the discipline system report.
Diversion program designed to address minor rules violations
In October 2023, OCTC implemented the framework for a diversion program for minor rule violations by attorneys without significant histories of discipline. This is part of a planned three-pronged diversion strategy that, if funded, will include increased emphasis on mandatory fee arbitration and mediation to keep more fee disputes out of the disciplinary system, and a program to provide an alternative to disciplinary complaints for clients who just want communication from their attorney or to get their files back once the attorney-client relationship has ended.
OCTC seizes two unauthorized practice of law practices targeting immigrants
In 2023, OCTC was granted two Los Angeles Superior Court orders to seize files from scam practitioners engaged in the unauthorized practice of law (UPL) targeting Latino and Japanese immigrants. In February, in a joint effort with the Los Angeles County District Attorney’s office, OCTC seized client files from Nubia Esmeralda Burrier of Glendale. OCTC presented to the court 14 complaints from clients seeking immigration assistance who lost money to Burrier, who is not―nor has ever been―a licensed California attorney. The L.A. County D.A. criminally charged Burrier with 11 related counts. And in September, the State Bar seized the Gardena practice of George Y. Takahashi. Takahashi is not and has never been entitled to practice law in California. Nevertheless, he offered immigration and other legal services to Japanese citizens in the U.S. and others.
State Bar leads nation in providing AI guidelines to attorneys
In November 2023, the State Bar of California became the first State Bar in the nation to provide AI guidelines for its licensees when the Board of Trustees approved guidance developed by the Committee on Professional Responsibility and Conduct. The Board directed staff to develop and update training on the subject and work with the Legislature and the California Supreme Court to address the policy implications of AI. The Board also directed staff to explore whether California-accredited and registered law schools should require courses on competent use of generative AI and whether changes in regulations or rules are needed related to the bar exam and generative AI.