What a Notice of Investigation Really Means and Why the First Response Matters
Receiving a grievance or notice of investigation in the mail can be jarring. For many attorneys, the uncertainty that follows is more unsettling than the allegations themselves. Questions start piling up immediately. What does this mean for my license? How serious is this? Did I already do something wrong?
Understanding what a grievance actually is, and what it is not, can help you approach the situation with clarity instead of fear.
A Grievance Is an Allegation, Not a Conclusion
A grievance is not a finding of wrongdoing. It is a written set of allegations that a disciplinary authority is required to investigate. At this stage, no determination has been made about your conduct.
That distinction matters because the process is still being shaped. How you respond will influence how the grievance is evaluated, what additional steps are taken, and whether the matter escalates or resolves early.
The Written Response Is Not a Casual Explanation
One of the most common mistakes attorneys make is treating the initial response like an informal letter. In reality, your response should be approached as formal pleadings.
Each allegation must be addressed directly. That usually means:
- Admitting the allegation
- Denying the allegation
- Stating that you lack sufficient information to admit or deny
Every word matters. The response becomes part of the permanent disciplinary record and may be reviewed later if the issue resurfaces or if future complaints are filed.
What Can Happen After the Initial Submission
After your written response is submitted, the disciplinary authority may request additional documentation. In some cases, the process may include an examination under oath. In others, the review may end without further action.
Possible outcomes include:
- Dismissal of the grievance
- A cautionary letter advising greater care in the future
- Escalation to formal charges
The outcome often depends not just on the allegations themselves, but on how clearly, consistently, and credibly the initial response was handled.
Why the First Step Is the Most Important One
Early missteps are difficult to undo. An unclear response, an unnecessary admission, or an emotional explanation can create issues that did not previously exist. Even well intentioned attempts to be cooperative can backfire if they are not carefully structured.
The goal of the initial submission is not to tell your story in full. The goal is to protect your license while complying precisely with the disciplinary process.
Taking a Measured and Strategic Approach
Grievance proceedings operate under their own rules and expectations. Attorneys who regularly handle these matters understand how disciplinary bodies read responses, what raises red flags, and what language tends to escalate concerns.
If you have received a grievance or notice of investigation, consulting with counsel experienced in professional responsibility matters can help ensure that your first response does not become your biggest liability.
If you are facing a grievance and want guidance from attorneys who routinely handle disciplinary investigations, contact Foley Griffin to discuss how to approach the process carefully and strategically from the start.