Key Takeaways
- Five types of formal complaints: regulatory, professional association, civil lawsuit, attorney general, and BBB.
- Engage legal counsel within 3 days and issue a document preservation directive immediately upon receiving a formal complaint.
- Never communicate with the complainant about the complaint without counsel approval.
- Post-resolution debrief should occur regardless of outcome—even dismissed complaints may reveal procedural gaps.
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Test Your Knowledge
1.Why should a post-resolution debrief be conducted even when a formal complaint is dismissed?
2.When should a document preservation directive be issued?
3.Within how many days should legal counsel be engaged after receiving a formal ethics complaint?