Responding to a Notice of Disciplinary Charges in California

A Notice of Disciplinary Charges marks the formal start of litigation in California’s attorney discipline system. Once an NDC is filed, the matter is no longer an investigation. The State Bar has determined that sufficient evidence exists to pursue discipline in State Bar Court.

An NDC sets out the factual allegations, rule violations, and legal theories the Office of Chief Trial Counsel intends to prove. It also triggers immediate procedural obligations, including deadlines for responding and participating in the State Bar Court process. How an attorney responds at this stage affects every phase that follows, from motion practice and discovery to potential stipulations, hearings, and discipline outcomes.

Attorneys receiving an NDC are often already aware of the underlying issues from the investigation phase. However, the filing of charges changes the posture of the case. Statements made earlier are now framed as allegations. Evidence is positioned for litigation. The focus shifts from evaluation to prosecution.

This page explains what an NDC means, what happens next, and the strategic considerations attorneys should understand before responding. It is intended for attorneys who already have an NDC in hand or expect one imminently.

What a Notice of Disciplinary Charges Means

A Notice of Disciplinary Charges is a formal pleading filed by OCTC in State Bar Court. It:

  • Initiates disciplinary litigation

  • Identifies alleged rule and statutory violations

  • Sets forth factual allegations OCTC intends to prove

  • Establishes the framework for the case

At this stage, OCTC is no longer deciding whether to file charges. The decision has been made.

Immediate Obligations After an NDC Is Filed

Common obligations include:

  • Filing a timely response or answer

  • Participating in case management proceedings

  • Preserving evidence and records

  • Complying with discovery obligations

Missed deadlines or incomplete responses can create additional exposure independent of the underlying allegations.

How the NDC Shapes the Case Going Forward

The NDC becomes the roadmap for litigation. It influences:

  • The scope of discovery

  • Motion practice and evidentiary disputes

  • Potential stipulation discussions

  • Whether interim suspension is sought

  • The standards applied at hearing

Allegations framed broadly or imprecisely can have lasting consequences if not addressed early.

State Bar of California NDC

Responding Strategically to an NDC

It is not simply a matter of denial or admission.

Strategic considerations often include:

  • Identifying legally insufficient allegations

  • Evaluating whether facts are genuinely disputed

  • Preserving defenses and objections

  • Assessing exposure under the Standards for Attorney Sanctions

  • Considering early resolution posture versus litigation

Decisions made at this stage affect flexibility later in the case.

Many NDCs involve trust accounting, fee handling, or recordkeeping issues.

In these cases, the NDC may allege:

  • Commingling

  • Misappropriation

  • Inadequate records

  • Failure to safeguard client funds

How these allegations are framed, and whether intent is alleged or implied, can significantly affect potential discipline.

NDCs, Stipulations, and Resolution Options

Related page: Stipulation to Discipline

Once an NDC is served, attorneys must comply with State Bar Court procedural rules.

After an NDC is filed, some cases resolve through stipulation rather than hearing.

However:

  • A stipulation requires factual admissions

  • Discipline must still be approved by the court

  • Poorly drafted stipulations can create long-term harm

Understanding whether and when to explore resolution is a strategic decision.

Risk of Interim Suspension After an NDC

In some cases, OCTC may seek emergency relief after charges are filed.

This typically occurs when OCTC alleges:

  • Ongoing risk to clients

  • Repeated or escalating misconduct

  • Failure to comply with prior orders

Interim suspension proceedings move quickly and can dramatically affect practice.

“Success is not final, failure is not fatal: it is the courage to continue that counts.”
— Winston Churchill

Common Mistakes After Receiving an NDC

Attorneys sometimes undermine their position by:

  • Treating the NDC as a negotiation letter rather than a pleading

  • Responding without understanding procedural consequences

  • Making unnecessary admissions in early filings

  • Assuming outcomes are predetermined

Once litigation begins, precision matters.

When to Involve Discipline Defense Counsel

Attorneys often seek counsel immediately after receiving an NDC when:

  • Suspension or disbarment exposure exists

  • Trust account issues are alleged

  • Prior discipline is involved

  • Interim suspension is a concern

  • Long-term licensure consequences matter

Early guidance helps define the case rather than react to it.

Your Questions, Answered

  • No. It means charges have been filed, not that outcomes are predetermined.

  • Deadlines are set by State Bar Court rules and must be met.

  • Yes, but posture and timing matter.

  • Yes. NDC filings are public.

  • In some cases, yes.

  • Not always. Additional allegations may arise through litigation.

  • Communications should be considered carefully once litigation begins.

  • Failure to comply with procedural obligations can create additional issues.

An NDC defines the case going forward.

Speak with discipline defense counsel