New York Office of Professional Discipline Attorney 

If you have received a letter from the New York State Office of Professional Discipline (“OPD”), learned that a complaint has been filed against your professional license, or have been contacted by an investigator, you may feel alarmed and wonder what happens next. 

An OPD investigation can place your professional reputation, livelihood, and license at risk. Fortunately, receiving a complaint does not mean you have committed professional misconduct or that discipline is inevitable. Many complaints are resolved without formal charges, particularly when the licensee responds appropriately from the beginning. 

At Lavy Law, we represent licensed professionals throughout New York during professional misconduct investigations, settlement negotiations, disciplinary hearings, and judicial appeals. We understand how stressful these investigations can be and work to protect both your license and your professional reputation. 

What Is the New York Office of Professional Discipline? 

Unlike many states, New York does not have a separate licensing board that publicly investigates and disciplines each profession. 

Instead, the Office of Professional Discipline (OPD), which is part of the New York State Education Department, investigates allegations of professional misconduct involving licensed professionals. Depending on the profession involved, OPD works with the applicable State Board and the Board of Regents throughout the disciplinary process. See N.Y. Educ. Law §§ 6509-6510. 

This process is very different from states like Arizona or California, where licensing boards typically conduct public meetings and vote on disciplinary matters. In New York, investigations are generally handled confidentially before formal charges are filed. 

Which Professionals Does OPD Regulate? 

The Office of Professional Discipline oversees more than fifty licensed professions, including: 

• Mental Health Counselors 
• Licensed Clinical Social Workers 
• Marriage and Family Therapists
• Psychologists 
• Physicians 
• Nurses 
• Dentists 
• Pharmacists 
• Physical Therapists 
• Occupational Therapists 
• Veterinarians 
• Architects 
• Engineers 
• Certified Public Accountants 
• Speech-Language Pathologists 
• Audiologists 
• Acupuncturists 

If your profession is licensed by the New York State Education Department, OPD likely has authority to investigate complaints against your license. 

What Is Professional Misconduct? 

Professional misconduct is defined primarily in New York Education Law § 6509 and the Board of Regents Rules, Part 29. 

Depending on your profession, allegations may involve: 

• Negligence or incompetence 
• Poor documentation or recordkeeping 
• Breach of patient or client confidentiality 
• Practicing outside your scope of practice 
• Boundary violations 
• Fraud or misrepresentation 
• Failure to comply with professional regulations 
• Criminal convictions related to professional practice 

As you can see above, professional misconduct is not limited to intentional wrongdoing. Some of the most common allegations include negligence, incompetence, or poor recordkeeping, rather than fraud or criminal conduct. See N.Y. Educ. Law § 6509. In fact, one allegation that frequently arises during an investigation—even when it was not part of the original complaint—is inadequate recordkeeping. This is because the first step for the Office of Professional Discipline in any investigation is to request and review patient or client records.

Another broad category is unprofessional conduct, which is one form of professional misconduct under New York law. The Board of Regents has identified numerous acts that may constitute unprofessional conduct, including failing to comply with laws governing the profession, breaching patient confidentiality, practicing beyond one’s competence, failing to respond to inquiries from the Education Department, and other conduct demonstrating moral unfitness or disregard for professional standards. See 8 N.Y.C.R.R. Part 29. 

Not every complaint results in disciplinary action. Before formal charges are filed, the Office of Professional Discipline must determine that sufficient evidence exists to support a finding of professional misconduct. See N.Y. Educ. Law § 6510. 

What Happens After a Complaint Is Filed? 

Step 1: A Complaint Is Filed and OPD Opens an Investigation 

A complaint may come from a patient, client, employer, coworker, another agency, or a mandatory reporter. In some situations, professionals are required to self-report certain matters. 

If the complaint falls within OPD’s jurisdiction, an investigator may: 

• request records; 
• interview witnesses; 
• ask you to provide a written statement; 
• request an interview; or 
• gather additional evidence. 

The Department is required to investigate complaints alleging professional misconduct. See N.Y. Educ. Law § 6510. 

Step 2: A Charging Decision Is Made 

After the investigation, the investigator submits the case to a Professional Conduct Officer, who consults with a member of the applicable State Board for your profession. 

If there is no substantial evidence of violations, the investigation is closed, and the licensee is notified that no disciplinary action will be taken. 

If substantial evidence exists, the matter is referred to the Prosecution Division of the Office of Professional Discipline, which prepares formal charges and proceeds with the disciplinary process. See N.Y. Educ. Law § 6510.

Step 3: Settlement Discussions 

After formal charges are filed, the case is assigned to the Prosecution Division of the Office of Professional Discipline. The prosecutor will typically extend an initial settlement offer and may consider additional mitigating evidence that was not presented during the investigation. Any supplemental information is then conveyed to the applicable State Board member for consideration. 

If the licensee is not satisfied with the proposed resolution, they may request an Informal Settlement Conference (ISC) before a State Board member, the prosecutor, and a neutral facilitator. This provides an opportunity for the professional and attorney to speak directly to the Board member and respond to their concerns. Following the conference, the Board member may recommend the same discipline, a more favorable resolution, or a more severe outcome. 

Step 4: Settlement Discussions 

If a settlement cannot be reached, the matter proceeds to an administrative hearing. At the hearing, both sides have the opportunity to present evidence, call and cross-examine witnesses, and make legal arguments before a hearing panel. Following the hearing, the panel issues a written decision determining whether professional misconduct occurred and, if so, the appropriate discipline. 

Step 5: Judicial Review 

A licensee who disagrees with the final disciplinary determination may seek judicial review through an Article 78 proceeding in the New York Supreme Court. The court reviews the administrative record to determine whether the decision was supported by the law and the evidence. 

What Penalties Can Be Imposed? 

Every case is different. 

Possible outcomes include: 

• dismissal of the complaint; 
• a negotiated resolution called a consent agreement; 
• probation; 
• suspension; 
• revocation of the professional license; 
• monetary penalties; or
• other disciplinary conditions authorized by law. 

Our goal is always to resolve cases as early as possible while protecting your ability to continue practicing your profession. 

Why Should I Hire an Attorney Early? 

One of the biggest mistakes professionals make is waiting until formal charges have been filed before consulting an attorney. As a result, professionals will often make inculpatory statements to investigators that can become important evidence against them later in the case. An attorney can help protect your rights by: 

• communicating with the investigator on your behalf; 
• preparing your written response; 
• gathering favorable evidence; 
• identifying legal defenses; 
• negotiating with the Department before charges are filed; and 
• representing you throughout every stage of the disciplinary process.

Early representation often provides the greatest opportunity to resolve a case favorably. 

Why Choose Lavy Law? 

Professional discipline cases are more than administrative proceedings—they are government investigations that can threaten your career, professional reputation, and livelihood. Successfully defending these cases requires more than knowledge of administrative law. It requires the ability to investigate facts, evaluate evidence, negotiate with government attorneys, and, when necessary, present a persuasive case before a hearing officer or judge. 

At Lavy Law, our foundation is trial advocacy. Before focusing on professional license defense, Attorney Kara Lavy served as a prosecutor and has spent her career litigating criminal, immigration, and administrative matters. Those same courtroom skills—building a defense, cross-examining witnesses, challenging the government’s evidence, and delivering persuasive legal arguments—are the skills we bring to every professional license case. 

While some attorneys concentrate primarily on administrative law, they may have little or no courtroom or trial experience. When your professional license is at stake, you deserve an attorney who is prepared not only to negotiate a favorable resolution, but also to aggressively litigate your case if a hearing becomes necessary.

Whether your goal is obtaining a dismissal during the investigation, negotiating a favorable settlement, or defending your license at an administrative hearing or on judicial review, Lavy Law is prepared to advocate for you at every stage of the disciplinary process. 

Frequently Asked Questions