Local Rule Rule 83.2: DISCIPLINE OF ATTORNEYS

Rule 83.2 DISCIPLINE OF ATTORNEYS (Amended January 12, 2026)

(a) Professional Ethics 1. Except as provided in Rule 83.2(a)2 of these Local Rules, this Court recognizes the authority of the "Rules of Professional Conduct," as approved by the Judges of the Connecticut Superior Court as expressing the standards of professional conduct expected of lawyers practicing in the District of Connecticut. Any changes made by the Judges of the Connecticut Superior Court to the Rules of Professional Conduct shall apply in the District of Connecticut, on the date they become effective in the Connecticut Superior Court unless such changes are expressly rejected by order of the District Judges. The Clerk shall report to the Judges any such changes to the Connecticut Rules of Professional Conduct. The interpretation of said Rules of Professional Conduct by any authority other than the United States Supreme Court, the United States Court of Appeals for the Second Circuit and the United States District Court for the District of Connecticut shall not be binding in disciplinary proceedings initiated in the United States District Court for the District of Connecticut.

2. This Court does not adopt the provisions of Rules of Professional Conduct 1.2 and 1.5 concerning limited representations and limited appearances. The ethical standards governing public statements by counsel in a criminal case are set forth in Local Criminal Rule 57. The ethical standards governing participation as counsel in a case where either the attorney or another attorney in his or her firm may be a witness for both civil and criminal cases are set forth in Local Civil Rule 83.13.

3. The following Local Civil Rules shall apply in grievance proceedings: Rule 83.1 (Admission of Attorneys), Rule 1 (Scope of Rules), Rule 10 (Preparation of Pleadings), Rule 5(b) (Appearance), Rule 5(c) (Proof of Service), Rule 5(g) (Service in Manually Filed Cases), Rule 7(a) (Motion Procedures), Rule 7(b) (Motions for Extensions of Time.), and Rule 83.10 (Civil Pro Bono Panel).

(b) Grievance Committee 1. The Judges of this Court shall appoint a Grievance Committee of the United States District Court for the District of Connecticut consisting of twelve (12) members of the bar of this Court. One member shall be appointed by the judges as the chairperson of the committee for a term of three years.

2. Members shall be appointed for a term of three (3) years, renewable once, for an additional term of three (3) years. If a member is appointed chairperson during the second term of three years, that member may serve the full three-year term of chairperson, even if his or her total tenure on the committee would thereby exceed six years. In the event that a vacancy arises before the end of a term, a member of the bar of this Court shall be appointed by the Judges of this Court to fill the vacancy for the balance of the term. Anyone filling such a vacancy is eligible for reappointment to a full three-year term. Five (5) members of the Grievance Committee shall constitute a quorum and any action taken by the Grievance Committee shall be by a majority vote of those members present and voting.

3. The judges shall appoint three (3) members of the bar of this Court to serve as Counsel to the Grievance Committee. Assignment of cases to each counsel shall be made on the basis of the assigned seat of court, according to administrative procedures approved by the Clerk.

4. The Grievance Committee and Counsel to the Grievance Committee shall have the use of the staff of the Clerk, grievance clerks, for clerical and record-keeping assistance, shall have the power to issue subpoenas to compel witnesses to testify and produce documents at proceedings, and may incur such expenses as shall be approved by the Chief Judge of this Court. Compulsory process shall be available to the attorney who is the subject of the complaint.

(c) General Procedures 1. Grievance cases are opened upon a) the filing of a verified complaint against an attorney alleging misconduct relating to any matter relevant to an attorney's qualifications to practice before the court; b) judicial referral to the Grievance Committee upon an allegation of possible misconduct relating to any matter relevant to an attorney's qualification to practice before the court; c) notice of a guilty plea or conviction of a serious crime; d) notice of discipline or resignation in other courts; or e) notice of a finding of mental disability or incapacity.

2. The Clerk shall assign a docket number to the grievance cases consisting of the initials "GP," the last two digits of the year of filing, the number of the case (with the first case of each year being designated as number 1), and the initials of the Judge to whom the case has been assigned.

3. Each grievance case shall be assigned to a Judge on a random District-wide basis. Any complaint which arises out of conduct witnessed by a particular Judge of this Court shall not be assigned to that Judge. The personnel of the clerk's office shall not reveal to any person other than a Judge or the Clerk of this Court the order of assignment of such cases.

4. Grievance cases shall be considered sealed and shall not be a record open to the public unless and until public discipline is ordered. Sealed documents filed in CM/ECF are not accessible or viewable by electronic means. The Clerk's Office will provide copies of sealed documents to assigned counsel for the Grievance Committee. Grievance Committee counsel are permitted to efile documents. Other members of the Grievance Committee may request from the Clerk's Office copies of documents filed in sealed grievance cases, which the Clerk will provide, but are not permitted to efile documents. Counsel for the attorney who is the subject of the grievance or such attorney, if he or she is proceeding as a self-represented party, may request from the Clerk's Office copies of sealed documents, which the Clerk will provide, and will be permitted to efile documents.

(d) Proceedings Upon Complaint or Judicial Referral 1. Any person may file with the Clerk of the Court a written verified complaint alleging attorney misconduct relating to any matter relevant to an attorney's qualification to practice before the court. The Clerk shall forward a copy of the complaint to the Grievance Committee and counsel assigned to the matter.

2. Within thirty (30) days of the matter being opened, the attorney shall file a written response to the complaint. The complainant may reply to the attorney's response within twenty (20) days after the response is filed.

3. After the briefing deadlines have passed, the Grievance Committee shall review the complaint and determine if the matter warrants further action. The Grievance Committee, upon appropriate notice, may conduct hearings as it deems appropriate under rules for fair procedure. Such hearings shall be private unless the attorney complained against requests a public proceeding. The Grievance Committee shall decide whether to recommend that the complaint be dismissed or that the attorney complained against be disciplined (1) by private or public censure, (2) by suspension from the practice of law for a fixed period of time, (3) by indefinite suspension, (4) by disbarment, or (5) by any other appropriate remedial measure.

4. When any misconduct or allegation of misconduct which would warrant discipline of any attorney admitted to practice before this Court comes to the attention of any Judge of this Court, the Judge may refer the matter to the Grievance Committee for the initiation of a presentment or the formulation of such other recommendation as may be appropriate. The Grievance Committee may request that the Court order the attorney to respond to the referral. Nothing in this Rule 83.2 shall be interpreted to limit the inherent authority of the Judge to enforce the standards of professional conduct by way of appropriate proceedings other than by referral to the Grievance Committee. The Judge who referred the matter to the Grievance Committee will not be assigned to preside over any resulting disciplinary proceeding.

5. The Grievance Committee shall make its recommendation to the Court within 180 days from the date the last brief permitted under this Rule would be due. If additional time is needed, Counsel to the Committee shall notify the Clerk and up to an additional 180 days shall be allowed.

6. If the recommendation of the Grievance Committee is to dismiss the complaint, the recommendation shall be filed with the Court. The Committee may make a dismissal recommendation conditioned on the satisfaction by the respondent of conditions determined by the Committee to be appropriate under the circumstances. The complainant shall have the opportunity to respond to the dismissal recommendation within thirty (30) days. The Judge to whom the complaint has been assigned may hold further hearings on the recommendation to dismiss or may dismiss the complaint on the written record presented by the Committee. If the Judge decides not to dismiss the complaint, an Order to Show Cause shall be issued by the Court directing the attorney complained against to show cause why disciplinary action should not be taken.

7. If the Grievance Committee's recommendation is for discipline, the Committee shall file its recommendation in the form of a presentment, seeking an order to show cause why the attorney complained against should not have disciplinary action taken against him or her as prayed for in the presentment. The Committee may recommend discipline conditioned on the satisfaction by the respondent of conditions determined by the Committee to be appropriate under the circumstances.

8. Within thirty (30) days of service of the order to show cause issued pursuant to Local Rule 83.2(d)6 or a presentment issued pursuant to Local Rule 83.2(d)7, the attorney complained against shall file a written answer. Upon request of the attorney who is the subject of the complaint, a hearing may be held by the Judge to whom the matter has been assigned. If the attorney does not request a hearing, the Court may deem the hearing waived.

9. If a hearing is held, the attorney complained against shall have a right to be represented by counsel, shall have the right to confront and cross-examine witnesses, and shall have the right to offer the testimony of witnesses and other evidence on the attorney's behalf. Discipline shall not be imposed unless the Court finds, by clear and convincing evidence, that the attorney complained against should be disciplined. Unless requested to be a public proceeding by the attorney complained against, all proceedings shall be in private and maintained under seal unless and until discipline is ordered.

10. The attorney complained against may choose to waive presentment and hearing and to agree upon a disposition with the Grievance Committee. In such event, the proposed, stipulated disposition shall be presented to the Court, with a motion seeking the Court's approval. Should the Court deny the motion, an Order to Show Cause shall be issued by the Court directing the attorney complained against to show cause why disciplinary action should not be taken.

11. Upon the imposition of discipline, other than a private censure, the Court file shall be unsealed and made a matter of public record. In that event, a notation shall be made on the attorney's admission record indicating the date and nature of the discipline imposed.

(e) Proceedings Upon Notice of Conviction of Crimes 1. The Grievance Committee shall be notified and take appropriate action of convictions of "serious crimes" of attorneys admitted to practice before this Court and cause certified copies of such convictions to be filed with this Court. The term "serious crime" shall include any felony and any lesser crime a necessary element of which, as determined by the statutory or common law definition of such crime in the jurisdiction where the judgment was entered, involves false swearing, misrepresentation, fraud, willful failure to file tax returns or currency transaction reports, deceit, bribery, extortion, misappropriation, theft, or an attempt or a conspiracy or solicitation of another to commit, or the aiding and abetting the commission of any of the foregoing crimes.

2. Upon the filing with this Court of a certified copy of a judgment of conviction or proof of change of plea or jury verdict of guilty prior to sentencing, demonstrating that any attorney admitted to practice before the Court has been convicted in any Court of the United States, or the District of Columbia, or of any state, territory, commonwealth or possession of the United States or any foreign country, of a serious crime, the Court shall open a grievance case as set forth in subsection (c). The Court shall enter an order immediately suspending that attorney from practice before this Court, whether the conviction resulted from a plea of guilty or nolo contendere or from a verdict after trial or otherwise, and regardless of the pendency of any appeal. A copy of such order shall immediately be sent to the attorney. Upon good cause shown, the Court may set aside such order when it is in the interest of justice to do so. An attorney suspended under the provisions of this subparagraph 2 shall be reinstated immediately upon filing of a certificate demonstrating that the underlying conviction of a serious crime has been reversed, but reinstatement will not terminate any disciplinary proceedings against the attorney brought pursuant to this Local Rule 83.2. The matter shall automatically be referred to the Grievance Committee for the institution of a presentment before this Court, in the manner specified in Local Rule 83.2(d)7, in which the sole issue to be determined shall be the extent of the final discipline to be imposed as the result of the conduct resulting in the conviction, provided that a disciplinary proceeding so instituted shall not be brought to final hearing until all direct appeals from the conviction are concluded.

3. A certified copy of a judgment of conviction of an attorney for any crime shall be conclusive evidence of the commission of that crime in any disciplinary proceeding instituted against that attorney based upon the conviction.

(f) Proceedings Upon Notice of Discipline or Resignation in Other Courts 1. Any attorney disciplined by order of the Courts of Connecticut or any other state or federal Court or any attorney resigning from the bar of the State of Connecticut or any other state or federal Court while disciplinary proceedings are pending, must deliver a copy of the disciplinary order (or notice of resignation) to the Clerk of this Court within fourteen (14) days of the entry of such order. The Court may also receive notice from the courts in which the attorney has been disciplined or resigned. The attorney must notify the Clerk of the Court regardless of whether the Clerk has or might receive notice from any other source. Failure to comply with this notice requirement is, of itself, a ground for discipline.

2. Upon receiving information described in paragraph (f)(1) above, the Clerk shall open a grievance case as contemplated in subsection (c) above. The presiding judge shall then enter an Order, to become effective twenty-one (21) days after the date of service on the attorney, imposing reciprocal discipline on terms and conditions comparable to those set forth by the other court of record, or, in the case of a resignation, order that the attorney be removed from the rolls of the Court's bar. Service shall be deemed complete upon the mailing of the Order, by first class mail to the address as shown on the rolls of the court.

3. Within twenty-one (21) days of service of the Order described in paragraph (f)(2), the attorney may file a motion for modification or revocation of the Order. This motion must set forth with specificity the facts and principles relied on by the attorney to show cause that a different disposition should be ordered by this court. The timely filing of this motion will stay the effectiveness of the Order until a further order by this court. Failure to timely file such a motion shall result in the Order of reciprocal discipline becoming effective and no further action by the Court, the Grievance Committee, or Counsel for the Grievance Committee shall be necessary.

4. If the attorney's motion for modification or revocation of the Order requests a hearing, such a hearing shall be held before the presiding judge. At the hearing, the attorney may be represented by counsel. The Grievance Committee shall be represented by its assigned counsel. If an attorney fails to request a hearing on the attorney's motion, the Court may deem the hearing waived. Whether requested or not, the presiding judge may, in the judge's discretion, convene a hearing.

5. After the hearing, the Court shall require the removal of the attorney from the rolls of the Court's bar or shall impose the identical discipline against the attorney unless the Court finds that, on the face of the record upon which the discipline in another jurisdiction is predicated, it clearly appears:

a. that the procedure was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process; or b. that there was such an infirmity of proof establishing the misconduct as to give rise to the clear conviction that the Court could not, consistent with its duty, accept as final the discipline imposed; or c. that the imposition of the same discipline by the Court would result in grave injustice; or d. that the misconduct established is deemed by the Court to warrant substantially different discipline.

Where the Court determines that any such element exists, it shall enter such other order as it deems appropriate.

6. Upon good cause shown, the Court may set aside an order issued under Rule 83.2(f) when it is in the interest of justice to do so.

7. An attorney suspended under the provisions of subparagraph (f)2 shall be reinstated immediately upon filing (1) an affidavit with the Court demonstrating that the disciplinary action in the other jurisdiction has been reversed or (2) a certificate of good standing showing the attorney is a member in good standing in the other jurisdiction.

(g) Proceedings Following Finding of Mental Disability or Incapacity 1. In the event an attorney is by a Court of competent jurisdiction (1) declared to be incompetent to manage the attorney's affairs, or (2) committed involuntarily to a mental hospital for drug dependency, mental illness, or the addictive or excessive use of alcohol, this Court will open a grievance case as set forth in subsection (c) and the matter shall be referred to the Grievance Committee.

2. The Court shall issue an order to show cause, requiring the attorney to show cause why the attorney should not be suspended immediately from practicing law in this Court, and may set a hearing date. The Court shall arrange for a copy of such order to be forwarded to such attorney, the attorney's conservator if any, and the director of any institution in which the attorney may reside. If, after a hearing is held, or with the consent of the parties by stipulation, the Court concludes that the attorney is incapacitated from continuing to practice law, it shall enter an order suspending the attorney on the ground of such disability until further order of the Court.

3. Whenever the Grievance Committee shall have reason to believe that an attorney is incapacitated from practicing in this Court by reason of mental infirmity or illness or because of drug dependency or addiction to alcohol, it shall file a presentment in accordance with paragraph (d)(7) of this Local Rule 83.2. Whenever a Judge of this Court has reason to believe that an attorney is similarly incapacitated or otherwise impaired, the Judge may refer the matter to the Grievance Committee for the formulation of such recommendation as may be appropriate, including the initiation of a presentment or such other orders as it deems appropriate. The Grievance Committee may take or direct such action as it deems necessary or proper in order to determine whether such attorney is incapacitated or otherwise impaired, including examination of the attorney by such qualified medical expert or experts as the Grievance Committee shall designate. If the Court concludes that the attorney is incapacitated or otherwise impaired from continuing to practice law, it shall enter an order suspending the attorney on the ground of such disability until further order of the Court.

In the event there are disciplinary proceedings pending against an attorney who is suspended under this rule, those proceedings shall be held in abeyance for a long as the suspension under this rule remains in effect.

(h) Resignation in the District of Connecticut Any attorney may resign from the bar of this Court by submitting a resignation, in writing, properly witnessed and acknowledged to be the attorney's free act and deed, to the Clerk of this Court, which shall be effective upon filing. However, such resignation shall not affect any pending disciplinary proceedings pursuant to this Local Rule 83.2, unless the attorney's resignation certifies that the attorney waives the privilege of applying for readmission to the bar at any future time, in which case disciplinary proceedings shall be terminated.

(i) Reinstatement 1. An attorney suspended for a fixed period of time shall be automatically reinstated at the end of the period of suspension upon filing (1) an affidavit with the Court demonstrating compliance with the provisions of the suspension order and (2) a certificate of good standing showing the attorney is now a member in good standing in the Superior Court for the State of Connecticut or another court.

2. Petitions for reinstatement by a disbarred or suspended attorney whose period of suspension has not expired shall be filed with the Clerk. Where practicable, such petition shall be assigned to the Judge to whom the original grievance proceeding was assigned. Otherwise, it shall be randomly assigned to another Judge of the District. The petition shall automatically be referred to counsel for the Grievance Committee, who shall give public notice on the District Court website, allowing thirty (30) days for comment. Counsel shall provide notice to the complainant that a petition for reinstatement has been filed.

3. After the close of the public comment period, the Grievance Committee may schedule a hearing for the purpose of determining whether or not the petitioner should be reinstated. The Grievance Committee shall make a recommendation to the Court, within thirty (30) days of completing its independent investigation, as to the fitness of the petitioner to be reinstated.

4. Within thirty (30) days of receiving the Committee's recommendation, the petitioner may file a reply requesting a hearing. If the petitioner fails to request a hearing within thirty (30) days of the Committee's recommendation, the Court may deem the hearing waived.

5. If a hearing is held, the petitioner shall have the burden of demonstrating by clear and convincing evidence that the petitioner has the moral qualifications, competency and learning in the law required for admission to practice law before this Court and that the petitioner's resumption of the practice of law will not be detrimental to the integrity and standing of the bar or to the administration of justice, or injurious to the public interest.

6. In all proceedings upon a petition for reinstatement, counsel for the Grievance Committee may conduct cross-examination of the witnesses of the petitioner attorney and may file objections to the petition. The petitioning attorney may conduct cross-examination of witnesses for the Grievance Committee and may file a reply to any objection filed by counsel for the Grievance Committee.

7. If the petitioner is found unfit to resume the practice of law, the petition shall be denied. If the petitioner is found fit to resume the practice of law, the judge shall reinstate the petitioner, provided that the judge may make reinstatement conditional upon (1) the payment of all or part of the costs of the proceedings, (2) the making of partial or complete restitution to parties harmed by the conduct of the petitioner which led to the suspension or disbarment, (3) the furnishing of proof of competency and learning in the law or one or more areas of the law or of law practice management, (4) the petitioner's taking and passing the Multistate Professional Responsibility Examination and/or (5) certification by the bar examiners of a state or other jurisdiction of the attorney's successful completion of an examination for admission to practice subsequent to the date of suspension or disbarment.

8. Absent exceptional circumstances, no petition for reinstatement under this paragraph shall be filed within one year following an adverse judgement upon a prior petition for reinstatement filed by or on behalf of the same person.