Local Rule Local Civil Rule 1.5: Discipline of Attorneys
S.D.N.Y. — Attorney rule
Local Civil Rule 1.5. Discipline of Attorneys
(a) Committee on Grievances. The chief judge will appoint a committee of the Board of Judges known as the Committee on Grievances, which, under the direction of the chief judge, will have charge of all matters relating to the discipline of attorneys. Magistrate judges and district judges may serve on the Committee on Grievances. The chief judge will also appoint a panel of attorneys who are members of the bar of this court to advise or assist the Committee on Grievances. At the direction of the Committee on Grievances or its chair, members of this panel of attorneys may investigate complaints, may prepare and support statements of charges, or may serve as members of hearing panels.
(b) Grounds for Discipline or Other Relief. Discipline or other relief, of the types set forth in paragraph (c) below, may be imposed by the Committee on Grievances, after notice and opportunity to respond as set forth in paragraph (d) below, if any of the following grounds is found by clear and convincing evidence:
(1) Any member of the bar of this court has been convicted of a felony or misdemeanor in any federal court, or in a court of any state or territory.
(2) Any member of the bar of this court has been disciplined by any federal court or by a court of any state or territory.
(3) Any member of the bar of this court has resigned from the bar of any federal court or of a court of any state or territory while an investigation into allegations of misconduct by the attorney was pending.
(4) Any member of the bar of this court has an infirmity that prevents the attorney from engaging in the practice of law.
(5) In connection with activities in this court, any attorney is found to have engaged in conduct that violates the New York State Rules of Professional Conduct. In interpreting these Rules of Professional Conduct, in the absence of binding authority from the United States Supreme Court or the United States Court of Appeals for the Second Circuit, this court, in the interests of comity and predictability, will give due regard to decisions of the New York Court of Appeals and other New York state courts, absent significant federal interests.
(6) Any attorney not a member of the bar of this court has appeared at the bar of this court without permission to do so.
(c) Types of Discipline or Other Relief
(1) In the case of an attorney admitted to the bar of this court, discipline imposed under paragraph (b)(1), (b)(2), (b)(3), or (b)(5) above may consist of a letter of reprimand or admonition, censure, suspension, or an order striking the name of the attorney from the roll of attorneys admitted to the bar of this court.
(2) In the case of an attorney not admitted to the bar of this court, discipline imposed under paragraph (b)(5) or (b)(6) above may consist of a letter of reprimand or admonition, censure, or an order precluding the attorney from again appearing at the bar of this court.
(3) Relief required under paragraph (b)(4) above will consist of suspending the attorney from practice before this court.
(d) Procedure
(1) If it appears that there exists a ground for discipline set forth in paragraph (b)(1), (b)(2), or (b)(3), notice thereof must be served by the Committee on Grievances on the attorney concerned by first class mail, directed to the address of the attorney as shown on the rolls of this court and to the last known address, if any, of the attorney as shown in the complaint and any materials submitted therewith. Service shall be deemed complete upon mailing in accordance with the provisions of this paragraph.
In all cases in which any federal court or a court of any state or territory has entered an order disbarring or censuring an attorney or suspending the attorney from practice, whether or not on consent, the notice shall be served together with an order by the clerk of this court, to become effective 24 days after the date of service on the attorney, disbarring or censuring the attorney or suspending the attorney from practice in this court on terms and conditions comparable to those set forth by the other court of record. In all cases in which an attorney has resigned from the bar of any federal court or of a court of any state or territory while an investigation into allegations of misconduct by the attorney was pending, even if the attorney remains admitted to the bar of any other court, the notice shall be served together with an order entered by the clerk for this court, to become effective 24 days after the date of service on the attorney, deeming the attorney to have resigned from the bar of this court.
Within 20 days of the date of service of either order, 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.
If good cause is shown to hold an evidentiary hearing, the Committee on Grievances may direct such a hearing under paragraph (d)(4) below.
If good cause is not shown to hold an evidentiary hearing, the Committee on Grievances may proceed to impose discipline or to take such other action as justice and this rule may require. If an evidentiary hearing is held, the Committee may direct such interim relief pending the hearing as justice may require.
In all other cases, the notice shall be served together with an order by the Committee on Grievances directing the attorney to show cause in writing why discipline should not be imposed. If the attorney fails to respond in writing to the order to show cause, or if the response fails to show good cause to hold an evidentiary hearing, the Committee on Grievances may proceed to impose discipline or to take such other action as justice and this rule may require. If good cause is shown to hold an evidentiary hearing, the Committee on Grievances may direct such a hearing under paragraph (d)(4) below. If an evidentiary hearing is held, the Committee may direct such interim relief pending the hearing as justice may require.
(2) In the case of a ground for discipline set forth in paragraph (b)(2) or (b)(3) above, discipline may be imposed unless the attorney concerned establishes by clear and convincing evidence (i) that there was such an infirmity of proof of misconduct by the attorney as to give rise to the clear conviction that this court could not, consistent with its duty, accept as final the conclusion of the other court, or (ii) that the procedure resulting in the investigation or discipline of the attorney by the other court was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process, or (iii) that the imposition of discipline by this court would result in grave injustice.
(3) Complaints in writing alleging any ground for discipline or other relief set forth in paragraph (b) above shall be directed to the chief judge, who shall refer those complaints to the Committee on Grievances. The Committee on Grievances, by its chair, may designate an attorney, who may be selected from the panel of attorneys established under paragraph (a) above, to investigate the complaint, if it deems investigation necessary or warranted, and to prepare a statement of charges, if the Committee deems that necessary or warranted. Complaints, and any files based on them, shall be treated as confidential unless ordered otherwise by the chief judge for good cause shown or in accordance with paragraph (d)(5) below.
(4) A statement of charges alleging a ground for discipline or other relief set forth in paragraph (b)(4), (b)(5), or (b)(6) shall be served on the attorney concerned by certified mail, return receipt requested, directed to the address of the attorney as shown on the rolls of this court and to the last known address, if any, of the attorney as shown in the complaint and any materials submitted therewith, together with an order by the Committee on Grievances directing the attorney to show cause in writing why discipline or other relief should not be imposed. Upon the respondent attorney's answer to the charges the matter will be designated by the Committee on Grievances for a prompt evidentiary hearing before a magistrate judge of the court or before a panel of three attorneys, who may be selected from the panel of attorneys established under paragraph (a) above. The magistrate judge or panel of attorneys conducting the hearing may grant such prehearing discovery as they determine to be necessary, shall hear witnesses called by the attorney supporting the charges and by the respondent attorney, and may consider such other evidence included in the record of the hearing as they deem relevant and material. The magistrate judge or panel of attorneys conducting the hearing must report their findings and recommendations in writing to the Committee on Grievances and must serve them on the respondent attorney and the attorney supporting the charges. After affording the respondent attorney and the attorney supporting the charges an opportunity to respond in writing to the report, or if no timely answer is made by the respondent attorney, or if the Committee on Grievances determines that the answer raises no issue requiring a hearing, the Committee on Grievances may proceed to impose discipline or to take such action as justice and this rule may require.
(5) A duly constituted disciplinary authority of a New York state court may request expedited disclosure of records or documents that are confidential for use in an investigation or proceeding pending before the disciplinary authority. The request shall be made in writing and submitted to the chair of the Committee on Grievances. The request should, to the extent practicable, identify the nature of the pending investigation or proceeding and the specific records or documents sought. The request may also seek deferral of notice of the request for so long as the matter is in the investigative stage before the disciplinary authority. Upon receipt of the request, the chair of the Committee on Grievances may take any appropriate action and may refer the request to the full Committee on Grievances. Confidential records and documents disclosed to the disciplinary authority in response to the request shall not be used for any purpose other than the investigation or proceeding pending before the disciplinary authority.
(e) Reinstatement. Any attorney who has been suspended or precluded from appearing in this court or whose name has been struck from the roll of the members of the bar of this court may apply in writing to the chief judge, for good cause shown, for the lifting of the suspension or preclusion or for reinstatement to the rolls. The chief judge must refer this application to the Committee on Grievances. The Committee on Grievances may refer the application to a magistrate judge or hearing panel of attorneys (who may be the same magistrate judge or panel of attorneys who previously heard the matter) for findings and recommendations or may act upon the application without making such a referral. Absent extraordinary circumstances, no such application will be granted unless the attorney seeking reinstatement meets the requirements for admission set forth in Local Civil Rule 1.3(a).
(f) Remedies for Misconduct. The remedies provided by this rule are in addition to the remedies available to individual district judges and magistrate judges under applicable law with respect to lawyers appearing before them. Individual district judges and magistrate judges may also refer any matter to the chief judge for referral to the Committee on Grievances to consider the imposition of discipline or other relief under this rule.
(g) Notice to Other Courts. When an attorney is known to be admitted to practice in the court of any state or territory, or in any other federal court, and has been convicted of any crime, or disbarred, precluded from appearing, suspended, or censured in this court, the clerk shall send to the other court or courts a certified or electronic copy of the judgment of conviction or order of disbarment, preclusion, suspension, or censure, a certified or electronic copy of the court's opinion, if any, and a statement of the attorney's last known office and residence address.
(h) Duty of Attorney to Report Discipline
(1) In all cases in which any federal, state or territorial court, agency or tribunal has entered an order disbarring or censuring an attorney admitted to the bar of this court, or suspending the attorney from practice, whether or not on consent, the attorney shall deliver a copy of the order to the clerk of this court within 14 days after the entry of the order.
(2) In all cases in which any member of the bar of this court has resigned from the bar of any federal, state, or territorial court, agency, or tribunal while an investigation into allegations of misconduct against the attorney was pending, the attorney shall report that resignation to the clerk of this court within 14 days after the submission of the resignation.
(3) In all cases in which this court has entered an order disbarring or censuring an attorney, or suspending the attorney from practice, whether or not on consent, the attorney shall deliver a copy of the order within 14 days after the entry of the order to the clerk of each federal, state, or territorial court, agency, and tribunal in which the attorney has been admitted to practice.
(4) Any failure of an attorney to comply with the requirements of this Local Civil Rule 1.5(h) will constitute a basis for discipline of that attorney under Local Civil Rule 1.5(c).
For relevant historical context for this local rule, consult the Appendix of Committee Notes.