Comm. R. XVII Enforcement of Financial Disclosure Rules

A. This rule shall apply to proceedings related to the financial statements required to be filed by La. Sup. Ct. Rule XXXIX (Financial Disclosure) or by La. Sup. Ct. Rule XL (Financial Disclosure by Non-Incumbent Candidates for Elective Judicial Office).

B. Whenever a matter pertaining to financial disclosure is referred to the Commission by the judicial administrator’s office pursuant to the provisions of Sec. 4 (C)(1) or 4(C)(2) of La. Sup. Ct. Rule XXXIX, and the Commission finds that a person may have failed to file a financial statement or may have failed to disclose or disclose accurately the required information, the Commission shall direct the Office of Special Counsel to prepare and process a notice of hearing, and a hearing on the allegations specified in the notice of hearing shall be held before a hearing officer.

C. Whenever the Commission receives a written complaint from a source other than the judicial administrator that is directed to the accuracy or completeness of a financial statement that has been filed pursuant to La. S.Ct. Rule XXXIX, and the Commission has determined that the complaint is not frivolous, the Commission shall mail the complaint by certified mail to the judge who is the subject of the complaint. The judge shall be asked to answer the complaint within fourteen business days after the complaint is received.1 A five-day extension may be granted for good cause. If the Commission finds in connection with a written answer that no violation of the financial disclosure requirements has occurred, no penalties shall be assessed against the person. If the Commission finds that the person may have failed to file a financial statement or may have failed to disclose or accurately disclose the required information, the Commission shall direct the Office of Special Counsel to prepare and process a notice of hearing, and a hearing on the allegations specified in the notice of hearing shall be held before a hearing officer.

D. A hearing on the allegations specified in a notice of hearing shall be conducted before a hearing officer designated pursuant to La. Sup. Ct. Rule XXIII, Sec. 29(a). The hearing officer shall be selected for the hearing in accordance with La. Sup. Ct. Rule XXIII, Sec. 29(b), and the hearing shall be convened and conducted in accordance with La. Sup. Ct. Rule XXIII, Sec. 29.

E. The hearing will be limited to the following issues: (1) whether or not the person failed to file a financial statement; (2) whether or not the person failed to disclose or accurately disclose the required information; and/or (iii) whether the failure was willful and knowing.

F. Within fifteen days after the conclusion of the hearing, the hearing officer shall submit a report to the Commission that contains proposed findings of fact and, if applicable, conclusions of law. The hearing officer shall not include in the report a recommendation regarding discipline, sanctions, or penalties.

G. Notwithstanding the provisions of La. Sup. Ct. Rule XXIII, Sec. 29(d), the hearing officer shall not give the respondent judge and the Office of Special Counsel any more than five days after the completion of the hearing to submit briefs and proposed findings of fact and, if applicable, proposed conclusions of law.

H. If, after the Commission has considered the hearing officer’s report, the Commission decides that no violation of the financial disclosure requirements has occurred, the Commission shall issue a written determination to that effect, no penalties shall be assessed, and no recommendation shall be made to the Supreme Court.

I. If, after the Commission has considered the hearing officer’s report, the Commission determines that a person has failed to file a required financial disclosure statement, or has failed to disclose or accurately disclose the required information, the Commission shall file the record and a recommendation with the Supreme Court. The Commission shall recommend the imposition of civil penalties in accordance with La. Sup. Ct. Rule XXXIX, Sec. 4(F)(7) and shall also make a recommendation regarding whether or not the violation was willful and knowing.

J. When a non-incumbent candidate for elective judicial office fails to file a financial disclosure statement required by La. Sup. Ct. Rule XL, or omits any information required to be included in the financial disclosure statement, or the judicial administrator has reason to believe any information included in the financial disclosure statement is inaccurate, the matter shall proceed in accordance with the provisions of La. Sup. Ct. Rule XXXIX, Sec. 4 and with this rule.

K. If a non-incumbent candidate for elective judicial office either loses the election or withdraws his or her candidacy while a financial disclosure proceeding is pending before the judicial administrator, the Commission, or a hearing officer:

(1) the proceeding shall be transferred to the Louisiana Attorney Disciplinary Board in accordance with the provisions La. Sup. Ct. Rule XL, Sec. 4(B), if the candidate is a lawyer, or

(2) the judicial administrator shall inform the Supreme Court, which shall assign a retired judge to conduct the hearing and report to the Supreme Court in accordance with the provisions of La. Sup. Ct. Rule XL, Sec. 4(C).

L. To the extent reasonably possible, all proceedings involving financial disclosure statements shall be handled on an expedited basis and shall take precedence over other matters.

M. To the extent this JCL Rule XVII at any time conflicts with La. Sup. Ct. Rule XXXIX or with La. Sup. Ct. Rule XL, the Supreme Court rule shall be controlling.

N. To the extent this rule conflicts with any other Commission rule, this rule shall be controlling.

1 As to submissions reviewed by the judicial administrator’s office, it is noted that this procedure is conducted by that office prior to referral to the Commission. See Sec. 4 of La. Sup. Ct. Rule XXXIX.

Revised 9/4/2019