Disciplinary Proceedings.
(a) Bar of Court. The Bar of this Court consists of those persons previously admitted
to (and not removed from) the Bar of this Court and of those persons who hereafter
are admitted under this rule.
(1) Any attorney who is admitted to practice before the Supreme Court of
Alabama may be admitted to the Bar of this Court upon the submission of an
application, payment of the prescribed admission fee, and
(A) the order of a district judge of this Court (on oral or written
motion by a member of the Bar of this Court or on the Court's own
motion), and the administering of the prescribed oath before any judge
(or other designee) of this Court; or
(B) the filing of a certificate of good standing from the Clerk of the
United States District Court located within the district in which the
applicant resides or regularly practices law.
(2) Attorneys are required to renew their application for admission every five
years by submission of an application and payment of the prescribed fee.
(b) Appearance Pro Hac Vice.
(1) Any attorney who is not a member of the Bar of this Court but who is
admitted to practice before the United States District Court for the district in
which such person resides or regularly practices law, may, upon request, be
admitted pro hac vice by an order of any district judge, magistrate judge, or
bankruptcy judge of this Court.
(2) In proceedings where the parties have consented to jurisdiction before a
Magistrate Judge, the Magistrate Judge may, upon request, admit an
attorney pro hac vice, subject to the requirements herein.
(3) A certificate of good standing from the district in which the attorney is
admitted must be attached to his/her request for admission pro hac vice.
(4) Any such attorney who appears as counsel by filing any pleading,
document or other papers in any case pending in this Court shall,
contemporaneously with the filing of such papers, apply for admission pro
hac vice as set out herein.
(c) Appearance on behalf of United States. Any attorney representing the United
States or any agency thereof, having the authority of the government to appear as its
counsel, may appear specially and be heard in any case in which the government or
such agency is a party, without formal or general admission.
(d) Any attorney employed by the Federal Defender Office of this District may
appear specially and be heard in any action in which the Federal Defender has been
appointed without formal or general admission.
(e) By Whom Parties May Appear. In all cases filed in, or removed to this Court,
parties may be represented of record only by a member of the Bar of this Court or
by an attorney permitted to appear pursuant to subsection (b), (c) or (d) of this rule.
(f) Continuing Representation. Unless disbarred or suspended, attorneys shall be
held at all times to represent the parties for whom they appear of record in the first
instance until, after formal motion and notice to such parties and to opposing
counsel, they are permitted by order of Court to withdraw from such representation.
The Court may, however, permit withdrawal without formal motion and notice if
other counsel have entered their appearance for the party.
(g) Standards for Professional Conduct; Obligations. Attorneys admitted to practice
before this Court shall adhere to this Court's Local Rules, the Alabama Rules of
Professional Conduct, the Alabama Standards for Imposing Lawyer Discipline, and,
to the extent not inconsistent with the preceding, the American Bar Association
Model Rules of Professional Conduct. Attorney misconduct, whether or not
occurring in the course of an attorney/client relationship, may be disciplined by
disbarment, suspension, reprimand, monetary sanctions, removal from this Court's
roster of attorneys eligible for practice before this Court, or such other sanction as
the Court may deem appropriate.
(h) Discipline. When alleged attorney misconduct is brought to the attention of the
Court, whether by a Judge of the Court, any lawyer admitted to practice before the
Court, any officer or employee of the Court, or otherwise, the Court may, in its
discretion, dispose of the matter through the use of its inherent, statutory, or other
powers; refer the matter to an appropriate state bar agency for investigation and
disposition; refer the matter to the local grievance committee as hereinafter defined;
or take any other action the Court deems appropriate. These procedures are not
mutually exclusive.
(i) Grievance Committee. The Judges of this Court may, at the request of any Judge
thereof, appoint a committee of not less than five persons to address alleged attorney
misconduct. A majority of the Committee shall constitute a quorum. The Committee
shall serve until its assigned task is completed.
(1) Purpose and Function. The purpose and function of such appointed
Committee shall be to conduct, upon referral by the Court, investigations,
inquiries, and hearings, where appropriate, of alleged misconduct of any
member of the Bar of this Court; and, to submit written findings and
recommendations to the Court thereafter. Members of a Grievance
Committee, while serving in their official capacities, shall be considered to be
representatives of and acting under the powers and immunities of the Court,
and shall enjoy such immunities while acting in good faith in such capacity.
(2) Powers of Committee. The Committee shall be vested with such powers as
are necessary to conduct the proper and expeditious disposition of any matter
referred by the Court, including the power to compel the attendance of
witnesses, to take or cause to be taken the deposition of any witnesses, to
secure the production of documentary evidence, to administer oaths, and
those powers described elsewhere in these rules.
(j) Disciplinary Proceedings.
(1) Preliminary Investigation. Upon referral of a disciplinary matter, the
Committee shall conduct a preliminary investigation to determine whether a
formal disciplinary proceeding should be initiated. If no such finding is made,
the Committee shall file with the Court its written recommendations for
disposition of the matter whether by dismissal, admonition, deferral or any
other action. In cases of dismissal, the attorney who is the subject of the
investigation need not be notified of the proceeding. All investigative reports,
records, and recommendations generated by or on behalf of the Committee
under such circumstances shall remain strictly confidential. Such reports,
records, and recommendations shall be kept with the clerk of the Court in a
sealed envelope or box labeled "confidential: to be opened only upon written
order of the Court" and shall be destroyed five years after final disposition of
the matter.
(2) Probable Cause, Show Cause Order. Upon a finding that probable cause
exists, the Committee shall file with the Court a written report of its
investigation, stating with specificity the facts supporting its conclusions, and,
shall apply to the Court for issuance of an order requiring the attorney to
show cause within 35 days after service of that order why the attorney should
not be disciplined. The Court may, upon concurrence by a majority of its
members, issue an appropriate show cause order. Such issued show cause
order shall be accompanied by a copy of the Committee's written report for
service upon the attorney. Such written report shall otherwise remain
confidential.
(3) Rescission of Show Cause Order, Hearing. The Committee shall act on the
attorney's response either by recommending the Court rescind its Order To
Show Cause, or by conducting a confidential hearing on the matter affording
the attorney an opportunity to be represented by counsel, to present witnesses
and other evidence, and to confront and cross-examine witnesses in a
proceeding guided by the spirit of the Federal Rules of Evidence. A record
shall be made of all proceedings. Unless he or she asserts a privilege or right
properly available under applicable federal or state law, the attorney may be
called as a witness by the Committee to make specific and complete disclosure
of all matters material to the charge of misconduct.
(4) Recommendations. Upon completion of the proceeding, the Committee
shall make its confidential written report and recommendation to the Court.
The Committee shall include findings of fact as to the charges and
recommendations regarding whether or not the accused attorney should be
found guilty of misconduct justifying disciplinary actions by the Court, and
recommendations as to the disciplinary measures to be applied by the Court.
The report shall be accompanied by a record of the proceedings including an
appropriate index which record shall include a transcript of the proceedings,
all pleadings, and all evidentiary exhibits. A copy of the report and
recommendation shall also be furnished to the attorney.
(5) Actions by Court. The Court, by majority vote of its judges, shall take
such further action as it deems appropriate.
(k) Conviction of Crime.
(1) Suspension. Upon the filing with this Court of a certified copy of a
judgment of conviction demonstrating an attorney has been convicted in a
Court of competent jurisdiction of a felony, or a misdemeanor involving
moral turpitude, the Court shall enter its order suspending the attorney,
unless a majority of the judges of the Court deem such a suspension contrary
to the interests of justice. The suspension shall remain in effect until further
order of the Court.
(2) Proceedings. The Court may also institute such proceedings, to include
grievance committee proceedings, to determine the extent of final discipline to
be imposed upon the attorney, provided the final proceedings shall not occur
until all appeals from the conviction are concluded.
(3) Reinstatement, Proceedings then Pending. A suspension hereunder shall
be terminated immediately upon the filing of a certificate demonstrating that
the underlying conviction of a serious crime has been reversed. However,
reinstatement shall not terminate any disciplinary proceedings then pending
against the attorney, the disposition of which shall be determined by the
Court utilizing the procedures hereunder.
(l) Discipline Imposed by Other Courts.
(1) Notification to Clerk. An attorney admitted to practice before this Court
shall, upon being suspended, disbarred, or subjected to any form of public
discipline by any other Court, promptly inform the Clerk of this Court of
such action. This Court, acting by a majority of its judges, may refer this
matter to a grievance committee or issue its order to the attorney to show
cause, within 35 days, why he or she should not be disciplined by this Court.
(2) Conclusiveness of Final Adjudication. A final adjudication in another
Court that an attorney has been guilty of misconduct shall establish
conclusively the misconduct for purpose of a disciplinary proceeding in this
Court, unless the attorney demonstrates, and the Court is satisfied that, upon
the face of the record upon which the discipline in another jurisdiction is
predicated, it clearly appears that:
(A) The procedure in the other jurisdiction was so lacking in notice or
opportunity to be heard as to constitute a deprivation of due process
or
(B) There was such infirmity of proof establishing misconduct as to
give rise to the clear conviction that this Court could not, consistent
with its duty, accept as final the conclusion on that subject.
(3) Actions by Court. The Court, acting upon the attorney's response to the
Show Cause Order or upon the report and recommendation of a grievance
committee if appointed, may take such further disciplinary action as a
majority of the judges deem appropriate under the circumstances.
(m) Disbarment on Consent or Resignation in Other Courts.
(1) Notification to Clerk. Any attorney admitted to practice before the Court
shall, upon being disbarred on consent or resigning from any other Bar while
an investigation into allegations of misconduct is pending, promptly inform
the Clerk of this Court of such disbarment on consent or resignation.
(2) Removal from Roll of Attorneys. An attorney admitted to practice before
this Court who shall be disbarred on consent or resign from the Bar of any
other Court of the United States or the District of Columbia, or from the Bar
of any state, territory, commonwealth or possession of the United States while
an investigation into allegations of misconduct is pending shall, upon filing
with this Court of a certified copy of the judgment or order accepting such
disbarment on consent or resignation, cease to be permitted to practice before
this Court and be stricken from the roll of attorneys admitted to practice
before this Court.
(n) Disbarment on Consent While under Disciplinary Investigation or Prosecution,
or Otherwise.
(1) Consent. Any attorney who desires to consent to disbarment by this Court
for any reason, to include those related to allegations of misconduct, may
consent to disbarment but only upon delivery of an affidavit to this Court, in
such form and content as may be required to satisfy the Court that the
consent to disbarment is:
(A) Freely and voluntarily rendered without coercion or duress and,
that the attorney is fully aware of the implications of so
consenting;
(B) For reasons recited within the affidavit, which the attorney
acknowledges are true, which form the basis for disbarment.
(2) Entry of Order of Disbarment. Upon receipt of the required affidavit, this
Court shall enter its order of disbarment. However, the affidavit required
pursuant to the provisions of this Rule shall not be publicly disclosed or made
available for use in any other proceeding except upon order of this Court.
(o) Incompetence or Incapacity.
(1) When it appears that an attorney, for whatever reason, is failing to
perform at an adequate level of competence necessary to protect his/her
client's interests, the Court shall be empowered to take such remedial action,
acting by a majority of its members, as it deems appropriate to insure the
attorney's maintenance of an adequate level of competency, to include, but
not restricted to:
(A) Appropriate referral of the affected attorney to such entities or
parties as may assist the attorney in achieving necessary levels of
competency;
(B) Limiting or restricting the attorney's practice before the
Court;
(c) Suspension from practice until compliance with competency levels
is insured.
(2) Action by the Court relating to matters of attorney competency shall be
taken by a majority vote of the judges thereof after consideration of such
response from the attorney as the Court may deem appropriate.
(p) Reinstatement.
(1) After Disbarment or Suspension. An attorney suspended for three months
or less shall be automatically reinstated at the end of the period of suspension
upon the filing with this Court of an affidavit of compliance with the
provisions of the order. An attorney suspended for more than three months
or disbarred may not resume the practice of law before this Court until
reinstated by order of the Court.
(2) Time of Application Following Disbarment. An attorney who has been
disbarred after hearing or consent may not apply for reinstatement until the
expiration of at least five years from the effective date of disbarment.
(3) Hearing on Application. Petitions for reinstatement by a disbarred or
suspended attorney under this Rule shall be filed with the Chief Judge of this
Court. The Chief Judge may submit the petition to the Court or may, in
his/her discretion, refer the petition to the Grievance Committee which shall
within thirty days of the referral schedule a hearing at which the petitioner
shall have the burden of establishing by clear and convincing evidence that he
or she has the moral qualifications, competency, and learning in the law
required for admission to practice before this Court and that his/her
resumption of the practice of law will not be detrimental to the integrity and
standing of the bar or the administration of justice, or subversive of the
public interest. Upon completion of the hearing the Committee shall make a
full report to the Court. The Committee shall include its findings of fact as to
the petitioner's fitness to resume the practice of law and its recommendations
as to whether or not the petitioner should be reinstated.
(4) Conditions of Reinstatement. If after consideration of the Committee's
report and recommendation the Court finds that the petitioner is unfit to
resume the practice of law, the petition shall be dismissed. If after
consideration of the Committee's report and recommendation the Court finds
that the petitioner is fit to resume the practice of law, the Court shall reinstate
the petitioner, provided that the judgment may make reinstatement
conditional upon the payment of all or part of the costs of the proceedings,
and on the making of partial or complete restitution to all parties harmed by
the petitioner whose conduct led to the suspension or disbarment. Provided
further, that if the petitioner has been suspended or disbarred for five years
or more, reinstatement may be conditioned, in the discretion of the Court,
upon the furnishing of proof of competency and learning in the law, which
proof may include 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.
Provided further that any reinstatement may be subject to any conditions
which the Court in its discretion deems appropriate.
(5) Successive Petitions. No petition for reinstatement under this rule shall be
filed within one year following an adverse judgment upon a petition for
reinstatement filed by or on behalf of the same person.
(6) Deposit for Costs of Proceedings. Petitions for reinstatement under this
Rule shall be accompanied by a deposit in an amount to be set from time to
time by the Court in consultation with the Grievance Committee to cover
anticipated costs of the reinstatement proceeding.
(7) Oath and Fee Upon Reinstatement. Any attorney disbarred or suspended
from practice in this Court and subsequently readmitted shall take the oath,
pay the fee then prescribed, and sign the roll of attorneys for this district.
(q) Attorneys Specially Admitted Subject to Discipline. Whenever an attorney
applies to be admitted or is admitted to this Court for purposes of a particular
proceeding (pro hac vice), the attorney shall be deemed thereby to have conferred
disciplinary jurisdiction upon this Court for any alleged misconduct arising in the
course of or in the preparation for such a proceeding which is a violation of this
Court's Local Rules and/or the Rules of Professional Conduct adopted by this Court
as provided in these Rules.
(r) Appointment of Counsel. Whenever, at the direction of the Court or upon request
of the Grievance Committee, counsel is to be appointed pursuant to these rules to
investigate or assist in the investigation or misconduct, to prosecute or assist in the
prosecution of disciplinary proceedings, or to assist in the disposition of a
reinstatement petition filed by a disciplined attorney, this Court, by a majority vote
of the active Judges thereof, may appoint as counsel any active member of the Bar of
this Court, or may, in its discretion, appoint the disciplinary agency of the highest
Court of the state wherein the Court sits, or other disciplinary agency having
jurisdiction.
(s) Service of Paper and Other Notices. Service of an order to show cause instituting
a formal disciplinary proceeding shall be made by personal service or by registered
or certified mail addressed to the affected attorney at the address shown on the roll
of attorneys admitted to practice before this Court. Service of any other papers or
notices required by these rules shall be deemed to have been made if such paper or
notice is addressed to the attorney at the address shown on the role of attorneys
admitted to practice before this Court; or to counsel or the respondent's attorney at
the address indicated in the most recent pleading, document or other papers filed by
them in the course of any proceeding.
(t) Duties of the Clerk.
(1) Upon being informed that an attorney admitted to practice before this
Court has been convicted of any crime, the Clerk of this Court shall
determine whether the Court in which such conviction occurred has
forwarded a certificate of such conviction to this Court. If a certificate has not
been so forwarded, the Clerk of this Court shall promptly obtain a certificate
and file it with this Court.
(2) Upon being informed that an attorney admitted to practice before this
Court has been subjected to discipline by another Court, the Clerk of this
Court shall determine whether a certified or exemplified copy or order has
been filed with this Court, and, if not, the Clerk shall promptly obtain a
certified or exemplified copy of the disciplinary judgment or order and file it
with this Court.
(3) Whenever it appears that any person who has been convicted of any crime
or disbarred or suspended or censured or disbarred on consent by this Court
is admitted to practice law in any other jurisdiction or before any other
Court, this Court shall, within 14 days of that conviction, disbarment,
suspension, censure, or disbarment or consent, transmit to the disciplinary
authority in such other jurisdiction, or for such other Court, a certificate of
the conviction or a certified or exemplified copy of the judgment or order of
disbarment, suspension, censure, or disbarment on consent, as well as the last
known office and residence addresses of the disciplined attorney.
(4) The Clerk of this Court shall, likewise, promptly notify the National
Discipline Bank operated by the American Bar Association of any order
imposing public discipline on any attorney admitted to practice before this
Court.
(u) Retained Powers. Nothing contained in this rule shall be construed to deny the
Court its inherent power to maintain control over the proceedings conducted before
it or to deny the Court those powers derived from statute, rules of procedure, or
other rules of Court.
