(a) Discipline. When alleged attorney misconduct is brought to the attention
of the Court, whether by a Judge, 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.
(b) Grievance Committee. The Judges of this Court may appoint a standing
Committee of not less than five (5) members of the Bar to address alleged
attorney misconduct. A majority of the Committee shall constitute a quorum.
(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, and to
administer oaths and those powers described elsewhere in these Rules.
(c) 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 in a sealed
electronic file to be opened only upon written order of the Court and shall be
destroyed five (5) 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 30 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.
A record of the proceedings, which shall include an appropriate index, a
transcript of the proceedings, all pleadings, and all evidentiary exhibits, shall
accompany the report. 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.
(d) 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 an 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 herein.
(e) 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 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 thirty (30) 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 clearly demonstrates to the Court’s satisfaction
that, upon the face of the record upon which the discipline in another
jurisdiction is predicated:
(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.
(f) 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 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 any other
Bar 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.
(g) 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; and
(B) For reasons recited within the affidavit, which the attorney
acknowledges are true and 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.
(h) 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
as it deems appropriate to insure the attorney's maintenance of an adequate
level of competency, to include, but not be 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; or
(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.
(i) Reinstatement.
(1) After Disbarment or Suspension. An attorney suspended for three (3)
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 (3)
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 (5) 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 (30) 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
conduct that led to the suspension or disbarment. Provided further, that if
the petitioner has been suspended or disbarred for five (5) 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 reinstatement may be subject to any conditions that the Court in
its discretion deems appropriate.
(5) Successive Petitions. No petition for reinstatement under this Rule
shall be filed within one (1) 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.
(j) 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.
(k) 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 of 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 its active Judges, 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.
(l) 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 roll 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 paper filed by them in the course of
any proceeding.
(m) 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 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
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 shall
determine whether a certified or exemplified copy of the 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, suspended, censured, or disbarred on consent by this
Court, is admitted to practice law in any other jurisdiction or before any other
Court, the Clerk shall, within fourteen (14) days of that conviction,
disbarment, suspension, censure, or disbarment on 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 shall, likewise, promptly notify the National Lawyer
Regulatory Data Bank operated by the American Bar Association of any order
imposing public discipline on any attorney admitted to practice before this
Court.
(n) 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.
(o) Sanctions. The Court may impose appropriate sanctions on any party or
attorney who fails to comply with a Local Rule. The Local Rules are intended to
be enforced primarily upon the Court’s own initiative. A party should not file a
motion seeking sanctions for alleged non-compliance with a Local Rule unless
the alleged violation is egregious or unfairly prejudicial.
