RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
OF THE
UNITED STATES DISTRICT COURT
FOR THE
EASTERN DISTRICT OF LOUISIANA
December 1, 2015
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF LOUISIANA
RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
1. General Provisions and Self-Reporting Requirement
1.1. Jurisdiction. This court has disciplinary jurisdiction over any lawyer admitted to
practice before this court.
1.2. Adoption of Louisiana Rules of Professional Conduct. The Louisiana Rules of
Professional Conduct of the Supreme Court of the State of Louisiana (“Rules of
Professional Conduct”) apply to all lawyers admitted to practice before this court.
1.3. Default Application of Federal Rules of Civil Procedure. Unless otherwise
provided by these rules, all procedures in disciplinary actions, including
discovery, are governed by the Federal Rules of Civil Procedure and this court’s
local rules.
1.4. No Effect on Power of Court to Control Proceedings. Nothing contained in these
Rules restricts this court in exercising the power to maintain control over
proceedings, such as contempt proceedings.
1.5. Self-Reporting Requirement. A lawyer who has been convicted of a felony or
subjected to public discipline in any jurisdiction must promptly inform the clerk
of court of such action and provide the clerk a copy of the conviction or any order
of another court imposing discipline.
2. Grounds for Discipline. The court en banc may impose discipline upon a lawyer
authorized to practice before this court if it finds clear and convincing evidence that one
or more of the following circumstances exist:
2.1. The lawyer has committed “misconduct” as defined in the Rules of Professional
Conduct;
2.2. The lawyer has been convicted of a serious crime in any court of the United States
or any of its territories, commonwealths, or possessions, or any state of the United
States, or the District of Columbia. The term “serious crime” includes (1) a
felony, or (2) any other crime that raises a substantial question as to the lawyer’s
honesty, trustworthiness or fitness as a lawyer in other respects.
2.3. The lawyer has been disciplined by any court of the United States or any of its
territories, commonwealths, or possessions; or any state of the United States or
the District of Columbia.
3. Commencement of Proceedings. Disciplinary proceedings may be commenced by any of
the following means:
2
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
3.1. By Voluntary Submission to Discipline. A member of the bar may submit his or
her voluntary resignation or request for disbarment or the imposition of other
discipline, by written request filed with the clerk of court. Once filed, such
submission must be assigned a miscellaneous number and a copy forwarded to the
Chief Judge and the Lawyer Disciplinary Committee. The clerk of court and the
Lawyer Disciplinary Committee must thereafter process the submission in the
same manner as it would process a complaint in a disciplinary proceeding under
these Rules.
3.2. By Complaint Filed With the Clerk of Court. Disciplinary proceedings under
these Rules may be commenced by filing a complaint with the clerk of court
asserting the alleged grounds for discipline. Any person may file a disciplinary
complaint in writing with the clerk of court.
3.3. By the Clerk of Court’s Filing of a Complaint Upon Receipt of Notice of
Conviction of a Serious Crime or Public Discipline. Upon receipt of a notice of
conviction of a serious crime or public discipline in another jurisdiction, the clerk
of court must file a complaint against the lawyer named in the notice.
3.4. Notice to Respondent, Court and Lawyer Disciplinary Committee. The clerk of
court must assign a Miscellaneous Action Number to every disciplinary
proceeding, and forward a copy of the complaint and attachments to the lawyer
named in the complaint (“respondent”), to the Chief Judge, and to the Lawyer
Disciplinary Committee. The clerk must send the complaint and attachments to
the respondent via email, and also serve the complaint and attachments via United
States certified mail, return receipt requested.
3.5. Response to Complaint by Respondent. Within 14 days of service of the
complaint and attachments, the respondent must file with the clerk of court a
written response to the complaint. The clerk of court must forward the response to
the Chief Judge and to the Lawyer Disciplinary Committee. If the respondent fails
timely to respond, the clerk of court must notify the Chief Judge and the Lawyer
Disciplinary Committee.
4. Recommendation by Lawyer Disciplinary Committee. The Lawyer Disciplinary
Committee assists the court with the administration of lawyer disciplinary enforcement.
Among other duties, the committee reviews disciplinary complaints, makes
recommendations to the court regarding the disposition of complaints and, when directed
by the court, prosecutes complaints. The committee may conduct a limited investigation
prior to making a recommendation to the court, including non-compulsory (a) interviews
and (b) requests for documents, including documents from the state disciplinary
proceeding.
4.1. Committee. The Lawyer Disciplinary Committee consists of twelve (12) members
of the bar appointed by the court en banc.
3
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
4.1.1. Term. Each committee member serves at the pleasure of the court.
However, the term of each committee member is usually three (3) years.
The terms of the members of the committee are staggered so that no more
than four (4) members are replaced each year.
4.1.2. Quorum. The quorum necessary for the committee to act consists of seven
(7) members of the committee.
4.1.3. Majority Required to Act. The committee may act only by vote of a
majority of committee members actually participating in any meeting or
vote.
4.1.4. Recusal. If any committee member is recused, the court may appoint an
ad hoc committee member to serve for the recused member if another
member is necessary for the committee to obtain a quorum.
4.1.5. Meetings. The committee may meet or act in person, by telephone or by
email. Proxy voting is prohibited.
4.2. Committee Recommendation. Within 35 days after the clerk of court sends the
complaint to the Lawyer Disciplinary Committee, unless the time is extended by
the Chief Judge, the Lawyer Disciplinary Committee must send a confidential
recommendation to the Chief Judge regarding disposition of the complaint.
4.2.1. Recommendations. The committee may recommend that the court: (a)
dismiss the complaint; (b) impose discipline without a hearing (summary
discipline); (c) conduct a hearing on the complaint; or (d) take other
appropriate action. The court is not bound by the committee’s
recommendation.
4.2.2. Distribution to Court. The Chief Judge must distribute the Lawyer
Disciplinary Committee’s recommendation and the respondent’s response
to the complaint to the court en banc.
5. Evaluation by En Banc Court. After considering the recommendation of the Lawyer
Disciplinary Committee, the court en banc may:
5.1. dismiss the complaint,
5.2. impose summary discipline,
5.3. docket the matter for hearing, or
5.4. take such other action the court deems appropriate.
6. Matters Resolved Summarily
6.1. Proposed Summary Discipline. If, after reviewing the recommendation of the
Lawyer Disciplinary Committee, the court en banc concludes that summary
disciplinary action is warranted, the court must specify the proposed summary
discipline in an order that the clerk of court must serve upon the respondent. The
4
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
order must require the respondent to show cause within 14 days after service why
the proposed summary disciplinary sanction should not be imposed. The clerk of
court must send the order to the respondent by email and serve the respondent by
certified mail, return receipt requested, along with a copy of the document(s) upon
which the disciplinary proceedings are based, such as the complaint, the judgment
of conviction, or the disciplinary order or judgment of another court.
6.2. Response by Complainant. Within 14 days after service of the order regarding the
proposed summary discipline, the respondent must file a written response with the
clerk of court either (a) accepting the imposition of the proposed summary
discipline, or (b) requesting that the matter be docketed for hearing.
6.2.1. Acceptance or Failure to Respond. If the respondent accepts the proposed
summary discipline, or fails to respond, the court may impose the
proposed summary discipline. The clerk of court must send the respondent
the en banc court’s order by email, and also serve the respondent with a
copy of the en banc court’s order by certified mail, return receipt
requested.
6.2.2. Objection. If the respondent objects to the proposed summary discipline,
the en banc court must docket the matter for a hearing.
7. Matters Docketed for Hearing
7.1. Docketing and Allotment. In disciplinary proceedings docketed for hearing, the
clerk of court must send notice of the hearing to the respondent by email, and also
serve the notice of the hearing on the respondent by U.S. certified mail, return
receipt requested. The clerk of court must also randomly allot the matter to one
of the judges of the court for the holding of a hearing. If a matter is allotted to
the judge who filed the complaint, the clerk of court must reallot the matter to
another judge.
7.2. Appointment of Lawyer Disciplinary Committee as Prosecutor. In disciplinary
proceedings docketed for hearing, the court must appoint the Lawyer Disciplinary
Committee to investigate and prosecute the matter. The Lawyer Disciplinary
Committee must designate one or more of its members to prosecute the action. In
the event there are no appropriate members of the Lawyer Disciplinary
Committee to prosecute the action, the court will appoint ad hoc members to the
Lawyer Disciplinary Committee to prosecute the action.
7.3. Hearing. The allotted judge must conduct the hearing in the disciplinary action.
7.4. Consent Judgments. In the event the public discipline in another jurisdiction was
based on a consent agreement but the respondent objects to reciprocal discipline
in this court, the matter shall be set for hearing and any conditional admissions
made in connection with the consent agreement may be used against the
respondent.
5
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
7.4.1. Consent Judgments. In the event the public discipline in another
jurisdiction was based on a consent agreement and this court concludes the
record received from the other jurisdiction justifies a different sanction,
the matter shall be set for hearing and any conditional admissions made in
connection with the consent agreement may not be used against the
respondent.
7.5. Report by Allotted Judge. At the conclusion of the hearing, the allotted judge
must submit an internal report to the court en banc.
7.6. Dismissal or Imposition of Discipline by En Banc Court. After the allotted
judge’s report is submitted to the en banc court, the matter will be reallotted to the
Chief Judge. After consideration of the record, including matters obtained through
any investigation by the Lawyer Disciplinary Committee, and the allotted judge’s
internal report, the court en banc must determine the disciplinary sanctions, if
any, to be imposed and enter its order and findings either dismissing the
complaint or imposing appropriate discipline. The clerk of court must send the
respondent the en banc court’s order by email, and also serve the respondent with
a copy of the en banc court’s order by certified mail, return receipt requested.
8. Disciplinary Sanctions.
8.1. Available Sanctions. The court en banc may impose the following disciplinary
sanctions: disbarment or suspension from practice before this court, public
reprimand, private admonition, monetary sanctions, restitution, probation and
such other sanctions as the court deems appropriate.
9. Post-Discipline Procedures
9.1. Payment of Expenses
9.1.1. Expenses of Prosecution Counsel. Counsel designated by the Lawyer
Disciplinary Committee or by the court to prosecute any disciplinary
action shall serve without compensation but upon completion of his or her
services may file a motion with the Chief Judge seeking reimbursement of
reasonable out-of-pocket expenses, to be paid from the court’s Attorneys’
Registration and Disciplinary Fund.
9.1.2. Assessment of Expenses. The court may assess expenses of any
disciplinary proceeding against the respondent. The respondent must remit
any such funds to the clerk of court per Rule 11 (c) of the Federal Rules of
Civil Procedure.
9.2. Notification of Disbarment or Suspension
9.2.1. Respondent’s Notice to Clients. Within 21 days from entry of the order of
suspension or disbarment or the order placing the lawyer on inactive
status, the lawyer so suspended or disbarred or assuming inactive status
must notify by certified mail, return receipt requested, each of the clients
6
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
the lawyer represents in this court of the fact that the lawyer cannot
continue to represent them.
9.2.2. Respondent’s Affidavit. Within 28 days from entry of the order of
suspension or disbarment, or from the date of a notice given to assume
inactive status, the lawyer must file with the clerk of court an affidavit
stating that the lawyer has fully complied with these rules. The affidavit
must set forth the lawyer’s residence or other address to which subsequent
communications may be addressed. The lawyer must maintain records
evidencing the lawyer’s compliance with this Rule.
9.3. Reinstatement. A suspended or disbarred lawyer, or one who has been placed on
inactive status, may practice before the court only after the court has ordered that
the lawyer be reinstated to practice.
9.3.1. Time for Filing. Sixty (60) days before the expiration of the period of
suspension imposed in the order of suspension, the suspended lawyer may
file a motion for reinstatement. A lawyer who has been disbarred after
hearing or by consent may not apply for reinstatement until the expiration
of at least five (5) years from the date of the disbarment, unless the
disbarment was based upon a disbarment by the Louisiana Supreme Court
or a court of another jurisdiction, in which case, a motion for reinstatement
may be filed at any time after readmission of the applicant to such other
court. A lawyer who has been placed on inactive status may file to be
placed on active status at any time.
9.3.2. Filing of Motion. The respondent must file a motion for reinstatement with
the clerk of court. The clerk must refer the motion to the section of court
to which the disciplinary proceeding had previously been allotted, and if
none, to a randomly allotted section of the court for hearing. The court
may refer any motion for reinstatement to the Lawyer Disciplinary
Committee for investigation and for a recommendation.
9.3.3. Summary Reinstatement. After considering a motion for reinstatement, the
en banc court may summarily reinstate a lawyer.
9.3.4. Reinstatement After Hearing. A motion for reinstatement that the court
declines to grant summarily must be docketed for hearing before the
allotted judge. At the hearing on the motion, the applicant has the burden
of demonstrating, by clear and convincing evidence, that the lawyer has
the competence, character and fitness required for readmission to practice
law before this court. The allotted judge must submit an internal report to
the court en banc. Final determination of the application for reinstatement
must be made by the court en banc.
9.3.5. Costs of Reinstatement. The court may order a lawyer seeking
reinstatement to pay a nonrefundable advance deposit in an amount to be
7
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
set by the court. The advance will be applied to the final expenses of the
reinstatement proceeding. Costs must be assessed to and paid by the
applicant upon conclusion of such proceeding, whether favorable or
unfavorable to the applicant.
9.3.6. Conditions of Reinstatement. If the court finds the lawyer is unfit to
resume the practice of law, the court must deny the motion. If the court
finds the lawyer fit to resume the practice of law, the court must reinstate
the applicant. Reinstatement may be conditioned upon the payment of all
or part of the expenses of the proceedings; upon the making of partial or
complete restitution to parties harmed by the applicant whose conduct led
to the suspension or disbarment; and other conditions deemed proper by
the court. If the lawyer has been suspended or disbarred, or has
voluntarily assumed inactive status for five years or more, reinstatement
may be conditioned upon the furnishing of proof of competency, character
and fitness to practice law, which proof may include certification by the
Bar Examiners of the State or other admitting jurisdiction of the lawyer's
successful completion of an examination for admission to practice
subsequent to the date of suspension or disbarment. The judgment must
require appropriate evidence of satisfaction of any conditions of
reinstatement imposed and must fix the time at which the reinstatement is
effective.
9.3.7. Successive Applications. No motion for reinstatement under this Rule may
be filed within one year following an adverse ruling on a motion for
reinstatement.
10. Miscellaneous Provisions
10.1. Service. When service upon any respondent of any pleading, order, notice, or
other document is directed by these Rules to be made by mail, such service is
deemed to have been made on the day that the letter is mailed to the respondent at
the respondent’s most recent address in the Roll of Attorneys.
10.2. Confidentiality. Complaints of misconduct and other records of disciplinary
proceedings must not be made public by the clerk, court or the Lawyer
Disciplinary Committee except upon order of the en banc court. Provided, in the
event the en banc court issues an order and reasons imposing public discipline,
the entire record will be made public. All disciplinary proceedings must be
conducted under seal, unless the respondent requests a hearing in open court.
Notwithstanding the foregoing, a complainant or respondent is not prohibited
from making public any documents or information in that person's possession
unless otherwise prohibited by law.
10.3. Interim Suspension for Threat of Harm
8
E.D. LA. RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
10.3.1. Grounds. The court en banc may immediately suspend a lawyer from
practice if there is clear and convincing evidence that the lawyer:
10.3.1.1. has committed a serious violation of the Rules of Professional
Conduct, and
10.3.1.2. presents a substantial threat of serious harm to the court or to
any person.
10.3.2. Commencement of Interim Suspension Proceedings. Interim suspension
proceedings commence through the filing of a petition with the clerk of
court requesting that the court suspend a lawyer from practice pending
further orders of the court. Any person may file such a petition. The
petition must include any supporting evidence (including any order of
interim suspension issued by another court). The clerk of court must
provide actual notice to the lawyer that a petition for immediate interim
suspension has been filed. The clerk must notify the lawyer via email, and
in addition, serve the lawyer by certified mail, return receipt requested. If
actual notice cannot be given, the clerk of court must certify in writing the
efforts that have been made to provide actual notice.
10.3.3. Immediate Interim Suspension. The court en banc must consider the
petition for interim suspension. After considering the evidence filed with
the clerk of court by the petitioner and any response filed by the
respondent, the court en banc may:
10.3.3.1. immediately suspend the lawyer, pending final disposition of a
disciplinary proceeding predicated upon the conduct causing
the harm;
10.3.3.2. order the lawyer to show cause why the court should not issue
an immediate interim suspension; or,
10.3.3.3. order such other action as it deems appropriate.
10.3.4. Motion for Dissolution of Interim Suspension. A lawyer suspended on an
interim basis may move to dissolve or to modify the order of suspension.
The motion must be accompanied by a brief setting forth specific reasons
why the suspension should be dissolved or modified, and any supporting
evidence. The court en banc must dissolve an order of interim suspension
unless there is clear and convincing evidence that the grounds for interim
suspension still exist.
* * * END * * *
9
