UNITED STATES DISTRICT COURT
EASTERN DISTRICT OF LOUISIANA
ORDER AMENDING LOCAL RULES
Appropriate Public Notice and an opportunity to comment having been given
pursuant to Rule 83, Federal Rules of Civil Procedure, and pursuant to a majority vote of
the active judges of this court,
IT IS ORDERED that the Rules for Lawyer Disciplinary Enforcement of the United
States District Court for the Eastern District of Louisiana are amended to read as attached,
effective February 1, 2011.
2nd day of February, 2011.
New Orleans, Louisiana, this ____
________________________________
SARAH S. VANCE, CHIEF JUDGE
RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
OF THE
UNITED STATES DISTRICT COURT
FOR THE
EASTERN DISTRICT OF LOUISIANA
UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF LOUISIANA
RULES FOR LAWYER DISCIPLINARY ENFORCEMENT
1. General Provisions and Standards
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.
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 Louisiana 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
3.1. By Voluntary Resignation. A member of the bar may submit his or her voluntary
resignation, disbarment or the imposition of other discipline by written request
filed with the clerk of court. Once filed, such request must be assigned a
miscellaneous number and a copy forwarded to the Chief Judge and the Lawyers
2
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
Disciplinary Committee. The Lawyers Disciplinary Committee must thereafter
process the request in the same manner as it would process a complaint.
3.2. By Complaint. Disciplinary proceedings under these Rules may be commenced by
the filing of a complaint with the clerk of court asserting the alleged grounds for
discipline, and if applicable, any judgment of conviction or any order of another
court imposing discipline.
3.2.1. Who May File a Complaint. Any person may file a disciplinary complaint
in writing with the clerk of court.
3.2.2. Complaints Against Lawyers Convicted of a Felony or Subjected to
Discipline. 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. The clerk of court must file a complaint against any
lawyer who has been convicted of a felony or subjected to public
discipline in any jurisdiction.
3.2.3. Notice to Respondent, Court and Lawyer Disciplinary Committee. The
clerk of court must assign a Miscellaneous Action Number to the
complaint, 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 to
the respondent via email, and also serve the complaint via United States
certified mail, return receipt requested.
3.2.4. Response to Complaint by Respondent. Within 14 days of service of the
complaint, 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. Report and 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.
4.1. Committee. The Lawyer Disciplinary Committee consists of seven (7) members
of the bar appointed by the court en banc.
4.1.1. Term. Each committee member serves at the pleasure of the court.
However, the term of each committee member is normally three (3) years.
The terms of the members of the committee are staggered so that no more
than two (2) members are replaced each year.
3
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
4.1.2. Quorum. The quorum necessary for the committee to act consists of five
(5) 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 Report and Recommendation. Within 35 days after service of the
complaint, the Lawyer Disciplinary Committee must send a confidential
recommendation to the Chief Judge regarding disposition of the complaint.
4.2.1. Distribution to Court. The Chief Judge must distribute the
recommendation to the court en banc.
4.2.2. Recommendations. The committee may recommend that the court: (a)
dismiss the complaint; (b) impose 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.
5. Evaluation by En Banc Court. After considering the report and 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 report of the Lawyer
Disciplinary Committee, the court en banc concludes that summary disciplinary
action is warranted, the court must specify the summary discipline in an order that
the clerk of court must serve upon the respondent. The 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
4
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
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 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.
6.2.2. Objection. If the respondent objects to the proposed summary discipline,
the en banc court may docket the matter for hearing.
7. Matters Docketed for Hearing
7.1. Docketing and Allotment. If the court en banc determines that a hearing should be
held, the clerk of court must randomly allot the matter to one of the judges of the
court. 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, or another lawyer, to
prosecute the action.
7.3. Hearing. The allotted judge must conduct the hearings and all other necessary
proceedings in the disciplinary action.
7.4. Findings and Recommendations by Allotted Judge. At the conclusion of all
necessary proceedings, the judge must submit written findings and
recommendations to the court en banc for determination of the disciplinary
sanctions, if any, to be imposed.
7.5. Dismissal or Imposition of Discipline by En Banc Court. After consideration of
the allotted judge’s findings and recommendations, the court en banc must enter
an order either dismissing the complaint or imposing appropriate discipline. The
clerk of court must notify the respondent of the court’s action by email, and also
serve the respondent by certified mail, return receipt requested.
8. Disciplinary Sanctions.
8.1. Available Sanctions. The court en banc may impose the following disciplinary
sanctions, among others: disbarment, suspension, public reprimand, private
5
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
admonition, monetary sanctions, restitution, probation and such other sanctions as
the court deems appropriate.
8.2. Reciprocal Disciplinary Sanctions. As to a lawyer subjected to public discipline in
any other jurisdiction, the court en banc typically will impose a concurrent,
reciprocal sanction with that imposed by the other jurisdiction unless:
8.2.1. The lawyer was deprived of due process by the lack of proper notice or the
opportunity to be heard; or
8.2.2. The evidence supporting the misconduct charges was so questionable that
the court should not accept as final the finding of misconduct.
9. Post-Discipline Procedures
9.1. Payment of Fees and Costs
9.1.1. Fees of Prosecution Counsel. On completion of his/her services in any
disciplinary or other matter under these Rules, counsel designated by the
Lawyer Disciplinary Committee to prosecute any disciplinary action may
file a motion with the clerk of court seeking an award of reasonable fees
and costs, to be paid from the court’s Disciplinary Enforcement Fund. In
awarding fees, the court must apply the hourly rates applicable to lawyers
representing indigent defendants in the court.
9.1.2. Assessment of Fees and Costs. The court may assess attorney’s fees and
costs of any disciplinary proceeding against the respondent. The
respondent must remit any such funds to the clerk of court for deposit into
the court’s Disciplinary Enforcement Fund.
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, the lawyer so suspended or disbarred or
assuming inactive status must notify by certified mail, return receipt
requested, each of the clients 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.
6
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
9.3. Reinstatement. A suspended or disbarred lawyer 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.
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. 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
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. 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
judge must submit written findings and recommendations to the court.
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
set by the court. The advance will be applied to the final costs, including
any counsel fees, 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 costs of the proceedings; upon the making of partial or
complete restitution to parties harmed by the applicant whose conduct led
7
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
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
10.1.1. 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, except orders imposing public discipline, must not be made public
except upon order of the court. All disciplinary proceedings must be heard in
chambers, unless the respondent requests a hearing in open court.
10.3. Interim Suspension for Threat of Harm
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
8
E.D. LA . RULES OF LAWYER DISCIPLINARY ENFORCEMENT
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
