(a) Standards of Professional Conduct
This Court adopts as its standard for professional conduct the Maine Rules of
Professional Conduct adopted by the Supreme Judicial Court of Maine, as
amended from time to time by that Court.
(b) Consent to Jurisdiction
Any attorney admitted, applying for admission, or who is permitted to appear
and practice before this Court confers disciplinary jurisdiction on the Court for
any alleged misconduct of that attorney.
(c) Attorney Duty to Inform
Any attorney admitted or permitted to practice before this Court must
promptly inform the Clerk in writing if the attorney:
(1) is convicted of a crime in any court;
(2) is suspended from practice, disbarred, put on probation, or subject to
any other sort of disciplinary action by any authority governing the
practice of law;
(3) is found to be incapacitated by any court or bar; or
(4) consents to disbarment or resigns from the bar while an investigation
into allegations of misconduct or incapacity is pending.
(d) Disciplinary Proceedings
(1) Special Counsel. Except as otherwise provided in this rule, when the
Court learns of allegations of misconduct or incapacity which, if
substantiated, would warrant discipline or other corrective action
against an attorney applying to or admitted to practice before this Court,
the Chief Judge may appoint special counsel with the powers and
obligations described in subsection (e) and refer the matter to the special
counsel.
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(2) Formal Proceedings; Initiation and Response
(A) After investigation, special counsel may initiate formal
disciplinary proceedings by promptly filing a complaint with the
Court.
(B) Upon the filing of a complaint, the Clerk must issue a summons
and deliver the summons and a copy of the complaint to the
Marshal to be served according to subsection (k).
(C) The respondent-attorney must file an answer to the complaint
within 21 days of service.
(D) If the respondent-attorney’s answer raises any issue of fact, or the
respondent-attorney wishes to be heard in mitigation, the Court
will set the matter for a prompt hearing before one or more judges.
If the proceeding is based on a complaint from a judge of this
Court, the complaining judge may not conduct the hearing; if no
judge of this Court is eligible to serve, the hearing may be
conducted by a district judge of this circuit appointed by the Chief
Judge of the Court of Appeals.
Nothing in this rule prohibits the Court from taking other action it
deems appropriate, including referring any matter to another judge of
this Court for making determinations in accordance with these rules.
(e) Appointment of Special Counsel
(1) This Court may appoint special counsel at any stage in any proceeding
under these rules. The term “special counsel” refers to any attorney
appointed by the Court to perform the investigative or prosecutorial
functions of this rule.
(2) Special counsel must investigate a matter referred to them and may
prosecute a formal disciplinary proceeding. If special counsel concludes
after investigation that a formal proceeding should not be initiated
against the respondent-attorney, special counsel must file a
recommended disposition and statement of reasons with the Court. The
recommendation may include dismissal, stay, deferral, proceedings
under the Maine Bar Rules, or other appropriate action.
(3) Special counsel, once appointed, may not resign without the Court’s
permission.
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(4) When appointing special counsel under these rules, this Court may
select any attorney or attorneys who are members of the bar of the
Court.
(5) For good cause, the respondent-attorney may move to disqualify special
counsel.
(f) Discipline of Attorneys Convicted of Crimes
(1) Conviction of a Serious Crime
(A) When this Court receives a copy of a judgment of conviction
showing that an attorney admitted to practice before the Court
has been convicted in any court of a serious crime as defined in
subsection (n), the Court will enter an order immediately
suspending that attorney until there is a final disposition in a
disciplinary proceeding based on that conviction. The attorney
will be suspended whether the conviction resulted from a plea of
guilty or nolo contendere or from any verdict, and regardless of
the pendency of any appeal.
(i) A copy of the order of suspension must immediately be
served on the attorney as provided in subsection (k).
(ii) The Court may set aside the order of suspension for good
cause, when it appears in the interest of justice to do so.
(B) Upon receiving such a record of conviction, the Court will also
refer the matter to special counsel for the institution of a
disciplinary proceeding before one or more judges of the Court.
(i) The sole question in that disciplinary proceeding will be
what final discipline should be imposed based on the
conduct that resulted in the conviction.
(ii) The disciplinary proceeding may not proceed to a final
hearing until all appeals from the conviction are concluded.
(C) An attorney suspended under this subsection will be reinstated
immediately after filing documentation that the underlying
conviction of a serious crime has been reversed. This
reinstatement will not terminate any disciplinary proceeding
pending against the attorney. The Court will determine the
disposition of that disciplinary proceeding based on all the
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available evidence relating both to culpability and to appropriate
discipline.
(2) Conviction of Any Other Crime. When this Court receives a copy of
a judgment of conviction showing that an attorney admitted to practice
before the Court has been convicted in any court of a crime that is not a
serious crime as defined in subsection (n), the Court may refer the
matter to special counsel for whatever action special counsel may deem
warranted. However, the Court may choose not to refer matters
regarding convictions for minor offenses.
(3) Establishing Misconduct. In a disciplinary proceeding against an
attorney based on a criminal conviction, a certified copy of the attorney’s
judgment of conviction for that crime is conclusive evidence that the
attorney committed the crime.
(g) Action Taken by Other Courts or Tribunals
(1) Reciprocal Suspension for Administrative Suspension by the
Maine Board of Overseers of the Bar
(A) Upon receiving notice that an attorney admitted to practice or
practicing before this Court is administratively suspended by the
Maine Board of Overseers of the Bar under the Maine Bar Rules,
the Court will immediately administratively suspend the
attorney from practice in this Court for 14 days. The Court will
promptly notify the attorney that:
(i) the attorney has been administratively suspended for a
period of 14 days;
(ii) the attorney must provide proof of reinstatement by the
Maine Board of Overseers of the Bar, or assert an
additional basis to practice in this Court as permitted by
Rule 83.1(c), within those 14 days; and
(iii) if no reply is made within 14 days, the Court will suspend
the attorney from practice in this Court.
(B) If the Court receives notice during the 14-day suspension period
from the Maine Board of Overseers of the Bar that the attorney
has been reinstated, the Court will promptly reinstate the
attorney to the bar of this Court.
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(2) Disbarment or Suspension
(A) After receiving a copy of a judgment or order by any court of
disbarment or suspension, for reasons other than incapacity, this
Court may enter an order immediately suspending that attorney
from practice in this Court.
(B) After suspending an attorney under this subsection, the Court
will promptly send the attorney a notice containing:
(i) a copy of the suspension order entered by this Court;
(ii) a copy of the judgment or order from the other court or
tribunal; and
(iii) an order to show cause directing the attorney to inform this
Court of any reason under subsection (g)(4) that the Court
should not impose reciprocal discipline, within 14 days
after the order is served on the attorney.
(C) If the Court does not immediately suspend the attorney under
this subsection, it may issue an order directing the attorney to
show cause why this Court should not impose some other
specified discipline that the Court deems appropriate.
(3) Incapacity; Other Disciplinary Action. After receiving a copy of a
judgment or order of any court finding incapacity or imposing discipline
other than suspension or disbarment, this Court may promptly send the
attorney a notice containing:
(A) a copy of the judgment or order from the other court or tribunal;
and
(B) an order to show cause directing the attorney to inform this Court
of any reason under subsection (g)(4) that the Court should not
impose reciprocal discipline or finding of incapacity, within 14
days after the notice is served on the attorney.
(4) Reciprocal Discipline Absent Objection. After the expiration of 14
days from service of a notice under subsection (g)(2) or (g)(3), this Court
may impose the reciprocal discipline or make the same finding of
incapacity as the original tribunal. However, this Court may instead
enter any other order it considers appropriate if the respondent-attorney
demonstrates, or this Court otherwise finds that:
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(A) the record in the other jurisdiction clearly shows that:
(i) the procedure so lacked notice or opportunity to be heard
that it deprived the respondent-attorney of due process; or
(ii) the proof of misconduct or incapacity was so infirm that
this Court cannot, consistent with its duty, accept the
conclusion on that subject as final;
(B) this Court imposing the same discipline or finding would result in
grave injustice; or
(C) the conduct at issue warrants substantially different action from
this Court.
(5) Establishing Misconduct or Incapacity. Except as provided in
subsection (g)(4), a final adjudication in another jurisdiction that an
attorney is incapacitated or has committed misconduct conclusively
establishes the misconduct or incapacity in any proceeding under this
rule.
(6) Stay of Action. If an action imposed in another jurisdiction has been
stayed or suspended, any reciprocal action taken by this Court may be
deferred until that stay expires.
(h) Resignation or Disbarment on Consent in Other Courts
Any attorney admitted to practice before this Court who consents to
disbarment or resigns from the bar of any court while under investigation for
alleged misconduct or incapacity may not practice before this Court upon such
disbarment or resignation.
(i) Consent to Discipline in this Court
(1) Conditional Offer of Discipline. Any attorney admitted to practice
before this Court who is the subject of an investigation or proceeding
involving allegations of misconduct or incapacity may offer the Court a
conditional admission to the alleged misconduct or incapacity in
exchange for a stated form of discipline, such as disbarment, suspension,
or surrender of the right to practice in this Court.
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(2) Affidavit Required. A lawyer who wishes to offer a conditional
admission to misconduct or incapacity must provide an affidavit that the
attorney:
(A) desires to consent to discipline;
(B) freely and voluntarily consents, is not being subjected to coercion
or duress, and is fully aware of the implications of consenting;
(C) is aware of the pending investigation or proceeding involving
allegations of misconduct or incapacity, the nature of which the
attorney must specifically describe;
(D) acknowledges that the material facts alleged are true or could be
proven and that sufficient evidence exists to support a finding of
misconduct or incapacity and the imposition of the stated
discipline; and
(E) consents because the attorney knows that if formal proceedings
were held the attorney could not successfully contest the
allegations.
(3) Court Approval Required. After receiving the required affidavit, the
Court may approve or reject the admission and stated form of discipline
offered under subsection (i)(1).
(A) If the Court rejects the offer:
(i) the Court will proceed with a disciplinary hearing; and
(ii) the offered admission is withdrawn and may not be used
against the respondent-attorney in subsequent hearings.
(B) If the Court approves the offer, it will enter an order disciplining
the attorney.
(j) Reinstatement
(1) After Suspension, Disbarment, or Surrender
(A) An attorney suspended for six months or less will be
automatically reinstated at the end of the period of suspension if:
(i) the attorney files an affidavit with the Court showing that
they complied with the underlying order of suspension; and
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(ii) the attorney retakes the attorney’s oath.
(B) An attorney who was suspended for more than 6 months,
disbarred, or who surrendered the right to practice, must move
for reinstatement to practice in this Court. The attorney may not
resume practice until the attorney has been reinstated by order
of this Court and has retaken the attorney’s oath.
(2) Time of Reinstatement Following Disbarment or Surrender. A
person who was disbarred after a hearing or by consent, or who
surrendered the right to practice in this Court, may not move for
reinstatement until at least 5 years after the effective date of the
disbarment or surrender.
(3) Motion for Reinstatement
(A) Screening and Initial Action. An attorney who has been
suspended for more than 6 months, disbarred, or who
surrendered the right to practice in this Court may file a motion
for reinstatement with the Chief Judge of the Court. The Chief
Judge will screen the motion to determine, in the Chief Judge’s
discretion, whether the motion warrants a hearing. The Chief
Judge may order that additional information be produced in
connection with the motion.
(i) If the Chief Judge determines that a hearing is not
warranted, the Chief Judge may rule on the merits of the
motion based on its contents and any further information
that was produced.
(ii) If the Chief Judge orders a hearing, the Chief Judge will
refer the motion to special counsel and assign the matter
for hearing as provided in subsection (j)(3)(B) before one or
more judges of this Court. If the disciplinary or other
proceeding that led to the suspension, disbarment, or
surrender was based on a complaint by a judge of this
Court, the hearing must be conducted by one or more other
district judges of this Court, or if there are none eligible to
serve, by a district judge of this Circuit appointed by the
Chief Judge of the Court of Appeals.
(B) Hearing
(i) After referral, the judge assigned to the matter will hold a
hearing within 30 days.
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(ii) At the hearing, the movant has the burden of
demonstrating by clear and convincing evidence that the
movant:
(a) no longer has any incapacity or now possesses the
moral qualifications, competency, and learning in
the law required for admission to practice law before
this Court; and
(b) resuming the practice of law will not harm the
integrity and standing of the bar, the administration
of justice, or the public interest.
(iii) The movant has the right to be represented by counsel and
to cross-examine witnesses and present evidence in
support of the motion for reinstatement.
(iv) Special counsel will conduct any cross-examination of the
movant’s witnesses and submit evidence, if any, in
opposition to the motion.
(4) Reinstatement Decision
(A) If the Court finds the movant unfit to resume the practice of law,
it will deny the motion and may impose the costs of the
proceedings, or a portion of them, on the movant.
(B) If the Court finds the movant fit to resume the practice of law, it
will enter an order of reinstatement. That order may include
whatever conditions the Court considers necessary to protect the
public interest, and may condition the reinstatement on the
movant:
(i) paying all or part of the costs of the proceedings; and
(ii) making partial or complete restitution to parties harmed
by the movant’s conduct that led to the suspension or
disbarment.
(5) Successive Motions. If a motion to reinstate a person is denied,
another motion to reinstate that person may not be filed for at least one
year after the denial.
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(k) Service
(1) Summons and Complaint; Order of Suspension. The Marshal must
serve the summons and complaint that initiates a disciplinary
proceeding, or an order of suspension, according to Federal Rule of Civil
Procedure 4(c)(3) or, if the Marshal cannot make such service, by
registered or certified mail addressed to the respondent-attorney at the
attorney’s last-known address.
(2) Other Papers. Any other paper or notice required by this rule may be
served by addressing it to the respondent-attorney or to counsel for the
respondent-attorney at their last-known address.
(3) Courtesy Copy. Regardless of mode of service, a courtesy copy of each
paper or notice required to be served must also be sent to the
respondent-attorney’s last-known email address.
(l) Duties of the Clerk
(1) After learning that an attorney admitted to practice before this Court
has been convicted of any crime, the Clerk will promptly obtain a copy
of the judgment from the court in which the conviction occurred and file
the judgment with this Court.
(2) After learning that an attorney admitted to practice before this Court
has been disciplined or found incapacitated by any authority governing
the practice of law, the Clerk will obtain a copy of the relevant judgment
or order and file it with this Court.
(3) Whenever this Court disbars, suspends, censures, disbars on consent, or
convicts of any crime a person who is a member of the bar of any other
court, the Clerk will transmit a copy of the disciplinary judgment or
order to that other court, along with the last-known office and residence
addresses of the person disciplined.
(4) The Clerk will promptly notify the National Discipline Data Bank
operated by the American Bar Association of any order issued by this
Court imposing public discipline on an attorney admitted to practice
before this Court.
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(m) Applicability of Other Rules to Proceedings Under This Rule
Except as otherwise provided in this rule, the Federal Rules of Civil Procedure
do not apply to attorney disciplinary proceedings. In addition, the Federal
Rules of Evidence, other than Rules 501 and 502, do not apply to disciplinary
proceedings.
(n) Definitions
As used in this rule:
(1) “any court” means any court of the United States, the District of
Columbia, or of any state, territory, commonwealth, possession of the
United States, or any foreign or other duly authorized tribunal.
(2) “serious crime” means the commission of, or the attempt, conspiracy, or
solicitation of another to commit:
(A) any felony;
(B) any crime that reflects adversely on the lawyer’s honesty,
trustworthiness, or fitness as a lawyer in other respects; or
(C) any crime of which a necessary element involves interference
with the administration of justice, false swearing, fraud,
misrepresentation, deceit, bribery, extortion, misappropriation,
or theft. The necessary elements of the crime are determined by
the statutory or common law definitions in the jurisdiction where
the judgment was entered.
(o) Public Records
Absent a Court order to the contrary, disciplinary proceedings, including
disciplinary and reinstatement orders, are a matter of public record. However,
the affidavit required under subsection (i)(2) may not be publicly disclosed or
made available for any other proceeding without an order from this Court.
(p) Construction of this Rule
This rule does not deny the Court any other powers necessary to maintain
control over proceedings conducted before it.
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