(a) Required Conduct. An attorney who is admitted to the court’s bar or who
otherwise practices before the court must comply with the Minnesota Rules of
Professional Conduct, which are adopted as the rules of this court. An attorney commits
misconduct by failing to comply with the Minnesota Rules of Professional Conduct.
(b) Available Discipline. The court may discipline any attorney who is
admitted to the court’s bar or who otherwise practices before the court. Such discipline
may include, but is not limited to, disbarment, suspension, public reprimand, private
admonition, monetary sanctions, or restitution. This rule does not limit the court’s
inherent, statutory, or other authority to control its proceedings, including through civil or
criminal contempt proceedings.
(c) Duty to Report. An attorney must promptly report the following in writing
to the clerk:
(1) Discipline. Disbarment, suspension, public reprimand, or other
public discipline imposed by any other court or jurisdiction. The attorney’s
report must include a certified copy of the judgment or order imposing the
discipline.
(2) Conviction of a Crime. Any guilty plea to or conviction of committing,
attempting to commit, conspiring to commit, or soliciting or aiding another
to commit:
(A) any crime punishable by incarceration for more than one year;
or
(B) any crime that includes as a necessary element:
• interference with the administration of justice;
• perjury;
• false swearing;
• misrepresentation;
• fraud;
• willful extortion;
• misappropriation; or
• theft.
(d) Automatic Discipline.
(1) Reciprocal Discipline. Unless the court orders otherwise, an attorney
who has been temporarily or permanently prohibited from practicing before
any other court or jurisdiction automatically forfeits the right to practice
before this court for the same period.
(2) Criminal Acts. Unless the court orders otherwise, an attorney who
pleads guilty to or has been convicted of a crime set forth in LR 83.6(c)(2)
automatically forfeits the right to practice before this court.
(e) Court-Initiated Discipline.
(1) Appointment of Investigatory Counsel. A judge who becomes aware
that an attorney may have committed misconduct may appoint investigatory
counsel to investigate and advise the judge as to whether to initiate
disciplinary proceedings. In the order appointing investigatory counsel, the
judge must describe the scope of investigatory counsel’s duties. The
attorney under investigation must cooperate with investigatory counsel.
Investigatory counsel must provide the judge with a written report containing
a recommendation as to whether the judge should initiate disciplinary
proceedings. Unless otherwise ordered by the court, the court and all
parties must file all orders and pleadings in an investigatory proceeding
under seal on ECF.
(2) Disciplinary Proceedings. A judge who becomes aware that an
attorney may have committed misconduct may initiate disciplinary
proceedings as follows:
(A) Order to Show Cause. The judge must issue an order to show
cause as to why the respondent-attorney should not be disciplined
for the alleged misconduct. The order must describe the alleged
misconduct.
(B) Assignment. The chief judge must assign a judge to preside
over the disciplinary proceeding. The judge who issued the order to
show cause must not be assigned to preside over the disciplinary
proceeding.
(C) Hearing; Appointment. The assigned judge must promptly
schedule a hearing, appoint disciplinary counsel to prosecute the
matter, and provide notice of the hearing and appointment to the
respondent-attorney. An attorney who served as investigatory
counsel may serve as disciplinary counsel.
(D) Disciplinary Counsel. Disciplinary counsel may introduce
evidence, call witnesses (including the respondent-attorney), and
cross-examine any witness called by the respondent-attorney.
(E) Respondent-Attorney. The respondent-attorney must have
the opportunity to be heard. The respondent-attorney may be
represented by counsel. The respondent-attorney may testify,
introduce evidence, call witnesses, and cross-examine any witness
called by disciplinary counsel.
(F) Rules of Evidence. The Federal Rules of Evidence do not
apply to any disciplinary proceeding.
(G) Record. The court and all parties must file all orders and
pleadings in a disciplinary proceeding under seal on ECF. Any
hearing conducted under this rule must be recorded. If the court
imposes any form of public discipline, all files and records related to
the disciplinary proceeding must be unsealed unless the court orders
otherwise.
(3) Written Findings and Discipline. The assigned judge must issue
written findings as to whether the alleged misconduct has been proven by
clear and convincing evidence and, if so, what discipline will be imposed.
The court must file its written findings under seal on ECF. If the court
imposes any form of public discipline, the court’s written findings must be
unsealed unless the court orders otherwise.
(f) Temporary Suspension. The chief judge or his or her designee may
temporarily suspend or restrict an attorney’s right to practice before this court pending a
final determination in a disciplinary proceeding if the chief judge receives:
(1) evidence establishing probable cause to believe that an attorney has
committed misconduct; and
(2) evidence establishing that the attorney poses an immediate threat of
serious harm to the public, to any person, or to the administration of justice.
(g) Reinstatement. An attorney who has been suspended or disbarred from
practicing before this court may file a petition for reinstatement with the clerk.
(1) Assignment. The chief judge must assign a judge to consider the
petition.
(2) Timing.
(A) A disbarred attorney must not petition for reinstatement within
five years of disbarment.
(B) If an attorney’s petition for reinstatement is denied, the attorney
must not again file a petition for reinstatement within one year after
the denial or such longer period ordered by the court.
(3) Standard for Reinstatement. To be reinstated, the petitioner must
establish by clear and convincing evidence that:
(A) the petitioner has the moral qualifications, competence, and
learning in the law required for admission to the court’s bar;
(B) the petitioner has satisfied all conditions required for
reinstatement to the court’s bar; and
(C) the petitioner’s resumption of the practice of law will not
damage the integrity of the court’s bar, the administration of justice,
or the public interest.
(4) Disposition of Petition. After reviewing the petition for reinstatement,
the assigned judge may grant or deny the petition or set the matter for
hearing.
(5) Hearing.
(A) Appointment of Investigatory Counsel. The assigned judge
may appoint investigatory counsel to investigate whether the
petitioning attorney should be reinstated. The petitioning attorney
must cooperate with investigatory counsel.
(B) Petitioning Attorney. The petitioning attorney must have the
opportunity to be heard. The petitioning attorney may be
represented by counsel. The petitioning attorney may testify,
introduce evidence, call witnesses, and cross-examine any witness
called by investigatory counsel.
(C) Investigatory Counsel. Investigatory counsel may introduce
evidence, call witnesses (including the petitioning attorney), and
cross-examine any witness called by the petitioning attorney.
(D) Rules of Evidence. The Federal Rules of Evidence do not
apply to any reinstatement proceeding.
(6) Records. Unless the court orders otherwise, all records relating to a
petition for reinstatement must be publicly filed. Any reinstatement hearing
must be recorded.
(h) Fees and costs of counsel. The court must make arrangements for payment of
fees and costs incurred by investigatory or disciplinary counsel.
(1) Disciplinary Proceedings. The court may assess investigatory or
disciplinary counsel’s fees and costs against an attorney if the court finds
that the attorney committed misconduct by clear and convincing evidence.
(2) Reinstatement Proceedings. The court may assess investigatory
counsel’s fees and costs against an attorney petitioning for reinstatement,
whether the petition is granted or denied.
(i) Duties of the Clerk.
(1) Service.
(A) The following must be served personally or by registered or
certified mail:
(i) Notice of reciprocal discipline imposed under LR 83.6(d)(1);
(ii) Notice of automatic forfeiture under LR 83.6(d)(2); and
(iii) A show-cause order issued under LR 83.6(e)(2)(A).
(B) All other documents issued by the court must be served as
provided by Fed. R. Civ. P. 5(b).
(2) Notice of Discipline. If any form of public discipline is imposed by this
court on an attorney who is admitted to practice before another court or
jurisdiction, the clerk must promptly notify that other court or jurisdiction of
the discipline. The notice must include a copy of the disciplinary order and
the last known address of the attorney.
(3) Notice to ABA National Lawyer Regulatory Data Bank. The clerk must
promptly notify the American Bar Association’s National Lawyer Regulatory
Data Bank of any order imposing any form of public discipline.
[Adopted effective February 1, 1991; amended December 18, 1997; amended December
1, 2009; amended May 14, 2014]
2014 Advisory Committee’s Note to LR 83.6
The revised rule carries forward many of the former rule’s provisions, now reorganized and clarified.
The revised rule specifies the rights of an attorney who is the subject of court-initiated disciplinary
proceedings or who seeks reinstatement to the court’s bar. The revised rule also more clearly explains the
role of investigatory and disciplinary counsel in disciplinary and reinstatement proceedings. Finally, the
revised rule provides new authority to the chief judge to temporarily suspend or restrict an attorney’s right
to practice when the chief judge finds probable cause to believe that the attorney has committed misconduct
and finds that the attorney poses an immediate threat of serious harm to the public, to any person, or to the
administration of justice.
1991 Advisory Committee’s Note to LR 83.6
The following preface preceded the text of former D.Minn. Local Rule 1(F) (1987), which was the
predecessor of LR 83.6. The Advisory Committee adopts it as its Note to LR 83.6:
Statement of Need for Adopting a Rule of Disciplinary Enforcement
Membership in good standing in the bar of a Court of the United States constitutes a continuing
proclamation by the Court that the holder is fit to be entrusted with professional and judicial matters, and to
aid in the administration of justice as an attorney and as an officer of the Court.
It is the duty of every attorney admitted to practice before a Court of the United States to conform
at all times with the standards imposed upon members of the bar as conditions for the privilege to practice
law.
It is the duty of the Court to supervise the conduct of the members of its bar in order to assure the
public that those standards are scrupulously adhered to. The proper discharge of that duty requires that
the Court have the assistance of counsel to investigate and prosecute where there are appropriate
allegations that those standards have been violated. To assure competent and knowledgeable counsel,
and to avoid unnecessary duplication of systems and personnel, this rule provides for the appointment of
the state disciplinary agency whenever appointment of counsel is required hereunder and such appointment
is appropriate.
In order to be admitted to practice in the United States District Court for the District of Minnesota,
an attorney must demonstrate membership in good standing before the Minnesota Supreme Court.
Consequently, for the purposes of admitting attorneys to practice before this Court, it may and does rely
upon the standards for admission of the State Supreme Court. Insofar as discipline of admitted attorneys
is concerned, however, the Supreme Court of the United States has held that revocation of a license to
practice by state or other Courts may not automatically be relied upon by the Courts of the United States.
Theard v. United States, 354 U.S. 278 (1957). In Theard, the Supreme Court held that while discipline
imposed by a state “brings title deeds of high respect,” it is not conclusively binding on the federal courts,
which, in substance, must satisfy themselves that the attorney’s underlying conduct warranted the discipline
imposed. Id. at 282. For that reason, if there is to be effective discipline within the federal system, effective
and appropriate procedures must be developed. This rule is proposed to achieve that purpose as well as
to achieve uniformity of procedure by the various federal courts.
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