(a) The Chief Judge shall have charge of all matters relating to discipline of members
of the bar of the Northern District of New York.
(b) Grounds for Discipline or Sanction: Any member of the bar of the Northern
District of New York may be censured, suspended, disbarred or otherwise disciplined for cause
shown pursuant to subsections (1) through (7) of this section, after judicial review of the papers
submitted, oral argument, and/or an evidentiary hearing in the Court’s discretion. The Chief
Judge may appoint one or more judges to investigate, review, hear and report findings and a
recommendation as to any disciplinary matter, including any grievances or complaints lodged
from any source and any notice or application made by an attorney relating to discipline.
Complaints or grievances, and any related documents, shall be treated as confidential. Discipline
shall be imposed only upon order of the Court, and the Court, in its discretion, shall determine
whether the order will be made available to the public, or published, or circulated.
(1) Felony Conviction: Any member of the bar of the Northern District of New
York who is convicted of a felony in the court of any federal district, state,
county, commonwealth, territory, possession, recognized tribe, or any legal
subdivision thereof, shall be suspended from practice before this Court, upon the
Court’s receipt of a copy of the judgment of conviction, and unless an order to
vacate the order of suspension has been granted, shall cease to be a member of the
bar of the Northern District of New York The attorney who is convicted of a
felony is required to submit a copy of the judgment of conviction to the Clerk of
Court within fourteen (14) days from the date the judgment is issued. In all
proceedings, a judgment of conviction shall constitute clear and convincing
evidence of the attorney's guilt of the conduct for which the attorney was
convicted.
After the Court receives notice of the felony conviction, by the member or
otherwise, the Chief Judge will issue an order suspending that attorney from
practice before this Court. The suspension order shall be mailed to the last known
business address of the attorney by certified mail with notice that he/she has been
suspended in accord with L.R. 83.3. The attorney may file an application to
vacate the suspension order within twenty (20) days from the date of the order
pursuant to subsection (g) below. If no application to vacate the suspension order
is made within twenty (20) days from the date of the order, the Chief Judge will
issue an order of disbarment and direct that the attorney’s name be struck from the
roll of members of the bar of the Northern District of New York. A copy of the
disbarment order shall be mailed to the last known business address of the
attorney by certified mail. Any future request by the attorney to be admitted to
this Court will require the attorney to file an application for reinstatement
pursuant to subsection (h) below. In the event the judgment of conviction is
vacated on appeal, the attorney may seek reinstatement of admission to this Court
pursuant to subsection (h) below.
(2) Misdemeanor Conviction: The Court may disbar, suspend or censure any
member of the bar of the Northern District of New York who is convicted of a
misdemeanor in the court of any federal district, state, county, commonwealth,
territory, possession, recognized tribe, or any legal subdivision thereof. The
attorney who is convicted of a misdemeanor must submit a copy of the judgment
of conviction within fourteen (14) days from the date the judgment is issued.
Failure to provide such notice may result in removal from the roll of the Court. In
all proceedings, a judgment of conviction shall constitute clear and convincing
evidence of the attorney’s guilt of the conduct for which the attorney was
convicted.
After the Court receives notice of the misdemeanor conviction, by the member or
otherwise, the Chief Judge may determine that more information is necessary and
direct the attorney to provide additional information and/or explanation. The
Chief Judge may, for good cause, provisionally suspend the attorney from
practice before this Court pending further investigation or proceedings. The Chief
Judge may present the misdemeanor conviction to the District Judges for a
determination by majority vote as to whether any disciplinary action should be
taken. District Judges vote to take disciplinary action, the Chief Judge will issue
an order permitting the attorney to show cause within thirty (30) days of the date
of the order why the recommended disciplinary action should not be imposed, and
a copy of the order shall be mailed to the last known business address of the
attorney by certified mail. Upon receiving the attorney's response to the order to
show cause, the Chief Judge may consider the application on the papers
submitted, schedule oral argument, or hold an evidentiary hearing before a court
of one or more judges to hear and to report findings and a recommendation on the
matter. After a hearing and report, or if the attorney makes no timely answer or
the answer raises no issue requiring a hearing, the Court shall issue an order in
accordance with the majority vote of the District Judges. A copy of the
disciplinary order shall be mailed to the attorney via certified mail. In the event
the judgment of conviction is vacated on appeal, the attorney may seek
reinstatement of admission to this Court pursuant to subsection (h) below.
(3) Disbarment/Suspension/Disciplinary Action by Another Court: Any member
of the bar of the Northern District of New York who has been disbarred,
suspended, and/or disciplined by a court or attorney disciplinary authority in any
federal jurisdiction, state, commonwealth, territory, possession, recognized tribe,
or any legal subdivision thereof, shall be disbarred, suspended, and/or disciplined
on comparable terms and conditions by this Court unless an examination of the
record resulting in the disbarment, suspension, or discipline discloses one or more
of the following:
(A) that the procedure was so lacking in notice or opportunity to be heard as to
constitute a deprivation of due process;
(B) that there was such an infirmity of proof establishing the misconduct as to
give rise to the clear conviction that this Court should not accept as final
the conclusion on that subject;
(C) that this Court’s imposition of the same discipline would result in grave
injustice; or
(D) that this Court has held, or these Rules provide, that the misconduct
warrants substantially different discipline.
The attorney shall deliver a copy of any such order of disbarment, suspension, or
discipline to the Clerk of this Court within fourteen (14) days after the entry of the
order. Failure to provide such notice may result in removal from the roll of the
Court.
After receiving notice of such an order, the Chief Judge will issue an order
disbarring, suspending and/or disciplining the attorney on comparable terms and
conditions as those imposed in the other jurisdiction. The Chief Judge’s order
shall be mailed to the last known business address of the attorney by certified
mail. Within twenty (20) days of service on the attorney of the Chief Judge’s
order of discipline, the attorney may file an application to vacate the disciplinary
order pursuant to (g) below.
(4) Resignation While Misconduct Investigation Is Pending: Any member of the
bar of the Northern District of New York who has resigned from the bar of any
federal court, state, territory, commonwealth, possession, recognized tribe, or any
legal subdivision thereof, while an investigation into allegations of professional
misconduct is pending shall be deemed to have resigned from the bar of the
Northern District of New York. The attorney shall provide notice of such
resignation to the Clerk of this Court within fourteen (14) days after the
submission of the resignation. Failure to provide such notice may result in
removal from the bar of the Northern District of New York.
After the Court receives notice of a copy of an order accepting resignation, the
name of the attorney resigning shall, by order of the Court, be struck from the roll
of members of the bar of the Northern District of New York. The disbarment
order shall be mailed to the last known business address of the attorney by
certified mail. The attorney may file an application to vacate the disbarment order
within twenty (20) days from the date of the order pursuant to subsection (g)
below.
(5) Allegations of Professional Malfeasance of Members of the Bar of the NDNY
(A) Upon notice to the court, from any source, that a member of the bar of the
Northern District of New York allegedly engaged in professional
malfeasance, misconduct, or any other cause for discipline, the matter
shall be directed to the Chief Judge for review and determination as to
whether the conduct warrants further investigation. Complaints alleging
professional malfeasance or misconduct on the part of a member of the bar
of the Northern District of New York shall be addressed to the Chief
Judge, in writing. If the allegation of malfeasance or misconduct is being
addressed, or has been addressed in another jurisdiction where the
misconduct occurred, the Chief Judge may decline consideration of the
matter pending resolution of proceedings in the other jurisdiction, or defer
to the resolution of the other jurisdiction. If the Chief Judge deems the
conduct alleged in the complaint not sanctionable, the Chief Judge will
dismiss the complaint and notify any complainant in writing of the
dismissal with a copy to the attorney. If the Chief Judge deems the
conduct alleged in the complaint sanctionable, the Chief Judge may
appoint one or more judges to investigate, review, hear and report findings
and recommendation as to any disciplinary action to be taken. The Chief
Judge may, for good cause, provisionally suspend the attorney from
practice before this Court pending further investigation or proceedings.
(B) If the appointed judge(s) determine(s) after investigation that the evidence
fails to establish probable cause to believe that any violation of the Rules
of Professional Conduct has occurred, the judge(s) shall submit a report of
such findings and conclusions to the Chief Judge for the consideration of
the District Judges.
(C) If the judge(s) determine(s) after investigation that the evidence
establishes probable cause to believe that one or more violations of the
Rules of Professional Conduct has occurred, the judge(s) shall prepare a
statement of charges alleging the grounds for discipline. The Clerk shall
cause the Statement of Charges to be served upon the attorney concerned
(“responding attorney”) by certified mail, return receipt requested,
directed to the address of the attorney as shown on the rolls of this Court
and, if different, to the last known address of the attorney as shown in any
other source together with a direction from the Clerk that the responding
attorney shall show cause in writing within thirty (30) days why discipline
should not be imposed.
(D) If the responding attorney fails to respond to the statement of charges, the
charges shall be deemed admitted. If the responding attorney denies any
charge, the assigned judge(s) shall determine whether an evidentiary
hearing is necessary. If no hearing is necessary, a finding and
recommendation will be made to the Chief Judge on the papers submitted.
If it is determined a hearing is necessary, an evidentiary hearing will be
scheduled promptly. The assigned judge(s) may grant such pre-hearing
discovery as deemed necessary, hear witness testimony as warranted, and
may consider such other evidence included in the record of the hearing
that the assigned judge(s) deems relevant and material. A disciplinary
charge may not be found proven unless supported by clear and convincing
evidence. The assigned judge(s) shall report the findings and
recommendations in writing to the Chief Judge and shall serve them upon
the responding attorney. The responding attorney may file objections to
the assigned judge(s)’s report and recommendations within fourteen (14)
days of the date thereof.
(E) An attorney may not be found guilty of a disciplinary charge except upon
a majority vote of the District Judges that such charge has been proven by
clear and convincing evidence. Any discipline imposed shall also be
determined by a majority vote of the District Judges, except that in the
event of a tie vote, the Chief Judge shall cast a tie-breaking vote. If a
District Judge submitted the complaint under subsection (b)(5)(A) above
giving rise to the disciplinary proceeding, that judge shall be recused from
participating in the decisions regarding guilt and discipline. The Chief
Judge shall issue an order consistent with the majority vote. A copy of the
order shall be served upon the attorney by certified mail.
(F) Unless the Court orders otherwise, all documents, records, and
proceedings concerning a disciplinary matter shall be filed and conducted
confidentially except that, without further order of the Court, the Clerk
may notify other licensing jurisdictions of the imposition of any sanctions.
(G) A duly constituted attorney disciplinary authority of a New York State
Court may request expedited disclosure of records or documents that are
confidential for use in an investigation or proceeding pending before that
disciplinary authority. The request shall be made in writing and submitted
to the Chief Judge. The request should, to the extent practicable, identify
the nature of the pending investigation or proceeding and the specific
records or documents sought. The request may also seek deferral of notice
of the request for so long as the matter is in the investigative stage before
the disciplinary authority. Upon receipt of the request, the Chief Judge
may take any appropriate action and may refer the request to one or more
judges to investigate. Confidential records and documents disclosed to the
disciplinary authority in response to the request shall not be used for any
purpose other than the investigation or proceeding pending before the
disciplinary authority.
(6) Attorneys Found to Have Infirmity: Should it appear to the Court that an
attorney who is a member of the bar of the Northern District of New York may
have an infirmity that prevents the attorney from practicing law before the Court,
the Court may take or direct such action as it deems necessary or proper to
determine whether the attorney has such an infirmity. Should it take or direct
such action, the Court shall provide to the attorney notice and an opportunity to be
heard and may appoint counsel to represent the attorney if he or she is without
representation. If the Court finds by clear and convincing evidence that the
attorney has such an infirmity, it shall enter an order suspending the attorney for
an indefinite period and until further order of the Court. A copy of such order
shall be served upon the attorney or his or her guardian. Upon evidence that the
attorney no longer suffers from an infirmity that prevents the attorney from
practicing law before the Court, the attorney may seek reinstatement of admission
to the bar of the Northern District of New York pursuant to subsection (h) below.
(7) Attorney Admitted Pro Hac Vice: An attorney permitted to argue or try a
particular case via pro hac vice admission in accordance with L.R. 83.1 may have
his pro hac admission revoked by the Judge who appointed him upon a finding
that the attorney has committed professional malfeasance or misconduct in this
Court. Upon such revocation, the attorney will then be precluded from again
appearing in this Court via pro hac vice admission; but must apply for and be
granted admission under L.R. 83.1 in order to appear before this Court.
(c) In all matters of attorney discipline, the Court shall enforce the New York Rules
of Professional Conduct. In construing those Rules, the Court, as a matter of comity, will follow
decisions of the New York State Court of Appeals and other New York state courts, absent an
over-arching federal interest, and as interpreted and applied by the United States Court of
Appeals for the Second Circuit.
(d) Nothing in this Rule shall limit the Court's power to punish contempts or to
sanction counsel in accordance with the Federal Rules of Civil or Criminal Procedure or the
Court's inherent authority to enforce its rules and orders.
(e) If an attorney fails to respond, comply or cooperate with any request for
information from the Court, or any disciplinary investigation or proceeding conducted under
these Rules, the Court may treat such behavior as a waiver of procedural rights, and impose
discipline or take any other action as justice and this Rule may allow, including suspension or
removal of the attorney from the bar of the Northern District of New York.
(f) In the instance that an attorney is suspended or disbarred from practicing in this
Court, the presiding judge shall issue an order in each of the attorney’s open cases in this Court
directing the litigant represented by the attorney of the need to retain a new attorney within thirty
(30) days from the date of the order.
(g) Application to Vacate Disciplinary Order: An attorney who is the subject of an
order of suspension, disbarment, or other disciplinary action may file an application with the
Clerk of Court to vacate any such order within twenty (20) days from the date of issuance of the
order, except for an order issued pursuant to section (b)(5) above. The application shall be filed
in a miscellaneous action assigned to the Chief Judge. The application shall set forth with
specificity the facts and principles relied upon by the attorney as showing cause why a different
disposition should be ordered by this Court. The Court, in its discretion, may consider the
application on the papers submitted, schedule oral argument, or hold an evidentiary hearing. The
Chief Judge may appoint one or more judges to investigate, review, hear and report findings and
recommendation as to whether the disciplinary order should be vacated. If the Chief Judge
determines, on good cause, that an evidentiary hearing is not required, the Chief Judge may
proceed to impose discipline or take such other action as justice and this rule may require upon
the majority vote of the District Judges. Upon good cause shown, a majority vote of the District
Judges may vacate the disciplinary order when it is in the interest of justice to do so. A copy of
the order on the application to vacate a disciplinary order shall be served upon the attorney by
certified mail.
(h) Application for Reinstatement: Any attorney who has been suspended or
precluded from appearing in this Court or whose name has been struck from the roll of the
members of the bar of the Northern District of New York may apply in writing to the Chief
Judge, for good cause shown, for the lifting of the suspension, preclusion or disbarment no
earlier than one (1) year from the date of the challenged sanction. The application shall be filed
in a miscellaneous action assigned to the Chief Judge. The attorney has the burden of
demonstrating by clear and convincing evidence that he/she has the character, candor,
competency and learning in the law required for admission to practice law 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 to the administration of justice, or injurious to the public interest.
The application shall attach all orders from any court regarding disbarment, suspension or
other disciplinary action of the attorney and any order reinstating the attorney to the practice of
law. In addition, the application may attach any papers, including (but not limited to) a
memorandum of law, declarations, and exhibits. The Chief Judge may appoint one or more
judges to review the application and make findings and recommendations or may act upon the
application without making such a referral. In his or her discretion, the Chief Judge or a
designated judge may conduct a hearing, at which the attorney may adduce oral argument and/or
testimony (or rely on his or her declarations). After the application is complete and has been
reviewed, the Chief Judge shall forward to the District Judges (for consideration and vote at the
next meeting of the Board of Judges) the following: (1) the attorney’s application and supporting
documents; (2) any findings and recommendations of any judges appointed to review the
application; (3) the transcript of any hearing; and (4) the Chief Judge’s findings and
recommendations. Absent extraordinary circumstances, no such application will be granted
unless the attorney seeking reinstatement meets the requirements for admission set forth in Local
Civil Rule 83.1. Upon good cause shown, a majority vote of the District Judges may vacate the
disciplinary order and reinstate the attorney when it is in the interest of justice to do so. A copy
of the order on the application for reinstatement shall be served upon the attorney by certified
mail.
