(a) Attorneys practicing in this Court shall faithfully adhere to the New York Rules of
Professional Conduct. In interpreting the New York Rules of Professional Conduct,
absent binding authority from the United States Supreme Court or the United States Court
of Appeals for the Second Circuit or significant federal interests, this Court, in the interests
of comity and predictability, will give due regard to decisions of the New York Court of
Appeals and other New York State courts.
(b) All grievances and complaints about attorneys admitted to practice in this District shall be
made to the Chief Judge of the District.
(1) In addition to any other sanctions imposed under these Local Rules, any person
admitted to practice in this Court may be disbarred or otherwise disciplined, for
cause, after a hearing. The Chief Judge of the District may appoint a Magistrate
Judge or attorney(s) to investigate, advise, or assist as to grievances or complaints
from any source and as to applications by attorneys for relief from discipline.
Other than provided by subparagraph (c) of this Rule, no censure, suspension, or
disbarment shall be applied without notice and an opportunity to be heard and the
approval of a majority of the District Judges of the Court in both active and senior
service, except that any Judge of this Court may, for cause, revoke an admission
pro hac vice that he or she previously granted. Complaints or grievances, and any
related documents, shall be treated as confidential. Discipline shall be imposed
only upon suitable 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.
(2) A duly constituted disciplinary authority of an Appellate Division of the Supreme
Court of the State of New York may request expedited disclosure of records or
documents that are confidential for use in an investigation or proceeding pending
before the disciplinary authority. The request shall be made in writing and
submitted to the Chief Judge of the District. 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 or may refer the request for a response by a majority of the
District Judges of the Court in both active and senior service. 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.
(c)
(1) Any Member of the bar of this Court who is convicted of a felony, as defined in
subsection (c)(3), must submit the record of conviction to the Clerk of Court within
thirty (30) days thereafter. When the Court is informed of the conviction, by the
Member or otherwise, the Chief Judge will issue an order suspending that attorney
from practice before this Court. The order shall be sent to the last known business
address of the attorney by certified mail. An application to set aside the order of
suspension must be filed with the Clerk of Court within thirty (30) days from
issuance of the order. The Court, in its discretion, may consider the application
on the papers submitted, schedule oral argument, or hold an evidentiary hearing.
Upon good cause shown, a majority of the active and senior District Judges may
set aside the suspension when it is in the interest of justice to do so.
(2) When the Court is informed that a judgment of conviction for a felony, as defined
in subsection (c)(3), is final, the Chief Judge will order that the attorney’s name be
struck from the roll of Members of the bar of this Court. “Final” for purposes of
this subsection means either that the time within which to appeal has lapsed or that
the judgment of conviction for a felony has been affirmed on direct appeal. The
order of disbarment shall be sent to the last known business address of the attorney
by certified mail. An application to set aside the order of disbarment must be filed
with the Clerk of Court within thirty (30) days from issuance of the order. The
Court, in its discretion, may consider the application on the papers submitted,
schedule oral argument, or hold an evidentiary hearing. Upon good cause shown,
a majority of the active and senior District Judges may set aside the disbarment
when it is in the interest of justice to do so.
(3) For purposes of this subsection, the term felony shall mean any criminal offense
classified as a felony under federal law; any criminal offense classified as a felony
under New York law; or any criminal offense committed in any other state,
commonwealth, or territory of the United States and classified as a felony therein
which, if committed within New York State, would constitute a felony in New
York State.
(d) Any Member of the bar of this Court who has been suspended, disbarred, or disciplined
in any way by any district or circuit court or the court of any state, commonwealth, or
territory, or who has resigned from the bar of any such court while an investigation into
allegations of misconduct by the attorney was pending, must notify the Clerk of Court of
such action, in writing, within thirty (30) days thereafter, and must submit with the
notification a copy of any order issued in the other jurisdiction.
Only upon receipt of a copy of an order imposing discipline, the Chief Judge will issue an
order disciplining the attorney to the same extent as imposed in the other jurisdiction. The
order shall be sent to the last known business address of the attorney by certified mail. An
application to set aside the order, along with the record of the underlying disciplinary
proceeding, must be filed with the Clerk of Court within thirty (30) days from issuance of
the order. A majority of the active and senior District Judges may set aside the order when
an examination of the record resulting in that discipline discloses, by clear and convincing
evidence, that:
(1) the procedure in the other jurisdiction was so lacking in notice or opportunity to
be heard as to constitute a deprivation of due process;
(2) 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; or
(3) this Court’s imposition of the same discipline would result in grave injustice.
(e) A disbarred or suspended attorney who seeks reinstatement to practice before this Court
must file a motion with the Clerk’s Office returnable before the Chief Judge. The motion
shall attach all orders from any court regarding disbarment or suspension of the attorney
and any order reinstating the attorney to the practice of law.
(f) Within 10 days of the date of entry of an order of suspension or disbarment, the affected
attorney shall notify, by certified mail and, where practical, electronic mail, each client of
the attorney, counsel for each party in any pending matter, and the judge in any pending
matter. The notice shall state that the attorney is unable to act as counsel due to disbarment
or suspension. A notice to an attorney’s client shall advise the client to obtain new counsel.
A notice to counsel for a party in a pending action or to the Judge shall include the name
and address of the attorney’s client. Within 45 days after the date of service of the order
of disbarment or suspension, the attorney shall file with the Clerk of Court an affidavit
showing a current mailing address for the attorney and that the attorney has complied with
the order and these Rules.
