(a) Standards for Professional Conduct. Attorneys admitted to practice in this
Court shall be bound by the ethical standards of the Ohio Rules of Professional Conduct
adopted by the Supreme Court of the State of Ohio, so far as they are not inconsistent
with federal law (see LR 83.5(b) and (f)).
(b) Failure to Comply.
(1) For misconduct defined in this Rule, and for good cause shown, and
after notice and opportunity to be heard, any attorney admitted to practice before
this Court may be subjected to such disciplinary action as the circumstances
warrant.
(2) Acts or omissions by an attorney admitted to practice before this
Court, individually or in concert with any other person or persons, which violate
the Ohio Rules of Professional Conduct adopted by this Court shall constitute
misconduct and shall be grounds for discipline, whether or not the act or omission
occurred in the course of an attorney-client relationship.
(c) Attorneys Specially Admitted. Whenever an attorney applies to be admitted
or is admitted to this Court for purposes of a particular proceeding (pro hac vice), the
attorney shall be deemed thereby to have conferred disciplinary jurisdiction upon this
Court for any alleged professional misconduct of that attorney.
(d) Disciplinary Proceedings.
(1) When misconduct or allegations of misconduct which, if substantiated,
would warrant discipline on the part of an attorney admitted to practice before this
Court come to the attention of a Judge of this Court, whether by complaint or
otherwise, and the applicable procedure is not otherwise mandated by this Rule,
the Judge shall refer the matter to the Court’s Committee on Complaints and
Policy Compliance (“the Committee”), with notification to the Clerk of Court, for
investigation and the prosecution of a formal disciplinary proceeding or the
formulation of such other recommendation as is appropriate.
(2) If the Committee concludes after investigation, review and findings
that a formal disciplinary proceeding should not be initiated against the
respondent-attorney, the Committee shall make a written recommendation to the
Court for disposition of the matter by dismissal, admonition, referral, or
otherwise.
(3) To initiate formal disciplinary proceedings, the Committee shall issue
by regular U.S. mail an order of this Court requiring the respondent-attorney to
show cause as noticed why the attorney should not be disciplined.
(4) Upon the respondent-attorney’s answer to the order to show cause, if
any issue of fact is raised or the respondent-attorney wishes to be heard in
mitigation, the matter shall be set for hearing before the Committee, provided,
however, that if the disciplinary proceeding is predicated upon the complaint of a
judge of this Court who is a member of the Committee, that judge shall not
participate in such hearing or in any action of this Court relative to said
respondent-attorney.
(5) After a disciplinary proceeding, the Committee shall make a written
recommendation to
the Court for disposition, including, but not limited to, suspension from
practice before this Court, reprimand, censure, restitution of funds, satisfactory
completion of educational programs, compliance with treatment programs,
assignment of a mentor, and community service.
(6) Counsel appointed pursuant to the authority set forth in section (f) of
this Rule, Discipline Imposed By Other Courts, shall have the authority to
investigate, prosecute before the Committee and otherwise assist the Committee
in any matters involving a respondent-attorney.
(e) Attorneys Convicted of, Pleading Guilty or Nolo Contendere to Crimes.
(1) Serious Crimes
(a) If an attorney admitted to practice before this Court is found
guilty by verdict at trial in any Court of record, or enters a plea of guilty or
nolo contendere, to a serious crime, as herein after defined, the Chief
Judge, on behalf of this Court, shall immediately enter an order of interim
suspension of that attorney, regardless of the pendency of any appeal, until
final disposition of a disciplinary proceeding to be commenced upon such
conviction. A copy of such order shall be served upon the attorney by
regular U.S. mail. Upon good cause shown, the Court may set aside such
order when it appears in the interest of justice to do so.
(b) The Court shall, in addition to ordering an interim suspension
of that attorney, refer the matter to the Committee on Complaints and
Policy Compliance for the institution of a disciplinary proceeding on
behalf of the Court. The sole issue to be determined shall be the extent of
the final discipline to be imposed. A disciplinary proceeding so instituted
will not be brought to final hearing until all appeals from the conviction
are concluded.
(2) Other Crimes
If an attorney admitted to practice before this Court is found guilty by
verdict at trial in any Court of record, or enters a plea of guilty or nolo contendere
to a crime not constituting a serious crime, the Court may refer the matter to the
Committee on Complaints and Policy Compliance for whatever action the
Committee deems warranted, including the institution of a disciplinary
proceeding.
(3) The term “serious crime” shall include, but not be limited to, any
felony and any lesser crime a necessary element of which, as determined by the
statutory or common law definition of such crime in the jurisdiction where the
judgment was entered, involves false swearing, misrepresentation, fraud, tax
evasion, willful failure to file income tax returns, deceit, bribery, extortion,
misappropriation, theft, or an attempt or a conspiracy or solicitation of another to
commit a “serious crime.”
(4) A certified copy of an official document from any Court of record
indicating that the Court has found an attorney guilty by verdict or trial, or has
accepted a plea of guilty or nolo contendere, for any crime shall be conclusive
evidence of the commission of that crime in any disciplinary proceeding instituted
against that attorney.
(5) An attorney suspended under the provisions of this Rule will be
reinstated upon the filing of a certificate demonstrating that the underlying
conviction of a serious crime has been reversed. However, the reinstatement will
not terminate any disciplinary proceeding then pending against the attorney.
(f) Discipline Imposed By Other Courts.
(1) Any attorney admitted to practice before this Court shall, upon being
subjected to public discipline by any other Court of record, promptly inform the
Clerk of this Court of such action. If the Committee becomes aware of any public
discipline to which any attorney admitted to practice before this Court is
subjected, the Committee shall inform the Clerk of this Court.
(2) Upon the filing of a certified or exemplified copy of a judgment or
order demonstrating that an attorney admitted to practice before this Court has
been disciplined by another Court, this Court shall issue by regular U.S. mail a
notice directed to the attorney containing:
(A) a copy of the judgment or order from the other Court; and
(B) an order to show cause directing that the attorney inform this
Court within 30 days after service of that order upon the attorney,
personally or by mail, of any claim by the attorney, predicated upon the
grounds set forth in (3) hereof that the imposition of the identical
discipline by the Court would be unwarranted and the reasons therefor. If
any issue of fact is raised, the matter shall be set for hearing before the
Committee.
(3) This Court shall impose the identical discipline unless this Court finds
that from the face of the record upon which the discipline in another jurisdiction is
predicated, it clearly appears:
(A) that the procedure was so lacking in notice or opportunity to be
heard as to constitute a deprivation of due process; or
(B) that there was such an infirmity of proof establishing the
misconduct as to give rise to the clear conviction that this Court could not,
consistent with its duty, accept as final the conclusion on that subject; or
(C) that the imposition of the same discipline by this Court would
result in grave injustice.
Where this Court determines that any of said elements exist, it shall enter
such other order as it deems appropriate.
(4) In all other respects, a final adjudication in another Court that an
attorney has been guilty of misconduct shall establish conclusively the
misconduct for purposes of a disciplinary proceeding in this Court.
(5) This Court, acting through the Committee, may at any stage appoint
counsel to prosecute the disciplinary proceedings.
(g) Disbarment on Consent or Resignation in Other Courts.
(1) Any attorney admitted to practice before this Court who is disbarred on
consent or resigns from the bar of any other Court of record while an investigation
into allegations of misconduct is pending shall be stricken from the roll of
attorneys admitted to practice before this Court upon the filing of a certified or
exemplified copy of the judgment or order or upon notification by the attorney.
(2) It is the duty of any attorney admitted to practice before this Court who
is disbarred on consent, or resigns from the bar of any other Court of record while
an investigation into allegations of misconduct is pending, to notify the Clerk of
this Court of such disbarment.
(h) Disciplinary Action on Consent While Under Disciplinary Investigation
or Prosecution.
(1) Any attorney admitted to practice before this Court who is the subject
of an investigation into, or a pending proceeding involving, allegations of
misconduct may consent to disciplinary action, but only by delivering to the Clerk
of this Court an affidavit stating that the attorney desires to consent to disciplinary
action and that:
(A) the attorney’s consent is freely and voluntarily given; the
attorney is not being subjected to coercion or duress; the attorney is fully
aware of the implications of so consenting;
(B) the attorney is aware that there is presently pending an
investigation or proceeding involving allegations that grounds exist for the
attorney’s discipline, the nature of which the attorney shall specifically set
forth;
(C) the attorney acknowledges that the material facts alleged are
true; and
(D) the attorney consents because the attorney knows that if
charges were predicated upon the matters under investigation, or if the
proceeding were prosecuted, the attorney could not successfully defend
himself or herself.
(2) Upon receipt of such affidavit, this Court shall enter an order striking
the attorney from the roll of attorneys admitted to practice before this Court.
(i) Reinstatement.
(1) After Suspension. An attorney suspended for three months or less
shall be automatically reinstated at the end of the period of suspension upon filing
with the Clerk of Court of an affidavit of compliance with the provisions of the
order. An attorney suspended for more than three months may not resume
practice until reinstated by order of this Court.
(2) Time of Application. A person who has been stricken from the roll of
attorneys admitted to practice before this Court due to disbarment may not apply
for reinstatement until the expiration of at least five years from the effective date
of being removed from the roll of attorneys.
(3) Hearing on Application. Applications for reinstatement under this Rule
shall be filed with the Clerk of Court. The attorney’s application must include an
affidavit stating that the jurisdiction which entered the order of discipline on
which this Court based its discipline has reinstated the attorney. Upon receipt of a
properly filed application, the Clerk shall refer the application to the Committee
which shall schedule a hearing. At the hearing the attorney shall have the burden
of demonstrating by clear and convincing evidence that he/she has the moral
qualifications, 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 subversive of the public interest. If the disciplinary
proceeding which led to the suspension and/or removal from the roll of attorneys
was predicated upon the complaint of a Judge of this Court who is a member of
the Committee, that Judge shall not participate in such hearing or in any action of
this Court relative to said attorney.
(4) Duty of Counsel. In all proceedings upon an application for
reinstatement, cross-examination of the witnesses of the attorney and the
submission of evidence, if any, in opposition to the application shall be conducted
by members of the Committee, unless the Committee has appointed counsel in
which case such cross-examination shall be conducted by that counsel.
(5) Conditions of Reinstatement. If the attorney is found unfit to resume
practice in this Court, the application shall be dismissed. If the attorney is found
fit to resume practice in this Court, the judgment shall reinstate him/her, provided
that the judgment may make reinstatement conditional upon the making of partial
or complete restitution to parties harmed by the attorney whose conduct led to the
disciplinary action. In addition, if the attorney has been suspended and/or
removed from the roll of attorneys for two years or more, reinstatement is
conditioned upon the attendance of the attorney at a Federal Court Practice
Seminar. If the attorney has been suspended and/or removed from the roll of
attorneys for five years or more, reinstatement may be conditioned upon
furnishing proof of competency and learning in the law, which proof may include
certification by the bar examiners of a state or other jurisdiction of the attorney’s
successful completion of an examination for admission to practice subsequent to
the date of suspension or disbarment.
(6) Successive Applications. No application for reinstatement under this
Rule shall be filed within one year following an adverse judgment upon an
application for reinstatement filed by or on behalf of the same attorney.
(j) Appointment of Counsel. Whenever counsel is to be appointed pursuant to
this Rule to investigate allegations of misconduct or prosecute disciplinary proceedings
or in conjunction with a reinstatement application filed by a disciplined attorney, this
Court or the Committee may appoint as counsel the disciplinary agency of the Supreme
Court of Ohio or other state or local disciplinary agency having jurisdiction. If no such
disciplinary agency exists or such disciplinary agency declines appointment, or if the
Committee determines it more appropriate, the Committee may appoint as counsel one or
more members of the Bar of this Court to investigate allegations of misconduct or to
prosecute disciplinary proceedings under this Rule, provided, however, that the
respondent-attorney may move to disqualify an attorney so appointed who is or has been
engaged as an adversary of the respondent-attorney in any matter. Counsel, once
appointed, may not resign unless permission to do so is given by this Court.
(k) Service. Service of orders, notices or any other papers shall be made by
regular U.S. mail addressed to the respondent-attorney at the last known office address of
the respondent-attorney. Any attorney admitted to practice before this Court who fails to
comply with LR 83.5(i) and LCrR 57.5(i), which require the submission of a written
notice of a change of business address and/or email address to the Clerk upon a change of
address, makes the Clerk of Court his or her agent for the service of any notice provided
in any disciplinary matter proceeding before this Court.
(l) Public Record. The general order imposing disciplinary action or reinstating
an attorney shall be a matter of public record. All other records pertaining to attorney
disciplinary action(s), which are not already public records, shall not be publicly
disclosed or made available for use in any other proceeding except upon order of this
Court.
(m) Jurisdiction. Nothing contained in this Rule shall be construed to deny to
this Court such powers as are necessary for the Court to maintain control over
proceedings conducted before it, such as proceedings for contempt under Title 18 of the
United States Code or under Rule 42 of the Federal Rules of Criminal Procedure.
(n) Applicability. This Rule shall apply only to disciplinary actions initiated on
or after April 4, 2011.
(See LCrR 57.7) Last revised 4/4/11 See Historical Notes for full revision history.
