(a) An attorney of record may not withdraw, nor may any other attorney file an appearance
as a substitute for an attorney of record, without first providing written notice to the
client and all other parties and obtaining leave of Court. However, attorneys from the
same firm or governmental agency may file and serve a notice of appearance or
substitution for an attorney of record without obtaining leave of Court.
(b) The trial attorney in a criminal case, whether retained or appointed, is responsible for
continued representation of the client on appeal until specifically relieved by the Sixth
Circuit Court of Appeals. (See 6 Cir. R. 12.) The trial attorney must consult with his
or her client as to whether the client wishes to appeal. If the client wishes to appeal,
the trial attorney shall file a notice of appeal and assist the client in preparing any other
necessary filings to proceed on appeal.
MODEL FEDERAL RULES OF DISCIPLINARY ENFORCEMENT
TABLE OF CONTENTS
SUBJECT HEADINGS REFERENCE
Attorneys Convicted of Crimes Rule I
Discipline Imposed by Other Court Rule II
Disbarment on Consent or Resignation in Other Courts Rule III
Standards for Professional Conduct Rule IV
Disciplinary Proceedings Rule V
Disbarment on Consent While Under Disciplinary
Investigation or Prosecution Rule VI
Reinstatement Rule VII
Attorneys Specially Admitted Rule VIII
Service of Papers and Other Notices Rule IX
Appointment of Counsel Rule X
Reserved Rule XI
Reserved Rule XII
Duties of the Clerk Rule XIII
Jurisdiction Rule XIV
Effective Date Rule XV
MODEL FEDERAL RULES OF DISCIPLINARY ENFORCEMENT
The United States District Court for the Southern District of Ohio, in furtherance of its inherent
power and responsibility to supervise the conduct of attorneys who are admitted to practice before
it, or admitted for the purpose of a particular proceeding (pro hac vice) promulgates the following
Rules of Disciplinary Enforcement superseding all of its other Rules pertaining to disciplinary
enforcement heretofore promulgated.
Rule I. Attorneys Convicted of Crimes
(A) Upon the filing with this Court of a certified copy of a judgment of conviction
demonstrating that any attorney admitted to practice before the Court has been convicted
in any Court of the United States, or the District of Columbia, or of any state, territory,
commonwealth or possession of the United States of a serious crime as hereinafter defined,
the Court shall enter an order immediately suspending that attorney, whether the conviction
resulted from a plea of guilty, or nolo contendere or from a verdict after trial or otherwise,
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 immediately be served
upon the attorney. Upon good cause shown, the Court may set aside such order when it
appears in the interest of justice to do so.
(B) The term “serious crime” shall include 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, 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”.
(C) A certified copy of a judgment of conviction of an attorney for any crime shall be
conclusive evidence of the commission of that crime in any disciplinary proceeding
instituted against that attorney based upon the conviction.
(D) Upon the filing of a certified copy of a judgment of conviction of an attorney for a serious
crime, the Court shall in addition to suspending that attorney in accordance with the
provisions of this Rule, also refer the matter to counsel for the institution of a disciplinary
proceeding before the Court in which the sole issue to be determined shall be the extent of
the final discipline to be imposed as a result of the conduct resulting in the conviction,
provided that a disciplinary proceeding so instituted will not be brought to final hearing
until all appeals from the conviction are concluded.
(E) Upon the filing of a certified copy of a judgment of conviction of an attorney for a crime
not constituting a “serious crime,” the Court may refer the matter to counsel for whatever
action counsel may deem warranted, including the institution of a disciplinary proceeding
before the Court; provided, however, that the Court may in its discretion make no reference
with respect to convictions for minor offenses.
(F) An attorney suspended under the provisions of this Rule will be reinstated immediately
upon the filing of a certificate demonstrating that the underlying conviction of a serious
crime has been reversed but the reinstatement will not terminate any disciplinary
proceeding then pending against the attorney, the disposition of which shall be determined
by the Court on the basis of all available evidence pertaining to both guilt and the extent of
discipline to be imposed.
Rule II. Discipline Imposed by Other Courts
(A) Any attorney admitted to practice before this Court shall, upon being subjected to public
discipline by any other Court of the United States or the District of Columbia, or by a court
of any State, territory, commonwealth or possession of the United States, promptly inform
the Clerk of this Court of such action.
(B) 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 forthwith issue a notice directed to the attorney containing:
(1) a copy of the judgment or order from the court; and
(2) an order to show cause directing that the attorney inform this Court within thirty
(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 (D) hereof that the
imposition of the identical discipline by the Court would be unwarranted and the
reasons therefor.
(C) In the event the discipline imposed in the other jurisdiction has been stayed there, any
reciprocal discipline imposed in this Court shall be deferred until such stay expires.
(D) Upon the expiration of thirty (30) days from service of the notice issued pursuant to the
provisions of (B) above, this Court shall impose the identical discipline unless the
respondent-attorney demonstrates, or this Court finds, that upon the face of the record upon
which the discipline in another jurisdiction is predicated it clearly appears:
(1) that the procedure was so lacking in notice or opportunity to be heard as to
constitute a deprivation of due process; or
(2) 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
(3) that the imposition of the same discipline by this Court would result in grave
injustice; or
(4) that the misconduct established is deemed by this Court to warrant substantially
different discipline.
Where this Court determines that any of said elements exist, it shall enter such other
order as it deems appropriate.
(E) 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.
(F) This Court may at any stage appoint counsel to prosecute the disciplinary proceedings.
Rule III. Disbarment on Consent or Resignation in Other Courts
(A) Any attorney admitted to practice before this Court who shall be disbarred on consent or
resign from the bar of any other Court of the United States or the District of Columbia, or
from the bar of any State, territory, commonwealth or possession of the United States while
an investigation into allegations of misconduct is pending, shall, upon the filing with this
Court of a certified or exemplified copy of the judgment or order accepting such disbarment
on consent or resignation, cease to be permitted to practice before this Court and be stricken
from the roll of attorneys admitted to practice before this Court.
(B) Any attorney admitted to practice before this Court shall, upon being disbarred on consent
or resigning from the bar of any other Court of the United States or the District of
Columbia, or from the bar of any State, territory, commonwealth or possession of the
United States while an investigation of misconduct is pending, promptly inform the Clerk
of this Court of such disbarment on consent or resignation.
Rule IV. Standards for Professional Conduct
(A) For misconduct defined in these Rules, and for good cause shown, and after notice and
opportunity to be heard, any attorney admitted to practice before this Court may be
disbarred, suspended from practice before this Court, reprimanded or subjected to such
other disciplinary action as the circumstances may warrant.
(B) 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 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.
The Rules of Professional Conduct adopted by this court are the Rules of Professional
Conduct adopted by the highest court of the state in which this Court sits, as amended from
time to time by that state court, except as otherwise provided by specific Rule of this Court
after consideration of comments by representatives or bar associations within the state.
Rule V. Disciplinary Proceedings
(A) When misconduct or allegations of misconduct which, if substantiated, would warrant
discipline on the part of an attorney admitted to practice before this Court shall come to the
attention of a Judge of this Court, whether by complaint or otherwise, and the applicable
procedure is not otherwise mandated by these Rules, the Judge shall refer the matter to
counsel for investigation and the prosecution of a formal disciplinary proceeding or the
formulation of such other recommendation as may be appropriate.
(B) Should counsel conclude after investigation and review that a formal disciplinary
proceeding should not be initiated against the respondent-attorney because sufficient
evidence is not present, or because there is pending another proceeding against the
respondent-attorney, the disposition of which in the judgment of the counsel should be
awaited before further action by this court is considered or for any other valid reason,
counsel shall file with the court a recommendation for disposition of the matter, whether
by dismissal, admonition, referral, or otherwise setting forth the reasons therefor.
(C) To initiate formal disciplinary proceedings, counsel shall obtain an order of this Court upon
a showing of probable cause requiring the respondent-attorney to show cause within thirty
(30) days after service of that order upon that attorney, personally or by mail, why the
attorney should not be disciplined.
(D) 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 this Court shall set the
matter for prompt hearing before one or more Judges of this Court, provided however that
the disciplinary proceeding is predicated upon the complaint of a Judge of this Court, the
hearing shall be conducted before a panel of three other Judges of this Court appointed by
the Chief Judge, or, if there are less than three Judges eligible to serve or the Chief Judge
is the complainant, by the Chief Judge of the Court of Appeals for this Circuit.
Rule VI. Disbarment on Consent While Under Disciplinary Investigation or Prosecution
(A) 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
disbarment, but only by delivering to this Court an affidavit stating that the attorney desires
to consent to disbarment and that:
(1) the attorney’s consent is freely and voluntarily rendered; the attorney is not being
subjected to coercion or duress; the attorney is fully aware of the implications of so
consenting;
(2) the attorney is aware that there is a presently pending investigation or proceeding
involving allegations that there exist grounds for the attorney’s discipline the nature
of which the attorney shall specifically set forth;
(3) the attorney acknowledges that the material facts so alleged are true; and
(4) the attorney so 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.
(B) Upon receipt of the required affidavit, this Court shall enter an order disbarring the attorney.
(C) The order disbarring the attorney on consent shall be a matter of public record. However,
the affidavit required under the provisions of this Rule shall not be publicly disclosed or
made available for use in any other proceeding except upon order of this Court.
Rule VII. Reinstatement
(A) After Disbarment or Suspension. An attorney suspended for three months or less shall
be automatically reinstated at the end of the period of suspension upon the filing with the
court of an affidavit of compliance with the provisions of the order. An attorney suspended
for more than three months or disbarred may not resume practice until reinstated by order
of this Court.
(B) Time of Application Following Disbarment. A person who has been disbarred after
hearing or by consent may not apply for reinstatement until the expiration of at least five
years from the effective date of the disbarment.
(C) Hearing on Application. Petitions for reinstatement by a disbarred or suspended attorney
under this Rule shall be filed with the Chief Judge of this Court. Upon receipt of the
petition, the Chief Judge shall promptly refer the petition to counsel and shall assign the
matter for prompt hearing before one or more Judges of this Court, provided however that
if the disciplinary proceeding was predicated upon the complaint of a Judge of this Court
the hearing shall be conducted before a panel of three other Judges of this Court appointed
by the Chief Judge, or, if there are less than three Judges eligible to serve or the Chief Judge
was the complainant, by the Chief Judge of the Court of Appeals for this Circuit. The Judge
or Judges assigned to the matter shall within thirty (30) days after referral schedule a
hearing at which the petitioner shall have the burden of demonstrating by clear and
convincing evidence that he has the moral qualifications, competency and learning in the
law required for admission to practice law before this Court and that his 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.
(D) Duty of Counsel. In all proceedings upon a petition for reinstatement, cross-examination
of the witnesses of the respondent-attorney and the submission of evidence, if any, in
opposition to the petition shall be conducted by counsel.
(E) Deposit for Costs of Proceedings. Petitions for reinstatement under this Rule shall be
accompanied by an advance cost deposit in an amount to be set from time to time by the
Court to cover anticipated costs of the reinstatement proceeding.
(F) Conditions of Reinstatement. If the petitioner is found unfit to resume the practice of law,
the petition shall be dismissed. If the petitioner is found fit to resume the practice of law,
the judgment shall reinstate him, provided that the judgment may make reinstatement
conditional upon the payment of all or part of the costs of the proceedings, and upon the
making of partial or complete restitution to parties harmed by the petitioners whose conduct
led to the suspension or disbarment. Provided further, that if the petitioner has been
suspended or disbarred for five years or more, reinstatement may be conditioned, in the
discretion of the Judge or Judges before whom the matter is heard, upon the furnishing of
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.
(G) Successive Petitions. No petition for reinstatement under this Rule shall be filed within
one year following an adverse judgment upon a petition for reinstatement filed by or on
behalf of the same person.
Rule VIII. 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 misconduct of that attorney arising
in the course of or in the preparation for such proceeding.
Rule IX. Service of Papers and Other Notices
Service of an order to show cause instituting a formal disciplinary proceeding shall be made
by persona service or by registered or certified mail addressed to the respondent-attorney
at the last known office and residence addresses of the respondent-attorney. Service of any
other papers or notices required by these Rules shall be deemed to have been made if such
paper or notice is addressed to the respondent-attorney at the last known office and
residence addresses of the respondent-attorney; or to counsel or the respondent’s attorney
at the address indicated in the most recent pleading or other document filed by them in the
course of any proceeding.
Rule X. Appointment of Counsel
Whenever counsel is to be appointed pursuant to these Rules to investigate allegations of
misconduct or prosecute disciplinary proceedings or in conjunction with a reinstatement
petition filed by a disciplined attorney, this Court shall appoint as counsel the disciplinary
agency of the Supreme Court of Ohio or other disciplinary agency having jurisdiction. If
no such disciplinary agency exists or such disciplinary agency declines appointment, or
such appointment is clearly inappropriate, this Court shall appoint as counsel one or more
members of the Bar of this Court to investigate allegations of misconduct or to prosecute
disciplinary proceedings under these Rules, provided, however, that the respondent-
attorney may move to disqualify a lawyer so appointed who is or has been engaged as an
adversary of the respondent-lawyer in any matter. Counsel, once appointed, may not resign
unless permission to do so is given by this Court.
Rule XIII. Duties of the Clerk
(A) Upon being informed that an attorney admitted to practice before this Court has been
convicted of any crime, the Clerk of this Court shall determine whether the clerk of the
court in which such conviction occurred has forwarded a certificate of such conviction to
this Court. If a certificate has not been so forwarded, the Clerk of this Court shall promptly
obtain a certificate and file it with this Court.
(B) Upon being informed that an attorney admitted to practice before this Court has been
subjected to discipline by another court, the Clerk of this Court shall determine whether a
certified or exemplified copy of the disciplinary judgment or order has been filed with this
Court, and, if not, the Clerk shall promptly obtain a certified or exemplified copy of the
disciplinary judgment or order and file it with this Court.
(C) Whenever it appears that any person convicted of any crime or disbarred or suspended or
censured or disbarred on consent by this Court is admitted to practice law in any other
jurisdiction or before any other court, the Clerk of this Court shall, within ten (10) days of
that conviction, disbarment, suspension, censure, or disbarment on consent, transmit to the
disciplinary authority in such other jurisdiction, or for such other court, a certificate of the
conviction or a certified exemplified copy of the judgment or order of disbarment,
suspension, censure, or disbarment on consent, as well as the last known office and
residence addresses of the defendant or respondent.
(D) The Clerk of this Court shall, likewise, promptly notify the National Discipline Data Bank
operated by the American Bar Association of any order imposing public discipline upon
any attorney admitted to practice before this Court.
Rule XIV. Jurisdiction
Nothing contained in these Rules 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.
Rule XV. Effective Date
These Rules shall become effective on February 1, 1979, provided that any formal
disciplinary proceeding then pending before this Court shall be concluded under the
procedure existing prior to the effective date of these Rules.
