Discipline of Attorneys

(a) Committee on Grievances. The chief judge will appoint a committee of the Board

of Judges known as the Committee on Grievances, which, under the direction of

the chief judge, will have charge of all matters relating to the discipline of

attorneys. Magistrate judges and district judges may serve on the Committee on

Grievances. The chief judge will also appoint a panel of attorneys who are

members of the bar of this court to advise or assist the Committee on Grievances.

At the direction of the Committee on Grievances or its chair, members of this panel

of attorneys may investigate complaints, may prepare and support statements of

charges, or may serve as members of hearing panels.

(b) Grounds for Discipline or Other Relief. Discipline or other relief, of the types set

forth in paragraph (c) below, may be imposed by the Committee on Grievances,

after notice and opportunity to respond as set forth in paragraph (d) below, if any

of the following grounds is found by clear and convincing evidence:

(1) Any member of the bar of this court has been convicted of a felony or

misdemeanor in any federal court, or in a court of any state or territory.

(2) Any member of the bar of this court has been disciplined by any federal court

or by a court of any state or territory.

(3) Any member of the bar of this court has resigned from the bar of any federal

court or of a court of any state or territory while an investigation into

allegations of misconduct by the attorney was pending.

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(4) Any member of the bar of this court has an infirmity that prevents the

attorney from engaging in the practice of law.

(5)

In connection with activities in this court, any attorney is found to have

engaged in conduct that violates the New York State Rules of Professional

Conduct. In interpreting these Rules of Professional Conduct, in the absence

of binding authority from the United States Supreme Court or the United

States Court of Appeals for the Second Circuit, 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, absent significant federal

interests.

(6) Any attorney not a member of the bar of this court has appeared at the bar of

this court without permission to do so.

(c) Types of Discipline or Other Relief

(1)

In the case of an attorney admitted to the bar of this court, discipline imposed

under paragraph (b)(1), (b)(2), (b)(3), or (b)(5) above may consist of a letter of

reprimand or admonition, censure, suspension, or an order striking the name

of the attorney from the roll of attorneys admitted to the bar of this court.

(2)

In the case of an attorney not admitted to the bar of this court, discipline

imposed under paragraph (b)(5) or (b)(6) above may consist of a letter of

reprimand or admonition, censure, or an order precluding the attorney from

again appearing at the bar of this court.

(3) Relief required under paragraph (b)(4) above will consist of suspending the

attorney from practice before this court.

(d) Procedure

(1)

If it appears that there exists a ground for discipline set forth in

paragraph (b)(1), (b)(2), or (b)(3), notice thereof must be served by the

Committee on Grievances on the attorney concerned by first class mail,

directed to the address of the attorney as shown on the rolls of this court

and to the last known address, if any, of the attorney as shown in the

complaint and any materials submitted therewith. Service shall be

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deemed complete upon mailing in accordance with the provisions of this

paragraph.

In all cases in which any federal court or a court of any state or territory

has entered an order disbarring or censuring an attorney or suspending

the attorney from practice, whether or not on consent, the notice shall be

served together with an order by the clerk of this court, to become

effective 24 days after the date of service on the attorney, disbarring or

censuring the attorney or suspending the attorney from practice in this

court on terms and conditions comparable to those set forth by the other

court of record. In all cases in which an attorney has resigned from the

bar of any federal court or of a court of any state or territory while an

investigation into allegations of misconduct by the attorney was

pending, even if the attorney remains admitted to the bar of any other

court, the notice shall be served together with an order entered by the

clerk for this court, to become effective 24 days after the date of service

on the attorney, deeming the attorney to have resigned from the bar of

this court.

Within 20 days of the date of service of either order, the attorney may

file a motion for modification or revocation of the order. This motion

must set forth with specificity the facts and principles relied on by the

attorney to show cause that a different disposition should be ordered by

this court. The timely filing of this motion will stay the effectiveness of

the order until a further order by this court.

If good cause is shown to hold an evidentiary hearing, the Committee on

Grievances may direct such a hearing under paragraph (d)(4) below.

If good cause is not shown to hold an evidentiary hearing, the

Committee on Grievances may proceed to impose discipline or to take

such other action as justice and this rule may require. If an evidentiary

hearing is held, the Committee may direct such interim relief pending

the hearing as justice may require.

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In all other cases, the notice shall be served together with an order by the

Committee on Grievances directing the attorney to show cause in

writing why discipline should not be imposed. If the attorney fails to

respond in writing to the order to show cause, or if the response fails to

show good cause to hold an evidentiary hearing, the Committee on

Grievances may proceed to impose discipline or to take such other

action as justice and this rule may require. If good cause is shown to

hold an evidentiary hearing, the Committee on Grievances may direct

such a hearing under paragraph (d)(4) below. If an evidentiary hearing

is held, the Committee may direct such interim relief pending the

hearing as justice may require.

(2)

In the case of a ground for discipline set forth in paragraph (b)(2) or

(b)(3) above, discipline may be imposed unless the attorney concerned

establishes by clear and convincing evidence (i) that there was such an

infirmity of proof of misconduct by the attorney as to give rise to the

clear conviction that this court could not, consistent with its duty, accept

as final the conclusion of the other court, or (ii) that the procedure

resulting in the investigation or discipline of the attorney by the other

court was so lacking in notice or opportunity to be heard as to constitute

a deprivation of due process, or (iii) that the imposition of discipline by

this court would result in grave injustice.

(3) Complaints in writing alleging any ground for discipline or other relief set

forth in paragraph (b) above shall be directed to the chief judge, who shall

refer those complaints to the Committee on Grievances. The Committee on

Grievances, by its chair, may designate an attorney, who may be selected

from the panel of attorneys established under paragraph (a) above, to

investigate the complaint, if it deems investigation necessary or warranted,

and to prepare a statement of charges, if the Committee deems that necessary

or warranted. Complaints, and any files based on them, shall be treated as

confidential unless ordered otherwise by the chief judge for good cause

shown or in accordance with paragraph (d)(5) below.

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(4) A statement of charges alleging a ground for discipline or other relief set

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forth in paragraph (b)(4), (b)(5), or (b)(6) shall be served on the attorney

concerned by certified mail, return receipt requested, directed to the address

of the attorney as shown on the rolls of this court and to the last known

address, if any, of the attorney as shown in the complaint and any materials

submitted therewith, together with an order by the Committee on Grievances

directing the attorney to show cause in writing why discipline or other relief

should not be imposed. Upon the respondent attorney's answer to the

charges the matter will be designated by the Committee on Grievances for a

prompt evidentiary hearing before a magistrate judge of the court or before a

panel of three attorneys, who may be selected from the panel of attorneys

established under paragraph (a) above. The magistrate judge or panel of

attorneys conducting the hearing may grant such prehearing discovery as

they determine to be necessary, shall hear witnesses called by the attorney

supporting the charges and by the respondent attorney, and may consider

such other evidence included in the record of the hearing as they deem

relevant and material. The magistrate judge or panel of attorneys conducting

the hearing must report their findings and recommendations in writing to the

Committee on Grievances and must serve them on the respondent attorney

and the attorney supporting the charges. After affording the respondent

attorney and the attorney supporting the charges an opportunity to respond

in writing to the report, or if no timely answer is made by the respondent

attorney, or if the Committee on Grievances determines that the answer raises

no issue requiring a hearing, the Committee on Grievances may proceed to

impose discipline or to take such action as justice and this rule may require.

(5) A duly constituted 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 the disciplinary

authority. The request shall be made in writing and submitted to the chair of

the Committee on Grievances. 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

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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 chair of the

Committee on Grievances may take any appropriate action and may refer the

request to the full Committee on Grievances. 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.

(e) 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 this court may apply in writing to the chief judge, for good

cause shown, for the lifting of the suspension or preclusion or for reinstatement to

the rolls. The chief judge must refer this application to the Committee on

Grievances. The Committee on Grievances may refer the application to a

magistrate judge or hearing panel of attorneys (who may be the same magistrate

judge or panel of attorneys who previously heard the matter) for findings and

recommendations or may act upon the application without making such a referral.

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 1.3(a).

(f) Remedies for Misconduct. The remedies provided by this rule are in addition to

the remedies available to individual district judges and magistrate judges under

applicable law with respect to lawyers appearing before them. Individual district

judges and magistrate judges may also refer any matter to the chief judge for

referral to the Committee on Grievances to consider the imposition of discipline or

other relief under this rule.

(g) Notice to Other Courts. When an attorney is known to be admitted to practice in

the court of any state or territory, or in any other federal court, and has been

convicted of any crime, or disbarred, precluded from appearing, suspended, or

censured in this court, the clerk shall send to the other court or courts a certified or

electronic copy of the judgment of conviction or order of disbarment, preclusion,

suspension, or censure, a certified or electronic copy of the court’s opinion, if any,

and a statement of the attorney's last known office and residence address.

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(h) Duty of Attorney to Report Discipline

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(1)

In all cases in which any federal, state or territorial court, agency or tribunal

has entered an order disbarring or censuring an attorney admitted to the bar

of this court, or suspending the attorney from practice, whether or not on

consent, the attorney shall deliver a copy of the order to the clerk of this court

within 14 days after the entry of the order.

(2)

In all cases in which any member of the bar of this court has resigned from

the bar of any federal, state, or territorial court, agency, or tribunal while an

investigation into allegations of misconduct against the attorney was

pending, the attorney shall report that resignation to the clerk of this court

within 14 days after the submission of the resignation.

(3)

In all cases in which this court has entered an order disbarring or censuring

an attorney, or suspending the attorney from practice, whether or not on

consent, the attorney shall deliver a copy of the order within 14 days after the

entry of the order to the clerk of each federal, state, or territorial court,

agency, and tribunal in which the attorney has been admitted to practice.

(4) Any failure of an attorney to comply with the requirements of this Local Civil

Rule 1.5(h) will constitute a basis for discipline of that attorney under Local

Civil Rule 1.5(c).

For relevant historical context for this local rule, consult the Appendix of Committee Notes.