Purpose of Disciplinary Rules

The court, in furtherance of its inherent power and responsibility to supervise attorneys who practice or appear before it, adopts these rules of disciplinary enforcement. Rule 83.7a Attorneys Convicted of Crimes (a) Filing of Judgment of Conviction. Upon the filing with the clerk of a certified copy of a judgment of conviction stating that an attorney admitted to practice before the court has been May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 84 convicted in any court in 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, this court may 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 and regardless of the pendency of any appeal, until final disposition of the disciplinary proceeding to be commenced in accordance with the provisions of Local Civil Rule 83.7e. 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) Definition of Serious Crime. The term serious crime shall include any felony or other 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 conspiracy or solicitation of another to commit a serious crime. (c) Certified Copy of Judgment Conclusive Evidence.

A certified copy of a judgment of conviction of an attorney for any crime shall be conclusive evidence of the commission of that crime. (d) Suspension and Referral. Upon the filing with the clerk of a certified copy of a judgment of conviction of an attorney for a serious crime, the court may in addition to suspending that attorney in accordance with the provisions of Local Civil Rule 83.7d, also refer the matter to a referee attorney in accordance with Local Civil Rule 83.7b(f) for the institution of a disciplinary proceeding before the court. The sole issue to be determined in that proceeding 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 direct appeals from the conviction are concluded.

(e) Conviction of Non-Serious Crime. Upon the filing with the clerk of a certified copy of a judgment of conviction of an attorney for a crime not constituting a serious crime, the court may May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 85 refer the matter to a referee attorney for whatever action the referee attorney may deem warranted, including the institution of a disciplinary proceeding before the court, provided that the court may in its discretion make no referral with respect to convictions for minor offenses. (f) Reinstatement. An attorney suspended under the provisions of this rule will be reinstated immediately upon the filing with the clerk of a certificate demonstrating that the underlying conviction has been reversed.

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 the discipline to be imposed. Rule 83.7b Discipline Imposed by Other Courts (a) Duty to Inform This Court. Any attorney admitted to practice before this court shall, upon being subjected to public discipline by any other court or administrative body of the United States or the District of Columbia, or by a court or administrative body (or state agency clothed with disciplinary authority) or any state, territory, commonwealth, or possession of the United States, promptly inform the clerk of this court of such action. (b) Notice to Attorney.

Upon the filing with the clerk 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 or administrative body (or state agency clothed with disciplinary authority), this court shall forthwith issue a notice directed to the attorney containing: (i) a copy of the judgment or order from the other court or administrative body (or state agency clothed with disciplinary authority); and, (ii) an order to show cause directing that the attorney inform this court May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 86 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 subsection (d) of this rule that the imposition of the identical discipline by the other court would be unwarranted and the reasons therefor. (c) Deferral of Action. 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) Imposition of Discipline.

Upon the expiration of 30 days from service of the notice issued pursuant to subsection (b) of this rule, this court shall impose the identical discipline imposed by the other court or administrative body, 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: (i) (ii) (iii) (iv) that the procedure was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process; or 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 that the imposition of the same discipline by this court would result in grave injustice; or that the misconduct established is deemed by this court to warrant substantially different discipline. Where this court determines that any of these elements exists, it shall enter such order as it deems appropriate. (e) Effect of Final Adjudication. In all other respects, a final adjudication in another court or administrative May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 87 body (or state agency clothed with disciplinary authority) that an attorney has been guilty of misconduct shall establish conclusively the misconduct for the purposes of a disciplinary proceeding in this court.

(f) Appointment of an Attorney. This court may at any time appoint an attorney to prosecute the disciplinary proceedings. Rule 83.7c Disbarment on Consent or Resignation in Another Court or Before a State Bar Any attorney practicing before this court who shall be disbarred on consent or resign from the bar of any court or state while an investigation into allegations of misconduct is pending shall promptly inform the clerk and, upon the filing with this court of a certified copy of the judgment or order accepting such disbarment on consent or resignation, shall cease to be permitted to practice before this court. Rule 83.7d Standards for Professional Conduct (a) Form of Discipline.

For misconduct defined in these local 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) Grounds for Discipline. Acts or omissions by an attorney admitted to practice before this court, individually or in concert with any other person or persons, that 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 North Carolina State Bar Revised Rules of Professional Conduct adopted by the Supreme Court of North Carolina, except as may be otherwise provided by specific rule of May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 88 this court.

Rule 83.7e Disciplinary Proceeding (a) Referral by the Court. When misconduct or allegations of misconduct in any case or proceeding in this court on the part of an attorney admitted to practice before this court that, if substantiated, would warrant discipline of such attorney 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 local rules, the judge shall refer the matter to a referee attorney in accordance with Local Civil Rule 83.7b(f) for investigation and, if warranted, the prosecution of a formal disciplinary proceeding or the formulation of such other recommendation as may be appropriate. (b) Recommendation for Disposition. Should the referee attorney 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 another proceeding is pending against the respondent-attorney, the disposition of which in the judgment of the referee attorney should be awaited before further action by this court is considered, or for any other valid reason, the referee attorney shall file with the court a recommendation for disposition of the matter, whether by dismissal, admonition, deferral, or otherwise, setting forth the reasons therefor.

(c) Initiation of Disciplinary Proceedings. To initiate formal disciplinary proceedings, the referee attorney shall obtain an order of this court upon a showing of probable cause requiring the respondent-attorney to show cause within 30 days after service of that order upon that attorney, personally or by mail, why the attorney should not be disciplined. (d) Procedure for Hearing. 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 May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 89 mitigation, this court shall set the matter for prompt hearing before one or more judges of this court, provided that, if the disciplinary proceeding is predicated upon the complaint of a judge of this court, the hearing shall be conducted before another judge of this court appointed by the Chief Judge, or if the Chief Judge is the complainant, by the next senior judge of this court.

Rule 83.7f Disbarment on Consent While Under Disciplinary Investigation or Prosecution (a) Consent to Disbarment. Any attorney practicing before this court who is the subject of an investigation into, or a pending proceeding involving, allegations of misconduct may consent to disbarment by delivering to this court an affidavit stating that the attorney desires to consent to disbarment and that: (i) the attorney’s consent is freely given, (ii) the attorney is aware of the pending investigation or proceeding, (iii) the attorney acknowledges the material facts of misconduct, and (iv) the attorney consents because the attorney knows that he or she could not defend successfully against charges of misconduct. (b) Order of Disbarment. Upon receipt of the required affidavit, this court shall enter an order disbarring the attorney.

(c) Record. 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. May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Rule 83.7g Reinstatement (a) Automatic Reinstatement; Reinstatement by Order.

An attorney suspended for three months or less shall be automatically reinstated at the end of the period of suspension upon filing with the court an affidavit of compliance with the provisions of the suspension order. An attorney suspended for more than three months or disbarred may not resume practice until reinstated by order of this court. (b) Time for Petition. An attorney who has been disbarred after hearing or by consent may not petition for reinstatement until the expiration of at least three years from the effective date of disbarment.

(c) Procedure. Petitions for reinstatement by a disbarred or suspended attorney under this rule shall be filed with the court. Upon receipt of the petition, the Chief Judge may assign the matter for a prompt hearing before a judge (or judges) of the court and may, in the Chief Judge’s discretion, refer the petition to counsel for investigation in accordance with Local Civil Rule 83.7b(f). The judge assigned to the matter shall schedule a hearing at which petitioner shall have the burden of demonstrating by clear and convincing evidence that the attorney has the moral qualifications, competency, and learning of the law required for admission to practice law before this court, and that the attorney’s resumption of the practice of law will not be detrimental to the integrity and standing of the Bar or the administration of justice or subversive of the public interest.

In all proceedings upon a petition for reinstatement, cross-examination of the witnesses of the attorney and the submission of evidence, if any, in opposition to the petition shall be conducted by the referee attorney if the matter has been referred to that attorney by the court in accordance with Local Civil Rule 83.7b(f). (d) Costs. Petitions for reinstatement under this rule shall be accompanied by an advanced cost deposit made payable to the Clerk, United States District Court, in the amount of the current attorney admission fee. The court may later impose costs related to the reinstatement proceeding.

May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina (e) Order of Reinstatement. If the petitioner is found to be unfit to resume the practice of law, the petition shall be dismissed. If the petitioner is found to be fit to resume the practice of law, the judgment shall reinstate the petitioner, provided that the judgment may make reinstatement conditional upon the payment of all or part of the costs of the proceedings and partial or complete restitution to parties harmed by the petitioner conduct that led to the suspension or disbarment. (f) 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 83.7h Service of Papers and Other Notices Service of an order to show cause instituting a formal disciplinary proceeding shall be made by personal service or by registered or certified mail addressed to the respondent-attorney at the address shown in the most recent registration filed pursuant to N.C.G.S. § 84-34, or, in the case of an attorney admitted to this court pursuant to Local Civil Rule 83.1, at the address shown in papers filed with the court. 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 address determined as aforesaid, or to counsel or the attorney for the respondent- attorney at the address indicated in the most recent pleading or other document filed by the respondent. Rule 83.7i Appointment of Counsel Whenever counsel is to be appointed in accordance with Local Civil Rule 83.7b(f) to investigate allegations of misconduct or to prosecute disciplinary proceedings or in conjunction with a reinstatement petition, the court may appoint as counsel the disciplinary agency of the Supreme Court of North Carolina or any other disciplinary agency having jurisdiction.

Alternatively, the court may appoint as counsel one or more members of the Bar, provided, however, that the respondent-attorney may move to disqualify this counsel for good cause shown. This counsel, once appointed, may not resign unless permission to do so is given by the court. Nothing in this rule May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 92 limits the court’s authority to refer any matter to the appropriate state bar for investigation, prosecution of disciplinary proceedings, or reinstatement. Rule 83.7j Duties of the Clerk (a) To Secure Certificate of Conviction.

Upon being informed that an attorney admitted to practice before this court has been convicted of any serious crime, the clerk shall determine whether the clerk of the court (or the state agency clothed with disciplinary authority) in which such conviction occurred has forwarded a certificate of such conviction to the court. If a certificate has not been so forwarded, the clerk shall promptly obtain a certificate and cause it to be filed in this court. (b) To Secure Disciplinary Judgment or Order. Upon being informed that an attorney admitted to practice before this court has been subjected to discipline by another court, an administrative body, or a state agency clothed with disciplinary authority, the clerk 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 cause it to be filed in this court.

(c) Transmittal to Other Jurisdictions. Whenever it appears that any person convicted of any serious crime, disbarred, suspended, censured, or disbarred on consent by this court is admitted to practice law in any other jurisdiction or before any other court, the clerk shall, within 14 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 respondent-attorney. (d) National Discipline Data Bank. The clerk shall notify the National Discipline Data Bank operated by the American Bar Association of any order of this court imposing public May 2023 Return to Table of Contents Local Civil Rules – U.S. District Court for the Eastern District of North Carolina Page 93 discipline upon any attorney admitted to practice before this court.

Rule 83.7k Publicity All parties in a disciplinary proceeding shall conduct themselves in accord with the provisions of Local Civil Rule 83.4.