reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1200 - Rules of Professional Conduct › Subpart - Maintaining the Integrity of the Profession › Section 1200.8.5 - Disciplinary authority and choice of law

Current through Register
						Vol. 46, No. 28, July 10, 2024
(a) A lawyer admitted to practice in
						this state is subject to the disciplinary authority of this state, regardless
						of where the lawyer's conduct occurs. A lawyer may be subject to the
						disciplinary authority of both this state and another jurisdiction where the
						lawyer is admitted for the same conduct.
(b) In any exercise of the disciplinary
						authority of this state, the rules of professional conduct to be applied shall
						be as follows:
(1) For conduct
						in connection with a proceeding in a court before which a lawyer has been
						admitted to practice (either generally or for purposes of that proceeding), the
						rules to be applied shall be the rules of the jurisdiction in which the court
						sits, unless the rules of the court provide otherwise; and
(2) For any other conduct:
(i) If the lawyer is licensed
						to practice only in this state, the rules to be applied shall be the rules of
						this state, and
(ii)
						If the lawyer is licensed to practice in this state and another jurisdiction,
						the rules to be applied shall be the rules of the admitting jurisdiction in
						which the lawyer principally practices; provided, however, that if particular
						conduct clearly has its predominant effect in another jurisdiction in which the
						lawyer is licensed to practice, the rules of that jurisdiction shall be applied
						to that conduct.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1200 - Rules of Professional Conduct › Subpart - Standards of Civility › Section 1 - General Standards

Current through Register Vol. 46, No. 28,
						July 10, 2024
LAWYERS' DUTIES TO OTHER LAWYERS, LITIGANTS, WITNESSES
						  AND CERTAIN OTHERS
I. Lawyers should
						be courteous and civil in all professional dealings with other persons.
A. Lawyers should act in a civil manner
						regardless of the ill feelings that their clients may have toward
						others.
B. Lawyers can disagree
						without being disagreeable. Effective representation does not require
						antagonistic or acrimonious behavior. Whether orally or in writing, lawyers
						should avoid vulgar language, disparaging personal remarks or acrimony toward
						other counsel, par- ties or witnesses.
C. Lawyers should not engage in conduct
						intended primarily to harass or humiliate witnesses.
D. Lawyers should require that persons under
						their supervision conduct themselves with courtesy and
						civility.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1200 - Rules of Professional Conduct › Subpart - Standards of Civility › Section 2 - Standards for Transactional/non-litigation Settings

Current through
						Register Vol. 46, No. 28, July 10, 2024
INTRODUCTION
Section 1 of the Standards of Civility,
						  while in many respect s applicable to attorney conduct generally, in certain
						  respect s addresses the practice of law in the setting of litigation and other
						  formal adversary proceedings, where conduct is governed by a variety of
						  specific procedural rules of order and may be supervised by a judge or other
						  similar official. This Section 2, which is more directed to transactional and
						  other non-litigation settings, should be read with Section 1 as one integrated
						  whole for a profession that has multiple facets and spheres of activity.
The differences in practice between
						  lawyers' roles and the expectations in litigation and other settings can
						  sometimes be significant. Although fewer formal rules of conduct and decorum
						  apply outside of the litigation setting, lawyers conducting transactional work
						  should keep Section 1 of Standards of Civility in mind, along with the
						  following additional items.
ADDITIONAL TRANSACTIONAL/NON-LITIGATION
						  STANDARDS
I. A lawyer
						should balance the requirements and directions of the client in terms of timing
						with a reasonable solicitude for other parties. Unless the client specifically
						instructs to the contrary, a lawyer should not impose deadlines that are more
						onerous than necessary or appropriate to achieve legitimate commercial and
						other client-related outcomes.
II. A lawyer should focus on the
						importance of politeness and decorum, taking into account all relevant facts
						and circumstances, including such elements as the formality of the setting, the
						sensitivities of those present and the interests of the client.
III. Where an agreement or
						proposal is tentative or is subject to approval or to further review by a
						lawyer or by a client, the lawyer should be careful not to proceed without
						proper authorization or otherwise imply that authority from the client has been
						obtained when such is not the case.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1205 - Cooperative Business Arrangements Between Lawyers And Nonlegal Professionals › Section 1205.1 - Application

Current through Register Vol. 46, No. 28, July 10,
					 2024
This Part shall apply to all lawyers who,
						pursuant to a cooperative business arrangement:
(a) undertake to provide legal services
					 to a client referred by a nonlegal service provider; or
(b) refer an existing client
					 to a nonlegal service provider.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1205 - Cooperative Business Arrangements Between Lawyers And Nonlegal Professionals › Section 1205.2 - Definition

Current through Register Vol. 46, No. 28, July 10,
					 2024
A cooperative business arrangement is a
						contractual relationship between a lawyer or law firm and a nonlegal
						professional or nonlegal professional service firm for the purpose of offering
						to the public, on a systematic and continuing basis, legal services performed
						by the lawyer or law firm, as well as other nonlegal professional services, as
						authorized by section 1200.5 -c of this Title.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1205 - Cooperative Business Arrangements Between Lawyers And Nonlegal Professionals › Section 1205.3 - List of professions

Current through Register Vol. 46, No. 28,
					 July 10, 2024
(a) The Appellate Divisions jointly
					 shall establish and maintain a list of professions, set forth in section
					 1205.5 of this Part designated by
					 the Appellate Divisions sua sponte or approved by them upon application of a
					 member of a nonlegal profession or nonlegal professional service firm, with
					 whose members a lawyer may enter into a cooperative business arrangement to
					 perform legal and nonlegal services as authorized by section 1200.5 -c of this
					 Title.
(b) A member
					 of a nonlegal profession may apply to the Appellate Division to have that
					 profession included in the list by submitting to the Appellate Division Clerk's
					 Office in any Judicial Department a petition to establish that the profession
					 is composed of individuals who, with respect to their profession, meet the
					 requirements set forth in section 1200.5 -c(b)(1) of this Title.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1205 - Cooperative Business Arrangements Between Lawyers And Nonlegal Professionals › Section 1205.5 - Nonlegal professions eligible to form cooperative business arrangements with lawyers

Current through Register Vol. 46, No. 28,
					 July 10, 2024
Members of the following nonlegal professions are
						eligible to form contractual business relationships with lawyers:
Architecture Certified Public Accountancy Professional
						Engineering Land Surveying Certified Social Work
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1215 - Written Letter Of Engagement › Section 1215.1 - Requirements

Current through Register Vol. 46, No. 28, July 10,
					 2024
(a)
					 Effective March 4, 2002, an attorney who undertakes to represent a client and
					 enters into an arrangement for, charges or collects any fee from a client shall
					 provide to the client a written letter of engagement before commencing the
					 representation, or within a reasonable time thereafter:
(1) if otherwise impractible;
					 or
(2) if the scope
					 of services to be provided cannot be determined at the time of the commencement
					 of representation.
For purposes of this rule, where an entity
						(such as an insurance carrier) engages an attorney to represent a third party,
						the term client shall mean the entity that engages the attorney. Where there is
						a significant change in the scope of services or the fee to be charged, an
						updated letter of engagement shall be provided to the client.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1215 - Written Letter Of Engagement › Section 1215.2 - Exceptions

Current through Register Vol. 46, No. 28, July 10,
					 2024
This section shall not apply to:
(a) representation of a client
					 where the fee to be charged is expected to be less than $3,000;
(b) representation where the
					 attorney's services are of the same general kind as previously rendered to and
					 paid for by the client;
(c) representation in domestic
					 relations matters subject to Part 1400 of this Title; or
(d) representation where the
					 attorney is admitted to practice in another jurisdiction and maintains no
					 office in the State of New York, or where no material portion of the services
					 are to be rendered in New York.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1220 - Mediation Of Attorney-client Disputes › Section 1220.1 - Referral to mediation

Current through Register Vol. 46, No. 28,
					 July 10, 2024
The Grievance Committee or the Office of
						Chief Counsel ("disciplinary office") may refer attorney-client disputes to
						mediation pursuant to this Part when it determines, upon receipt of a complaint
						relating to an attorney's conduct, that mediation may be an appropriate
						alternative method of resolving the dispute. Disputes involving the following
						matters shall not be eligible for mediation:
(a) escrow violations;
(b) allegations of criminal
					 conduct;
(c) a
					 pattern of similar misconduct or behavior (existing over a reasonable period of
					 time);
(d)
					 allegations of abuse of alcohol or drugs or of physical or mental
					 impairment.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1220 - Mediation Of Attorney-client Disputes › Section 1220.2 - Mediation program

Current through Register Vol. 46, No. 28, July
					 10, 2024
(a) Mediators. Mediators shall consist
					 of attorneys appointed by the court or by the bar associations who have agreed
					 to serve as volunteer mediators and who meet the experience and training
					 requirements deemed appropriate by the court.
(b) Bar association mediation
					 coordinator. Bar associations may designate a member of their association to
					 serve as a mediation coordinator ("coordinator"), who shall assist in the
					 administration of the mediation program. In counties within a judicial
					 department where there are fewer than 200 registered attorneys, bar
					 associations may designate a regional mediation coordinator to represent the
					 interests of the respective bar associations.
(c) Public Officers Law, section
					 17
					 (1). Mediators, as volunteers, are expressly
					 authorized to participate in a State-sponsored volunteer program within the
					 meaning of section17
					 (1) of the Public Officers Law.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1220 - Mediation Of Attorney-client Disputes › Section 1220.3 - Procedure

Current through Register Vol. 46, No. 28, July 10,
					 2024
(a)
					 When the disciplinary office determines that a complaint is appropriate for
					 mediation, it shall forward copies of the complaint and any other
					 correspondence related to the complaint, to the appropriate mediator or
					 coordinator, with notification to the attorney and the complainant of the
					 referral. The mediator or coordinator then shall notify the attorney by first
					 class mail, to submit within 20 days a response to the complaint, if a response
					 was not previously submitted. This notice also shall state that, if no response
					 is received within 20 days, the complaint will be returned to the disciplinary
					 office for investigation under the appropriate Appellate Division
					 rules.
(b) Upon
					 receipt of the attorney's response, the matter shall be assigned to or retained
					 by an impartial mediator. The mediator shall schedule a mediation conference
					 within 14-21 days after assignment of the matter, or if the matter has been
					 directly handled by the mediator, within 14-21 days after receipt of the
					 response. Any additional correspondence from the attorney or the complainant
					 concerning the dispute must be submitted to the mediator no later than 10 days
					 prior to the mediation conference. The mediator may grant an adjournment of the
					 conference for good cause, but in no event may the conference be held more than
					 45 days after the response has been received or after referral to the
					 coordinator, whichever is later. The mediator may conduct the mediation by
					 teleconference. If the parties have resolved their dispute by mediation, a
					 written agreement shall be produced and signed by both parties.
(c) If the coordinator or the
					 mediator determines at any time during the mediation process that the matter is
					 unsuitable for mediation, or that the matter involves the type of ineligible
					 conduct described in section
					 1220.1 of this Part, or that the
					 mediation should not proceed because the attorney or complainant is
					 uncooperative, then the complaint shall be returned to the disciplinary office
					 for appropriate action.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1220 - Mediation Of Attorney-client Disputes › Section 1220.4 - Mediation report

Current through Register Vol. 46, No. 28, July
					 10, 2024
Within 10 days following the conclusion of
						the mediation, the mediator shall send a report to the disciplinary office
						advising of any disposition.
(a) If the parties have resolved their
					 dispute by mediation, the report shall be accompanied by the original written
					 agreement signed by both parties, together will all other correspondence
					 related to the dispute. Copies of the agreement shall be provided to the
					 parties.
(b) If the
					 parties are unable to resolve their dispute, the complaint shall be returned to
					 the disciplinary office for appropriate action.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1220 - Mediation Of Attorney-client Disputes › Section 1220.5 - Compliance with mediation agreement

Current through Register Vol. 46,
					 No. 28, July 10, 2024
Compliance with the terms of the mediation
						agreement shall result in dismissal of the complaint by the disciplinary
						office. An attorney's failure to comply with the terms of the mediated
						agreement shall constitute "conduct prejudicial to the administration of
						justice" and shall result in the complaint being investigated as a disciplinary
						matter under the appropriate Appellate Division rules. A complainant's failure
						to comply with the terms of the mediated agreement shall result in the
						dismissal of the complaint.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1220 - Mediation Of Attorney-client Disputes › Section 1220.6 - Confidentiality

Current through Register Vol. 46, No. 28, July 10,
					 2024
All mediated proceedings are confidential
						pursuant to Judiciary Law, section 90(10).
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1230 - Fee Arbitration › Section 1230.1 - Establishment of fee arbitration program

Current through Register Vol.
					 46, No. 28, July 10, 2024
(a) The Chief Administrator of the
					 Courts shall establish a fee arbitration program, which shall be approved by
					 the justices of the Appellate Divisions and which shall provide for the
					 resolution by arbitrators of fee disputes between an attorney and client based
					 upon representation in civil matters.
(b) The fee arbitration program
					 established by the Chief Administrator pursuant to this Part shall provide for
					 arbitration that shall be binding upon both attorney and client unless de novo
					 review is sought in the courts.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.1 - Application

Current through Register Vol. 46, No. 28, July 10,
					 2024
These Rules shall apply to (a) all
						attorneys who are admitted to practice in the State of New York; (b) all
						in-house counsel registered in the State of New York; (c) all legal consultants
						licensed in the State of New York; (d) all attorneys who have an office in,
						practice in, or seek to practice in the State of New York, including those who
						are engaged in temporary practice pursuant to Part 523 of this Title, who are
						admitted pro hac vice, or who otherwise engage in conduct subject to the New
						York Rules of Professional Conduct; and (e) the law firms that have as a
						member, retain, or otherwise employ any person covered by these
						Rules.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.3 - Discipline Under These Rules Not Preclusive

Current through Register
					 Vol. 46, No. 28, July 10, 2024
Discipline pursuant to these Rules shall
						not bar or preclude further or other action by any court, bar association, or
						other entity with disciplinary authority.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.4 - Appointment of Committees

Current through Register Vol. 46, No. 28,
					 July 10, 2024
Each Department of the Appellate Division
						shall appoint such Attorney Grievance Committee or Committees (hereinafter
						referred to as "Committee") within its jurisdiction as it may deem appropriate.
						Each Committee shall be comprised of at least 21 members, of which no fewer
						than 3 members shall be non-lawyers. A lawyer member of a Committee shall be
						appointed to serve as Chairperson. All members of the Committee shall reside or
						maintain an office within the geographic jurisdiction of the Committee.
						Two-thirds of the membership of a Committee shall constitute a quorum for the
						conduct of business; all Committee action shall require the affirmative vote of
						at least a majority of the members present.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.5 - Committee Counsel and Staff

Current through Register Vol. 46,
					 No. 28, July 10, 2024
Each Department of the Appellate Division
						shall appoint to a Committee or Committees such chief attorneys and other staff
						as it deems appropriate.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.6 - Conflicts; Disqualifications from Representation

Current through
					 Register Vol. 46, No. 28, July 10, 2024
(a) No (1) current member of a
					 Committee, (2) partner, associate or member of a law firm associated with a
					 current member of a Committee, (3) current member of a Committee's professional
					 staff, or (4) immediate family member of a current Committee member or
					 Committee staff member, may represent a respondent or complainant in a matter
					 investigated or prosecuted before that Committee.
(b) No referee appointed to
					 hear and report on the issues raised in a proceeding under these Rules may, in
					 the Department in which he or she was appointed, represent a respondent or
					 complainant until the expiration of two years from the date of the submission
					 of that referee's final report.
(c) No former member of the Committee,
					 or former member of the Committee's professional staff, may represent a
					 respondent or complainant in a matter investigated or prosecuted by that
					 Committee until the expiration of two years from that person's last date of
					 Committee service.
(d) No former member of the Committee,
					 or former member of the Committee's professional staff, may represent a
					 respondent or complainant in any matter in which the Committee member or staff
					 member participated personally while in the Committee's service.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.7 - Proceedings Before Committees

Current through Register Vol. 46,
					 No. 28, July 10, 2024
(a)  Complaint
(1) Investigations of professional
					 misconduct may be authorized upon receipt by a Committee of a written original
					 complaint, signed by the complainant, which need not be verified.
					 Investigations may also be authorized by a Committee acting sua
					 sponte.
(2) The
					 complaint shall be filed initially in the Judicial Department encompassing the
					 respondent's registration address on file with the Office of Court
					 Administration. If that address lies outside New York State, the complaint
					 shall be filed in the Judicial Department in which the respondent was admitted
					 to the practice of law or otherwise professionally licensed in New York State.
					 The Committee or the Court may transfer a complaint or proceeding to another
					 Department or Committee as justice may require.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.9 - Interim Suspension While Investigation or Proceeding is Pending

Current through Register Vol. 46, No. 28, July 10,
					 2024
(a)
					 A respondent may be suspended from practice on an interim basis during the
					 pendency of an investigation or proceeding on application or motion of a
					 Committee, following personal service upon the respondent, or by substitute
					 service in a manner approved by the Presiding Justice, and upon a finding by
					 the Court that the respondent has engaged in conduct immediately threatening
					 the public interest. Such a finding may be based upon:
(1) the respondent's default in
					 responding to a petition, notice to appear for formal interview, examination,
					 or pursuant to subpoena under these Rules;
(2) the respondent's admission under
					 oath to the commission of professional misconduct;
(3) the respondent's failure
					 to comply with a lawful demand of the Court or a Committee in an investigation
					 or proceeding under these Rules;
(4) the respondent's willful failure or
					 refusal to pay money owed to a client, which debt is demonstrated by an
					 admission, judgment, or other clear and convincing evidence; or
(5) other uncontroverted
					 evidence of professional misconduct.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.10 - Resignation While Investigation or Proceeding is Pending

Current
					 through Register Vol. 46, No. 28, July 10, 2024
(a) A respondent may apply to
					 resign by submitting to a Court an application in the form in Appendix A to
					 these Rules, with proof of service on the Committee, setting forth the specific
					 nature of the charges or the allegations under investigation and attesting
					 that:
(1) the proposed
					 resignation is rendered voluntarily, without coercion or duress, and with full
					 awareness of the consequences, and that the Court's approval of the application
					 shall result in the entry of an order disbarring the respondent; and
(2) the respondent cannot
					 successfully defend against the charges or allegations of misconduct.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.11 - Diversion to a Monitoring Program

Current through Register Vol. 46,
					 No. 28, July 10, 2024
(a) When in defense or as a mitigating
					 factor in an investigation or formal disciplinary charges, the respondent
					 raises a claim of impairment based on alcohol or substance abuse, or other
					 mental or physical health issues, the Court, upon application of any person or
					 on its own motion, may stay the investigation or proceeding and direct the
					 respondent to complete an appropriate treatment and monitoring program approved
					 by the Court. In making such a determination, the Court shall consider:
(1) the nature of the alleged
					 misconduct;
(2)
					 whether the alleged misconduct occurred during a time period when the
					 respondent suffered from the claimed impairment; and
(3) whether diverting the
					 respondent to a monitoring program is in the public interest.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.12 - Attorneys Convicted of a Crime

Current through Register Vol.
					 46, No. 28, July 10, 2024
(a) An attorney to whom the rules of
					 this Part shall apply who has been found guilty of any crime in a court of the
					 United States or any state, territory or district thereof, whether by plea of
					 guilty or nolo contendere, or by verdict following trial, shall, within 30 days
					 thereof notify the Committee having jurisdiction pursuant to section
					 1240.7(a)(2) of
					 these Rules of the fact of such finding. Such notification shall be in writing
					 and shall be accompanied by a copy of any judgment, order or certificate of
					 conviction memorializing such finding of guilt. The attorney shall thereafter
					 provide the Committee with any further documentation, transcripts or other
					 materials the Committee shall deem necessary to further its investigation. The
					 obligations imposed by this rule shall neither negate nor supersede the
					 obligations set forth in Judiciary Law § 90(4)(c).
(b) Upon receipt of proof that
					 an attorney has been found guilty of any crime described in subdivision (a) of
					 this section, the Committee shall investigate the matter and proceed as
					 follows:
(1) If the Committee
					 concludes that the crime in question is not a felony or serious crime, it may
					 take any action it deems appropriate pursuant to section
					 1240.7 of these Rules.
(2) If the Committee concludes
					 that the crime in question is a felony or serious crime as those terms are
					 defined in Judiciary Law § 90(4), it shall promptly apply to the Court for
					 an order (i) striking the respondent's name from the roll of attorneys; or (ii)
					 suspending the respondent pending further proceedings pursuant to these Rules
					 and issuance of a final order of disposition.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.13 - Discipline for Misconduct in a Foreign Jurisdiction

Current through
					 Register Vol. 46, No. 28, July 10, 2024
(a) Upon application by a
					 Committee containing proof that a person or firm covered by these Rules has
					 been disciplined by a foreign jurisdiction, the Court shall direct that person
					 or firm to demonstrate, on terms it deems just, why discipline should not be
					 imposed in New York for the underlying misconduct.
(b) The respondent may file an
					 affidavit stating defenses to the imposition of discipline and raising any
					 mitigating factors. Any or all of the following defenses may be raised:
(1) that the procedure in the
					 foreign jurisdiction 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
					 the Court could not, consistent with its duties, accept as final the finding in
					 the foreign jurisdiction as to the respondent's misconduct; or
(3) that the misconduct for
					 which the respondent was disciplined in the foreign jurisdiction does not
					 constitute misconduct in New York.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.14 - Attorney Incapacity

Current through Register Vol. 46, No. 28,
					 July 10, 2024
(a) Upon application by a Committee
					 that includes proof of a judicial determination that a respondent is in need of
					 involuntary care or treatment in a facility for the mentally disabled, or is
					 the subject of an order of incapacity, retention, commitment or treatment
					 pursuant to the Mental Hygiene Law, the Court may enter an order immediately
					 suspending the respondent from the practice of law. The Committee shall serve a
					 copy of the order upon the respondent, a guardian appointed on behalf of the
					 respondent or upon the director of the appropriate facility, as directed by the
					 Court.
(b) At any
					 time during the pendency of a disciplinary proceeding or an investigation
					 conducted pursuant to these Rules, the Committee, or the respondent, may apply
					 to the Court for a determination that the respondent is incapacitated from
					 practicing law by reason of mental disability or condition, alcohol or
					 substance abuse, or any other condition that renders the respondent
					 incapacitated from practicing law. Applications by respondents shall include
					 medical proof demonstrating incapacity. The Court may appoint a medical expert
					 to examine the respondent and render a report. When the Court finds that a
					 respondent is incapacitated from practicing law, the Court shall enter an order
					 immediately suspending the respondent from the practice of law and may stay the
					 pending proceeding or investigation. Upon reinstatement of the incapacitated
					 attorney pursuant to §
											1240.17 of these rules, the Court
					 may take such action as it deems advisable, including a direction for the
					 resumption of the proceeding or investigation.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.16 - Reinstatement of Disbarred or Suspended Attorneys

Current through
					 Register Vol. 46, No. 28, July 10, 2024
(a) Upon motion by a
					 respondent who has been disbarred or suspended, with notice to the Committee
					 and the Lawyers' Fund for Client Protection, and following such other notice
					 and proceedings as the Court may direct, the Court may issue an order
					 reinstating such respondent upon a showing, by clear and convincing evidence,
					 that: the respondent has complied with the order of disbarment, suspension or
					 the order removing the respondent from the roll of attorneys; the respondent
					 has complied with the rules of the court; the respondent has the requisite
					 character and fitness to practice law; and it would be in the public interest
					 to reinstate the respondent to the practice of law. Within thirty days of the
					 date on which the application was served upon the Committee, or within such
					 longer time as the Court may allow, the Committee may file an affidavit in
					 relation thereto.
(b) Necessary papers. Papers on an
					 application for reinstatement of a respondent who has been disbarred or
					 suspended for more than six months shall include a copy of the order of
					 disbarment or suspension, and any related decision; an affidavit in the form in
					 Appendix C to these Rules; and proof that the respondent has, no more than one
					 year prior to the date the application is filed, successfully completed the
					 Multistate Professional Responsibility Examination described in section
					 520.9 of this Title. After the
					 application has been filed, the Court may deny the application with leave to
					 renew upon the submission of proof that the respondent has successfully
					 completed the New York State Bar Examination described in section
					 520.8 of this Title, or a
					 specified requirement of continuing legal education, or both. A respondent who
					 has been suspended for a period of six months or less shall not be required to
					 submit proof that the respondent has successfully completed the Multistate
					 Professional Responsibility Examination, unless otherwise directed by the
					 Court.
(c) Time of
					 application.
(1) A respondent
					 disbarred pursuant to Judiciary Law § 90(4) based on a felony conviction
					 may apply for reinstatement to practice after the expiration of seven years
					 from the effective date of the disbarment (see also, Judiciary Law §
					 90).
(2) A
					 respondent disbarred by order of the Court for misconduct may apply for
					 reinstatement to practice after the expiration of seven years from the entry of
					 the order of disbarment, unless otherwise directed by the Court.
(3) A suspended respondent may apply for
					 reinstatement after the expiration of the period of suspension or as otherwise
					 directed by the Court
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.18 - Confidentiality

Current through Register Vol. 46, No. 28, July 10,
					 2024
(a)
					 All disciplinary investigations and proceedings shall be kept confidential by
					 Court personnel, Committee members, staff, and their agents.
(b) All papers, records and
					 documents upon any complaint, inquiry, investigation or proceeding relating to
					 the conduct or discipline of any respondent under these Rules are sealed and
					 deemed private and confidential pursuant to Judiciary Law § 90(10). This
					 provision is not intended to proscribe the free interchange of information
					 among the Committees.
(c) All proceedings before a Committee
					 or the Court shall be closed to the public absent a written order of the Court
					 opening the proceedings in whole or in part.
(d) Application to Unseal Confidential
					 Records or for Access to Closed Proceedings. Unless provided for elsewhere in
					 these Rules, an application pursuant to Judiciary Law § 90(10) to unseal
					 confidential documents or records, or for access to proceedings that are closed
					 under these Rules, shall be made to the Court and served upon such other
					 persons or entities as the Presiding Justice may direct, if any, and shall
					 specify:
(1) the nature and
					 scope of the inquiry or investigation for which disclosure is sought;
(2) the papers, records or
					 documents sought to be disclosed, or the proceedings that are sought to be
					 opened; and
(3)
					 other methods, if any, of obtaining the information sought, and the reasons
					 such methods are unavailable or impractical.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.19 - Medical and Psychological Evidence

Current through Register Vol.
					 46, No. 28, July 10, 2024
Whenever a respondent intends to offer
						evidence of a medical or psychological condition in mitigation of allegations
						or charges, he or she shall give written notice to the Committee of the
						intention to do so no later than 20 days before the scheduled date of any
						appearance, argument, examination, proceeding, or hearing during which the
						respondent intends to offer such evidence to the Court, referee, Committee,
						subcommittee thereof, or counsel to a Committee. Said notice shall be
						accompanied by (a) the name, business address, and curriculum vitae of any
						health care professional whom the respondent proposes to call as a witness, or
						whose written report the respondent intends to submit; and (b) a duly executed
						and acknowledged written authorization permitting the Committee to obtain and
						make copies of the records of any such health care professional regarding the
						respondent's medical or psychological condition at issue.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.20 - Abatement; Effect of Pending Civil or Criminal Matters; Restitution

Current through Register Vol. 46, No. 28, July 10,
					 2024
(a)
					 Any person's refusal to participate in the investigation of a complaint or
					 related proceeding shall not require abatement, deferral or termination of such
					 investigation or proceeding.
(b) The acquittal of a respondent on
					 criminal charges, or a verdict, judgment, settlement or compromise in a civil
					 litigation involving material allegations substantially similar to those at
					 issue in the disciplinary matter, shall not require termination of a
					 disciplinary investigation.
(c) The restitution of funds that were
					 converted or misapplied by a person covered by these Rules shall not bar the
					 commencement or continuation of a disciplinary investigation or
					 proceeding.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.21 - Appointment of Attorney to Protect Interests of Clients or Attorney

Current through Register Vol. 46, No. 28, July 10,
					 2024
(a)
					 When an attorney is suspended, disbarred or incapacitated from practicing law
					 pursuant to these Rules, or when the Court determines that an attorney is
					 otherwise unable to protect the interests of his or her clients and has thereby
					 placed clients' interests at substantial risk, the Court may enter an order,
					 upon such notice as it shall direct, appointing one or more attorneys to take
					 possession of the attorney's files, examine the files, advise the clients to
					 secure another attorney or take any other action necessary to protect the
					 clients' interests. An application for such an order shall be by motion, with
					 notice to the Committee, and shall include an affidavit setting forth the
					 relationship, if any, as between the moving party, the attorney to be appointed
					 and the suspended, disbarred or incapacitated attorney.
(b) Compensation. The Court
					 may determine and award compensation and costs to an attorney appointed
					 pursuant to this rule, and may direct that compensation of the appointee and
					 any other expenses be paid by the attorney whose conduct or inaction gave rise
					 to those expenses.
(c) Confidentiality. An attorney
					 appointed pursuant to this rule shall not disclose any information contained in
					 any client files without the client's consent, except as is necessary to carry
					 out the order appointing the attorney or to protect the client's
					 interests.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.22 - Resignation for Non-Disciplinary Reasons; Reinstatement

Current
					 through Register Vol. 46, No. 28, July 10, 2024
(a) Resignation of attorney
					 for non-disciplinary reasons.
(1) An attorney may apply to the Court
					 for permission to resign from the bar for non-disciplinary reasons by
					 submitting an affidavit in the form in Appendix E to these Rules. A copy of the
					 application shall be served upon the Committee and the Lawyers' Fund for Client
					 Protection, and such other persons as the Court may direct.
(2) When the Court determines
					 that an attorney is eligible to resign for non-disciplinary reasons, it shall
					 enter an order removing the attorney's name from the roll of attorneys and
					 stating the non-disciplinary nature of the resignation.
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.23 - Volunteers/Indemnification

Current through Register Vol. 46, No. 28, July 10,
					 2024
Members of the Committee, as well as
						referees, bar mediators, bar grievance committee members when assisting the
						Court of the Committee, and pro bono special counsel acting pursuant to duties
						or assignments under these Rules, are volunteers and are expressly authorized
						to participate in a State-sponsored volunteer program, pursuant to Public
						Officers Law § 17(1).
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.24 - Costs and Disbursements

Current through Register Vol. 46, No.
					 28, July 10, 2024
The necessary costs and disbursements of
						an agency, committee or appointed attorney in conducting a proceeding under
						this Part shall be paid in accordance with Judiciary Law § 90(6).
New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.25 - Appendix A

Current through Register Vol. 46, No. 28, July 10,
					 2024
Affidavit in Support of Application to Resign While
						Proceeding or Investigation is Pending
INSTRUCTIONS
An application pursuant to section
						1240.10 of these Rules to resign
						as an attorney and counselor-at-law while a proceeding or investigation is
						pending shall comply with the following requirements:
(1) The application shall be submitted in
					 affidavit form, subscribed and sworn to before a notary public or other person
					 authorized to administer an oath, and shall be worded and numbered as set forth
					 below.
(2) The affidavit shall bear
					 the caption and the docket number, if any, of the proceeding pending before the
					 Court. If no proceeding is pending, the caption shall denominate the Committee
					 conducting the investigation as the petitioner, and the subject of the
					 investigation as the respondent.
(3) In completing the affidavit, the
					 respondent should not omit any passages.
(4) Place the moving papers in the following
					 order:
a. the respondent's form
					 affidavit;
b. the exhibits
					 supporting that form affidavit; and
c. an affidavit reflecting service upon the
					 Chief Attorney of the appropriate Committee.
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New York Codes, Rules and Regulations › Title 22 - JUDICIARY › Subtitle B - Courts › Chapter IV - Supreme Court › Subchapter E - All Departments › Part 1240 - Rules for Attorney Disciplinary Matters › Section 1240.26 - Appendix B

Current through Register Vol. 46, No. 28, July 10,
					 2024
Affidavit of Compliance for Disbarred or Suspended
						Attorneys
INSTRUCTIONS
(1)
					 The affidavit required by section
					 1240.15(f) of
					 these Rules shall be worded and numbered as set forth below.
(2) The affidavit shall be subscribed and
					 sworn to before a notary public or other person authorized to administer an
					 oath.
(3) The affidavit shall bear
					 the caption and the docket number, if any, of the proceeding resulting in the
					 respondent's disbarment or suspension.
(4) In completing the affidavit, the
					 respondent should not omit any passages. To the extent that the respondent is
					 unable to swear to any of the required statements set forth in the form
					 affidavit, the respondent must, for each such statement, alternatively explain
					 all facts and circumstances relevant to why the respondent is unable to swear
					 to the statement.
(5) The affidavit
					 shall be filed with the Court along with an affidavit reflecting service
					 thereof upon the Chief Attorney of the appropriate Committee.
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