D. Conn. L. Civ. R. 83.2

(a) Professional Ethics

1. Except as provided in Rule 83.2(a)2 of these Local Rules, this Court recognizes the

authority of the “Rules of Professional Conduct,” as approved by the Judges of the Connecticut

Superior Court as expressing the standards of professional conduct expected of lawyers

practicing in the District of Connecticut. Any changes made by the Judges of the Connecticut

Superior Court to the Rules of Professional Conduct shall apply in the District of Connecticut, on

the date they become effective in the Connecticut Superior Court unless such changes are

expressly rejected by order of the District Judges. The Clerk shall report to the Judges any such

changes to the Connecticut Rules of Professional Conduct. The interpretation of said Rules of

Professional Conduct by any authority other than the United States Supreme Court, the United

States Court of Appeals for the Second Circuit and the United States District Court for the

District of Connecticut shall not be binding in disciplinary proceedings initiated in the United

States District Court for the District of Connecticut.

2. This Court does not adopt the provisions of Rules of Professional Conduct 1.2 and 1.5

concerning limited representations and limited appearances. The ethical standards governing

public statements by counsel in a criminal case are set forth in Local Criminal Rule 57. The

ethical standards governing participation as counsel in a case where either the attorney or

another attorney in his or her firm may be a witness for both civil and criminal cases are set forth

in Local Civil Rule 83.13.

3. The following Local Civil Rules shall apply in grievance proceedings: Rule 83.1

(Admission of Attorneys), Rule 1 (Scope of Rules), Rule 10 (Preparation of Pleadings), Rule 5(b)

(Appearance), Rule 5(c) (Proof of Service), Rule 5(g) (Service in Manually Filed Cases), Rule

7(a) (Motion Procedures), Rule 7(b) (Motions for Extensions of Time.), and Rule 83.10 (Civil Pro

Bono Panel).

(b) Grievance Committee

1. The Judges of this Court shall appoint a Grievance Committee of the United States

District Court for the District of Connecticut consisting of twelve (12) members of the bar of this

Court. One member shall be appointed by the judges as the chairperson of the committee for a

term of three years.

2. Members shall be appointed for a term of three (3) years, renewable once, for an

additional term of three (3) years. If a member is appointed chairperson during the second term

of three years, that member may serve the full three-year term of chairperson, even if his or her

total tenure on the committee would thereby exceed six years. In the event that a vacancy

arises before the end of a term, a member of the bar of this Court shall be appointed by the

Judges of this Court to fill the vacancy for the balance of the term. Anyone filling such a vacancy

is eligible for reappointment to a full three-year term. Five (5) members of the Grievance

Committee shall constitute a quorum and any action taken by the Grievance Committee shall be

by a majority vote of those members present and voting.

3. The judges shall appoint three (3) members of the bar of this Court to serve as Counsel

to the Grievance Committee. Assignment of cases to each counsel shall be made on the basis

of the assigned seat of court, according to administrative procedures approved by the Clerk.

4. The Grievance Committee and Counsel to the Grievance Committee shall have the use

of the staff of the Clerk, grievance clerks, for clerical and record-keeping assistance, shall have

the power to issue subpoenas to compel witnesses to testify and produce documents at

proceedings, and may incur such expenses as shall be approved by the Chief Judge of this

Court. Compulsory process shall be available to the attorney who is the subject of the

complaint.

(c) General Procedures

1. Grievance cases are opened upon a) the filing of a verified complaint against an attorney

alleging misconduct relating to any matter relevant to an attorney’s qualifications to practice

before the court; b) judicial referral to the Grievance Committee upon an allegation of possible

misconduct relating to any matter relevant to an attorney’s qualification to practice before the

court; c) notice of a guilty plea or conviction of a serious crime; d) notice of discipline or

resignation in other courts; or e) notice of a finding of mental disability or incapacity.

2. The Clerk shall assign a docket number to the grievance cases consisting of the initials

“GP,” the last two digits of the year of filing, the number of the case (with the first case of each

year being designated as number 1), and the initials of the Judge to whom the case has been

assigned.

3. Each grievance case shall be assigned to a Judge on a random District-wide basis. Any

complaint which arises out of conduct witnessed by a particular Judge of this Court shall not be

assigned to that Judge. The personnel of the clerk’s office shall not reveal to any person other

than a Judge or the Clerk of this Court the order of assignment of such cases.

4. Grievance cases shall be considered sealed and shall not be a record open to the public

unless and until public discipline is ordered. Sealed documents filed in CM/ECF are not

accessible or viewable by electronic means. The Clerk’s Office will provide copies of sealed

documents to assigned counsel for the Grievance Committee. Grievance Committee counsel are

permitted to efile documents. Other members of the Grievance Committee may request from the

Clerk’s Office copies of documents filed in sealed grievance cases, which the Clerk will provide,

but are not permitted to efile documents. Counsel for the attorney who is the subject of the

grievance or such attorney, if he or she is proceeding as a self-represented party, may request

from the Clerk’s Office copies of sealed documents, which the Clerk will provide, and will be

permitted to efile documents.

(d) Proceedings Upon Complaint or Judicial Referral

1. Any person may file with the Clerk of the Court a written verified complaint alleging

attorney misconduct relating to any matter relevant to an attorney’s qualification to practice

before the court. The Clerk shall forward a copy of the complaint to the Grievance Committee

and counsel assigned to the matter.

2. Within thirty (30) days of the matter being opened, the attorney shall file a written

response to the complaint. The complainant may reply to the attorney’s response within twenty

(20) days after the response is filed.

3. After the briefing deadlines have passed, the Grievance Committee shall review the

complaint and determine if the matter warrants further action. The Grievance Committee, upon

appropriate notice, may conduct hearings as it deems appropriate under rules for fair procedure.

Such hearings shall be private unless the attorney complained against requests a public

proceeding. The Grievance Committee shall decide whether to recommend that the complaint be

dismissed or that the attorney complained against be disciplined (1) by private or public censure,

(2) by suspension from the practice of law for a fixed period of time, (3) by indefinite suspension,

(4) by disbarment, or (5) by any other appropriate remedial measure.

4. When any misconduct or allegation of misconduct which would warrant discipline of any

attorney admitted to practice before this Court comes to the attention of any Judge of this Court,

the Judge may refer the matter to the Grievance Committee for the initiation of a presentment or

the formulation of such other recommendation as may be appropriate. The Grievance

Committee may request that the Court order the attorney to respond to the referral. Nothing in

this Rule 83.2 shall be interpreted to limit the inherent authority of the Judge to enforce the

standards of professional conduct by way of appropriate proceedings other than by referral to

the Grievance Committee. The Judge who referred the matter to the Grievance Committee will

not be assigned to preside over any resulting disciplinary proceeding.

5. The Grievance Committee shall make its recommendation to the Court within 180 days

from the date the last brief permitted under this Rule would be due. If additional time is needed,

Counsel to the Committee shall notify the Clerk and up to an additional 180 days shall be

allowed.

6. If the recommendation of the Grievance Committee is to dismiss the complaint, the

recommendation shall be filed with the Court. The Committee may make a dismissal

recommendation conditioned on the satisfaction by the respondent of conditions determined by

the Committee to be appropriate under the circumstances. The complainant shall have the

opportunity to respond to the dismissal recommendation within thirty (30) days. The Judge to

whom the complaint has been assigned may hold further hearings on the recommendation to

dismiss or may dismiss the complaint on the written record presented by the Committee. If the

Judge decides not to dismiss the complaint, an Order to Show Cause shall be issued by the

Court directing the attorney complained against to show cause why disciplinary action should not

be taken.

7. If the Grievance Committee’s recommendation is for discipline, the Committee shall file

its recommendation in the form of a presentment, seeking an order to show cause why the

attorney complained against should not have disciplinary action taken against him or her as

prayed for in the presentment. The Committee may recommend discipline conditioned on the

satisfaction by the respondent of conditions determined by the Committee to be appropriate

under the circumstances.

8. Within thirty (30) days of service of the order to show cause issued pursuant to Local

Rule 83.2(d)6 or a presentment issued pursuant to Local Rule 83.2(d)7, the attorney complained

against shall file a written answer. Upon request of the attorney who is the subject of the

complaint, a hearing may be held by the Judge to whom the matter has been assigned. If the

attorney does not request a hearing, the Court may deem the hearing waived.

9. If a hearing is held, the attorney complained against shall have a right to be represented

by counsel, shall have the right to confront and cross-examine witnesses, and shall have the

right to offer the testimony of witnesses and other evidence on the attorney’s behalf. Discipline

shall not be imposed unless the Court finds, by clear and convincing evidence, that the attorney

complained against should be disciplined. Unless requested to be a public proceeding by the

attorney complained against, all proceedings shall be in private and maintained under seal

unless and until discipline is ordered.

10. The attorney complained against may choose to waive presentment and hearing and to

agree upon a disposition with the Grievance Committee. In such event, the proposed, stipulated

disposition shall be presented to the Court, with a motion seeking the Court’s approval. Should

the Court deny the motion, an Order to Show Cause shall be issued by the Court directing the

attorney complained against to show cause why disciplinary action should not be taken.

11. Upon the imposition of discipline, other than a private censure, the Court file shall be

unsealed and made a matter of public record. In that event, a notation shall be made on the

attorney’s admission record indicating the date and nature of the discipline imposed.

(e) Proceedings Upon Notice of Conviction of Crimes

1. The Grievance Committee shall be notified and take appropriate action of convictions of

“serious crimes” of attorneys admitted to practice before this Court and cause certified copies of

such convictions to be filed with this Court. 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 tax returns or currency transaction

reports, deceit, bribery, extortion, misappropriation, theft, or an attempt or a conspiracy or

solicitation of another to commit, or the aiding and abetting the commission of any of the

foregoing crimes.

2. Upon the filing with this Court of a certified copy of a judgment of conviction or proof of

change of plea or jury verdict of guilty prior to sentencing, 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 or any foreign country, of a serious crime, the Court shall open a grievance case as set

forth in subsection (c). The Court shall enter an order immediately suspending that attorney from

practice before this Court, 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. A copy of such order shall immediately be sent to the attorney. Upon good cause

shown, the Court may set aside such order when it is in the interest of justice to do so. An

attorney suspended under the provisions of this subparagraph 2 shall be reinstated immediately

upon filing of a certificate demonstrating that the underlying conviction of a serious crime has

been reversed, but reinstatement will not terminate any disciplinary proceedings against the

attorney brought pursuant to this Local Rule 83.2. The matter shall automatically be referred to

the Grievance Committee for the institution of a presentment before this Court, in the manner

specified in Local Rule 83.2(d)7, in which the sole issue to be determined shall be the extent of

the final discipline to be imposed as the result of the conduct resulting in the conviction, provided

that a disciplinary proceeding so instituted shall not be brought to final hearing until all direct

appeals from the conviction are concluded.

3. 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.

(f) Proceedings Upon Notice of Discipline or Resignation in Other Courts

1. Any attorney disciplined by order of the Courts of Connecticut or any other state or

federal Court or any attorney resigning from the bar of the State of Connecticut or any other

state or federal Court while disciplinary proceedings are pending, must deliver a copy of the

disciplinary order (or notice of resignation) to the Clerk of this Court within fourteen (14) days of

the entry of such order. The Court may also receive notice from the courts in which the attorney

has been disciplined or resigned. The attorney must notify the Clerk of the Court regardless of

whether the Clerk has or might receive notice from any other source. Failure to comply with this

notice requirement is, of itself, a ground for discipline.

2. Upon receiving information described in paragraph (f)(1) above, the Clerk shall open a

grievance case as contemplated in subsection (c) above. The presiding judge shall then enter an

Order, to become effective twenty-one (21) days after the date of service on the attorney,

imposing reciprocal discipline on terms and conditions comparable to those set forth by the other

court of record, or, in the case of a resignation, order that the attorney be removed from the rolls

of the Court’s bar. Service shall be deemed complete upon the mailing of the Order, by first class

mail to the address as shown on the rolls of the court.

3. Within twenty-one (21) days of service of the Order described in paragraph (f)(2), 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. Failure to timely file such a motion

shall result in the Order of reciprocal discipline becoming effective and no further action by the

Court, the Grievance Committee, or Counsel for the Grievance Committee shall be necessary.

4. If the attorney’s motion for modification or revocation of the Order requests a hearing,

such a hearing shall be held before the presiding judge. At the hearing, the attorney may be

represented by counsel. The Grievance Committee shall be represented by its assigned

counsel. If an attorney fails to request a hearing on the attorney’s motion, the Court may deem

the hearing waived. Whether requested or not, the presiding judge may, in the judge’s discretion,

convene a hearing.

5. After the hearing, the Court shall require the removal of the attorney from the rolls of the

Court’s bar or shall impose the identical discipline against the attorney unless the Court finds

that, on the face of the record upon which the discipline in another jurisdiction is predicated, it

clearly appears:

a. that the procedure was so lacking in notice or opportunity to be heard as to

constitute a deprivation of due process; or

b. that there was such an infirmity of proof establishing the misconduct as to give

rise to the clear conviction that the Court could not, consistent with its duty,

accept as final the discipline imposed; or

c. that the imposition of the same discipline by the Court would result in grave

injustice; or

d. that the misconduct established is deemed by the Court to warrant substantially

different discipline.

Where the Court determines that any such element exists, it shall enter such other order as it

deems appropriate.

6. Upon good cause shown, the Court may set aside an order issued under Rule 83.2(f)

when it is in the interest of justice to do so.

7. An attorney suspended under the provisions of subparagraph (f)2 shall be reinstated

immediately upon filing (1) an affidavit with the Court demonstrating that the disciplinary action in

the other jurisdiction has been reversed or (2) a certificate of good standing showing the attorney

is a member in good standing in the other jurisdiction.

(g) Proceedings Following Finding of Mental Disability or Incapacity

1. In the event an attorney is by a Court of competent jurisdiction (1) declared to be

incompetent to manage the attorney’s affairs, or (2) committed involuntarily to a mental hospital

for drug dependency, mental illness, or the addictive or excessive use of alcohol, this Court will

open a grievance case as set forth in subsection (c) and the matter shall be referred to the

Grievance Committee.

2. The Court shall issue an order to show cause, requiring the attorney to show cause why

the attorney should not be suspended immediately from practicing law in this Court, and may set

a hearing date. The Court shall arrange for a copy of such order to be forwarded to such

attorney, the attorney’s conservator if any, and the director of any institution in which the attorney

may reside. If, after a hearing is held, or with the consent of the parties by stipulation, the Court

concludes that the attorney is incapacitated from continuing to practice law, it shall enter an

order suspending the attorney on the ground of such disability until further order of the Court.

3. Whenever the Grievance Committee shall have reason to believe that an attorney is

incapacitated from practicing in this Court by reason of mental infirmity or illness or because of

drug dependency or addiction to alcohol, it shall file a presentment in accordance with paragraph

(d)(7) of this Local Rule 83.2. Whenever a Judge of this Court has reason to believe that an

attorney is similarly incapacitated or otherwise impaired, the Judge may refer the matter to the

Grievance Committee for the formulation of such recommendation as may be appropriate,

including the initiation of a presentment or such other orders as it deems appropriate. The

Grievance Committee may take or direct such action as it deems necessary or proper in order to

determine whether such attorney is incapacitated or otherwise impaired, including examination

of the attorney by such qualified medical expert or experts as the Grievance Committee shall

designate. If the Court concludes that the attorney is incapacitated or otherwise impaired from

continuing to practice law, it shall enter an order suspending the attorney on the ground of such

disability until further order of the Court.

In the event there are disciplinary proceedings pending against an attorney who is suspended

under this rule, those proceedings shall be held in abeyance for a long as the suspension under

this rule remains in effect.

(h) Resignation in the District of Connecticut

Any attorney may resign from the bar of this Court by submitting a resignation, in writing,

properly witnessed and acknowledged to be the attorney’s free act and deed, to the Clerk of this

Court, which shall be effective upon filing. However, such resignation shall not affect any

pending disciplinary proceedings pursuant to this Local Rule 83.2, unless the attorney’s

resignation certifies that the attorney waives the privilege of applying for readmission to the bar

at any future time, in which case disciplinary proceedings shall be terminated.

(i) Reinstatement

1. An attorney suspended for a fixed period of time shall be automatically reinstated at the

end of the period of suspension upon filing (1) an affidavit with the Court demonstrating

compliance with the provisions of the suspension order and (2) a certificate of good standing

showing the attorney is now a member in good standing in the Superior Court for the State of

Connecticut or another court.

2. Petitions for reinstatement by a disbarred or suspended attorney whose period of

suspension has not expired shall be filed with the Clerk. Where practicable, such petition shall

be assigned to the Judge to whom the original grievance proceeding was assigned. Otherwise,

it shall be randomly assigned to another Judge of the District. The petition shall automatically be

referred to counsel for the Grievance Committee, who shall give public notice on the District

Court website, allowing thirty (30) days for comment. Counsel shall provide notice to the

complainant that a petition for reinstatement has been filed.

3. After the close of the public comment period, the Grievance Committee may schedule a

hearing for the purpose of determining whether or not the petitioner should be reinstated. The

Grievance Committee shall make a recommendation to the Court, within thirty (30) days of

completing its independent investigation, as to the fitness of the petitioner to be reinstated.

4. Within thirty (30) days of receiving the Committee’s recommendation, the petitioner may

file a reply requesting a hearing. If the petitioner fails to request a hearing within thirty (30) days

of the Committee’s recommendation, the Court may deem the hearing waived.

5. If a hearing is held, the petitioner shall have the burden of demonstrating by clear and

convincing evidence that the petitioner has the moral qualifications, competency and learning in

the law required for admission to practice law before this Court and that the petitioner’s

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 injurious to the public interest.

6. In all proceedings upon a petition for reinstatement, counsel for the Grievance Committee

may conduct cross-examination of the witnesses of the petitioner attorney and may file

objections to the petition. The petitioning attorney may conduct cross-examination of witnesses

for the Grievance Committee and may file a reply to any objection filed by counsel for the

Grievance Committee.

7. If the petitioner is found unfit to resume the practice of law, the petition shall be denied. If

the petitioner is found fit to resume the practice of law, the judge shall reinstate the petitioner,

provided that the judge may make reinstatement conditional upon (1) the payment of all or part

of the costs of the proceedings, (2) the making of partial or complete restitution to parties

harmed by the conduct of the petitioner which led to the suspension or disbarment, (3) the

furnishing of proof of competency and learning in the law or one or more areas of the law or of

law practice management, (4) the petitioner’s taking and passing the Multistate Professional

Responsibility Examination and/or (5) 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.

8. Absent exceptional circumstances, no petition for reinstatement under this paragraph

shall be filed within one year following an adverse judgement upon a prior petition for

reinstatement filed by or on behalf of the same person.