Note: This page focuses on recent opinions addressing questions about a judge's obligations on learning of actual or suspected illegal or unethical conduct.
Disciplinary Obligations; Reporting Illegal or Unethical Conduct
(See generally 22 NYCRR 100.3[D].)
Sub-Topics: Conduct by Attorneys or Law Firms | by Other Judges | by Court Personnel | by Litigants, Witnesses, and Others | Unauthorized Practice of Law; Ghostwriting | General Principles - Timing of Making Report; Effect of Prior Reports; No Duty to Investigate; No Duty to Self-Report
... by Attorneys or Law Firms
(See 22 NYCRR 100.3[D][2]; 100.6[B][3].)
See also "When Must a Judge Report An Attorney?"
Opinion 23-243 (2) Where a judge concludes, based on the information already known to him/her, that a seemingly unaffiliated attorney is an associate of his/her co-judge or is otherwise undertaking eviction work on behalf of the co-judge, the judge cannot accept eviction papers filed by that attorney. (3) The judge should consider whether he/she has received information indicating a substantial likelihood that the seemingly unaffiliated attorney has committed a substantial violation of the Rules of Professional Conduct; if so, the judge must take appropriate action.
Opinion 23-242 (1) A judge has no ethical duty to investigate allegations from the court attorney’s former romantic partner about the court attorney’s conduct before working for the judge. (2) Where the court attorney has admitted certain allegations which, in the judge’s view, constitute substantial professional misconduct, the judge must take appropriate action. (3) With respect to other allegations of a more personal and private nature, the judge need not take any action unless the judge concludes he/she has received information indicating a substantial likelihood that the attorney has committed a substantial violation of Rules of Professional Conduct. (4) On these facts, the judge has no ethical obligation to report the court attorney to the grievance committee or terminate the court attorney’s employment.
Opinion 23-139 Where a full-time judge’s former law firm advises the judge that a former client recently posted an online review of the judge’s legal services, the judge must request that the law firm remove the judge’s name from such review but need not take any further action.
Opinion 23-113 Where a judge concludes that there is a substantial likelihood that an attorney made biased and harassing comments to court personnel and opposing counsel during a court appearance but outside the judge’s presence, the judge must report this conduct to the appropriate attorney grievance committee.
Opinion 23-87 Where a court attorney-referee initially declines to consider an ex parte application from an attorney asking the referee to issue an order nunc pro tunc to rectify the attorney’s failure to timely file documents, and then denies the same application when made by motion on notice to all parties, the referee need not take any action unless the referee determines that the attorney’s actions constitute a “substantial violation” of the Rules of Professional Conduct. If so, the referee also has full discretion to determine what action is “appropriate” under the circumstances.
Opinion 23-36 Where a judge concludes that an attorney disregarded a court directive and engaged in a deliberate deception, intended to perpetrate a fraud and deceive the parties and/or the court, the judge must report the attorney to the appropriate grievance committee.
Opinion 23-25 (1) A full-time judge who learns that a law firm's website advertises its experience appearing before particular judges, and hosts individual biographical pages for those judges on its own website in a format that combines the judges' information with the solicitation of business, must request in writing that the firm take down these biographical pages and remove the associated links. (2) On these facts, reporting is not mandated; any exercise of the judge's disciplinary functions is left to the judge's sole discretion.
Opinion 23-24 A judge who concludes there is a substantial likelihood that an attorney sought to compromise a criminal prosecution for personal financial gain must report that attorney to the grievance committee.
Opinion 23-20 (1) On these facts, a judge who has first-hand knowledge of an attorney's insistence on undertaking a particular representation, notwithstanding the judge's prior warnings about a clear conflict of interest, must take "appropriate action." (2) Where the attorney's conduct does not rise to such an egregious level that it seriously calls into question the attorney's honesty, trustworthiness or fitness as a lawyer, the judge has full discretion to determine what action is "appropriate" under the circumstances.
Opinion 22-172 On these facts, a judge who is deciding a disqualification application as a matter of law has no additional ethical obligations under the Rules. ... (2) The judge has full discretion to determine whether or not the judge has received information indicating a substantial likelihood that an attorney has committed a substantial violation of the Rules of Professional Conduct and, if so, what action is appropriate.
Opinion 22-164 (1) A judge must report an attorney who, on learning that a non-party would only honor a judicial subpoena, personally signed a subpoena above the judge's name and served it on the non-party. However, reporting may wait until the conclusion of the case. (2) A judge has no disciplinary obligation with respect to an attorney for a non-party who honored the purported judicial subpoena. (3) With respect to an allegation that an attorney provided a photograph of their client's party adversary acting unprofessionally to that party's employer, the judge has full discretion to determine whether the judge has received information indicating a substantial likelihood that the attorney committed a substantial violation of the attorney ethics rules. If the judge concludes this standard is not met, the judge need not take any action. If the judge concludes this standard is met, the judge must take appropriate action, but has full discretion to determine what action is appropriate under the circumstances.
Opinion 22-143 A judge may take appropriate action to address disruptions of the court's docket by an attorney who, when regularly appearing of counsel to multiple law firms, engages in disrespectful conduct toward the court and staff, is uncooperative, refuses to discuss settlement of cases and is often unprepared.
Opinion 22-123 A judge with personal knowledge of an attorney's apparently deliberate misrepresentations to their client about having secured an adjournment, resulting in a default and inquest, and the attorney's subsequent failure to appear when the matter was returned to the calendar, mandate reporting the attorney to the appropriate grievance committee. Reporting may await the conclusion of the proceedings. After making the report, the judge is disqualified in all matters involving the attorney, both while the disciplinary matter is pending and for two years thereafter.
Opinion 22-122 (1) Where a judge receives a letter from an assistant district attorney in which the attorney (a) admits secretly altering the supporting materials for a wiretap and ping order after the judge signed the order, (b) urges federal prosecutors not to use or rely on any evidence obtained from the order, and (c) urges federal prosecutors to share the letter with defendants and the court, the judge must report the attorney to the grievance committee. (2) After reporting the assistant district attorney, the judge must disqualify in all cases involving that attorney both while the disciplinary matter is pending and for two years thereafter.
Opinion 22-85 Where a judge believes an attorney may be engaging in unprofessional and/or unethical conduct that is causing unnecessary delays and disruption to court proceedings, but lacks substantial first-hand knowledge of the alleged misconduct, the judge is not required to take any action, but may do so in the judge’s discretion. The propriety of a judge’s determinations about granting continuances, entering scheduling orders, and sanctioning clients are legal questions beyond our authority to address. However, the judge may not engage in impermissible ex parte communications by sending a letter exclusively to an attorney on one side of the case cautioning them that their requests for continuances will be carefully monitored and subject to scrutiny.
Opinion 22-64 A judge who has no personal knowledge that attorney-defendants impermissibly contacted represented plaintiffs in a matter pending before the judge is not required to report the attorneys to the grievance committee.
Opinion 22-49 After a judge admonished an attorney on the record for an inappropriate attempt at humor referencing the client's ethnicity or national origin, the judge has discretion to take further action, but is not required to do so.
Opinion 22-43 Must a judge who has become aware of online complaints about off-duty misconduct concerning another judge's principal law clerk report that clerk to the attorney grievance committee?
Opinion 22-32 Where the inquiring judge is not certain that the alleged conduct of an attorney violates the Rules of Professional Conduct or concludes that the alleged misconduct is not substantial, the judge need not take further action, although the judge may do so, in the judge’s sole discretion.
Opinion 22-21 Whether a judge must or may conduct an inquiry into a potential conflict of interest arising from the pending prosecution of a criminal defense attorney presents a legal question beyond the jurisdiction of this Committee.
Opinion 21-171 (2) On the facts presented, it is within the inquiring judge’s sole discretion to determine if there is a substantial likelihood that a law firm’s actions constitute a substantial violation of the Rules of Professional Conduct and, if so, what action is appropriate.
Opinion 21-86 (3) If the judge believes [an] attorney's appearance on a case that had previously been handled by another colleague in the same governmental law office constitutes impermissible judge-shopping, the judge may report this conduct to the grievance committee.
Opinion 21-78 (1) Where an attorney persists in sending emails to the court and opposing counsel concerning a case, despite a court order disqualifying the attorney from the representation due to an ethical conflict under the Rules of Professional Conduct, the judge must take appropriate action. (2)(a) If, on considering all relevant circumstances, the judge determines that the misconduct seriously calls into question the attorney’s honesty, trustworthiness, or fitness as a lawyer, the appropriate action is to report the attorney to the disciplinary committee. (b) Conversely, if the judge determines the misconduct does not reach that level of egregiousness, the judge has discretion to take less severe appropriate measures which may include, but are not limited to, counseling or warning the lawyer, reporting the lawyer to their employer, or sanctioning the lawyer.
Opinion 20-213 A judge with personal knowledge that an attorney knowingly assisted a client in effectuating a transfer of disputed real estate under false pretenses must report the misconduct to the appropriate grievance committee. Reporting may await the conclusion of proceedings. After making the report, the judge is disqualified in all matters involving the attorney, both while the disciplinary matter is pending and for two years thereafter.
Opinion 20-201 Must a judge report information sent to them by a third party which alleges misconduct by local law enforcement agencies and the local district attorney’s office, where the judge has no first-hand knowledge of the alleged misconduct and is unable to ascertain whether any particular attorney has likely violated any ethical rules or rules of professional conduct?
Opinion 20-158 An appellate division justice who learns that a law firm’s website features screen shots and video of the court’s oral arguments, in which the court’s justices are visible and readily identifiable, must ask the law firm to remove them. The court may, in its discretion, post a notice on its own website advising that images and videos of the court’s justices shown on the court’s website or otherwise may not be used to advance private interests or in furtherance of any commercial purpose. The court and its justices need not monitor lawyer websites but upon learning of any such misuse in the future, a justice should object and request that the offending images be removed.
Opinion 19-107 (1) On these facts, where a judge, in the course of his/her judicial duties, becomes aware of a party’s apparent attempt to undermine the judge’s judicial decision by filing a declaratory judgment action in another court and seeking a default judgment without disclosing related actions, the judge may, but is not required to, inform the other judge of the relevant facts. If the judge chooses to contact the other judge, he/she must do so in writing and copy both sides. (2) Where the judge further concludes the attorney-defendant and his/her counsel both deliberately submitted materially false documents in an apparent attempt to hinder an unrepresented judgment creditor’s efforts to collect a lawful judgment through fraud or deception, the judge must report both attorneys to the grievance committee. (3) The judge may wait until the conclusion of the proceeding before reporting the attorneys.
Opinion 19-90 Where a law firm’s former paralegal apparently forged the judge’s signature on a divorce judgment and pretended it had been appropriately filed, and the judge has serious concerns about the firm’s supervision of and reliance on the paralegal, the judge: (1) must report the conduct to the grievance committee if the judge concludes (a) the law firm, through one or more of its employees, deliberately sought to deceive the court, opposing counsel, and the clerk’s office and/or (b) one or more responsible attorneys allowed this situation to occur through extreme carelessness in failing to supervise their subordinates...
Opinion 19-57 Under the circumstances presented, the inquiring judges must take action with respect to an attorney’s alleged misconduct, but what action is appropriate is left to their sole discretion.
Opinion 19-48 What are a judge’s obligations on receiving correspondence from opposing attorneys in a case expressing differing views on whether a suspended attorney was wrongly practicing law?
Opinion 19-44 What are a judge’s disciplinary obligations concerning an attorney who, acting pro se, makes material false claims about the judge both in affidavits submitted in the case before the judge and in various other unrelated proceedings against the judge? If the judge reports the attorney, may he/she continue to preside in the case where the attorney is appearing pro se?
Opinion 19-35 Where an attorney who practices in a specialized part manifests extremely rude, malicious, and belligerent behavior that, if true, appears to raise serious concerns about the attorney’s fitness to practice law: ... (4) each judge must consider whether his/her own personal knowledge of the attorney’s overall alleged misconduct and unfitness to practice law as described in the inquiry is sufficiently reliable to satisfy the ‘substantial likelihood’ prong and, if so, he/she must report the attorney; (5) a judge who concludes that he/she is not ethically required to report the attorney may nonetheless exercise his/her discretion to do so; and (6) a judge who decides to report the attorney is disqualified from the attorney’s cases both while the disciplinary matter is pending and for two years thereafter. During this period, remittal is not available unless the attorney waives confidentiality or the grievance committee issues a published opinion.
Opinion 18-176/18-176(A)/18-177 (1) A judge who suspects the district attorney of possible misconduct, but lacks reliable information evidencing a substantial likelihood of a substantial violation, is not ethically required to take any action concerning the possible misconduct. (2) If a judge decides to report the district attorney to the grievance committee, he/she must thereafter disqualify him/herself from cases in which the district attorney personally appears during the pendency of the disciplinary process and for two years after it ends. Remittal is not possible unless the grievance committee makes the misconduct a matter of public record or the district attorney waives confidentiality. The reporting judge may continue to preside in cases brought by assistant district attorneys, provided he/she can be fair and impartial. (3) If a judge concludes that it is mandatory to report an attorney’s possible misconduct under the circumstances known to him/her, but knows the alleged misconduct has already been reported to the appropriate disciplinary authority, he/she need not personally report that alleged misconduct. …
Opinion 18-170 A judge who has personal knowledge that a prosecutor has failed to make certain disclosures to the defense must determine, based on facts and circumstances known to the judge, whether there is a substantial likelihood the attorney’s actions constitute a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action. The judge may, in his/her discretion, wait until the proceeding ends to take any such action.
Opinion 18-140 What are a judge’s obligations on learning that a non-attorney may have drafted legal memoranda for an attorney?
Opinion 18-58 (1) A judge may continue to preside in a case after reporting one of the attorneys to a bar association’s lawyer assistance committee, provided the judge can be fair and impartial. (2) A judge who receives information indicating a substantial likelihood that an attorney has substantially violated the requirement of competence under the Rules of Professional Conduct must take appropriate action. What action is appropriate under the circumstances is ordinarily left to the judge’s discretion. However, if the judge determines the attorney’s condition is egregious and seriously calls into question the attorney’s fitness as a lawyer, the attorney’s condition must be reported to the grievance committee. (3) Even if the judge concludes that reporting to the attorney grievance committee is mandatory under the circumstances, the judge may wait until after the case is over before making the report in order to avoid the need for immediate disqualification in all matters involving the attorney.
Opinion 18-29 A judge with personal knowledge that an attorney has made perjurious statements in an affirmation must report the attorney to the appropriate attorney disciplinary committee.
Opinion 18-24 A judge need not take any action against an attorney who was the defendant in an uncontested action for annulment based on fraud, where the attorney’s admissions do not suggest the attorney engaged in illegal or unethical conduct.
Opinion 17-158 A judge who believes an attorney has revealed the name of the respondent judge in a disciplinary investigation (1) need not report the attorney to the Commission on Judicial Conduct; (2) has wide discretion to determine whether the information received reveals a substantial likelihood the lawyer committed a substantial violation of the Rules of Professional Conduct and, if so, what action is appropriate; and (3) may, in his/her sole discretion, direct the attorneys not to reveal the identity of the respondent judge and remind them of the Commission's confidentiality requirements.
Opinion 17-140 Where a prosecutor has provided certain Brady materials involving a particular police officer in one case, what should the judge do in a hypothetical future case involving the same police officer, if the prosecutor fails to make the same disclosure?
Opinion 17-116/17-132 A judge must determine whether he/she has information indicating a substantial likelihood that another judge or an attorney has committed a substantial violation of the applicable professional ethics rules and, if so, must take appropriate action.
Opinion 17-90 What are a judge's obligations on learning a law firm unilaterally altered an order of protection the judge issued against their client?
Opinion 17-86 A full-time judge may not permit his/her part-time co-judge’s partners and associates to engage in the practice of law before him/her and, thus, may not accept papers for filing which were evidently prepared by the co-judge’s partner.
Opinion 17-07 Must a judge report an attorney he/she has never met, seen, or interacted with, based solely on information received from the judge’s relatives?
Opinion 17-06 Under the circumstances, is a judge required to take any additional steps in response to second-hand information about an attorney's alleged misconduct?
Opinion 16-159 (1) A judge who is dissatisfied with an attorney’s explanation of the propriety of his/her conduct in connection with a proposed default divorce decree must determine, based on the facts and circumstances known to the judge, whether there is a substantial likelihood that the attorney’s actions constitute a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action. (2) If the judge determines in good faith that he/she is legally permitted and/or legally required to sign the decrees, he/she may do so without violating the Rules Governing Judicial Conduct, assuming he/she can be fair and impartial and is not otherwise disqualified from presiding in matters involving the attorney. The Committee suggests the judge consult with an administrative judge for assistance in navigating any applicable legal or administrative issues.
Opinion 16-132 Must a judge report a litigant's former attorney for alleged, unspecified sexual misconduct briefly alluded to in open court and in the attorney's absence?
Opinion 16-110 What are a judge's obligations after hearing "confidentially" from another judge about possibly unethical and/or illegal conduct of a local prosecutor, where the inquiring judge has no personal knowledge of such conduct?
Opinion 16-48 Must a judge report an attorney if he/she believes the attorney is improperly attempting to include personal information about the judge's family in the record?
Opinion 16-39 What are a judge's obligations with respect to reporting attorneys for improper use of their firm's IOLA account?
Opinion 15-231 A judge who has personal knowledge that an estate’s former attorney has failed to turn over estate assets in response to a court order and missed several court appearances must determine, based on the facts and circumstances known to the judge, whether there is a substantial likelihood that the attorney’s actions constitute a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action. The judge may, in his/her discretion, wait until the proceeding ends to take any such action.
Opinion 15-183 What are a judge's disciplinary obligations after learning that a police report contains a defendant's unconfirmed, but also un-denied claim that an assistant public defender directed a racial/ethnic slur toward the defendant?
Opinion 15-180 Where a judge has received information indicating a substantial likelihood that an attorney has committed a substantial violation of the Rules of Professional Conduct, and has further concluded that the apparent misconduct seriously calls into question the attorney's honesty, trustworthiness or fitness to practice law, may the judge nonetheless refrain from reporting the apparent misconduct to the grievance committee if (a) the misconduct was covered extensively in the media and (b) the judge believes the attorney's former employer may have reported the misconduct?
Opinion 15-157 Absent a court directive or ethics rule requiring the attorneys to refrain from speaking to a non-party witness during a recess in the midst of a hearing, a court attorney referee need not take any action on learning that an attorney briefly spoke to the witness about subpoenaed materials during the recess.
Opinion 15-138/15-144/15-166 (1) Where a judge has no direct personal knowledge whatsoever about purported misconduct of another judge or attorney, he/she has particularly wide discretion to make a threshold decision, based on information the judge has already received, of whether there is a “substantial likelihood” of a substantial violation under all the circumstances currently known to him/her. (2) If a judge believes the information he/she has is mere rumor, gossip, or innuendo, or is otherwise not sufficiently reliable or credible to warrant further consideration, the “substantial likelihood” prong is not met, and the judge is not ethically required to take any action at all. (3) Conversely, if the judge concludes, in his/her sole discretion, that the “substantial likelihood” prong is met, he/she must then consider whether the “substantial violation” prong is met and, if so, must also determine what action is appropriate under the circumstances presented.
Opinion 15-135 What are the obligations of a judge who has received a secondhand report of a casually overheard and possibly privileged conversation between an attorney and his/her client, relating to a case before the judge?
Opinion 15-54 Is a judge obligated to report two prosecutors to an attorney grievance committee based on what the judge believes to be professional misconduct?
Opinion 15-22 What action, if any, is a judge required to take when the judge believes an attorney who is running for judicial office made an improper political contribution in violation of 22 NYCRR 100.5?
Opinion 14-131 (1) A judge who has received an unsolicited inquiry from a law firm’s recruitment director concerning post-judicial employment, but does not wish to explore the possibility of employment with the firm, may continue to preside over the firm’s cases and has no obligation to disclose the communication. (2) If the judge concludes that the law firm was not thereby attempting to unduly influence the judge’s judicial decisions and that the conduct does not otherwise seriously call into question an attorney’s honesty, fitness, or trustworthiness as a lawyer, the judge need not report the conduct to a disciplinary authority.
Opinion 14-103 (1) A judge is not ethically required to take any action in discharge of his/her disciplinary responsibilities, where the judge’s sole source of knowledge of wrongdoing on the part of an attorney is the fact that the attorney has agreed to an adjournment in contemplation of dismissal of certain charges against the attorney.
Opinion 14-88 A judge who learns an attorney appearing before him/her pro se has testified under oath that he/she used a fictitious bank account to shield his/her law firm income from court-ordered child support payments, must report the attorney to the attorney grievance committee. Thereafter, the judge must disqualify him/herself from any case in which the attorney appears during the pendency of the disciplinary proceeding and for two years thereafter. Remittal is unavailable unless the attorney waives confidentiality or the grievance committee issues a public disciplinary decision.
Opinion 14-50 A judge is not required to take any action in furtherance of his/her disciplinary responsibilities merely because a law enforcement officer has, in the course of testifying about possible criminal activity on the part of a criminal defendant, mentioned the names of one or more attorney(s) and judge(s).
Opinion 14-39 (1) A judge, having learned that an attorney on a case is under indictment, but having no personal knowledge of the underlying circumstances, is not required to report the attorney to the attorney disciplinary authority. (2) As the judge has concluded he/she can decide the case before him/her without reference to this information, the judge need not make any disclosure to other attorneys on the case.
Opinion 13-127 A court attorney referee who heard testimony in a matrimonial matter about an attorney’s personal use of client funds must determine whether he/she has substantial knowledge that the attorney committed a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action.
Opinion 13-118 Is a judge ethically obligated to further investigate allegations of impropriety by an attorney and report the alleged misconduct?
Opinion 13-77 An attorney has stated under oath that he/she falsely advised a client that the client's lawsuit was settled, and paid the client the purported settlement amount from the attorney's own personal funds; is reporting mandatory?
Opinion 13-69 When is a judge required to report another part-time lawyer/judge for engaging in misconduct?
Opinion 13-61 A judge who concludes that an attorney has threatened to file a complaint against the judge in an effort to unduly influence the judge’s judicial decision should report the attorney to the appropriate disciplinary committee.
Opinion 13-10 What are a judge's obligations concerning an attorney the judge believes has an alcohol abuse problem?
Opinion 12-180 Must a judge report a litigant and/or the litigant's attorney where the litigant asserted in an affidavit that he/she lied to the court and that his/her counsel advised him/her to do so, and in subsequent papers denied perjuring him/herself or intentionally lying to the court?
Opinion 12-131 Must a judge report an attorney to the Grievance Committee for submitting false affidavits of actual engagement?
Opinion 12-55 An attorney's refusal to make potentially incriminating statements, standing alone, does not rise to the level of a "substantial likelihood" that the attorney has committed professional misconduct.
Opinion 12-29 Must a judge report an attorney the judge previously sanctioned, who is now engaging in conduct the judge believes to be unethical?
Opinion 11-48 A support magistrate who receives information indicating a substantial likelihood that an attorney has failed to pay court-ordered child support must determine whether the attorney’s conduct, under the specific circumstances known to the support magistrate, constitutes a substantial violation of the Rules of Professional Conduct and, if so, must then take appropriate action.
Opinion 10-204 Must a judge report an attorney who admitted anonymously preparing papers on behalf of an unrepresented litigant (also known as "ghostwriting") in opposition to an application pending before the judge?
Opinion 10-142 (1) A judge is not required to investigate whether an attorney has engaged in misconduct. (2) The propriety of a prosecutor’s exercise of discretion in deciding whether and how to prosecute offenses raises legal issues beyond the Committee’s jurisdiction. (3) A judge who receives information indicating a substantial likelihood that a lawyer has committed a substantial violation of the Rules of Professional Conduct shall take appropriate action.
Opinion 10-122 A judge must determine whether he/she has information indicating a substantial likelihood that an attorney has committed a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action. Should the judge report the attorney, the judge is disqualified from presiding in matters in which the attorney appears during the pendency of the disciplinary proceeding and for two years after it finally concludes, and remittal is unavailable.
Opinion 10-106 (1) Where it appears that an attorney has failed to comply with the attorney registration requirements Judiciary Law §468-a requires, a judge should afford the attorney an opportunity to demonstrate that he/she filed the mandatory registration statement and/or paid the prescribed fee to avoid an unnecessary report to the disciplinary committee. If the attorney is not in compliance with Judiciary Law §468-a, the judge must report the attorney to the appropriate Appellate Division of the Supreme Court for disciplinary action. (2) Where it appears that a nonresident attorney does not maintain a physical law office or an actual mailing address in New York State as Judiciary Law §470 requires, a judge should afford the attorney an opportunity to demonstrate otherwise. If the attorney does not produce satisfactory evidence of compliance, and the judge concludes that the attorney has thereby committed a substantial violation of the Professional Conduct Rules, the judge should take appropriate action.
Opinion 10-86 A judge who believes that the charges in a criminal complaint against a lawyer would, if proved, constitute a substantial violation of the Rules of Professional Conduct is not required to take any action unless he/she concludes there is a substantial likelihood that the charges are true. If the judge does report the lawyer, the judge must disqualify him/herself, without the possibility of remittal, if the lawyer appears before the judge while the disciplinary complaint is pending.
Opinion 10-85 When a judge receives information indicating a substantial likelihood that a lawyer’s conduct constitutes a substantial violation of the Rules of Professional Conduct, but does not rise to a level that seriously calls into question the attorney’s honesty, trustworthiness or fitness as a lawyer, the judge has the discretion to take some appropriate action other than reporting the conduct to a disciplinary authority.
Opinion 10-64 A judge does not have information indicating a substantial likelihood that a lawyer has committed a substantial violation of the Rules of Professional Conduct where an attorney publicly discloses that his/her client, who is charged with a crime, made false statements in an affidavit in support of a motion the client filed pro se and that the client is likely to do so again, as the judge does not know the substance of the alleged false statements or that the attorney’s allegation is true.
Opinion 10-36 A judge who has received information about possible criminal activities by an attorney whose identity is unknown to the judge has no obligation to determine the attorney’s identity for the purpose of reporting the attorney to the disciplinary committee.
Opinion 09-142 A judge who concludes that an attorney deliberately sought to deceive the court and acted extremely unprofessionally in defiance of court directives should report the attorney to the appropriate disciplinary committee.
Opinion 09-49 A judge who learns during a sealed grand jury proceeding that the attorney who was the subject of the proceeding intends to report his/her own misconduct to the appropriate lawyer disciplinary authority need not take any further action if he/she can verify that the attorney has done so. If the attorney does not report his/her own misconduct, the judge must determine whether he/she may legally disclose information he/she learned during the sealed grand jury proceedings. If not, then the judge has no further disciplinary responsibility under the Rules Governing Judicial Conduct. If the judge may legally disclose the information, he/she then must determine whether the conduct constitutes a substantial or nonsubstantial violation of the Rules of Professional Conduct and thereafter take appropriate action.
back to Discipline
... by Other Judges
(See 22 NYCRR 100.3[D][1].)
For a judge's own misconduct, see No Duty to Self-Report
See also "When Must a Judge Report Another Judge?"
Opinion 23-243 (1) A judge who receives reliable information indicating a substantial likelihood that his/her co-judge has used a seemingly unaffiliated attorney to represent clients on certain cases that originated in their court, and arranged for those cases to be assigned to himself/herself, must report the co-judge to the Commission on Judicial Conduct.
Opinion 23-62/23-63/23-111 On the facts presented, the inquiring administrative judge has full discretion to determine whether there is a substantial likelihood that a part-time judge has committed a substantial violation of the Rules Governing Judicial Conduct and, if so, what action is appropriate under the circumstances.
Opinion 22-153 (1) A judge need not recuse from a small claims case merely because they might potentially learn about another judge's possible legal, procedural and/or ethical missteps in another case. (2) The inquiring judge is in the best position to determine whether they have received information indicating a substantial likelihood that another judge has committed a substantial violation of the Rules Governing Judicial Conduct and, if so, what action is appropriate under the circumstances. (3) We cannot respond to questions about past conduct, legal issues, conduct of another judge, or interpretation of another judge's decisions/rulings.
Opinion 22-148 A town justice who receives correspondence from their co-judge’s election opponent with accusations against the co-judge, but has no first-hand knowledge of any misconduct, is not obligated to take any action.
Opinion 22-115 A judge who has personal knowledge that another judge responded to a law enforcement agency's arrest announcement by publicly praising the agency for "solv[ing] this crime," and also knows that the arrested individual will likely be brought before the other judge for proceedings in the matter, must report the other judge to the Commission on Judicial Conduct.
Opinion 22-113 A judge who reported another judge's alleged misconduct to an administrative judge has no further ethical obligations, unless the inquiring judge concludes that the alleged misconduct seriously calls into question the other judge's fitness as a judge.
Opinion 22-33 On these facts, a judge presiding in a criminal case need not investigate the timing of another judge's prior recusal in the matter nor take any further action.
Opinion 21-153 A judge who receives a message from another judge asking them to consider a fine for an acquaintance lower than the fine the prosecutor is recommending must report the other judge to the Commission on Judicial Conduct.
Opinion 21-138 Where a judge reported to court administrators that a part-time attorney judge inappropriately appeared as a prosecutor, and was advised that the District Administrative Judge has addressed the matter, the judge need not take any further action.
Opinion 21-19 A judge with knowledge that another judge with a public disciplinary history took steps to have an acquaintance’s matter reassigned to him/herself must report the other judge to the Commission on Judicial Conduct.
Opinion 20-207 Where a judge has already determined that it is necessary to report another judge for an apparent incident of “ticket-fixing,” the judge is not relieved of the duty to report merely because the other judge resigned from the bench in the interim.
Opinion 20-191/20-192 Where a judge hears conflicting reports about another judge's possible comments at a meeting, but has no personal knowledge of these comments and is unable to conclude there is a substantial likelihood that the other judge said anything improper, they have no obligation to take any action.
Opinion 20-181 Must a judge take any action with respect to the submissions of a town justice in support of a town court clerk’s pistol permit application?
Opinion 19-165 A judge who participated in an appeal must report to the Commission on Judicial Conduct a letter he/she received from the lower-court judge whose decision was overturned, because the letter appears to raise very serious questions about the writer’s impartiality, fairness, and understanding of a proper judicial role and suggests an attempt to improperly influence the subsequent disposition of the case before another judge.
Opinion 19-66 What are a judge’s disciplinary obligations, if any, on learning that a judicial colleague has made an apparent legal or procedural error?
Opinion 19-64 What are a judge’s disciplinary obligations, if any, on receiving a judicial colleague’s written communication concerning an ongoing proceeding the colleague has before the Commission?
Opinion 18-165 (1) A supervising judge who concludes that another judge pointed a licensed firearm at a defendant in the courtroom several years ago, in circumstances where he/she would not have been justified in using deadly physical force, must take appropriate action. (2) Where the supervising judge is satisfied that it was a one-time, isolated incident provoked by the other judge’s concerns about his/her personal safety, and the supervising judge has, in consultation with the district administrative judge, counseled the other judge orally and in writing to impress upon him/her that this conduct must never be repeated, the supervising judge need not take any further action. (3) Conversely, if the supervising judge concludes, in his/her sole discretion, that the measures he/she has already taken are inadequate and the incident still raises serious questions about the judge’s fitness to continue in office that must be investigated by the Commission on Judicial Conduct, the judge must report the conduct to the Commission.
Opinion 18-157 Where an appellate judge with administrative or supervisory responsibilities concludes that a lower-court judge improperly contacted the judges participating in an appeal in an attempt to influence the disposition of the case, he/she (1) must ensure the incident is reported to the Commission on Judicial Conduct; (2) must direct that the improper communication be disclosed to appellate counsel in the case; and (3) may permit the appellate judges who received the improper communication to continue to preside in the case if he/she is satisfied they (a) can be fair and impartial and (b) can decide the appeal without reference to the improper communication.
Opinion 18-112 Does a judge have any disciplinary obligations on learning that another judge presides in matters involving a lawyer with whom he/she is friendly and formerly shared office space?
Opinion 18-74 When an administrative judge learns that a full-time judge, in his/her capacity as a parent, has provided legal advice to other parents and impermissibly commented on pending litigation beyond the bounds of the judge’s own direct, personal interest in his/her minor child’s education, the administrative judge (1) must take appropriate action but (2) has full discretion to determine what action is appropriate under the circumstances.
Opinion 18-66 Under these circumstances, the inquiring judge has full discretion to take, or not take, any action in response to a co-judge’s conduct.
Opinion 18-10 A judge who has concerns a new judge may not fully understand his/her judicial duties, but lacks reliable information suggesting possible misconduct by the other judge, has full discretion to take, or not take, any action in response to such conduct.
Opinion 17-177 Where a judge has reliable, first-hand knowledge that another judge attempted to use his/her judicial status to influence the bail decision in a family member’s criminal case, but the other judge never revealed his/her name: (1) if the judge knows the other judge’s identity, he/she must report him/her to the Commission on Judicial Conduct; but (2) if the judge does not know the other judge’s identity, he/she has no obligation to investigate or take any further action.
Opinion 17-164 A judge who has reliable, first-hand knowledge in his/her appellate capacity that another judge is willfully disregarding both his/her judicial duties and a court order instructing him/her to perform those duties as necessary for an appeal, to the litigants' detriment, must report the other judge's conduct to the Commission on Judicial Conduct.
Opinion 17-147 A judge who receives a phone call from another judge concerning an unspecified case before him/her, but who never learns any information sufficient to identify the case, has no obligation to take any action concerning the other judge’s conduct. The judge has full discretion to take, or not take, any steps concerning the other judge’s conduct as he/she deems appropriate.
Opinion 17-135 A judge who has first-hand knowledge that another judge improperly attempted to influence the outcome of a case before him/her must report the other judge to the Commission on Judicial Conduct.
Opinion 17-116/17-132 (1) A judge must determine whether he/she has information indicating a substantial likelihood that another judge or an attorney has committed a substantial violation of the applicable professional ethics rules and, if so, must take appropriate action. (2) If the judge concludes the two-prong test is met and further concludes that another judge improperly attempted to influence the outcome of a case, the appropriate action is to report the other judge to the Commission on Judicial Conduct.
Opinion 17-48 The inquiring part-time attorney judge must report to the Commission on Judicial Conduct that another judge, while presiding over a case, threatened to file a disciplinary complaint against the inquirer unless the inquirer’s client settled the case for a particular sum.
Opinion 16-46 (1) A judge who concludes that grave inconsistencies at the core of another judge’s sworn testimony concerning his/her performance of judicial duties constitute perjury or intentional deception must report the witness-judge to the Commission on Judicial Conduct. (2) Conversely, if he/she concludes the witness-judge did not deliberately testify falsely or intentionally attempt to mislead the court, then he/she has full discretion to take some other, less severe action appropriate to the circumstances.
Opinion 15-138/15-144/15-166 (1) Where a judge has no direct personal knowledge whatsoever about purported misconduct of another judge, he/she has particularly wide discretion to make a threshold decision, based on information the judge has already received, of whether there is a “substantial likelihood” of a substantial violation under all the circumstances currently known to him/her. (2) If a judge believes the information he/she has is mere rumor, gossip, or innuendo, or is otherwise not sufficiently reliable or credible to warrant further consideration, the “substantial likelihood” prong is not met, and the judge is not ethically required to take any action at all. (3) Conversely, if the judge concludes, in his/her sole discretion, that the “substantial likelihood” prong is met, he/she must then consider whether the “substantial violation” prong is met and, if so, must also determine what action is appropriate under the circumstances presented.
Opinion 15-124 Under the circumstances presented, the inquiring judge must report to the Commission on Judicial Conduct another judge’s attempts to use the prestige of judicial office to influence the outcome of a family member’s criminal case.
Opinion 15-119 Where a county court judge is aware a town justice presided over an arraignment and then requested the matter be transferred due to a purported conflict, but lacks relevant details of the purported conflict, the judge need not take any further action.
Opinion 15-94 A judge who receives reliable information that a more senior judge, who has administrative or supervisory responsibilities, displayed impatient, discourteous, and undignified behavior on the bench, made unprovoked threats to alter another judge's order in the case sua sponte to suit the more senior judge's personal preferences, and repeatedly refused to consider or decide the issues before him/her, must report the more senior judge’s conduct to the appropriate administrative judge.
Opinion 15-70 What is a judge's ethical obligation when he/she learns that another judge appeared in his/her court and attempted to influence the outcome of a relative's case?
Opinion 14-162(A) Must a judge report to the Commission on Judicial Conduct another judge’s misconduct which he/she personally witnessed and has concluded is a substantial violation of the Rules Governing Judicial Conduct, when the judge also has credible information the other judge has self-reported the conduct to the Commission?
Opinion 14-140 Must a judge report his/her co-judge after learning from his/her court clerks that they overheard the co-judge engaging in ex parte, off-the-record communications with a prosecutor and his/her witness, advising them how to present certain evidence at the next phase of the case?
Opinion 14-86 A judge who, in the course of presiding over a criminal case, learns that the judge who arraigned the defendant and signed a securing order had also signed the underlying criminal complaint, must report the arraigning judge to the Commission on Judicial Conduct.
Opinion 14-50 A judge is not required to take any action in furtherance of his/her disciplinary responsibilities merely because a law enforcement officer has, in the course of testifying about possible criminal activity on the part of a criminal defendant, mentioned the names of one or more attorney(s) and judge(s).
Opinion 13-146 A judge who learns that his/her co-judge has provided professional assistance to one side in connection with an ongoing matter that originated in the judges’ court, and over which the co-judge personally presided at an earlier stage, must report the co-judge to the Commission on Judicial Conduct.
Opinion 13-71 The inquirer has become aware that another judge presided over a matter in which that judge's own current disciplinary counsel appeared; is reporting mandatory?
Opinion 13-70/13-74 A judge’s request that local authorities further investigate a crime that allegedly occurred in the court office, standing alone, does not rise to the level of a “substantial likelihood” that the judge has violated the Rules Governing Judicial Conduct.
Opinion 13-69 When is a judge required to report another part-time lawyer/judge for engaging in misconduct?
Opinion 13-55 Is a judge required to report the alleged misconduct of an Administrative Law Judge (ALJ) to the Commission on Judicial Conduct and/or to the department that employs the ALJ?
Opinion 12-166 Must a judge report another judge's conduct occurring during a private dispute with a court employee which took place on court premises?
Opinion 11-08 On these facts, must a judge report their co-judge for conduct the judge believes to be ethics violations and abuses of power?
Opinion 10-181 A judge who learns that another judge arraigned a defendant on a charge of driving while intoxicated and set bail, appeared at the jail shortly thereafter, posted the bail using a check drawn on the judge’s spouse’s bank account and, after signing his/her spouse’s name on the bail documents to secure the defendant’s release, drove the defendant home should report the matter to the Commission on Judicial Conduct.
Opinion 10-175 A judge who receives a letter from another judge in support of an application that is pending in the receiving judge’s court, under circumstances that indicate to the receiving judge that the letter was not solicited by an appropriate agency, must report the letter writer to the Commission on Judicial Conduct.
Opinion 10-14 An inquiring judge must report to the Commission on Judicial Conduct the fact that another judge offered to have a police officer destroy a traffic ticket the officer issued to the inquiring judge’s relative.
Opinion 09-190 Before a judge must take action with respect to another judge’s possible misconduct, the judge must have information indicating a substantial likelihood that the other judge has committed a substantial violation of the Rules Governing Judicial Conduct.
Opinion 09-132 Must a judge report an individual who sent in a handwritten note requesting an adjournment on behalf of the defendant, where the judge realized, after granting the adjournment on the merits, that the enclosing envelope listed the individual's judicial title in the return address stamp?
Opinion 09-113 A part-time lawyer judge should report another part-time lawyer judge to the Commission on Judicial Conduct because, on multiple occasions, the other part-time lawyer judge has committed a substantial violation of the Rules Governing Judicial Conduct by practicing law in the part-time lawyer judge’s court.
back to Discipline
... by Court Personnel (non-attorneys)
Opinion 22-167 When a town justice learns that the court clerk and the clerk's children served as paid witnesses for a local attorney's clients on a limited number of occasions, and have since stopped at the advice of the judge, must the judge take any further action with respect to the court clerk's conduct?
Opinion 22-65 Application and enforcement of the Office of Court Administration’s work schedule policies to non-judicial court personnel are primarily administrative matters, which the Committee cannot address.
Opinion 20-16 On these facts, a judge who learns a non-judge court employee engaged in multiple ex parte conversations with one side in an ongoing contested matter before the judge, and attempted to assist that side by using his/her special access as a court employee to provide insider information and advice, must (1) report the situation to appropriate court administrators, (2) direct the employee to be insulated from further case contact, (3) disclose the incidents the judge has become aware of to the lawyers and parties on the record, and (4) direct the lawyers to admonish their clients not to engage in ex parte communication about the case with court personnel.
Opinion 20-15 On these facts, where a judge discovered a clerical court employee’s apparent misconduct after the affected case had already been adjudicated and the judge has already reported all the facts he/she learned to appropriate court administrators, the judge need not take any further action.
Opinion 19-155 ... (3) A judge who concludes he/she has a reasonable, good-faith basis to question the firearm authorization status of a police officer who has been designated to provide security in the judge’s courtroom may, but is not required to, meet with the village police chief concerning the issue. If the judge concludes the officer is not properly authorized, trained, and/or licensed to carry a firearm, he/she may take any lawful measures to ensure order and decorum in his/her courtroom, including, but not limited to, objecting to the officer’s placement in his/her courtroom and consulting with court administrators on how to proceed.
Opinion 18-136 A village justice with no direct or independent knowledge of alleged misconduct by a court officer has no obligation to investigate or take any action.
Opinion 16-103 Where a town or village justice has already reported substantial and troubling irregularities by a co-judge's court clerk to a supervising judge, and taken steps to ensure that the clerk will have no further contact with his/her files, does the judge have any obligation to take further action?
Opinion 15-189 What are a judge's obligations on learning of substantial and troubling irregularities in his/her court arising from the conduct of a former town court clerk, as well as possibly improper behavior by a former town justice?
Opinion 08-99 A town justice who discovers evidence that certain court personnel may have engaged in misconduct that suggests the possibility of corruption within the court itself must report all the facts he/she has learned to his/her administrative judge. The town justice may, but is not obliged to, report the apparent misconduct to any other authority, including the district attorney, other municipal officials or the police.
back to Discipline
... by Litigants, Witnesses, and Others (non-attorneys)
Opinion 23-120 A town justice is not required to report a violation of a town ordinance that came to the judge's attention during a small claims proceeding, but may do so in his/her sole discretion. If the judge chooses to report the violation, he/she may not preside over any resulting proceedings.
Opinion 22-100 A JHO who presided over a contract dispute between a construction manager and a subcontractor (1) need not advise building residents of an apparent variance from specifications in the installation of certain bathroom stall doors and (2) may not direct the attorneys to investigate whether this variance presents a potential safety issue.
Opinion 21-165 (1) Where court staff have relayed to a judge certain remarks made openly by a physician witness while waiting for the case to be called, and the judge concludes those remarks reflect gender and other bias and a lack of professionalism to a level that could directly impact the doctor’s credibility and/or might be relevant in evaluating the conclusions reached in the physician’s report, the judge (a) may, but need not, report the remarks to an appropriate authority...
Opinion 21-137 May a court attorney-referee report a litigant to the DA’s office for perjury? If so, are there "any specific rules" for the court attorney-referee to follow?
Opinion 20-127 What are a judge’s ethical obligations on learning, from the attorneys’ own submissions in a case, that their clients failed to file tax returns for multiple years?
Opinion 20-17 A judge may, but is not ethically required to, report a non-attorney who attempted to appear before the judge on behalf of a “client.”
Opinion 19-155 (1) A judge may, but is not required to, disclose his/her concerns to any appropriate authority, including the village police chief, about whether a newly appointed provisional village police officer has proper legal authority and credentials to carry a firearm. (2) A judge who concludes he/she is legally authorized or required as a firearms licensing officer to initiate an investigation into the propriety of the new officer’s possession of a pistol may take whatever steps he/she deems legally permitted or required in that capacity. ...
Opinion 19-123 Where a judge believes a county official, who is neither an attorney nor a judge, is incapable of meeting the requirements of his/her position, must he/she report the official to his/her employer?
Opinion 19-96 Must a judge report to the District Attorney that a non-party appeared as counsel in a case before him/her in violation of Judiciary Law §478?
Opinion 19-90 Where a law firm’s former paralegal apparently forged the judge’s signature on a divorce judgment and pretended it had been appropriately filed, and the judge has serious concerns about the firm’s supervision of and reliance on the paralegal, the judge ... (2) need not take any action concerning the former paralegal, who is neither an attorney nor a judge. As always, if the judge believes the conduct was unlawful, the judge may, in his/her sole discretion, report it to an appropriate prosecutor’s office and/or law enforcement.
Opinion 19-84 Where a judge believes a recording, disclosed in an unsuccessful defense motion for a protective order in a now-completed criminal trial, reveals illegal conduct by a non-attorney/non-judge third party: (1) the judge may, but need not, provide a copy to the prosecutor; and (2) absent a law or ethics rule requiring defense counsel to produce the recording, the judge need not take any action concerning defense counsel's failure to do so.
Opinion 19-54 Must a judge contact the DA’s office on learning that the DA’s non-attorney diversion program coordinator purportedly gave advice to a defendant concerning a guilty plea?
Opinion 19-45 A support magistrate may report a litigant’s apparently criminal conduct to law enforcement but is not ethically required to do so. Whether and how he/she may do so in compliance with applicable statutes and regulations raises a legal question, not one of judicial ethics.
Opinion 19-26 What ethical obligations does a judge have on learning of possible criminal activity by his/her tenant on premises the judge owns?
Opinion 19-10 Must a judge report his/her former housekeeper who has disclosed an ongoing medical fraud to the judge?
Opinion 18-150 Must a judge report a non-attorney defendant who, on the eve of sentencing, falsely alleged that he/she knew the judge socially?
Opinion 18-140 What are a judge’s obligations on learning that a non-attorney may have drafted legal memoranda for an attorney?
Opinion 18-28 (1) The judiciary has a strong interest in bringing to light possible repeated or systemic perjury or corruption on the part of institutional witnesses which, if unaddressed by appropriate authorities, could adversely affect the judicial process and undermine public confidence in the judiciary. (2) Thus, a judge, any time in his/her sole discretion, may forward published decisions that appear to involve corrupt or perjured police officers to an appropriate investigative authority, including a police department's Inspector General. Such conduct is not impermissible merely because the Inspector General requested them. (3) Absent a legal duty to comply with the Inspector General's request, a judge may, in his/her sole discretion, decline to respond.
Opinion 17-07 Must a judge report a real estate agent who forged his/her name on a letter of reference, mentioned the judge’s judicial status, and submitted the letter to a co-op board without the judge’s knowledge or consent?
Opinion 16-154 May a judge disclose his/her habitability concerns to a local code enforcement officer? May the judge also issue a warrant for the code enforcement officer to enter the premises?
Opinion 16-25 May a judge notify a police officer's commander of the officer's non-compliance with a legal mandate?
Opinion 15-153 Must a judge report to the probation department that an individual appearing before the judge has violated his/her probation?
Opinion 14-189 Under the specific circumstances presented, where a judge has issued a written decision indicating the judge’s impartiality has been compromised in a new case involving a particular litigant, based on the litigant’s recent disparaging remarks about the judge in connection with a recently concluded case, the judge must disqualify him/herself from all cases involving the litigant, including in any post-judgment proceedings in the recently concluded case, and the disqualification is not subject to remittal.
Opinion 14-122 Is a judge required to report certain conduct of a notary public which may violate the Executive Law, when the notary is not a judge or an attorney?
Opinion 14-121 A judge who chose to recuse him/herself in one case after a litigant filed a complaint about the judge may nonetheless preside over other cases in which that litigant appears, provided the judge can be fair and impartial.
Opinion 13-35 Must a judge advise the police that a prospective tenant the judge interviewed has an open bench warrant from the court where the judge presides?
Opinion 12-180 Must a judge report a litigant and/or the litigant's attorney where the litigant asserted in an affidavit that he/she lied to the court and that his/her counsel advised him/her to do so, and in subsequent papers denied perjuring him/herself or intentionally lying to the court?
Opinion 11-33 A judge may not disclose facts about a case pending before him/her to a legislator in the belief that the legislator would investigate possible wrong-doing by a child welfare agency but may discuss his/her concerns with his/her administrative judge.
Opinion 10-50 A court attorney referee is not obligated by the Rules Governing Judicial Conduct to report to law enforcement conduct by a defendant in a matrimonial matter that was described by the plaintiff in the matter during a hearing in which the court attorney referee presided, nor is he/she precluded from doing so.
Opinion 09-171 Must a judge report a litigant the judge believes offered a false instrument for filing?
back to Discipline
Unauthorized Practice of Law / Ghostwriting
See also "Ghostwriting and Behind-the-Scenes Legal Assistance"
Opinion 20-17 A judge may, but is not ethically required to, report a non-attorney who attempted to appear before the judge on behalf of a “client.”
Opinion 19-96 Must a judge report to the District Attorney that a non-party appeared as counsel in a case before him/her in violation of Judiciary Law §478?
Opinion 19-54 Must a judge contact the DA’s office on learning that the DA’s non-attorney diversion program coordinator purportedly gave advice to a defendant concerning a guilty plea?
Opinion 19-48 What are a judge’s obligations on receiving correspondence from opposing attorneys in a case expressing differing views on whether a suspended attorney was wrongly practicing law?
Opinion 18-140 What are a judge’s obligations on learning that a non-attorney may have drafted legal memoranda for an attorney?
Opinion 13-173 Does a judge have an ethical obligation to report an unidentified, unlicensed law school graduate who allegedly assisted, for remuneration, a pro se litigant in preparing a memorandum of law in support of a motion (also known as "ghostwriting")?
Opinion 10-204 Must a judge report an attorney who admitted anonymously preparing papers on behalf of an unrepresented litigant (also known as "ghostwriting") in opposition to an application pending before the judge?
back to Discipline
General Principles - Timing of Making Report; Effect of Prior Reports; No Duty to Investigate; No Duty to Self-Report
Opinion 23-239 A judge is not ethically required to investigate alleged misconduct.
Opinion 23-137 The Rules Governing Judicial Conduct do not require a judge to report their own ethics violation to the Commission on Judicial Conduct.
Opinion 22-33 On these facts, a judge presiding in a criminal case need not investigate the timing of another judge's prior recusal in the matter nor take any further action.
Opinion 22-164 A judge must report an attorney who, on learning that a non-party would only honor a judicial subpoena, personally signed a subpoena above the judge’s name and served it on the non-party. However, reporting may wait until the conclusion of the case.
Opinion 20-201 Must a judge report information sent to them by a third party which alleges misconduct by local law enforcement agencies and the local district attorney’s office, where the judge has no first-hand knowledge of the alleged misconduct and is unable to ascertain whether any particular attorney has likely violated any ethical rules or rules of professional conduct?
Opinion 20-191/20-192 Where a judge hears conflicting reports about another judge's possible comments at a meeting, but has no personal knowledge of these comments and is unable to conclude there is a substantial likelihood that the other judge said anything improper, they have no obligation to take any action.
Opinion 20-213 A judge with personal knowledge that an attorney knowingly assisted a client in effectuating a transfer of disputed real estate under false pretenses must report the misconduct to the appropriate grievance committee. Reporting may await the conclusion of proceedings. After making the report, the judge is disqualified in all matters involving the attorney, both while the disciplinary matter is pending and for two years thereafter.
Opinion 20-207 Where a judge has already determined that it is necessary to report another judge for an apparent incident of “ticket-fixing,” the judge is not relieved of the duty to report merely because the other judge resigned from the bench in the interim.
Opinion 19-107 (3) The judge may wait until the conclusion of the proceeding before reporting the attorneys.
Opinion 18-176/18-176(A)/18-177 (3) If a judge concludes that it is mandatory to report an attorney’s possible misconduct under the circumstances known to him/her, but knows the alleged misconduct has already been reported to the appropriate disciplinary authority, he/she need not personally report that alleged misconduct.
Opinion 18-170 A judge who has personal knowledge that a prosecutor has failed to make certain disclosures to the defense must determine, based on facts and circumstances known to the judge, whether there is a substantial likelihood the attorney’s actions constitute a substantial violation of the Rules of Professional Conduct and, if so, must take appropriate action. The judge may, in his/her discretion, wait until the proceeding ends to take any such action.
Opinion 18-58 (3) Even if the judge concludes that reporting to the attorney grievance committee is mandatory under the circumstances, the judge may wait until after the case is over before making the report in order to avoid the need for immediate disqualification in all matters involving the attorney.
Opinion 17-177 Where a judge has reliable, first-hand knowledge that another judge attempted to use his/her judicial status to influence the bail decision in a family member’s criminal case, but the other judge never revealed his/her name: ... (2) if the judge does not know the other judge’s identity, he/she has no obligation to investigate or take any further action.
Opinion 17-156 Must a full-time judge report him/herself to the Commission Judicial Conduct on realizing he/she improperly joined a for-profit investment club ?
Opinion 15-231 ...May the judge wait until the proceeding ends before taking [any disciplinary] action [against an attorney]?
Opinion 15-180 Where a judge has received information indicating a substantial likelihood that an attorney has committed a substantial violation of the Rules of Professional Conduct, and has further concluded that the apparent misconduct seriously calls into question the attorney's honesty, trustworthiness or fitness to practice law, may the judge nonetheless refrain from reporting the apparent misconduct to the grievance committee if (a) the misconduct was covered extensively in the media and (b) the judge believes the attorney's former employer may have reported the misconduct?
Opinion 14-189 Under the specific circumstances presented, where a judge has issued a written decision indicating the judge’s impartiality has been compromised in a new case involving a particular litigant, based on the litigant’s recent disparaging remarks about the judge in connection with a recently concluded case, the judge must disqualify him/herself from all cases involving the litigant, including in any post-judgment proceedings in the recently concluded case, and the disqualification is not subject to remittal.
Opinion 14-162(A) Must a judge report to the Commission on Judicial Conduct another judge’s misconduct which he/she personally witnessed and has concluded is a substantial violation of the Rules Governing Judicial Conduct, when the judge also has credible information the other judge has self-reported the conduct to the Commission?
Opinion 14-121 A judge who chose to recuse him/herself in one case after a litigant filed a complaint about the judge may nonetheless preside over other cases in which that litigant appears, provided the judge can be fair and impartial.
Opinion 12-128 A judge need not disclose that a party to pending litigation has filed an ethics complaint against a court-appointed expert, where the judge learned of the complaint when an investigator from the disciplinary authority requested a copy of the expert's confidential report.
Opinion 09-243 Where the judge has reported certain alleged violations of the election law to the District Attorney, must the judge take any action if the judge believes the District Attorney has failed to act on this information?
Opinion 09-164 What should a judge do on realizing that his/her court may have lacked jurisdiction to hear and adjudicate certain proceedings?