Opinion 23-228

February 1, 2024

Digest:  A judge is prohibited from any involvement with fund-raising activities, but this restriction does not extend to the judge’s spouse.

Rules:   22 NYCRR 100.2; 100.2(A); 100.4(C)(3)(b)(i); 100.4(C)(3)(b)(iv); 100.6(A); Opinions 23-140; 11-66; 11-39; 03-80; 96-77.

Opinion:

          Before assuming the bench, the inquiring judge was involved in raising funds for certain charitable organizations of interest to the judge and the judge’s family.  The judge asks if it is ethically permissible to continue or resume such activities.  If not, the judge asks if the judge’s spouse may assume fund-raising for these organizations without any reference to the judge. 

          A judge must always avoid even the appearance of impropriety (see 22 NYCRR 100.2) and must always promote public confidence in the judiciary’s integrity and impartiality (see 22 NYCRR 100.2[A]).  A judge may assist a not-for-profit charitable organization in planning fund-raising, but may not personally participate in soliciting funds or other fund-raising activities (see 22 NYCRR 100.4[C][3][b][i]).  Further, a judge must “not use or permit the use of the prestige of judicial office for fund-raising or membership solicitation” (22 NYCRR 100.4[C][3][b][iv]). 

          The fund-raising restrictions apply to judges and quasi-judicial officials (see e.g. Opinions 23-140; 03-80; see generally 22 NYCRR 100.6[A]).  Thus, the judge may not send out solicitation letters or post announcements about fund-raising activities or initiatives (see Opinion 23-140).  Such restrictions, however, do not extend to the judge’s spouse because “the Rules do not prohibit family members from participating in activities which are impermissible for judges” (Opinion 11-66; see also Opinions 11-39; 96-77). 

          Accordingly, this judge may permit their non-judge spouse to assume the judge’s former charitable fund-raising activities, provided there is no participation by or reference to the judge (see Opinions 11-66 [judge’s name “should not appear on the invitation” to a fund-raiser organized by the judge’s spouse]; 11-39 [a judge “may not use, or knowingly permit others to use, [the judge’s] spouse to accomplish indirectly what [the judge is] not permitted to do directly”]).