The New York Advisory Committee on Judicial Ethics has issued an opinion addressing the responsibilities of judges concerning attorneys with potentially delinquent registration statuses. The opinion, designated as 24-139 and dated September 12, 2024, clarifies procedures judges should follow when an attorney’s compliance with registration requirements under Judiciary Law §468-a is questioned.
According to the opinion, judges should provide attorneys accused of delinquency an opportunity to demonstrate their compliance with registration mandates. If an attorney has been reported as “delinquent” in their registration by opposing counsel through an electronic filing, the judge is encouraged to send a letter to that attorney. This letter, which should be copied to all counsel involved in the case, must instruct the allegedly delinquent attorney to submit proof of compliance, or a request for an extension, excuse, or exception, within a period of 60 days.
The opinion also raises a procedural question regarding whether the correspondence must be electronically filed in the New York State Courts Electronic Filing (NYSCEF) system, stating that this is primarily a legal or administrative issue rather than an ethical concern. Therefore, the committee does not provide guidance on that particular aspect.
Judges are reminded of their obligation to uphold confidence in the judiciary’s integrity and impartiality, emphasizing the importance of not permitting ex parte communications unless specific exceptions are applicable. If a judge obtains information suggesting a substantial likelihood that an attorney has possibly violated professional conduct rules, they must take appropriate action.
In cases where the allegedly delinquent attorney fails to provide evidence of compliance within the 60-day timeframe, the judge is mandated to report the attorney to the appropriate Appellate Division of the Supreme Court. This step is essential for any disciplinary actions deemed necessary by the Appellate Division, highlighting the seriousness of maintaining attorney compliance with registration requirements.
The opinion cites relevant judicial laws and regulations, underscoring that every attorney licensed to practice in New York State is required to file a registration statement and to pay a registration fee every two years. Noncompliance with these requirements can lead to actions considered prejudicial to the administration of justice.
Ultimately, the advisory opinion serves as a crucial guideline for judges in managing cases involving attorneys who may not be current with their registration, ensuring that justice is upheld while affording those attorneys a fair chance to rectify their status.
