Ariz. R. Sup. Ct. 57

As amended through December 3, 2024

Rule 57 - Special Discipline Proceedings

(a)Discipline by Consent

1.Consent to Discipline. A respondent against whom a charge has been made or a complaint has been filed may tender, with the agreement of bar counsel, a conditional admission to the charge or complaint or to a particular count in exchange for a stated form of discipline, other than disbarment, at any stage of the proceedings.

2.Form of Agreement. An agreement for discipline by consent shall be signed by respondent, respondent's counsel, if any, and bar counsel. An agreement shall include the following:

A. Violations. Each count alleged in the charge or complaint shall be addressed in the agreement, including a statement as to the specific disciplinary rule or ACJA section that was violated, or conditionally admitted to having been violated, and the facts necessary to support the alleged violation, conditional admission, or decision to dismiss a count.

B. Form of Discipline. The form of discipline to be imposed shall be set forth in the agreement. If probation is agreed to, the terms shall be stated in specific, understandable, and enforceable language and advise the respondent that failure to comply with the terms and conditions of probation will result in the filing of a notice of non-compliance by the bar with the presiding disciplinary judge and a hearing will be held within thirty (30) days to determine whether the respondent has breached the agreement. A finding that the respondent breached the terms and conditions of probation may result in the imposition of disciplinary sanctions.

C. Restitution. Restitution which may be due each complainant named in the charge or complaint shall be addressed in the agreement. If restitution is not sought or agreed to, bar counsel must avow that a good faith effort has been made to notify the complainant that restitution will not be forthcoming pursuant to these proceedings.

D. General Language. Agreements must include the following language, as applicable:

(i) a statement that the respondent's admission(s) to the charge, complaint, or portion thereof, is being tendered in exchange for the stated form of discipline and is submitted freely and voluntarily and not as a result of coercion or intimidation;

(ii) a statement that the respondent is represented by counsel or has chosen not to seek the assistance of counsel and voluntarily waives the right to an adjudicatory hearing on the complaint, unless otherwise ordered, and waives all motions, defenses, objections or requests which have been made or raised, or could be asserted thereafter, if the conditional admission and proposed form of discipline is approved;

(iii) a statement that respondent acknowledges the duty to comply with all rules pertaining to notification of clients, return of property and other rules pertaining to suspension, including reinstatement;

(iv) a statement that outlines the possible consequences of any violation of the terms and conditions of probation or any other provision of the agreement;

(v) a statement that the agreement has been approved as to form and content by the chief bar counsel or chief bar counsel's designee;

(vi) a statement that the complainant has been informed of the agreement for discipline and that a copy of the complainant's objection, if any, has been provided to the presiding disciplinary judge.

E. Legal Grounds. Each agreement shall include a discussion of the American Bar Association's Standards for Imposing Lawyer Sanctions and an analysis of the proposed sanction, including a discussion as to why a greater or lesser sanction would not be appropriate under the circumstances of the case. Exhibits, such as a record of criminal conviction, pre-sentence reports, medical records, public records, and any other records in support of the agreement or the sanction to be imposed may be filed with the agreement, as agreed upon by the parties, in addition to any statement of costs and expenses on admitted counts. The parties shall be responsible for redacting any sensitive data filed with the agreement, in accordance with Rule 5.1(e), Ariz. R. Civ. P.

F. Use of Standardized Documents. The Agreement for Discipline by Consent may include standardized documents approved by chief bar counsel related to the terms of probation.

3.Procedure.

A. If the parties reach an agreement before the authorization to file a formal complaint and the agreed upon sanction does not include a reprimand, suspension, or disbarment, the parties may elect to request an order pursuant to Rule 55(c) by providing to the committee for its review an investigative report and bar counsel's recommendation for an admonition, probation, restitution, or an assessment of costs and expenses. Alternatively, the parties may submit an agreement for discipline by consent with all supporting exhibits to the committee for its review. The committee shall either reject the request or agreement and order the proceedings continued in accordance with these rules, or accept the request or agreement and issue the appropriate order. In the event the agreement is rejected, the same agreement shall not be presented, without written notification of that rejection, to the presiding disciplinary judge.

B. If the agreement is reached before the authorization to file a formal complaint and the agreed upon sanction includes a reprimand or suspension, or if the agreement is reached after the authorization to file a formal complaint, the agreement shall be filed with the disciplinary clerk to be presented to the presiding disciplinary judge for review. The presiding disciplinary judge, in his or her discretion or upon request, may hold a hearing to establish a factual basis for the agreement and may accept, reject, or recommend the agreement be modified.

4.Presiding Disciplinary Judge Decision. Within thirty (30) days of the submission of an agreement or the conclusion of hearing, if one is held, and receipt of the transcript, if any, the presiding disciplinary judge shall file a decision with the disciplinary clerk and serve a copy on the parties. The decision shall accept, reject or recommend modification of the proposed agreement. The decision shall incorporate all or portions of the agreement, as appropriate.

A. Acceptance. If the agreement is accepted, the presiding disciplinary judge shall issue an appropriate judgment and order, which shall be final.

B. Modification. The presiding disciplinary judge may recommend the modification of an agreement. In that event, the presiding disciplinary judge shall clearly state the nature and substance of the proposed modifications and give the parties not less than ten (10) or more than thirty (30) days to execute the proposed modifications and file the modified agreement for consideration. If the parties fail to submit a modified agreement within the time provided, and they have not requested additional time, the agreement shall be deemed rejected. For good cause shown, the presiding disciplinary judge may grant one thirty (30) day extension of time to file the modified agreement, so long as the modified agreement is filed within one hundred fifty (150) days of the filing of the complaint.

C. Rejection. If the agreement is rejected, the presiding disciplinary judge shall state the reasons for rejection. Upon rejection, the agreement and all admissions contained therein are withdrawn and shall not be used against the parties in any subsequent proceeding.

5.Disbarment by Consent. The following provisions shall apply to admissions that constitute disbarment by consent:

A. Any member against whom charges have been made or a formal complaint filed may voluntarily consent to disbarment by filing with the disciplinary clerk, an original, written, verified consent to disbarment in the form prescribed in these rules or as otherwise approved by the court. The consent to disbarment shall be effective only upon acceptance by the presiding disciplinary judge. The general form of consent to disbarment shall be as follows:

BEFORE THE PRESIDING DISCIPLINARY JUDGE

In re:	)	No. SB
(NAME OF MEMBER), a	)	Bar No.
member of the State Bar of	)
Arizona,	)	CONSENT TO
Respondent	)	DISBARMENT
__________________	)

I, (name of lawyer), residing at (city and street address), voluntarily consent to disbarment as a member of the State Bar of Arizona and consent to the removal of my name from the roster of those permitted to practice before this court, and from the roster of the State Bar of Arizona.

I acknowledge that (charges) a formal complaint have/has been (made) filed against me. I have read the (charges) complaint, and the charges there made against me. I further acknowledge that I do not desire to contest or defend against the charges, but wish to consent to disbarment. I have been advised of and have had an opportunity to exercise my right to be represented in this matter by a lawyer. I consent to disbarment freely and voluntarily and not under coercion or intimidation. I am aware of the rules of the Supreme Court with respect to discipline, disability, resignation and reinstatement, and I understand that any future application by me for admission or reinstatement as a member of the State Bar of Arizona will be treated as an application by a member who has been disbarred for professional misconduct, as set forth in the (charges) complaint (made) filed against me. The misconduct of which I am accused is described in the (charges) complaint bearing the number referenced above, a copy of which is attached hereto.

DONE AT __________, Arizona on __________, 20 ___.

(Signature)

_________________________________________

(Name)

(Verification)

B. Upon acceptance of the consent to disbarment, the presiding disciplinary judge shall promptly enter a judgment disbarring the member and striking the name of the member from the roll of lawyers, and the member shall no longer be entitled to the rights and privileges of a lawyer, but will remain subject to the jurisdiction of the court, and the member shall immediately comply with the requirements relating to notification of clients and others.

C. Upon the acceptance of the consent to disbarment, and unless otherwise ordered by the presiding disciplinary judge, no further disciplinary action shall be taken in reference to the matters that were the subject of the (charges) complaint upon which the consent to disbarment and the judgment of disbarment were based.

(b)Reciprocal Discipline.

1.Duty to Obtain Order of Discipline from Another Jurisdiction. Upon being disciplined in another jurisdiction, a lawyer admitted to practice in the State of Arizona, whether active, inactive, retired, or suspended, shall, within thirty (30) days of service of the notice of imposition of discipline from the other jurisdiction, inform the disciplinary clerk of such action, and identify every court in which the lawyer is or has been admitted to practice. Upon notification that a lawyer subject to the jurisdiction of this court has been disciplined in another jurisdiction, the disciplinary clerk shall obtain a certified copy of the disciplinary order and file it with the presiding disciplinary judge.

2.Notice Served Upon Respondent. Upon receipt of a certified copy of an order demonstrating that a lawyer admitted to practice in the State of Arizona has been disciplined in another jurisdiction, the presiding disciplinary judge shall issue a notice to the lawyer and to bar counsel containing:

A. a copy of the order from the other jurisdiction; and

B. an order directing that the lawyer or bar counsel inform the presiding disciplinary judge, within thirty (30) days from service of the notice, of any claim by the lawyer or bar counsel predicated upon the grounds set forth in the next paragraph that the imposition of identical or substantially similar discipline in this state would be unwarranted and the reasons therefor.

3.Discipline to Be Imposed. Upon the expiration of thirty (30) days from service of the notice pursuant to the provisions above, the presiding disciplinary judge shall impose the identical or substantially similar discipline, unless bar counsel or respondent establishes by a preponderance of the evidence, through affidavits or documentary evidence, or as a matter of law by reference to applicable legal authority, or the presiding disciplinary judge finds on the face of the record from which the discipline is predicated, it clearly appears that:

A. the procedure was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process; or

B. there was such infirmity of proof establishing the misconduct as to give rise to the clear conviction that the presiding disciplinary judge could not, consistent with its duty, accept as final the other jurisdiction's conclusion on that subject; or

C. the imposition of the same discipline would result in grave injustice; or

D. the misconduct established warrants substantially different discipline in this state.

4.Alternative Discipline. If the presiding disciplinary judge determines that any of the above listed elements exist, the judge may:

A. direct that a complaint be filed;

B. impose suitable discipline; or

C. dismiss the matter.

The decision of the presiding disciplinary judge shall be final as provided for in other discipline matters, except that an order of reprimand, suspension or disbarment shall be subject to the parties' right to appeal.

5.Conclusiveness of Adjudication in Other Jurisdiction. In all other respects, a final adjudication in another jurisdiction that a lawyer has been found guilty of misconduct shall establish conclusively the misconduct for purposes of a discipline proceeding in this state.

Ariz. R. Sup. Ct. 57

Added June 9, 2003, effective 12/1/2003. Amended Sept. 18, 2006, effective 1/1/2007;9/16/2008, effective 1/1/2009. Renumbered from Rule 56 and amended June 30, 2010, effective 1/1/2011. Amended Sept. 2, 2014, effective 1/1/2015;9/2/2016, effective 1/1/2017; amended effective 1/1/2019; amended Aug. 27, 2020, effective 1/1/2021.

HISTORICAL NOTES

Source:

Former Rules 19(A), 30(b).

Former Rule 56.

Former Rule 56, amended Dec. 12, 1991, effective Jan. 1, 1992; Sept. 24, 1999, effective Dec. 1, 1999; May 31, 2000, effective Dec. 1, 2000, was abrogated by order dated June 9, 2003, effective Dec. 1, 2003.