Ariz. R. Sup. Ct. 60

As amended through December 3, 2024

Rule 60 - Sanctions

(a)Types and Forms of Sanctions, Attorneys. Misconduct by an attorney, individually or in concert with others, shall be grounds for imposition of one or more of the following sanctions:

1.Disbarment. Disbarment may be imposed by judgment and order entered by the court, a hearing panel, or the presiding disciplinary judge.

2.Suspension. Suspension may be imposed by judgment and order entered by the court, a hearing panel, or the presiding disciplinary judge for an appropriate fixed period of time not in excess of five (5) years. Suspended members shall remain suspended until the court enters an order reinstating the member to the practice of law in Arizona or upon order of the presiding disciplinary judge pursuant to Rule 64(e)(2)(B).

3.Reprimand. A reprimand may be imposed by judgment and order entered by the court, a hearing panel, or the presiding disciplinary judge.

4.Admonition. An admonition may be imposed by judgment and order of the court, a hearing panel, the presiding disciplinary judge, or the committee.

5.Probation. Probation may be imposed by order of the court, a hearing panel, the presiding disciplinary judge, or the committee as follows:

A. Probation shall be imposed for a specified period not in excess of two (2) years, but may be renewed for an additional two (2) year period.

B. Probation may be imposed only in those cases in which there is little likelihood that the respondent will harm the public during the period of probation, and the conditions of probation can be adequately supervised. The conditions of probation shall be stated in writing, shall be specific, understandable and enforceable, and may include restitution and assessment of costs and expenses.

C. The state bar shall be responsible for monitoring and supervising the respondent during the probationary period. Bar counsel shall report material violations of the terms of probation to the presiding disciplinary judge by filing a notice of noncompliance with the disciplinary clerk and serving respondent with a copy of the notice. The notice of noncompliance shall include a verification or separate affidavit upon personal knowledge stating sufficient facts to support the allegations of material violations of the terms of probation. Respondent shall have ten days after service of the notice to file a response. Upon filing the notice of noncompliance, the presiding disciplinary judge may i) issue an order declining to proceed with the notice; ii) issue an order setting the matter for status conference; or iii) issue an order setting a hearing within thirty (30) days to determine if the terms of probation have been violated and if an additional sanction should be imposed. In a probation violation hearing, the state bar must prove a violation by a preponderance of the evidence. At the end of the probation term, bar counsel shall prepare and forward a notice to the presiding disciplinary judge regarding the respondent's completion or non-completion of the imposed terms.

6.Restitution. Restitution may be imposed by order of the committee, the presiding disciplinary judge, the hearing panel, or this court to persons financially injured, including reimbursement to the state bar client security fund. Restitution and the amount thereof must be proven by a preponderance of the evidence.

(b) Types and Forms of Sanctions, Alternative Business Structures. Misconduct by an ABS shall be grounds for imposition of one or more of the sanctions provided for in these rules and ACJA § 7-209.

(c) Types and Forms of Sanctions, Legal Paraprofessional. Misconduct by a legal paraprofessional shall be grounds for imposition of one or more of the sanctions provided for in these rules and ACJA § 7-210.

(d)Assessment of the Costs and Expenses. An assessment of costs and expenses related to disciplinary proceedings shall be imposed upon a respondent by the committee, the presiding disciplinary judge, the hearing panel, or the court, as appropriate, in addition to any other sanction imposed. Upon a showing of good cause, all or a portion of the costs and expenses may be reduced, deferred, or waived. After final disposition of a formal complaint following a contested hearing, the presiding disciplinary judge may award attorney's fees and costs to a prevailing respondent.

1.Statement of Costs and Expenses; Objections. At the conclusion of the disciplinary proceedings or the entry of a disciplinary sanction by the presiding disciplinary judge or the hearing panel, bar counsel shall file an itemized statement of costs and expenses on proven or admitted counts and shall serve a copy on respondent and the disciplinary clerk.

2.Procedure.

A. Upon Final Order of the Presiding Disciplinary Judge or the Hearing Panel. If the disciplinary sanction ordered by the presiding disciplinary judge or the hearing panel is not appealed, bar counsel shall file a final statement of costs and expenses with the disciplinary clerk within five (5) days after the time to appeal has expired. At the same time, the disciplinary clerk shall file a statement reflecting the costs and expenses of that office in connection with the proceeding. The respondent shall file any objections to the statements of costs and expenses within ten (10) days of service. Bar counsel may file a response within five (5) days of service of the objection. Unless otherwise ordered, objections shall be determined on the pleadings without oral argument or an evidentiary hearing. The presiding disciplinary judge or the hearing panel shall rule on any objections to costs and expenses, enter an appropriate order, file the same with the disciplinary clerk, and serve a copy on the bar counsel of record and respondent or respondent's counsel. The respondent or state bar may appeal a decision on the assessment of costs and expenses as set forth in Rule 59.

B. Upon Final Order of the Court. Upon final order of the court affirming or imposing any disciplinary sanction, bar counsel shall file a final statement of costs and expenses with the clerk of the court within five (5) days after the clerk has given notice that a decision has been rendered. At the same time, the disciplinary clerk shall file a statement reflecting the costs and expenses of that office in connection with the proceeding. Respondent may file an objection to the statement of costs and expenses within ten (10) days of service. Bar counsel may file a response within five (5) days of service of the objection. If respondent objects, the court may remand the matter to the presiding disciplinary judge or the hearing panel for determination as provided in subparagraph (2)(A) of this rule.

(e)Enforcement. Execution and other post-judgment remedies may issue out of and proceed before the superior court as in civil cases for the enforcement of any judgment entered in this court under these rules. Such matters shall be docketed in the superior court without filing fee as though the complaint had originally been filed in that court.

Ariz. R. Sup. Ct. 60

Added June 9, 2003, effective 12/1/2003. Amended Sept. 16, 2008, effective 1/1/2009;6/30/2010, effective 1/1/2011;8/30/2012, effective 1/1/2013;9/2/2014, effective 1/1/2015; amended effective 1/1/2019; amended Aug. 27, 2020, effective 1/1/2021; amended Aug. 29, 2022, effective 8/29/2022; amended Dec. 8, 2022, effective 1/1/2023.

COMMENT TO 2012 AMENDMENT

It is presumed that costs and expenses will be imposed. Factors that may be considered in determining "good cause" for a reduction, deferral, or waiver may include, but are not limited to: evidence that respondent offered in writing to consent, prior to hearing on the merits, to the same or a greater sanction for the same rule violations he or she was found to have violated after that hearing; disparity between the gravity of the charges filed and the violations found; and extreme financial hardship. It is presumed that many lawyers who find themselves in the discipline process will be subject to some degree of financial hardship. However, "extreme financial hardship" is not intended to encompass the financial hardship of the proceeding or imposed sanction but rather is intended to refer to circumstances that occurred independently of the misconduct. A claim of extreme financial hardship should be supported by financial information (which may be offered with a request for protective order or in camera review). Deferment may be appropriate, for example, in situations involving a substantial order of restitution.

HISTORICAL NOTES

Source:

Pen.Code 1901, §§ 158, 159.

Pen.Code 1913, §§ 152, 153.

Laws 1925, Ch. 32, §§ 3, 11.

Rev.Code 1928, §§ 202, 206, 4569.

Laws 1933, Ch. 66, § 32.

Code 1939, §§ 32-202, 32-206, 32-332, 43-3304.

A.R.S. former §§ 32-264, 32-266, 32-272, 32-273.

Laws 1978, Ch. 201, § 532.

ABA Model Rules 10(A), 22.

ABA 1977 Rule 4(C).

Revisers' addition.

Former Rule 52.

Former Rule 60, which related to expunction of records, was abrogated by order dated June 9, 2003, effective Dec. 1, 2003.