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Rule 11. Signing of Pleadings, Motions, and Other Papers; Representations to Court; Sanctions(a) Signature. Every pleading, written motion, and other paper shall be signed by at least one attorney of record in the attorney's individual name, or, if the party is not represented by an attorney, shall be signed by the party. Each paper shall state the signer's address and telephone number, if any. Except when otherwise specifically provided by rule or statute, pleadings need not be verified or accompanied by affidavit. An unsigned paper shall be stricken unless omission of the signature is corrected promptly after being called to the attention of attorney or party. (b) Representations to Court. By presenting to the court (whether by signing, filing, submitting, or later advocating) a pleading, written motion, or other paper, an attorney or unrepresented party is certifying that to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances,-- (1) it is not being presented for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation;
(2) the claims, defenses, and other legal contentions therein are warranted by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law;
(3) the allegations and other factual contentions have evidentiary support or, if specifically so identified, are likely to have evidentiary support after a reasonable opportunity for further investigation or discovery; and
(4) the denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on a lack of information or belief. (c) Sanctions.If, after notice and a reasonable opportunity to respond, the court determines that subdivision (b) has been violated, the court may, subject to the conditions stated below, impose an appropriate sanction upon the attorneys, law firms, or parties that have violated subdivision (b) or are responsible for the violation.(1) How Initiated. (A) By Motion. A motion for sanctions under this rule shall be made separately from other motions or requests and shall describe the specific conduct alleged to violate subdivision (b). It shall be served as provided in Rule 5, but shall not be filed with or presented to the court unless, within 21 days after service of the motion (or such other period as the court may prescribe), the challenged paper, claim, defense, contention, allegation, or denial is not withdrawn or appropriately corrected. If warranted, the court may award to the party prevailing on the motion the reasonable expenses and attorney's fees incurred in presenting or opposing the motion. Absent exceptional circumstances, a law firm shall be held jointly responsible for violations committed by its partners, associates, and employees.
(B) On Court's Initiative. On its own initiative, the court may enter an order describing the specific conduct that appears to violate subdivision (b) and directing an attorney, law firm, or party to show cause why it has not violated subdivision (b) with respect thereto. (2) Nature of Sanction; Limitations. A sanction imposed for violation of this rule shall be limited to what is sufficient to deter repetition of such conduct or comparable conduct by others similarly situated. Subject to the limitations in subparagraphs (A) and (B), the sanction may consist of, or include, directives of a nonmonetary nature, an order to pay a penalty into court, or, if imposed on motion and warranted for effective deterrence, an order directing payment to the movant of some or all of the reasonable attorneys' fees and other expenses incurred as a direct result of the violation.(A) Monetary sanctions may not be awarded against a represented party for a violation of subdivision (b)(2).
(B) Monetary sanctions may not be awarded on the court's initiative unless the court issues its order to show cause before a voluntary dismissal or settlement of the claims made by or against the party which is, or whose attorneys are, to be sanctioned. (3) Order. When imposing sanctions, the court shall describe the conduct determined to constitute a violation of this rule and explain the basis for the sanction imposed. NOT COPYRIGHTED OR EVEN COPYRIGHTABLE - THEREFORE NOT SUBJECT TO THE "4 PARAGRAPH" RULE
STATE OF NEW YORK BAR DISCIPLINE RULES
1.1:520 Wrongful Use of Civil Proceedings; Abuse of Process
Relevant Disciplinary Rules
Several New York Disciplinary Rules proscribe the wrongful use of civil proceedings.
NY DR 7-102(A)(1) prohibits a lawyer from filing a suit, asserting a position, conducting a defense, delaying a trial, or taking other action on behalf of the client when the lawyer knows or when it is obvious that such action would serve merely to harass or maliciously injure another.
NY DR 7-102(A)(2) prohibits a lawyer from advancing a claim or defense that is unwarranted under existing law, except that the lawyer may advance such a claim or defense if it can be supported by a good faith argument for an extension, modification, or reversal of existing law.
NY DR 2-109 prohibits a lawyer from accepting employment if (s)he knows, or should have known, that the prospective client wants to bring a legal action, conduct a defense, or assert a position in litigation merely to harass or maliciously injure someone.
NY DR 2-110(B)(1) requires a lawyer to withdraw from employment if the lawyer knows or it is obvious that the client is bringing the legal action, conducting the defense, or asserting a position in the litigation, or is otherwise taking steps, merely for the purpose of harassing or maliciously injuring another person.
Relevant Ethical Considerations
NY EC 2-30 provides that a lawyer should not accept employment if it is obvious that the prospective client wants to institute an action merely for the purpose of harassing or maliciously injuring another.
NY EC 7-5 states that a lawyer can continue to represent a client even if the client insists on pursuing a course contrary to the attorney's advice--as long as (s)he does not thereby knowingly assist the client to engage in illegal conduct or to take a frivolous legal position. See also NY EC 7-4
Staff Attorney Maria LaHood is going to jeopardize on-going Gitmo, AbuGhraib, and NSA spying cases for this? |
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