Section 10 - Disciplinary Investigations (a) Commencement. A disciplinary investigation may be commenced: (1) Upon receipt of a written complaint made by any person and directed to Bar Counsel; (2) Upon a report made by a judge or court clerk directed to Bar Counsel; (3) By Bar Counsel with approval from the ROC. The ROC shall not authorize an investigation in the absence of sufficiently credible or verifiable information warranting it. (b) Bar Counsel's determination to proceed. Upon receipt of a complaint, Bar Counsel shall determine: (1) If the attorney in question is subject to the disciplinary jurisdiction of the Court; (2) If there is an allegation made against the attorney in question which, if proved, would constitute grounds for discipline; (3) If an investigation should be stayed until underlying litigation is resolved; and (4) If the matter should be investigated or addressed by means of an alternative to discipline as provided in Rule 11. In making a determination whether to proceed, Bar Counsel may make inquiry regarding the underlying facts and consult with the ROC. The decision of Bar Counsel shall be final, and the complainant shall have no right to appeal.
(c) Procedures for investigation. If Bar Counsel makes a determination to proceed with an investigation, Bar Counsel shall give the attorney in question written notice that the attorney is under investigation and will provide the attorney with a copy of the complaint or other information regarding the allegations prompting the investigation. The attorney in question shall file a written response to the allegations. The investigation shall continue until Bar Counsel is satisfied that sufficient information has been gathered to warrant a determination as to further action. Bar Counsel shall have a continuing obligation to disclose all exculpatory information to the respondent. (1) In connection with an investigation of allegations made against an attorney, Bar Counsel may issue subpoenas to compel the attendance of witnesses, including the attorney in question, and the production of pertinent books, papers, documents, or other evidence. All such subpoenas shall be subject to the provisions of Rule 45, W.R.Civ.P. Any challenge to the power to subpoena as exercised pursuant to this Rule shall be directed to the ROC Chair. (2) Any person who fails or refuses to comply with a subpoena issued pursuant to this rule may be cited for contempt of the Court. (3) Any person who knowingly obstructs Bar Counsel or the ROC or any part thereof in the performance of their duties may be cited for contempt of the Court. (4) Any person having been duly sworn to testify who refuses to answer any proper question may be cited for contempt of the Court. (5) In the event any person fails or refuses to comply with the provisions of this rule, Bar Counsel may file with the ROC a motion for order to show cause why the person should not be held in contempt of court. The person against whom the motion is made shall file a written response within ten (10) days of service of the motion. The motion shall be heard by the ROC Chair. In the absence of good cause shown, the ROC Chair shall submit a report and recommendation to the Court. The Court shall then determine whether to impose contempt. (d) Stipulated disposition. While the matter is under investigation, the respondent and Bar Counsel may tender an agreed upon conditional admission of misconduct as provided in Rule 12. (e) Determination by Bar Counsel after investigation. At the conclusion of the investigation, Bar Counsel shall either dismiss the complaint, divert the matter pursuant to Rule 11, or report to the ROC for a determination as provided in subsection (f) of this Rule. (1) If Bar Counsel dismisses the complaint, the complainant may request a review of Bar Counsel's decision by the ROC. (2) The ROC shall sustain the dismissal unless it determines that Bar Counsel's determination constituted an abuse of discretion. (3) When the ROC sustains a dismissal, it shall furnish the complainant with a written explanation of its determination. (f) Determination by the ROC. If, at the conclusion of the investigation, Bar Counsel believes that the ROC should admonish the respondent by means of a private reprimand or authorize Bar Counsel to prepare and file a formal charge or a petition for disability inactive status, Bar Counsel shall submit a report of investigation and recommendation to the ROC, which report and recommendation shall be confidential and not discoverable by the respondent. The ROC shall determine whether there is probable cause to believe grounds for further action exist and shall either: (1) Direct Bar Counsel to conduct further investigation; (2) Dismiss the complaint and furnish the complainant with a written explanation of its determination; (3) Divert the matter to the diversion program as provided in Rule 11; (4) Order a private reprimand; or (5) Authorize Bar Counsel to prepare and file a formal charge or a petition for disability inactive status. In ordering a private reprimand, the ROC may impose reasonable conditions thereon, including but not limited to those set forth in Rule 9(c)(2).
(g) Determination of probable cause for filing formal charge or petition for disability inactive status. In determining whether to authorize Bar Counsel to file a formal charge or a petition for disability inactive status, or any other determination pursuant to Rule 10(f), the ROC shall proceed as follows: (1) In determining whether probable cause exists the ROC shall receive and review such evidence as Bar Counsel shall, in his or her sole discretion, present; provided, however, that Bar Counsel shall present all evidence exculpatory in nature.The ROC and the respondent shall have access to the investigative file, excluding Bar Counsel's work product and other privileged materials. (2) Concurrent with submitting a request for authorization to file a formal charge, a petition for disability inactive status or a recommendation for a private reprimand to the ROC, Bar Counsel shall provide notice to the respondent that such a request has been made. The respondent shall have 10 days from the date of service of such notice to submit any information to the ROC. The respondent shall not have a right to appear before the ROC, though the ROC in its sole discretion may request the respondent's appearance if it will assist the ROC in its determination. (3) The test for determining the existence of probable cause is whether there is sufficient evidence to lead a reasonably prudent person to believe that misconduct has been committed by a respondent justifying the filing of a formal charge, or that an attorney is incapacitated justifying the filing of a petition for disability inactive status. (4) If the ROC issues an order of probable cause, Bar Counsel shall file and serve a formal charge or a petition for disability inactive status, as the case may be. (5) The ROC's determination pursuant to this rule is not appealable by any person. (6) No record of proceedings relating to the probable cause determination shall be kept. Proceedings before the ROC are not subject to discovery. (7) Persons who provide information to the ROC are not prevented from testifying as to matters within their knowledge in any subsequent disciplinary proceeding or civil action, but they shall not be asked about nor disclose their communications with or submittals to the ROC. Wyo. R. State Bar, Att'y Cond. & Prac. 10
Adopted April 6, 2015, effective July 1, 2015; amended November 17, 2017, effective February 1, 2018.