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Local Rules

2007. Trustees and Examiners

2007-1.     [RESERVED]    [Former Rule 18]


A.  REQUEST FOR AN ELECTION:  A request to convene a meeting of creditors for the purpose of electing a trustee in a chapter 11 reorganization shall be filed and transmitted to the United States Trustee in accordance with Rule 5005 Fed.R.Bankr.P. within the time prescribed by § 1104(b) of the Bankruptcy Code.  Pending Court approval of the person elected, a person appointed trustee under § 1104(d) shall serve as trustee.

B.  MATTER OF ELECTION AND NOTICE:  An election of a trustee under § 1104(b) of the Code  shall  be  conducted  in  the  manner  provided  in  Rules  2003(b)(3)  and  2006 Fed.R.Bankr.P. Notice of the meeting of creditors convened under § 1104(b) shall be given in the manner and within the time provided for notices under 2002(a) Fed.R.Bankr.P.  A proxy for the purpose of voting in the election may be solicited by a committee appointed under § 1102 of the Code and by any other party entitled to solicit a proxy under Rule 2006 Fed.R.Bankr.P.

C. APPLICATION FOR APPROVAL OF APPOINTMENT AND RESOLUTION OF DISPUTES:  If it is not necessary to resolve a dispute regarding the election of the trustee or if all disputes have been resolved by the Court, the United States Trustee shall promptly appoint the person elected to be trustee and file an application for approval of the appointment of the elected person under Rule 2001.1(b) Fed.R.Bankr.P., except that the application does not have to contain names of parties in interest with whom the United States Trustee has consulted.
If it is necessary to resolve a dispute regarding the election, the United States Trustee shall promptly file a report informing the Court of the dispute. If no motion for the resolution of the dispute is filed within 10 days after the date of the creditors’ meeting called under §1104(b), a person appointed by the United States Trustee in accordance with § 1104(d) of the Code and approved in accordance with Rule 2007(b) Fed.R.Bankr.P. shall serve as trustee.

2008 Notice to Trustee of Selection [SO 4/23/96]


The Court will accept a blanket designation for standing Chapter 13 Trustees in lieu of a separate designation for each chapter 13 case filed in the Western District of New York.  A separate designation must be filed in the event of a substitution of trustee so designated under the blanket designation.

2010 Qualification by Trustee; Proceeding on Bond [SO 7/31/90]


A. The trustee shall issue one check or money order for the entire bond premium and provide a copy of that check to the Office of the United States Trustee.

B. The trustee may be reimbursed from that trustee’s estates pending on the date of issuance of the premium check, at the bond premium rate, or,

C. In the alternative, the trustee may allocate the premium paid pro rata to those cases comprising the substantial majority (in dollar amount) of assets under the trustees administration on the date of issuance of the premium check. The trustee shall issue reimbursement checks from the individual estates according to their pro rata share.

D. In no event shall the aggregate amount of the reimbursement checks exceed the amount of the premium paid.

2014 Employment of Professionals

2014-1.    DEFINITION    

“Counsel for the estate.” An attorney who has obtained an order of the Court approving his or her employment as attorney for a chapter 11 debtor-in-possession or for a chapter 7, 12, or 13 trustee is counsel for the estate of the debtor.  Corporate debtors must be represented by an attorney of record. Papers, including petitions, filed by a corporate debtor which has no attorney of record, may be received but later dismissed, sua sponte, by the Judge to whom the case is assigned.  

[Former Rule 5A]


A.  Appraisers, auctioneers, accountants, brokers, special counsels, consultants, independent managers, and other professional persons employed by the debtors’ estates are often unfamiliar with the requirements of bankruptcy law regarding the need for prior Court approval of their employment; regarding the record keeping and reporting requirements applicable to sustain their claim to subsequent compensation from the estate; and regarding the risk that there may be insufficient assets in the estate to satisfy such claims. Whether or not a professional person is familiar with such considerations, it is necessary and desirable that the responsibility for obtaining Court approval of such employment and for advising professionals of the responsibilities and risks of such employment be placed on the attorney for the estate.

B.  Whenever the estate employs any other professional whose employment requires Court approval under the Bankruptcy Code or Rules, it is the duty of counsel for the estate to ensure that such approval is properly sought, and to advise the professional of the requirements and risks, if any, pertaining to the professional’s ability to subsequently obtain compensation and reimbursement of expenses from the estate.

C.  Estate counsel who fails to satisfy such duties may be determined by the Court to be personally responsible for any compensation and reimbursement of expenses lost to any professional as a result thereof.

[Former Rule 5 B]


A.  A corporation which is a debtor-in-possession must be represented by an attorney duly admitted to practice before this Court and duly approved to serve as counsel for the estate by order of the Court.

B.  It is the duty of an attorney who commences a chapter 11 case (whether by original petition or by obtaining an order of conversion to such chapter) on behalf of a corporate debtor to ensure that the debtor properly seeks approval of estate counsel promptly upon such commencement, or, in the alternative, to file with the Court an affidavit reciting that he or she has advised the debtor that the case would be dismissed or converted for absence of a counsel for the estate, reciting the diligent efforts made by the attorney both before and after the commencement of the chapter 11 case in assisting the debtor in obtaining such counsel, and explaining why such counsel was not obtained.

C.  An attorney who fails in such duties may be found personally liable to any party who is damaged by the failure of the estate to be suitable represented.

[Former Rule 5 C]

2016 Compensation of Professionals [SO 7/30/90]


In all cases under Title 11, requests for interim or final compensation shall be in a form prescribed by the Bankruptcy Clerk, who shall, at a minimum, require the applicant to include a one page face sheet bearing the caption of the case, the name and address of the applicant or applicants, the dates upon which the case was filed and the applicant was appointed, the nature and the date or the period of  services rendered, a typewritten time sheet with a description of services rendered, and the amount of compensation or expense reimbursement sought.   (If both compensation and reimbursement are sought, the amounts shall be separately stated.)  The application should also include a statement of prior applications and prior allowances.

A.  All supporting documentation shall be attached to the application and, if it is an application for interim compensation, it shall also contain an affidavit or unsworn declaration reciting why the applicant should not be required to await the filing of a final report in the case. The Court may take judicial notice of any facts of record warranting denial of the application as having been prematurely made.

B.  All applications must be filed at least twenty-five (25) days prior to a calendar at which the application is to be considered.

C.  Non-appearance of an applicant at the scheduled hearing shall be deemed to be a consent to the disposition of the application on the filed papers and record, if any, of the hearing.

To aid the Court and any party in interest in reviewing compensation statements filed by attorneys:

(a) The “compensation” paid or to be paid to an attorney shall include all legal fees and all charges of whatever character paid or to be paid by the debtor or other entity. Charges shall be identified and, if not self explanatory, justified.

(b) Basic services to be performed are:

(1)  Analysis of the financial situation and rendering advice and assistance to the client in determining whether to file a petition under Title 11, United States Code;

(2)  Preparation and filing of the petition, lists, statements or schedules in a chapter 7 or 13 case;

(3)  Representation of the debtor at the § 341 meeting;

(4)  Amend lists, statements or schedules to comport with developments which may have occurred before or at the § 341 meeting;

(5) Motions under § 522(f) to avoid liens on exempt property;

(6) Motions, such as motions for abandonment, or proceedings to clear title to real property owned by the debtor;

(7) Removal of garnishments or wage assignments;


(8)  Negotiate, prepare and file reaffirmation agreements;

(9)  Motions under § 722 to redeem exempt personal property from liens;


(10) Attend confirmation hearings;

(11) Negotiate valuation of secured claims and/or present evidence thereon at confirmation hearing.

(c)  If, in the attorneys judgment, the performance of the above basic services required or will require unusual expenditures of time he or she should so state and annex time sheets or projections of time supporting the claim.


A.  The expeditious administration of chapter 7 estates is hindered by the delays by debtors’ attorneys in the filing of applications for allowances from the estate under 11 U.S.C. Sec. 330. Therefore, the failure to file any fee allowance application by such an attorney before fifteen (15) days after the mailing of the Rule 2002(f)(9) Fed.R.Bankr.P. notice of the trustee’s final report in any case shall be deemed a waiver of the allowance.

B.  All actual compensation and disbursements whether charged by attorneys to the debtor, debtor’s estate or any entity paying on behalf of the debtor or debtor’s estate prior to or during the pendency of a case must be fully disclosed in a supplemental statement filed in accordance with Rule 2016(b) Fed.R.Bankr.P. [A disclosed fee which is to be charged in the event of a contingent future service, and which is charged, shall be disclosed in a supplemental statement].

C.  Supplemental statements by attorneys as to compensation sought from the estate shall be supported by time sheets and detail as to any disbursements charged and shall be accompanied by a motion [notice thereof to be given by the requesting party to parties in interest in accordance with Rule 2002(a)(7) Fed.R.Bankr.P.].

[Former Rule 39]

2020 Service on the Office of the United States Trustee


A.  The Clerk of the Court shall ensure that the Office of the United States Trustee for the district is placed on the mailing matrix in each case filed with the Court and is sent notices (including notices of appeal) issued by the Clerk or such other person as the Court may direct.

B.  The Clerk’s office shall collect enough copies of petitions, statements, schedules, and amendments thereof to furnish the Office of the United States Trustee with two (2) copies of each.

[Former Rule 15 A & B]


A.  Parties shall serve a copy of all documents initiating a request for a Court order or judgment, except proofs of claim or interest, on the Office of the United States Trustee. This includes but is not limited to all pleadings in adversary proceedings and contested matters.

[Former Rule 15 C]

2090 Attorneys - Admission To Practice


A. Prior Admission.  A person admitted to practice in the United States District Court for the Western District of New York before October 1, 1979, is admitted for bankruptcy practice in the Western District of New York.   A person subsequently admitted to bankruptcy practice under prior local bankruptcy rules is admitted for bankruptcy practice in the Western District of New York.

B. Who may apply. A person admitted to practice before the United States District Court for the Western District of New York.

C. Verified Petition. Each applicant for admission shall file with the Clerk of the Bankruptcy Court a verified petition for admission stating:

(1) Applicant’s residence and office address;
(2) That the applicant has been admitted to practice before the United States District Court for the Western District of New York and the date of said admission;
(3) That the applicant has read and is familiar with:

(a) The provisions of Judicial Code 28 U.S.C., section 1334, sections 151 through 158, and sections 1408 through 1412, and section 1452, which pertain to jurisdiction over and venue of bankruptcy cases, proceedings and matters.
(b) The Bankruptcy Code, Title 11 U.S.C.;
(c) The Federal Rules of Bankruptcy Procedure;
(d) The Local Rules of Bankruptcy Procedure for the Western District of New York.

D. Other Admission Prerequisites. Upon the filing of the aforesaid verified petition, taking of the oath, and signing of the attorneys’ roll, a person shall be admitted for bankruptcy practice and the Clerk shall issue a certificate to that effect.

E. Admission Pro Hac Vice.  An attorney duly admitted to practice in any state, territory, district, or foreign country may be admitted pro hac vice to participate in a bankruptcy case or proceeding before the District or Bankruptcy Court under such terms or conditions as may be appropriate.

F. Government Attorneys.  An attorney duly appointed to represent the United States is permitted to appear on any matter within the scope of his or her employment.

G. Only members admitted under LBR 2090 may represent a debtor, be approved for employment as counsel in a bankruptcy case, or appear before the District or Bankruptcy Court in the litigation of adversary proceedings and contested matters.

H. An attorney who has not obtained District or Bankruptcy Court approval to represent a party when required by Bankruptcy Codes and Rules may not appear in representation of that party.

I. An attorney who accepts employment by a debtor in connection with the filing of a case under Title 11, United States Code, has the duty to render complete and competent service, to file with the Court a statement disclosing all payments rendered from a debtor or debtor- in-possession, and may not withdraw from that undertaking without the permission of the District or Bankruptcy Court.

J. Applications to approve employment as attorney of record (whenever Court approval of such employment is required by statute or rule) must include the following:

(1) an application, signed by the party seeking to retain counsel, which sets forth the reason this attorney should be hired, the services this attorney will provide, the arrangements reached with regard to when and how the attorney will be paid, the prior relationship between the applicant and the attorney, and the fact that no fees are to be paid unless and until there is specific Court approval;

(2) an affidavit from the attorney setting forth when he or she was admitted to practice in New York State and to bankruptcy practice in the Western District of New York, his or her qualifications; a statement of disinterestedness sufficient to persuade the Court that there is no conflict of interest; attorney’s prior relationship with the debtor-client and the date upon which the petition was filed;

(3) an Order appointing counsel which clearly sets forth that no fees are to be paid without Court approval and the date from which the appointment is effective.

K. An attorney who seeks an order approving employment may do so ex parte unless the initial post-petition services date back more than thirty (30) days. The attorney otherwise shall file a motion and notice all parties in interest of the motion and hearing date. The attorney must submit the application and notice to the Clerk of the Bankruptcy Court and obtain approval that they are adequate as to form and content before mailing the notices. The attorney shall prepare and mail such applications, unless the Court orders otherwise.

[Former Rule 2 A thru F; Former Rule 3 A thru E]


A. Any person admitted to bankruptcy practice in the Western District of New York may be disbarred from practice or otherwise disciplined after hearing, after such notice as the District or Bankruptcy Court may direct. Any member of the bar who has been disbarred in a state in which he or she was admitted to practice shall have his or her name stricken from the roll of attorneys or, if suspended from practice for a period at said bar, shall be suspended automatically for a like period from bankruptcy practice in the Western District of New York.

B. Discipline and/or suspension from practice specifically may be directed against any attorney who conducts himself or herself in a manner demonstrating inability to properly represent his or her clients’ interests. [See “Malpractice in Bankruptcy - Observations from the Bench” in Commercial Law Journal (March 1985) pp. 95-100, Hon. Harold Lavien, U.S. Bankruptcy Judge for the District of Mass.]

[Former Rule 4 A & B]

2091 Attorneys - Withdrawal

2091-1.  WITHDRAWAL 

A. Withdrawal shall be permitted only by order granted upon:

(1) motion to withdraw, served upon the withdrawing attorney’s client and such other parties as the Court directs; or

(2) if satisfactory to the Court, stipulation of counsel and parties affected thereby.

B. An attorney who has appeared in a case under chapters 7 and 13 as the attorney of record for the debtor may be displaced without order of the Court by filing with the Court a Notice of Substitution of Attorney. The successor attorney shall file with the Court a Statement of Compensation pursuant to Rule 2016 Fed.R.Bankr.P. within ten (10) days of the Notice of Substitution of Attorney.

C. An order granting permission to withdraw or to substitute shall become effective upon ten (10) days notice to all attorneys of record unless the Court specifically directs that the order shall become effective upon entry.

[Former Rule 3 F & G]

3001 Claims and Equity Security Interests - General

3001-1.   TRANSFER OR CLAIM    [O 7/15/94]

The Clerk of Court is to accept for filing a waiver of notice of a claim other than for security after proof filed when said notice is signed by the transferring entity and further notice need not be made. When said waiver of notice is accompanied by a properly completed assignment of claim form, the Clerk of Court shall substitute the transferee for the transferor.

3007 Objections to Claims [SO 5/20/93]

3007-1. Rochester and Watkins Glen objections to claims may be granted without a hearing after the Court has considered the objection and determined the sufficiency of the claim and the objection,  unless a request for a hearing is served and filed within the time permitted. Guidelines designed to comply with this procedure are available in the Bankruptcy Court Clerk’s Office.