Notice of Appearance - New York

NOTICE OF APPEARANCE

Supreme Court of the State of New York

1. COURT HEADER AND CASE CAPTION

SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF [________________________________]

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[________________________________],
                                                                    Index No. [________________________________]
     Plaintiff(s),
                                                                    IAS Part [____]
          -against-
                                                                    Assigned Justice:
[________________________________],                                 Hon. [________________________________]

     Defendant(s).
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                              NOTICE OF APPEARANCE

2. COURT AND COUNTY IDENTIFICATION

Court Level (select one):
☐ Supreme Court (general jurisdiction — trial court)
☐ Supreme Court, Commercial Division (22 NYCRR § 202.70)
☐ Supreme Court, Appellate Division (indicate department below)
☐ County Court
☐ Civil Court of the City of New York
☐ District Court (Nassau/Suffolk)
☐ City Court

IMPORTANT NOTE FOR NON-NEW YORK PRACTITIONERS: In New York, the "Supreme Court" is the trial court of general jurisdiction, NOT the highest court. The highest court in New York is the Court of Appeals.

County: [________________________________]

New York has 62 counties. Common filing venues include:

IAS Part Assignment:
Assigned Justice: Hon. [________________________________]
Part: [________________________________]

Individual Assignment System (IAS): Under the IAS, each case is assigned to a single justice who handles the matter from inception through disposition, including discovery disputes, motions, and trial. Check the assigned justice's Part Rules for additional filing and appearance requirements.

3. PARTY INFORMATION

Party Represented:

Name of Party: [________________________________]

Party Designation:
☐ Plaintiff
☐ Defendant
☐ Third-Party Plaintiff
☐ Third-Party Defendant
☐ Cross-Claimant
☐ Counter-Claimant
☐ Intervenor
☐ Petitioner
☐ Respondent
☐ Additional Party: [________________________________]

4. ATTORNEY INFORMATION

Appearing Attorney:

Full Legal Name: [________________________________]
New York Bar Registration Number: [________________________________]
Law Firm Name: [________________________________]
Street Address: [________________________________]
City: [________________________________] State: [____] ZIP: [________]
Mailing Address (if different): [________________________________]
Telephone: [________________________________]
Facsimile: [________________________________]
Primary Email: [________________________________]
NYSCEF Service Email: [________________________________]

Additional Attorneys on the Matter (if applicable):

Attorney Name: [________________________________]
NY Bar Reg. No.: [________________________________]
Email: [________________________________]
Role: ☐ Lead Counsel ☐ Associate Counsel ☐ Of Counsel

5. APPEARANCE STATEMENT

PLEASE TAKE NOTICE that [________________________________], Esq. (New York Bar Registration No. [________________________________]), of the law firm of [________________________________], hereby appears as attorney of record for [________________________________] ("Client"), the [☐ Plaintiff / ☐ Defendant / ☐ Other: ________________] in the above-captioned action.

Pursuant to CPLR 2103 and 22 NYCRR § 202.5, all papers in this action shall be served upon the undersigned at the address and email set forth herein.

6. TYPE OF APPEARANCE

☐ General Appearance — The undersigned enters a full appearance on behalf of the above-named party for all purposes in this action. This appearance constitutes a submission to the jurisdiction of the court pursuant to CPLR 320(a).

☐ Limited Scope Appearance — Pursuant to CPLR 321 and 22 NYCRR § 202.5(d), the undersigned enters an appearance for the limited purposes set forth in Section 10 below. A Notice of Limited Scope Appearance is filed herewith.

☐ Change of Attorney — The undersigned enters this appearance as new attorney of record, replacing [________________________________] (prior counsel). A Consent to Change Attorney or Order to Show Cause pursuant to CPLR 321(b) is being filed simultaneously.

☐ Additional Counsel — The undersigned enters this appearance as additional counsel of record alongside existing counsel [________________________________].

CPLR 320(a) — Jurisdictional Effect: An appearance by a defendant confers personal jurisdiction over that defendant. A defendant who appears is deemed to have submitted to the court's jurisdiction. Beware that filing a Notice of Appearance by an attorney may waive defenses based on lack of personal jurisdiction.

7. CONSENT TO ELECTRONIC SERVICE (NYSCEF)

Pursuant to CPLR 2103(b)(7) and 22 NYCRR § 202.5-b:

Mandatory E-Filing Cases:

☐ This is a mandatory e-filing case. The undersigned has registered in the NYSCEF system and recorded the name of the party represented. All documents will be e-filed and e-served through NYSCEF.

NYSCEF User ID: [________________________________]
NYSCEF Service Email: [________________________________]

Consensual E-Filing Cases:

☐ This is a consensual e-filing case. The undersigned consents to electronic filing and service through NYSCEF.

NYSCEF User ID: [________________________________]
NYSCEF Service Email: [________________________________]

☐ The undersigned does not consent to electronic filing in this consensual e-filing case and will file and accept service of papers in hard copy.

Non-E-Filing Cases:

☐ This case is not subject to e-filing. All papers will be filed in hard copy with the County Clerk and served by traditional methods.

NYSCEF REGISTRATION: To file and serve documents through NYSCEF, attorneys must obtain a User ID and Password, and in mandatory cases, must record the name of the party they represent. Parties served with a Notice Regarding Availability of Electronic Filing or a Notice of Commencement of Mandatory E-Filed Case should register as promptly as possible.

MANDATORY E-FILING: In a mandatory e-filing case, commencement documents must be e-filed, and subsequent documents must be e-filed and e-served. Neither the court nor the County Clerk will accept documents in paper format in a mandatory case except as otherwise provided in the rules.

8. NOTICE TO COUNTY CLERK

☐ A separate Notice to County Clerk (Form UCS-CV1) is being filed with this appearance, as required.

☐ The required $210.00 appearance fee (for a defendant's first appearance) has been:
☐ Paid to the County Clerk simultaneously with this filing
☐ Previously paid (Receipt No.: [________________________________])
☐ Not applicable (plaintiff filing / fee previously paid / exempt)

Fee Note: When a defendant first appears in a Supreme Court action, a fee of $210.00 may be required. Confirm the current fee schedule with the County Clerk's office for the specific county. Fee amounts may vary based on the type of action and court.

9. PRO HAC VICE ADMISSION (If Applicable)

☐ This section does not apply (attorney is admitted to the New York State Bar and in good standing).

☐ The undersigned seeks admission pro hac vice pursuant to 22 NYCRR § 520.11:

Out-of-State Attorney Information:
Full Name: [________________________________]
Bar Admission(s): [________________________________] (State), Bar No. [________________________________]
Office Address: [________________________________]
Email: [________________________________]
Telephone: [________________________________]

Associated New York Attorney (Required):
Name: [________________________________]
NY Bar Reg. No.: [________________________________]
Firm: [________________________________]
Address: [________________________________]

Pro Hac Vice Requirements:
☐ Motion for Admission Pro Hac Vice filed
☐ Affidavit/Affirmation of applicant attorney attached
☐ Certificate of Good Standing from home jurisdiction attached
☐ New York local counsel has entered an appearance
☐ Pro hac vice fee paid as required
☐ All jurisdictions of admission and disciplinary history disclosed
☐ Applicant has registered in NYSCEF (if mandatory e-filing case)

10. LIMITED SCOPE APPEARANCE (If Applicable)

☐ This section does not apply (general appearance entered above).

☐ Pursuant to CPLR 321 and 22 NYCRR § 202.5(d), the undersigned files a Notice of Limited Scope Appearance for the following specific purpose(s):

Scope of Limited Representation:
☐ Representation at residential mortgage foreclosure settlement conference
☐ Representation at preliminary conference
☐ Representation at compliance conference
☐ Representation at specific hearing(s): [________________________________]
☐ Representation for specific motion(s): [________________________________]
☐ Representation for discovery matters only
☐ Representation for trial only
☐ Other limited scope: [________________________________]

Anticipated Duration:
From: [__/__/____] Through: [__/__/____]
Or upon completion of: [________________________________]

Client Consent:
☐ The client has provided informed written consent to the limited scope of representation per Rules of Professional Conduct 1.2(c).
☐ The client understands they retain self-represented status for all matters outside the stated scope.

Requirements for Notice of Limited Scope Appearance:

• The notice must be signed by the attorney entering the limited scope appearance
• The notice must define the purposes for which the attorney is appearing
• Upon filing, the attorney is entitled to appear for the defined purposes unless otherwise directed by the court
• The notice is filed in addition to any self-represented appearance that the party may have already filed

11. ASSIGNED JUSTICE PART RULES COMPLIANCE

The undersigned acknowledges and will comply with the Part Rules of the assigned justice, including but not limited to:

☐ Reviewed the assigned justice's Part Rules (available on the court's website)
☐ Will provide email courtesy copies as required by Part Rules
☐ Will comply with preliminary conference scheduling requirements
☐ Will adhere to page limitations and formatting requirements of Part Rules
☐ Will file a Request for Judicial Intervention (RJI) if not yet filed

Assigned Justice's Specific Requirements (if known):
[________________________________]
[________________________________]

12. SIGNATURE BLOCK

Dated: [________________________________], New York
       [__/__/____]

Respectfully submitted,

[________________________________]
(Law Firm Name)


By: ___________________________________________
    [________________________________], Esq.
    New York Bar Registration No. [________________________________]
    [________________________________]
    [________________________________]
    [City], New York [________]
    Telephone: [________________________________]
    Facsimile: [________________________________]
    Email: [________________________________]

    Attorney for [________________________________]

13. PROOF OF SERVICE / AFFIDAVIT OF SERVICE

Option A: NYSCEF Electronic Service

I certify that on [__/__/____], the foregoing Notice of Appearance was filed and served through NYSCEF upon all parties who have consented to or are mandated for electronic service, in accordance with CPLR 2103(b)(7) and 22 NYCRR § 202.5-b.

Option B: Traditional Service

I certify that on [__/__/____], I served the foregoing Notice of Appearance upon the following parties by the method(s) indicated, in accordance with CPLR 2103:

___________________________________________
[________________________________], Esq.

CPLR 2103 Service Methods: Service of papers may be made by personal delivery, mail, overnight delivery service, electronic means (if consented to), facsimile, or through NYSCEF. In NYSCEF cases, filing through NYSCEF constitutes service on all registered parties.

14. NYSCEF ELECTRONIC FILING INSTRUCTIONS

Registration

1. Navigate to https://iapps.courts.state.ny.us/nyscef
2. Create an account by obtaining a User ID and Password
3. In mandatory cases, record the party you represent in the NYSCEF system
4. In consensual cases, record your consent to participate in electronic filing
5. Ensure your service email address is current

Filing This Document

1. Log in to the NYSCEF system
2. Select the appropriate county and enter the Index Number
3. Select document type: "Notice of Appearance"
4. Upload the Notice of Appearance as a PDF
5. Attach supporting documents (pro hac vice motion, limited appearance notice, consent to change attorney)
6. Confirm service on all registered parties
7. Submit the filing
8. NYSCEF will automatically serve registered parties upon filing

Hard Copy Filing (Non-NYSCEF Cases)

1. Prepare the original Notice of Appearance and copies for service
2. File the original with proof of service at the County Clerk's office
3. Serve copies on all parties by an authorized method under CPLR 2103
4. Retain proof of filing (stamped copy) and proof of service

Fees

• Defendant's appearance fee: $210.00 (Supreme Court — confirm current amount)
• The fee is paid to the County Clerk upon first appearance
• Plaintiff's filing fee (index number purchase) is separate and typically paid at commencement
• NYSCEF does not charge a separate electronic filing fee

15. NEW YORK PRACTITIONER NOTES

Court Structure and Naming Conventions

• Supreme Court = Trial court of general jurisdiction (NOT the highest court)
• Court of Appeals = Highest court in New York
• Appellate Division = Intermediate appellate court (four departments)
• New York has 62 counties; Supreme Court sits in each county
• The Individual Assignment System (IAS) assigns each case to a single justice
• The Commercial Division (22 NYCRR § 202.70) handles complex commercial cases in designated counties

Key Filing Rules

• NYSCEF Mandatory vs. Consensual: Determine whether e-filing is mandatory or consensual in the specific county and case type. Mandatory e-filing has expanded significantly; check the current NYSCEF county list.
• CPLR 320 Appearance Effect: Filing an appearance (or appearing in any manner) confers personal jurisdiction. This is critical when considering whether to file a Notice of Appearance versus a pre-answer motion.
• CPLR 321(b) Change of Attorney: Changing attorneys requires consent of the outgoing attorney and the client, or a court order. File a Consent to Change Attorney or an Order to Show Cause.
• $210 Appearance Fee: May be required when a defendant first appears. Confirm with the County Clerk.

Change of Attorney / Withdrawal (CPLR 321(b))

• An attorney of record may only be changed by consent or court order
• Consent Method: File a Consent to Change Attorney signed by the outgoing attorney, the incoming attorney, and the party
• Court Order Method: If consent cannot be obtained, move by Order to Show Cause
• The court will not relieve an attorney from a case simply upon the attorney's request if it would prejudice the client
• An attorney who has appeared cannot simply stop appearing; proper substitution or withdrawal is required

Part Rules and Individual Justice Requirements

• Each assigned justice may have individual Part Rules that impose additional requirements
• Part Rules are typically available on the court's website
• Common Part Rule requirements include: email courtesy copies, specific formatting, motion submission schedules, preliminary conference forms
• Failure to comply with Part Rules may result in rejection of filings or sanctions

Limited Scope Appearances

• New York enacted limited scope appearance provisions effective December 29, 2022
• Particularly useful for foreclosure settlement conferences and other discrete proceedings
• The Notice of Limited Scope Appearance must define the purposes precisely
• The party retains self-represented status for matters outside the stated scope
• Client informed consent is required

Common Pitfalls

• Filing a Notice of Appearance without realizing it confers personal jurisdiction (waiving jurisdictional defenses)
• Failing to register in NYSCEF in a mandatory e-filing case
• Not checking the assigned justice's Part Rules for additional requirements
• Overlooking the $210 appearance fee for defendants
• Not properly completing the Change of Attorney process when substituting counsel
• Confusing New York's court hierarchy (Supreme Court is NOT the highest court)
• Filing in the wrong county when venue has been changed or transferred

This template is designed for use in New York state courts, primarily Supreme Court. Civil Court, District Court, City Court, and other courts may require different forms and procedures. Federal court appearances in the Southern, Eastern, Northern, or Western Districts of New York require separate procedures. Always verify current rules, fees, and Part Rules before filing.