Where in private practice he served as lawyer in the matter in controversy, or a lawyer with whom he previously practiced law served during such association as a lawyer concerning the matter, or the judge or such lawyer has been a material witness concerning it;
Where he has served in governmental employment and in such capacity participated as counsel, adviser or material witness concerning the (4)
He knows that he, individually or as a fiduciary, or his spouse or minor child residing in his household, has a financial interest in the subject matter in controversy or in a party to the (5) He or his spouse, or a person within the third degree of relationship to either of them, or the spouse of such a person:
Is a party to the (ii) Is acting as a lawyer in the (iii)Is known by the judge to have an interest that could be substantially affected by the outcome of the (iv)
Is to the judge’s knowledge likely to be a material witness in the (c)A judge should inform himself about his personal and fiduciary financial interests, and make a reasonable effort to inform himself about the personal financial interests of his spouse and minor children residing in his household.
(d) For the purposes of this section the following words or phrases shall have the meaning indicated:
the degree of relationship is calculated according to the civil law system; “fiduciary” includes such relationships as executor, administrator, trustee, and guardian;(4) “financial interest” means ownership of a legal or equitable interest, however small, or a relationship as director, adviser, or other active participant in the affairs of a party, except that:
Ownership in a mutual or common investment fund that holds securities is not a “financial interest” in such securities unless the judge participates in the management of the fund;
An office in an educational, religious, charitable, fraternal, or civic organization is not a “financial interest” in securities held by the organization;
The proprietary interest of a policyholder in a mutual insurance company, of a depositor in a mutual savings association, or a similar proprietary interest, is a “financial interest” in the organization only if the outcome of the (iv)
Ownership of government securities is a “financial interest” in the issuer only if the outcome of the (e)
No justice, judge, or magistrate judge shall accept from the parties to the (f)Notwithstanding the preceding provisions of this section, if any justice, judge, magistrate judge, or bankruptcy judge to whom a matter has been assigned would be disqualified, after substantial judicial time has been devoted to the matter, because of the appearance or discovery, after the matter was assigned to him or her, that he or she individually or as a fiduciary, or his or her spouse or minor child residing in his or her household, has a financial interest in a party (other than an interest that could be substantially affected by the outcome), disqualification is not required if the justice, judge, magistrate judge, bankruptcy judge, spouse or minor child, as the case may be, divests himself or herself of the interest that provides the grounds for the disqualification.
Historical and Revision NotesBased on title 28, U.S.C., 1940 ed., § 24 (Mar. 3, 1911, ch. 231, § 20, 36 Stat. 1090).
Section 24 of title 28, U.S.C., 1940 ed., applied only tosection 24 of title 28, U.S.C., 1940 ed., as to giving notice of disqualification to the “senior circuit judge,” and words “and thereupon suchsection 332 of this title to apply a remedy.
Relationship to a party’s attorney is included in the revised section as a basis of disqualification in conformity with the views of judges cognizant of the grave possibility of undesirable consequences resulting from a less inclusive rule.
Changes were made in phraseology.
Editorial Notes Amendments1988—Subsec. (f). Pub. L. 100–702 added subsec. (f).
1978—Pub. L. 95–598 struck out references to referees in bankruptcy in section catchline and in subsecs. (a) and (e).
1974—Pub. L. 93–512 substituted “Disqualification of justice, judge, magistrate, or referee in bankruptcy” for “Interest of justice or judge” in section catchline, reorganized structure of provisions, and expanded applicability to include magistrates and referees in bankruptcy and grounds for which disqualification may be based, and inserted provisions relating to waiver of disqualification.
Statutory Notes and Related Subsidiaries Change of NameWords “magistrate judge” substituted for “magistrate” in section catchline and wherever appearing in subsecs. (a), (e), and (f) pursuant to section 321 of Pub. L. 101–650, set out as a note under section 631 of this title.
Effective Date of 1978 AmendmentAmendment by Pub. L. 95–598 effective Oct. 1, 1979 , see section 402(c) of Pub. L. 95–598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. For procedures relating to Bankruptcy matters during transition period see note preceding section 151 of this title.
Effective Date of 1974 Amendment“This Act [amending this section] shall not apply to the trial of any Dec. 5, 1974 ], nor to appellate review of any