C.F.R. » Title 37 » CHAPTER I—UNITED STATES PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE › SUBCHAPTER A—GENERAL › PART 11—REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT AND TRADEMARK OFFICE › Subpart D—USPTO Rules of Professional Conduct

37 C.F.R. § 11.804

Misconduct

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It is professional misconduct for a practitioner to:

(a) Violate or attempt to violate the USPTO Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;

(b) Commit a criminal act that reflects adversely on the practitioner's honesty, trustworthiness, or fitness as a practitioner in other respects, or be convicted of a crime that reflects adversely on the practitioner's honesty, trustworthiness, or fitness as a practitioner in other respects;

(c) Engage in conduct involving dishonesty, fraud, deceit or misrepresentation;

(d) Engage in conduct that is prejudicial to the administration of justice;

(e) State or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the USPTO Rules of Professional Conduct or other law;

(f) Knowingly assist a judge, hearing officer, administrative law judge, administrative patent judge, administrative trademark judge, or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law;

(g) Knowingly assist an officer or employee of the Office in conduct that is a violation of applicable rules of conduct or other law;

(h) Be publicly disciplined on ethical or professional misconduct grounds by any duly constituted authority of:

(1) A State,

(2) The United States, or

(3) A country having disciplinary jurisdiction over the practitioner; or

(i) Engage in other conduct that adversely reflects on the practitioner's fitness to practice before the Office.

[78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28467, May 26, 2021]
Notes of Decisions
Cited in 4 cases (2 in the last 5 years), 2017–2024 · leading case: Off. of Lawyer Reg. v. Carl J. Schwedler, 2017 WI 54 (Wis. 2017).
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Off. of Lawyer Reg. v. Carl J. Schwedler, 2017 WI 54 (Wis. 2017). · cites it 5× “37 C.F.R. §11.804 (c) proscribes conduct involving dishonesty, fraud, deceit, or misrepresentation.”
Mayer v. Hollister Inc., 2022 IL App (1st) 211163-U (Ill. App. Ct. 2022). · cites it 2× “4(c) and 37 C.F.R. § 11.804 (c) because it would entail Mayer “using the money” and “lying” to Hollister and its parent company about why $43,000 extra was in the internal IP Law Budget.”
In the Matter of Correll (Mass. 2024). “505 ; and engaged in "conduct that is prejudicial to the administration of justice," in violation of 37 C.F.R. § 11.804 (d). The detailed facts of Correll's misconduct -- of his representation of private parties before the USPTO while he was a Federal government employee -- are…”
Beach Mart, Inc. v. L&L Wings, Inc. (E.D.N.C. 2020). “303 ; 2) 37 C.F.R. § 11.804 ; 3) 37 C.F.R 11.801; and 4) 37 C.”
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