New York Lawyer's Code of Professional Responsibility(Updated Through December 28, 2007)
TABLE OF CONTENTS
PREAMBLE.........................................................................................................................5PRELIMINARY STATEMENT..........................................................................................5DEFINITIONS.....................................................................................................................6CANON 1. A LAWYER SHOULD ASSIST IN MAINTAINING THEINTEGRITY AND COMPETENCE OF THE LEGAL PROFESSION.................8Ethical Considerations...................................................................................................8Provision of Nonlegal Services...............................................................................8Contractual Relationships between Lawyers andNonlegal Professionals......................................................................................9Disciplinary Rules.......................................................................................................11DR 1-101 Maintaining Integrity and Competence of theLegal Profession................................................................................11
DR 1-102 Misconduct........................................................................................11DR 1-103 Disclosure of Information to Authorities...........................................11DR 1-104 Responsibilities of a Partner or SupervisoryLawyer and Subordinate Lawyers.....................................................12DR 1-105 Disciplinary Authority and Choice of Law........................................12DR 1-106 Responsibilities Regarding Nonlegal Services..................................13
DR 1-107 Contractual Relationships between Lawyersand Nonlegal Professionals................................................................13CANON 2. A LAWYER SHOULD ASSIST THE LEGAL PROFESSIONIN FULFILLING ITS DUTY TO MAKE LEGAL COUNSELAVAILABLE........................................................................................................16Ethical Considerations..................................................................................................16Advertising............................................................................................................16Recognition
of Legal Problems.............................................................................17Statements that Create an Expectation of Results or thatCharacterize the Quality of the Lawyer or Law Firm’sServices or Compare the Lawyer or Law Firm’s Servicesto Those of Other Lawyers..............................................................................18Bona Fide Professional Ratings.............................................................................18
Professional Status.................................................................................................19Trade Names and Domain Names..........................................................................19Telephone Numbers...............................................................................................19Meta-Tags...............................................................................................................20Advertisements Referring to Fees and Advances...................................................20
Solicitation.............................................................................................................20Directed to or Targeted at.......................................................................................20Solicitations Relating to a Specific Incident InvolvingPotential Claims for Personal Injur
y or Wrongful Death................................21Extra-territorial Application of Solicitation Rules.................................................22
In-Person, Telephone and Real-Time or InteractiveComputer-Accessed Communication..............................................................22Retention of Copies; Filing of Copies; Designation of Principal Office...............................................................................................22Financial Ability to Employ Counsel: Persons Ableto Pay Reasonable Fees...................................................................................22Financial Ability to Employ Counsel: Persons Unableto Pay Reasonable Fees...................................................................................23A Lawyer has a Professional Obligation to Render PublicInterest and Pro Bono Lega
l Service...............................................................24Acceptance and Retention of Employment............................................................24Sale of Law Practice...............................................................................................25Improper Political Contributions............................................................................26Disciplinary Rules........................................................................................................26DR 2-101 Advertising........................................................................................26
DR 2-102 Professional Notices, Letterheads, and Signs....................................29DR 2-103 Solicitation and Recommendation of Professional Employment..................................................................30DR 2-104 Suggestion of Need of Legal Services...............................................33DR 2-105 Identification of Practice and Specialty.............................................33DR 2-106 Fee for Legal Services.......................................................................33DR 2-107 Division of Fees Among Lawyers.....................................................35DR 2-108 Agreements Restricting the Practice of a Lawyer.............................35
DR 2-109 Obligation to Decline Employment...................................................35DR 2-110 Withdrawal from Employment..........................................................35DR 2-111 Sale of Law Practice..........................................................................37CANON 3. A LAWYER SHOULD ASSIST IN PREVENTINGTHE UNAUTHORIZED PRACTICE OF LAW..................................................39Ethical Considerations.................................................................................................39Disciplinary Rules.......................................................................................................40DR 3-101 Aiding Unauthorized Practice of Law..............................................40DR 3-102 Dividing Legal Fees with a Nonlawyer............................................40DR 3-103 Forming a Partnership with a Nonlawyer.........................................40
CANON 4. A LAWYER SHOULD PRESERVE THECONFIDENCES AND SECRETS OF A CLIENT...............................................41Ethical Considerations.................................................................................................41Disciplinary Rules.......................................................................................................42DR 4-101 Preservation of Confidences and Secretsof a Client.........................................................................................42CANON 5. A LAWYER SHOULD EXERCISE INDEPENDENTPROFESSIONAL JUDGMENT ON BEHALF OFA CLIENT...........................................................................................................43Ethical Considerations.................................................................................................43Interests of a Lawyer That May Affect the Lawyer’sJudgment.........................................................................................................43
Interests of Multiple Clients..................................................................................45Desires of Third Persons.......................................................................................47Disciplinary Rules.......................................................................................................47
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DR 5-101 Conflicts of Interest – Lawyer’s Own Interests...............................47DR 5-101-a Participation in Limited Pro Bono Legal Service Programs............48DR 5-102 Lawyers as Witnesses......................................................................48DR 5-103 Avoiding Acquisition of Interest in Litigation................................49DR 5-104 Transactions Between Lawyer and Client.......................................49DR 5-105 Conflict of Interest; Simultaneous Representation..........................50DR 5-106 Settling Similar Claims of Clients...................................................50DR 5-107 Avoiding Influence by Others Than the Client................................50DR 5-108 Conflict of Interest – Former Client................................................51DR 5-109 Organization as Client.....................................................................51DR 5-110 Membership in Legal Services Organization...................................52DR 5-111 Sexual Relations with Clients..........................................................52CANON 6 A LAWYER SHOULD REPRESENT A CLIENTCOMPETENTLY................................................................................................54Ethical Considerations................................................................................................54Disciplinary Rules......................................................................................................54DR 6-101 Failing to Act Competently............................................................54
DR 6-102 Limiting Liability to a Client..........................................................55CANON 7 A LAWYER SHOULD REPRESENT A CLIENTZEALOUSLY WITHIN THE BOUNDS OF THE LAW...................................56Ethical Considerations.................................................................................................56Duty of the Lawyer to a Client............................................................................56Duty of the Lawyer to the Adversary System of Justice.....................................59Disciplinary Rules........................................................................................................61DR 7-101 Representing a Client Zealously......................................................61DR 7-102 Representing a Client Within the Bounds of the Law.....................62DR 7-103 Performing the Duty of Public Prosecutor orOther Government Lawy
er..............................................................63DR 7-104 Communicating with Represented andUnrepresented Persons....................................................................63DR 7-105 Threatening Criminal Prosecution...................................................63DR 7-106 Trial Conduct...................................................................................63DR 7-107 Trial Publicity..................................................................................64DR 7-108 Communication with or Investigation of Jurors..............................65DR 7-109 Contact with Witnesses...................................................................66DR 7-110 Contact with Officials......................................................................66DR 7-111 Communication After Incidents Involving PersonalInjury or Wrongful Death................................................................66
CANON 8. A LAWYER SHOULD ASSIST IN IMPROVINGTHE LEGAL SYSTEM.....................................................................................68Ethical Considerations.................................................................................................68Disciplinary Rules.......................................................................................................69DR 8-101 Action as a Public Official..............................................................69DR 8-102 Statements Concerning Judges and OtherAdjudicatory Officers.....................................................................69
DR 8-103 Lawyer Candidate for Judiciary Office..........................................69
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DR 1-103 [1200.4] Disclosure of Information to Authorities for NY Code of Ethics
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