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Rule 1: Client-Lawyer Relationship

Rule 1.1
Rule 1.2

Scope of Representation
and Allocation of Authority
Between Client & Lawyer

Rule 1.3
Rule 1.4


Rule 1.5


Rule 1.6

Confidentiality of

Rule 1.7

Conflict of Interest: Current


Rule 1.8

Conflict of Interest: Current

Clients: Specific Rules

A) client decides objectives & settlement, atty consults as to means and can take impliedly authorized
actions. Criminal: client decides plea, if will testify, waiving jury B) representation is not endorsement of
clients views C) can limit scope D) can discuss consequences but not counsel to engage or assist
client in known criminal
Need to act w/ reasonable diligence in representing a client
A) promptly inform when client needs to consent, keep client reasonably informed, comply w/ requests
for info, consult about limits B) need to explain matters reasonably
A) fee cannot be unreasonable B)communicate scope, rate of fee w/in reasonable time except when its
a regular client, but changes in fees always need to be communicated C)contingent fee needs to be in
writing, clear D)criminal and alimony limitations E) division of fees between attys not in same firm
A) shall not reveal info unless informed consent or disclosure is impliedly authorized B) may reveal info
to extent reasonably necessary 1) to prevent reasonably certain death 2) preventing future crime 3)
prevent/mitigate substantial injury to financial interests of another 4) 5) establish a defense on behalf
of atty 6) court order 7) detect/resolve conflicts of interest C)atty shall make reasonable efforts to
prevent unauthorized disclosure of info
A) cannot rep if a concurrent conflict of interest: 1) directly adverse to another client 2) significant risk
that rep of client will be materially limited B) if no conflict, can rep client if 1) atty reasonably believes he
can provide competent & diligent rep 2) rep not prohibited by law 3)rep doesnt involve clients against
each other 4) each client gives informed written consent
A) atty shall not enter into business transaction unless 1) terms are fair, reasonable, disclosed, in
writing, and client can reasonably understand them 2)client is advised in writing about seeking advice of
legal counsel and given reasonable time 3)informed written consent
B) shall not use info to disadvantage of the client unless informed consent or permitted by the Rules
C) shall not solicit any substantial gift
D) shall not negotiate literary/media rights prior to concluding representation
E) shall not provide financial assistance except 1)may advance court costs 2)can pay fees for indigent
F) third party rep
G)aggregate settlements
H) shall not make agreement to limit malpractice liability or settle one unless client is represented by
I) shall not obtain proprietary interest except: 1) lien, contract for a fee
J)no sexual relations
K) if in firm, any prohibition applying to one applies to all

Rule 1.9

Duties to Former Clients

Rule 1.10

Imputation of Conflicts of
Interest: General Rule

Rule 1.11

Special Conflicts of Interest

for Former & Current Gov.
Officers and Employees

Rule 1.12

Former Judge, Arbitrator,

Mediator or Other ThirdParty Neutral
Organization as Client

Rule 1.13

Rule 1.14

Client with Diminished


Rule 1.15

Safekeeping Property

Rule 1.16

Declining or Terminating

A) cannot rep another in same or substantially related matter if others interests are materially adverse
to former client unless former client gives written informed consent B) cant rep in same or substantially
related mater if prior firm represented a client 1)w/ materially adverse interests 2) atty acquired
protected info material to the matter, unless informed written consent C) if atty or firm represented a
client 1)cant use info relating to rep. to disadvantage of former client unless info is generally known 2)
reveal info relating to rep
A) if one is prohibited from rep. by 1.7 or 1.9 so is all firm unless 1) prohibition is based on personal
interest and no sig. risk that rep will be limited 2) timely screened B) if atty leaves firm can rep. adverse
clients unless matter is same or substantially related and any atty still in firm has info that is material to
the matter C) disqualification can be waived according to 1.7
A) atty who was public officer or employee of the gov 1) is subject to 1.9 and 2) shall not rep a client in
a matter where atty participated in personally and substantially as a public employee unless the gov
agency gives written informed consent B) timely screening C) atty who obtained confidential gov. info
about a client cannot rep. another w/ adverse interests D) public employees cannot participate in matter
he participated in personally and substantially while non-gov employee unless appropriate agency gives
written informed consent, or negotiate for employment
A) if atty participated personally and substantially as a judge/mediator/etc cant rep anyone in that
matter unless informed written consent B) wont seek employment C) if applies to one, applies to all
firm, unless timely screened D)arbitrator rule
A) atty reps the org B) if atty knows org personnel is engaged in conduct that violates legal obligation to
the org or violates law that reasonably might impute the org, and its likely to result in substantial injury
to the org, atty shall proceed as is reasonably necessary. Shall refer matter to higher authority in org C)
if orgs higher authority does not act and atty reasonably believes the violation is reasonably certain to
cause substantial injury to the org, then may reveal info D) [c] doesnt apply if rep. involves investigating
alleged violation of law E) can report discharge to orgs highest authority if atty reasonably believes it
was b/c of reporting F) should explain to constituents that atty reps the org when interests may be
adverse G) Can also rep constituents if ok, might need consent from org official
A) as reasonably possible, need to maintain normal atty/client relationship B) may take reasonably
necessary protective action if reasonably believes client is at risk of substantial financial, physical, or
other harm C) may reveal info to extent reasonably necessary in [b]
A) shall hold property in connection w/ a rep separate from own property. Shall keep funds separate
account in the state where the office is. Need to keep records B) may deposit own finds into client
account to cover bank service charges C) shall deposit legal fees paid in advance in client accout D)
need to notify client after receiving funds or property the client has interest in E) need to keep property
in dispute and promptly distribute parts not in dispute
A) must withdraw or refuse rep: 1) rep violates Model Rules 2) lawyers condition impairs ability to rep


Rule 1.17
Rule 1.18

Sale of Law Practice

Duties to Prospective Client

Rule 2.1
Rule 2.2
Rule 2.3

Evaluation for Use by Third
Lawyer Serving as ThirdParty Neutral

Rule 2.4

Rule 3.1
Rule 3.2
Rule 3.3

Meritorious Claims and

Expediting Litigation
Candor toward the Tribunal

Rule 3.4

Fairness to Opposing Party

and Counsel

Rule 3.5

Impartiality and Decorum of

the Tribunal

Rule 3.6

Trial Publicity

client 3) lawyer is discharged B) May withdraw 1) if wont materially adversely effect client 2) client
persists in action atty reasonably believes is crime or fraud 3) client used atty to perpetrate a crime 4)
client insists on action atty finds repugnant 5) client fails to fulfill obligation 6) rep will unreasonably
financially burden atty 7)other C)must get court permission D) give reasonable notice to client and
surrender papers/property
A) if a person consults about forming atty/client relationship then he is prospective client B)cant reveal
info except as permitted by 1.9 C)cant rep a client w/ materially adverse interests in the same or
substantially related matter. Applies to firm. D)screening
Rule 2: Counselor
Need to give candid advice. My refer to other considerations
A) can make eval for use of 3rd party if reasonably believes making the eval is ok B) no eval if it will
likely affect clients interests materially and adversely unless informed consent
A) can be 3rd party neutral B) atty shall inform unrep parties that he is not representing them and explain
difference between being a lawyer and neutral
Rule 3: Advocate
Can only bring proceeding if there is a basis in law and fact. In criminal, may still defend the proceeding.
Need to make reasonable efforts to expedite
A) cannot knowingly 1)make a false statement of fact or law 2)fail to disclose directly adverse legal
authority in that jurisdiction 3) offer evidence the atty knows is false. May need to take remedial
measures if evidence offered by atty, client, or witness is material evidence and atty comes to know of
its falsity B) if knows client is or plans to engage in crime or fraud relating to proceeding need to take
reasonable remedial measures C) D) in ex parte proceeding atty shall inform the tribunal of all material
facts known
A) shall not obstruct other partys access to evidence or counsel other to do so B) falsify evidence C)
knowingly disobey an obligation under the rules of tribunal D)make frivolous discovery request or fail to
comply E)at trial allude to matters not reasonably believed to be relevant, or state personal opinion of
justness of cause/credibility of witness F)request a person other than client not to talk to another party
unless 1)a relative or employee of client, and 2)persons interests wont be adversely affected
A) Shall not seek to influence judge, juror, prospective juror B) communicate ex parte unless authorized
by law or court order C) communicate w/ juror after if juror says no or atty is using
coercion/duress/harassment D)engage in conduct to disrupt tribunal
A) shall not make extrajudicial statement atty reasonably knows will have a substantial likelihood of

Rule 3.7

Lawyer as Witness

Rule 3.8

Special Responsibilities of a

Rule 3.9

Advocate in Nonadjudicative Proceedings

Rule 4.1
Rule 4.2
Rule 4.3
Rule 4.4

Truthfulness in Statements
to Others
Communication with Person
Represented by Counsel
Dealing with Unrepresented
Respect for Rights of Third

Rule 5.1

Responsibilities of a Partner
or Supervisory Lawyer

Rule 5.2

Responsibilities of a
Subordinate Lawyer
Responsibilities Regarding
Nonlawyer Assistance

Rule 5.3

Rule 5.4

Professional Independence
of a Lawyer

materially prejudicing a proceeding B) may state some info C) may make statements reasonably atty
believe are required to protect client from substantial undue prejudicial effect of a recent public
statement D)restrictions of gov lawyers
A) shall not be atty if will be a necessary witness unless 1) testimony relates to an uncontested issue 2)
testimony relates to nature and value of legal services 3) disqualification would work substantial
hardship on client B) can be advocate if other lawyer in firm will be witness, unless 1.7 or 1.9
A) not prosecute if knows not supported by probably cause B) advice accused of right to obtain counsel
C)not obtain waiver of pretrial rights from unrep. D)make timely disclosure of all evidence/info known
that tends to negate the guilt E) not subpoena evidence about a past client unless its essential and o
feasible alternative to get info F)refrain from public statements G) promptly disclose new credible and
material evidence relating to a convicted
Need to disclose that appearance is in a representative capacity
Rule 4: Transactions with Persons Other Than Clients
A) atty cannot make false statement of material fact B)fail to disclose material fact to 3rd person if
necessary to avoid assisting crime or fraud by client unless prohibited by 1.6
Cannot communicate w/ represented party if atty knows the person is represented by another unless
other lawyer consents or court order
Communicating w/ unrep party: can only give legal advice to secure counsel. Should not imply the atty
is a disinterested party.
A) shall not use means only to embarrass, delay or burden third person. B) shall promptly notify sender
of inadvertently sent info
Rule 5: Law Firms and Associations
A) make reasonable efforts to ensure the firm has measures giving reasonable assurance that all
lawyers in firm comply w/ Rules B)direct supervisor needs to make reasonable efforts to ensure lawyer
complies w/ Rules C) responsible for anothers violation if orders or knowingly ratifies conduct or had
direct supervisory authority and knew of conduct but failed to take reasonable remedial action
A) lawyers are bound by Rules even if acting at direction of another B)no violation if acts according to
supervisors reasonable resolution of an arguable question of professional duty
A) reasonable efforts to ensure measures giving reasonable assurance persons conduct complies B)
direct supervisor make reasonable efforts to ensure compliance C)responsible for others violation if
ratifies, orders, knew and failed to take remedial action
A) shall not share legal fees w/ nonlawyer except 1) paying lawyers estate 2)pay to the estate if
purchasing a practice 3)nonlawyer employees are included in compensation plan even if plan is based
on a profit-sharing 4)share court awarded fees w/ nonprofit B)cannot form partnership if activities will

Rule 5.5

Unauthorized Practice of
Law; Multijurisdictional

Rule 5.6
Rule 5.7

Restrictions on Rights to
Law-related Services

Rule 6.1
Rule 6.2

Voluntary Pro Bono Service

Accepting Appointments

Rule 6.3

Membership in Legal
Services Org
Law Reform Activities
Affecting Client Interests
Nonprofit & Limited Legal
Services Programs

Rule 6.4
Rule 6.5

Rule 7.1
Rule 7.2

Communication Concerning
a Lawyer's Services

Rule 7.3

Solicitation of Clients

consist of practice of law C)shall not permit another to direct or regulate the attys professional judgment
even if the other pays for clients atty D)shall not practice in corp or association if nonlawyer owns any
interest other than fiduciary, nonlawyer is a corporate director, nonlawyer has the right to direct or
control the attys judgment
A) shall not practice in jurisdiction not allowed B) cannot establish an office or continuous presence or
hold out to the public that the atty is admitted there C) can provide temporary services if 1)associates w/
another lawyer 2)the atty or person the atty is assisting is authorized by order or reasonably expects to
be 3)reasonably related to a pending ADR proceeding if the services reasonably relate to attys practice
in jurisdiction admitted to D) if admitted in another jurisdiction may provide services if forum does not
require pro hac vice admission for those services or federal law authorizes atty
A) cannot participate in partnership/employment agreement that restricts right of a lawyer to practice
after agreement ends, or B)settlement that restricts attys right to practice
Rules apply.
Rule 6: Public Service
Cannot seek to avoid appointments except for good cause 1)rep the client is likely to result in violation
of the rules 2) unreasonable financial burden on atty 3) cause/client is so repugnant to atty at to be
likely to impair client/atty relationship
Cannot knowingly participate in decision A) if participating would be incompatible w/ obligations to the
client B) decision could have material adverse effect on rep of client
When atty knows interests of a client may be materially benefited by a decision the atty shall disclose
that fact, but need not identify the client
A) atty who provides services on short-term limited basis: 1)Rules 1.7 and 1.9(a) apply only if atty
knows that rep of the client involves a conflict of interest 2) rule 1.10 applies if atty knows another
lawyer in the firm is disqualified. B)rule 1.10 only applies as stated in [a][2]
Rule 7: Information About Legal Services
Shall not make false or misleading communication about the atty or the attys services. No material
misrep. of fact or law, or omitting necessary fact to make statement not misleading
A) can advertise, subject to 7.1, 7.3 B) shall not give anything of value to a person recommending the
atty except 1)pay reasonable ad costs 2)pay charges of qualified lawyer referral service approved by
appropriate reg. authority 3)pay for a law practice 4) refer clients to another lawyer if i) reciprocal
agreement is not exclusive ii)client is informed of the agreement C)ads need name and office address
of one lawyer/firm responsible for content
A)cannot solicit if sig. motive is attys pecuniary gain unless person is family or close ties to a lawyer
B)not solicit if person has made known desire not to be solicited or if solicitation involves coercion,

Rule 7.4

Communication of Fields of
Practice and Specialization

Rule 7.5

Firm Names and Letterhead

Rule 7.6

Political Contributions to
Obtain Appointments

Rule 8.1

Bar Admission and

Disciplinary Matters

Rule 8.2

Judicial and Legal Officials

Rule 8.3

Reporting Professional

Rule 8.4


Rule 8.5

Disciplinary Authority;
Choice of Law [may cross
over w/5.5]

duress C)must have words advertising material D)may participate in prepaid or group legal service
plan operated by org that solicits to people not known to need legal services in a particular matter
A)atty may communicate fact that he does/doesnt practice in particular fields D) shall not state or imply
that atty is certified specialist unless 1) has been certified by an org approved by appropriate state
authority 2)name of certifying org is clear in the communication
A) cannot use letterhead that violates 7.1 B)multistate firms can use same name C)atty holding public
office shall not be used in name of a firm during any substantial period the atty is not actively and
regularly practicing in the firm D)may state/imply they practice in partnerships or other org only when
that is the fact
Cannot accept legal engagement/appointment if atty makes or solicits political contributions for purpose
of obtaining that appointment
Rule 8: Maintaining the Integrity of the Profession
Applicant for bar admission shall not A)knowingly make a false statement of material fact B) fail to
disclose a fact necessary to correct a known misapprehension, or fail to respond to lawful demand for
A) shall not make a statement known to be false about qualifications/integrity of a judge/public legal
officer/candidate for election B)candidates for judicial office are subject to Code of Judicial Conduct
A)atty who knows another lawyer has committed a violation that raises a substantial question as to that
lawyers honesty/trustworthiness/fitness as a lawyer shall inform appropriate authority B)same as [a] but
regarding judges C)does not apply to approved lawyers assistance program
A)cannot violate or attempt to violate, knowingly assist or induce another or through acts of another, the
Rules B)commit criminal act that reflects adversely on lawyers honesty/fitness as a lawyer C)engage in
dishonest conduct, fraud, deceit or misrepresentation D) engage in conduct that is prejudicial to
administration of justice E) state or imply ability to influence improperly a gov agency or official
F)knowingly assist a judge in conduct that violates rules of judicial conduct
A) lawyer is subject to authority of jurisdix where admitted, where conduct occurred, or both jurisdictions
for same conduct B) If conduct relates to pending matter rules of that jurisdix of tribunal apply, for other
conduct rules of jurisdix where conduct occurred