You are on page 1of 14

Model Rules of Professional Conduct

1. RPC 8.1 prohibits a lawyer in connection with a bar admission application from
1. knowingly making a false statement of material fact,
2. failing to disclose a fact necessary to correct a known misapprehension, or
3. knowingly failing to respond to an admission authority's lawful demand for information,
but it does not prohibit passively standing by.
2. RPC 8.3 requires reporting knowledge of a violation that "raises a substantial question as to
[the other attorney's] honesty, trustworthiness or fitness as a lawyer in other respects.”
3. RPC 1.5(c) permits a contingent fee, that is a percentage of the damages recovered, so long
as the fee agreement is in writing and the fee is reasonable.
4. RPC 1.6 restricts revelation not just of communications protected by the attorney-client
privilege, but of all "information relating to representation of a client.”
5. Lawyer learns from Client, in the course of representation, that certain land is likely to
become very valuable in the near future. So long as Lawyer does not reveal the information
or hurt Client, the Model Rules permit Lawyer to use the information to Lawyer's advantage.
1. RPC 1.8(b) only prohibits using the information to the client's disadvantage. Restatement
(Third) (unless client consents after being adequately informed, "a lawyer who uses
confidential information of a client for the lawyer's pecuniary gain other than in the
practice of law must account to the client for any profits made"); Restatement (Second)
(agent must account for any profits made through use of confidential information.
6. The Model Rules do not allow a lawyer to disclose confidential information in order to
prevent the client from committing ANY criminal conduct. Instead-1. RPC 1.6(b) allows a lawyer to reveal information relating to representation to the extent
the lawyer reasonably believes necessary to prevent:
1. reasonably certain death or substantial bodily harm or
2. the client committing a crime or fraud reasonably certain to substantially injure
another's financial interests and in furtherance of which the client is using (or has
used) the lawyer's services, and
2. RPC 3.3(b) specifies that if a lawyer knows that a person intends to engage (or has
engaged) in criminal or fraudulent conduct in an adjudicative proceeding in which the
lawyer represents a client, the lawyer MUST take reasonable remedial measures,
including, if necessary disclosure to the tribunal.
7. The Model Rules prohibit a lawyer acting as advocate at a trial in which the lawyer is likely to
be a necessary witness—
1. with certain narrow exceptions.
1. It is considered inappropriate for the lawyer to be a witness because, among other
things, "Combining the roles of advocate and witness can prejudice the tribunal and
the opposing party and can also involve a conflict of interest between the lawyer and
client." Comment [1] to RPC 3.7.
8. RPC 3.7(a) precludes Lawyer from acting as advocate at a trial in which she is likely to be a
necessary witness unless one of 3.7(a)'s exceptions applies. These exceptions do not allow

another lawyer's advice.8(a).6 restricts revelation not just of communications protected by the attorney-client privilege.Lawyer to continue merely because her testimony will be helpful to Client. RPC 1.3(a)(3)) 2. If a client confides to a lawyer that the client has. of course.7(a)(2) permits the lawyer to act as both advocate and witness when "the testimony relates to the nature and value of legal services rendered in the case.” 10. “[t]he lawyer’s duties stated in paragraph (a) continue to the conclusion of the proceeding.8(i) generally prohibits a lawyer from acquiring an interest in the subject matter of litigation. "A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness unless precluded from doing so by rule 1. a lawyer may enter into a business transaction with a client only if 1. perpetrated a fraud other than offering perjury or false evidence. the client in a signed writing gives informed consent to the transaction's essential terms and the lawyer's role in the transaction. and gives the client a reasonable opportunity to seek.3(c) specifies. RPC 1. and clearly explained in writing. including. if necessary. Client tells lawyer that he was not hurt. but you should keep looking because there are plenty of lawyers who would represent you. 1. the lawyer advises the client in writing of the desirability of seeking.8(g) permits an aggregate settlement if the clients give informed consent in writing. RPC 3. 2. the Model Rules— . or assist a client.9 [regarding conflict of interest]. .7 specifies. Under RPC 1. RPC 3.7(a)(1) allows the lawyer to act as advocate as well as witness when "the testimony relates to an uncontested issue.” (this includes the following: Client was involved in an accident. the Model Rules require Lawyer to: 1.” 13. "take reasonable remedial measures.” 18. Lawyer says. reasonable.) 9. The same requirements apply when a lawyer "knowingly acquires an ownership. and 3. the transaction is fair. "I personally don't want anything to do with a case like this.” 11. RPC 1. disclosure to the tribunal. but of all "information relating to representation of a client. but that he wants to bring a personal injury claim anyway. RPC 1. Client confides to Lawyer that the testimony was perjurious on material issues.” (RPC 3. (After withdrawing.” 15. RPC 3. in conduct that the lawyer knows is criminal or fraudulent.7 or rule 1.6. but this arrangement is not a contingent fee 14. and apply even if compliance requires disclosure of information otherwise protected by Rule 1. Lawyer is free to testify in favor of Client. One exception is the contingent fee.” 16. disclosing "the existence and nature of all the claims . RPC 3.” 12. using a false medical report.2(d) provides that a lawyer shall not "counsel a client to engage. during the lawyer's representation of the client. including whether the lawyer is representing the client in the transaction. involved and of the participation of each person in the settlement. . If after Client's direct examination by Lawyer in a civil case. possessory security or other pecuniary interest adverse to a client.”) 17.

” 3. In questioning a Global employee who is under strong suspicion of embezzlement. EXAMPLE: An experienced oil and gas developer asked an attorney to represent him in a suit to establish the developer’s owner. The attorney then prepared a proposed agreement that contained all of the agreed-upon terms. 20. if he prevailed in the lawsuit. I will then have your wife sign them and furnish you with a fully executed copy. I enclose two copies of the separation agreement negotiated by you and your wife.1. The attorney is not subject to discipline because the attorney may contract with the developer for a reasonable contingent fee.3 prohibits giving an unrepresented person with reasonably perceivable adverse interests advice other than the advice to secure counsel. that will make things go easier for you.3 1. Is the attorney subject to discipline? No. Example: Lawyer is doing an internal investigation of embezzlement for Global Co. RPC 1. The attorney mailed the proposed agreement to the husband. because the attorney’s letter did not imply that the attorney was disinterested. 1. a lawyer shall not state or imply that the lawyer is disinterested.6(b) (3) permits a lawyer to reveal information relating to representation to the extent the lawyer reasonably believes necessary to prevent. if it meets with your approval. refused to obtain counsel and insisted on acting on his own behalf throughout the protracted negotiations. The developer did not have available the necessary funds to pay the attorney’s reasonable hourly rate for undertaking the case and pro. Please read it and. I have been retained by your wife to represent her in this matter. 2. After several months. Even though he knew that his wife was represented by the attorney. The attorney accepted the proposal.. her client. The attorney never met or directly communicated in any way with the husband during the entire course of the negotiations. the wife advised the attorney that the parties had reached agreement and presented the attorney with the terms. EXAMPLE: A wife retained an attorney to advise her in negotiating a separation agreement with her husband. with a cover letter stating the following: “As you know. 1. 21. mitigate.posed instead that. RPC 4.ship of certain oil and gas royalties. the husband. I still think you should answer the questions. Twenty percent of the first year’s royalties would likely exceed the amount that the attorney would have received from charging his regular hourly rate. who was not a lawyer. Lawyer says "Bearing in mind that I represent the company rather than you. he would pay the attorney 20% of the first year’s royalties recovered in the suit. In dealing on behalf of a client with a person who is not represented by counsel. 19. or rectify substantial financial injury that is reasonably certain to result or has resulted from the client committing a crime or fraud in furtherance of which the client has used the lawyer's services. An attorney may contract with a client for a reasonable contingent fee." The employee is not represented by other counsel. sign both copies before a notary and return them to me. 1. . RPC 4.

1. The rule prohibits only those partnerships in which all or part of the services delivered are legal services.22. the attorney has drafted a stipulation of consent to withdraw if fees are not paid according to the fee agreement. Thereafter. The partnership provided legal and other assistance to clients in connection with business and tax planning. To avoid a recurrence of this situation. EXAMPLE: A business attorney entered into a partnership with a certified public accountant.000 in advance of any services rendered by the attorney and requiring the attorney to return any portion of the $5.500. She proposes to have all clients sign the stipulation at the outset of the representation. EXAMPLE: An attorney and her client entered into a written retainer and hourly fee agreement requiring the client to pay $5. Is it proper for the attorney to use the stipulation to withdraw from representation whenever a client fails to pay fees? 2. Yes. The attorney did not withdraw any of the $5.000 advance until one year later when the matter was concluded to the client’s complete satisfaction. 23. 1. because a client’s failure to pay fees when due may be insufficient in itself to justify withdrawal. The accountant performed only work that she was authorized to perform as a certified public accountant. No. Was the attorney’s conduct proper? 2. A lawyer MUST not commingle the funds of the client with the lawyer’s funds. At that time. which also contained funds that had been entrusted to the attorney by other per. Is the attorney subject to discipline? 2. This fact pattern presents the classic multidisciplinary practice of law issue. EXAMPLE: An attorney has experienced several instances in which clients failed to pay their fees in a timely manner when it was too late in the representation to withdraw without prejudicing the clients. which she deposited in her general office account. tax filings. and one for $500 to the client. The attorney made reasonable efforts to ensure that the accountant did not interfere with the attorney’s compliance with his professional obligations as a lawyer. Clients will be provided an opportunity to seek independent legal advice before signing the stipulation. because some of the activities of the partnership consisted of the practice of law. The attorney deposited the $5. showing the services rendered and the balance of the client’s fee advance. There is no absolute ban on lawyer and nonlawyer partnerships. 24. and other personal and corporate business matters. The agreement was silent as to whether the $5.000 in her clients’ trust account. A client’s failure to pay fees when due may be insufficient in itself to justify withdrawal.sons. because the attorney’s failure to withdraw her fees as billed resulted in an impermissible commingling of her funds and the client’s funds.000 advance was to be deposited in the attorney’s clients’ trust account or in a general account. the attorney had billed the client reasonable legal fees of $4. The attorney wrote two checks on her clients’ trust account: one to herself for $4.500. the attorney sent the client periodic accurate billings. Lawyers and . The agreement further provided that the attorney would render monthly statements and withdraw her fees as billed. 1.000 that was not earned. No.

” Further. 25. based on the lawyer’s experience. When the attorney scheduled this meeting. Lawyers do not have an obligation to provide free legal services to everyone. promote the administration of justice by enabling voters to make informed decisions and are encouraged under Rule 8. The law of lawyering does not prohibit limited representations in criminal cases. 28. agreed to continue as suggested.2. in this case.6(a) provides that “[a] lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent. 26. and a tentative agreement was soon worked out. 27. 1. Also. hoping to arrange a sale to the developer. The attorney arranged a meeting with an owner of two large parcels of land.1. He further stated that he would be meeting with his lawyer the next day. This answer is correct because it zeroes in on the fact that the partnership delivers legal services. an experienced businessman and negotiator. The Rule applies even if the represented person initiates or consents to the communication. Shortly after the meeting began. It does not cover clients’ identities unless disclosing their identities will implicitly reveal their confidential communications 29. The attorney asked the owner if they could talk anyway. . Was the attorney’s conduct proper? 2. he neither knew nor asked whether the owner was represented by counsel in the matter. no exception to the confidentiality rule allows or requires the attorney to disclose the information. Rule 1. under Rule 1. The owner. and stated that he wouldn’t ask the owner to sign anything until his lawyer had a chance to look over anything they discussed.6(B)(6).2 prohibits a lawyer from communicating about a matter with a person known to be represented in the matter unless the person’s lawyer consents to the communication. which covers lawyer advertising. Rule 4. forbids only false or misleading communications 31. In general. Model Rule 7. No. because the attorney negotiated with the owner after learning that the owner was represented by a lawyer in the matter. 30. a lawyer’s good faith expressions of opinion about the judicial candidate’s temperament. EXAMPLE: An attorney represented a real estate developer who was trying to buy several properties. The ability to pay is clearly one permissible factor in crafting a limited representation and. Although false statements about judicial candidates can unfairly undermine public confidence in the administration of justice. in which case the attorney must assert the privilege unless the client waives it The privilege covers only confidential communications between a client and a lawyer. but that his lawyer could not be present that day. the attorney may provide client confidences in response to a grand jury subpoena unless the information may be protected by the attorney-client privilege. it puts the client in a better position than if he were not represented by the lawyer at all. the owner disclosed that he had retained counsel to assist in the sale of the two parcels of land.nonlawyers may not practice together in a single entity co-owned by the two professionals or sets of professionals if the entity delivers legal services.

34. in which case the attorney must assert the privilege unless the client waives it. Based on those experiences. EXAMPLE: Under a state law. the attorney is assisting the bank in the unauthorized practice of law. Under Rule 1. because the attorney is assisting the bank in the unauthorized practice of law. 32.6(B)(6).1. The attorney’s expression of good faith views about a judicial candidate’s qualifications was proper. EXAMPLE: An attorney practices law in the same community as a lawyer who is running for election as a state judge. and the attorney responded in good faith that he believed the candidate was unsuited for the bench and lacked the proper judicial temperament for a judge. and taxes that the bank sends to all of its customers.” Rule 8. trusts. Is the attorney subject to discipline for the foregoing? 3. The attorney may do legal work for a bank. comment. The judge believed that this practice would ensure competent and impartial handling of every proceeding. Is the judge’s proposed practice proper? number 12 33. EXAMPLE: An attorney is a member of the bar and a salaried employee of a bank's trust department.2. The judge further decided to use published law directories to compile a list of qualified prospective appointees. Yes. Achieving competence and impartiality does not justify making special master appointments in all cases before a judge. the court’s appointment of lawyers as special masters in certain proceedings is discretionary with the court.CJC 2. where the attorney will review the customer's will and answer the customer's legal questions. The newsletter contains a recommendation to the customer to review his or her will in light of the information contained and. but may not do legal work for bank clients. A local newspaper with a wide circulation quoted the attorney’s remarks. 1. A bank may not provide legal services to its customers through a salaried lawyer because banks are not authorized to practice law. A judge decided to appoint special masters in all such proceedings. if the customer has any questions. The bank provides the attorney's services to its customers for no charge. Yes. Were the attorney’s remarks proper? 2. because the attorney believed the candidate was unsuited for the bench. 2.13(A)(2) requires that a judge avoid making unnecessary appointments. 3. an attorney may provide client confidences in response to a grand jury subpoena unless the information may be protected by the attorney-client privilege. because “expressing honest and candid opinions on such matters contributes to improving the administration of justice. The attorney has frequently observed the judicial candidate’s courtroom demeanor in litigated cases. to bring the will to the bank. . [1]. 1. A local news reporter asked the attorney how he would rate the candidate. As part of his duties. By providing these services. estates. and decided that compensation for such appointees would be at a reasonable hourly rate. the attorney believes that the judicial candidate does not have a proper judicial temperament. regardless of their nature and complexity. he prepares a monthly newsletter concerning wills.

Without advising the defendant’s counsel. and when the firm uses less experienced lawyers to perform client work the partners must supervise that work 37. because the attorney reasonably believed the defendant was guilty of a crime. The privilege covers only confidential communications between a client and a lawyer. which the attorney immediately deposited in her bank account. the lawyer may disclose such information to the prosecutor. the lawyer may disclose such information to the prosecutor. upon consent of the client. EXAMPLE: An attorney represented both the owner of an art gallery and a publisher. The attorney felt that the defendant’s crime should be reported to local prosecutorial authorities. In the course of developing the plaintiff’s case. One week later. the associate was assigned to draft legal documents that the attorney carefully reviewed and revised before filing. tried. Once the lawyer has the client’s consent. Yes. shortly after the associate was admitted to the bar. who informed her that four of the bills had been identified as counterfeit. and acquitted of the offense. Once the lawyer has the client’s consent. EXAMPLE: An attorney hired a recent law school graduate as an associate. Is it proper for the attorney to provide the grand jury with the names of the gallery owner and the publisher? 2. The attorney received separate cash payments from the gallery owner and the publisher on the same day. 35. disclosure of the information would be permissive and not mandatory. a law firm owes a client a duty of competence. If a lawyer identifies criminal behavior on the part of an opposing party. 1. However. 2. the plaintiff consented to the attorney’s doing so. the attorney was contacted by United States Treasury agents. disclosure of the information would be permissive and not mandatory 36.1. The attorney was subpoenaed to testify before a grand jury and was asked who could have given her the counterfeit money. upon consent of the client.1. the attorney informed the local prosecutor of her findings. After full disclosure. which is not the case here. In this case. For the first six months. the clients’ names are confidential under Rule 1. the attorney discovered evidence that she reasonably believed showed that the defendant had committed a crime. but she sought no advantage in the civil suit from her actions. It does not cover clients’ identities unless disclosing their identities will implicitly reveal their confidential communications. Was the attorney’s disclosure to prosecutorial authorities proper? Yes. The gallery owner and the publisher each made a practice of paying the attorney's fees in cash. EXAMPLE: An attorney represented a plaintiff in a civil suit against a defendant who was represented by other counsel. a newly admitted lawyer in a firm must have his or her work properly supervised by a more experienced lawyer.1. because under the circumstances neither client's identity is privileged. Under Rule 5. The defendant was subsequently indicted. Each payment consisted of ten $100 bills. the attorney told the associate that he would be going on vacation the following week and was assigning her the representation of the landlord in a housing case that was going to . If a lawyer identifies criminal behavior on the part of an opposing party.6 but are not protected by the attorney-client privilege. Under Rule 1. The agents did not accuse the attorney of knowingly passing the counterfeit money but asked her who had given her the bills.

but the landlord did not object. 1. Before the trial began. nor did she have the experience to competently handle the case. The witness told the attorney that she had not been interviewed by defense counsel. Two weeks before the date set for trial. the landlord lost the trial. The attorney interviewed the witness. who had never conducted or observed a trial and had not worked on landlord-tenant cases before. Model Rule 3. the associate. Is the attorney subject to discipline? 4. During that time. Her version of the accident was contrary to that of the plaintiff and. would establish that the plaintiff was at fault. if believed by the trier of fact. The witness also told the attorney that she was uncomfortable with testifying and that she had been thinking about taking a vacation to Europe the following week. the judge was assigned an interesting case involving a constitutional challenge to a statute recently passed by the state legislature. There was not enough time for the associate to become familiar with the relevant law and procedure. Although the associate prepared diligently. A judge may consult with another judge in the court about a case as long as the judge to whom the case is assigned does not abrogate his or her responsibilities. Is the attorney subject to discipline? Yes. she was unfamiliar with the relevant law and procedure.4(f) prohibits a lawyer from asking a person other than a client to refrain from voluntarily giving relevant information to another party unless the person is a relative or an employee or other agent of the client. The attorney did not take the proper precautions to make sure that the lawyer was adequately prepared to carry out the assignment.4(f) prohibits an attorney from asking the witness to refrain from voluntarily giving relevant information to another party. she met with the landlord and disclosed that this would be her first trial. however. 3. she had no obligation to appear. The statute permitted any local public school district with an overcrowding problem to purchase educational services for its students in any other public or private school within fifteen miles. EXAMPLE: A judge has served on a trial court of general jurisdiction for almost three years. EXAMPLE: An attorney represented the plaintiff in an automobile accident case. 39. 1. Several months ago.trial while he was away. 2. the attorney discovered that there was an eyewitness to the accident. Yes. because the attorney asked the witness to leave the jurisdiction. He told her that trials were very difficult for witnesses and suggested that she take the vacation so that she would be unavailable to testify. In this case. since no one had subpoenaed her yet. 38. because the attorney did not ensure that the associate was competent to conduct the trial on her own. She did not believe that she would have enough time to learn everything that she needed to know. because she had not previously worked on any housing cases. Rule 3. needed supervision. The associate had never conducted or observed a trial before and. The attorney told the witness that. but she was reluctant to decline the assignment. he was assigned criminal cases almost exclusively. .

8(g) requires the attorney to obtain the clients’ informed consent. 40.4(a) contains an exception for the sharing of net profits with nonlawyer employees. The attorney allocated the $500. The administrator would be paid a fixed annual salary and would be included as a participant in the firm’s bonus plan on the same basis as the lawyers in the firm. because the judge was permitted to consult about a pending case with another judge. EXAMPLE: An attorney is a senior partner at a law firm in which there are 50 lawyers. Lawyers may not share legal fees with nonlawyers. EXAMPLE: An attorney represented ten plaintiffs in a case against a railroad in which the plaintiffs were injured when a train derailed. Although the briefs submitted by the parties were excellent. The case is now on appeals.9(A)(3). The attorney plans to introduce a new management plan under which the firm’s nonlawyer office administrator would have general charge of all business matters but would not participate in any decisions involving legal judgment. In addition. Rule 1.4(a) as long as the nonlawyer is an employee. 1. 41. The other aspects of the arrangement do not give the administrator an ownership interest in the firm nor any right to control the legal work done in the law firm. because an employee of the firm may be compensated based on the profits of the firm. the judge was not confident that he had a good grasp of the issues in the case.” 1. each lawyer receives a bonus from the profits of the firm in the proportion that the annual salary of each bears to the total of the fixed annual salaries of all lawyers. he took one of his more experienced colleagues on the trial court out to lunch and discussed the case with her in great detail. This would usually yield a bonus of approximately one-fourth to one-third of the administrator’s total annual compensation. thus avoiding any violation of the rule. The railroad offered the attorney a $500. Is the judge subject to discipline? 3. No. at year’s end. including what the other clients will receive.” Comment [13] states that the necessary disclosure includes information about “all the material terms of the settlement. but he agreed with her and eventually ruled in accord with her views. Judges are permitted to consult with other judges in the court about pending cases as long as they do not abrogate their responsibilities to decide the matters and as long as they make reasonable efforts to avoid receiving factual information not part of the record.000 lump sum settlement for the ten plaintiffs. The plan for part of the administrator’s compensation is based upon the net profits of the firm and this arrangement is expressly permitted in Model Rule 5. 2007 CJC 2. Is it proper for the attorney to institute such a plan? 3. Accordingly. 2.000 among the ten plaintiffs with the amount paid each plaintiff dependent on the nature and . The amount paid to the administrator will not exceed the compensation commonly paid to law office administrators within the local legal community. The firm pays each of its lawyers a fixed annual salary. but Rule 5. Yes.2. The colleague was far more conservative than the judge. after disclosing “the existence and nature of all the claims” and “the participation of each person in the settlement.

1. Even when an attorney is an employee of a company. Neither the attorney nor his law firm had represented the company in . the consent of the arbitrators would not cure the conflict. the attorney is required to exercise independent judgment and could not. the amount that the individual would receive. and the basis on which that amount was calculated.1. the lawyer must abide by the client’s decision concerning the objectives of the representation regardless of whether the lawyer is employed or retained.extent of that plaintiff’s injuries. The company has been sued by a consumer group that has accused the company of various acts in violation of its charter. EXAMPLE: An attorney is employed in the legal department of a public utility company and represents that company in litigation. 42. Moreover. it is not frivolous to begin a lawsuit or assert a defense if there is a good faith argument that will support the prosecution or defense.6No. because the company’s defense can be supported by a good faith argument. 2. The company selected the attorney to be on the arbitration panel. The railroad would not settle any of the claims unless all were settled. The company invoked a mandatory arbitration procedure contained in the contract. EXAMPLE: An attorney’s law firm regularly represented a large company in its international business transactions. Through its general counsel. 1. because no individual plaintiff knew the amount to be received by any other plaintiff. it might jeopardize the settlement. as when a lawyer who served as a neutral arbitrator subsequently represents one of the parties in the same matter. Under Model Rule 3. Rule 1. but also believes the case should be settled if possible. Under the arbitration clause. The attorney believed that if she revealed to each plaintiff the amount of each individual settlement. each party was allowed to choose a partisan arbitrator and the partisan arbitrators were to choose an additional arbitrator to sit on the panel. 1. The attorney did not tell any plaintiff the amount to be received by any other plaintiff. 43. however. The attorney reasonably believed the division was fair to each plaintiff. In prosecuting lawsuits that are not frivolous and in defending lawsuits where there is a good faith argument for the defense. 3. for example. The company became involved in a contractual dispute with a foreign government. if the representation was otherwise prohibited.12(d) does not require a lawyer who has served as a partisan arbitrator to obtain the consent of the other arbitrators before representing one of the parties to the arbitration. The attorney told each plaintiff the total amount the railroad was prepared to pay. file a frivolous lawsuit on the company’s behalf. Must the attorney withdraw as counsel in this case? 2. the company has instructed the attorney not to negotiate a settlement but to go to trial under any circumstances because a precedent needs to be established. The attorney believes the defense can be supported by a good faith argument. Yes. Each of the plaintiffs agreed to his or her settlement amount and was satisfied with that amount. Is the attorney subject to discipline for entering into this settlement? 4.

The judge’s conduct on the bench is often the subject of discussion whenever a group of lawyers meets. the communication is misleading and is prohibited by Model Rule 7. The arbitration was completed. a lawyer who has actual knowledge that a judge has committed a violation of the rules of judicial conduct that raises a substantial question as to that person’s fitness for judicial office must inform the appropriate authority. He was successful in enforcing the award. 1. but it does not avoid the misleading implication that the attorney had successfully argued a case to a jury. On more than one occasion. file a request for judicial substitution whenever one of her cases is assigned to the judge. In the commercial. too. Some lawyers are automatically filing requests for judicial substitution whenever a case in which they are to appear is assigned to the judge. The company then hired the attorney to enforce the award. The attorney’s law partners suggested that she. EXAMPLE: A recently graduated attorney began a plaintiffs' personal injury practice.3. the attorney and her law partners discussed the possibility of reporting the judge to the .connection with the contract with the foreign government. The attorney hired an advertising agency to prepare a television commercial in which the attorney appeared to be arguing a case before a jury. Rule 7. As a result. the attorney has noticed that the judge has become increasingly ill-tempered on the bench. 1. the jury brought back a large award for the attorney’s client.1 prohibits false or misleading statements in lawyer advertising. the voice-over disclaimer avoids unjustified expectations regarding the results a client could expect. The attorney’s only experience at the time the commercial was filmed was in moot court. the judge has thrown his gavel across the courtroom in a fit of temper. EXAMPLE:An attorney regularly appears before a trial court judge who is running for reelection in six months. the attorney received several significant cases. he is also rude and abusive to litigants.12(d) expressly permits a lawyer selected as a partisan of a party in a multimember arbitration panel to subsequently represent that party in the same matter. because the attorney was appointed to the arbitration panel as a partisan arbitrator. As a result of airing the commercial. In addition. Although the advertisement does not expressly state that the attorney has successfully tried a case. 2. Over the past year. 45. 2. Is the attorney subject to discipline? Yes because the commercial implied that the attorney had successfully argued a case to a jury. Model Rule 1.1. Although a lawyer who served as a neutral arbitrator would be prohibited from undertaking the representation.000. but was having a difficult time attracting clients. and the company was awarded the sum of $100. No. the communication would lead a reasonable person to believe that. Not only is the judge abrupt and critical of lawyers appearing before him. 44. Additionally. The attorney discussed the matter with her law partners. Is the attorney subject to discipline? 2. who rarely make court appearances. Under Rule 8. The attorney obtained the consent of the other arbitrators before accepting the representation. The voice-over stated that results would vary depending upon particular legal and factual circumstances.

Alpha then wrote her clients. There is an exception when a lawyer seeks legal advice from another lawyer about how to comply with the ethics rules. cmt. Failing to report the judge’s behavior does affect public confidence. Filing requests for substitution of the judge does not excuse the duty to report. adverse to the interests of any of Beta’s own clients. the judge has on more than one occasion thrown a gavel across the courtroom and has been critical of lawyers and rude to litigants. and treat the information in the files as confidential. because Alpha did not obtain the prior consent of each client whose file was delivered to Beta. but it really has nothing to do with public confidence in the judiciary. or could be. a wealthy banker. EXAMPLE: Attorney Alpha. Yes.8(a).6(a) prohibits a lawyer from revealing information relating to the representation of a client without client consent. Is the attorney subject to discipline? 3. Alpha knows that Beta is a competent attorney. provides that a lawyer may not enter into a business transaction with a client unless the transaction is fair and reasonable. Therefore. the . take any action necessary to protect each client’s interests. 1. The attorney consulted one of his clients. 1. 2. but she has taken no further action. Rule 1. and obtaining informed consent. who is also a sole practitioner. Beta did not accept the file of any person whose interests were. No. In this fact pattern. Alpha delivered all of her clients’ files to Attorney Beta. The attorney has reluctantly started filing for substitution of the judge in every one of her cases to which the judge is assigned. such as giving written advice about the desirability of seeking independent legal advice. Rule 1. a sole practitioner. see Rule 1.appropriate disciplinary authority but are concerned that this would alienate the other judges to whom their cases are assigned. EXAMPLE: An attorney decided to obtain a master’s degree in taxation. because the attorney failed to inform the appropriate authorities about the judge’s conduct. 46. [5]. but not to lawyers outside the firm. 47. the lawyer needed client consent. Beta agreed to review each client’s file promptly. but lacked the funds required for tuition and expenses. 1. and unless the lawyer complies with procedural requirements. In general. and that the client was free to select another lawyer. 48. A lawyer may accept a loan from a client as long as the lawyer complies with the requirements of Rule 1. for advice about obtaining a loan. but that exception does not apply here. A lawyer practicing in a law firm is impliedly authorized to disclose client confidences to other lawyers within the law firm. Was it proper for Alpha to deliver the files to Beta for review? 4. recently suffered a heart attack and was advised that she could not return to work for six months.8(a). 3. advising each client that the client’s file had been delivered to Beta for review and for any action necessary to protect the client’s interest. Such behavior crosses the line into conduct that raises a substantial question as to his ability to judge. To the attorney’s surprise.6.

because the attorney did not comply with the requirements for entering into a business transaction with a client. Without further consultation with the client. The attorney’s conduct was not proper. applied for and received several extensions of time to file the brief. Special circumstances that would justify a modification to the agreement would include. The note further provided that if the client died before the note was fully repaid. 3. 52. Although the nature of the work done for clients of the firm is confidential under Rule 1. which the attorney used to obtain his master’s degree. or an unanticipated need to expend much more capital in advance to fund the case. 51. the court ruled that the note was discharged as a gift. because he neglected the defendant’s case.5. Subsequently.6(b)(4) specifically permits statements concerning information obtained in a public record. the appellate court dismissed the appeal for failure to pursue the appeal. Is the sole practitioner subject to discipline? Yes. “lawyers in a firm may. for example. 50.client offered the attorney a personal loan of $10. 53. in the course of the firm’s practice. 4. A defendant’s consent to the agreement did not relieve the sole practitioner of the responsibility of making sure that the appeal was timely filed. The defendant agreed to the arrangement in writing. The attorney mailed the executed note to the client with a transmittal letter encouraging the client to look it over and call with any questions. 49. the attorney prepared and signed a promissory note bearing interest at the current bank rate. 1. The client accepted the note and sent the attorney a personal check for $10. Rule 3. 2.000. Ex parte communications with the judge are prohibited by Model Rule 3. after full consultation. whose conviction was affirmed after the appeal was reinstated. the client was killed in a car accident. A recently admitted lawyer who shared office space with the sole practitioner agreed to write the brief if the sole practitioner would pay him one-half of the statutory fee. A month after the degree was awarded. A third lawyer was later appointed to represent the defendant. a need to add more defendants. EXAMPLE: A sole practitioner was appointed to represent a criminal defendant on appeal. The attorney had not rendered any legal services to the client from the date of the note’s execution to the date of the client’s death. The Model Rules and the law of lawyering require that the lawyer justify any proposed modification to the fee agreement by showing special circumstances. any remaining principal and interest would be forgiven as a gift. disclose to each other information relating to a client of . a change in the nature of the case. The recently admitted lawyer entered an appearance as co-counsel for the defendant and. with the sole practitioner’s knowledge. The note provided for repayment in the form of legal services to be rendered by the attorney to the client without charge until the value of the attorney’s services equaled the principal and interest due. The attorney told the client that he would prepare the required note without charge.6 and generally may not be disclosed to third parties without client consent.000. in an action brought by the client’s estate to recover on the note. Thereafter.

54. because. lawyers may discuss client information with other lawyers in the firm. This rule. 2007 CJC 2. One of the partners mentioned this practice to the corporation’s management. Normally. Model Rule 3. the partners handling the corporation’s work began a practice of giving to all lawyers in the firm. 56. 2. If the client instructs that particular confidential information be disclosed only to particular lawyers in the firm. Judges are permitted to consult with other judges in the court about pending cases as long as they do not abrogate their responsibilities to decide the matters and as long as they make reasonable efforts to avoid receiving factual information not part of the record. 57. . Accordingly.9(A)(2). and the corporation complained that its confidences had been violated. the firm must abide by that instruction. Was it proper for the partners to give detailed descriptions of the work being done for the corporation to other lawyers in the firm? 3. The firm had not previously represented a corporation on an ongoing basis. 55. Yes. a judge may obtain written advice from a disinterested expert provided that the judge gives advance notice to the parties about details of the consultation and the opportunity to object and respond to the advice. however. on a monthly basis. detailed descriptions of the work they were doing for the corporation for the purpose of illustrating what the firm could do for corporate clients. is not applicable to a situation in which a judge consults with another judge in the court. comment [5]. so long as the disclosure does not disadvantage the client. lawyers do not owe a duty to the opposing side of a transaction.9(A)(3). But a lawyer may not make intentional or negligent misrepresentations to a third person. EXAMPLE: A corporation hired a law firm to handle all of its corporate work. 1. Under the 2007 CJC 2.” Rule 1. but decided that it wanted to attract additional corporate clients.6. regardless of client instructions to the contrary. absent client instructions to the contrary. unless the client has instructed that particular information be confined to specified lawyers.6(b)(4) specifically permits statements concerning information obtained in a public record.the firm.