PR RULE AND LAW OUTLINE

PRMC Terminology: 1.0 (a) Belief or believes denotes that the person involved actually supposed the fact in question to be true. A person s belief may be inferred from circumstances. (b) Confirmed in writing, when used in reference to the informed consent of a person, denotes informed consent that is given in writing by the person or a writing that a lawyer promptly transmits to the person confirming an oral informed consent. If it is not feasible to obtain or transmit the writing at the time the person gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. (c) Firm or law firm denotes a lawyer or lawyers in a law partnership, professional corporation, sole partnership or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization. (d) Fraud or fraudulent denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. For purposes of this rule it is not necessary that any damages were suffered or relied on the misrepresentation (the fraudulent act) or if there was failure to inform. (e) Informed consent denotes the agreement by a person to a proposed course of conduct after the lawyer has communicated adequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct. Many rules require informed consent before accepting or continuing representation or a course of conduct. (1.2c, 1.6a, and 1.7b) All requiring appropriate communication 1.4 which will vary in each circumstance. (f) Knowingly, known, or knows, denotes actual knowledge of the fact in question. A person s knowledge may be inferred from circumstances. (g) Partner denotes a member of a partnership, a shareholder in a law firm organized as a professional corporation, or a member of an association authorized to practice law. (h) Reasonable or reasonably when used in reference to a lawyer denotes that a lawyer of reasonable prudence and competence would ascertain the matter in question. (i) Screened denotes the isolation of a lawyer from any participation in a matter through timely imposition of procedures within a firm that are reasonably adequate under the circumstances to protect information that the isolated lawyer is obligated to protect under these rules and other law. Privileges or confidential information or information that is likely to lead to a conflict or a conflict or interest exists. This applies to situations where screening of a personally disqualified lawyer is permitted to remove imputation of conflict of interest under 1.11, 1.12, or 1.18. Must immediately inform the parties that the screening will promptly take place and for what reasons.

(j) Substantial when used in reference to degree or extent denotes a material matter clear and weighty importance. (k) Tribunal denotes a court, an arbitrator in a binding arbitration proceeding or legislative body, administrative agency or other body acting in an adjudicative capacity. A legislative body, administrative agency or other body acts in an adjudicative capacity when a neutral official, after the presentation of evidence or legal argument by a party or parties, will render a binding legal judgment directly affecting a party s interests in a particular matter. (l) Writing or written denotes a tangible or electronic record of a communication or representation, including handwriting, typewriting, printing, photo-stating, photography, audio or video-recording and e-mail. A signed writing includes an electronic sound, symbol or process attached to or logically associated with a writing and executed or adopted by a person with the intent to sign the writing.
Week 1introduction Requirements for the Bar: 1) Graduate from an ABA accredited school 2) Be accepted by the character and fitness 3) Take and pass the bar exam in your state of choice An applicant s BOP: clear and convincing evidence Micro Analysis of character and fitness admission to the Bar: The Rational Connection Test Issue: Do we allow this person admission to this state s bar? Facts/example: In the Mustafa case, a law student steals money form a law school fund, replace it and turns himself in, thinking he did the right thing and should be admitted to the bar. The bar reasoned that they need a passage of time to see the moral character of this person, restitution and remorse. Rule: rational connection test; there needs to be a passage of time, restitution made for the wrong committed and remorse for what they have done and the harm they have caused. Analysis: when examining the applicant s character and history has the person met the 3 prongs of the test. If yes then it is likely their application will be accepted. Week 2 Lawyer regulation and bar admission Rational test: 1) Moral character 2) Time between the behavior and application-restitution 3) Change in applicant-remorse

Good Moral Character: the propensity on the part of the person to serve the public in the licensed area in a fair, honest and open manner. Lawyers take an oath to protect their selves and remind them of what their purpose in the justice system really is. Remember the oath and never lose your line in the blizzard. Within the framework of the rules may difficult issues or professional discretion can arise. Such issues must be resolved through exercise of sensitive professional and moral judgment guided by the basic principles underlying these rules. Rules provide a framework for the ethical practice of law. Week 3 how to ethically market

Advertising and Solicitation 7.1-7.5
7.1 Communication concerning a Lawyer s Services A lawyer shall not make a false or misleading communication about the lawyer or the lawyer s services. A communication is false or misleading if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading. This rule governs all communications about a lawyer s service including permitted advertising. Plain English (7.1) A lawyer must be accurate and truthful about his services and qualifications. A lawyer must disclose material facts that may be unapparent, and to clarify any possible confusion about himself, his services, or the law. Bottom line class notes The test for false and misleading: any material misrepresentation of fact or law or omission of a fact necessary to prevent the statement from being considered on a whole materially misleading. Governs all communication, regardless of the media form of disclosure.

7.2 Advertising* (a) Subject to the requirements of 7.1 and 7.3, a lawyer may advertise services through written, recorded or electronic communication, including public media. (b) A lawyer shall not give anything of value to a person for recommending the lawyers services except that a lawyer may (1) Pay the reasonable costs of advertisements or communications permitted by this rule; (2) Pay the usual charge of a legal service plan or a not-for profit or qualified lawyer referral service. A qualified lawyer referral service is a service that has been approved by an appropriate regulatory authority. (3) Pay for a law practice in accordance with 1.17 (sale of a law practice); and

recorded or electronic contact even when not otherwise prohibited by paragraph (a). Bottom Line class notes You can advertise by any form of media. if: (1) the prospective client has made known to the lawyer a desire not to be solicited by the lawyer. if: (i) the reciprocal referral agreement is not exclusive. if any and at the beginning and . be part of a qualified lawyer referral service and agree to a non-exclusive referral agreement with a lawyer or non-lawyer if the client knows about. or (2) the solicitation involves coercion.3 Direct Contact with Prospective Clients: (a) A lawyer shall not by in person. (b) A lawyer shall not solicit professional employment from a prospective client by written. or (2) has a family.2) Pursuant to rule 7.** All ads must include the name and address of at least one lawyer or law firm responsible for the content. A lawyer may pay reasonable advertising costs. You cannot pay someone to recommend your services except you can pay for advertising and can participate in a legal referral service. Plain English (7. duress or harassment. and does not object to the agreement. (c) Any communication made pursuant to this rule shall include the name and office address of at least one lawyer or law firm responsible for its content.1 (no false or misleading statements) and rule 7. 7. (c) every written. recorded or electronic communication from a lawyer soliciting professional employment from a prospective client known to be in need of legal services in a particular matter shall include the words Advertising Material on the outside envelope. and (ii) the client is informed of the existence and nature of the agreement. (3) a close personal. unless the person contacted: (1) is a lawyer.3 (no in person solicitation for pecuniary gain) a lawyer may advertise his services in public. You can not be a part of a profit seeking program.(4) Refer clients to another lawyer or a non-lawyer professional pursuant to an agreement not otherwise prohibited under these rules that provide for the other person to refer clients or customers to the lawyer . live telephone or real time electronic contact solicit professional employment from a perspective client when a significant motive is pecuniary gain. or (4) has a prior professional relationship with the lawyer. A lawyer may not pay a referral fee.

d. duress or harassment. other lawyers. c. close friend. close personal friends. All communications to prospective clients must be labeled advertising material on the outside of the envelope and at the beginning and ending of any recorded communication unless the prospective clients is a lawyer. faxes. Solicitation is defined as in-person. duress.ending of any recorded or electronic communication. Plain English (7. prior professional relationship w the lawyer. A lawyer may never contact a prospective client who asks not to be contacted. coercion. 7.4 Communication of fields of Practice and Specialization (a) A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. close relationship to lawyer. A lawyer may directly contact. or if the solicitation involves coercion. Proctor in Admiralty or a substantially similar designation.3) The general rule is that solicitation is not permitted. Every written. or harassment. b.a lawyer may participate w/ a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses in-person or telephone contact to solicit memberships or subscriptions for the plan from persons who are not known to need legal services in particular matter covered by the plan. or former client. family member. or electronic solicitation must include the words advertising material. live telephone. (d) Notwithstanding the prohibition in paragraph (a). Sams Club Bottom line class notes This rule prohibits direct person to person. a. A lawyer may sign up for lawyer referral service programs. and e-mail are allowed and not considered solicitation Text message is not allowed). live telephone. recorded. (b) A lawyer admitted to engage in patent practice before the Us Patent and Trademark Office may use the designation patent attorney: or substantially similar designation. family members. However a lawyer may not contact the exceptions if the parson asks the lawyer to stop or the contact involves. or real time electronic solicitation. if the lawyer or the lawyer s firm does not run the program itself and the program does not engage in direct solicitation of prospective clients only members of the program. close friend. EX. or real-time electronic contact with a prospective client for pecuniary gain unless the prospective client is a lawyer. unless the recipient of the communication is a person who is a lawyer. or former client (written communications. and former clients. when the significant motive behind the contact is the lawyer s pecuniary gain. (c) A lawyer engages in admiralty practice may use the designation Admiralty. (d) A lawyer shall not state or imply that a lawyer is certifies as a specialist in a particular filed of law unless: . family member.

A lawyer may communicate the areas of law he/she does or does not practice in. The lawyer is certified by an organization that is accredited by the ABA.4) Communication of Fields of Practice Reason: Allows lawyers to appropriately advertise their fields of practice to potential clients. A trade name may be used by a lawyer in a private practice if it does not imply a connection with a government agency or with a public or charitable legal services organization and is not otherwise in violation of 7. letterhead or other professional designation that violates 7. (a) A lawyer may say he/she is a specialist in patent law or admiralty law. if it is not false and misleading (rule 7. and (2) The name of the certifying organization is clearly identified in the communication.(1) The lawyer has been certified as a specialist by an organization that has been approved by an appropriate state authority or that has been accredited by the ABA. of in communication on its behalf.1. They have been certified as a specialist by an organization approved by an appropriate state authority. however an attorney may not claim to be a specialist unless they are actually certified by an approved and recognized certifying organization and the organization is listed in the ad. (b) A lawyer may NOT state or imply that they are certified as a specialist in a particular field of law unless.1). or 2.5 Firms Names and Letterheads: (a) A lawyer shall not use a firm name. 7. . The certifying organization is clearly identified in communication by the lawyer Bottom line class notes A lawyer may advertise their field of practice. but identification of the lawyers in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located. (c) The name of a lawyer holding a public office shall not be used in the name of a law firm. Plain English (7. A departing lawyer may solicit firm clients only on matters the lawyer worked actively and substantially (on and for) and only after the lawyer has left the firm or after the lawyer has adequately and timely informed the firm of an intent to contact clients for that purpose.1 (b) A law firm with offices in more than one jurisdiction may use the same name or other professional designation in each jurisdiction. during any substantial period in which the lawyer is not actively and regularly practicing with the firm. 1. (d) Lawyers may state or imply that they practice in a partnership or other organization only when that is the fact. An attorney may claim to specialize in a particular field however the claim cannot be false and misleading as defined in 7. **So basically you can call your firm whatever you want as long as it is not misleading or untruthful. and 3.1.

letter head or other professional designations. He must be actively practicing with the firm.5 In general a lawyer may not use false or misleading firm name. In private practice a trade name may be used as long as it is not false or misleading. 8. *Every time a lawyer violates a rule of PC there is a violation of rule 8. deceit or misrepresentation. A firm with offices in multiple jurisdictions can use the same name in all jurisdictions as long as the lawyers working at each office are clearly identified along with any jurisdictional limitations on their ability to practice.4 Misconduct It is professional misconduct for a lawyer to: (a) violate or attempt to violate the rules of PC. A departing lawyer may solicit firm clients only on matters the lawyer worked actively and substantially and only after the lawyer has left the firm or after the lawyer has adequately and timely informed the firm of an intent to contact clients for that purpose. (d) engage in conduct that is prejudicial to the administration of justice. and does not imply a connection w/ a government agency or public or charitable legal service agency.4 misconduct. knowingly assist or induce another to do so. Lawyers may only state or imply that they practice in a partnership or other organization when this is a fact. (c) engage in conduct involving dishonesty. . (e) state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the rules of PR or other law. or do so through acts of another. Bottom line class notes The firm name rule: A lawyer may use any firm name that is not false or misleading including trade names as long as it does not imply a connection with a government agency or public or charitable legal services or organization. (b) commit a criminal act that reflects adversely on the lawyer s honesty. but the law firm must mention where each attorney is actually licensed to practice. you either are in a partnership or you are not. The name of a lawyer holding a position in office may not be included in the firm name during any period that the lawyer is not regularly actively practicing with the firm. The no make believe rule. trustworthiness or fitness as a lawyer in other respects. A lawyer holding public office may not be included in the name of the firm regularly practicing with the firm. In a partnership a lawyer may state or imply that he practices in a partnership or other organization only if it s true.Plain English 7. or (f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules or judicial conduct or other law. fraud. A lawyer s with additional officers in different jurisdictions may use the same name for each office.

competence doesn t require experience 2. Plain English 1. *A lawyer s work should be controlled so that each matter can be handled adequately Type of matter: do you have the time to properly handle this matter. A lawyer must also act with commitment and dedication to the interests of the client and with purpose of advocating upon the client's behalf. however. thoroughness and preparation reasonably necessary to provide proficient representation to a client.1 Competence A lawyer shall provide competent representation to a client. Type of matter: do you have the competency to handle this matter? Bottom line class notes Do not accept a matter UNLESS you are qualified to handle it or can associate with someone who has the requisite knowledge and expertise for the case.3 Diligence Model Rule: A lawyer shall act with reasonable diligence and promptness in representing a client. reasonable preparation may render you competent Plain English (1. A lawyer is not bound.Week 4 attorney client relationship 2 things to consider in deciding whether to accept a case: 1) type of matter 2) the client 1.look at slides 1. Competent representation requires the legal: The test do you have the following to handle this matter? 1) 2) 3) 4) Knowledge Skill Thoroughness and Preparation reasonably necessary for the representation. skill.3 Diligence A lawyer shall act with reasonable diligence and promptness in representing a client. to press for every advantage that might be realized for a client . 1. Is the lawyer competent to handle the matter? Standard: the required proficiency is usually that of a general practitioner although expertise in a particular area .1) A lawyer must have the legal knowledge.

which included a good faith argument for an extension. 1. If you are not going to serve as someone s attorney send a non-engagement letter so there is no doubt. without cause. If withdrawal would be prejudicial or unfair or would waste judicial resources or cause undue delay withdrawal is generally not permitted. General rule a lawyer may not quit the representation at will. modification or reversal of existing law.16 -the client is acting in bad faith A client can fire his attorney at any time. attorney makes sure that a competent colleague will take of his/her duty. 3. Plain English 3. a good faith basis in law and fact). Once you agree to represent someone or give legal advice an attorney client relationship is formed.Lawyer s client relationship ends as the lawyer task is completed -Whether the lawyer is obligated to prosecute the appeal for the client depends on the scope of the representation the lawyer has agreed to provide to the client .A lawyer's work load must be controlled so that each matter can be handled competently .. In a criminal case a lawyer may require that the state meet its burden of proof for each and every element of law.1 Meritorious claim and contentions The rule 11 of PR Type of matter: does the claim have merit? A lawyer shall not bring or defend a proceeding or assert or controvert an issue therein unless there is basis in law and fact for doing so that is not frivolous.At the time of attorney s death. A lawyer in a criminal matter may defend so as to require that every element of the case be established.8 Conflict of Interest A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership. Bottom line class notes To create an attorney client relationship all you need is an oral agreement or legal advice being given to a prospective client.1: The rule states that a lawyer shall not bring or defend a case or claim that lacks merit (i. A lawyer may withdrawal when: -there is no client prejudice -when withdrawal is required under 1. Once fired an attorney is owed the reasonable fee for the services rendered quantum meruit. security or other adverse transaction to the client unless: 1. possessory. The transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client: .e.

The client gives informed consent. When a clients capacity to make adequately considered decisions in connection with a representation is diminished. that they need to seek independent counsel on the settlement. Settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith. Lawyers are not allowed to settle a claim of limited liability with an unrepresented client or former client without first advising that person. mental impairment or for some other reason. Plain English (1. (2) The client is given a reasonable opportunity to seek independent advice about the transaction. Lawyers are not allowed to make agreements that limit their liability to their clients in advance of representation. possessory. the lawyer shall.8) h Transactions.2. The general rule is that an attorney cannot enter into a business transaction with a client or knowingly acquire an ownership. 1. whether b/c of minority. (3) And the client consents to the transaction in writing. to the essential terms of the transaction and the lawyer s role in the transaction. (h) A lawyer shall not: 1. (h) Limiting Liability. The client is advised in writing if the desirability of seeking and is given a reasonable. OR 2. in writing. Make an agreement prospectively limiting the lawyer s liability to a client for malpractice unless the client is independently represented in making the agreement. in writing signed by the client. The exception to this rule is: (1) A lawyer may enter into a business transaction with a client if the terms are fair and reasonable to the client and are fully disclosed to the client in a way that the client can reasonably understand. including whether the lawyer is representing the client in the transaction.14 Client with diminished Capacity a. security or other pecuniary interest adverse to a client. . maintain a normal client-lawyer relationship. opportunity to seek the advice of independent legal counsel in and on the transaction. as far as reasonably possible. The only way a lawyer can do this is if there is a law permitting it and the client is advised to make the agreement through independent counsel. and 3.

When taking protective action pursuant to paragraph (b) the lawyer is impliedly authorized under 1. or representative to make decisions for the client (c) Confidentiality²the attorney client confidentiality still stands. agent. y Normal relationship²assume that when advised the client is capable of making decisions y Should still treat client with respect even though client has diminished capacity y Diminished capacity²a lowered ability on the clients part to make logical. Information relating to the representation of a client with diminished capacity is protected by 1. seeking the appointment of a guardian ad litem.14 Diminished capacity: (a) A lawyer should try if possible to keep a normal relationship with the client even when the client has diminished capacity. conservator or guardian.b. c. financial or other harm unless action is taken and cannot adequately act in the clients own interest the lawyer may take reasonably necessary protective action to protect the client and in appropriate cases. can only reveal information that is privileged if the lawyer reasonably feels is necessary y Disclosing the diminished capacity could harm/prejudice client y Could lead to involuntary commitment . maybe seeking a guardian be appointed y Consulting family members y Durable power of attorney y Support groups/protective agencies y Harm to client² y Physical harm y Financial harm y Emergency legal assistance²if threatened with imminent and irreparable harm lawyer can take action on behalf of client even though client is unable to make decisions y The lawyer must reasonably believe that the client has no other y Lawyer. is at risk of substantial physical.6 (a) to reveal information about the client but only to the extent reasonably necessary to protect the clients interest. When the lawyer reasonably believes that the client has diminished capacity.6. Plain English1. well thought out or ³adequately considered´ decisions regarding representation y Lacks sufficient capacity to communicate y What constitutes diminished capacity? y Minority y Mental impairment y Other reason that client cannot make rational decisions y (b) The lawyer can take reasonable protective action if the lawyer reasonably believes that the client¶s µdiminished capacity¶ will cause some form of harm to the client without protective action y Protective action²consulting people who could assist the client.

or 7. he should try to withdraw b/c it would result in him violating the competence rule! A conflict of interest could also arise when this rule is used in a fact pattern. Mandatory Withdrawal. **An attorney cannot quit representation at will (1. Upon termination of representation. Other good cause for withdrawal exists. a lawyer shall continue representation notwithstanding good cause for terminating the representation. 3. Withdrawal can be accomplished w/o material adverse effect on the interests of the client. except as stated in c. d. Except as stated in paragraph (c). Duties Upon Termination. 5. The lawyer may retain papers relating to the client to the extent permitted by law. The lawyer s physical or mental condition materially impairs the lawyer s ability to represent the client. Permissive Withdrawal: A lawyer must comply w/ applicable law requiring notice to or permission of a tribunal. however he can be fired at any time. The representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client. b. c. 2. the client persists in the course of action involving the lawyer s services that the lawyer reasonably believes is criminal and fraudulent. surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has been earned or incurred. If. Because if the clients need the documents to finish the his case with a different attorney the lawyer must release the documents. The client fails substantially to fulfill an obligation to the lawyer regarding the lawyer s services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled.1 Competence).y y Cannot disclose unless has authorization to disclose In emergency circumstances should only disclose to the extent necessary to accomplish the intended protective action 1. 6. allowing time for employment of other counsel. such as giving reasonable notice to the client.3 Due Diligence). If the attorney takes a new type of case and gets in over his head. a lawyer may withdraw from representing a client if: MAY 1. The representation will result in violation of the rules of professional conduct or other law. a lawyer shall take steps to the extent reasonably practicable to protect a client s interest. The client has used the lawyer s services to perpetrate a crime or fraud 4. The lawyer is discharged. . OR 3. The client insists upon taking action that the lawyer considers repugnant or w/ which the lawyer has a fundamental disagreement-conflict of interest. a lawyer shall not represent a client or. where representation has commenced shall withdraw from the representation of the client if: MUST 1. or 2. This rule ties in great with (1.16 Declining or Terminating Representation a.

Duties of competence and Diligence Plain English (1. 2) A lawyer shall not represent a client if the lawyer is physically or mentally impaired. Ie. Therefore in order to not violate competence and diligence the lawyer must continue to actively work on the client s case until the judge grants the application for withdraw. ie if the client is using the lawyer-client relationship to further an account that will defraud someone else or that will be criminal. Proximity to trial 3. Reasons given for withdrawal. You fees must be reasonable and at no time are you to lay out money for the client or use another client s money in another client s case. 4) The client is refusing to follow your advice or there exists a fundamental disagreement regarding the course of action. And you have given the client sufficiently and timely notice that withdraw is the consequence of the clients refusal to pay. 3) The client has used the lawyer s services to perpetrate a crime or fraud. Ability of client to obtain new counsel 5. D) When withdrawing. not of the lawyer s making. Civil or criminal trial 2. You cannot allow the client s case to suffer as a result during or after removal of the disability. A lawyer must continue the representation in case the court denies the lawyer s application for withdraw. A client can fire a lawyer at anytime. B) Optional Withdrawal: A lawyer may withdraw if: 1) The client and or case is not prejudiced by the withdraw. But you cannot let the clients representation languish in the intermin. as seen in the automobile case. The client refuses to pay your fee or put money in escrow. The client refuses to acknowledge your advice or disagrees with fundamental and significant advice that you believe is beneficial to the case. depending on factors like: 1.16) A) Mandatory Withdrawal: A lawyer must withdraw or not take a client if: 1) A lawyer shall not represent a client. 6) The representation would result in unreasonable financial burden. court approval is required before an attorney may withdraw. Ie. 2) The client persists in conduct that is criminal or fraudulent. a lawyer must take all reasonable steps to protect the clients interests. Complexity of case 4. allowing them sufficient time to obtain another lawyer. if: the representation of that client would result in a violation of a rule of professional conduct or other law. meaning the lawyer s ability to represent the client is compromised. C) If the matter is in litigation. or generally refusing to cooperate in the matters of their case. or if the representation has started must withdraw.The court may not let the attorney withdraw. 3) You cannot represent the client if they fire you. 7) A lawyer may seek permissive withdraw from a judge when he can show good cause. If you do have some type of disability that temporarily impairs you from representing your client once the disability is removed you may represent the client. Though a lawyer is expected to proceed with the clients wishes they are not expected to commit or do things that they reasonably believe will hurt or prevent a successful representation of the client s case. 5) The client fails to submit essential evidence. refunding any . like giving the client reasonable notice. Once a lawyer is fired issues of fee s may arise a lawyer is only awarded quantum meruit for the services he has rendered up to being fired. Prejudice to remaining parties 6. or information relating to the case.

or assert or controvert an issue therein. may nevertheless so defend the proceeding as to require that every element of the cause be established.unreasonable fees and returning their file and property unless the lawyer is entitled to retain them under other law. unless there is a basis in law and fact for doing so that is not frivolous. which included a good faith argument for an extension.1) A lawyer shall not bring or defend a case or claim that lacks merit. -you are fired/discharged You may withdrawal when: -there will be no material adverse affects to the client. 6. modification or reversal of existing law. Bottom line class notes you must withdrawal when: -the representation will result in a violation of RPC or other law. -the client fails to fulfill an obligation -the representation will result in an unreasonable financial burden or has been rendered unreasonably difficult by the client. when a lawyer is aware of his client guilt he simply may require that the state meet its burden of proof for each and every element of law. -the client is refusing to follow your advice or there exists a fundamental disagreement. -the client persists in conduct that is criminal or fraudulent -the client has used the lawyer service to perpetrate a crime or fraud. or the respondent in a proceeding that could result in incarceration. Does the matter have merit? The rule 11 of PR: i) cannot bring a frivolous claim ii) attorneys are liable for malicious prosecution if they pursue a suit after discovery reveals to viable claim iii) Rule 11 sanctions if you file a frivolous claim Plain English (3. 3.1 Voluntary pro Bono Service/ indigent representation . The lawyer may insure the state does its part and proves beyond a reasonable doubt the clients guilt but the lawyer may not manipulate or falsely bring a claim to defend a guilty client. you must comply with applicable law. -a physical or mental condition materially impairs your ability. or When seeking to withdraw from representation. A lawyer shall not bring or defend a proceeding. In a criminal case.1Meritorious Claims and Contentions. A lawyer for the defendant in a criminal proceeding. Ie there must be a good faith belief the claim has a good basis of law and fact.

In fulfilling this responsibility. civic. Cause or client is so repugnant to the lawyer that it would impair the client/lawyer relationship or the lawyer s ability to represent the client.2 Accepting Appointments A lawyer cannot seek to avoid appointments by a court to represent a person except for good cause such as: a. Mandatory statutory fees do not count for this rule BUT they should be donated upon collection. 2) Delivery of legal services at substantially reduced fees to people of limited means. **This rule is not intended to be enforced through discipline. they aren t popular Plain English (6. Representation would result in unreasonable financial burden. and b. the lawyer should: a. Provide a substantial majority of the 50 hrs of legal services w/o fee or expectation of fee to: 1) people of limited means. 3) Or participate in activities for improving the law. c. In addition. legal system. Representation is likely to result in a violation of rules or other law. educational organization-which address needs of persons of limited means.1) Part of the 50 hours may include activities which improve the law or profession. you know they are guilty 2. 6. etc. the legal system or the legal profession. Provide additional Services through: 1) Delivery of legal services at substantially reduced or no fee for civil rights. community. religious. b. or profession. Uncollected fees which would have been charged do not count for 'free services'.Every lawyer has a professional responsibility to provide legal services to those unable to pay. 2) charitable. a lawyer should voluntarily contribute financial support to organizations that provide legal services to persons of limited means.2) A lawyer cannot refuse to represent a person except if: . Attorneys should donate to organizations that provide free or reduced-rate legal services and participate in activities for improving the law.) Plain English (6. (some states may require this. governmental. A lawyer should aspire to render at least 50 hrs of pro bono services/yr. (aka a conflict of interest) Not a good cause: 1. where payment of legal fees would significantly deplete their economic resources or would otherwise be inappropriate. Here is a summary of the important parts of the comment following the rule: Pro Bono Publico= uncompensated legal services for the public good States might have a greater hour requirement Reason for the rule is the critical need for these types of services Intent at the outset of taking on a free or reduced-rate case must be to provide the services for free.

If you are not taking the person as a client and creating a lawyer-client relationship you must inform the person that you are not acting as an attorney therefore there is no lawyer/client privilege between the two and you and what he tells you does not have to be kept confidential.a) The representation violates a rule of professional conduct or other laws. You must inform the other organization member 8. knowingly assist or induce another to do so. b) The representation would result in undue financial hardship to attorney. . No one believes that your client s beliefs are your own so you have to have a damn good excuse not to represent that client.3) A lawyer can serve as director.4 Professional Misconduct It is professional misconduct for a lawyer: a. not of the attorney s making. Ex terrorists from 9/11 a few attorney s offered to represent them however many would just not be able to fairly do so. no lawyer-client relationship exists. or c) The client or cause is so repulsive. A lawyer may ask are you coming to me for legal advice to you plan on hiring me to handle this legal matter. Violate or attempt to violate the rule s of PR conduct. Yes okay proceed. so long as« a) Any decision the lawyer participates in does not interfere with the lawyer¶s obligation to a client b) Decisions do not adversely affect the interest of the organization and/or its clients. If you are looking at the client that was appointed to you and wishing he would lose he is not someone that attorney should be representing. even if the organization represents clients adverse to a client of the lawyer. A lawyer may remain in the organization actively if the organization may benefit the client¶s position in the matter. However the lawyer must inform the member and seek the consent in continuing. A lawyer may not continue active participation in the organization if the organization is dealing with a matter that could adversely affect the client¶s position. who may have an interest adverse to a client of the lawyer. that it impairs the lawyer s ability to represent the client. So repugnant! ** Unpopular client or indigent client= Not for good cause to refuse representation. officer or member of a legal services organization (apart from the firm where they practice).7) A lawyer is responsible to follow the rules of professional conduct if they perform law-related services that are not distinct from the lawyers practice or are provided by a separate entity which the lawyer is a part of. Not good cause would be: -person or persons cause is unpopular -influential members of the community or other clients oppose your involvement -you believe the person is guilty (unless the feelings are so impaired that it will affect representation) Plain English (5. A lawyer must take reasonable steps to assure clients that the services provided are not legal services. Plain English (6. or do so through the acts of another. Example the Michigan no fault policy if you are a member and voting on the statue knowing if will benefit your clients case greatly if the statute is passed.

Fees charged in the locality for similar representation 4. Always attach 2 conditions: 1) your receipt of a retainer fee 2) and your receipt of the fee agreement with the clients signature No matter what fee you use it must be reasonable!!!!!!!! Retainer Agreements 1. Knowingly assist a judge or judicial officer in conduct that is a violation of applicable ruels of judicial conduct or other law. State or imply an ability to influence improperly a government agency official or to achieve results by means that violate the PR conduct or other law. or misrepresentation. Time limitation imposed by client 6. Agreements to perform legal services: -Are preferably in writing -if the client is a returning client you are not obligated to re-communicate the rate of your fees unless they have changed -Best practice.5 Fees a. Amount of time involved and the results obtained 5. trustworthiness or fitness as a lawyer on other respects. Engage in conduct involving dishonesty. Week 5 How to sign up the client. fraud. The factors to consider in determining reasonableness of a fee include: 1. The nature and length of the professional relationship with the client . ethical and legal. Time and labor required. or f. Likelihood of unavailability for other clients 3. c. A lawyer shall not make an agreement for. e. the novelty and difficulty of the questions involved and the skill requisite to perform the legal service properly 2. d.b. charge or collect an unreasonable fee or an unreasonable amount for expenses. Commit a criminal act that reflects adversely on the lawyers honesty. have the client sign the fee agreement or retainer letter. Elements of a good fee agreement: -in writing -terms are clear and concise -in plain English -no unethical or illegal terms Unethical/illegal provisions -usurious interest rates on overdue fees -impermissible conflict waivers -impermissible liability waivers-civil and disciplinary -impermissible waiver of the requirement to keep property separate You will have the burden of establishing that the agreement is reasonable. Engage in conduct that is prejudicial to the administration of justice. deceit.

(c) A contingent fee agreement: . novelty and difficulty of the matter. The agreement must clearly notify the client of any expenses for which the client will be liable whether or not the client is the prevailing party. Whether the fee is fixed or contingent b. preferably in writing. ****c. (3) What other lawyers in the area charge. and 3. preferably in writing.(Can charge contingency for collecting domestic payments in arrears) e. The total fee is reasonable. outcome of the matter and award paid to the client. (5) Any time limitation imposed by the client or the circumstances. upon termination of the representation to refund any advance payment of fee. . before or within a reasonable time after commencing the representation. except when the lawyer will charge a regularly represented client on the same basis or rate. and y The basis or rate of the fee (and how the client will pay the expenses). Plain English (1. (8) Whether the fee is fixed or contingent (b) The lawyer must tell the client.that has not been earned Note that partnership law allows for payment to the estate. (4) The amount involved and the results obtained. 5. You can be fired at any time and found to be not entitled to the money and may only receive quantum meruit for the services rendered. if the partner should pass away. child support. Contingency fee must be in writing and signed by the client at the beginning of the representation. 2. including the share each lawyer will receive. reputation. and ability of the lawyers performing the services 8. The experience. of a dead partner for his share of the partnership or money for a cause he worked on.5 prohibits an unreasonable fee while 1. (6) Whether the client is a new or existing client. Factors to be considered in determining reasonableness are: (1) Time and labor required. whether expenses deducted before or after the fee. .5) a) Fee must be reasonable.4 Be very careful of lawyers who start spending money before it is earned. reputation. (2) Whether the lawyer will have to turn away work to handle the matter. you must have a second writing at the end of the case detailing the fee and how it was calculated. alimony or criminal matters a lawyer shall not take a personal stake in a criminal matter. Must be in writing and signed by the client! ****d. before or within a reasonable time after taking the case: y The scope of the representation. No contingency fees for domestic relations matters or divorce. and ability of the lawyer. Any changes in the basis or rate of the fee or expenses shall be communicated to the client. Specifying how the fee is calculated based on what events. and skill required.7. what % goes to attorney. and the agreement is in writing.6 requires the lawyer. The client agrees to the arrangement. (7) The experience. The scope of the representation and the basis or rate of the fee and the expenses for which the client will be responsible shall be communicated to the client. *1. It is proportional to the service rendered or each party assumes joint responsibility in. Fee sharing by attorneys not in the same firm is not allowed UNLESS: 1.

security or other pecuniary interest adverse to a client. and o Provisions for the treatment of expenses. possessory. security or other pecuniary interest adverse to a client unless: 1.7 and 1.8)e Conflict of Interest: Current Client. and y The total fee is reasonable. 1. The transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client: 2. 3.8 Conflict of interests (Current Clients) A lawyer shall not enter into a business transaction w/ a client or knowingly acquire an ownership. A lawyer may advance court costs and expense of litigation. including whether the lawyer is representing the client in the transaction. The client is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in and on the transaction. y Criminal matters (e) Splitting Fees with Other Lawyers. Lat the client know that though we may not prevail in case there are still costs that are incurred and they will be held accountable for the costs. possessory. except that: 1. Upon completion of the matter. You may not allow your personal interest to interfere with your professional judgment. and 2. (a) Transactions. (d) Contingent fees are prohibited in: y Pre judgment divorce matters (a fee cannot be contingent upon securing a divorce or on obtaining entitlement to alimony. support. A lawyer cannot split fees with other lawyers not in the same firm unless: y Each lawyer is paid according to the work they performed. You must advise the client of the fact of alternative fee arrangements and you may not impose a contingency fee on a client who desires another arrangement. property. including the percentage of recovery that will go to the lawyer as the fee. And the client gives informed consent. The general rule is that an attorney cannot enter into a business transaction with a client or knowingly acquire an ownership. y y y 1. in writing signed by the client. or custody. to essential terms of the transaction and the lawyer s role in the transaction. A lawyer representing an indigent client may pay court costs and expenses of litigation on behalf of the client.Must be in writing Must be signed by the client and Must set forth: o The method for determining the fee. The exception to this rule is: . the lawyer must give the client a written statement detailing the distribution of the money between the client and lawyer and how it was calculated. the repayment of which may be contingent on the outcome of the matter. Plain English (1. y The client has agreed in writing to the arrangement.8 conflict of interests. (e) A Lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation.

An example would be an insurance company paying you to represent their insured client. A lawyer shall not practice w/ or in the form of a professional corporation or association authorized to practice law for a profit. b. A lawyer or law firm shall not share legal fees with a non-lawyer. An agreement by a lawyer with the lawyers firm. except that: 1. pay to the estate or other representative of that lawyer the agreed upon purchase price. d. pay s the lawyer to render legal services for another to direct or regulate the lawyer s professional judgment in rendering such legal services. There are 2 types of liens: 1) charging lien-only applies to judgment proceeds the lawyer has done for the client. 2) retaining lien-a lien to retain clients file or property. A lawyer shall not permit a person who recommends. 7% max confirmed in writing and 5% agreed orally. even if you have not been paid. if: . When it may prejudice the clients interest you may not retain files or documents. (1) Lawyers may pay court costs and other expenses of litigation on behalf of the client in advance and then make the repayment contingent on the outcome of the case. or disappeared lawyer may. There are two exceptions to this rule.17 (sale of a law practice). A lawyer shall not form a partnership with a non-lawyer if any of the activities of the partnership consist of the practice of law. 5. to the lawyers estate or to one or more specified persons.4 Professional Independence of a Lawyer a. 2. keeping in mind that you must take steps to the extent reasonably practicable to protect your clients interest. (2) Lawyers representing indigent clients may pay court costs and litigation expenses on behalf of the client. partner or associate may provide for the payment of money over a reasonable period of time after the lawyers death. and 3. A lawyer or law firm may include non-lawyer employees in a compensation or retirement plan. pursuant to the provisions of 1. (e) Giving Money to Clients. and 4. c. (6) And the client consents to the transaction in writing. (5) The client is given a reasonable opportunity to seek independent advice about the transaction..(4) A lawyer may enter into a business transaction with a client if the terms are fair and reasonable to the client and are fully disclosed to the client in a way that the client can reasonably understand. You may charge interest. A lawyer who purchases the practice of a deceased. The general rule is that lawyers cannot provide financial assistance to a client in connection with or during the course of litigation. retained or recommended employment of the lawyer in the matter. disabled. employs. It is a lien against any $ that may come into attorney¶s hand as a result of a judgment. A lawyer may share court-awarded legal fees w/ nonprofit organization that employed. even though the plan is based in whole or in part on a profit sharing arrangement.

2. *Above all fee must be reasonable! Plain English (5.17 Sale of a Law practice A lawyer or a law firm may sell or purchase a law practice. is sold to one or more lawyers or law firms. If a client cannot be given notice. A non-lawyer is a corporate director of officer thereof or occupies the position of similar responsibility in any form of association other than a corporation. The seller may disclose to the court in camera information relating to the representation only to the extent reasonably necessary to obtain an order authorizing the transfer of the file. if the following conditions are satisfies: (a) the seller cease to engage in the private practice of law.17: The Sale of a Law Practice In order for a lawyer to sell his practice or part of his practice. [in the geographic area] in the jurisdiction a jurisdiction may elect either version in which the practice has been conducted. the following restrictions must be followed: The seller must stop practicing privately in the geographic or the jurisdictional area where the practice . if: a) A non lawyer owns an interest in the organization (except for the administrator of a deceased attorney¶s estate) b) The non lawyer hold an executive position in the association other than a corporation c) A non lawyer can control the lawyer¶s professional judgment 1. except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration. A non-lawyer has the right to direct or control the professional judgment of a lawyer. b) Agreement to purchase a deceased or disabled lawyer¶s legal practice. the representation of that client may be transferred to the purchaser only upon entry of an order ao authorizing by a court having jurisdiction. including good will.17. including the good will associated with it. 1) the proposed sale. (d) The fees charged to clients shall not be increased by reason of the sale. c) Profit sharing plan with non-lawyer employees. 2) A lawyer must not form partnership with a non lawyer if the partnership involves the practice of law 3) A lawyer must not allow a non lawyer paying the lawyer¶s fee to direct or control how the lawyer handles the client¶s matter. except for an: a) Agreement by a law firm to pay earned fees to the estate of a deceased member of the firm.profit organization that helped in the case. Rule 1. or the entire area of practice. or an area of law practice.1. 2) the clients rights to retain other counsel or to take possession of the file. 4) A lawyer may not be part of a professional corporation or association authorized to practice law for profit. (c) the seller gives written notice to each of the sellers clients regarding. and 3) the fact that the client s consent to the transfer of the clients files will be presumed if the client does not take any action or does not otherwise object w/in 90 days of receipt of the notice. or in the area of practice that has been sold. (b) the entire practice. not linked to a specific case: d) Agreement to pay court awarded fees to any non. A non-lawyer owns any interest therein.4) Professional Independence of a lawyer 1) A lawyer or law firm must not share legal fees with a non lawyer. or 3. pursuant to rule 1.

the seller may give to the court. The selling lawyer must notify all of his clients that (a) there is a proposed sale. Fee Arrangements: The sale may not be financed by increasing fees. If it is not possible to notify the client. and (c) if the client does not indicate objection to the sale within 90 days then their consent to the sale will be assumed. These include. (The jurisdiction is free to apply either restriction) The entire business must be sold. This protects the little clients Client Confidences and Consent Notices: Purchasers require consent from the client before confidential information can be shared. A lawyer is not in violation of this rule if his return to practice is for a private business.was located. Lawyers may only sell their practice for a reasonable value. (b) the client can seek legal services somewhere else or come and get the file. the court will consider the surrounding circumstances to justify issuing a court order to transfer the file. Other applicable Ethical Standards: Under this type of transaction. It must be written. but are not limited to. Unless the lawyer charged more at his previous office he may not increase due to the money put out for the purchase. It is not a violation if some of the clients decide to leave. he must remain active in the practice and not accept any more clients of the same type that were sold. The client must also be given the identity of the purchaser. or charity. competency. the sale cannot cause an increase in the client s fees. The buyers can be a group of lawyers or firms. The purchaser must stick to all of the existing agreements. When the practice is sold. If this happens. . And is not foreseeable but cannot be in the area of the practice sold. This rule is satisfied if the selling lawyer moves far enough away where he is not in the same State. and withdrawing partners may also. All the clients rights will survive the sale they will be awarded the same client/lawyer relationship they had with the lawyer who sold his or her practice. informed consent. Termination by the Selling Lawyer: The lawyer has satisfied the requirement above when he makes his entire practice available for sale. This will include determining what is in the client s best interest as well as how diligent the attempts to contact the client were. all clients must be included in the sale. or a single lawyer or firm. or far enough away in the same large state where it is basically accomplishing the same. If a lawyer is selling part of his practice. the lawyer buying the firm may seek a court order transferring the representation (the file) of the client from the selling lawyer to the purchasing lawyer. When a client cannot be contacted for notification. Additional clarification: The practice of law is a profession and clients are not cattle. Also a lawyer may return back to private practice if there are unforeseen circumstances. Furthermore. Sale of the entire area of practice: To satisfy the requirement that the entire practice must be sold. the purchaser must accept all the clients. confidentially. the lawyers must follow the same ethical rules observed when multiple lawyers are involved in a case. and the sale must be completed. government agency. only the information necessary to obtain the order.

does not mean that the lawyer supports the client¶s political. In a criminal case. b) Just because a lawyer represents a client. economic. even by appointment. d. A lawyer s representation of a client. A lawyer may take such action on behalf of the client as impliedly authorized to carry out the representation.4(communication). A lawyer may limit the scope of representation if the limitation is reasonable under the circumstances and the client gives informed consent. the lawyer can limit the services involved in the representation. a lawyer shall abide by a client s decisions concerning the objectives of representation. c) If a client agrees after talking to his lawyer. whether to waive a jury trial. a lawyer must follow his client¶s decisions about the goals of his representation and must discuss with the client how the goals will be achieved. in conduct that the lawyer knows is criminal or fraudulent. However. A lawyer shall abide by a client s decision whether to settle a matter. and whether or not the client will testify. Subject to c and d. A lawyer must follow his client¶s decision to accept or decline a settlement offer in a civil case. missing. or assist a client. If it is required by a tribunal in which a matter is pending to get approval of the substitution of the purchaser. social or moral views or activities.2) Scope of Representation a) While following paragraphs. The purchasing lawyer must make sure these rules are followed in such a circumstance. and may help a client innocently understand the relevance and range of a law. Plain English (1. shall consult with the client as to the means by which they are pursued. the matter must be approved before being included in the sale Applicability of the Rule: This rule applies even when the selling lawyer is dead. Week 6 Safeguarding Clients Property 1. including representation by appointment. If this happens. . or disabled. it is not acceptable for a lawyer to be involved in such a sale that does not follow these rules. scope. economic.and protection of information. as to a plea to be entered. In a criminal case. the seller may be represented by a non-lawyer not subject to these rules. Announcing retirement intentions does not constitute a sale. A lawyer can explain the potential legal outcome of acts of crime or fraud. and as required by 1. d) A lawyer must not give advice to or help a client to commit crime or fraud. whether to waive jury trial and whether the client will testify. This rule does not apply to transfers of legal representation when they are unrelated to the sale of a practice. (c) & (d). does not constitute an endorsement of the client s political. A lawyer shall not counsel a client to engage. the lawyer shall abide by the client s decision. social or moral ideas or goals. b. the lawyer must follow his client¶s decisions on which plea to enter. after consultation with the lawyer. c. after the client has talked to his lawyer.2 Scope of Representation a. meaning or application of the law. but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity.

3. 4. is required by these rules. 3. Regularly update the client on what¶s happening with the client¶s issue. b) A lawyer must explain issues so that the client understands and is able to make educated decisions about the issue. Tell the client right away about any decision or issues where the client¶s informed consent (which is defined in rule 1. -You may limit the scope of representation is to do so is: reasonable and client has given informed consent. -shall not counsel a client to engage in or assist a client to commit what you know to be criminal or fraudulent. Quickly address the client¶s request for updates. Bottom line class notes -must promptly obtain any required informed consents -reasonably consult with the client about objectives and how to fulfill them -must keep client reasonably informed -must promptly comply with reasonable requests . Make the client understand or else the consent is not valid. 2.0(e) is required. Talk to the client within a reasonable time about how the client¶s goals will be achieved.Bottom line from class notes -Abide by a clients objectives whenever possible and consult with a client as to how to achieve those objectives. Reasonably consult w/ the client about the means by which the client s objectives are to be accomplished. A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation. Don t use your big lawyer words that is like a doctor coming out and explaining what is wrong using all medical terminology-no conprendo. talk to the client about his professional boundaries. 1. 4. Promptly comply w/ reasonable requests for information.4) Communication a) A lawyer must: 1.4 Communication a. Consult w/the client about any relevant limitation on the lawyers conduct when the lawyer knows that the client expects assistance not permitted by the rules of PR conduct or other law. Promptly inform the client of any decision or circumstance w/ respect to which the client s informed consent as defined in 1. If the client wants help that is not allowed by law or by the Rules of Professional Conduct. -Must abide by a clients decisions in a criminal case. b. and 5. Keep the client reasonably informed about the status of the matter.0 e Informed Consent: denotes the agreement by a person to a proposed course of conduct after the lawyer has communicated adequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct.0e. A lawyer shall: 1. 5. 1. Plain English (1. 2.

to be withdrawn by the lawyer only as fees are earned or expenses incurred. or elsewhere with the consent of the client or 3rd person. A lawyer must deposit the lawyer s own funds in a trust account for the sole purpose of paying back service charges on the account. b. e.-must promptly consult with client regarding limitations -explain any matter in English as best as possible Elements of a Malpractice claim: 1) Attorney/Client relationship (so there was a duty) 2) Negligence (a breach in that duty-compared to ordinary attorneys in that field) 3) Proximate cause (show the case within in case. The amount not in dispute should be given back. Funds shall be kept in a separate account maintained in the state where the lawyer s office is situated. Service Charges. Except as state in this rule or otherwise permitted by law or by an agreement with the client.15 Safekeeping Property a. Deposit Funds. *This section gives rise to tricky questions. c. the property shall be kept separate by the lawyer until dispute is resolved. Upon receiving funds or other property in which a client or third person has an interest. . a lawyer shall promptly notify the client or third person. a lawyer shall promptly deliver to the client or 3rd party any funds or other property that the client or 3rd party is entitled to receive and. Property in Dispute. Client Trust Account Rule. d. shall promptly render a full accounting of such property. I would have won but for this I didn t prove both) 4) Damages (because of this duty that was breached this harm resulted) Law firms are vicariously liable for the legal malpractice of partners and associates. Other property shall be identified as such and appropriately safeguarded. When in the course of representation a lawyer is in possession of property in which two or more persons (one of them who may be the lawyer) claims interests. Prompt Notification. A lawyer shall hold property of client s or third persons that is in lawyer s possession in connection with a representation separate from lawyer s own property. but only in an amount necessary for that purpose. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute. 1. Notice you only keep the amount in dispute in a separate account all other money must be given back to appropriate parties. upon request by the client or 3rd party. A lawyer shall deposit in to a client trust account legal fees and expenses that have been paid in advance. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of 5 yrs after termination or the representation.

When a client or third person is entitled to receive the property the lawyer must: 1. Proper records should be kept of how much the attorney deposited.5 Unauthorized Practice of Law. Some states require a bank to report overdrafts on trust accounts. including a claim by the lawyer. unless the client consents to it being kept in another state. but the lawyer must keep separate and current records. keep the property separate until the dispute is resolved. the lawyer should place those fees in the client trust account (IOLTA) and withdraw them as the fees are earned or as expenses are paid. -must hold funds in a bank in the state in which your office is situated Unless you have clients consent to hold elsewhere -Must keep complete records of clients funds and property -Must maintain these records for 5 yrs after termination of representation -unearned fees must be kept in a separate account-deposited in trust -may deposit amounts necessary to cover back service charges. -Any funds/property in dispute must remain in trust. A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction. -Any portion not in dispute must be returned promptly -May take fees and costs as they are earned and incurred -pre-withdrawal will result in misappropriation/embezzlement 5. and 2. . All records of client funds and property should be kept for 5 years. Clients check must be clear before it can be used for ANYTHING.) When a lawyer receives unearned legal fees and expenses. promptly distribute all portions of the property that are not in dispute. Multi-Jurisdictional Practice of Law a. the lawyer should keep the client¶s funds separate from the lawyer¶s funds or operating budget. Property other than funds should be identified. the lawyer must: 1. promptly deliver the property. promptly render an accounting regarding the property if requested. Cannot use one client s funds to satisfy another client s interest. (Comment: Amounts above what is necessary to cover fees could be considered commingling of funds.15) When a lawyer receives client funds in connection with a representation. Bottom line from class notes: -Must holds funds separate from your own property. . must promptly render an accounting of such funds/property. Plain English (1. or lack of funds.Several clients funds can be kept in the same account. and 2. The client¶s funds should be kept in a trust account (IOLTA) in the same state the lawyer¶s office is located. -Must promptly deliver to a client or third person any funds/property to which that person is entitled -upon request. A lawyer can deposit his/her own money into the IOLTA trust account only in the amount necessary to cover bank service. b. When a lawyer receives property of a client or an interested third party the lawyer must promptly notify the client or third party. When there are multiple adverse claims to property. or assist another in doing so. Keep a paper trail! And never keep a zero balance. A lawyer who is not admitted to practice in that jurisdiction shall not: .otherwise you are using some other clients funds b/c that clients are not available. secured and kept separate from the lawyer¶s property.

is authorized by law or order to appear in such a proceeding or reasonably expects to be so authorized. c. provides short term limited legal services to a client w/o expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter. if the services arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice and are not service for which the forum requires pro hac vice admission.7 (current clients) and 1.5 Non-profit and Court-Annexed Limited Legal Services Programs a.9a (former clients) with respect to the matter. A lawyer may not appear in court in another jurisdiction unless admitted to practice in that court.9a (former clients) only if the lawyer knows that the representation of the client involves a conflict of interest. and not disbarred or suspended from practice in any jurisdiction. are not w/in paragraph c2 or c3 and arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice. 2. d. Bottom line from class notes -shall not practice in a jurisdiction where it would violate -shall not assist a person who is not a member of the bar to practice -Shall not appear in court on behalf of another -If you are licensed in 1 state that is the state in which you practice However a lawyer admitted to practice in one state may practice in another to the extent the lawyers activities in the matter arise out of or otherwise reasonable related to the lawyers home practice. 6. .17 (current clients) or 1. is subject to rule 1. 1.1. are services that the lawyer is authorized to provide by federal law or other law of this jurisdiction. may provide legal services on a temporary basis in this jurisdiction that: 1. hold out to the public or otherwise represent that the lawyer is admitted to practice law in that jurisdiction. A lawyer admitted in another US Jurisdiction. A lawyer admitted in another US jurisdiction. except as authorized by these rules or other law. mediation. are in or reasonably related to a pending or potential proceeding before a tribunal in his or another jurisdiction. may provide legal services in this jurisdiction that: 1. or 2. establish an office or other systematic and continuous presence in the jurisdiction for the practice of law. are provided to the lawyer s employer or its organizational affiliates and are not services for which the forum requires pro hac vice admission. is subject to rules 1. and 2. or 2. or 4. and not disbarred or suspended from practice in any jurisdiction. are in or reasonably related to a pending or potential arbitration. 3.10 (imputation of conflict of interest) only if the lawyer knows that another lawyer associated with the lawyer in the law firm is disqualified by 1. are undertaken in association w/ a lawyer who is admitted to practice in this jurisdiction and who actively participates in the matter. under the auspices or a program sponsored by a nonprofit organization or court. if the lawyer or a person the lawyer is assisting. A lawyer who. or other alternative dispute resolution proceeding in this or another jurisdiction.

Plain English (1. If the lawyer was a member of the joint venture he/she would be limited also by their own interests. as agreed to by the client and lawyer: (1) must comply with Rules 1. A lawyer cannot advocate a matter against a person whom they represent in another matter. the new firm cannot represent the new firm's client. The former client can waive the conflict by giving informed consent in writing. 3) The representation does not involve the lawyer representing clients for both sides of the litigation (or any other proceeding before the court). (b) If a lawyer in his/her prior law firm represented a client in a matter and now the lawyer's current firm seeks to represent a client in the same or a similar matter in which the new firm's client would be adverse to the former firm's client.9 (a) only if the attorney knows that the representation involves a conflict of interest AND (2) the conflict of interest will be imputed to the lawyer s firm only if the attorney knows that an attorney in his firm has a conflict of interest governed by rule 1. (c) A lawyer who represented someone in the past or who¶s previous or present law firm represented someone in the past cannot use information gained from that representation against the client. Except as provided in a(2).7) Conflict of Interest: Current Clients (a) A lawyer cannot represent a client when there is a current conflict of interest. It is presumed the lawyer learned confidential information from his/her prior representation.7 or 1. A conflict exists when: 1) Representation of one client would be harmful to the representation of another client Ex. A lawyer representing multiple clients to form a joint venture will not be able to adequately represent each client because he/she will not be able to advocate each position of his/her clients. Ex.9) Duties to Previous Clients (a) A Lawyer cannot represent someone if he/she already represented a client in the same or a similar situation and the representation would be against the interests of the original client unless the former client gives his/her informed consent in writing. Plain English (1. Lawyer needs to follow the rules.b. . rule 1. AND 4) Each client gives informed consent in writing.5) (a) An attorney who participates in a program sponsored by a non-profit organization or court. in the matter.10(imputation of conflict of interests) is inapplicable to a representation governed by this rule.9 (a). 2) The representation is not illegal. Plain English (6.7 and 1. A conflict also exists if the lawyer cannot adequately represent a client because of the lawyer's own interests. OR 2) There is significant risk that a lawyer representing a client will not be able to adequately represent another client due to his/her responsibilities to the other clients. provides limited legal representation. The Exceptions: (b) A lawyer may represent a client despite a conflict of interest only when: 1) The lawyer reasonably believes that he/she is capable of providing loyal representation to his/her client.

(d) When the attorney receives disqualifying information in the above situations. If both the affected client and the prospective client give informed. confirmed in writing.18 Duties to Prospective Clients (a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client.9. except as provided in paragraph (d). If the attorney received information from the prospective client that could be significantly harmful to the subsequent client. or 2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client. (b) Even when no client-lawyer relationship ensues. they may still represent the client if: 1. Or: .9) would permit with respect to information of a former client. This is subject to exceptions listed below in (d). no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter. and ii) written notice is promptly given to the prospective client.18) Duties to Prospective Client (a) An attorney should consider anyone they talk with about possible representation (forming a clientattorney relationship) a prospective client. (b) An attorney may not use or reveal any of the information discussed with a prospective client. the attorney may not represent a subsequent client in the same or substantially related matter whose interests conflict with the prospective client¶s interests. written consent. no other attorney in the firm can represent the client for those matters. except as (1. Plain English (1. a lawyer who has had discussions with a prospective client shall not use or reveal information learned in the consideration. (c) If (b) applies. and i) the disqualified lawyer is timely screened from any participation in the matter and is appointed no part of the fee therefrom . unless allowed under Rule 1. either. If a lawyer is disqualified from representation under this paragraph. even if no client-attorney relationship is formed. If the attorney can¶t represent the client for these reasons. (c) A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter except as provided in paragraph (d).1. (d) When the lawyer has received disqualifying information as defined In paragraph ©. the attorney may not represent the subsequent client in that matter. representation is permissible if: 1) both affected client and the prospective client have given informed consent. except.

The attorney is removed in a timely fashion from any participation or knowledge of the case. You must let the person know. Week 8 Duty of Confidentiality 1. listen I am not on your side I am here doing my job. . do not confide in me. (b) A lawyer servicing as a 3rd party neutral shall inform unrepresented parties that the lawyer is not representing them. The lawyer must make it clear that he is not representing either party and must remain neutral throughout. Service as a 3rd party neutral may include services as an: i) arbitrator ii) mediator or iii) in such capacity as will enable the lawyer to assist the parties to resolve the matter. the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b). receives none of the fee. & ii. 2. and written notice is promptly given to the prospective client.2. Respect for the law and for legal institutions is diminished whenever a lawyer neglects the obligation to treat persons properly. If the attorney took reasonable steps to limit the amount of disqualifying information. and: i.6 Confidentiality of Information (a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent. As an officer of the court a lawyer has the duty to act honorably and to avoid offensive personality.4 Lawyer Serving as Third-Party Neutral A lawyer may act as a mediator or arbitrator between two people that he does not represent. to what was needed to make the decision of whether to represent the prospective client. Sometime s it may be hard to be a human and a lawyer.4 Lawyer serving as a neutral 3rd party (a) A lawyer serves as a 3rd party neutral when the lawyer assists two or more persons whoa re not client of the lawyer to reach a resolution of a dispute or other matter that has arisen between them. Plain English 2. Week 7 Substance abuse and Bias Law student and lawyers must divorce themselves from their emotional and personal reactions and represent positions that may be in disagreement with their own opinions and belief systems. (b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary: 1) to prevent reasonably certain death or great bodily harm. When the lawyer knows or reasonably should know that a party does not understand the lawyer s role as a 3rd party neutral and a lawyer s role as one who represents a client.

or 6) to comply with other law or a court order. 1) Client must be seeking advice from the attorney 2) And the attorney is acting as a representative of an attorney to the client 3) The communication between the two is a relates to the reason the client sought advice from the attorney\ 4) Communication is made in confidence(agents of the attorney can hear it. 4) to secure legal advice about the lawyers compliance with these rules. to establish a defense to a criminal charge or civil claim against the lawyer based upon the conduct in which the client was involved. to defend against a malpractice. to comply with a court order of other law Note that a state may give rise to a cause of action if the lawyer does not reveal this information to a potential victim=so since you may reasonably tell under this rule. If the client turns over incriminating evidence the attorney must turn over the evidence but does not have to reveal how he obtained the evidence.6 Confidentiality of Information (a) A lawyer must not disclose information about the client without permission. as allowed in paragraph (b) (b) the lawyer can reveal information about the client as s/he believes is reasonably necessary in the following cases: to prevent death or substantial bodily harm to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another. The attorney must be acting within the scope of his representation of that client. and the client is using the lawyer¶s services to further the crime or fraud 3. 1. mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the clients commission of a crime of fraud in furtherance of which the client has used the lawyer s services. 5) to establish a claim or defense on behalf of the lawyer in the controversy between the lawyer and the client. . to give legal advice about the lawyer's compliance with these Rules 5. criminal or civil claim or to bring a claim against a former client. or to respond to allegations in any proceeding concerning the lawyers representation of the client. Plain English 1. 3) to prevent. When an attorney is representing an organization the entire organization is the attorneys client.2) to prevent the client from committing a crime or fraud that is reasonable certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer s services. you mid as well tell the victim. meaning the whole firm) 5) This protects the statements made by the client not the attorney. 2. arising out of the lawyer¶s representation of the client 6. Attorney-Client privilege-evidentiary rule. or if the disclosure is impliedly necessary for the client's representation or. Since an attorney is deemed an agent of the client anything told to the attorney by the client in confidence is protected by the privilege. to mitigate or rectify injury to the financial interests/property of another that would result or has resulted from the client's commission of a crime or fraud in which the lawyer¶s services have been used to further 4. Once the attorney begins to disclose privileged information the privilege is waived.

(b) Even when no client lawyer relationship ensues.2 (d). a lawyers who has had discussions with a prospective client shall not use or reveal information learned in the consultation. Exceptions to 1. the belief must have some foundation in fact must be reasonably certain. or -comply with other law.Bottom line class notes on rule: You shall not reveal information related to the representation of a client unless: 1) the client gives informed consent in writing 2) the disclosure is impliedly authorized. Suspicion alone is not enough. (c) A lawyer subject to paragraph (b) shall not represent a client with interest materially adverse to those of prospective client in the same or substantially related matter if the lawyer received . How do we know? -is substantial bodily harm imminent? -is death reasonably certain or substantial bodily harm? You may tell and some state have laws that require you to tell so if you can you should tell. to the client of any disclosure of confidential information. Because 1. Full disclosure requires communication and explanation of the material risks and potential adverse consequences. You may not blackmail your client by saying I will disclose your information. The lawyer must communicate with and fully advise the client so that the client can make informed decisions. and in furtherance of which the client has used or is using your services. A lawyer may reveal information relating to the representation of a client: to the extent reasonably believed necessary to prevent your client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial property interests of another. 1. -get ethical advice -defend an allegation of wrongdoing -collect a fee. Disclosure is the last resort. However the lawyer should first seek to persuade the client to refrain from the harmful act.18 Duties to Prospective Clients (a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship with respect to the matter is a prospective client. Disclosure must be limited.6 (b) you may reveal information relating to the representation of a client to the extent reasonably necessary to: -prevent certain bad acts of a client. You may release information to clear your name or collect a fee.9 (duties to previous clients) with respect to information of a former client. except as permitted in 1. In some moral cases a lawyer may have to violate his client¶s confidentiality if the client fails to do the right thing.2 (d) leaves the lawyer to run the risk that a failure to disclose could be considered assistance in violation of 1. The corn field case with two young drivers we have to tell the boy that he could die nay minute. so as to obviate the need for disclosure. or 3) the disclosure is permitted by paragraph (b). Implied authorization exists when disclosure of confidential information is appropriate to carrying out the representation. A lawyer may reveal when the lawyer reasonably believes death or substantial bodily harm will occur. You can speak to someone else regarding your concern if you are complying with the rules. The duty survives the termination of the relationship and even death does not allow disclosure.

2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client. the attorney may not represent a subsequent client in the same or substantially related matter whose interest¶s conflict with the prospective client¶s interests. If both the affected client and the prospective client give informed. representation is permissible if: 1) both the affected client and the prospective client have given informed consent in writing. receives none of the fee.18) Duties to Prospective Client (a) An attorney should consider anyone they talk with about possible representation (forming a clientattorney relationship) a prospective client. either. or. (c) If (b) applies. and i) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. If the attorney received information from the prospective client that could be significantly harmful to the subsequent client. no other attorney in the firm can represent the client for those matters. If the attorney can¶t represent the client for these reasons. If the attorney took reasonable steps to limit the amount of disqualifying information. The attorney is removed in a timely fashion from any participation or knowledge of the case. and written notice is promptly given to the prospective client. the attorney may not represent the subsequent client in that matter. unless allowed under Rule 1. they may still represent the client if: 1. and: i. Plain English (1. If a lawyer is disqualified from representation under this paragraph. & ii. and ii) written notice is promptly given to the prospective client . (b) An attorney may not use or reveal any of the information discussed with a prospective client. Or: 2.9.9) Duties to Previous Clients (a) A Lawyer cannot represent someone if he/she already represented a client in the same or a similar situation and the representation would be against the interests of the original client unless the former client gives his/her informed consent in writing. (b) If a lawyer in his/her prior law firm represented a client in a matter and now the lawyer's current firm . This is subject to exceptions listed below in (d). Plain English (1. even if no client-attorney relationship is formed. written consent.information from the prospective client that could be significantly harmful to that person in the matter except as provided in paragraph (d). except. to what was needed to make the decision of whether to represent the prospective client. no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter except as provided in paragraph (d) (d)When the lawyer has received disqualifying information as defined in paragraph ©. Screening the attorney who may cause the conflict off from the rest of the firm. (d) When the attorney receives disqualifying information in the above situations.

Common with electronic information. The former client can waive the conflict by giving informed consent in writing. Bottom line from class notes This rule treats your prospective client as if they were your former client. Sometimes the prospective client¶s disclosure can prevent you from taking a new client. when a client sought or obtained your services to enable or aid in the planning or commission of a crime or a fraud. you hear one side you can¶t take the other.seeks to represent a client in the same or a similar matter in which the new firm's client would be adverse to the former firm's client. (c) A lawyer who represented someone in the past or who¶s previous or present law firm represented someone in the past cannot use information gained from that representation against the client. Metadata. Lawyer needs to follow the rules.6 is very broad. While the attorney client privilege during litigation is very narrow. no one around except the client and lawyer and/or their agents A lawyers agent: employees associated with the lawyer expert witnesses trial consultant Pr agent/specialist If there is a inadvertent waiver the privilege is waived. the new firm cannot represent the new firm's client. Applies only when lawyer is being asked to reveal a confidence btw he and his client or when a lawyer is given a subpoena to present a document or physical object. Court proceeding. all written and oral communication btw lawyer and client btw lawyers agent and the client or clients agent Must occur in a confidential setting. If you do not properly raise the privilege it is waived. And it only arises in the context of litigation. It does not apply to tangible evidence. Attorney-Client Privilege: This only applies during tribunal affairs. It renders confidential all information obtained in the course of the representation regardless of the source. Ex divorce cases. An attorney should not be required to testify against and thereby violate the duty owed to client. It is presumed the lawyer learned confidential information from his/her prior representation. trial etc. If client reveals the location of evidence and the lawyer/agent merely inspect the evidence w/o disturbing it their knowledge of the location of the evidence and observations are privileged. however you do not have to disclose where you got the knife from. However such cases are rare. see more then you were meant to in a attachment. except as 1. Informed waiver-a client can consent to waive the privilege. A lawyer that has had discussions with prospective client shall not use or reveal information learned in the consultation. Crime fraud exception the privilege is forfeited. Remember the ethical duty under 1. Once the lawyer has obstructed justice and potentially affected the state from finding the evidence the lawyer must surrender the evidence to the proper authorities. If the client gives you the knife he used to murder someone you must surrender the evidence.9 (duty to former client) would permit. .

So you are still not µsuppose¶ to disclose even after your client has passed. Also a lawyer cannot postpone litigation to simply frustrate the opposing party from getting the case heard.2 Timely Litigation A lawyer should ensure that a client s litigation progresses timely.2 Expediting litigation A lawyer shall make reasonable efforts to expedite litigation consistent with the interest of the client this goes along with diligence and can raise issues of competence.Tangible evidence includes: weapons. Plain English 3. 3. and consistent with the best interests of his/her client.1 Meritorious Claims and Contentions A lawyer shall not bring or defend a proceeding. and must be treated like physical evidence and turned over to the proper authorities. but he cannot routinely postpone litigation solely for the convenience of the lawyers. ransom notes.3 Candor Toward the Tribunal a) A lawyer shall not knowingly: 1) Make a false statement of fact or law to the tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer.1 The rule 11. unless there is a basis in law and fact for doing so that is not frivolous. The privilege and the duty withstand death of the client. Records are usually treated as general information however if that is the only copy you must treat it as physical evidence. Plain English 3. A lawyer for the defendant in a criminal proceeding. or assert or controvert an issue therein. murder checklists. modification or reversal of existing law. Comment Notes: A lawyer can seek postponement of litigation for personal reasons. Week 9 Candor and Fitness 3. may nevertheless so defend the proceeding as to require that every element of the cause be established. which included a good faith argument for an extension. or the respondent in a proceeding that could result in incarceration. Upjohn case teaches that the attorney client privilege extends to the whole corporation. maps. SPEED IT UP!!! DUE DILIGIENCE!!!!! 3. 2) Fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel 3) Offer evidence that the lawyer knows to be false. However morally in some cases you should. . you cannot bring a case in which you know is a lie unless there is an actually basis of law and fact to support your clients claim.

A lawyer is responsible for his pleading and other documents he submits to the court on behalf of his client but does not have to have personal knowledge of his client s or other third party assertions. or has engaged in criminal or fraudulent conduct connected with the proceedings must take remedial measures. is engaging . has offered material evidence and the lawyer comes to know of its falsity. whether or not the facts are adverse.If a lawyer. or his witness has evidence that he knows is false the lawyer must take avoiding measures. If opposing counsel is not present you must disclose even the bad stuff about your client or case.3 Truthfulness to the Court (a) A lawyer should not knowingly: (1) Make any false statements of fact or law to a court or fail to correct any earlier false statements. (c) The lawyer s duties stated in sections (a) and (b) continue to the end of the proceedings and apply even if the lawyer must disclose information that is protected by Rule 1. Even if his client wants his lawyer to submit evidence known to be false the lawyer must not do so. the . (d) In an ex parte matter (hearings where only one side presents their case). **Watch out for comments here. Comment Notes: This rule applies to depositions and a lawyer has a duty to disclose if his client testifies to information the lawyer knows is untrue. the lawyers client. is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures. b) A lawyer that represents a client in a adjudicative proceeding and who knows that a person intends to engage. the lawyer shall take reasonable remedial measures. If the client is a criminal defendant who is going to offer false testimony. disclosure to the tribunal. including disclosing to the court that the evidence is false. including IF necessary disclosure to the tribunal. or a witness called by the lawyer. (b) A lawyer who knows his client intends to engage. including disclosing to the court. c) The duties in (a) (providing false fact or law) and (b) (failing to remedy the false information or ensure truth) continue to the conclusion of the proceeding. In a criminal case. The proceeding has concluded for this rule when a final judgment is made in the proceeding has been affirmed on appeal and the time for review has passed. if a lawyer knows a witness is going to offer false evidence.6. including. other than a criminal defendant s testimony. d) In an Ex Parte proceeding. A lawyer must refuse to offer evidence they think may be false. the lawyer should inform the court of all important facts the lawyer knows that will allow the court to make an educated decision even if the facts known are bad for the case. if necessary. his client. if necessary. (2) Avoid disclosing to the court controlling law that the lawyer knows is disfavorable to his client s case which the opposing lawyer has not mentioned (3) offer evidence that the lawyer knows to be untrue. the criminal or fraudulent conduct. other than the testimony of a defendant in a criminal matter that the lawyer reasonably believes is false. If the lawyer. the lawyer cannot allow the witness to testify.6 (Confidentiality). and apply even if compliance requires disclosure of information otherwise protected by 1. A lawyer MAY refuse to offer evidence. Plain English 3. a lawyer shall inform the tribunal of all material facts known to the lawyers which will enable the tribunal to make an informed decision. An attorney does not have to reveal clients history of crime if it is not related to the present proceeding.

5 Impartiality and Decorum of the Tribunal . or offer an inducement to a witness that is prohibited by law. And if the lawyer cannot persuade the client to do so then the lawyer may permit the defendant to testify by narrative. culpability. claim to have personal knowledge of a fact. b) Falsify evidence. (don t bring up evidence or information that has been banned from tribunal proceedings) f) Request a person other than the client to refrain from voluntarily giving relevant information to another party UNLESS: 1) The person is a relative or an employee or other agent of a client. (e) In trial. direct or help a witness to lie in testimony. (FRCP 11) e) In trial. destroy or conceal a document or other material having potentially evidentiary value. (a) Illegally interfere with another party¶s access to evidence. (no witness coaching) c) Knowingly disobey an obligation under the rules of the tribunal. credibility or the justness of the case. assert personal knowledge of facts in issue except when testifying as a witness. 3. or fail to reasonably comply with a valid discovery request. destroy or hide. allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence. innocence. or illegally change. It will be too persuasive) (f) Ask a person other than the client to avoid from voluntarily giving relevant information to another party unless: (1) The person is a relative. make a frivolous discovery request. or offer a witness an illegal bribe. any document or material that could be considered to be evidence.4 Fairness to opposing party and Counsel A lawyer cannot. (c) Purposely disobey a court rule. (d) In pre-trial procedure. make frivolous discovery or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party. Plain English 3. or give a personal opinion about a person¶s guilt. Or (Don¶t give your opinion the jury will take your opinion on the matter too highly. counsel or assist a witness to testify falsely. A lawyer shall not counsel or assist any person to commit such act. The lawyer must not assist or condone a third party doing such things either. except for an open refusal based on an assertion that no valid obligation exists.lawyer should persuade the client not to do so. the credibility of a witness.4 Fairness to Opposing Party and Counsel A lawyer shall not: tamper with EVIDENCE. employee or agent of a client (2) The Lawyer reasonably believes that the person will not be negatively affected by not giving the information 3. except for an open refusal based on a claim that no valid duty exists. a) Unlawfully obstruct another party s access to evidence or unlawfully alter. (listen to court) d) In pre-trial procedure. the culpability of a civil litigant or the guilt or innocence of an accused. (b) Lie about evidence. or state a personal opinion as to the justness of the cause. except when testifying. assert any matter that the lawyer does not reasonably believe to be relevant or that will not be supported by admissible evidence. and 2) The lawyer reasonably believes that the person interests will NOT be adversely affected by refraining from giving such information.

8 if it is a criminal trial) a) a lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter. a lawyer may state: 1) the claim. offense or defense involved and. residence. or harassment. information necessary to aid in the apprehension of that person iii) the fact. b) Communicate ex parte with such a person during the proceeding unless authorize to do so by law or court order. and family status of the accuse ii) if the accused has not been apprehended. time and place of arrest iv) the identity of investigation and arresting officers or agencies and the length of the investigation. . prospective juror or other official by means prohibited by law.6 Trial Publicity (see 3. a lawyer may make a statement that a reasonable lawyer would believe is required to protect client from the substantial undue prejudicial effect of recent publicity not initiated by the lawyer or the lawyers client. Plain English 3. when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest. or d) Engage in conduct intended to disrupt a tribunal. b) Notwithstanding (a). duress. and 7) in a criminal case. coercion. or prospective juror by illegal means. or 3) The communication involves misrepresentation. in addition to 1-6 a lawyer may disclose: i) the identity. c) Notwithstanding a. c) Communication with a juror or prospective juror after discharge of the jury if. juror. communicate with such a person outside of opposing counsel's presence engage in conduct intended to disrupt the court 3. the identity of the persons involved 2) information contained in a public record 3) that an investigation of the matter is in progress 4) the scheduling or result of nay step in the litigation 5) request for assistance in obtaining evidence and information necessary thereto 6) warning of danger concerning the behavior of a person involved.5 Impartiality and Decorum to the Tribunal: A lawyer cannot: (a) (b) (c) attempt to influence a judge. juror.A lawyer shall not: a) Seek to influence a judge. except when prohibited by law. A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity. occupation. 1) The communication is prohibited by law or court order 2) The juror has made known to the lawyer a desire not to communicate.

d) No lawyer associated in a firm or government agency with a lawyer subject to a shall make a statement prohibited by part a. Comments 3.5 Impartiality and Decorum of the Tribunal: A lawyer must not try to illegally influence a judge, a juror or prospective juror or other official. Additionally, a lawyer can¶t have communication (outside the presence of opposing counsel with the above persons unless allowed by law or court order. Plain English 3.6 Trial Publicity: (a) A lawyer, who is investigating or litigating a matter cannot make public statements to the media if the lawyer knows or should have known that his/her statements will materially influence the court proceeding. (b) Regardless of paragraph (a), a lawyer may state to media; (1) The claim, offense or defense involved. Also, the identity of the persons involved unless prohibited by law; (2) Information contained in a public record; (3) That an investigation of a matter is in progress; (4) The scheduling or result of any step in litigation; (5) A request for assistance obtaining evidence and information necessary thereto; A lawyer may make statements to the media if he/she reasonably believes it necessary to protect the client from recent harmful publicity that may harm his client, as long as the publicity was not started be either him or his client. The protective statement must be limited to what is necessary to mitigate the recent adverse publicity. A lawyer cannot have another lawyer in the firm or government agency make a statement to the press that the lawyer would not be allowed to make. Comments 3.6 Trial Publicity A lawyer is prohibited from making statements about the lawsuit if he knows (or could know) that it¶s his statements are likely to impact the lawsuit. This includes other lawyers in the firm where he/she works. However, he may make statements, if he believes it necessary, to protect his client from recent publicity that may harm his client, as long as this injuring publicity was not starter be either him or his client. The protective statement must be limited to what is necessary to mitigate the recent adverse publicity. 3.7 Lawyer as Witness a) A lawyer shall not act as advocate at trial in which the lawyer is likely to be necessary witness Unless: 1) the testimony relates to an uncontested issue; 2) the testimony relates to the nature and value of legal services rendered in the case; or 3) disqualification of the lawyer would work substantial hardship on the client; b) A lawyer may act as advocate in a trial in which another lawyer in the lawyers firm is likely to be called as a witness unless precluded from doing so by rule 1.7 or 1.9. Because this may confuse the jury and cause the lawyer to waver as far as his independence goes (bias). Plain English 3.7 A lawyer as a witness: (a)A lawyer should not appear in court for a client in any case where he is likely to be a witness unless:

(1) (2) (3)

his testimony is about a matter no one disputes his testimony is about his fees charged and services rendered the client will experience grave hardship if the lawyer is not allowed to represent him

(b)A lawyer in the same firm as a lawyer-witness in the case may represent a client in trial, unless the firm/lawyer has a conflict of interest under Rules 1.7 or 1.9

3.8 Special Responsibilities of a Prosecutor*
The prosecutor in a criminal case shall: a) refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause; b) make a reasonable effort/s to assure that the accused has been advised of the right to, and the procedure of obtaining counsel and has been given reasonable opportunity to obtain counsel; c) not seek to obtain from an unrepresented accused a waiver of important pre-trial rights, such as the right to a preliminary hearing; d) make timely disclosure to the defense of all evidence or information known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing disclose to the defense and to the tribunal all unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the tribunal; and (watch out for candor rule 3.3) e) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless the prosecutor reasonably believes: i) the information sought is not protected from disclosure by an applicable privilege; and ii) the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and iii) there is no other feasible alternative to obtain the information; f) except for statement that are necessary to inform the public of the nature and extent of the prosecutors action and that serve a legitimate law enforcement purpose, refrain from making extrajudicial comments that have a substantial likelihood of heightening public condemnation of the accused and exercise reasonable care to prevent investigators, law enforcement personal, employees or other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from making under 3.6 (Trial publicity) or this rule. Plain English 3.8 The Prosecutor Rule The prosecutor in a criminal case must: a. stop prosecuting a charge when he/she knows it lacks probable cause; b. with reasonable effort, make sure that the accused is advised of their rights in obtaining counsel and be given time to obtain counsel c. try to obtain a waiver of important rights (like the right to a preliminary hearing) from a defendant who does not have a lawyer. d. disclose all evidence or information (known to the prosecutor) to the defense, privileged or not, that goes to the guilt or innocence of the defendant. The prosecutor is excused of this requirement only by court order. e. not subpoena a lawyer to present evidence about a past or present client ` in a grand jury or criminal proceeding unless the prosecutor reasonably believes:

1) the information is not privileged; 2) the evidence is essential to the success of an ongoing investigation or prosecution; 3) there is no other reasonable alternative to get the information; f. make sure employees working under or with the prosecutor do not make public statements that would prejudice the accused in a criminal case, or any extrajudicial statement that the prosecutor would be prohibited from making under rule 3.6; g. when a prosecutor gets new, reliable evidence that may show a convicted defendant did not commit the crime which he/she was convicted of, the prosecutor shall: 1) disclose the evidence promptly to the proper authority, and 2) if the conviction was obtained in the prosecutor's jurisdiction, i) disclose the evidence to the defendant promptly unless a court authorizes a delay, and ii) undertake a further investigation to determine if the defendant was convicted of a crime that he/she did not commit g. seek to remedy the conviction of a defendant in the prosecutor's jurisdiction, when the prosecutor knows of clear and convincing evidence that he/she did not commit the crime. 3.9 Advocate in Non-adjudicative Proceedings A lawyer representing a client before a legislative body or administrative agency in a non-adjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions of 3.3a through c, 3.4 a through, and 3.5. Plain English 3.9 advocate in a non-judicial proceeding While representing a client in a non-adjudicative proceeding, must inform the body or agency that he/she is appearing in a representative capacity and should never act contrary to the rules of professional conduct governing litigation matters. 4.1 Truthfulness in Statements to others In the course of representing a client a lawyer shall not knowingly: a) Make a false statement of material fact or law or law to a 3rd person; or b) fail to disclose a material fact when disclosure us necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by 1.6. Plain English 4.1: Truthfulness in Statements to Others While representing a client, a lawyer shall not knowingly: (a) Misrepresent fact or law to another party; or (b) Fail to disclose a material fact when disclosure would be necessary to avoid assisting a criminal or fraudulent act by a client. (except if disclosure is prohibited under 1.6)

4.2 Communication With Person Represented by Counsel In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has consent of the other lawyer or is authorized to do so by a court order Once the other side has an attorney you cannot talk to them about the subject of the litigation.

Plain English 4. the lawyer shall make reasonable efforts to correct the misunderstanding.4 Respect for Rights of Third Persons a) A lawyer cannot use means that have no other purpose than to embarrass. When representing a client.4 Misconduct It is professional misconduct for a lawyer to: (a) violate or attempt to violate the rules of PR. or use methods of obtaining evidence that violated the legal rights of such a person. (c) Engage in conduct involving dishonesty. If a lawyer reasonably knows he/she mistakenly received a document. Plain English 4. if the lawyer knows or reasonably should know that the interest of such a person are or have a reasonable possibility of being in conflict with the interests of the client. delay. The lawyer must not give any legal advice to the third person other than to advise them to get legal representation.Plain English 4. deceit or misrepresentation. b) A lawyer who received a document relating to the representation of the lawyer s client and knows or reasonably should know that the document was inadvertently sent shall promptly notify the sender.3 Dealing With Unrepresented Person In dealing on behalf of a client with a person who is not represented by counsel. the lawyer shall promptly notify the person who sent the document so that person can take protective measures. fraud. a lawyer shall not state or imply that the lawyer is disinterested. or do so through the acts of another. a lawyer must not discuss his client¶s case with the opposing party. The lawyer shall not give legal advice to an unrepresented person. or burden a 3p. 4. 4.2: Communication with Person Represented By Counsel In representing a client. (b) Commit a criminal act that reflects adversely on the lawyers honesty trustworthiness or fitness as a lawyer in other respects. (d) Engage in conduct that is prejudicial to the administration of justice. the lawyer must clearly explain to the third person that he/she represents another client and not the third party. unless that lawyer obtains consent from opposing counsel. if the lawyer is dealing with a third person who does not have a lawyer and the lawyer believes that the third person is confused as to the lawyer¶s role. knowingly assist or induce another to do so. 8. from the law or from court order. or (f) Knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law. delay or unduly burden a third person OR try to obtain evidence in a way that would violate the legal rights of a third person. other than the advice to secure counsel. a lawyer cannot embarrass.3: Dealing with Unrepresented Person During the course of representing a client. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer s role in the matter. b.4: Respect for the Rights of Third Persons a. email or other electronic correspondence related to a client¶s matter. . (e) State or imply an ability to influence improperly a government agency official or to achieve results by means that violate the rules of PR or other law.

A lawyer shall abide by a clients decision whether to settle a matter. A lawyer can explain the potential legal outcome of acts of crime or fraud. the lawyer can limit the services involved in the representation. does not constitute an endorsement of the clients political. A lawyer may take such action on behalf of the client as impliedly authorized to carry out the representation.Week 10 Duties to Litigation 1. whether to waive a jury trial. In a criminal case.7 Conflict of Interest: Current Clients . after the client has talked to his lawyer. (c) A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent. social or moral ideas or goals. Plain English (1. after consultation with the lawyer.2) Scope of Representation a) While following paragraphs. the lawyer must follow his client s decisions on which plea to enter. meaning or application of law. economic. whether to waive a jury trial and whether the client will testify. and whether or not the client will testify.9.1-3. You can partially represent a client. In a criminal case. b) Just because a lawyer represents a client. A lawyer must follow his client s decision to accept or decline a settlement offer in a civil case. the lawyer shall abide by the clients decision. shall consult with the client as to the means by which they are to be pursued.4 (communication). c) If a client agrees after talking to his lawyer. including representation by appointment. scope. (b) A lawyer s representation of a client. does not mean that the lawyer supports the client s political. (d) A lawyer shall not counsel a client to engage. even by appointment. or assist a client. as to a plea to be entered. a lawyer must follow his client s decisions about the goals of his representation and must discuss with the client how the goals will be achieved.1-4. but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity.4 Week 11 Conflict of Interests A conflict of interest can arise in many different ways: 1) between a client and a lawyer 2) between two current clients 3) between current client and a former client 4) someone who worked for the government but is now in private practice 5) some ones law firm can be disqualified which is called imputed disqualification The general rule of conflict of interest: 1. and as required by 1. economic. in conduct that the lawyer knows is criminal or fraudulent. and may help a client innocently understand the relevance and range of a law. 4. a lawyer shall abide by a clients decisions concerning the objectives of representation . (c) & (d). social or moral views or activities.2 Scope of Representation and Allocation of Authority Between Lawyer and Client (a) Subject to c and d. Prosecutorial Misconduct 3. d) A lawyer must not give advice to or help a client to commit crime or fraud.

security. A concurrent conflict of interest exists if: 1) the representation of one client will be directly adverse to another client.7) Conflict of Interest: Current Clients (a) A lawyer cannot represent a client when there is a current conflict of interest. possessory. The Exceptions: (b) A lawyer may represent a client despite a conflict of interest only when: 1) The lawyer reasonably believes that he/she is capable of providing loyal representation to his/her client. A lawyer cannot advocate a matter against a person whom they represent in another matter. 2. AND 4) Each client gives informed consent in writing. or 2) there is a significant risk that the representation of one or more clients will be materially limited by the lawyers responsibilities to another client. and 4. The transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client. Ex. a lawyer may represent a client if: 1. Plain English (1. the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal.(a) Except as provided in paragraph (b). (b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a). . a former client or a third person or by a personal interest of the lawyer. 3) The representation does not involve the lawyer representing clients for both sides of the litigation (or any other proceeding before the court). each affected client gives informed consent. confirmed in writing. A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership. Current Clients: Specific Rules a. OR 2) There is significant risk that a lawyer representing a client will not be able to adequately represent another client due to his/her responsibilities to the other clients. 3. If the lawyer was a member of the joint venture he/she would be limited also by their own interests. A conflict also exists if the lawyer cannot adequately represent a client because of the lawyer's own interests.8 Conflict of Interest. the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client. A lawyer representing multiple clients to form a joint venture will not be able to adequately represent each client because he/she will not be able to advocate each position of his/her clients. the representation is not prohibited by law. or other pecuniary interest adverse to a client unless: 1. A conflict exists when: 1) Representation of one client would be harmful to the representation of another client Ex. 1. 2) The representation is not illegal. a lawyer shall not represent a client if the representation involves a concurrent conflict of interest.

settle a claim or potential claim for such liability with an unrepresented client of former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith . and 3. (no arrangements during trial) e. to the essential terms of the transaction and the lawyer s role in the transaction. the repayment of which may be contingent on the outcome of the matter. except as permitted or required by these rules. including whether the lawyer is representing the client in the transaction. The client gives informed consent 2. unless each client gives the lawyer informed consent. The client is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel on the transaction. f. A lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation. The lawyer s disclosure of information shall include the existence and nature of all claims or pleas involved and of the participation of each person in the settlement. A lawyer who represents two or more clients shall not participate in making aggregate settlement of the claims of or against the clients. a lawyer shall not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based on substantial part of information relating to the representation. parent. or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client.6. For purposes of this paragraph. Information relating to representation of the client is protected by 1. a lawyer shall not: 1.2. grandchild. grandparent. or other relative or individual with whom the lawyer or client maintains a close familiar relationship. g. h. A lawyer shall not solicit any substantial gift from a client. unless: 1. including a testamentary gift. child. The client gives informed consent. or 2. and 2. related persons include a spouse. or in a criminal case aggregate agreement as to guilty or nolo contendere pleas. A lawyer representing an indigent client may pay court costs and expenses on behalf of that client. b.make an agreement prospectively limiting the lawyer s liability to a client for malpractice unless the client is independently represented in making the agreement. A lawyer shall not use information relating to representation of a client to the disadvantage of the client unless the client gives informed consent. Prior to the conclusion of representation of a client. in a writing signed by the client. and 3. There is no interference w/ the lawyers independence of professional judgment or with the client-lawyer relationship. except that: 1. c. d. in a writing signed by the client. A lawyer may advance court costs and expenses of litigation. A lawyer shall not accept compensation for representing a client from one other than the client.

then the lawyer may create documents to this effect. (4) Lawyers representing indigent clients may pay court costs and litigation expenses on behalf of the client. children siblings. or spouses. The general rule is that lawyers cannot provide financial assistance to a client in connection with or during the course of litigation. Likewise.acquire a lien authorized by law to secure the lawyer s fee or expenses. (h) Media. j. possessory. Lawyers cannot use information about a client s case to the client s disadvantage unless the client consents after consultation.contract with a client for a reasonable contingent fee in a civil case. Lawyers are not allowed to use the client s case to get a contract for literary or media rights before the conclusion of the representation. (e) Transactions. (9) And the client consents to the transaction in writing. Lawyers are not allowed to create documents that convey substantial gifts from the client to the lawyer. There are three exceptions to this rule. (Doing em then. (j) Accepting Money From Clients. A lawyer shall not have sexual relations with a client unless a consensual relationship existed between them when the client-lawyer relationship commenced. you can do em now!) k. and 2. . Plain English (1. A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of litigation the lawyer is conducting for a client. security or other pecuniary interest adverse to a client.8) Conflict of Interest: Current Client. (3) Lawyers may pay court costs and other expenses of litigation on behalf of the client in advance and then make the repayment contingent on the outcome of the case. There are two exceptions to this rule. except the lawyer may: 1. a prohibition in the foregoing paragraphs that applies to any one of them shall apply to all of them. (g) Gift Documents. The exception to this rule is if the client is related to the donee. The general rule is that lawyers cannot accept compensation for representation from anyone other than the client. While lawyers are associated in a firm. (8) The client is given a reasonable opportunity to seek independent advice about the transaction. (i) Giving Money to Clients. (f) Using Client Information. lawyers cannot prepare documents conveying substantial gifts from the client to close relatives of the lawyer such as parents. The general rule is that an attorney cannot enter into a business transaction with a client or knowingly acquire an ownership.i. The exception to this rule is: (7) A lawyer may enter into a business transaction with a client if the terms are fair and reasonable to the client and are fully disclosed to the client in a way that the client can reasonably understand.

When a lawyer represents two or more clients. that they need to seek independent counsel on the settlement. (3) Information relating to representation of a client is protected as required by Rule 1. Week 12 Conflicts Based on A Lawyers Personal Interest Conflict of interests continue: 1. Consent must include informing the clients about the existence and nature of all the claims or pleas and how each person participated in the settlement. in writing. unless a physical relationship existed at the time the lawyer-client relationship began. (2) Compensation is allowed when there is no interference with the lawyer s independence of professional judgment or the client-lawyer relationship.(1) Compensation is allowed when the client consents to it after consultation. The only way a lawyer can do this is if there is a law permitting it and the client is advised to make the agreement through independent counsel. . (n) Sexual Relations With Clients.7 general rule and 1. or 2) Reveal information relating to the representation except as these rules would permit or require with respect to a client. or when the information has become generally known. Any conflict a lawyer has under paragraphs a-I is imputed to all the attorneys in the firm. A lawyer cannot have sexual relations with a client. aggregate agreements to guilty or nolo contendere pleas unless the clients agree after consultation. unless the former client gives informed consent confirmed in writing . (c) A lawyer who has formerly represented a client in a matter shall not thereafter: 1) Use information relating to the representation to the disadvantage of the former client except as these rules would permit or require with respect to a client.9 Duties to Former Clients (a) A lawyer who has formally represented a client in a matter shall not thereafter represent another person in the same or substantially related matter in which that persons interests are materially adverse to the interest of the former client unless the former client gives informed consent.8 conflict of interest current clients: 1.6 (k) Aggregation.6 and 1. and 2) About whom the lawyer had acquired information by rules 1. or in a criminal case. Lawyers are not allowed to settle a claim of limited liability with an unrepresented client or former client without first advising that person. confirmed in writing. Lawyers are not allowed to acquire a proprietary interest in the cause of action or subject matter of litigation that the lawyer is conducting for a client. (m) Property Interests. Lawyers are not allowed to make agreements that limit their liability to their clients in advance of representation. 1) whose interests are materially adverse to that person. the lawyer cannot aggregate settlement of the claims for or against the clients.9(c) that is material to the matter. (l) Limiting Liability. (b) A lawyer shall not knowingly represent a person in the same or substantially related matter in which a firm with which the lawyer formerly was associated had previously represented client. But lawyers may (1) acquire a lien granted by law to secure their fees or expenses and (2) contract with clients for a reasonable contingent fee in a civil case. (o) Imputation.

9 (c) that is material to the matter.6 and 1. unless: y The issue is the same or directly related to the matter the previous lawyer represented the client in. Lawyer needs to follow the rules.9) Duties to Previous Clients (a) A Lawyer cannot represent someone if he/she already represented a client in the same or a similar situation and the representation would be against the interests of the original client unless the former client gives his/her informed consent in writing. (B) When a Lawyer leaves a Firm. (b) when a lawyer has terminated an association with a firm . unless the prohibition is based on personal interest of the prohibited lawyer and does not present a significant risk materially limiting the representation of the client by the remaining lawyers in the firm. and 2) any lawyer remaining in the firm has information protected by rules 1.11(special conflicts of interests for former and current government officers and employees) Plain English 1.9.7 (general rule of conflict of interest) (d) The disqualification of lawyers associated in a firm with former or current government lawyers is governed by rule 1. the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm unless: 1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client. and . The former client can waive the conflict by giving informed consent in writing.9 (duties to former client). that firm is no longer prevented from representing clients formerly represented by the departed lawyer.7 or 1. the new firm cannot representt the new firm's client. It is presumed thelawyer learned confidential information from his/her prior representation. and who are not current clients of the firm.10 Imputed Disqualification: General Rule*** (A) No Lawyers working for a single Firm may knowingly represent a client that poses a conflict of interest to any other lawyer working for the same firm under rules 1. 1. (b) If a lawyer in his/her prior law firm represented a client in a matter and now the lawyer's current firm seeks to represent a client in the same or a similar matter in which the new firm's client would be adverse to the former firm's client. or 1.Keeping mind it can be the lawyer s former client or the lawyer s firm former client. Plain English (1. (c) A disqualification prescribed by this rule may be waived by the affected client under the conditions stated in 1.10 Imputation of Conflicts of Interest: General Rule (a) while lawyers are associated in a firm none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by rules 1. (c) A lawyer who represented someone in the past or who¶s previous or present law firm represented someone in the past cannot use information gained from that representation against the client.7(general conflict of interest rule).

(c) Definition of confidential information: except as law may otherwise expressly permit.12(b).each client gives informed consent in writing y 1. a lawyer having information that the lawyer knows is confidential government information about a person acquired when the lawyer was a public officer or employee. means information that has been obtained under governmental authority and which at the time this rule applied. a lawyer currently serving as a public officer or employee. confirmed in writing. 1) is subject to the rules 1.A current lawyer in the firm has information directly material to that issue. the government is being prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to the public. the term confidential government information. may not represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person. and 2) Written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of this rule. but is prevented from disclosing because he is bound by confidentiality. UNLESS the appropriate government agency gives informed consent. or ii) Negotiate for private employment with any person who is involved as a party of as a lawyer for a party in a matter in which the lawyer is participating personally and substantially. and 2) shall not otherwise represent a client in a connection with a matter in which the lawyer participated personally and substantially as a public officer or employee.7 and 1. (b) When a lawyer is disqualified from representation under paragraph (a). (d) except as law may otherwise expressly permit. . (C) A conflict of interest under this rule may be waived by the affected client if -the lawyer reasonably believes he/she can represent the client well and loyally -the representation is not prohibited by law -the representation does not involve two adverse claimants in the same litigation . except that a lawyer serving as a law clerk to a judge or otherwise adjudicative officer or arbitrator may negotiate for private employment as permitted by 1. no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter UNLESS: 1) The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. confirmed in writing to the representation.12(b) and subject to the conditions stated in 1.9(c).11 Special Conflicts of Interest for Former and Current Government Officers and Employees (a) Except as law may otherwise expressly permit. lawyer who has formerly served as a public officer or employee of the government: 1) Is subject to rule 1. A firm with which a lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timely screened form any participation in the matter and apportioned no part of the fee therefrom. As used by this rule.9 2) shall not: i) participate in a matter in which the lawyer participated personally and substantially while in private practice or non-governmental employment UNLESS the appropriate government agency gives its informed consent.

(e) As used in this rule. Unless the law expressly permits. (e) As used in this Rule. That lawyer may represent such client if the appropriate government agency gives its informed consent in writing to the representation (b) when a lawyer is disqualified under paragraph (a). arrest or significant matter involving a specific party or parties. accusation. Also. claim. the term matter included: 1) any judicial or other proceeding. application.11 (a) if the law does not expressly permit. accusation. and (2) may not represent a client in a matter in which the lawyer participated personally and substantially as a public officer or employee. investigation. request for ruling or other determination. or as an arbitrator or other adjudicative officer. contract. and 2) any other matter covered by the conflict of interest rules of the appropriate governmental agency. The term ³confidential government information´ means information that has been obtained under governmental authority. confidential government information means that when this rule applied. request for a ruling or other determination. If the lawyer is any of the named positions.7 and 1. then they may negotiate for private employment. charge. contract. and (2) they can not: (i) take part in a matter that the lawyer worked on personally and substantially while in private practice or nongovernmental employment. Plain English 1. unless the appropriate government agency gives the lawyer their informed consent that is in writing. controversy. (d) Unless there is an exception in another law or rule.9c. and (2) any other matter covered by the conflict of interest rules of the proper government agency. charge. (c) If a lawyer has information about a person which was acquired when the lawyer was a public officer or employee. the term ³matter´ includes: (1) any judicial or other proceeding. A firm with which that lawyer is associated may support or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee. application.9. it is confidential government information. arrest or other particular matter involving a specific party or parties. the lawyer may not represent a private client with adverse interests to the person involved in the former governmental matter where the information could be used to the material disadvantage of that person. a lawyer currently working as a public officer or employee: (1) is subject to Rules 1. claim. a lawyer who is a former public officer or employee of the government: (1) if subject to Rule 1. . no other lawyer in the lawyer¶s firm may represent the client unless: (1) the disqualified lawyer is timely screened from participating in the matter and is apportioned no part of the fee. controversy. investigation. or (ii) negotiate for private employment with anyone that is a party or a lawyer for a party involved in a matter that the lawyer is currently involved in personally and substantially. the government is prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to public. but this exception is conditionally based on Rule 1. and (2) written notice is promptly given to the appropriate government agency to make sure everyone has complied with the provisions of this rule. The exception to this is when the lawyer working for the government is serving as a law clerk for a judge.12(b).

controversy. (c) If a lawyer has information about a person. and (2) they can not: (i) take part in a matter in which the lawyer worked personally and substantially while in private practice or nongovernmental employment. contract. A firm with which that lawyer is associated may support or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee. or (ii) negotiate for private employment with anyone that is a party or a lawyer for a party involved in a matter that the lawyer is currently involved in personally and substantially. a lawyer who was a former public officer or employee of the government: (1) is subject to Rule 1. arrest or significant matter involving a specific party or parties. and (2) may not represent a client in a matter in which the lawyer participated personally and substantially as an officer or employee of a government agency. the lawyer may not represent a private client with adverse interests to that person in a matter where the information could be used to the material disadvantage of that person. claim. accusation. (d) Unless there is an exception in another law or rule. no other lawyer in that lawyer s firm may support or continue representing the client in the matter unless: (1) the disqualified lawyer is timely screened from participating in the matter and is apportioned no part of the fee. (b) when a lawyer is disqualified under paragraph (a). Also. then they may negotiate for private employment. the government is prohibited by law from disclosing it to the public or has a legal privilege not to disclose and which is not otherwise available to public. The exception to this is when the lawyer working for the government is serving as a law clerk for a judge. Unless the law expressly permits. a lawyer currently working as a public officer or employee: (1) is subject to Rules 1.Rule 1. unless the appropriate government agency gives the lawyer their informed consent that is in writing. application. The term confidential government information means information that has been obtained under governmental authority. This law does not prohibit the shift between the two fields. request for ruling or other determination. the term matter includes: (1) any judicial or other proceeding. but it does limit the lawyer s options for a . and (2) written notice is promptly given to the appropriate government agency to ensure compliance with the provisions of this rule. (e) As used in this Rule. If the lawyer is any of the named positions.7 and 1. investigation.9. or as an arbitrator or other adjudicative officer. The lawyer may represent the client if the government agency gives its informed consent in writing. and (2) any other matter covered by the conflict of interest rules of the proper government agency.9c. charge. but this exception is conditionally based on Rule 1. Comments: Basically. acquired while the lawyer was a public officer or employee of a governmental agency it is confidential information. confidential government information means that when this rule applied.9). this law is designed to allow a lawyer to move freely between private practice and governmental employment while observing the ABA Rules based on conflicts of interest (1.11 in another form of Plain English (a) Unless permitted by law.12(b).7 & 1.

1. or other adjudicative officer. (c) Is a lawyer is disqualified by paragraph (a). or other 3rd party neutral. mediator. but only after the lawyer has notified the judge. previously serving as a judge. no lawyer in a firm with which the lawyer is associated may knowingly undertake or continue representation in the matter UNLESS: 1) The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. UNLESS all parties to the proceeding give informed consent confirmed in writing. unless: y The disqualified lawyer is precluded from participating in the matter and receives no fee. or Other Third-Party Neutral (a) Except as stated in paragraph (d) a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer.12 Former Judge or Arbitrator (A) A Lawyer.13 Organization as Client** (a) A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents. Plain English 1. and 2) Written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this rule. (b) A lawyer shall not negotiate for employment with any person who is involved as a party or as a lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator. Mediator. (d) An arbitrator selected as a partisan of a party in a multi-member arbitration panel is not prohibited from subsequently representing that party. It also prohibits a lawyer from using knowledge gained from one governmental job for the benefit of a new governmental job or a private client. mediator or arbitrator may not represent a person in a matter they previously presided in unless the client(s) gives informed consent in writing. or law clerk to such a person or as an arbitrator. and y Written notice is immediately delivered to the proper tribunal to verify compliance (D) An individual arbitrator serving as a multi-member partisan panelist in a matter is not prohibited from ultimately representing that client. all lawyers in the lawyers firm are prohibited from representing that client. Arbitrator. 3rd party neutral. only with notification to the judge. 1.12 Former Judge. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially. .matter based on how involved the lawyer was with the government and the private client. (B) A lawyer serving as a judge. mediator. This rule and its subsections are designed to protect not only the lawyer s ethics. A lawyer serving as a clerk for a judge may negotiate an employment contract with a party to a proceeding that the judge is presiding in. but the ethics of government agencies and their pursuit of qualified lawyers. arbitrator or mediator may not negotiate employment with someone involved in a proceeding before them. (C) If a Lawyer has a conflict under subsection (a).

to remedy the situation. UNLESS the violation or illegal conduct is likely to result in significant injury to the organization. but only if and to the extent the lawyer reasonably believes is necessary to prevent substantial injury to the organization. intends to act or refuses to act in a matter related to the representation that this is a violation of a legal obligation to the organization. Unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so.16 under circumstances that require or permit a lawyer to take action under wither of those paragraphs. then the lawyer may reveal information relating to the representation whether or not rule 1. c1) If the highest authority in the organization a) Insist upon an action that is a clear violation of the law OR . or refusal to act. (c) Except as provided in (d). the consent shall be given by an appropriate official of the organization other than the individual who is to be represented by the lawyer. the lawyer shall refer the matter to higher authority of the organization.7. shall proceed as the lawyer reasonably believes necessary to assure that the organization s highest authority is informed of the lawyers discharge or withdrawal. his duty is to the entity itself. or other person associated with the organization is engaged in action. or to defend the organization or an officer. (d) Paragraph (c) shall not apply with respect to information relating to a lawyers representation of an organization to investigate an alleged violation of law. not to any of its officers or workers b) When the attorney learns of illegal or injurious conduct to the organization. or a violation of law that reasonably might be imputed to the organization. (f) In dealing with an organization s directors officers employees members shareholders or other constituents. or by the shareholders. if: 1) despite the lawyers efforts in accordance with (b). shareholders or other constituents. and that is likely to result in substantial injury to the organization. employees. Caveat. Plain English 1. employee or other constituent associated with the organization against a claim arising out of an alleged violation of law. The lawyer can refer the matter to higher authority. (e) A lawyer who reasonably believes that he or she has been discharged because of the lawyers actions taken pursuant to (b) or (c) or who withdraws 1. the highest authority that can act on behalf of the organization insists upon or ails to address in a timely and appropriate manner an action. members. If the organization s consent to dual representation is required by 1. subject to 1. (g) A lawyer representing an organization may also represent any of its directors.13 Organization as a Client a) When the attorney is representing a business organization. including if warranted by the circumstances. employee. to the highest authority that can act on behalf of the organization as determined applicable by law. officers.7. and to the highest authority in the organization if necessary. then the lawyer shall proceed as is reasonably necessary in the best interest of the organization.6 (confidentiality) permits such disclosure. that is clearly a violation of law and 2) the lawyer reasonably believes that the violation is reasonably certain to result in substantial injury to the organization. the attorney should not immediately disrupt the organization.(b) If a lawyer for an organization knows that an officer. a lawyer shall explain the identity of the client when the lawyer knows or reasonably should know that the organizations interest are adverse to those of the constituents with whom the lawyer is dealing with on behalf of the organization.

the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. including good will. and iii) the fact that the client does not take any action or does not otherwise object within 90 days of receipt of the notice. d) The fees charged clients shall not be increased by reason of the sale.17 Sale of a Law Practice A lawyer or law firm may sell or purchase a law practice or an area of practice. f) The lawyer should explain the he/she represents the corporation when dealing with a corporate constituent. is sold to one or more lawyers of the law firm: c) The seller gives written notice to each of the sellers clients regarding. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of the file. or the entire area of practice. in which the practice has been conducted. d) Exception to Paragraph (c): Paragraph (c) will not apply to information involving investigation of an alleged violation of law that is relating to the lawyer¶s representation of an organization. directors. ii) the clients right to retain other counsel or to take possession of the file. g) A lawyer may represent constituents of the entity if there is no conflict OR if there is informed consent (where required). Plain English 1.b) Fails to address in a timely and appropriate manner an action that is a clear Violation of law OR c) Refuses to act AND c2) the lawyer believes the violation is likely to cause a substantial injury to the organization then the lawyer may disclose information. If a client cannot be given notice. whether or not permitted by Rule 1. if the following conditions are satisfied: a) The seller ceases to engage in the private practice of law. b) The entire practice. employee or other members associated with the organization against a claim arising out of an alleged violation of law e) A lawyer can proceed as they believe necessary to assure that the organization highest authority is notified of the lawyer¶s discharge or withdrawal if he/she has been discharged because of the lawyer¶s actions taken pursuant paragraphs (b) or (c). employees or shareholders of a corporation Week 13 Duty to Supervise 1. to prevent substantial injury to the corporation. whose interests conflict with the corporations. or by the shareholders. OR who withdraws under circumstances that require or allow the lawyer to take action under either paragraphs. i) the proposed sale. The consent shall be given by an appropriate official of an organization other than the person who is being represented. OR To defend the organization or an officer.17: The Sale of a Law Practice . If you always charged 125/hr that s fine if you are only charging 125/hr to make back the money used for the purchased not fine. or in the area of practice that has been sold. Note´ Constituents may be officers.6.

reasonably foreseeable by the attorney.6(confidentiality). or a single lawyer or firm. A lawyer should also consider any other relevant factors such as. only the information necessary to obtain the order. When the practice is sold. information relating to the evaluation is otherwise protected by rule 1. c) Except as disclosure is authorized in connection with report of an evaluation. the seller may give to the court. social and political factors that may be relevant to the client s situation. and (c) if the client does not indicate objection to the sale within 90 days. 2.In order for a lawyer to sell his practice or part of his practice.1 Advisor In representing a client. their consent to the sale will be assumed. a lawyer should give skillful and honest advice. Plain English 2. confidentially. If this happens. (b) the client can seek legal services somewhere else or come and get the file. b) When the lawyer knows or reasonable should know that the evaluation is likely to affect the clients interest materially and adversely. If it is not possible to notify the client. The buyers can be a group of lawyers or firms. a lawyer shall exercise independent professional judgment and render candid advice. including the good will associated with it. etc. the lawyer shall not provide the evaluation unless the client gives informed consent. Note: An attorney may be liable to a 3rd party for something they prepared that someone else relied on if it was foreseeable. the following restrictions must be followed: The seller must stop practicing privately in the geographic or the jurisdictional area where the practice was located. economical factors. social. the lawyer may disclose privileged . Plain English 2. economic. moral. a lawyer may refer not only to law but to other considerations such as moral. In rendering advice.1 Advisor When representing a client. The sale cannot cause an increase in the client s fees.3 Evaluation for Use by Third Party When a client hires a lawyer to make an evaluation for a third party. the lawyer buying the firm may seek a court order transferring the representation of the client from the selling lawyer to the purchasing lawyer. 2.3 Intermediary a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer s relationship with the client. (The jurisdiction is free to apply either restriction) The entire business must be sold. The selling lawyer must notify all of his clients that (a) there is a proposed sale.

1 Responsibility of Partners. If the information substantially affects the client in a negative way the lawyer can only disclose the information if the client consents after a full explanation of the risks. (b) when a lawyer has direct supervisory authority over another lawyer he has a duty to make sure that lawyer is conforming with the RPC. or has direct supervisory authority over the other lawyer. ratifies the conduct. (a) when lawyers are partners in law firms or have some form of managerial authority in the law firm they have a duty to make reasonable efforts to give reasonable assurance that all the lawyers in the firm conform to the Rules of Professional Conduct. but the supervising lawyer fails to take reasonable remedial action. with knowledge of the specific conduct. the supervising lawyer knows of the conduct at a time when taking action could avoid/mitigate the consequences of the action. 5.. don t take reasonable steps to prevent or remedy the conduct. Managers. or you know of a violation but take no remedial action you are subject to discipline. or 2) the lawyer is partner or has comparable managerial authority in the law firm in which the other lawyer practices. *if you order anyone to engage in a violation of a rule. b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the rules of professional conduct. (c) A supervising lawyer is responsible for the supervised lawyer s violation of the RPC if: 1. and knows of the conduct at the time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurances that all lawyers in the firm conform to the rules of professional conduct. . c) a lawyer shall be responsible for another lawyer s violation of the rules if: 1) the lawyer orders or. or w/ knowledge of specific conduct ratifies the actions of another lawyer. 5. This rule makes the superiors liable for violations by an associate if they order the conduct. *when supervising L should have measures in place to ensure compliance w/ the rules.2 Responsibilities of a Subordinate Lawyer-the liability of the associate a) A lawyer is bound by the rules notwithstanding that the lawyer acted at the direction of another person. 2. Plain English 5.1 Duties of Supervision: General rules for lawyers who oversee other lawyers or employees. and Supervisors Lawyers a) A partner in a law firm. supervising lawyer orders. b) A subordinate lawyer does not violate the rules in that lawyer acts in accordance with a supervisory lawyers reasonable resolution of an arguable question of professional duty. and a lawyer who individually or together with other lawyers possesses comparable managerial authority.information about the client if the client authorizes and as long as it would not violate a rule of professional conduct.

4 Professional Independence of a Lawyer (a) A lawyer or law firm shall not share legal fees with a non-lawyer. like the secretary. Which is usually if legal advice is being given or asked of the client or by the non-lawyer. retained or recommended employment of the lawyer in the matter. (b) A lawyer shall not form partnerships with a non-lawyer if any of the activities of the partnership consist of the practice of law. and 4) a lawyer may share court-awarded legal fees with a non-profit organization that employed. (d) A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for profit. and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.17(sale of a law practice). or pays the lawyer to render legal services for another to direct or regulate the lawyer s professional judgment in rendering such legal services. 5. disabled. clerk etc? These people can do legal work as long as it is not unauthorized practice of law. except that: 1) an agreement by a lawyer with the lawyers firm. 5. partner. 2) a lawyer who purchases the practice of a deceased. . Facts can be discussed with the client by a non-lawyer. pursuant to the provisions of 1. over reasonable period of time after the lawyer s death. or 2) the lawyer is a partner or has comparable managerial authority in the law firm in which the other lawyer practices. receptionist.How about a non-attorneys. or has direct supervisory authority over the other lawyer.3 Responsibilities Regarding Non-lawyer Assistants with respect to non-lawyers employed or retained by or associated with a lawyer: a) a partner and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person s conduct is compatible with the professional obligations of lawyers. or disappeared lawyer may. b) a lawyer having direct supervisory authority over the non-lawyer shall make reasonable efforts to ensure that the person s conduct is compatible with the professional obligations of the lawyer c) A lawyer shall be responsible for conduct of such person that would be a violation of the rules if engages in by a lawyer if: 1) the lawyer orders or. (c) A lawyer shall not permit a person who recommends. employs. even though the plan is based in whole or in part on a profit-sharing arrangement. pay to the estate or other representative of that lawyer the agreed upon purchase price. to the lawyer s estate or to one or more specified person s. ratifies the conduct. or associate may provide for the payment of money. with knowledge of the specific conduct . if: 1) a non-lawyer owns any interest therein except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of those the lawyer for a reasonable time during administration. 3) a lawyer or law firm may include non-lawyer employees in a compensation or retirement plan.

except for an: Agreement by a law firm to pay earned fees to the estate of a deceased member of the firm. Plain English (5. A lawyer must not form partnership with a non lawyer if the partnership involves the practice of law A lawyer must not allow a non lawyer paying the lawyer s fee to direct or control how the lawyer handles the client s matter.4) Professional Independence of a lawyer A lawyer or law firm must not share legal fees with a non lawyer. pursuant to rule 1. Attorney practicing in a jurisdiction where he is a member of the bar Law students giving advice to relatives and friends Somebody making or interpreting legal documents Making discretionary decisions may be considered giving legal advice. A lawyer many not be part of a professional corporation or association authorized to practice law for profit. The issue that comes up is: What is considered the practice of law? The Middleton case lists factors such as: 1) Is a record of the proceeding being kept? 2) Do attorneys conduct the hearings? 3) Are the issues being discussed legal of factual? 4) And the # 1 way.2) a non-lawyer is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corporation. is advice being given? HYPO-go to office max and buy a legal kit. . If you don t have a law license you are deemed not qualified to practice law. not linked to a specific case: Agreement to pay court awarded fees to any profit organization that helped in the case. Profit sharing plan with non-lawyer employees. Multi-jurisdiction Practice of Law* A layer shall not: a) practice law in a jurisdiction where doing so violates the regulation of the legal profession in that jurisdiction. or 3) a non-lawyer has the right to direct or control the professional judgment of the lawyer.5 UPL. The purchase of there and sale of these by a non-lawyer is ok as long as a lawyer prepared the kits and the store employees are not giving legal advice along with the kit.5 Unauthorized Practice of Law. if: A non lawyer owns an interest in the organization (except for the administrator of a deceased attorney s estate) The non lawyer hold an executive position in the association other than a corporation A non lawyer can control the lawyer s professional judgment 5.17. or b) assist a person who is not a member of the bar in the performance of activity that constitutes the unauthorized practice of law. How might you see this tested? 1) 2) 3) 4) 5) suspended or disbarred attorneys practicing. The reason for this rule is to protect the public from unqualified persons practicing law. Agreement to purchase a deceased or disabled lawyer s legal practice. However if the store decided to make their own copies and sell them this is a violation of 5.

Usually in one law suit the court looks at things like. 1) conduct of the attorney(are they familiar with the jurisdiction s rules and law) 2) availability of the attorney for the suit 3) will they be amenable for disciplinary procedures in the state. or b) An agreement in which a restriction on a lawyers right to practice is part of a settlement of a client controversy. except an agreement that relates to retirement benefits. or . b) the term law-related services denotes services that might reasonably be performed in conjunction with and in substance are related to the provisions of legal services.If a non lawyer wants a shot at being a lawyer. 8. except an agreement concerning benefits upon retirement. or a lawyer in connection with a bar admission application or in connection with a disciplinary matter shall not: a) knowingly make a statement of material fact. pro hac vice. a) A partnership or shareholders. and that are not prohibited as unauthorized practice of law when provided by a non-lawyer.6 Restrictions on Right to Practice A lawyer shall not participate in offering or making. Plain English 5. An exception to UPL 5. operating. 5. employment.7 Responsibilities Regarding Law-Related Services a) a lawyer shall be subject to the rules of PR with respect to the provision of law-related services. as defined in b.5 when an attorney is practicing in a jurisdiction in which he is not a member of the bar. Example a financial consultant creating a trust or title company researching a deed. 5. if the law related services are provided: 1) by the lawyer in circumstances that are not distinct from the lawyers provision of legal services to clients.1 Bar Admission and Disciplinary Matters An applicant for admission to the bar. or 2) in other circumstances by an entity controlled by the lawyer individually or with others in the lawyer fails to take reasonable measures to assure that a person obtaining the law related services and that the protections of the client-lawyer relationship do not exist. that restrict the right of a lawyer from practicing law (no non-compete clauses or restrictive covenants) whether after terminating employment or as part of settling a client dispute. then they can either go to law school or represent themselves in court. or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship. If they are being sue for malpractice will the jurisdiction have PJ over the attorney.6: Restrictions on the Right to Practice Law A lawyer CANNOT participate in making ANY agreements. which is a motion by this attorney for a court to allow you to practice-temporarily.

an applicant or a lawyer must NOT: a) Knowingly lie about important facts or b) Lie by omission or knowingly fail to change incorrect information about the action c) Intentionally not respond to a demand for information from an admissions or disciplinary authority except for information covered under rule 1. thinking he did the right thing and should be admitted to the bar.3 Reporting Professional Misconduct a) A lawyer who knows that another lawyer has committed a violation of the rules of PR that raises a substantial question as to the lawyer s honesty. that they possess good moral character and general fitness to practice law. *Any false statement or withholding is enough for denial to the bar.6 or information gained by a lawyer or judge while participating in an approved lawyers assistance program. . misleading or reckless in regard to any matter. the applicant must demonstrate. or of a candidate for election or appointment to judicial or legal office. restitution and remorse. opposing party or even a 3rd party. Plain English 8.b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter. 8. Legal Officer. A lawyer must not make a statement that they know to be false or reckless. adjudicatory officer or public legal officer. to the court. ****Overall a lawyer should not make a statement that is ever false. b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the code of judicial conduct. except that this rule does not require disclosure of information otherwise protected by rule 1. replace it and turns himself in. shall inform the appropriate professional authority. b. or judicial candidate. be clear and convincing evidence. or knowingly fail to respond to a lawful demand for information form an admission or disciplinary authority.6 confidentiality. client.6 (confidentiality). Plain English 8. trustworthiness or fitness as a lawyer in other respects. b) A lawyer who knows that a judge has committed a violation of applicable rules of judicial conduct that raises substantial questions as to the judge s fitness for office shall inform the appropriate authority. The bar reasoned that they need a passage of time to see the moral character of this person. **In the Mustafa case: a law student steals money form a law school fund. regarding the qualifications and reputation of a Judge. To gain admission to the bar.2 Judicial and Legal Officials a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity or a judge. 8. A lawyer candidate for a judicial office must comply with the provision of the Code of Judicial Conduct.2 Judicial and Legal Officials a.1 Bar Admissions and Disciplinary Matters In bar related matters. c) this rule does not require disclosure of information otherwise protected by 1.

(e) state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the rules of PR or other law.This is like law school cooley honor code but if there is a conflict between this rule and 1.6 confidentiality the 1. Plain English 8. (b) A lawyer that knows a judge that has committed a violation of the judicial code or canons that raises serious question as to the judge¶s character and fitness. deceit or misrepresentation.3 reporting professional misconduct and there is always an 8.3 Reporting Misconduct (a) A lawyer that knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises serious question as to the lawyer¶s character and fitness must inform the appropriate authority. (d) engage in conduct that is prejudicial to the administration of justice. must inform the appropriate authority. 8. or do so through the acts of another. (b) commit a criminal act that reflects adversely on the lawyer s honesty trustworthiness or fitnedd as a lawyer in other respects. as well as information obtained while working with an approved lawyer¶s assistance program. knowingly assist or induce another to do so. When given a fact pattern which one attorney misbehaves and another knows about it there might be a violation of 8. (c) Disclosure of information covered by rule 1.6 (Confidentiality) is not required. or (f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law. Week 14 Review Week 15 Final Exam .4 Misconduct It is professional misconduct for a lawyer to: (a) violate or attempt to violate the rule or PR.6 rule wins. (c) engage a criminal conduct involving dishonesty. Exam hint. fraud.4 violation.

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