ETHICS RULE OUTLINE

ETHICS RULE OUTLINE

Chapter 1: Regulation of Lawyers
Different ways that lawyers are regulated: Ethics rules, courts, state and local bar associations, ABA, ALI, administrative agencies, malpractice insurers

Chapter 2: Lawyer Liability (Misconduct, Legal Malpractice, Fiduciary Duty)

Rule 8.1: Admission & Bar Disciplinary An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not:
Matters (a) knowingly make a false statement of material fact, OR,
Other relevant information: (b)
Thisfail to isdisclose
rule a fact
the only rule necessary
that can betoimposed
correct aon
misapprehension
students. known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from
an admissions or disciplinary authority, except that this rule does not require discloseure of information otherwise protected by Rule 1.6.
Examples of rule violaton: failure to perform with competence (In the Matter of Dennis Patrick O'Connel) or improper devision of fee for legal services.

(a)A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss legal consequences of any
proposed course of conduct with a client and may be counsel or assist a client to make a good faith effort to determine the validity, scope or meaning or application of the law.
(b) required reporting misconduct to judges.
Rule 1.2: Grounds for Disciplinary Action (c ) this rule does not require disclosure of information otherwise protected by Rule 1.6
While Rule 1.2(d) forbits a lawyer from assisting a client in conduct ONLY IF the lawyer knows the conduct is illegal or fraudelent.

NYSBA Ethics Opinion

A lawyer may not continue assisting a client in conduct that the lawyer originally supposed was legally proper but then discoveres is criminal or fraudulent. The lawyer must, therefore,
Comment [10]: withdraw from the representation of the client in the matter.
not all violations must be reported - only those raising a "substaintial question" of the lawyer's "honesty, truthworthiness, or fitness"

Exceptions:
If you advised on doing something and it seems to be legit…and then you learn about something new that will now make it illegal, you have to withdraw from representing them because
you cannot counsel or assist them in this behavior. Do you have to report it? Professor said maybe.
Other relevant information:

Rule 8.3: Professional Misconduct (a) A lawyer who knows that another lawyer has committed a violation of the rules of professional conduct that raises a substantial question as to that lawyer’s honesty, trustworthiness or
Reporting fitness as a lawyer in other respects, shall inform the appropriate professional authority.
(b) A lawyer who knows that judge has committed a violation of applicable rules of judicial conduct that raises a substantial question as to the judge's fitness for office shall inform the
appropiate authority.
(c ) this rule does not require disclosure of information otherwise protected by Rule 1.6

Substantial question refers to the seriousness of the possible offense and not the amount of evidence of which the lawyer is aware of.
Also, the appropiate professional authority refers to the bar disciplinary agency unless some other agency, such as a peer review agency, is more appropiate for that circumstance.
Comment [3]: Also, in regards to honesty, trustworthiness, or fitness: the rule limits the reporitng obligation to offenses that a self-regulating profession must vigoriously endeavor to prevent.
If reporting would require disclose of information protected by confidentiality or gained in an approved lawyers assistance program, it shouldn't be disclosed. But, the attorney should
Exceptions: encourage the client to consent to disclosure if it can be done (of course if it wouldn't substantially prejudce the client's interest)

(g) it is professional misconduct for a lawyer to engage in conduct that the lawyer knows or reasonably should know is harassment or discrimination on the basis of race sex religion
national origin ethnicity disability age sexual orientation gender identity marital status or socioeconomic status in conduct related to the practice of law. This rule does not limit the ability
Rule 8.4: Misconduct of a lawyer to accept or decline representation of certain people (in accordance with rule 1.16).
When a state law is not in accordance with federal law, example, legalized marijuana. The issue is that states have been legalizing the use of recreational marijuana but the feds have not.
What can you say to a client in this situation? You can advise them. Maybe say something like they should apply to become a registered marijuana selling organization as well as assist
Examples of rule violaton: them in understanding and complying with employment, tax and other requirements of law
Also advise them as to how selling weed could violate the federal narcotics law.
(a) Partners: A partner in a law firm, and a lawyer who individually or together with other lawyers possess comparable managerial authority in a law firm, shall make reasonable efforts to
ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct,
(b) Supersirory lawyers: A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the lawyers they supervise comply with the Rules
of Professional Conduct,
(c) Any Lawyer: A lawyer shall be responisble for another lawyer’s violation of the Rules of Professional Conduct if: (1) The lawyer orders or, with knowledge of the specific conduct,
ratifies the conduct involved; or (2) The lawyer is a partner or is the direct supervisor in the law firm in which the other lawyer practices, or has direct supervisory authority over the other
lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take remedial action.
Rule 5.1: Responsibilities of Partners,
Managers, and Supervisory Lawyers
In regards to 5.1(a) - this could mean that the partner has a good scheduling system so that lawyers don't miss any deadlines, also create consistent check-ins, etc. Note that another lawyer
Other relevant information: is responsible for another lawyer's behavior if they themselves ordered the unethical conduct of the other attorney.
By firm having "in effect measures", they mean any policies or procedures that are designed to detect and resolve conflicts of interest, indentify dates by which actions must be taken in
pending matters, account for client funds and property, and ensure that inexperienced lawyers are properly supervised.
Also, this applies to small firms to a certain extent. The comment section states that a small firm with experienced lawyers could have informal supervision and periodic review of
Comment [2]: compliance with the required systems and it will suffice. But in a larger firm, where there will be more clients and more difficult ethical problems, more elaborate measures like actual
systems
Whetherare necessary.
a lawyer has supervisory authority in a particular circumstance is a question of fact. Usually a lawyer and a partner might have the same level of supervisory authority on a
This doesn't
project so it’sjust apply toof
a question firms, it applies
fact…need to to anyatlawyers
look that
a case by have
case managerial authority, so even DAs, members of a partnership, shareholders in a law firm, etc.
basis.
Comment [5]: If this rule is violated, appropiate remedial action by a partner or supervisory lawyer would depend on the immediacy of that lawyer's involvement and the seriousness of the misconduct.
A supervisor is required to intervene to prevent avoidable consequences of misconduct if the supervisor knows that the misconduct occured. For example, if the supervisory lawyer
knows that the
(a) a lawyer subordinatefor
is responsible lawyer
his ormisrepresented
her own actions a matter
even iftothey
an opposinig party
acted at the in negotiation,
direction of anotherthe supervisor AS WELL as the subordinate has a duty to correct the resulting
lawyer,
Rule 5.2 Responsibilities of a Subordinate misunderstanding.
(b) a subordinate lawyer does not violate the rule if "the lawyer acted in acodance with the supervisory lawyer's reasonable resolution of an arguable question of professional duty"
Lawyer
If the question can be reasonably answered only one way, the duty of both lawyers is clear and they are equally responsible for fulfilling it. However, if the question is reasonable
arguable, someone has to decide upon the course of action. For example, if there is an action that needs to be taken on a case and there is a clear answer, then there is no question on the
Comment [2]:
correct action to take. However, if there is some uncertainty in the literature or laws or procedures, it is the responsibility of one of them to decide which is the appropiate thing to do.
In class we did an example, where we discussed an accident case. The supervisory attorney instructed the subordinate lawyer to include a certain fee (that wasn't supposed to be included)
in the client's bill. The subordinate lawyer did so and was found liable in violation of this rule. While this subordinate lawyer didn't make this decision themselves to add that fee and was
Other relevant information:
just following directions, they were responsible for verifying that this information was correct and engaging in research to find the correct answer. They should not have relied on the
Cases: Can a lawyerlawyer's
supervisory bring a orders.
wrongful discharge
The court said claim
that for retaliatory
something firing:
is not an arguable question if they subordinate attorney does not know the answer.
Yes: Wieder
Kelly v. Huntonv. Skala:
& Williams:
the court
Anheld
attorney
that even
namedthough
Kellythenoticed
associate
thatwas
another
an employee
attorney was
at will,
overhebilling
had a and
validreported
claim against
it to another
the firm
attorney,
for breach
nothing
of contract
was done,
because
so hethe
reported
firm fired
it tohim
a for
him advocating
managing thatnothing
partner, the firm report
was done,another
then toassociate’s ethical violations.
another investigator and they concluded that they could not find fraud. This same attorney that the complaint was against worked with other
aattorney to start complaints
claim brought aboutfor
against a lawyer Kelly enough somisconduct
professional that they could
that isask him totoresign.
alleged have caused harm to another person. The term “malpractice” covers a number of causes of action such as
No: Jacobson
negligence, v. Knepper
intentional & Moga - breach
misconduct, Jacobson's duty to report
of contract, etc. Allmisconduct was sufficient
those explained above. protection for the public against unethical behavior by lawyers. Lawyer's don’t need protection,
Definition of Legal Malpractice: they have
H&W a duty
argued thatwhether they are
Kelly didn't haveprotected or not. he was a law graduate and not yet admitted to the bar therefore, he wasn't responsible for reporting any violations. Court said the
a case because
Wieder
(1) rule also
existence will to
of duty now extendand,
plaintiff to law graduates because they aso have the same ethical obligation.
(2) failure to exercise competence and diligence normally excercised by lawyers in similar circumstances and,
(3) harm to plaintiff and,
(4) there is proximate causation between the duty owed to plaintiff, the failure of competence, and the harm

"BUT FOR the lawyer's mistake, the client would have prevailed in the matter in which the lawyer represented him"
Elements of Legal Malpractice:
Clear
(a) explanation:
Order complianceThere
withneeds to exist a duty to the plaintiff > which in turn they failed to do their duty to exercise competence and diligence normally exercised by lawyers in similar
an injunction
circumstance
(b) > due to this failure, there was a harm to the plaintiff > and legal malpractice would be fulfilled if this failure of the attorney that led to the harm of the plaintiff was the
Return of property
proximate
(c cause
)Alteration of the harm they
or cancellation of a endured.
legal document,
(d) Other remedies
How do you proof proximate cause in a legal malpractice case? What is proximate cause? If the lawyer had not made a mistake the client would have won. If the client would have lost
Consequences if lawyer found to have anyway, there is no proximate causation…because there is no harm that was caused by the attorney itself that directly impacted the result of the case.
committed legal malpractice:
It’s hard to establish the third requirement (i.e. breach of duty) because you have to establish that “BUT FOR” the lawyers conduct, the harm would not have occurred. So basically,
you’re trying 2 cases because not only do you have to prove that the lawyer’s conduct caused harm but also that if they didn’t cause harm, you would’ve won the initial case.
Other relevant information:
Difference between
(a) safeguarding the negligence based legal
client's confidences andmalpractice
property, and breach of fiduciary duty – not just attorneys can breach fiduciary duties. It’s basically anyone who assumes a position of trust
in relation
(b) avoidingto permissable
another, likeconflicting
stock brokers, financial advisors, etc.
interests,
(c ) adequately informing the client
Lawyers
(d) couldinstructions
following be liable toofother people, even if they are not their client
the client
(e ) not using powers arising from the client-lawyer relationship adversely to the client
Definition of Fiduciary Duty:
Prove that BUT FOR the lawyer’s misconduct, the plaintiff would have obtained a favorable judgment or settlement in the case OR that the plaintiff suffered from other compensable
harm
Elements of Breach of Fiduciary Duty:
 If an attorney misses a court appearance which results in the default judgment of their client which means they have to pay money, the client can now bring a civil suit against the lawyer
and sued for negligence, intentional misconduct, breach of contract, and breach of fiduciary duty.
Civil liabilities of lawyers:

Chapter 3: The Duty to Protect Client Confidences

(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the
representation or the disclosure is permitted by paragraph (b) [which lays out some exceptions that are disclosed later in the chapter]
Rule 1.6: Confidentiality of Information
Implicit
(b) lists all Authorization:
of the exceptions (see below)****
Comment
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the extent that the
a client's client's instructions
confidential iniformation or special
in response circumstances
to a claim limit the authority,
of lawful authorityaUNLESS lawyer isdoing impliedlyso isauthorized
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to ascertain beattorney-client
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and to otherwise that facilitates
avert ora limit
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of confidential OR to other
Exceptions to Rule 1.6 (above) lawyers
(c) a lawyerin the firm).
shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or authorized acess to, information relating to the representation of a client. (every
lawyer
(3) should have
to prevent, mitigate,a shredder,
or rectify thissunstantial
even applies injury when an attorney
to the financialleaves intersts their
or computer
property ofopen another whilethat they is go to the bathroom*)
reaosnably certain to resut or has resulted from the client's commission of a
Informed
************* Consent: Client gives informed consent
crime of fraud in furtherance of which the client has used the lawyer's services. (if the attorney learns about this after the crime or fraud has been committed, the lawyer may disclose
Rule 1.0 Terminology
information relatinig to- the Informed Consent only to the extent necessary to enable the affected persons to prevent or mitigate reasonably certain losses or recuperate such losses....you do
representation
Exceptions to Rule 1.6 (above)(continued) Rule
(e) 1.6(b)
not informed
have Exceptions
consentsuch
to disclose (they
denotes are
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agreement bythe
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Exceptions to Rule 1.6 (above)(continued) (4) To secure legal advice (usually from another attorney): this is usually impliedly authorized.
discharged toxis
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information conduct in which the client was involved, or to respond to allegations in any proceeding conerning the lawyer's representation of the client (aka if the client is suing the
Other exceptions: (2)
(7) to prevent
To
lawyer detect client
and
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resolve committing
theycoflicts
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Other relevant information: ***Note thatfromall ofthe these exceptions are PERMISSIVE, they dont REQUIRE the attorney to disclose the confidential information even if these situations apply. Comment 16 states that
they refrain wrongful conduct)
(a) a lawyerbshall
paragraph permits not disclosure
knowinglyonly reveal confidential
to the extent theinformation,
lawyer reasonably as defined in thisthe
believes rule, or use such
disclosure information
is necessary to the disadvantage
to accomplish one of theofpurposes
a client for the advantage
specified. AKA if you of the dolawyer
feel likeoryou
a third
have
person,
to disclose, unless: only disclose so much is necessary in order to accomplish your goal (aka abide by the other ethics rules, etc). But FIRST, try to talk the client out of whatever might cause for
New York Rule 1.6: (1)
the the client gives informed consent, as defined by Rule 1.0(j):
disclosure.
(2) the disclosure
Confidentiality is implied
refers to the dutyauthorizedto protect to advance the best intersts
from disclosure of the clientrelating
of any information and is either to thereasonable
representation underofthe circumstances or customary in the professional community, or,
a client.
(3) the disclosure is permitted by paragraph (b)
The purpose of this rule is to facilitate open communication between lawyers and clients. Its to make the clients feel like nothing they will tell their attorney will be said somewhere else
Other relevant information: b shared.
or
(1) to prevent
Paragraph the client afrom
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from revealing a crimeinformation
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Restatement of Law Governing Lawyers β representation resort thatsomay
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Comment
59 [4]: of "Confidential Client
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Information"of Law Governing Lawyers β (a)
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not disclose information in the event a border agent seek to search an attorney's electronic
that information
Rule 4.1 - truthfulness in statements to device.
others
How to avoid disclosing client information" (1) use burner phones and laptops, (2)dont carry client data on laptops, disclose (if apprehended) that the device inludes confidential
(b) a lawyer shall
information, notoffer
(3)dont use information relating
passwords, ask to representation
whether it is an order,of a client
giving to the disadvantage
a password of the client
could be interpreted unless the client gives informed consent, except as permitted or required by
as consent.
Rule 1.8(b): Conflict of Interest (Current these rules.
Clients)
Comment [5]: use of information relating to the representation to the disadvantage of the client violates the lawyer's duty of loyalty. Paragraph b applies when the information is ised to benefit either
the lawyer or a third person such as another client or business associate of the lawyer (example if the lawyer knows that the client intents to purcahse and develop land, the lawyer may
not use this informtion to purchase of one of the parcels in competition with the client or to recommend that another client make such a purchase. Note that this rule does not prohibit uses
that do not disadvantage the client (example if the lawyer learns a government agency's interpretation of trade legislation during the representation of one client may properly use that
information to benefit other clients). This rule also prohibits disadvantageous use of the client information UNLESS the client gives informed consent.

Chapter 4: The Attorney Client Privilege and the Work Product Doctrine
Difference Between Confidentiality and Attorney-Client Privilege
Confidentiality Attorney-Client Privilege
Protects all information
Ethical Dutyrelating to the Evidentiary Rule
representation of a client Protects communications only
Applies to prevent lawyer from Applies when lawyer is compelled to testify or to produce documents
voluntarily disclosing information

The attorney-client privilege may be invoked when:

Restatement of the Law Governing
Lawyers β 68 Attorney-Client Privilege
(1) a communication,
(2) made between privileged persons,
(3) in confidence, and
(4) for the purpose of obtaining or providing legal assistance for a client.
Note that attorney-client privilege, like other types of privilege, is an evidentiary rule that works to exclude testimony.

By (1) a communication, we mean a any expression through which a privileged person does to convey information to another privileged person and any document or other records
revealing such expression. (AKA communication does not just mean a talk between attorney and client, but any type of document that was shared between both that has content that
could mean a communication). Communication can also consist of a facial expression or another bodily motion or gesture..like if they waive their hand as no or something like that. Note
that communication in the form of a bodily motion does not consist of communication towards an attorney simply because they did a bodily motion in front of them...it has to go with
something that they were talking about at the moment. (Example, client is charged with a crime and the police report says it was done with someone with a right hand tattoo, attorney
Definition of "a communication": asks the client if they have a right hand tattoo and then he lifts up his sleeves to show his right hand tattoo...that is a form of bodily communication...the information that the lawyer
Pursuant to Restatement of the Law acquired dervied from a protected communication (they were already talking about his case, the attorney asked a question related to his case, and he made a bodily form of
Governing Lawyers Section 69: communication to confirm something, therefore this information is protected under the attorney-client privilege). Compare this to if the attorney and this client had their first visit and he
"Communication" just happenned to have a short sleeve shirt that shows his tattoo...this would not be a communication between an attorney and client because at no point the attorney asked him about his
Definition of "a privileged person": tattoo, in relation
Pursuant to Restatement of the Law Privileged personstoare
histhe
case, because
client he already
(this includes confirmed itclient),
a prospective himselfthe
and the client
client's didn't
lawyer, do any
agents intended
of either whoorfacilitate
purposeful bodily motion between
communications to demonstrate or confirm
them, and that
agents of thetolawyer
the attorney.
who
Governing Lawyers Section 70: facilitate the representation. Need to
Another example is if a client confidentially delivers his business records to an attorney who specializes in tax matters, in order to obtain that attorney's legal advice about taxes. This will make up
"Privileged Persons" notregards
constitute a privileged communication becausecommunication
the client did not PREPARE themand
forthe
thelawyer
purpose- this
of obtaining legal advice, these documents were already created just cause
In
A to the
communication client's agent that could
is intoconfidence if at faciliate between ofthe
theclient is a person whose participation is reasonablenonecessary to facilitate the and they
the
client's
Definition of "in confidence": Pursuant to are just bring brought
communication with the attorney
a lawyer forthe
or another
time
legal and inNow,
advice.
privileged
the circumstances
if the
personabove)
and attorney
ifor
the clientasked
communicaiton, the communicating
the client to prepare
reaosnably a summary person
of his reasonably
financial recordsbelieves thatcan one will
so thatconfidence.
he give him learn the contents
legal advice, of the
that would
work in
Restatement of the Law Governing communication, except
be protected communication. a privileged person (as described another person withbelieves that the person will
whom communications are hold the communication
protected under a similarinprivilege.
Lawyers Section 71: "In Confidence" between
To decipher
You must look if someone is qualified to
at the circumstances be an agentthe
sorrounding formoment
communication for the client, you
that the communication couldto
occured consider
know ifthese factors:
the communicating person knows that a nonprivileged person will learn of such , I lost it
Definition of "in confidence": Pursuant to communication.
the customary relationship
For example, between
if the the client
client wasand the agent,
speaking in a the
verynature of the at
loud voice communication, and theitsclient's
a restaurant, clearly, need to
reasonable forconclude
the 3rd person's
that theypresence to expect
would not communication
that their effectively
communication was when I
with the
Restatement of the Law Governing lawyer
done inor to understand and act upon the lawyer's advice. (For example, let's say the client gets arrested and the police are not allowing him to communicate with their attorney, in that
confidence. logged
Lawyers Section 72: "In Confidence" moment his friend is there and he tells his friend to communicate with his attorney and let his attorney know to not let the police search his home. In this situation, the friend is an agent out by
for communication
Sort of an exception:given that the client trusts him with this confidential information, they have a customary relationship - cause they are friends - and the client needs a 3rd person's mistake.
presencecircumstances
exigent in order to communicate
may requiretocommunications
this attorney effectively. Anotherwhere
under conditions example is if the
ordinary client doesfor
precaustions notconfidentiality
speak english and they need a The
are impossible. translator there,
privilege willtheapply
transalor
if theiscommunicating
an agent for
communication given that the client trusts them and they need a translator in order to communicate effectively with their attorney). Another example
person has take reasonable precautions in the circumstances. (like if they have no choice but to talk about it in a public place but the communicating person is taking the reasonable is if the client is 16 years old and the
parents accompany
precautions them to their
to still maintain meeting with
the information the attorney,
private the parents
such as speaking arewriting
low, appropiate
notes,agents
etc.).for communication.
This will not apply Another example
if the client is if an accoutant
and attorney accompanies
need to have an emergency a client
talk to theirtheir
about
Chapter 5: meeting with
Relationships
case in the anBetween
middle attorney about
Lawyers
of a trial a very
outsideand complex
court question
Clients
of the room andabout taxes,decides
the client given that theabout
to tak clientitdoes
loudlynotinfully undertand
the hallway of the
the nature of thethe
courtroom, accounting questions,
communication thedone
is not accountant answers
in confidence in their
and
place, isthey
What
therefore will
required
the befor
attorneyancompetence
agent
client for communication,
in legal
privilege willcases? givenbecause
not apply, that thethere
clientare
needs
otherthis 3rd person
rooms present tothat
inthe courtroom communicate to their lawyer
allow for privacy. effectively
Basically, and understand
even though there were the advice
exigent of the lawyerthe
circumstances,
effectively.
(a) the ethical duty of competence (Rule 1.1 above)
client nor the attorney took reasonable precautions in such circumstances.
(b) civil liability for legal malpractice
(c) the defendant's constitional right to effective assistance of counsel
Competence in Legal Cases
Strickland v. Washington:
In essence, Washinton pled guilty to a charge and his attorney failed to get mitigating evidence that would be helpful during the sentencing hearing. The attorney stated he did not get
migitating evidence such as a psychiatric evaluation or talk to his family for character evidence, because he knew the judge would be more moved if Washington just expressed
remorse. Washington was sentenced to death and appealed on the grounds of ineffective assistance of counsel. The court found that the attorney did provide ineffective assisntance
Case: Ineffective Assistance of Counsel of counsel. Given this case, the court said that there are two prongs to meet for ineffective assistance of counsel:
(1) lawyer's errors must be so serious that "counsel was not functioning as the counsel guaranteed by the 6th ammendment, AND
(2) the defendant must show a reasonably probability that BUT FOR the counsel's unprofessional errors, the result of the proceeding would have been different.
United States v. Ragin:
The attorney fell asleep during one of his client's trial, the client appealed on the basis of the ineffective assistance of counsel. The court said that the client's behavior did not
constitute ineffective assistance of counsel because the attorney sleeping did not affect the end result of his case.

Padilla v. Kentucky:
Failure to provide accurate informaiton to noncitizens about the imigration consequences of a guilty plea constitutes ineffective assistance of counsel.

Missouri v. Frye:
Failure to communicate a favorable plea offer to defendant constitutes ineffective assistance of counsel.
 A lawyer shall act with reasonable diligence and promptness in representing a client.

Rule 1. 3: Diligence
The lawyer's duty to act with reasonable diligence does not require the use of offensive tactics or preclude them from treating people in the legal process with courtesy or respect (i.e.
Comment [1] bailiffs, police officers, judge, opposiing counsel, clerk, etc).
The lawyer should not engage in unreasonable delay of anything, even if it doesn't affect the substance of the client's interests. This will result in the client getting anxiety and loosing
confidence in their attorney. This rule does not preclude attorneys from agreeing to a reasonable request (from judge or opposing counsel) to reschedule something or postpone
something, as long as it doesn't prejudice the client.
Comment [3]
Comment [2] A lawyer's work load must be controlled so that each matter can be handled competently.

Rule 1.4 Communication **Note

(a) that public
a lawyer shall: defenders have some sway with this rule given that they have such a high case load.
Rule 2.1 Advisor (1)representing
In promptly inform the aclient
a client, lawyer which
shallrequires
excercise client's informed
independent consent, judgment and render candid advice. In rendering this advice, the lawyer should provide holistic advice such as
professional
Comment [2] (2)
Tryreasonably
any not to use or
economic consult
legal
social about
jargon the means
ramifications,
when providingof The
etc. achieviing
advice forclient's
attorney itcan objectives
might
alsoaffect
providethe some
client's
moral
understanding
and ethicaland
advice.
render the advice ineffective.
Comment [3] (3)client
A keep may
the client reasonably
expressly informed
or impliedly ask about the status
the lawyer of the technical
for purely matter advice. If this request for advice is done by a client that is inexperienced in legal matters, the lawyer's
(4) promptly comply
responsibility as advisorwithmayreasonable requests forthat
include indicating information
more may beinvolved than strictly legal considerations.
(5) subject
(a) consult towith client about
paragraphs legal
c and d, aorlawyer
ethicalshall
limitations
abide byonthewhat clientdecisions
client's can ask lawyer to dothe objectives of representation AND as required by Rule 1.4, shall consult the client as to the
concerning
means by which they are to be pursued. A lawyer shall abide by the client's decision whether to settle a matter as well. In a criminal case, the lawyer shall abide by the client's decision on
a(b)plea
a lawyer shall explain
to be entered, whethera matter
to waiveto the
theextent reasonably
jury trial, whethernecessayr
the clienttowill
permit the client to make informed decisions regarding the representation
testify.
*Note
(1) Thethat Rule 1.0(e)
following notes are
decisions thatreserved
informed forconsent is the
the client agreement
to make: by a person
(A)whether to awhat
and on proposed
terms course
to settleofaconduct after
claim, (B) howthealawyer hasdefendant
criminal communicated
shouldadequate
plea, (C)information and explanation
whether a criminal
about the material
defendant risks of
should waive and
jury reasonably
trial, available
(D) whether alternatives
a criminal to the
defendant proposed
should course
testify, AND, of (E)
conduct.
whether to appeal in a civil proceeding or criminal prosecution.
Rule 1.2 Scope of Representation and
Allocation of Authority Between Client
and Lawyer *Note that this language suggests that your client should decide whether you should file a lawsuit but once you file the lawsuit, you can make some technical decisions (like whether you
Comment [1]of the Law Governing
Restatement should request
Objective: The aclient
continuance on a hearing)
has the ultimate without
authority on thedeferring
purposetotoyour client. by the legal representation aka what they want to get out of a case (i.e. remedies, money, injunction, etc).
be served
CommentSection
Lawyers [2] 23 - Authority Reserved Means:
If there is thea lawyer shall consult
disagreement between withthethe client the
attorney andmeans they want
client about to use to accomplish
the objective and the means theofobjectives, and then take such
the legal representation, this action as isnot
rule does implied
have anauthorized
answer for to that.
carryIfout theislegal
there a
to a Lawyer representation.
disagreement,
A lawyer retains theauthority
lawyer can thatwithdraw
may not frombe overridden
the representation
by a contractor the
withclient
or an canintruction
dischargefromthe lawyer
the client:
Case: Jones v. Barnes:
(1) to refuse to perform, counsel, or assist future or ongoing acts in the representation that the lawyer reasonably believes to be unlawful,
Rule 1.14 - Client with Diminished The
(2) todefendant,
make decisions Barnes, or wanted
take actions his attorney to include several
in the representation arguments
that the in his briefbelieves
lawyer reasonably that thetoattorney thought
be required would
by law or annot be helpful
order in his case (no evidence to support it). The issue at
of a tribunal
Capacity hand
(a) Whenwas awhether lawyers should
client's capacity to makeletadequately
their clients decide which
considered issues
decisions into raise and with
connection whether the lawyer doing
a representation so over awhether
is diminished, client's objection
because ofisminority,
a violation of theimpairement
mental 6th ammendment right to
or for some
Comment [6]: counsel.
**Note Thethere
that courtare decided:
times inThere
aas is no where
hearing 6th ammendment
the court right to
requires compelresponse
a prompt appointed fromcounsel to press non-frivolous points defendant suggested.
other
How reason,
to the lawyer
determine whether shall,
the far as
client hasreasonably
a diminished as possible,
capacity? maintain
You a normal
have thethe
client-lawyer
to consider attorney and
relationship
following they
factors: withdothe
notclient
have the time to consult their client on the matter, in these situations
Comment [5]: the
(1)
If
*Noteattorney
(b)the
whena
the attorney
that would
lawyer
client's
thetakes
abilityhave
the
concurrence the
reasonably authority
inbelieves
to protective
articulate to
that
thisreasoning
action,
case make
the
said the
theleading decision.
client:
attorney
that thetoattorney
must
a decision
consider
could the following
be held liable factors:
for 1.2 for(1) refusing
the wishes and value
to include allof
ofthe client,arguments,
Barne's (2) the clients
so abest
caseinterets,
can still(3)the goals of intruding into
be made.
(1) variability
(2)
the has diminished
client's of state
capacity
decisionmaking of mind and ability
autonomy to attoleast
appreciate consequences
extent feasibly, of a decision,
maximizing clients capacities and respecting the client's family and social connections. Also if the attorney is going to
Rule 1.7: 6:
Chapter Conflicts of Interests - Current (2)
(3)
take is
the atsubstantive
risk
of of
protective
Conflicts substantial
fairness
action
Interests: and physical,
of a decision,
appoint
Current financial,
another
Clients and or other
person, harm unless
the lawyer action is
is impliedly taken andunder Rule 1.6(a) to reveal information about the client, but only to the extent necessary to protect
authorized
Clients (3) the
(4)
the cannot
client's
(a)(1) Direct adequately
consistency
interests. of aact
Adversity: in the client's
decision with the own interest,
known long-term commitments and values of the client.
The
(a)(2)lawyer
MaterialmayLimitation:
take reaosnably necessary protective action, including, consulting with individuals or entities that have the ability to take action to protect the client and if necessary,
seekwhile
**Note
(b)
(a) appointment
that
Informed when
lawyers of
inConsent:
are aassociated
appropiate
makingguardian
protectivead
in litem,
circumstances,a firm, conservator
the
actionsnone lawyer
and themor shall
may
ofappointingguardian.
seek guidanceitsfrom
someone,
knowingly best an
represent appropiate
to goawith diagnostician.
clienta when
family member
any one oforthem
another personalone
practicing the client
would knows because utilizing
be prohibited social
from doing services
so by Rulesor 1.7other
or Rule
**Note
agents thatbea person
can
1.9, unless, traumatic with
fordiminished
the client. capacity often has the ability to understand, deliberate upon, and reach conclusions about matters affecting their well being. (i.e. young children like
**Note
5
(1)orthe that if
6 years oldthe
prohibition canclient
ishave
based(withon aa dimished
opinions capacity)
on theirinterest
personal ofwants
well being thethat acould
familybemember
disqualified held
lawyer or other
in court.
and doesperson to be ainsignificant
not present on the client/lawyer meetings,
risk of materially that doesn't
limited necessary disbands
the representation the attorney
of the client client
by the remaining
Rule 1.10: Imputation of Conflicts of privilege.
lawyers inIfthe this is the situation though, the client is always the one that makes the decision, not that family member or other person.
firm
Interests - General Rule
Comment [2] a(c)firm of lawyers is essentially
a disqualification prescribedon bylawyer
this rule formay
the purposes
be waivedofby rules
the and govenring
affected loyaltythe
client under to conditions
the client. stated in Rule 1.7
How to apply Rule 1.7 Lets say that you are representing two clients who are married, but are representating them in two non-related cases. The wife for a bus accident and the husband for their actual divorce.
Rule
Are
A 1.10(a)
you
conflict of does
able not prohibit
to represent
itnerests them
exists another
both? You
however iflawyer isfrom
would
there representing
a have to do the
significant athat
client
raskfollowing: that another
a lawyer's action lawyer fromof
on behalf theonesame firm
client couldn't
will represent...for
materially like political
limit the lawyer's beliefs orinsomething
effectiveness representing likeanother
that lcient
(1)areasonably
in difference conclude that the firm
case, for example, when would be ablefavoring
a decision to represent both clients
one client competently
will create a precedentandlikely
diligently under Rule
to seriously 1.7(b)(1)
weaken To do so,
the position askon
taken yourself, would
behalf of the loyalty
the other client. to one compromise
Other relevant information: your representation of the other and then ask whether you would receive confidential information from one of the clients that could be used adversely towards the other client.
To determine whether the client needs to be advised of this conflict of interest:
Rule 1.18: Duties to Prospective Client In
(a)
(a)this
whether
situation,
a person the
whoissue
you could
is before
consults alsoaaask
with trial
lawyerboth
or appeallate
clientsthe
about forpossibility
court
informed of consent
forming butathat is unlikelyrelationship
client-lawyer to get approved with by both.to
respect Even if they
a matter is do give informed
a prospective consent, they might feel uncomfortable
client.
Comment [2] having
(b)
(b) whether
even
Whether the same
whentheno issue
firm
communications is
representing
substantive
client-lawyerconstitute them.
ora procedural
relationship ensues,depends
consultation a lawyeron who
thehas learned information
circumstances. from a consultation
For example, prospective client shall
is likely to not
haveuse or reveal
occured if athat information,
lawyer, either in except
person asor Rule
thorugh1.9 the
would
Comment [3] (c)
Any the
permit
lawyer's temporal
with respectrelationship
advertisement,
information between
thattoisinformation
specifically
told to the attorneythe
ofrequets matters
a former orthe
in client
invites
court(AKA there
submission
of this isabout
initial a consultation
duty of confidentiality
a potential even if
isrepresentation
CONFIDENTIAL. someone
without is and
clear
Sometimes not the
areasonably
client)
attorneyunderstandable warnings
needs to learn about and cautionary
this information statements
to see that
if they have
The
(d)
(c)law
limit
any
A firm
athe
lawyer
the could ofalso
significance
subject
lawyer's
conflicts
firm can ofagree
to the
obligations,
CONDITION
interest to just
issue
paragraph
with torepresent
and
other
even bathe
shall
aperson
clients. notone
immediate
initial of and
arepresent
provides them
consultation aand
long withdraw
aterm
client
information interests
with
prospective from
asinterests of the
the
a response. other.
clients
materially
client on invovled, toand
adversecompleting
the person's those ofan a prospective client inthe
informed consent. This SAME
informed ORconsent
SUBSTANTIALLY RELATED
will state that no information
Comment [?] (e) the clients
MATTER
disclosed
Matters t reasonable
ifSUBSTANTIALLY
during
are he the
lawyer expectations
received
consultation will
RELATED in retaining
information
prohibit iffrom
the the
the
theylawyerlawyer
prosepctive
involvefrom client
therepresenting
same that could
a different
transaction be client
or legalsignificantly
in the
dispute ifharmful
or matter to the other
there otherwise is aperson in therisk
substantial matter,
that (except as provided
confidential in paragraphasd).would
factual information Also, if
Comment [?] a lawyer
A consultation
normally
person ishave
who disqualified
DOES
communicates
been NOT
obtainedfromoccur representation
intheaifprior
with someone
lawyer due just
representation
for thetoresponds
this rule
purpose would (c),
of annoadlawyer
to disqualifying
materially in
of theadvance a firm
attorney
the lawyer
the of
that which
isjust
client'sNOT that
has lawyer
atheir
position basic
prospective
in theis information
associated
client. may
subsequent such
matterknowingly
as education undertake
level, name,or continue
areas of representation
practice, andincontact that matter.
Rule 1.0 Terminology of "Screened" Example:
This
information. wholeathe firm
rule
This had
could
person tobewithdraw from aattorney
case because antheinformed
issue regarding the conflict of interest is
thesubstantive and other
couldfacts that related to the factors above.
Representing multiple parties to a this means isolation ofjust
avoided provided
a lawyer if from
thethe attorney
any getswould
participation information
in a matter consent unilaterally
through from thetimely
the without
client sothe that
impositionattorney other askingattorneys
of procedures them. within arepresent
firm thatthem. are reasonably adequate under the circumstances to
transaction: protect information that the isolated lawyer is obligation to protect under these rules of other law
Chapter
Rule 1.7 -7:Conflict of Interest: Current (d)
Current when Client the lawyer Conflicts has received in Particular disqualifying Practice information
Settings as defined in paragraph c, representation is permissble if:
Clients (1) both the affected clent and prospective client have given INFORMED CONSENT + WHICH IS WRITING..OR
Comment [28] (2)the lawyer who received
To determine whether a conflict is consentable depends on the the ifnormation took reasonable measures
circumstances. to avoidFor exposure
example, to more disqualifying
an attorney cannot information
represent multiple than was reasonably
parties necessaryiftotheir
to a negotiation determine
positions whether to
are completely
Representing Organizations: representadverse
Directly
opposite oftheone prospective
conflictsbut
another, client,
cancommonsalsoandariserepresentation
in transactional matters: for example,
is permissable where theifclients a lawyer are is asked toaligned
generally represent the seller
in interest of athough
even business therein negotiations
is some difference with a in buyer represented
interest among them... by the
Rule 1.13 - Organization as a Client: (i) the disqualified
lawyer, not in the
REPORTING lawyer is timely screened from any participation in the matter and
UP same transaction but in another, unrelated matter, the lawyer could not undertake the representation without the informed consent of EACH client. is apportioned no part of the free moving forward, AND
(continued) (ii)essence,
In
(a) awritten
REPORTING lawyernotice ifemployed
their
OUT ispositions
promptly
or retained are given toanthe
notbyopposite prospective
of one another,
organization client.youthe
represents canorganization
represnt them without
acting through an informed consent (double
its duly authorized check this). Let's say that they positions are opposite of one
constituents.
When is a related
Representing entity a client?
Co-Defendants in Criminal another,
To
(1) determine
(c)
More an likely
except you astocan
organizational whether
bestill
provded there
represent
client
a client: in isisasignificant
paragraph them,
legald,entity,if: potential
they just buthave for
it cannot material
to provideact except limitation,
you each
through withconsider
itsinformed
officers,the following
consent.
directors, factors:
Once you do represent
employees, shareholders, them,and you could
other help themOfficers,
constituets. get to andirectors,
amicable employees
standing where and they
Comment [2]:
Cases: allan
-the
If the
get
shareholders
(1) despite duration
what
lawyer
organizational they
the are
received and
the
lawyer's intimacy
areclient
asking
constituents
efforts
confidential for.
requests ofintheof lawyer's
the
accorance
information
its corporate
lawyer torelationship
from
to organizational
paragraphor provded
investigate with
b, thethe advice
allegations client
client.
highest or clients
authority
toof the related
wrongdoing, involved,
that can
entity act on behalf
interviews madeofinthe theorganization
course of that insists upon or fails
investigation betweento address
the lawyer in a timely
and theand appropiate
client's employees
Rule 1.7 Conflict of Interest - Current (2)
manner the
when
-theother
or functions
entity an one of
action, being
the
was controlled
constituents or a performed
constituents
refusal
are covered to
and supervised of
act,bythe the
that
by Rule byt lawyer
organizational
is clearly a client
violation
1.6 he parent organization communicates
of law, AND with the organization's lawyer in that person's organiztional capacity, the communication is protected by Rule
Clients: Rule of Criminal Procedure 44 - The
Federal (3) the
1.6
(2)
-the likelihood
lawyer
originial
potential ckuebt
for thatcould
reasonably
conflict disagreements
believes
of beinterest
materially thatinwill the arise
harmedviolation
representing and is reasonably
by multiple
the suit against
defendents certain intoa result
the related entity
criminal in substantial
case is so grave injurythe to the organization,
ordinarily a lawyer should decline to represent ore than one codefendant
Right to and Appointment of Counsel (4)
THEN, the likely
the prejudice
lawyer may to the
reveal client
information from the conflict
relating to the representation whether or not
The courst must promptly inquire about the propriety of joint representation and must personally advise each defendant of the right to effective assistance of counsel, including separate Rule 1.6 permits such disclosure (but only if to the extent the lawyer reasonably believes
Case: Strickland
REPORTING
necessary
Less likelyto
representation. v.toprevent
Washington:
UP
be a client:
Unless substantial
there is good injury cause to the organizaton)
to believe that no conflict of interest is likely to arise, the court must take appropiate measures to protect each defendant's right to counsel.
Other relevantCo-Defendants
Representing information: in Civil Remember
(b)
-the
If thereiflawyer is a the
a lawyer no for two
longer
conflict prong
anwhen organization
representstestrepresent
you above
the kows forco-defendents,
initial ineffective
that an officer,
corporate assistance
empoyee,
client
both of themofor counsel.
other This isyou
person
can provide thewith argument
associated withthat
informed many criminal
theconsent
organization AS LONG is defendants
engaged
AS YOU use
thewhen
in action, intents
lawyer they toare
believeacttrying
or to appeal
thatrefuses
you beifable
to act
will inthey todidn't
a matterprovide like the
related to
Cases: Rule 1.7 Conflict of Interest - conviction
the paragraph
(d)
-the
competent repsentation
two entities andcdiligent
and the
that
shall attorney
became is
NOT linked represented
apply
representation with
(i.e. respect
merger)
to eachmultiple to
after co-defendants
information
affectedthe beganofrepresentation
client relating
lawyer the
to asamelawyer's crime. representation
of the first entity of an organization,
Current Clients:
Representing Insurance Companies and The -a violation
-to investigate
potential offorlegal
an conflict obligation
alleged violation
of to the
interest ofinorganization,
law, or
representing ormultiple
a violation of law that
defendents in a reasonably
criminal casemight is sobegrave
imputed the to the organization,
ordinarily a lawyer and decline to represent ore than one codefendant
should
Holloway
-thatdefend
-to is likely v.theArkansas:
toorganization
result in substantial or an officer, injuryemployee, to the organizationor other constituent associated with the organization against a lclaim arising out of an alleged violation of law
3rd persons: Rule 1.7 Conflict of Interest - if a trial court improperly requires joint representation over timely objection, reversal is automatic.
Current Clients then potential
The the lawyer forshallconflict proceed of interestas is reasonably
in representing necessary multiple in the best interest
defendents in aofcriminal
the organization
case is so grave the ordinarily a lawyer should decline to represent ore than one codefendant
Rule 1.8 Conflict of Interest, Current (e) a lawyer
Cuyler v. Sullivan: who reasonably believes,
Clients, Specific Rules: UNLESS
-that
If
(f) noa lawyer
one the
they objects
have lawyer
shall beento reasonably
notadischarged
accept
conflictcompensation believes
because
arising from that
of the
afor isrepresenting
joint is representation,
not necessary
lawyer's actionsa client indefendant
taken the
from bestoneinterest
pursuant of the
to paragraph
other
need than
only the organization
show b the OR,to do
or c,unless,
client conflict so, theaffected
actually lawyer shall (had refer the matter
an adverse impact to higher
on) theauthority in the organization,
representation.
including,
-who
(1) thewithdraws
client if warranted
gives underinformed by theconsent,
circumstances circusmtances, that require to the orhighest
permit authority
the layer to that takecanaction
act onunder behalf of the
either oforganization
those paragraphs, as determined by applcable law.
Chapter 8: Mickens
shall
(2) there
Conflicts proceed v. Taylor:
noas
isInvolving the lawyer
interference Former reasonably
with the lawyer's
Clients believes necessary toofassure
independence professionalthat thejudgment organization's or with highest authority is relationship,
the client-lawyer informed of the andlawyer's dischage or withdrawal.
Rule 1.9 Duties
Analyzing former
to client
Former Clients:under If
conflicts (3)
(a) trial
**Note judge
thatclient
information
former is not
Rule aware
1.13
relating
of lawyer: toofrepresentation
protects aalawyer
conflict,
the corporatewho "prejudice
hasaclient
of client
formerlywillis be
against assumed
protectedwrongdoing
represented as only
required
a client if the
against inbyconflict
its
a Rule
matter, has
constituents,
1.6 shall significantly
notbut it does
thereafter affectednot
represent counsel's
protect the performance
another publicperson against
in the wrongdoing from the corporationRELATED
same or a SUBSTANTIALLY itself.
Rule 1.9
When does a client become a former (f)thein dealing
MATTER,
Is person with
inwhose
which aninterests
organization's
the person's present interestdirectors, officers,
are MATERIALLY
a conflict a formeremployees, client?ADVERSE members, to the shareholders,
interest of the or other
former constituents,
client, unless a lawyer
the former shallclient
explain gives the informed
identity ofconsent,the client when theinlawyer
confirmed writing. knows or
Wheat
reaosnably v. United
should States:
client? (b)
Is
-the
Courtso,previous
is
client
may thefires
disqualifytheknow
situation
client of at
lawyer that
alawyer's
issue
lawyer OR, the
theformer
onSAME
organization's
the basis firm:aMATTER oflawyer
interests
an actual asshall
oror are adverse
SUBSTANTIALLY
not knowingly
potential
to those
conflict
ofRELATED
represent
even
theaconstituents
overpersonthetodefendant's
inthethewith
one same whom
on or
which a the
waiver.
lawyer
substantially
you is related
represented dealing. thematter
former in client?
which a firm with which the lawyer formerly
"Hot Potato Doctrine" was aso,lawyer
-lawyer
If associated
arewithdraws
theispresent had at
approached previously
client's by interests
the natural represented
end point
a prospective MATERIALLY ainclient:
client the seeking ADVERSE
representation representation(i.e.totsending
heinformera matter client?
a disengagement
adverse to an letter)
existing client, the present-client conflict may not be transformed into a former client
Definition of "matter" (g)a
(1)
If so,
-lawyer
conflict
the lawyer
whose hasbywithdraws
definition representing
interests
the the lawyer
oflawyer's are
for
matter some an organization
materially
sought withdrawl
depends and
other onadverse
obtained
good
from
the facts may
reason
the of also
torepresentation
informedthat (see represent
a person,
consent and
rule 1.6(b)).
particular of any
the of
from
situation theits
existingor directors,
former client,
client.
transaction. offiers,
A confirmed
premature employees,
The lawyer's in writing?
withdrawal shareholders,
involvement violates in the etcmatter
the subject
lawyer's cantoobligation
privisions
also ofofloyalty
be a question Ruleof 1.7
todegree.
the existing
Whenclient a lawyerand hascan been
constitute
Definition of "substantially related" a(2)breach
about
directly
the of whom
involved
definition the
theofclient in alawyerlawyer
specific
substantially had acquired
contract
transaction,
related is information
ofwhether
employment.
subsequent protected
representation
they involve thebysame rules 1.6 and
oftransaction
other 1.9(c)
clients of with thatmaterially
legal is material
dispute iftothere
oradverse the matter,
interets
otherwise unless
in isthata the former client
transaction
substantial clearly
risk gives
that informed consent,
isconfidential
prohibited. confirmed in
factual information as writing
would
Rule 1.10 Imputation of Conflicts of **Note that
normally have paragraph
been obtained disqualifies inthe the prior attorney
representation from representing
would materially the client only when
advance the lawyer
the client's position has in ACTUAL
the subsequent KNOWLEDGE matter. For ofexample,
information protected
a lawyer whoby hasrules 1.6 and 1.9(c).
represented a
Interest - General Rule businesssperson
(a) imputation when and alearned lawyerextensive brings conflict privatetofinancial a new firm: information
while lawyers about are thatassociated
person may in not thennone
a firm, representof them thatshallperson'sknowinglyspouserepresent
in seekinga client a divorce.whenNote any that any information
of them practicing alone that has
Other relevant information: alreadybe
would
lawyers been
who disclosed
prohibited
have from
separate to the soing public
practies so by orrules
but other
who1.7 parties
share andofficeadverse
1.9, unless:
space to your
may be client will not abelaw
considered disqualifying.
firm for the convlicts purposes if their file management and communication might permit one
(c) athe
(2)
lawyer lawyer
in thewho
prohibition office has formerly
istobasedhave upon access represented
rule 1.9(a)a or
to confidential client in a arises
(b) information
and matterout or whose
of
about the present
disqualified
a matter or former
being lawer's
handled firm by has
association
anotherformerlywith
lawyer arepreented
prior
(in thisfirm, a and:
client inthe
situation, a matter
following shallrules
not thereafter,
will apply: Rule 1.6(c) and Rule
Chapter 9: (1)
(i) usedisqualified
the
5.1(a)
Conflicts information
between lawyer relatingisto
Lawyers the Clients
timely
and representation
screened fromtoany theparticipation
disadvantageinofthe thematter
formerand client, except as these
is apportioned no part rules of permit
the freeottherefrom,
require with respect to a client, or when the information has
Rule 1.5 Fees become
(ii)
(a) awritten
lawyergenerally
notice
shall not known, makeOR
ispromptly angiven agreement to anyfor, affected charge former
or, orclientcollege to an enable thte former
unreasonable feeclient
or antounreasonable
ascertain compliance amount for with the provisionsbe
expenses...(must of reasonable
this rule, which undershall include:
the circumstances), the
Rule 1.5 Fees
Forbidden and(continued)
Restricted Fee and (2)description
-a areveal
following
(c) fee may information
facts ofshould
be the screening
contingent relating to
thethe
on procedures
be considered outcomerepresentation
whenemployed, determining
of the matter except foraswhich
whether these a fee rules
theisservicewouldispermit
reasonable: rendered, or require
exceptwith in a respect
matter in to which
a clienta contingent fee is prohibited by paragraph d or other law. A
Rule 1.5 Arrangement
Expense Fees (continued) -a statement
(1) the time
contingent
Dividing feesfee ofbetween
and the
labor
agreement:firm's and ofthe
required,
lawyers: thenovelty
screenedand lawyer's
difficulty compliance
of the questions with these rules and the skill requisite to perform the legal service properly,
involved,
Rule 1.8 **Note
-a
(2) statement
shall
(e)
(a) athe what
belikelihood,
lawyerin writing
division they
that
of areview
shall mean
if apparant
signed
fee
not by
may
between
enter "except
byinto be
the client as
aavailable
tolawyers
the
business these
client,and,
who beforerules
that
are the
transaction awould
not thepermit
tribunal,
acceptance
in with same ofor
a client firm require
theormayparticular
be
knowinglywith made respectonlytoif:an
employment
acquire a client"
will preclude
ownership, other employment
posessory, security orby the lawyer,
other pecuniary interest adverse to a client unless:
Rule 1.8 (continued) Forathe
-an
(3)
shall
(1)
(h) example:
agrement
fee the
state
division
transaction
lawyer lets
by
customarily
method
shall say
isthe
inand
not: frmformer
by to
charged
proportion
termswhich client
respond
on in
the
to
which gives
thepromptly
fee is informed
locality
services
the beto
tolawyer for any consent
written
similar
determined,
performed
acquires (Rule
legal
bytheinquiries 1.6(b)),
service,
including,
each lawyer
interest orare then
objections
orfaireach onelawyer
and of
bythe
reaosnable exceptions
theassumes
former to theclient
joint in responsibility
client1.6(b)
about andtheapplies,
arescreening
fully other
for exceptions
theprocedures,
disclosedrepresentation, such
and as 1.13(c)
and transmitted in writingorganization
in a manner or 1.14(c)
that can client
be with
New York Rule 1.5 disability,
(iii)
(4)
the
(2)
(a) the
reasonably
(1) certifications
make amount
percentage
client
nonrefundable anmight agrees
understood
agrement also
of
involved
of to
advance apply
compliance
percentages byand
the thethat
arragement,
prospectively
the client
payments with
results
shall these
limited
with obtained
acrue
including
no rules
theprior and
tolawyer's
the
thelawyerwithability
lawyer
share the
in screening
each
client the event
lawyer
to a client
relationship procedures
of
will settlement,
forreceive,
malpractice,
are are
and
generally provided
trial, or
theunless to
appeal
agremement
viewed asthe
the former
client is is
unreasonable client buinthe
confirmed
independently screened
writing, and lawyer
represented and bythe
in making a partner
agrement of the firm, at eaosnable
Contingent Fees intervals
(5)
litigation
(3)
(2)
(d)
The the
asettle time
total
lawyer
concerns upon
clientaand the
limitations
isother
fee
claim
shall isor
about former
not expenses
reasonable
adviced potential
enterinclient's
imposed
contingent to
writing
into claimbeby
an
fees written
of the
deducted
for thesuch
arrangement
are request
client
desirablity
the or for,
from
liability
following: and
by the
the of upon
with
charge antermination
circumstances,
recovery
seeking and,is given
orunrepresented
and
collect of the screening
client
a reasonable
or former procedures.
opportunity
client unless to seekthat the person advice is advised
of independent in writing legal
of thecounsel
desirability
on the transaction;
of seeking and andis given a
Rule 5.4 - Professional Independence of a **Note
**Note:
(6)
whether
(3) athe
reaosnable
(4)
concern non that
screening
nature
such
client the and
gives duty
expenses
opportunity
refundable
about is
the
dishonesty of
never
informed confidentiality
lenght
are
to
retainer available
to
seek
and ofbe professional
consent,
fee, thededucted
advice
provided
overreaching indoes
when a of the
beforenot
writing
that
by aend
conflict
relationship
or when
after
signed
intdependent
lawyer
lawyers a representation
is with
between
the
by
legal
may thethe
contingent two
client,
counsel
enter intoclients.
client fee
toin
athe ends,
connection
retainer it agreement
isessential continues
calculated terms of
therein indefinitely.
the atransaction
with client contianing and thealawyer's reaosnable roleminimum
in the transaction,
fee clauseincludingif it defineswhether
in plain thelanguage
lawyer isand
Lawyer (7) athe
*Note
**To
representing
sets
incentive
(a) forthexperience,
decipher
all
lawyer of the
the
for the if
lawyers
or law thereputation,
elements
client
circumstances attorneys
firm toinuse in improper
the
shall and
paragraph
have
transaction
under
not ability
joint
which
share clegal
are
tactics of mandatory.
such the
responsibility,
tofee
fees lawyer
may abe
maximize
with or
you
If lawyers
thewill
incurred agreement
recoveries
nonlawyer haveperforming
and tohow
except, note
is signed the services,
it whether
will by the
in the
be calculated client eventor meets
of disciplinary
all of the action elements or malpractice
in paragraphsuit, c, than
the lawyers
the contingent agree to feeshare
violates
responsibility
Rule 1.5(c). as if
(b) payment
(8)
they when
conversely,
(1) werealaw
whether lawyer
the feehas
topartners.
settling
partner's iscasesterminated
fixedSo
orfor aorlawyer
less
associate's ancan't
contingent
than associationjust refer
they're
estates worth witha so a they
case,firm, the
sitcanback, firm
move and isonNOT
split
to the PROHIBITED
the fee. The
next client lawyer from who representing
wants to share a personthe fee with hasinterests
to keepmaterially
an eye on adversethe case to those of
because heaorclient
she is represented
liable if
by the
(example,
The
something
(d)
(2)
(a) priorformerly
agreement
apurchase
lawyer toifgoes there
the
price
shall assicated
must is
toaclearly
wrong.
conclusion
hold client
deceased lawyer:
propertyofnotify
that is clients
the
collecting
representation
lawyer's
of client or of
estate, of
life
aany
when
third insurance
expenses
client, a lawyer
purchasing
persons thatbenefits
for which
shall
isthein under
not
apracticethemake
lawyer's aclient
$15,000 will
aordeceased
ofpossession policy
be liable
negotiate and whether
the attorney
an agreement
inlawyer
connection or giving
with notaisrepresentation
the
charging
client
the lawyeris
themtheliterary
$1/3
prevailing
separate oforthat, party.
media
from sothe$5,000,
Upon
rights toconclusion
lawyer's that would
a portrayal
own be
oforaunreaosnable
property. contingent
account
Fundsbased fee
shallgiven
inbe
(1) non-law
that
matter, the
substantial
kept
(3) in matter
there athe ispart
lawyer
separate ison
little the
employment time same
shall
account. and
information orlabor
provide SUBSTANTIALLY
compensation the
required
relating client to for
planwith
the this RELATED
a written
matter,
representation statement
and (Note
theto amount
thatthat in this
stating which
ofthe time
does theinvolved
outcome
notformerly
mean of thein associated
thatsuch
matter matters
a lawyer and, lawyer
ifisthere
very
representing represented
is
little, andthe
a recovery,
a client inclient,
also, showing
athere ANDis the
transaction no risk
remittance
of non-recovery
concerning toliterary
the clientakaand
propertynotthegetting
method
from yourof its
agreeing
2) any
(b)
money
determination.
that
(4) the lawyer
acourt-awarded
lawyer
or may
getting
lawyer's remianing
deposit
paid
feelegalshall in
the
because
fees the
consistwith firm
lawyer's
clearly
of ahas
nonprofit own information
there
share funds
nisoenershipin aprotected
already
organization client
a in
largethe
that trustby account
sum Rules
property)
employed, that will 1.6 forand
be
retained the 1.9(c)
givenorsole tothat
yourisclient
purpose
recommened material
ofemployment
paying
so theyto thebank matter.
will service
be
of charges
ablelawyer
the to pay). on that account, but only in an ammount necessary for
that purpose.
(c)
(b) athe
EXCEPTIONS
Financial lawyer
scope shall
of TO
Assistance thedeposit into aCONTINGENT
representation
SETTING
to a Client: client
andtrust basisaccount or rateFEES legal
of the fees
fee and andexpenses
expensesfor that whichhavethe been client paid willin beadvance,
responsible: to be withdrawn by the lawyer only as fees are earned or expenses
incurred.
shall
(d)
(e) A be
a lawyer communicated
lawyer shall
SHALL NOTNOT to
enter the client,
into
provide preferably
anfinancial
arragement infor,
writing,
assistance charge, or collect:
to a client in connection with pending or contemplated litigation, except that:
Lawyer as Custodian of Client Property (d) beforeupon
any or receiving
feewithininmay a domestic
funds or other
aadvance
reasonable relations time property
after
matter which
in which arepresentation,
commencing involve
client or third person has an interest, a lawyer shall promptly notify the client or third person AND shall promptly deliver to the
the payment or amountofofwhich whichmay is contingent uponon thethe securing of of a divorce or upon
(1) a lawyer court costs and expenses
client or third person any funds or other property that the client or third person is entitled to receive. in litigation, the repayment be contingent outcome the matter, and the amount of alimony or support, or
and Documents: except when the lawyer will chargeor a client
regularly represented clientoron thewhich
sameoftwo basis
Rule 1.15with
Conflicts - Safekeeping Property and
Lawyer's Personal
property
(2) when
(e) a lawyer settlement
therepresenting
course inoflieuthe anthereof,
indigent
representation amaylawyer pay iscourt costs
in possession expenses
in orormore
litigation rate.onpersons
behalf of (onethe of client
whom may be the lawyer) claim interestsm the property shall be kept
Anya changes
(2)
separate contingent
by thein thefee basis
lawyer or rate
for representinig
until the of thea fee
dispute is or
defendant expenses
resolved. in aThe shall
criminal
lawyeralso case be
shall communicated
promptly to the client.
distribute all portions of the property as to which the interests are not in dispute.
Business Interests **Note that lawyers can pay for the court costs and litigation expenses, including the expenses of medical examination and the costs of obtaining and presenting evidence, because these
Rule 1.8(j)
Former1.8(c) Sexual Relationships
Government with
Lawyers in Current (c) a lawyer
advances areshallvirtually not solicit any subtantial
indistinguidable fromgift from a client,
contingent fees and including
help ensure a testamentary
access to gift, the courtsor prepare on behalf of a client an instrument giving the lawyer or a person related to the
Clients Practice
Private lawyer
(j) a lawyer any substantial
shall not have gift sexual
unless relationships
the lawyer orwith othera recipient
client unless of the gift is related
a consensual sexualto the client. Forexisted
relationship the purposes between of this
themparagraph, related persons
when the client-lawyer include a spouse,
relationship started.child,
(this alsograndchild,
includes
Rule 1.11 Special Conflicts of Interests parent,
that
**Note grandparent,
a lawyer
that infrom general, a or firm other
should relative,
nonrefundable, not have oradvance
individual
sexualpayments with whom
relations the
withprohibited.
are lawyerAorlawyer
a constituent thethe
of client
maymaintains
same afees
firm or organization
withdraw close, from familial
a who
client relationship
supervises,
trust account directs, or regularly
as lawyer earns them.consults with that
Anything leftlawyer
over isconcenring
to be
Chapter
for Former 10:and Current Government **Note
the
Conflicts
refunded that
organization's
to the rule
between
client. legal prohobits
Lawyers
Exception matters. toSOLICITING
and this is generala retainer
Clients substantial feesgift,which it does
are paid NOTtoprohibit secure the receiving
lawyer's a gift.
availability on an ongoing basis. They are earned when they are received.
Officers
What and Employees
is personal and substantial (a) except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government:
participation? (1) participate
-to is subject to"personally" Rule 1.9(c) means and, directly, and includes the participation of a subordinate when actually directed by the former government employee in the matter.
What harm is 1.11(a) meant to prevent? Diminish
(2) shall not
-Substantially theotherwise
means
risk thatrepresent
of subsequent the employee's a clientof
misuse in connection must
involvement
information with
obtained a matter
be in government.
ofbysignificance
the which the to the lawyermatter, participated
or form apersonally basis for a and substantially
reasonable appearanceas a public of such officer or employee,
significance. unlessmore
It requires the appropiate
than official
government
responsibility,
Remove incentive agency
nowledge,togives its
gain perfunctory,
later informed
advantages consent,
involvement,
through confirmed
methods inof
or involvement writing
gatheriing onto antheinformation
representation
administrative thatorare peripheral
availableissue, only but to the thegovernment,
single act ofsuch approving or participation
as grand-jury investigation.in a critical step may be
**Note that
sunstantial.
Remove incentiveRule 1.9(c) to begin states that a lawyer
proceedings as amay not use or
government agentreveal with informaiton
a view to obtaining relating toa the representation
subsequent advantage of a client
in private practice.
**Note that the former governmetn lawyer is prohibited from representation ONLY IF the lawyer "participated personally and substantially" in the matter while working for the
government.
**Matter means: Accoridng to Rule 1.11(e) (1) any judicial or other proceeding, applicatin, request for a ruling or other determination, contract, claim, controversy, investigation, charge,
accusation, arrest or other particular matter involving a specific party or parties, and (2) any other matter covered by the conflict of interest rules of the apporpiate government agency
**Also to detemine if two particilar matters are the same, the lawyer should consider the extent to which the matters involve the same basic facts, teh same or related parties, and time
elapsed.
Current Government Lawyers in Former
Private Practice
Rule 1.11 Special Conflicts of Interest for
Former and Current Government Officers
and Employees (d) except as law may otherwise expressly permit, a lawyer currently serving as a public officer or employee:
Conflicts Involving Judges, Arbitrators, (1) is subject to Rules 1.7 and Rule 1.9, and
and Mediators (2) shall
See not: Code of Judicial Conduct
the Model
(i) participate
(a) a judge shall in not
a matter in which
initiate, permit,the
orlawyer
consider participated personally and substantially
ex parte communications, whilecommunications
or consider other in private practice or nongovernmental
made employment,
to the judge outside the presenceunless theparties
of the appropiate governmetn
or their lawyers,
agency
Note
concerninggives
that its informed
it aispending
professional consent,
or impending
misconductconfirmed
matter, in writing
for aexcept
lawyer astofollows
knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules
(ii) when
(1) negotiate for private require
circumstances employment
it, ex with
parte any person who isfor
communucation involved as a party
scheduling, or as a lawyer
administrative, for a partypurposes,
or emergency in a manner
whichin which theaddress
does not lawyer substantive
is participating personally
matters, and substantially,
is permitted, provided:
except
(i) that a reasonably
the judge lawyer serving as a that
believes law clerk to awill
no party judge,
gainother adjudicative
a procedural, officer oror
substantive, arbitrator may negotiate
tactical advantage as a for private
result of theemployment as permitted by
ex parte communication, rule 1.12(b) and usbject to conditions
and
stated
(ii) theinjudge
Rulemakes1.12(b)provision promptly to notify all other parties of the substance of the ex parte communication, and gives the parties an opportunity to respond.

Rule 2.9 Ex Parte Communications

Rule 2.11 Disqualification (a) a judge shall disqualify themselves in any proceeding in which the judge's impartiality might be reasonably be questioned, including but not limited to the following circumstances:
-the judge has a personal bias or prejudice concerning a party or party's lawyer or personal knowledge of facts that are in dispute in the proceeding,
Chapter 11: -close
Lawyers personal
Dutiesrelationship
to Courts
General duties of truthfulness and fairness No
-economic
frivolous interest
claims or arguments,
Meritorious and Frivolous Claims and -contributions
No
a false
lawyer shall to
statements
not judge's
bring campaign
to tribunals,
or defend a proceeding, or assert, or controvert an issue therein, unless there is a basis is law and fact for doing so that is not frivolous, which includes a good
Defenses -public
No
faith false statement
evidence
argument forbyanjudge
extension, modification, or reversal of existing law
Rule 3.1 - Meritorious Claims and -previously involvement by judge
Contentions **Note that the filing of an action or defense or similar action taken for a client is not frivilous merely because the facts have not first been fully substantiated or because the lawyer
expects to develop vital evidence only by discovery. What is required of lawyers, howver, is that they inform themselves about the facts of their clients cases and the applicable law
and determine that they can make good faith arguments in support of their clients positions...
(a) A lawyer shall not knowingly:
(1)
Alsomakesuchaaction
false statement of facteven
is not frivolous or law to a tribunal
though or fail
the lawyer to correct
believes thatathe false statement
client's of material
position ultimately factwill
or law previosly
not prevail. Themade to the
action tribunal by
is frivilous, the lawyer,
however, if the lawyer is unable to either
(2)
make faila to disclose
good faith to the tribunal
argument on thelegal authority
merits inaction
of the the controlling
taken or tojurisdiction
support the konwn to the
action takenlawyer
by a to be directly
good adverse for
faith argument to the position of modification
an extension, the client andornot disclosed
reveral by opposing
of existing law.
counse,
A lawyer
(3) for the defendant
offer evidence in a criminal
that the lawyer knows proceeding, or the
to be false. ----if respondant
a lawyer, in a client,
lawyer's proceeding that could
or a witness result
called by thein incarceration,
lawyer, has offered may nevertheless so defend
material evidence thelawyer
and the proceeding
comesastotoknow
require that
if its
every
failsity, element of the
the lawyer case
shall bereaosnable
take established. remedial measures including, if necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a
Truth and Falsity in Litigation
defendant in a criminal matter, that the lawyer reasonably believes is false.
Rule 3.3 Candor Toward the Tribunal The lawyer's
(AKA if yourobligations
client is theunder this rule
defendant in aare subordinate
criminal to federal
matter and insists or
of state constitutional
testifying, even if you lawreaosnably
that entitles a defendant
believe (but do notin aknow)
criminalthematter to the
testimony assistance
is false, of counsel
you have in presenting
to let your client a
Comment [4] claim
Legal or contention thaontotherwise wouldfalsebe prohibited byofthis rule
testify.argument
This rulebased
also appliesa knowingly
in prelimiary representation
proceedings, like alaw constitutes dishonesty toward the tribunal. A lawyer is not required to make a disinterested exposition of the law, but
deposition
Comment [6] must
If recognize
a lawyer knows thethat
existence of pertinent
the client itnents tolegal authorities.
testify false or wants the lawyer to introduce false evidence, the lawyer should seek to persuade the client that the evidence should not be
Comment [8] Note
offered.
(b) that thiswho
a lawyer probition of offeirng
represents a clientfalse
in anevidence onlyproceeding
adjudicative applies if theandlawyers
who knows knows thea the
that personevidence
intentsistofalse.
engage, is engaging or has engaged in criminal or fraudulent conduct related to
Narrative Testimony -if
thethe
Some persuasion
jurisdictions
proceeding isallow
shall ineffective
take narrative andtestimony
reasonable the lawyertomeasures,
remedial continues to represent
be said regardless
including, the
ififthe client, knows
lawyer
necessary, the lawyer
disclosethattomust
some refuse
of it ortoalloffer
the tribunal. of itthe false evidence.
is false, in this situation, trie to dissuade the client from testifying false,
Remedial Measures -ifthe
on
If only a portion
thedefendant
witness of aask
stand, witness's
presented the testimony
dfendant
false evidence, will
to tell be false,
thetheir the
andlawyer
storymust
attorney dont amay
makeinterrupt callthem,
disclosure thetowitness
dont to testify
direct
the court it isbut
asexamine may
them,not
reaosnably elicit
just or otherwise
let them
necessary totalk permit
themselves
remedy the
andwitness dotonot
theneven
the situation, ifpresent the
refer so
doing testimony
to the thethat
defendant's
requires the to
trial
lawyer
lawyer
testimony
reveal knows is
information
in false
closinig otherwise
argument. pritected by rule 1.6
(c) the duties stated in paragraphs a and b continue to the conclusion of the proceeding, and apply even if complaince requires disclosure of the information otherwise protected by Rule
Concealing Evidence 1.6
A lawyer shall not:
(a) unlawfully obstruct another party's access to evidence or unlawfully alter, destroy, or conceal a document ot other material having potential evidentiary value.
A lawyer shall not counsel or assist another person to do any such act,
(b) falsify evidence, counsel, or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law
**Note that it is NOT improper to pay a witness's expenses or to compensate an expert witness on terms permitted by law. The common law rule is most juridictions is that it is improper
to pay an occurence witness any fee for testifying and that it is improper to pay an expert witness a contingent fee

(c) knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists;
(d) in pretrial prodceudre, make a frivolous discovery request or fail to make reaosnably diligent effort to comply with a legally proper discovery requet by an opposing party
Rule 3.4 Fairness to Opposing Party and (e) in trial, allude to any matter that the lawyer does not reaosnably believe is relevant or that will not be supported by admissable evience OR assert personal knowledge of facts in an
Counsel issue except when testifying as a witness, OR state a personal opoiion as to the justness of a cause, the credibilty of a witness, the culpability of a civil litigant, or the guilt or innocence of
an accused.
Rule 3.6 Trial Publicity (f)
(a) request
a lawyera who
person other than a client
is participating or hastoparticipated
refrain frominvoluntarily givingor
the investigation relevant ifnormation
litigation toshall
of a matter another
not:party unless:
Comment [7] (1)
(1) the
make person
extrajudicial is a relative
a extrajudicial
statements or anotherwise
statement
might employee or
that theraiseother
lawyer gent ofunder
knows
a question ora reaonsably
client
thisAND
rule,should
MAYknow will be disseminated
BE PERMISSBLE, by means
when they of public
are made communication
in reasponse ANDmade publicly by another party,
to statements
(2) will
(2) the lawyer
another have
party'sa reasonably
substantial believes
likelihood
lawyer, or third that
ofthe
persons, person's
materially
where itnerests lawyer
prejudicing
a reasonably will
an not be adversely
adjudicative
would affected
proceeding
believe by
a publicin refraining
the matter
response from givinginsuch
is REQUIRED information
order to avoid prejudice to the lawyer's client. If the attorney does
Rule 3.7 Lawyer as Witness respond,
(a) the shall
a lawyer response must
not act as be
an limited
advocate to at
contain
a trial only suchthe
in which nformation
lawyer isaslikely
is necessary to mitigatewitness
to be a necessary undue unless:
prejudice create by the statements made by others.
(b) the
(1) notwithstanding paragraph
testimony relates a, a lawyer may
to an uncontested issue; sstate:
(1)lawyer
(2)
A claim,
shalloffense,
the testimony or to
relates
not: defense involved,
the nature and except
and value of legalwhen prohibited
services byin
rendered law,
thethe identity
case, OR of the persons involved,
(2) seek
(3)
(a) the information
to influencecontained
disqualification ofa the
judge, in awould
lawyer
juror,public record
work
prospective substantial hardship
juror or other on by
official themeans
client prohibited by law
(3) communicate
(b) that rule
**This an invstigation
does not of awith
prohibit
ex parte matter
a such isainperson
lawyer progress,
from testifying
during the inproceeding
a trial, its meant
unlesstoauthorized
prohibit a tolawyer
do sofrom representing
by law a client as advocate at trial if the lawyer is liekly to be a necessary
or court order
(4) communicate
the schedulingwith
witness.
(c) or result
a jurorof or
any step in litigation
prospective juror after discharge of the jury if:
(5) the
(1) request for assistance
communication is in obtainingbyevidence
prohibited and information
law or court order necessary in that
(6) the
(b)
(2) warning
a lawyer of made
may
juror has danger concenring
act asknown
an to the the
advocate in abehavior
lawyertriala in of anot
which
desire person
another involved,
lawyer iswhen
to communicate, the there is reason
ORlawyer's firm is to belive
likely thatcalled
to be there as
exists the likelihood
a witnes of substantial
unless precluded harm so
from doing to ny
theRule
an individual or to the
1.7 and 1.9
public
(3) the interest, AND involves misrepresentation, coercion, duress or harrassment,
communication
Rule 3.5 Impartiality and Decorum of the (7)in a criminal case, in addition to 1-6,: the lawyer can state the (i) the identity, residence, occupation and family status of the accused, (ii) if the accused has not been apprehended
Tribunal informationinnecesary
(d)engage to aid in apprehenion
conduct intended of that person, (iii) the fact, tiem, and place of arrest, (iv) the identity of investigating and arresting officers or agencies and the lenght of the
to disrupt a tribunal
inestigation
Chapter 12: Lawyers Duties to Adversaries and Third Persons
Truthfulness
In the course of representing a client, a lawyer shall not knowingly:
(a) make a false statement of material fact or law to a third person
(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6
Rule 4.1 Truthfulness in Statements to **Note that if you put together Rule 4.1(b) and Rule 1.6(b) - if the client has commited a financial crime in furtherance of which the client used the lawyer's services, and the only way
Others: thelawyer can avoid particiapting in it is by the lawyer disclosing, then the lawyer MUST disclose
Comment [1] a lawyer is required to be truthful when dealing with others on a client's behalf, but generally has no affirmative duty to inform an opposing party of relevant facts. A misrepresentation
can occur if the lawyer incorporates or ffirms a statement of another person that the lawyer knows is false. Misrepresentations can also ocur by partially true but misleading statements or
omissions
In that aare
reprsenting the equivalent
client, of affirmative
a lawyer shall alse statements
not communicate about the subject of the representation with a person the lawyer kows tobe represented by another lawyer int he matter, unless the
lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.
Rule 4.2 Communication with Person
Represented by Counsel
The rule applies even though the represented person initiatives or consents to the communication. A lawyer must immediately terminate communicaiton with a person if, after
commending communication, the lawyer learns that the person is one with whom communication is not permitted by this rule.
Comment [3]
This rule does not prohibit communication with a reprsented person, or an employee or agent of such a person, concerning matters outside the representation

Comment [4]
Rule 4.3 Dealing with Unrepresented
Person In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably
shold know that the unrepresented person misunderstands the lawyer's role in the matter, the lawyer shall make reasonable efforts to correct the misunrderstanding. The lawyer shall not
giveinlegal
(a) advice toaan
representing unrepresnted
client, a lawyer person,
shall notother than the
usemeans thatadvice
have noto secure counsel,
substantial puroseif the
otherlawyer
than knows or reaosably
to embarass, delay, should
or burdenknow
thethat
3rd the interest
person, of such
or use a person
methods are or have
of obtaining a
evidence that
Rule 4.4 Respect for Rights of 3rd reaosnable
ciolate possbility
the rights of being
of such person. in conflict owith the interests of the client.
Persons (b) a lawyer who receives a document or electronically stored information relating to the representation of the lawyer's client and knows or reasonably should know that the document or
Rule 3.8 Special Responsibilities of a **Note that when
electronically stored an information
attornes speak waswith this unrepresnted
inadvertently sent shallperson, they notify
promptly have totheidentify
sender.the lawyer's
(often usedclient, and wherefaxes,
for misdirected necessary explain
emails, thatdocuments
or other the client has interestssent
mistakenly opposed to those of
to oppposing
Prosecutor (a) refran Also,
unrepresnted
counsel). from prosecuting
person.
if a lawyer knows a charge thatthat the prosecutor
something was sentkows is notby
to them supported
mistake, by theyprobable
also arecauserequired to inform the sender of this in order for them to take protective measures
(b) make reasonable efforts to assure that the accused has been advised of the right to, and the prodecure for obaining, counsel and has been given reasonable opportunity to obtain
counsel,
A lawyer
**This shall
rule alsonotdoesmakenotaprohibit
false oramisleading
lawyer from communication
negotiating the about
terms theoflawyer or the lawyer's
a transaction or settling services.
a disputeA communication is false
with an unrepresnted or misleading
person. So long asof the
it contains
lawyer ahasmaterial
explained that the
(c)
lawyernor seek
misrepresentation to obtain
represnts fromofan
anofadverse
fact unrepresnted
law,
party orand
omits accused
a fact
is not a waiver
necessary
reprsenting of important
thetoperson,
make the pretrial
thestatement
lawyer rights, such
considered
may: as as the right
a whole nottomaterially
preliminary hearing
misleading.
(d)
informmake thetimely
persondisclosure to theterms
of the clients 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
Rule 7.1 Communications Concerning a with
prepare sentencing,
documents disclose to the the
that require defende
person'sandsignature
to the tribunal
and, all unprivilged and mitigating nformation known to the prosecutor, except when the prosecutor is relieved of this responsibility
Lawyer's Services by a protpective
explain the lawyer's orderown of the
view tribunal (this occurs
of the meaning if the
of the disclosure
document of the
of the defense
lawyer's viewresults
of thein underluing
substantial harm to an individual or to the public interest)
legal obligatons
(e) anot
(a) lawyer
subpeon maya communicate
lawyer in a grand information
jury or other
regarding
criminal
the lawyer's
proceeding services
to present
throughevidence
any media,
about a past or present client unless the prosecutor reaosnably believes:
(1) athe
(b) lawyer
information
shall not sought
compensate,
is not protected
give or promise
from disclosure
anythingbyofany value
appicable
to a person
privilege
for recommending the lawyer's services except that a lawyer may:
(2) pay
(1) the evidence
the reasonablesougt is cost
essential
of advertisements
to the successful
or communications
completion of permitted
a ongoingby investigation
this Rule; or prosecution, and
(3) pay
(2) theretheis usual
no other charges
feasibleof aalternative
legal service to obtain
plan orthea not
information
for profit or qualified lawyer referral service
(f) except
(3) pay forfor a lawstatements
practicethatin accordance
are necesary with
to inform
Rule 1.7 the public of the nature and extent of the prosecutor's action and that serve a legitimate law enforcement purpose, refrain from making
extrajudicial
(4) refer clients comments
to another tht lawyer
have a or substantial
a nonlawyer likelihood
professional
of heightening
prusuant public
to an agreement
condemnation not otherwise
of the accused
prohibited
ANDunder
excercise
thesereasonable
rules that care
provides
to prevent
for theinvestigators,
other person law
to refer
enforcement
clients or
personnel, to
customers employees
the lawyer orif:
other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from
mkaing
(i) the reciprocal
under Rule referral
3.6 oragreement
this rule. is not exlusive AND (ii) the client is informed of the existence and nature of the agrement, AND
(g) give
(5) whennominal
a prosecutorgifts asknows
an expression
of new, credible
of appreciation
or materialthatevidence
are neithercreating
intended
a reaosnable
nor reasnably likelihood
expectedthattoa convicted
be a form ofdefendant
compesation
did not
forcommit
recommending
an offense a lawyer's
of whichserices
the defense was
Rule 7.2 Communications Concerning a conficted, the prosecutor shall:
Lawyer's Services - Advertising (c)
(1) apromptly
lawyer shall not state
disclose or imply to
that evidence thatanaappripiate
lawyer is certified as a specialist
court or authority, and in a particular field of law, unless:
Rule 7.3 Solicitation of Clients (1) the lawyer
(2) soliciation
(a) if the hassolicit
conviction
or been certified
obtainedasina the
wasdenotes: specialist by an jurisdiction,
prosecutor's organization that has been approved by an appropiate authority of the state or DC or that has been accredited by the ABA AND
(2)
-a the name disclose
(i) communication
promptly of theinitiated
cetifuing byorganization
that evidence or ontobehalf isofclearly
the dfendant identified
unless
a lawyer or alaw in
court the
firm communications
authortizes delay AND
(ii) undertake
-that is directed further investigation
to a specific personorthe make
lawyerreasonable
knows or efforts to cause
reasonably an investigation,
should know needs to legaldetermine
serviceswhether the defendant
in a particular was convicted of an offense that the defendant did not commit
matter and
(h) any
(d)
-that when communication
offers a prosecutor
to provide,knows madeservices
legal of
under
clearthis
andRule
for convincing
that must include
matter evidence
the name
establishing
and contact
that ainformation
defenant in of theatprosecutor's
least one lawyer
jurisdiction
or law was
firmconficted
responsibleof an
foroffense
its content
that the defendant did not commit,
the prosecutor shall seek to remedy the conviction.
(b) a lawyer shall not solicit professional employment bu live person to person contat when a significant motive for the lawyer's dong so is the lawyer's or law firm's pecuniary gain,
unless the contact is with a:
-a lawyer
-person who has a family, close personal, or prior business or professional relationship with the lawyer or law firm, or
-person who routinely uses for business purposes the type of legal services offered by the lawyer
(c) a lawyer shall not solicit professional employment een when not otherwise prohibited by paragraph b, if:
(1) the target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer, OR
(2) the solicitation involves coercion, duress or harassment