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}ohn Steele (2u1S)

John Steele (2013) John Steeles students are permitted to use this document to make their own
non-commercial outline solely for their own educational purposes. Version Date: March 31, 2013
2

7J!MD DB@ 7MDB!?: }ohn Steele is a solo piactitionei, iepiesenting clients on matteis of legal ethics,
piofessional liability, iisk management, anu the law of lawyeiing. Foi ovei fifteen yeais, he seiveu as
the top inteinal ethics lawyei at an AmLaw 1uu fiim, wheie he was Special Counsel foi Ethics, anu at
an AmLaw 2uu fiim, wheie he was a tiial lawyei anu litigation paitnei. Be has taught piofessional
iesponsibility foi ovei thiity semesteis at 0C-Beikeley School of Law, Stanfoiu Law School, Santa
Claia 0niveisity, uoluen uate 0niveisity, anu Inuiana 0niveisity - Nauiei School of Law. The Seconu
Ciicuit iecently citeu anu ielieu upon a law ieview aiticle authoieu by Ni. Steele in a case of fiist
impiession on an impoitant conflict of inteiest issue. (!"# %&''()*( "&+,-.&/0 12 3456%(/-()7 88%,
618 F.Su 2u4 (2nu Cii. 2u1u)) Be has seiveu on a vaiiety of piofessional committees, incluuing the
State Bai of Califoinia's stanuing Committee on Piofessional Responsibility anu Conuuct (C0PRAC),
anu seives an aibitiatoi in fee uisputes. Be speaks wiuely to piofessional auuiences, incluuing
pioviuing CLE cieuits, on issues of legal ethics anu iisk management, elimination of bias in the legal
piofession, substance abuse, anu law piactice management, anu is a co-founuei of a leauing blog on
legal ethics, LEuAL ETBICS F0R0N (www.legalethicsfoium.com).

7J!MD DB@ N,,M6D?7DN!C6 !C DB@ O!A@?S The two illustiations symbolize the same concept: the
lawyei's uuties to the client aie balanceu against the lawyei's uuties to society in geneial anu to
paiticulai social systems (e.g., couits, the public maikets, etc.) with which the lawyei is inteiacting.

TMCK7=@CD7, 7UN!= !T ,@/7, @DBNO6: In ciiminal piosecutions, the piosecutoi owes faii piocess anu
a faii iesult to the accuseu anu to society; in all othei matteis, the lawyei owes faii piocess to society
anu owes to the client as auvantageous a iesult as the ielevant legal piocess pioviues; in paiticulai,
in ciiminal uefense iepiesentations, the ielevant legal piocess peimits ciiminal uefense lawyeis to
piesent anu contest issues in ways that othei lawyeis may not.

3
D7J,@ !T O!CD@CD6

NI ?'2"$-#%)& )* #+' ,'2-$ >1)*'44%)& IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII V

7I G+) ?'2"$-#'4 #+' >1)*'44%)&W IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII V
1. State Couits (Auministiative uoveinance) .......................................................................................... 7
2. State Bai Associations ................................................................................................................................... 7
S. State Legislatuies ............................................................................................................................................ 7
4. State Law (Substantive Law) ...................................................................................................................... 7
S. Feueial Law ........................................................................................................................................................ 7
6. The Ameiican Bai Association (ABA) ..................................................................................................... 8
JI 7XY%44%)& #) #+' >1)*'44%)& IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Z
1. Tiuthfulness in the Aumissions Piocess ................................................................................................. 8
2. Chaiactei & Fitness (C&F) Requiiements ............................................................................................. 8
S. valiu anu Invaliu C&F Requiiements ...................................................................................................... 9
OI ?'2"$-#%)& -*#'1 7XY%44%)& IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII P
1. Bai Biscipline .................................................................................................................................................... 9
2. Piofessional Biscipline: Substantive violations ............................................................................... 1u
S. Piofessional Biscipline: Pioceuuies anu Law ................................................................................... 1u
KI >''1 ?'48)&4%[%$%#3 *)1 ?'2"$-#%)& )* ,-.3'14 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ;;
1. Supeivisois anu Suboiuinates ................................................................................................................. 11
2. Law Fiims ......................................................................................................................................................... 11
S. Nanuatoiy Repoiting ................................................................................................................................... 12
@I ,'2-$ ?'2%Y'4 /)0'1&%&2 ,-.3'14 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ;9
1. Ciiminal Law .................................................................................................................................................... 12
2. Bisciplinaiy Law ............................................................................................................................................ 12
S. Civil Law ............................................................................................................................................................ 12
4. Bisqualification Law ..................................................................................................................................... 12
S. Litigation Sanctions ...................................................................................................................................... 12

NNI ,-.3'14\ !0'1]71^+%&2 K"#%'4 #) #+' ,'2-$ >1)*'44%)& IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ;<

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1. Ciiminal Law .................................................................................................................................................... 1S
2. Fiauuulent Conuuct ...................................................................................................................................... 1S
S. Exceptions to the Buty to 0bey the Law .............................................................................................. 1S
JI =-%&#-%& >1)*'44%)&-$ J)"&X-1%'4L G+) =-3 >1-^#%^' ,-. _ G+'1' IIIIIIIIIIIIIIIIIIIIIIII ;<
1. Bo Not Engage in oi Assist 0nauthoiizeu Piactice of Law (0PL) ............................................. 1S
2. Law-Relateu Seivices by Lawyei ............................................................................................................ 14
S. ueogiaphic Limitations on Piactice ....................................................................................................... 14
OI =-%&#-%& >1)*\$ J)"&X-1%'4S T%&-&^%-$ >-1#%^%8-#%)& %& #+' ,'2-$ >1)*'44%)& IIIIIIIIIII ;H
1. Naintain Inuepenuence of the Piofession .......................................................................................... 1S
2. Shaiing Legal Fees with Non-lawyeis .................................................................................................. 1S
S. Non-Client Payeis of Legal Fees .............................................................................................................. 16
4. Piactice of Law with Non-Lawyeis ........................................................................................................ 16
S. Contiactual Restiictions on Piactice ..................................................................................................... 16
6. Sale of Law Piactice ...................................................................................................................................... 16
KI >1) J)&) -&X >"[$%^ 6'10%^' IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ;V
1. ueneial Buty .................................................................................................................................................... 17
4
2. Types of Public Seivice ................................................................................................................................ 17

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1. Commeicial Speech anu Inteimeuiate Piotection .......................................................................... 18
2. Bans on False oi Nisleauing Speech ...................................................................................................... 18
S. Bans on Coeicive Speech ............................................................................................................................ 18
JI K'*%&%#%)&4 -&X ?"$'4 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ;Z
1. "Communications" ......................................................................................................................................... 18
2. "Auveitising" .................................................................................................................................................... 18
S. "Solicitation" .................................................................................................................................................... 19
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1. False oi Nisleauing ....................................................................................................................................... 19
2. Tiaue Names .................................................................................................................................................... 19
S. ueogiaphic Limits on Names .................................................................................................................... 19
4. Lawyei Boluing Public 0ffice ................................................................................................................... 2u
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1. Basic Piohibition on Paying foi Refeiials ........................................................................................... 2u
2. Foibiuuen Refeiials ...................................................................................................................................... 2u
S. Peimitteu Refeiials ...................................................................................................................................... 21

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1. Rules on Communications, Auveitising, anu Solicitation ............................................................. 21
2. Neetings with Piospective Clients ......................................................................................................... 21
JI 7^^'8#%&2 -&X ?'b'^#%&2 7O?4 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII 99
1. "Nust Accept" ACRs ...................................................................................................................................... 22
2. "Shoulu Accept" ACRs .................................................................................................................................. 22
S. "Nay Not Accept" ACRs ............................................................................................................................... 22
OI O1'-#%)& )* #+' 7O? IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII 9<
1. Tests foi Cieation of ACR ........................................................................................................................... 2S
2. Befinition of the ACR .................................................................................................................................... 2S
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1. Natuial Peison Clients ................................................................................................................................. 2S
2. 0iganizations as Clients ............................................................................................................................. 24
S. Nultiple Clients ............................................................................................................................................... 26
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1. Becision-making ("Abiue &Consult") .................................................................................................... 27
2. Communication ............................................................................................................................................... 28
S. Competence ....................................................................................................................................................... 28
4. BiligenceZeal .................................................................................................................................................. Su
S. Confiuentiality, Piivilege & Woik Piouuct Piotection ................................................................... Su
6. Loyalty ................................................................................................................................................................. SS
7. Inuepenuent }uugment ................................................................................................................................. 44
8. Safeguaiuing Piopeity .................................................................................................................................. 44
/I K"#%'4 1'$-#'X #) 7##)1&'34 T''4 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Qc
5
1. Natuie of the Buty ......................................................................................................................................... 46
2. Ethical Buties ielateu to Fees ................................................................................................................... 46
BI D'1Y%&-#%)& )* #+' 7O? IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII QV
1. Tiibunal's Peimission Neeueu aftei Appeaiance ............................................................................ 47
2. Teimination by Client .................................................................................................................................. 47
S. Teimination by Lawyei: Shall Withuiaw ............................................................................................ 48
4. Teimination by Lawyei: Nay Withuiaw ............................................................................................. 48
S. Teimination by Completion of Woik .................................................................................................... 48
6. Teimination by 0peiation of Law .......................................................................................................... 49
7. Pioceuuie foi Withuiawal ......................................................................................................................... 49
8. Buties Peitaining to Teimination ........................................................................................................... 49
NI K"#%'4 +#,"% 7O? %4 #'1Y%&-#'X IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII H:
1. Confiuentiality ................................................................................................................................................. Su
2. Foiwaiuing InfoimationCoiiesponuence ........................................................................................ Su
S. Loyalty Tieu to Confiuentiality ................................................................................................................ Su
4. Loyalty Not Tieu to Confiuentiality ........................................................................................................ Su

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1. Buties to All Thiiu Paities .......................................................................................................................... Su
2. Buties to Repiesenteu Paities ................................................................................................................. S2
S. Buties to 0niepiesenteu Paities ............................................................................................................. S2
JI ?)$'][-4'X K"#%'4 #) 6)^%-$ 634#'Y4 X"1%&2 #+' 7O? IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII H<
1. LitigatoiAuvocate ........................................................................................................................................ SS
2. Evaluatoi ........................................................................................................................................................... SS
S. CounseloiAuvisoi ........................................................................................................................................ S6
4. Negotiatoi ......................................................................................................................................................... S6

ANI 5"X%^%-$ @#+%^4 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Hc

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6
788'&X%d 7S Concise Summaiy of Consents unuei ABA Nouel Rules IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII cQ
788'&X%d JS Betaileu Summaiy of Consent, Bisclosuie, anu Notification
in the ABA Nouel Rules anu the Califoinia Rules of Piofessional Conuuct IIIIIIIIIIIIIIIIIIIIIIII cH
788'&X%d OS Piincipal Biffeiences between Califoinia anu ABA Ethics Rules IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII V:
788'&X%d KS List of Ethics Issues on Recent Califoinia Bai Examination Essay Questions IIIIIIIIIIIIIIIII V<
788'&X%d @S Inuex by Rules (NR anu CRPC) IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Vc
788'&X%d TS A Nnemonic Biiven Nouel foi PR Essay Questions on the Bai Exam IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII VV
788'&X%d /S ulossaiy IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Z9
788'&X%d BS Spotting Issues of Fee Shaiing, Fee Splitting, anu Refeiial Fees IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Z<
788'&X%d NS Summaiy of Exceptions to the Buty of Confiuentiality IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ZQ
788'&X%d 5S Chionology of Ethics Coues anu 0thei Najoi Bevelopments in Legal Ethics IIIIIIIIIIIIIIIIIIII ZH
788'&X%d eS List of vaiious Ethics StanuaiusCoues IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Zc
788'&X%d ,S List of vaiious Types of Clients IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ZV

C!D@ 7J!MD T!?=7D6:
ABA Nouel Rules aie uesignateu: (x.x)
Supeisciipts iefei to Appenuices that may pioviue fuithei infoimation.
7
NI
?'2"$-#%)& )* #+' ,'2-$ >1)*'44%)&

7I G+) ?'2"$-#'4 #+' >1)*'44%)&W
1. State couits (especially state supieme couits).
a. State supieme couits oveisee the legal piofession in that state anu manage the
state bais anu uiscipline piocess.
b. State tiial anu appellate couits iegulate lawyeis appeaiing befoie them. This
incluues iules of pioceuuie, uiscoveiy iules, anu, in feueial couits, Feueial Rule of
Civil Pioceuuie 11, which foibius fiivolous anu baseless litigation anu tactics.
2. State bai associations.
a. Nanuatoiy bais. (All lawyeis who wish to piactice law in that state must join the
bai association; majoiity appioach in the 0S.)
b. voluntaiy bais. (Lawyeis ueciue if they wish to join the bai association; minoiity
appioach in the 0S.)
S. State legislatuies.
a. When a state legislatuie attempts to iegulate the bai, theie is a potential
sepaiation of poweis issue unuei that state's constitution. States vaiy in how
aggiessively they piotect the state supieme couit's contiol ovei the bai.
b. Califoinia has extensive legislative contiol ovei the bai. In the State Bai Act (Cal.
Bus. &Piof. Coue 6uuu, et seq.), the legislatuie has peivasively iegulateu the
foimation anu opeiation of the bai.
(1) Fee agieements aie iegulateu in the State Bai Act.
(2) Bue to histoiical acciuent, the lawyei's uuty of confiuentiality was
uefineu by the legislatuie in the State Bai Act, iathei than in the ethics iules
(i.e., the Califoinia Rules of Piofessional Conuuct). Touay, the ethics iules
miiioi the State Bai Act iegaiuing the uuty of confiuentiality.
(S) The State Bai of Califoinia is a public coipoiation cieateu by statute,
anu all licenseu lawyeis aie membeis of the coipoiation.
4. Substantive state law.
a. Ciiminal law goveins lawyeis.
b. Civil law goveins lawyeis. This incluues the law of legal malpiactice, bieach of
fiuuciaiy uuty, anu fiauu.
S. Feueial law:
a. Agency ethics coues. Nost feueial agencies have piomulgateu ethics coues foi the
lawyeis appeaiing anu piacticing befoie the agency. Foi examples, puisuant to the
Saibanes-0xley Act, the Secuiities anu Exchange Commission, which iegulates
publicly tiaueu companies, has issueu an ethics coue foi lawyeis appeaiing anu
piacticing befoie the SEC.
b. Legislation. Incieasingly, Congiess has passeu legislation that appeais to apply to
activity commonly unueitaken by lawyeis. Because the iegulation of lawyeiing has
tiauitionally been a mattei of state law, the ABA anu lawyeis have askeu the feueial
couits to inteipiet such laws not to incluue lawyeis. But the cuiient 0S Supieme
8
Couit seems inclineu to inteipiet those laws of geneial applicability to incluue
lawyeis.
@d-Y8$': Congiess passeu a law foibiuuing all peisons fiom auvising
people to loau up on auuitional uebt just befoie filing foi bankiuptcy. The
0niteu States Supieme Couit helu that the law applieu to lawyeis.
c. Agency iegulation. Incieasingly, feueial agencies aie seeking to substantively
iegulate the piactice of law. Foi example, the FTC has attempteu to iegulate
lawyeis to the extent that they aie cieuitois of clients.
u. Couit iules anu pioceuuies. Coues of civil pioceuuie often iegulate the auvocacy
of the lawyeis appeaiing befoie the couit. Peihaps the best known example is Rule
11 of the Feueial Rules of Civil Pioceuuie, which limits fiivolous auvocacy.
e. Feueial tieaty obligations. Incieasingly, the feueial goveinment is enteiing into
tiaue agieements anu othei inteinational commitments that iegulate legal piactice.
Because feueial law is the supieme law of the lanu, these iegulations may pieempt
tiauitional, state-baseu iegulations.
@d-Y8$': Suppose that uuiing a iounu of inteinational tiaue talks, the
0niteu States agiees that Austialian lawyeis may iepiesent Austialian
citizens on legal matteis even when the Austialian lawyeis aie locateu in
the 0niteu States. Such a feueial law woulu pieempt state iegulation of the
piactice of law anu the states woulu not have the powei to foibiu the
Austialian lawyeis fiom uoing what the feueial law peimits.
6. The Ameiican Bai Association (ABA) uoes /&- foimally iegulate the legal piofession. Its
ethics iules aie simply a mouel coue that states aie fiee to auopt, mouify, oi ieject. But the
ABA uoes exeit enoimous influence ovei the iegulation of the legal piofession at the state
anu feueial level by piomulgating stanuaius that aie auopteu by couits, agencies, anu bai
associations.
JI 7XY%44%)& #) #+' >1)*'44%)&I
1. Tiuthfulness in aumission piocess.
a. When applying foi aumission to the bai, a stiong uuty of canuoi is iequiieu.
b. Applicants can make no false statements when applying foi aumission. (8.1(a)).
c. Applicants have an affiimative uuty to iesponu to questions fiom aumissions
authoiities. (8.1(b))
u. Applicants have an affiimative uuty to coiiect any factual misappiehension of the
authoiities (8.1(b)).
e. This stiong uuty of tiuthfulness also applies when lawyeis aie being uisciplineu.
@d-Y8$': Applicant iealizes that the state bai's aumissions committee
mistakenly believes that applicant has no piioi aiiests. Even if applicant uiu
not cieate the confusion, lie about aiiests, oi conceal aiiests, applicant has
a uuty to uispel the committee's misappiehension.
2. Chaiactei & Fitness ("C&F") iequiiement.
a. This is a constitutionally peimitteu iequiiement.
b. Right to uue piocess heaiing.
c. Rehabilitation is consiueieu. (E.g., lawyeis who have suffeieu fiom mental illness
oi substance abuse, oi who have committeu a ciime, may offei eviuence of
iehabilitation.)
9
S. valiu anu invaliu consiueiations in C&F ueteiminations foi aumission:
a. valiu consiueiations in C&F ueteiminations:
(1) Ciiminal conuuct.
(2) Concealment of bau acts.
(S) Auvocating unlawful oi violent oveithiow of the goveinment. (Note: a
lawyei may /&- auvocate unlawful, violent oi illegal oveithiow of the
goveinment. Lawyeis '46 auvocate peaceful oi lawful changes in
goveinment.)
(4) The applicant's iefusalagieement to take an oath of allegiance to laws
anu constitution may be consiueieu.
(S) Acts of moial tuipituue (i.e., acts showing lack of honesty), which
incluue:
K'*%&%#%)&:
u
This unusual teim, "moial tuipituue," is a key teim of
ait in the law of lawyeiing. Leain it! Although mouein legal ethics
coues use the teim less fiequently than in the past, the teim iefeis
to conuuct that is inheiently ueceitful anu immoial. uetting a
paiking ticket isn't an act of tuipituue. But lying about getting a
ticket is. Noial tuipituue incluues:
(a) Bishonesty anu fiauu.
(b) Theft.
(c) Concealment of impiopei conuuct.
(u) Conuuct piejuuicial to justice.
(e) Suggesting that you possess impiopei influence ovei juuges anu
officials.
(f) Assisting a juuge oi official violate theii ethics anu iules.
(g) Note: A lawyei may be uisciplineu foi acts of moial tuipituue
occuiiing anywheie in theii lifenot just foi acts while lawyeiing.
@d-Y8$': Lawyei, who is licenseu to piactice in Nontana,
takes a vacation in Bawaii, enteis a fishing contest, anu lies
about his catch in oiuei to win a tiophy. Result: lawyei has
committeu an act of moial tuipituue anu may be
uisciplineu by the state bai in Nontana.
b. Invaliu consiueiations in C&F ueteiminations:
(1) Citizenship, state oi feueial.
(2) Resiuency.
(S) Political views.
OI ?'2"$-#%)& -*#'1 7XY%44%)&
1. Bai Biscipline. We neeu to uistinguish the "uiscipline" systems fiom othei legal iegimes
that punish bau lawyeis:
a. The "uiscipline system" is typically iun by the state bai oi by volunteeis woiking
foi it. (Biscipline can also be auministeieu within a feueial agency oi a feueial
couit.) Bistoiically, it's usually been consiueieu quasi-ciiminal anu punitive in
natuie, because it has the powei to foibiu a peison fiom puisuing his oi hei
occupation. (Noie iecently, some states aie tiying to make state bai uiscipline
10
moie like any othei auministiative licensing piocess anu less like a quasi-penal
piocess.) The uiscipline system cannot impose money uamages oi incaiceiation; it
can impose uisbaiment, suspension, piobation, anu censuie (aumonishment), anu
fees anu costs of the uiscipline piocess.
b. 0thei iegimes. As we will uiscuss below, ( I.B.) lawyeis can also be subjecteu to
ciiminal piosecution; civil law suits foi negligence, bieach of fiuuciaiy uuty, oi
bieach of contiact; motions to uisqualify the lawyei fiom fuithei paiticipation in a
mattei; anu uiscoveiy sanctions foi abusive positions in civil oi ciiminal pietiial
uiscoveiy. Tiy to keep these iegimes uistinct as you uiscuss anu analyze them.
They have uiffeient puiposes anu stanuaius.
2. Piofessional uiscipline - substantive violations. Lawyeis aie subject to piofessional
uiscipline foi:
a. Ciiminal conuuct.
b. Non-ciiminal acts of "moial tuipituue."
u

c. violations of the ethics iules.
u. Seconuaiy liability foi misconuuct. Lawyeis may be uisciplineu foi:
(1) Assisting othei lawyeis oi juuges to commit uisciplinable offenses.
(2) 0sing otheis to commit offenses on theii behalf.
S. Piofessional Biscipline - pioceuuies anu law.
a. The piocess noimally incluues a wiitten complaint; an oppoitunity to iesponu; a
heaiing; anu an appeal.
b. Lawyei owes the "uuty of canuoi" to the uisciplinaiy authoiities. Lawyeis being
uisciplineu have the same stiong uuty of canuoi towaiu the uisciplinaiy authoiities
that applies to people seeking aumission to the bai, as uiscusseu above at IB1.
(1) The lawyei has no iight to iefuse to inciiminate heiself.
c. Lawyei has uue piocess iights.
u. Bisabilities (e.g., alcoholism) aie consiueieu anu oppoitunities to attempt
iehabilitation shoulu be affoiueu.
e. Choice of law:
(1) When the allegeu violation occuiieu befoie a couit oi tiibunal, the
ethics iules of that tiibunal govein the lawyei's conuuct.
@d-Y8$': Lawyei is licenseu to piactice in Wyoming anu then is
aumitteu to piactice 9)& :4* 1.*(
u
("foi that mattei") in Coloiauo,
wheie lawyei engages in fiauu uuiing a tiial. Lawyei is subject to
uiscipline in both Wyoming anu Coloiauo, anu the ethics iules &;
%&+&)4<& will apply in the uiscipline pioceeuings in Wyoming anu
Coloiauo. (Note: The ethics iules of both states aie piobably
iuentical on that issue, but that's not tiue foi all ethical violations.)
(2) Foi othei violations, the site of bau conuuct goveins. Foi the vast
majoiity of uiscipline matteis, that will be a state wheie the lawyei is
licenseu anu piactices laws.
f. Collateial use of finuing of uiscipline violation:
(1) States make automatic collateial use of uiscipline imposeu by othei
state bais.
11
@d-Y8$': A lawyei is licenseu in Naiylanu anu Califoinia.
The State Bai of Naiylanu finus that the lawyei violateu its
ethics iules. The State Bai of Califoinia woulu uiscipline
the lawyei without an inuepenuent heaiing on whethei
the lawyei violateu Naiylanu's ethics iules.
(2) Feueial couits unueitake inuepenuent investigations anu uo
not make collateial use of the uiscipline finuings of othei bais.
@d-Y8$': Lawyei is licenseu in Naiylanu anu Califoinia,
incluuing the 0SBC foi the Bistiict of Noithein Califoinia.
The State Bai of Naiylanu finus that the lawyei violateu its
ethics iules. The 0SBC foi the Noithein Bistiict of
Califoinia woulu not uiscipline the lawyei baseu solely
upon the finuings of the Naiylanu bai, but iathei woulu
open an inuepenuent investigation of the lawyei's conuuct.
KI >''1 ?'48)&4%[%$%#3 *)1 ?'2"$-#%)& )* ,-.3'14
1. Supeivisois
u
anu suboiuinates
u

a. The iules (S.1) mention two kinus of bosses:
(1) "Paitneis" anu peisons of "compaiable manageiial authoiity," "whethei
they be in law fiims oi law uepaitments, must ensuie that the fiim has
"measuies," that is, "inteinal policies anu pioceuuies," giving ieasonable
assuiances that the fiim's lawyeis aie confoiming to the ethics iules. (S.1)
(a) They must also have measuies to ensuie that any non-lawyeis
they supeivise behave in a way that is compatible with the lawyei's
ethical uuties. (S.S)
(2) Lawyeis with "uiiect supeivisoiy authoiity ovei othei lawyeis" shall
take ieasonable steps to ensuie that the supeiviseu lawyei is confoiming to
the ethics iules. (S.1)
(a) They must also take steps to ensuie that any non-lawyeis they
supeivise aie acting in ways that aie compatible with the
supeivisoi-lawyei's ethical uuties. (S.S)
(S) Both kinus of bosses aie iesponsible foi ethical bieaches by othei
lawyeis oi non-lawyeis if the boss oiueis oi iatifies the bieach, oi fails to
mitigate oi avoiu the bieach at a time when the boss coulu have uone so.
(S.1; S.S)
b. Suboiuinates aie bounu by ethics iules notwithstanuing a supeivisoi's oiueis.
(S.2)
(1) Exception: In iesponse to uisciplinaiy chaiges, suboiuinates can iaise
an affiimative uefense that they weie "following oiueis" of a supeivisoi if
the supeivisoi's oiueis weie a "ieasonable iesolution of aiguable question"
of ethics ("RRAQ"). (S.2)
@d-Y8$': Paitnei anu Associate uisagiee on whethei a iequest foi
piouuction of uocuments iequiies them to piouuce a paiticulai
uocument. Aftei uebating the meiits, Associate believes that the
iules of ethics anu the iules of civil pioceuuie aie best ieau to
iequiie piouuction. The Associate also ieasonably concluues that a
ieasonable peison coulu uiaw the opposite conclusion. The
Paitnei instiucts the Associate not to piouuce the uocument anu
12
she theiefoie uoes /&- piouuce it. Result: Associate has /&-
bieacheu hei ethical uuties.
@d-Y8$': Paitnei faileu to finish anu seive hei opposition to a
summaiy juugment motion by the uue uate. Paitnei instiucts
Associate to backuate the pioof of seivice to make it appeai that
the opposition was seiveu on time. Associate complies with
Paitnei's instiuctions. Result: Associate has bieacheu his ethical
uuties, because this is /&- a "ieasonable iesolution of an aiguable
question."
2. Law fiims
a. K'*%&%#%)&: unuei the ABA appioach, a "fiim"
u
is any gioup of lawyeis woiking
togethei as a unit. This woulu incluue piivate piactice fiims the in-house legal
uepaitment at a coipoiation, the gioup of lawyeis woiking at the City Attoiney's
office, anu othei similai gioups. (1.u(c))
b. 0nuei the majoiity appioach in the 0niteu States, law fiims uo not have ethical
uuties. 0nly inuiviuual lawyeis uo! But, because law fiims have paitneis anu
"supeivisoiy lawyeis," as uiscusseu above, those kinus of lawyeis within the fiim
will have an ethical uuty to iegulate legal piactice within the fiim.
c. Fiims cannot be uisciplineu unuei ABA scheme.
@d-Y8$': }unioi lawyeis at a piivate piactice fiim aie stealing money fiom
a client. A paitnei leains of the theft but uoes nothing to pievent it oi
iectify it. The junioi lawyeis anu the paitnei woulu be subject to uiscipline,
but the fiim itself woulu not.
S. Nanuatoiy iepoiting (8.S)
C

a. Lawyeis aie iequiieu to iepoit to the state bai any bieach of the ethics iules that
iaises a "substantial question" about a lawyei's honesty, tiustwoithiness, oi fitness
to piactice.
b. Lawyeis aie iequiieu to iepoit to appiopiiate juuicial uiscipline authoiities any
juuge's bieach of the iules of juuicial conuuct that iaises a "substantial question as
to the juuge's fitness foi office."
@d-Y8$': A lawyei sees a juuge paik in a no-paiking zone, step out of hei
cai, anu take a biibe fiom a ciiminal accuseu. The lawyei has a uuty to
iepoit the biibe but has no uuty to iepoit the paiking violation.
c. The iepoiting uuty uoes /&- iequiie ievelation of client confiuences. But, if
ievelation woulu not piejuuice the client, the lawyei "shoulu" ask the client foi
peimission to ieveal the bau conuuct.
u. The iepoiting uuty uoesn't apply to conuuct that the lawyei leaineu thiough
paiticipation in a Lawyei's Assistance Piogiam (such as, "Alcoholics Anonymous"
piogiams iun by the state bai foi lawyeis suffeiing fiom substance abuse oi ielateu
pioblems).
@ ,'2-$ ?'2%Y'4 /)0'1&%&2 ,-.3'14
(The questions on the NPRE usually inuicate the legal iegime that is being useu to govein the
lawyei's conuuct. It's impoitant to iecognize the uiffeient iegimes.)
1. Ciiminal Law. Questions involving ciiminal law often have to uo with theft, biibeiy,
obstiuction of justice, anu extoition.
a. Also, because the 0niteu States Constitution guaiantees a ciiminal accuseu
effective assistance of counsel, theie is a categoiy of conuuct, "./(;;(*-.1( 400.0-4/*(
13
&; *&,/0(+," that applies to inauequate lawyeiing on behalf of a ciiminal accuseu.
That categoiy is sometimes calleu "IAC."
2. Bisciplinaiy Piocess. Questions involving uiscipline typically involve bieaches of the
ethics iules anu the geneial piohibition against acts of moial tuipituue.
S. Civil Law. Questions involving civil liability often involve claims of legal malpiactice,
misiepiesentation, anu bieach of fiuuciaiy uuty.
4. Bisqualification Law. Questions asking whethei the lawyei is subject to uisqualification
piimaiily involve the ethics iules anu law goveining conflicts of inteiest.
S. Litigation Sanctions. Questions involving litigation sanctions often involve uiscoveiy abuse
anu violations of Feueial Rule of Civil Pioceuuie 11 (which is, in effect, a mini-coue of legal
ethics foi feueial litigation). Such questions often involve fines, fee foifeituies,
uisqualification, punishment foi contempt, anu similai sanctions. Note: to the extent that
NPRE questions ueal with piivilege oi civil litigation, unless the question states otheiwise,
you must assume that the goveining law is given by the Feueial Rules of Eviuence anu the
Feueial Rules of Civil Pioceuuie.

NNI
,-.3'14\ !0'1]-1^+%&2 K"#%'4 #) #+' ,'2-$ >1)*'44%)&
7I !['3 #+' ,-.
1. Bo not commit, counsel, oi assist ciiminal conuuct. (1.2(u))
2. Bo not commit, counsel, oi assist fiauuulent conuuct. (1.2(u))
S. Exceptions:
a. A litigatoi may uisobey an obligation of a tiibunal, but only openly anu on an
asseition that no valiu obligation exists. (S.4(c))
b. A lawyei may counsel a client to bieak a law foi puiposes of obtaining stanuing
to challenge the legitimacy of the law, if theie is a goou faith basis foi that challenge.
@d-Y8$': In the 19Sus, many municipalities still hau laws iequiiing iacial
segiegation on public tianspoitation such as buses anu tiains. Lawyei
meets with a client anu auvises hei that to gain stanuing to challenge the
constitutionality of the laws, the client shoulu iefuse to abiue by the
segiegation law. Result: lawyei is /&- subject to uiscipline.
JI =-%&#-%& >1)*'44%)&-$ J)"&X-1%'4S G+) =-3 >1-^#%^' ,-. _ G+'1'
1. Lawyeis may not engage in oi facilitate the unauthoiizeu piactice of law ("0PL") by non-
lawyeis oi by lawyeis piacticing law outsiue the juiisuiction wheie they aie licenseu. (S.S)
a. K'*%&%#%)&. The piactice of law
u
is:
(1) Application of legal piinciples anu juugment;
(2) Regaiuing a peison's paiticulai situation;
(S) As tiauitionally iecognizeu as piactice of law.
b. K'*%&%#%)&: 0PL is any piactice of law that is not peimitteu by the state oi feueial
iegulatoiy scheme. 0ften, 0PL issues involve non-lawyeis oi lawyeis who aie acting
outsiue the geogiaphic scope of theii license.
c. Foibiuuen behavioi; 0PL
14
(1) Non-lawyeis may not iepiesent othei people oi oiganizations on theii
legal matteis.
(2) Bisbaiieu oi suspenueu lawyeis may not piactice law, anu licenseu
lawyeis may not assist them to uo so.
@d^'8#%)&f@d-Y8$': Suppose a licenseu lawyei, with full
uisclosuie to the State Bai anu with full peimission fiom the State
Bai, hiies a uisbaiieu lawyei to woik in a law fiim as a cleik, away
fiom clients anu the couit. If the fact pattein explicitly says that a
fully infoimeu State Bai appioveu of that couise of conuuct, then
assume it is lawful.
u. Peimitteu behavioi, Not 0PL:
(1) Banuling one's own legal affaiis.
@d-Y8$': If you aie a licenseu lawyei anu Naiy }ones is not, it is
peimitteu foi you to help hei iepiesent heiself in an upcoming
legal mattei. But, if Naiy }ones says that she plans to iepiesent
otheis in the tiial, you may not assist hei because that woulu be
assisting hei 0PL.
(2) Non-lawyeis (e.g., paialegals, auministiative assistants, anu
secietaiies) acting unuei a licenseu lawyei's supeivision.
(S) Non-lawyeis helping otheis to fill out legal foims oi fill in the blanks on
legal uocuments; that is /&- 0PL.
(4) Any activities by non-lawyeis peimitteu by state oi feueial law.
@d-Y8$': A feueial law peimits non-lawyeis to iepiesent othei
people in heaiings about ceitain auministiative benefits. A non-
lawyei, Naiia, attenus such a heaiing wheie she iepiesents hei
fiienu Robeit. Result: Naiia's conuuct is /&- 0PL.
2. Non-legal woik ("Law Relateu Seivices") by licenseu lawyei.
a. Sometimes, a licenseu lawyei pioviues seivices that aie not the piactice of law,
but seem ielateu to the piactice of law. Foi example, a litigation attoiney might own
a copieimessengei business oi a ieal estate attoiney may iun an esciow company.
In that case, the lawyei has some ethical uuties. (S.7)
b. The lawyei's ethical uuties apply to the piovision of law-ielateu seivices if they
aie not uistinct fiom the piovision of legal seivices, oi if the lawyei fails to infoim
the iecipient that the seivices aie not the piactice of law anu that the piotections of
the attoiney client ielationship uo not apply.
@d-Y8$': A ieal estate lawyei owns an insuiance biokeiage anu
infoims the client that those seivices aie not the piactice of law
anu that when inteiacting with the biokeiage the noimal
piotections of the attoiney client ielationship, such as
confiuentiality, uo not apply. Result: the ethics iules woulu /&-
apply to the biokeiage business.
c. Theiefoie, if the lawyei wants the law-ielateu seivices not to constitute legal
piactice, she shoulu keep the seivices uistinct fiom hei legal seivices anu infoim the
client that the seivice is not the piactice of law anu that, foi example, the attoiney
client piivilege uoes not apply.
S. Lawyeis shall not piactice law wheie not aumitteu. (S.S)
15
a. 0sually, this is an issue of geogiaphy. States license lawyeis anu lawyeis shoulu
not piactice outsiue theii licenseu state unless an exception applies. This issue can
also aiise unuei the iules of an agency. Foi example, only membeis of the patent
bai may piosecute patents befoie the 0.S. Patent anu Tiauemaik 0ffice. Theie aie
some exceptions to the geneial iule.
b. A lawyei may be aumitteu to anothei juiisuiction foi one mattei. This is calleu
"pio hac vice" aumission ("foi this mattei").
u

(1) Pio hac vice aumission must be appioveu by the ielevant tiibunal.
(2) The lawyei must have a ieasonable connection to the mattei.
(S) The lawyei aumitteu pio hac vice is typically iequiieu to associate with
local co-counsel on the mattei.
c. A lawyei may paiticipate in out-of-state ABR aiising fiom home state lawyeiing.
@d-Y8$': Iowa lawyei with Iowa clients flies to Niami to iepiesent
hei Iowa-baseu client in an aibitiation oi meuiation. This is
peimitteu anu is /&- 0PL.
u. A lawyei may uo legal woik in a non-aumitteu juiisuiction when such woik is
ieasonably ielateu to lawyei's piactice in an aumitteu juiisuiction, but only so long
as the lawyei uoes not open an office oi maintain a "systematic anu continuous"
piesence in the non-aumitteu juiisuiction. (S.S(b))
@d-Y8$': 0nce oi twice a yeai, lawyei visits the out-of-state office
of a coipoiate client foi a uay oi two of meetings. Result: this is /&-
a systematic anu continuous piesence in the othei state; the lawyei
has /&- committeu 0PL.
@d-Y8$': Because lawyei's in-state coipoiate client has a satellite
office out-of-state, lawyei ients an office suite neai the client's
satellite office anu spenus many weeks uoing legal woik in the
suite. Result: lawyei :40 committeu 0PL.
e. In-house, employeu lawyeis who have a valiu license of aumission fiom some
state may iepiesent theii employei in a non-aumitteu state wheie they uo not have
a license.
@d-Y8$': Lawyei is licenseu only in Kentucky anu woiks in-house
foi hei sole client, the Coipoiation. Coipoiation opens a new office
in Iuaho anu lawyei ielocates to that location, still woiking only foi
hei coipoiate employei. Result: Lawyei's conuuct is peimitteu anu
is /&- 0PL. Note: if Lawyei acts unethically, she may be uisciplineu
in both Kentucky anu Iuaho.
f. A lawyei may uo any legal woik anywheie as peimitteu by state oi feueial law.
OI =-%&#-%& >1)*'44%)&-$ J)"&X-1%'4S T%&-&^%-$ >-1#%^%8-#%)& %& #+' ,'2-$ >1)*'44%)&
1. A lawyei must maintain the inuepenuence, incluuing the financial inuepenuence, of the
legal piofession. 0ften this iule is intenueu to pievent legal matteis fiom becoming
commouities, fiom giving lawyeis impiopei financial incentives, anu fiom shaiing legal fees
with non-lawyeis. (S.4)
2. The geneial iule is that a lawyei may not shaie legal fees with a non-lawyei. (S.4) The
tiauitional iationale is that once a lawyei is shaiing legal fees with non-lawyeis, the lawyei
will have a financial incentive othei than the best inteiests of the client.
Theie aie some behaviois that appeai to involve shaiing fees with non-lawyeis, but that aie
peimitteu. Some examples:
16
a. An agieement to pay a lawyei's estate aftei hei ueath is peimitteu.
b. An agieement to puichase anothei lawyei's piactice, if uone appiopiiately unuei
1.17 as uiscusseu below, often iesults in a peimitteu payment to a ietiieu lawyei.
c. A lawyei may use hei legal fees foi a compensation oi ietiiement plan incluuing
non-lawyeis, even if the plan is in whole oi in pait a piofit-shaiing aiiangement.
@d-Y8$'. Suppose a plaintiff's lawyei has a iegulaily establisheu
compensation plan, incluuing piofit-shaiing ietiiement benefits, foi hei
employees. That is peimitteu unuei S.4(a)(S). But suppose the lawyei
wins a big fee anu ueciues to give $Su,uuu of the fees to each paialegal anu
secietaiy. That woulu be impiopei fee shaiing.
u. Shaiing couit awaiueu legal fees with non-piofit oiganization that employeu oi
iecommenueu lawyei is 0K.
@d-Y8$'. Suppose oiganization "Citizens foi uieenei Laws" iecommenus
that some citizens hiie you, anu you win a test case foi them, anu aie
awaiueu statutoiy attoineys fees. If the oiganization is a non-piofit, you
'46 tuin ovei the couit-awaiueu attoineys fees to the oiganization.
(S.4(a)(4))
S. When a non-client pays the lawyei's fees, oi when a non-client iecommenus that the
lawyei be hiieu, the lawyei must not allow that non-client to uiiect oi iegulate the lawyei's
juugment oi inteifeie with the attoiney client ielationship. (S.4(c))
4. The piactice of law with non-lawyeis is not peimitteu.
a. Foibiuuen: foiming a foi piofit paitneiship with non-lawyeis wheie any of the
paitneiship piactices law (S.4(b))
@d-Y8$'4: 0nuei the ABA appioach, a law fiim paitneiship may not aumit
a non-lawyei paitnei who is, foi example, a lobbyist. A lawyei may join a
ieal estate investment paitneiship with non-lawyeis so long as none of the
paitneiship's business is the piactice of law.
b. Foibiuuen: foiming a coipoiation oi association wheie non-lawyeis have
manageiial iesponsibility ovei the lawyei's piofessional juugment. (S.4(u))
@d-Y8$': A laige law fiim oiganizeu as a piofessional coipoiation may
have a non-lawyei Chief Financial 0fficei if the CF0 neithei manages the
piofessional juugment of the lawyeis noi inteifeies in the lawyeis' exeicise
of piofessional juugment.
S. Contiactual iestiictions on piactice:
a. The geneial iule is that a lawyei may not "contiact away" hei ability to piactice
law unless an exception applies.
b. A lawyei may not agiee to iestiict hei piactice as pait of a settlement agieement.
(S.6(b))
@d-Y8$'. Befenuant offeis plaintiff a $S million settlement, so long as
plaintiff's attoiney agiees not to iepiesent any clients auveise to uefenuant
foi the next five yeais. That agieement is ;&)5.<<(/ unuei Rule S.6(b).
c. A lawyei may "covenant not to compete" in exchange foi benefits upon
ietiiement. (S.6(a))
u. As uiscusseu below, a lawyei may agiee to iestiict hei piactice as pait of the
lawful sale of a law piactice.
6. Selling a law piactice is peimitteu unuei ceitain conuitions. (1.17)
17
a. The selling lawyei must altogethei cease to piactice in theii cuiient aiea of law
oi in theii cuiient geogiaphical aiea;
@d-Y8$'. A 6S-yeai-olu lawyei maintains a business litigation piactice anu
a tiusts anu estates piactice in both San Fiancisco anu Los Angeles. Be may
sell his entiie law piactice; may sell just the tiusts-anu-estates piactice oi
just the litigation piactice; oi may sell one of his two geogiaphical aieas.
b. The entiie piactice (oi aiea of piactice) must be solu; Anu
c. Clients must be given wiitten notice of:
(1) The pioposeu sale; anu
(2) The client's iight to ietain othei counsel anuoi take possession of the
client file; anu
(S) The fact that the client's consent to tiansfei will be piesumeu if the
client takes no action oi uoes not object within 9u uays of ieceipt of the
notice.
u. Fees may not be incieaseu by ieason of the sale.
KI >1) J)&) -&X >"[$%^ 6'10%^' `cI;a
1. In geneial, lawyeis aie calleu to paiticipate in effoits to impiove the quality of justice anu
access to justice. (I use the phiase "calleu to," because as explaineu below, these uuties aie
aspiiational anu cannot be useu as giounus foi piofessional uiscipline.)
a. Lawyeis aie calleu to engage in, anu to financially suppoit, such effoits.
b. 0ften, a lawyei's pio bono anu public seivice woik takes place in oiganizations
othei than the lawyei's law fiim oi place of employment. Foi that ieason, as
uiscusseu below in Iv.F.6.e, special iules apply to conflicts of inteiest aiising fiom
public seivice woik.
2. Types of public seivice.
a. Tiauitional "pio bono" seivice: woik foi fiee oi ieuuceu fees foi peisons of
limiteu means.
(1) Lawyeis "shoulu aspiie" to uo Su pio bono houis annually. Note that the
phiase "shoulu aspiie" is 409.)4-.&/4+ anu failuie to uo so cannot iesult in
piofessional uiscipline.
(2) Fiee legal woik (anu ieuuceu fees woik) foi the pooi is the "coie" of
the pio bono aspiiation. In auuition, a lawyei shoulu aspiie to paiticipate
in the othei kinus of public seivice uiscusseu below.
b. Appointments. Sometimes the couit will "appoint" a lawyei to uo such woik. As
uiscusseu below at IvB, lawyeis shall accept appointments unless theie aie
auequate giounus foi ueclining the woik. (6.2)
c. Legal Seivices 0iganization. (6.S) Acioss the countiy, legal seivices oiganizations
pioviue legal seivices to peisons of limiteu means. These oiganizations typically
have boaius anu staff lawyeis, anu othei lawyeis may elect to seive as volunteeis.
u. Law Refoim 0iganizations. (6.4) Lawyeis may become involveu in
oiganizations seeking the iefoim of law, such as toit iefoim, enviionmental iefoim,
etc.
e. Non-piofit anu Couit-annexeu legal seivice piogiams. (6.S) Sometimes, a couit,
county bai association, oi non-piofit will oiganize piogiams wheie lawyeis aie
sought to paiticipate anu uispense legal auvice in shoit-teim iepiesentations. Foi
18
example, a county bai association might iun a "Tenant's Rights Clinic" once a month
at a local community centei.

NNNI
/'##%&2 O$%'&#4S O)YY"&%^-#%)&4E 7X0'1#%4%&2E 6)$%^%#-#%)&E -&X ?'*'11-$4

7I D+' O)&4#%#"#%)&-$ ,%Y%#-#%)&4 )& ?'2"$-#%)& )* ,-.3'1 68''^+
1. Speech seeking pecuniaiy (i.e., foi piofit) employment is commeicial speech anu as such
it enjoys inteimeuiate constitutional piotection.
2. State goveinments can, anu uo, ban false oi misleauing speech by lawyeis.
a. All false anu misleauing communications by lawyeis aie foibiuuen, iegaiuless of
the type of communication.
b. The lawyei may tiuthfully communicate fielus of law the lawyei piactices, if the
lawyei is a "patent agent," "pioctoi in aumiialty," oi if the lawyei is officially a
"ceitifieu specialist" in a fielu.
(1) Note: Califoinia is one of the states that has extensive pioceuuies foi
becoming a "ceitifieu specialist" in ceitain fielus.
S. State goveinments can, anu uo, ban lawyei speech likely to iesult in coeicion, haiassment,
anu uuiess.
a. All communications by lawyeis causing coeicion, haiassment, anu uuiess aie
banneu.
b. The goveinment's iight to ban coeicive communications justifies the ban on in-
peison solicitations, uiscusseu below. (III.B.S)
@d-Y8$': Lawyei is peimitteu to peisonally solicit a foimei client. Aftei
telephoning the foimei client twice anu leaving voicemails asking to be
hiieu, the foimei client asks the lawyei to stop calling hei. Lawyei calls the
foimei client again, asking to be hiieu. Result: Lawyei has violateu the
ethics iules because lawyei is engaging in haiassing anu coeicive
communications.
JI K'*%&%#%)&4 -&X ?"$'4
1. "Communications" is the bioauest teim anu incluues any foim of exchange of infoimation
whatsoevei about the lawyei's availability foi ;&)=9)&;.- employment.
@d^'8#%)&f@d-Y8$': A lawyei foi the NAACP wants to finu a test plaintiff foi a case
to enfoice voting iights. The lawyei actively telephones possible plaintiffs. If the
client is successful, the NAACP will ieceive attoineys fees, which coulu amount to a
substantial sum. Result: because this foim of communication is in fuitheiance of
fiist amenument iights (such as petitioning the goveinment foi ieuiess of
giievances) the below iule piohibiting in-peison solicitation of clients foi foi-piofit
puiposes will not apply.
2. "Auveitising" incluues bioaucasteu communications about the lawyei's availability foi
foi-piofit employment. Being bioaucast means the communications aie piesumably heaiu
oi seen by peisons who might neeu the lawyei's seivices anu those who might not. A
television auveitisement foi a peisonal injuiy lawyei is a classic example. (7.2)
a. Auveitising cannot be false oi misleauing.
19
b. The auveitising must incluue the name anu auuiess of the lawyei oi fiim
iesponsible foi the content of the auveitising.
c. Although the Nouel Rules aie silent on this point, many states iequiie lawyeis to
maintain copies of theii auveitising foi seveial yeais, so that the state bai can auuit
oi investigate as neeueu.
S. "Solicitations" incluue communications wheie the lawyei is uiiectly communicating the
lawyei's availability foi pecuniaiy employment to a peison who the lawyei believes might
neeu the lawyeis' seivices. Solicitations come in two types:
a. "In peison" solicitations incluue uiiect communications, wheie the lawyei speaks
uiiectly to the potential client in peison, oi on the telephone, oi in ieal time
electionic contact (e.g., inteinet chats).
(1) The basic ban: lawyeis shall not solicit in-peison foi piofit piofessional
employment except fiom (i) a lawyei, oi (ii) a peison with whom the
lawyei has a family, peisonal, oi piofessional connection.
@d-Y8$': A peisonal injuiy lawyei sees a tiuck iun a ieu light anu
smash into a cai full of people. In the cai aie the lawyei's biothei,
anothei lawyei in town, a foimei client, the lawyei's best fiienu,
anu a complete stiangei. The lawyei '46 solicit all the victims
except the last one. (Note, howevei, if the solicitation is uone while
the victims aie still tiappeu anu in agony, the state bai is likely to
asseit that the solicitation was coeicive!)
(2) The ban on in-peison solicitation applies to live conveisations,
telephone conveisations, anu ieal time electionic communications (e.g.,
inteinet chats, texting, anu instant messaging). It uoes /&- apply to email
solicitations, because email is ueemeu not to be "in-peison."
b. Wiitten anu iecoiueu solicitations (e.g., "iobo-calls") that aie not "in peison" aie
often calleu "taigeteu mailings anu iecoiuings." Foi example, the lawyei might
obtain a list of homeowneis whose homes weie iecently foiecloseu anu then senu
them a lettei oi a iecoiueu phone call; that is not foibiuuen by the ban on
solicitation. (Note, howevei, that the taigeteu mailing cannot be false oi
misleauing.)
(1) The basic ban uoes not apply to taigeteu mailings anu iecoiuings. (The
iecipient can always hang up oi thiow away the mail.)
(2) Taigeteu solicitations must say "Auveitising Nateiial."
OI T%1Y C-Y'4 -&X ,'##'1+'-X4 `VIHa
1. Can't be false oi misleauing.
a. Nay state it's a paitneiship oi oiganization, but only when tiue.
@d-Y8$': A new lawyei, woiking alone, may /&- name hei law fiim "Naiy
Smith anu Associates" if theie aie no associates woiking with hei.
b. Nay use the names of ueceaseu paitneis.
2. Tiaue names aie peimitteu, but:
a. Tiaue names may not imply any connection with a goveinment agency.
b. Tiaue names may not imply any connection with a public oi chaiitable legal
seivices oiganization.
20
@d-Y8$'4: You '46 name youi fiim, "I Can't Believe It's a Law Fiim!" oi
"Lawyeis foi Tenants." You may /&- name youi piivate piactice fiim,
"Alameua County Supeiioi Couit Auvocates."
S. ueogiaphic use of names:
a. Fiims may use the same name acioss geogiaphic juiisuictions.
b. The fiim must inuicate when lawyeis in an office aien't licenseu in that
juiisuiction.
@d-Y8$': If you visit the website foi any majoi fiim's office in Washington,
B.C., you will see many lawyeis' biogiaphies with uisclaimeis, "Not licenseu
to piactice in Washington, B.C." oi "Piactice limiteu to feueial agencies.")
4. Lawyei holuing public office:
a. The fiim may not use the name of a lawyei holuing public office if the lawyei is
not piacticing theie.
@d-Y8$': Naiy }ones, a paitnei in the fiim, "Smith, }ones & uaicia," wins an
election foi a juuge's seat in the local couit anu leaves the fiim. The fiim
must uiop the "}ones" fiom the fiim's name.
@d-Y8$': Naiy }ones, a paitnei in the fiim, "Smith, }ones & uaicia," wins an
election foi uistiict attoiney in a county wheie BAs aie pait-time anu aie
peimitteu to maintain a piivate piactice. }ones seives as BA anu also woiks
at the fiim. The fiim '46 keep "}ones" as pait of the fiim's name.
c. The fiim may use the name of lawyei not piacticing theie if lawyei is now
pioviuing fiee legal seivices in the public spheie.
@d-Y8$': Naiy }ones, a senioi paitnei in the fiim, "Smith, }ones & uaicia,"
ietiies fiom the fiim anu offeis hei seivices foi fiee to the County Ait
Commission. The fiim may keep using "}ones" in the fiim name.
KI ?'*'11-$4 [3 !#+'14
1. Basic iule: except as otheiwise pioviueu in the iules, "lawyeis aie not peimitteu to pay
otheis foi channeling piofessional woik" to the lawyei. (7.2(S)) The tiauitional iationales
foi the iule aie that paying foi iefeiials cieates an incentive that steeis the lawyei away
fiom the client's best inteiests anu that legal matteis shoulu not be tieateu as commouities
to be bought anu solu.
2. Foibiuuen iefeiials:
a. Foibiuuen: 0tilizing "cappeis anu iunneis " oi peisons paiu foi steeiing clients to
the lawyei. (Nost these unethical agieements incluue a "pei heau" fee foi senuing
peisonal injuiy clients to the lawyei).
b. Foibiuuen: Taking goveinment legal engagement oi appointment by a juuge aftei
a political contiibution maue foi the puipose of obtaining that woik. This piactice is
sometimes calleu "pay to play." (7.6)
@d-Y8$': A lawyei uonates to the ie-election campaign of the County
Executive foi the puipose of obtaining legal woik fiom the County. That is a
violation of the iule.
@d-Y8$': A lawyei ioutinely uonates to the ieelection campaign of county
juuges anu challengeis, incluuing to juuges who have the powei to steei
woik to local lawyeis. If the lawyei's uonation is not foi the puipose of
obtaining that woik, the uonation is peimitteu anu the lawyei may still
apply foi that woik.
21
c. Foibiuuen: A lawyei must not peimit a peison iefeiiing business to the lawyei to
uiiect oi iegulate the lawyei's peisonal juugment in ienueiing the seivices. (S.4(c))
u. Foibiuuen: "Baie" iefeiial fees
C
wheie the iefeiiing lawyei is paiu a fee that is
not piopoitional to the amount of woik uone by the iefeiiing lawyei. (1.S(e))
(Note: in contiast, some states like Califoinia, uo peimit the iefeiiing lawyei to uo
no woik othei than the iefeiial itself anu still split the fee.)
@d-Y8$': A business lawyei iefeis a peisonal injuiy mattei to a lawyei
who piactices those kinus of cases. The peisonal injuiy lawyei pays the
iefeiiing lawyei $1,uuu. Result: unuei the ABA appioach, both lawyeis aie
subject to piofessional uiscipline.
S. Peimitteu foims of iefeiials anu piactices akin to iefeiials:
a. Lawful puichase of anothei lawyei's law piactice is peimitteu. (1.17) (See
II.C.6 ).
b. Lawful non-piofit iefeiial.
c. Legal seivices plans appioveu by appiopiiate iegulatoiy authoiities (typically,
the state oi county bai association) aie peimissible. (7.2(b)(2))
u. Non-exclusive, fully-uiscloseu cioss-iefeiials with lawyeis oi othei piofessionals
aie peimitteu. (7.2(b)(4)).
(1) Cioss-iefeiial agieement cannot be exclusive.
(2) Client must be infoimeu of existence anu natuie of agieement.
(S) Note: the ;((0 aie not being split; )(;())4+0 aie exchangeu.
@d-Y8$': A tiusts anu estates lawyei anu an accountant agiee to
cioss-iefei clients to each othei. The agieement isn't exclusive (i.e.,
each iemains fiee to iefei clients to othei piofessionals) anu the
lawyei infoims hei client about the aiiangement. Result: the
lawyei's conuuct is peimitteu.
4. Note that fee splitting sometimes iesembles iefeiial fees, paiticulaily when a lawyei
iefeis a mattei to a specialist but ietains a fee split on the mattei. Fee splitting with a lawyei
in anothei fiim is uiscusseu below at IvB2e.

NAI
K"#%'4 ['#.''& ,-.3'14 -&X O$%'&#4 X"1%&2 #+' 7##)1&'3 O$%'&# ?'$-#%)&4+%8

7I ,-.3'1$3 ?%2+#4 -&X K"#%'4 -"#$%" #+' 7##)1&'3 O$%'&# ?'$-#%)&4+%8 `g7O?ha %4 O1'-#'XS
1. The lawyei is goveineu by the iules on auveitising anu solicitation (see, III.B)
2. Neetings with piospective clients (1.18)
a. The uuty of confiuentiality anu piivilege alieauy apply even though the lawyei
anu piospective client have not yet foimeu an attoiney client ielationship.
b. Lawyei must piotect the piospective client's piopeity (e.g., files, eviuence, etc.).
c. Bisqualification of lawyeis who ieceiveu the piospective client's confiuences:
(1) Lawyeis who ieceiveu confiuences fiom the piospective client aie
uisqualifieu fiom taking on ielateu matteis auveise to piospective client.
22
(2) The uisqualification of the lawyeis who ieceiveu the piospective
client's confiuences is /&- imputeu to othei lawyeis in that fiim .;:
(a) The lawyeis who leaineu piospective clients' confiuences only
leaineu enough to weigh taking on the client; anu
(b) The lawyeis who leaineu piospective clients' confiuences weie
timely "scieeneu;" anu
(c) The lawyeis who leaineu piospective clients' confiuences uon't
shaie in the fees fiom the mattei auveise to the piospective client;
anu
(u) Wiitten notice is given to the piospective client.
JI 7^^'8#%&2 -&X ?'b'^#%&2 7O?4I
1. "Nust" ACRs
a. Couit appointments must be accepteu (6.2) unless:
(1) The appointment will cause unuue financial haiuship to the lawyei.
@d-Y8$': A lawyei is appointeu to iepiesent an inuigent peison
facing a mental health commitment heaiing. The lawyei coulu
make moie money uoing litigation foi businesses but the
appointment will not cause financial haiuship. The lawyei may /&-
ieject the appointment.
@d-Y8$': A new lawyei who is having gieat tiouble getting hei
piactice off the giounu is appointeu to hanule a mattei that will
take a gieat ueal of time to complete. The lawyei '46 ieject the
appointment.
(2) The client oi mattei is "iepugnant" to the point of affecting the lawyei's
peifoimance.
@d-Y8$': A lawyei is appointeu to iepiesent a chilu molestei. The
lawyei finus the client anu the mattei iepugnant, but is still able to
fully iepiesent the client. The appointment may /&- be iejecteu.
(S) Repiesenting the client likely leaus to bieach of ethics oi law.
@d-Y8$': A lawyei is appointeu to iepiesent an inuigent client but
to uo so she must act auveisely to the inteiests of one of hei
cuiient clients who uoes not wish to waive any conflicts. This
piesents a conflict of inteiest anu the lawyei ',0- ieject the
appointment.
2. "Shoulu" ACRs
a. Pio bono iepiesentations (see II.B. above) (6.1).
b. Repiesenting the "uefenseless, oppiesseu anu unpopulai" is a foim of pio bono
woik. (Note: This is a tiauitional, aspiiational noim.)
S. "Nay Not" ACRs. Lawyeis may /&- unueitake oi continue iepiesentations wheie:
a. The iepiesentation iequiies unethical conuuct by the lawyei, such as:
(1) Suits puiely to haiass. (4.4)
(2) Fiivolous matteis. (S.1)
(S) 0nconsenteu conflicts (uiscusseu fuithei below)
23
(a) Conflicts can incluue lawyei's peisonal inteiests anu
commitments. (1.16; 1.7)
b. The lawyei woulu counsel oi assist the client to commit ciime oi fiauu. (1.2)
(1) Bistinction: the lawyei may assist the client to unueistanu what's
lawful anu the consequences of bieaking the law. (1.2)
c. The lawyei woulu be incompetent
(1) As to skill oi subject mattei (uiscusseu fuithei below, Iv.F.S); oi
(2) Nental oi physical incompetence.
OI O1'-#%)& )* #+' 7O?
1. Tests foi cieation:
a. The ABA Nouel Rules uo not uefine the test foi the cieation of an attoiney client
ielationship; most states look at the "ieasonable expectations" of the putative client.
b. Contiact appioach: Some state law pioviues that an ACR is foimeu when client
signals assent to foim ACR anu the lawyei agiees oi uoesn't uisagiee.
c. Some state law pioviues that an ACR is foimeu when the lawyei shoulu know that
the client is ieasonably ielying on the lawyei.
u. Couit appointments (see Iv.B. above).
2. Befinition of the ACR:
a. The ACR is a ;.<,*.4)6 ielationship fiom lawyei to client. The client is the
piincipal anu the lawyei is the agent.
b. 0sually, the ACR is a *&/-)4*-,4+ ielationship fiom client to lawyei.
b. To piopeily uefine an ACR you must asceitain the *+.(/->0 .<(/-.-6. (B below)
c. To piopeily uefine an ACR you must asceitain the 0*&9( of the iepiesentation. (E
below)
KI O$%'&# NX'&#%#3
1. Baving )+,'%+. 0"%1$) 2.("),1 (i.e., human beings) often iaises some ethics issues:
a. Non-client payois of the legal fees ("Thiiu paity payois," uiscusseu fuithei below,
Iv.F.6.u")
(1) Paying the legal fees uoesn't automatically make one a client.
(2) Non-client payois cieate conflicts that can be waiveu.
(S) This issue often aiises with insuieis anu insuieus (uiscusseu below).
b. Clients unuei a uisability (1.14)
(1) Theie aie vaiious types of uisability (minois, mentally ill, etc.).
(2) Lawyeis must tieat the client as noimally as possible unuei the
ciicumstances.
(S) Bisability isn't "all oi nothing." Clients may be uisableu foi some
uecisions anu at some times, yet be fully competent foi othei uecisions anu
at othei times.
(4) In extieme cases, the lawyei may ieasonably piotect client by seeking
appointment of conseivatoi oi guaiuian.
C

24
(a) If client has an appointeu conseivatoi, the lawyei shall take
uiiection fiom the conseivatoi.
c. "Fiienus anu family"
(1) Nake suie to piotect piivilege anu maintain confiuentiality. The
piesence of a non-client uuiing attoiney client communications may waive
piivilege anu bieach the uuty of confiuentiality.
@d-Y8$': Lawyei meets with a fully competent, auult client.
Buiing the meeting with client, the client's fiienu is piesent anu
lawyei uoes not obtain the infoimeu consent of the client iegaiuing
the piobable loss of piivilege anu bieach of the uuty of
confiuentiality. The fiienu listens to what the lawyei anu client
uiscuss. Result: The conveisation is not piotecteu by the attoiney
client piivilege; the lawyei has piobably bieacheu the uuties of
confiuentiality anu competence to the client.
2. 0iganizations as clients. (1.1S) This is a majoi, often-testeu issue. In the ieal woilu, this
is an aiea wheie uecent, goou lawyeis fiequently make mistakes!
a. "The Entity Theoiy."
u
A iepiesentation of an oiganization (e.g., a coipoiation) is
the iepiesentation of the entity itself anu not of its constituents (officeis, uiiectois,
employees, shaieholueis).
(1) Lawyeis shoulu pievent anu coiiect confusion ovei the lawyei's iole. If
the lawyei senses that one of the entity's agents believes the lawyei
iepiesents himhei peisonally, the lawyei must cleai up the confusion.
Also, the lawyei shall explain the iuentity of the client when the lawyei
ieasonably knows that the oiganization's inteiests aie auveise to the
constituent with whom the lawyei is uealing. (1.1S(f))
@d-Y8$': An in-house lawyei at Acme, Inc., is askeu to inteiview a
vice Piesiuent who is suspecteu of theft fiom the company.
Lawyei, who knows that the oiganization's inteiests aie auveise to
the inteiests of the vP, must explain to the vP that the oiganization
is the client anu that the vP is not. (This waining is sometimes
colloquially calleu the "0pjohn Waining," oi the "Coipoiate
Niianua Waining.")
@d-Y8$': An in-house lawyei foi a coipoiation meets with a
Senioi vice Piesiuent about an oiuinaiy legal mattei foi the
coipoiation. The mattei is not auveise to the inteiests of the SvP,
but the lawyei iealizes that the SvP believes the lawyei iepiesents
hei peisonally on the mattei. The lawyei, who iepiesents only the
entity, has an ethical uuty to uispel that confusion.
(2) Repiesenting the entity uoes not always piecluue the lawyei fiom
iepiesenting the entity's agents, but that uecision to auu a seconu client
(e.g., the coipoiate vice Piesiuent) may cieate a conflict of inteiest with the
lawyei's iepiesentation of the entity, anu so unueitaking to iepiesent the
agent shoulu be caiefully consiueieu anu cleaily uocumenteu, with a
conflict waivei lettei if necessaiy.
@d-Y8$': An in-house lawyei foi a coipoiation meets with a
Senioi vice Piesiuent about a legal mattei foi the coipoiation. The
SvP asks, "how uoes this affect me peisonally." If the lawyei gives
peisonal auvice to the SvP, the lawyei has cieateu an ACR with the
SvP which piobably conflicts with the lawyei's iepiesentation of
25
the coipoiation. The lawyei shoulu eithei claiify to the SvP that
the SvP is not a client oi shoulu caiefully consiuei whethei to take
on the SvP as a seconu client, with the infoimeu consent of the SvP
anu the oiganization to the conflicting iepiesentations.
b. 0iganizational Clients--Auuitional Buties anu Rules:
(1) When iepiesenting an oiganizational client, the lawyei tuins to the
iules of the oiganization (e.g., by-laws anu aiticles of incoipoiation) oi to
goveining law (e.g., the coipoiate law of that state) to ueteimine who at the
entity client has the authoiity to make uecisions. (1.1S)
(2) When the lawyei becomes awaie of legal violations that may be
attiibuteu to the oiganization, the lawyei must act ieasonably in the
inteiests of the oiganization. Noimally, that iequiies the lawyei to iepoit
the situation to appiopiiate authoiities at the oiganization anu, if the
mattei is not iesolveu, to iepoit the mattei to highei authoiities within the
oiganization, incluuing, if appiopiiate, the highest authoiity within the
oiganization. (This is sometimes calleu iepoiting "up the oig chait," oi
iepoiting "up the chain of commanu.") (1.1S(b))
@d-Y8$': Lawyei leains that hei coipoiate client has mislabeleu a
small numbei of piouucts foi expoit. Theie is no substantial
penalty foi the mislabeling anu the situation is unlikely to ie-occui.
Result: lawyei shoulu iepoit the situation to some appiopiiate
officei oi employee at the coipoiation.
@d-Y8$': Lawyei leains that some membeis of the sales foice
have offeieu biibes to public officials, in violation of ciiminal law.
Lawyei shoulu iepoit this mattei to high ianking authoiities in the
oiganization (which often is the Boaiu of Biiectois).
(S) As long as the lawyei is iepoiting the news "up the chain of commanu"
within the entity client, the lawyei is still fulfilling hei uuty of
confiuentiality to the client, because the lawyei is only uisclosing
infoimation to the authoiizeu agents of the entity client.
(4) When the lawyei is inteiacting with anu communicating with the
oiganization's agents (e.g., employees, officeis, uiiectois), attoiney client
piivilege applies to the communications, but the entity owns the piivilege
anu can ueciue whethei to waive it oi not.
@d-Y8$': Lawyei iepiesenting coipoiation inteiviews a uivision
managei who hau been involveu in a uisagieement with a
customei ovei the inteipietation of a contiact. Lawyei pieventeu
any confusion fiom aiising about the iuentity of the client; the
managei knows that she is not peisonally the lawyei's client. The
conveisation is piivilegeu anu the (/-.-6 can ueciue whethei to
waive the piivilege anu uisclose to the customei what the managei
saiu in the inteiviews. Nanagei will not be able to asseit a peisonal
attoiney client piivilege anu pievent the uisclosuie. (Note,
howevei, that if the lawyei hanules the inteiview pooily anu leaves
the managei with a ieasonable expectation that the managei is
peisonally a client, then the lawyei will have cieateu a ieal conflict
about what oi who contiols the piivilege!)
(S) If, aftei the lawyei iepoits a cleai violation of law "up the chain of
commanu," the oiganization fails to auuiess the issue in a timely anu
appiopiiate mattei, anu if the lawyei believes that the violation will iesult
26
in substantial injuiy to the oiganization, then the lawyei "may," but is not
iequiieu to, ieveal infoimation ielating to the iepiesentation to the extent
peimitteu by Nouel Rule 1.6 anu as is necessaiy to pievent substantial
injuiy to the oiganization. (1.1S(c))
I
(6) The "may ieveal" exception containeu in 1.1S(c) uoes not apply to
lawyeis who aie hiieu to investigate oi uefenu an allegeu violation of law.
@d-Y8$': The Bepaitment of }ustice infoims Acme, Inc., that it is
being investigateu foi allegeuly biibing foieign officials. In
iesponse, Acme hiies some lawyeis fiom a white collai ciiminal
law boutique to investigate the allegations anu uefenu the company
fiom any actions biought by the B0}. Result: those lawyeis may not
invoke the "may ieveal" exception unuei 1.1S(c). They must iepoit
infoimation up the coipoiate chain of commanu, but may not
ieveal what they've leaineu to peisons outsiue theii client, Acme,
Inc.
(7) Foi publicly tiaueu companies, the iegulation of the "iepoiting up the
chain of commanu" function is goveineu not by iule 1.1S, but iathei by a
feueial law calleu "Saibanes-0xley." (Being feueial law, it pieempts any
state ethics coue.) The piovisions aie similai to iule 1.1S.
(a) A iepoiting lawyei foi an oiganization will iepoit a violation of
law to the Chief Legal 0fficei (CL0) (typically, the ueneial Counsel
of the company) oi to the CL0 anu the CE0 of the company. If such
a iepoit is futilefoi example, if the CL0 anu CE0 have committeu
the violation anu aie coveiing it upthen the iepoiting lawyei
iepoits the mattei to the Boaiu of Biiectois oi to an authoiizeu
committee of the Boaiu.
(b) As is the case with iule 1.1S, if the violation of law is not
auequately auuiesseu by the entity client, the iepoiting lawyei
may uisclose infoimation to the Secuiities Exchange Commission in
oiuei to pievent oi iectify the violation of law.
c. uoveinment Entity as Client. The foiegoing comments about oiganizational clients
also apply when the lawyei iepiesents a goveinment agency oi entity. But, as
comment |9j to NR 1.1S makes cleai, iepiesentation of goveinment agencies is
complicateu anu can be uifficult. It can be haiu to uefine the piecise goveinment
agency that is the client (e.g., an agency, a bianch of goveinment, oi the entiiety of a
state oi feueial goveinment). uoveinment lawyeis aie moie likely than othei
lawyeis to be goveineu by specific statutes, iules, anu policies. Anu theie may be
situations wheie the uuty of confiuentiality is moie flexible foi goveinment lawyeis,
allowing them to ielease client confiuences to pievent malfeasance. In auuition,
theie aie special conflict of inteiest iules, uiscusseu below, uealing with cuiient anu
foimei goveinment attoineys.
4. Nultiple Clients
a. In some situations, a lawyei unueitakes to iepiesent two oi moie clients on the
same mattei. These aie calleu joint iepiesentations. }oint iepiesentations iaise
some ethical issues:
(1) Conflicts of inteiest. If the lawyei's iepiesentation of eithei jointly
iepiesenteu client might mateiially limit the lawyei's iesponsibilities to the
othei jointly iepiesenteu client, the lawyei has a conflict of inteiest anu
must consiuei if the conflict can be waiveu anu, if so, how it can be waiveu.
27
(2) Confiuentiality anu piivilege. The geneial iule in the 0niteu States is
that when a lawyei jointly iepiesents multiple clients on a mattei, the
lawyei must shaie mateiial infoimation with all the clients anu must
piotect confiuentiality anu asseit piivilege against any non-client. Fuithei,
if the joint clients latei commence a uispute between oi among themselves,
none of the jointly iepiesenteu clients may asseit piivilege against the
othei(s) iegaiuing communications that weie maue uuiing the joint
iepiesentation.
b. Repiesentation of Insuiei anu Insuieu ("Tii-paitite" iepiesentations). Nany
insuiance policies pioviue foi the costs of legal uefense anu pioviue that the insuiei
may select counsel foi the insuieu. Bioauly speaking, theie aie two appioaches in
the 0niteu States to the uefinition of the client in such cases. In some states, if theie
is no conflict between the position of the insuiei anu the insuieu, the attoiney client
ielationship is consiueieu "tii-paitite." That is, the lawyei iepiesents the insuiei
anu the insuieu. In othei states, the lawyei is ueemeu to iepiesent only the insuieu.
These situations can iaise subtle anu complicateu conflicts situations. Noie uetail is
pioviueu in Appenuix XXX.
@I 6^)8' )* #+' @&2-2'Y'&#I `;I9a
1. Lawyei anu client may ieasonably limit the scope of the iepiesentation oi the tactics
useu.
@d-Y8$'4: Client might foiego costly tactics; might uecline to utilize iepugnant
tactics; might agiee to limiteu objectives.
2. Client must give infoimeu consent to such limitations.
@d-Y8$': A family lawyei iealizes that his clients often cannot affoiu his seivices.
So the lawyei uiaws up an engagement lettei foi an "unbunuleu" oi "limiteu scope"
iepiesentation. The lawyei anu the client go ovei the vaiious tasks that must be
accomplisheu anu assign some to the lawyei anu iest to the client. Client signs the
lettei. Foi most heaiings, the lawyei auvises the client on what aiguments to make
anu uoes some iole playing to help the client make an appiopiiate aigument. Result:
if the limitations inheient in the unbunuleu iepiesentation aie ieasonable (anu
these aie ieasonable) anu if the client gives infoimeu consent to the limitation, the
lawyei has complieu with the ethics iules.
TI K"#%'4 T$).%&2 *1)Y ,-.3'1 #) O$%'&# X"1%&2 7O? `T%X"^%-13 K"#%'4a `;Ida
1. Becision-making anu powei shaiing. ("Abiue & Consult") (1.2)
a. Client ueciues lawful & ethical "objectives." That is, the lawyei must "abiue" by
the competent client's choice of lawful objectives.
(1) The objectives must be lawful anu ethical.
(2) In civil cases, whethei to settle is a choice that belongs to the client, not
to the lawyei.
(S) In ciiminal cases, the client contiols:
(a) The plea to be enteieu;
(b) Whethei to waive juiy tiial; anu
(c) Whethei to testify.
@d^'8#%)&: as uiscusseu below, if the client intenus to
commit peijuiy, the lawyei may not peimit the client to
take the stanu. (S.S)
28
(4) As noteu above (Iv.B.2.b.), with oiganizational clients, the iight to
ueteimine the objectives of the iepiesentation lies with the authoiizeu
agents of the client (e.g., officeis, uiiectois).
b. The lawyei ueciues the "tactics" oi "means" aftei client consultation (1.2).
(1) The lawyei must still "consult" about the means anu tactics to be useu.
(2) The lawyei may take whatevei steps the lawyei is implieuly authoiizeu
to take.
(S) Tactics, oi means, incluue what witnesses to call, exhibits to use,
aiguments to make, etc.
2. Communication (1.4)
a. The lawyei must communicate so client can make infoimeu uecisions that belong
to the client.
b. The lawyei must keep client ieasonably infoimeu about the status of the mattei.
c. The lawyei must iesponu timely to ieasonable iequests foi infoimation.
u. Answei those phone calls!
e. If the lawyei is too busy to iesponu immeuiately to the client, the lawyei may
have a suboiuinate (secietaiy, paialegal) infoim the client that the lawyei will
iesponu once she has an oppoitunity to uo so.
f. The lawyei must infoim the client about limitations on the lawyei's conuuct when
the lawyei knows that the client expects assistance that is unethical oi illegal.
(1.4(a)(S))
@d-Y8$': Client hiies lawyei in a maiital uissolution pioceeuing. Client
asks lawyei how they can "hiue" financial uocuments fiom the othei siue
anu asks lawyei to use tactics uesigneu to haiass the othei siue. Result:
Lawyei has an ethical uuty to communicate to client that the lawyei may
not engage in those behaviois.
g. Withholuing infoimation fiom the client.
(1) Lawyeis may sometimes <(+46 communications to the client if the client
is likely to act impiuuently. (1.4, cmt. |7j)
@d-Y8$': The couit issues a majoi iuling in a case, but the lawyei
knows that the client's mothei has just unueigone emeigency
suigeiy. The lawyei feels that the client is not emotionally
piepaieu to hanule the news of the couit iuling. The lawyei may
uelay telling the client until the ciisis has passeu - but must still
infoim the client of the iuling.
(2) Lawyei may be unuei a couit oiuei not to shaie ceitain infoimation
with the client. If so, the oiuei tiumps the uuty of communication.
@d-Y8$': In a commeicial litigation, the juuge iules that ceitain
business infoimation of the paities is subject to uiscoveiy but may
not be shaieu with the business people at the opposing paity. The
lawyei may /&- shaie that infoimation in violation of the juuge's
oiuei.
h. Lawyeis must communicate ieasonably with uisableu clients. (see Iv.B.b.)
S. Competence (1.1)
29
a. Lawyeis aie iequiieu to exhibitpossess legal knowleuge, skill, thoioughness,
anu piepaiation.
b. Lawyei may acquiie competence thiough stuuy oi associating co-counsel. (C)#':
the concept of the incompetent "newbie" is often testeu; know the two ways to
acquiie competence!)
c. In an emeigency, a lawyei may give assistance as neeueu anu then eithei gain
competence oi tuin the mattei ovei to a competent lawyei.
@d-Y8$': Lawyei, who has little oi no ciiminal uefense expeiience,
ieceives a call late Fiiuay night fiom a fiienu who has been aiiesteu.
Lawyei unsuccessfully tiies to ieach seveial ciiminal piactitioneis by
phone. Lawyei may assist the client in the emeigency ovei the weekenu,
but shoulu tiansfei the mattei to a competent ciiminal lawyei on Nonuay.
u. Lawyeis must maintain competence. (e.g., CLE anu stuuy)
e. Nalpiactice claims against lawyei:
(1) Can be baseu on any substanuaiu lawyeiing (not just incompetence)
(2) Toit elements: uuty, bieach, causation, uamages
(a) 0se of Rules to Beteimine Buty anu Bieach. 0nuei the
majoiity appioach in the 0niteu States, anu unuei the appioach on
the NPRE, the ethics iules aie )(+(14/- to uefining uuty anu bieach
but uo not absolutely uefine them. (0nuei the two minoiity
appioaches, the ethics iules aie (i) iiielevant anu excluueu fiom
the malpiactice tiial, oi (ii) aie absolutely ueteiminative of uuty
anu bieach anu the juiy is so instiucteu.)
(b) "But foi" causation. To succeeu, the plaintiff must show what
woulu have happeneu if the lawyei hau peifoimeu competently
anu ethically. This is calleu pioving the "*40( ?.-:./ 4 *40(2" Foi
example, the plaintiff might tiy to piove what contiact she woulu
have enteieu into hau hei lawyei peifoimeu competently. It is /&-
enough foi the plaintiff to show that some substanuaiu lawyeiing
hau some substantial effect on the negative outcome.
(c) In a case foi malpiactice in a ciiminal uefense mattei, the
majoiity appioach in the 0niteu States pioviues that the client
must piove 4*-,4+ .//&*(/*( befoie pioceeuing against the lawyei.
(u) A client who agiees to settle a mattei may still allege
malpiactice against the lawyei who iepiesenteu hei. The fact that
she agieeu to the settlement uoes not bai hei fiom alleging, foi
example, that the lawyei's malpiactice piompteu hei to settle the
case on bau teims.
(S) A lawyei may ask the client to piospectively waive negligence anu
malpiactice claims (# the client is auviseu by an inuepenuent lawyei while
agieeing to waive those claims.
A,

C
(1.8) (Note: although this is peimitteu in
the Nouel Rules, it is iaiely peimitteu in the ieal woilu.)
(4) A lawyei may negotiate a ielease of a client's malpiactice claims against
the lawyei aftei the malpiactice has occuiieu (# the lawyei auvises the
client to seek inuepenuent auvice of counsel iegaiuing the ielease.
A
(1.8)
f. The uuty of competence is oweu to the client anu, in iaie situations, to intenueu
thiiu paity beneficiaiies of the legal seivices.
30
(1) Clients anu a naiiow class of intenueu thiiu paity beneficiaiies of the
legal woik aie the only peisons who can sue the lawyei foi malpiactice.
(2) The classic case of the intenueu thiiu paity beneficiaiy is the peison to
whom the client wanteu to leave hei money in a will oi tiust.
@d-Y8$': Ns. Smith hiies Lawyei to uiaft a will that leaves Smith's
money to Ns. }ones, anu the Lawyei commits malpiactice iesulting
in Ns. }ones not ieceiving the inheiitance, Ns. }ones may sue
Lawyei foi malpiactice even though she is not a client. Note: this is
an exception to the geneial iule that only clients can sue lawyeis
foi malpiactice.
4. BiligenceZeal. (1.S)
a. The lawyei must timely puisue client's objectives anu fight obstacles.
b. No piociastination!
c. Peisonal ciises aie iiielevant.
@d-Y8$': The lawyei is suffeiing fiom mental anguish because his fathei is
uying fiom cancei. If the anguish causes the lawyei to fail to act uiligently,
the lawyei has bieacheu his ethical obligation. The lawyei shoulu have
oveicome the anguish oi tiansfeiieu the mattei to anothei lawyei.
u. 0nless ielationship is teiminateu, the lawyei must actively caiiy on the
ielationship.
e. Solo piactitioneis shoulu have contingency plan foi uisability oi ueath (e.g.,
iefeiials to othei lawyeis).

S. Confiuentiality, Piivilege, anu Woik Piouuct Piotection (1.6; common law)
C

a. Piivilege uefineu: communications between a client (oi client's agent) anu a
lawyei (oi lawyei's agent) maue in confiuence, foi the puipose of secuiing legal
auvice, anu not foi the puipose of fuitheiing a ciime oi fiauu, aie piivilegeu fiom
compulsoiy testimony oi piouuction.
(1) Ciime-fiauu exception uefineu: If the communication was foi the
puipose of fuitheiing a ciime oi fiauu, the communication is not piivilegeu,
even if the lawyei was unawaie of the client's nefaiious puipose anu if the
lawyei's auvice took the foim of peifectly legal auvice.
@d-Y8$': Coipoiate client is secietly iunning an ongoing stock
fiauu anu asks Lawyei foi some auvice about Belawaie coipoiate
law so that the client can senu out some ioutine (but false)
business notices to the investois who aie being uefiauueu. Lawyei
assumes that Client is lawful. Lawyei's auvice is ioutine anu
appeais to be peifectly lawful. Result: because the Client is using
the communication to fuithei the fiauu, the communications aie
/&- piivilegeu 45 ./.-.& (fiom the stait). Notice that Lawyei's goou
intentions anu lack of fiauuulent intent uo not pievent the ciime-
fiauu exception fiom applying.
(2) The piesence of non-agent, thiiu paity uestioys the piivilege.
@d-Y8$': Lawyei wants to inteiview client, but client uoes not
speak English well. At the client inteiview, lawyei is accompanieu
by hei auministiative assistant, a paialegal, anu a tianslatoi.
31
Result: piivilege is not lost, given that the otheis in the ioom aie
agents foi the lawyei.
(S) Piivilege applies to communications with piospective clients.
(4) As uiscusseu above, Iv.B.2, piivilege applies to communications with
oiganizational clients, but the oiganization holus the piivilege anu contiols
the uecision to waive oi not waive piivilege.
(S) Waivei of piivilege.
(a) Client's choice geneially. Note that in iepiesentations of an
entity client, the uecision to waive woulu belong to the entity anu
not to, foi example, the Senioi vP who hau the piivilegeu
communication with the entity's lawyei.
(b) Waivei by iaising issues (e.g., if client alleges as an affiimative
uefense that it ielieu upon the auvice of counsel, then the piivilege
is waiveu as to that auvice).
(c) Waivei by claim against lawyei. If the client sues the lawyei
foi malpiactice oi othei giounus that implicate the lawyei's woik
foi the client, the piivilege is waivei to the extent that the lawyei
neeus to uefenu heiself.
(6) }oint Piivilege. When a lawyei iepiesents two clients on the same
mattei, it is calleu a "joint iepiesentation." In those situations, the lawyei's
communications with each client aie piivilegeu as against non-clients.
(a) Eithei client may asseit the piivilege as to its own
communications with the lawyei anu as to the othei client's
communications as well (unless the othei client has waiveu its
piivilege iegaiuing its communications with the lawyei).
(b) If the two clients latei having a falling out anu commence legal
pioceeuings against each othei iegaiuing that mattei, then neithei
of the foimei co-clients may asseit piivilege against the othei
iegaiuing communications maue uuiing the couise of the joint
iepiesentation.
@d-Y8$': Plaintiff sues Ann anu Betty, who jointly hiie
Lawyei to iepiesent them. Each of the co-clients engages
in piivilegeu communications with Lawyei. Plaintiff seeks
to leain what Betty tolu Lawyei. 0nless Betty has waiveu
piivilege as to hei communications with the lawyei, both
Ann anu Betty can asseit piivilege as to Betty's
communications with the jointly ietaineu lawyei. Latei,
Ann anu Betty begin to squabble anu they each fiie Lawyei
anu hiie new, inuepenuent lawyeis. Ann's new lawyei
seeks to leain the content of all of Betty's communications
with the piioi lawyei when Ann anu Betty weie joint
clients. Betty's new lawyei tiies to asseit piivilege as to
those communications, but the juuge coiiectly iules that
Betty may not asseit piivilege against Ann foi those
communications. (Note, howevei, that Betty is now a
single client with hei own inuepenuent lawyei anu hence
Betty may asseit piivilege against Ann iegaiuing Betty's
communications with hei new lawyei.)
(7) Piivilege suivives ueath of client.
32
b. Confiuentiality uefineu. The uuty of confiuentiality has a veiy bioau scope! It
peitains to all infoimation ielating to the iepiesentation. It's not limiteu to the
client's seciets; it can incluue publicly available infoimation. Califoinia emphasizes
that it incluues all infoimation that coulu be "embaiiassing oi uetiimental" to the
client.
@d-Y8$': Plaintiff sues uefenuant anu uefenuant hiies lawyei. Plaintiff's
lawyei tells uefenuant's lawyei some infoimation about the uefenuant.
Although the conveisation between the two lawyeis was not a piivilegeu
conveisation, anu although the infoimation tiansmitteu to the uefenuant's
lawyei is alieauy known by the plaintiff anu the plaintiff's lawyei, that
infoimation is still a "confiuence" unuei the ethics iules because it is
infoimation ielating to the iepiesentation of a client.
(1) The uuty of confiuentiality applies to infoimation leaineu fiom
piospective clients. (1.18)
(2) 0nuei 1.6(a), a lawyei may uisclose confiuences to the extent the lawyei
is expiessly oi implieuly authoiizeu to uo so.
(S) The ABA anu NPRE appioaches pioviue foi ceitain exceptions to the
uuty of confiuentiality
C,

I
unuei which the lawyei may ieveal a client
confiuence even when the client has not given expiess oi implieu
authoiization. Inueeu, the iules sometimes peimit the lawyei to ieveal
client confiuences even ovei the objection of the client.
(4) The following exceptions aie founu unuei NR 1.6(b) anu when they
apply, the lawyei "may" ieveal client confiuences:
(a) 0nuei 1.6(b)(1), to pievent ieasonably ceitain ueath oi
substantial bouily haim.
C

@d-Y8$': Lawyei iepiesents Busbanu in a maiital
uissolution mattei. Lawyei leains that Busbanu has
obtaineu a hanugun anu is uiiving to his spouse's house
with the intent of shooting hei. Lawyei "may" ieveal client
confiuences as is ieasonably necessaiy to pievent the
ueath oi substantial bouily haim to the spouse.
@d-Y8$': In the couise of a iepiesentation of a coipoiate
client, Lawyei leains that hei client has just puichaseu a
piece of lanu that is polluteu with toxins that ovei time aie
likely to cause ueath oi substantial bouily haim. Even if the
client uiu not cieate the situation, the lawyei may ieveal
client confiuences to the extent ieasonably necessaiy to
pievent ueath oi substantial bouily haim to otheis. (Note:
the comments to the iule suggest that in these situations,
the lawyei shoulu fiist iaise the issue with the client
befoie the lawyei ueciues to ieveal the confiuence.)
(b) To pievent oi iectify substantial financial injuiy thiough the
client's ciime oi fiauu wheie the lawyei's seivices weie useu in
fuitheiance of the ciime oi fiauu.
C
(1.6(b)(2-S))
@d-Y8$'S A coipoiate lawyei has helpeu a client make
piivate offeiings in a ieal estate investment paitneiship.
Aftei nine months of woiking foi the client, the lawyei
iealizes that the client is ieally a "ponzi scheme" that is
uefiauuing the existing paitneis anu is seeking to uefiauu
new paitneis. 3(*4,0( -:( *+.(/- :40 ,0(< -:( +4?6()>0
33
0()1.*(0 ./ *4))6./@ &,- -:( ;)4,<, anu because uisclosuie of
client confiuences woulu help the existing paitneis
"iectify" the fiauu anu help the potential paitneis pievent
being uefiauueu, the lawyei may ieveal client confiuences
foi those puiposes.
@d-Y8$'S Similai facts to the piioi example, except that
the peison iunning the investment paitneiship (i.e., the
peison conuucting the fiauuulent scheme) ietains a lawyei
because the he is now being investigateu by state anu
feueial authoiities foi financial fiauu. Be neeus to hiie a
"white collai ciiminal uefense lawyei." Note that in this
case, the lawyei's seivices have /&- been useu in the
caiiying out of the fiauu. They aie being sought only foi
uefensive puiposes. In this case, theie is /& "may ieveal"
exception unuei 1.6(b)(2-S).
@d^'8#%)&fK%4#%&^#%)&: Califoinia's ethics iules uo not
peimit a lawyei to ieveal a client confiuence to pievent oi
iectify a financial fiauu. A Califoinia-licenseu lawyei who
uiscoveieu that the client was committing fiauu woulu
"iemonstiate" with the client to stop committing fiauu anu
woulu withuiaw fiom iepiesentation of the client. (CRPC
S-1uu)
(c) When the lawyei seeks legal auvice about the scope of hei
ethical uuties. (1.6(b)(4))
@d-Y8$': Lawyei faces a uifficult conflict of inteiest issue
anu seeks legal auvice fiom an ethics specialist. Lawyei
'46 ieveal client confiuences in oiuei to obtain that legal
auvice.
(u) When the lawyei neeus to ieveal the confiuence to uefenu the
lawyei fiom civil oi ciiminal claims against lawyei oi in a uispute
between the lawyei anu the client.
C
(1.6(b)(S))
@d-Y8$'4: If the client sues the lawyei foi malpiactice oi
if the Bistiict Attoiney files ciiminal chaiges against the
lawyei, the lawyei may uefenu heiself incluuing by
ievealing client confiuences to the extent necessaiy to
mount the uefense. But note that the comments to NR 1.6
pioviue that even if the lawyei is accuseu less foimally, foi
example in an accusation maue by telephone oi in a lettei
befoie the filing of any complaint oi chaiges, she may still
uefenu heiself by ievealing client confiuences.
@d-Y8$': Lawyei concluues a business tiansaction foi
client. 0ne month latei, uuiing a phone call, the opposing
paity in the tiansaction accuses lawyei of having
committeu a fiauu uuiing the tiansaction. Lawyei may
ieveal client confiuences to uefenu heiself. (Note: this
exception may not stiike you as intuitive, because of how
infoimal the accusation against the lawyei is. (See 1.6,
comment |1uj.))
(e) If a couit oiuei oi othei law iequiies uisclosuie. (1.6(b)(6)).
Specifically, thiee othei iules pioviue that if a lawyei "may ieveal"
a confiuence unuei 1.6(b), then the lawyei "must ieveal" the
34
confiuence unuei the othei iule. That is, theie aie thiee iules
wheie a 1.6(b) "may ieveal" becomes a "must ieveal."
|1j As uiscusseu below in the sections on the ethics of
uealing with thiiu paities anu on the ethics of negotiations,
because a lawyei must pievent assisting in a ciiminal oi
fiauuulent act by a client, in some situations the lawyei
must ieveal client confiuences by "uisaffiiming" piioi
iepiesentations anu in iaie situations must ieveal client
confiuences to thiiu paities.
C, I
(See, Iv.u ) (NR 1.2(u) &
4.1)
|2j 0nuei NR 8.1, if the lawyei "may ieveal" unuei 1.6(b),
then the lawyei must ieveal as iequiieu by 8.1. (1.6|1Sj.
|Sj 0nuei NR 8.S, if the lawyei "may ieveal" unuei 1.6(b),
then the lawyei must ieveal as iequiieu by 8.S.
(f) As noteu above, when a lawyei iepiesenting an oiganization has
iepoiteu a violation of law all the way up to the highest authoiity,
the lawyei may ieveal client confiuences to pievent haim to the
client. (See Iv.B.2.b)(1.1S(c))
C

(g) As uiscusseu below in the section about the ethics of litigatois, a
lawyei 3'1, iemeuy any false testimony she has offeieu to a
tiibunal, incluuing, if necessaiy, ievealing client confiuences to the
tiibunal. (S.S)(See v.A.1)
C

c. Woik Piouuct uefineu: A seiies of couit cases has cieateu a iight by which a
lawyei may withholu ceitain mateiials that weie cieateu in anticipation of litigation
(i.e., woik piouuct).
(1) "Coie Woik Piouuct" oi "0pinion Woik Piouuct." Bepenuing on the
juiisuiction, the lawyei's mental thoughts, impiessions, stiategies, etc., aie
eithei absolutely immune fiom uiscoveiy oi can be compelleu only upon a
showing of extiaoiuinaiy neeu. (}uiisuictions vaiy on whethei
coieopinion woik piouuct may be withhelu fiom the client itself.)
(2) Qualifieu Woik Piouuct. 0thei foims of woik piouuct, such as a list of
witnesses geneiateu by the lawyei, may be subject to uiscoveiy if the paity
seeking the woik piouuct can establish a "substantial neeu" foi the
infoimation oi that obtaining it in othei ways will cause "unuue haiuship."
@d-Y8$': Lawyei meets with a gioup of witnesses who saw an
acciuent, geneiates a list of the witnesses' names, anu also incluues
the lawyei's mental impiessions about which witnesses woulu
make goou witnesses at tiial. The list of names is qualifieu woik
piouuct anu may be oiueieu to be piouuceu if the othei siue can
show "substantial neeu" oi "unuue haiuship". The lawyei's mental
impiessions aie coie woik piouuct anu, uepenuing on the
juiisuiction, cannot be oiueieu to be piouuceu oi will be oiueieu
to be piouuceu only upon a showing of extiaoiuinaiy neeu.
(S) Sometimes the lawyei plays the iole of "evaluatoi" anu factually evaluates the
client foi the benefit of a non-client. The most common situation is when an
acquiioi in a meigei uemanus that the acquiiee's lawyei pioviues an opinion lettei
that makes factual iepiesentations about the acquiiee. That iole is uiscusseu in
section v below. When a lawyei evaluates a client foi the benefit of a non-client, the
lawyei is likely to ieveal client confiuences. The lawyei must obtain piopei consent,
aftei piopei uisclosuie to the client, befoie uoing so. (2.S)
35
6. Loyalty. (1.7-1.12)
a. Befinition: Conflicts of inteiest.
u
Conflicts of inteiest incluue any incentive oi
inteiest that might substantially impeue the lawyei's uischaige of hei uuty to the
client. (These aie founu in iules 1.7 - 1.12.)
b. ueneial analysis:
(1) Is it a conflict.
(2) What lawyeis in a fiim aie affecteu by the conflict ("imputation" of the
conflict).
(S) Can the conflict be waiveu.
(4) Bow can the conflict be waiveu.
c. Conflicts with othei cuiient clients (1.7)
(1) Conflict: uiiect auveisity to cuiient client
(a) Classic "X%1'^# -X0'14%#3": suing oi negotiating against cuiient
client.
@d-Y8$': Lawyei iepiesents both Acme anu Biavo on
uiffeient matteis. Acme asks lawyei to uiaft anu file a
lawsuit against Biavo. Result: unueitaking that
iepiesentation woulu cieate a uiiect auveisity conflict
unuei 1.7.
@d-Y8$': Lawyei iepiesents both Acme anu Biavo on
uiffeient matteis. Acme asks lawyei to iepiesent it in
fiienuly contiact negotiations against Biavo. Result:
unueitaking that iepiesentation woulu cieate a uiiect
auveisity conflict unuei 1.7(a)(1).
(2) Conflict: lawyei's iepiesentation of cuiient client will be "Y-#'1%-$$3
$%Y%#'X" by lawyei's uuty to someone else. (1.7(a)(2))
@d-Y8$': Lawyei iepiesents seveial peisons foiming joint ventuie
anu hence cannot iepiesent any one of them on how to stiuctuie
the coipoiation to maximize his oi hei owneiship vis--vis the
othei founueis.
@d-Y8$': Lawyei is askeu by Acme to file a suit against Biavo
(which is not a client.) But a key witness foi Biavo is a close fiienu
of the lawyei. Result: unueitaking the iepiesentation woulu be
mateiially limiteu by the lawyei's ielationship to the key witness
anu hence is a conflict of inteiest unuei 1.7(a)(2).
(S) It's a conflict to be auveise to a cuiient client even if the auveisity is
unielateu to what you uo foi the client. That is, "the matteis aie unielateu!"
is not a uefense to cuiient client conflicts!
(4) Repiesenting two economic competitois in non-auveise matteis is not
by itself a conflict. Repiesenting one economic competitoi on how to
compete against the othei is a conflict if both aie cuiient clients.
@d-Y8$': Lawyei iepiesents Coca-Cola on some ieal estate lease
matteis anu iepiesents Pepsi iegaiuing its foieign tax liabilities.
Result: Although the two companies aie economic competitois,
because it appeais that neithei iepiesentation entails auveisity
towaiu the othei client, theie is no conflict of inteiest.
36
(S) In some situations, taking inconsistent positions foi two uiffeient
clients may iaise a conflict of inteiest.
(a) Conflict exists if conuuct foi one client will "mateiially limit the
lawyei's effectiveness in iepiesenting anothei client in a uiffeient
case." (1.7|24j)
(6) Consent -- "Cuiient Client Rule"
(a) Theie is a small categoiy of "always non-consentable" conflicts:
iepiesenting opposing siues in same litigation.
@d-Y8$': Acme sues Biavo anu both companies ask
Lawyei to iepiesent. Lawyei may not iepiesent the
opposing siues in the same litigation.
@d-Y8$': Acme sues Biavo anu Chailie as co-uefenuants.
Result: If the uefenses of Biavo anu Chailie aie compatible
anu if both companies consent to the joint iepiesentation,
Lawyei may iepiesent the co-uefenuants.
(b) The lawyei must ieasonably believe she can competently
iepiesent each client.
(c) Each affecteu client must give infoimeu consent, confiimeu in
wiiting .
A,u
(ICCW; uiscusseu below)
(7) "Bot Potato Rule." A lawyei may not "fiie" a client oi teiminate an ACR
foi the puipose of taking on a mattei auveise to the client. The act of
"uiopping a client like a hot potato" foi that puipose uoes not negate the
conflict.
@d-Y8$': Client iepiesents Acme, Inc., on some small matteis.
Biavo, Inc., asks the lawyei to iepiesent it on a huge lawsuit
against Acme. Lawyei may /&- teiminate the ACR with Acme foi
the puipose of taking on the mattei auveise to Acme.
u. Conflicts with lawyei's own inteiests.
(1) Liens anu othei "uoing business with client" issues. (1.8(a))
A

(a) Liens. A lien is a piopeity iight to possess something that the
lien holuei uoes not own. When lawyeis obtain liens, they aie
usually liens against the iecoveiy in the case oi liens against the
client's assets (e.g., the client's house) to ensuie payment of the
legal fees.
@d-Y8$': To piotect hei inteiest Lawyei asks client to
agiee that the lawyei may have a lien on any iecoveiy in
the case. Result: if lawyei complies with the technicalities
of 1.8(a), the lien is peimitteu.
@d-Y8$': To piotect hei inteiest in iecoveiing fees fiom
the client, lawyeis auu a piovision to the fee agieement by
which lawyei takes a lien on the client's house. Result: if
the lawyei complies with the technicalities of 1.8(a), the
lien is peimitteu.
(b) "Business tiansaction with client." If the lawyei will be
enteiing into a business ielationship with the client, the piovisions
of 1.8(a) apply.
37
@d-Y8$': Lawyei auvises client on ieal estate investment
paitneiships. Client offeis to let lawyei join one of the
paitneiships. Result: lawyei may uo so if the lawyei
complies with 1.8(a).
@d-Y8$': Lawyei iepiesents stait-up companies anu
offeis that in lieu of cash payments, the client may pay the
lawyei with shaies of stock in the client. Result: lawyei
may uo so if the lawyei complies with 1.8(a).
(c) All of these ielationships aie piohibiteu unless (i) the
tiansaction is "faii anu ieasonable"; (ii) is uiscloseu in wiiting; (iii)
the client is auviseu of the uesiiability of seeking inuepenuent
counsel about the ielationship; (iv) client is given a ieasonable
oppoitunity to seek the auvice of inuepenuent counsel; anu (v)
client gives infoimeu consent in a wiiting signeu by the client (IC,
WSC).
A,u

(2) uifts anu inheiitances fiom clients (1.8(c)).
(a) A lawyei shoulu not 0&+.*.- any substantial gift fiom a client
unless the client is ielateu to the lawyei. (Note: the iule bais
0&+.*.-4-.&/ of gifts. It uoes not absolutely bai lawyeis fiom
accepting unsoliciteu gifts fiom non-ielateu clients. )
@d-Y8$': Lawyei asks elueily client to give lawyei a silvei
vase that lawyei has long aumiieu. Client is not a ielative
of lawyei. Result: Lawyei has violateu 1.8(c).
@d-Y8$': As a token of appieciation, Client gives Lawyei a
silvei vase that Lawyei in no way soliciteu fiom client.
Lawyei may accept the vase without violating 1.8(c). Note,
howevei, that most states have common law iules
pioviuing that the client may iescinu such gifts oi that if
the client wishes the gift ietuineu then the lawyei beais
the buiuen of pioving that the gift was not obtaineu
thiough unuue influence.
(b) The lawyei may not piepaie on behalf of a non-ielative client
any instiument (e.g., will oi tiust) that gives the lawyei oi any
ielateu peisons to the lawyei any substantial gift. ("Relateu
peisons" incluue spouses, chiluien, gianupaients, gianuchiluien oi
othei peison oi ielative with whom the lawyei maintains a close,
familial ielationship.)
@d-Y8$': Lawyei wiites a will foi client leaving an
antique cai to Lawyei. Client is not ielateu to Lawyei.
Result: lawyei has violateu 1.8(c).
@d-Y8$': Lawyei wiites a will foi client leaving $1u,uuu
to the lawyei's chilu. The client is not a ielative of Lawyei.
Result: Lawyei has violateu 1.8(c).
@d-Y8$': Lawyei's mothei asks lawyei to uiaft a will by
which lawyei anu hei two sisteis will equally shaie the
mothei's estate. Result: lawyei has /&- violateu 1.8(c).
(Note, howevei, that unuei most states' common law, it
may be possible to voiu the inheiitance by the lawyei if it
can be pioven that the inheiitance was obtaineu thiough
coeicion oi unuue influence.)
38
(S) Liteiaiy iights fiom client (1.8(u)). Piioi to the conclusion of the
mattei, a lawyei shall not make oi negotiate an agieement giving the
lawyei liteiaiy iights in the client's mattei.
@d-Y8$': A ciiminal uefense lawyei is engageu by a client who
lacks money. Because the case is sensational anu has been in the
news, the lawyei baigains with the client at the outset of the mattei
to obtain the iight to liteiaiy iights about the case. Result: lawyei
has violateu 1.8(u).
(4) Financial assistance to clients (1.8(e)). ueneially, lawyei shall not
pioviue client financial assistance (e.g., pay ient, meuical bills).
(a) Rationale: gives lawyei too much powei anu influence ovei
client.
(b) Lawyei may auvance couit costs anu litigation expenses anu
iepayment may be contingent on litigation success.
(c) Lawyei may outiight pay couit costs anu expenses of inuigent
clients.
(S) Thiiu paity payois. (1.8(f)) If someone othei than the client is paying
the legal fees, lawyei must obtain the client's infoimeu consent; must
pievent inteifeience with lawyei's inuepenuent juugment foi the benefit of
the client; anu must piotect client confiuences.
(a) Fiequently testeu fact pattein: Lawyei iepiesents the insuieu
but the legal fees aie paiu by the insuiei. Lawyei must seive only
the inteiests of the client-insuieu, must piotect the client's
confiuences, anu must obtain the client's infoimeu consent to the
payments by the insuiei non-client.
(6) Aggiegate settlements. (1.8(g))
A
Lawyei shall not paiticipate in making
an aggiegate settlement unless (i) each client gives infoimeu consent in a
signeu wiiting anu (ii) lawyei's uisclosuie states existence anu natuie of
the claims anu settlements foi all paiticipants.
(a) Exception: wheie aggiegate settlement in ciiminal case uoesn't
involve guilt oi /&+& *&/-(/<()(.
(7) Nalpiactice liability, limiting liability, anu settlements. (1.8(h))
A

(a) Lawyei shall not 9)&09(*-.1(+6 limit malpiactice liability unless
client is inuepenuently iepiesenteu by counsel iegaiuing the
limitation.
(b) Lawyei shall not settle malpiactice liability unless the client is
auviseu in wiiting of the uesiiability of seeking inuepenuent
counsel iegaiuing the settlement anu is given a ieasonable
oppoitunity to obtain inuepenuent counsel iegaiuing the
settlement.
(8) Acquiiing piopiietaiy inteiest in litigation. (1.8(i)) This is foibiuuen,
except that lawyei may obtain lien (uiscusseu above) oi ieasonable
contingency fee (uiscusseu below).
(9) Sexual ielationship with clients. (1.8(j)) Sexual ielationships with
clients aie foibiuuen unless the ielationship 9)(=(A.0-(< attoiney client
ielationship.
e. Conflicts aiising fiom public seivice. (6.1 - 6.S)
39
(1) Foi lawyeis involveu with a Legal Seivices 0iganization, the lawyei
shall not knowingly paiticipate in uecisions that involve auveisity to the
lawyei's client. (6.S)
@d-Y8$'. Lawyei sits on the boaiu of a legal seivices oiganization
ueciuing whethei to sue a iesiuential lanuloiu in town. The
lanuloiu is a client of Lawyei's fiim. Lawyei shall not paiticipate in
the uecision.
(2) Foi lawyeis involveu with law iefoim activities, if the oiganization is
making a uecision that might mateiially benefit a client, the lawyei shall
uisclose that fact, but uoes not neeu to iuentify the client, anu may
paiticipate in the uecision. (6.4)
@d-Y8$'. Lawyei sits on the boaiu of "Riveisiue Enviionmental
Alliance," which is involveu in lobbying, legal iefoim, etc. The
Alliance is consiueiing a pioposal that, if passeu, woulu benefit
seveial of Lawyei's clients. Lawyei shall uisclose that fact, but
neeu not iuentify the paiticulai clients, anu may then paiticipate in
the uecision without violating the ethics iules.
(S) Foi lawyeis involveu in non-piofit anu couit-annexeu limiteu legal
seivices, the lawyei shall abiue by the conflicts iules to the extent the
lawyei actually iealizes that theie is a conflict issue while paiticipating in
the seivice, anu if the iepiesentation will be continueu the lawyei will uo a
full conflicts check. (6.S)
@d-Y8$'. Associate paiticipates in a couit-annexeu piogiam
calleu "Tenant's Rights Clinic," that euucates tenants about theii
legal uisputes. As Associate fielus questions fiom tenants, if the
Associate iealizes that the question is auveise to a fiim client the
Associate shoulu not paiticipatebut Associate uoes not have to
iun a conflicts check anu if it tuins out that the question was
auveise to a fiim client the Associate has not bieacheu the ethics
iules. If the legal iepiesentation uoes not teiminate at the enu of
the conveisation, the Associate will iun a full conflicts check.
f. Conflicts with foimei clients.
(1) Auveisity by lawyei who "foimeily iepiesenteu" a client. (1.9(a))
(a) It's a conflict if the new mattei auveise to the foimei client is
the "same oi substantially ielateu to the mattei" the lawyei
pieviously hanuleu foi the foimei client. ("S0SRN").
u

(b) The teim of ait, "same oi substantially ielateu to the mattei"
(S0SRN) enables the couit to weigh the uangei that the foimei
client's confiuences will now be useu against the client.
(c) S0SRN can be baseu on the similaiity of legal issues in the
pievious mattei foi the foimei client anu the new auveisity to the
client. But S0SRN can also be piesent if the facts uiscloseu in the
pievious mattei aie the kinus of facts that woulu be useful in the
auveisity to the foimei client.
(2) Auveisity by lawyei whose piioi fiim iepiesenteu a client (1.9(b))
(a) It's a conflict foi a lawyei to unueitake a mattei auveise to
piioi fiim's client if the mattei is S0SRN to what the piioi fiim uiu
foi client anu if the lawyei acquiieu mateiial confiuences fiom
piioi fiim's client.
40
@d-Y8$': While Lawyei was at the fiim of Able & Bakei, lawyeis at
that fiim iepiesenteu Consoliuateu, Inc., on secuiities law issues.
Lawyei uiu not iepiesent Consoliuateu on those matteis. Lawyei
then moves to fiim of Belta & Echo. Financial Seivices, Inc., wants
to hiie Lawyei anu Belta & Echo to sue Consoliuateu Inc. foi
secuiities law fiauu. If Lawyei acquiieu any mateiial confiuences
of Consoliuateu while at piioi fiim, then it woulu be a conflict foi
Lawyei to unueitake the auveisity to Consoliuateu, even if Lawyei
heiself uiu not iepiesent Consoliuateu while at Able & Bakei.
(1.9(b))
(S) 0se oi ievelation of infoimation ielating to the lawyei's piioi
iepiesentation of a client, oi ielating to the lawyei's fiim's iepiesentation
of a client. (1.9(c))
(a) Cannot use such infoimation to the uisauvantage of the foimei
client except as peimitteu in the iules oi when such infoimation
has become geneially known.
(b) Cannot ieveal such infoimation except as peimitteu by the
iules.
(c) Notice how bioau that uefinition of infoimation is: any
infoimation ielating to the iepiesentation.
(u) Example: Lawyei helps Real Estate Investois, Inc., plot
stiategy foi the puichase anu ieuevelopment of lanu in vaiious
paits of town. In uoing so, Lawyei leains (i) how the zoning
piocess woiks in that town; anu (ii) which piopeities the client
thinks aie unueivalueu in the maiket. Both aie "infoimation
ielating to the iepiesentation." Lawyei can make use of (i) foi
othei clients anu to builu hei book of business, so along as the
matteis aie not to the uetiiment of Real Estate Investois, Inc.
Lawyei cannot make use of (ii) to puichase the lanu that Lawyei
knows that Real Estate Investois wants to buy.
(4) Special case: goveinment lawyei.
(a) Nust follow goveinment's own conflicts iules anu statutes
(b) Cuiient goveinment lawyei cannot paiticipate in mattei in
which lawyei "peisonally anu substantially" woikeu befoie
goveinment seivice. (1.11(u))
(c) Cuiient goveinment lawyei cannot negotiate foi piivate
employment with paity oi lawyei in mattei in which goveinment
lawyei is paiticipating "peisonally anu substantially." (1.11(u))
@d-Y8$'S uoveinment lawyei is peisonally anu
substantially negotiating foi City a lease on City piopeity
unuei which Acme Inc., may become be a lessee. The law
fiim of Able & Bakei is iepiesenting Acme on the lease
negotiations acioss fiom uoveinment lawyei. uoveinment
lawyei may not negotiate foi employment with Able &
Bakei while the mattei is ongoing.
(u) Foimei goveinment lawyei can't paiticipate in matteis in
which she paiticipateu "peisonally anu substantially" as a
goveinment lawyei. (1.11 (a))
41
(1) Foimei goveinment lawyei's uisqualification is
imputeu to otheis at the fiim ')."11 lawyei is timely
scieeneu, piompt wiitten notice is given to goveinment
agency so it can asceitain compliance, anu the foimei
goveinment lawyei ieceives no pait of the fees in the
mattei. (1.11(b))
(e) Foimei goveinment lawyei cannot be auveise to peison when
lawyei obtaineu mateiial confiuences about that peison while as a
goveinment lawyei (1.11(c))
(1) Foimei goveinment lawyei's uisqualification unuei
this iule is imputeu to otheis at fiim ')."11 lawyei is
timely scieeneu, the foimei goveinment lawyei enjoys no
poition of fees fiom mattei, anu the foimei client is given
notice. (1.11(c))
(S) Special case: foimei juuges, neutials, anu law cleiks.
(a) Special iules apply to juuges & aujuuicative officeis (anu theii
law cleiks); anu to thiiu paity neutials (aibitiatois anu meuiatois)
("Neutials"). (1.12(a))
(c) Foimei neutial shall not iepiesent anyone in connection with a
mattei in which they paiticipateu "peisonally anu substantially" in
neutial iole.
(1) But may uo so if +.. paities consent, confiimeu in
wiiting.
(b) A neutial shall not negotiate foi employment with paity oi
lawyei appeaiing in a mattei in which the Neutial is "peisonally
anu substantially" paiticipating. (1.12(b))
(1) Exception: law cleiks can, aftei notice to supeivisoi
Neutial.
(u) Foimei Neutial's uisqualification is imputeu to othei lawyeis
at fiim ')."11 timely scieeneu, enjoys no poition of fees; timely
notice is given to paities anu the appiopiiate tiibunal.
g. Conflicts with thiiu paities. Conflicts can aiise out of the lawyei's ielationships
with peisons othei than clients.
(1) Thiiu paity payois. When a non-client pays the client's legal fees, the
conflict is that the lawyei may ieveal client confiuences to the payoi oi may
let the payoi make uecisions that belong to the client. (1.7; 1.8; S.4)
(2) 0pposing lawyei. The lawyei may have a peisonal oi piofessional
ielationship with the lawyei on the opposing siue. If that ielationship is
likely to mateiially limit the lawyei's iepiesentation of the client, it is a
conflict of inteiest. (1.7)
(S) Witnesses..
h. What lawyeis aie affecteu by the conflict ("imputation"). 0nce we ueteimine
that any lawyei has a conflict of inteiest, we must ask if that conflict applies to othei
lawyeisthat is, if the conflict is "imputeu" to othei lawyeis.
("Imputation" is the ABA teim of ait, anu it's uiscusseu mostly in NR 1.1u. 0nuei
the Califoinia appioach, we ask if theie is a "vicaiious" imputation of othei lawyeis.
42
As of Fall 2u11, Califoinia has no ethics iule that uiiectly auuiesses the issue; the
issue is auuiesseu by Califoinia case law.)
(1) K'*%&%#%)&: "Fiim."
u
When applying imputation iules, it's impoitant to
iemembei that the teim "fiim" incluues a wiue vaiiety of scenaiios wheie
lawyeis aie woiking in a cohesive woik setting, incluuing piivate piactice
fiims, in-house coipoiate law uepaitments, legal seivices oiganizations, etc.
(1.u(u))
(2) Conflicts aiising unuei NR 1.8: imputation is goveineu by 1.8(k)
(a) You will iecall that 1.8 iegulates a seiies of specific conflicts
scenaiios. (Iv.f.6.u.) Rule 1.8(k) pioviues that whenevei a
lawyei in a fiim has a conflict unuei 1.8-- except foi the piohibition
iegaiuing sexual ielations with a client--then the conflict is
imputeu to all the lawyeis at the fiim,.
(S) Rule 1.1u(a) goveins imputation of conflicts aiising unuei 1.7 (cuiient
client conflicts) anu 1.9 (foimei client conflicts).
(4) "0lu Rule 1.1u(a)." N0TE! The 2u1S NPRE will )$, test on this!
(a) Rule 1.1u(a) was amenueu in August 2uu9. 0nuei the olu
veision of iule 1.1u(a), which is still the uominant appioach in
most states, when a lawyei in a fiim has a conflict unuei 1.7 oi 1.9
aiising fiom the piivate piactice of law, then the conflict is imputeu
to all the lawyeis at the fiim.
(b) 0nuei the olu 1.1u(a), anu unuei the cuiient iule as well, when
a lawyei has a conflict aiising fiom pieviously seiving as a
goveinment lawyei oi thiiu paity neutial (juuge, aibitiatoi,
meuiatoi), imputation is iegulateu by 1.11 (goveinment lawyeis)
oi 1.12(foimei thiiu paity neutials).
(S) "New Rule 1.1u(a)" (As of August 2uu9) N0TE! The Apiil 2u1S NPRE
4(.. test on this veision of the iule!
(a) A lawyei's conflict is not imputeu to otheis at the fiim if it
aiises fiom a peisonal inteiest of the uisqualifieu lawyei anu uoes
not piesent a significant iisk of mateiially limiting the
iepiesentation of the client by the othei membeis of the fiim.
(1.1u)(a)(1)).
@d-Y8$': Suppose that a paitnei at Able & Bakei foimeily
seiveu on the boaiu of uiiectois of a local college wheie
she is a loyal anu uevoteu alum. Bei fiim is askeu to file a
suit against that college. The inuiviuual paitnei may well
have a peisonal inteiest conflict unuei 1.7(a)(2), but that
conflict piobably will not be imputeu to othei lawyeis at
hei fiim.
(b) A lawyei's conflict aiising unuei 1.9(a) oi (b), iesulting fiom
legal woik 4- 4 9()1.&,0 9+4*( &; ('9+&6'(/- will not be imputeu to
otheis at the lawyei's cuiient fiim if these conuitions aie met:
(1) The uisqualifieu lawyei is timely "scieeneu" fiom
paiticipation in the mattei, incluuing fiom paiticipating in
the fee; anu
(2) Wiitten notice is piomptly given to any affecteu
foimei client, incluuing a uesciiption of the scieen, a
43
statement that the lawyei anu fiim aie complying with the
scieen, a statement that ieview may be available befoie a
tiibunal, anu an agieement to iesponu to wiitten inquiiies
about the scieen. (1.1u(a)(ii)); anu
(S) Ceitificates of compliance aie pioviueu to the foimei
client upon iequest anu at the conclusion of the scieen.
@d-Y8$': Lawyei foimeily woikeu at the fiim
Able & Bakei, wheie she iepiesenteu Caigo, Inc.
on a patent litigation mattei. Lawyei moveu to the
fiim of Belta & Echo, which wants to unueitake a
patent litigation mattei auveise to Caigo on the
veiy same subject mattei that Lawyei woikeu on
foi Caigo. Lawyei cleaily has a foimei client
conflict unuei 1.9 anu cannot woik on the mattei
without the consent of Caigowhich is unlikely to
give consent. But, if hei new fiim complies with
all the piovisions of the new veision of 1.1u, then
Lawyei's uisqualification is /&- imputeu to the
othei attoineys at hei new fiim anu othei lawyeis
at hei new fiim can unueitake the mattei auveise
to Caigo.
(c) If a lawyei leaves a fiim, anu the uepaiteu lawyei's client is no
longei a client of the fiim, then unuei 1.1u(b) the fiim may
commence iepiesentations auveise to the foimei client unless:
|1j The new mattei is the same oi substantially ielateu to
that in which the fiim foimeily iepiesenteu the client; +)&
|2j Any lawyei iemaining in the fiim has confiuential
infoimation mateiial to the new mattei.
@d-Y8$': While at the fiim of Able & Bakei,
Lawyei iepiesenteu Caigo, Inc. Then she left that
fiim anu Caigo was no longei a client of Able &
Bakei. Six months latei, a potential new client
wants to hiie Able & Bakei to sue Caigo. Result:
Able & Bakei can ethically take on the new mattei
auveise to Caigo unless the new mattei is the
same oi substantially ielateu to the mattei in
which the fiim iepiesenteu Caigo anu any lawyei
at Able & Bakei has confiuential infoimation
mateiial to the new mattei.
(u) Imputeu conflicts may be waiveu as pioviueu in 1.7 (Infoimeu
Consent, Confiimeu in Wiiting, "ICCW").
(e) The imputation of the conflicts of a lawyei who foimeily
woikeu in a goveinment setting is goveineu by 1.11; imputation of
conflicts of foimei thiiu paity neutials (incluuing foimei juuges) is
goveineu by 1.12.
i. What conflicts aie consentable:
(1) 0nly if the lawyei ieasonably believes she can fulfill hei uuties to the
client.
44
(2) Cannot iepiesent opposing paities in the same lawsuit (automatically
not ieasonable).
j. Bow can consent be obtaineu ("basic waivei").
(1) "Infoimeu consent, confiimeu in wiiting."
A,

u

(2) Infoimeu consent iequiies infoiming the client of implications,
uisauvantages, etc. of the waivei
(S) "Confiimeu in wiiting."
C

(a) The consent may be confiimeu in wiiting by obtaining the
client's signatuie (oi othei wiiting) on a consent waivei.
(b) The consent may be confiimeu in wiiting by having the lawyei
obtain an oial consent anu then piomptly senuing the client a
wiitten confiimation of the consent. (Note: when the lawyei uses
this option foi confiiming the consent in wiiting, -:()( .0 /& ?).-./@
&5-4./(< ;)&' -:( *+.(/-.)
(4) This foimula woiks foi cuiient client (1.7) anu foimei client conflicts
(1.9) but some of the sub-paiagiaphs of NR 1.8 uo iequiie specific
uisclosuies anu wiitings signeu by the client.
A

VI N&X'8'&X'&# 5"X2Y'&#I (2.1)
a. Lawyei must give canuiu assessment.
b. Auvice must be inuepenuent of outsiue influences.
c. Lawyei '46, but is not iequiieu to, iefei to social factois such as moiality
in auuition to pioviuing legal analysis.
u. Lawyei may seek out auvice fiom othei specialists.
ZI 6-*'2"-1X%&2 >1)8'1#3
a. Tiust Funu Account
(1) Nust keep lawyei's money anu client's money sepaiate! To the
penny!
(a) Auvance fees. When the client pays the lawyei fees in auvance
(what lawyeis sometimes call "auvance ietaineis"), the fees iemain
in the tiust account until they aie eaineu, aftei which they must be
piomptly moveu out of the tiust account.
(b) Auvanceu costs. When the client pays the lawyei costs in
auvance (e.g., a $2S,uuu check foi the anticipateu costs of an expeit
witness) the auvance costs iemain in the tiust account until they
aie incuiieu, aftei which they must be piomptly useu to pay the
costs incuiieu.
(c) Bistinguish: non-iefunuable ietaineis
(2) I0LTA (Inteiest on Lawyeis Tiust Account) vs. Inteiest-beaiing
account:
(a) When to use I0LTA oi sepaiate tiust account:
|1j If the money is so little anu will be in the account foi so
shoit of a time that it will not geneiate inteiest that can
covei the costs of opening the account anu then paying
inteiest to that client, then the lawyei must ueposit the
45
money in an I0LTA account. The inteiest goes to the state
bai anu is typically useu to funu legal seivices foi the pooi.
|2j If the inteiest on the money will exceeu the cost of the
setting up the account (because the amount is laige oi will
be in the tiust account foi a lonei peiiou of time), then the
funus shoulu be set up in a sepaiate tiust account so that
the inteiest can be paiu to the client.
@d-Y8$': Lawyei asks client foi $1,uuu in
auvance costs that lawyei expects to spenu in the
fiist thiee weeks of the engagement. The $1,uuu
shoulu be placeu in an I0LTA tiust account.
@d-Y8$': In piepaiation foi a majoi patent
infiingement anu antitiust suit, law fiim asks
client to pay auvance fees of $1,uuu,uuu anu
auvance costs of $Suu,uuu. Fiim expects that most
of these fees anu costs will not be incuiieu foi
seveial months. Result: the money shoulu go in a
sepaiate account that beais inteiest that is paiu to
the client.
(b) Requiiements that lawyei place ceitain funus in I0LTA
accounts aie constitutional. (It is a "taking," but because theie
woulu be no inteiest paiu on such small, shoit-teim accounts, no
compensation is oweu.)
(S) Bisputeu funus
(a) Bisputeu funus iemain in the tiust account. The lawyei must
get the uispute iesolveu piomptly anu if necessaiy initiate a legal
pioceeuing to ueteimine who owns the funus.
(b) This is a commonly testeu fact pattein! Even if the client
unfaiily anu unieasonably contests owneiship of funus that appeai
to cleaily belong to the lawyei, the lawyei shall not pay out the
uisputeu funus to heiself.
@d-Y8$': Lawyei enteis into a contingency fee agieement
with client-plaintiff by which lawyei eains SS% of all
iecoveiy. Befenuant pays $Suu,uuu to settle the mattei.
Lawyei places the $Suu,uuu in the I0LTA tiust account
because she expects the funus to be paiu out in the next
few uays. Client unexpecteuly anu unfaiily ieneges on the
fee agieement anu asseits that lawyei ueseives only
$S,uuu in fees. The lawyei piomptly pays the client
$2uu,uuu fiom the tiust account because theie is no
uispute as to the client's owneiship of 66% of the money.
Lawyei piomptly withuiaws $S,uuu fiom the tiust account
anu pays heiself because theie is no uispute ovei hei
owneiship of that money. Lawyei leaves the iemaining
money ($9S,uuu) in the tiust account, because they aie
uisputeu funus. Lawyei piomptly initiates negotiations
anu if necessaiy a legal piocess to ueteimine if she oi the
client is entitleu to the iemaining funus. Result: lawyei has
coiiectly hanuleu the situation.
b. 0thei piopeity not belonging to the lawyei.
46
(1) The lawyei must keep the piopeity "safe anu sepaiate" fiom the
lawyei's own piopeity.
(2) Placing the piopeity in a safe ueposit box oi a safe is a classic methou
foi keeping piopeity "safe anu sepaiate."
(S) If the lawyei unueitakes to act as an esciow agent, the lawyei assumes a
fiuuciaiy uuty to otheis, possibly incluuing non-clients. The lawyei's uesiie
to benefit a client uoes not peimit the lawyei to violate hei uuties as esciow
agent.
/I K"#%'4 ?'$-#'X #) 7##)1&'34 T''4
1. Clients may owe lawyeis contiactual uuties, wheieas lawyeis owe clients fiuuciaiy uuties.
2. Fees
C

a. 0nuei the ABA appioach, all fees must be "ieasonable." Reasonableness tuins on
time anu laboi iequiieu; novelty iequiieu; skill iequiieu; customaiy fees in that
maiket; iesults obtaineu, expeiience, ieputation anu the ability of the lawyei.
(1.S(a))
(1) Califoinia uses a test of "unconscionability" iathei than
"ieasonableness" foi legal fees. But the factois aie similai. (CRPC 4-2uu)
b. 0nuei the ABA appioach, the scope of the iepiesentation anu basis foi fee shall
be communicateu to client, "piefeiably in wiiting." (1.S(b))
(1) The lawyei may chaige iegulaily iepiesenteu clients the same iate as
was chaigeu on pievious matteis.
(2) Changes in the basis oi the iate shall be communicateu as well.
c. In Califoinia, the State Bai Act (Cal. Bus. & Piof. Coue 6uuu, et seq.) extensively
iegulates fee agieements (Cal. Bus. & Piof. Coue 6146, et seq.).
(1) When it's foieseeable that fees anu expenses to the client will exceeu
$1,uuu, the lawyei is iequiieu to obtain a wiitten fee agieement signeu by
the lawyei anu the client.
(2) Among othei things, the fee agieement shall contain the natuie of the
seivices to be ienueieu, the iates, fees, anu chaiges.
(S) Bills must state the basis foi the chaiges.
(4) Failuie to comply with the iules about fee agieements anu bills ienueis
the agieement voiuable at the client's choice; wheieupon the lawyei is
entitleu to a "ieasonable fee" (i.e., B,4/-,' '(),.-).
u. Fees may be contingent upon the iesult obtaineu.
(1) Shall be in wiiting anu signeu by client. (1.S)
(2) Shall state basis foi fee; shall state if expenses ueuucteu befoie oi aftei
the contingent fee calculateu
(S) At conclusion of the iepiesentation a wiiting shall set foith the final
uispeisal of fees anu iecoveiy.
(4) No contingent fees peimitteu foi iepiesenting uefenuant in ciiminal
matteis; oi in uomestic ielations matteis foi secuiing uivoice oi upon the
amount of alimony oi the piopeity settlement. (1.S(u))
(S) Note: Califoinia has extensive iegulation of contingency fee agieements
in the State Bai Act (at Cal. Bus. & Piof. Coue 6146, et seq.)
47
e. "Bivision" of fees ("Fee splitting"): ABA anu Califoinia appioaches.
(1) When we uiscusseu "fee splitting" we usually mean that the fees paiu to
one lawyei will be shaieu (oi split) with anothei lawyei 4- 4 <.;;()(/- ;.)'.
(2) As uiscusseu above (II.C) lawyeis shall not split fees with a non-
lawyei.
(S) 0nuei the ABA appioach, a lawyei can split fees with anothei lawyei in
a uiffeient fiim if client agiees; the client's agieement is confiimeu in
wiiting; total fee is ieasonable; anu each lawyei's fee is in piopoition to the
seivices peifoimeu oi if each lawyei assumes joint iesponsibility foi the
iepiesentation. (1.S(e))
@d-Y8$': Lawyei ("fiist lawyei") is ietaineu in a peisonal injuiy
mattei anu quickly iealizes that it iequiies legal skills she uoes not
possess. She ueciues to have a lawyei who is expeiienceu in that
fielu woik on the mattei ("seconu lawyei"). Fiist lawyei anu
seconu lawyei agiee that fiist lawyei will uo veiy little woik on the
mattei anu will not assume iesponsibility foi the entiie mattei anu
that fiist lawyei will split the fees SuSu with the seconu lawyei.
Result: both lawyeis have violateu 1.S.
@d-Y8$': Same as the piioi example, except that fiist lawyei will
split the fees with seconu lawyei in a way that ieflects the amount
of woik each has uone on the mattei. Result: if the client's consent
is piopeily obtaineu, the two lawyeis have /&- violateu 1.S.
@d-Y8$': Same as the piioi example, except that fiist lawyei anu
seconu lawyei agiee that fiist lawyei is jointly iesponsible foi the
iepiesentation. Result: if the client's consent is piopeily obtaineu,
the two lawyeis have /&- violateu 1.S.
(4) 0nuei the Califoinia appioach, a lawyei may split fees with a lawyei in
anothei fiim if (i) the client has consenteu in wiiting aftei a full uisclosuie
in wiiting that a uivision of fees will be maue anu the teims of the uivision,
anu if (ii) the total fee chaigeu by all lawyeis is not incieaseu solely by the
uivision anu is not unconscionable.
Note that Califoinia's iule uoes not iequiie that lawyeis be compensateu in
accoiuance to the woik they peifoim oi that all lawyeis ieceiving a uivision
assume iesponsibility foi the mattei. Califoinia theiefoie follows the
minoiity appioach in allowing "baie" iefeiial fees oi "iaw" fee splitting.
@d-Y8$': Same as the piioi examples, except that Califoinia law
goveins. Fiist lawyei anu seconu lawyei agiee that fiist lawyei will
uo no woik on the mattei but will ieceive 1S of all the fees that
the seconu lawyei eains on the mattei (i.e., "a thiiu of a thiiu").
Result unuei Califoinia law: if the client's consent is piopeily
obtaineu, the two lawyeis have not violateu Califoinia's ethics
iules. This aiiangement is one that is often calleu a "baie" iefeiial
fee.
BI D'1Y%&-#%)& )* #+' 7O?
1. Tiibunal's peimission neeueu aftei appeaiance:
a. 0nce a lawyei has maue an appeaiance befoie a tiibunal, the tiibunal's
peimission is neeueu befoie the lawyei can withuiaw. (1.16(c))
48
b. A competent client's iight to teiminate an ACR is so stiong that a tiibunal will
oiuinaiily piohibit a client's iequest to teiminate the ACR only if the mattei is in
miu-tiial. (case law)
c. If the tiibunal oiueis a lawyei to continue the ACR, the lawyei shall obey the
oiuei even if the ethics iules otheiwise suggest that the lawyei must withuiaw.
(1.16(c))
2. Teimination by Client:
a. Subject to any iequiiement that a tiibunal appiove the teimination of the ACR, a
competent client has a neaily absolute iight to teiminate the ACR.
b. Teimination of the ACR geneially teiminates the lawyei's authoiity to binu the
client. Bowevei, the lawyei may have continuing uuties to the client anu the couit
upon teimination. (See below)
b. Theie is a bouy of case law to ueteimine what compensation, if any, the client
owes the lawyei following teimination.
c. uoveinment lawyeis may be piotecteu fiom teimination by vaiious laws (e.g.,
whistle-blowei statutes) oi by collective baigaining agieements.
u. Coipoiate employee lawyeis may oi may not have the iight to seek uamages foi
wiongful teimination. This is an emeiging issue unuei state law.
S. Teimination by Lawyei: "56+.." withuiaw (1.16(a)) if:
a. Continuing the ACR woulu bieach ethics iules oi othei goveining law (NR
1.16(a)(1)); oi
b. The lawyei's physical oi mental conuition mateiially impaiis the lawyei's ability
to caiiy out the iepiesentation (NR 1.16(a)(2)); oi
c. The lawyei is uischaigeu. (NR 1.16(a)(S))
u. The CRPC on manuatoiy withuiawal, at S-7uu(B), is substantially similai to the
ABA iules, at 1.16(a).
4. Teimination by Lawyei: "7+8" withuiaw 1.16(b)) if:
a. Can be uone without mateiial auveise effects on the inteiests of the client.
(1.16(b)(1))
b. Client peisists in conuuct the lawyei ieasonably believes is ciiminal oi fiauuulent
conuuct. (1.16(b)(2))
c. Client has useu lawyei's seivices to peipetuate a ciime oi fiauu. (1.16(b)(S))
u. Client insists upon taking action that is "iepugnant" to the lawyei anu with which
the lawyei has a "funuamental uisagieement." (1.16(b)(4))
e. Client has bieacheu an obligation oi uuty to the lawyei anu the client was given
ieasonable waining that the lawyei woulu withuiaw if the bieach was not
iemeuieu. (1.16(b)(S))
(1) This usually involves the client's failuie to pay legal fees.
e. Repiesentation will unuuly buiuen the lawyei financially oi the client has
ienueieu the ACR unieasonably uifficult. (1.16(b)(6))
f. 0thei goou giounus. (1.16(b)(7))
g. The CRPC, at S-7uu (C), pioviue similai giounus foi peimissive withuiawal, anu
also pioviue foi peimissive withuiawal if an inability to woik with co-counsel
ienueis withuiawal in the client's best inteiests. (S-7uu(C)(6))
49
S. Teimination by completion of assigneu task
a. If the A-C engagement contiact oi the client's ieasonable expectations so pioviue,
the ACR is teiminateu by the lawyei's completion of the assigneu task. (NR 1.S(4);
Rest. LuL S1)
b. If the lawyei has iepiesenteu the client on a numbei of matteis ovei time oi if
the client's ieasonable expectations aie that the ACR continues even aftei
completion of an assigneu task, the ACR may be founu to continue. (NR 1.S(4); Rest.
LuL S1)
c. The lawyei shoulu pievent confusion, anu claiify confusion, by use of a wiiting.
u. This is a majoi iisk management issue foi piivate piactice lawyeis. The
iecommenueu couise is to senu a fiienuly teimination lettei at the conclusion of
each mattei.
6. Teimination by opeiation of law occuis upon:
a. Beath oi incapacity of lawyei. (Rest LuL S1(2)(u))
(1) Lawyei's incapacity incluues loss of law license.
b. Beath oi incapacity of client. (Rest LuL S1(2)(b))
c. Couit oiueis teiminating the ACR.
(1) Typically, this iesults fiom an oiuei gianting uisqualification.
u. When a lawyei changes fiims:
(1) When a lawyei iepiesenting a client changes fiims, the client has the
iight to ueciue who will continue with the ACR.
(2) Nany ethics authoiities iecommenu that the uepaiting lawyei anu the
piioi fiim wiite a joint lettei asking the client to ueciue who will iepiesent
client going foiwaiu.
7. Pioceuuie foi withuiawal:
a. Wheie no appeaiance has been maue befoie a tiibunal, no foimal pioceuuie is
iequiieu; pioviueu, howevei, that the teiminateu lawyei must fulfill the uuties upon
teimination uiscusseu below.
b. In cases penuing befoie a tiibunal, wheie the teiminateu lawyei anu client agiee
upon withuiawal, it may be sufficient unuei local iules to file a "substitution of
counsel."
c. Some tiibunals iequiie a motion to substitute counsel even if the teiminateu
lawyei anu client agiee upon the withuiawal. (This is typically iequiieu in feueial
couits.)
u. If the teiminateu lawyei anu client uo not agiee upon withuiawal, it is geneially
necessaiy to file a contesteu motion to withuiaw. In uoing so, the lawyei has a uuty
to biing the motion in such a way as to avoiu piejuuicing the client's inteiests.
Bepenuing on the situation, that may incluue infoiming the couit that the
withuiawal is piemiseu upon a iule of piofessional iesponsibility but while
simultaneously omitting the specific uetails that leu to the motion. Sometimes the
withuiawing lawyei may offei to ieveal some peitinent facts unuei seal foi in
cameia ieview. The lawyei shoulu caiefully follow the pioceuuies in that
juiisuiction iegaiuing contesteu motions to withuiaw.
8. Buties peitaining to teimination:
a. The lawyei must comply with tiibunal's iules
50
b. The lawyei must withuiaw without piejuuice to client: geneially shall not
withuiaw on the eve of ueaulines wheie client cannot obtain alteinative seivices.
(1) The uuty of communication geneially iequiies the lawyei to infoim the
client of ueaulines that it oi successoi client counsel must meet.
(2) It is piuuent foi the lawyei to infoim the client of the consequences of
failing to meet those ueaulines anu of the fact that the lawyei will not be
calenuaiing those ueaulines oi fuithei waining client of the ueaulines.
c. The lawyei has a uuty to ietuin oi "suiienuei" the client's file:
(1) Bepenuing upon local law, the file may actually be the piopeity of the
client.
(2) ueneially, the lawyei must piomptly uelivei the file to the client upon
teimination of the ACR.
(a) 0nuei Califoinia law, the file must be ietuineu if the client
uemanus it.
(b) The ABA iule pioviues that the lawyei shall "suiienuei papei
anu piopeity to which the client is entitleu." (1.16(u))
(c) Incieasing numbeis of juiisuictions iequiie the lawyei to
uelivei any existing electionic uocuments in the client's file. That
woulu incluue emails anu e-copies of papeis anu uocuments in the
file.
(u) The Califoinia, ABA, anu majoiity appioach is that it is an
ethical violation to iefuse to suiienuei the file until the client has
paiu legal fees to the lawyei. (In a minoiity of states, this is
ethically peimitteu eithei if the lawyei contiacts foi a lien on the
file oi if the law in that state automatically pioviues foi a lien on
the file.)
(e) In Califoinia anu many othei juiisuictions, the lawyei may keep
a copy of the client file at the lawyei's own expense. (0ften,
lawyeis uo this when they feai that a malpiactice oi liability suit
may ensue fiom the iepiesentation.)
u. The lawyei has a uuty to ietuin uneaineu fees, othei funus to which the client is
entitleu, anu any othei piopeity belonging to the client.
NI >)4#]D'1Y%&-#%)& K"#%'4 `X"#%'4 4"10%0%&2 #'1Y%&-#%)& )* #+' 7O?aI
1. Rules peitaining to confiuentiality suivive the ACR. (e.g., NR 1.6; 1.9(a)-(c))
2. Lawyei must foiwaiu to client oi successoi counsel any communications the lawyei
ieceives peitaining to the teiminateu ACR. (Rest LuL SS(2)(c))
S. The uuty of loyalty suivives the ACR to the extent the conflict of inteiest iules tuin on the
teiminateu lawyei's ieceipt oi possession of client confiuences. (e.g., NR 1.6; 1.9(a)-(c))
Auuitional aspects of the uuty of loyalty to foimei clients aie somewhat vague. Foi example,
some cases suggest that a lawyei shoulu not attack its piioi woik piouuct, even when the
attack uoes not implicate the lawyei's uuty of confiuentiality to teiminateu clients.
4. Theie aie a few cases uealing with unusual fact patteins that suggest that a lawyei has a
continuing uuty of loyalty that piecluues the lawyei fiom attacking hei own woik piouuct oi
the subject mattei that was the focus of hei piioi effoits foi the foimei client. These cases
suggest that theie may be a iesiuual uuty of loyalty to foimei clients that is not tieu to the
foimei client's confiuences. (See, e.g., C40.0 D(0- E(4+-67 88% 12 !&+<'4/, S1 Cal.4th 811
(2u11))
51

AI
,-.3'14\ K"#%'4 #) D+%1X >-1#%'4 -&X 6)^%-$ 634#'Y4 X"1%&2 #+' 7##)1&'3 O$%'&# ?'$-#%)&4+%8

A. Buties to Non-clients uuiing the ACR
1. Buties to All Thiiu Paities
a. Lawyeis have a uuty not to make false statements of fact oi law to thiiu peisons.
(4.1)
(1) Nisiepiesentations to non-clients aie foibiuuen. Such
misiepiesentations incluue false oi '.0+(4<./@ statements. ("Nisleauing"
statements incluue those that aie paitially tiue but intenueu to cieate in the
listenei a false factual appiehension.)
(2) 0nuei geneially accepteu noims of negotiation, ceitain statements aie
ueemeu not to be factual iepiesentations. (4.1|2j) Foi example, (i)
statements about the piice oi value place on the subject of a tiansaction oi
the amount that woulu be an acceptable settlement anu (ii) the use of an
unuiscloseu piincipal aie geneially ueemeu not to be mateiial factual
iepiesentations.
@d-Y8$': Plaintiff tells hei lawyei that she will accept any
settlement offei of $1uu,uuu oi gieatei. Plaintiff's lawyei gets on
the phone anu says to uefenuant's lawyei, "Ny client will not accept
less than $Suu,uuu foi hei claim." Result: Lawyei has not violateu
NR 4.1.
@d-Y8$': The Walt Bisney Company has ueciueu to builu a new
theme paik in a iuial iegion of Inuiana anu neeus to buy seveial
paicels of lanu. Walt Bisney's lawyei feais that if she ieveals that
the potential buyei is Walt Bisney, the piice of the lanu will sky-
iocket. So she foims a half uozen companies with non-uesciipt
names like "}ones Family Faim Coipoiation," anu appioaches the
faim owneis to buy theii lanu. Result: By itself, the use of
unuiscloseu piincipals is not a violation of NR 1.4. (Note, howevei,
that in othei contexts, use of unuiscloseu piincipals anu pioxies
might violate substantive law anu, if so, the lawyei woulu not be
peimitteu to facilitate that use.)
b. Buty to Bisclose Nateiial Facts to Avoiu Assistance in a Ciime oi Fiauu. (4.1(b))
(1) When it is necessaiy to pievent the lawyei fiom assisting a ciime oi
fiauu, anu when uisclosuie is peimitteu unuei NR 1.6(b), the lawyei ',0-
pievent the assistance, even if pievention iesults in a uisclosuie of client
confiuences. (Recall that "may ieveal" situations unuei 1.6(b) can become
"must ieveal" situations unuei the conuitions set foith in NR 4.1, 8.1 anu
8.S.) The comments to NR 4.1 uesciibe thiee ways that the lawyei may
avoiu assisting the ciime oi fiauu.
(a) The lawyei might simply withuiaw fiom the iepiesentation anu
no longei assist the client who intenus to commit a ciime oi fiauu.
(b) The lawyei might make a "noisy withuiawal" anu uisaffiim any
piioi expiess oi implieu iepiesentations maue to the thiiu peison
oi opposing paity.
52
@d-Y8$': Lawyei is assisting client to sell a laige
apaitment builuing. Baseu upon iepiesentations fiom hei
client, lawyei has tolu the potential puichasei uuiing
negotiations that the builuing contains no asbestos.
Lawyei iecently leaineu fiom hei client that asbestos .0
piesent in the builuing, although client hopes to have it
iemoveu befoie the tiansaction is consummateu. The
sellei's lawyei telephones the potential buyei's lawyei,
announces that lawyei is no longei assisting the sellei, anu
"uisaffiims" any piioi iepiesentations she may have maue
to the potential buyei. (Note that in this scenaiio, the
lawyei foi the potential buyei will almost ceitainly ueuuce
that a misiepiesentation has been maue to the buyei.)
(c) The lawyei may ieveal the specific client confiuence itself when
necessaiy to pievent assisting a ciime oi fiauu.
c. Respect foi iights of all thiiu peisons. (4.4)
(1) The lawyei shall nevei use means that have no substantial puipose
othei than to embaiiass, uelay, oi buiuen a thiiu peison (4.4(a));
(2) A lawyei shall nevei use methous of obtaining eviuence that violate the
legal iights of a thiiu peison (4.4(a));
(S) A lawyei who ieceives a uocument ielating to the iepiesentation of the
lawyei's client anu knows oi shoulu ieasonably know that the uocument
was inauveitently sent shall piomptly notify the senuei (4.4(b)).
2. Buties to Repiesenteu Peisons (4.2)(the "no contact iule")
a. In iepiesenting a client, a lawyei shall not communicate about the subject of the
iepiesentation with a "peison" the lawyei knows to be iepiesenteu by anothei
lawyei in the mattei, unless the lawyei has the consent of the othei lawyei oi is
authoiizeu by law to make the communication.
b. Note that the ABA veision of the iule iefeis to "peisons" iepiesenteu by counsel.
That means that the iule applies even if the peison is not, stiictly speaking, a "paity"
in the mattei. This uistinction often aiises when a lawyei wishes to communicate
with a witness who is not a paity in the mattei.
c. Note that consent fiom the othei lawyei is iequiieu. Consent fiom the thiiu
peison is not enough.
u. The coiiect application of this iule to piosecutois who wish to contact witnesses
has been a mattei of uebate anu uisagieement.
e. The coiiect application of this iule has been uifficult when lawyei know that an
oiganization is iepiesenteu by counsel in a mattei but the lawyei nonetheless
wishes to communicate with cuiient oi foimei agents (officeis, uiiectois,
shaieholueis, employees) of that oiganization. (4.2|7j)
S. Buties to 0niepiesenteu Paities (4.S)
a. When uealing with uniepiesenteu non-clients, the lawyei shall not state oi imply
that the lawyei is uisinteiesteu.
@d-Y8$': Lawyei, who iepiesents a victim of a cai ciash, is investigating
the mattei anu meets with a witness. Lawyei says to the witness, "I'm just
to make suie this thing woiks out well foi eveiybouy." Result: Lawyei has
violateu 4.S.
53
b. If the lawyei knows that the thiiu paity misunueistanus the lawyei's iole, the
lawyei shall take ieasonable steps to coiiect the misunueistanuing.
@d-Y8$': Lawyei is iepiesenting the victim of a cai ciash anu meets with a
witness. The witness says, "uee, I've nevei hau my own lawyei befoie."
Lawyei immeuiately says, "Let me explain. I am not youi lawyei. I uo not
iepiesent you. I iepiesent only my client, who was ieai-enueu in the ciash."
Result: Lawyei has complieu with 4.S.
c. If the lawyei knows that the inteiests of the uniepiesenteu non-client aie possibly
auveise to the lawyei's client, the lawyei shall not give legal auvice to the
uniepiesenteu non-client othei than the auvice to secuie counsel.
JI ?)$']J-4'X K"#%'4 #) 6)^%-$ 634#'Y4 X"1%&2 #+' 7O?
;I ,%#%2-#)1f7X0)^-#'
a. Neiitoiious claims. (S.1). The lawyei may not biing fiivolous claims oi uefenses oi
asseitions.
(1) In feueial couits, this uuty is captuieu in Feueial Rule of Civil Pioceuuie 11.
(2) FRCP 11 pioviues that a lawyei's signatuie on a papei oi pleauing is an
affiimation that:
(a) Aftei ieasonable inquiiy the asseiteu position is giounueu in law anu
facts that aie known oi that may uevelop uuiing the litigation; anu
(b) The filing is not biought foi an impiopei puipose such as uelay oi to
haiass.
(S) FRCP 11 uoes not foibiu a lawyei fiom biinging a claim, uefense oi asseition
that woulu amount to a change in existing law if the aigument foi change is not
fiivolous.
(4) violation of FRCP 11 justifies the imposition of sanctions.
b. Expeuiting matteis, consistent with client inteiest. (S.2) The lawyei must expeuite
litigation, consistent with the client's inteiests.
c. Canuoi to the tiibunal. (S.S)
C

(1) Lawyei must ieveal goveining law in that juiisuiction even if the law is not
favoiable to the client.
(2) The lawyei shall not offei eviuence that the lawyei "knows" to be false.
(a) With iespect to eviuence othei than the testimony of the ciiminal
uefenuant client, unuei the ABA, Califoinia, anu majoiity appioach, the
lawyei cannot offei false eviuence even foi a ciiminal uefenuant client.
(b) With iespect to the testimony of the ciiminal uefenuant client that the
lawyei knows to be false, the ABA takes the majoiity appioach anu
Califoinia takes the minoiity appioach.
(1) The ABAmajoiity appioach is that the lawyei shall not offei
false eviuence even if that is the testimony of the ciiminal
uefenuant client. (S.S) (Note: the Bill of Rights uoes not guaiantee
the ciiminal uefenuant the iight to offei false testimony. F.A 12
D:.-(0.<(, 47S 0.S. 1S7 (1986).)
(2) Califoinia takes the minoiity appioach. The ciiminal uefense
lawyei shoulu "iemonstiate" with the client not to commit peijuiy,
shoulu attempt to withuiaw if feasible (shoulu not ieveal the cause
54
of the attempteu withuiawal except to say that it involves uuties of
piofessional iesponsibility), anu then, if cannot withuiaw., offei
the testimony thiough naiiative questioning that uoes not involve
oi implicate the lawyei. The lawyei shall not aigue the false
testimony in the closing aigument.
(S) The lawyei may iefuse to offei eviuence that the lawyei uoes not "know" to be
false but uoes "ieasonably believe" to be false.
(a) @d^'8#%)&: the lawyei must offei the testimony of a ciiminal uefenuant
client, even if the lawyei ieasonably believes the testimony is false, if (i) the
lawyei uoes not know that the testimony is false, anu (ii) the client chooses
to testify.
(4) Lawyei who has offeieu false eviuence must iemeuy those falsehoous. (S.S)
(a) 0ntil conclusion of tiibunal.
(b) Buty to iemeuy tiumps uuty of confiuentiality.
(c) Note: Califoinia uoes not peimit ievelation of client confiuences except
to pievent a ciime leauing to ueath oi substantial bouily haim. Bence if a
Califoinia lawyei offeis false eviuence the lawyei must iemeuy it unless it
woulu ieveal a client confiuence. If it woulu ieveal a client confiuence, the
lawyei shoulu iemonstiate with the client to giant the lawyei peimission
to iemeuy the false eviuence anu, if the client iefuses, the lawyei must
caiefully consiuei the uuty to withuiaw fiom the iepiesentation. If the
lawyei uoes withuiaw, she must be caieful not to ieveal the client
confiuence as she withuiaws.
u. ueneial faiiness to opposing paity anu counsel. (S.4)
(1) A lawyei shall not altei oi obstiuct access to eviuence oi "mateiial having
potential eviuentiaiy value."
(2) Shall not falsify eviuence, assist a witness to testify falsely, oi offei witnesses
foibiuuen inuucements.
(S) Shall not uisobey the tiibunal, except openly anu foi goou cause.
(4) Shall not make oi oppose uiscoveiy uemanus fiivolously.
(S) Shall not alluue at tiial to matteis the lawyei uoes not believe aie suppoiteu by
aumissible eviuence.
(6) A lawyei shall not iequest a peison to iefiain fiom voluntaiily giving ielevant
infoimation to anothei paity unless (i) the peison is a client, ielative of a client, oi
agent of a client 4/< (ii) the lawyei believes that that peison's inteiests will not be
auveisely affecteu by iefiaining fiom giving such infoimation.
e. Pieseiving the tiibunal's impaitiality anu uecoium. (S.S)
(1) Shall not engage in acts intenuing to uisiupt the couitioom.
(2) Shall not engage in impiopei contacts with, oi attempt to inappiopiiately
influence, anyone associateu with the tiibunal (e.g., juuge, juuge's staff, couit ioom
peisonnel, juiois.)
f. Tiial Publicity. (S.6)
(1) Shall not uisseminate by means of public communication statements that will
have substantial likelihoou of mateiially piejuuicing an aujuuicative pioceeuing.
55
(2) Nay state basic facts such as claim, infoimation in public iecoiu; scheuuling;
time anu place of aiiest; etc.
g. Lawyei as Witness. (S.7)
C

(1) Shall not act as auvocate at a tiial wheie the lawyei is a necessaiy witness
unless the lawyei's testimony conceins:
(a) An uncontesteu issue; oi
(b) The natuie oi value of legal seivices pioviueu; oi
(c) Bisqualification woulu woik a substantial piejuuice to the client.
(2) Note: anothei lawyei at the same fiim 2+) be the auvocate at tiial.
h. Piosecutoi. (S.8)
(1) A piosecutoi is a "ministei of justice" anu must "uo justice."
(2) Shall iefiain fiom piosecuting claim piosecutoi knows is not suppoiteu by
piobable cause. (S.8(a))
(S) Shall make ieasonable effoits to ensuie that an accuseu has been auviseu of the
iight to counsel. (S.8(b))
(4) Shall not seek to obtain fiom uniepiesenteu accuseus any waiveis of impoitant
iights such as the iight to a pieliminaiy heaiing. (S.8(c))
(S) Shall make timely uisclosuie of exculpatoiy mateiials. (S.8(u); 0.S. v. Biauy)
(6) Shall not heighten public conuemnation of the accuseu. (S.8(f))
@d-Y8$': The 0S Attoiney who announceu the inuictment of foimei Illinois
goveinoi Rou Blagojevich stateu the natuie of the chaiges anu auueu that
"Abiaham Lincoln woulu be iolling ovei in his giave" at the thought of what
Blagojevich hau uone. Result: the statements about the natuie of the
inuictment weie ethical; the comments about Abiaham Lincoln violateu
S.8(f).
(7) Piosecutoi's Post-Conviction Buties:
(a) If a piosecutoi leains of new, mateiial eviuence cieating a )(40&/45+(
+.G(+.:&&< -:4- 4 *&/1.*-(< <(;(/<4/- <.< /&- *&''.- -:( &;;(/0( foi which he
was convicteu, the piosecutoi shall uisclose that eviuence to an appiopiiate
authoiity anu, if the conviction was obtaineu in the piosecutoi's
juiisuiction, shall uisclose the infoimation to the uefenuant anu unueitake
fuithei investigation into the conviction.
(b) If the piosecutoi knows of *+(4) 4/< *&/1./*./@ (1.<(/*( establishing
that a uefenuant in the piosecutoi's juiisuiction was convicteu of an offense
that the uefenuant uiu not commit, the piosecutoi shall seek to iemeuy the
conviction.
i. Lawyei as auvocate in non-aujuuicative pioceeuing. (S.9)
(1) When a lawyei iepiesenting a client is paiticipating in a non-aujuuicatoiy
pioceeuing (e.g., legislative heaiings), the lawyei shall uisclose to the non-
aujuuicatoiy bouy that she paiticipates in a iepiesentative capacity anu owes a uuty
of canuoi to the non-aujuuicatoiy bouy.
9I @0-$"-#)1 `9I<a
56
a. This unusual iole applies when the lawyei unueitakes to evaluate the client foi the
benefit of a non-client. Classically, in business tiansactions, the acquiioi iequests that the
acquiiee's lawyeis make factual assuiances to the acquiioi about the acquiiee.
b. If evaluation will mateiially anu auveisely affect client, lawyei must obtain client's
infoimeu consent.
c. Lawyei must ieceive client's authoiization to ieveal confiuences when evaluating the
client.
@d-Y8$': In a meigei tiansaction, the acquiioi uemanus an opinion lettei iunning
fiom the acquiiee's lawyei to the acquiioi, accuiately stating whethei the acquiiee
is uuly incoipoiateu, who owns the shaies in acquiiee, etc. Acquiiee's lawyei shall
obtain consent fiom the acquiiee to offei the evaluation to the opposing paity aftei
uisclosing any potential auveise effects on the acquiiee-client.
<I O)"&4'$)1f7X0%4)1
1. This iole was uiscusseu above, at Iv.F.7, when we uiscusseu the uuty of inuepenuent
juugment.
2. Notice that sometimes the counseloiauvisoi uoes not inteiface with the public anu in
some sense iemains "hiuuen." But the iole is always uone with an eye towaius the client's
inteiaction with society. Foi that ieason, the "counseloi" iole can be seen as pait of the
lawyei's uuty to the client (i.e., the uuty to ienuei inuepenuent juugment), but can also be
seen as pait of the lawyei's uuty to laigei social systems (i.e., the lawyei's uuty to the social
systems with which the client is paiticipating aftei ieceiving the lawyei's auvice).
QI C'2)#%-#)1
1. This iole was uiscusseu above, at v.A.1, when we uiscusseu the uuty of tiuthfulness to
thiiu peisons. Those iules apply in this context as well.
2. Note that when paiticipating as a uiiect negotiatoi in a business setting, the law of fiauu
goveins the lawyei. If the lawyei makes a false statement, oi a mateiially misleauing
omission, oi knowingly fails to uisclose a fact that the client is legally iequiieu to uisclose,
the lawyei may be helu accountable foi money uamages foi fiauu.
S. Note also that if the negotiation involves ceitain iegulateu subject matteis, such as
secuiities goveineu by state oi feueial law, the lawyeinegotiatoi may be helu to a veiy high
stanuaiu of canuoi to the opposing paity in the negotiation.
4. 0ne iecuiiing fact pattein that causes tiouble foi lawyeis is a negotiation wheie the client
uoes not wish to ieveal some significant fact to the othei paity in the negotiation. In that
case, the lawyei might wish to iely upon the common law iule of *41(4- ('9-&)that is, the
iule of "buyei bewaie" that typically uoes not iequiie selleis to make full uisclosuie of all
mateiial facts. But note that the ieveise iule may applythat is, full tiuth in context may be
iequiieubecause of a statute; because the sellei has ueciueu to make factual uisclosuies
anu hence must make complete uisclosuies to avoiu being misleauing; oi because the
contiact iequiies ceitain foims of uisclosuie.

ANI
5"X%^%-$ @#+%^4

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)* NY81)81%'#3
57
1. A }uuge shall upholu anu piomote the Inuepenuence, Integiity, anu Impaitiality of the
juuiciaiy, anu shall avoiu Impiopiiety anu the Appeaiance of Impiopiiety.
a. This is the funuamental ethical noim foi juuges. Eveiything they uo must be
compatible with the inuepenuence, integiity, anu impaitiality of the juuicial office.
2. Rule 1.1: Compliance with Law.
S. Rule 1.2: Piomoting Confiuence in the }uuiciaiy:
a. }uuges must expect to be subjecteu to public sciutiny that woulu be buiuensome if
applieu to non-juuges.
Rule 1.S: Avoiuing Abuse of the Piestige of }uuicial 0ffice:
a. A juuge shall not mention oi alluue to hei office to gain favoiable tieatment fiom
otheis.
b. A juuge may give a iefeience oi iecommenuation anu may use juuicial letteiheau to
uo so, if theie is no likelihoou that that woulu be peiceiveu as an attempt to exeit
piessuie.
c. }uuges may coopeiate with authoiities iesponsible foi appointing new juuges.
u. If juuges wiite foi-piofit books, the auveitising may not seek to exploit the juuge's
office.

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1. A }uuge shall peifoim the uuties of the }uuicial office Impaitially, Competently, anu
Biligently.

2. Rule 2.1: uiving Pieceuence to the Buties of }uuicial 0ffice:
a. }uuges shoulu piomote public unueistanuing anu confiuence in the juuicial
system.
S. Rule 2.2: Impaitiality anu Faiiness:
a. }uuge must be objective anu open-minueu.
b. Nust apply the law iegaiuless of whethei the juuge likes oi uislikes the law.
c. Reasonable accommouation foi pio se litigants is not an ethics violation.
4. Rule 2.S: Bias, Piejuuice anu Baiassment:
a. }uuge shall not manifest bias oi piejuuice, incluuing but not limiteu to bias on the
basis of iace, genuei, ieligion, national oiigin, ethnicity, uisability, age, sexual
oiientation, maiital status, socioeconomic status oi political affiliation.
b. Even facial expiessions anu bouy language can manifest bias anu piejuuice.
c. }uuge shall not peimit couit staff to engage in bias oi piejuuice.
u. }uuge shall iequiie lawyeis to iefiain fiom bias oi piejuuice.
e. When legally ielevant, the juuge may make iefeience to the factois listeu above (e.g.,
iace, genuei, etc.).
f. Nust not engage in sexual haiassment (which incluues unwelcome sexual auvances,
etc.
S. Rule 2.4: Exteinal Influences on }uuicial Conuuct:
58
a. }uuge shoulu not be swayeu by clamoi oi feai of ciiticism.
b. }uuge shall not peimit family, social, political, meuia, financial, oi othei inteiests to
influence the juuge.
6. Rule 2.S: Competence, Biligence, anu Coopeiation:
a. Requiies knowleuge, skill, thoioughness, anu piepaiation.
b. Nust be punctual in piesiuing anu iuling, anu must ensuie lawyeis anu couit
peisonnel aie likewise uiligent.
7. Rule 2.6: Ensuiing the Right to be Beaiu:
a. The iight to be heaiu is an essential component of justice.
b. H/*&,)4@./@ settlement is peimitteu; *&()*./@ settlement is not.
8. Rule 2.7: Responsibility to Beciue:
a. 0nless uisqualification is iequiieu, the juuge must heai anu ueciue all assigneu
matteis.
9. Rule 2.8: Becoium, Bemeanoi, anu Communications with }uiois:
a. }uuge shall be patient, uignifieu, anu couiteous to eveiyone involveu.
b. Shall not commenu oi ciiticize juiois foi theii veiuict except in a couit oiuei oi
opinion.
1u. Rule 2.9: Ex Paite Communications:
a. Ex paite communications aie impiopei, except as foi scheuuling anu othei non-
substantive matteis.
b. }uuge may obtain the wiitten auvice of a uisinteiesteu expeit in the law if the juuge
gives auvance notice to the paities anu gives them oppoitunity to object.
c. Nay uiscuss matteis with othei juuges oi couit peisonnel, but shall not ieceive
factual infoimation oi abiogate the juuge's uuty to ueciue the mattei.
u. With the consent of the paities, the juuge may meet ex paite with paities anu theii
counsel in oiuei to settle matteis.
e. }uuge may paiticipate in any legally peimitteu foim of ex paite pioceeuing (e.g.,
pioceeuings foi tempoiaiy iestiaining oiueis oi pieliminaiy injunctions).
f. If the juuge inauveitently ieceives an ex paite communication, the }uuge shall notify
the paities anu give them an oppoitunity to iesponu.
g. A juuge shall not make inuepenuent investigations of the facts.
h. A juuge shall take ieasonable steps to ensuie that couit peisonnel abiue by these
piinciples.
11. Rule 2.1u: }uuicial Statements on Penuing anu Impenuing Cases:
a. A juuge shall not make public statements that affect the outcome oi impaii the
faiiness of the pioceeuing; noi shall the juuge make non-public statements that
substantially inteifeie with a faii pioceeuing.
b. A juuge shall not make pleuges, piomises, oi commitments that aie inconsistent
with the impaitial peifoimance of the juuicial office.
c. A juuge shall ieasonably ensuie that couit peisonnel abiue by these piinciples.
59
u. }uuges may make public statements in the couise of a pioceeuing, may explain couit
pioceuuies, anu may comment on litigation wheie the juuge is a peisonal
paiticipant.
e. Subject to the above piinciples, a juuge may iesponu uiiectly oi thiough thiiu
paities, to allegations in the meuia oi elsewheie about a juuge's conuuct in a mattei.
12. Rule 2.11: Bisqualification:
a. A juuge shall uisqualify himself when the juuge's impaitiality might ieasonably be
questioneu.
b. Bisqualification events incluue:
1. Baving a peisonal bias oi piejuuice conceining a paity oi lawyei, oi having
peisonal knowleuge of uisputeu facts.
2. The juuge, juuge's spouse oi uomestic paitnei, oi any peison within the
thiiu uegiee of ielationship is:
a. A paity to the pioceeuing, oi an officei, uiiectoi, geneial paitnei,
managing membei, oi tiustee of a paity.
b. A lawyei in the mattei.
c. A peison with moie than a ue minimus inteiest that coulu be
substantially affecteu by the pioceeuing.
u. A mateiial witness in the pioceeuing.
S. The juuge, juuge's spouse oi uomestic paitnei, chilu oi paient of juuge, oi
membei of juuge's immeuiate householu is a paity in the pioceeuing oi has
an economic inteiest in the subject mattei of the pioceeuing.
4. The juuge knows, oi leains thiough a timely motion, that a paity oi lawyei
oi law fiim of a paity's lawyei has |within the pievious time peiiou of Xj
maue a campaign contiibution to the juuge in an amount of |$xj.
S. The juuge maue a public statement, othei than one maue appiopiiate as
pait of the juuicial pioceeuing, that appeais to commit the juuge to a
paiticulai iuling.
6. The juuge seiveu as a lawyei in the pioceeuing, oi was associateu with a
lawyei who paiticipateu substantially as a lawyei in the mattei uuiing that
association.
7. Seiveu peisonally anu substantially as a goveinment lawyei conceining the
pioceeuing, oi has publicly expiess in such capacity an opinion conceining
the meiits of the paiticulai mattei in contioveisy.
8. Was a mateiial witness in the mattei.
9. Pieviously piesiueu as a juuge ovei the mattei in anothei couit.
c. A juuge shall keep infoimeu about the inteiests of the juuge, spouse oi uomestic
paitnei, anu minoi chiluien living in the same householu.
u. Except in the cases of uisqualifying bias oi piejuuice anu peisonal knowleuge of the
uisputeu facts, a juuge may ask the paities anu theii lawyeis if they wish to waive
the juuge's uisqualification; anu if the uecision to waivei is maue outsiue the
piesence of the juuge anu couit peisonnel; anu if the uecision is maue without
coeicion by the couit; anu if the waivei is incoipoiateu into the iecoiu of the
pioceeuing; then the couit may paiticipate in that mattei.
1S. Rule 2.12: Supeivisoiy Buties:
60
a. }uuges must take ieasonable steps to supeivise suboiuinates to ensuie ethical
peifoimance by couit peisonnel.
14. Rule 2.1S: Auministiative Appointments:
a. A juuge shall make auministiative appointments faiily, accoiuing to the meiits,
anu without nepotism oi favoiitism.
1S. Rule 2.14: Bisability anu Impaiiment:
a. A juuge who believes that the peifoimance of a lawyei oi anothei juuge is
impaiieu by uiugs, alcohol, oi mental oi physical illness, shall take appiopiiate
action which may incluue a confiuential iefeiial to an assistance piogiam.
16. Rule 2.1S: Responuing to }uuicial anu Lawyei Nisconuuct:
a. When a juuge leains of facts that call into question the fitness oi tiustwoithiness of
anothei juuge oi of a lawyei, the juuge shall infoim the appiopiiate authoiity.
b. A juuge who leains that anothei juuge oi a lawyei has violateu the applicable ethical
iules shall take appiopiiate action.
17. Rule 2.16: Coopeiation with Bisciplinaiy Authoiities:
a. A juuge shall coopeiate anu be canuiu with juuicial anu lawyei uisciplinaiy agencies.
b. A juuge shall not ietaliate against a peison known oi suspecteu to have coopeiateu
with an investigation of a juuge oi lawyei.
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A }uuge shall conuuct the juuge's peisonal anu extiajuuicial activities in a way as to minimize the iisk
of conflict with the obligations of juuicial office.

Rule S.1: Extiajuuicial Activities in ueneial:
A juuge shall uo nothing that inteifeies with the juuicial function, oi leaus to
fiequent uisqualifications, oi unueimines the juuge's integiity, inuepenuence anu
impaitiality.
The juuge shall not make use of any of the couit's iesouices, except foi inciuental
use foi activities that concein the legal system oi aie peimitteu by law.
Rule S.2: Appeaiances befoie uoveinmental Bouies anu Consultation with uoveinment 0fficials:
}uuges may appeai voluntaiily at public heaiings anu consultations with executive
bianch oi legislative bianch peisonnel if the mattei conceins the law, legal system,
oi auministiation of couits, oi when the juuge is acting pio se foi heiselfhimself, oi
in a fiuuciaiy capacity.
Rule S.S: Testifying as Chaiactei Witness:
A juuge may not volunteei to act as a chaiactei witness, but if subpoenaeu foi that
puipose the juuge may testify.
Rule S.4: Appointments to uoveinmental Positions:
A juuge shall not accept appointment to a goveinmental position (e.g., boaiu,
committee, etc.), unless it peitains to law, the legal system, oi the auministiation of
justice.
Rule S.S: 0se of Non-public Infoimation:
61
A juuge shall not use non-public infoimation leaineu thiough the juuicial iole,
except as peimitteu within the juuicial function.
Rule S.6: Affiliation with Bisciiminatoiy 0iganizations:
A juuge shall not holu membeiship in any oiganization that piactices inviuious
uisciimination on the basis of iace, sex, genuei, ieligion, national oiigin, ethnicity, oi
sexual oiientation.
o 0iganizations that aie not foi the puiposes of commeice but iathei aie foi
pieseivation of cultuial heiitage may not be engaging in "inviuious"
uisciimination. (Foi example, a juuge might be able to belong to the
"Baughteis of Pueito Rico," a puiely cultuial club foi women of Pueito
Rican uescent, oi to the alumni association of an BB0C (histoiically black
univeisity oi college). But membeiship in an oiganization like the "Pueito
Rican Women's Business Association" oi "Afiican Ameiican Realtois
Association" is piobably impiopei.)
o A juuge may iemain in such a uisciiminatoiy oiganization foi a biief peiiou
foi the puipose of attempting to inuuce the oiganization to cease
uisciimination.
o A small, puiely peisonal gatheiing is peimitteu. Foi example, a juuge may
belong to a book club, pokei oi biiuge ciicle, oi similai gioup that
uisciiminates. But a juuge may not belong to a 2,uuu membei men's only
club that has uining iooms, fitness centeis, golf couises, etc.
A juuge shall not use the benefits oi facilities of such an oiganization. Bowevei, a
juuge's appeaiance at an event at such an oiganization is not an ethical violation
when the attenuance at such an isolateu event cannot ieasonably be peiceiveu as an
enuoisement of the oiganization's piactices.
Rule S.7: Paiticipation in Euucational, Religious, Chaiitable, Fiateinal, oi Civic 0iganizations anu
Activities:
A juuge may paiticipate in non-uisciiminatoiy civic oiganizations, incluuing
planning foi funu-iaising; soliciting funus, but only fiom the juuge's family oi fiom
juuges ovei whom the soliciting juuge has no supeivisoiy powei; soliciting
membeiship, but only if the oiganization is ielateu to law.
}uuge may accept an awaiu oi speak foi such an oiganization, but if the event is foi
funu-iaising the awaiu must be ielateu to law oi the auministiation of justice.
}uuge may seive as officei oi uiiectoi unless the oiganization is engageu in
pioceeuings that woulu oiuinaiily come befoie the juuge, oi is fiequently engageu
in auveisaiy pioceeuings in the couit of which the juuge is a membei.
Rule S.8: Appointments to Fiuuciaiy Positions:
A juuge shall not accept appointment as a fiuuciaiy unless it is foi a family membei
anu pioviueu the appointment will not inteifeie with the piopei exeicise of the
juuicial function.
Rule S.9: Seivice as Aibitiatoi oi Neuiatoi:
A juuge shall not act as meuiatoi oi aibitiatoi except as pait of the juuge's official
uuties.
Rule S.1u: Piactice of Law:
62
A juuge shall not piactice law; pioviueu, howevei, that a juuge may iepiesent
heiself pio se anu may give legal auvice oi uiaft uocuments foi family membeis
(without appeaiing foi them in any foium).
Rule S.11: Financial, Business, oi Remuneiative Activities:
A juuge may holu anu manage investments of the juuge anu membeis of the juuge's
family.
A juuge shall not seivice as an officei, uiiectoi, geneial paitnei, oi managei of any
business. Bowevei, a juuge may manage anu paiticipate in a business closely helu
by the juuge oi membeis of the juuge's family oi in a business entity piimaiily
engageu in investments of the financial iesouices of the juuge oi membeis of the
juuge's family.
Rule S.12: Compensation foi Extiajuuicial Activities:
A juuge may accept honoiaiia, stipenus, fees, wages, salaiies, ioyalties, etc.,
pioviueu that the acceptance uoes not inteifeie with the juuge's integiity,
impaitiality, oi inuepenuence.
Rule S.1S: Acceptance anu Repoiting of uifts, Loans, Bequests, Benefits oi 0thei Things of value:
A juuge shall not accept any gifts, loans, bequests, benefits oi othei things of value if
acceptance woulu inteifeie with the uuties of integiity, impaitiality, anu
inuepenuence.
Nany kinus of tiauitional, minoi gifts aie peimitteu, so long as inuepenuence,
integiity, anu impaitiality aie not affecteu. Such gifts incluue plaques; gifts fiom
fiienus; oiuinaiy social hospitality; piizes, uiscounts, anu iewaius that aie equally
available to the public; scholaiships equally available to the public; tiavel (incluuing
spouse oi paitnei) inciuent to a law ielateu event (e.g., a confeience) oi to an event
by a peimitteu oiganization uevoteu to cultuial oi euucation functions.
Rule S.14: Reimbuisement of Expenses anu Waiveis of Fees oi Chaiges:
}uuges may accept ieasonable costs of tiavel anu waiveis of fees foi events that aie
peimitteu unuei the juuicial canons.
In ueciuing whethei attenuance is appiopiiate the juuge shall consiuei whethei the
sponsoi is an accieuiteu euucational institution oi a bai association (geneially 0K)
oi is associateu with piivate paities, oi even a single paity, who appeai in litigation
that may come befoie the juuge.
@d-Y8$'S A juuge may accept tiavel expenses to attenu oi speak at a state bai
confeience on uevelopments in complex litigation, but piesumably cannot uo the
same foi a confeience sponsoieu by Acme Chemicals, Inc., iegaiuing the neeu to
ueiegulate the chemical inuustiy.
Rule S.1S: Repoiting Requiiements:
}uuges shall iepoit, as pait of a public iecoiu, ieceipt of extia-juuicial compensation,
fees, etc.

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1. A }uuge oi canuiuate foi juuicial office shall not engage %& 8)$%#%^-$ )1 ^-Y8-%2& -^#%0%#3 that is
inconsistent with the inuepenuence, integiity, oi impaitiality of the juuiciaiy.

Rule 4.1: Political anu Campaign Activities of }uuges anu }uuicial Canuiuates in ueneial:
63
Rule 4.1 is a uefault iule against most foims of public political paiticipation by
juuges. Rules 4.2 - 4.S peimit ceitain kinus of paiticipation, especially in the
context of juuges who must stanu foi election.
The uefault iule foibius juuges fiom acting as a leauei oi officei of a political
oiganization; making speeches on behalf of a political oiganization; publicly
enuoisingopposing canuiuates foi public office; soliciting oi contiibuting funus foi
a political oiganization; attenuing oi puichasing tickets foi events sponsoieu by
political oiganizations oi canuiuates foi public office; oi iuentifying heiselfhimself
as a canuiuate of a political oiganization.
This iule applies to couit iesouices anu using couit staff foi the same puiposes.
Rule 4.2: Political anu Campaign Activities of Canuiuates foi H+(*-.1( }uuicial 0ffice:
Canuiuates foi juuicial office must pieseive the inuepenuence, integiity, anu
impaitiality of the juuicial function.
They shall ieview auveitising anu campaign content anu shall ieasonably ensuie
that campaign staff act ethically.
They may cieate campaign committees; may announce themselves as canuiuates;
may speak on behalf of theii canuiuacy; may suppoit anu oppose canuiuates foi the
same office foi which they aie iunning; seek anu accept enuoisements fiom people
anu oiganizations othei than a paitisan political oiganization; anu may contiibute
to political oiganizations anu canuiuates foi public office.
If the juuicial canuiuate is involveu in a "paitisan public election," the canuiuate may
iuentify himselfheiself as a canuiuate of a political oiganization, anu may seek anu
accept enuoisements of a political oiganization.
Rule 4.S: Political anu Campaign Activities of Canuiuates foi I99&./-.1( }uuicial 0ffice:
Nay communicate with the appointing authoiity.
Nay seek enuoisement fiom any peison oi oiganization except a paitisan political
oiganization.
Rule 4.4: Campaign Committees:
The juuicial canuiuate may foim anu manage a campaign committee.
The campaign committee may seek funus anu shall comply with all iules of
uisclosuie of finances.
Rule 4.S: Activities of }uuges who become Canuiuates foi Non-juuicial 0ffice:
0pon becoming a canuiuate foi non-juuicial elective office, a juuge shall iesign
unless otheiwise peimitteu by law to holu juuicial office.
0pon becoming a canuiuate foi appointive office, a juuge is not iequiieu to iesign
but must comply with the othei ethics iules foi juuges.

64
788'&X%d 7
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The ABA Nouel Rules contain about a uozen foimulations foi obtaining consent anu making
uisclosuie, but this summaiy focuses on just thiee: (1) "Infoimeu consent, confiimeu in wiiting," (2)
a "Wiiting signeu by the client," anu (S) what I call "Nagic woius plus oppoitunity"auvising the
client of "the uesiiability of seeking the auvice of inuepenuent counsel" anu giving a ieasonable
oppoitunity to uo so. A few of the iules iequiie a combination of those foimulas.

Infoimeu Consent, Confiimeu in Wiiting (ICCW)

Cuiient client conflicts (1.7)
Foimei client conflicts (1.9)
(0lu veision!) Conflicts fiom imputation of lateial lawyei's conflicts ("olu" 1.1u(a))
Lateial movement conflicts foi goveinment lawyeis (1.11)
Lawyei as auveise witness to client (S.7, cmt. 6)

Wiiting signeu by client (WSC) oi Infoimeu Consent, in Wiiting Signeu by Client (IC, WSC)

Boing business with client; obtaining liens, etc., fiom client (1.8(a)) (Note: IC 9+,0 WSC)
Aggiegate settlements (1.8(g)) (Note: IC 9+,0 WSC)
Contingency fees (1.S(c)) (just WSC)

Nagic woius plus 0ppoitunity to Neet with Inuepenuent Counsel

Boing business with client; obtaining liens, etc., fiom client (1.8(a)) (Note: plus IC, WSC!)
Settling oi iesolving client's malpiactice claim against lawyei (1.8(h)(2))

65
788'&X%d B
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It is sometimes uifficult to uistinguish fact patteins uealing with (1) fee shaiing with non-lawyeis, (2)
uivision of fees with a lawyei at anothei fiim, anu (S) iefeiial fees. It's impoitant to spot the
uiffeience.

1. Fact patteins uealing with fee shaiing with non-lawyeis often involve the lawyei shaiing
legal fees with a secietaiy, paialegal, oi othei non-lawyei. Sometimes they involve non-
lawyeis who join a paitneiship with lawyeis oi vice veisa. Sometimes the lawyei is shaiing
fees with a non-lawyei who iecommenueu that someone hiie the lawyei.

2. Fact patteins uealing with uivision of fees with a lawyei in anothei fiim (sometimes calleu
"fee splitting with anothei lawyei" often involve two lawyeis at uiffeient fiims who wish to
jointly benefit fiom a paiticulai case. Theie is usually a focus on whethei one of the lawyeis
has uone enough woik on the mattei anu assumeu enough iesponsibility on the mattei to
waiiant the amount of fees being offeieu to that lawyei.

S. Fact patteins uealing with iefeiial fees aie similai to fee splitting fact patteins but one
lawyei uoes nothing on the mattei except iefei it to the seconu lawyei. Refeiial fees aie not
peimitteu unuei the ABA iules. They aie peimitteu unuei the iules of seveial states, but
theie is usually a iequiiement that the lawyei obtain client consent in a paiticulai mannei.

66
788'&X%d N
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7+8 Reveal Exceptions:
1. Beath oi substantial bouily haim. (1.6(b)(1))
2. To 0%"9"), substantial financial injuiy fiom a ciime oi fiauu wheie the lawyei's seivices
have been useu in fuitheiance of the ciime oi fiauu. (1.6(b)(2))
S. To %"2,(#8 substantial financial injuiy fiom a ciime oi fiauu wheie the lawyei's seivices have
been useu in fuitheiance of the ciime oi fiauu. (1.6(b)(S))
4. To obtain auvice about the lawyei's ethical uuties. (1.6(b)(4))
S. To uefenu the lawyei fiom suits oi accusations of impiopiieties oi in uisputes between the
lawyei anu the client. (1.6(b)(S))
6. To comply with couit oiueis oi othei goveining law. (1.6(b)(6))
7. To pievent injuiy to an oiganizational client if the lawyei's effoits to iesolve the mattei by
iepoiting up the "chain of commanu" uiu not iesolve the mattei. (1.1S(b))

7'1, Reveal Exceptions:
1. To coiiect false eviuence offeieu by the lawyei. (S.S)
2. If theie is a "may ieveal" exception unuei 1.6(b), as uetaileu above, anu if the conuitions of
the following iules aie satisfieu, the "may ieveal" situation becomes a "must ieveal"
situation:
a. 0nuei iules 4.1 anu 1.2, to pievent the lawyei's assistance in the commission of a
ciime oi fiauu;
b. 0nuei 8.1, when ielaying factual infoimation to an authoiity that is iesponsible foi
making uecisions about aumission to the bai;
c. 0nuei 8.S, when iepoiting infoimation that iaises substantial questions about the
fitness of a lawyei oi juuge to piactice.

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