Rule Description Rule Comments/Explanation

1 CLIENT LAWYER RELATIONSHIP

1.0(e) Informed Consent • Agreement by C to proposed course of conduct after L has communicated:
o Adequate info & explanation of material risks &
• reasonably available alternatives to proposed course of conduct
1.0(f) Knowingly, known, knows • actual knowledge of fact in question
• can be inferred from circumstances
1.0(k) Screened • Isolation of L from participation in matter using procedures reasonably adequate under circumstances to protect info that isolated L is obligated to protect
1.1 Competence • Legal knowledge, skill, thoroughness & preparation reasonably necessary for representation • Cmt 2: take client & LATER develop skill – hire co-counsel,
do research
• Competence – bottom of skill level not top.
1.2 Scope of Rep & allocation (a) C sets objectives, L consults as to means; C decides to settle; Crim matter – C decides to testify; plea; jury trial • Civil Case – C decides whether to settle
of authority btwn L & C (b) L’s rep isn’t endorsement of C’s political, econ social or moral views or activities
(c) L can limit scope of rep if reasonable & C gives informed consent
• Criminal Case – C decides to plead guilty, waive jury trial,
testify
(d) L can’t counsel or assist C in crime or fraud, but L can discuss legal consequences
• (b) – L might rep Nazi even if he thought goals objectionable
1.3 Diligence • L shall act w/ reasonable diligence & promptness • Control workload, get it done on time
1.4 Communication (a) L shall • (a)(2) – depends on circumstances, length of relationship, just
(1) Promptly inform C of any issue requiring informed consent keep them reasonably attuned, make self available, return
(2) Reasonably consult w/ C regarding means to achieve client’s objectives phone calls.
(3) Keep client reasonably informed about status • (a)(3) – tell where you are in case, have to tell C about your
(4) Promptly comply w/ reasonable requests for info AND own malpractice
(5) Consult about limitation on L’s conduct when L knows C expects assistance not permitted by rules or law
(b) Explain matter to extent reasonably necessary to permit C to make informed decisions regarding rep. • (a)(5) – where L aware of actual or potential conflict, L
obligated to tell client.
1.5 Fees (a) No unreasonable fees or expenses based on factors: • Change retainer midstream under (b) – communicate to client
(1) Time & labor, novelty & difficulty of ?, skill needed (2) preclude L from other employment (3) fee customarily & give notice – doesn’t require client assents in writing.
charged in locality for similar service (4) amount involved & results obtained (5) time limitations imposed by C or • (c) K must specify % recovery to b earned by L & indicate
circumstances (6) nature & length of C-L relationship (7) experience, reputation & ability of L; (8) whether fee is whether % to be charged depends on how case proceeds.
fixed or contingent.
• (c) Agreement DOES NOT have to be written.
(b) Communicate scope of rep & basis or rate of fee & expenses preferably in writing, b4 or w/n reasonable time after
• Contingency Fees
commencing rep, any changes should be communicated.
o Must be in writing
(c) Contingency Fees – MUST be in writing signed by client, including %.
o Tell client how much charged
(d) No contingency fees for (1) domestic relations matter – contingent on divorce, alimony or prop settlement or (2) repping o Is it 1/3 before or after expenses
D in crim case
o All ambiguities construed against L
(e) Division of fee btwn Ls not in same firm OK if (1) proportionate to services each performs or each assumed joint liability
for rep (2) client agrees to how fee divided & confirmed in writing & (3) total fee is reasonable. • Cmt 6 - (e) after divorce granted – L may charge contingent
fee to collect past due alimony or child support
1.6 Confidentiality of Info (a) L shall not reveal info relating to rep UNLESS C gives informed consent, disclosure impliedly authorized or permitted by • Cmt 4: don’t disclose if it could reasonably lead to discovery
(b) by third person.
(b) L may reveal info to extent L believes reasonably necessary • (b)(2) client plans to commit fraud, L can’t reveal crime or
(1) Prevent reasonably certain death or substantial bodily harm fraud if he didn’t play any role
(2) Prevent C from committing crime or fraud reasonably certain to result in substantial injury to financial interests or • (b)(3) L learns of C’s fraud or crime after act occurred
prop & L’s services used in furtherance of
 (3) Prevent, mitigate or rectify (b) • (b)(5) – don’t have to wait for complaint to be filed against
(4) Secure legal advice about compliance you before revealing
(5) Establish claim or defense in controversy btwn L&C
(6) Comply w/ law or court order
• (b)(6) if faced w/ judge order you feel improper appeal (1)
held in contempt first (2) ask for stay of contempt order (3) if
ruling goes against you purge contempt by revealing info.
1.7 Conflict of Interest: (a) Except in (b) – L can’t rep C in concurrent conflict of interest which exists if: (1) rep of 1 C will be directly adverse to • Directly adverse – can’t rep P&D in same case at same time.
Current Clients another C OR (2) significant risk that rep of 1 or more Cs will be materially limited by L’s responsibilities to another C, • Cmt 8 – even if no direct adversity, conflict if sig likelihood
former C, 3rd person, or interest of L. that Δ interests will eventuate & materially interfere w/ L’s
(b) L can still rep if (WAIVER) – prove all 4 indep. Professional judgment.
(1) L reasonably believes he can provide competent & diligent rep to each affected C • (b)(1) Cmt 15 – L can’t ask for informed consent if L doesn’t
(2) Rep not prohibited by law
reasonably conclude he will be able to provide competent &
(3) Doesn’t involve assertion of claim by 1 C against another C in same litigation or proceeding before tribunal AND diligent rep.
(4) each affected C gives informed consent confirmed in writing. • Can’t rep adverse parties in litigation even w/ their consent.
• Cmt 6 – simultaneous rep in unrelated matters of Cs whose
interests are ONLY economically adverse doesn’t ordinarily
constitute COI & may not require consent.
• Cmt 24 Positional Conflict – if sig risk L’s actions on behalf
of 1 C will materially limit effectiveness in repping another C
in different case – look at whether issue before trial or
appellate court, substance or procedural, temporal
relationship, C’s reasonable expectations.
• Cmt 30 – no privilege attaches btwn jointly repped clients.
1.8 Conflicts; Current Clients; (a) L can’t enter business transaction w/ client or knowingly acquire ownership, possessory, security or other pecuniary • (c) – substantial is key – technically you can solicit gifts if
Specific Rules interest adverse to client UNLESS not substantial.
(1) Transaction & terms are fair & reasonable to C & disclosed/transmitted in writing to C
(2) C advised in writing about seeking & is given reasonable opportunity to seek advice of indep legal counsel AND
• (e) if you don’t accept responsibility get paid QM for work
you do. Can’t divide fees w/ non-lawyers – runners –
(3) C gives informed consent in writing signed by C, stating essential terms of deal & L’s role.
ambulance chasing.
(b) L can’t use info to disadvantage of C unless C gives informed consent, except as permitted by rules
(c) L shall not solicit substantial gift from C, including testamentary gift • (i) we want Cs to make decisions if L owns piece of case –
(d) No literary or book rights until after conclusion of rep motivated by own financial interest.
(e) L shall not provide financial assistance to C EXCEPT • Nonrefundable Retainers – L may not be require
(1) L may advance court costs & expenses, repayment of which might be contingent on outcome, & nonrefundable retainers. But may use lump-sum payment to
(2) L repping indigent may pay court costs & expenses of litigation on behalf of C secure availability for time period – treated by L as being
earned when received.
(f) L shall not accept compensation for repping C from one other than C UNLESS
(1) C gives informed consent; (2) no interference w/ L’s independence or with L-C relationship AND (3) info relating to • (j) if you already like this person withdraw under 1.16.
rep of client is protected as required by 1.6.
(g) L who reps 2 or more Cs shall not participate in making aggregate settlement UNLESS each gives informed consent, in
writing signed. Disclosure should include existence & nature of all claims involved & participation of each in settlement
(h) L shall not (1) make an agreement prospectively limiting L’s liability for malpractice unless C is independently repped in
making the agreement OR (2) settle claim or potential claim for liability w/ unrepped C or former C unless that person is
advised in writing of desirability of seeking & is given reasonable op to seek advice of independent legal counsel.
(i) L shall not acquire proprietary interest in cause of action or subject matter of lit except: L may (1) acquire a lien
 authorized by law to secure payment AND (2) K w/ client for reasonable contingent fee.
(j) L shall not have sexual relations w/ client unless consensual existed before C-L relationship.
(k) While Ls associated in firm, prohibition in (a)-(i) that applies to any one of them applies to all.
1.9 Successive Conflicts (a) L formerly repped C shall not rep another person in same or substantially related matter in which that person’s interests • (a) – “Substantial relationship” = likely access to confidential
are materially adverse to interests of former C unless former C gives informed consent, confirmed in writing. information – whether L would normally have learned info in
(b) L shall not knowingly rep person in same or substantially related matter in which firm w/ which L formerly was course of her work on first matter tht could be used adversely
associated repped a C (1) whose interests are materially adverse to that person AND (2) about whom L acquired info against former client in second.
protected by Rules 1.6 & 1.9(c) that is material to the matter unless former C gives informed consent confirmed in • Cmt 3 – objective test of info gained – don’t have to give up
writing. info or show actual current prejudice – only that there is
(c) L who formerly repped C in matter or whose present or former firm formerly repped C in matter shall not (1) use info potential for future prejudice based on exposure to TYPE of
relating to rep to disadvantage of former C except as rules permit or require or when info has become generally known info that might ordinarily be disclosed in course of prior rep.
OR (2) reveal info relating to rep except as Rules would permit or require w/ respect to C. • (a) OK to litigate new matters for new C that harms old C
unless same or substantially related matter & interests
adverse.
• If you possess confidential info & can’t rep new C to best of
your ability, Withdraw.
• (b) Does NOT permit screening. If you had Actual info – if 1
person in firm can’t rep no one can.
1.10 Imputation of Conflicts (a) When Ls associated w/ firm, none shall knowingly rep C when any 1 of them would be prohibited by 1.7 or 1.9, unless prohibition based on personal interest of prohibited L & doesn’t
present sig. risk of materially limiting rep of C by remaining Ls.
(b) When L terminates association, firm not prohibited from repping person w/ /interests materially adverse to those of C repped by formerly associated L & not currently repped by firm
UNLESS (1) matter same or substantially related to that which L repped C &(2) any L remaining at firm has info protected by 1.6 & 1.9(c) that is material to matter.
(c) Disqualification prescribed by this rule may be waived by affected client under conditions in 1.7.
(d) DQ of Ls associated in firm w/ former or current gov’t Ls covered by 1.11.
1.13 Organization as Client (a) L employed or retained by org reps org acting through its duly authorized constituents. • Upjohn – when L hired by company, L necessarily has to
(b) If L knows employee engaged in action intends to act or refuses to act in matter related to rep that is violation of legal or communicate w/ client to get info, anytime you talk to
org obligation, likely to result in substantial injury to org, L shall proceed as reasonably necessary in best interests of org, someone in scope of their authority relating to corp business,
L shall refer matter to higher authority in org, including if warranted to highest authority that can act for org. it is privileged. Note: company owns the privilege.
(c) Except in (d) – (1) despite L’s efforts in (b) the highest authority that can act insists on or fails to address in timely & • Cmt 10 – if employee approaches L – L must advise him of
appropriate manner an action or refusal tot act that is clearly violation of law & (2) L reasonably believes violation is potential conflict, tell him discussions not confidential &
reasonably certain to result in substantial injury to org, then L may reveal info relating to rep whether 1.6 permits or not, decline to rep him & suggest he gets another L.
but only if & to extent L reasonably believes necessary to prevent substantial injury to org. o If L doesn’t do this – he may have formed AC
(d) (c) shall not apply w/ respect to info relating to L’s rep of org to investigate alleged violation of law or to defend org or relationship by reliance.
employee against claim arising out of alleged violation of law.
(e) L who reasonably believes L discharged b/c of action taken under (b) or (c) or w/draws under circumstances that require
o (g) Also need consent from individual D.
or permit L to take action under either ¶ shall proceed as L reasonably believes necessary to assure org’s highest • (f) – Ls shall explain identity of client when L knows or
authority is informed of L’s discharge or w/drawal reasonably should know org’s interests adverse to employee.
(f) In dealing w/ org’s directors officers employees members shareholders or other constituents, L shall explain identity of C See Rule 4.3.
when L knows or reasonably should know org’s interests adverse to those of constituents.
(g) L may also rep directors, etc. subject to 1.7. If org’s consent to dual rep is required, consent shall be given by appropriate
official of org other than individual who is to be represented, or by shareholders.
1.14 Client w/ Diminished (a) Try to maintain normal relationship as far as reasonably possible • (a) encourages Ls to maintain normal relations to extent
Capacity (b) If L reasonably believes C is at risk of substantial physical financial or other harm unless action is taken, L may take possible
reasonably necessary protective action including consulting w/ individuals that have ability to take action to protect C &
 in appropriate cases seek appointment of GAL, conservator or guardian. • Cmt 6 – L can & should make some assessment of C’s
(c) Info relating to rep of C w/ diminished capacity covered by 1.6. L is impliedly authorized under 1.6(a) to reveal info mental capacity. In appropriate circumstances, may seek
about client to extent reasonably necessary to protect C’s interests when acting under (b). guidance from diagnostician. L can consult w/ client’s
family or public agencies.
• Children – under strict reading – best interests of child don’t
necessarily trump child’s stated objectives, appoint GAL to
help child make best decisions.
1.15 Safekeeping Property (a) Keep prop separate – maintain funds in separate account, other prop should be identified as C’s and safeguarded. Keep complete records & preserve for 5 years after termination of rep.
(b) L may deposit own funds in client trust for sole purpose of paying bank service charges on that account, but only to extent necessary to pay bank fees.
(c) Deposit into C trust – legal fees & expenses paid in advance to be w/drawn by L only as fees earned or expenses incurred.
(d) Notify C upon receipt of prop belonging to C
(e) When L in possession of prop in which 2 or more persons claim interest, prop shall be kept separate by L until dispute resolved. L shall promptly distribute all portions of prop as to which
interests are not in dispute.
1.16 Declining or Terminating (a) Except as in (c) L shall not rep C or where rep has commenced MUST withdraw if • No exception to 1.6 – might cite particular section of 1.6 but
Representation (1) Rep will resupt in violation of rules or other law not specifics. Judge may ask you – find exception to reveal if
(2) L’s physical or mental condition materially impairs L’s ability to rep client OR you can.
(3) L is discharged • Fees
(b) MAY whithdraw if: o Fired w/o cause – L keeps whole fee
(1) can be accomplished w/o material adverse effect on interests of C o If C pays, L must give all files to C
(2) C persists in course of action involving L’s services that L reasonably believes crim or fraudulent o If L w/draws w/ cause – L keeps only part of fees
(3) C has used L’s services (in past) to perpetrate crime or fraud owed under QM
(4) C insists on action L considers repugnant or w/ which L has fundamental disagreement o If fired w/ cause or quits w/o cause – L forfeits entire
(5) C fails substantially to fulfill obligation to L regarding his services, & has been given reasonable warning that L will fee including hours earned.
withdraw unless obligation is fulfilled
(6) Rep will result in unreasonable financial burden on L or has been rendered unreasonably difficult by C OR
(7) Other good cause for withdrawal exists
(c) L must comply w/ applicable law requiring notice or permission of tribunal when terminating. When ordered to do so, L
shall continue rep notwithstanding good cause for terminating.
(d) Upon termination, L shall take steps to extent reasonably practical to protect C’s interests: give notice time to get other L,
surrender papers & prop, refund advance payment.
1.18 Duties to Prospective (a) Person who discusses w/ L possibility of forming C-L relationship w/ respect to a matter is prospective C.
Clients (b) Even where no relationship ensues, L shall not use or reveal info learned in consultation except as 1.9 would permit w/ respect to info of former client.
(c) L shall not rep C w/ interests materially adverse to prospective C in same or substantially related matter if L received info from prospective C that could be sig. harmful to that person except
as in (d). If L is disqualified from rep no L in firm w/ which L associated may knowingly undertake or continue rep except as in (d)
(d) When L has received disqualifying info rep is permissible IF
(1) Both affected C & prospective C have given informed consent, confirmed in writing OR
(2) L who received Dq info took reasonable measures to avoid exposure to more disqualifying info than was reasonably necessary to determine whether to rep prospective client AND
i. DQd L is timely screened from participation & gets no part of the fee AND
ii. Written notice promptly given to prospective C.
2 COUNSELOR
2.1 Advisory L shall exercise independent professional judgment & render candid advice. In rendering advice, L may refer not only to law but to other considerations such as moral, econ, social & political
factors relevant to C’s situation.
2.3 Evaluation for use by (a) L may provide evaluation of matter affecting C for use of someone other than C if L reasonably believes making evaluation is compatible w/ other aspects of L’s relationship w/ C.
Third Parties (b) When L knows or reasonably should know that evaluation is likely to affect C’s interests materially & adversely, L shall not provide evaluation unless C gives informed consent.
 (c) Except as disclosure is authorized in connection w/ report of evaluation, info relating to evaluation is protected by 1.6.
3 ADVOCATE
3.1 Meritorious Claims & L shall not bring or defend proceeding or assert issue unless basis in law or fact for doing so, that isn’t frivolous which • You can raise doubts in opening statements – asserting false
Contentions includes good faith argument for extension, modification or reversal of existing law. defense just don’t assert facts.
o Raise ?s don’t assert facts = w/n bounds of law
3.3 Candor Toward Tribunal (a) L shall not knowingly: • Applies to your side – only you, C & your witnesses.
(1) Make false statement of fact or law to tribunal or fail to correct statement previously made by L. • (a)(1) bars false statements by Ls – if L made false statement
(2) Fail to disclose to trib. Legal authority in controlling jurisdiction directly adverse to position of C not disclosed by L must correct it.
opposing counsel OR • (a)(3) – requires disclosure – shall – trumps 1.6 may b/c it is
(3) Offer evidence L knows to be false. If L, C or witness called by L offered material evidence & L comes to know of more specific rule.
its falsity, L shall take reasonable remedial measures including if necessary disclosure to tribunal. L may refuse to o If witness lies, L must call on witness to correct lie
offer evidence other than testimony of criminal D that L reasonably believes is false. (remonstrate), do it before trial over, cross-examine own
(b) L who reps C in adjudicative proceeding who knows C intends to, is, or has engaged in crim or fraudulent conduct witness & if W won’t L must disclose.
related to proceeding shall take reasonable remedial measures including if necessary disclosure. o If L reasonably believes but is not certain evidence is
(c) Duties in (a) & (b) continue to conclusion of proceeding & apply even if compliance requires disclosure of info false, he MAY refuse to offer it.
otherwise protected by 1.6. o Cmt 8 – L should resolve doubts about veracity of
(d) In ex parte proceeding, L shall inform tribunal of all material facts known to L that will enable tribunal to make informed
evidence & testimony in favor of C, but can’t ignore
decision, whether or not facts are adverse.
obvious falsehoods.
o Can offer evidence you believe false – as long as there is
basis under 3.1 – but be careful b/c actual knowledge can
be inferred from circumstances.
• (c) L must take steps to correct record if he learns witness
gave false testimony unless case, including appeals is over.
• (d) – no privilege or confidentiality protection, have to waive
it in ex parte proceeding get informed consent.
• (e) adds duty to tell adverse facts to duty to tell adverse law.
3.4 Fairness to Opposing (a) L shall not unlawfully obstruct another’s access to evidence or unlawfully alter destroy or conceal doc or other material • (a) – state law governs – can’t return if we have reason to
Party & Counsel having potential evidentiary value. L shall not counsel or assist another in doing so. believe C will destroy it & other party won’t be able to get it.
(b) L shall not falsify evidence, counsel or assist witness to testify falsely or offer inducement to w that is prohibited by law. • Not defense to say no pending investigation. If you
(c) Knowingly disobey obligation under rules of tribunal, except for open refusal base on assertion no valid obligation exists know you have evidence of crime, you knew or should
(d) In pretrial procedure, make frivolous discovery requests or fail to make reasonably diligent effort to comply w/ legally have known there might be investigation.
proper discovery request by opposing party
• (b) – ok to pay fact witness for lost time, work,
(e) In trial, allude to any matter that L doesn’t reasonably believe is relevant or that will not be supported by admissible transportation, but not so much that looks like bribe. Expert
evidence, assert personal knowledge of facts in issue except when testifying as witness or state personal opinion as to
witness –any sum so long as not tantamount to bribe.
justness of cause, credibility of witness culpability of civil litigant or guilt or innocence of accused OR
(f) Request person other than C to refrain from voluntary giving relevant info to another party UNLESS
(1) Person is relative or employee or other agent of C AND
(2) L reasonably believes person’s interests will not be adversely affected by refraining form giving such info.
3.5 Impartiality & Decorum of L shall not: (a) follow court rules, frcpc, fed civ r p, chambers rules.
Tribunal (a) seek to influence judge, juror, prospective juror or other official by means prohibited by law (b) auth by state law – pros – search warrant.
(b) communicate ex parte w/ such person during proceeding unless authorized by law or court order (d) Δ contempt, this is separate ethical violation.
(c) communicate w/ juror or prospective juror after discharge of jury IF (1) communication prohibited by law or court order Ok to have ex parte convo w/ judge about scheduling, but prob
(2) juror made known to L desire not to communicate OR (3) Communication involves misrep, coercion, duress or not w/ fed judge or shady adversary.
 harassment OR
(d) engage in conduct intended to disrupt a tribunal.

3.6 Trial publicity (a) L who participated in litigation or investigation of matter shall not make extrajudicial statement that L knows or • Cmt 4 (b) not intended to be exhaustive list
reasonably should know will be disseminated by public communication & will have substantial likelihood of materially • Cmt 5 – subjects more likely than not to have material
prejudicing an adjudicative proceeding in the matter. prejudicial effect include: credibility or rep of party, expected
(b) But, L may state testimony of witness, possibility of guilty plea or contents of
(1) Claim, offense or defense involved except when prohibited by law, identity of persons involved confession/admission, nature of evidence to be presented,
(2) Info contained in public record opinion as to guilt or innocence or any info likely to be
(3) That investigation of matter is in progress inadmissible as evidence.
(4) Scheduling or result of any step in litigation
(5) Request for assistance in obtaining evidence & info necessary
(6) Warning of danger concerning behavior of person involved, when there is reason to believe there exists substantial
likelihood of harm to an individual or to public interest AND
(7) In criminal case in addition to (1-6):
i. Identity, residence, occupation & family status of D
ii. If accused has not been apprehended, info necessary to aid in apprehension
iii. Fact, time & place of arrest AND
iv. Identity of investigating & arresting officers or agencies & length of investigation.
(c) notwithstanding (a) – L may make statement that reasonable L would believe is required to protect C from substantial
undue prejudicial effect of recent publicity not initiated by L or L’s client. Statement should be limited to such info as is
necessary to mitigate the recent adverse publicity
(d) No L associated in firm or gov agency w/ L subject to (a) shall make statement prohibited in (a).
3.7 Lawyer as Witness (a) L shall not act as advocate at trial in which L is likely to be a necessary witness UNLESS: • Evidence gets introduced at trial – stip btwn Pros & Defense
(1) Testimony relates to uncontested issue – D gave evidence to 3rd party who then turned it over to gov.
(2) Testimony relates to nature & value of legal services rendered in the case OR • But “trials” – been held to apply to all contested proceedings.
(3) DQ of L would work substantial hardship on C.
• Cmt 7: none of these exceptions excuses L from Conflict
(b) L may act as advocate in trial in which another L in L’s firm likely to be called as witness unless precluded by 1.7 or 1.9. rules – but those rules include their own exceptions – consent
3.8 Special Responsibilities of (a) Don’t prosecute if Pros knows not supported by probable cause; (d) make timely disclosure to D of all evidence or info • (a) Pros analogue to 3.1
Prosecutor that tends to negate guilt or mitigates offense
4 TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS
4.1 Truthfulness in Statements In course of representing a client L shall not knowingly: (a) make false statement of material fact or law to a third person OR
If your continued involvement is actively assisting crime or fraud,
to Others (b) fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, you MUST reveal – this trumps 1.6 b/c 1.6 permits
UNLESS disclosure prohibited by Rule 1.6. revelation.
If my conduct can assist client in committing fraud, almost always
reveal it.
Overlap w/ 3.3 when in course of rep assisting C in fraud
4.2 Communication w/ Person L shall not communicate about subject of rep w/ person L knows to be represented by another L in the matter, UNLESS L has consent of other L or is authorized to do so by law or court order.
Represented by Counsel
4.3 Dealing w/ Unrepresented L shall not state or imply L is disinterested. When L knows or reasonably should know that unrepresented person • Shouldn’t give advice if you know or reasonably should
person misunderstands L’s role in the matter, L shall make reasonable efforts to correct misunderstanding. L shall not give legal know that interests have possibility of being in conflict w/
advice to unrepresented person other than advice to secure counsel, if L knows or reasonably should know that interests of C’s interests.
such person are or have a reasonable possibility of being in conflict w/ interests of the client. • Applies to interviewing employee of corp C.
4.4 Respect for Rights of (a) L shall not use means that have NO substantial purpose other than to embarrass, delay or burden a third person or use • Cmt 1 Responsibility to C means L must subordinate interest
Third Persons methods of obtaining evidence that violate legal rights of such person. of others to C, but may not disregard rights of 3rd persons.
(b) L who receives document relating to rep of L’s client & knows or reasonably should know that the doc was inadvertently
sent shall promptly notify the sender.
• Cmt 2 – L must promptly notify sender of mistakenly sent
doc, to permit sender to take protective measures.
• Ok impeach truthful witness – make look like liar - 4.4(a)
• But can’t appeal to race etc. 8.4(d) cmt 3.
5 LAW FIRMS & ASSOCIATIONS
5.1 Responsibilities of (a) Partner in firm & L individually or together w/ other Ls possesses comparable managerial authority in firm shall make reasonable efforts to ensure that firm has measures in effect giving
Partners, Managers, & reasonable assurance that all Ls in firm conform to Rules of Professional Conduct
(b) L having direct supervisory authority over another L shall make reasonable efforts to ensure that other L conforms to Rules
Supervisory Lawyers
(c) L shall be responsible for another L’s violation of Rules if: (1) L orders or, w/ knowledge of specific conduct, ratifies conduct involved OR (2) L is partner or has comparable managerial
authority or has direct supervisory authority over other L & knows of conduct at time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
5.2 Responsibilities of L bound by rules regardless of instructions Defer to supervisor if supervisor is reasonable.
Subordinate Lawyer Not in violation if following orders on reasonable judgment call
5.5 Unauthorized Practice of (a) L shall not practice law in jurisdiction in violation of regulation of legal profession in that jurisdiction or assist another in • If you practice in jurisdiction where not admitted, can’t be
Law; Multijurisdictional doing so paid for your work
(b) L who is not admitted to practice in jurisdiction shall not • Unauthorized practice is very often a crime
Practice of Law (1) Except as authorized by rules or other law establish office or systematic & continuous presence in jurisdiction for • Practice of law – anything using your expertise
practice of law OR • L must know what rules govern out of state practice
(2) Hold out to public or otherwise rep that L is admitted to practice in this jurisdiction. • Most of time rules permit transient practice – travel
(c) L admitted in another US jurisdiction & not barred or suspended in any jurisdiction can provide legal services on occasionally, particularly if fed juris.
temporary basis in this jurisdiction that
• If firm has office in other state or you have local counsel –
(1) Are undertaken in association w/ local counsel who actively participates
probably ok.
(2) Are in or reasonably related to pending or potential proceeding before tribunal in this or another jurisdiction if L or
person L assisting is authorized by law or order to appear in such proceeding or reasonably expects to be so
authorized.
(3) Are in or reasonable related to pending or potential arbitration, mediation, etc. . . .
(4) Are not in (c)(2) or (3) and arise out of or are reasonably related to L’s practice in a jurisdiction in which L is
admitted to practice.
(d) L admitted to another US jurisdiction in good standing may provide legal services in this jurisdiction
(1) That are provided to L’s employer or its organizational affiliates & are not services for which forum requires pro hac
vice admission or
(2) Are services L is authorized to provide by federal law or other law of this jurisdiction.
7 INFORMATION ABOUT LEGAL SERVICES
7.1 Communications L shall not make false or misleading communication about the L or L’s services. Communication is false or misleading if it Can say we are the best, but can’t say had largest judgment when
Concerning L’s Services contains a material misrepresentation of fact or law or omits a fact necessary to make the statement considered as a whole not we didn’t
materially misleading.
8 MAINTAINING THE INTEGRITY OF THE PROFESSION
8.1 Bar Admission & (a) Don’t knowingly make false statement of material fact or
Disciplinary Matters (b) Fail to disclose a fact necessary to correct a misapprehension known by person to have arisen in matter or knowingly fail to respond to a lawful demand for info from an admissions or
disciplinary authority except it doesn’t require disclosure otherwise protected by Rule 1.6.
8.2 Judicial & Legal Officers (a) L shall not make statement that L knows to be false or w/ reckless disregard as to its truth or falsity concerning qualifications or integrity of judge, adjudicatory officer or public legal officer
or candidate for election or appointment to judicial or legal office.
L who is candidate for judicial office shall comply w/ applicable provision of code of judicial conduct.
8.3 Reporting Professional (a) L who knows that another L has committed violation of Rules that raises substantial question as to lawyer’s honesty, (c) – can’t report misconduct if info protected by 1.6 – i.e. if it
Misconduct trustworthiness or fitness as L in other respects, shall inform appropriate professional authority comes from course of rep of C.
(b) L who knows judge has committed violation of rules of judicial conduct that raises substantial question as to Judge’s
fitness for office shall inform appropriate authority.
(c) Rule doesn’t require disclosure of info otherwise protected by Rule 1.6 or info gained by L or judge while participating
in an approved lawyers assistance program.
8.4 Misconduct It is professional misconduct for a lawyer to: • (a) – if L can’t do something, L can’t direct 3rd person to.
(a) Violate or attempt to violate Rules, knowingly assist or induce another to do so, or do so through the acts of another.
• (b) can’t commit crim act, fabricate evidence, suborn perjury
(b) Commit criminal act that reflects adversely on L’s honesty, trustworthiness or fitness as L in other respects
• (c) – half-truths are lies
(c) Engage in conduct involving dishonesty fraud deceit or misrepresentation
(d) Engage in conduct that is prejudicial to administration of justice • (c) – applies to all conduct by Ls including conduct before
tribunals. Bans on deceit may be broader than 3.3(a)(1) bans
(e) State or imply ability to influence improperly government agency or official or to achieve results by means that violate
on false statements.
Rules or other law, OR
(f) Knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other • (d) – if it reflects on way people perceive Ls in
law. administration of justice – subject to sanction
8.5 Disciplinary Authority (a) L subject to rules of home jurisdiction regardless of where services rendered. Also subject to rules of jurisdiction where rendered services regardless of whether or not you are admitted there.