1 PR Rules Outline

PR RULE AND LAW OUTLINE
PRMC Terminology: 1.0
(a) Belief or believes denotes that the person involved actually supposed the fact in question
to be true. A person’s belief may be inferred from circumstances.
(b) Confirmed in writing, when used in reference to the informed consent of a person,
denotes informed consent that is given in writing by the person or a writing that a lawyer
promptly transmits to the person confirming an oral informed consent. If it is not feasible
to obtain or transmit the writing at the time the person gives informed consent, then the
lawyer must obtain or transmit it within a reasonable time thereafter.
(c) Firm or law firm denotes a lawyer or lawyers in a law partnership, professional
corporation, sole partnership or other association authorized to practice law; or lawyers
employed in a legal services organization or the legal department of a corporation or
other organization.
(d) Fraud or fraudulent denotes conduct that is fraudulent under the substantive or procedural
law of the applicable jurisdiction and has a purpose to deceive. For purposes of this rule it
is not necessary that any damages were suffered or relied on the misrepresentation (the
fraudulent act) or if there was failure to inform.
(e) Informed consent denotes the agreement by a person to a proposed course of conduct
after the lawyer has communicated adequate information and explanation about the
material risks of and reasonably available alternatives to the proposed course of conduct.
Many rules require informed consent before accepting or continuing representation or a
course of conduct. (1.2c, 1.6a, and 1.7b) All requiring appropriate communication 1.4
which will vary in each circumstance.
(f) Knowingly, known, or knows, denotes actual knowledge of the fact in question. A
person’s knowledge may be inferred from circumstances.
(g) Partner denotes a member of a partnership, a shareholder in a law firm organized as a

professional corporation, or a member of an association authorized to practice law.
(h) Reasonable or reasonably when used in reference to a lawyer denotes that a lawyer of
reasonable prudence and competence would ascertain the matter in question.
(i) Screened denotes the isolation of a lawyer from any participation in a matter through
timely imposition of procedures within a firm that are reasonably adequate under the
circumstances to protect information that the isolated lawyer is obligated to protect under
these rules and other law. Privileges or confidential information or information that is
likely to lead to a conflict or a conflict or interest exists. This applies to situations where
screening of a personally disqualified lawyer is permitted to remove imputation of
conflict of interest under 1.11, 1.12, or 1.18. Must immediately inform the parties that the
screening will promptly take place and for what reasons.
(j) Substantial when used in reference to degree or extent denotes a material matter clear and
weighty importance.
(k) Tribunal denotes a court, an arbitrator in a binding arbitration proceeding or legislative

body, administrative agency or other body acting in an adjudicative capacity. A legislative
body, administrative agency or other body acts in an adjudicative capacity when a neutral
official, after the presentation of evidence or legal argument by a party or parties, will
render a binding legal judgment directly affecting a party’s interests in a particular matter.
(l) Writing or written denotes a tangible or electronic record of a communication or

representation, including handwriting, typewriting, printing, photo-stating, photography,
audio or video-recording and e-mail. A signed writing includes an electronic sound,
symbol or process attached to or logically associated with a writing and executed or
adopted by a person with the intent to sign the writing.
Week 1introduction
Requirements for the Bar:
1) Graduate from an ABA accredited school
2) Be accepted by the character and fitness
3) Take and pass the bar exam in your state of choice
An applicant’s BOP: clear and convincing evidence
Micro Analysis of character and fitness admission to the Bar:
The Rational Connection Test

Issue: Do we allow this person admission to this state’s bar?
Facts/example: In the Mustafa case, a law student steals money form a law school fund, replace
it and turns himself in, thinking he did the right thing and should be admitted to the bar. The bar
reasoned that they need a passage of time to see the moral character of this person, restitution
and remorse.
Rule: rational connection test; there needs to be a passage of time, restitution made for the wrong
committed and remorse for what they have done and the harm they have caused.
Analysis: when examining the applicant’s character and history has the person met the 3 prongs
of the test. If yes then it is likely their application will be accepted.
Week 2 Lawyer regulation and bar admission

Rational test:
1) Moral character
2) Time between the behavior and application-restitution
3) Change in applicant-remorse
Good Moral Character: “the propensity on the part of the person to serve the public in the
licensed area in a fair, honest and open manner.
Lawyers take an oath to protect their selves and remind them of what their purpose in the justice
system really is. Remember the oath and never lose your line in the blizzard.
Within the framework of the rules may difficult issues or professional discretion can arise. Such
issues must be resolved through exercise of sensitive professional and moral judgment guided by
the basic principles underlying these rules. Rules provide a framework for the ethical practice of
law.
Week 3 how to ethically market
Advertising and Solicitation 7.1-7.5

7.1 Communication concerning a Lawyer’s Services
A lawyer shall not make a false or misleading communication about the lawyer or the lawyer’s
services. A communication is false or misleading if it contains a material misrepresentation of
fact or law, or omits a fact necessary to make the statement considered as a whole not materially
misleading.
This rule governs all communications about a lawyer’s service including permitted advertising.
Plain English (7.1)

A lawyer must be accurate and truthful about his services and qualifications. A lawyer must
disclose material facts that may be unapparent, and to clarify any possible confusion about
himself, his services, or the law.
Bottom line class notes

The test for false and misleading: any material misrepresentation of fact or law or omission of a
fact necessary to prevent the statement from being considered on a whole materially misleading.
Governs all communication, regardless of the media form of disclosure.
7.2 Advertising*
(a) Subject to the requirements of 7.1 and 7.3, a lawyer may advertise services through written,
recorded or electronic communication, including public media.
(b) A lawyer shall not give anything of value to a person for recommending the lawyers services
except that a lawyer may
(1) Pay the reasonable costs of advertisements or communications permitted by this rule;
(2) Pay the usual charge of a legal service plan or a not-for profit or qualified lawyer
referral service. A qualified lawyer referral service is a service that has been approved by an
appropriate regulatory authority.
(3) Pay for a law practice in accordance with 1.17 (sale of a law practice); and
(4) Refer clients to another lawyer or a non-lawyer professional pursuant to an agreement

not otherwise prohibited under these rules that provide for the other person to refer clients or
customers to the lawyer , if:
(i) the reciprocal referral agreement is not exclusive, and
(ii) the client is informed of the existence and nature of the agreement.
(c) Any communication made pursuant to this rule shall include the name and office
address of at least one lawyer or law firm responsible for its content.
Plain English (7.2)

Pursuant to rule 7.1 (no false or misleading statements) and rule 7.3 (no in person solicitation for
pecuniary gain) a lawyer may advertise his services in public. A lawyer may not pay a referral
fee. A lawyer may pay reasonable advertising costs, be part of a qualified lawyer referral service
and agree to a non-exclusive referral agreement with a lawyer or non-lawyer if the client knows
about, and does not object to the agreement.
Bottom Line class notes

You can advertise by any form of media.
You cannot pay someone to recommend your services except you can pay for advertising and can
participate in a legal referral service. You can not be a part of a profit seeking program.**
All ads must include the name and address of at least one lawyer or law firm responsible for the
content.
7.3 Direct Contact with Prospective Clients:
(a) A lawyer shall not by in person, live telephone or real time electronic contact solicit
professional employment from a perspective client when a significant motive is pecuniary gain,
unless the person contacted:
(1) is a lawyer; or
(2) has a family,
(3) a close personal, or
(4) has a prior professional relationship with the lawyer.
(b) A lawyer shall not solicit professional employment from a prospective client by written,
recorded or electronic contact even when not otherwise prohibited by paragraph (a), if:
(1) the prospective client has made known to the lawyer a desire not to be solicited by the
lawyer; or
(2) the solicitation involves coercion, duress or harassment.
(c) every written, recorded or electronic communication from a lawyer soliciting professional
employment from a prospective client known to be in need of legal services in a particular matter
shall include the words “Advertising Material” on the outside envelope, if any and at the
beginning and ending of any recorded or electronic communication, unless the recipient of the
communication is a person who is a lawyer, close relationship to lawyer, prior professional
relationship w the lawyer.
(d) Notwithstanding the prohibition in paragraph (a),a lawyer may participate w/ a prepaid or
group legal service plan operated by an organization not owned or directed by the lawyer that
uses in-person or telephone contact to solicit memberships or subscriptions for the plan from
persons who are not known to need legal services in particular matter covered by the plan.
Plain English (7.3)

The general rule is that “solicitation” is not permitted.
a. Solicitation is defined as in-person, live telephone, or real-time electronic contact with a
prospective client for pecuniary gain unless the prospective client is a lawyer, family member,
close friend, or former client (written communications, faxes, and e-mail are allowed and not
considered “solicitation” Text message is not allowed).
b. A lawyer may never contact a prospective client who asks not to be contacted, or if the
solicitation involves coercion, duress, or harassment.
c. All communications to prospective clients must be labeled “advertising material” on the
outside of the envelope and at the beginning and ending of any recorded communication unless
the prospective clients is a lawyer, family member, close friend, or former client.
d. A lawyer may sign up for lawyer referral service programs, if the lawyer or the lawyer’s firm
does not run the program itself and the program does not engage in direct solicitation of
prospective clients only members of the program. EX. Sams Club

This rule prohibits direct person to person; live telephone; or real time electronic solicitation,
when the significant motive behind the contact is the lawyer’s pecuniary gain. A lawyer may
directly contact, other lawyers; family members; close personal friends; and former clients.
However a lawyer may not contact the exceptions if the parson asks the lawyer to stop or the
contact involves, coercion, duress or harassment.
Every written, recorded, or electronic solicitation must include the words “advertising material.”
7.4 Communication of fields of Practice and Specialization
(a) A lawyer may communicate the fact that the lawyer does or does not practice in particular
fields of law.
(b) A lawyer admitted to engage in patent practice before the Us Patent and Trademark Office
may use the designation “patent attorney: or substantially similar designation.
(c) A lawyer engages in admiralty practice may use the designation “Admiralty,” Proctor in
Admiralty or a substantially similar designation.
(d) A lawyer shall not state or imply that a lawyer is certifies as a specialist in a particular filed of
law unless:
(1) The lawyer has been certified as a specialist by an organization that has been
approved by an appropriate state authority or that has been accredited by the ABA; and
(2) The name of the certifying organization is clearly identified in the communication.
Plain English (7.4) Communication of Fields of Practice

Reason: Allows lawyers to appropriately advertise their fields of practice to potential clients.
A lawyer may communicate the areas of law he/she does or does not practice in, if it is not false
and misleading (rule 7.1).
(a) A lawyer may say he/she is a specialist in patent law or admiralty law,
(b) A lawyer may NOT state or imply that they are certified as a specialist in a particular
field of law unless;
1. They have been certified as a specialist by an organization approved by an
appropriate state authority; or
2. The lawyer is certified by an organization that is accredited by the ABA; and
3. The certifying organization is clearly identified in communication by the lawyer
A lawyer may advertise their field of practice, however an attorney may not claim to be a
specialist unless they are actually certified by an approved and recognized certifying
organization and the organization is listed in the ad. An attorney may claim to specialize in a
particular field however the claim cannot be false and misleading as defined in 7.1.
7.5 Firms Names and Letterheads:
(a) A lawyer shall not use a firm name, letterhead or other professional designation that violates
7.1. A trade name may be used by a lawyer in a private practice if it does not imply a connection
with a government agency or with a public or charitable legal services organization and is not
otherwise in violation of 7.1
(b) A law firm with offices in more than one jurisdiction may use the same name or other
professional designation in each jurisdiction, but identification of the lawyers in an office of the
firm shall indicate the jurisdictional limitations on those not licensed to practice in the
jurisdiction where the office is located.
(c) The name of a lawyer holding a public office shall not be used in the name of a law firm, of
in communication on its behalf, during any substantial period in which the lawyer is not actively
and regularly practicing with the firm.
(d) Lawyers may state or imply that they practice in a partnership or other organization only
when that is the fact.
**So basically you can call your firm whatever you want as long as it is not misleading or
untruthful.
A departing lawyer may solicit firm clients only on matters the lawyer worked actively and
substantially (on and for) and only after the lawyer has left the firm or after the lawyer has
adequately and timely informed the firm of an intent to contact clients for that purpose.
Plain English 7.5

In general a lawyer may not use false or misleading firm name, letter head or other professional
designations.
In private practice a trade name may be used as long as it is not false or misleading; and does not
imply a connection w/ a government agency or public or charitable legal service agency.
In a partnership a lawyer may state or imply that he practices in a partnership or other
organization only if it’s true. He must be actively practicing with the firm.
A lawyer’s with additional officers in different jurisdictions may use the same name for each
office, but the law firm must mention where each attorney is actually licensed to practice.
The name of a lawyer holding a position in office may not be included in the firm name during
any period that the lawyer is not regularly actively practicing with the firm.

The firm name rule: A lawyer may use any firm name that is not false or misleading including
trade names as long as it does not imply a connection with a government agency or public or
charitable legal services or organization.
A firm with offices in multiple jurisdictions can use the same name in all jurisdictions as long as
the lawyers working at each office are clearly identified along with any jurisdictional limitations
on their ability to practice.
A lawyer holding public office may not be included in the name of the firm regularly practicing
with the firm.
Lawyers may only state or imply that they practice in a partnership or other organization when
this is a fact. The no make believe rule, you either are in a partnership or you are not.
A departing lawyer may solicit firm clients only on matters the lawyer worked actively and
substantially and only after the lawyer has left the firm or after the lawyer has adequately and
timely informed the firm of an intent to contact clients for that purpose.
8.4 Misconduct
It is professional misconduct for a lawyer to:

(a) violate or attempt to violate the rules of PC, knowingly assist or induce another to do so, or
do so through acts of another;
(b) commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or
fitness as a lawyer in other respects;
(c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
(d) engage in conduct that is prejudicial to the administration of justice;
(e) state or imply an ability to influence improperly a government agency or official or to achieve
results by means that violate the rules of PR or other law; or
(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules or
judicial conduct or other law.
*Every time a lawyer violates a rule of PC there is a violation of rule 8.4 misconduct.
Week 4 attorney client relationship
2 things to consider in deciding whether to accept a case:

1) type of matter
2) the client
1.1 Competence
A lawyer shall provide competent representation to a client. Competent representation requires

the legal: The test do you have the following to handle this matter?
1) Knowledge
2) Skill
3) Thoroughness and
4) Preparation reasonably necessary for the representation.
Is the lawyer competent to handle the matter?

Standard: the required proficiency is usually that of a general practitioner although expertise in
a particular area….look at slides
a.i.1. competence doesn’t require experience
a.i.2. reasonable preparation may render you competent
Plain English (1.1)
A lawyer must have the legal knowledge, skill, thoroughness and preparation reasonably
necessary to provide proficient representation to a client.
Type of matter: do you have the competency to handle this matter?

Do not accept a matter UNLESS you are qualified to handle it or can associate with someone
who has the requisite knowledge and expertise for the case.
1.3 Diligence
A lawyer shall act with reasonable diligence and promptness in representing a client.
*A lawyer’s work should be controlled so that each matter can be handled adequately
Type of matter: do you have the time to properly handle this matter.
Plain English 1.3 Diligence

Model Rule: A lawyer shall act with reasonable diligence and promptness in representing a
client.
A lawyer must also act with commitment and dedication to the interests of the client and with
purpose of advocating upon the client's behalf. A lawyer is not bound, however, to press for
every advantage that might be realized for a client
- A lawyer's work load must be controlled so that each matter can be handled competently
- Lawyer’s client relationship ends as the lawyer task is completed
-Whether the lawyer is obligated to prosecute the appeal for the client depends on the scope of
the representation the lawyer has agreed to provide to the client
- At the time of attorney’s death, attorney makes sure that a competent colleague will take of
his/her duty.
3.1 Meritorious claim and contentions

The rule 11 of PR
Type of matter: does the claim have merit?

A lawyer shall not bring or defend a proceeding or assert or controvert an issue therein unless
there is basis in law and fact for doing so that is not frivolous, which included a good faith
argument for an extension, modification or reversal of existing law.
A lawyer in a criminal matter may defend so as to require that every element of the case be
established.
Plain English 3.1:

The rule states that a lawyer shall not bring or defend a case or claim that lacks merit (i.e. a good
faith basis in law and fact). In a criminal case a lawyer may require that the state meet its burden
of proof for each and every element of law.

To create an attorney client relationship all you need is an oral agreement or legal advice being
given to a prospective client. Once you agree to represent someone or give legal advice an
attorney client relationship is formed. If you are not going to serve as someone’s attorney send a
non-engagement letter so there is no doubt,
General rule a lawyer may not quit the representation at will.
If withdrawal would be prejudicial or unfair or would waste judicial resources or cause undue
delay withdrawal is generally not permitted.
A lawyer may withdrawal when:
-there is no client prejudice
-when withdrawal is required under 1.16
-the client is acting in bad faith
A client can fire his attorney at any time, without cause. Once fired an attorney is owed the
reasonable fee for the services rendered “quantum meruit.”
1.8 Conflict of Interest
A lawyer shall not enter into a business transaction with a client or knowingly acquire an
ownership, possessory, security or other adverse transaction to the client unless:
1. The transaction and terms on which the lawyer acquires the interest are fair and
reasonable to the client and are fully disclosed and transmitted in writing in a manner that
can be reasonably understood by the client:
2. The client is advised in writing if the desirability of seeking and is given a reasonable,
opportunity to seek the advice of independent legal counsel in and on the transaction; and
3. The client gives informed consent, in writing signed by the client, to the essential terms
of the transaction and the lawyer’s role in the transaction, including whether the lawyer is
representing the client in the transaction.
(h) A lawyer shall not:
1. Make an agreement prospectively limiting the lawyer’s liability to a client for

malpractice unless the client is independently represented in making the agreement;
OR
2. Settle a claim or potential claim for such liability with an unrepresented client or
former client unless that person is advised in writing of the desirability of seeking and is
given a reasonable opportunity to seek the advice of independent legal counsel in
connection therewith.
Plain English (1.8) h

Transactions. The general rule is that an attorney cannot enter into a business transaction with a
client or knowingly acquire an ownership, possessory, security or other pecuniary interest
adverse to a client. The exception to this rule is:
(1) A lawyer may enter into a business transaction with a client if the terms are fair
and reasonable to the client and are fully disclosed to the client in a way that the
client can reasonably understand;
(2) The client is given a reasonable opportunity to seek independent advice about the
transaction;
(3) And the client consents to the transaction in writing.
(h) Limiting Liability. Lawyers are not allowed to make agreements that limit their liability to
their clients in advance of representation. The only way a lawyer can do this is if there is a law
permitting it and the client is advised to make the agreement through independent counsel.
Lawyers are not allowed to settle a claim of limited liability with an unrepresented client or
former client without first advising that person, in writing, that they need to seek independent
counsel on the settlement.
1.14 Client with diminished Capacity
a. When a clients capacity to make adequately considered decisions in connection with a

representation is diminished, whether b/c of minority, mental impairment or for some other
reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer
relationship.
b. When the lawyer reasonably believes that the client has diminished capacity, is at risk of
substantial physical, financial or other harm unless action is taken and cannot adequately act in
the clients own interest the lawyer may take reasonably necessary protective action to protect the
client and in appropriate cases, seeking the appointment of a guardian ad litem, conservator or
guardian.
c. Information relating to the representation of a client with diminished capacity is protected by
1.6. When taking protective action pursuant to paragraph (b) the lawyer is impliedly authorized
under 1.6 (a) to reveal information about the client but only to the extent reasonably necessary to
protect the clients interest.
Plain English1.14 Diminished capacity:

(a) A lawyer should try if possible to keep a normal relationship with the client even when
the client has diminished capacity.
• Normal relationship—assume that when advised the client is capable of making
decisions
• Should still treat client with respect even though client has diminished
capacity
• Diminished capacity—a lowered ability on the clients part to make logical, well
thought out or “adequately considered” decisions regarding representation
• Lacks sufficient capacity to communicate
• What constitutes diminished capacity?
• Minority
• Mental impairment
• Other reason that client cannot make rational decisions
•
(b) The lawyer can take reasonable protective action if the lawyer reasonably believes that
the client’s ‘diminished capacity’ will cause some form of harm to the client without
protective action
• Protective action—consulting people who could assist the client, maybe seeking a
guardian be appointed
• Consulting family members
• Durable power of attorney
• Support groups/protective agencies
• Harm to client—
• Physical harm
• Financial harm
• Emergency legal assistance—if threatened with imminent and irreparable harm
lawyer can take action on behalf of client even though client is unable to make
decisions
• The lawyer must reasonably believe that the client has no other
• Lawyer, agent, or representative to make decisions for the client
(c) Confidentiality—the attorney client confidentiality still stands; can only reveal
information that is privileged if the lawyer reasonably feels is necessary
• Disclosing the diminished capacity could harm/prejudice client
• Could lead to involuntary commitment
• Cannot disclose unless has authorization to disclose
• In emergency circumstances should only disclose to the extent necessary to
accomplish the intended protective action
1.16 Declining or Terminating Representation
a. Mandatory Withdrawal. Except as stated in paragraph (c), a lawyer shall not represent a client
or, where representation has commenced shall withdraw from the representation of the client if:
MUST
1. The representation will result in violation of the rules of professional conduct or other
law;
2. The lawyer’s physical or mental condition materially impairs the lawyer’s ability to
represent the client;
OR
3. The lawyer is discharged.
b. except as stated in c, a lawyer may withdraw from representing a client if: MAY
1. Withdrawal can be accomplished w/o material adverse effect on the interests of the
client, or
2. If, the client persists in the course of action involving the lawyer’s services that the
lawyer reasonably believes is criminal and fraudulent.
3. The client has used the lawyer’s services to perpetrate a crime or fraud
4. The client insists upon taking action that the lawyer considers repugnant or w/ which
the lawyer has a fundamental disagreement-conflict of interest.
5. The client fails substantially to fulfill an obligation to the lawyer regarding the
lawyer’s services and has been given reasonable warning that the lawyer will withdraw unless
the obligation is fulfilled;
6. The representation will result in an unreasonable financial burden on the lawyer or has
been rendered unreasonably difficult by the client; or
7. Other good cause for withdrawal exists.
c. Permissive Withdrawal: A lawyer must comply w/ applicable law requiring notice to or

permission of a tribunal, a lawyer shall continue representation notwithstanding good cause for
terminating the representation.
d. Duties Upon Termination. Upon termination of representation, a lawyer shall take steps to the
extent reasonably practicable to protect a client’s interest, such as giving reasonable notice to the
client, allowing time for employment of other counsel, surrendering papers and property to
which the client is entitled and refunding any advance payment of fee or expense that has been
earned or incurred. The lawyer may retain papers relating to the client to the extent permitted by
law. Because if the clients need the documents to finish the his case with a different attorney the
lawyer must release the documents.
**An attorney cannot quit representation at will (1.3 Due Diligence), however he can be fired at
any time. This rule ties in great with (1.1 Competence). If the attorney takes a new type of case
and gets in over his head, he should try to withdraw b/c it would result in him violating the
competence rule! A conflict of interest could also arise when this rule is used in a fact pattern.
The court may not let the attorney withdraw, depending on factors like:
1. Civil or criminal trial
2. Proximity to trial
3. Complexity of case
4. Ability of client to obtain new counsel
5. Prejudice to remaining parties
6. Reasons given for withdrawal.
Duties of competence and Diligence
Plain English (1.16)
A) Mandatory Withdrawal: A lawyer must withdraw or not take a client if:

1) A lawyer shall not represent a client, or if the representation has started must withdraw, if: the
representation of that client would result in a violation of a rule of professional conduct or other
law.
2) A lawyer shall not represent a client if the lawyer is physically or mentally impaired, meaning
the lawyer’s ability to represent the client is compromised. If you do have some type of disability
that temporarily impairs you from representing your client once the disability is removed you
may represent the client. But you cannot let the clients representation languish in the intermin.
You cannot allow the client’s case to suffer as a result during or after removal of the disability.
3) You cannot represent the client if they fire you. A client can fire a lawyer at anytime; as seen
in the automobile case. Once a lawyer is fired issues of fee’s may arise a lawyer is only awarded
quantum meruit for the services he has rendered up to being fired.
B) Optional Withdrawal: A lawyer may withdraw if:
1) The client and or case is not prejudiced by the withdraw.
2) The client persists in conduct that is criminal or fraudulent.
3) The client has used the lawyer’s services to perpetrate a crime or fraud, ie if the client is using
the lawyer-client relationship to further an account that will defraud someone else or that will be
criminal.
4) The client is refusing to follow your advice or there exists a fundamental disagreement
regarding the course of action. Though a lawyer is expected to proceed with the clients wishes
they are not expected to commit or do things that they reasonably believe will hurt or prevent a
successful representation of the client’s case. Ie. The client refuses to acknowledge your advice
or disagrees with fundamental and significant advice that you believe is beneficial to the case.
5) The client fails to submit essential evidence, or information relating to the case, or generally
refusing to cooperate in the matters of their case.
6) The representation would result in unreasonable financial burden, not of the lawyer’s making.
Ie. The client refuses to pay your fee or put money in escrow. You fees must be reasonable and at
no time are you to lay out money for the client or use another client’s money in another client s
case. And you have given the client sufficiently and timely notice that withdraw is the
consequence of the clients refusal to pay.
7) A lawyer may seek permissive withdraw from a judge when he can show good cause.
C) If the matter is in litigation, court approval is required before an attorney may withdraw. A
lawyer must continue the representation in case the court denies the lawyer’s application for
withdraw. Therefore in order to not violate competence and diligence the lawyer must continue
to actively work on the client’s case until the judge grants the application for withdraw.
D) When withdrawing, a lawyer must take all reasonable steps to protect the clients interests, like
giving the client reasonable notice, allowing them sufficient time to obtain another lawyer,
refunding any unreasonable fees and returning their file and property unless the lawyer is entitled
to retain them under other law.
you must withdrawal when:
-the representation will result in a violation of RPC or other law.
-a physical or mental condition materially impairs your ability.
-you are fired/discharged
You may withdrawal when:
-there will be no material adverse affects to the client.
-the client persists in conduct that is criminal or fraudulent
-the client has used the lawyer service to perpetrate a crime or fraud.
-the client is refusing to follow your advice or there exists a fundamental disagreement.
-the client fails to fulfill an obligation
-the representation will result in an unreasonable financial burden or has been rendered
unreasonably difficult by the client; or
When seeking to withdraw from representation, you must comply with applicable law.
3.1Meritorious Claims and Contentions;
A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless
there is a basis in law and fact for doing so that is not frivolous, which included a good faith
argument for an extension, modification or reversal of existing law. A lawyer for the defendant in
a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may
nevertheless so defend the proceeding as to require that every element of the cause be
established.
Does the matter have merit? The rule 11 of PR:
a.i.2.a.i.1.i) cannot bring a
frivolous claim
a.i.2.a.i.1.ii) attorneys are liable
for malicious prosecution if they
pursue a suit after discovery
reveals to viable claim
a.i.2.a.i.1.iii) Rule 11 sanctions if
you file a frivolous claim
Plain English (3.1)

A lawyer shall not bring or defend a case or claim that lacks merit. Ie there must be a good faith
belief the claim has a good basis of law and fact. In a criminal case, when a lawyer is aware of
his client guilt he simply may require that the state meet its burden of proof for each and every
element of law. The lawyer may insure the state does its part and proves beyond a reasonable
doubt the clients guilt but the lawyer may not manipulate or falsely bring a claim to defend a
guilty client.
6.1 Voluntary pro Bono Service/ indigent representation

Every lawyer has a professional responsibility to provide legal services to those unable to pay. A
lawyer should aspire to render at least 50 hrs of pro bono services/yr. In fulfilling this
responsibility, the lawyer should:
a. Provide a substantial majority of the 50 hrs of legal services w/o fee or expectation of
fee to:
1) people of limited means;
2) charitable, religious, civic, community, governmental, educational organization-
which address needs of persons of limited means; and
b. Provide additional Services through:
1) Delivery of legal services at substantially reduced or no fee for civil rights, etc.
where payment of legal fees would significantly deplete their economic resources
or would otherwise be inappropriate.
2) Delivery of legal services at substantially reduced fees to people of limited means;
3) Or participate in activities for improving the law, legal system, or profession.
In addition, a lawyer should voluntarily contribute financial support to organizations
that provide legal services to persons of limited means. (some states may require
this.)
Plain English (6.1)
Part of the 50 hours may include activities which improve the law or profession.
Attorneys should donate to organizations that provide free or reduced-rate legal services and
participate in activities for improving the law, the legal system or the legal profession.
Here is a summary of the important parts of the comment following the rule:
Pro Bono Publico= uncompensated legal services for the public good
States might have a greater hour requirement
Reason for the rule is the critical need for these types of services
Intent at the outset of taking on a free or reduced-rate case must be to provide the services for
free. Uncollected fees which would have been charged do not count for 'free services'.
Mandatory statutory fees do not count for this rule BUT they should be donated upon collection.
**This rule is not intended to be enforced through discipline.
6.2 Accepting Appointments

A lawyer cannot seek to avoid appointments by a court to represent a person except for good
cause such as:
a. Representation is likely to result in a violation of rules or other law;
b. Representation would result in unreasonable financial burden;
c. Cause or client is so repugnant to the lawyer that it would impair the client/lawyer
relationship or the lawyer’s ability to represent the client. (aka a conflict of interest)
Not a good cause:
a.i.1.a.i.1. you know they are guilty
a.i.1.a.i.2. they aren’t popular
Plain English (6.2)

A lawyer cannot refuse to represent a person except if:
a) The representation violates a rule of professional conduct or other laws;
b) The representation would result in undue financial hardship to attorney, not of the attorney’s
making, or
c) The client or cause is so repulsive, that it impairs the lawyer’s ability to represent the client.
Ex terrorists from 9/11 a few attorney’s offered to represent them however many would just not
be able to fairly do so. If you are looking at the client that was appointed to you and wishing he
would lose he is not someone that attorney should be representing. No one believes that your
client’s beliefs are your own so you have to have a damn good excuse not to represent that client.
So repugnant!
** Unpopular client or indigent client= Not “for good cause” to refuse representation.
Not good cause would be:
-person or persons cause is unpopular
-influential members of the community or other clients oppose your involvement
-you believe the person is guilty (unless the feelings are so impaired that it will affect
representation)
Plain English (5.7)

A lawyer is responsible to follow the rules of professional conduct if they perform law-related
services that are not distinct from the lawyers practice or are provided by a separate entity which
the lawyer is a part of.
A lawyer must take reasonable steps to assure clients that the services provided are not legal
services, no lawyer-client relationship exists. A lawyer may ask are you coming to me for legal
advice to you plan on hiring me to handle this legal matter. Yes okay proceed. If you are not
taking the person as a client and creating a lawyer-client relationship you must inform the person
that you are not acting as an attorney therefore there is no lawyer/client privilege between the
two and you and what he tells you does not have to be kept confidential.
Plain English (6.3)

A lawyer can serve as director, officer or member of a legal services organization (apart from the
firm where they practice), even if the organization represents clients adverse to a client of the
lawyer, so long as…
a) Any decision the lawyer participates in does not interfere with the lawyer’s obligation to a
client
b) Decisions do not adversely affect the interest of the organization and/or its clients, who may
have an interest adverse to a client of the lawyer. A lawyer may not continue active participation
in the organization if the organization is dealing with a matter that could adversely affect the
client’s position. A lawyer may remain in the organization actively if the organization may
benefit the client’s position in the matter. However the lawyer must inform the member and seek
the consent in continuing. Example the Michigan no fault policy if you are a member and voting
on the statue knowing if will benefit your clients case greatly if the statute is passed. You must
inform the other organization member
8.4 Professional Misconduct

It is professional misconduct for a lawyer:
a. Violate or attempt to violate the rule s of PR conduct, knowingly assist or induce another
to do so, or do so through the acts of another;
b. Commit a criminal act that reflects adversely on the lawyers honesty, trustworthiness or
fitness as a lawyer on other respects;
c. Engage in conduct involving dishonesty, fraud, deceit, or misrepresentation;
d. Engage in conduct that is prejudicial to the administration of justice;
e. State or imply an ability to influence improperly a government agency official or to
achieve results by means that violate the PR conduct or other law; or
f. Knowingly assist a judge or judicial officer in conduct that is a violation of applicable
ruels of judicial conduct or other law.
Week 5 How to sign up the client;
Agreements to perform legal services:
-Are preferably in writing
-if the client is a returning client you are not obligated to re-communicate the rate of your fees
unless they have changed
-Best practice; have the client sign the fee agreement or retainer letter.
Elements of a good fee agreement:
-in writing
-terms are clear and concise
-in plain English
-no unethical or illegal terms
Unethical/illegal provisions
-usurious interest rates on overdue fees
-impermissible conflict waivers
-impermissible liability waivers-civil and disciplinary
-impermissible waiver of the requirement to keep property separate
You will have the burden of establishing that the agreement is reasonable, ethical and legal.
Always attach 2 conditions:
1) your receipt of a retainer fee
2) and your receipt of the fee agreement with the clients signature
No matter what fee you use it must be reasonable!!!!!!!!
Retainer Agreements
1.5 Fees
a. A lawyer shall not make an agreement for, charge or collect an unreasonable fee or an
unreasonable amount for expenses. The factors to consider in determining reasonableness of a
fee include:
1. Time and labor required, the novelty and difficulty of the questions involved and the skill
requisite to perform the legal service properly
2. Likelihood of unavailability for other clients
3. Fees charged in the locality for similar representation
4. Amount of time involved and the results obtained
5. Time limitation imposed by client
6. The nature and length of the professional relationship with the client
7. The experience, reputation, and ability of the lawyers performing the services
8. Whether the fee is fixed or contingent
b. The scope of the representation and the basis or rate of the fee and the expenses for which the
client will be responsible shall be communicated to the client, preferably in writing, before or
within a reasonable time after commencing the representation, except when the lawyer will
charge a regularly represented client on the same basis or rate. Any changes in the basis or rate of
the fee or expenses shall be communicated to the client.
****c. Contingency fee must be in writing and signed by the client at the beginning of the
representation. Specifying how the fee is calculated based on what events, what % goes to
attorney, whether expenses deducted before or after the fee, you must have a second writing at
the end of the case detailing the fee and how it was calculated, outcome of the matter and award
paid to the client. The agreement must clearly notify the client of any expenses for which the
client will be liable whether or not the client is the prevailing party. Must be in writing and
signed by the client!
****d. No contingency fees for domestic relations matters or divorce, child support, alimony or
criminal matters a lawyer shall not take a personal stake in a criminal matter.(Can charge
contingency for collecting domestic payments in arrears)
e. Fee sharing by attorneys not in the same firm is not allowed UNLESS:
1. It is proportional to the service rendered or each party assumes joint responsibility in;
2. The client agrees to the arrangement, including the share each lawyer will receive, and
the agreement is in writing; and
3. The total fee is reasonable.
*1.5 prohibits an unreasonable fee while 1.6 requires the lawyer, upon termination of the
representation to refund any advance payment of fee. . .that has not been earned
Note that partnership law allows for payment to the estate, if the partner should pass away, of a
dead partner for his share of the partnership or money for a cause he worked on. 5.4 Be very
careful of lawyers who start spending money before it is earned. You can be fired at any time and
found to be not entitled to the money and may only receive quantum meruit for the services
rendered.
Plain English (1.5)

a) Fee must be reasonable. Factors to be considered in determining reasonableness are:
(1) Time and labor required, novelty and difficulty of the matter, and skill required;
(2) Whether the lawyer will have to turn away work to handle the matter.
(3) What other lawyers in the area charge.
(4) The amount involved and the results obtained;
(5) Any time limitation imposed by the client or the circumstances;
(6) Whether the client is a new or existing client.
(7) The experience, reputation, and ability of the lawyer;
(8) Whether the fee is fixed or contingent
(b) The lawyer must tell the client, preferably in writing, before or within a reasonable time after
taking the case:
• The scope of the representation; and

• The basis or rate of the fee (and how the client will pay the expenses).
(c) A contingent fee agreement:
• Must be in writing
• Must be signed by the client and
• Must set forth:
o The method for determining the fee, including the percentage of recovery that
will go to the lawyer as the fee; and
o Provisions for the treatment of expenses. Lat the client know that though we
may not prevail in case there are still costs that are incurred and they will be held
accountable for the costs.
Upon completion of the matter, the lawyer must give the client a written statement detailing
the distribution of the money between the client and lawyer and how it was calculated.
You must advise the client of the fact of alternative fee arrangements and you may not
impose a contingency fee on a client who desires another arrangement. You may not allow
your personal interest to interfere with your professional judgment. 1.7 and 1.8 conflict of
interests.
(d) Contingent fees are prohibited in:
• Pre judgment divorce matters (a fee cannot be contingent upon securing a divorce or
on obtaining entitlement to alimony, support, property, or custody.
• Criminal matters
(e) Splitting Fees with Other Lawyers; A lawyer cannot split fees with other lawyers not in the
same firm unless:
• Each lawyer is paid according to the work they performed;

• The client has agreed in writing to the arrangement; and
• The total fee is reasonable.
1.8 Conflict of interests (Current Clients)
A lawyer shall not enter into a business transaction w/ a client or knowingly acquire an
ownership, possessory, security or other pecuniary interest adverse to a client unless:
reasonable to the client and are fully disclosed and transmitted in writing in a manner that
can be reasonably understood by the client:
2. The client is advised in writing of the desirability of seeking and is given a reasonable
opportunity to seek the advice of independent legal counsel in and on the transaction;
3. And the client gives informed consent, in writing signed by the client, to essential terms
of the transaction and the lawyer’s role in the transaction, including whether the lawyer is
representing the client in the transaction.
(e) A Lawyer shall not provide financial assistance to a client in connection with pending or
contemplated litigation, except that:
1. A lawyer may advance court costs and expense of litigation, the repayment of which
may be contingent on the outcome of the matter; and
2. A lawyer representing an indigent client may pay court costs and expenses of
litigation on behalf of the client.
Plain English (1.8)e Conflict of Interest: Current Client.
(a) Transactions. The general rule is that an attorney cannot enter into a business transaction
with a client or knowingly acquire an ownership, possessory, security or other pecuniary
interest adverse to a client.
The exception to this rule is:
transaction;
(e) Giving Money to Clients. The general rule is that lawyers cannot provide financial
assistance to a client in connection with or during the course of litigation.
There are two exceptions to this rule.
(1) Lawyers may pay court costs and other expenses of litigation on behalf of the
client in advance and then make the repayment contingent on the outcome of the case.
(2) Lawyers representing indigent clients may pay court costs and litigation expenses
on behalf of the client.
You may charge interest, 7% max confirmed in writing and 5% agreed orally.
There are 2 types of liens:
1) charging lien-only applies to judgment proceeds the lawyer has done for the client. It is a lien
against any $ that may come into attorney’s hand as a result of a judgment.
2) retaining lien-a lien to retain clients file or property, keeping in mind that you must take steps
to the extent reasonably practicable to protect your clients interest. When it may prejudice the
clients interest you may not retain files or documents, even if you have not been paid.
5.4 Professional Independence of a Lawyer

a. A lawyer or law firm shall not share legal fees with a non-lawyer, except that:
1. An agreement by a lawyer with the lawyers firm, partner or associate may provide for
the payment of money over a reasonable period of time after the lawyers death, to the
lawyers estate or to one or more specified persons.;
2. A lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer
may, pursuant to the provisions of 1.17 (sale of a law practice), pay to the estate or other
representative of that lawyer the agreed upon purchase price; and
3. A lawyer or law firm may include non-lawyer employees in a compensation or
retirement plan, even though the plan is based in whole or in part on a profit sharing
arrangement; and
4. A lawyer may share court-awarded legal fees w/ nonprofit organization that employed,
retained or recommended employment of the lawyer in the matter.
b. A lawyer shall not form a partnership with a non-lawyer if any of the activities of the
partnership consist of the practice of law.
c. A lawyer shall not permit a person who recommends, employs, pay’s the lawyer to render legal
services for another to direct or regulate the lawyer’s professional judgment in rendering such
legal services. An example would be an insurance company paying you to represent their insured
client.
d. A lawyer shall not practice w/ or in the form of a professional corporation or association
authorized to practice law for a profit, if:
1. A non-lawyer owns any interest therein, except that a fiduciary representative of the
estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time
during administration;
2. A non-lawyer is a corporate director of officer thereof or occupies the position of
similar responsibility in any form of association other than a corporation; or
3. A non-lawyer has the right to direct or control the professional judgment of a lawyer.
*Above all fee must be reasonable!
Plain English (5.4) Professional Independence of a lawyer
1) A lawyer or law firm must not share legal fees with a non lawyer, except for an:
a) Agreement by a law firm to pay earned fees to the estate of a deceased member of the
firm.
b) Agreement to purchase a deceased or disabled lawyer’s legal practice, pursuant to rule
1.17.
c) Profit sharing plan with non-lawyer employees, not linked to a specific case:
d) Agreement to pay court awarded fees to any nonprofit organization that helped in the
case.
2) A lawyer must not form partnership with a non lawyer if the partnership involves the practice
of law
3) A lawyer must not allow a non lawyer paying the lawyer’s fee to direct or control how the
lawyer handles the client’s matter.
4) A lawyer may not be part of a professional corporation or association authorized to practice
law for profit, if:
a) A non lawyer owns an interest in the organization (except for the administrator of a
deceased attorney’s estate)
b) The non lawyer hold an executive position in the association other than a corporation
c) A non lawyer can control the lawyer’s professional judgment
1.17 Sale of a Law practice
A lawyer or a law firm may sell or purchase a law practice, or an area of law practice, including
good will, if the following conditions are satisfies:
(a) the seller cease to engage in the private practice of law, or in the area of practice that has been
sold, [in the geographic area] in the jurisdiction a jurisdiction may elect either version in which
the practice has been conducted;
(b) the entire practice, or the entire area of practice, is sold to one or more lawyers or law firms;
(c) the seller gives written notice to each of the sellers clients regarding;
1) the proposed sale;
2) the clients rights to retain other counsel or to take possession of the file; and
3) the fact that the client’s consent to the transfer of the clients files will be presumed if
the client does not take any action or does not otherwise object w/in 90 days of receipt of the
notice.
If a client cannot be given notice, the representation of that client may be transferred to the
purchaser only upon entry of an order ao authorizing by a court having jurisdiction. The seller
may disclose to the court in camera information relating to the representation only to the extent
reasonably necessary to obtain an order authorizing the transfer of the file.
(d) The fees charged to clients shall not be increased by reason of the sale.
Rule 1.17: The Sale of a Law Practice

In order for a lawyer to sell his practice or part of his practice, including the good will associated
with it, the following restrictions must be followed:
The seller must stop practicing privately in the geographic or the jurisdictional area where the
practice was located. (The jurisdiction is free to apply either restriction)
The entire business must be sold. The buyers can be a group of lawyers or firms, or a single
lawyer or firm.
The selling lawyer must notify all of his clients that (a) there is a proposed sale, (b) the client can
seek legal services somewhere else or come and get the file, and (c) if the client does not indicate
objection to the sale within 90 days then their consent to the sale will be assumed.
If it is not possible to notify the client, the lawyer buying the firm may seek a court order
transferring the representation (the file) of the client from the selling lawyer to the purchasing
lawyer.
If this happens, the seller may give to the court, confidentially, only the information necessary to
obtain the order.
When the practice is sold, the sale cannot cause an increase in the client’s fees.
Additional clarification:
The practice of law is a profession and clients are not cattle. Lawyers may only sell their
practice for a reasonable value, and withdrawing partners may also.
Termination by the Selling Lawyer:
The lawyer has satisfied the requirement above when he makes his entire practice available for
sale. It is not a violation if some of the clients decide to leave. Also a lawyer may return back to
private practice if there are unforeseen circumstances.
A lawyer is not in violation of this rule if his return to practice is for a private business,
government agency, or charity. And is not foreseeable but cannot be in the area of the practice
sold.
This rule is satisfied if the selling lawyer moves far enough away where he is not in the same
State, or far enough away in the same large state where it is basically accomplishing the same.
If a lawyer is selling part of his practice, he must remain active in the practice and not accept any
more clients of the same type that were sold.
Sale of the entire area of practice:
To satisfy the requirement that the entire practice must be sold, all clients must be included in the
sale. Furthermore, the purchaser must accept all the clients. This protects the little clients
Client Confidences and Consent Notices:
Purchasers require consent from the client before confidential information can be shared. It
must be written, and the sale must be completed. The client must also be given the identity of
the purchaser. When a client cannot be contacted for notification, the court will consider the
surrounding circumstances to justify issuing a court order to transfer the file. This will include
determining what is in the client’s best interest as well as how diligent the attempts to contact the
client were.
All the clients’ rights will survive the sale they will be awarded the same client/lawyer
relationship they had with the lawyer who sold his or her practice.
Fee Arrangements:
The sale may not be financed by increasing fees. The purchaser must stick to all of the existing
agreements. Unless the lawyer charged more at his previous office he may not increase due to the
money put out for the purchase.
Other applicable Ethical Standards:
Under this type of transaction, the lawyers must follow the same ethical rules observed when
multiple lawyers are involved in a case. These include, but are not limited to, competency,
informed consent, and protection of information.
If it is required by a tribunal in which a matter is pending to get approval of the substitution of
the purchaser, the matter must be approved before being included in the sale
Applicability of the Rule:
This rule applies even when the selling lawyer is dead, missing, or disabled. If this happens, the
seller may be represented by a non-lawyer not subject to these rules. However, it is not
acceptable for a lawyer to be involved in such a sale that does not follow these rules. The
purchasing lawyer must make sure these rules are followed in such a circumstance.
Announcing retirement intentions does not constitute a sale.
This rule does not apply to transfers of legal representation when they are unrelated to the sale of
a practice.
Week 6 Safeguarding Clients Property
1.2 Scope of Representation

a. Subject to c and d, a lawyer shall abide by a client’s decisions concerning the objectives
of representation, and as required by 1.4(communication), shall consult with the client as
to the means by which they are pursued.
A lawyer may take such action on behalf of the client as impliedly authorized to carry out
the representation.
A lawyer shall abide by a client’s decision whether to settle a matter.
In a criminal case, the lawyer shall abide by the client’s decision, after consultation with
the lawyer, as to a plea to be entered, whether to waive jury trial and whether the client
will testify.
b. A lawyer’s representation of a client, including representation by appointment, does not
constitute an endorsement of the client’s political, economic, social or moral views or
activities.
c. A lawyer may limit the scope of representation if the limitation is reasonable under the
circumstances and the client gives informed consent.
d. A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer
knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any
proposed course of conduct with a client and may counsel or assist a client to make a
good faith effort to determine the validity, scope, meaning or application of the law.
Plain English (1.2) Scope of Representation
a) While following paragraphs, (c) & (d), a lawyer must follow his client’s decisions about
the goals of his representation and must discuss with the client how the goals will be
achieved. A lawyer must follow his client’s decision to accept or decline a settlement
offer in a civil case. In a criminal case, after the client has talked to his lawyer, the
lawyer must follow his client’s decisions on which plea to enter, whether to waive a jury
trial, and whether or not the client will testify.
b) Just because a lawyer represents a client, even by appointment, does not mean that the
lawyer supports the client’s political, economic, social or moral ideas or goals.
c) If a client agrees after talking to his lawyer, the lawyer can limit the services involved in
the representation.
d) A lawyer must not give advice to or help a client to commit crime or fraud. A lawyer can
explain the potential legal outcome of acts of crime or fraud, and may help a client
innocently understand the relevance and range of a law.
Bottom line from class notes

-Abide by a clients objectives whenever possible and consult with a client as to how to achieve
those objectives,
-Must abide by a clients decisions in a criminal case.
-You may limit the scope of representation is to do so is: reasonable and client has given
informed consent.
-shall not counsel a client to engage in or assist a client to commit what you know to be criminal
or fraudulent.
1.4 Communication
a. A lawyer shall:
1. Promptly inform the client of any decision or circumstance w/ respect to which the
client’s informed consent as defined in 1.0e, is required by these rules;
2. Reasonably consult w/ the client about the means by which the client’s objectives are
to be accomplished;
3. Keep the client reasonably informed about the status of the matter;
4. Promptly comply w/ reasonable requests for information; and
5. Consult w/the client about any relevant limitation on the lawyers conduct when the
lawyer knows that the client expects assistance not permitted by the rules of PR conduct or
other law.
b. A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make
informed decisions regarding the representation.
Plain English (1.4) Communication
a) A lawyer must:
1. Tell the client right away about any decision or issues where the client’s informed
consent (which is defined in rule 1.0(e) is required.
2. Talk to the client within a reasonable time about how the client’s goals will be
achieved.
3. Regularly update the client on what’s happening with the client’s issue.
4. Quickly address the client’s request for updates.
5. If the client wants help that is not allowed by law or by the Rules of Professional
Conduct, talk to the client about his professional boundaries.
b) A lawyer must explain issues so that the client understands and is able to make educated
decisions about the issue.
1.0 e Informed Consent:
denotes the agreement by a person to a proposed course of conduct after the lawyer has
communicated adequate information and explanation about the material risks of and
reasonably available alternatives to the proposed course of conduct. Make the client
understand or else the consent is not valid. Don’t use your big lawyer words that is like a
doctor coming out and explaining what is wrong using all medical terminology-no
conprendo.
-must promptly obtain any required informed consents
-reasonably consult with the client about objectives and how to fulfill them
-must keep client reasonably informed
-must promptly comply with reasonable requests
-must promptly consult with client regarding limitations
-explain any matter in English as best as possible
Elements of a Malpractice claim:
1) Attorney/Client relationship (so there was a duty)
2) Negligence (a breach in that duty-compared to ordinary attorneys in that field)
3) Proximate cause (show the case within in case, I would have won but for this I didn’t prove
both)
4) Damages (because of this duty that was breached this harm resulted)
Law firms are vicariously liable for the legal malpractice of partners and associates.
1.15 Safekeeping Property
a. Client Trust Account Rule.
A lawyer shall hold property of client’s or third persons that is in lawyer’s possession in
connection with a representation separate from lawyer’s own property. Funds shall be kept in a
separate account maintained in the state where the lawyer’s office is situated, or elsewhere with
the consent of the client or 3rd person. Other property shall be identified as such and
appropriately safeguarded. Complete records of such account funds and other property shall be
kept by the lawyer and shall be preserved for a period of 5 yrs after termination or the
representation.
b. Service Charges.
A lawyer must deposit the lawyer’s own funds in a trust account for the sole purpose of paying
back service charges on the account, but only in an amount necessary for that purpose.
c. Deposit Funds.
A lawyer shall deposit in to a client trust account legal fees and expenses that have been paid in
advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred.
d. Prompt Notification.
Upon receiving funds or other property in which a client or third person has an interest, a lawyer
shall promptly notify the client or third person. Except as state in this rule or otherwise permitted
by law or by an agreement with the client, a lawyer shall promptly deliver to the client or 3rd
party any funds or other property that the client or 3rd party is entitled to receive and, upon
request by the client or 3rd party, shall promptly render a full accounting of such property.
e. Property in Dispute.
When in the course of representation a lawyer is in possession of property in which two or more
persons (one of them who may be the lawyer) claims interests, the property shall be kept separate
by the lawyer until dispute is resolved. The lawyer shall promptly distribute all portions of the
property as to which the interests are not in dispute.
*This section gives rise to tricky questions. Notice you only keep the amount in dispute in a
separate account all other money must be given back to appropriate parties. The amount not in
dispute should be given back.
Several clients funds can be kept in the same account, but the lawyer must keep separate and
current records. Cannot use one client’s funds to satisfy another client’s interest, or lack of funds.
Clients check must be clear before it can be used for ANYTHING. . .otherwise you are using
some other clients funds b/c that clients are not available. Some states require a bank to report
overdrafts on trust accounts. Keep a paper trail! And never keep a zero balance.
Plain English (1.15)
When a lawyer receives client funds in connection with a representation, the lawyer should keep
the client’s funds separate from the lawyer’s funds or operating budget.
The client’s funds should be kept in a trust account (IOLTA) in the same state the lawyer’s office
is located, unless the client consents to it being kept in another state.
Property other than funds should be identified, secured and kept separate from the lawyer’s
property.
All records of client funds and property should be kept for 5 years.
A lawyer can deposit his/her own money into the IOLTA trust account only in the amount
necessary to cover bank service. (Comment: Amounts above what is necessary to cover fees
could be considered commingling of funds. Proper records should be kept of how much the
attorney deposited.)
When a lawyer receives unearned legal fees and expenses, the lawyer should place those fees in
the client trust account (IOLTA) and withdraw them as the fees are earned or as expenses are
paid.
When a lawyer receives property of a client or an interested third party the lawyer must promptly
notify the client or third party. When a client or third person is entitled to receive the property the
lawyer must:
1. promptly deliver the property; and
2. promptly render an accounting regarding the property if requested.
When there are multiple adverse claims to property, including a claim by the lawyer, the lawyer
must:
1. keep the property separate until the dispute is resolved; and
2. promptly distribute all portions of the property that are not in dispute.
Bottom line from class notes:
-Must holds funds separate from your own property.
-must hold funds in a bank in the state in which your office is situated
Unless you have clients consent to hold elsewhere
-Must keep complete records of clients funds and property
-Must maintain these records for 5 yrs after termination of representation
-unearned fees must be kept in a separate account-deposited in trust
-may deposit amounts necessary to cover back service charges.
-Must promptly deliver to a client or third person any funds/property to which that person is
entitled
-upon request, must promptly render an accounting of such funds/property.
-Any funds/property in dispute must remain in trust.
-Any portion not in dispute must be returned promptly
-May take fees and costs as they are earned and incurred
-pre-withdrawal will result in misappropriation/embezzlement
5.5 Unauthorized Practice of Law; Multi-Jurisdictional Practice of Law

a. A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal
profession in that jurisdiction; or assist another in doing so.
b. A lawyer who is not admitted to practice in that jurisdiction shall not:
1. except as authorized by these rules or other law, establish an office or other systematic
and continuous presence in the jurisdiction for the practice of law; or
2. hold out to the public or otherwise represent that the lawyer is admitted to practice law
in that jurisdiction.
c. A lawyer admitted in another US jurisdiction, and not disbarred or suspended from practice in
any jurisdiction, may provide legal services on a temporary basis in this jurisdiction that:
1. are undertaken in association w/ a lawyer who is admitted to practice in this
jurisdiction and who actively participates in the matter;
2. are in or reasonably related to a pending or potential proceeding before a tribunal in his
or another jurisdiction, if the lawyer or a person the lawyer is assisting, is authorized by
law or order to appear in such a proceeding or reasonably expects to be so authorized.
3. are in or reasonably related to a pending or potential arbitration, mediation, or other
alternative dispute resolution proceeding in this or another jurisdiction, if the services
arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the
lawyer is admitted to practice and are not service for which the forum requires pro hac
vice admission; or
4. are not w/in paragraph c2 or c3 and arise out of or are reasonably related to the
lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice.
d. A lawyer admitted in another US Jurisdiction, and not disbarred or suspended from practice in
any jurisdiction, may provide legal services in this jurisdiction that:
1. are provided to the lawyer’s employer or its organizational affiliates and are not
services for which the forum requires pro hac vice admission; or
2. are services that the lawyer is authorized to provide by federal law or other law of this
jurisdiction.

-shall not practice in a jurisdiction where it would violate
-shall not assist a person who is not a member of the bar to practice
-Shall not appear in court on behalf of another
-If you are licensed in 1 state that is the state in which you practice
However a lawyer admitted to practice in one state may practice in another to the extent the
lawyers activities in the matter arise out of or otherwise reasonable related to the lawyers home
practice.
A lawyer may not appear in court in another jurisdiction unless admitted to practice in that court.
6.5 Non-profit and Court-Annexed Limited Legal Services Programs
a. A lawyer who, under the auspices or a program sponsored by a nonprofit organization or court,
provides short term limited legal services to a client w/o expectation by either the lawyer or the
client that the lawyer will provide continuing representation in the matter;
1. is subject to rules 1.7 (current clients) and 1.9a (former clients) only if the lawyer
knows that the representation of the client involves a conflict of interest; and
2. is subject to rule 1.10 (imputation of conflict of interest) only if the lawyer knows that
another lawyer associated with the lawyer in the law firm is disqualified by 1.17 (current
clients) or 1.9a (former clients) with respect to the matter.
b. Except as provided in a(2), rule 1.10(imputation of conflict of interests) is inapplicable to a
representation governed by this rule.
Plain English (6.5)
(a) An attorney who participates in a program sponsored by a non-profit organization or court,
provides limited legal representation, as agreed to by the client and lawyer:
(1) must comply with Rules 1.7 and 1.9 (a) only if the attorney knows that the representation
involves a conflict of interest AND
(2) the conflict of interest will be imputed to the lawyer’s firm only if the attorney knows that
an attorney in his firm has a conflict of interest governed by rule 1.7 or 1.9 (a). in the matter.
Plain English (1.7) Conflict of Interest: Current Clients

(a) A lawyer cannot represent a client when there is a current conflict of interest. A conflict
exists when:
1) Representation of one client would be harmful to the representation of another client

Ex. A lawyer cannot advocate a matter against a person whom they represent in another matter.
OR
2) There is significant risk that a lawyer representing a client will not be able to adequately
represent another client due to his/her responsibilities to the other clients. A conflict also exists if
the lawyer cannot adequately represent a client because of the lawyer's own interests.
Ex. A lawyer representing multiple clients to form a joint venture will not be able to adequately
represent each client because he/she will not be able to advocate each position of his/her clients.
If the lawyer was a member of the joint venture he/she would be limited also by their own
interests.
The Exceptions:
(b) A lawyer may represent a client despite a conflict of interest only when:
1) The lawyer reasonably believes that he/she is capable of providing loyal representation to
his/her client;
2) The representation is not illegal;
3) The representation does not involve the lawyer representing clients for both sides of the
litigation (or any other proceeding before the court); AND
4) Each client gives informed consent in writing.
Plain English (1.9) Duties to Previous Clients

(a) A Lawyer cannot represent someone if he/she already represented a client in the same or a
similar situation and the representation would be against the interests of the original client unless
the former client gives his/her informed consent in writing.
(b) If a lawyer in his/her prior law firm represented a client in a matter and now the lawyer's
current firm seeks to represent a client in the same or a similar matter in which the new firm's
client would be adverse to the former firm's client, the new firm cannot represent the new firm's
client. It is presumed the lawyer learned confidential information from his/her prior
representation. The former client can waive the conflict by giving informed consent in writing.
(c) A lawyer who represented someone in the past or who’s previous or present law firm
represented someone in the past cannot use information gained from that representation against
the client. Lawyer needs to follow the rules.
1.18 Duties to Prospective Clients

(a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship
with respect to a matter is a prospective client.
(b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions with a
prospective client shall not use or reveal information learned in the consideration, except as (1.9)
would permit with respect to information of a former client.
(c) A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse
to those of a prospective client in the same or a substantially related matter if the lawyer received
information from the prospective client that could be significantly harmful to that person in the
matter except as provided in paragraph (d). If a lawyer is disqualified from representation under
this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly
undertake or continue representation in such a matter, except as provided in paragraph (d).
(d) When the lawyer has received disqualifying information as defined In paragraph ©,
representation is permissible if:
1) both affected client and the prospective client have given informed consent, confirmed
in writing; or
2) the lawyer who received the information took reasonable measures to avoid exposure to
more disqualifying information than was reasonably necessary to determine whether to represent
the prospective client; and
i) the disqualified lawyer is timely screened from any participation in the matter and is appointed
no part of the fee therefrom ; and
ii) written notice is promptly given to the prospective client.
Plain English (1.18) Duties to Prospective Client
(a) An attorney should consider anyone they talk with about possible representation (forming a
client-attorney relationship) a prospective client.
(b) An attorney may not use or reveal any of the information discussed with a prospective client,
even if no client-attorney relationship is formed, unless allowed under Rule 1.9.
(c) If (b) applies, the attorney may not represent a subsequent client in the same or substantially
related matter whose interests conflict with the prospective client’s interests. If the attorney
received information from the prospective client that could be significantly harmful to the
subsequent client, the attorney may not represent the subsequent client in that matter, either. This
is subject to exceptions listed below in (d). If the attorney can’t represent the client for these
reasons, no other attorney in the firm can represent the client for those matters, except.
(d) When the attorney receives disqualifying information in the above situations, they may still
represent the client if:
1. If both the affected client and the prospective client give informed, written consent,
Or:
2. If the attorney took reasonable steps to limit the amount of disqualifying information,
to what was needed to make the decision of whether to represent the prospective client,
and:
i. & ii. The attorney is removed in a timely fashion from any participation or
knowledge of the case, receives none of the fee, and written notice is promptly
given to the prospective client.
Week 7 Substance abuse and Bias

Law student and lawyers must divorce themselves from their emotional and personal reactions
and represent positions that may be in disagreement with their own opinions and belief systems.
Sometime’s it may be hard to be a human and a lawyer. You must let the person know, listen I am
not on your side I am here doing my job, do not confide in me.
As an officer of the court a lawyer has the duty to act honorably and to avoid offensive
personality.
Respect for the law and for legal institutions is diminished whenever a lawyer neglects the
obligation to treat persons properly.
2.4 Lawyer serving as a neutral 3rd party
(a) A lawyer serves as a 3rd party neutral when the lawyer assists two or more persons whoa re
not client of the lawyer to reach a resolution of a dispute or other matter that has arisen between
them. Service as a 3rd party neutral may include services as an:
i) arbitrator
ii) mediator or
iii) in such capacity as will enable the lawyer to assist the parties to resolve the matter.
(b) A lawyer servicing as a 3rd party neutral shall inform unrepresented parties that the lawyer is
not representing them. When the lawyer knows or reasonably should know that a party does not
understand the lawyer’s role as a 3rd party neutral and a lawyer’s role as one who represents a
client.
Plain English 2.4 Lawyer Serving as Third-Party Neutral
A lawyer may act as a mediator or arbitrator between two people that he does not represent. The
lawyer must make it clear that he is not representing either party and must remain neutral
throughout.
Week 8 Duty of Confidentiality

1.6 Confidentiality of Information
(a) A lawyer shall not reveal information relating to the representation of a client unless the client
gives informed consent, the disclosure is impliedly authorized in order to carry out the
representation or the disclosure is permitted by paragraph (b).
(b) A lawyer may reveal information relating to the representation of a client to the extent the
lawyer reasonably believes necessary:
1) to prevent reasonably certain death or great bodily harm;
2) to prevent the client from committing a crime or fraud that is reasonable certain to
result in substantial injury to the financial interests or property of another and in furtherance of
which the client has used or is using the lawyer’s services;
3) to prevent, mitigate or rectify substantial injury to the financial interests or property of
another that is reasonably certain to result or has resulted from the clients commission of a crime
of fraud in furtherance of which the client has used the lawyer’s services;
4) to secure legal advice about the lawyers compliance with these rules;
5) to establish a claim or defense on behalf of the lawyer in the controversy between the
lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer
based upon the conduct in which the client was involved, or to respond to allegations in any
proceeding concerning the lawyers representation of the client; or
6) to comply with other law or a court order.
Plain English 1.6 Confidentiality of Information
(a) A lawyer must not disclose information about the client without permission, or if the
disclosure is impliedly necessary for the client's representation or, as allowed in paragraph (b)
(b) the lawyer can reveal information about the client as s/he believes is reasonably necessary
in the following cases:
1. to prevent death or substantial bodily harm
2. to prevent the client from committing a crime or fraud that is reasonably certain to
result in substantial injury to the financial interests or property of another, and the client
is using the lawyer’s services to further the crime or fraud
3. to mitigate or rectify injury to the financial interests/property of another that would
result or has resulted from the client's commission of a crime or fraud in which the
lawyer’s services have been used to further
4. to give legal advice about the lawyer's compliance with these Rules
5. to defend against a malpractice, criminal or civil claim or to bring a claim against a
former client, arising out of the lawyer’s representation of the client
6. to comply with a court order of other law
Note that a state may give rise to a cause of action if the lawyer does not reveal this information to a
potential victim=so since you may reasonably tell under this rule, you mid as well tell the victim.
Attorney-Client privilege-evidentiary rule. Since an attorney is deemed an agent of the client anything
told to the attorney by the client in confidence is protected by the privilege. Once the attorney begins to
disclose privileged information the privilege is waived.
1) Client must be seeking advice from the attorney
2) And the attorney is acting as a representative of an attorney to the client
3) The communication between the two is a relates to the reason the client sought advice from the
attorney\
4) Communication is made in confidence(agents of the attorney can hear it, meaning the whole firm)
5) This protects the statements made by the client not the attorney.
The attorney must be acting within the scope of his representation of that client.
If the client turns over incriminating evidence the attorney must turn over the evidence but does not have
to reveal how he obtained the evidence.
When an attorney is representing an organization the entire organization is the attorneys client.
Bottom line class notes on rule:
You shall not reveal information related to the representation of a client unless:
1) the client gives informed consent in writing
2) the disclosure is impliedly authorized; or
3) the disclosure is permitted by paragraph (b).
Full disclosure requires communication and explanation of the material risks and potential adverse
consequences, to the client of any disclosure of confidential information.
Implied authorization exists when disclosure of confidential information is appropriate to carrying out the
representation.
Exceptions to 1.6 (b)
you may reveal information relating to the representation of a client to the extent reasonably necessary to:
-prevent certain bad acts of a client.
-get ethical advice
-defend an allegation of wrongdoing
-collect a fee; or
-comply with other law.
In some moral cases a lawyer may have to violate his client’s confidentiality if the client fails to do the
right thing. The corn field case with two young drivers we have to tell the boy that he could die nay
minute. The lawyer must communicate with and fully advise the client so that the client can make
informed decisions.
A lawyer may reveal when the lawyer reasonably believes death or substantial bodily harm will occur.
How do we know?
-is substantial bodily harm imminent?
-is death reasonably certain or substantial bodily harm?
You may tell and some state have laws that require you to tell so if you can you should tell. However the
lawyer should first seek to persuade the client to refrain from the harmful act, so as to obviate the need for
disclosure. Disclosure is the last resort.
A lawyer may reveal information relating to the representation of a client:
to the extent reasonably believed necessary to prevent your client from committing a crime or fraud that is
reasonably certain to result in substantial injury to the financial property interests of another; and in
furtherance of which the client has used or is using your services. Because 1.2 (d) leaves the lawyer to run
the risk that a failure to disclose could be considered assistance in violation of 1.2 (d).
You can speak to someone else regarding your concern if you are complying with the rules.
You may release information to clear your name or collect a fee.
You may not blackmail your client by saying I will disclose your information.
Suspicion alone is not enough, the belief must have some foundation in fact must be reasonably certain.
Disclosure must be limited. The duty survives the termination of the relationship and even death does not
allow disclosure.
1.18 Duties to Prospective Clients

(a) A person who discusses with a lawyer the possibility of forming a client-lawyer
relationship with respect to the matter is a prospective client.
(b) Even when no client lawyer relationship ensues, a lawyers who has had discussions with a
prospective client shall not use or reveal information learned in the consultation, except as
permitted in 1.9 (duties to previous clients) with respect to information of a former client.
(c) A lawyer subject to paragraph (b) shall not represent a client with interest materially adverse
to those of prospective client in the same or substantially related matter if the lawyer received
information from the prospective client that could be significantly harmful to that person in the
matter except as provided in paragraph (d). If a lawyer is disqualified from representation under
this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly
undertake or continue representation in such a matter except as provided in paragraph (d)
(d)When the lawyer has received disqualifying information as defined in paragraph ©,
representation is permissible if:
1) both the affected client and the prospective client have given informed consent in
writing, or;
2) the lawyer who received the information took reasonable measures to avoid exposure
to more disqualifying information than was reasonably necessary to determine whether to
represent the prospective client; and
i) the disqualified lawyer is timely screened from any participation in the matter
and is apportioned no part of the fee therefrom; and
ii) written notice is promptly given to the prospective client .
Plain English (1.18) Duties to Prospective Client
(a) An attorney should consider anyone they talk with about possible representation (forming a
client-attorney relationship) a prospective client.
(b) An attorney may not use or reveal any of the information discussed with a prospective client,
even if no client-attorney relationship is formed, unless allowed under Rule 1.9.
(c) If (b) applies, the attorney may not represent a subsequent client in the same or substantially
related matter whose interest’s conflict with the prospective client’s interests. If the attorney
received information from the prospective client that could be significantly harmful to the
subsequent client, the attorney may not represent the subsequent client in that matter, either.
This is subject to exceptions listed below in (d). If the attorney can’t represent the client for these
reasons, no other attorney in the firm can represent the client for those matters, except.
(d) When the attorney receives disqualifying information in the above situations, they may still
represent the client if:
1. If both the affected client and the prospective client give informed, written consent,
Or:
2. If the attorney took reasonable steps to limit the amount of disqualifying information,
to what was needed to make the decision of whether to represent the prospective client,
and:
i. & ii. The attorney is removed in a timely fashion from any participation or
knowledge of the case, receives none of the fee, and written notice is promptly
given to the prospective client. Screening the attorney who may cause the conflict
off from the rest of the firm.

client would be adverse to the former firm's client, the new firm cannot represent the new firm's
client. It is presumed the lawyer learned confidential information from his/her prior

This rule treats your prospective client as if they were your former client. A lawyer that has had
discussions with prospective client shall not use or reveal information learned in the consultation,
except as 1.9 (duty to former client) would permit. Sometimes the prospective client’s disclosure
can prevent you from taking a new client. Ex divorce cases, you hear one side you can’t take the
other.
Attorney-Client Privilege:
This only applies during tribunal affairs, trial etc. An attorney should not be required to testify
against and thereby violate the duty owed to client. If you do not properly raise the privilege it is
waived. And it only arises in the context of litigation. Court proceeding. Applies only when
lawyer is being asked to reveal a confidence btw he and his client or when a lawyer is given a
subpoena to present a document or physical object.
all written and oral communication
btw lawyer and client
btw lawyers agent and the client or clients agent
Must occur in a confidential setting, no one around except the client and lawyer and/or their
agents
A lawyers agent:
employees associated with the lawyer
expert witnesses
trial consultant
Pr agent/specialist
If there is a inadvertent waiver the privilege is waived. Common with electronic information.
Metadata, see more then you were meant to in a attachment.
Informed waiver-a client can consent to waive the privilege. However such cases are rare.
Crime fraud exception

the privilege is forfeited, when a client sought or obtained your services to enable or aid in the
planning or commission of a crime or a fraud.
Remember the ethical duty under 1.6 is very broad. It renders confidential all information
obtained in the course of the representation regardless of the source. While the attorney client
privilege during litigation is very narrow. It does not apply to tangible evidence. If the client
gives you the knife he used to murder someone you must surrender the evidence, however you
do not have to disclose where you got the knife from. Once the lawyer has obstructed justice and
potentially affected the state from finding the evidence the lawyer must surrender the evidence to
the proper authorities. If client reveals the location of evidence and the lawyer/agent merely
inspect the evidence w/o disturbing it their knowledge of the location of the evidence and
observations are privileged.
Tangible evidence includes: weapons, murder checklists, ransom notes, maps, and must be
treated like physical evidence and turned over to the proper authorities. Records are usually
treated as general information however if that is the only copy you must treat it as physical
evidence.
Upjohn case teaches that the attorney client privilege extends to the whole corporation. The
privilege and the duty withstand death of the client. So you are still not ‘suppose’ to disclose
even after your client has passed. However morally in some cases you should.
Week 9 Candor and Fitness

3.1 Meritorious Claims and Contentions
A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless
there is a basis in law and fact for doing so that is not frivolous, which included a good faith
argument for an extension, modification or reversal of existing law.
A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could
result in incarceration, may nevertheless so defend the proceeding as to require that every
element of the cause be established.
Plain English 3.1
The rule 11; you cannot bring a case in which you know is a lie unless there is an actually basis
of law and fact to support your clients claim.
3.2 Expediting litigation

A lawyer shall make reasonable efforts to expedite litigation consistent with the interest of the
client…this goes along with diligence and can raise issues of competence.
Plain English 3.2 Timely Litigation
A lawyer should ensure that a client’s litigation progresses timely, and consistent with the best
interests of his/her client.
Comment Notes: A lawyer can seek postponement of litigation for personal reasons, but he
cannot routinely postpone litigation solely for the convenience of the lawyers. Also a lawyer
cannot postpone litigation to simply frustrate the opposing party from getting the case heard.
SPEED IT UP!!! DUE DILIGIENCE!!!!!
3.3 Candor Toward the Tribunal

a) A lawyer shall not knowingly:
1) Make a false statement of fact or law to the tribunal or fail to correct a false statement
of material fact or law previously made to the tribunal by the lawyer.
2) Fail to disclose to the tribunal legal authority in the controlling jurisdiction known to
the lawyer to be directly adverse to the position of the client and not disclosed by
opposing counsel
3) Offer evidence that the lawyer knows to be false.
If a lawyer, the lawyers client, or a witness called by the lawyer, has offered material evidence
and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures,
including, if necessary, disclosure to the tribunal. A lawyer MAY refuse to offer evidence, other
than the testimony of a defendant in a criminal matter that the lawyer reasonably believes is
false.
b) A lawyer that represents a client in a adjudicative proceeding and who knows that a person
intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the
proceeding shall take reasonable remedial measures, including IF necessary disclosure to the
tribunal.
c) The duties in (a) (providing false fact or law) and (b) (failing to remedy the false information
or ensure truth) continue to the conclusion of the proceeding, and apply even if compliance
requires disclosure of information otherwise protected by 1.6 (Confidentiality).
d) In an Ex Parte proceeding, a lawyer shall inform the tribunal of all material facts known to
the lawyers which will enable the tribunal to make an informed decision, whether or not the facts
are adverse. If opposing counsel is not present you must disclose even the bad stuff about your
client or case.
**Watch out for comments here. The proceeding has concluded for this rule when a final
judgment is made in the proceeding has been affirmed on appeal and the time for review has
passed.
An attorney does not have to reveal clients history of crime if it is not related to the present
proceeding.
Plain English 3.3 Truthfulness to the Court
(a) A lawyer should not knowingly:
(1) Make any false statements of fact or law to a court or fail to correct any earlier false
statements.
(2) Avoid disclosing to the court controlling law that the lawyer knows is disfavorable to his
client’s case which the opposing lawyer has not mentioned
(3) offer evidence that the lawyer knows to be untrue. If the lawyer, his client, or his witness has
evidence that he knows is false the lawyer must take avoiding measures, including disclosing to
the court that the evidence is false. A lawyer must refuse to offer evidence they think may be
false, other than a criminal defendant’s testimony.
(b) A lawyer who knows his client intends to engage, is engaging , or has engaged in
criminal or fraudulent conduct connected with the proceedings must take remedial
measures, including disclosing to the court, if necessary, the criminal or fraudulent
conduct.
(c) The lawyer’s duties stated in sections (a) and (b) continue to the end of the proceedings
and apply even if the lawyer must disclose information that is protected by Rule 1.6.
(d) In an ex parte matter (hearings where only one side presents their case), the lawyer
should inform the court of all important facts the lawyer knows that will allow the court
to make an educated decision even if the facts known are bad for the case.
Comment Notes: This rule applies to depositions and a lawyer has a duty to disclose if his client
testifies to information the lawyer knows is untrue. A lawyer is responsible for his pleading and
other documents he submits to the court on behalf of his client but does not have to have
personal knowledge of his client’s or other third party assertions. Even if his client wants his
lawyer to submit evidence known to be false the lawyer must not do so.
In a criminal case, if a lawyer knows a witness is going to offer false evidence, the lawyer cannot
allow the witness to testify. If the client is a criminal defendant who is going to offer false
testimony, the lawyer should persuade the client not to do so. And if the lawyer cannot persuade
the client to do so then the lawyer may permit the defendant to testify by narrative.
3.4 Fairness to Opposing Party and Counsel

A lawyer shall not: tamper with EVIDENCE.
a) Unlawfully obstruct another party’s access to evidence or unlawfully alter, destroy or
conceal a document or other material having potentially evidentiary value. A lawyer shall
not counsel or assist any person to commit such act;
b) Falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a
witness that is prohibited by law; (no witness coaching)
c) Knowingly disobey an obligation under the rules of the tribunal, except for an open
refusal based on an assertion that no valid obligation exists; (listen to court)
d) In pre-trial procedure, make frivolous discovery or fail to make reasonably diligent effort
to comply with a legally proper discovery request by an opposing party; (FRCP 11)
e) In trial, allude to any matter that the lawyer does not reasonably believe is relevant or
that will not be supported by admissible evidence, assert personal knowledge of facts in
issue except when testifying as a witness, or state a personal opinion as to the justness of
the cause, the credibility of a witness, the culpability of a civil litigant or the guilt or
innocence of an accused; (don’t bring up evidence or information that has been banned
from tribunal proceedings)
f) Request a person other than the client to refrain from voluntarily giving relevant
information to another party UNLESS:
1) The person is a relative or an employee or other agent of a client; and
2) The lawyer reasonably believes that the person interests will NOT be adversely
affected by refraining from giving such information.
Plain English 3.4
Fairness to opposing party and Counsel
A lawyer cannot;
(a) Illegally interfere with another party’s access to evidence, or illegally change, destroy or hide, any
document or material that could be considered to be evidence. The lawyer must not assist or condone a
third party doing such things either.
(b) Lie about evidence, direct or help a witness to lie in testimony, or offer a witness an illegal bribe.
(c) Purposely disobey a court rule, except for an open refusal based on a claim that no valid duty exists.
(d) In pre-trial procedure, make a frivolous discovery request, or fail to reasonably comply with a valid
discovery request.
(e) In trial, assert any matter that the lawyer does not reasonably believe to be relevant or that will not be
supported by admissible evidence; claim to have personal knowledge of a fact, except when testifying, or
give a personal opinion about a person’s guilt, innocence, culpability, credibility or the justness of the
case. Or (Don’t give your opinion the jury will take your opinion on the matter too highly. It will be too
persuasive)
(f) Ask a person other than the client to avoid from voluntarily giving relevant information to another
party unless:
(1) The person is a relative, employee or agent of a client
(2) The Lawyer reasonably believes that the person will not be negatively affected by not giving
the information
3.5 Impartiality and Decorum of the Tribunal
A lawyer shall not:
a) Seek to influence a judge, juror, prospective juror or other official by means prohibited by
law;
b) Communicate ex parte with such a person during the proceeding unless authorize to do so
by law or court order;
c) Communication with a juror or prospective juror after discharge of the jury if;
1) The communication is prohibited by law or court order
2) The juror has made known to the lawyer a desire not to communicate; or
3) The communication involves misrepresentation, coercion, duress, or harassment; or
d) Engage in conduct intended to disrupt a tribunal.
Plain English 3.5 Impartiality and Decorum to the Tribunal:
A lawyer cannot:
(a) attempt to influence a judge, juror, or prospective juror by illegal means;
(b) communicate with such a person outside of opposing counsel's presence
(c) engage in conduct intended to disrupt the court
3.6 Trial Publicity (see 3.8 if it is a criminal trial)

a) a lawyer who is participating or has participated in the investigation or litigation of a matter
shall not make an extrajudicial statement that the lawyer knows or should know will be
disseminated by means of public communication and will have a substantial likelihood of
materially prejudicing an adjudicative proceeding in the matter.
b) Notwithstanding (a), a lawyer may state:
1) the claim, offense or defense involved and, except when prohibited by law, the identity of the
persons involved
2) information contained in a public record
3) that an investigation of the matter is in progress
4) the scheduling or result of nay step in the litigation
5) request for assistance in obtaining evidence and information necessary thereto
6) warning of danger concerning the behavior of a person involved, when there is reason to
believe that there exists the likelihood of substantial harm to an individual or to the public
interest; and
7) in a criminal case, in addition to 1-6 a lawyer may disclose:
i) the identity, residence, occupation, and family status of the accuse
ii) if the accused has not been apprehended, information necessary to aid in the
apprehension of that person
iii) the fact, time and place of arrest
iv) the identity of investigation and arresting officers or agencies and the length of the
investigation.
c) Notwithstanding a, a lawyer may make a statement that a reasonable lawyer would believe is
required to protect client from the substantial undue prejudicial effect of recent publicity not
initiated by the lawyer or the lawyers client. A statement made pursuant to this paragraph shall be
limited to such information as is necessary to mitigate the recent adverse publicity.
d) No lawyer associated in a firm or government agency with a lawyer subject to a shall make a
statement prohibited by part a.
Comments 3.5 Impartiality and Decorum of the Tribunal:
A lawyer must not try to illegally influence a judge, a juror or prospective juror or other official.
Additionally, a lawyer can’t have communication (outside the presence of opposing counsel with
the above persons unless allowed by law or court order.
Plain English 3.6 Trial Publicity:
(a) A lawyer, who is investigating or litigating a matter cannot make public statements to the
media if the lawyer knows or should have known that his/her statements will materially influence
the court proceeding.
(b) Regardless of paragraph (a), a lawyer may state to media;
(1) The claim, offense or defense involved. Also, the identity of the persons involved unless
prohibited by law;
(2) Information contained in a public record;
(3) That an investigation of a matter is in progress;
(4) The scheduling or result of any step in litigation;
(5) A request for assistance obtaining evidence and information necessary thereto;
A lawyer may make statements to the media if he/she reasonably believes it necessary to protect
the client from recent harmful publicity that may harm his client, as long as the publicity was not
started be either him or his client. The protective statement must be limited to what is necessary
to mitigate the recent adverse publicity.
A lawyer cannot have another lawyer in the firm or government agency make a statement to the
press that the lawyer would not be allowed to make.
Comments 3.6 Trial Publicity
A lawyer is prohibited from making statements about the lawsuit if he knows (or could know)
that it’s his statements are likely to impact the lawsuit. This includes other lawyers in the firm
where he/she works.
However, he may make statements, if he believes it necessary, to protect his client from recent
publicity that may harm his client, as long as this injuring publicity was not starter be either him
or his client. The protective statement must be limited to what is necessary to mitigate the recent
adverse publicity.
3.7 Lawyer as Witness

a) A lawyer shall not act as advocate at trial in which the lawyer is likely to be necessary witness
Unless:
1) the testimony relates to an uncontested issue;
2) the testimony relates to the nature and value of legal services rendered in the case; or
3) disqualification of the lawyer would work substantial hardship on the client;
b) A lawyer may act as advocate in a trial in which another lawyer in the lawyers firm is likely to
be called as a witness unless precluded from doing so by rule 1.7 or 1.9.
Because this may confuse the jury and cause the lawyer to waver as far as his independence goes
(bias).
Plain English 3.7 A lawyer as a witness:
(a)A lawyer should not appear in court for a client in any case where he is likely to be a witness
unless:
(1) his testimony is about a matter no one disputes
(2) his testimony is about his fees charged and services rendered
(3) the client will experience grave hardship if the lawyer is not allowed to represent
him
(b)A lawyer in the same firm as a lawyer-witness in the case may represent a client in trial,
unless the firm/lawyer has a conflict of interest under Rules 1.7 or 1.9
3.8 Special Responsibilities of a Prosecutor*

The prosecutor in a criminal case shall:
a) refrain from prosecuting a charge that the prosecutor knows is not supported by probable
cause;
b) make a reasonable effort/s to assure that the accused has been advised of the right to, and
the procedure of obtaining counsel and has been given reasonable opportunity to obtain
counsel;
c) not seek to obtain from an unrepresented accused a waiver of important pre-trial rights,
such as the right to a preliminary hearing;
d) make timely disclosure to the defense of all evidence or information known to the
prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in
connection with sentencing disclose to the defense and to the tribunal all unprivileged
mitigating information known to the prosecutor, except when the prosecutor is relieved of
this responsibility by a protective order of the tribunal; and (watch out for candor rule
3.3)
e) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence
about a past or present client unless the prosecutor reasonably believes:
c.i) the information sought is not protected from disclosure by an applicable privilege;
and
c.ii) the evidence sought is essential to the successful completion of an ongoing
investigation or prosecution; and
c.iii) there is no other feasible alternative to obtain the information;
f) except for statement that are necessary to inform the public of the nature and extent of the
prosecutors action and that serve a legitimate law enforcement purpose, refrain from
making extrajudicial comments that have a substantial likelihood of heightening public
condemnation of the accused and exercise reasonable care to prevent investigators, law
enforcement personal, employees or other persons assisting or associated with the
prosecutor in a criminal case from making an extrajudicial statement that the prosecutor
would be prohibited from making under 3.6 (Trial publicity) or this rule.
Plain English 3.8 The Prosecutor Rule
The prosecutor in a criminal case must:
a. stop prosecuting a charge when he/she knows it lacks probable cause;
b. with reasonable effort, make sure that the accused is advised of their rights in obtaining
counsel and be given time to obtain counsel
c. try to obtain a waiver of important rights (like the right to a preliminary hearing) from a
defendant who does not have a lawyer.
d. disclose all evidence or information (known to the prosecutor) to the defense, privileged or
not, that goes to the guilt or innocence of the defendant. The prosecutor is excused of this
requirement only by court order.
e. not subpoena a lawyer to present evidence about a past or present client ` in a grand jury or
criminal proceeding unless the prosecutor reasonably believes:
1) the information is not privileged;
2) the evidence is essential to the success of an ongoing investigation or prosecution;
3) there is no other reasonable alternative to get the information;
f. make sure employees working under or with the prosecutor do not make public statements
that would prejudice the accused in a criminal case, or any extrajudicial statement that the
prosecutor would be prohibited from making under rule 3.6;
g. when a prosecutor gets new, reliable evidence that may show a convicted defendant did not
commit the crime which he/she was convicted of, the prosecutor shall:
1) disclose the evidence promptly to the proper authority, and
2) if the conviction was obtained in the prosecutor's jurisdiction,
i) disclose the evidence to the defendant promptly unless a court authorizes a delay, and
ii) undertake a further investigation to determine if the defendant was convicted of a crime
that he/she did not commit
g. seek to remedy the conviction of a defendant in the prosecutor's jurisdiction, when the
prosecutor knows of clear and convincing evidence that he/she did not commit the crime.
3.9 Advocate in Non-adjudicative Proceedings
A lawyer representing a client before a legislative body or administrative agency in a non-
adjudicative proceeding shall disclose that the appearance is in a representative capacity and
shall conform to the provisions of 3.3a through c, 3.4 a through, and 3.5.
Plain English 3.9 advocate in a non-judicial proceeding
While representing a client in a non-adjudicative proceeding, must inform the body or agency
that he/she is appearing in a representative capacity and should never act contrary to the rules of
professional conduct governing litigation matters.
4.1 Truthfulness in Statements to others
In the course of representing a client a lawyer shall not knowingly:
a) Make a false statement of material fact or law or law to a 3rd person; or
b) fail to disclose a material fact when disclosure us necessary to avoid assisting a criminal or
fraudulent act by a client, unless disclosure is prohibited by 1.6.
Plain English 4.1: Truthfulness in Statements to Others
While representing a client, a lawyer shall not knowingly:
(a) Misrepresent fact or law to another party; or
(b) Fail to disclose a material fact when disclosure would be necessary to avoid assisting a
criminal or fraudulent act by a client. (except if disclosure is prohibited under 1.6)
4.2 Communication With Person Represented by Counsel

In representing a client, a lawyer shall not communicate about the subject of the representation
with a person the lawyer knows to be represented by another lawyer in the matter, unless the
lawyer has consent of the other lawyer or is authorized to do so by a court order…Once the other
side has an attorney you cannot talk to them about the subject of the litigation.
Plain English 4.2: Communication with Person Represented By Counsel
In representing a client, a lawyer must not discuss his client’s case with the opposing party, unless
that lawyer obtains consent from opposing counsel, from the law or from court order.
4.3 Dealing With Unrepresented Person
In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall
not state or imply that the lawyer is disinterested.
When the lawyer knows or reasonably should know that the unrepresented person
misunderstands the lawyer’s role in the matter, the lawyer shall make reasonable efforts to
correct the misunderstanding.
The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure
counsel, if the lawyer knows or reasonably should know that the interest of such a person are or
have a reasonable possibility of being in conflict with the interests of the client.
Plain English 4.3: Dealing with Unrepresented Person
During the course of representing a client, if the lawyer is dealing with a third person who does
not have a lawyer and the lawyer believes that the third person is confused as to the lawyer’s
role, the lawyer must clearly explain to the third person that he/she represents another client and
not the third party. The lawyer must not give any legal advice to the third person other than to
advise them to get legal representation.
4.4 Respect for Rights of Third Persons

a) A lawyer cannot use means that have no other purpose than to embarrass, delay, or burden a
3p, or use methods of obtaining evidence that violated the legal rights of such a person.
b) A lawyer who received a document relating to the representation of the lawyer’s client and
knows or reasonably should know that the document was inadvertently sent shall promptly notify
the sender.
Plain English 4.4: Respect for the Rights of Third Persons
a. When representing a client, a lawyer cannot embarrass, delay or unduly burden a third
person OR try to obtain evidence in a way that would violate the legal rights of a third
person.
b. If a lawyer reasonably knows he/she mistakenly received a document, email or other
electronic correspondence related to a client’s matter, the lawyer shall promptly notify the
person who sent the document so that person can take protective measures.
8.4 Misconduct
(c.iii.1.a) violate or attempt to violate the rules of PR, knowingly assist or
induce another to do so, or do so through the acts of another.
(c.iii.1.b) Commit a criminal act that reflects adversely on the lawyers
honesty trustworthiness or fitness as a lawyer in other respects;
(c.iii.1.c) Engage in conduct involving dishonesty, fraud, deceit or
misrepresentation;
(c.iii.1.d) Engage in conduct that is prejudicial to the administration of
justice;
(c.iii.1.e) State or imply an ability to influence improperly a government
agency official or to achieve results by means that violate the rules of PR or
other law; or
(c.iii.1.f) Knowingly assist a judge or judicial officer in conduct that is a
violation of applicable rules of judicial conduct or other law.
Week 10 Duties to Litigation
1.2 Scope of Representation and Allocation of Authority Between Lawyer and Client
(a) Subject to c and d, a lawyer shall abide by a clients decisions concerning the objectives of
representation , and as required by 1.4 (communication), shall consult with the client as
to the means by which they are to be pursued. A lawyer may take such action on behalf of
the client as impliedly authorized to carry out the representation. A lawyer shall abide by
a clients decision whether to settle a matter. In a criminal case, the lawyer shall abide by
the clients decision, after consultation with the lawyer, as to a plea to be entered, whether
to waive a jury trial and whether the client will testify.
(b) A lawyer’s representation of a client, including representation by appointment, does not
constitute an endorsement of the clients political, economic, social or moral views or
activities.
(c) A lawyer may limit the scope of the representation if the limitation is reasonable under
the circumstances and the client gives informed consent. You can partially represent a
client.
(d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer
knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any
proposed course of conduct with a client and may counsel or assist a client to make a
good faith effort to determine the validity, scope, meaning or application of law.
Plain English (1.2) Scope of Representation
a) While following paragraphs, (c) & (d), a lawyer must follow his client’s decisions about
the goals of his representation and must discuss with the client how the goals will be
achieved. A lawyer must follow his client’s decision to accept or decline a settlement
offer in a civil case. In a criminal case, after the client has talked to his lawyer, the
lawyer must follow his client’s decisions on which plea to enter, whether to waive a jury
trial, and whether or not the client will testify.
b) Just because a lawyer represents a client, even by appointment, does not mean that the
lawyer supports the client’s political, economic, social or moral ideas or goals.
c) If a client agrees after talking to his lawyer, the lawyer can limit the services involved in
the representation.
d) A lawyer must not give advice to or help a client to commit crime or fraud. A lawyer can
explain the potential legal outcome of acts of crime or fraud, and may help a client
innocently understand the relevance and range of a law.
Prosecutorial Misconduct 3.1-3.9. 4.1-4.4

Week 11 Conflict of Interests
A conflict of interest can arise in many different ways:
1) between a client and a lawyer
2) between two current clients
3) between current client and a former client
4) someone who worked for the government but is now in private practice
5) some ones law firm can be disqualified which is called imputed disqualification
The general rule of conflict of interest: 1.7 Conflict of Interest: Current Clients
(a) Except as provided in paragraph (b), a lawyer shall not represent a client if the
representation involves a concurrent conflict of interest. A concurrent conflict of interest
exists if:
1) the representation of one client will be directly adverse to another client; or
2) there is a significant risk that the representation of one or more clients will be
materially limited by the lawyers responsibilities to another client, a former client or a
third person or by a personal interest of the lawyer.
(b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a), a
lawyer may represent a client if:
c.iii.1.f.i.1. the lawyer reasonably believes that the lawyer will be able
to provide competent and diligent representation to each affected
client;
c.iii.1.f.i.2. the representation is not prohibited by law;
c.iii.1.f.i.3. the representation does not involve the assertion of a claim
by one client against another client represented by the lawyer in the
same litigation or other proceeding before a tribunal; and
c.iii.1.f.i.4. each affected client gives informed consent, confirmed in
writing.
Plain English (1.7) Conflict of Interest: Current Clients

(a) A lawyer cannot represent a client when there is a current conflict of interest.
A conflict exists when:
1) Representation of one client would be harmful to the representation of another client
Ex. A lawyer cannot advocate a matter against a person whom they represent in another matter.
OR
2) There is significant risk that a lawyer representing a client will not be able to
adequately represent another client due to his/her responsibilities to the other clients. A conflict
also exists if the lawyer cannot adequately represent a client because of the lawyer's own
interests.
Ex. A lawyer representing multiple clients to form a joint venture will not be able to adequately
represent each client because he/she will not be able to advocate each position of his/her clients.
If the lawyer was a member of the joint venture he/she would be limited also by their own
interests.
The Exceptions:
(b) A lawyer may represent a client despite a conflict of interest only when:
1) The lawyer reasonably believes that he/she is capable of providing loyal representation
to his/her client;
2) The representation is not illegal;
3) The representation does not involve the lawyer representing clients for both sides of
the litigation (or any other proceeding before the court); AND
4) Each client gives informed consent in writing.
1.8 Conflict of Interest; Current Clients: Specific Rules

a. A lawyer shall not enter into a business transaction with a client or knowingly acquire an
ownership, possessory, security, or other pecuniary interest adverse to a client unless:
reasonable to the client and are fully disclosed and transmitted in writing in a manner
that can be reasonably understood by the client.
2. The client is advised in writing of the desirability of seeking and is given a reasonable
opportunity to seek the advice of independent legal counsel on the transaction; and
3. The client gives informed consent, in a writing signed by the client, to the essential
terms of the transaction and the lawyer’s role in the transaction, including whether the
lawyer is representing the client in the transaction.
b. A lawyer shall not use information relating to representation of a client to the disadvantage of
the client unless the client gives informed consent, except as permitted or required by these rules.
c. A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or
prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer
any substantial gift unless the lawyer or other recipient of the gift is related to the client. For
purposes of this paragraph, related persons include a spouse, child, grandchild, parent,
grandparent, or other relative or individual with whom the lawyer or client maintains a close
familiar relationship.
d. Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate an
agreement giving the lawyer literary or media rights to a portrayal or account based on
substantial part of information relating to the representation. (no arrangements during trial)
e. A lawyer shall not provide financial assistance to a client in connection with pending or
contemplated litigation, except that:
1. A lawyer may advance court costs and expenses of litigation, the repayment of which
may be contingent on the outcome of the matter; and
2. A lawyer representing an indigent client may pay court costs and expenses on behalf of
that client.
f. A lawyer shall not accept compensation for representing a client from one other than the client,
unless:
1. The client gives informed consent
2. There is no interference w/ the lawyers independence of professional judgment or with
the client-lawyer relationship; and
3. Information relating to representation of the client is protected by 1.6.
g. A lawyer who represents two or more clients shall not participate in making aggregate
settlement of the claims of or against the clients, or in a criminal case aggregate agreement as to
guilty or nolo contendere pleas, unless each client gives the lawyer informed consent, in a
writing signed by the client. The lawyer’s disclosure of information shall include the existence
and nature of all claims or pleas involved and of the participation of each person in the
settlement.
h. a lawyer shall not:
1.make an agreement prospectively limiting the lawyer’s liability to a client for
malpractice unless the client is independently represented in making the agreement; or
2.settle a claim or potential claim for such liability with an unrepresented client of former
client unless that person is advised in writing of the desirability of seeking and is given a
reasonable opportunity to seek the advice of independent legal counsel in connection
therewith
i. A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of
litigation the lawyer is conducting for a client, except the lawyer may:
1.acquire a lien authorized by law to secure the lawyer’s fee or expenses; and
2.contract with a client for a reasonable contingent fee in a civil case.
j. A lawyer shall not have sexual relations with a client unless a consensual relationship existed
between them when the client-lawyer relationship commenced. (Doing em’ then, you can do em’
now!)
k. While lawyers are associated in a firm, a prohibition in the foregoing paragraphs that applies
to any one of them shall apply to all of them.
Plain English (1.8) Conflict of Interest: Current Client.
(e) Transactions. The general rule is that an attorney cannot enter into a business transaction
with a client or knowingly acquire an ownership, possessory, security or other pecuniary
interest adverse to a client.
The exception to this rule is:
transaction;
(f) Using Client Information. Lawyers cannot use information about a client’s case to the
client’s disadvantage unless the client consents after consultation.
(g) Gift Documents. Lawyers are not allowed to create documents that convey substantial
gifts from the client to the lawyer. Likewise, lawyers cannot prepare documents
conveying substantial gifts from the client to close relatives of the lawyer such as parents,
children siblings, or spouses.
The exception to this rule is if the client is related to the donee, then the lawyer may
create documents to this effect.
(h) Media. Lawyers are not allowed to use the client’s case to get a contract for literary or
media rights before the conclusion of the representation.
(i) Giving Money to Clients. The general rule is that lawyers cannot provide financial
assistance to a client in connection with or during the course of litigation.
There are two exceptions to this rule.
(3) Lawyers may pay court costs and other expenses of litigation on behalf of the
client in advance and then make the repayment contingent on the outcome of the case.
(4) Lawyers representing indigent clients may pay court costs and litigation expenses
on behalf of the client.
(j) Accepting Money From Clients. The general rule is that lawyers cannot accept
compensation for representation from anyone other than the client.
There are three exceptions to this rule.
(1) Compensation is allowed when the client consents to it after consultation.
(2) Compensation is allowed when there is no interference with the lawyer’s
independence of professional judgment or the client-lawyer relationship.
(3) Information relating to representation of a client is protected as required by Rule
1.6
(k) Aggregation. When a lawyer represents two or more clients, the lawyer cannot aggregate
settlement of the claims for or against the clients, or in a criminal case, aggregate
agreements to guilty or nolo contendere pleas unless the clients agree after consultation.
Consent must include informing the clients about the existence and nature of all the
claims or pleas and how each person participated in the settlement.
(l) Limiting Liability. Lawyers are not allowed to make agreements that limit their liability
to their clients in advance of representation. The only way a lawyer can do this is if there
is a law permitting it and the client is advised to make the agreement through independent
counsel.
Lawyers are not allowed to settle a claim of limited liability with an unrepresented client
or former client without first advising that person, in writing, that they need to seek
independent counsel on the settlement.
(m)Property Interests. Lawyers are not allowed to acquire a proprietary interest in the cause
of action or subject matter of litigation that the lawyer is conducting for a client. But
lawyers may (1) acquire a lien granted by law to secure their fees or expenses and (2)
contract with clients for a reasonable contingent fee in a civil case.
(n) Sexual Relations With Clients. A lawyer cannot have sexual relations with a client,
unless a physical relationship existed at the time the lawyer-client relationship began.
(o) Imputation. Any conflict a lawyer has under paragraphs a-I is imputed to all the
attorneys in the firm.
Week 12 Conflicts Based on A Lawyers Personal Interest

Conflict of interests continue: 1.7 general rule and 1.8 conflict of interest current clients:
1.9 Duties to Former Clients
(a) A lawyer who has formally represented a client in a matter shall not thereafter represent
another person in the same or substantially related matter in which that persons interests are
materially adverse to the interest of the former client unless the former client gives informed
consent, confirmed in writing.
(b) A lawyer shall not knowingly represent a person in the same or substantially related matter in
which a firm with which the lawyer formerly was associated had previously represented client.
1) whose interests are materially adverse to that person; and
2) About whom the lawyer had acquired information by rules 1.6 and 1.9(c) that is material to
the matter; unless the former client gives informed consent confirmed in writing .
(c) A lawyer who has formerly represented a client in a matter shall not thereafter:
1) Use information relating to the representation to the disadvantage of the former client except
as these rules would permit or require with respect to a client, or when the information has
become generally known; or
2) Reveal information relating to the representation except as these rules would permit or require
with respect to a client.
Keeping mind it can be the lawyer’s former client or the lawyer’s firm former client.
client would be adverse to the former firm's client, the new firm cannot representt the new firm's
client. It is presumed thelawyer learned confidential information from his/her prior
1.10 Imputation of Conflicts of Interest: General Rule

(a) while lawyers are associated in a firm none of them shall knowingly represent a client when
any one of them practicing alone would be prohibited from doing so by rules 1.7(general conflict
of interest rule), or 1.9 (duties to former client), unless the prohibition is based on personal
interest of the prohibited lawyer and does not present a significant risk materially limiting the
representation of the client by the remaining lawyers in the firm.
(b) when a lawyer has terminated an association with a firm , the firm is not prohibited from
thereafter representing a person with interests materially adverse to those of a client represented
by the formerly associated lawyer and not currently represented by the firm unless:
1) the matter is the same or substantially related to that in which the formerly associated lawyer
represented the client; and
2) any lawyer remaining in the firm has information protected by rules 1.6 and 1.9 (c) that is
material to the matter.
(c) A disqualification prescribed by this rule may be waived by the affected client under the
conditions stated in 1.7 (general rule of conflict of interest)
(d) The disqualification of lawyers associated in a firm with former or current government
lawyers is governed by rule 1.11(special conflicts of interests for former and current government
officers and employees)
Plain English 1.10 Imputed Disqualification: General Rule***
(A) No Lawyers working for a single Firm may knowingly represent a client that poses a conflict
of interest to any other lawyer working for the same firm under rules 1.7 or 1.9.
(B) When a Lawyer leaves a Firm, that firm is no longer prevented from representing clients
formerly represented by the departed lawyer, and who are not current clients of the firm, unless:
• The issue is the same or directly related to the matter the previous lawyer
represented the client in; and
• A current lawyer in the firm has information directly material to that issue, but
is prevented from disclosing because he is bound by confidentiality.
(C) A conflict of interest under this rule may be waived by the affected client if
-the lawyer reasonably believes he/she can represent the client well and loyally
-the representation is not prohibited by law
-the representation does not involve two adverse claimants in the same litigation
- each client gives informed consent in writing
1.11 Special Conflicts of Interest for Former and Current Government Officers and
Employees
(a) Except as law may otherwise expressly permit, lawyer who has formerly served as a public
officer or employee of the government:
1) Is subject to rule 1.9(c); and
2) shall not otherwise represent a client in a connection with a matter in which the lawyer
participated personally and substantially as a public officer or employee, UNLESS the
appropriate government agency gives informed consent, confirmed in writing to the
representation.
(b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a firm
with which that lawyer is associated may knowingly undertake or continue representation in such
a matter UNLESS:
1) The disqualified lawyer is timely screened from any participation in the matter and is
apportioned no part of the fee therefrom; and
2) Written notice is promptly given to the appropriate government agency to enable it to
ascertain compliance with the provisions of this rule.
(c) Definition of confidential information: except as law may otherwise expressly permit, a
lawyer having information that the lawyer knows is confidential government information about a
person acquired when the lawyer was a public officer or employee, may not represent a private
client whose interests are adverse to that person in a matter in which the information could be
used to the material disadvantage of that person.
As used by this rule, the term confidential government information, means information that has
been obtained under governmental authority and which at the time this rule applied, the
government is being prohibited by law from disclosing to the public or has a legal privilege not
to disclose and which is not otherwise available to the public.
A firm with which a lawyer is associated may undertake or continue representation in the matter
only if the disqualified lawyer is timely screened form any participation in the matter and
apportioned no part of the fee therefrom.
(d) except as law may otherwise expressly permit, a lawyer currently serving as a public officer
or employee;
1) is subject to the rules 1.7 and 1.9
2) shall not:
i) participate in a matter in which the lawyer participated personally and substantially
while in private practice or non-governmental employment UNLESS the appropriate government
agency gives its informed consent, confirmed in writing; or
ii) Negotiate for private employment with any person who is involved as a party of as a
lawyer for a party in a matter in which the lawyer is participating personally and substantially,
except that a lawyer serving as a law clerk to a judge or otherwise adjudicative officer or
arbitrator may negotiate for private employment as permitted by 1.12(b) and subject to the
conditions stated in 1.12(b).
(e) As used in this rule, the term “matter” included:
1) any judicial or other proceeding, application, request for a ruling or other determination,
contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter
involving a specific party or parties, and
2) any other matter covered by the conflict of interest rules of the appropriate governmental
agency.
Plain English 1.11
(a) if the law does not expressly permit, a lawyer who is a former public officer or employee of
the government:
(1) if subject to Rule 1.9c; and
(2) may not represent a client in a matter in which the lawyer participated personally and
substantially as a public officer or employee. That lawyer may represent such client if the
appropriate government agency gives its informed consent in writing to the representation
(b) when a lawyer is disqualified under paragraph (a), no other lawyer in the lawyer’s firm may
represent the client unless:
(1) the disqualified lawyer is timely screened from participating in the matter and is
apportioned no part of the fee; and
(2) written notice is promptly given to the appropriate government agency to make sure
everyone has complied with the provisions of this rule.
(c) If a lawyer has information about a person which was acquired when the lawyer was a public
officer or employee, it is confidential government information. Unless the law expressly permits,
the lawyer may not represent a private client with adverse interests to the person involved in the
former governmental matter where the information could be used to the material disadvantage of
that person.
The term “confidential government information” means information that has been obtained
under governmental authority. Also, confidential government information means that when this
rule applied, the government is prohibited by law from disclosing to the public or has a legal
privilege not to disclose and which is not otherwise available to public.
A firm with which that lawyer is associated may support or continue representation in the matter
only if the disqualified lawyer is timely screened from any participation in the matter and is
apportioned no part of the fee.
(d) Unless there is an exception in another law or rule, a lawyer currently working as a public
officer or employee:
(1) is subject to Rules 1.7 and 1.9; and
(2) they can not:
(i) take part in a matter that the lawyer worked on personally and substantially while in
private practice or nongovernmental employment, unless the appropriate
government agency gives the lawyer their informed consent that is in writing; or
(ii) negotiate for private employment with anyone that is a party or a lawyer for a party involved in a
matter that the lawyer is currently involved in personally and substantially; The
exception to this is when the lawyer working for the government is serving as a
law clerk for a judge, or as an arbitrator or other adjudicative officer; If the lawyer
is any of the named positions, then they may negotiate for private employment,
but this exception is conditionally based on Rule 1.12(b).
(e) As used in this Rule, the term “matter” includes:
(1) any judicial or other proceeding, application, request for ruling or other
determination, contract, claim, controversy, investigation, charge, accusation, arrest or significant
matter involving a specific party or parties, and
(2) any other matter covered by the conflict of interest rules of the proper government
agency.
Rule 1.11 in another form of Plain English

(a) Unless permitted by law, a lawyer who was a former public officer or employee of the
government:
(1) is subject to Rule 1.9c; and
(2) may not represent a client in a matter in which the lawyer participated personally and
substantially as an officer or employee of a government agency. The lawyer may represent the
client if the government agency gives its informed consent in writing.
(b) when a lawyer is disqualified under paragraph (a), no other lawyer in that lawyer’s firm may
support or continue representing the client in the matter unless:
(1) the disqualified lawyer is timely screened from participating in the matter and is
apportioned no part of the fee; and
(2) written notice is promptly given to the appropriate government agency to ensure
compliance with the provisions of this rule.
(c) If a lawyer has information about a person, acquired while the lawyer was a public officer or
employee of a governmental agency it is confidential information. Unless the law expressly
permits, the lawyer may not represent a private client with adverse interests to that person in a
matter where the information could be used to the material disadvantage of that person. The term
“confidential government information” means information that has been obtained under
governmental authority. Also, confidential government information means that when this rule
applied, the government is prohibited by law from disclosing it to the public or has a legal
privilege not to disclose and which is not otherwise available to public. A firm with which that
lawyer is associated may support or continue representation in the matter only if the disqualified
lawyer is timely screened from any participation in the matter and is apportioned no part of the
fee.
(d) Unless there is an exception in another law or rule, a lawyer currently working as a
public officer or employee:
(1) is subject to Rules 1.7 and 1.9; and
(2) they can not:
(i) take part in a matter in which the lawyer worked personally and substantially while in
private practice or nongovernmental employment, unless the appropriate
government agency gives the lawyer their informed consent that is in
writing; or
(ii) negotiate for private employment with anyone that is a party or a lawyer for a party
involved in a matter that the lawyer is currently involved in personally and
substantially; The exception to this is when the lawyer working for the
government is serving as a law clerk for a judge, or as an arbitrator or
other adjudicative officer; If the lawyer is any of the named positions, then
they may negotiate for private employment, but this exception is
conditionally based on Rule 1.12(b).
(e) As used in this Rule, the term “matter” includes:
(1) any judicial or other proceeding, application, request for ruling or other
determination, contract, claim, controversy, investigation, charge, accusation,
arrest or significant matter involving a specific party or parties, and
(2) any other matter covered by the conflict of interest rules of the proper government
agency.
Comments: Basically, this law is designed to allow a lawyer to move freely between private
practice and governmental employment while observing the ABA Rules based on conflicts of
interest (1.7 & 1.9). This law does not prohibit the shift between the two fields, but it does limit
the lawyer’s options for a “matter” based on how involved the lawyer was with the government
and the private client. It also prohibits a lawyer from using knowledge gained from one
governmental job for the benefit of a new governmental job or a private client. This rule and its
subsections are designed to protect not only the lawyer’s ethics, but the ethics of government
agencies and their pursuit of qualified lawyers.
1.12 Former Judge, Arbitrator, Mediator, or Other Third-Party Neutral

(a) Except as stated in paragraph (d) a lawyer shall not represent anyone in connection with a
matter in which the lawyer participated personally and substantially as a judge or other
adjudicative officer, or law clerk to such a person or as an arbitrator, mediator, 3rd party neutral,
UNLESS all parties to the proceeding give informed consent confirmed in writing.
(b) A lawyer shall not negotiate for employment with any person who is involved as a party or as
a lawyer for a party in a matter in which the lawyer is participating personally and substantially
as a judge or other adjudicative officer or as an arbitrator, mediator, or other 3rd party neutral. A
lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for
employment with a party or lawyer involved in a matter in which the clerk is participating
personally and substantially, but only after the lawyer has notified the judge, or other
adjudicative officer.
(c) Is a lawyer is disqualified by paragraph (a), no lawyer in a firm with which the lawyer is
associated may knowingly undertake or continue representation in the matter UNLESS:
1) The disqualified lawyer is timely screened from any participation in the matter and is
apportioned no part of the fee therefrom; and
2) Written notice is promptly given to the parties and any appropriate tribunal to enable them to
ascertain compliance with the provisions of this rule.
(d) An arbitrator selected as a partisan of a party in a multi-member arbitration panel is not
prohibited from subsequently representing that party.
Plain English 1.12 Former Judge or Arbitrator
(A) A Lawyer, previously serving as a judge, mediator or arbitrator may not represent a person in
a matter they previously presided in unless the client(s) gives informed consent in writing.
(B) A lawyer serving as a judge, arbitrator or mediator may not negotiate employment with
someone involved in a proceeding before them. A lawyer serving as a clerk for a judge may
negotiate an employment contract with a party to a proceeding that the judge is presiding in, only
with notification to the judge.
(C) If a Lawyer has a conflict under subsection (a), all lawyers in the lawyers firm are prohibited
from representing that client, unless:
• The disqualified lawyer is precluded from participating in the matter and
receives no fee; and
• Written notice is immediately delivered to the proper tribunal to verify
compliance
(D) An individual arbitrator serving as a multi-member partisan panelist in a matter is not
prohibited from ultimately representing that client.
1.13 Organization as Client**
(a) A lawyer employed or retained by an organization represents the organization acting through
its duly authorized constituents.
(b) If a lawyer for an organization knows that an officer, employee, or other person associated
with the organization is engaged in action, intends to act or refuses to act in a matter related to
the representation that this is a violation of a legal obligation to the organization, or a violation of
law that reasonably might be imputed to the organization, and that is likely to result in substantial
injury to the organization, then the lawyer shall proceed as is reasonably necessary in the best
interest of the organization.
Unless the lawyer reasonably believes that it is not necessary in the best interest of the
organization to do so, the lawyer shall refer the matter to higher authority of the organization,
including if warranted by the circumstances, to the highest authority that can act on behalf of the
organization as determined applicable by law.
(c) Except as provided in (d), if:
1) despite the lawyers efforts in accordance with (b), the highest authority that can act on behalf
of the organization insists upon or ails to address in a timely and appropriate manner an action,
or refusal to act, that is clearly a violation of law and
2) the lawyer reasonably believes that the violation is reasonably certain to result in substantial
injury to the organization, then the lawyer may reveal information relating to the representation
whether or not rule 1.6 (confidentiality) permits such disclosure, but only if and to the extent the
lawyer reasonably believes is necessary to prevent substantial injury to the organization.
(d) Paragraph (c) shall not apply with respect to information relating to a lawyers representation
of an organization to investigate an alleged violation of law, or to defend the organization or an
officer, employee or other constituent associated with the organization against a claim arising out
of an alleged violation of law.
(e) A lawyer who reasonably believes that he or she has been discharged because of the lawyers
actions taken pursuant to (b) or (c) or who withdraws 1.16 under circumstances that require or
permit a lawyer to take action under wither of those paragraphs, shall proceed as the lawyer
reasonably believes necessary to assure that the organization’s highest authority is informed of
the lawyers discharge or withdrawal.
(f) In dealing with an organization’s directors officers employees members shareholders or other
constituents, a lawyer shall explain the identity of the client when the lawyer knows or
reasonably should know that the organizations interest are adverse to those of the constituents
with whom the lawyer is dealing with on behalf of the organization.
(g) A lawyer representing an organization may also represent any of its directors, officers,
employees, members, shareholders or other constituents, subject to 1.7. If the organization’s
consent to dual representation is required by 1.7, the consent shall be given by an appropriate
official of the organization other than the individual who is to be represented by the lawyer, or by
the shareholders.
Plain English 1.13 Organization as a Client
a) When the attorney is representing a business organization, his duty is to the entity itself, not to
any of its officers or workers
b) When the attorney learns of illegal or injurious conduct to the organization, the attorney
should not immediately disrupt the organization, UNLESS the violation or illegal conduct is
likely to result in significant injury to the organization. The lawyer can refer the matter to higher
authority, and to the highest authority in the organization if necessary, to remedy the situation.
Caveat; c1) If the highest authority in the organization
a) Insist upon an action that is a clear violation of the law OR
b) Fails to address in a timely and appropriate manner an action that is a clear
Violation of law OR
c) Refuses to act AND
c2) the lawyer believes the violation is likely to cause a substantial injury to the
organization then the lawyer may disclose information, whether or not permitted by Rule 1.6, to
prevent substantial injury to the corporation.
d) Exception to Paragraph (c):

Paragraph (c) will not apply to information involving investigation of an alleged violation
of law that is relating to the lawyer’s representation of an organization, OR
To defend the organization or an officer, employee or other members associated with the
organization against a claim arising out of an alleged violation of law
e) A lawyer can proceed as they believe necessary to assure that the organization highest
authority is notified of the lawyer’s discharge or withdrawal if he/she has been discharged
because of the lawyer’s actions taken pursuant paragraphs (b) or (c), OR who withdraws under
circumstances that require or allow the lawyer to take action under either paragraphs.
f) The lawyer should explain the he/she represents the corporation when dealing with a corporate
constituent, whose interests conflict with the corporations.
g) A lawyer may represent constituents of the entity if there is no conflict OR if there is informed
consent (where required). The consent shall be given by an appropriate official of an
organization other than the person who is being represented, or by the shareholders.
Note” Constituents may be officers, directors, employees or shareholders of a corporation
Week 13 Duty to Supervise

1.17 Sale of a Law Practice
A lawyer or law firm may sell or purchase a law practice or an area of practice, including good
will, if the following conditions are satisfied:
a) The seller ceases to engage in the private practice of law, or in the area of practice that has
been sold, in which the practice has been conducted;
b) The entire practice, or the entire area of practice, is sold to one or more lawyers of the law
firm:
c) The seller gives written notice to each of the sellers clients regarding;
i) the proposed sale;
ii) the clients right to retain other counsel or to take possession of the file; and
iii) the fact that the client does not take any action or does not otherwise object within 90
days of receipt of the notice.
If a client cannot be given notice, the representation of that client may be transferred to the
purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller
may disclose to the court in camera information relating to the representation only to the extent
necessary to obtain an order authorizing the transfer of the file.
d) The fees charged clients shall not be increased by reason of the sale. If you always charged
125/hr that’s fine if you are only charging 125/hr to make back the money used for the purchased
not fine.
Plain English 1.17: The Sale of a Law Practice
In order for a lawyer to sell his practice or part of his practice, including the good will
associated with it, the following restrictions must be followed:
The seller must stop practicing privately in the geographic or the jurisdictional area
where the practice was located. (The jurisdiction is free to apply either restriction)
The entire business must be sold. The buyers can be a group of lawyers or firms, or a
single lawyer or firm.
The selling lawyer must notify all of his clients that (a) there is a proposed sale, (b) the
client can seek legal services somewhere else or come and get the file, and (c) if the client
does not indicate objection to the sale within 90 days, their consent to the sale will be
assumed.
If it is not possible to notify the client, the lawyer buying the firm may seek a court order
transferring the representation of the client from the selling lawyer to the purchasing
lawyer. If this happens, the seller may give to the court, confidentially, only the
information necessary to obtain the order. When the practice is sold,
The sale cannot cause an increase in the client’s fees.
2.1 Advisor
In representing a client, a lawyer shall exercise independent professional judgment and render
candid advice.
In rendering advice, a lawyer may refer not only to law but to other considerations such as moral,
economic, social and political factors that may be relevant to the client’s situation.
Plain English 2.1 Advisor
When representing a client, a lawyer should give skillful and honest advice. A lawyer should also
consider any other relevant factors such as; social, moral, economical factors, etc.
2.3 Intermediary
a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone other
than the client if the lawyer reasonably believes that making the evaluation is compatible with
other aspects of the lawyer’s relationship with the client;
b) When the lawyer knows or reasonable should know that the evaluation is likely to affect the
clients interest materially and adversely, the lawyer shall not provide the evaluation unless the
client gives informed consent.
c) Except as disclosure is authorized in connection with report of an evaluation, information
relating to the evaluation is otherwise protected by rule 1.6(confidentiality).
Note: An attorney may be liable to a 3rd party for something they prepared that someone else
relied on if it was foreseeable, reasonably foreseeable by the attorney.
Plain English 2.3 Evaluation for Use by Third Party
When a client hires a lawyer to make an evaluation for a third party, the lawyer may disclose
privileged information about the client if the client authorizes and as long as it would not violate
a rule of professional conduct.. If the information substantially affects the client in a negative
way the lawyer can only disclose the information if the client consents after a full explanation of
the risks.
5.1 Responsibility of Partners, Managers, and Supervisors Lawyers

a) A partner in a law firm, and a lawyer who individually or together with other lawyers
possesses comparable managerial authority, shall make reasonable efforts to ensure that the firm
has in effect measures giving reasonable assurances that all lawyers in the firm conform to the
rules of professional conduct.
b) A lawyer having direct supervisory authority over another lawyer shall make reasonable
efforts to ensure that the other lawyer conforms to the rules of professional conduct.
c) a lawyer shall be responsible for another lawyer’s violation of the rules if:
1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct; or
2) the lawyer is partner or has comparable managerial authority in the law firm in which the
other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of
the conduct at the time when its consequences can be avoided or mitigated but fails to take
reasonable remedial action.
This rule makes the superiors liable for violations by an associate if they order the conduct, don’t
take reasonable steps to prevent or remedy the conduct.
Plain English 5.1 Duties of Supervision:
General rules for lawyers who oversee other lawyers or employees.
(a) when lawyers are partners in law firms or have some form of managerial authority in the law
firm they have a duty to make reasonable efforts to give reasonable assurance that all the lawyers
in the firm conform to the Rules of Professional Conduct.
(b) when a lawyer has direct supervisory authority over another lawyer he has a duty to make
sure that lawyer is conforming with the RPC.
*when supervising L should have measures in place to ensure compliance w/ the rules.
(c) A supervising lawyer is responsible for the supervised lawyer’s violation of the RPC if:
1. supervising lawyer orders, or w/ knowledge of specific conduct ratifies the
actions of another lawyer.
2. the supervising lawyer knows of the conduct at a time when taking action
could avoid/mitigate the consequences of the action, but the supervising
lawyer fails to take reasonable remedial action.
*if you order anyone to engage in a violation of a rule, or you know of a violation but take no
remedial action you are subject to discipline.
5.2 Responsibilities of a Subordinate Lawyer-the liability of the associate
a) A lawyer is bound by the rules notwithstanding that the lawyer acted at the direction of
another person.
b) A subordinate lawyer does not violate the rules in that lawyer acts in accordance with a
supervisory lawyers reasonable resolution of an arguable question of professional duty.
How about a non-attorneys, like the secretary, receptionist, clerk etc? These people can do legal
work as long as it is not unauthorized practice of law. Which is usually if legal advice is being
given or asked of the client or by the non-lawyer. Facts can be discussed with the client by a non-
lawyer.
5.3 Responsibilities Regarding Non-lawyer Assistants
with respect to non-lawyers employed or retained by or associated with a lawyer:

a) a partner and a lawyer who individually or together with other lawyers possesses comparable
managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in
effect measures giving reasonable assurance that the person’s conduct is compatible with the
professional obligations of lawyers.
b) a lawyer having direct supervisory authority over the non-lawyer shall make reasonable efforts
to ensure that the person’s conduct is compatible with the professional obligations of the lawyer
c) A lawyer shall be responsible for conduct of such person that would be a violation of the rules
if engages in by a lawyer if:
1) the lawyer orders or, with knowledge of the specific conduct , ratifies the conduct; or
2) the lawyer is a partner or has comparable managerial authority in the law firm in which
the other lawyer practices, or has direct supervisory authority over the other lawyer, and
knows of the conduct at a time when its consequences can be avoided or mitigated but
fails to take reasonable remedial action.
5.4 Professional Independence of a Lawyer
(a) A lawyer or law firm shall not share legal fees with a non-lawyer, except that:
1) an agreement by a lawyer with the lawyers firm, partner, or associate may provide for the
payment of money, over reasonable period of time after the lawyer’s death, to the lawyer’s estate
or to one or more specified person’s;
2) a lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer may,
pursuant to the provisions of 1.17(sale of a law practice), pay to the estate or other representative
of that lawyer the agreed upon purchase price;
3) a lawyer or law firm may include non-lawyer employees in a compensation or retirement plan,
even though the plan is based in whole or in part on a profit-sharing arrangement; and
4) a lawyer may share court-awarded legal fees with a non-profit organization that employed,
retained or recommended employment of the lawyer in the matter.
(b) A lawyer shall not form partnerships with a non-lawyer if any of the activities of the
partnership consist of the practice of law.
(c) A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render
legal services for another to direct or regulate the lawyer’s professional judgment in rendering
such legal services.
(d) A lawyer shall not practice with or in the form of a professional corporation or association
authorized to practice law for profit, if:
1) a non-lawyer owns any interest therein except that a fiduciary representative of the estate of a
lawyer may hold the stock or interest of those the lawyer for a reasonable time during
administration.
2) a non-lawyer is a corporate director or officer thereof or occupies the position of similar
responsibility in any form of association other than a corporation; or
3) a non-lawyer has the right to direct or control the professional judgment of the lawyer.
Plain English (5.4) Professional Independence of a lawyer
A lawyer or law firm must not share legal fees with a non lawyer, except for an:
Agreement by a law firm to pay earned fees to the estate of a deceased member of the firm.
Agreement to purchase a deceased or disabled lawyer’s legal practice, pursuant to rule 1.17.
Profit sharing plan with non-lawyer employees, not linked to a specific case:
Agreement to pay court awarded fees to any profit organization that helped in the case.
A lawyer must not form partnership with a non lawyer if the partnership involves the practice of
law
A lawyer must not allow a non lawyer paying the lawyer’s fee to direct or control how the lawyer
handles the client’s matter.
A lawyer many not be part of a professional corporation or association authorized to practice law
for profit, if:
A non lawyer owns an interest in the organization (except for the administrator of a deceased
attorney’s estate)
The non lawyer hold an executive position in the association other than a corporation
A non lawyer can control the lawyer’s professional judgment
5.5 Unauthorized Practice of Law; Multi-jurisdiction Practice of Law*
A layer shall not:

a) practice law in a jurisdiction where doing so violates the regulation of the legal profession in
that jurisdiction; or
b) assist a person who is not a member of the bar in the performance of activity that constitutes
the unauthorized practice of law.
The reason for this rule is to protect the public from unqualified persons practicing law. If you
don’t have a law license you are deemed not qualified to practice law. The issue that comes up is:
What is considered the practice of law?
The Middleton case lists factors such as:
1) Is a record of the proceeding being kept?
2) Do attorneys conduct the hearings?
3) Are the issues being discussed legal of factual?
4) And the # 1 way, is advice being given?
HYPO-go to office max and buy a legal kit. The purchase of there and sale of these by a non-
lawyer is ok as long as a lawyer prepared the kits and the store employees are not giving legal
advice along with the kit. However if the store decided to make their own copies and sell them
this is a violation of 5.5 UPL.
How might you see this tested?
1) suspended or disbarred attorneys practicing.
2) Attorney practicing in a jurisdiction where he is a member of the bar
3) Law students giving advice to relatives and friends
4) Somebody making or interpreting legal documents
5) Making discretionary decisions may be considered giving legal advice.
If a non—lawyer wants a shot at being a lawyer, then they can either go to law school or
represent themselves in court.
An exception to UPL 5.5 when an attorney is practicing in a jurisdiction in which he is not a
member of the bar, pro hac vice, which is a motion by this attorney for a court to allow you to
practice-temporarily. Usually in one law suitthe court looks at things like.
1) conduct of the attorney(are they familiar with the jurisdiction’s rules and law)
2) availability of the attorney for the suit
3) will they be amenable for disciplinary procedures in the state. If they are being sue for
malpractice will the jurisdiction have PJ over the attorney.
5.6 Restrictions on Right to Practice
A lawyer shall not participate in offering or making;
a) A partnership or shareholders, operating, employment, or other similar type of agreement that
restricts the right of a lawyer to practice after termination of the relationship, except an
agreement concerning benefits upon retirement; or
b) An agreement in which a restriction on a lawyers right to practice is part of a settlement of a
client controversy.
Plain English 5.6: Restrictions on the Right to Practice Law
A lawyer CANNOT participate in making ANY agreements, that restrict the right of a lawyer
from practicing law (no non-compete clauses or restrictive covenants) whether after terminating
employment or as part of settling a client dispute, except an agreement that relates to retirement
benefits.
5.7 Responsibilities Regarding Law-Related Services

a) a lawyer shall be subject to the rules of PR with respect to the provision of law-related
services, as defined in b, if the law related services are provided:
1) by the lawyer in circumstances that are not distinct from the lawyers provision of legal
services to clients; or
2) in other circumstances by an entity controlled by the lawyer individually or with others
in the lawyer fails to take reasonable measures to assure that a person obtaining the law related
services and that the protections of the client-lawyer relationship do not exist.
b) the term law-related services denotes services that might reasonably be performed in
conjunction with and in substance are related to the provisions of legal services, and that are not
prohibited as unauthorized practice of law when provided by a non-lawyer.
Example a financial consultant creating a trust or title company researching a deed.
8.1 Bar Admission and Disciplinary Matters
An applicant for admission to the bar, or a lawyer in connection with a bar admission application
or in connection with a disciplinary matter shall not:
a) knowingly make a statement of material fact; or
b) fail to disclose a fact necessary to correct a misapprehension known by the person to have
arisen in the matter, or knowingly fail to respond to a lawful demand for information form an
admission or disciplinary authority, except that this rule does not require disclosure of
information otherwise protected by rule 1.6 confidentiality.
*Any false statement or withholding is enough for denial to the bar. To gain admission to the bar,
the applicant must demonstrate, be clear and convincing evidence, that they possess good moral
character and general fitness to practice law.
**In the Mustafa case: a law student steals money form a law school fund, replace it and turns
himself in, thinking he did the right thing and should be admitted to the bar. The bar reasoned
that they need a passage of time to see the moral character of this person, restitution and remorse.
Plain English 8.1 Bar Admissions and Disciplinary Matters
In bar related matters, an applicant or a lawyer must NOT:
a) Knowingly lie about important facts or
b) Lie by omission or knowingly fail to change incorrect information about the action
c) Intentionally not respond to a demand for information from an admissions or disciplinary authority
except for information covered under rule 1.6 (confidentiality).
8.2 Judicial and Legal Officials
a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless
disregard as to its truth or falsity concerning the qualifications or integrity or a judge,
adjudicatory officer or public legal officer, or of a candidate for election or appointment to
judicial or legal office.
b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions of
the code of judicial conduct.
Plain English 8.2 Judicial and Legal Officials
a. A lawyer must not make a statement that they know to be false or reckless, regarding the
qualifications and reputation of a Judge, Legal Officer, or judicial candidate.
b. A lawyer candidate for a judicial office must comply with the provision of the Code of Judicial
Conduct.
****Overall a lawyer should not make a statement that is ever false, misleading or reckless in
regard to any matter; to the court, client, opposing party or even a 3rd party.
8.3 Reporting Professional Misconduct

a) A lawyer who knows that another lawyer has committed a violation of the rules of PR that
raises a substantial question as to the lawyer’s honesty, trustworthiness or fitness as a lawyer in
other respects, shall inform the appropriate professional authority.
b) A lawyer who knows that a judge has committed a violation of applicable rules of judicial
conduct that raises substantial questions as to the judge’s fitness for office shall inform the
appropriate authority.
c) this rule does not require disclosure of information otherwise protected by 1.6 or information
gained by a lawyer or judge while participating in an approved lawyers assistance program.
This is like law school cooley honor codebut if there is a conflict between this rule and 1.6
confidentiality the 1.6 rule wins.
Exam hint. When given a fact pattern which one attorney misbehaves and another knows about it
there might be a violation of 8.3 reporting professional misconduct and there is always an 8.4
violation.
Plain English 8.3 Reporting Misconduct
(a) A lawyer that knows that another lawyer has committed a violation of the Rules of Professional
Conduct that raises serious question as to the lawyer’s character and fitness must inform the appropriate
authority.
(b) A lawyer that knows a judge that has committed a violation of the judicial code or canons that raises
serious question as to the judge’s character and fitness, must inform the appropriate authority.
(c) Disclosure of information covered by rule 1.6 (Confidentiality) is not required, as well as information
obtained while working with an approved lawyer’s assistance program.
8.4 Misconduct
(a) violate or attempt to violate the rule or PR, knowingly assist or induce another to do so, or do
so through the acts of another;
(b) commit a criminal act that reflects adversely on the lawyer’s honesty trustworthiness or
fitnedd as a lawyer in other respects;
(c) engage a criminal conduct involving dishonesty, fraud, deceit or misrepresentation;
(d) engage in conduct that is prejudicial to the administration of justice;
(e) state or imply an ability to influence improperly a government agency or official or to achieve
results by means that violate the rules of PR or other law; or
(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of
judicial conduct or other law.
Week 14 Review
Week 15 Final Exam

1 PR Rules Outline

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PR RULE AND LAW OUTLINE

PRMC Terminology: 1.0

(g) Partner denotes a member of a partnership, a shareholder in a law firm organized as a

(k) Tribunal denotes a court, an arbitrator in a binding arbitration proceeding or legislative

(l) Writing or written denotes a tangible or electronic record of a communication or

Requirements for the Bar:

1) Graduate from an ABA accredited school

2) Be accepted by the character and fitness

3) Take and pass the bar exam in your state of choice

An applicant’s BOP: clear and convincing evidence

Micro Analysis of character and fitness admission to the Bar:

The Rational Connection Test

Week 2 Lawyer regulation and bar admission

2) Time between the behavior and application-restitution

Week 3 how to ethically market

Advertising and Solicitation 7.1-7.5

Plain English (7.1)

Bottom line class notes

(4) Refer clients to another lawyer or a non-lawyer professional pursuant to an agreement

Plain English (7.2)

Bottom Line class notes

7.3 Direct Contact with Prospective Clients:

Plain English (7.3)

Bottom line class notes

7.4 Communication of fields of Practice and Specialization

Plain English (7.4) Communication of Fields of Practice

Plain English 7.5

Bottom line class notes

It is professional misconduct for a lawyer to:

Week 4 attorney client relationship

2 things to consider in deciding whether to accept a case:

A lawyer shall provide competent representation to a client. Competent representation requires

4) Preparation reasonably necessary for the representation.

Is the lawyer competent to handle the matter?

Type of matter: do you have the competency to handle this matter?

Bottom line class notes

Plain English 1.3 Diligence

- Lawyer’s client relationship ends as the lawyer task is completed

3.1 Meritorious claim and contentions

Type of matter: does the claim have merit?

Plain English 3.1:

Bottom line class notes

1.8 Conflict of Interest

(h) A lawyer shall not:

1. Make an agreement prospectively limiting the lawyer’s liability to a client for

Plain English (1.8) h

(3) And the client consents to the transaction in writing.

1.14 Client with diminished Capacity

a. When a clients capacity to make adequately considered decisions in connection with a

Plain English1.14 Diminished capacity:

1.16 Declining or Terminating Representation

c. Permissive Withdrawal: A lawyer must comply w/ applicable law requiring notice to or

Duties of competence and Diligence

Plain English (1.16)

A) Mandatory Withdrawal: A lawyer must withdraw or not take a client if:

Plain English (3.1)

6.1 Voluntary pro Bono Service/ indigent representation

**This rule is not intended to be enforced through discipline.

6.2 Accepting Appointments

Plain English (6.2)

Plain English (5.7)

Plain English (6.3)

8.4 Professional Misconduct

Plain English (1.5)