Professional Responsibilities Mastery Outline

I. Preliminaries
a. In 1990, IL adopted the model rules of professional conduct
which were made by the ABA; in 2010 they adopted the revised
rules with a few changes
II. Regulation of the Legal Profession [1,2,3]
a. Character and Fitness (test; everyone has to take it)
i. The importance includes:
1. Protect the image of the legal profession
2. Protect the clients
a. Weed out the bad apples
b. Theory: The best predictor of future conduct is
past conduct
3. Protect the administration of justice
ii. There is no statute of limitations if they find out that you lied
on the character and fitness test; they can go after you at any
time.
b. Financials (money)
i. People who have had money troubles in the past get more
scrutiny
c. Rule 8.1:Bar Admission and Disciplinary Matters
i. Summary
1. A bar applicant, lawyer in connection with a bar
applicant/disciplinary matter cant make a false
statement of fact or fail to disclose information. Also
cannot fail to respond to a demand for information.
a. Example: The dean in problem 1 would be in
violation of this by not disclosing that the
student cheated on his law school exam
d. Federal Bar Admissions
i. As a general rule, if you get admitted into the state bar, then
you usually can get admitted to practice in front of the federal
court.
ii. In IL, you could be admitted to practice in federal court and
just pay a fee
iii. In order to do an evidentiary hearing, you must gain admission
into the Federal District Trial Bar
1. Must have 4 units of trial practice or experience (some
trial courses in school can count to those units)
e. Lawyer discipline
i. Purpose of discipline
1. The deterrence effect
2. The cleansing effect
3. To uphold the public image
ii. Rule 1.1 Competence

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 1. A lawyer shall provide competent representation.
Competent representation requires legal knowledge,
skill, thoroughness and preparation reasonably
necessary for the representation.
2. In determining whether a lawyer has the requisite
knowledge and skill in a matter, relevant factors
include:
(1) Complexity and specialized nature of the matter,
(2) Lawyer’s experience
(3) Lawyer’s training and experience in the field
(4) Preparation and study the lawyer is able to give the
matter and
(5) Feasibility of referring the matter to, or associate or
consult with, a lawyer of competence in the field. In
many instances, the required proficiency is that of a
general practitioner

iii. Rule 1.3: Diligence

1. A lawyer should act with reasonable diligence and
promptness in representing a client
a. Procrastination is widely resented
b. Neglect requires a consistent failure; there has to
be a pattern
c. Rule 1.1: lawyer has to be competent and being
competent means being prepared
iv. Rule 1.8 (b)
1. A lawyer shall not use information relating to
representation of a client to the disadvantage of the
client unless the client consents
a. This rule doesn’t say that the lawyer cannot use
the information to his advantage
v. **Rule 8.4(b)(c)(d): Misconduct -- It is misconduct for a
lawyer to:
1. (B)- commit a criminal act that reflects adversely on the
lawyer’s honesty, trustworthiness or fitness as a
lawyer in other respects.
a. The crime does not have to be committed in the
lawyers role as attorney
2. (C) – Engage in conduct that involves dishonesty,
fraud, deceit or misrepresentation
a. Does not have to relate to the lawyer’s
professional life; private life included.
3. (D)- **McCoski’s favorite** Engage in conduct that is
prejudicial to the administration of justice
a. Usually rely on this because you cant establish
anything else

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 4. Present or threaten to present criminal or disciplinary
charges to gain advantage in a civil matter
a. Example: a husband violates the order and the
attorney uses that violation to get more in
spousal support
f. Interstate Discipline
i. If you are licensed in one state, and the conduct happens in
another state, the state you are licensed in can discipline you
ii. Rule 8.5: Disciplinary Authority; Choice of Law
1. Applies when the rules in different jurisdictions vary
2. (b)(1)- If matter pending before a tribunal – the laws
where the tribunal sits governs
3. (b)(2)- for any other conduct (transactional matters)
the rules of the jurisdiction in which the conduct occurs
apply
a. The predominate affect
b. Generally, if there is a good faith effort to apply
the rules is going to make the lawyer immune
from discipline
iii. Rule 8.3: Reporting Professional Misconduct
1. (A): A lawyer has a duty to report another lawyer if you
know they were in violation of 8.4(b)[committed a
criminal act] or 8.4(c) [engaged in conduct that involved
dishonesty, fraud, deceit, or misrepresentation]
a. 8.4(d) is not included, so we don’t have to turn in
an attorney who violates this
b. Lawyers who usually have issues with this have
substance abuse problems
c. Himmel  Example of 8.4(c):
i. Lawyer keeps money and doesn’t give it
to his client

ii. Client files a complaint and finds another

lawyer to get the money

iii. Second lawyer tries to get the money back

and takes no fee

1. The second lawyer was disciplined

because he should have told

iv. Malpractice
1. Elements of legal malpractice suit
a. Duty (civil/criminal)
i. The standard is that of the same
knowledge as the average/normal

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 confident lawyer in the same or similar
circumstance
b. Breach (civil/criminal)
i. Did not follow the duty required
ii. Have to prove that if the lawyer did not
breach the standard of care you would
have gotten more than what you did
1. Expert testimony
c. Causation (civil/criminal)
i. The breach caused damages
d. Actually innocent of the crime
i. Applies only to criminal cases
ii. Rule in Illinois
iii. Rule as a matter of policy
1. Don’t want to award criminals
monetary damages
2. Case within a case – the underlying dispute
a. Applies to both criminal and civil
i. Have to prove how the attorney screwed
up
1. In criminal: have to prove
innocence, additonally
2. In civil: prove up medical
malpractice  how good of a case
you had, etc.  to prove the
damages that you lost

3. Lawyer/Client
a. The general rule is that only a client can sue a
lawyer.
i. Exceptions:
1. An intended third-party
beneficiary can sue a lawyer
2. Prospective client
3. A non-client that the lawyer
expressly assumes an obligation to
investigate facts and accurately
report them to the non-client
a. See Greycas v. Proud
4. Guardian situations
5. Insurance companies
4. Retainer Agreements
a. This is how the lawyer/client relationship is
usually formed and should include the following:
i. Who the client is/ who the client is not
ii. What you are being hired to do

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 1. This should be done with some
specificity and especially
important with unbundled
services
a. Unbundled services:
instead of charging a client
for handling the whole case
(e.g. divorce), the client is
given a “list” (e.g. If the
client only wants you to file
the complaint in the divorce
proceedings, then that’s all
that you do and you charge
them for just that)
i. Courts are big on
these now and this is
professionally
allowed
ii. This can rise to
errors if there is
miscommunication
as to the attorneys
duties
iii. Fee and how it is going to be determined

b. Waivers
i. Future Malpractice
1. Rule 1.8(h)(1): A clause to waiver
future malpractice can be put in
the retainer as long as the client is
independently represented by
another attorney in making the
decision
ii. Settling the case
1. Rule 1.8(h)(2): you can settle a
malpractice claim with a client.
The client does not need to be
represented by independent
counsel BUT must be advised in
writing and given reasonable
opportunity to seek independent
counsel.
a. Client can agree if they are
offered representation for a
lowered rate

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 b. Rule 1.4 – must keep your
client reasonably aware
and informed
III. Fundamentals of the Lawyer-Client Relationship [4,5,6,7]
a. Lawyer/Client relationship is based on confidentiality and
loyalty.
b. General Rule: In a private firm setting, you are not obligated to
take on a client that you don’t want.
i. Rare Exception: Some cases say that you can’t discriminate
c. Rule 1.18: Duties to Prospective Clients
i. Duty to protect confidential information
ii. If any property was taken from the potential client, it is your
duty to protect it as if it was your clients
iii. Duty to not give bad advice and to warn a client if there is some
impending doom (for example, if the statute of limitations is
about to run out next week)
d. When the Attorney/Client relationship forms
i. The relationship forms when the client manifest the intent to
hire the lawyer and the lawyer manifest his intent to want to
work for client, or is vague and fails to manifest his intent
1. When there is any ambiguity, it will go against the
lawyer and in favor of the prospective client
2. See Retainer agreement above  how the relationship
usually begins
3. The attorney/client relationship ends when the client is
dead
e. Rule 1.2: Scope of Representation and Allocation of Authority
Between Client and Lawyer
i. The client decides the objective of the case (what they want to
achieve)
1. There are very few things that are categorized as
objectives. These include:
a. Pleading guilty
b. Whether you want a jury or bench trial (to waive
a jury trial)
c. Whether the client testifies or not
d. Side note: client has the authority to settle a case

ii. The lawyer decides the means in which to achieve that

objective
1. The lawyer must still consult the client
f. Rule 1.5: Fees
i. Generally
1. All fees need to be reasonable
2. Non-refundable fees violate the fiduciary duty between
the lawyer and the client

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 ii. Contingency Fee
1. Defined: percentage based on the outcome of the case
a. In personal injury cases, the percentage is
typically 1/3 or 33%
2. The idea is to help out lower income clients
3. Sometimes called the poor person fee
4. These fees are prohibited in two types of cases:
a. Rule 1.5 Comment 6
i. Domestic Relations – Divorce Cases
1. Can take a contingency fee for an
arrearage for child support,
alimony or other financial orders
2. Policy: It would remove the
incentive for the two love birds to
get back together
ii. Criminal Cases
1. Isn’t needed because the point of
them is to help low income clients
get a lawyer but the constitution
grants criminals a public defender
2. Attorneys would starve because
they wouldn’t win enough cases
3. Possibility of corruption
5. Requirements for a contingency fee – Rule 1.5(c)
a. Must be in writing and signed by a client
b. State how the fee is going to be determined;
including the percentage(s) going to the lawyer
i. The agreement can say that you get the
33% of the top or deduct the expenses
first then get your 33%
c. Identify litigation and other expenses to be
deducted (e.g. Expert witness, copies / sending
records out to be Xeroxed)
d. State whether the client will be responsible for
expenses win or lose.
e. Whether the expenses are to be deducted before
or after the contingency fee is calculated
f. At the end of the case, the lawyer shall provide
the client with a written statement stating the
outcome of the case, and if there is recovery, the
amount to the client and the method of its
determination
iii. Hourly/Billable Hours
1. Generally

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 a. A lawyer who spends four hours of time on the
behalf of three individual clients does not earn
twelve billable hours.
i. In such cases you would charge one of
them all the hours or split it between two
or three.
iv. Billing
1. References from the client trust handbook and Rule
1.15
2. Generally
a. Because lawyers have a fiduciary duty to their
clients, they must keep their clients property and
their money separate from their own and
complete records must be kept by the lawyer
i. Must have a separate account for your
clients money and on the check it must
say, “ client trust account/ client trust
fund
1. Exception: You can use your own
money to cover account fees and
to open an account if a minimum is
required
ii. You can’t “borrow” from them because
you need to pay another client back
iii. When the lawyers make mistakes on the
account, the bank has the duty to inform
the ADRC
b. If you need to transfer a client’s money or
property, you must notify them immediately
3. Different kinds of accounts
a. There could be separate accounts for each
individual client  dividend-bearing client
trust account; client as income beneficiary
b. IOLTA account (Interest on lawyers trust
account)
i. Money that you will be holding for a short
period of time or are nominal in amount
(although the rules state that most of the
money you will be dispersing promptly)
ii. The interest gained on this account is
received by the Lawyer’s Trust Fund of IL
4. Retainers and Advance Fees
a. General Retainer/Classic Retainer
i. A general fee that a client pays an
attorney in case they need representation.

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 ii. The money goes into the lawyers
operating account; the money is the
lawyer’s and they earned it.
b. Security Retainer
i. Secure payments of fees for future
services the lawyer is expected to
perform
ii. Goes into the client trust account; the
lawyer doesn’t get the money until it is
earned  if it is unearned, it goes back to
the client  the money is set aside for
hourly costs and expenses
c. Advance Payment Retainer
i. The client makes a present payment to
the lawyer in exchange for the
commitment to provide legal services in
the future
ii. The ownership of the money passes
immediately to the lawyer
1. If any of it is unearned, the lawyer
must return it to the client
d. Fixed/Flat Fee Agreement
i. Lawyer agrees to provide specific services
for a fixed amount paid by the client to
engage the lawyer at the outset of a
matter.
1. The money is the lawyer’s and the
lawyer is not required to refund
any of it unless the fee is
unreasonable.
a. Side-note: When there is a
dispute in the money and
what the lawyer should
receive, the lawyer gets the
undisputed amount and the
amount that is in dispute
goes into a client trust
account.
i. The lawyer must
suggest resolutions
such as mediation 
taking it to court is a
last means
v. Lawyer Withdrawal [Rule 1.16]
1. Mandatory Withdrawal
a. Withdrawal is mandatory if:

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 i. Representing the client will violate one of
the rules
ii. If the lawyer’s physical or mental
condition materially impairs the lawyers
ability to represent the client
iii. The lawyer is discharged
iv. Exception: If the matter is in court, the
lawyer has to file a motion to withdraw. If
the court denies you then you have to stay
in the case
1. Also if you have been appointed by
the court
2. Permissive Withdrawal
a. May withdraw if there is no materially adverse
effect on the client
i. Even if there is a materially adverse effect
on the client, you can withdraw if:
1. If you are losing a lot of money
(don’t bank on this, if you make a
bad deal that’s on you).
2. Client fails to fulfill his obligation
after a warning.
3. Client insist on taking action that
the lawyer considers repugnant or
if they have a fundamental
disagreement
4. The services were used in the past
to perpetrate a fraud or crime.
5. The client persists in a criminal or
fraudulent course of action.
3. Liens
a. As a general rule, you can sue your client for fees
they haven’t paid
b. Retaining Lien
i. Retain a client’s file until they pay you
1. Gives the lawyer possessory
interest in the client’s papers and
funds that are in the attorney’s
possession
a. Recognized in IL
b. Puts pressure on the client
to pay the lawyer’s bill
c. Charging Lien
i. Gives the lawyer the right to apply the
recovery in a case to payment of his or
her fees

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 1. If a lawyer does a lot of work on a
case and is fired from the case, the
lawyer can send a letter to the
current attorney for a portion of
the funds  putting a hold on the
recovery
vi. Attorney/Client Privilege
1. Encompasses confidentiality and loyalty
a. These derive from the fiduciary duty of the
attorney/client relationship
b. Evidentiary Privilege: The lawyer can’t be put
on the stand to testify about what was said to the
client and visa versa
2. The attorney/client privilege doesn’t end unless the
client gives informed consent to terminate it.
3. Photographs are not attorney/client privilege
4. Attorney/Client Privilege Elements:
a. There must be an attorney and there must be a
client
b. There must be a communication
c. That is intended to be confidential
d. The communication must be for the purposes of
obtaining or providing legal assistance for the
client.
e. Can’t contain an act of crime or fraud.
i. Looked at as more of a exception than a
element
5. Work Product Privilege
a. Protects a lawyer’s work done in anticipation of
litigation from being required to turn it over in
pre trial discovery
b. Two types of work product
i. Opinion Work Product
1. Attorney notes and impressions
a. Virtually impossible to get
ii. Ordinary Work Product
1. Generally factual information
2. Normally not obtainable unless the
other side that didn’t do the work
has a substantial need and it
would be an undue
burden/hardship for them to try
to get the work themselves
6. When dealing with the federal government and their
attorney’s, there is not attorney/client privilege because
they represent the government and not individuals

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7. Confidentiality
a. Rule 1.6(most important rule)
i. A lawyer can’t reveal information (this is
any information, it doesn’t have to be
confidential) related to a client’s
representation [sidenote: this includes
the mental capacity of your client; and
there is no public knowledge exception so
you cannot disclose even if the
information is publically known] UNLESS
1. There is informed consent
2. Disclosure is impliedly
authorized (giving information to
the other side when trying to
settle)
3. Disclosure permitted by (b) or
required by (c)
a. (b) Permissible
disclosure
i. Prevent client from
committing crime.
ii. Prevent client from
committing a fraud
reasonably certain
to result in
substantial injury to
another’s finances or
property in which
the client used or is
using the lawyer’s
services.
iii. Prevent, mitigate, or
rectify substantial
injury to another
financial interest or
property reasonably
certain to result or
has resulted from
client’s crime or
fraud which used
lawyer’s services
iv. To obtain legal
advice about the
lawyer’s compliance
with these rules. 
Maybe from the

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 ADRC or a law
professor
v. Establish a claim or
defense for the
lawyer in a
controversy with the
client (collect the
fees)
b. Required by (c)
i. If the lawyer
reasonably believes
necessary to prevent
reasonably certain
death or substantial
bodily injury
ii. *** The ABA rules
say may
b. Received Material Inadvertently (Three
options)
i. The privilege is never waived
1. Must send it back and not copy the
material
ii. Strict accountability
1. Treats all situations as waivers;
your mistake, your fault
iii. Middle ground
1. Looks at:
a. Reasonableness of
precautions taken
b. Time taken to discover the
error
c. Scope of production
d. Extent of the disclosure
e. Interest of fairness in the
situation
iv. Claw Back Provision: In discovery, if
something is wrongly sent, attorneys
enter into an agreement that says they
will send the material back if it is
inadvertently sent and that no waiver will
result.

8. Representing a Corporation
a. IL adopted the Control Group Test, which says
the attorney client privilege can only apply to the
employees who communicate with counsel and

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 who are in a position to control or take a
substantial role in the determination of the
course of action a corporation may take based on
the legal advice received.  Applies to the top
management
b. Upjohn Test: apply to any employee as long as
the communication deals with getting
information dealing with the client (the
corporation)
c. A new board of directors can learn the context of
the conversations with the old board between
counsels.
i. The communication is not privileged
because the board stands in proxy for the
corporation.
IV. The Requirement of Loyalty to the Client [9,10,12]
a. The second most important component of the fiduciary duty
between attorney/client is loyalty.
b. Strictly construed with very limited exception
c. Can’t have any interest that conflict with your client’s interest …
period!
d. When there is a conflict, the lawyer must file a motion to
withdraw
e. Conflicting interest when representing two people in the
same case (e.g. plaintiff and defendant or co-defendants)
i. Rule 1.7(a): Concurrent conflict of interest
1. A lawyer cannot represent a client if the representation
involves a concurrent conflict of interest (unless
there is **informed consent)
2. A concurrent conflict of interest includes:
a. Directly adverse
b. Materially limited
i. Usually in a co-plaintiff/co-defendant
situation
3. When representing two plaintiffs/ defendants, the
general rule is that there is no confidentiality between
the two people, unless it has been agreed otherwise in
the beginning and if it goes beyond what has been
agreed then you have to withdraw
a. May materially limit the lawyers ability to
properly represent his clients
4. Non-Consentable Conflicts
a. Adoption
i. Cant represent the biological mother and
the adoptive parents  directly adverse
b. Divorce

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 i. Collaborative divorce  almost like a
mediation except both sides have a
lawyer  if this goes to court, the lawyers
are out and cant represent either one of
the parties
c. Real Estate
5. When a lawyer can represent a client
a. Lawyer believes that they can provide competent
representation to each client
b. Representation doesn’t involve a claim by one
client against another in the same litigation
i. Covers divorce
6. **Informed consent
a. Must explain all the advantages and
disadvantages for you being hired to represent
both clients
b. Explain the effects of loyalty and confidentiality
in representing both parties
i. Depends on the client’s sophistication and
experience
7. Difference between IL and the ABA
a. The ABA requires consent confirmed in writing
(doesn’t have to be signed)
b. The IL rules do not require consent to be in
writing.
8. START NOTECARDS HERE  Lawyer representing
two clients in two unrelated matters (representing
buyer in B v. S and representing S in S v. D)
a. This is directly adverse even though the cases
are wholly unrelated. It may also materially limit
the attorney’s duties to either client.
b. Rule 1.7: Conflict of Interest  Current Clients
i. Comment 6:
1. Absent consent, the attorney may
not be a lawyer in a matter against
a person the lawyer represents in
some other matter, even when the
matters are wholly unrelated
9. Directly adverse situations when cross-examining
concurrent clients
a. Cross examining a client you have in a different
matter is not allowed  Rule 1.7 (a)(1)
i. See also Rule 1.7 , Comment 6
10.Economically adverse clients
a. Doesn’t create a conflict and does not require
clients consent

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 11.Directly Adverse with corporations
a. Subdivision  a little entity of the corporation
i. Can’t sue separately
b. Subsidiary  partly or wholly owned by the
parent corporation
i. Can sue if the relationship isn’t that close.
To determine the extent of the
relationship, the court looks at:
1. The entities financial
interdependence
2. The operational commonality
across multiple departments
a. Example: If they use the
same in house counsel
12. The Hot Potato Rule:
a. A firm may not drop a client like a hot potato
especially if it is in order to keep a more
lucrative client
i. Usually occurs when a law firm merges
1. Note: When clients cause the
conflict by merger, the lawyer can
choose who he wanted to
represent
a. The key is who causes the
conflict
13. Wavier of future conflicts:
a. Rule 1.7:
i. Future conflicts can be waived but it
depends on:
1. How comprehensive the lawyer’s
explanation of possible future
conflicts and the adverse
consequences that might result
a. If the client is experienced
and familiar with the type
of future conflict that may
arise
ii. Business Relationship Conflicts
1. Rule 1.18
a. Business transactions include:
i. Taking stocks for payments
ii. Lawyers giving loan to client or vice versa
iii. Client giving the lawyer money to invest
iv. Lawyer buying stuff from an estate and
the lawyer represents the estate

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 b. No rule says you can’t have a business
relationship with your client but if you do it, it
has to go through the rules that govern
professional rules of conduct
i. Example: A lawyer can take stock as fee
c. **Rule 1.8: A lawyer shall not enter into a
business transaction with a client unless:
i. The transaction is fair and reasonable;
ii. Terms are disclosed in writing in
understandable language;
iii. Client informed in writing that he may
seek advice of independent counsel, and
given a reasonable opportunity to do so
and;
iv. Client gives written, signed, informed
consent to the business transaction and
whether the lawyer is representing the
client in the transaction
1. Doesn’t apply to standard
commercial transactions
iii. Gift transactions
Rule 1.8:Conflict of Interest: Current Clients: Specific Rules
1. 1.8(c): Can’t solicit (ask for) a substantial gift
a. This includes for himself or for his family
members
i. This includes a bequest in a will (a legacy)
ii. A lawyer can solicit a non substantial gift
1. Substantial goes to monetary value
not emotional value
iii. Exception: Can solicit a gift from a person
they are related to; a relative.
1. Relative is defined as a spouse,
child, grandchild, parent,
grandparent and other relative or
individual with whom the lawyer
or the client maintains a close
familial relationship  broad
2. The rule says that you can’t solicit
but it doesn’t say that you can’t
accept gifts
iv. If the lawyer receives a substantial gift
from the client whether it is solicited or
not, the law will presume it was
obtained by fraud and it is the lawyers
burden of proof to prove that it was not
obtained by fraud.

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 b. A lawyer cannot prepare a document that
conveys to the lawyer or family member a
substantial gift unless lawyer or other donee is
related to the client.
i. A lawyer who drew the will can be the
executor of a client’s will and his partner
can be the executor’s attorney
1. Executors get paid
a. The fees must be
reasonable if your firm is
going to be the executor
and the executor’s attorney
2. If the partner is going to be the
executor’s attorney, you must
explain to the client the upside and
downside of this
2. A lawyer cant provide financial assistance to a client
3. A lawyer can’t provide financial assistance to a client in
pending or contemplated litigation, EXCEPT a lawyer
may:
a. advance court costs and litigation expenses, and
repayment may be contingent on the outcome of
the case and
b. pay court costs and litigation expenses for an
indigent client.
i. Cost of obtaining and presenting
evidence – okay
ii. Medical examination – ok
iii. No living expenses
iv. Sex with clients
1. Rule 1.8 (j) A lawyer cannot have sex with a client
unless the sexual relationship existed before the
attorney client relationship
a. Rule 1.8, Comment 19: In regards to a
corporation, you can’t have sex with the legal
counsel or anyone that the legal counsel consults
with to organize legal matters.
v. Insurance Companies in the Attorney/Client relationship
as a third party
1. Three approaches:
a. Insurance Company is also a client  the IL rule
b. Insurance company is not a client
c. Insurance company is not a client but the lawyer
owes special duties to the insurance company

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 since they are paying for the lawyer – the middle
ground
i. Either approach taken by the states must
comply with Rule 1.8(f)
1. A lawyer shall not take a fee for
representing a third party unless:
a. The client gives informed
consent for the payment;
b. There is no interference
with the lawyer’s
independence of
professional judgment or
with the client lawyer
relationship and;
c. Info is related to
representation is protected
as required by Rule 1.6.
2. If the client tells the lawyer in confidence, they lawyer
cannot tell the insurance company the confidential
information
3. If a conflict arises, the lawyer has to move to withdraw
and the insurance company has to get separate lawyers
for everyone
f. Conflict with a former client
i. Former Client Standard
1. Former clients only need to show that matters
embraced within the pending suit in which the former
attorney appears on behalf of his adversary are
substantially related to the matter or cause of action
in which the attorney previously represented the
former client.
a. *on the test we must determine whether there is
a conflict with a former client, current client or
personal interest
ii. Rule 1.9: Duty to Former Client
1. A lawyer who formally represented a client in a matter
shall not later represent another person in the same or
substantially related matter in which the present
client’s interest are materially adverse to those of the
former client unless the former client gives informed
consent.
a. Same matter: you cant switch sides
b. Substantially related matter: issue of
confidentiality
i. Rule 1.9, Comment 3: Matters are
substantially related if they involve the

19
 same dispute or transaction or there if a
substantial risk that confidential factual
information ( if the confidential
information is going to appear in the
current case) as usually would be
obtained in the prior representation
would materially advance the subsequent
client position.
1. A conclusion that the lawyer
possesses confidences may be
based on the type of service the
lawyer provided the former client
and info that usually would be
learned by a lawyer providing such
services. – The client is not
required to reveal the confidential
information that would have been
told to the lawyer
g. Conflicts within Firms – Private Sector
i. When one lawyer is conflicted, everyone in the firm is
conflicted; if one person is disqualified then everyone is
disqualified
1. Exception: Unless the conflict/disqualification is based
on personal interest
a. Includes sexual relationships
ii. Rule 1.10: Imputation of Conflicts of Interest: General Rule
1. General rule: if one lawyer in a firm is disqualified all
are disqualified  the knowledge is imputed
a. The imputation ends when the lawyer moves to
a new firm
2. Exception: disqualification based on a lawyer’s
personal interest (e.g. sexual relationship) and there’s
no significant risk the representation will be limited if
another attorney in the firm handles the matter.
iii. When an attorney with imputed knowledge leaves and goes to
a new firm, the new firm will not be disqualified because the
attorney only had imputed knowledge; there was no actual
knowledge
1. Screening applies when a person with actual knowledge
moves to a new firm
2. Screening defined: isolating the lawyer from the case
and anyone handling the case – there is NO consent
needed for screening
a. The ABA rules state that there needs to be written
notice to former client describing screening

20
 b. Suggested procedures for a screen given by Rule
1.0 include:
i. Timely screen
ii. Written undertaking by screened lawyer
to avoid communication
iii. Written notice to firm employees
forbidding communication
iv. Denial of access to files and other
materials about the case
v. Periodic reminders to everyone
vi. No part of fee from case to lawyer
3. When there is only imputed knowledge and the person
with actual knowledge retires, the imputation dissipates

h. Government Attorney Moving to Private Practice

i. Rule 1.11:Conflicts of Interest For Government Officers
and Employers
1. A lawyer who has formerly served as a public officer or
employee of the government:
a. Is subject to Rule 1.9 (c ) –not use information
relating to the representation to the
disadvantage of the former client AND
b. Can’t represent a client in a matter in which the
lawyer participated personally and
substantially as a public officer or employee,
unless the government agency gives informed
consent.
i. Personal and substantial: Contemplates
a responsibility requiring the official to
become personally involved to an
important, material degree, in the
investigative or deliberate processes
regarding the transaction or facts in
question.
c. When a lawyer is disqualified because of (a), no
lawyer in that firm may undertake or continue
representation in such a matter unless
i. The disqualified lawyer is screened and
gets no part of the fee; and
ii. Written notice is promptly given to the
government agency
1. Because the person moved from
government to private
i. Lawyer in Private Practice going to work for the government
i. The rules are the same  personal and substantial
ii. There doesn’t have to be screening

21
 j. Government Lawyer Looking for a job
i. Rule 1.11(d)
1. A lawyer who is a public officer or employee shall not:
a. Negotiate for private employment with a party
or lawyer in a matter in which the lawyer
participates personally and substantially
b. EXCEPT a law clerk to a judge  they may
negotiate for a job with a party or lawyer in a
case in which she personally and substantially
participates if she lets the judge know.
i. If the law clerk was personally and
substantially involved, they cannot handle
the case.
k. Former Judge, Arbitrator, Mediator or Other Third- Party
Neutral
i. Rule 1.12:
1. A lawyer shall not represent anyone in a matter in
which the lawyer participated personally and
substantially as a judge, other adjudicative officer, law
clerk, arbitrator, mediator, or other third-party neutral,
unless all parties give informed consent.
2. If the lawyer is disqualified by (a), no lawyer in the
same firm may undertake or continue representation in
the matter unless:
a. The disqualified lawyer is screened and gets no
part of the fee and written notice is promptly
given to the parties and tribunal
i. An arbitrator who is selected to
participate in a multimember panel is not
prohibited from subsequently
representing that party
1. Example: If the lawyer wants to be
a mediator for something that was
before him as a judge, he doesn’t
need consent if he was personally
and substantially involved
V. Advising and Advocating for Clients [ 17,18,19,20,21,22, ]
a. The lawyer for an individual client
i. Rule 2.1- Advisor
1. Lawyer shall exercise independent judgment and five
candid advices: law, and relevant moral, economic,
social and political factors.
a. A client is entitled to straightforward, honest
advice even if unpleasant. If consultation with a
professional in another field is appropriate, a
lawyer should make the recommendation.

22
 i. Rule 1.2(d) and Comment 9:
1. A lawyer shall not knowingly
counsel or assist a client to commit
a crime or fraud but the lawyer
may interpret the scope, meaning
and application of law
a. A lawyer cannot posses
stolen property or conceal
evidence of a crime
2. In respect to physical evidence of a client crime, a
lawyer:
a. May reasonably necessary for purposes of the
representation, take possession of the evidence
and retain it for the time reasonably necessary
to examine it and subject it to tests that do not
alter or destroy material characteristics of the
evidence; but [can take the evidence]
b. Following possession, the lawyer must notify
prosecuting authorities of the lawyer’s
possession of the evidence or turn the evidence
over to them
i. When you become in possession of
contraband from client, call law
enforcement
1. We have to worry about furthering
a crime or fraud
ii. Some ways to get in trouble
1. Preparing fraudulent documents
2. Recommending how clients can get away with a crime
or fraud
3. Suggesting a cover up
iii. Diminished Capacity
1. Carnal Rule: Must maintain a normal client/attorney
relationship
2. Rule 1.14: Client with Diminished Capacity
a. A client with diminished capacity (mental
impairment, minority, other reason):
i. Lawyer’s goal is to maintain a normal
client-lawyer relationship
b. Client a risk of substantial physical, financial, or
other harm: Lawyer may consult with
individuals or entities that can take action to
protect the client. If necessary, lawyer may seek
appointment of a guardian ad litem or guardian
i. This is if is a true emergency

23
 c. When taking action under (b), the lawyer has
implied authority under Rule 1.6(a) to reveal
information necessary to protect the client
i. If the person has a guardian already, they
have the right to make decisions for the
ward
b. Advising a Corporation
i. A lawyer can be on the board of directors and a counsel for the
firm but this may cause problems
ii. When you are the counsel for the corporation, your client is the
corporation
iii. Dually authorized constituents: shareholder, people on the
board and employees
1. The highest constituents: the board of directors
iv. Rule 1.13: Organization As Client
1. If a lawyer for an organization knows ( actual
knowledge that can be inferred from the circumstances)
that an officer or employee is acting, intends to act or
refuses to act in a manner related to the
representation that is:
a. A violation of a legal obligation to the
organization; or
b. A crime, fraud, or other violation of law; and
c. Reasonably imputed to the organization; and
d. Is likely to result in substantial injury to the
organization
THEN the lawyer shall proceed as a reasonably necessary in the best interest of the
organization. Unless the layer reasonably believes the organization’s best interest
do not require it, the lawyer shall refer the matter to a higher authority in the
organization, including, if warranted to the highest authority of the organization.
- You have no ethical duty of preventing a corporation from making stupid
policies unless the policy falls under this rule
- Acts not imputed to the corporation include: embezzlement or assault by the
principle of the company
- If despite the lawyer’s efforts:
o The highest authority fails to timely address an action or inaction that
is clearly a crime or fraud (doesn’t include “or other violation of law”)
AND
o The lawyer reasonably believes that the crime or fraud is reasonably
certain to result in substantial injury to the organization THEN the
lawyer may reveal the information (even if protected by Rule 1.6).
 Note: This does not apply if the act or omission is only a
violation of a legal obligation or violation of the law that falls
short of a crime or fraud

24
  Difference in the IL rules and the ABA rules: the ABA rule says “
clearly a violation of the law”
 If the attorney is fired due to his disclosure, he cant sue for a
retaliatory discharge, but in some states that you can
c. Contact with represented and unrepresented clients
i. Rule 4.2: Communication with Person Represented by
Counsel
1. 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 the consent of the other lawyer or is
authorized by court order or law.
a. Applies in criminal and civil cases
b. Knowledge that the other person is represented
c. Contacts related to subject matter of the case
i. Different cases are not included under
this rule
d. Applies to an agent of the lawyer
e. Applies even if the person initiated the contact
f. The rule protects unrepresented persons against
overreaching or interference
g. Corporate: no formal conversation with them
without the permission of their counsel
i. Prohibits lawyers from contacting:
1. Employees who exercise
managerial responsibility in the
matter
2. Who are alleged to have
committed the wrongful acts at
issue in the litigation
3. Who have authority on behalf of
the corporation to make decisions
about the course of the litigation
4. A former employee may be
contacted but a former employee
who has regular contact to consult
about the matter with the lawyer
for the ex-employer may not be
contacted.
h. Two parties can talk to each other without their
attorney’s being present but the attorney can’t
write out a script for the client to use
i. IL says that Rule 4.2 applies to pre-indictment
investigations and pre formal charge
proceedings and after formal charges are filed
d. Rule 4.3: Dealing with Unrepresented Person

25
 i. Lawyer shall make reasonable efforts to correct any apparent
misunderstanding of the lawyer’s role in the matter
ii. If the lawyer knows or should know that the interests of the
person may be in conflict with the client’s interests then the
only legal advice the lawyer may give is to secure counsel.
iii. Lawyer shall not state or imply that the lawyer is disinterested
 The state’s attorneys are not held under this rule because
they don’t represent people but they represent the state
VI. Negotiation Ethics
a. Generally
i. There has to be honesty in negotiations
ii. Rule 4.1: Truthfulness in Statements to Others
1. Can’t lie on material fact or law to a third party
a. Depends on the circumstances
i. Goals and willingness to compromise is
not a material fact
ii. Puffing is not a material fact
iii. Estimates of price or value placed on the
subject of a transaction and a party’s
intentions as to an acceptable settlement
of a claim are considered a material fact
iv. You don’t have to disclose the other side
of the witnesses in your case except if
your client is dead
v. Threatening to file disciplinary charge or
complaint is not good
VII. Evaluations by Lawyers
a. General
i. Lawyers write tax evaluations and tax letters to protect clients
from tax fraud
ii. What you can or can’t put in a letter:
1. Lawyer can freely urge a statement of a position that is
favorable to your client as long as there’s a reasonable
basis for the proposition
a. Example: reasonable basis for a tax deduction
b. Reasonable basis: good faith belief warranted
by existing law or can be supported by good faith
argument for an extension, modification or
reversal of existing law
iii. Letters intended for the client are protected under the
attorney/client privilege, work product privilege and
confidentiality
b. Rule 2.3: Evaluation for use by a third party
i. You can write an evaluation for use by a third party if the
lawyer reasonably believes that making the evaluation is

26
 compatible with other aspects of the lawyer’s relationship w/
the client.
ii. When the lawyer knows or reasonably should know that the
evaluation will be materially adverse to your client, the lawyer
can only provide the evaluation when given consent by the
client
iii. Fully inform your client (rule 1.4), and let them know the letter
is not confidential
VIII. Problem 23
a. Rule 3.1: Filing a complaint
i. Can’t file a frivolous claim
1. When you don’t have any issues in your client’s case,
you send the court a brief stating this
ii. The claim must have factual evidentiary support
iii. Not filed for improper purposes
b. Delay as a tactic
i. Rule 3.2: Expediting litigation
1. Lawyer should make reasonable effort to expedite
litigation
2. Must be substantial purpose other than delay
c. Lawyer can’t lie about witness being unavailable at trial (Rule
3.3)
d. Rule 3.4: Fairness to opposing party and counsel
i. A lawyer shall not:
1. Request a person other than a client to refrain from
giving information to another party unless:
a. The person is a relative or an employee or agent
of a client; AND THEN ONLY IF 
i. The lawyer reasonably believes the
person’s interests will not be adversely
affected by refraining from giving
information
2. obstruct party’s access to evidence;
3. alter, destroy , or conceal an item with potential
evidentiary value;
4. falsify evidence or assist another to falsify evidence,
5. offer an illegal inducement to a witness;
6. knowingly disobey a court rule or order, except an open
refusal based on an assertion that no valid obligation
exists;
7. make a frivolous discovery request
8. fail to make diligent effort to comply with discovery
requests;
9. In trial: 1) allude to a matter the lawyer does not
reasonably believe a relevant or is not supported by
admissible evidence, 2) state personal knowledge of

27
 facts 3) or personal opinion as to the justness of a cause,
a witness’s credibility the culpability of civil litigant or
the guilt or innocence of an accused
IX. Third Party Neutrals
a. Mediators and Arbitrators
i. Rule 2.4: Lawyer serving as a third-party neutral
1. A lawyer serving as a third party neutral shall:
a. Inform unrepresented parties the lawyer is not
representing them and;
b. Explain to them the difference between the
lawyer’s role as a third party neutral and as
counselor
X. Other Rules
a. Duty to tell court adverse law
i. Rule 3.3: Candor Toward The Tribunal
1. A lawyer shall not knowingly:
a. 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.
i. Lawyer knowingly
ii. Fails to disclose
iii. To the tribunal
iv. Legal authority
v. In the jurisdiction (higher or equal court)
vi. Direct adverse to a lawyer’s client
1. If you have a case that is arguably
relevant, the court should know
about it
vii. Not already disclosed by opponent

b. Duty to tell court adverse facts

i. General rule: No duty to disclose adverse facts or witnesses
without a request
ii. Exceptions:
1. Have to disclose if your client is dead
2. Have to disclose the truth about the identity of the client
a. General rule: The identity of your client is not
confident and not a secret
b. Limited exception: Last link doctrine  if
disclosure of the identity will link him to some
crime or embarrassment, then you can withhold
his name
i. Only recognized in a few states
3. Duty to disclose adverse facts in a ex parte proceeding
a. Order of protection

28
XI. Perjury
a. Duty of Candor
i. Lawyer has a duty to disclose candor (being open and honest)
and cannot make a false statement
ii. Lawyer cannot knowingly present false evidence to the court
the he knows is false
iii. The lawyer doesn’t have to put the witness on the stand of the
witness is going to lie  it is a means not an objective and the
lawyer has the final say in regards to that
1. Rule 3:3  Other than the testimony of a defendant in a
criminal case, a lawyer MAY refuse to offer evidence the
lawyer reasonably believes is false
iv. When lawyer knows that a client is going to lie on the
stand, the lawyer must:
1. Perform remonstration  heart to heart with client
a. State the penalties of perjury  increase of
sentence
b. Explain you will withdraw from case
c. Tell him you will have to tell the judge he’s going
to lie (exception to the attorney/client privilege)
d. Remind him that he will be cross-examined
2. The level of knowledge
a. Actual knowledge can be obtained by inference
i. When there is no actual knowledge but
the lawyer reasonably believes that the
evidence is false, the law has the option as
to whether he wants to put them on the
stand
b. Generally a very high burden to get passed
3. Withdrawal
a. Reason: irreconcilable conflict
i. Not usually granted  burdens the court
and doesn’t solve the problem
4. Take the narrative approach
a. Ask them what they would like to tell the court
i. Hard to cross and the defense cant bring
this up in closing argument
5. Pretend that nothing happened and put them on
stand, continuing with normal procedure
6. Bar the defendant from testifying
a. My interfere with his 6th amendment rights
b. Finding out after the fact about perjury
i. Try to convince your client to make good with the court
ii. You need to tell the court
1. The duty is over when the judgment is entered
2. The lie must be one of material fact

29
 a. If after the fact the lawyer learns the client or
lawyer’s witness has given material false
evidence, the lawyer shall take reasonable
remedial steps, including, if necessary, disclosure
to the tribunal

XII. Jury Communications

a. Rule 3.5
i. After a jury is discharged, a lawyer shall not communicate with
a juror or prospective juror if the:
ii. Communication is prohibited by law or court order
iii. Juror makes known to the lawyer a desire not to communicate;
or
iv. Communication involves misrepresentation, coercion, duress
or harassment
b. You can ask your friend to contact the juror but you typically
must not and if the social media site informs the person that you
have search or looked for their profile ( ex. LinkedIn), then you
cannot do it
XIII. Witness
a. Paying witness
i. Expert witnesses
1. Can’t be contingent on whether they win or lose
a. Can’t pay them for what they are going to testify
ii. Non- expert lay witness
1. General rule: They are only paid the subpoena fee, and
that’s it
a. Pay them a reasonable fee
b. Can pay them the statutory mileage amount
iii. Tape- recording
1. The ethics rules do not forbid it
a. In, IL there is no longer a eavesdropping law so
you can technically record
iv. Lawyer a witness
1. General rule: A lawyer can’t testify
a. It will confuse the jury
2. Exceptions:
a. Unless it relates to the value and nature of legal
services
b. Testimony relates to an uncontested issue
c. The lawyer’s removal (disqualification) puts
substantial hardship on the client
d. Imputation  unless a personal conflict  this
could be considered personal
XIV. Trial Publicity
a. Rule 3.6

30
 i. A lawyer who has participated or is participating in the
investigation or litigation of a case shall not make extrajudicial
statements the lawyer knows or reasonably should know will
be disseminated by means of public communication and pose a
serious and imminent threat to the fairness of the adjudicated
proceeding.
ii. Applies to prosecution and defense attorneys
iii. IL v. ABA Distinction
1. The ABA rule says  substantial likelihood of material
prejudice
b. Special responsibilities of a prosecutor
i. The prosecutor in a criminal case shall:
1. Not subpoena a lawyer before the grand jury or court to
give evidence about a client (past or present client)
unless the prosecutor reasonably believes:
a. The information is not privileged
b. The evidence is essential to the successful
completion of an investigation or prosecution
and
c. There is no feasible alternative to obtain the
information
XV. Advertising and Soliciting by Lawyers
a. Truth vs. False; Misleading Advertising
i. Rule: As long as it is true, then the court can’t prevent the
advertisement
1. You can put your cost for “routine services” (like
uncontested divorced)
ii. Rule: The state’s interest precede any first amendment right
when there is an issue with false, misleading advertisement
a. Protecting the dignity of the profession is not a
viable state interest
2. Can have reasonable restrictions on time, place and
manner
3. Disclaimers
4. Courts allow pictures in ads
iii. A false or misleading communication is one that:
1. Contains a material misrepresentation of fact or law or
2. Omits a fact necessary to make the statement as a whole
not materially misleading
iv. A true statement misleads if:
1. it omits a fact necessary to make lawyer’s
communication as a whole not materially misleading, or
2. There’s a substantial likelihood it will lead a reasonable
person to a specific conclusion about lawyer or her
services for which there is no reasonable factual
foundation

31
 a. You can’t guarantee results
b. Can talk about previous cases you have won
b. Solicitation
i. Rule 7.3: Direct contact with prospective clients
1. A lawyer shall not solicit a prospective client (in person,
live telephone call or real time electronic means) if a
significant motive is pecuniary gain, UNLESS the person
contacted:
a. Is a lawyer
b. Has a family, close personal, or prior client
relationship with the lawyer
i. Doesn’t include emails, voicemail, pre-
recorded telephone, letters
2. Lawyers shall not solicit clients by any means even if
not prohibited by (a), if:
a. The person made known to the lawyer a desire
not to be solicited; or
b. The solicitation involves coercion, duress or
harassment
3. *Written, recorded, electronic communications, in-
person, telephone, real-time electronic contact
a.
b. Written, recorded or electronic communications
from a lawyer soliciting a person known to be in
need of legal services shall include “Advertising
Material” on the outside envelope and at the
start and end of any recorded or electronic
communication, unless the recipient of the
communication is a person specified in
paragraphs (a)(1) or (a)(2)

c. Specializations
i. You can say that you are certified in your advertisements by
someone other than the state
1. IL has a disclaimer requirement
ii. Rule 7.4: Communication of Field of Practice and
Specialization
1. A lawyer may communicate that he practices in a
particular field of law
2. The Illinois Supreme Court does not recognize
certifications of specialties or expertise in an area of law
by a government or privacy agent, or group,
organization or association. Lawyer admitted to
practice before the Patent Office may use “Patent
Attorney” or similar

32
 a. *Except when identifying certificates, awards or
recognitions issued by an agency or
organizations, a lawyer can’t use the term
certified, specialist, expert to describe his
qualifications. If such terms are used to identify
certifications, awards or recognitions the
reference must:
i. be truthful, verifiable and not misleading;
ii. state that the ISC does not recognize
specialty certifications and the certificate,
award or recognition is not required to
practice in Illinois
iii. The IL and ABA distinction
1. The ABA rule states that a lawyer should not state or
imply that a lawyer is a certified as a specialist in a
particular field of law unless the lawyer has been
certified as a specialist by an organization that has been
approved by an appropriate state authority or program
approved by the ABA
XVI. Referral Fees
a. Generally
i. Also known as dividing fees between lawyers not in the same
firm
ii. Comes about in two ways:
1. If you share responsibility in the case
2. A true referral fee
iii. Rule 1.5:
1. A fee may be divided between lawyers, not in the same
firm, only if the:
a. Division is in proportionate to services
performed by each lawyer, or
b. Primary service performed by one lawyer is the
referral of the client to another lawyer and each
lawyer assumes joint financial responsibility for
the representation ( the malpractice); and
c. Client agrees to the division and share each
lawyer will receive and the agreement is
confirmed in writing and
d. Total fee is reasonable
iv. The ABA/ IL distinction:
1. The ABA deletes, “Primary service performed by one
lawyer is the referral of the client to another lawyer
and”
v. Fees with non lawyer
1. General rule: Cant share fees with non lawyer

33
 2. Exceptions: Nonlawyer employees included I a
compensation or retirement plan, even if the plan is
based on a profit-sharing arrangement; and
3. A lawyer may court-awarded (example: ACLU, 1983)
legal fees with a nonprofit organization that employed,
retained or recommended lawyer
a. Includes a non for profit bar association
vi. Reciprocal referral agreements between lawyer and non
lawyer
1. General rule: Can happen but can’t be exclusive and
the client is informed of the nature of the agreement
XVII. Supervisory Responsibilities of Lawyers
a. Rule 5.1:
b. partner or lawyer with managerial authority shall make
reasonable efforts to ensure the firm has measures assuring that
all lawyers obey the Rules
i. Covers governmental and corporate as well
c. Lawyers with supervisory authority over another lawyer shall
make reasonable efforts to ensure the lawyer conforms to the
Rules.
d. Lawyer is responsible for another lawyer’s violation of the Rules
if:
i. The lawyer orders or knowingly ratifies the conduct involved;
or
ii. The lawyer is a partner, manager, or has direct supervisory
authority over a lawyer and knows of the misconduct in time
to avoid or mitigate its consequences but fails to take
remedial action.
iii. Possible includes:
1. Contacting the other side
XVIII. Leaving a law firm
a. All clients must be notified when you are leaving a firm
b. Soliciting a client from a firm
i. Absent an agreement with the firm, , a lawyer leaving a law
firm may solicit firm clients:
1. Prior to leaving the firm:
a. Only with respect to firm clients on whose
matters the lawyer is actively and substantially
working and
2. Only after the lawyer has adequately and timely
informed the firm of the lawyer’s intent to contact firm
clients for that purpose; and
3. After ceasing employment in the firm, to the same
extent as any other non-firm lawyer
ii. ** Must make it clear that they don’t have to come with you
c. Restrictions on the right to practice

34
 i. A lawyer shall not participate in offering or making:
1. an employment or other agreement restricting a
lawyer’s right to practice after the relationship is ended,
except an agreement restricting retirement benefits.
2. An agreement in which a restriction in the lawyer’s
right to practice is part of the settlement of a client
controversy
a. You say you are going to retire and don’t, then
you don’t get your benefits
ii. Buying or selling practice
1. Lawyer may sell or purchase, and the estate of a
deceased lawyer ( or guardian of disabled lawyer) may
sell, a law practice, if:
a. Seller quits private practice in the geographic
area
b. The entire practice is sold
c. The seller gives written notice to each client
regarding:
i. The proposed sale;
ii. The client’s right to retain other counsel
or take his file; and
iii. Client’s consent to transfer file is
presumed if client doesn’t take action or
object within 90 days of receipt of the
notice.
1. If you cant contact the client then
you contact the seller
iv. After the sale, the lawyer can work for
government or corporation
1. Because IL is so big – doesn’t have
to be the entire state
2. The difference between IL and ABA:
a. The ABA says that the owner could sell part of
the practice while the IL rule says that all of it
must be sold
XIX. Pro-Bono Work
a. ABA rule:
i. Every lawyer has a professional responsibility to provide legal
services to those unable to pay. A lawyer should aspire to
render at least 50 hours of pro bono legal services per year.
ii. Lawyers can be appointed by the court to represent a client
1. Rule 6.2:
a. A lawyer shall not seek to avoid appointment by
a tribunal to represent a person except for good
cause, such as:

35
 i. Representing the client is likely to result
in violation of these Rules or other law;
ii. Representing the client is likely to result
in an unreasonable financial burden on
the lawyer; or
iii. the client or the cause is so repugnant to
the lawyer as to be likely to impair the
client-lawyer relationship or the lawyer's
ability to represent the client.
XX. Practice of law
a. Unauthorized Practice of Law
i. It must be a blatant unauthorized practice of law
b. Multijurisdictional Practice of Law
i. Lawyer admitted in another state may provide services on a
temporary basis in Illinois:
1. by associating with an Illinois lawyer who actively
participates in the matter;
a. with court permission ( pro hac vice) ( in this
instant case);
b. put that you are licensed and in good standing
c. they are familiar with the law in IL
d. if necessary to prepare a case in the lawyer’s
home state ( e.g., interview witnesses, take
depositions in Illinois)
e. if necessary to prepare a case in Illinois and
lawyer reasonable believes she will obtain
admission pro hac vice in that case;
i. this could be a general assumption if you
have not been disciplined
f. ADR (mediation, arbitration, etc.) in Illinois that
is “reasonably related” to lawyer’s practice in her
home state;
g. Other activities “reasonably related” to the
lawyer’s practice in her home state
c. Professional independence of lawyers
i. Lawyer cannot practice in the form of a corporation if a non
lawyer (if the corporation practices law, then these rules apply
or a lawyer or non lawyer are in a business and one practices
law and the other one doesn’t but they share the funds, this is
in violation of the rule) – if corporation is practicing law, that is
all it could do:
1. Owns any interest in the corporation
2. Is a corporation director or officer; or
3. Has the right to direct the lawyer’s professional
judgment

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XXI. Judicial Ethics
a. General
i. The rules are to maintain judicial impartiality – to be impartial
and to appear impartial; the public expects an impartial judge
1. Impartial defined:
a. The judge does not favor either party – as to the
people standing in front of you
b. Open minded
b. Three overreaching rules
i. Judges have to be free from impropriety or appearance of
impropriety
ii. Judges cant misuse the prestige of office
iii. Judges are impartial and must appear impartial
c. Rule 2.8
i. A judge shall require order and decorum in court.
ii. A judge shall be patient, dignified, and courteous to litigants,
jurors, witnesses, lawyers, court staff, court officials, and
others with whom the judge deals in an official capacity, and
shall require similar conduct of lawyers, court staff, court
officials, and others subject to the judge’s direction and control
d. Rule 2.3
i. A judge shall perform the duties of judicial office, including
administrative duties, without bias or prejudice.
ii. A judge shall not, in the performance of judicial duties, by
words or conduct manifest bias or prejudice, or engage in
harassment, including but not limited to bias, prejudice, or
harassment based upon race, sex, gender, religion, national
origin, ethnicity, disability, age, sexual orientation, marital
status, socioeconomic status, or political affiliation and shall
not permit court staff, court officials, or others subject to the
judge’s direction and control to do so.
e. Cases that Judges can’t handle
i. Relative – party or lawyer
ii. Relative – 3rd degree
iii. Judge has specific / personal knowledge of the facts
iv. Judge or relatives has an economic interest in the case –
usually applies to shares of stock
1. E.g. – in business with the person
2. In fed court, if you own one share, you are out of the
case
3. The aba rule and IL rule: if your economic interest is
de minimums (such a small amount that it couldn’t
reasonably affect the judges impartiality), like one
share, you can stay in the case
v. Handled same case as a lawyer

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 vi. A government attorney that becomes a lawyer handle a case
that he personally and substantial was involved with as a
government employee
vii. If the judge heard the case at a lower court level
viii. Personal bias or prejudice against the party or lawyer
ix. Catch all: judge shall disqualify himself in which their
impartiality might reasonably be questioned
f. Ex Parte Communications
i. General rule: No ex parte communications ( any
communications about a pending case)
ii. Exceptions:
1. When circumstances require for scheduling,
administrative purposes, or emergencies (non-
substantive matters) ex parte communications are
permitted if the:
a. Judge believes no party will gain an advantage
from the communication; and
b. Judge makes provisions promptly to notify all
parties of the substance of the communication,
and allows an opportunity to respond
i. Emergency restraining order hearings –
authorized by law
ii. Permission for the purpose of a
settlement
iii. Staff or another judge
c. ABA rule: judge consults an expert on an issue
that he is unaware of
i. Must give knowledge to the attorneys
ii. In IL you cannot do that, even if the
parties agree!; cant contact an outside
expert
g. Extrajudicial activity
i. Cant take too much time on your job or affect the impartiality
ii. Judge cannot solicit funds for any kind of organization
iii. Don’t misuse the prestige of the office
1. Can be a guest speaker at a law related fundraiser
2. Under IL rule, you can be a guest of honor or speaker at
a non law related fundraiser

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