The MRPE/PR

1. Regulations of the Legal Profession

a. Powers of courts and other bodies to regulate lawyers
i. The State
1. Courts
a. The ultimate power is with the highest court of the state
2. Bar associations
3. Congress and state legislature
ii. The federal system
1. Courts
2. Government attorneys
iii. Regulations by multiple states
1. ABA 8.5(a) A lawyer is subject to regulation by each state in which the lawyer is admitted to
practice, regardless of where the lawyer actually practices law or where the lawyer’s conduct
occurred
2. ABA 8.5(b) – Choice of Law
a. The disciplinary authority of the jurisdiction in which the tribunal sits will apply for
conduct in connection with a matter pending before a tribunal
b. Admission to the profession
i. The application
1. ABA 8.1(a) False statements
a. An application for admission to the bar, must not knowingly made a false statement of
material fact – subject to discipline
2. ABA 8.1(b) Failure to Disclose Information
a. An application for admission to the bar must not
i. Fail to disclose a fact necessary to correct a misapprehension known by the
person to have arisen in the matter or
ii. Knowingly fail to respond to a lawful demand for information from an
admissions authority
ii. Character and fitness – “good moral character”
1. Conduct relevant to moral character:
a. Criminal conduct
i. The crime in question must involve moral turpitude such as a crime involving
intentional dishonestly or violence
b. Rehabilitation
c. Concealment of Past conduct constitutes moral turpitude
i. False statements or concealment of facts in response to an inquiry by the
admissions committee is itself evidence of sufficient lack of moral character to
deny admission
d. Political activity
i. An applicant who refuses to take the oath to uphold the state and federal
constitution may be denied admission
c. Regulation after admission – the lawyers discipline
i. Misconduct
1. ABA 8.4(a) – violation of the RPC

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 a. Violate or attempt to violate any of the RPC
b. Knowingly assist or induce another person to violate the RPC
c. Use the acts of another person to commit a violation
2. ABA 8.4(b) – Certain criminal acts
a. A lawyer is subject to discipline for committing a criminal act that reflects adversely on
her honestly, trustworthiness, or fitness as a lawyer in other respects
3. ABA 8.4(c) – dishonesty, fraud, deceit, or misrepresentation
a. Any conduct involving dishonesty, fraud, deceit, or misrepresentation constitution
professional misconduct
4. ABA 8.4(d) – conduct prejudicial to the administration of justice
a. A lawyer is subject to discipline for engaging in conduct that is prejudicial to the
administration of justice
5. ABA 8.4(e) – stating or implying the ability to improperly influence officials
a. A lawyer must never state or imply that she has the ability to improperly influence a
government agency or official or to achieve results by means that violate the RPC or
the law
6. ABA 8.4(f) – assisting a judge in violation of judicial code
a. A lawyer is subject to discipline for knowingly assisting a judge or judicial officer in
conduct that violates the Code of Judicial Conduct or other law
7. ABA 8.4(g) – harassment or discrimination in law practice
a. A lawyer must not, in conduct related to the practice of law, engage in conduct that
the lawyer knows or reasonably should know is harassment or discrimination on the
basis of race, sex, religion, national origin, ethnicity, disability, age, sexual orientation,
gender identity, marital statute, or socioeconomic status
i. You can still accept, decline, or withdraw from representation in accordance
with ABA 1.16
ii. The Discipline process
1. File a complaint – usually with the state bar
2. The bar will screen the complaint
a. Dismiss or
b. Schedule a hearing
3. If there is a hearing
a. Due process required (right to counsel, proper notice, cross examine)
b. Other rights
i. No exclusionary rule under the 4th amendment (illegal searches will be
admitted)
ii. 5th amendment does apply
c. Burden of proof
i. POE
4. Types of sanctions
a. Private or public reprimand or censure
b. Suspension
i. definite period of time, automatically restated
c. Disbarment
i. permanent revocation, attorney may apply for readmission upon rehabilitation
d. Mandatory and permissive reporting of professional misconduct
i. Duty to Report Misconduct of Others

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 1. ABA 8.3(a) – other members
a. A lawyer who knows (actual knowledge) that another lawyer has violation the RPC in
such a way that it raises a substantial question as to that lawyers honestly,
trustworthiness, or fitness as a lawyer MUST report the violation to the appropriate
authority
2. ABA 8.3(b) – reporting judges
a. A lawyer who knows (actual knowledge) that a judge has violated the Code of Judicial
Conduct in a way that raises a substantial question as to the judge’s fitness for office
must report the violation to the appropriate authorities
3. You MAY report suspected misconduct!
4. ABA 8.3(c) – duty of confidentiality
a. This rule does not require the disclosure of information protected by the
confidentiality rules (privileged communications/lawyers assistance programs)
5. You will be subject to discipline for not reporting
e. Unauthorized practice of law – by lawyers and nonlawyers
i. ABA 5.5(a) – unauthorized practice
1. A lawyer is subject to discipline for practicing in a jurisdiction where she is not admitted to
practice and
2. A lawyer is subject to discipline for assisting a nonlawyer to engage in the unlicensed practice
of law
ii. ABA 5.5(b) – exceptions
1. Unless, that jurisdictions laws/ethic rules allow an unpermitted lawyer, but she must not
a. Represent that she is admitted to practice in that jurisdiction or
b. Establish an office or other systematic or continuous presence for the practice of law
in that jurisdiction
iii. ABA 5.5(c) – temporary practice
1. If a lawyer is admitted to practice in one state, and is not disbarred or suspected then she may
provide legal services temporarily
a. If she associates with a local lawyer who actively participates in the matter
b. If she requests special permission for a local court to practice “pro hac vice”
c. If she mediates, arbitrates, or engages in another form of ADR if her services arise out
of, or are reasonably related to, her practice in the state in which she is admitted
d. If the lawyer’s out-of-state practice is reasonably related to the lawyer’s home state
practice
i. Catch all provision
iv. ABA 5.5(d) – Permissible permanent practice
1. A lawyer who is admitted in one jurisdiction and who is not disbarred from practice may open
a law office and establish a systematic and continuous practice in a different jurisdiction in two
limited situations
a. Salaried employees of their only client (in-house counsel)
b. Federal or local law authorizes a lawyer to practice a restricted branch of law in a state
in which he is not otherwise admitted to practice
f. Multijurisdictional practice
i. ABA 8.5(a) a lawyer who is admitted to practice in another jurisdiction is subject to the disciplinary
rules of both, where the misconduct occurred and where the lawyer is admitted to practice
g. Fee division with a nonlawyer
i. ABA 5.4(a) a lawyer must not share her legal fee with a non-lawyer, except:

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 1. Death benefits
a. The lawyers in a firm may agree that, when one of them dies, the others will pay a
death benefit over a reasonable period of time to the dead lawyer’s estate or
designated person
2. Purchasing the practice of a deceased, disabled, or disappeared lawyer
a. One who buys the practice of a dead, disabled, or disappeared lawyer may pay the
purchase price to the estate or representatives of the lawyer
3. Retirement plans
a. The nonlawyer employees of a firm may be included in a compensation or retirement
plan even though the plan is based on a profit sharing agreement.
4. Nonprofit organization
a. The lawyer may share the fee with a nonprofit organization that hired or
recommended him as counsel
h. Law firm and other forms of practice
i. ABA 5.4(b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the
partnership consist of the practice of law
ii. ABA 5.4(d) a lawyer shall not practice with or in the form of a professional corporation or association
authorized to practice law for a profit if
1. A nonlawyer owns any interest (except an estate of a lawyer may hold the interest for a
limited amount of time for death)
2. A nonlawyer is a corporate director or officer
3. A nonlawyer has the right to direct/control the professional judgement of a lawyer
i. Responsibilities of partners, managers, supervisory, and subordinate lawyers
i. Manager/partners/supervisors
1. ABA 5.1(a)(b) a partner/manager/direct supervisor in a law firm shall make reasonable efforts
to ensure that the firms lawyers conform to the rules
2. ABA 5.1(c) a lawyer will be responsible for another lawyer when
a. The lawyer orders or ratifies the conduct involved
b. The lawyer is a partner/manager/direct supervisor and knows of the conduct at the
time when its consequences can be avoided or mitigated and the lawyer fails to take
reasonable remedial action
ii. Subordinate lawyers
1. ABA 5.2(a) a lawyer is bound by the rules regardless that the lawyer acted at the direction of
another
2. ABA 5.2(b) a subordinate lawyer does not violate the rules when he acts in accordance with a
supervisors reasonable resolution of an arguable question of professional duty
iii. Nonlawyer assistance
1. ABA 5.3(a)(b) a partner/manager/direct supervisor in a law firm shall make reasonable efforts
to ensure that the firms nonlawyers conform to the rules
2. ABA 5.3(c) a lawyer will be responsible for another nonlawyer when
a. The lawyer orders or ratifies the conduct involved
b. The lawyer is a partner/manager/direct supervisor and knows of the conduct at the
time when its consequences can be avoided or mitigated and the lawyer fails to take
reasonable remedial action
j. Restrictions on the right to practice
i. ABA 5.6(a) A lawyer must neither make nor offer a partnership or employment or similar agreement
that restricts a lawyers right to practice after termination of the relationship

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 1. Exception, an agreement concerning benefits upon retirement
ii. ABA 5.6(b) A lawyer must neither make nor offer an agreement in which a restriction on the lawyers
right to practice is part of the settlement of a client controversy
2. The Client-Lawyer relationship
a. Formation of client lawyer relationship
i. A lawyer-client relationship arises when
1. A person manifests an intent that the lawyer provide legal services and the lawyer agrees, or
2. A person manifests an intent to have the lawyer represent him, the lawyer fails to make clear
that he does not want to undertake representation, and the lawyer knows or should know that
the prospective client is reasonably relying on the lawyer to provide the services, or
3. A tribunal appoints the lawyer to represent the client
a. ABA 6.2 provides that a lawyer must not seek to avoid such an appointment except for
good cause:
i. ABA 6.2(a) a lawyer must decline a court appointment if to accept it would
require the lawyer to violate the law or disciplinary rules
ii. ABA 6.2(b) a lawyer may seek to be excused from an appointment if to accept
it would impose an unreasonable financial burden on the lawyer
iii. ABA 6.2(c) a lawyer may seek to be excused from a court appointment if the
lawyer finds the client or the cause so repugnant that the lawyer client
relationship would be impaired or the lawyer could not represent the client
effectively
ii. A lawyer MUST reject employment when:
1. ABA 4.4(a) a lawyer must reject any case where he believes that embarrassment, delay, or
burden on a third party is the prospective clients motive.
2. ABA 3.1 a lawyer who is serving as an advocate in a legal proceeding must not take a position
that is either factually or legally frivolous.
3. ABA 1.1 a lawyer must reject a case if he is too busy or too inexperienced to handle the matter
competently
4. ABA 1.16(a)(1) if a lawyers personal feelings about a case are so strong that they would impair
is ability to effectively represent the client, he must refuse
5. ABA 1.16(a)(2) a lawyer must decline a case if his mental or physical condition would
materially impair his ability to represent a client
b. Scope, objective, and means of representation
i. The scope and objective of a lawyer’s representation of a client may be defined and limited by
agreement between the lawyer and client.
1. In the absence of such agreement, the lawyer should pursue a client’s objective in all
reasonable available legal ways.
ii. ABA 1.2(d) a lawyer must not advice or assist a client to commit a crime or fraud, but the lawyer must
discuss the legal consequences of a proposed course of action with the client and a lawyer may help
the client determine the validity, scope, and meaning of the law
iii. ABA 1.2(a) a lawyer may take actions that are impliedly authorized to carry out the representation
1. The client makes the key decisions that affect the client’s substantial legal rights.
a. Whether to accept a settlement offer
b. What plea to enter in a criminal case
c. Whether to waive a jury trial in a criminal case
d. Whether the client will testify in a criminal case
e. Whether to appeal
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 iv. ABA 1.2(c) a lawyer may limit the scope of the representation if the limitation is reasonable under the
circumstances, and the client gives informed consent
v. ABA 1.2(b) a lawyers representation of a client, does not constitute an endorsement of the clients
political, economic, social or moral views or activities
c. Decision making authority and means of the representation
i. If client and lawyer disagree
1. The client usually defers to their lawyers about issues of law, tactics, and objectives
2. The lawyer normally defers to the client about questions of expense and concern for third
person who might be affected by a legal tactic
d. Counsel and assistance within the bounds of the law
i. Clients with diminished capacity:
1. ABA 1.14(a) a lawyer has a duty, so far as reasonably possible, to maintain a normal lawyer-
client relationship with the client.
2. ABA 1.14(b) when the client has diminished capacity and faces a risk of substantial physical,
financial, or other harm the lawyer may take reasonable actions to protect the client. These
actions include – consulting with people or entities that can protect the client, and when
appropriate seeking the appointment of a guardian
3. ABA 1.14(c) the lawyer has implied authority to reveal the clients confidential information, but
only to the extent necessary to protect the client.
e. Termination of the client-lawyer relationship
i. Once established, the lawyer-client relationship ordinarily continues until the completion of the work
for which the lawyer was hired – however, the relationship can end prematurely in three ways
1. Client Fires Attorney
a. ABA 1.16(a)(3) if the lawyer is discharged the lawyer shall not represent that client.
2. Attorney may withdraw with Court permission
a. ABA 1.16(b)(1) if withdrawal can be accomplished without material adverse effect on
the interests of the client
b. ABA 1.16(b)(2) if the client persists in a course of action involving the lawyer believes is
criminal or fraudulent
c. ABA 1.16(b)(3) if the client has used the lawyers services to perpetrate crime or fraud
d. ABA 1.16(b)(4) the client insists upon taking action involving that the lawyer considers
repugnant or with which the lawyer has a fundamental disagreement
e. ABA 1.16(b)(5) the client fails to fulfill an obligation to the lawyer regarding the
lawyers services
f. ABA 1.16(b)(6) the representation will result in an unreasonable financial burden on
the lawyer or has been rendered unreasonably difficult by the client
g. ABA 1.16(b)(7) other good cause
3. Mandatory withdrawal
a. ABA 1.16(a)(1) if representation will result in violation of the rules of professional
conduct or other law
b. ABA 1.16(a)(2) the lawyer’s physical or mental condition materially impairs the
lawyer’s ability to represent the client
ii. The Lawyers duties upon termination
1. ABA 1.16(d) The lawyer must take reasonable steps to protect the clients interest
a. Provide the client reasonable notice of withdrawal
b. Provide their clients with time to obtain another attorney
c. Refunding attorney’s fees paid in advanced and not yet earned

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 d. Return all paper and property to which the client is entitled
f. Client-lawyer contracts
g. Communication with the client
i. ABA 1.4(a)(1) a lawyer must promptly inform the client of any decision or circumstances that requires
the clients informed consent.
ii. ABA 1.4(a)(2) reasonably consult with the client about the means by which the clients objects are to be
accomplished
iii. ABA 1.4(a)(3) keep the client reasonably informed about the status quo of the matter
iv. ABA 1.4(a)(4) the lawyer must promptly comply with reasonable requests for information
v. ABA 1.4(a)(5) if the client expects the lawyer to do something that is either illegal or unethical, the
lawyer must consult with the client and explain why she cannot do what the client wants
vi. ABA 1.4(b) a lawyer shall explain a matter to the extent reasonably necessary to permit the client to
make informed decisions regarding the representation
1. If the client would be likely to react imprudently to an immediate communication, the lawyer
may delay the transmission of information.
h. Fees
i. ABA 1.5(b) The basis or rate of the fee and the expenses for which the client will be responsible must
be communicated to the client, preferably in writing, before or within a reasonable time after
commencing the representation.
ii. ABA 1.5(a) a court will not enforce a contract for an unreasonably high attorney’s fee or an
unreasonably high amount for expenses, and the attorney is subject to discipline for trying to exact
such a fee or expense
1. Factors to determine reasonableness
a. Time and labor requirements
b. Novelty and difficulty
c. Skill
d. Fee customarily charged
e. The work will preclude the lawyer form doing fee paying work for others
f. Nature and length of the relationship
g. Experience, reputation, and ability of the lawyer
2. You cannot charge a client for ordinary overhead expenses but may charge for the actual cost
to the attorney (photocopies, computer research, special deliveries)
3. You cannot charge the client more than the lawyers actual cost for services provided by third
parties – court reporters, travel agents, and expert witnesses
4. You cannot double bill clients – working on an airplane for client A while flying for client B. The
lawyer can choose which one to bill.
iii. ABA 1.5 a lawyer may require her fee to be paid in advance, but she must refund any unearned part of
the advance if she is fired or withdraws
1. NOTE: a retainer does not have to be refunded (this is an amount which guarantees the
lawyers availability)
iv. Contingent fees:
1. Cannot use contingent fees:
a. ABA 1.5(d)(2) a lawyer is subject to discipline for using contingent fee arrangement
when defending a person in a criminal case
b. ABA 1.5(d)(1) a lawyer is subject to discipline for using a contingent fee in a domestic
relations case when the contingency is based on the securing of a divorce, the amount
of alimony or support, or the amount of a property settlement

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 i. However, a lawyer may use a contingent fee in a suit to recover money that is
past due under an alimony or support decree
2. Writing requirement for Contingent Fees:
a. ABA 1.5(c) a contingent fee agreement must be in a writing signed by the client, and
the writing must state
i. How the fee is to be calculated
ii. What litigation and other expenses are to be deducted
iii. Whether deductions for expenses will be made before or after the contingent
fee is calculated
iv. What expenses the client must pay, whether or not she wins the case
1. At the end of a contingent fee case, the lawyer must give the client a
written statement showing the outcome of the case, the remittance to
the client, and how the remittance was calculated.
v. Splitting free with inside lawyers
1. In general, a lawyer must not split a legal fee with another lawyer. With 3 exceptions
a. Lawyers inside the firm
b. A law firm may make payments to a former partner or associate under a separation or
retirement agreement
c. Certain splits with outside lawyers
vi. Splitting Fees with outside lawyers
1. ABA 1.5(e) a lawyer is permitted to submit a single bill to a client, and then split the fee if
a. The fee is reasonable
b. The split is proportional to the services performed by each lawyer,
c. The client agrees to the split in a writing that discloses the share each lawyer will
receive.
3. Client Confidentiality
a. Attorney-Client Privilege
i. This is an exclusionary rule of evidence law – it prohibits a court or other governmental tribunal from
compelling the revelation of confidential communications between an attorney and a client (if the
subject of communication concerns the professional relationship between them)
1. Does not protect
a. The mechanical details of the relationship
i. Identity of the client
ii. Fee arrangement
iii. Bare fact that the attorney is acting for the client
b. Preexisting documents and things
i. The client cannot protect existing documents or things from discovery simply
by turning it over to the attorney
1. Ex: the gun in a crime (the attorney can hold onto it for long enough to
obtain any helpful information)
ii. The client is the holder of the privilege! But it is the lawyers job to invoke the privilege on the clients
behalf
iii. The privilege continues indefinitely and even survives the death of the client
b. Work-Product Doctrine
i. Material prepared by a lawyer for litigation or in anticipation of litigation is immune from discovery or
other compelled disclosure unless the opposition shows a substantial need for the material and an
inability to gather the material without undue hardship
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 c. Professional obligation of confidentiality – general rule
i. ABA 1.6(a) a lawyer shall not reveal any information relating to the representation of the client, unless
the client gives informed consent or if the disclosure is impliedly authorized to carry out the
representation.
d. Other exceptions to the confidentiality rule
i. The lawyer may reveal information relating to the representation of a client if the lawyer believes
necessary
1. ABA 1.6(b)(1) to prevent reasonably certain death or substantial bodily harm
2. ABA 1.6(b)(2) to prevent the client from committing fraud or crime that is reasonably certain
to result in substantial injury to the financial interests or property of another
3. ABA 1.6(b)(4) to secure legal advice about the lawyers compliance with these rules
4. ABA 1.6(b)(5) to establish claim or defense on behalf of the lawyer in controversy between the
lawyer and the client, or to respond to allegations in any proceeding concerning the lawyers
representation of the client
5. ABA 1.6(b)(6) to comply with other law or a court order
6. ABA 1.7(b)(7) to detect and resolve conflicts of interest arising from the lawyers change of
employment or from changes in the composition or ownership of a firm
4. Conflicts of Interest
a. Current client conflicts – multiple clients and joint representation
i. How to tell when a conflict exists
1. ABA 1.7(a) a lawyer must not represent a client if a concurrent conflict of interest exists.
a. A concurrent conflict exists when
i. The representation of one client will be directly adverse to another client
ii. There is a significant risk that the representation of one or more clients will be
materially limited by the lawyers responsibilities to another client, former
client, or a third person, or by the personal interest of the lawyer
1. Personal interests include
a. Financial interests
b. Close relatives
c. Sexual relationship with client
ii. What to do if you still want to represent
1. ABA 1.7(b) if a conflict exists, the lawyer may still represent a client if:
a. The lawyer reasonably believes that the lawyer will be able to provide competent and
diligent representation to each affected client
b. The representation is not prohibited by law
c. The representation does not involve the assertion of a claim against another client
represented by the lawyer in the same litigation or other proceeding before a tribunal
d. Each affected client gives informed consent, confirmed in writing.
i. ABA 1.7 Comment 21: consent can be revoked
iii. If a conflict of interest is apparent before a lawyer takes on a client, the lawyer must not take on the
client
iv. If a conflict of interest is apparent only after the lawyer takes on the clients matter, and if informed
consent of the affected clients will not solve the problem, the lawyer must withdraw
v. Joint representation:
1. ABA 1.7 Comment 23: a lawyer should not try to defend two people in a criminal case because
of the possibility of diverging interests

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 2. ABA 1.7 Comment 23: a lawyer may represent two plaintiffs or two defendants in civil litigation
whose interests are potentially in conflict, but only if the lawyer takes the four steps for
handling the situation
a. The lawyer should analyze the facts of the case, and if she concludes that she can
effectively represent both clients – she can move to step two
b. She should disclose the potential of conflict to both clients
c. The two clients give informed consent, confirmed in writing.
d. If the potential conflict eventually ripens into a present conflict the lawyer must
withdraw from the joint representation if a reasonable lawyer would have to advice
either of the two clients to not consent
vi. Unnamed members of a class
1. ABA 1.7 comment 25: in a class action litigation, the unnamed members of a class ordinarily
are not regarded as clients for conflict of interest purposes
vii. Aggregate Settlement Claims:
1. ABA 1.8(g) a lawyer must not participate in the making of an aggregate settlement agreement
unless
a. Each client gives informed consent, in a writing signed by the client
b. The lawyer must disclose to each client all of the terms of the aggregate settlement
b. Current client conflicts – lawyers personal interest or duties
i. Wills and Gifts
1. ABA 1.8(c) the lawyers must not solicit any substantial gift from a client, not the lawyers
relative – but the lawyer may accept small gifts from the client. Additionally, the lawyer must
not prepare a legal instrument that creates a substantial gift to the lawyer, except when it’s
the lawyer’s relative.
ii. Media rights
1. ABA 1.8(d) a lawyer must not acquire literary or media rights to a story based in substantial
part on information relating to the lawyers representation of a client. But the lawyer may
acquire such rights after the clients legal matter is entirely completed, appeals and all
iii. Financial Assistance in Litigation
1. ABA 1.8(e) a lawyer must not financially assist a client in connection with pending or
contemplated litigation.
a. ABA 1.8(e)(1) A lawyer may advance court costs and other litigation expenses on the
clients behalf, and repayment may be contingent on the outcome of the case
2. ABA 1.8(e)(2) a lawyer may simply pay the court costs and litigation expenses for an indigent
client without any provision for repayment
c. Former client conflicts
i. An attorney has a continuing obligation to preserve information gained in confidence during the
representation – the duty does not cease when the representation ends
ii. General Rule
1. ABA 1.9(a) a lawyer who has formally representing a client in a matter must not later represent
another person in the same or substantially related matter in which that persons interest are
materially adverse to the interests of the former client unless the former client gives informed
consent, confirmed in writing.
a. You must not oppose the former client in any matter in which the confidential
information would be relevant
b. ABA 1.9 comment 3: A lawyer may oppose that former client in a wholly different
problem of the same general type

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 iii. Clients of Former Firms
1. ABA 1.9(b) a lawyer whose firm formerly represented a client in a matter and who acquired
protected confidential information (1.6) or information pertaining to the representation (1.9c)
may not thereafter represent another person in the same or substantially related matter if that
persons interest are materially adverse to those of the former client, unless the former client
gives informed consent, confirmed in writing.
iv. Using Confidential information to Former Clients disadvantage
1. ABA 1.9(c) when a lawyer has obtained confidential information from a former client, the
lawyer must not thereafter use the confidential information to the form clients disadvantage,
unless the former client gives informed consent, confirmed in writing.
a. This rule does not apply to information that has become generally known
b. This rule does not apply to any information the lawyer would be allowed to reveal or
use under an exception to the general rule of confidentiality
v. Disqualification of former firm
1. ABA 1.10(b) a lawyers former firm is prohibited from representing a person with interests
materially adverse to those of a client of the formerly associated lawyer if
a. The matter is the same or substantially related to that in which the formerly associated
lawyer represented the client
b. The lawyer remaining in the firm has information protected by 1.6 and 1.9(c)
d. Prospective client conflicts
i. General Rule:
1. ABA 1.18(a) a person who consults with a lawyer about the possibility of forming a client-
lawyer relationship with respect to a matter is a prospective client
2. ABA 1.18(b) even when no client lawyer relationship ensures, a lawyer must not reveal or use
information learned form a prospective client, unless an exception to the duty of
confidentiality applies
ii. The lawyers duty concerning the conflict
1. ABA 1.8(c) a lawyer who obtains confidential information during a consultation with a
prospective client must not later represent a different person in the same or substantially
related matters if the confidential information could significantly harm the prospective client.
This conflict will be imputed to other lawyers in the firm
iii. How to overcome the conflict:
1. ABA 1.8(d) when a lawyer has received disqualifying information, representation is possible if
a. 1.8(d)(1) both the affected client and the prospective client give informed consent,
confirmed in writing
b. 1.8(d)(2) the lawyer who held discussions with the prospective client took care to
avoid exposure to any more confidential information than was 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 party of the fee, and
ii. Give written notice to the prospective client.
e. Imputed conflicts
i. ABA 1.10(a) when one lawyer cannot take on a matter because of a conflict of interest, the other
lawyers in the firm are also barred from taking on that matter, unless
1. ABA 1.10(a)(1) The conflict is based on the personal interests of the lawyer
2. ABA 1.10(a)(2) the conflict is based on the disqualified lawyers association with a prior firm
and is

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 a. timely screened from any participation
b. Prompt written notice is given to the affected clients detailing
i. A description of the screening procedures employed
ii. A statement of the firm and lawyer’s compliance with the provisions of this
Rule
iii. A review may be available before a tribunal
iv. And an agreement by the firm to respond promptly to any written inquiries or
objections by the former client about the procedures
c. certification of compliance with these Rules are provided to the former client at
reasonable intervals upon the former clients written request and upon termination of
the screening procedures.
f. Acquiring an interest in litigation
i. ABA 1.8(i) a lawyer must not acquire a proprietary interest in the cause of action or the subject matter
of litigation that the lawyer is conducting for the client, except:
1. ABA 1.8(i)(1) the lawyer may acquire a lien authorized by law to secure the lawyers
lee/expenses.
2. ABA 1.8(i)(2) the lawyer may contract with a client for a reasonable contingent fee in a civil
case
g. Business transaction with clients
i. ABA 1.8(a) (“three writings rule”) a lawyer must not enter into a business transaction with a client or
knowingly acquire an ownership, possessory, security, or money interest adverse to the client, unless
1. ABA 1.8(a)(1) The terms of the business transaction are fair to the client
2. ABA 1.8(a)(2)The client is advised in writing that he should get the advice of an independent
lawyer about the arrangement before entering into it!
3. ABA 1.8(a)(3) The terms are fully disclosed to the client in writing and cover the essential terms
of the transaction and the lawyers role in the transaction
h. Third party compensation and influence
i. ABA 5.4(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 lawyers professional judgement in rendering such
legal services
ii. ABA 1.8(f) a lawyer must not accept compensation from a third person for representing a client, unless
three conditions are met
1. ABA 1.8(f)(1) the client gives informed consent
2. ABA 1.8(f)(2) The third person does not interfere with the lawyers independence or the
representation of the client and
3. ABA 1.8(f)(3) the arrangement does not compromise the clients confidential information
i. Lawyers currently or formerly in government service
i. Private work following government work on same matter (prosecutors)
1. ABA 1.11(a) a lawyer who leaves government service and enters private practice must not
represent a private client in a matter in which the lawyer participated personally and
substantially while in government service, unless the government agency gives informed
consent, confirmed in writing
2. ABA 1.11(b) when a lawyer is disqualified, no lawyer in a firm with which that lawyer is
associated any knowingly undertake or continue representation in such a matter unless
a. The disqualified lawyer is timely screened (no participation and apportioned no fee)
b. A written notice is given to the government
ii. Subsequent use of information gained during government service:

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 1. ABA 1.11(c) a government lawyer who receives confidential government information about a
person must not later represent a private client whose interests are adverse to that person,
when the information could be used to the material disadvantage of that person.
a. This applies to information actually received by the government lawyer and gained
under government authority and which the government is prohibited from revealing,
or has a privilege not to reveal, and which is not otherwise available to the public.
iii. Government work following private work
1. ABA 1.11(d) this rule applies to a person who becomes a government officer or employee after
private practice or other nongovernmental work
a. You cannot negotiate for private 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 (except serving as a law clerk/other adjudicative
officers/arbitrators subject to 1.12(b))
j. Former judge, arbitrator, mediator, or other third party neutral
i. Switching from Judge to Private Law
1. ABA 1.12(a) a lawyer must not represent a private client in a matter in which the lawyer has
earlier participated personally and substantially while serving as a judge or other adjudicative
officer or as a law clerk to such a person, or as an arbitrator, mediator, or other 3 rd party
neutral – unless all parties give consent confirmed in writing.
a. Leniency for arbitrators
i. ABA 1.12(d) an arbitrator selected as a partisan of a party in a multimember
arbitration panel is not prohibited from subsequently representing that party
ii. Other adjudicative officers negotiating for private employment
1. ABA 1.12(b) judges, arbitrators, mediators, third party neutrals, and other adjudicative officers
are forbidden to negotiate for private employment with a party (or the attorney for a party) in
a matter in which they are participating personally and substantially
iii. Screening can avoid imputed disqualification
1. ABA 1.12(c) if a lawyer is disqualified, everyone else in the lawyers firm is also disqualified
unless
a. The lawyer is timely screened
b. The lawyer is not apportioned any party of the fee
c. Written notice is given to the parties and the appropriate tribunal so they can ensure
that the foregoing conditions are met
5. Competence, Legal Malpractice, and Other Civil Liability
a. Maintaining competence
i. ABA 1.1 when representing a client, a lawyer must act competently, which requires the legal
knowledge, skill, thoroughness and preparation reasonably necessary for the representation.
b. Competence necessary to undertake representation
i. If you don’t have competence, drink some ALE
1. Comment 6 Associate with another lawyer to assist in the matter, with the client consent
2. Comment 4 Learn the material through preparation
3. Comment 3 Emergency situations
a. A lawyer may assist a client if referral to or consultation with another lawyer would be
impractical – but should not exceed what is reasonably necessary to meet the
emergency
c. Exercising diligence and care
i. ABA 1.3 a lawyer must act with reasonable diligence and promptness in representing a client.
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 1. Comment 1 the lawyer should act with dedication and commitment to the client’s interest and
with zeal advocacy on the client’s behalf.
2. Comment 3 even when procrastination does not harm the client’s substantive interests, it can
cause the client needless anxiety and can undermine confidence in the lawyer’s
trustworthiness.
3. Comment 4 the lawyer must see the matter through to completion
d. Civil liability to client, including malpractice
i. An attorney owes a duty of care to a client, the lawyer needs to breach that duty, causing the clients
harm
e. Civil liability to nonclients
i. an attorney also owes a duty of care to any third party who was intended to benefit by the attorneys
rendition of legal services and to other nonclients in certain circumstances.
f. Limited liability for malpractice
i. ABA 1.8(h) a lawyer shall not make an agreement prospectively limiting the lawyers liability to a client
for malpractice unless the client is independently represented in making the agreement.
1. ABA 1.8(h)(2) a lawyer shall not settle a pending or potential malpractice claim with an
unrepresented client or former client without first advising that person, in writing, to seek
advice from an independent lawyer about the settlement and giving that person time to seek
that advice
g. Malpractice insurance and risk prevention
6. Litigation and other forms of advocacy
a. Meritorious claims and contentions
i. ABA 3.1 a lawyer is subject to discipline for bringing a frivolous proceeding, or for asserting a frivolous
position in the defense of a proceeding. A lawyer is subject to discipline for taking a frivolous position
on an issue in a proceeding.
1. In a criminal proceeding, the lawyer for a defendant in a criminal case may conduct the
defendant so that the prosecutor must prove every necessary element of the crime.
b. Expediting litigation
i. ABA 3.2 A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of
the client
c. Candor to the tribunal
i. ABA 3.3(a)(1) a lawyer shall not knowingly make a false statement of law to the court or fail to correct
a previously false statement of material law
ii. ABA 3.3(a)(2) a lawyer shall not knowingly fail to disclose to the court a legal authority in the
controlling jurisdiction that is directly adverse to the clients position and that has not been disclosed
by the opposing counsel.
iii. ABA 3.3(a)(3) a lawyer shall not offer evidence that the lawyer knows to be false, and shall take
reasonable remedial measures including disclosure to the tribunal if a lawyer has offered material
evidence the lawyer comes to know is false.
iv. In a civil/criminal case
1. If the client has not yet testifies
a. And the lawyer knows that the client is about to testify falsely the lawyer cannot call
the client to the stand
2. If the client has already testified
a. And the lawyer learns the testimony is false, the lawyer must take reasonable remedial
measures, including disclosing to the tribunal

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 v. ABA 3.3(d) in an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to
the lawyer that will enable the tribunal to make an informed decision, whether or not the facts were
adverse.
d. Fairness to opposing party and counsel
i. ABA 3.4(a) a lawyer shall not unlawfully obstruct another party’s access to evidence of unlawfully alter,
destroy, or conceal a document or other material having evidentiary value. Nor should the lawyer
counsel or assist another person to do any of these things.
ii. ABA 3.4(b) a lawyer shall not falsify evidence
1. You cannot counsel someone to testify falsely
2. You cannot offer an inducement to a witness that is prohibited by law
a. You can pay a witnesses
i. Travel, meals, and lodging,
ii. Loss of time
iii. Expert fees
iii. ABA 3.4(c) a lawyer shall not disobey an obligation under the rules of a tribunal, except for an open
refusal based on an assertion that no valid obligation exists.
iv. ABA 3.4(d) a lawyer must not make frivolous discovery requests or fail to make reasonable efforts to
comply with a legally proper discovery request made by an adversary
v. ABA 3.4(e) Trickery at trial
1. A lawyer must not refer for material that the lawyer does not reasonably believe is relevant or
that will not be supported by admissible evidence
2. A lawyer must not assert personal knowledge of facts in issue
3. A lawyer must not state a personal opinion about the justness of a cause the credibility of a
witness, the culpability of a civil litigant or the guilt or innocence of an accused
vi. ABA 3.4(f) a lawyer shall not request a person, other than the client, to refrain from voluntarily giving
relevant information to another party, unless
1. The person is a relative, employee, or other agent of the client, and
2. The lawyer believes that that persons interest will not be adversely affected by refraining from
giving information
e. Impartiality and decorum of the tribunal
i. ABA 3.5(a) a lawyer must not seek to influence a judge, court official, juror, or prospective juror by
improper means
ii. ABA 3.5(b) a lawyer must not communicate ex parte with such a person during the proceeding unless
authorized to do so must law or court order
1. This means don’t talk to any juror or potential juror about anything before or during the case,
even about the weather.
iii. ABA 3.5(c) the lawyer shall not communicate with a juror or prospective juror after discharge of the
jury if
1. The communication is prohibited by court
2. The juror has made it known to the lawyer a desire not to communicate or
3. The communication involves misrepresentation, coercion, duress, or harassment.
iv. ABA 3.5(d) the lawyer shall not engage in conduct intended to disrupt a tribunal
f. Trial publicity – these rules apply to both private and public attorneys
i. ABA 3.6(a) a lawyer who is connected with a case must not make a public statement outside the
courtroom that the lawyer reasonably should know would have a substantial likelihood of materially
prejudicing the case

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 ii. ABA 3.6(b) “Dry Facts” a lawyer connected with the case may publicly state the following about the
case
1. The claim, offense/defense, and the identity of the person involved
2. Public records
3. The is in progress and request for help in getting information, and a warning of danger if
appropriate
4. The scheduling or result of any step in litigation
5. Criminal case: routine booking information about the defendant such as his name, address,
occupation, family status, the time and place of the arrest, the names of the arresting officers,
and the names of the investigating officers.
iii. ABA 3.6(c) a lawyer may make a public statement that a reasonable lawyer would believe is required
to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by the
lawyer or the lawyers conflict
g. Lawyer as witness
i. ABA 3.7(a) a lawyer shall not act as an advocate at a trial in which the lawyer is likely to be a necessary
witness unless
1. The testimony is about an uncontested issue (mere formality)
2. The testimony relates to the nature and value of legal services rendered in the case
3. The withdrawal of the lawyer would cause substantial hardship to the client
ii. ABA 3.7(b) a lawyer may act as an advocate in a trial in which another lawyer in the lawyers firm is
likely to be called as a witness.
7. Transactions and communications with persons other than clients
a. Truthfulness in statements to others
i. ABA 4.1(b) when dealing on behalf of a client with a third person, a lawyer must not knowingly make a
false statement of law or material fact
ii. ABA 4.1(b) a lawyer must disclose material facts to a third person when necessary to avoid assisting
the client in a crime or fraud
b. Communications with represented persons
i. ABA 4.2 when representing a client, a lawyer shall not communicate about a matter with a person the
lawyer knows is represented by counsel, unless the counsel consents or is authorized by law.
c. Communications with unrepresented persons
i. ABA 4.3 When representing a client, a lawyer shall not tell an unrepresented party that the lawyer is
disinterested.
1. When the lawyer knows or reasonably should know, that the unrepresented person
misunderstands the lawyers role in the matter, the lawyer must make reasonable efforts to
correct that misunderstanding
2. If the lawyer knows or should know that the person interests are likely to be in conflict with
those of the unrepresented person, the lawyer should not give legal advice other than to get a
lawyer.
d. Respect for rights of third person
i. ABA 4.4(a) in representing a client, a lawyer must not use means that have no substantial purpose
other than to embarrass, delay, or burden a third party, or use methods of obtaining evidence that
violate the legal rights of such person
ii. ABA 4.4(b) a lawyer who receives a document or electronically stored information relating to the
representation of a client and knows or reasonably should know that the document was sent
inadvertently, the lawyer shall promptly notify the sender.
1. Comment 2: the notification is to permit the other lawyer to take protective measures.
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 8. Different roles of the lawyer
a. Advisor
i. ABA 2.1 in representing a client, a lawyer shall exercise independent professional judgement 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 clients
situation
1. Comment 1 the lawyer should attempt to keep the clients moral up, but should neither
sugarcoat the advice nor delude the client
2. Comment 4 the lawyer may also urge a client to seek advice from accountants, psychiatrists,
physicians, or family counselors.
3. Comment 5 no duty to give advice unless asked
b. Evaluator
i. ABA 2.3(a) a lawyer may evaluate a client’s affairs for the use of a third person if the lawyer reasonably
believes that making the evaluations is compatible with the lawyers other responsibility to the client.
ii. ABA 2.3(b) if the lawyer knows or should know that the evaluation will materially harm the client, the
lawyer must obtain the clients informed consent before making the evaluation.
iii. ABA 2.3(c) except as disclosure is authorized in connection with a report of an evaluation, the lawyer
must obtain the clients informed consent before making the evaluation.
c. Negotiator
i. Refer to 4.1 – truthfulness in statements to others
d. Arbitrator, mediator, or other third party neutrals
i. ABA 2.4(a) a lawyer serves as a third party neutral when she assists two or more nonclients in resolving
a dispute or other matter that has arisen between them.
ii. ABA 2.4(b) a lawyer serving as a third-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 lawyers role in the matter, the lawyer shall explain the difference between the lawyers
role as a third party neutral and a lawyers role as one who represents a client.
1. Comment 3 Attorney-client privilege does not apply between them
2. Refer back to 1.12 conflict of interests
e. Prosecutors and other government lawyers
i. the prosecutor shall
1. ABA 3.9(a) refrain from prosecuting a charge that the prosecutor knows is not supported by
probable cause
2. ABA 3.9(b) make reasonable efforts to assure that the accused has been (1) advised of the
right to counsel, (2) advised of the procedure for obtaining counsel, and (3) given reasonable
opportunity to obtain counsel.
3. ABA 3.9(c) not seek to obtain from an unrepresented accused a waiver of important pretrial
rights, such as the right to a preliminary hearing
4. ABA 3.9(d) timely disclose to the defense all evidence and information known to the
prosecutor that tends to negate the guilt of the accused or mitigate the degree of the offense,
and when a convicted person is to be sentenced, the prosecutor must disclose to the defense
and to the court all unprivileged mitigating information known to the prosecutor
5. ABA 3.9(e) not subpoena another lawyer to give evidence about a client or former client,
unless that evidence is not privileged, essential, and cannot be obtained otherwise.
6. ABA 3.9(f) Except for statements that are necessary to inform the public of the nature and
extent of the prosecutors action and that serve a legitimate law enforcement purpose, a
prosecutor must not make extrajudicial statements that have a substantial likelihood of
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 heightening public condemnation of the accused, and must take reasonable care to prevent
investigators, police, employees, and other subordinates from make such statements.
7. ABA 3.9(g) promptly disclose new, credible, and material evidence that creates a reasonable
likelihood that a defendant was wrongfully convicted.
8. ABA 3.8(h) seek to remedy the conviction of a defendant in his jurisdiction if he knows of clear
and convincing evidence that the defendant was innocent.
f. Lawyer appearing in nonadjudicative proceeding
i. ABA 3.9 A lawyer representing a client before a legislative body or administrative agency shall disclose
that the appearance is in a representative capacity
g. Lawyer representing an entity or other organization
i. ABA 1.13(a) when the organization is the lawyers client, the lawyer owes the duty of loyalty to the
organization – not the people who are its constituents
ii. ABA 1.13(b) if the lawyer for an org learns that a person associated with the organization has acted, or
is about to act, in a way that violates a duty to the org or law in a way that may be imputed onto the
org, and the violation is likely to cause substantial injury to the org the lawyer must proceed as is
reasonably necessary to protect the interests of the organization.
1. This means reporting to a higher authority, or the highest authority
2. Need not to report, if the orgs best interest do not require the violation to be reported
iii. ABA 1.13(c) If the highest authority fails to take timely, appropriate action, the lawyer may report the
relevant information to appropriate persons outside the organization – and this only applies if the
lawyer reasonably believes that reporting is necessary to prevent substantial injury to the org.
iv. ABA 1.13(d) the authority to report to outsiders does not apply to a lawyer who is hired by the
organization to investigate an alleged violation of law or to defend the org or its constituents against a
claimed violation of the law
v. ABA 1.13(e) a lawyer who reasonably believes that she has been fired/withdraws because she acted
pursuant to the rules must proceed as she reasonably believes necessary to assure that the
organizations highest authority is informed of the firing or withdrawal.
vi. ABA 1.13(f) the general counsel should remind constituents that the orgs interest are adverse to those
of the constituents with whom the lawyer is dealing.
vii. ABA 1.13(g) the lawyer for an org may represent both the org and one or more of the constituents
provided that the ordinary conflict of interest rules are satisfied. If consent is required it shall be given
by an approporiate offican
9. Safekeeping funds and other property
a. Establishing and maintaining trust accounts
i. ABA 1.15(a) All money that a lawyer receives in connection with a representation must promptly be
placed in a client trust fund account. It must be kept in the state where the lawyers office is, and
complete records of the account should be kept and preserved for 5 years.
ii. ABA 1.15(b) the lawyer may place her own money in the account, for the sole purpose of paying bank
charges
iii. ABA 1.15(c) a lawyer receives money from a client to pay for costs and expenses not yet incurred, the
advance must be put into the lawyers client trust fund account, and to be withdrawn by the lawyer
only when fees are incurred
iv. ABA 1.15(d) the lawyer must
1. notify the client promptly when a third party turns over money or property to the lawyer to
hold,
2. promptly deliver to the client or third person any funds/property that the client or person is
entitled to
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 3. upon request promptly render a full accounting regarding such property
b. Safekeeping funds and other property of clients
i. ABA 1.15 Comment 1 when the lawyer comes into possession of property to be held on the clients
behalf, the lawyer must identify it as belonging to the client, and put it in a safe place
1. Small items – safe deposit box
2. Cannot use the item for the lawyers own use
c. Safekeeping funds and other property of third persons
i. ABA 1.15 Comment 4 when a third party’s claim is not frivolous, the lawyer must refuse to surrender
the funds to the client until the third party has been paid.
d. Disputed claims
i. ABA 1.15(e) when there is a dispute of two or more persons, the property shall be kept separately by
the lawyer until the dispute is resolved. And distribute the portion not in dispute.
10.Communications about legal services
a. Advertising and other public communications about legal services
i. ABA 7.1 a lawyer is subject to discipline for any type of communication about the lawyer or the
lawyer’s services that is false or misleading. A communication is 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.
1. All types of communication
b. Solicitation – direct contact with prospective clients
i. ABA 7.3(a) solicit means communication initiated by the lawyer that is direct to a specific person the
lawyer knows or reasonably should know needs legal services
ii. ABA 7.3(b) a lawyer shall not solicit employment by live in person contact when a significant motive for
the lawyers doing so is the lawyers or law firms pecuniary gain, unless
1. Its with a lawyer
2. A family, close personal, or prior business relationship with
3. Person who routinely uses for business purposes the type of legal services offered by the
lawyer
iii. ABA 7.3(c) you cannot solicit when it has been made known to the lawyer a desire not to be solicited
by the lawyer or the solicitation involves coercion, duress, or harassment.
c. Group legal service
i. ABA 7.3(e) A lawyer may participate in a prepaid or group legal service plan that uses in person or
telephone contact to solicit memberships or subscriptions for the plan from persons who are not
known to need legal series in a particular matter covered by the plan
d. Referrals
i. ABA 7.1(b) a lawyer shall not compensate, give or promise anything of value to a person for
recommending the lawyers services except that a lawyer may
1. Pay the reasonable cost of advertisements
2. Pay the usual charge of a legal service plan or a not for profit lawyer referral services
3. Pay for a law practice
4. Refer clients to another lawyer or nonlawyer professions pursuant to an agreement that
provides for the other person to refer clients or customers to the lawyer if
a. The referral agreement is not exclusive
b. The client is informed of its existance and nature
5. Give nominal gives as an expression of appreciation that are neither intended nor reasonably
expect to be a form of compensation for recommending a lawyer’s services

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 ii. Any communication made under this rule must include the name and contact information of at least
one lawyer or law firm responsible for its content
e. Communications regarding fields of practice and specialization
i. ABA 7.1(c) a lawyer shall not state or imply that a lawyer is certified as a specialist in a particular field
of law unless
1. The lawyer is certified as a specialist
2. And name the certifying organization
11.Lawyers duties to the public and the legal system
a. Voluntary pro bono work
i. ABA 6.1 Every lawyer has a professional responsibility to provide legal services to those unable to pay
for it. Although, not grounds for discipline, the lawyer should spend 50 hours per year on pro bono
work
1. A substantial majority of those hours should be spend doing unpaid legal services for poor
people, or organizations that address the needs of poor people
2. And provide additional services to organizations seeking to secure or protect civil rights,
deliver discounted legal fees to those with limited means, or participate in activities to
improve the law
ii. A lawyer should also contribute financially to organizations that provide legal services to poor people
b. Accepting appointments
i. ABA 6.2 a lawyer shall not seek to avoid appointments by a court to represent a person except for
good cause
1. Violation of the rules
2. Unreasonable financial burden
3. The lawyer finds the client so repugnant that it is likely to impair the ability to represent them
c. Serving in legal service organizations
i. ABA 6.3 a lawyer may serve as a director, officer, or member of a legal service organization even
though the organization serves persons whose interests are adverse to the lawyers regular clients.
1. A lawyer shall not knowingly participate in a decision or action of the organization
a. ABA 6.3(a) if participating would be incompatible with the lawyers obligations to a
client.
b. ABA 6.3(b) The decision would have a material adverse effect on the representation of
a client
d. Law reform activities affecting client interests
i. ABA 6.4 a lawyer may serve as a director, officer or member of an organization involved with
reforming the law or its administration regardless if the reform may affect the interests of a client.
1. when a decision the lawyer participates in could materially benefit a client, the lawyer shall
disclose the fact but not identify the client.
e. Criticism of judges and adjudicating officials
i. ABA 8.2(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 of a judge, public officer, or
a candidate for election or appointment to judicial or legal office
1. ABA 8.2(b) a lawyer who is a candidate for judicial office shall comply with the judicial conduct
code
f. Political contributions to obtain engagements or appointments
i. ABA 7.6 a lawyer or law firm shall not accept a government legal engagement or an appointment by a
judge if the lawyer or law firm makes a political contribution or solicits political contribution or solicits

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 political contributions for the purpose of obtaining or being considered for that type of legal
engagement or appointment.
g. Improper influence on government officials
h. Assisting judicial misconduct
i. ABA 8.4(f) – assisting a judge in violation of judicial code
1. A lawyer is subject to discipline for knowingly assisting a judge or judicial officer in conduct
that violates the Code of Judicial Conduct or other law
12.Judicial conduct
a. Maintaining the independence and impartiality of the judiciary
i. Canon 1 a judge shall uphold and promote the independence, integrity, and impartiality or the
judiciary, and shall avoid impropriety and the appearance of impropriety
b. Performing the duties of judicial office impartially, competently, and diligently
i. Canon 2 a judge shall perform the duties of judicial office impartially, competently, and diligently
1. Rule 2.1 the duties of judicial office, shall take precedence over all of a judges personal and
extrajudicial activities.
2. Rule 2.4
a. a judge shall not be swayed by public clamor or fear or criticism
b. a judge shall not permit family, social, political, financial, or other interests or
relationships to influence the judges judicial conduct or judgement
c. a judge shall not convey or permit others to convey the impression that any person or
org is in a position to influence the judge
3. Rule 2.5
a. A judge shall perform judicial and admin duties, competently and diligently
b. A judge shall cooperate with other judges and court officials
c. Ex parte communications
i. Rule 2.9 a judge shall not initiate, permit, or consider ex parte communications expect in three
circumstances
1. Expressly authorized by law
2. Mediation or settlement
3. Emergencies or administrative matters
a. The circumstances required the judge to communicate with one side only
b. The communication concerns an emergency or scheduling
c. The judge believes that no party will gain a procedural, substantive, or tactical
advantage from the communication
d. The judge notifies the lawyer for the other party and allows them time to respond
d. Disqualification
i. Rule 2.11(A) a judge must disqualify himself in a proceeding in which the judges impartiality might
reasonably be questioned
1. Personal bias concerning a party
2. Judge knows that the judge, spouse, or person within the third degree is
a. A party
b. A lawyer
c. A person who has more than a de minimis interest that could be substantially effected
d. Could likely be a material witness in the proceeding.
3. The judge knows that he, spouse, parent or child, or member of the house has an economic
interest

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 4. If the judge learns through a timely motion that a party, party’s lawyer or law firm has within
some years prior made a contribution to the judges election campaign that exceed a specific
amount
5. The judge, while a judge has made a public comment that commits or appears to commit the
judge to reach a particular result or rule
6. The judge
a. Served as a lawyer in the matter
b. Served as a government employee that participated personally and substantially
c. Was a material witness in the matter
d. Previous presided as a judge in a previous court
e. Extrajudicial activities
i. Canon 3 a judge shall conduct a judges personal and extrajudicial activities to minimize the risk of
conflict with the obligations of judicial office
1. Rule 3.1 when engaging in extrajudicial activities a judge shall not
a. Participate in activities that will interfere with the proper performance as a judge
b. Participate in activities that will lead to frequent disqualification
c. Appeal to a reasonable person to undermine the judges independence, integrity, or
impartiality
d. Make use of court resources not related to incidental use for the law
13.Law Related Services/Sale of A Law Practice
a. Law related Services
i. ABA 5.7(a) a lawyer shall be subject to discipline if the law related services are provided
1. By the lawyer in circumstances that are not distinct from the lawyer’s provision of legal
services to client
2. In other circumstances by an entity controlled by the lawyer if the lawyer fails to take
reasonable measures to assure that a person obtaining the law related services knows that the
services are not legal services and that the protections of the client-lawyer relationship do not
exist
b. Sale of a law practice
i. ABA 1.17 a lawyer may sell or purchase a law practice
1. The seller ceases to engage in the private practice of law or in the area it was sold
2. The entire practice is sold to one or more lawyers or law firm
3. The seller gives written notice to each of the seller’s clients regarding
a. The proposed sale
b. The clients right to retain other counsel or take the file
c. The fact that the clients consent to the transfer of the clients files will be presumed if
the client does not take any action within 90 days
4. The fees charged shall not be increased because of the sale

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